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ADR Bulletin Volume 11 \| Number 7 12-1-2009 The mediator interview: Patrick Cavanagh Recommended Citation (2009) "The mediator interview: Patrick Cavanagh," ADR Bulletin: Vol. 11: No. 7, Article 4. Available at: http://epublications.bond.edu.au/adr/vol11/iss7/4 This Article is brought to you by ePublications@bond. It has been accepted for inclusion in ADR Bulletin by an authorized administrator of ePublications@bond. For more information, please contact Bond University's Repository Coordinator. Article 4 The mediator interview: Patrick Cavanagh After many years in legal practice you turned to ADR. Why was that? In 1984 I returned to university as a mature age student. One of the courses I was offered as part of the LLM was Mediation. One year later with an LLM and something claiming I had a specialisation in the area, I took a job with the Australian Commercial Dispute Centre (ACDC). This was based in Sydney and was the first commercial ADR organisation in Australia. I recall that my official job was Executive Officer. The reality is that I was a salesman for mediation. So for three years my job was to promote mediation by marketing the concept to both lawyers and to the commercial community. What was the attitude of the legal profession to mediation and ADR in the late 1980s? The reaction from the legal community was essentially hostile. The need for mediation in the commercial area was recognised by the business community which was aggrieved at the length of, and wait for, court determinations and the costs involved. The legal community's view was that it would be 'business as usual' within a short time and that mediation was 'flavour of the month'. Were there any significant influences in those pioneering mediation days? The commercial mediation movement in Australia was started by the ex-Chief Justice of New South Wales, Sir Laurence Street. He took early retirement as Chief Justice and was an endless proponent and speaker in favour of ADR. His endorsement was responsible for the success of mediation. Although, as indicated earlier, much of the legal community was openly hostile, a section of that community was astute enough to see that the changes were unavoidable and they formed their own lawyer-friendly ADR organisations, such as LEADR. That organisation continues 25 years later with an expanded identity and has helped to move mediation into the mainstream. The early opponents to ADR have now accepted that mediation is a mainstream movement and the 'business as usual' model that they advocated is a distant memory. What has been the predominant nature of your mediation practice? I have now been practising as a mediator for 25 years and generally mediate disputes that have a commercial character, are court-connected and are reasonably complex multi-party matters. You spent some years mediating in Jakarta, how did that come about? In 2001 I received an invitation from the United States Agency for International Development to take up a position as senior mediator in a corporate debt mediation and restructuring program in Indonesia. This program was aimed at settling disputes between syndicated international banks and local borrowers. The average amount in dispute was US$250 million and at the end of the three-year program we had bench-marked US$21 billion in settlements. The most interesting element of the numerous negotiations was the low level of negotiation skills by participants and the universal negotiation issues that seemed to arise independent of jurisdiction or subject-matter. You have also done many years working as a mediator for Legal Aid Queensland, mainly in matrimonial disputes. How does this differ from your commercial mediation work? After acting as a mediator-chairperson in Legal Aid conferences the most striking element to me has been the similarities that exist in the participants' style of negotiating with those undertaking high-value, legally complex commercial disputes. * the instinctive rush to positional negotiating styles; * a refusal to concede any strength or viability in the other's position; * the inability to look for alternative, interest-based solutions that concede any ground to the other party; * the limited negotiation and communication skills of their professional advisers and their deluded belief that they are skilled negotiation practitioners. What do you always take into mediations with you? The fundamental belief which I take to each mediation is that the mediator must establish empathy with the parties. The empathy is important as it is essential that parties provide information to the mediator. If the parties know and like a mediator then the information will be provided. An essential skill for the mediator is to obtain information from the parties so that settlement options can be created and evaluated. What about mediator attributes? A crucial ingredient for a mediator is to be an excellent communicator with all kinds of individuals from different socioeconomic backgrounds. What is the most frequent difficulty you encounter in mediations? Regretfully most of the commercial and legal negotiators that I see as a mediator regard mediation and negotiation as opportunities for an adversarial debate in which each party adopts a fixed view and then argues in favour of the view. This is a recipe for a failed mediation or negotiation and requires a significant cultural shift. You have also done a considerable amount of mediation teaching and training in different settings. How has this contributed to your practice? I have been fortunate to teach in diverse locations to assorted commercial audiences. As a teacher I consciously try to duplicate what I do as a negotiator and mediator: The similarities are: * demonstrate an interest in the subject, a curiosity as to outcome, and open communication with students and participants; (2009) 11(7) ADR............................................................................................................................................................................................................................ Published by ePublications@bond, 2009 159 ADR * constantly use the mediation communication skills of listening, acknowledging, reframing, summarising and questioning — with a self-deprecating use of appropriate humour. These teaching attributes engage the students, allow information to be transferred in a relaxed, informal and hopefully retentive format — exactly the opposite of how most teachers/educators undertake their role. What are your predictions for the next 10 years of mediation practice in Australia? Predictions are dangerous. The best line I have read was from John Kenneth Galbraith, the late economics guru. His comment when asked for economic advice was that economic predictions make astrology look respectable. However, despite this advice my view is that mediation will continue to expand because the alternative does not exist — an ever-expanding pool of negotiation expertise that would make a mediator redundant. This refusal by parties to acknowledge this professional skills deficit will ensure that those who have and develop these skills can look forward to a long and profitable career. ● ADR Diary • ADR Diary ■ LEADR is holding Mediation Workshops in Adelaide on 16–20 March; 31 August– 4 September; in Alice Springs on 31 August–4 September; Brisbane on 9–13 March; Canberra on 4–8 May; Darwin on 11–15 May; Hobart on 25–29 May; Melbourne 19–23 April, 1–5 June and 11–15 October; Perth on 18–22 May and 26–30 October; and Sydney on 15–19 February, 19–23 April, 21-25 June, 16–20 August, and 18–22 October. They will also be running CINERGY Conflict Coaching Workshops in Sydney on 22–25 February and in Melbourne on 2–5 March. For further information go to <www.leadr.com.au/training.htm>. ■ ACDC is offering Mediation Training in Sydney on 22–26 February, 24–28 May, 9–13 August, 18–22 October. Accreditation dates include 3 March, 3 June, 17 August and 27 October. For further information, visit <www.acdcltd.com.au>. further information go to <www. mediationconference.com.au/>. ■ The Bond University Dispute Resolution Centre has upcoming courses including Basic Mediation on 18–21 March on the Gold Coast; Family Dispute Resolution (Legislation and Skills) in Sydney from 20–24 April; Mediator Assessment course on Gold Coast 12–13 February; Global Negotiation Course in Lyon, France on 30 August to 4 September. For more information email <firstname.lastname@example.org> or visit <www.bond.edu.au/law/centres>. ■ Non-Adversarial Justice: Implications for the Legal System and Society Conference, Melbourne, 4–7 May 2010. Further information, including details about abstract submission can be found at <www.law.monash.edu.au/nonadvj/>. The full conference flyer can be found at: <www.aija.org.au/NAJ%202010/ NAJ10%20Infoflyer&Reg.pdf>. Pat Cavanagh is a Brisbane-based mediator, trainer and dispute resolution consultant and is Adjunct Associate Professor at Bond University. He can be contacted at <email@example.com>. ■ The 5th Asia-Pacific Mediation Forum Conference will be held in India from 21–27 November 2010. For further information go to <www.apmec.unisa.edu.au/apmf>. ■ National Mediation Conference will be held in Adelaide on 7–9 September 2010. For ■ Mediator Style Training is running Mediating Personality Workshops on 29 August and 7 November in Perth; 8 August and 3 October in Sydney; 25 July and 17 October in Melbourne; 22 August in Adelaide; 12 September and 31 October in Brisbane; 28 November in Townsville; 19 September in Canberra. PUBLISHER: Bond University PUBLISHING EDITOR: Carolyn Schmidt PRODUCTION: Alexandra Berthold SUBSCRIPTIONS: $330.00 per year including GST, handling and postage within Australia FREQUENCY: 8 issues per annum OFFICE: Dispute Resolution Centre Bond University Qld 4229 Australia TELEPHONE: (07) 5595 2039 FAX: (07) 5595 2036 firstname.lastname@example.org ISSN 1440-4540 Print Cite as (2009) 11(7) ADR This newsletter is intended to keep readers abreast of current developments in alternative dispute resolution. It is not, however, to be used or relied upon as a substitute for professional advice. Before acting on any matter in the area, readers should discuss matters with their own professional advisers. The publication is copyright. Other than for purposes and subject to the conditions prescribed under the Copyright Act, no part of it may in any form or by any means (electronic, mechanical, microcopying, photocopying, recording or otherwise) be reproduced, stored in a retrieval system or transmitted without prior written permission. Inquiries should be addressed to email@example.com Printed in Australia © 2009 Bond University Dispute Resolution Centre ABN: 88 010 694 121 160 ........................................................................................................................................................................................................ http://epublications.bond.edu.au/adr/vol11/iss7/4 vol * 11no ❼ December 2009
CAMBRIDGE INTERNATIONAL EXAMINATIONS Cambridge International Advanced Subsidiary and 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 May/June 2015 series for most Cambridge IGCSE ® , Cambridge International A and AS Level components and some Cambridge O Level components. \| Page 2 \| Mark Scheme \| Syllabus \| \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| Section A Answer five questions from this section. All questions carry 10 marks. Hydrology and fluvial geomorphology 1 Photograph A shows a river channel. (a) Name the type of river channel shown in Photograph A. A meandering channel (a meander), sinuous is acceptable (b) Draw a labelled diagram of the river channel in Photograph A showing the line of the fastest flow (thalweg). Diagram should show meander bend (1) and the thalweg swinging to the outer bank of the bend (1) as a continuous labelled line (1). The diagram should be that of the meander shown in the photograph. No marks for the diagram if stylised and does not represent the photograph. (c) Explain how the river channel shown in Photograph A developed and describe how it might change in the future. Meandering can be explained in terms of pool and riffle sequences leading to the swinging of the thalweg and differential erosion on the banks as well as the cross channel operation of helicoidal flow. Followed by a description of future changes to the channel: narrowing of the meander neck to allow channel straightening and the residual feature of an oxbow lake. Other possible changes include: meander migration downstream and laterally extending the floodplain; development of levees. There are two elements and suggest mark 3/3 or 4/2 and 2/4. There are two distinct commands: explain and describe – consider explanation of located processes for either or both aspects. A characteristic of a higher band response might be to follow the order of these two commands – with more explanation for the first part. Diagrams might be used and could be credited highly if well annotated and sequential in approach. [1] [3] [6] Atmosphere and weather 2 Fig. 1 shows the concentration of carbon dioxide (CO2) and the average annual surface temperature of the Earth, 1880–2005. (a) Compare the trend in carbon dioxide concentration with the trend in the average annual surface temperature of the Earth shown in Fig. 1. Credit could be awarded in the following way: both rise over the period (1) although the CO2 does so more smoothly from 290 parts per million to 370 ppm (1) surface temps rise more erratically from 13.8 to c.14.5 (1) both show a greater rate of increase after 1980 (1) reward use of figures and a genuine comparison of trends If two separate accounts – max 2 marks. (b) Describe the causes of the increase of carbon dioxide in the atmosphere and explain how this increase could bring about changes in the surface temperature of the Earth. The causes are an increase in deforestation and the burning of fossil fuels and possible natural occurrence such as from volcanic eruptions. Explanation of global warming should be couched in terms of the enhanced greenhouse effect. Greenhouse gases, of which CO2 is one, allow the ingress of solar radiation (SWR), but absorb a high proportion of outgoing terrestrial radiation (LWR). This is a normal process but it is argued that increases in greenhouse gases – the enhanced greenhouse effect – will lead to a progressive warming of the earth's atmosphere and particularly the lower layers. A characteristic of a higher band response would have a balance between the description of the causes and the explanation of how the enhanced greenhouse effect could increase temperatures of the earth's surface/lower layers of the atmosphere. There are two elements – suggest 3/3, 4/2 or 2/4. [4] [6] \| Page 4 \| Mark Scheme \| Syllabus \| \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| Rocks and weathering 3 Fig. 2 shows some types of mass movement. (a) (i) Name the type of mass movement shown in Fig. 2 that has the slower movement and the highest water content. Solifluction (ii) Name the type of mass movement shown in Fig. 2 that has the faster movement and the lowest water content. Rockfall (b) Explain how heave might contribute to soil creep. Heave is the lifting of soil particles perpendicular to the slope, due to wetting/drying or freezing/melting. When dry or unfrozen, the particle falls back vertically under the influence of gravity leading to a slow downslope movement that is known as soil creep. Suggest two marks for the process and one mark for the movement downslope. (c) Explain how a rotational slide, such as in Fig. 2, occurs and describe its effect upon slope shape. Mark as 3/2 A rotational slide occurs along a curved slip plane (1) due to the shear strength being overcome by some sort of shear stress (1). Rotational slides frequently occur in homogeneous clay and in slope material which is unconsolidated (1). Failure is the result of increased shear stress due to undercutting (1) (natural or human-induced), loading, shocks and vibrations, water drawdown, changes in water regime (rainfall, increase in weight, increase in pore pressure). Vibrations mobilise the water content leading to increased pore pressure (1). Explanation could be any three of the ones noted above. The regolith rotates backwards leaving a scar/scarp at the top of the slope and a toe at its foot. A continuous surface slope is transformed into blocks/steps, separated by near vertical faces/minor scarps, with transverse cracking to the blocks, leaving a crown at the top – in the material which has not moved. [1] [1] [3] [5] \| Page 5 \| Mark Scheme \| Syllabus \| Paper \| \|---\|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| 11 \| Population/Migration 4 Fig. 3 shows projected population growth for countries in South-east Asia, 2010–30. (a) Name the country shown in Fig. 3 which has: (i) the lowest projected rate of population growth, [1] Thailand (data not needed) (ii) the highest projected increase in total population. Indonesia (shown by area of bar), can accept Philippines (b) Suggest two reasons why it is difficult to predict population growth accurately. Credit any valid reason relating to any of the areas below: * difficulties in collecting data * difficulties in making assumptions/choosing variant of forecast (high, mid, low) * intervening circumstances in time period, e.g. economic, political, natural disasters * specific natural increase-related difficulties (uncertainty over birth/death rates) * specific migration-related difficulties Credit simple points 1 and a developed and/or illustrated point 2 to the maximum. (c) Using one or more examples, explain why life expectancy is increasing in many LEDCs. [5] Any relevant explanatory factors may be credited, including: * economic, e.g. decrease in poverty means improved diet and housing; employment in secondary and tertiary sector brings higher standard of living * social/cultural, e.g. increased literacy, improved education * political, e.g. investment in health care, improved food supply, investment in provision of clean water and sanitation; pursuit of Millennium Development Goals (MDGs) The example or examples may be of a country, scheme, initiative or project. Mark holistically, for a high quality response without example(s), max 4. [1] [3] \| Page 6 \| Mark Scheme \| Syllabus \| \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| Migration 5 Table 1 gives information about immigration to Germany from selected countries of the European Union (EU) in 2011–12. (a) With the help of data from Table 1, compare immigration to Germany from Greece with immigration from Portugal. Immigration from both countries recorded the same percentage increase (43%). (1) However, the number of immigrants differed greatly: from Greece 10 000 and from Portugal 4 000. (1) No explanation needed. (b) Describe two main features of the immigration shown, supporting your answer with evidence from Table 1. A full answer uses country names and data and may refer to both percentage increase and total number of migrants. Main is highlighted and so implies a general statement rather than highlighting one particular country. Credit two of the following kinds of points: * immigration increased from all nine countries (1) * percentage increase varied from 8% (Poland) to 62% (Slovenia), i.e. 7+ times (1) * total number of migrants varied from 2000 (Slovenia) to 21 000 (Romania) (1) (c) Briefly explain the role of pull factors in economic migration. Credit the definition of pull factors as those things (real or perceived) in a destination that attract migrants. In economic migration, the pull factors are primarily economic, e.g. more and better job opportunities, higher or more secure wages, a stronger economy at a time of recession, etc. Other pull factors are, however, important such as the existence of social networks (family members, friends, colleagues) to help migrants on arrival; or government promotion of opportunities (e.g. Germany, Singapore) to attract the labour and skills needed. An alternative acceptable approach is to examine the role of pull factors with respect to other factors such as push factors. This would be a conceptual approach that is valid. Push factors should not be credited, given the wording of the question. Maximum 4 if just a list of factors. [2] [2] [6] \| Page 7 \| Mark Scheme \| Syllabus \| \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| Settlement dynamics 6 Photograph B shows part of a shanty town (squatter settlement) in a city in Africa in 2011. (a) Describe the buildings shown in Photograph B. Description is likely to be about the materials from which the buildings are made: mud/bricks, branches, wood/wooden frames, corrugated metal sheets for the roof, other spare materials and scrap, breeze blocks (this is likely a latrine or toilet block but do not require this for credit) up to 2 And other descriptive details, such as that they are houses, latrines or a toilet block, may be workshops; different shapes and sizes; appear permanent, seem unplanned up to 2 Clearly no comment is possible about the interiors; do not credit speculation. (b) With reference to Photograph B, outline two ways in which quality of life could be improved for the residents. Credit any valid way to the maximum, as long as there is reference to the photograph, such as: * provide a waste collection service so that people do not need to leave their rubbish out on the river bank * provide better services such as electricity, piped water, sewage pipelines * an upgrading scheme, so that residents can obtain building materials to improve their own houses, e.g. replacing mud with brick walls * provide hard standing or paving; in wet weather/the wet season it would be very muddy to walk around Credit two incompletely developed ways (1). (c) Suggest reasons why solving the problems of shanty towns (squatter settlement) can be difficult. A full answer might consist of two reasons fully developed or more than two reasons treated in less depth. Approaches may include issues of scale, constant change, dynamics of growth; funding, finance, poverty and debt; vested interests, corruption, conflicts of interest; lack of space; resistance to change, fear, unwillingness to move; the existence of multiple interconnected needs; cities having other priorities; governance issues; economic and/or political instability, etc. [3] [2] [5] \| Page 8 \| Mark Scheme \| Syllabus \| \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| Section B: The Physical Core Answer one question from this section. All questions carry 25 marks. Hydrology and fluvial geomorphology 7 (a) (i) Define the terms lag time and peak discharge. Lag time is the length of time (1) between the peak rainfall and peak discharge (1). Peak discharge is the time when the river (1) has its maximum amount of flow/ volume of water (1). A labelled diagram showing lag time and peak discharge – max 3 marks. (ii) Briefly explain how overland flow occurs. Overland flow occurs when infiltration capacity is exceeded (1); this can be due to intensity of rainfall/snow melt/antecedent moisture/impermeability of the surface (1) and it leads to the flow of water on the surface direct to the channel (1). For full marks, there needs to be a mention of precipitation input. (b) Using diagrams, explain how (i) rock type and (ii) vegetation can affect the storm hydrographs of a drainage basin. Many will see rock type, in simple terms, of impermeable rocks leading to a flashier response due to run off on impermeable rocks. Better answers will explain how variations in permeability lead to contrasts in rates and amounts of percolation, throughflow and baseflow movements. Similarly, vegetation will be seen by many as only affecting interception (trees v pasture) but consideration of vegetation cover or lack of it is also relevant leading possibly to a flashier response of the latter. Impact upon infiltration will be in better answers. If no diagrams used: max. 6 marks. For higher marks, there should be contrasts within both rock type and vegetation parts of the response, though there may be some imbalance between rock type and vegetation coverage. Most candidates will use diagrams of a storm hydrograph, but if a slope hydrological system is used, as long as the information in the diagram is related to the effects on the storm hydrograph, this is acceptable. Mark as 4/4. [4] [3] [8] \| Page 9 \| Mark Scheme \| Syllabus \| \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| (c) Explain why rivers flood. To what extent is it possible to predict floods and to prevent rivers from flooding? Rivers flood due to an excess of input into the catchment system due almost entirely to intense rainfall that is beyond the system's capacity. Rapid snow melt is another possibility. This produces overbankful conditions leading to inundation of surrounding areas such as flood plains. Other causes might be related to human activities, such as deforestation or urbanisation, which increase the risk of flooding, but there needs to be reference to inputs. Prediction can be undertaken by the calculation of recurrence intervals predicting 10 to 100-year floods. This is not very successful nor is catchment modelling as it is the unpredictable nature of rainfall input that is the problem. Discussion of weather forecasting is acceptable. Prevention methods might include dams, levees, straightening, dredging, etc. Changing catchment land use, e.g. afforestation and land use patterns are also relevant and might indicate a higher grade answer. The use of dams is the most successful preventative measure as it allows the control of discharge. Even here total prevention is not possible as reservoir capacity can be exceeded requiring the release of excess water into the channels below the dam. Overall, the other methods are less effective, but candidates might refer to transference of flood risk to downstream areas as a form of evaluation. Maximum Level 2 if only two elements covered. Level 3 Good appreciation of the cause and nature of flooding. Prediction and prevention methods are appropriately described and are evaluated clearly. Candidates are able to link the ideas together and demonstrate an understanding of the complexity of flooding and flood management. [8–10] Level 2 There may be a very basic explanation as to the cause of flooding, but prediction methods will be vague with little assessment, and methods of flood control will be sensibly described but with limited assessment. Level 1 Flood definition or focus upon the effects rather than causes. Little or no predictive methods and a description of some methods of flood prevention. No response or no creditable response, 0. [5–7] [1–4] [10] \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| Atmosphere and weather 8 (a) (i) Define the terms temperature inversion and dew. A temperature inversion is when temperature rises (1) rather than falls with altitude (1). Dew is water in the form of droplets (1), caused by condensation or cooling on exposed surfaces (1). Mark 2/2 (ii) Briefly explain how fog is formed. Fog is formed by cooling of warm moist air (1), leading to condensation of the water vapour (1). The cooling may be the result of either radiation from the ground surface at night time/the movement of warm, moist air over a cold surface (advection) (1). Any three valid points, from the above breakdown could score full marks. (b) Using diagrams, explain why the amount of incoming solar radiation received at the Earth's surface changes with latitude. This is because of the Earth's tilt and its seasonal passage around the sun. This can be shown effectively by diagrams. It leads to variations in the angle of incidence for solar radiation at the earth's surface and variations in the amount of atmosphere passed through. Within the tropics, uplift associated with the movement of the ITCZ can give increasing cloudiness to equatorial areas compared to sub-tropical areas. If no diagrams used: max. 5 marks. Only one diagram is acceptable. A higher level response has relevant diagrams and quite clearly considers spatial variations in radiation received at the earth's surface. Use three bands of marks: 1–3, 4–6 and 7–8. No response or no creditable response, 0. [4] [3] [8] \| Page 11 \| Mark Scheme \| Syllabus \| Paper \| \|---\|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| 11 \| (c) Explain how atmospheric stability and atmospheric instability occur. How can these conditions produce different weather? Atmospheric stability occurs when the rate of temperature change as represented by the ELR is always warmer than that of a rising parcel of air. Thus the parcel will sink back down to the surface resulting in little uplift or adiabatic cooling. In the case of instability, the DALR of the air parcel makes it warmer than the environmental air so that the parcel will expand, becoming less dense and thus rise until adiabatic cooling reaches dew point. If it continues to rise at the SALR, clouds may form, giving rise to the possibility of rainfall. In the case of stability, the lack of uplift and adiabatic cooling limits any cloud or rainfall development. Much can be achieved with accurate labelled diagrams of lapse rates. Candidates might offer explanation as to the conditions which promote stability or instability, such as cooling from below for stability or heating from below for instability. They might also refer to diurnal variations in heating and cooling. They might outline the link between cyclonic or anticyclonic conditions and variations in stability or select factors such as the moisture content of air as important variables. Level 3 Good understanding of the role of lapse rates and/or an appreciation of why stability might vary, probably represented by good diagrams. A clear contrast and understanding of weather associated with variations in stability. [8–10] Level 2 Some grasp of adiabatic cooling and its importance in instability or the causes of variations in stability. Lapse rates less clearly developed. Weather contrasts described briefly. [5–7] Level 1 Little understanding of atmospheric stability. Simple weather contrasts. No response or no creditable response, 0. [10] [1–4] \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| Rocks and weathering 9 (a) (i) Define sea floor spreading and ocean ridge. Sea floor spreading is the extension of ocean floors laterally, as oceanic plates move apart (1) and magma is added to the ocean floor (1). An ocean ridge is a (large scale) mid-ocean elevation/mountain range, (1) typically with a rift along the spine/central ridge/where magma escapes (1). (ii) Describe an island arc. A chain of islands/archipelago (1), generally in a curved line (1), usually volcanic close to or parallel to a destructive plate margin/convergent oceanic plates (1). (b) Draw a labelled diagram showing the convergence of an oceanic plate and a continental plate. Explain the processes occurring and the types of landforms produced. The diagram should show an oceanic plate being subducted beneath a continental plate with attendant volcanic, ocean trench and fold mountains. Explanation should involve the role of convection currents, crustal melting in the Benioff zone and the upwelling of magma through fissures and faults in the continental plate and folding of marine sediments/continental plate to form fold mountains. The ocean trench represents the dragging downward of crust at the subduction zone. If no diagram: max 5 marks. A higher band response could be characterised by a well labelled diagram and will link processes to a variety of specific landforms. Use three bands of marks: 1–3, 4–6 and 7–8. No response or no creditable response, 0. [4] [3] [8] \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| (c) Explain the factors and processes that are most effective in the weathering of granite and limestone. [10] The most effective processes are those that operate with the properties of the rocks and the climate. Thus chemical weathering can be seen as most effective with carbonation in the case of limestone and hydrolysis in the case of granite. These processes should be explained with reference to the role of water supply, temperature and rock structure. Physical weathering will be seen as effective under some climatic conditions (e.g. freeze thaw) where rock structure aids the process. A case may be made for pressure release and the formation of joints in the rock. If only one rock type max 6 marks. Level 3 A detailed explanation of the relevant factors with attention given to the effectiveness of weathering and the conditions required. Good grasp of both physical and chemical processes as they apply to the physical and chemical properties of both granite and limestone. [8–10] Level 2 Outline of factors and weathering processes with some application to granite and limestone. Little attention to their effectiveness. Imbalanced towards one rock type and/or lacking in factors. Level 1 Little understanding of either weathering processes or the nature of the rock types. No response or no creditable response, 0. [5–7] [1–4] \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| Section C: The Human Core Answer one question from this section. All questions carry 25 marks. Population 10 (a) (i) Explain the meaning of the term infant mortality rate. Number of deaths of babies/children who die/under the age of 1 year/ per 1000 live births or % /per year or annum For one correct element 0, for two 1, for three 2, all four 3. (ii) Give two reasons why infant mortality rates are very low in MEDCs. [3] [4] Credit two developed reasons; these may include quality and access to healthcare, nutrition, maternal health, information, immunisation/ eradication of diseases, relative affluence, etc. (b) Explain why improving the education of women helps to reduce their fertility rate. [8] A number of links may be developed. Two key reasons are: education means that women's literacy and awareness improve, so that they understand themselves and contraception better and can make informed choices. Being empowered in this way, many choose to space their children and have fewer in total, so the fertility rate decreases. Education also increases aspiration and opportunity for women. This may lead to further study and or employment/a career. Both limit the time women can give to child raising and help some see the advantages of having a small family of one or two children, so fertility rate is reduced. Use three bands of marks: 1–3, 4–6 and 7–8. \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| (c) With the help of an example, assess the success of one attempt to manage natural increase. [10] Attempts will probably be in terms of either anti-natalist or pro-natalist schemes but attempts to manage death rates are acceptable. China and Singapore will probably be popular but there are other creditable schemes. Success may be differentiated by group, over time, between locations, etc., considered in terms of aims realised, use of finance, views of different stakeholders, etc. Candidates will probably: Level 3 Provide an effective assessment of success. Offer detailed exemplar support and structure the response well. Level 2 Show satisfactory knowledge and understanding of the chosen attempt and in a reasonable response which may be good in parts. Assessment is present, but limited in depth and/or detail. Level 1 Make only a few basic descriptive points. Offer little or no assessment of success. Fragments and notes could occur at this level. No response or no creditable response, 0. [8–10] [5–7] [1–4] \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| Migration/Settlement dynamics 11 (a) (i) With the help of a diagram, explain the term stepped migration . [4] Stepped (or step) migration is when a rural migrant heads first for a familiar small town which is relatively close by, and makes one or more later moves up the settlement hierarchy, e.g. to a regional centre and then on to the capital city. Stepped migration may also happen in reverse. If no diagram: max 2 marks. (ii) Give two reasons why stepped migration occurs. It occurs to reduce the risks involved and to help the migrant on his/her way, by offering smaller steps which may be easier to achieve. It allows money to be saved up and information to be gathered for the next step, etc. No credit for simple explanation of migration. Credit reasons 1 or 2 to the maximum. (b) Outline the impacts of rural-urban migration on the rural areas which the migrants leave. Much depends on context; better answers may either give detail using examples or convey some sense of diversity of outcomes. For example, rural-urban migration may relieve population pressure and pressure on resources, and provide a flow of remittance income, so improving quality of life in the rural areas. On the other hand, it may involve many young able-bodied people, especially males, leaving children without fathers, and a small agricultural workforce consisting of women and the elderly. This may lead to insecurity, family breakdown, food shortage, etc. In MEDCs, rural-urban migration may lead to reduction or closure of rural services such as shops, schools and transport and change in the character of villages with an older age profile, a greater proportion of second homes, etc. . Use three bands of marks: 1–3, 4–6 and 7–8 [3] [8] \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| (c) 'The effects of counterurbanisation in MEDCs are positive.' How far do you agree? [10] Counterurbanisation is the movement of people out from urban areas to villages and hamlets (allow market towns) in the rural fringe. A simple assessment is invited. Any view may be taken and evidence offered. For example, it may be seen as positive for family life, but negative for the environment (house building and the effects of commuting – congestion, pollution, new roads, etc.). May consider both ends of the process; for example, that it is positive for the urban area, but negative for the rural one. Candidates will probably: Level 3 Make an effective assessment of the statement, covering positive and negative explicitly. Combine exemplar content with conceptual understanding of counterurbanisation. Level 2 Provide a sound response which may be good in parts, but which is limited through lack of detailed knowledge, restricted understanding of counterurbanisation or partial assessment. Level 1 Give an answer which is largely descriptive and may be general. May offer a simple or unsupported assessment. Have the knowledge or time to make only a basic or note-form response. No response or no creditable response, 0. [8–10] [5–7] [1–4] \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| Settlement dynamics 12 (a) Describe what functional zonation is and explain why it occurs in urban areas. Functional zonation is seen in urban areas where some functions cluster in certain parts of the town or city. Zonation can also occur in a vertical sense. Examples in CBDs in MEDCs are high class retail, shoe shops, solicitors, etc. Zones may also be industrial, transport, entertainment, etc. 2/3 Creditable reasons could include: * attraction of like functions to increase custom * the operation of bid-rent and spatial competition * comparison behaviour, such as comparison shopping * linkages, e.g. efficiency of doing business with each other * planning decisions * accessibility * social factors * physical factors * other/local reasons 5/4 A full response to this element could consist of two well developed points. (b) With the help of examples, explain why retailing and other services may move out from the CBD to locations near the edge of the urban area. A full explanation combines examples with the disadvantages of central locations and the advantages of peripheral ones. Balance is not needed. disadvantages high costs, inconvenience, congestion, poor access, lack of (CBD) room to expand, lack of parking for customers, crime, etc. advantages lower bid-rent, savings on journey times, route nodes and (edge) junctions give good access, available space (expansion, car parking, storage, etc.), greener site, relative quiet, purpose-built retail park or estate, attracts custom from wider area, etc. The question could be answered by considering enabling factors such as changes in planning, transport, communications. If no examples: max 5 marks. Use three bands of marks: 1–3 , 4–6 and 7–8 . Beware double crediting ‘opposites’. [7] [8] \|---\|---\|---\| \| \| Cambridge International AS/A Level – May/June 2015 \| 9696 \| (c) Assess the success of one attempt to provide infrastructure (power, water, sanitation, transport) for a city. [10] The question can be answered in a number of ways, such as an attempt by one city to provide all four elements, provision of one element in a city, or one element in a number of cities. Success criteria include efficiency, cost/benefit, unforeseen effects and problems, outcomes for different stakeholders and/or for different parts of the city, etc. Candidates will probably: Level 3 Develop a perceptive assessment of what was (and was not) achieved, with strong understanding of the context and exemplar detail. [8–10] Level 2 Make a satisfactory but limited response, which may be quite general and explanatory. The assessment may be appropriate but partial or broad. [5–7] Level 1 Make a few basic points about the chosen attempt. Struggle to make an assessment or offer a simple unsupported opinion. Notes and fragments remain in this level. [1–4] No response or no creditable response, 0.
⃝ c ONEMA, 2010 DOI: 10.1051/kmae/2010029 Patterning and predicting aquatic insect richness in four West-African coastal rivers using artiﬁcial neural networks E.O. Edia (1) , M. Gevrey (2) , A. Ouattara (1) , S. Brosse (2) , G. Gourène (1) , S. Lek (2) Received May 4, 2010 / Reçu le 4 mai 2010 Revised August 3, 2010 / Révisé le 3 août 2010 Accepted August 5, 2010 / Accepté le 5 août 2010 ABSTRACT Key-words: insect richness, artiﬁcial neural network, prediction, coastal rivers, West Africa Despite their importance in stream management, the aquatic insect assemblages are still little known in West Africa. This is particularly true in South-Eastern Ivory Coast, where aquatic insect assemblages were hardly studied. We therefore aimed at characterising aquatic insect assemblages on four coastal rivers in South-Eastern Ivory Coast. Patterning aquatic insect assemblages was achieved using a Self-Organizing Map (SOM), an unsupervised Artiﬁcial Neural Networks (ANN) method. This method was applied to pattern the samples based on the richness of ﬁve major orders of aquatic insects (Diptera, Ephemeroptera, Coleoptera, Trichoptera and Odonata). This permitted to identify three clusters that were mainly related to the local environmental status of sampling sites. Then, we used the environmental characteristics of the sites to predict, using a multilayer perceptron neural network (MLP), trained by BackPropagation algorithm (BP), a supervised ANN, the richness of the ﬁve insect orders. The BP showed high predictability (0.90 for both Diptera and Trichoptera, 0.84 for both Coleoptera and Odonata, 0.69 for Ephemeroptera). The most contributing variables in predicting the ﬁve insect order richness were pH, conductivity, total dissolved solids, water temperature, percentage of rock and the canopy. This underlines the crucial inﬂuence of both instream characteristics and riparian context. RÉSUMÉ Assemblage et prédiction de la richesse taxonomique de l'entomofaune de quatre rivières de la côte ouest-africaine par des réseaux de neurones artiﬁciels Mots-clés : richesse taxonomique des insectes, réseau de neurones artiﬁciels, rivières côtières, Malgré leur importance dans la gestion des hydrosystèmes, les insectes aquatiques restent peu connus en Afrique de l'Ouest et particulièrement dans le Sudest de la Côte d'Ivoire. Cette étude vise donc à caractériser les assemblages des insectes aquatiques dans quatre rivières côtières du Sud-est ivoirien. La méthode non supervisée des réseaux de neurones artiﬁciels, cartes auto-organisatrices (SOM), a été utilisée pour établir le patron de distribution des cinq ordres les plus diversiﬁés. Elle a permis d'identiﬁer trois clusters qui sont principalement en relation avec les conditions environnementales des sites d'échantillonnage. L'algorithme de rétropropagation (BP), qui est un réseau de neurones supervisé, a servi (1) Laboratoire d'Environnement et de Biologie Aquatique, U.F.R.-S.G.E., University of Abobo-Adjamé, 02 BP 801 Abidjan 02, Ivory Coast, email@example.com (2) Laboratoire Évolution Diversité Biologique, U.M.R. 5174, C.N.R.S. – University Paul Sabatier, 118 route de Narbonne, 31062 Toulouse Cedex 4, France Article published by EDP Sciences Afrique de l'Ouest à la prédiction de la richesse taxonomique des cinq ordres d'insectes à partir des caractéristiques environnementales des sites et a montré une forte prédictibilité (0,90 pour les Diptères et Trichoptères, 0,84 pour les Coléoptères et Odonates, 0,69 pour les Éphéméroptères). Les variables environnementales qui contribuent signiﬁcativement à la prédiction de la richesse taxonomique des insectes aquatiques étaient le pH, la conductivité, le taux de solides dissous, la température de l'eau, le pourcentage de bloc et la canopée. Ces résultats traduisent l'effet combiné des caractéristiques des cours d'eau et de la zone riveraine sur cette communauté. INTRODUCTION In lotic ecosystems, the species composition of invertebrate community depends on the diversity and stability of stream habitats (Cummins, 1979) which provide ecological niches for the development of species (Malmqvist and Otto, 1987). Thus, understanding community patterns is important to manage target ecosystems. Therefore, macroinvertebrates are widely used as indicators of short- and long-term environmental changes in running waters (Hawkins et al., 2000). They provide both a facility for examining temporal changes and integrating the effects of prolonged exposure to intermittent discharges or variable concentrations of pollutants (Hellawell, 1986). Thus, it is promising to characterize the changes occurring in these macroinvertebrate communities to assess target ecosystems exposed to environmental disturbance. Species richness is commonly used as an integrative descriptor of the community (Lenat, 1988). It is inﬂuenced by natural and/or anthropogenic disturbances (Rosenberg and Resh, 1993). Indeed, Resh and Jackson (1993) observed that species richness measures were sensitive to the impact of human activities on the stream ecosystems, particularly aquatic insects, which can be considered as good biological indicators of stream disturbances (Norris, 1995; Wright et al., 1995). Despite their importance in stream ecosystems, aquatic insects are little studied in West Africa (Yaméogo et al., 2004). In Ivory Coast, only a few studies have been devoted to macroinvertebrate fauna (Dejoux et al., 1981; Sankaré, 1991; Diomandé, 2001; Diétoa, 2002; Edia et al., 2007). Among them, three were conducted in South-East of Ivory Coast. These studies only described the assemblage pattern of macroinvertebrate fauna of some rivers of this area (Diomandé, 2001; Diétoa, 2002; Edia et al., 2007). In this work, we focussed on four small coastal rivers which play an important role for local human populations in South-East Ivory Coast, like most coastal rivers of Ivory Coast where water is used for domestic activities (drinking, cooking, bathing...), agriculture (irrigation, cattle drinking) and ﬁsheries. It is therefore important to manage these streams in order to preserve water quality and the diversity of biological communities. Such management requires the knowledge of how environmental variables affect the richness and the taxonomic structure of these communities (Smogor and Angermeier, 1999). Traditionally, conventional multivariate analyses have been applied to solve these problems (Legendre and Legendre, 1998). But using diverse species assemblages such as macroinvertebrates, we have to deal with ecological data that are bulky, nonlinear and complex, showing noise, redundancy, internal relations and outliers (Lek and Guégan, 2000). Artiﬁcial neural networks are known as well-adapted tools for dealing with such problems and to extract information out of complex, nonlinear data. These methods are more and more used for patterning assemblages (Worner and Gevrey, 2006; Brosse et al., 2007; de Thoisy et al., 2008) and predicting occurrence and/or abundance of various taxa (Gevrey et al., 2005; Leprieur et al., 2006). The aim of our study was ﬁrst to pattern aquatic insect distribution so as to determine characteristic assemblages for the different sites and rivers. Then, it was to build a predictive model able to predict aquatic insect richness using environmental descriptors of the sites, and ﬁnally determine the relative importance of environmental determinants on the richness and the composition of aquatic assemblages. MATERIALS AND METHODS > STUDY AREA The study was undertaken in four coastal rivers located in the South-East of Ivory Coast: Soumié, Eholié, Ehania and Noé rivers (Figure 1). In each of these coastal rivers, two sampling sites were retained: one upstream and the other downstream (Figure 1). Table I summarizes environmental characteristics of these sites. > AQUATIC INSECT AND ENVIRONMENTAL VARIABLE COLLECTION Samples were collected during eight campaigns (between July 2003 and March 2005) at each sampling site between 08 and 10 a.m. Aquatic insects were sampled by means of drift net (mesh size: 250 µm) and hand net (mesh size: 250 µm). Drifting organisms were collected using a drift net suspended from a hand held rope. For the hand net, samples were taken by submerging the net and sweeping it through the water column for a distance of 10 m. The net was also bumped against the bottom substrate to dislodge and collect organisms from the sediment. Two replicate samples were collected at each site and at each date. The samples were ﬁxed in 10% formaldehyde. The three samples (1 by drift net and 2 by hand net) at each site and each campaign were pooled for analysis. In the laboratory, specimens were sorted and identiﬁed to the lowest possible taxonomic level by means of the keys in Dejoux et al. (1981), Day et al. (2002), de Moor et al. (2003a, 2003b), and Stals and de Moor (2007), and by consulting specialists. At each campaign, each sampling site was characterized by measuring water temperature (TW), pH, conductivity (CND), total dissolved solids (TDS) and dissolved oxygen (DO) with portable sensors. Secchi disk transparency (Trans) measured using a 20-cm-diameter Secchi disk. Canopy and percentage of four substrata (rock, gravel, sand and clay/mud) were once visually assessed according to Gordon et al. (1994) methodology. > MODELLING PROCEDURE The modelling procedure was conducted in two steps. First, the Self-Organizing Map (SOM) (Kohonen, 1982) was used to cluster the samples according to species richness similarities. Secondly, a multilayer perceptron (MLP) using backpropagation algorithm (BP, Rumelhart et al., 1986) was used to predict the species richness (output variable) depending on environmental data (11 input variables). The SOM neural network is composed of two layers of neurons: the input neurons linked to the samples and the output neurons which represent the map. This map consists of a certain number of neurons which are usually arranged into two dimensional grids in order to better visualization. In each of these output neurons there are virtual samples. The main concept of the SOM algorithm is based on a sequential computation of the Euclidean distance between samples and each virtual sample. At the end of the learning process, each sample is set in the neuron of the SOM for which the distance was the lowest. Neurons that are neighbours on the grid are expected to represent neighbour clusters of samples. The detailed algorithm of the SOM can be found in Kohonen (2001) for theoretical considerations and in Chon et al. (1996), Lek and Guégan (1999) for ecological applications. In this study, 64 samples were classiﬁed according to the number of macroinvertebrate orders per site and per campaign using the SOM. Five insect orders (Diptera, Ephemeroptera, Figure 1 Localisation de la zone d'étude montrant les quatre rivières étudiées. Les points noirs indiquent les sites d'échantillonnage sur les quatre rivières. Au niveau des noms des stations, la lettre indique le nom de la rivière (S : Soumié ; E : Eholié; Eh : Ehania; N : Noé) et le chiffre montre la position de la station sur la rivière (1 = amont et 2 = aval). Coleoptera, Trichoptera and Odonata) were retained because they were major components of the aquatic insect fauna of the studied rivers (see Appendix). A cluster analysis with the Ward algorithm can be used on the trained SOM to deﬁne the output neurons which are similar enough to be considered in the same cluster. To assess whether aquatic insect assemblages associated with each cluster were related to spatial factor (i.e. undisturbed and disturbed areas), we applied a proportion test based on χ 2 likelihood ratio statistics (i.e. G-test with Yates' correction, Zar, 1999). This test was regarded as signiﬁcant at the level p < 0.05. The BP structure was made up of a three-layered feed-forward network with information ﬂowing from the input to the output layer. The input nodes comprised the environmental variables recorded per site and per campaign (64 samples) and the output node corresponded to the genus richness of each order. The information ﬂow was represented by changing weights. A typical sigmoid function was used as the transfer function. Training was carried out by changing the weights according to the prediction errors until the generalisation error reached the global minimum (i.e. early-stopping). As the number of observations was not enough for splitting the data into training and testing sets, the BP was instead trained with the leaveone-out method (Kohavi, 1995). It consists of considering each observation (i.e. a sample) as a unique piece of information, repeating the estimation n – 1 times. The leave-one-out method is testing technique frequently employed in ecology (Lek et al., 2000). The BP algorithm was written by the authors using Matlab ® platform. The detailed algorithm of the BP can be found in Rumelhart et al. (1986) for theoretical considerations and in Lek and Guégan (1999) for ecological applications. An important issue in model evaluation is determining the relative contribution (i.e. explanatory importance) of each predictive variable. To do this, the partial derivatives (PaD) algorithm was used (Gevrey et al., 2003). Five hundred models were set up for each of the ﬁve studied aquatic insect orders. The average and the standard error of the contribution were calculated for each environmental variable. In this study, an environmental descriptor was regarded as signiﬁcant to the model when its contribution was at least 10% (Brosse and Lek, 2002). RESULTS > CLASSIFICATION OF SAMPLES USING SOM The non-linear projection of the dataset in two dimensional space allowed us the classiﬁcation of our samples according to Diptera, Ephemeroptera, Coleoptera, Trichoptera and Odonata richness (Figures 2A and 2B). The units of the SOM map were classiﬁed into three different groups (I, II and III) based on the cluster analysis with Ward algorithm (Figure 2B). The grey scale displays different clusters on the SOM map (Figure 2A). Clusters I and II mainly consisted of samples from sites which are relatively exempt from disturbance (S1, S2, E1, Eh2) and cluster III of sites (E2, Eh1, N1, N2) which are the most disturbed by anthropogenic activities, such as agricultural and domestic activities, as they are located close to populated areas. The test of proportion conﬁrmed this result. Indeed, samples from clusters I and II were signiﬁcantly related to relatively undisturbed areas, whereas those from cluster III were signiﬁcantly related to relatively disturbed areas. Figure 3 displays component of each order richness (Diptera, Ephemeroptera, Coleoptera, Trichoptera and Odonata) in each neuron on the trained map in grey scale. Dark areas represent high richness, while light ones reveal low richness. Overall, bottom areas of the SOM map showed the highest aquatic insect richness, whereas top areas had low richness. Samples in cluster I had high Diptera and Odonata richness with moderate richness for other insects. Samples in cluster II had high numbers of Ephemeroptera, Coleoptera and Trichoptera genera, along with moderate richness for Diptera and low richness for Odonata. Cluster III had moderate richness of Diptera and Odonata with low richness for other taxa. Cell numbers Figure 2 A) Samples classiﬁcation according to Diptera, Ephemeroptera, Coleoptera, Trichoptera and Odonata genus richness, using the SOM. The latin numbers (I–III) represent different clusters. The arabic numbers (1–20) represent the SOM units. The arrow indicates the level of disturbance. B) Hierarchical classiﬁcation of SOM units using Ward's algorithm. The numbers correspond to the cell numbers of the map in Figure 2A. Figure 2 A) Classiﬁcation des échantillons sur la base de la richesse générique des Diptères, Ephéméroptères, Coléoptères, Trichoptères et Odonates à partir de la SOM. Les chiffres romains (I–III) représentent les différents clusters. Les chiffres arabes (1–20) représentent les unités de la SOM. La ﬂèche indique le degré de perturbation des stations. B) Classiﬁcation hiérarchique des unités de la SOM à partir de la méthode Ward. Les chiffres correspondent aux numéros des cellules de la carte sur la Figure 2A. Figure 3 Visualization of each order richness calculated in the trained SOM in grey scale. Dark represents high value richness, while light is low value richness. Figure 3 Visualisation de la richesse taxonomique de chaque ordre calculée par la SOM. Les parties sombres représentent une richesse élevée ; les claires indiquent les faibles richesses. > PREDICTION OF AQUATIC INSECT RICHNESS The results from BP training showed accuracy in predicting the overall aquatic insect richness on the basis of the environmental variables. Indeed, on the set of the 64 samples, correlation coefﬁcient between observed and estimated values was 0.90 for both Diptera and Trichoptera richness. There was also high correlation between observed and estimated values (0.84) both for Coleoptera and Odanata. For Ephemeroptera, the correlation coefﬁcient between observed and estimated values was 0.69. In terms of ecological information extracted from the BP model, the result of the PaD algorithm stress the importance of the environmental variables in the prediction of the ﬁve aquatic insect orders. The importance of contribution in percentage for each descriptor after applying the partial derivatives method is given in Figure 4. Five parameters governed the Diptera richness: pH, conductivity, dissolved oxygen, percentage of rock and canopy. With exception of pH, these variables were turned out to be signiﬁcant in predicting Ephemeroptera richness. However, the conductivity was the most contributing parameter in the prediction of this order. Moreover, in decreasing order, dissolved oxygen, transparency, total dissolved solids, and percentage of rock were meaningful in the Coleoptera prediction. In the same order, the main variables which determine the Trichoptera richness were water temperature, conductivity and transparency. Concerning the Odonata richness, pH was the most contributing variable. It was followed by water temperature, canopy, conductivity and total dissolved solids. Percentage contributions of each of the eleven independent variables to the prediction of each aquatic insect order, obtained by partial derivatives algorithm. The dotted line represents the signiﬁcance level 10%). The environmental variables are: water temperature (TW), pH, conductivity (CND), total dissolved solids (TDS), transparency (Trans), dissolved oxygen (DO), canopy and percentages of four substrata: rock, gravel, sand and clay/mud. Bars indicate the mean value of the results of the 500 models for each order; horizontal lines represent standard errors of the mean. Pourcentage de contribution des variables environnementales dans la prédiction de chaque ordre d'insectes aquatiques obtenu par l'algorithme des dérivées partielles. La ligne en pointillés indique le niveau de signiﬁcativité des contributions (i.e. 10 %). Les variables environnementales sont la température de l'eau (TW), le pH, la conductivité (CND), le taux de solides dissous (TDS), l'oxygène dissous (DO), la canopée et les pourcentages des quatre substrats : roche, gravier, sable, argile/limon. La barre indique la valeur moyenne des résultats des 500 modèles pour chaque ordre; les lignes horizontales Figure 4 représentent les erreurs standard de la moyenne. DISCUSSION Samples clustering by the SOM can mainly be afforded to the impact of anthropogenic ac- tivities. For example, the samples gathered in cluster III are mainly from the sites which are the most disturbed by anthropogenic activities (agricultural and domestic activities), as they are located close to populated areas. On the other hand, samples gathered in clusters I and II are mainly from the sites which are relatively exempt from disturbance. These anthropogenic disturbances affect some environmental variables such as conductivity and total dissolved solids in these areas and potentially reduce the aquatic insect diversity (Azrina et al. , 2006 ). The supervised artiﬁcial neural network (MLP) showed a high accuracy in predicting the overall orders richness on the basis of the environmental variables. This accuracy may be explained by ability of the MLP to deal with nonlinear and complex data such as ecological data (Lek et al. , 1996 ; Gevrey et al. , 2005 ). Moreover, the MLP model, with help of sensitivity analysis, revealed the relative importance of each environmental variable in structuring aquatic insect richness. The most contributing variables in predicting aquatic insect richness can be gathered into chemical variables (pH, conductivity, total dissolved solids and dissolved oxygen) and physical parameters (water temperature, percentage of rock and canopy). Our results were ecologically congruent. Indeed, the pH, the conductivity and the total of dissolved solids which express water mineralization level are linked to nutrient accumulation (Galdean and Staicu, 1997). The nutrient accumulation which is related to the landscape disturbance (Freeman et al., 2007), is known to control the dissolved oxygen ratio through the algal growth (Turner and Rabalais, 1994; Justic et al., 1995). The high nutrient accumulation in aquatic systems is accompanied by the increase of acidity, conductivity and total dissolved solids and by the decrease of dissolved oxygen. This accumulation affects energy ﬂow of aquatic systems and causes the decline of biodiversity (Wiederholm, 1984; Schindler, 1990). Concerning the physical variables, the contribution of water temperature in predicting aquatic insect richness was, in ecological view, relevant. Indeed, water temperature is an important indicator of watershed vitality because of its controlling inﬂuence on the metabolism, development and activity of aquatic organisms (Naiman et al., 1992). The importance of the percentage of rock and the canopy in the model was also reliable. The presence of rock in streambed offers potential refugia to macroinvertebrates (Gayraud, 2001). This fact limits the organism drift able to modify the macroinvertebrate assemblage (Townsend, 1989). Moreover, according to Matthaei et al. (1999), streambed instability is known to inﬂuence macroinvertebrate diversity. It is recognized that the riparian vegetation plays a main rule in food availability in tropical streams (Benstead et al., 2003). Moreover, plant communities in riparian areas help to determine what, how much, and when materials from upland areas enter the stream ecosystem. For example, a wide, mature riparian forest will capture many soils and sediments, nutrients, and woody debris, adding richness and complexity to soil and plant communities near the water and protecting water from excessive nutrient or soil inputs (Lowrance et al., 1986). So, riparian areas and consequently the structure, functions and processes occurring within and around the stream, are fundamentally altered when signiﬁcant upland and riparian vegetation is removed. The Rapid Bioassessment Protocols are being applied in many countries with success, optimizing time and resources in sample methodologies. Unfortunately, in tropical developing countries like Ivory Coast, there is a lack of basic knowledge on taxonomics and distribution patterns for macroinvertebrates. Thus, more studies are needed to understand the tropical benthic community structure better. Afterwards, we will probably be able to adapt and develop our own biotic indices and many other important metrics for water quality evaluation. ACKNOWLEDGEMENTS This study was funded by the partnership between the FEM/ONG and the CREPA-CI (Regional Centre for Drinking Water and Sanitation at Low Cost – Ivory Coast) directed by Prof. Théophile Gnagne. 06p10 We are grateful to Alain Thomas (Université Paul Sabatier, Toulouse, France) and Jean-Luc Gattolliat (Musée Cantonal de Lausanne, Suisse) for their help in aquatic insect identiﬁcation. We thank also anonymous reviewers which provided helpful comments on the manuscript. REFERENCES Azrina M.Z., Yap C.K., Rahim Ismail A., Ismail A. and Tan S.G., 2006. 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Biostatistical Analysis, 4th edition, NJ Prentice Hall, Englewoods Cliffs, New Jersey, 662 p. 06p13 Appendix. List of the aquatic insect taxa found at the eight sampling sites. * Indicates the presence of taxa. Appendice. Liste des insectes aquatiques collectés aux huit stations. * Indique la présence des taxons. Soumié Eholié Ehania Noé 06p14 Appendix. (Continued.) Appendice. (Suite.) Soumié Eholié Ehania Noé 06p15
research-article 993531 research-article2021 Program, Practice, Innovation Effects of Behavioral and Functional Training on Japanese Preschool Teacher Knowledge and Child Behavior Masahiko Inoue, MEd 1 and Naho Inoue, MEd 1 Abstract We conducted a school-wide training for Japanese preschool teachers based on the behavioral and functional approach to children with problem behaviors. Twenty-five Japanese teachers at a kindergarten and nursery school participated in the program, attending six training sessions and four case-study meetings. The training sessions consisted of lectures on behavioral and functional approaches, and group work to develop individual support plans. Following training, teachers' knowledge of applied behavior analysis improved, as well as children's behaviors targeted in the training plans. In addition, the overall behavior of the children improved, and the postprogram questionnaire showed that participants' satisfaction and acceptance were high. A case-study meeting had been maintained weekly at both schools for 1 year. Although these results are promising, the current investigation has limitations, and the results should be interpreted with caution. Keywords preschool children, problem behaviors, developmental disorders, functional approach, teacher training, Japanese kindergarten, nursery Problem behavior in preschoolers is a critical issue, as preschool may be the child's first experience of group care and education. Some studies suggest that about 10% of preschoolers exhibit noticeable problem behaviors, with 4% to 6% of this population exhibiting serious behavioral difficulties (Raver & Knitzer, 2002). Evidence suggests that when children show behavioral problems in preschool, they are more likely to have the same problems later and/or to be diagnosed with disorders (Bayat et al., 2010). Therefore, education and welfare services have to be committed to preventing problem behaviors and implementing necessary interventions to support young children (Dunlap et al., 2006). As many studies in this field are conducted in the United States and the United Kingdom, examining support systems that correspond to the Japanese education and welfare system (Inoue, 2019) is necessary. In Japan, the law for people with developmental disorders requires the support of students with autism spectrum disorder (ASD) or other developmental disorders in accordance with individuals' special educational needs in regular nursery schools and kindergarten classes. All teachers need to be able to learn about the characteristics of these disorders and respond to problem behaviors, and there is a need for effective preschool teacher training programs that enable this. In recent years, many psychosocial approaches have been studied to address problem behaviors in individuals with ASD and intellectual disorder (ID). Behavioral and functional approaches to addressing problem behaviors are recognized as an evidence-based intervention strategy in many reviews of the literature on the respective subjects (Heyvaert et al., 2014; Machalicek et al., 2007). Behavioral and functional approaches incorporated by schools in many districts and school systems in North America and Europe are referred to as Positive Behavioral Interventions and Supports (PBIS; Sugai & Horner, 2006). The School-Wide Positive Behavioral Intervention and Support (SW-PBIS; Sugai & Horner, 2006) is a data-based decision-making system that uses a multitiered approach to match the intensity of the interventions with the needs of students. SW-PBIS integrates universal behavioral strategies focused on prevention and a functional approach at the top tier. Recently, many evidence-based studies have been conducted regarding class-wide interventions in preschools. The Class-Wide Function-Related Intervention Teams (CW-FIT; Wills et al., 2009) is an intervention package that can be a part of 1Tottori University, Yonago, Japan Corresponding Author: Masahiko Inoue, Department of Clinical Psychology, Graduate School of Medical Sciences, Tottori University, 86 Nishi-cho, Yonago 683-8503, Japan. Email: email@example.com Action Editor: Mandy Rispoli https://doi.org/10.1177/1098300721993531 Journal of Positive Behavior Interventions 1–12 © Hammill Institute on Disabilities 2021 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/1098300721993531 jpbi.sagepub.com SW-PBIS in classroom settings. Behavioral, Emotional, and Social Training: Competent Learners Achieving School Success (BEST in CLASS; Vo et al., 2012) is a manualized classroom-based intervention as a Tier 2 intervention supporting early childhood teachers' use of effective instructional practices with young, high-risk children (Conroy et al., 2014). It promotes positive teacher–child interactions, enhances child engagement, increases learning opportunities, and decreases the occurrence of problem behaviors (Vo et al., 2012). However, a comprehensive and systematic teacher training for behavioral problems based on the behavioral and functional approach is not popular in Japan to date. It is necessary to consider the Japanese education system and culture when examining programs based on these behavioral and functional approaches. In Japan, preschool education is divided into kindergarten and nursery schools, which operate under different laws and systems. Kindergartens fall under the authority of the Ministry of Education, Culture, Sports, Science, and Technology, whereas nursery schools fall under the Ministry of Health, Labor and Welfare. Children with disabilities may attend a child development support center, or they may attend both the support center and kindergarten or nursery school. Currently, itinerant consultation is the main system of support for children with disabilities in Japan. Through itinerant consultation, direct support is provided to the child and to the child care workers. However, there is no unified style of itinerant consultation, and various styles are implemented depending on variables related to each local government, preschool, and consultant area of specialization (Gondo, 2006). Despite its limitations as a support system, it is important to investigate the feasibility of a teacher training program based on a behavioral and functional approach to behavioral problems within an itinerant consultation approach (Inoue & Oda, 2020). In this study, the effects of a Japanese preschool teacher training program based on a behavioral and functional approach were examined in a kindergarten and nursery school. The purpose of this study was to evaluate the effectiveness of this program for homeroom teachers of children in inclusive regular classes who had or were suspected of having developmental disorders. We conducted a group staff training program for teachers working in preschools in Japan, consisting of lectures on behavioral and functional approaches to behavioral problems, individual support plans in group work, and case studies. Research questions regarding the effectiveness of this program were the following: Research Question 1: Will participating teachers improve their knowledge of behavior analysis? Research Question 2: Are there any improvements in the targeted problem behaviors and adaptive behaviors for which the support plan was implemented? Research Question 3: Will untargeted behavioral problems, difficulties, and adaptive behaviors be improved? Research Question 4: Will the teacher training program result in differentiated teacher and child outcomes across the kindergarten and nursery school settings? Research Question 5: After 1 year, could a voluntary case-study meeting conducted by only teachers be maintained? Method Participants Twenty-five teachers employed at a private kindergarten and private nursery school (13 at Kindergarten A and 12 at Nursery School B) participated in this study. The two preschools were in the same district and were itinerantly consulted by a supervisor 3 times a year. Six of 13 Kindergarten A teachers and three of 12 Nursery School B teachers had a fourth-year college degree. The other teacher had a junior college degree. No teacher was qualified for special education. The average age was 36 years at Kindergarten A (range = 22–58 years) and 39 at Nursery School B (range = 21–58 years). The average number of years of experience was 13.64 (range = 1–38 years) among both groups of participants. One participant (T3) was not selected due to her managerial position, and she participated only in the workshop lectures. Each teacher was in charge of an inclusive class, which included children diagnosed with developmental disabilities and those classified as high-risk for disability. Each teacher arbitrarily selected one child with behavioral problems from their classrooms to participate in this study. The total number of children selected was 24 (17 males, seven females), and their average age was 4.04 years (range = 2.05–6.03). The diagnoses were ASD (11), attention-deficit/hyperactivity disorder (ADHD; 1), and the remaining children were at high risk of diagnosis. The children were measured on the Kinder Infant Development Scale (KIDS; Miyake et al., 1989). KIDS is a standardized developmental test in Japan. It is a parental evaluation questionnaire used for screening children from the age of 0 years 1 month to 6 years 11 months. Both parents and teachers can use this instrument. The questionnaire includes 130 "yes" or "no" questions that should be answered by someone (parent or teacher) familiar with the child's behavior. Based on the answers provided, it is possible to determine the developmental age for the categories "exercise," "operation," "language understanding," "language expression," "concept," "sociability toward children," "sociability toward adults," and "discipline." KIDS is used to calculate the child's overall developmental quotient (DQ). The demographic details of the teachers and children are shown in Table 1. Table 1.Demographic Data for Teachers and Children. Note. ASD = autism spectrum d; ADHD = attention-deficit/hyperactivity disorder; DQ = developmental quotient (KIDS). a Teacher 3 was not assigned because she was a manager. Group Staff Training Program estimated functions (e.g., attention, demand, escape/avoidance, and sensory). The staff training team included a clinical psychologist and three clinical psychology postgraduate students. The second author presented a lecture, and the postgraduate students assisted with the group work. The program comprised a total of 10 sessions, divided into six training sessions and four case-study meetings. The case-study meetings were intended to continue after training as regular meetings. Each training session was held for 2 hr every other week and included a lecture and group work about behavior modification and the functional approach. Strategy sheets (Inoue, 2007) were used in the group work and case-study meetings. The strategy sheet is a simple support plan to facilitate environmental adjustments and establish appropriate behavior. The sheet is A4 size and is divided into upper and lower rows. The upper row is designed to enable the functional assessment of one problem behavior and is completed based on a functional assessment interview (O'Neill et al., 1996). Three frames are provided to enter A (Antecedent), B (Behavior), and C (Consequence) and the The lower portion of the sheet provides a space for the support plan. It includes three columns to be completed with the following information during the group work discussion: environmental adjustments that prevent problem behavior from occurring, alternative appropriate behaviors for problem behavior, and reinforcement of the appropriate behaviors and responses to the occurrence of problem behavior. Table 2 shows an overview of all training sessions. The objectives of the training sessions were (a) to acquire knowledge about behavioral modifications, (b) to apply the knowledge acquired at lectures to actual child care (teacher behavior changes/environment changes), (c) to change the behavior of the children, (d) to assess functional assessment and implement support plans based on the strategy sheets for problem behavior, and (e) to enable the case-study meetings. The first half of each session was a lecture, and the second half consisted of group work. The first lecture addressed the characteristics of developmental Table 2.Outline of the Teacher Training Program. aA-B-C analysis is a descriptive assessment conducted as an initial part of a complete functional behavior assessment. disorders, and the second and subsequent lectures covered knowledge of behavioral modification based on applied behavior analysis. The sixth lecture addressed social skills. During the group work sessions, we created a "strategy sheet" for the children's problem behaviors. In the first group work session, we asked the teachers to list the children's most worrisome current behaviors. We narrowed down the list of behaviors by discussing with the teacher which behaviors were concrete and easy to record and for which progress could be achieved in a short period. In the second group work session, teachers received advice on how to praise appropriate behaviors and record target behaviors efficiently using the recording sheets. Trained staff advised and modified the recording sheets prepared by each teacher according to the target behavior. Each teacher practiced recording the target behavior from that point until the third group work session. In the third group work session, teachers discussed ideas about antecedent interventions based on sample cases. The functional assessment interview was conducted by the members of the group. They filled out an "A-B-C analysis" and "Antecedent Strategy" about target behaviors of their students using a strategy sheet. From the end of Session 3, the teachers implemented interventions and recorded target behaviors. In the fourth group work session, teachers practiced task analysis based on sample cases. They filled out "Alternative Behavior," "Consequence Strategy," and "Prompting for Alternative Behavior or Cooling Down" strategy sheet about challenging behaviors of their students. This support plan was implemented, and the next sheets were created only once the recorded goal was achieved. Goal mastery criteria depended on the individual's target behavior, but when the target behavior did not occur for more than 1 week or the occurrence was less than 20%, the decision as to whether it was resolved was made by teachers and staff. If the teacher aimed to acquire adaptive behavior, the goal mastery criteria were set at 80% or higher. If the mastery criteria were reached, the teacher moved on to the next target. The last four training sessions were case-study meetings. The author facilitated the first session and instructed the teachers on how to proceed with a case-study meeting. In each of the three subsequent meetings, a facilitator and a case presenter were chosen among the participants. The case presenter made a presentation based on a strategy sheet and record sheet. Then, all members provided ideas according to the contents of the strategy sheets. For details on the training curriculum, PowerPoint materials, and strategy sheets, see Inoue's (2020) website. Measurements Applied Behavior Analysis Checklist for Teachers (ABACT; Koseki et al., 2010). The ABACT is a 25-item checklist that is used as an indicator of effectiveness when conducting workshops on applied behavior analysis. This questionnaire allows the user to select an answer from four options to measure knowledge of applied behavior analysis. Each correct answer is awarded one point, with a maximum of 25 points. This checklist is designed for teachers and the results can assist them in troubleshooting school situations. The ABACT can measure changes in knowledge about behavioral analysis and behavioral therapy. We conducted the ABACT before staff training (pre), after the sixth session (Post 1), and after the final case-study meeting (Post 2). Strengths and Difficulties Questionnaire (SDQ; Goodman 1997, 2001). We asked participants to complete the SDQ for their child before staff training (pre) and after the sixth session (Post 1). The SDQ was developed from the Goodman Questionnaire for behavioral screening for 3- to 16-year-olds. It consists of 25 items that are divided into five scales of five items: emotional symptoms, conduct problems, hyperactivity/inattention, peer relationship problems, and prosocial behavior. Each of the 25 items is rated as not true (0 points), somewhat true (1 point), or certainly true (2 points). According to Matsuishi et al. (2008), the clinical range is indicated by a rating of five points or more for emotional problems, five points or more for behavioral problems, seven points or more for hyperactivity, five points or more for peer problems, and four points or less for prosocial behavior. Children's Behavior Checklist (Hongo et al., 2005). We assessed overall child behavior changes other than target behavior before staff training (pre) and after the sixth session (Post 1). The participants installed a video camera at the back of the classroom and recorded each of the following four situations for 20 min: "morning party," "lunchtime," "free play," and "activities with rules." A total of eight scenes, which included the pre- and postvideos for each of the four scenes, were scored by two evaluators using the "Children's Behavior Checklist" (Hongo et al., 2005). This checklist consists of 60 items divided into five categories ("relationship with adults," "relationship with children," "group activities," "play and life activity," and "other situations") that included 12 items each. Each item was evaluated on a 5-point Likerttype scale. Scoring was divided into the abovementioned five categories and five factors ("trouble with people," "restlessness," "lack of adaptability," "rule violation," and "impulsiveness"). The two evaluators were PhD students who did not participate in this research and were trained by the researchers on the evaluation method. For interobserver agreement, the evaluators were two graduate students specializing in developmental disorders with a specialization in clinical psychology and who did not participate in the study. They had 2 years of experience in behavioral analysis and the training of children with developmental disorders. The evaluators were briefed by the second author on the evaluation method. They were not informed about which data were pre or post, and they performed the assessment independently. The rate of concordance between the evaluators was 97.5% for 33.3% of the video data for all subjects. Social acceptability and 1-year later survey. After the training program concluded, teachers responded to a 12-item social acceptability questionnaire to indicate whether they found the staff training program useful and whether it was easy to implement. The questionnaire consisted of Likert-type items rated on a 5-point scale (1 = not true to 5 = very true). One year after the program, the two schools were sent free-form questionnaires about the maintenance of this training program. Statistical Analysis Statistical analyses were performed by using the SPSS statistical package, version 20.0. For the descriptive study, the quantitative variables were expressed as the average of their standard deviations. Comparisons between the averages were made using a one-way analysis of variance and student's t test. All of the p values < .05, which were twosided, were considered significant. Results The attendance rate for all 10 sessions at both facilities was 100%. The tasks scheduled for each session, including reviewing the recording sheet and strategy sheet, were completed by all participants. Identification and Achievement of Target Behavior Table 3 shows the problem behaviors selected by the teachers, the estimated functions, the alternative adaptive behaviors, and the techniques used in the intervention. The target behaviors selected by the teachers were most likely aimed at managing the "escape behavior" exhibited during group activities (e.g., leaving the classroom during reading time), followed by "refusal behavior" exhibited during activities of daily life (e.g., not going to the toilet and crying). Eight teachers selected target behaviors that were not aimed at providing alternative behaviors for problem behaviors but rather at acquiring independent or spontaneous behaviors. In that case, the goal was to enable the child to act without being prompted (e.g., putting on one's shoes independently). The 16 participants identified problem behaviors based on a functional assessment. A functional assessment interview was conducted on the selected problem behavior. The most common result was the escape/avoidance function at 50%, whereas the attention functions were 37.4%, demand functions were 6.3%, and sensory functions were 6.3%. Two of 16 teachers set functionally equivalent behaviors as alternative behaviors. T19 selected "moving hand in hand with a friend" as a functionally equivalent and alternative adaptive behavior to the "escaping during outside activity" behavior, which was estimated to match the attention function of C18. Similarly, T21 selected "high five with the teacher when arriving" as a functionally equivalent and alternative adaptive behavior to the "escaping outside the school building when arriving at school" behavior of the C20 student. The remaining 13 chose the behavior to follow the instructions using prompts and the token economy system. No teacher chose restraining techniques, punishment, or negative reinforcement. Teachers elected to use prompts to promote adaptive behaviors in place of environmental adjustments. If the target behavior could not be resolved by the next meeting, a new strategy sheet was not created, and the revision was continued. When the behavior was resolved, we moved to the next target behavior and created a new strategy sheet. On average, 2.4 strategy sheets were created by each teacher from Session 4 to Session 6. Two cases were considered during each case-study meeting. A total of 16 cases were considered for the two schools. ABACT First, we examined whether there was a difference in the total average score of the pretests of the ABACT between Kindergarten A and Nursery School B. The difference between the averages was −2.28 (95% confidence interval [CI] = [−4.93, 0.38]), and no significant difference was observed, t (23) = −1.776, p > .05. Therefore, the scores of both schools were combined, and one-way analysis of variance was performed for the three periods of pretest, Post 1, and Post 2. Therefore, there was a significant difference obtained at the 5% level, F (2.72) = 10.38, p < .05. When multiple comparisons were performed by the Tukey method, a significant difference was found at the 5% level between pretest and Posttest 1 and between pretest and Posttest 2 (see Table 4). SDQ We examined whether there was a difference in the total average score of the SDQ pretests between Kindergarten A and Nursery School B. The difference between the averages was −1.25 (95% CI = [−3.46, 0.96]), and no significant difference was observed, t(22) = −1.174, p > .05. Therefore, the scores of both schools were combined, and we examined whether there was a difference in each subscale between the pretest and the posttest. Significant differences were observed in all subscales other than emotional symptoms: conduct problems, t(23) = 4.097, p < .001, d = 0.74; hyperactivity/inattention, t(23) = 6.858, p < .001, d = 1.31; peer relationship problems, t(23) = 4.742, p < .001, d = 1.05; prosocial behavior, t(23) = −5.753, p < .001, d = 0.96; and difficulty total, t(24) = 7.044, p < .001, d = 1.05. Children's Behavior Checklist Table 3 shows the results of the Children's Behavior Checklist. No significant difference was observed in the average score of each subscale of the pretests of Kindergarten A and Nursery School B. Therefore, the scores of both sets of data were combined, and we examined whether there was a difference in each subscale between pretest and posttest. There was a significant difference found at the 5% level between group activity, t(21) = 2.361, p < .005, d = 0.70, and impulsiveness, t(21) = 3.205, p < .005, d = 0.79. Differences at the 1% level were observed in the categories of relationship with adult, t(21) = 5.022, p < .001, d = 1.51; relationship with children, t(21) = 5.923, p < .001, d = 1.30; daily life and play activities, t(21) = 4.559, p < .001, d = 0.70; other situations, t(21) = 3.628, p < .001, d = 0.62; trouble with people, t(21) = 6.346, p < .001, d = 1.31; restlessness, t(21) = 4.87, p < .001, d = 1.04; lack of adaptability, t(21) = 3.793, p < .001, d = 0.63; and rule violation, t(21) = 4.895, p < .001, d = 1.19. Social Acceptability Questionnaire Participants were satisfied with the overall program, and they assigned a high score to the statement, "I could Table 5.Social Acceptability Ratings. understand the relationship between child behavior and environment," which was the main topic of the lecture. The case-study meetings held late in the program showed high confidence and satisfaction. The participants also expressed their desire to continue conducting the case-study meetings (see Table 5). Changes in Both Schools After the Program One year after the program, both schools were given a freeform questionnaire. At Kindergarten A, it was reported that the employment of a simple weekly 30-min case-study meeting using a strategy sheet was maintained at the school level. One participant stated that before the workshop, participated in the program for six training sessions and four case-study meetings. The training sessions consisted of lectures on behavioral and functional approaches and individuals' support plans in group work. The results showed improvements in both the staff's knowledge of applied behavior analysis and the children's behaviors targeted in the training plans. In addition, the overall behaviors of the children improved, and the postprogram questionnaire showed that participants' satisfaction and acceptability were high. One year later, a case-study meeting had been maintained weekly at both schools. It was more common to focus on only the problem behavior, and only the homeroom teacher would consider how to stop it; but after the training, all staff members learned about functional assessment and the strategy sheet has made it easier for teachers to advise each other. In addition, some teachers began to use the strategy sheet during their meetings with the students' parents. In Nursery School B, before the workshop, the staff who needed advice often consulted with the director rather than with the other staff members; however, after the workshop, all staff members created a strategy sheet when they encountered trouble with a child's behavior. One year later, they maintained the use of the strategy sheet for regular staff meetings at the school. Discussion We conducted a school-wide training for Japanese preschool teachers based on the behavioral and functional approach to children with problem behaviors. Twenty-five Japanese teachers at a kindergarten and nursery school The first six sessions of this program were training sessions consisting of lectures and group work. The lecture contents addressed topics such as characteristics of developmental disorders, functional assessment, and behavior modification. The mean scores of ABACT before the program (pre), after the training session (Post 1), and after the case-study meeting (Post 2) were significantly different between pre and Post 1 and between pre and Post 2. This indicates that the lectures and group work in the training session were effective in imparting knowledge of applied behavior analysis to the participants and that the knowledge was maintained. The targeted problem behaviors and adaptive behaviors in the support plans improved for 24 teachers. Grey et al. (2007) commented that knowledge alone was insufficient to change the staff's behavioral response. Some previous studies indicated that performance-based feedback/coaching with teachers that included direct training procedures involving modeling, rehearsal, and feedback led to higher intervention fidelity (Lewis & Newcomer, 2002; Reinke et al., 2007). The group training program in this study consisted of behavior change knowledge, personalized support planning, and case studies and did not directly intervene in teachers' behaviors. Nevertheless, various hypotheses can be made about improvements in children's behaviors. One hypothesis is that this may have been due to the active use of physical environmental changes and supporting tools such as using tables of schedules, tokens, and timers rather than relying on teacher performance such as adjusting the timing of praise and instructions. However, this will require further comparative analysis in the future. In contrast, a few teachers chose behaviors that were functionally equivalent to problem behaviors as alternative behaviors, and no teacher chose alternative communication behaviors. The tendency to choose behaviors that followed instructions as alternative behaviors to problem behaviors may be characteristic of Japanese teachers. In the future, it will be necessary to develop a further step for teachers to emphasize communication that replaces the needs of children, such as functional communication training (Carr & Durand, 1985). To assess overall behavioral changes, four scenes were recorded using cameras installed in classrooms and were evaluated using the Children's Behavior Checklist. The results showed a statistically significant improvement in behavior for all subscales before and after the training session, including interpersonal relationships. Also, the SDQ showed an improvement for all subscales except "emotional symptoms." Together, these measures show improvement in child behavior other than the target behavior of the strategy sheet. A possible hypothesis concerns the impact of a casestudy meeting. The results of the teacher's social acceptability questionnaire also showed high satisfaction with the case-study meeting. This high satisfaction may also be related to the fact that case-study meetings using strategy seats were maintained even after a year. Although the results may vary from country to country, research on Japanese child care staff has shown that a positive perception of meetings in the workplace contributes to high self-efficacy and reduced stress (Oouchi et al., 2018). Therefore, the format of case-study meetings in this study may help to reduce teacher stress. In this study, in addition to lectures on knowledge acquisition, participants used a strategy sheet, which is a tool based on behavioral and functional approaches for their child's behavior, and formulated an intervention plan during group work. The teachers implemented their intervention plan in their schools between one session and the next one. Establishing Plan, Do, Check, and Act (PDCA) cycles of support for children is important as a technique of organizational behavior management (Sasaki & Noro, 2017). It is thought that the group work in this study was effective in establishing such a PDCA cycle in the practice of the teacher group throughout the entire school. To draw conclusions on the impact of each program component, future research should conduct intergroup comparison designs to manipulate the three independent variables: lectures, group work, and case-study meetings. Limitations and Future Research This study has several methodological limitations; thus, the findings should be viewed with caution. First, we used a pre–post study design. Without a comparison group, we cannot discuss the efficacy of this program. It is necessary to set up a delayed intervention group to prove more clearly the effect of the intervention. Second, the fidelity of the behavior support plan implementation was not measured. Future research should objectively show the behavioral changes of both teachers and children. Third, it was not possible to clarify the impact of the participants' educational background and experience with special education on the effectiveness of the program. In addition, the anxiety and stress of each teacher may affect the effectiveness of the program. Future studies with larger samples are needed to address these issues. This study conducted school-wide staff training at two different preschools in Japan. Although the two schools operate under different systems, there was little difference in the teachers' age, years of experience, and prior ABACT scores, and the effects of the program were similar for both schools. This suggests that the school-wide group staff training conducted in this study is also effective in schools with different systems. In addition, the intervention method of this program may fit the contextual standard preschool support in Japan, which involves itinerant consultations several times a year. Future studies should increase the number of target schools to further test this finding. In summary, this study reports initial findings on the group teacher training based on the behavioral and functional approach for Japanese preschool teachers. Improvements were reported for both the teachers' knowledge of applied behavior analysis and the children's behaviors targeted in the training plans. Teachers also found this training program to be acceptable. In addition, a 1-year follow-up found that the general procedures related to assessment, plan development, and implementation continued in the two schools. To disseminate behavioral and functional interventions in different countries, institutions, and cultures, it will be necessary to initially prioritize interventions that consider the specific contexts (Albin et al., 1996). Although these findings suggest that the program implemented in the schools was successful, additional research needs to be conducted to determine its efficacy. 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) disclosed receipt of the following financial support for the research, authorship, and/or publication of this article: This work was supported by Health Labour Sciences Research Grant; Grant Number (14427375). ORCID iD Masahiko Inoue https://orcid.org/0000-0003-1666-0196 References Albin, R. W., Lucyshyn, J. M., Horner, R. H., & Flannery, K. B. (1996). Contextual ﬁt for behavioral support plans: A model for "goodness of ﬁt." In L. K. Koegel, R. L. Koegel, & G. Dunlap (Eds.), Positive behavior support: Including people with difﬁcult behavior in the community (pp. 81–98). Paul H. Brookes. Bayat, M., Mindes, G., & Covitt, S. (2010). What does RTI (response to intervention) look like in preschool? 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Relationships between Fares, Trip Length and Market Competition Derek J. Clark a , Finn Jørgensen b* and Terje Andreas Mathisen b a Tromsø University Business School University of Tromsø NO-9037 Tromsø, Norway b Bodø Graduate School of Business University of Nordland NO-8049 Bodø, Norway * Corresponding author Email: email@example.com Tel.: +47 75 51 76 84 Fax.: +47 75 51 72 68 ABSTRACT This paper analyses equilibrium fares that arise from Collusion, Cournot, Stackelberg, Bertrand and Sequential Price Competition when two profit maximising transport firms produce symmetrically differentiable services and have identical costs. Special focus is placed on how different equilibrium fares are linked to trip length. Higher operator costs and higher demand from the authorities regarding the quality of transport supply result in steeper relationships (larger rate of change) between all fares and travel distance. Also, a higher degree of substitutability between the services will in most cases make these relationships steeper. The competitive situation has less influence on fares, both absolutely and relatively, the longer routes the operators compete on. Keywords: Optimal fares, trip length, competitive situation. 1. INTRODUCTION Throughout Europe and North America there has been a move in markets for public passenger transport towards a reduction in economic regulation (Banister et al., 1992). This has paved the way for increased competition between private companies to supply services both on subsidised contracts for the local government and commercially operated in the free-market. The deregulation has been the subject of many studies both with respect to privatization (Nash, 2005) and types of competitive contracts (e.g. Hensher and Stanley, 2003; Preston, 2005). The liberalization of the British bus industry has given examples of fierce competition (Nash, 1993). Also within the railway industry a scope for on-track competition has been identified with fare reductions as a feasible outcome (Preston et al., 1999). Preston et al. (1999) states that the competition within the rail industry is, much like coach and air transport, characterised by a higher potential for differentiation of products compared to that of the bus industry which to a larger extent provides a homogenous service. On many transport routes, one, two or three suppliers are commonplace. Despite being competitors, such a limited number of suppliers of transport services can act in a collusive regime of some form when it comes to setting the price and/or the capacity. The strategic interactions between firms in such markets have been discussed theoretically by Pedersen (1999) and van Reeven (2003) and empirically found to be present e.g. in the Norwegian aviation industry (Salvanes et al., 2003) and in the British bus industry following the deregulation (e.g. Beesley, 1990). However, models of imperfect competition are scarcely used in order to analyse how the level of fare is related to travel distance or the length between the destinations. Theoretical works the last five years have, admittedly, dealt with how a monopolist will design the relationship between fare and trip length when it: (1) maximises profits or a weighted combination of profits and consumer surplus and (2) under different assumptions regarding the relationship between transport users demand and their generalised travel cost, see Jørgensen and Pedersen (2004) and Jørgensen and Preston (2007). Later on these models are seen in the light of empirical studies from passenger transport in Norway (Mathisen, 2008b). Tsai et al. (2008) also develop a procedure in order to estimate simultaneously how fare, headway and transport quality on one hand should be related to trip length on the other hand, given one operator who wants to maximise profits. The latter analysis is carried out using an intercity transportation system as an example. Nevertheless, none of these works analyse the relationship between optimal fare and travel distance when two or more rivals compete. The aim of this paper is to analyse how fares are related to travel distance between locations when two profit maximising operators, producing symmetrically differentiated services, either collude or compete. In order to do so, we calculate equilibrium prices under Collusion, under quantity competition (Cournot and Stackelberg) and under price competition (Bertrand and Leader-Follower). The analysis is carried out under different degrees of substitutability in demand between the two transport services. Comparisons of the equilibrium solutions inform the transport authorities of the consequences of different regulatory policies for passengers travelling on routes of different lengths. The structure of the article is as follows. In section 2, we present the model and emphasise its central assumptions. In section 3, we solve for the market equilibrium at both Collusion and simultaneous and sequential competition on both quantity and price. Section 4 provides the analysis where special focus is placed on deriving the link between equilibrium fares and trip length and implications of the equilibrium fare solutions on passengers' generalised travel costs. In section 5 we briefly relate the model results to empirical evidence. Lastly, in section 6, we make some concluding remarks and present the implications for policy makers. 2. THE MODEL Let us assume that two transport firms provide their own version of a transport service at the given distance (D) between the two locations Y and Z, as illustrated in Figure 1. We want to analyse the changes in equilibrium prices under different competitive situations when the transport distance (D) between the locations changes. The degree of substitutability between the transport services depends on how equal the travellers perceive them to be; the more equal perceptions they have about them, the more substitutable are the services. Insert Figure 1 about here. Let us denote a representative transport user's generalised travel costs of using service 1 and service 2 by G1 and G2, respectively. Gi, where i = {1, 2}, is given by the sum of fare, Pi, and the time costs, (b0 + b1D), see for example Button (2010). in which D denotes distance in km, b0 distance-independent time costs and (b1D) time costs when travelling by the mode. The b0 parameter depends on walking time, waiting time and time spent on boarding and alighting the mode (buses and trains) and/or transport time to airports (air transport), whilst the b1 parameter denotes each passenger's time costs of travelling an extra km by the mode. The values of b0 and b1 are dependent on the quality of transport supply, the travellers' income and the purpose of the journey. A review of the influence of different quality factors in transport is, for example, given in Paulley et al. (2006). 1 Note that we suppose that time costs of travelling with the two suppliers are the same and exogenous for them; i.e. we assume that the quality demands are set by the authorities. Hence, generalised travel costs using the two services can only differ through the fares P1 and P2. This means that our model applies to cases where two suppliers using the same type of mode compete, for example both offering bus transport, air transport etc. Since other factors than Gi such as the modes' departure- and arrival times, their safety records, travellers' habits and the firms' brand image also influence modal choice, the two services are not necessarily perfect substitutes, even though they offer the travellers the same G-values. In the following we follow the model originally presented by Singh and Vives (1984) by assuming that a representative traveller has the following utility function based on the levels of the use of services supplied by firm 1, X1, and firm 2, X2 where the parameter 1,0 s measures the degree of substitutability between the services offered by the two operators. If s = 1 then the services are perfect substitutes and s = 0 is the 1 Assuming k is time costs per hour and h is the mode's speed measured in km per hour. Then b1 = k / h. This suggests that b1 is low (high) for fast (slow) modes. The b0 parameter is in general high for air transport compared to other modes. The k-value and thereby the b1-value will be lower the better the service and quality onboard. case of independent markets; hence this parameter can be thought of as indicating the degree of competition between the firms in any specific market situation, see also comments below equation (5). Assuming that the representative traveller maximises his consumer surplus, CS ) ) , ( ( 2 1 2 1 i i i X G X X U CS , the utility function in (2) gives rise to the following linear and symmetric inverse demand functions Since Singh and Vives (1984) focus on price (Bertrand) and quantity (Cournot) competition within a duopoly framework their model is relevant for the problem we aim to model. The clear-cut conclusions between Bertrand and Cournot which they made have, admittedly, been subject to critique for example in an n-firm specification where it is not evident which type of competition that is more efficient (Häckner, 2000). It has also been demonstrated that Bertrand could give higher prices than Cournot when the firms have goals that extend beyond profit maximisation (Clark et al., 2009) and even higher prices than monopoly when the spatial dimension is included (Sanner, 2007). The expressions of generalised costs in (1) are inserted in the inverse demand function in (3) giving the following linear symmetric demand fare functions From (4) follows that higher values of b0 and b1 due to poorer transport quality lead to negative shifts in these inverse demand functions. The direct demand functions derived from (4) are presented in (5) own price has always higher influence, in absolute terms, on own demand than on the rival's however, when the firms compete more fiercely (s increases). 2 One can also calculate the products become more similar, the elasticity becomes more negative, and demand is more elastic. Lower values of s gives the providers the possibility of increasing fare without so much loss of demand. Since we assume operators with the same type of mode compete and additionally simplify the analysis by assuming no variation in efficiency levels between them, we specify the cost for providing the transport services with the following identical linear functions These functions imply linear positive relationships between the number of passengers (Xi) and the number of passenger km (XiD), i = {1, 2}. Linear cost functions in transport are often good proxies of more advanced functions (Pels and Rietveld, 2000), and the above functions in particular are supported from several empirical cost studies carried out for bus (Jørgensen and Preston, 2003) and ferry transport (Jørgensen et al., 2004; Mathisen, 2008a) in Norway. From (6) it follows that 2 An s-value of for example 0.2 (0.6) implies that ) 56 .1 ( 04 .1 i i P X and ) 93 .0 ( 21 .0 k i P X meaning that an increase in own price by one unit will decrease own demand by 1.04 (1.56) units and increase the rival's demand by 0.21 (0.93) units. Marginal costs increase linearly with trip length. The a1 parameter can be interpreted as the distance-independent marginal costs, while a2 is the costs for the transport firm of carrying a passenger an extra km. The profit for each firm, i , are expressed in (8) using the demand functions in (3) and the cost functions in (5): ) The profit functions can also be written in terms of fares using expression (5) in combination with (8). We then get: for 1 > s ≥ 0. 3. MARKET SOLUTIONS FOR DIFFERENT COMPETITIVE SITUATIONS The conditions for maximising the profit functions in (8) and (9) give us equilibrium quantities and fares. The equilibrium fare expressions will be deduced with the purpose of deriving how optimal fares are linked to operators' costs ( 1 a and 2 a ), the quality of transport supply ( 0 b and 1 b ), the degree of substitutability between the services ( s ) and finally the distance travelled by the mode (D). Focus will be directed towards the collusive case and the four traditional forms of market competition where the firms act either simultaneously or sequentially and compete in either quantity or price. The five situations Collusion, Cournot, Stackelberg, Bertrand and Price Leader-Follower are denoted COLL, C, ST, B and SP, respectively. 3 For the sequential games ST and SP the leader and follower are given the subscripts 1 and 2, respectively. Equilibrium fare and quantity are marked by an asterisk. Hence, a total of seven different equilibrium fares and quantities will be deduced. The profit expressions for each firm in equilibrium, j * 1 and j * 2 (j = {COLL, C, ST, B, SP}), are given in the Appendix. By inspecting the profit functions it can be verified that 0 * j i distance that can be operated profitably by the transport companies. Hence, for any of the competitive situations the relationship between equilibrium profits and trip length for each firm is convexly decreasing so that long distances ) ( , j Max D D cannot be profitably covered by two operators. 4 Our further analysis applies for D-values resulting in positive profits for both operators. 3.1 Equilibrium fares and quantities Simultaneous Quantity Competition (Cournot) When the transport operators maximise their profits by choice of the quantity variable we get the following common equilibrium quantity, C X * , and fare, C P * using equation (8) Sequential Quantity Competition (Stackelberg) Let firm 1 be the leader choosing its quantity, first. Using equation (8) the following equilibrium quantities ) , ( * 2 * 1 ST ST X X and fares ) , ( * 2 * 1 ST ST P P are derived 3 These standard market models from the industrial organization literature (see e.g. Carlton and Perloff, 2005; Frank, 2010) are the shared monopoly (collusion or cartel), the simultaneous quantity competition (Cournot), the sequential quantity competition (Stackelberg), the simultaneous price competition (Bertrand) and the sequential price competition (Price Leader-Follower). 4 It can be verified from the firms' profit expressions in equilibrium that maximum travel distance, j Max D , , varies for different j; that is for different competitive situations. j Max D , is derived by solving D when 0 * j i . Simultaneous Fare Competition (Bertrand) Maximising i (i = {1, 2}) in (9) gives the common equilibrium quantity, B X * , and fare, B P * , in simultaneous fare competition shown in (12). Sequential Fare Competition Let us assume that firm 1 sets price first. The derived equilibrium quantities ) , ( * 2 * 1 SP SP X X and fares ) , ( * 2 * 1 SP SP P P are then derived from (9) and shown in (13) Collusion In this case the operators maximise 2 1 and we the get the following equilibrium quantity and fare for each operator (14) Influence on fares of changes in a, b and s parameters Using equations (10), (11), (12), (13) and (14) it can be determined that all equilibrium fares are increasing in the operators' costs ( 1 a and 2 a ) and decreasing when the passengers' time costs ( 0 b and 1 b ) increase. Consequently, higher demands from the authorities regarding the quality of the transport supply, causing lower values of 0 b and 1 b , will increase fares. Furthermore, higher degree of substitutability between the firms' services (s increases) will reduce all fares except for the collusive case; fare is then independent of the value of s. 3.2 Ranking of Fares All equilibrium fares are lower when the firms compete than when they collude. In summary, the following ranking can be verified when all parameter values are positive Bertrand competition yields lowest fares and Collusion highest fares when s > 0. This ranking corresponds with the results found in ordinary textbooks dealing with duopoly models, profit maximising entities and linear cost- and demand functions, see for example Frank (2010). Using this ranking and making pair wise comparison of fares gives a total of 21 fare gaps 5 . Common for all of these is that they will all be reduced when the firms' cost ( 0 a and 1 a ) and 5 Seven different fares imply (7 ∙ 6) / 2 = 21 possible fare differences. trip length (D) increase. Also, lower demands regarding transport quality resulting in increased passengers' time cost ( 0 b and 1 b ) will reduce the fare differences. More substitutable services (s increases), will increase the differences between the Collusion fare and all other equilibrium fares. Generally speaking, the differences in equilibrium fares under quantity competition on one hand and price competition on the other hand increase in s. The difference between the Stackelberg follower's fare and leader's fare, ) ( * 1 * 2 ST ST P P , increases (decreases) when s < (>) 0.73. Less intense competition, i.e. a sufficiently low s, gives the leader the freedom to increase fare even more above the following rival firm; this is due to the fact that prices decisions as s falls, have less effect on the rival's quantity. Also the gaps between the Bertrand fare and the equilibrium fares under sequential fare competition ) ( * * B SP i P P , i = {1, 2} are ambiguous and depend on the magnitude of s; they are larger (smaller) for the leader when s < (>) 0.73 and for the follower for s < (>) 0.83. The difference between the fare leader's price and the follower's price, ) ( * 2 * 1 SP SP P P also increases when s < 0.73. Summing up, an increase in s will make the gaps in equilibrium fares higher providing that s < 0.73, i.e. that competition between the rivals is not too intense. When s is low, the demand for trips is less sensitive to fare changes, giving the scope for this result. 4. TRAVEL DISTANCE AND FARES - FURTHER ANALYSIS 4.1 Conditions for Increasing Fares with Distance The conditions for increasing fares with distance for Cournot, Stackelberg, Bertrand, Sequential fare setting and Collusion can be found using equations (10), (11), (12), (13) and (14), respectively. From (10) we can deduce the following conditions at Cournot competition: The derivative of C P * with respect to distance (D) shows that the function is monotonic and will be either positive or negative depending on the parameter values a2, b1 and s. The higher the costs of transporting a passenger an extra km (a2), the lower the extra time costs for each passenger of being transported an extra km (b1) and the more substitutable services the operators produce the more likely it is that fare increases with travel distance. When s = 0.5, for example, the fare increases with distance provided that the .3 / 2 / 1 2 b a Under Stackelberg competition we get the following conditions using equation (11) Also for the Stackelberg case, the parameter values a2, b1 and s determine whether both leader's and follower's fares increase or decrease in distance. It can easily be worked out from the conditions under (16) that the threshold values of the 1 2 / b a ratios resulting in positive relationships between both leader's and follower's fares and travel distance decrease when the firms compete more intensely; that is when s increases. If for, example, s = 0.5, 0 * 1 D P ST Under Bertrand competition the variation of common fares with respect to distance is derived by the differentiation of equation (12) From (17) follows that a sufficient, but not necessary, condition for increasing fare with respect to trip length under simultaneous price competition is that a2/b1 > 1. If, for example, 5.0 s then 1 2 / b a must be higher than 0.5. Furthermore, the following conditions can be worked out for sequential fare setting using equation (13) Equation (18) implies that the conditions for increasing fares with respect to distance also for sequential price setting are determined by a2, b1 and s. It can be verified that the higher the degree of substitutability between the services (increasing s) the more likely it is that equilibrium prices increase with trip length. If for, example, s = 0.5, 0 * 1 D P SP and 0 * 2 D P SP when the 1 2 / b a ratio is higher than 0.56 and 0.51, respectively. Finally, the expression in (14) for the collusive fare leads to: In the collusive case equilibrium fare increases with trip length when the operators' costs of transporting a passenger an extra km (a2) exceed each passengers time cost of being transported an extra km (b1). For a more thorough discussion of the latter, we refer to Jørgensen and Preston (2007). The above conditions are summarized in Figure 2 where the horizontal axis ranges from 0 (independent services) to 1 (perfect substitutes) and the vertical axis follows the a2/b1 ratio, scaled from 0 to 1. Parameter combinations above the seven solid curves indicate increasing fares with respect to distance. When a2/b1 > 1 all forms of competition give increasing fares with distance. Opposite, combinations of a2/b1 and s below the Bertrand curve result in decreasing fares in distance. Except for the collusive case, Figure 2 shows that the necessary value of a2/b1 resulting in increasing fares with travel distance decreases in s. Under low degree of substitutability between the services (s < 0.1), the threshold levels of a2/b1 are broadly speaking the same for all situations where the firms compete. When the firms' services are more substitutable as measured by s moving towards 1, there is, however, a clear division between the curves related to competition in prices in the lower part of Figure 2 and competition in quantities in the upper part. The curves follow the same ranking for the value of a2/b1 from top to bottom in Figure 2 for all values of s > 0. The threshold levels of a2/b1 implying increasing fares with distance for all s under Cournot competition and Stackelberg competition are 1/2 and 1/3, respectively. Summing up, even though empirical studies show that fares usually increase with travel distance (see section 5), the model's results do not give rise to such an unambiguous conclusion, having the original restrictions imposed on the a2, b1 and s parameters in mind. For certain combinations of a2/b1 and s values, it follows also from Figure 2 that the Stackelberg leader's fare may increase in distance whilst the follower's fare may decrease in distance. The same can be the case for the fare follower and the fare leader. Insert Figure 2 about here. 4.2 Ranking of the Equilibrium Fares Regarding their Dependence on Trip Length The differentiations of the fare functions with respect to distance under different forms of competition given in equations (15), (16), (17) (18) and (19) enable us to derive the following unambiguous results when s > 0: The interpretation of the above derivatives must be seen in relation to Figure 2. Let us first focus on a2 and b1 combinations such that a2/b1 > 1 which is the area above the Collusion curve in Figure 2. All fares are then increasing in distance. Then we can conclude unambiguously that trip length influences fares least under Collusion and most under Bertrand competition. When we have combinations of a2/b1 and s below the Bertrand curve in Figure 2, all competitive situations give the unusual results that fares decrease when trip length increases. We then get the opposite conclusions regarding the importance of the competitive situation on the relationships between fares and travel distance (D); changes in trip length have a considerably lower impact on fares under price competition than under quantity competition and Collusion. 4.3 The Influence of Parameter Values It has been demonstrated in the previous sections that, for all competitive situations, the influence that the trip length exerts on equilibrium fares depends on the three parameters a 2 , b 1 and s . From equations (15), (16), (17), (18) and (19) it follows that 0 ) / ( 2 * a D P j , j = {C, ST, B, SP, COLL} meaning that when the costs of transporting a passenger an extra km increase, the relationships between all equilibrium fares and trip length become steeper when fares increase in trip length and less steep when fares decrease in trip length. Furthermore, lower demands from the authorities regarding the quality of transport, which subsequently increase the time costs for the passengers of travelling an extra km ( b 1 ), have the opposite impact; that is 0 ) / ( 1 * b D P j . In words: when the quality of transport increases ( b 1 decreases), travel distance will influence all fares by more (less) when fares increase (decrease) in distance. Finally, it can be shown from the D P j * expressions that 0 ) / ( * s D P j , j = {C, ST, B, SP}; that is except for the collusive case. More intense competition between the firms (increasing s ) results in steeper (less steep) relationships between all fares and travel distance when fares increase (decrease) in distance. Even though the ranking of the derivatives in (20) is independent of a2, b1 and s, the magnitudes of their differences are; it can easily be determined that the values of all the 21 derivative differences are increasing in a2 and b1. Provided that s is not very high (s < 0.83), it can be verified that increasing s will also make the differences between the derivatives larger. 6 6 The differences between the derivatives for (1) Stackelberg leader's and follower's fares and (2) between the fares under price competition increase provided that s < 0.83. This s-value represents a direct price derivative and a cross derivative of about -3.21 and -2.67, respectively (see equation (5)). For all other cases the differences in the derivatives increase unambiguously in s. 4.4 Summarised Model Results for Fare and Distance The most important conclusions above are summarised in Figure 3 and Figure 4. Figure 3 describes the most common situation, namely that all fares increase in distance. This applies to all combinations of a2 and b1 such that a2/b1 > 1. Figure 3 shows that the differences between all equilibrium fares, both relatively and absolutely decrease when trip length (D) increases. Increasing a2 and decreasing b1 make all relationships shifting upwards and being steeper. Except for the collusive case higher degree of substitutability between the services (higher s) makes all curves shifting downwards but being steeper. From section 3.2 follows too that all curves get closer to each other when a2 and b1 increase. An increase in s has an ambiguous effect, making some curves move closer together, while others do not. Insert Figure 3 about here. Insert Figure 4 about here. Figure 4 illustrates the more rare case, namely that fares decrease in distance. Opposite to the situation in Figure 3, increasing a2 and s and decreasing b1 make all curves less steep when the firms compete. 4.5 Influence on Traveller's Generalised Cost Inserting the equilibrium fares in equation (1) shows that for all competitive situations equilibrium generalised travel costs ( j G * , j = {C, ST, B, SP, COLL}) will increase when operators costs ( 1 a and 2 a ), travellers' time costs ( 0 b and 1 b ) and trip length ( D ) increase. If we disregard the collusive case, increasing competition between the operators will decrease generalised travel costs. In summary, we get the following: The signs of 0 * b G j and 1 * b G j imply that higher demands from the authorities regarding the quality of the transport supply give lower generalised travel costs; the negative effect for the travellers of higher fares when 0 b and 1 b decrease do not outweigh the positive effect of reduced time costs. For all competitive situations and for all combinations of 2 a , 1 b and s values we can conclude unambiguously that generalised travel costs will increase with trip length. A closer look at these derivatives shows that when the firms compete, the magnitude Higher demands regarding transport quality ( 0 b and 1 b decrease) have, thus, a larger positive effect on travellers' well-being the more alike the perception of the services (s increases) and the longer they travel (D increases). In the collusive case it is easily inferred that 2 1 0 * b G COLL Note that the above results rest upon the assumption that that higher quality demand from the authorities will boost the operators' productivity such that their costs are held constant. This assumption is not unreasonable; in particular for subsidised and/or publically own transport firms X-inefficiency may be present leading to scope for productivity improvements (Button, 2010). 7 If operators' cost increase when quality is raised, the effect on j G * is ambiguous. 8 5. MODEL RESULTS SEEN IN THE LIGHT OF PREVIOUS NORWEGIAN STUDIES In the work carried out by Jørgensen and Preston (2007) parameter values for a2 and b1 for the year 2002 are worked out using earlier empirical studies concerning bus transport and car ferry transport in Norway. For bus and ferry, respectively, they estimated that the parameter 7 Jørgensen et al. (1997) estimated, for example, the average inefficiency in the regulated Norwegian bus industry in 1991 to be between 7 % and 14 %. 8 When the firms collude (j = {COLL}), Jørgensen and Pedersen (2004) conclude that generalised travel costs (G) will decrease (increase) as the quality (Q) improves when the marginal costs of serving passengers increase less (more) than travellers reductions in generalised costs of the service improvement; that is when ) ( 2 Q G Q X C . values for a2 are 1.70 NOK 9 and 4.79 NOK and for b1 are 1.00 NOK and 6.35 NOK. Consequently, the fraction a2/b1 is about 1.70 for bus transport and 0.75 for ferry transport. When relating these findings to Figure 2 we can conclude that bus operators will design a fare system implying increasing fares in distance for all forms of competition and for all degrees of substitutability. For ferry operators, however, fare will decrease with the length of the service when they collude. If they compete and the degree of substitutability between the services is sufficiently high (s > 0.4), Figure 2 shows that also ferry fares will be positively related to distance. If the competition between the operators is moderate such that s < 0.3, fares will decrease with distance for all forms of competition. When the ferry operators offer their services between the same destinations and therefore probably use the same quays, the variation in these services is low both respect to route choice and ferry size. It is, therefore, likely that the services provided by two operators are highly substitutable meaning that the svalue is high so that fares increase with distance. Norwegian studies that review the relationships between ordinary fares and travel distance for subsidised domestic bus, ferry, train and air transport in Norway, show close positive relationships for all these modes (Mathisen, 2008b). Bearing in mind that every Norwegian ferry operator meets low competition from other operators such that s is low, the above observations seem to be in conflict with the model's conclusions as far as ferry transport is concerned. In that respect it is, however, worth noting that our model assumes profit maximising operators whilst the ferry fares in Norway are set by the central authorities and they have goals that extend beyond profit maximization; for example the well-being of the travellers. It can be deduced that the more weight a single operator (monopolist) places on consumer surplus compared to profits, the positive relationship between fares and trip length will be steeper and the increase in actual fare with distance will approach the marginal costs for the operator of transporting a passenger (car) an extra km (a2). Using the above mentioned a2 and b1 figures for buses and ferries, it can be derived that fares for bus transport always increase with distance irrespective of the weight the bus operator places on profit versus consumer surplus. For ferry transport, fares will increase with distance provided that the 9 1€ ≈ 8 Norwegian kroner (NOK). Note that for ferry transport one passenger car is used as the numeraire. single company puts less than four times higher weight on profit than on consumer surplus. 10 A thorough discussion of this matter is given in Jørgensen and Preston (2007). Historical fares on unregulated air transport between central destinations in Norway support the model's results in the sense that the collusive case gives higher prices than any of the other equilibrium prices above. A survey carried out by Amundsveen (2004) shows, for example, that full fare prices between Oslo and Bodø (802 km) and between Oslo and Tromsø (1115 km) set by the only operator Scandinavian Airlines Systems (SAS) 11 prior to 2002 were about 20 % lower one year after it met competition from the entrant low cost air company Norwegian Air Shuttle (NAS). A random check (26 th August 2009) on the two companies full fare price offers on these two routes shows that fares increase in distance. For SAS the full fare prices were 2593 NOK and 2793 NOK between Oslo and Bodø and between Oslo and Tromsø, respectively. Similar figures for NAS were 1800 NOK and 1999 NOK. The market share for SAS, measured in seat kms offered, is about 67 % between Oslo and Bodø and about 62 % between Oslo and Tromsø (Norwegian Air Shuttle, 2009). SAS has, thus, both higher transport production and higher full fare prices than NAS on these two services. These results seen in combination with the models' results above indicate that neither Stackelberg competition nor sequential fare competition are present on these routes. Stackelberg competition implies namely that the leader has highest fare but lowest quantity whilst sequential fare competition implies that the leader has lowest price and highest quantity; that is SP SP SP SP ST ST ST ST X X P P X X P P 2 * 1 * 2 * 1 * 2 * 1 * 2 * 1 , , , . The absence of both Stackelberg and sequential fare competition in the Norwegian airline industry is supported from a study of the competitive situation in the industry after its deregulation in 1994, see Salvanes et al. (2003). Their study indicates that the air companies had a semicollusive behaviour; that is they collude in fares and compete in capacities. It is also worth noting that our model assumes that both firms have identical cost structure. This is not true for as far as 10 According to Jørgensen and Preston (2007) fares increase with distance if 1 2 1 2 0 ) ( b a b a in which is a function of the weight put on profit compared to consumer surplus) 1( , 1 5.0 , defined by /)1 2 ( . 1 and 5.0 represent a pure profit maximizing firm and a firm aiming to maximise social surplus, respectively. For ferries 0) ( b a implies 75.0 , 80.0 and 2.0) 1( . 11 The Norwegian subdivision of Scandinavian Airlines System (SAS) bought the other dominant Norwegian air transport company, Braathen, in 2001 and the two firms cooperated until 2005 when they merged and took the name SAS Braathen. The name was changed back to SAS in 2007. 2 1 SAS and NAS are concerned; NAS is regarded as a low cost company and is run more cost efficiently than SAS. 6. CONCLUDING REMARKS The main purpose of this paper has been to analyse how the equilibrium fares that arise from Collusion, Cournot, Stackelberg, Bertrand and Price leader-follower competition are linked to: (1) transport operators' costs; (2) the quality of transport supply; (3) the degree of substitutability between the transport services and (4) the trip length. The analysis is carried out by assuming profit maximising transport operators that have identical costs and produce symmetrically substitutable services. Moreover, the quality of transport supply is set by public authorities and, thus, exogenous for the transport operators. The analysis shows, as expected, that all equilibrium fares increase when the operators' costs increase and when the authorities demand a higher quality of transport supply. If we disregard the Collusion case, more intense competition between the transport firms will decrease fares. The Collusion fare is globally the highest, whilst Cournot competition yields highest fares and Bertrand competition lowest fares when the firms compete. The internal ranking of the equilibrium fares is independent of the firms' costs, the quality of their transport services, the degree of substitutability between their services and trip length. These factors influence, however, the magnitudes of the differences in price values. Less cost efficient firms, lower demands regarding transport quality and longer trip lengths will reduce the differences between all equilibrium fares. On the other hand, more substitutable services (higher value of s) will increase fare gaps across different market situations; the gap between fares under quantity competition and fare competition is especially affected. A more in-depth look at the relationships between equilibrium fares and trip length shows that all competitive situations imply increasing relationships between fares and travel distance when the costs for the operators of transporting a passenger an extra km exceed each passenger's time costs of travelling another km; that is when 0 ) ( 1 2 b a or 1 ) / ( 1 2 b a . When 0 ) ( 1 2 b a , fares are decreasing in distance when the firms collude. Also when the firms compete, fares may decrease with trip length when the competition between them is fairly low. Moreover, fares that increase with trip length are more likely under fare (price) competition than under quantity competition. It is, thus, worth noting that the model's results do not rule out that fares may decrease in distance when both the 1 2 / b a ratio and s value are sufficiently low. Hence, the probability for decreasing fares with distance raises if a transport mode is slow and holds passengers with high time costs (high 1 b value), differs significantly from the alternatives (s low) and has low costs of transporting passengers an extra km ( 2 a low). Since empirical studies from Norway show positive relationships between fares and travel distance both for regulated and unregulated transport services, such combinations of the a2, b1 and s parameters are probably rare. Given a2, b1 and s values such that all equilibrium fares increase in distance, increasing costs of transporting a passenger an extra km and higher demands regarding transport quality, result in steeper relationships between all equilibrium fares and trip length. Except for the collusive case, all fares increase faster according to trip length the more intense the firms compete. Fares under quantity competition are less dependent on trip length than under price competition implying that all equilibrium fares get closer as travel distance increases. Increasing a2, b1 and s values also result in how much travel distance influences equilibrium fares. The above relationships between all equilibrium fares and travel distance result in positive relationships between generalised travel cost and trip length for all positive values of a2, b1 and s. Since all aspects with transport quality captured in generalised travel costs are equal for both operators, ranking of these costs are in accordance with the fare rankings; that is Collusion gives highest generalised costs and Bertrand lowest generalised costs etc. Given that higher demands from the authorities regarding transport quality not will increase the operators' costs but improve their productivity 12 , we can conclude unambiguously that generalised travel costs will be reduced. Hence, such transport policy initiatives will benefit the transport users. To sum up, the competitive situation between transport firms has higher importance on fares and thereby on passengers' generalised travel costs, the more productive the firms are, the higher demands the authorities set regarding the quality of transport supply and, broadly 12 It is not unreasonable to believe that increased quality demands from the authorities will give the operators incentives to boost their efficiency. speaking, the more substitutable services they produce. This suggests, for example, that it is more important for the transport users that collusion is hindered when operators' productivity is high, passengers' time costs are low (fast speed modes) and competition is high. Since passengers' time costs in general have increased over time due to rises in income, the way the transport firms compete has become more important for the transport users. Another important finding is that the competitive situation exerts more influence on fares, both absolutely and relatively, on shorter trips than on longer trips. Transport regulators should, thus, focus most on the organisation of transport supply on short routes. Higher productivity among the transport firms, higher degree of substitutability between their services and lower demands regarding transport quality makes the latter recommendation even more relevant. ACKNOWLEDGEMENTS We would like to thank the anonymous referees of this journal for their valuable comments. REFERENCES Amundsveen, R. (2004) Hva betyr konkurranse for effektiviteten i flyrutemarkedet? Master thesis, Bodø Graduate School of Business. Banister, D., Berechman, J., De Rus, G. (1992) Competitive regimes within the European bus industry: Theory and practice. Transportation Research Part A 26, 167-178. Beesley, M.E. (1990) Collusion, predation and merger in the UK bus industry. 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(2003) Competition in scheduled transport. PhD thesis Erasmus University Rotterdam, TRAIL thesis series. Eburon, Delft. APPENDIX The profit functions for the different types of competition with corresponding first- and second order derivatives with respect to distance are presented in this appendix. The positive restrictions on the equilibrium quantities imply that 0 )1 ( 1 2 0 1 Db Da b a . Cournot competition (using eq. (10) in eq. (9)) Stackelberg competition (using eq. (11) in eq. (9)) Leader's profit: Follower's profit: Bertrand competition (using eq. (12) in eq. (9)) Sequential fare competition (using eq. (13) in eq. (9)) Leader's profit Follower's profit ) 16 2 10 40 2 2 2 10 2 10 10 10 40 40 40 40 2 2 10 10 40 40 5 5 20 20 32 32 32 32 32 2 10 40 5 20 2 2 10 16 10 16 40 64 40 64 32 32 32 16 16 16 16 64 5 5 20 20 32 32 64 ( 64 64 64 64 16 16 1 1 2 2 5 1 2 2 4 1 2 2 2 1 0 5 0 2 5 1 1 5 1 0 4 2 1 5 0 2 4 1 1 4 2 1 4 1 0 2 0 2 2 1 1 2 2 1 2 1 5 2 5 1 4 2 4 1 2 2 2 2 1 2 5 2 2 5 2 1 2 4 2 2 4 2 1 2 2 2 2 2 1 0 0 2 1 1 2 1 1 2 2 0 1 5 0 1 4 0 1 2 5 4 2 0 5 1 5 0 4 0 5 1 4 0 4 0 2 0 3 1 2 0 2 0 1 1 2 2 1 2 2 2 2 0 2 1 0 2 0 5 2 1 5 2 0 4 2 1 4 2 0 2 2 1 2 0 1 0 2 3 4 5 * 2 b a D s b a D s b a D s b Db s b Da s b Da s b Db s a Da s b Da s b Da s a Da s b Db s b Da s b Da s a Da s Db s Da s Db s Da s Db s Da s b D s a D s b D s a D s b D s a D s b b b Da b Da a Da b a D b a s b a s b a s s s s b s a s b s a s a s a s b s a s a s a s b a Db Da b D a D b a sa b s a s b s a s b s a s b a a s s s s s SP Collusion (using eq. (14) in eq. (9)) Figure Captions Figure 1: Substitutable transport services over the distance D between the locations Y and Z. Figure 2: Conditions for increasing fares with respect to distance, dP*/dD > 0, for substitutable transport services under different forms of competition. Figure 3: The relationships between equilibrium fares and travel distance when fares increase in distance. Figure 4: The relationships between equilibrium fares and travel distance when fares decrease in distance. Figure 1 Z Distance, D Cournot Bertrand Stackelberg leader Stackelberg follower Price follower Price leader Collusion Fare, P Distance, D Cournot Bertrand Stackelberg leader Stackelberg follower Price follower Price leader Fare, P Collusion
Construction Sequences and Certifying 3-Connectedness Jens M. Schmidt To cite this version: Jens M. Schmidt. Construction Sequences and Certifying 3-Connectedness. Jean-Yves Marion and Thomas Schwentick. 27th International Symposium on Theoretical Aspects of Computer Science STACS 2010, Mar 2010, Nancy, France. pp.633-644, 2010, Proceedings of the 27th Annual Symposium on the Theoretical Aspects of Computer Science. <inria-00455813> HAL Id: inria-00455813 https://hal.inria.fr/inria-00455813 Submitted on 11 Feb 2010 HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. L'archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d'enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. Construction Sequences and Certifying 3-Connectedness JENS M. SCHMIDT Dept. of Computer Science, Freie Universit¨at, Berlin, Germany E-mail address: email@example.com Abstract. Tutte proved that every 3-connected graph on more than 4 nodes has a contractible edge. Barnette and Gr¨unbaum proved the existence of a removable edge in the same setting. We show that the sequence of contractions and the sequence of removals from G to the K4 can be computed in O(\|V \| 2 ) time by extending Barnette and Gr¨unbaum's theorem. As an application, we derive a certiﬁcate for the 3-connectedness of graphs that can be easily computed and veriﬁed. 1. Introduction Instead of dealing with contractions or removals in a 3-connected graph G = (V, E) we take the equivalent view of starting with the complete graph on four vertices K4 and applying their inverse operations until G is constructed. Such a sequence is called a construction sequence of G. We will deﬁne contractions, removals and their inverse operations in Section 2. Although existence theorems on contractible and removable edges are used frequently in graph theory [14, 10, 11], we are not aware of any computational results to ﬁnd the whole construction sequence, except when contractions and removals are allowed to intermix [1]. Moreover, eﬃcient algorithms are unlikely to be derived from the existence proofs as they, e. g., in the case of Barnette and Gr¨unbaum, depend heavily on adding longest paths, which are NP-hard to ﬁnd. In contrast, we show that it is possible to ﬁnd a construction sequence for a graph G in time O(\|V \| 2 ) for Barnette and Gr¨unbaum's characterization, at the expense of having parallel edges in intermediate graphs. In addition, we show that Barnette and Gr¨unbaum's sequence can be transformed in linear time to Tutte's sequence of contractions and is therefore algorithmically at least as powerful. Both algorithms do not rely on the 3-connectedness test of Hopcroft and Tarjan [6], which runs in linear time but is rather involved. Blum and Kannan [3] introduced the concept of certifying algorithms, which give an easy-to-verify proof of correctness along with their output. While being important for program veriﬁcation, certifying algorithms provide often new insights into a problem, which Key words and phrases: Algorithms and data structures, construction sequence, 3-connected, certifying algorithm, Tutte contraction, removable edges, ACM classiﬁcation: F.2.2;G.2.2. This research was supported by the Deutsche Forschungsgemeinschaft within the research training group "Methods for Discrete Structures" (GRK 1408). ⃝ c CC ⃝ Creative Commons Attribution-NoDerivs License can lead to new methods. For that reasons they are a major goal for problems on which the fast solutions known are complicated and diﬃcult to implement. Testing a graph on 3-connectedness is such a problem, but surprisingly few work has been devoted to certifying algorithms, although a sophisticated linear-time algorithm without certiﬁcates is known for over 35 years [6, 15, 16]. In fact, we are aware of only one certifying algorithm for that problem [1], which runs in quadratic time, but is quite involved. Using construction sequences, we give a simple, alternative solution with running time O(\|V \| 2 ) and show that the used certiﬁcate is easy to verify in time O(\|E\|). We ﬁrst recapitulate well-known results on the existence of construction sequences in Sections 2.1 and 2.2 and point out how Tutte's sequence can be obtained from Barnette and Gr¨unbaum's sequence in linear time. Sections 2.3 and 3 cover the main idea for the existence result that we use for computing Barnette and Gr¨unbaum's sequence. Section 4 deals with the question how construction sequences are eﬃciently represented and Section 5 shows how to use construction sequences for a certifying 3-connectedness test. 2. Construction Sequences Let G = (V, E) be a ﬁnite graph with n := \|V \|, m := \|E\|, V (G) = V and E(G) = E. A graph is connected if there is a path between any two nodes and disconnected otherwise. For k ≥ 1, a graph is k-connected if n > k and deleting every k − 1 nodes leaves a connected graph. A node (a pair of nodes) that leaves a disconnected graph upon deletion is called a cut vertex (a separation pair). Note that k-connectedness does not depend on parallel edges nor on self-loops. A path leading from node v to node w is denoted by v → w. For a node v in a graph, let N(v) = {w \| vw ∈ E} denote its set of neighbors and deg(v) its degree. For a graph G, let δ(G) be the minimum degree of its vertices. A subdivision of a graph replaces each edge by a path of length at least one. Conversely, we want a notation to get back to the graph without subdivided edges. If deg(v) = 2, \|N(v)\| = 2 and v / ∈ N(v) for a graph G, let smoothv(G) be the graph obtained from G by deleting v followed by adding an edge between its neighbors; we say v is smoothed. If one of the conditions is violated, let smoothv(G) = G. Let smooth(G) be the graph obtained by smoothing every node in G. For an edge e ∈ E, let G \ e denote the graph obtained from G by deleting e. Let Kn be the complete graph on n nodes. The following are well-known corollaries of Menger's theorem [8]. Lemma 2.1. (Fan Lemma) Let v be a node in a graph G that is k-connected with k ≥ 1 and let A be a set of at least k nodes in G with v / ∈ A. Then there are k internally node-disjoint paths P1, . . . , Pk from v to distinct nodes a1, . . . , ak ∈ A such that for each of these paths V (Pi) ∩ A = ai. Lemma 2.2. (Expansion Lemma [17]) Let G be a k-connected graph. Then the graph obtained by adding a new node v joined to at least k nodes in G is still k-connected. 2.1. Tutte's Characterization and their Inverse From now on we assume for simplicity that our input graph G = (V, E) is simple although all results can be extended to multigraphs. Generally, contractions cannot always avoid parallel edges in intermediate graphs, e. g., for wheels. That is why we deﬁne contractions to preserve graphs to be simple: Contracting an edge e = xy in a graph deletes e, identiﬁes nodes x and y and replaces iteratively all 2-cycles by an edge. An edge e is called contractible if contracting e results in a 3-connected graph. A node splitting takes a node v of a 3-connected graph, replaces v by two nodes x and y with an edge between them and replaces every former edge uv that was incident to v with either the edge ux, uy or both such that \|N(x)\| ≥ 3 and \|N(y)\| ≥ 3 in the new graph. Node splitting as deﬁned here is therefore the exact inverse of contracting a contractible edge that has on both endnodes at least 3 neighbors. Theorem 2.3. (Corollary of Tutte [13]) The following statements are equivalent: A simple graph G is 3-connected ⇔∃ construction sequence fromK 4 toGusing node splittings (2.2) We describe next a straight-forward O(n 2 ) algorithm to compute (2.1) for a graph G on more than 4 vertices. First, we decrease the number of edges to O(n) in G by applying the algorithm of Nagamochi and Ibaraki [9]. This preserves the 3-connectedness or respectively, the non 3-connectedness of G. Moreover, it is known that the resulting graph contains a vertex v of degree 3. By a result of Halin [5], every node of degree 3 is incident to a contractible edge e. We get e by subsequently contracting each of the three incident edges and testing the resulting graph with the algorithm of Hopcroft and Tarjan [6] for 3-connectedness. Iteration of both subroutines gives us the whole contraction sequence in O(n 2 ) time. However, the Hopcroft-Tarjan test is diﬃcult to implement and we will give a much simpler algorithm that is capable of computing both characterizations later. 2.2. Barnette and Gr¨unbaum's Characterization and their Inverse The Barnette and Gr¨unbaum operations (BG-operations) consist of the following operations on a 3-connected graph (see Figures 1(a)-1(c)). (a) add an edge xy (possibly a parallel edge) (b) subdivide an edge ab by a node x and add the edge xy for a node y / ∈{a, b} (c) subdivide two distinct, non-parallel edges by nodes x and y, respectively, and add the edge xy In all three cases, let xy be the edge that was added by the BG-operation. (a) parallel edges allowed Figure 1: The three operations of Barnette and Gr¨unbaum. Theorem 2.4. (Barnette and Gr¨unbaum [2], Tutte [14]) A graph G is 3-connected if and only if G can be constructed from the K4 using BG-operations. Theorem 2.4 was proven in this notation by Barnette and Gr¨unbaum [2], but implicitly described in a theorem about nodal connectivity by Tutte [14, Theorem 12.65]. If not stated otherwise, every construction sequence uses only BG-operations. Let a BG-operation be basic, if it does not create parallel edges and let a construction sequence be basic, if it only uses basic BG-operations. Like in Theorem 2.3, we want the inverse of a BG-operation. Let removing the edge e = xy of a graph be the operation of deleting e followed by smoothing x and y. An edge e = xy in G is called removable, if removing e yields a 3-connected graph. We show that removing a removable edge e = xy with \|N(x)\| ≥ 3, \|N(y)\| ≥ 3 and \|N(x) ∪ N(y)\| ≥ 5 is exactly the inverse of a BG-operation. Theorem 2.5. The following statements are equivalent: ⇔∃ sequence of removals from G to K4 on removable edges e = xy with \|N(x) \| ≥ 3,\|N(y) \| ≥ 3and\|N(x) ∪ N(y) \| ≥ 5 ⇔∃ construction sequence fromK 4 toGusing BG-operations (2.4) (2.5) ⇔∃ basic construction sequence fromK 4 toGusing BG-operations (2.6) Proof. Theorem 2.4 establishes (2.3) ⇔ (2.5). Moreover, the proof of Theorem 2.4 in [2] implicitly shows that on simple graphs basic operations suﬃce, thus only the equivalence for (2.4) remains. We ﬁrst prove (2.6) ⇒ (2.4) and then (2.4) ⇒ (2.5). BG-operations operate by deﬁnition on 3-connected graphs, this holds in particular for the ones in (2.5). Let G ′ be the graph obtained by a basic BG-operation in (2.5) that adds the edge e = xy. The operation can clearly be undone by removing e in G ′ . Since BG-operations preserve 3-connectedness with Theorem 2.4, \|N(x)\| ≥ 3 and \|N(y)\| ≥ 3 hold in G ′ . We prove (2.4) ⇒ (2.5). Let G ′ be the graph containing a removable edge e = xy that is removed in (2.4). Note that G ′ can have parallel edges due to previous removals but no selfloops. The removal can be undone by one of the BG-operations. Which one, is dependent on the number i of endnodes of e on which smoothing changed the graph, i. e., the number of endnodes u of e with \|N(u)\| = deg(u) = 3 in G ′ . If i = 0, removing e just deletes e which is inversed by operation (a). For i = 1, let x be the node with \|N(x)\| = deg(x) = 3 in G ′ and f be the edge in which x was smoothed. Then (b) can be applied, because y / ∈ f (see Figure 8(a)) since otherwise x would have had only 2 neighbors in G ′ , contradicting the assumption \|N(x)\| ≥ 3. It remains to show that \|N (x) ∪ N (y)\| ≥ 5 in G ′ . If \|N (x)\| ≥ 4 or \|N (y)\| ≥ 4, \|N (x) ∪ N (y)\| ≥ 5 follows, since x and y are neighbors and no self-loops exist. Thus, let \|N (x)\| = \|N (y)\| = 3. Having N (x) \ {y} ̸= N (y) \ {x} yields \|N (x) ∪ N (y)\| ≥ 5 as well, so let N (x) \ {y} and N (y) \ {x} contain the same two nodes a and b. If \|V (G)\| > 4, a or b must be adjacent to a node c that is neither adjacent to x nor y. But then {a, b} is a separation pair, contradicting the 3-connectedness of G. On the other hand, \|V (G)\| = 4 is not possible, since that implies the BG-operation to be (a) (since only (b) and (c) create new vertices) and that is no basic operation on the K4. If i = 2, let f1 and f2 be the edges in which x and y were smoothed. Operation (c) can only be applied if f1 and f2 are neither identical (see Figure 8(b)) nor parallel. But f1 = f2 would again contradict \|N (x)\| ≥ 3 in G ′ and f1 being parallel to f2 would contradicts \|N (x) ∪ N (y)\| ≥ 5 in G, since in that case x and y are only adjacent to each other and the two nodes f1 ∩ f2. We show that Barnette and Gr¨unbaum's characterization is algorithmically at least as powerful as Tutte's by giving a simple linear time transformation. Lemma 2.6 allows us to focus on computing BG-operations only. Lemma 2.6. Every construction sequence using BG-operations can be transformed in linear time to Tutte's sequence (2.1) of contractions. Proof. We transform every BG-operation in reverse order of the construction sequence to 0, 1 or 2 contractions each. Operation (a) yields no contraction while operation (b) yields the contraction of exactly one part of the subdivided edge (either xa or xb in Figure 1). For an operation (c), let e = ab and f = vw be the edges that are subdivided with x and y. Both edges share at most one node; let w. l. o. g. a = v be that node if it exists. We create one contraction for each of the edges xb and yw in arbitrary order. In all cases, contractions inverse BG-operations except for the added edge xy, which is left over. But additional edges do not harm the 3-connectedness of the graph nor subsequent contractions. Thus, we have found a contraction sequence to the K4 unless the ﬁrst contraction in the case of an operation (c) yields at some point a graph H that is not 3-connected. But H can be obtained from the graph that results from contracting the second edge by applying one operation (b) and therefore is 3-connected. 2.3. Identifying Intermediate Graphs with Subdivisions in G Let K4 = G0, G1, . . . , Gz = G be the 3-connected graphs obtained in a construction sequence Q to a simple 3-connected graph G using the basic BG-operations C0, . . . , Cz − 1. We can reverse Q by starting with G and removing the added edges of BG-operations in reverse order. Suppose we would delete the added edge of every Ci instead of removing it and treat emerging paths containing interior nodes of degree 2 as (topological) edges in Gi (see Figure 2). Then iteratively paths are deleted instead of edges being removed and we obtain the sequence of subdivisions G = Sz, . . . , S0 in G with S0 being a subdivision of the K4. This leads to the following observation. Lemma 2.7 (Observation). Let Q be a construction sequence from a graph G0 to G using BG-operations. Then G contains a subdivision of G0 that is speciﬁed by Q. In particular, Observation 2.7 yields with Theorem 2.4 that every 3-connected graph contains a subdivision of the K4 (Theorem of J. Isbell [2]). Each graph Gi in our construction sequence can be identiﬁed with the unique subdivision Si contained in G. Conversely, Gi = smooth(Si) for all 0 ≤ i ≤ z, since smoothing a graph is exactly the inverse operation of subdividing a graph without nodes of degree two. The nodes x in Si with deg(x) ≥ 3 are called real nodes, because they correspond to nodes in Gi. Real nodes have at least 3 neighbors in Gi, because Gi is 3-connected. Note that in non-basic construction sequences smooth(Si) can have parallel edges, although Si is always simple. We deﬁne the links of each Si to be the unique paths in Si with only their endnodes being real. The links of Si partition E(Si) because Si is 2-connected, has therefore minimum degree two and is not a cycle. Let two links be parallel if they share the same endnodes. (a) K 4 = 0 G =smooth(S 0 ) Deﬁnition 2.8. A BG-path for Si is a path P = x → y in G with the following properties: (1) Si ∩ P = {x, y} (2) x and y are not both contained in a link of Si except as endnodes (3) x and y are not inner nodes of links of Si that are parallel It is easy to see that every BG-path for Si corresponds to a BG-operation on Gi and vice versa. We will exploit this duality in the next section. In general, construction sequences are not bound to start with the K4. Titov and Kelmans [12, 7] extended Theorem 2.4 by proving the existence of a construction sequence even when starting with arbitrary 3-connected graphs G0 instead of the K4, as long as a subdivision of G0 is contained in G. This is a generalization, since every 3-connected graph contains a subdivision of the K4 by Observation 2.7. Theorem 2.9. [7, 12] Let G0 be a 3-connected graph. Then a simple graph G is 3-connected and contains a subdivision of G0 if and only if G can be constructed from G0 using basic BG-operations. 3. Prescribing Subdivisions Both Theorems 2.4 and 2.9 choose a very special subdivision of the K4 (resp. G0) on which the construction sequence starts, in fact one having the maximum number of edges in G. The construction sequence is then obtained by adding longest BG-paths. Unfortunately, computing these depends heavily on solving the longest paths problem, which is known to be NP-hard even for 3-connected graphs [4]. This gives rise to the question whether Theorems 2.4 and 2.9 can be strengthened to start at a prescribed subdivision H ⊆ G of G0 instead of an arbitrary one. Note that this is equivalent to the constraint S0 = H. Such a result would provide an eﬃcient computational approach to construction sequences, since it allows us to search the neighborhood of H for BG-paths, yielding a new prescribed subdivision of a 3-connected graph. However, when restricted to basic operations it is not possible to prescribe H, as the minimal counterexample in Figure 3 shows: Consider the graph G consisting of a K4 = H depicted in black with an additional node connected to three nodes of the K4. Then every BG-path for H will create a parallel link, although G is simple. But what if we drop the condition that construction sequences have to be basic? The following theorem shows that at this expense we can indeed start a construction sequence from any prescribed subdivision. Theorem 3.1. Let G be a 3-connected graph and H ⊂ G with H being a subdivision of a 3-connected graph. Then there is a BG-path for H in G. Moreover, every link of H of length at least 2 contains an inner node on which a BG-path for H starts. Proof. We distinguish two cases. * H ̸= smooth(H). Then links of length at least 2 exist in H and we pick an arbitrary one of them, say T . Let x be an inner node of T , and let Q be the set of paths in G from x to a node in V (H) \ V (T ) avoiding the endnodes of T (see Figure 5). By the 3-connectedness of G, the set Q cannot be empty and every path in Q fulﬁlls Deﬁnition 2.8.2. There is at least one path P = x → y in Q with y being not contained in a parallel link of T , because otherwise the endnodes of T would form a separation pair. Let x ′ be the last node in P that is in T or in a parallel link of T and let y ′ be the ﬁrst node after x ′ that is in V (H). Then x ′ → y ′ has properties 2.8.1 and 2.8.3 and is a BG-path for H. * H = smooth(H). Then H consists only of real nodes and since H ̸= G, there is a node in V (G)\V (H) or an edge in E(G) \ E(H). At ﬁrst, assume that there is a node x ∈ V (G) \ V (H). Then, by the 2-connectedness of G and Fan Lemma 2.1 we can ﬁnd a path P = y1 → x → y2 with no other nodes in H than y1 and y2. For P the properties 2.8.1-2.8.3 hold, because no link in H can have inner nodes. Let now V (G) = V (H) and e an edge in E(G) \ E(H). Then e must be a BG-path for H, since both endnodes are real. In Theorem 3.1, non-basic operations can only occur in the case H = smooth(H) when a path through a node of V (G) \ V (H) is chosen. Although we cannot avoid that, it is possible to obtain a basic construction by augmenting the BG-operations with a fourth operation (d). (d) connect a new node to three distinct nodes Operation (d) preserves 3-connectedness with Lemma 2.2 and is basic, because each new edge ends on the new node. Whenever we encounter a node in V (G)\V (H) in Theorem 3.1, we know by the Fan Lemma 2.1 and the 3-connectedness of G that there are three internally node-disjoint paths to real nodes in H with all inner nodes being in V (G) \ V (H). Adding these paths to H is called an expand operation and corresponds to operation (d) in the smoothed graph. This gives the following result. Theorem 3.2. Let G be a simple graph and let H be a subdivision of a 3-connected graph. Then Proof. Let G be 3-connected and H ⊆ G. Then δ(G) ≥ 3 holds and if H = G, the desired construction sequences are empty and exist. If H ⊂ G, we can apply Theorem 3.1 iteratively with or without the additional expand operation and the construction sequences exist as well. For the suﬃciency part, both construction sequences imply H ⊆ G, since only paths are added to construct G. Additionally, G must be 3-connected, as adding BG-paths to each Si preserves Si+1 to be a subdivision of a 3-connected graph with Theorem 2.4, and δ(G) ≥ 3 ensures that the last subdivision G of a 3-connected graph is 3-connected itself. 4. Representations A straight-forward algorithm to compute Barnette and Gr¨unbaum's construction sequence of a 3-connected graph is to search iteratively for removable edges. But in contrast to the algorithm in Section 2.1 that computes contractible edges, this approach only leads to an O(n 3 ) algorithm. The reason for the additional factor of n is that not all nodes with degree 3 must have an incident removable edge (see Figure 4 for a counterexample on 9 nodes) and we have to try every edge in the worst case. Computing BG-paths instead of BG-operations allows us to obtain better running times, but ﬁrst we need to know how exactly construction sequences can be represented. An obvious representation of a construction sequence Q would be to store the graph G0 = smooth(H) and in addition every BG-operation, which gives the sequence G0, . . . , Gz = G. Unfortunately, the graphs Gi are not necessarily subgraphs of Gi+1, so we have to take care of relabeled edges when specifying each operation. Whenever an edge e is subdivided as part of an operation (b) or (c), we specify it by its index in Gi followed by assigning new indices for the new degree-two node and one of the two new separated edge parts in Gi+1. The other edge part keeps the index of e. Similarly, on operations (a) and (b), real endnodes of the added edge are speciﬁed by their indices in Gi. We assign a new index for the added edge in Gi+1, too. Finally, we have to impose the constraint that Gz is not just isomorphic but identical to G, meaning that nodes and edges of Gz and G are labeled by exactly the same indices, since otherwise we would have to solve the graph isomorphism problem to check that Q really constructs G. On the other hand, the identiﬁcation of Gi with a subgraph in G allows us to represent Q without indexing issues: We just store S0 ⊂ G and the BG-paths C0, . . . , Cz − 1. Hence, we can represent each construction sequence Q of G in the following two ways. * Edge representation: Represent Q by G0 and a sequence of BG-operations, along with specifying new and old indices for each operation, such that Gz and G are labeled the same. * Path representation: Represent Q by S0 and BG-paths C0, . . . , Cz − 1. Both representations refer to the same sequence of graphs G0, . . . , Gz and are of size θ(m), assuming the uniform cost model. The next lemma states that it does not matter which of the two representations we compute. Lemma 4.1. The edge and path representations of a construction sequence Q can be transformed into each other in O(m) time. Moreover, the representation computed is a unique representation of Q. Proof. Omitted. 5. Certifying and Testing 3-Connectedness in O ( n 2 ) We use construction sequences in the path representation as a certiﬁcate for the 3connectedness of graphs. This leads to a new, certifying method for testing graphs on being 3-connected. The total running time of this method is O(n 2 ), however this is dominated by the time needed for ﬁnding the construction sequence and every improvement made there will automatically result in a faster 3-connectedness test. The input graph is a multigraph and does not have to be biconnected nor connected. We follow the steps: * Apply preprocessing of Nagamochi and Ibaraki to the graph and get G in O(n + m) (This improves the total running time by decreasing the number of edges to O(n).) * Try to compute a K4-subdivision S0 in G and prescribe it in O(n) – Failure: Return a separation pair * Try to compute a construction sequence from S0 to G in O(n 2 ) – Success: Return the construction sequence – Failure: Return a separation pair The preprocessing step preserves the graph to be 3connected or to be not 3-connected. We ﬁrst describe how to ﬁnd a K4-subdivision by one Depth First Search (DFS), which as a byproduct eliminates self-loops and parallel edges and sorts out graphs that are not connected or have nodes with degree at most 2. Let a (resp. b) be the node in the DFS-tree T that is visited ﬁrst (resp. second). If G is 3-connected, then a and b have exactly one child, otherwise they form a separation pair. We choose two arbitrary neighbors c and d of a that are diﬀerent from b (see Figure 6). W.l.o.g., let d be visited later by the DFS than c. Let i ̸= b the least common ancestor of c and d in T . As d ̸= i must hold, let j be the child of i that is contained in the path i → d in T . If G is 3-connected, we can ﬁnd a backedge e that starts on a node z in the subtree rooted at j and ends on an inner node z ′ of a → i in time O(n). If e does not exist, a and i Figure 6: Finding a K4subdivision. Dashed edges can be (empty) paths, arcs depict backedges. form a separation pair, otherwise we have found a K4-subdivision with real nodes a, i, z and z ′ . The paths connecting this real nodes in T together with the three visited backedges constitute the 6 paths of the K4-subdivision. Once the K4-subdivision S0 is found, we follow the lines of Theorem 3.1 and try to construct the path representation C0, . . . , Cz − 1. If favored, this can be transformed to an edge representation in O(m) later. We assign an index for every link and store it on each of the inner nodes of that link. Moreover, we maintain pointers for each link to its endnodes. In case H ̸= smooth(H) of Theorem 3.1 we pick an arbitrary node x of degree two. Let T = a → b be the link that contains x and let W be the set of nodes V (H) \ V (T ) minus all nodes in parallel links of T (see Figure 5). We compute the path P = x → y ′ by temporarily deleting a and b and performing a DFS on x that stops on the ﬁrst node y ′ ∈ W . We can check whether a node lies in a parallel link of T in constant time by comparing the endnodes of its containing link with a and b. Thus, the subpath x ′ → y ′ with x ′ being the last node contained in T or in a parallel link of T is a BG-path and can be found eﬃciently. The links and their indices can be updated in O(n). Similarly, in case H = smooth(H) we delete temporarily all edges in E(H) and start a DFS on a node x ∈ V (H) that has an incident edge in the remaining graph. The traversal is stopped on the ﬁrst node y ∈ V (H) \ {x}. The path x → y is then the desired BG-path (a) Either aorb has degree 2. (b) Both, a and b, have degree 2. Figure 8: Cases where 2.8.2 fails when a ∈ N(b). and we conclude that for 3-connected graphs the construction sequence can be found in time O(n 2 ). Otherwise, G is not 3-connected and no construction sequence can exist with Theorem 3.2. In that case a DFS starting at node x fails to ﬁnd a new BG-path for some subdivision H ⊂ G. If H ̸= smooth(H), the endnodes of the link that contains x must form a separation pair. Otherwise, H = smooth(H) and x must be a cut vertex. Thus, if G is not 3-connected, the algorithm returns always a separation pair or cut vertex. If G is simple, the construction sequence can be transformed to the basic construction sequence (3.2) with the following Lemma. Lemma 5.1. For simple graphs G, the construction sequences (3.1) and (3.2) can be transformed into each other in O(m). Proof. Omitted. Theorem 5.2. The construction sequences (3.1) and (3.2) can be computed in O(n 2 ) and establish a certifying 3-connectedness test with the same running time. 5.1. Verifying the Construction Sequence It is essential for a certiﬁcate that it can be easily validated. We could do this by transforming the path representation to the edge representation using Lemma 4.1 and checking the validity of the BG-operations by comparing indices, but there is a more direct way. First, it can be checked in linear time that all BG-paths C0, . . . , Cz − 1 are paths in G and that these paths partition E(G) \ E(S0). We try to remove the BG-paths Cz − 1, . . . , C0 from G in that order (i. e., we delete the paths followed by smoothing its endnodes). If the certiﬁcate is valid, this is well deﬁned as all removed BG-paths are then edges. On the other hand we can detect longer BG-paths \|Ci\| ≥ 2 before their removal, in which case the certiﬁcate is not valid, since then the inner nodes of Ci are not attached to BG-paths Cj, j > i. We verify that every removed Ci = ab corresponds to a BG-operation by using Deﬁnition 2.8 of BG-paths, and start with checking that a and b lie in our current subgraph for condition 2.8.1. Conditions 2.8.2 and 2.8.3 can now be checked in constant time: Consider the situation immediately after the deletion of ab, but before smoothing a and b. Then all links in our subgraph are single edges, except possibly the ones containing a and b as inner nodes. Therefore, 2.8.2 is not met for Ci if a is a neighbor of b and at least one of the nodes a and b has degree two (see Figures 8 for possible conﬁgurations). Condition 2.8.3 is not met if N (a) = N (b) and both a and b have degree two. Both conditions can be easily checked in constant time. Note that encountering proper BG-paths Cz − 1, . . . , Ci does not necessarily imply that the current subgraph is 3-connected, since false BG-paths Cj, j < i, can exist. It remains to validate that the graph after removing all BG-paths is the K4. This can done in constant time by checking it on being simple and having exactly 4 nodes of degree three. Theorem 5.3. The construction sequences (2.4)-(2.6) and (3.1)-(3.2) can be checked on validity in time linearly dependent on their length. References [1] S. Albroscheit. Ein Algorithmus zur Konstruktion gegebener 3-zusammenh¨angender Graphen. Diploma thesis, FU Berlin, 2006. [2] D. W. Barnette and B. Gr¨unbaum. On Steinitz's theorem concerning convex 3-polytopes and on some properties of 3-connected graphs. Many Facets of Graph Theory, Lecture Notes in Mathematics, 110:27– 40, 1969. [3] M. Blum and S. Kannan. Designing programs that check their work. In STOC '89, pages 86–97, New York, 1989. [4] M. R. Garey, D. S. Johnson, and R. E. Tarjan. The planar hamiltonian circuit problem is NP-complete. Siam J. Comp., 5(4):704–714, 1976. [5] R. Halin. Zur Theorie der n-fach zusammenh¨angenden Graphen. Abhandlungen aus dem Mathematischen Seminar der Universit¨at Hamburg, 33(3):133–164, 1969. [6] J. E. Hopcroft and R. E. Tarjan. Dividing a graph into triconnected components. SIAM J. Comput., 2(3):135–158, 1973. [7] A. K. Kelmans. Graph expansion and reduction. Algebraic methods in graph theory, Szeged, Hungary, 1:317–343, 1978. [8] K. Menger. Zur allgemeinen Kurventheorie. Fund. Math., 10:96–115, 1927. [9] H. Nagamochi and T. Ibaraki. A linear-time algorithm for ﬁnding a sparse k-connected spanning subgraph of a k-connected graph. Algorithmica, 7(1-6):583–596, 1992. [10] C. Thomassen. Kuratowski's theorem. Journal of Graph Theory, 5(3):225–241, 1981. [11] C. Thomassen. Reﬂections on graph theory. Journal of Graph Theory, 10(3):309–324, 2006. [12] V. K. Titov. A constructive description of some classes of graphs. PhD thesis, Moscow, 1975. [13] W. T. Tutte. A theory of 3-connected graphs. Indag. Math., 23:441–455, 1961. [14] W. T. Tutte. Connectivity in graphs. In Mathematical Expositions, volume 15. University of Toronto Press, 1966. [15] K.-P. Vo. Finding triconnected components of graphs. Linear and Multilinear Algebra, 13:143–165, 1983. [16] K.-P. Vo. Segment graphs, depth-ﬁrst cycle bases, 3-connectivity, and planarity of graphs. Linear and Multilinear Algebra, 13:119–141, 1983. [17] D. B. West. Introduction to Graph Theory. Prentice Hall, 2001.
SAFARI® LITE Version 5. 0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 This Safety Data Sheet adheres to the standards and regulatory requirements of the Republic of Ireland and may not meet the regulatory requirements of other countries. SECTION 1: Identification of the substance/mixture and of the company/undertaking 1.1. Product identifier Product name: SAFARI® LITE Synonyms: B11990446 DPX-NA439 WSB 1.2. Relevant identified uses of the substance or mixture and uses advised against Use of the Substance/Mixture: Herbicide 1.3. Details of the supplier of the safety data sheet Company : Du Pont (UK) Limited 4th Floor, Kings Court, London Road Stevenage, Herts. SG1 2NG United Kingdom Telephone: +44 (0) 1438 734 000 E-mail address: email@example.com 1.4. Emergency telephone number +(353)-19014670 (CHEMTREC) SECTION 2: Hazards identification 2.1. Classification of the substance or mixture Carcinogenicity, Category 2 H351: Suspected of causing cancer. Acute aquatic toxicity, Category 1 H400: Very toxic to aquatic life. Chronic aquatic toxicity, Category 1 H410: Very toxic to aquatic life with long lasting effects. 2.2. Label elements SAFETY DATA SHEET Annex II SAFARI® LITE Version 5. 0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 Warning H351 Suspected of causing cancer. Very toxic to aquatic life with long lasting effects. H410 Special labelling of certain substances and mixtures EUH401: To avoid risks to human health and the environment, comply with the instructions for use., P201 Obtain special instructions before use. P281 Use personal protective equipment as required. P308 + P313 IF exposed or concerned: Get medical advice/attention. P391 Collect spillage. P501 Dispose of contents/ container to an approved waste disposal plant. SP 1 Do not contaminate water with the product or its container (Do not clean application equipment near surface water/Avoid contamination via drains from farmyards and roads). 2.3. Other hazards This mixture contains no substance considered to be persistent, bioaccumulating and toxic (PBT). This mixture contains no substance considered to be very persistent and very bioaccumulating (vPvB). SECTION 3: Composition/information on ingredients 3.1. Substances Not applicable 3.2. Mixtures Lenacil (CAS-No.2164-08-1) (EC-No.218-499-0) (M-Factor : 10[Acute] 1[Chronic]) 2/16 according to Regulation (EC) No 1907/2006 - SAFARI® LITE Version 5.0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 3/16 Triflusulfuron-methyl (CAS-No.126535-15-7) (M-Factor : 100[Acute] 10[Chronic]) Carc. 2; H351 Aquatic Acute 1; H400 Aquatic Chronic 1; H410 5.4 % Sodium diisopropylnaphthalenesulphonate (CAS-No.1322-93-6) (EC-No.215-343-3) Acute Tox. 4; H302 Acute Tox. 4; H332 Skin Irrit. 2; H315 Eye Irrit. 2; H319 STOT SE 3; H335 >= 1 - < 5 % The above products are compliant to REACH registration obligations; Registration number(s) may not be provided because substance(s) are exempted, not yet registered under REACH or are registered under another regulatory process (biocide uses, plant protection products), etc. For the full text of the H-Statements mentioned in this Section, see Section 16. SECTION 4: First aid measures 4.1. Description of first aid measures General advice : Never give anything by mouth to an unconscious person. For specialist advice contact the National Poisons Information Service. Healthcare Professionals: (01) 809 2566 or (01) 837 9964 (24h per day – 365 days per year). Public Poisons Information Line: (01) 809 2166 (8am-10pm). Inhalation: Move to fresh air. Oxygen or artificial respiration if needed. Consult a physician after significant exposure. Skin contact: Take off contaminated clothing and shoes immediately. Wash off immediately with soap and plenty of water. In the case of skin irritation or allergic reactions see a physician. Wash contaminated clothing before re-use. Eye contact: Remove contact lenses, if present and easy to do. Continue rinsing. Hold eye open and rinse slowly and gently with water for 15-20 minutes. If eye irritation persists, consult a specialist. Ingestion : Obtain medical attention. DO NOT induce vomiting unless directed to do so by a physician or poison control center. If victim is conscious: Rinse mouth with water. 4.2. Most important symptoms and effects, both acute and delayed Symptoms : No cases of human intoxication are known and the symptoms of experimental intoxication are not known. SAFARI® LITE Version 5.0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 4.3. Indication of any immediate medical attention and special treatment needed Treatment: Treat symptomatically. SECTION 5: Firefighting measures 5.1. Extinguishing media Suitable extinguishing media: Water spray, Foam, Dry chemical, Carbon dioxide (CO2) Extinguishing media which shall not be used for safety : High volume water jet, (contamination risk) reasons 5.2. Special hazards arising from the substance or mixture Specific hazards during firefighting : Hazardous decomposition products formed under fire conditions. Carbon dioxide (CO2) Nitrogen oxides (NOx) 5.3. Advice for firefighters Special protective equipment for firefighters : Wear full protective clothing and self-contained breathing apparatus. Further information : Prevent fire extinguishing water from contaminating surface water or the ground water system. Collect contaminated fire extinguishing water separately. This must not be discharged into drains. Fire residues and contaminated fire extinguishing water must be disposed of in accordance with local regulations. : (on small fires) If area is heavily exposed to fire and if conditions permit, let fire burn itself out since water may increase the area contaminated. Cool containers/tanks with water spray. SECTION 6: Accidental release measures 6.1. Personal precautions, protective equipment and emergency procedures Personal precautions : Control access to area. Avoid dust formation. Avoid breathing dust. Use personal protective equipment. Keep people away from and upwind of spill/leak. Refer to protective measures listed in sections 7 and 8. 6.2. Environmental precautions Environmental precautions : Prevent further leakage or spillage if safe to do so. Use appropriate container to avoid environmental contamination. Do not flush into surface water or sanitary sewer system. Do not allow material to contaminate ground water system. Local authorities should be advised if significant spillages cannot be contained. If the spill area is porous, the contaminated material must be collected for subsequent treatment or disposal. If the product contaminates rivers and lakes or drains SAFETY DATA SHEET Annex II SAFARI® LITE Version 5.0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 inform respective authorities. 6.3. Methods and materials for containment and cleaning up Methods for cleaning up: Clean-up methods - small spillage Sweep up or vacuum up spillage and collect in suitable container for disposal. Clean-up methods - large spillage Do not create a powder cloud by using a brush or compressed air. Avoid dust formation. Contain spillage, pick up with an electrically protected vacuum cleaner or by wet-brushing and transfer to a container for disposal according to local regulations (see section 13). If spill area is on ground near valuable plants or trees, remove 5 cm of top soil after initial clean-up. Other information : Never return spills in original containers for re-use. Dispose of in accordance with local regulations. 6.4. Reference to other sections For personal protection see section 8., For disposal instructions see section 13. SECTION 7: Handling and storage 7.1. Precautions for safe handling Advice on safe handling : Use only according to our recommendations. Use only clean equipment. Avoid contact with skin, eyes and clothing. Do not breathe dust or spray mist. Wear personal protective equipment. For personal protection see section 8. Prepare the working solution as given on the label(s) and/or the user instructions. Use prepared working solution as soon as possible - Do not store. Provide appropriate exhaust ventilation at places where dust is formed. Wash hands before breaks and immediately after handling the product. Remove and wash contaminated clothing before re-use. Avoid exceeding the given occupational exposure limits (see section 8). Advice on protection against fire and explosion : Keep away from heat and sources of ignition. Avoid dust formation in confined areas. During processing, dust may form explosive mixture in air. 7.2. Conditions for safe storage, including any incompatibilities Requirements for storage areas and containers : Store in original container. Keep in properly labelled containers. Keep container tightly closed in a dry and well-ventilated place. Store in a place accessible by authorized persons only. Keep out of the reach of children. Keep away from food, drink and animal feedingstuffs. Advice on common storage: Keep away from: Strong bases Other data: Stable under recommended storage conditions. 7.3. Specific end use(s) Plant protection products subject to Regulation (EC) No 1107/2009. 5/16 according to Regulation (EC) No 1907/2006 - SAFARI® LITE Version 5. 0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 SECTION 8: Exposure controls/personal protection 8.1. Control parameters If sub-section is empty then no values are applicable. Components with workplace control parameters Kieselguhr, Soda Ash Flux-Calcined (CAS-No. 68855-54-9) Talc (Mg3H2(SiO3)4) (asbestos-free) (CAS-No. 14807-96-6) Sucrose (CAS-No. 57-50-1) \| Time Weighted Average (TWA): \| 10 mg/m3 \| 2010 \| Ireland. Occupational Exposure Limits \| \|---\|---\|---\|---\| \| Short term exposure limit \| 20 mg/m3 \| 2010 \| Ireland. Occupational Exposure Limits \| 8.2. Exposure controls SAFARI® LITE Version 5.0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 7/16 should be discarded and replaced if there is any indication of degradation or chemical breakthrough. Gauntlets shorter than 35 cm long shall be worn under the combination sleeve. Skin and body protection : Manufacturing and processing work: Full protective clothing Type 5 (EN 13982- 2) Mixer and loaders must wear: Full protective clothing Type 5 + 6 (EN ISO 13982-2 / EN 13034) Nitrile rubber boots (EN 13832-3 / EN ISO 20345). Spray application - outdoor: Tractor / sprayer with hood: No personal body protection normally required. Tractor / sprayer without hood: Backpack / knapsack sprayer: Full protective clothing Type 6 (EN 13034) Nitrile rubber boots (EN 13832-3 / EN ISO 20345). Mechanical automatized spray application in closed tunnel: No personal body protection normally required. Protective measures : The type of protective equipment must be selected according to the concentration and amount of the dangerous substance at the specific workplace. All chemical protective clothing should be visually inspected prior to use. Clothing and gloves should be replaced in case of chemical or physical damage or if contaminated. Only protected handlers may be in the area during application. Hygiene measures : Handle in accordance with good industrial hygiene and safety practice. Regular cleaning of equipment, work area and clothing. Keep working clothes separately. Contaminated work clothing should not be allowed out of the workplace. Wash hands and face before breaks and immediately after handling the product. When using do not eat, drink or smoke. Keep away from food, drink and animal feedingstuffs. For environmental protection remove and wash all contaminated protective equipment before re-use. Remove clothing/PPE immediately if material gets inside. Wash thoroughly and put on clean clothing. Dispose of rinse water in accordance with local and national regulations. Respiratory protection : Manufacturing and processing work: Mixer and loaders must wear: Half mask with a particle filter FFP1 (EN149) Spray application - outdoor: Tractor / sprayer with hood: No personal respiratory protective equipment normally required. Tractor / sprayer without hood: Backpack / knapsack sprayer: Half mask with a particle filter P1 (EN 143). Mechanical automatized spray application in closed tunnel: No personal respiratory protective equipment normally required. SECTION 9: Physical and chemical properties 9.1. Information on basic physical and chemical properties Form: solid Colour: off-white, brown Odour: slight SAFARI® LITE Version 5. 0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 8/16 Odour Threshold: not determined pH: 7.7 Melting point/range: Not available for this mixture. Boiling point/boiling range: Not applicable Flash point: Not applicable Flammability (solid, gas): Does not sustain combustion. Auto-ignition temperature: Test Type :Auto-ignition temperatureno data available Oxidizing properties: The product is not oxidizing. Explosive properties: Not explosive Lower explosion limit/ lower flammability limit : no data available Upper explosion limit/ upper flammability limit : no data available Vapour pressure: Not available for this mixture. Relative density: Not available for this mixture. Bulk density: 482 kg/m3 , packed Water solubility: dispersible Partition coefficient: n- octanol/water : Not applicable Viscosity, kinematic: not determined Relative vapour density: Not applicable Evaporation rate: Not applicable 9.2. Other information Phys.-chem./other information: No other data to be specially mentioned. SECTION 10: Stability and reactivity 10.1. Reactivity: No hazards to be specially mentioned. SAFARI® LITE Version 5. 0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 10.2. Chemical stability : The product is chemically stable under recommended conditions of storage, use and temperature. 10.3. Possibility of hazardous reactions: No dangerous reaction known under conditions of normal use. Polymerization will not occur. No decomposition if stored and applied as directed. 10.4. Conditions to avoid : To avoid thermal decomposition, do not overheat. Under severe dusting conditions, this material may form explosive mixtures in air. Decomposes slowly on exposure to water. Exposure to moisture 10.5. Incompatible materials: Incompatible with bases. 10.6. Hazardous decomposition products : Sulphur oxides Hydrogen fluoride SECTION 11: Toxicological information 11.1. Information on toxicological effects Acute oral toxicity LD50 / Rat : > 5,000 mg/kg Method: OECD Test Guideline 401 The toxicological data has been taken from products of similar composition. Information source: Internal study report Acute inhalation toxicity - Lenacil - Triflusulfuron-methyl LC50 / 4 h Rat : > 5.12 mg/l Method: OECD Test Guideline 403 Information source: Internal study report LC50 / 4 h Rat : > 5.1 mg/l Method: OECD Test Guideline 403 Information source: Internal study report Acute dermal toxicity LD50 / Rabbit : > 2,000 mg/kg Method: OECD Test Guideline 402 The toxicological data has been taken from products of similar composition. Information source: Internal study report Skin irritation Rabbit Result: No skin irritation Method: OECD Test Guideline 404 The toxicological data has been taken from products of similar composition. Information source: Internal study SAFARI® LITE Version 5. 0 (replaces: Version 4.0) Revision Date 06.05.2016 report Eye irritation Rabbit Result: No eye irritation Method: OECD Test Guideline 405 The toxicological data has been taken from products of similar composition. Information source: Internal study report Sensitisation Guinea pig Skin sensitisation Result: Animal test did not cause sensitization by skin contact. Method: OECD Test Guideline 406 The toxicological data has been taken from products of similar composition. Information source: Internal study report Repeated dose toxicity - Lenacil The following effects occurred at levels of exposure that significantly exceed those expected under labeled usage conditions. Ingestion Not tested on animals Exposure time: 90 d NOAEL: > 100 mg/kg No toxicologically significant effects were found. Oral - feed Mouse Exposure time: 90 d Increased liver weight Oral - feed Dog Exposure time: 90 d Liver effects, Spleen effects - Triflusulfuron-methyl The following effects occurred at levels of exposure that significantly exceed those expected under labeled usage conditions. Oral - feed multiple species Reduced body weight gain, Liver effects, Abnormal decrease in number of red blood cells Mutagenicity assessment - Lenacil Animal testing did not show any mutagenic effects. Tests on bacterial or mammalian cell cultures did not show mutagenic effects. - Triflusulfuron-methyl 10/16 Ref. 130000010910 Annex II SAFARI® LITE Version 5. 0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 Tests on bacterial or mammalian cell cultures did not show mutagenic effects. Animal testing did not show any mutagenic effects. Carcinogenicity assessment - Lenacil Suspected human carcinogens - Triflusulfuron-methyl Suspected human carcinogens An increased incidence of tumours was observed in laboratory animals. Target(s): Testes Liver The observed tumors do not appear to be relevant for men. Toxicity to reproduction assessment - Triflusulfuron-methyl No toxicity to reproduction Animal testing did not show any effects on fertility. Assessment teratogenicity - Lenacil Animal testing showed no developmental toxicity. - Triflusulfuron-methyl Animal testing showed effects on embryo-fetal development at levels equal to or above those causing maternal toxicity. STOT - single exposure The substance or mixture is not classified as specific target organ toxicant, single exposure. STOT - repeated exposure The substance or mixture is not classified as specific target organ toxicant, repeated exposure. Aspiration hazard The mixture does not have properties associated with aspiration hazard potential. SECTION 12: Ecological information 12.1. Toxicity Toxicity to fish - Lenacil static test / LC50 / 96 h / Oncorhynchus mykiss (rainbow trout): > 2.0 mg/l Method: OECD Test Guideline 203 Information source: Internal study report SAFARI® LITE Version 5. 0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 - Triflusulfuron-methyl LC50 / 96 h / Oncorhynchus mykiss (rainbow trout): 730 mg/l Method: OECD Test Guideline 203 Information source: Internal study report Toxicity to aquatic plants - Triflusulfuron-methyl EC50 / 72 h / Pseudokirchneriella subcapitata (microalgae): 0.50 mg/l Method: OECD Test Guideline 201 Information source: Internal study report Toxicity to aquatic invertebrates - Lenacil - Triflusulfuron-methyl EC50 / 48 h / Daphnia magna (Water flea): > 4.4 mg/l Method: OECD Test Guideline 202 Information source: Internal study report EC50 / 48 h / Daphnia magna (Water flea): > 960 mg/l Method: OECD Test Guideline 202 Information source: Internal study report Chronic toxicity to fish - Lenacil Early Life-Stage / NOEC / 90 d / Oncorhynchus mykiss (rainbow trout): 0.16 mg/l Method: OECD Test Guideline 210 Information source: Internal study report - Triflusulfuron-methyl NOEC / 21 d / Oncorhynchus mykiss (rainbow trout): > 210 mg/l Method: OECD Test Guideline 204 NOEC / 21 d / Oncorhynchus mykiss (rainbow trout): > 210 mg/l Method: OECD Test Guideline 204 Information source: Internal study report Chronic toxicity to aquatic Invertebrates - Lenacil NOEC / 21 d / Daphnia magna (Water flea): 0.48 mg/l Method: OECD Test Guideline 202 Information source: Internal study report - Triflusulfuron-methyl NOEC / 21 d / Daphnia magna (Water flea): 11 mg/l NOEC / 21 d / Daphnia magna (Water flea): 11 mg/l SAFARI® LITE Version 5. 0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 Method: OECD Test Guideline 202 Information source: Internal study report 12.2. Persistence and degradability Biodegradability Not readily biodegradable. Estimation based on data obtained on active ingredient. 12.3. Bioaccumulative potential Bioaccumulation Does not bioaccumulate. Estimation based on data obtained on active ingredient. 12.4. Mobility in soil Mobility in soil Potentially mobile, but the leaching potential is mitigated by rapid degradation. 12.5. Results of PBT and vPvB assessment PBT and vPvB assessment This mixture contains no substance considered to be persistent, bioaccumulating and toxic (PBT). / This mixture contains no substance considered to be very persistent and very bioaccumulating (vPvB). 12.6. Other adverse effects Additional ecological information No data is available on the product itself. No other ecological effects to be specially mentioned See product label for additional application instructions relating to environmental precautions. SECTION 13: Disposal considerations 13.1. Waste treatment methods Product : In accordance with local and national regulations. Must be incinerated in a suitable incineration plant holding a permit delivered by the competent authorities. Do not contaminate ponds, waterways or ditches with chemical or used container. Contaminated packaging: Do not re-use empty containers. European Waste Catalogue number : 020108: agrochemical waste containing dangerous substances SECTION 14: Transport information SAFARI® LITE Version 5.0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 ADR 14.1. UN number: 3077 14.2. UN proper shipping name: ENVIRONMENTALLY HAZARDOUS SUBSTANCE, SOLID, N.O.S. (Lenacil, Triflusulfuron methyl) 14.3. Transport hazard class(es): 9 14.4. Packing group: III 14.5. Environmental hazards: Environmentally hazardous 14.6. Special precautions for user: Tunnel restriction code: (E) IATA_C 14.1. UN number: 3077 14.2. UN proper shipping name: Environmentally hazardous substance, solid, n.o.s. (Lenacil, Triflusulfuron methyl) 14.3. Transport hazard class(es): 9 14.4. Packing group: III 14.5. Environmental hazards : For further information see Section 12. 14.6. Special precautions for user: DuPont internal recommendations and transport guidance: ICAO / IATA cargo aircraft only IMDG 14.1. UN number: 3077 14.2. UN proper shipping name: Environmentally hazardous substance, solid, n.o.s. (Lenacil, Triflusulfuron methyl) 14.3. Transport hazard class(es): 9 14.4. Packing group: III 14.5. Environmental hazards : Marine pollutant 14.6. Special precautions for user: 14.7. Transport in bulk according to Annex II of Marpol and the IBC Code Not applicable No special precautions required. SECTION 15: Regulatory information 15.1. Safety, health and environmental regulations/legislation specific for the substance or mixture 15.2. Chemical safety assessment SAFARI® LITE Version 5. 0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 A Chemical Safety Assessment is not required for this substance. The mixture is registered as a plant protection product under Regulation (EC) No. 1107/2009. Refer to the label for exposure assessment information. SECTION 16: Other information Full text of H-Statements referred to under section 3. H302 Harmful if swallowed. H315 Causes skin irritation. H319 Causes serious eye irritation. H332 Harmful if inhaled. H335 May cause respiratory irritation. H351 Suspected of causing cancer. H400 Very toxic to aquatic life. H410 Very toxic to aquatic life with long lasting effects. Other information professional use Abbreviations and acronyms ADR European Agreement concerning the International Carriage of Dangerous Goods by Road ATE Acute toxicity estimate CAS-No. Chemical Abstracts Service number CLP Classification, Labelling and Packaging EbC50 Concentration at which 50% reduction of biomass is observed EC50 Median effective concentration EN European Norm EPA Environmental Protection Agency ErC50 Concentration at which a 50% inhibition of growth rate is observed EyC50 Concentration at which 50 % inhibition of yield is observed IATA_C International Air Transport Association (Cargo) IBC International Bulk Chemical Code ICAO International Civil Aviation Organization ISO International Standard Organization IMDG International Maritime Dangerous Goods LC50 Median Lethal Concentration LD50 Median Lethal Dose LOEC Lowest Observed Effect Concentration LOEL Lowest observed effect level MARPOL International Convention for the Prevention of Marine Pollution from Ships n.o.s. Not Otherwise Specified NOAEC No Observed Adverse Effect Concentration NOAEL No observed adverse effect level NOEC No Observed Effect Concentration NOEL No Observed Effect Level OECD Organisation for Economic Co-operation and Development OPPTS Office of Prevention, Pesticides and Toxic Substances PBT Persistent, Bioaccumulative and Toxic STEL Short term exposure limit SAFARI® LITE Version 5.0 (replaces: Version 4.0) Revision Date 06.05.2016 Ref. 130000010910 TWA vPvB Time Weighted Average (TWA): very Persistent and very Bioaccumulative Further information Take notice of the directions of use on the label. ® Registered trademark of E.I. du Pont de Nemours and Company Before use read DuPont's safety information. Significant change from previous version is denoted with a double bar. The information provided in this Safety Data Sheet is correct to the best of our knowledge, information and belief at the date of its publication. The information given is designed only as a guide for safe handling, use, processing, storage, transportation, disposal and release and is not to be considered a warranty or quality specification. The above information relates only to the specific material(s) designated herein and may not be valid for such material(s) used in combination with any other materials or in any process or if the material is altered or processed, unless specified in the text.
Gender Harmony Project PSS - Jira project doesn't exist or you don't have permission to view PSS-1387 - Jira project doesn't exist or you don't have permission to view PSS-1387 it. PSS Help and FAQs Comments \| 1a. Project Name \| Gender Harmony Project \| \|---\|---\| \| 1b. Project ID \| 1533 \| \| 1c. Is Your Project an Investigative Project (aka PSS-Lite)? \| No \| \| 1d. Is your Project Artifact being Reaffirmed or proceeding to Normative directly after being either Informative or STU? \| No \| \| 1e. Today's Date \| \| \| 1f. Name of standard being reaffirmed \| \| \| 1g. Project Artifact Information \| \| \| 1h. ISO/IEC Standard to Adopt \| \| \| 1i. Does the standard include excerpted text from one or more ISO, IEC or ISO/IEC standards, but is not an identical or modified adoption? \| \| \| 1j. Unit of Measure \| \| \| 2a. Primary/Sponsor WG \| Structured Documents \| \| 2b. Co-Sponsor WG \| Patient Care \| \| 2c. Co-Sponsor Level of Involvement \| Request formal content review prior to ballot \| \| 2b. Co-Sponsor WG 2 \| Payer/Provider Information Exchange \| \| 2c. Co-Sponsor Level of Involvement \| Request periodic project updates; specify period in text box below (e.g. 'Monthly', 'At WGMs', etc.) \| \| 2c. Co-Sponsor 2 Update Periods \| at WGMs \| \| 2b. Co-Sponsor WG 3 \| Patient Administration \| \| 2c. Co-Sponsor Level of Involvement \| Request formal content review prior to ballotRequest periodic project updates; specify period in text box below (e.g. 'Monthly', 'At WGMs', etc.) \| \|---\|---\| \| 2c. Co-Sponsor 3 Update Periods \| at WGMs \| \| 2b. Co-Sponsor WG 4 \| Financial Management \| \| 2c. Co-Sponsor Level of Involvement \| Request periodic project updates; specify period in text box below (e.g. 'Monthly', 'At WGMs', etc.) \| \| 2d. Project Facilitator \| Rob McClure \| \| 2e. Other Interested Parties (and roles) \| HL7 Netherland (@Alexander Henket), HL7 Germany (@Kai U. Heitmann), HL7 Canada (@Andrea MacLean), HL7 Australia (@Reuben Daniels) And see https://confluence.hl7.org /display/VOC/Project+participants \| \| 2f. Modeling Facilitator \| \| \| 2g. Publishing Facilitator \| \| \| 2h. Vocabulary Facilitator \| @rob \| \| 2i. Domain Expert Representative \| \| \| 2j. Business Requirements Analyst \| \| \| 2k. Conformance Facilitator \| \| \| 2l. Other Facilitators \| \| \| 2m. Implementers \| n/a \| 3a. Project Scope Attachments 3b. Project Need 3c. Security Risk 3d. External Drivers 3e. Objectives/Deliverables and Target Dates 3f. Common Names / Keywords / Aliases: 3g. Lineage 3h. Project Dependencies 1. identify the primary types of sex/gender classifications/uses that are currently needed for health data documentation and exchange The intent is to primarily represent actual user needs that relects end user community needs including the international community. Name and define these types. This class of things will, for now, be referred to as SexGenderTypes If no real context of use can be identified then place the type on a to-do list and move on. include descriptions of the context of use for each Sex-GenderType. Where agreement exists, link the context of use to existing clinical models/systems. values, are linked to multiple sexy types. It is fine to identify existing model/systems that based on definition or existing allowed Clarify the general context of use (write a definition) for the word "Sex" and the word "gender" 2. Identify code/description/definition (ie, concepts, but not necessarily from an existing code system) to be used for each Sex-GenderType Pay particular attention to situations where a change in context of use may result in different sex or gender identity may change for the same person (IE: looks like a male but has female sex organs.) While we may draw from a code system, this is not intended to restrict the process to use existing concepts. We'll match things up later CLOSED - no further concepts are to be used. This means any situation that doesn't quite seem to fit one of the defined values would have to compromise and pick an existing value. Work to align with existing use and existing concepts, but not be hog-tied to them 3. Based on the context of use determined for the Sex-GenderTypes. Decide if the value set associated with the SexyType is "closed" or "open." This means if we need to support Other or Unknown, we say that. (A so called null type) not in the provided value set. This is exactly equivalent to the FHIR Extensible binding OPEN - the defined set of concepts can be extended if the meaning that needs be sent is strength. The expectation is that a concept from a different code system would be sent, and If two Sex-GenderTypes are the same but one context needs to have a null, or needs to not be closed, that is a different context, so it's a different Sex-GenderType. if that is not supported, then a text string. Out of Scope but mentioned in the informative document: Additions or modifications to any base (balloted) standards (eg. FHIR, v2, CDA, etc) The use of pronouns as a way of describing or addressing a person's sex or gender identity Any potential changes to external code systems (LOINC for observations, SNOMED CT new sex/gender types) but we will keep these authorities aware of any potential changes to consider. This is project born of the ongoing frustration the ideas encompassed by "sex" and "gender" have never been easy to capture consistently within health models. In particular it has become common for there to exist a single "sex" or "gender" field in a data collection model when in fact it seems that individuals can be represented by multiple types of sex identity (biologic sex) and a gender identity at the same time and those identities can properly be represented with "opposite" codes (M for one meaning and F for another) resulting in enduse confusion, increased costs, and negative clinical and social impact. This project intends to provide a framework to disambiguate these issues. No A white paper that provides an overview of the general issues involved and provides a set of defined "sex-gendertypes" which are named descriptions for sex and gender value sets with explicitly defined member content. In addition we will identify, in part, existing sex or gender model elements that appear to use these types, and where possible, identify apparent use case situations that could be improved by implementing these more specifically defined sexgendertypes This will include identifying use cases and specifications that could be updated to reference the output of this project through some other project activity. e.g. The FHIR Patient resource Gender section could refer back to this output document. We also plan to specify FHIR value sets for all of the sex-gender types. We currently intend to submit for ballot no later than May 2020 but will attempt to met January 2020 ballot deadlines if possible. 3i. HL7-Managed Project Document https://confluence.hl7.org/display/VOC/The+Gender+Harmony+Project Repository URL: \| 3j. Backwards Compatibility \| No \| \|---\|---\| \| 3k. Additional Backwards Compatibility Information (if applicable) \| \| \| 3l. Using Current V3 Data Types? \| No \| \| 3l. Reason for not using current V3 data types? \| \| \| 3m. External Vocabularies \| Yes \| \| 3n. List of Vocabularies \| SNOMED CT, LOINC, HL7 \| \| 3o. Earliest prior release and/or version to which the compatibility applies \| \| \| 4a. Products \| White Paper \| \| 4b. For FHIR IGs and FHIR Profiles, what product version(s) will the profiles apply to? \| \| \| 4c. FHIR Profiles Version \| \| \| 4d. Please define your New Product Definition \| \| \| 4d. Please define your New Product Family \| \| \| 5a. Project Intent \| White Paper \| \| 5a. White Paper Type \| Balloted Informative \| \| 5a. Is the project adopting/endorsing an externally developed IG? \| \| \| 5a. Externally developed IG is to be (select one) \| \| \| 5a. Specify external organization \| \| \| 5a. Revising Current Standard Info \| \| \| 5b. Project Ballot Type \| Informative \| \| 5c. Additional Ballot Info \| \| \| 5d. Joint Copyright \| No \| \| 5e. I understand I must submit a Joint Copyright Letter of Agreement to the TSC in order for the PSS to receive TSC approval. \| no \| 6b. Content Already Developed \| 6d. List Developers of Externally Developed Content \| \| \|---\|---\| \| 6e. Is this a hosted (externally funded) project? \| \| \| 6f. Stakeholders \| Quality Reporting Agencies , Regulatory Agency , Standards Development Organizations (SDOs) , Payors \| \| 6f. Other Stakeholders \| \| \| 6g. Vendors \| EHR, PHR , Clinical Decision Support Systems , Lab \| \| 6g. Other Vendors \| \| \| 6h. Providers \| Clinical and Public Health Laboratories , Healthcare Institutions (hospitals, long term care, home care, mental health) \| \| 6h. Other Providers \| \| \| 6i. Realm \| Universal \| \| 7d. US Realm Approval Date \| \| \| 7a. Management Group(s) to Review PSS \| CDA , FHIR , V2 \| \| 7b. Sponsoring WG Approval Date \| May 09, 2019 \| \| 7c. Co-Sponsor Approval Date \| \| \| 7c. Co-Sponsor 2 Approval Date \| \| \| 7c. Co-Sponsor 3 Approval Date \| May 22, 2019 \| \| 7c. Co-Sponsor 4 Approval Date \| May 21, 2019 \| \| 7c. Co-Sponsor 5 Approval Date \| \| \| 7c. Co-Sponsor 6 Approval Date \| \| \| 7c. Co-Sponsor 7 Approval Date \| \| \| 7c. Co-Sponsor 8 Approval Date \| \| \| 7c. Co-Sponsor 9 Approval Date \| \| \| 7c. Co-Sponsor 10 Approval Date \| \| \| 7e. CDA MG Approval Date \| \| \| 7f. FMG Approval Date \| May 29, 2019 \| \| 7g. V2 MG Approval Date \| \|
1 LATHAM & WATKINS LLP ``` 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 28 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 28 Peter A. Wald (Bar No. 85705) email@example.com 505 Montgomery Street, Suite 2000 San Francisco, CA 94111 T: (415) 391-0600/F: (415) 395-8095 Colleen C. Smith (Bar No. 231216) firstname.lastname@example.org 12670 High Bluff Drive San Diego, CA 92130 T: (858) 523-5400/F: (415) 395-8095 Megan C. Fitzpatrick (Bar No. 6309005) email@example.com 330 N. Wabash Ave, Suite 2800 Chicago, IL 60611 T: (312) 876-7700/F: (312) 993-9767 ACLU FOUNDATION OF SOUTHERN CALIFORNIA Jennifer Pasquarella (Bar No. 263241) firstname.lastname@example.org Michael Kaufman (Bar No. 254575) email@example.com Sameer Ahmed (Bar No. 319609) firstname.lastname@example.org 1313 West 8th Street Los Angeles, CA 90017 T: (213) 977-5232/F: (213) 977-5297 ACLU FOUNDATION OF NORTHERN CALIFORNIA Christine P. Sun (Bar No. 218701) email@example.com 39 Drumm Street San Francisco, CA 94111 T: (415) 621-2493/F: (415) 255-1487 Attorneys for Plaintiffs Jiahao Kuang and Deron Cooke UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF CALIFORNIA JIAHAO KUANG AND DERON COOKE, on behalf of themselves and those similarly situated, Plaintiffs, v. UNITED STATES DEPARTMENT OF DEFENSE and JAMES MATTIS, in his official capacity as Secretary of Defense of the United States Department of Defense Defendants. Case No. CLASS ACTION COMPLAINT AND PRAYER FOR DECLARATORY, PRELIMINARY AND PERMANENT INJUNCTIVE, AND ADMINISTRATIVE PROCEDURE ACT RELIEF 18-cv-3698 ``` 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 28 INTRODUCTION 1. Plaintiffs are Lawful Permanent Residents of the United States ("LPRs") who seek the opportunity to serve this country on equal footing with United States citizens. Plaintiffs enlisted in the United States Armed Forces because they want to defend and give back to their adopted country, but they are being prevented from doing so by an unlawful and discriminatory new policy instituted by the United States Department of Defense ("DoD") and Secretary of Defense James Mattis (together, "Defendants"). In a radical departure from longstanding policy, Defendants are forcing LPRs to pass undefined background investigations and requirements before they are permitted to serve in the military, while United States citizens continue to serve unimpeded. Defendants have failed to explain the purpose behind this discriminatory policy change. 2. Defendants announced this abrupt shift in a memorandum issued on October 13, 2017. See Office of the Under Secretary of Defense, Military Service Suitability Determinations for Foreign Nationals Who Are Lawful Permanent Residents (October 13, 2017) (the "October 13 Memo"), Exhibit A. The October 13 Memo states that LPRs cannot ship to basic training, and thus serve in the military, until certain background investigations and related determinations about their purported suitability to serve in the military are completed. It fails to explain what those background investigations and determinations are, how long they will take, or why they are necessary. Meanwhile, U.S. citizens continue to ship to basic training after their standard background investigations are initiated, which occurs shortly after they enlist. 3. Defendants are thus unfairly targeting LPRs, treating them as second-class recruits solely because of their status as LPRs. Instead of proffering a justification for this treatment, the October 13 Memo merely states that the new policy is to "facilitate process efficiency and the appropriate sharing of information for security risk based suitability and security decisions for the accession of foreign nationals." See Ex. A: October 13 Memo at p. 1. As the discriminatory impact and lack of any justification make plain, there cannot be any legitimate government rationale for this new policy. 4. For decades, LPRs and U.S. citizens have been treated the same by the 1 2 3 4 5 6 7 DoD. Pursuant to the DoD's written policies, they shipped to basic training and began their military service as soon as they met certain basic enlistment qualifications and their background investigations were initiated by the DoD. This was consistent with the U.S. military's longstanding commitment to immigrant soldiers, which reflected the continuing and historical sacrifices that immigrants have made in the Armed Forces – beginning with the American Revolution and continuing in the Civil War, World War I and II, the Vietnam War, and into the present. 8 9 10 11 12 13 14 15 16 17 5. Now, LPRs who enlist are discriminated against and left in limbo. They do not know when or if they will be permitted to ship to basic training. They do not know if they should quit their jobs or notify employers of their enlistment, arrange for support and care for children and spouses, sell possessions and exit leases. They are not able to pursue their chosen career path, yet do not know if they should find another. Desirable officer positions within the military may be foreclosed to them given age restrictions and the likelihood of aging out as they wait to ship. They are not able to take advantage of the expedited path to naturalization that the military offers to LPRs, but unsure whether they should pursue the slower, civilian path. Finally, they are stigmatized as second-class recruits, and made to feel inferior by the very country they are trying to serve. 18 19 20 21 22 23 24 25 26 27 28 6. Defendants' unlawful attempts to prevent LPRs from serving in the military are contrary to Congress's intent and the plain language of 10 U.S.C. § 504(b) (the "Enlistment Statute"), which clearly states that "[a] person may be enlisted in any armed force only if the person is . . . [a] national of the United States… [or a]n alien who is lawfully admitted for permanent residence. . . ." 7. The October 13 Memo and its implementation violate the equal protection and due process rights guaranteed by the Fifth Amendment and the Administrative Procedure Act (the "APA"). Accordingly, on behalf of themselves and a class of all similarly-situated individuals, Plaintiffs seek declaratory, preliminary, and permanent injunctive relief to enjoin Defendants from implementing the policy change promulgated in the October 13 Memo and to permit LPRs to be shipped to basic training on the same terms as U.S. citizen recruits. 3 4 5 6 7 8 9 10 11 12 13 14 15 16 JURISDICTION 8. This Court has jurisdiction over this action under 28 U.S.C. § 1346 (United States as defendant); 28 U.S.C. § 1331 (federal question for violating a federal statute and the United States Constitution); and 5 U.S.C. § 701 et seq. (APA). VENUE 9. Venue is proper in the Northern District of California under 28 U.S.C. § 1391(e), because one of the named Plaintiffs, Jiahao Kuang, resides within this district. In addition, a substantial part of the events that gave rise to Plaintiffs' claims occurred in the state of California, where a significant number of LPRs reside (including LPRs who enlist in the military). 1 PARTIES 10. Plaintiff Jiahao Kuang resides in San Leandro, California and is an LPR. Mr. Kuang enlisted in the Navy in July 2017 and was placed in the Navy's Delayed Entry Program ("DEP"). 2 Mr. Kuang's background investigations are currently pending, and, in May 2018, he was informed by Navy personnel that he will not be shipped to basic training until the investigations are completed. 17 18 19 20 21 11. Plaintiff Deron Cooke resides in Trenton, New Jersey and is an LPR. Mr. Cooke enlisted in the Air Force in August 2017 and was placed in the Air Force's DEP. Mr. Cooke's background investigations are currently pending, and, after the October 13 Memo was issued, he was informed by Air Force personnel that he will not be shipped to basic training until the investigations are completed. 22 23 24 12. Defendant DoD is an executive branch department of the U.S. federal government that is responsible for the implementation and administration of enlistment and accession policy for LPRs. 25 26 27 1 Nancy Rytina, Estimates of the Legal Permanent Resident Population in 2012, at 3 (July 2013) (stating, "California was the leading state of residence with an estimated 3.4 million LPRs in 2012," representing 25.6% of all LPRs living in the United States). 28 2 Delayed Entry Programs ("DEPs") are programs in which recruits may be enrolled while waiting to be shipped out to basic training. Recruits in DEPs are not paid and have not been accessed into the military. 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 13. Defendant James Mattis is sued in his official capacity as Secretary of Defense of the DoD. As Secretary of Defense, General Mattis is responsible for the implementation and administration of enlistment and accession policy for LPRs. BACKGROUND AND FACTS LPRs Are A Valuable Military Resource 14. Immigrants are and always have been a valuable military resource. During the Revolutionary War, the Civil War, World War I, and World War II, a significant portion of the U.S. Armed Forces was comprised of immigrants. 3 In modern times, President George W. Bush issued an executive order after 9/11 to provide expedited naturalization for noncitizens serving in the Armed Forces in order to incentivize non-citizen enlistment. 4 Before the October 13 Memo, approximately 5,000 LPRs enlisted in the U.S. military every year. See Military Accessions Vital to National Interest (MAVNI) Recruitment Pilot Program Memorandum ("MAVNI Memo"), Exhibit B at p. 3. 15. Immigrant soldiers have repeatedly gone above and beyond the call of duty to protect the United States. As of 2006, nearly 200 immigrants had won significant awards in combat since 9/11. 5 Some of them have reached the highest ranks in the U.S. military. One of the most prominent contemporary examples is General John Shalikashvili, who served as the Chairman of the Joint Chiefs of Staff from 1993 to 1997, and who immigrated to the United States from Poland shortly after World War II. 6 Other immigrants have proven their value on the 20 21 3 Immigrant soldiers includes both non U.S. citizens and foreign born and naturalized U.S. citizens. See Jeanne Batalova, Immigrants in the U.S. Armed Forces, Migration Policy Institute, 22 23 May 15, 2008, available at https://www.migrationpolicy.org/article/immigrants-us-armed-forces; See also Huseyin Yalcinkaya and Melih Can, The Effect of Executive Order 13269 on Noncitizen Enlisted Accessions in the U.S. Military (Mar. 2013) (unpublished thesis, Naval Postgraduate School) (on file with Calhoun, Institutional Archive of the Naval Postgraduate School). 24 4 Margaret D. Stock, Special Report Immigrants in the Military Eight Years after 9/11, November 2009, available at 26 27 5 Contributions of Immigrants to the United States Armed Forces: Hearing Before the Senate Committee on the Armed Services, Senate Hrg. 109-884 (July 10, 2006) (Statement of Gen. Peter Pace). 25 https://www.americanimmigrationcouncil.org/sites/default/files/research/Immigrants_in_the_Mil itary_-_Stock_110909_0.pdf. 28 6 See id. ATTORNEYS 1 2 battlefield. Captain Felix Sosa-Camejo earned 12 citations, including 2 Bronze Stars, 3 Silver Stars, and 2 Purple Hearts, in the Vietnam War. 7 3 4 5 6 7 8 9 16. Immigrants, including LPRs, contribute valuable skills to the military. Many speak a second language other than English. 8 Further, numerous studies have found that immigrant recruits generally have better qualifications and lower attrition rates compared to U.S. citizen recruits. Non-citizens have 36-month attrition rates that are 13.5% lower than those for citizens. 9 Immigrant recruits with critical foreign language skills tend to have higher Armed Forces Qualification Test ("AFTQ") scores, higher levels of education, and above average performance reviews. 10 10 11 12 13 14 15 17. The U.S. military has long recognized the importance of immigrants. On July 10, 2006, the Senate Armed Services Committee held a field hearing devoted entirely to the role of immigrants in the Armed Forces. At the hearing, Dr. David S. C. Chu, the Undersecretary of Defense for Personnel and Readiness, testified that immigrants are "a vital part of this country's military" and provide "the Services with a richly diverse force in terms of race/ethnicity, language, and culture." 11 16 17 18 19 20 The Applicable Statutory and Regulatory Framework 18. In January 2006, Congress revised military enlistment laws, repealing the separate statutes that had previously governed enlistment in each of the service branches and replacing them with a single unified statute that applies to all of the armed services. The amended statute, 10 U.S.C. § 504(b) (the "Enlistment Statute"), provides that entry to the U.S. 21 23 24 8 Molly McIntosh and Seema Sayala, Non-citizens in the Enlisted U.S. Military, The CNA Corporation, Dec. 2011, at 6. 22 7 See Contributions of Immigrants to the United States Armed Forces: Hearing Before the Senate Committee on the Armed Services, Senate Hrg. 109-884 (July 10, 2006) (Statement of Emilio T. Gonzalez, Director, U.S. Citizenship and Immigration Services). 25 9 Anita Hattiangadi, et al., Non-citizens in Today's Military, The CNA Corporation, Apr. 2005, at 62. 26 10 Ani DiFazio, MAVNI Final Evaluation (presentation to Jeffrey Mayo, Director, Accession Policy, DoD) (May 21, 2013). 27 28 11 Contributions of Immigrants to the United States Armed Forces: Hearing Before the Senate Committee on the Armed Services, Senate Hrg. 109-884 (July 10, 2006) (Statement of Hon. David S.C. Chu, Under Secretary of Defense for Personnel and Readiness). AT LAW SANFRANCISCO 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 military is generally limited to: (1) U.S. nationals; 12 (2) LPRs; and (3) persons from the Federated States of Micronesia, the Republic of Marshall Islands, and Palau. By revising previous enlistment laws to clarify that LPRs can enlist in any branch of the U.S. military, Congress clearly demonstrated its intent to allow LPRs to serve in the military. 19. Additionally, the Enlistment Statute confers discretion to the relevant Secretary of each military component to broaden the pool of eligible recruits. It specifically provides that the Secretary "may authorize the enlistment of a person not described" in the statute "[if] such enlistment is vital to the national interest." 10 U.S.C. § 504(b)(2). But nowhere in the Enlistment Statute does Congress confer any discretion to the secretaries to restrict the citizenship and residency categories of eligible recruits. 20. All recruits, including LPRs, must pass certain background investigations. 13 Prior to the October 13 Memo, however, the background investigation process was the same for LPRs and U.S. citizens. Enlistees report to Military Enlistment Processing Stations ("MEPS") for physical and aptitude tests and background questioning about criminal histories, drug use, mental health and other matters. While at MEPS, enlistees submit fingerprints so that their background investigations can be initiated. 14 21. Before the October 13 Memo was issued, DoD practices and written policies subjected all enlistees to the same level of background investigations. 15 They also permitted all enlistees to ship to basic training and begin their military service once they completed the MEPS process and their background investigation was initiated. 16 This meant recruits could start training, be assigned to their units, get paid, and initiate the expedited 22 23 24 12 U.S. nationals are all citizens of the U.S., as well as all persons who, though not citizens, "owe[] permanent allegiance to the United States." See Immigration and Nationality Act, 8 U.S.C. 1101(a)(22). This includes persons born in or having ties to outlying possessions of the U.S., such as American Samoa and Swains Island. 25 13 See 32 CFR § 66.6(b)(8). 26 27 14 U.S. Army, Your Visit to MEPS, available at https://www.goarmy.com/learn/your-visit-tomeps.html. 15 Department of Defense Manual, Number 5200.02 §7.6(b)2. 28 16 Department of Defense Instruction, Number 1304.26 Enclosure 3 §2.h.6(a). 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 28 naturalization process if they are non-citizens, while waiting for the results of their background investigations. 17 If the background investigation revealed disqualifying information that was not divulged during MEPS, service members could be discharged for fraudulent entry. 18 22. Consistent with this prior practice, the DoD's own regulations and guidelines provide that the DoD should treat applicants to the U.S. military equally and without discrimination. Specifically, the DoD is required to: (a) Use common entrance qualification standards for enlistment, appointment, and induction into the Military Services. (b) Avoid inconsistencies and inequities based on ethnicity, gender, race, religion, or sexual orientation in the application of these standards by the Military Services. (c) Judge the suitability of individuals to serve in the Military Services on the basis of their adaptability, potential to perform, and conduct. 19 The October 13 Memo Bars LPRs From The Military Indefinitely 23. The October 13 Memo abruptly changed the DoD's prior enlistment practice, violating not only the Enlistment Statute, but the DoD's own regulations and guidelines. Defendants failed to provide any legitimate reason to justify this reversal. 24. The October 13 Memo states "[i]n order to facilitate process efficiency and the appropriate sharing of information for security risk based suitability and security decisions for the accession of foreign nationals . . . effective immediately a Military Service Suitability Determination (MSSD) and National Security Determination (NSD) will be made prior to such foreign national's entry into Active, Reserve, or Guard Service." See Ex. A: October 13 Memo at p. 1. This means that all LPRs must wait until their required background investigations are completed and favorable "NSDs" and "MSSDs" are rendered before they are 17 8 U.S.C. §1440 provides an expedited path to citizenship for non-citizen service members by eliminating certain requirements relating to age, length of residency, and payment of fees that apply to civilian applicants for naturalization. For example, in the past, military service members could initiate their naturalization process after one day of training in boot camp regardless of how long they have resided in the U.S. See supra n.16. On the other hand, civilian LPRs have to reside in the U.S. for at least five years prior to filing the naturalization application unless they are spouses of U.S. citizens. In that case, three years of residence is sufficient. 18 See, e.g., 10 U.S.C. § 883, Art. 83. 19 32 CFR § 66.4; Department of Defense Instruction, Number 1304.26. 3 4 5 6 allowed to serve in the military. Meanwhile, U.S. citizens are still shipped to basic training and permitted to serve as soon as their background investigations are initiated. 20 25. The DoD must have the results of the background investigations before they can complete the MSSD and NSD adjudications. However, Defendants have not explained what is required to obtain a favorable NSD or MSSD adjudication, and it is not clear whether these adjudications are applying new, more rigorous standards or requirements to LPRs. 7 8 9 10 11 12 13 26. Indeed, Daniel Purtill, a DoD official and the Deputy Director of the DoD CAF at the time the October 13 Memo was issued, admitted that he has no idea what the background investigation process is for LPRs. More than four months after the October 13 Memo was issued, he stated, "I don't believe the [D]epartment [of Defense] has finalized that policy yet so I'm not sure what will be included in a check for an LPR." See Deposition Transcript of Daniel Purtill at 57:6-9, Feb. 16, 2017, Tiwari, et al. v. Mattis, et al., No. 2:17-cv00242-TSZ (W.D. Wash.), Exhibit C. 14 15 16 17 27. Even if Defendants determine that the background investigations which were previously applied to LPRs and are currently applied to U.S. citizens (the least rigorous background investigations that could be required by the MSSD or NSD) apply to LPRs now, the DoD has represented that they take 350 days to complete on average. 18 19 20 21 22 28. This delay is, at least in part, the result of an enormous backlog of background investigations for the federal government. As of September 2017, the governmentwide investigation backlog was 700,000 investigations. 21 According to the National Background Investigations Bureau ("NBIB"), the backlog increased at an average rate of about 3,600 investigations each week from October 2016 through July 2017. 22 23 24 25 26 20 A background investigation is initiated when the National Background Investigations Bureau's ("NBIB") processing center receives the investigation request, the corresponding document submissions, and the fingerprint, See "Requesting The Investigation" available at https://nbib.opm.gov/hr-security-personnel/requesting-opm-personnel-investigations/requestingthe-investigation/. 28 27 21 U.S. Government Accountability Office, Personnel Security Clearances: Additional Actions Needed to Ensure Quality, Address Timeliness, and Reduce Investigation Backlog (GAO-18-29), Report to Congressional Addressees at 70 (Dec. 2017). 22 Id. at 54. 3 4 29. Moreover, the DoD has not explained how they evaluate the results of the background investigation to make the MSSD and NSD adjudications. Thus, it is unclear when LPRs will be permitted to serve. In the interim, Plaintiffs have not been permitted to ship to basic training and do not know when they will be permitted to ship. 5 6 7 8 9 10 30. Upon information and belief, a "lack of U.S. citizenship" is grounds for an unfavorable adjudication of an NSD. A DoD document produced in a separate litigation indicated that the DoD CAF recommended an unfavorable NSD adjudication based "solely on a lack of U.S. citizenship." See Preliminary Injunction Hearing Transcript, Oct. 18, 2017, Kirwa v. U.S. Dep't of Defense, No. 17-cv-01793-ESH-EMM, ECF No. 27, at 81:20-84:15 (D.D.C.), Exhibit D. 11 Implementation Of The October 13 Memo 12 13 14 15 31. All branches of the U.S. military, including both active and reserves, have implemented the October 13 Memo and thus banned LPRs from serving in the U.S. military for an indefinite period of time. Further, in some instances, the DoD has refused to even accept enlistment applications from LPRs. 16 17 18 19 20 21 22 23 24 32. For example, LPRs were barred from submitting enlistment applications in the Army Reserve for about two months. On October 24, 2017, the U.S. Army Recruiting Command Public Affairs ("USAREC") issued a press release notifying potential recruits that the Army Reserve stopped enlisting LPRs, purportedly because the Army Reserve did not have a DEP in which LPRs could wait for their background investigations to be completed. See USAREC, DoD Issues New Guidance That Affects Recruiting Green Card Holders (October 24, 2017), Exhibit E. The Army eventually announced the creation of a DEP for prospective reservists in the week of December 27, 2017, but by then LPRs had already been barred from submitting enlistment applications in the Army Reserve for about two months. 23 25 33. Additionally, upon information and belief, some recruitment centers for 26 27 28 23 Meghann Myers, Green card holders can join the Army Reserve again — after a wait, Army Times, Dec. 27, 2017, available at https://www.armytimes.com/news/yourarmy/2017/12/27/green-card-holders-can-join-the-army-reserve-again-after-a-wait/. 3 the Marine Corps have also banned LPRs from enlisting pursuant to the October 13 Memo. Others have permitted them to submit enlistment applications, but have prohibited them from shipping to basic training. 4 5 6 7 8 9 10 34. The National Guard has mandated that all LPRs seeking to enlist in the National Guard must first enlist in a newly created Recruit Force Pool ("RFP"), akin to a DEP, while waiting for their background investigations to be completed. See National Guard Bureau, Army National Guard Recruit Force Pool (RFP) Enlistment Option with Lawful Permanent Resident (LPR-09M) Guidance (as amended January 4, 2018), Exhibit F. In the past, LPRs in the National Guard, like U.S. citizens, would be paid for attending a monthly drill. However, LPRs are no longer paid while in the RFP. Id. at p. 2. 11 12 13 14 35. Finally, upon information and belief, the Navy and the Air Force have also implemented the October 13 Memo. LPRs seeking to enlist after October 13, 2017 have been placed in the DEP, while waiting for their background investigations to be completed and MSSD and NSD to be favorably adjudicated. 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Plaintiffs Have Been Barred From Serving In The Military 36. In 2007, Plaintiff Jiahao Kuang immigrated to the U.S. from China with his father when he was eight years old. Since immigrating to the U.S., Mr. Kuang has embraced American traditions and is eager to become a citizen. 37. In the summer of 2017, following his junior year of high school, Mr. Kuang began making plans for his life after graduation. Proud of the country he has lived in since his childhood, Mr. Kuang decided to enlist in the U.S. Navy. 38. Mr. Kuang was sworn in and signed his enlistment contract with the Navy as a Personnel Specialist on July 18, 2017. As required for all high school recruits, Mr. Kuang enlisted into the Navy's DEP pending his high school graduation. His ship date was set for about a year later, on July 5, 2018, so that he could ship out shortly after graduation in June. 39. Mr. Kuang attended DEP meetings every month after he enlisted. He first learned about the policy change in the October 13 Memo at a DEP meeting in early 2018. However, Navy personnel told him they were optimistic that his ship date would not be delayed, 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 28 as there was a year between his enlistment and ship date during which his background investigation could be completed. 40. At a DEP meeting in May 2018, a recruiter informed Mr. Kuang that his ship date had been delayed to January 17, 2019. Mr. Kuang asked his recruiter whether there was anything he could do to ship out earlier. The recruiter told him that there was nothing he could do – he would simply have to wait until his background investigation cleared. However, he was also told that it was possible his background investigation would not be completed at that time and, if that was the case, then he would not be allowed to ship out. 41. Mr. Kuang graduated from high school on June 7, 2018 and now lives in a state of limbo. He can't go to college in the fall because he didn't apply to do so. If he had known that he would not ship out to basic training, he would have applied to and attended a University of California school if he were accepted. 42. Further, Mr. Kuang budgeted his money and planned his long-term finances under the assumption that he would ship out and begin to receive his salary on July 5, 2018, and that he would subsequently be eligible for financial assistance for college from the military. Now, his savings are beginning to run out, his unknown ship date makes finding a job difficult, and his concerns about being able to pay for college are growing. 43. Mr. Kuang feels he cannot make any long-term commitments due to the uncertainty created by his unknown ship date. Though he is scheduled to ship out in January 2019, Mr. Kuang could be ordered to ship at any time. He is therefore hesitant to sign up for community college courses and concerned about how to explain his situation to potential employers. He worries that he will ship out unexpectedly, and the company will have wasted training resources on him, damaging his reputation. If he is upfront about his uncertain status, he will be an unattractive employment candidate. 44. The policy change has also significantly delayed Mr. Kuang's pursuit of U.S. citizenship. When Mr. Kuang enlisted, he was told that he could get citizenship through his military service after three days of active duty service and he would not need to pay the application fee. As a result, he decided to renew his green card rather than apply for citizenship through the civilian process. Now, Mr. Kuang does not know when, or if, he will be able to obtain citizenship through the military. 3 4 5 6 7 8 9 10 11 12 45. Mr. Kuang wants to serve the United States and has demonstrated that he would be a valuable asset to the military. He is smart, hardworking, and self-motivated. Mr. Kuang scored exceptionally well on his Armed Services Vocational Aptitude Battery ("ASVAB") test, leading recruiters to suggest he pursue a job in nuclear engineering. He is a highly skilled, self-taught computer coder. He has pursued his interest in computers throughout high school, founding his high school's first coding club, helping organize a coding event for all high schools in the Bay Area, and frequently volunteering to create educational software programs for his teachers. He graduated high school with a 3.8 GPA and speaks Mandarin and Cantonese. Instead of encouraging Mr. Kuang to join the military, the DoD has delayed and blocked his service at every turn and treated him as a second-class, inferior recruit. 13 14 15 16 17 18 46. Mr. Kuang feels strongly that the October 13 Memo is unjust. He is frustrated because immigrants like himself contribute to the U.S. just as citizens do, yet policies such as the October 13 Memo make their path to success more difficult. Mr. Kuang is also concerned that he will be ostracized by his colleagues once he ships out given that the DoD's official policies single out and discriminate against LPRs. More than anything, the DoD policy makes him feel unwelcome in the U.S. and in the U.S. military. 19 20 21 22 23 24 25 26 27 28 47. Plaintiff Deron Cooke immigrated to the U.S. from Jamaica in July 2015 when he was twenty-two years old. He was looking for a better life, and he found it in the U.S. Grateful for his new life and inspired by his family's history of public service, Mr. Cooke decided to enlist to give back to his adopted country. Mr. Cooke's father was a police officer, and his uncle was an U.S. Air Force pilot. 48. In September 2017, Mr. Cooke was sworn in and signed a contract to work as an auto mechanic in the Air Force. His recruiter told him that he would ship out on November 15, 2017, while his background investigations were in progress. 49. At the time he enlisted, Mr. Cooke had a temporary position as a lensing technician for a laser technology company. Mr. Cooke was working as a temporary employee 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 28 because his employer understood that he would be shipping out to basic training soon. In anticipation of his ship date, Mr. Cooke submitted his two-weeks' notice to his employer. But just two weeks before his ship date, Mr. Cooke was told that his ship date and auto-mechanic job contract had been cancelled. 50. Mr. Cooke was forced to rescind his resignation and continue his job as a temporary technician. His recruiter told him that there was a nine-month backlog in processing the background investigations, but that he could not provide Mr. Cooke with a guaranteed timeline, and there was nothing Mr. Cooke could do to ship out sooner. Nor could he guarantee that Mr. Cooke would be able to serve as an auto mechanic, his desired position, since his contract for that position had been cancelled. 51. In February 2018, Mr. Cooke still had not received a new ship date, so he switched to a permanent employee position. Since then, Mr. Cooke's employer has encouraged him to apply for a promotion, but Mr. Cooke is hesitant because he does not know when he will ship out. He also has not taken advantage of his company's educational benefits because he hopes to ship out soon and begin his military career. 52. Mr. Cooke has big plans for his military career. His recruiter told him that after two years of service as an auto mechanic, he could pursue his education and earn credits to add to his associate's degree, so that he eventually would receive a bachelor's or master's degree and could work as an engineer within the military. But he hasn't been permitted to pursue these plans, and he is concerned that his military career options will become more limited as he gets older. 53. Mr. Cooke also wants to become a citizen so that he can bring his mother, who is ill, to the U.S. for better medical treatment. Mr. Cooke's mother suffers from a serious back injury, and is partially disabled. However, because he cannot start the naturalization process until he begins his military service, his citizenship has been indefinitely delayed, and he has not been able to sponsor his mother's immigration to the U.S. 54. To date, Mr. Cooke has still not received a new ship date. He feels the military has unfairly singled out him and other LPRs and that the military does not want LPRs 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 24 Thomas Spoehr, The Looming National Security Crisis: Young Americans Unable to Serve in the Military, The Heritage Foundation, Feb. 13, 2018, available at https://www.heritage.org/defense/report/the-looming-national-security-crisis-young-americansunable-serve-the-military. 25 Id. 27 28 26 Anita Hattiangadi, et al., Non-citizens in Today's Military, The CNA Corporation, Apr. 2005, at 6-7. fighting alongside citizens. He worries that the military thinks LPRs are all terrorists. He has been forced to put his life on hold, including his own honeymoon, in anticipation of being sent to basic training at a moment's notice. Defendants Have No Legitimate Justification For The October 13 Memo 55. The October 13 Memo fails to articulate any legitimate justification for its departure from this country's long tradition of enlisting LPRs and U.S. citizens on equal terms. The October 13 Memo simply states that the change is "to facilitate process efficiency and the appropriate sharing of information for security risk based suitability and security decisions for the accession of foreign nationals." See Ex. A: October 13 Memo. This vague and conclusory statement is not a legitimate justification for this dramatic and unprecedented new policy. 56. In fact, the new policy actually harms U.S. military interests and compromises national security. Currently approximately 71% of young Americans are ineligible to serve in the U.S. military because they do not meet physical fitness and educational requirements. 24 Military leaders anticipate that the military will have tremendous difficulties meeting its recruitment goals and have declared the manpower shortage a "looming crisis" that "directly compromises national security." 25 57. Meanwhile LPRs represent approximately 4.1% of the population that are between the recruitable ages of 18 to 24 year old, equivalent to about 1.5 million people. Their proportional share in the recruitable population is expected to grow over time since much of the growth in the U.S. youth population over the next two decades will come from immigration. 26 Moreover, they are highly qualified and less inclined to leave the military compared to U.S. 3 4 5 6 7 8 9 10 11 12 13 14 15 16 citizen recruits. 27 58. The indefinite ban of LPRs deepens the manpower crisis by both delaying the service of LPRs who have enlisted and deterring others from enlisting at all. 59. Indeed, the DoD itself has admitted that the new policy may have an impact on their ability to meet their recruiting goals in 2018. In fact, on April 20, 2018, the Secretary of the Army announced that the Army would fall short of its recruiting goal in 2018. 28 60. Previously, the Army has accepted recruits with lower qualifications in order to meet its recruiting goals, and it appears this is likely to occur again. For example, in 2017, the Army had to accept three times the number of recruits scoring below the 30 th percentile on standard military exams than it did in 2016. 29 The Army has also been granting more waivers to recruits who have admitted past drug use or have been diagnosed with mental health conditions. 30 In fact, from October 2016 to October 2017, the Army issued waivers to more than 1,000 recruits who had been diagnosed with mental health conditions that could affect their ability to serve in the military's estimation. 31 61. Additionally, if Defendants contend that the October 13 Memo was motivated by some national security concern, they have provided no evidence to support this 17 18 19 20 27 See supra at ¶ 16; see also Population Representation in the Military Services: Fiscal Year 2016 Summary Report, Office of the Under Secretary of Defense, Personnel and Readiness, 2016, at 41 ("In terms of the their quality, the majority of non-citizen [non-prior-service] accessions are high-quality recruits, with Tier 1 education credentials and an AFQT score in the top 50 percentiles."). 21 22 28 Richard Sisk, Goal of 80,000 Recruits Won't Be Met, Army Secretary Says, Military.com, April 21, 2018, available at https://www.military.com/daily-news/2018/04/21/goal-80000recruits-year-wont-be-met-army-secretary-says.html. 29 23 Christopher Woody,The Army is trying to bring in more recruits, and it's changing its 24 http://www.businessinsider.com/army-changing-recruiting-standards-to-attract-more-soldiers2017-10. standards to get them , Business Insider, Oct. 18, 2017, available at 25 26 30 Barnini Chakraborty, Army eases mental health restrictions to meet recruiting goals, New York Post, Nov. 13, 2017, available at https://nypost.com/2017/11/13/army-eases-mental-healthrestrictions-to-meet-recruiting-goals/. 27 28 history-bipolar-depression-self-mutilation/554917002/. 31 Tom Vanden Brook, Army issues waivers to more than 1,000 recruits for bipolar, depression, self-mutilation, USA Today, April 26, 2018, available at https://www.usatoday.com/story/news/politics/2018/04/26/army-issues-waivers-1-000-recruits3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 justification. 62. A study commissioned by the DoD found that threats to U.S. national security in the military do not come from new recruits, regardless of their immigration status. 32 Therefore, new LPR recruits do not pose heightened national security risks that warrant the drastic change to the existing policy. Nor are immigrants more prone to crime generally than U.S. citizens. In fact, "immigrants are less likely to be incarcerated than natives." 33 63. Further, from a national security perspective, all LPRs enlisting in the military have already undergone extensive background investigations—either through the Department of State (if they are processed for an immigrant visa overseas) or the Department of Homeland Security, or both agencies— in order to obtain their LPR status. Both the State Department and U.S. Citizenship and Immigration Services ("USCIS") conduct background investigations that address a wide range of risk factors, similar to those assessed in military background investigations. 34 They both run the names of every LPR applicant through an interagency background check system, which combines information from multiple agencies and databases to address national security risks, public safety issues, and other law enforcement concerns. 35 The agencies also conduct FBI fingerprint checks and FBI name checks for almost all LPR applicants, which will reveal any criminal history within the U.S. and which often reveal criminal history outside the U.S. as well. 36 These security checks and investigations identify LPR applicants who have been involved in violent crimes, sex crimes, drug trafficking or with 20 21 22 32 Kelly R. Buck et. al., Screening for Potential Terrorists in the Enlisted Military Accessions Process, Defense Personnel Security Research Center, Apr. 2005, available at https://fas.org/irp/eprint/screening.pdf 23 33 Michelangelo Landgrave and Alex Nowrasteh, Criminal Immigrants: Their Numbers, Demographics, and Countries of Origin, Cato Institute, March 15, 2017, at 6. 24 34 U.S. Citizenship and Immigration Services, Fact Sheet: Immigration Security Checks, U.S. Department of Homeland Security, Apr. 25, 2006, available at 26 available at https://www.uscis.gov/policymanual/HTML/PolicyManual-Volume12-PartBChapter2.html. 25 https://www.uscis.gov/sites/default/files/files/pressrelease/security_checks_42506.pdf; see also USCIS Policy Manual, Volume 12, Part B, Chapter 2-Background and Security Checks, 27 35 Id. 28 36 Id. 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 28 known links to terrorism. 37 Additionally, the Department of Homeland Security verifies the LPR status of all LPRs who attempt to enlist through the SAVE (Systematic Alien Verification of Entitlements) system, just prior to enlistment. As a result, LPR recruits have been thoroughly vetted prior to enlisting, unlike U.S. citizens. The October 13 Memo Discriminates Against LPRs 64. The October 13 Memo distinguishes between U.S. citizens and LPRs and creates additional burdens and requirements for LPRs solely because of their status as LPRs. Thus, on its face, it discriminates against LPRs. 65. Moreover, given the absence of any evidence of a legitimate government rationale, it is difficult to conceive of any motivation, other than animus, for the DoD making it more difficult for qualified immigrants to join the military. 66. In fact, on the same day the October 13 Memo was issued, Defendants issued another policy change that also unjustifiably targeted LPRs. See Office of the Under Secretary of Defense, Certification of Honorable Service for Members of the Selected Reserve of the Ready Reserve and Members of the Active Components of the Military or Naval Forces for Purposes of Naturalization (October 13, 2017), Exhibit G. It declared that it would not certify (and would revoke those already certified) Form N-426s, a form non-citizen soldiers must submit to USCIS to be eligible for expedited naturalization, until LPRs met additional requirements. 67. In the past, the DoD certified Form N-426s within one or two days of the applicants' submission, meaning non-citizen recruits could start the naturalization process during basic training. 38 Indeed, a federal statute entitles them to an expedited path to U.S. citizenship after as little as one day of military service. 39 Now Defendants will no longer certify the forms until more onerous requirements are met, including completing at least 180 days of active duty 37 U.S. Citizenship and Immigration Services, Fact Sheet: Immigration Security Checks, U.S. Department of Homeland Security, Apr. 25, 2006, available at https://www.uscis.gov/sites/default/files/files/pressrelease/security_checks_42506.pdf 38 See Kirwa v. U.S. Dep't of Defense, No. 17-cv-01793-ESH-EMM, 2017 U.S. Dist. LEXIS 176826 at *8-9 (D.D.C. Oct. 25, 2017). 39 8 U.S.C. § 1440 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 41 Alan Gomez, All the ways President Trump is cutting legal immigration, USA Today, June 12, 2016, available at https://www.usatoday.com/story/news/world/2018/06/12/donald-trumpcutting-legal-immigration/692447002/ 40 Tara Copp, US closes naturalization offices at military basic training sites, Military Times, Mar. 6, 2018, available at https://www.militarytimes.com/news/your-military/2018/03/06/uscloses-naturalization-offices-at-military-basic-training-sites/. 27 28 42 Rachael Wolfe, Transcript of Trump's CPAC speech, Vox, Feb. 23, 2018, available at https://www.vox.com/policy-and-politics/2018/2/23/17044760/transcript-trump-cpac-speechsnake-mccain. service or a full year of reserve service. As a result, USCIS has closed naturalization centers at basic training sites and non-citizen recruits, including LPRs, have to wait indefinitely before they can initiate the naturalization process. 40 68. Defendants' unprecedented and unjustified departure from historical practices targets LPR recruits. Defendants' dramatic policy reversal comes at a time when President Donald Trump's administration has enacted and promoted a flurry of policies against immigrants with lawful status. The current administration has radically curtailed the Temporary Protected Status program, which allows people from countries ravaged by war and natural disasters to remain in the U.S., and severely limited the admission of refugees to the country, including by lowering the annual cap on refugees. Under President Trump's leadership, the administration has also sought to end the long-standing practice of family immigration to the U.S. 41 69. Moreover, both during his campaign and after taking office, President Trump, the Commander-in-Chief of the U.S. Armed Forces, has made statements against immigrants with lawful status. He repeatedly told the old fable of a "vicious snake" killing its savior after she had nursed it back to health and asked his supporters to "think of [the story] in terms of immigration." At a Conservative Political Action Conference on February 23, 2018, President Trump compared immigrants to snakes again and warned "[w]e're letting people in. And it is going to be a lot of trouble. It is only getting worse." 42 70. In a campaign speech on September 1, 2016, President Trump told the American public that "we have no idea who these people [immigrants] are, where they come 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 28 from. I always say Trojan Horse." 43 71. Meanwhile, Defendants have offered no evidence of any legitimate government purpose for the October 13 Memo. Defendants' Unlawful Conduct Has Caused, and Will Continue to Cause, Substantial and Irreparable Harm to Plaintiffs 72. Plaintiffs are suffering and will continue to suffer substantial and irreparable harm as a result of this unjustified and unlawful policy change. 73. Plaintiffs want to serve their adopted country in the military. They want to protect American interests and people at home and abroad. They want to provide for their families and earn their U.S. citizenship by risking their lives for this country. But Defendants are refusing to allow them to do so. Instead, Defendants are treating LPRs as second-class recruits, discriminating against them for no reason other than their immigration status. In doing so, Defendants are effectively telling the world that LPRs are inferior to U.S. citizens. Defendants are also violating Plaintiffs' legal and constitutional rights. 74. Defendants' new policy has also caused significant harm to Plaintiffs' professional and personal lives. Not knowing when, or if, they will be permitted to serve, LPRs are unable to move forward with their personal and professional lives. They cannot pursue long term plans or goals, including choosing a career path, having a child, or deciding where to live. In anticipation of serving, many LPRs quit jobs or notified employers of their plans to enlist. 75. Lastly, since immigrants in the military have historically been guaranteed an expedited path to citizenship, the October 13 Memo has also denied LPRs the rights and benefits that are conferred with U.S. citizenship, including the right to vote, protection from deportation, the ability to become a commissioned officer, jobs that require security clearances, and the opportunity to sponsor their family members to immigrate to the U.S. CLASS ACTION ALLEGATIONS 76. The named Plaintiffs bring this action pursuant to Rule 23 of the Federal 43 Transcript of Donald Trump's Immigration Speech, New York Times, Sept. 1, 2016, available at https://www.nytimes.com/2016/09/02/us/politics/transcript-trump-immigration-speech.html. 3 4 5 6 7 8 9 Rules of Civil Procedure on behalf of themselves and all other persons similarly situated. The named Plaintiffs seek to represent the below-described class (the "Proposed Class"). 77. The Proposed Class is all individuals who: (i) are LPRs; (ii) have signed an enlistment contract with the U.S. military; and (iii) pursuant to Defendants' October 13 Memo, have not been permitted to enter into Active, Reserve or Guard Service pending the completion of their MSSD and NSD. 78. The members of the Proposed Class warrant class action treatment because they fulfill the certifying requirements of Rule 23(a) of the Federal Rules of Civil Procedure. 10 11 12 13 14 15 16 79. The Proposed Class meets the numerosity requirement of Rule 23(a)(1) because the members of the class are so numerous that joinder of all members is impractical. While the exact number of class members is unknown to Plaintiffs at this time, the DoD states that about 5,000 LPRs enlist in the military each year. See MAVNI Memo, Ex. B at p. 3. As it has been approximately eight months since the announcement of the October 13 Memo, the Proposed Class would consist of approximately 3,000 members, and Plaintiffs expect the Proposed Class to grow during the pendency of this litigation as more LPRs apply to enlist. 17 18 19 20 80. The Proposed Class meets the commonality requirement of Rule 23(a)(2) because there are questions of law and fact common to the class, including, for example, whether it is unlawful for Defendants to subject LPRs to different enlistment application procedures than U.S. citizen applicants. 21 22 23 24 25 26 27 28 81. The Proposed Class meets the typicality requirement of Rule 23(a)(3) because the claims of the named Plaintiffs are typical of the claims of each of the class members. Class members and Plaintiffs are similarly affected by Defendants' wrongful conduct in violation of their constitutional rights and in excess of Defendants' statutory and agency authority under the APA. 82. The named Plaintiffs will fairly and adequately protect the interests of the Proposed Class as required by Rule 23(a)(4) because their interests are identical to those of the other members of the class. In addition, the named Plaintiffs are represented by competent legal 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 28 counsel who are capable of fair and adequate representation of the Proposed Class, as they are experienced in federal litigation (including class actions), are undertaking representation on a pro bono basis, and have adequate resources and commitment to represent the class as a whole. 83. As of the filing of this Complaint, Plaintiffs already have demonstrated their ability to serve as class representatives by assisting counsel with developing and investigating the facts set forth in this Complaint, including by participating in phone and in person interviews with counsel. 84. Plaintiffs are committed to continuing to represent the class until their claims for permanent injunctive and declaratory relief are fully and finally adjudicated and until all class members are treated fairly and equally with all other enlistment applicants. 85. This Proposed Class qualifies for certification under Rule 23(b)(1) because prosecuting separate actions would create a risk of inconsistent adjudications across class members. If the individual members of the class were to bring separate suits to challenge Defendants' policies and practices, Defendants may address the claims of these individuals while ignoring the concerns of the remaining class members and, thereby exacerbating Defendants' unlawful conduct in providing disparate treatment. 86. Resolving this matter as a class action also would serve the Court's interest in judicial economy by avoiding overburdening the courts with individual lawsuits brought by each LPR who has been harmed by Defendants' unlawful conduct. 87. Alternatively, the Proposed Class qualifies for class action treatment under Rule 23(b)(2) because Plaintiffs seek final injunctive and declaratory relief. This relief is appropriate for the whole class as Defendants' unlawful conduct applies generally to the class as a whole. CLAIMS FOR RELIEF Count I: Violation Of Equal Protection (Fifth Amendment) 88. The foregoing allegations are realleged and incorporated by reference 89. The Due Process Clause of the Fifth Amendment prohibits the Federal herein. Government, its agencies, and its officials and employees from denying to any person the equal protection of the laws, including on the basis of alienage. 3 4 5 6 7 90. The October 13 Memo directs that "a Military Service Suitability Determination (MSSD) and National Security Determination (NSD), will be made prior to [an LPR's] entry into Active, Reserve or Guard Service." Ex. A: October 13 Memo at p. 1. However, Defendants impose no such requirement on U.S. citizens prior to their entry into military service. 8 9 91. The October 13 Memo facially discriminates against LPRs based on their alienage and violates Plaintiffs' right to equal protection under the Fifth Amendment. 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 92. There is no legitimate justification for such discriminatory treatment required under the Fifth Amendment. 93. As a result of the October 13 Memo, Plaintiffs have suffered, or imminently will suffer harm, including stigma, humiliation and/or emotional distress, loss of liberty, loss of salary and benefits upon which they and their dependents rely, obstruction of their path to military service (including loss of career opportunities), disruption of their path to naturalization, and violations of their constitutional right to equal protection. 94. Plaintiffs seek declaratory and injunctive relief to prevent the ongoing harm inflicted by Defendants' violation of the Equal Protection guarantees of the Fifth Amendment. Count II: Violation Of Substantive Due Process (Fifth Amendment) 95. The foregoing allegations are realleged and incorporated by reference herein. 96. The Due Process Clause of the Fifth Amendment prohibits the Federal Government, its agencies, and its officials and employees from depriving any person of life, liberty or property without due process of law, including the right to pursue a chosen profession. 97. Defendants' conduct, including their issuance and enforcement of the October 13 Memo, violates Plaintiffs' rights under the Fifth Amendment's Due Process Clause. 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 28 98. Where the government impermissibly burdens a due process right protected by the Fifth Amendment, such government action may be sustained only upon showing that it furthers a legitimate government interest. 99. Here, the October 13 Memo, without any justification, impermissibly burdens LPRs' constitutional right to pursue their chosen profession by preventing them from serving in the military. There is no legitimate justification for Defendants' refusal to allow LPRs to serve in the military. In fact, the October 13 Memo is overbroad and facially discriminatory, barring the military service of all LPRs, without any individualized determination of the national security risk that each enlistee might pose. See Ex. A: October 13 Memo at p. 1. Defendants' conduct epitomizes the very kind of arbitrary and capricious government action that the Due Process Clause forbids. 100. As a result of the October 13 Memo, LPRs, including Plaintiffs, have suffered, and will continue to suffer harm, including stigma, humiliation and/or emotional distress, loss of liberty, loss of salary and benefits on which they and their dependents rely, obstruction of their path to military service (including loss of career opportunities), disruption of their path to naturalization, and violations of their constitutional right to substantive due process. Defendants' conduct has denied Plaintiffs' the opportunity to serve in the military and continues to violate Plaintiffs' substantive due process rights on a daily basis. 101. Plaintiffs seek declaratory and injunctive relief to prevent future injury caused by Defendants' violation of their Fifth Amendment rights to substantive due process. Count III: Violation Of The Administrative Procedure Act (5 U.S.C. § 706(1)) 102. The foregoing allegations are realleged and incorporated by reference herein. 103. 5 U.S.C. § 706(1) authorizes a court to "compel agency action unlawfully withheld or unreasonably delayed." Reviewable agency action includes an agency's failure to act. Defendants unlawfully have withheld and/or unreasonably delayed Plaintiffs' shipment to basic training, and thus their military service, contrary to the requirements of applicable law 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 28 including the Enlistment Statute, 10 U.S.C. § 504(b)(1)(B). 104. The Enlistment Statute states, "A person may be enlisted in any armed force . . . if the person is one of the following: . . . [a]n alien who is lawfully admitted for permanent residence." 105. LPRs thus have a clear right to enlist and serve in the military. Defendants have interfered with this right by refusing to ship LPRs to basic training for an unknown period of time, thereby effectively banning them from military service indefinitely. 106. LPRs have the further right to reasonably timely shipment to basic training. Plaintiffs have been waiting to ship to basic training for many months and still do not know when they will be permitted to ship. Based on representations from the DoD regarding the backlog of background investigations, it could be many more months. 107. As a result of the October 13 Memo, LPRs, including Plaintiffs, have suffered, and will continue to suffer harm, including stigma, humiliation and/or emotional distress, loss of liberty, loss of salary and benefits on which they and their dependents rely, obstruction of their path to military service (including loss of career opportunities), the disruption of their path to naturalization, and their statutory right to enlist in the U.S. military. 108. Plaintiffs seek declaratory and injunctive relief to prevent future injury caused by Defendants' violation of 5 U.S.C. § 706(1). Count IV: Violation Of The Administrative Procedure Act (5 U.S.C. § 706(2)) 109. The foregoing allegations are realleged and incorporated by reference herein. 110. 5 U.S.C. § 706(2) authorizes a court to "hold unlawful and set aside agency action… found to be… arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with the law. . . [or] in excess of statutory jurisdiction, authority, or limitations or short of statutory right." 111. The October 13 Memo represents an unprecedented and unjustified departure from Defendants' longstanding policy and regulation of treating LPRs the same as U.S. citizens, including using the same enlistment qualification process and permitting LPRs to 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 28 ship to basic training while their background investigations and adjudications are pending. Despite the abrupt shift, Defendants have failed to provide any legitimate explanation for the new policy, subjecting only LPRs to new access restrictions and requirement solely on the basis of their status as LPRs. 112. The October 13 Memo is also arbitrary and capricious because it contains vague and unworkable requirements. It does not explain what background investigation requirements and standards LPRs must satisfy, fails to provide any guidance regarding the background investigation process, and arbitrarily discriminates against LPRs. 113. Nor did Defendants circulate the October 13 Memo for public review and comment prior to issuing the Memo. Defendants' failure to permit public comment prevents judicial review on a complete administrative record. Absent a complete administrative record, it is unknown whether Defendants meaningfully considered reasonable alternatives to the policies contained in the October 13 Memo. 114. Defendants are also impermissibly applying the October 13 Memo retroactively. Mr. Kuang and Mr. Cooke, and other proposed class members, enlisted prior to October 13, 2017. Nonetheless, Defendants are imposing the requirements of the October 13 Memo on Plaintiffs. 115. The October 13 Memo is not in accordance with the law and in excess of applicable statutory jurisdiction, authority, and limitations because it exceeds the authority granted to the DoD by the Enlistment Statute, which mandates that LPRs be permitted to enlist and serve in the military. 116. In contravention of the statutory and regulatory scheme, the October 13 Memo has indefinitely barred LPRs, including Plaintiffs, from serving in the military by prohibiting them from doing so until their MSSD and NSD adjudications are complete. Thus, Defendants have violated Congress's clear intent and the plain language of the Enlistment Statute to allow LPRs to enlist along with U.S. citizens. 117. For these and other reasons, the October 13 Memo is arbitrary, capricious, an abuse of discretion, not in accordance with the law, and in excess of statutory jurisdiction and 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 28 authority in violation of 5 U.S.C. § 706(2). 118. As a result of the October 13 Memo, LPRs, including Plaintiffs, have suffered, and will continue to suffer harm, including stigma, humiliation and/or emotional distress, loss of liberty, loss of salary and benefits on which they and their dependents rely, obstruction of their path to military service (including loss of career opportunities), and disruption of their path to naturalization. 119. Plaintiffs seek declaratory and injunctive relief to prevent future injury caused by Defendants' violation of 5 U.S.C. § 706(2). PRAYER FOR RELIEF WHEREFORE, Plaintiffs respectfully request that this Court: 120. Issue a judgment, pursuant to 28 U.S.C. §§ 2201-02, declaring the October 13 Memo unconstitutional and illegal on its face and as applied to Plaintiffs. 121. Issue a preliminary and permanent injunction enjoining Defendants from enforcing and implementing the October 13 Memo, including ordering that: a. Defendants shall not cancel the enlistment contracts and ship dates of Plaintiffs and members of the class and shall not require LPRs to pass a MSSD and NSD prior to shipping to basic training and beginning their military service; and b. Defendants shall revert to the status quo with regard to enlistment and accession of LPRs that existed before issuance of the October 13 Memo. 122. Award Plaintiffs costs, expenses, and reasonable attorneys' fees, including under the Equal Access to Justice Act; and 123. Grant any further injunctive, equitable, or other relief that this Court deems just and proper. 1 Dated: June 21, 2018 2 LATHAM & WATKINS LLP
MAGYAR TELEKOM GROUP Q3 2017 RESULTS PRESENTATION NOVEMBER 8, 2017 Q3 2017 GROUP SEGMENTAL REVENUE AND EBITDA Group segmental revenues Group segmental EBITDA HIGHLIGHTS MOBILE FIXED FMC MACEDONIA [x] Launch of new postpaid tariff system in March drove demand for larger data packages [x] Introduction of EU Roam Like Home legislation had limited revenue and EBITDA impacts thanks to increase in visitor data usage [x] New broadband portfolio with increased download speed offering to enhance competitiveness and better exploit network capabilities [x] Already ca. 80 thousand subscribers with 50% opting for packages with speeds of over 100Mbps package [x] Expanded flagship Magenta 1 offering with the ability to substitute fixed voice for mobile data [x] Expansion of active FMC customer base; now stands at 11% of total households [x] Decline in revenues driven by intensifying competition and delay in SI/IT projects [x] EBITDA improvement due to cost enhancing measures coupled with temporary savings in marketing 9M 2017 FINANCIAL RESULTS AND 2017 TARGETS* 9M 2017 RESULTS 2017 TARGETS around HUF 580 bn around HUF 182 bn around HUF 85 bn around HUF 55 bn FCF HUNGARY Revenue* [x] Mobile revenue increase driven by growth in mobile data usage, equipment sales and visitor revenues [x] Fixed line revenue rose thanks to higher TV and equipment sales and increase in data revenue [x] Significant increase in SI/IT revenue driven by EU fund inflows EBITDA [x] Gross profit increase due to more balanced revenue structure and one-off provision reversal related to the ceased loyalty program [x] Higher employee related expenses due to increased headcount [x] Real estate sales led to increased other operating income Mobile voice includes mobile retail and wholesale voice; Mobile non-voice includes data, and SMS; Mobile other includes equipment and other; Fixed other includes equipment, data, wholesale and other HUNGARY – MOBILE Mobile SIMs Total mobile data subscriber development Mobile ARPU HUF Mobile broadband usage developments '000 GB/month Including the effect of unlimited data offer for July and August Average data usage in Q3 2017 GB/month* HUNGARY – FIXED VOICE, BROADBAND AND TV Fixed Voice, BB and TV ARPU developments HUF Fixed line multiplay residential subs. development Fixed line multiplay residential ARPU developments HUF 3Q 2016 3Q 2017 HUNGARY – SI/IT SI/IT revenue and gross profit of MT-Hungary SI/IT revenue breakdown by vertical segments* Highlights [x] Strong increase in SI/IT revenues in 2017 as a result of increased EU fund inflows [x] EU funded projects are hardware and software focused and relatively low margin [x] Infrastructure delivery projects serve as starting point for developing long term customer relationships and as a foundation for IT service contracts [x] Q3 2017 revenue increase driven mainly by public sector infrastructure delivery projects Based on IDC Research 2016, market shares based on revenues MACEDONIA Financials KPIs (mobile/fixed voice/fixed BB/TV) Mobile market Highlights [x] Increase in mobile data revenues offset by 30% cut in the mobile termination rate, which took effect in December 2016 [x] Increased competition in the mobile segment put pressure on ARPU levels [x] Strong TV revenue growth mitigates competition induced revenue pressure in fixed voice and broadband [x] Temporary SI/IT revenue pressure due to delayed projects [x] EBITDA improvement due to cost enhancing measures coupled with temporary savings in marketing APPENDIX MARKET POSITIONS IN THE HUNGARIAN TELCO MARKET Total mobile market Fixed voice market Fixed broadband market TV market** MAGYAR TELEKOM – CONSOLIDATED INCOME STATEMENT \| HUF million \| \| \| Q3 2016 \| Q3 2017 \| \|---\|---\|---\|---\|---\| \| Mobile revenues Fixed line revenues System Integration/Information Technology revenues Revenue from energy services \| \| \| 78,810 47,336 15,260 1,459 \| 85,531 48,913 19,590 1,347 \| \| Revenues \| \| \| 142,865 \| 155,381 \| \| Direct costs Employee-related expenses Utility tax Depreciation and amortization Other operating expenses \| \| \| (51,129) (18,418) 0 (28,320) (22,872) \| (58,067) (18,643) 0 (27,041) (23,646) \| \| Total operating expenses \| \| \| (120,739) \| (127,397) \| \| Other operating income \| \| 611 \| \| 2,187 \| \| Operating profit \| \| \| 22,737 \| 30,171 \| \| Net financial results Share of associates' profits \| \| \| (6,829) (32) \| (5,396) (123) \| \| Profit before income tax \| \| \| 15,876 \| 24,652 \| \| Income tax expense \| \| \| (3,282) \| (5,311) \| \| Profit for the period from continuing operations \| \| \| 12,594 \| 19,341 \| \| \| Profit from discontinued operation \| \| 1,047 \| 0 \| \| Total profit for the period \| \| \| 13,641 \| 19,341 \| MAGYAR TELEKOM – CONSOLIDATED BALANCE SHEET \| HUF million \| Dec 31, 2016 \| Sep 30, 2017 \| \|---\|---\|---\| \| Current assets \| 193,978 \| 181,670 \| \| Cash and cash equivalents \| 10,805 \| 6,294 \| \| Other current financial assets Non current assets Property, plant and equipment - net Intangible assets \| 5,104 981,551 483,174 260,165 \| 2,195 919,836 456,532 229,544 \| \| Total assets \| 1,175,529 \| 1,101,506 \| \| Equity Current liabilites Financial liabilities to related parties Other financial liabilities Non current liabilites Financial liabilities to related parties Other financial liabilities \| 581,333 277,561 72,589 22,600 316,635 247,179 50,098 \| 575,527 209,138 48,496 9,036 316,841 247,480 47,202 \| \| Total equity and liabilites \| 1,175,529 \| 1,101,506 \| MAGYAR TELEKOM – CONSOLIDATED CASH FLOW STATEMENT \| HUF million \| Sep 30, 2016 \| Sep 30, 2017 \| \|---\|---\|---\| \| Net cash generated from operating activities \| 100,759 \| 95,536 \| \| Investments in tangible and intangible assets \| (55,700) \| (56,595) \| \| Adjustments to cash purchases Purchase of subsidiaries and business units Cash acquired through business combinations Payments for / proceeds from other financial assets - net Proceeds from disposal of subsidiaries Proceeds from disposal of PPE and intangible assets \| (12,736) (34) 0 446 3,484 8,513 \| (4,591) (3,785) 475 (23) 1 2,432 \| \| Payments for interests in associates and joint ventures \| \| 0 \| \| Net cash used in investing activities \| (56,027) (62,086) \| \| \| Dividends paid to shareholders and minority interest \| (21,351) \| (29,375) \| \| Net payments of loans and other borrowings \| (23,317) \| (39,019) \| \| Repayment of other financial liabilities Repurchase of treasury shares \| (5,742) (559) \| (6,052) (1,826) \| \| Net cash used in financing activities \| (50,969) \| (76,272) \| \| Free cash flow from continuing operation \| 38,544 \| 27,421 \| *Free cash flow defined as Net cash generated from operating activities plus Net cash used in investing activities, adjusted with Proceeds from / Payments for other financial assets and Repayment of other financial liabilities For further questions please contact the IR department: Linda László Rita Walfisch Head of Investor Relations firstname.lastname@example.org Phone: +36 1 481-7676 e-mail: Phone: +36 1 457-6084 e-mail: email@example.com DISCLAIMER This investor presentation contains forward-looking statements. Statements that are not historical facts, including statements about our beliefs and expectations, are forward-looking statements. These statements are based on current plans, estimates and projections, and therefore should not have undue reliance placed upon them. Forward-looking statements speak only as of the date they are made, and we undertake no obligation to update publicly any of them in light of new information or future events. Forward-looking statements involve inherent risks and uncertainties. We caution you that a number of important factors could cause actual results to differ materially from those contained in any forward-looking statement. Such factors are described in, among other things, our Annual Reports for the year ended December 31, 2016 available on our website at http://www.telekom.hu. Abbreviations: 3G: third generation, 4G: fourth generation, ARPU: average revenue per user, BB: broadband, IP: internet protocol, IT: information technology, LTE: long term evolution, MOU: minutes of use, MTR: mobile termination rate, NRA: National Regulatory Authority, POD: points of delivery, R/E: real estate, RPC: revenue producing customer, SAC: subscriber acquisition cost, SRC: subscriber retention cost, SI: system integration, SIM: subscriber identity module, SMB: small and medium businesses, TWM: Total Workforce Management, VAS: value added services, WS: wholesale In addition to figures prepared in accordance with IFRS, Magyar Telekom also presents non-GAAP financial performance measures, including, among others, EBITDA, EBITDA margin, and net debt. These non-GAAP measures should be considered in addition to, but not as a substitute for, the information prepared in accordance with IFRS. Non-GAAP financial performance measures are not subject to IFRS or any other generally accepted accounting principles. Other companies may define these terms in different ways. For further information relevant to the interpretation of these terms, please refer to the chapter "Reconciliation of pro forma figures", which is posted on Magyar Telekom's Investor Relations webpage at www.telekom.hu/investor_relations. Investor Relations Manager
CALENDAR YEAR 1985 SIXTY-THIRD ANNUAL REPORT of the MARYLAND BUREAU OF MINES TO HON. HARRY HUGHES Governor of Maryland DEPARTMENT OF NATURAL RESOURCES TORREY C. BROWN, M.D., The Secretary ENERGY ADMINISTRATION PAUL MASSICOT, Administrator From MARYLAND BUREAU OF MINES ANTHONY F. ABAR, Director STATE OF MARYLAND HARRY HUGHES GOVERNOR LOUIS L. GOLDSTEIN COMPTROLLER OF THE TREASURY WILLIAM S. JAMES TREASURER DEPARTMENT OF NATURAL RESOURCES TORREY C. BROWN, M.D. SECRETARY CALENDAR YEAR 1985 SIXTY-THIRD ANNUAL REPORT of the MARYLAND BUREAU OF MINES TO HON. HARRY HUGHES Governor of Maryland DEPARTMENT OF NATURAL RESOURCES TORREY C. BROWN, M.D., The Secretary ENERGY ADMINISTRATION PAUL MASSICOT, Administrator From MARYLAND BUREAU OF MINES ANTHONY F. ABAR, Director TELEPHONE NO 301/6894136 STATE OF MARYLAND DEPT. OF NATURAL RESOURCES ENERGY ADMINISTRATION 69 HILL STREET FROSTBLJRG MARYLAND 27532 INTRODUCTION Maryland is rich in natural resources. Its woods, wildlife, beaches, rivers, bays, and its mineral and energy resources provide a bountiful outdoor environment for our citizens. As Secretary of the Maryland Department of Natural Resources, I am convinced that public support of DNR's mission is essential it we are to properly protect, restore, and manage the State's bountiful natural resources. The information in this publication is designed to increase your understanding of our program and of Maryland's natural resources. Torrey C. Brown, M.D. 1 U FOR THE CALENDAR YEAR 1985 REPORT OF THE MARYLAND BUREAU OF MINES Coal production in Maryland during 1985 totalled 3,062,831.07 tons. Production for 1985 represents a decrease of 930,468.75 from the 1984 production of 3,993,299.82 tons. SUMMARY OF 1985 STATISTICS1 COAL PRODUCTION EMPLOYEES1 Allegany County shows a man employed during 1985. production of 2,706.27 net tons per Garrett County shows a production of 4,156.55 net tons per manemployed during 1985. 1-Reports submitted by Maryland mining operators. 2These figures do not include office, supervisory personnel or independent truck haulers. FOR THE CALENDAR YEAR 1985 TONNAGE BY COAL SEAMS Allegany County 3. TONNAGE BY BASIN 3,062,831.07. FOR CLENDR YEAR 1985 Conservation ssociate IV 5 U C FOR THE CALENDAR YEAR 1985 LPD RECLTMTTIO COMMITTEE Members: The following members served on the Land Reclamation Committee during 1985: DEPARTMENT OF NTURL RESOURCES REPRESENTPTIVES: Kenneth N. Weaver (Chairman), Maryland Geological Survey Stephen M. Layton, Bureau of Mines Paul Mateer, Forest, Park, and Wildlife Service Edward Golden, Forest, Park, and Wildlife Service DEPARTMENT OF FIEAI.TR 7ND MENTAL HYGIENE REPRESETTIVE: Robert V. Creter, Office of Environmental Programs CITI ZENS' REPRESENTPPIVES: June Neder, llegany County Hugh Trimble, Garrett County (1/85—7/85) Jessie McCullough, Garrett County (7/85—12/85) COUNTY P[NNING & ZONING REPRESNTAPIVES: Tim Carney, llegany County Fran Pope, Garrett County (1/85—7/85) Justin Thorne, Garrett County (7/85—12/85) SOIL COSER7TIO DISTRICT REPRESENTkPIVES: Craig Hartsock, llegany Soil Conservation District Shaun Sanders, Garrett Soil Conservation District COAL INDUSTRY REPRESETAPIVES: John E. Carey James M. Coffroth Meetings The Land Reclamation Committee meets at the Bureau of Mines' Office in Frostburg, Maryland. ll meetings are open to the public and are announced in the Maryland Register and local papers. 15 Functions and Duties of the Committee: The Land Reclamation Committee oversees land reclamation activities related to the surface mining of coal in Maryland. It is directed by statute (annotated Code of Maryland, Natural Resources Prticle, §7—205/b/) to: study, recommend, and approve all procedures for reclamation, conservation and revegetation of any area affected by open pit mining within the State . . ." Section 7—507(c)(3) states the Committee may enter on any open pit operation to determine land reclamation conditions and progress. If the Committee finds any violations of the permit requirements it may order the Department to suspend the permit until corrective action is taken. The Land Reclamation Committee visits sites for which mining permit applications have been submitted/approved to: (1) determine the suitability of the proposed reclamation plan; (2) review annual mining and reclamation progress; and (3) evaluate revegetation. The specific duties addressed by the Committee during its monthly meetings include: 1. Review and approval of all reclamation plans; 2. Review and approval of all 7nnual Mining and Reclamation Progress Reports; 3. Establish amount of revegetation bond for each operation; 4. Review and approval of all revegetation bond releases. Other functions of the Land Reclamation Committee include: 1. study and recommend any amendments to the strip mining law and regulations; 2. Recommend to the Department the expenditure of funds for as much as 50% of the cost of lime, fertilizer and seed for an approved mining and reclamation plan; 3. Ppprove the expenditure of funds that are received by the Department from any sources for the reclamation and revegetation of any strip mined area within the State. FOR CALENDAR YEAR 1985 REVEGETATION OF STRIP MINED LANDS The State Land Reclamation Committee (LRC) voted to release 1,003 acres of reclaimed surface coal mined lands from a total of 1,429 acres eligible for revegetation bond release during 1985. This action was taken after consideration of 81 planting reports that were filed by 34 coals companies. The number of acres released was 70% of the number of acres eligible for release. This, compared to an average of 62% in past years, indicates better results were obtained in 1985 after a few 'ears of below average performance. All reclaimed acres were planted with a grass and legume mixture to insure adequate erosion control protection. In addition trees and/or shrubs were planted on 167 acres. The LRC also voted to reduce revegetation bond on 428.5 acres. This was the fourth year in which revegetation bond could be reduced, the result of a five year revegetation bond holding period which applies to all mining permits issued by the Bureau after July 1, 1979. An amount of revegetation bond equal to one—half of the per acre rate for the revegetation bond may be released when: 17 1. Revegetation has been established in accordance with the approved reclamation plan and the standards for success of revegetation are met (see standards below); 2. The revegetated area is not contributing suspended solids to stream flow or runoff outside of the permit area in excess of the requirement of the regulatory program; 3. With respect to prime farmlands, soil productivity has been returned to the level of yield required; and 4. All temporary drainage control structures not authorized to remain on the permit area are removed and the affected area is regraded, seeded and mulched; or all permanent structures are inspected and their deficiencies repaired. The revegetation bond remaining on an area may be released, and acreage may be released from the permit area, when the permittee has successfully completed reclamation operations in accordance with the approved reclamation plan and achieved compliance with the requirements of the regulatory program, and the applicable liability period has expired. 8. Any special reclamation requirements approved in the mining permit must be met. 9. Bond reductions are not considered before at least two growing seasons. When all of the above requirements have been achieved, it is possible that a longer evaluation time may be required if the health conditions of the vegetation are questionable. The Bureau of Mines has the final authority to release bond money after LRC approval. Bond monies cannot be returned to permittees until they comply with three procedural requirements of the mining law: (1) advertise once a week for four consecutive seeks in a newspaper of general circulation in the jurisdiction affected, (2) notify adjoining property owners, local government bodies, sewage authorities and water companies by certified mail of the pending bond release, and (3) make application for bond release to the Bureau (The Bureau of Mines must receive copies of the advertisement and landowner notifications.) In January of each year, a listing of acres eligible for revegetation bond release during that year is compiled and available from the Bureau of Mines. FOR CALENDAR YEAR 1985 ABANDONED MINE LAND RECLAMATION The Maryland Bureau of Mines administers two programs to reclaim and/or restore land and water resources adiersely affected by past coal mining practices. These two programs are, (1) Maryland Federal Abandoned Mine Reclamation Program, implemented utilizing Federal funds under the authority of the Federal Surface Mining Control and Reclamation Act of 1977, (U.S. Public Law 95—87), and Natural Resources Article, Title 7, Subtitle 9 of the Annotated Code of Maryland, and (2) Maryland Mine Reclamation Program, implemented utilizing funds from the Bituminous Coal Open—Pit Mining Reclamation Fund (BCMRF) under the authority of Natural Resources Article (NRA), Title 7, Subtitle 5; the Deep Mining Fund under the authority of NRA, Title 7, Subtitle SA; and the Mine Reclamation and Water Quality Restoration Loan under the authority of NRA, Title 7, Subtitle 6. Maryland Federal Abandoned Mine Reclamation Program The Maryland Abandoned Mine Lands (AML) Reclamation Plan received Federal approval on July 16, 1982, thus enabling Maryland to receive and expend Federal funds for the reclamation of abandoned mine lands. During 1985, grants awarded to Maryland by the U.S. Department of Interior, Office of Surface Mining, provide $1,482,955.00 for the reclamation of approximately 77 acres of abandoned mine lands in Allegany and Garrett Counties, Maryland. AML Projects Under Construction During 1985 1. Blue Goose Road Reclamation Project Location: Approximately 4 miles WNW of Friendsville, Garrett County. Size: 15 acres. Scope of Work: Backfill, regrade and revegetate abandoned coal spoil piles to reduce erosion runoff effects on Blue Goose Road. Cost: $47,960.00 Fund Source: Maryland-Federal AML Fund 2. Buckel Pit Reclamation Project Location: Approximately 1 mile ESE of Bittinger, Garrett County. Size: 12 acres. Scope of Work: Backfill, regrade and revegetate an abandoned surface mine pit to eliminate a water impoundment and steep highwalls. Cost: $41,500.00 Fund Source: Maryland-Federal PML Fund 3. Casselman Deep Mine Project Location: Approximately 3.5 miles SW of Grantsville, Garrett County. Size: 1 acre. Scope of Work: Eliminate three abandoned deep mine openings by backfilling, regrading and revegetation. Cost: $3,155.00 Fund Source: Maryland—Federal AML Funds 4. Meadow Lake Reclamation Project Location: Approximately 3 miles ESE of Graritsville, Garrett County. Size: 32 acres. Scope of Work: Backfill, regrade and revegetate an abandoned surface mine pit to eliminate safety hazards and reduce acid pollution loading of Meadow Run. Cost: $118,000.00 Fund Source: Maryland—Federal A14L Fund 5. Amish Road/Tarkiln Run Reclamation Project Location: Size: Approximately 3 miles SW of Grantsvjlle, Garrett County. 27 acres. Scope of Work: Backfill, regrade and revegetate abandoned surface mine pit to eliminate sediment and acid mine drainage to North Branch Casselman River, and eliminate the health and safety hazards associated with highwall, pit, and the unauthorized dumping of garbage into the pit. Cost: $213,000.00 Fund Source: Federal RAMP Appropriation 6. Austin/Kelly Reclamation Project Location; Approximately 2.6 miles ESE of Grantsville, Garrett County, adjacent New Germany Road. Size: 14 acres. Scope of Work: Backfill, regrade and revegetate an abandoned surface mine pit. Cost: $35,000.00 Fund Source: Maryland—Federal AML Fund. Emergency Reclamation Projects —— Woodland Creek One emergency abandoned mine problem was under construction during 1985 through the combined efforts of the Maryland Bureau of Mines and the Office of Surface Mining. The emergency problem arose as a result of a July 1, 1984 storm event which hit the Woodland Creek Watershed, Allegany County. Storm runoff impounded in an abandoned surface mine pit, subsequently breached, and sent a flood wave through an area of abandoned coal mine waste. This flood caused extensive damage to several residences in Klondike, MD. The Office of Surface Mining awarded a contract: totalling $345,000.00 to restore the stream flow capacity of Woodland Creek and regrade the abandoned mine lands and coal mine waste areas adjacent the stream. Construction was completed in October, 1985. Maryland Mine Reclamation Program Utilizing monies from the Bituminous Coal Open—Pit Mining Reclamation Fund, (derived from a 9' per ton of coal mined surcharge) 25 acres of abandoned mine lands were reclaimed during 1985. Funding for these reclamation projects totalled $30,000.00. Two stream channel lining projects were under construction during 1985. These projects were designed to reduce infiltration of surface stream water into underground mine workings and, thus, reduced mine drainage from abandoned underground mines. Funding for these mine drainage abateinenl projects was derived from the Mine Reclamation and Water Quality Restoration Loan and a grant from the Appalachian Regional Commission. Projects Under Construction During 1985 1. Meadow Run Reclamation Project Location: High Point, adjacent U.S. Route 219N, approximately 3 1/2 miles ENE of Grantsville, Garrett County. Scope of Work: Backfill, regrade and revegetate abandoned surface mine area. Size: 10 acres. Cost: $12,000.00 Fund Source: BCMRF (Garrett County) 2. Walnut Bottom Reclamation Project 24 Location: Walnut Bottom, 1/2 mile S of MD Route 135, approximately 12 miles WSW of Westernport, MD. Scope of Work: Backfill, regrade and revegetate abandoned surface mine area. Size: 15 acres. Cost: $18,000.00 Fund Source: BCMRF (Garrett County) 3. Woodland Creek Stream Channel Lining Project Location: Kiondike, Allegany County. Scope of Work: Placement of 1700 lineal feet of clay liner in the stream to reduce stream flow into underground deep mine workings (in conjunction with the OSM emergency stream restoration project on Woodland Creek — above). Size: 1700 lineal feet, 4 acres. Cost: $99,900.00 Fund Source: Mine Reclamation and Water Quality Restoration Loan. 4. Vale Run Stream Channel Lining Project Location: Approximately l miles SSE of Frostburq, Allegany County. Scope of Work: Reconstruct Vale Run to reduce stream flow into underground deep mine working by placing 2700 lineal feet of clay channel lining in the reconstructed stream channel. Size: 2700 lineal feet, 6 acres. Cost: $147,218.00 Fund Source: Appalachian Regional Commission and Mine Reclamation and Water QuaLity Restoration Loan. see FOR CALENDAR YEAR 1985 DEEP MINE MINE FOREMAN AND FIRE BOSS EXAMINATIONS AND CERTIFICATIONS The number of Mine Foremen and Fire Boss examinations conducted from 1974 through 1985 are identified below. These applicants were upgraded from Fire Boss to Foreman, based on years of experience, without taking an examination. INSPECTION AND ENFORCEMENT ACTIVITIES ,-IU FOR CALENDAR YEAR 1985 ``` Perit No. 1 The George's Creek Lumber Company Permit No. 2 Allegany Engineering Company* Permit No. 3 B.M.W. Coal Company* Permit No. 4 Old Hampshire Coal Company, Inc.* Permit No. 5 Car and Gotfelty Construction Co.* Permit No. 6 M.H. Bigan Coal Company* Permit No. 7 Moran Coal Company* Permit No. 8 Allegany Engineering Company* Permt No. 9 Schell Mining Company, Inc.* Permit No. 10 B & U Coal Company* Permit No. 11 Morgan Contracting Company** Permit No. 12 Romadale Coal Corporation* Prmit No. 13 Cross Fuel Company* iecmit No. 14 Highland Construction Company* Peraiit No. 15 Phoenix Big Vein Coal Company (Repermitted 338) Prmi No. 16 Moran Coal Company* Permit No. 17 T.J. Cramblett** Permit No. 18 Moscow—Georges Creek Coal Company* Permit No. 19 J.R. Thrasher Contracting & Stripping Co.* Permit No. 20 Moran Coal Company (Repermitted 333)* Permit No. 21 Schell Mining Company, Inc.** Permit No. 22 savage Coal Company* Permit No. 23 Moran Coal Company* Permit No. 24 The Georges Creek Coal & Land Co.* Permit No. 25 Charles T. Clise* Permit No. 26 Allegany Engineering Company* Permit No. 27 Goodwill Fuel Company* Permit No. 28 D.B.&B. Coal Company* Permit No. 29 Queen George's Creek Coal Company Permit No. 30 Mack Coal Company Permit No. 31 White Crest Coal Company, Inc.** Permit No. 32 D.B.&B. Coal Company* Permit No. 33 Moran Coal Company* Permit No. 34 Chelsie A. Liller* Permit No. 35 J.E. George Trucking Company** Permit No. 36 D.B.&B. Coal Company* Permit No. 37 J.&M. Coal Company Permit No. 38 Casey Construction Company Permit No. 39 Moran Coal Company* Permit No. 40 Winner Bros. Coal Company, Inc. Permit No. 41 Buffalo Coal Company, Inc.* Permit No. 42 Casey Construction Company** Permit No. 43 5ara—Ki Coal Company, Inc.* Permit No. 44 Yantus & Zubek Coal Company* Permit No. 45 Moran Coal Company* Permit No. 46 Casey Construction Company** Permit No. 47 Moran Coal Company* Permit No. 48 Moran Coal Company* Permit No. 49 Sara—Ki Coal Company, Inc.* Permit No. 50 Laurel Creek Company, Inc. Permit No. 51 D.B.&B. Coal Company Permit No. 52 Moon and Sons* ``` 29 ``` Permit No. 53 George L. Smith Contracting Company* Permit No. 54 The Georges Creek Lumber Company* Permit No. 55 Moran Coal Company* Permit No. 56 North Branch Coal Corporation* Permit No. 57 George Coal Company Permit No. 58 Samuel Compton & Company Permit No. 59 Hoover & White* Permit No. 60 Laurel Creek Company, Tnc. Permit No. 61 The Eddy Fuel Company Permit No. 62 J.R. Thrasher Contracting & Stripping Co.* Permit No. 63 Pittsburgh Coal Company* Permit No. 64 Mineral Coal Company, Inc., of West Virginia* Permit No. 65 Laurel Creek Company, Inc.* Permit No. 66 The Georges Creek Lumber Company* Permit No. 67 Chelsie P. Liller* Permit No. 68 Casey Contracting Company** Permit No. 69 Pine Mountain Coal Company* Permit No. 70 Opel and Brenneman* Permit No. 71 The Georges Creek Lumber Company* Permit No. 72 P.&J. Coal Company* Permit No. 73 Casey Contracting Company** Permit No. 74 Goodwill Fuel Company* Permit No. 75 D.B.&B. Coal Company* Permit No. 76 Baughman Contracting Company, Tnc.* Permit No. 77 P&K Coal Company* Permit No. 78 Morgan Contracting Company* Permit No. 79 Buffalo Coal Company, Inc.* Permit No. 80 Buffalo Coal Company, Inc.* Permit No. 81 Randall Robertson* Permit No. 82 Hoover & White** Permit No. 83 James E. George* Permit No. 84 B.M.W. Coal Company, Inc.* Permit No. 85 Casey Contracting Company** Permit No. 86 Beener Coal Company* Permit No. 87 Moran Coal Company, Inc.* Permit No. 88 D&K Coal Comparly* Permit No. 89 Brenneman Brothers* Permit No. 90 Mack Coal Company* Permit No. 91 Clarence Rodamar* Permit No. 92 James E. George* Permit No. 93 Casey Contracting Company** Permit No. 94 Winner Brothers* Permit No. 95 Moran Coal Company, Tnc.* Permit No. 96 Big Vein Coal Company* Permit No. 97 Maryland Fuel Company, Tnc.* Permit No. 98 Yantus-Zubek Coal Comparly* Permit No. 99 J.R. Thrasher Contracting & Stripping Co.* Permit No. 100 Trefall Bros., Inc.* Permit No. 101 Mack Coal Comany* Permit No. 102 C.. Liller Company* Permit No. 103 Cross & Brumage Coal Company* Permit No. 104 Beener Coal Company* Permit No. 105 D&K Coal Company* Permit No. 106 Mack Coal Company* ``` ``` Permit No. 107 Yantus and Zubek* Permit No. 108 Potomac Mining Company* Permit No. 109 Casey Contracting Company* Permit No. 110 Wilhelm Coal Company* Permit No. 111 The Georges Creek Lumber Company* Permit No. 112 Clark Coal Company* Permit No. 113 Casey Contracting Company* Permit No. 114 Casey Contracting Company* Permit No. 115 Douglas Coal Company* Permit No. 116 Red Lion Mining Corporation** Permit No. 117 Ebensburg Coal and Clay Company* Permit No. 118 James E. George* Permit No. 119 Ebensburg Coal and Clay Company* Permit No. 120 J.R. Thrasher Contracting & Stripping Co.* Permit No. 121 Moran Coal Company, Inc.* Permit No. 122 Buffalo Coal Company, Inc.* Permit No. 123 J.R. Thrasher Contracting & Stripping Co.* Permit No. 124 Win—More Mining & Construction Co., Inc.* Permit No. 125 Beener Coal Company* Permit No. 126 W.R. Nethken and Company, Inc.* Permit No. 127 Mack Coal Company* Permit No. 128 J.R. Thrasher Contracting & Stripping Co.* Permit No. 129 J. Russell Cravener* Permit No. 130 Chelsie A. Liller* Permit No. 131 The Georges Creek Lumber Company* Permit No. 132 Brenneman Brothers* Permit No. 133 W.R. Nethken and Company, Inc.* Permit No. 134 Richards and Parnell Coal Company* Permit No. 135 William Brashear* Permit No. 136 W.R. Nethken and Company, Inc.* Permit No. 137 G&S Coal Company, Inc.* Permit No. 138 J.R. Thrasher Contracting & Stripping Co.* Permit No. 139 J.R. Thrasher Contracting & Stripping Co.* Permit No. 140 Shallmar Coal Company, Inc.* Permit No. 141 Randall Robertson*** Permit No. 142 Ace Drilling Coal Company, Inc.* Permit No. 143 Beener Coal Company Permit No. 144 Clarence Rodamer* Permit No. 145 Ginniman Coal Company* Permit No. 146 Raymond A. Wolf Mining Company* Permit No. 147 Menallen Coke Company* Permit No. 148 Russel Shafer* Permit No. 149 Homage Coal Co. (Emmett Duppstadt)* Permit No. 150 Twin States Coal Company** Permit No. 151 M.F. Fetterolf Coal Company, Inc.* Permit No. 152 Ebensburg Coal and Clay Company** Permit No. 153 Raymond A. Wolf Mining Co. (UPRC)* Permit No. 154 Michael Rostosky* Permit No. 155 Ginniman & Ware Coal Company* Permit No. 156 Harold H. Upole Coal Company* Permit No. 157 T.G.&C. Coal Company, Inc.* Permit No. 158 Clarence Rodamer Coal Company* Permit No. 159 Michael Rostosky Coal Company* Permit No. 160 Russel Shafer Coal Company* ``` ``` Permit No. 161 Buffalo Coal Company, Inc.* Permit No. 162 J.R. Thrasher Contracting & Stripping Co.*** Permit No. 163 Buffalo Coal Company, Inc.* Permit No. 164 Union Coal Company* Permit No. 165 Win—More Mining & Construction Co., Inc.* Permit No. 166 Ginniman Coal Company* Permit No. 167 Upperman Coal Company* Permit No. 168 Frank Pulford* Permit No. 169 Winner Bros. Coal Company, Inc.* Permit No. 170 Russel Shafer* Permit No. 171 The Chief Coal Company* Permit No. 172 Mary Ruth Corporation* Permit No. 173 Oakland Coal Company* Permit No. 174 Bernard C. Drees* Permit No. 175 Delta Mining, Inc.* Permit No. 176 D&GSfyw Sf:ryclM PcsX% Permit No. 177 T.G.&C. Coal Company, Inc.* Permit No. 178 Emmett Duppstadt* Permit No. 179 Somerset Excavating, Inc.* Permit No. 180 7yers Coal Company* Permit No. 181 Delta Mining, Inc.* Permit No. 182 C.J. Merlo, Inc. Permit No. 183 Chief Coal Company* Permit No. 184 Eckhart Coal Company Permit No. 185 Bessemer Iron & Coal Company* Permit No. 186 Coal Lick Coal Company* Permit No. 187 Phillips Big Vein Coal Company* Permit No. 188 7ce Drilling Coal Company, Inc.* Permit No. 189 Buffalo Coal Company, Inc.* Permit No. 190 Buffalo Coal Company, Inc.* Permit No. 191 Keystone Coal and Development Company (Liability 7.ssumed by Garrett County Roads Department) Permit No. 192 Ace Drilling Company, Inc.* Permit No. 193 Wilhelm Coal, Inc.* Permit No. 194 M.F. Fetterolf Coal Company, Inc.*** Permit No. 195 Buffalo Coal Company, Inc.* Permit No. 196 Besemer Iron & Coal Company* Permit No. 197 Grafton Coal Company* Permit No. 198 Jet Fuel Coal Company* Permit No. 199 Bessemer Iron & Coal Company Permit No. 200 Chief Coal Company* Permit No. 201 Brashear Coal Company* Permit No. 202 Winner Bros. Coal Company, Inc. Permit No. 203 Mary Ruth Corporation* Permit No. 204 Grafton Coal Company* Permit No. 205 Chief Coal Company* Permit No. 206 Tipperman Coal Company* Permit No. 207 Winner Bros. Coal Company, Inc. Permit No. 208 Sanner Bros. Coal Company* Permit No. 209 Delta Mining, Inc.* Permit No. 210 Markat, Inc.* Permit No. 211 Oakland Coal Company* Permit No. 212 Bessemer Iron & Coal Company* ``` 32 ``` Permit No. 213 Delta Mining, Inc. Permit No. 214 Inter—State Lumber Compariy* Permit No. 215 Buffalo Coal Company, Inc. Permit No. 216 Brashear Coal Company*** Permit No. 217 Bernard Drees Coal Compariy* Permit No. 218 Buffalo Coal Company, Inc.* Permit No. 219 G&S Coal Company, Irlc.* Permit No. 220 Evans Coal Company* Permit No. 221 Brideview Coal Company* Permit No. 222 John Duckworth Coal Company* Permit No. 223 Edward Mikel* Permit No. 224 Delta Mining, Irlc.* Permit No. 225 Northwest Coal Company, Inc.* Permit No. 226 Thrasher Coal Company** Permit No. 227 Winner Bros. Coal Company, Inc.* Permit No. 228 Bittinger Coal Company* Permit Nc. 229 Charles M. Filsirlger* Permit No. 230 G&H Coal Company, Inc.* Permit No. 231 Hi—Note, Inc. Permit No. 232 Buffalo Coal Company, Inc.* Permit No. 233 Oliver Mining Company Permit No. 234 Clise Coal Company Permit No. 235 Markat, Inc.* Permit No. 236 Delta Mining, Inc.* Permit No. 237 Bridgeview Coal Company* Permit No. 238 Burnham Coal Company, Inc.* Permit No. 239 Highland Mining Permit No. 240 Buffalo Coal Company, Inc. Permit No. 241 Buffalo Coal Company, Inc.* Permit No. 242 Hopwood Strip Mine, Inc.** Permit No. 243 Ponderosa Coal Company, Inc.* Permit No. 244 Markat, Inc.* Permit No. 245 Phillips Coal, Inc.* Permit No. 246 Lambert Coal Compariy* Permit No. 247 Winner Bros. Coal Company, Inc. Permit No. 248 Buffalo Coal Company, Inc.* Permit No. 249 Cobra Fuels* Permit No. 250 Laoc Coal Company* Permit No. 251 Tower Resources, Inc. Permit No. 252 Phillips Coal, Irlc.* Permit No. 253 Pine Mt. Coal Company* Permit No. 254 T.G.&C. Coal Company* Permit No. 255 llegheny Mining Compariy* Permit No. 256 Bridgeview Coal Company* Permit No. 257 A&R Coal Company* Permit No. 258 Clinton Coal Company** Permit No. 259 Tower Resources, Inc.* Permit No. 260 Yough Tree Farm* Permit No. 261 Russel Shafer* Permit No. 262 Northwest Coal Compariy Permit No. 263 Allegheny Mining Corporatjon* Permit No. 264 Brashear Coal Company Permit No. 265 Bittinger Coal Company Permit No. 266 Delta Mining, Inc.* ``` ``` Permit No. 267 Bittinger Coal Company* Permit No. 268 Clyde Marsh Coal Company Permit No. 269 Hungry Hollow Coal Company* Permit No. 270 Delta Mining, Inc. Permit No. 271 &R Coal Company* Permit No. 272 1ction Mining, Inc. Permit: No. 273 Win—More Mining & Construction Permit No. 274 Evans Coal Company* Permit No. 275 Buffalo Coal Company, Inc.* Permit No. 276 Buffalo Coal Company, Inc. Permit No. 277 llegheny Mining Corporation Permit No. 278 Inter—State Lumber Company* Permit No. 279 Buffalo Coal Company, Inc. Permit No. 280 Delta Mining, Inc.* Permit No. 281 Rondell Company* Permit No. 282 Phillips Coal, Inc.* Permit No. 283 G&H Coal Company, Inc.* Permit No. 284 Tower Resources, Inc. Permit No. 285 Clinton Coal Company** Permit No. 286 T.G.&C. Coal Company Permit No. 287 T.L. Moran, Inc. Permit No. 288 Delta Mining, Inc.* Permit No. 289 Pine Mt. Coal Company* Permit No. 290 Delta Mining, Inc.* Permit No. 291 George Nolan** Permit No. 292 Alexander Coal Co.* Permit No. 293 Pine Mt. Coal Company* Permit No. 294 rlen Miller*** Permit No. 295 tction Mining, Inc. Permit No. 296 Bessemer Iron & Coal Company* Permit No. 297 Oakland Coal Company Permit No. 298 Bittinger Coal Company Permit No. 299 Inter—State Lumber, Inc.* Permit No. 300 Garbart Coal Company* Permit No. 301 Pine Mt. Coal Company* Permit No. 302 L.C. Coal Company, Inc.* Permit: No. 303 Ginniman Brothers Coal Company** Permit No. 304 Buffalo Coal Company, Inc.* Permit No. 305 Wood Products, Inc.* Permit No. 306 Bridgeview Coal Company* Permit No. 307 T.L. Moran, Inc.* Permit No. 308 Best Coal Stripping, Inc.** Permit No. 309 Delta Mining, Inc.* Permit No. 310 Oakland Coal Company* Permit No. 311 Primrose Coal Company* Permit No. 312 R..K. Coal Company, Inc.** Permit No. 313 G&S Coal Company* Permit No. 314 Wilhelm Coal, Inc. Permit No. 315 Clise Coal Company Permit No. 316 Brawal Mining, Inc.* Permit No. 317 John R. Livingston** Permit No. 318 Winner Bros. Coal Company, Inc. Permit No. 319 John Duckworth Coal Company* Permit No. 320 Kelley Enterprises* ``` 34 ``` Permit No. 321 Delta Mining, Inc.* Permit No. 322 Bridgeview Coal Company* Permit No. 323 Ayers Coal Company Permit No. 324 John Duckworth Coal Company Permit No. 325 G&S Coal Company, Inc. Permit No. 326 Buffalo Coal Company, Inc. Permit No. 327 Buffalo Coal Company, Inc.* Permit No. 328 Buffalo Coal Company, Inc. Permit No. 329 Winner Bros. Coal Company, Inc. Permit No. 330 Inter—State Lumber Company Permit No. 331 R.A.K. Coal Company*** Permit No. 332 Seneca Mining Company* Permit No. 333 Westvaco Resources, Inc. Permit No. 334 Buffalo Coal Company, Inc. Permit No. 335 Inter—State Lumber Company Permit No. 336 Inter—State Lumber Company* Permit No. 337 Commonwealth Coals, Inc. Permit No. 338 Oliver Mining Company Permit No. 339 Wilhelm Coal, Inc.* Permit No. 340 Fetterolf Mining, Inc. Permit No. 341 Eastern Mining Systems, Inc.** Permit No. 342 Primrose Coal Company* Permit No. 343 L.C. Coal Company Permit No. 344 Bridgeview Coal Comany* Permit No. 345 Delta Mining, Inc. Permit No. 346 Inter—State Lumber Company* Permit No. 347 Kelley Enterprises* Permit No. 348 Schwinabart & Green, Joint Venture Permit No. 349 Wilhelm Coal, Inc. Permit No. 350 Bridgeview Coal Company* Permit No. 351 Winner Bros. Coal Company, Inc. Permit No. 352 John Duckworth Coal Company Permit No. 353 Winner Bros. Coal Company, Inc. Permit No. 354 Brawal Mining, Inc. Permit No. 355 Hi—Note, Inc. Permit No. 356 G&S Coal Company, Inc.* Permit No. 357 Richard Duckworth Coal Company Permit No. 358 Bridgeview Coal Company Permit No. 359 Buffalo Coal Company, Inc. Permit No. 360 Buffalo Coal Company, Inc. Permit No. 361 Pamela Mines, Inc. Permit No. 362 Alpha Mining, Inc. Permit No. 363 Pamela Mines, Inc. Permit No. 364 John Duckworth Coal Company Permit No. 365 G&S Coal Company, Inc. Permit No. 366 Buffalo Coal Company, Inc. Permit No. 367 Buffalo Coal Company, Inc. Permit No. 368 Winner Bros. Coal Company, Inc. Permit No. 369 Bittinger Coal Company Permit No. 370 Keystone Mt. Development Company Permit No. 371 Eagle Mining, Inc. Permit No. 372 John Duckworth Coal Company Permit No. 373 Commonwealth Coals, Inc. ``` ``` Permit No. 374 Winner Bros. Coal Company, Inc. ``` ``` Permit No. 375 Win—More Mining & Construction Company Permit No. 376 Jones Coal, Inc. Permit No. 377 Oakland Coal Company Permit No. 378 Eagle Mining, Inc.* Permit No. 379 Masteller Coal Company Permit No. 380 Fairview Coal Company Permit No. 381 Richard Duckworth Coal Company Permit No. 382 Pine Mt. Coal Company Permit No. 383 Oakland Coal Company Permit No. 384 Evans Coal Company Permit No. 385 Jones Coal, Inc. Permit No. 386 Jones Mining, Inc. Permit No. 387 Hilltop Construction Company Permit No. 388 Fetterolf Mining, Inc.*** Permit No. 389 Tower Resources, Inc. Permit No. 390 C.J. Merlo, Inc. Permit No. 391 Oak Springs Coal Company Permit No. 392 Westvaco Resources, Inc. Permit No. 393 C.J. Merlo, Inc. Permit No. 394 Piction Mining, Inc. Permit No. 395 Stan—Jan Excavating, Inc. Permit No. 396 Oakland Coal Co. Permit No. 397 Michael R. McGowan Permit No. 398 Brashear Coal Company Permit No. 399 Fairview Coal Company Permit No. 400 Delta Mining, Inc. Permit No. 401 Buffalo Coal Company, Inc. Permit No. 402 Pine Mt. Coal Company Permit No. 403 Delta Mining, Inc. DEEP MINES Permit DM 101 Mettiki Coal Corporation Permit DM 102 Masteller Coal Company* Permit DM 103 Mt. Top Coal Company Permit DM 104 Mettiki Coal Corporation Permit DM 105 Mettiki Coal Corporation Permit DM 106 P&J Coal Corporation Permit DM 107 Masteller Coal Company TIPPLES PND COB PILES Permit SC—83—10l Buffalo Coal Company Permit SC—83—102 Buffalo Coal Company Permit SC—83--103 Buffalo Coal Company Permit SC—83—104 Buffalo Coal Company Permit SC—83—105 Buffalo Coal Company* Permit SC—83—106 Permit Not Issued Permit SC—83--107 Delta Coal Sales, Inc. Permit SC—83—108 Delta Coal Sales, Inc. Permit SC—83--109 Permit Not Issued Permit SC-83—ll0 Tower Resources, Inc. Permit SC—83—lll Westvaco Resources, Inc. ``` 36 U ``` Permit SC—83—112 Winner Bros. Coal Company Permit SC—83—113 Permit Not Issoerl Permit SC—83—114 Ever, Inc. Permit SC—83—ll5 Permit Not Issoed ``` ``` * Operation Completed and Bond eieaso1 ** Forfeitore ot BonJ Not Activaterl ```
The purpose of this Fact Sheet is to provide an overview of the quarterly groundwater sampling conducted in June 2005. Results for all groundwater sampling events are available in the Camp Stanley Storage Activity Environmental Encyclopedia located at the downtown San Antonio Public Library, 600 Soledad Street, on the 2nd floor behind the Reference Desk in the Government Documentation Section, or on the internet at www.stanley.army.mil. On-post Groundwater Monitoring On-post groundwater monitoring has been conducted since 1991 as part of the Camp Stanley Storage Activity (CSSA) environmental program. The 40 wells sampled in June 2005 include drinking water, monitoring, and agriculture/livestock wells. The samples were analyzed for metals (arsenic, cadmium, lead, barium, chromium, copper, nickel, zinc, and mercury) and volatile organic compounds (VOCs), (paint thinners, dry cleaning solvents, and some constituents of petroleum fuels). Metals and VOCs are sometimes accidentally released into the environment, where they can contaminate the soil and groundwater. Laboratory results from June 2005 sampling activities indicate that on-post VOC levels have generally remained the same since the last sampling event. Samples from four wells exceeded U.S. Environmental Protection Agency (EPA) maximum contaminant levels (MCLs) for VOCs. No results for metals were above the appropriate EPA MCL, action level (AL), or secondary standard during the June 2005 sampling event. CSSA Off-post Groundwater Monitoring Plan CSSA describes its off-post groundwater monitoring plan in its OffPost Monitoring Program and Response Plan, July 2001 (Plan). The goals of this Plan are to confirm that drinking water meets EPA and Texas Commission on Environmental Quality (TCEQ) safe drinking water standards, to determine where VOC contamination has migrated, monitor off-post water wells near known CSSA VOC source areas, and respond according to the Plan if contaminant levels in those wells exceed standards. As part of the Plan, 32 off-post wells were sampled in June 2005. Off-post water wells are selected for sampling based on CSSA's plan to ensure protection of drinking water and to provide information for the environmental program. Factors such as where the well is located, how close it is to areas where other VOCs or metals have been detected, whether the well owner grants access for sampling, and results of previous sampling at the well are all considered. Camp Stanley Storage Activity Groundwater Contamination – June 2005 Sampling FACT SHEET No. 23 – June 2005 confirms previous test results, CSSA will either install a granular activated carbon (GAC) filter to remove contaminants from the water, or provide the well owner with an alternate water supply for as long as contaminant levels in the well exceed standards. Seven off-post water wells have been fitted with GAC filtration systems: LS-7 (August 2001), LS-6 (August 2001), RFR-10 (two units, October 2001), RFR-11 (October 2001), LS-2/LS-3 (April 2002), and OFR-3 (April 2002). June 2005 Groundwater Sampling Results The locations of all off-post wells sampled in June 2005 are shown on Figure 1. According to the EPA drinking water standards, concentrations below 5.0 ppb for PCE and TCE are considered safe. Table 1 (see back) presents groundwater data for PCE and TCE from June 2005. Twenty wells had VOC detections. One well, RFR-10, exceeded the MCL for PCE and TCE. This well was previously equipped with a GAC filtration system. PCE and/or TCE concentrations detected below the MCL of 5.0 ppb were in wells I10-4, LS-2, LS-3, LS-6, LS-7, OFR-3, and RFR-11. All other VOC detections were below the laboratory reporting limit in these wells. In all other wells tested, VOC detections were below the applicable MCLs in drinking water and below the laboratory reporting limit for PCE and TCE. CSSA will continue to sample both on- and off-post groundwater on a quarterly basis. CSSA will continue to coordinate this groundwater monitoring program with the regulatory agencies and other potentially affected parties, including the EPA, TCEQ, Fort Sam Houston, City of Fair Oaks, Fair Oaks Water Utilities, Bexar Metropolitan Water District, Bexar County Commissioners' office, State Representatives' offices, local, state, and federal elected officials, private well owners, and others. Post-GAC Sampling Results Because of the previously detected presence of VOCs, seven off-post wells in the area are equipped with GAC filters. In March 2005, analyses of the water samples taken after the GAC filters were installed confirmed that no VOCs related to the CSSA source areas were present above the applicable MCLs, and that the GAC units were working properly. Samples from wells with GAC filters are collected every six months. The next post-GAC sampling event will be conducted in September 2005, and the results will be presented after that event. Source Area Cleanup CSSA takes action if VOC contamination is detected in off-post wells at concentrations greater than 90 percent of the MCL, or above 4.5 parts per billion (ppb) for tetrachloroethene (PCE) and trichloroethene (TCE). This action includes supplying bottled water to the affected residents within 24 hours of the detection, and resampling the well for confirmation. If additional sampling Groundwater contamination at CSSA is associated with three VOC source areas. Two source areas, Solid Waste Management Unit (SWMU) B-3 and SWMU O-1, are in the central portion of CSSA and affect the area designated as Plume 1. Cleanup activities at SWMU B-3 and O-1 involve removing gases in the soil (soil vapor extraction [SVE]). In late 2003, some VOC-contaminated soil at Produced by Camp Stanley Storage Activity • 25800 Ralph Fair Road • Boerne, Texas 78015-4800 • 210-295-7416 SWMU B-3 was removed. In February 2004, a new pilot SVE system was installed at SWMU B-3. Area of Concern (AOC)-65, was identified in the southwest corner of CSSA as the other potential source of VOCs, and affects the area designated as Plume 2. An SVE system was installed during the summer 2002. A significant reduction in soil gas concentrations beneath AOC-65 has been observed since initial operation of the SVE system. The SVE system west of Building 90 will be operated for the foreseeable future. Public Comment and Future Fact Sheets CSSA has been issuing fact sheets similar to this Fact Sheet on a quarterly basis since 2000. Future fact sheets will be issued annually to provide information on sampling results, ongoing investigations, and cleanup activities. Each well owner will continue to receive a separate letter concerning laboratory results for their wells sampled by CSSA. CSSA will continue to inform the public about various aspects of its environmental program. The public is welcome to comment on this Fact Sheet and the environmental activities at CSSA by writing to: Installation Manager, Camp Stanley Storage Activity 25800 Ralph Fair Road Boerne, Texas 78015-4800 Interested parties may also comment by calling: * CSSA Installation Manager, Mr. Jason D. Shirley, at (210) 295-7416; * Fort Sam Houston, Public Affairs Office, Mr. Phillip Reidinger, at (210) 221-1151 or (210) 336-0449 (mobile) * EPA Regional Program Manager, Mr. Greg Lyssy, at (214) 665-8317; or Produced by Camp Stanley Storage Activity • 25800 Ralph Fair Road • Boerne, Texas 78015-4800 • 210-295-7416 Table 1 - Groundwater Sampling Results Off-post Wells near Plume 1 \| PCE TCE Well Number (ppb) (ppb) \| \| \| \|---\|---\|---\| \| FO-17 \| ND \| ND \| \| FO-J1 \| 0.21 F \| ND \| \| JW-5 \| ND \| ND \| \| JW-6 \| ND \| ND \| \| JW-7 \| 0.35 F \| ND \| \| JW-8 \| 0.18 F \| ND \| \| JW-8 FD \| 0.23 F \| ND \| \| JW-13 \| ND \| ND \| \| JW-14 \| ND \| ND \| \| JW-15 \| ND \| ND \| \| JW-27 \| ND \| 0.10 F \| \| JW-28 \| ND \| ND \| \| JW-29 \| ND \| ND \| \| JW-30 \| ND \| ND \| Off-post Wells near Plume 2 \| PCE TCE Well Number (ppb) (ppb) \| \| \| \|---\|---\|---\| \| HS-2 \| 0.16 F \| ND \| \| HS-3 \| ND \| ND \| \| I10-2 \| ND \| ND \| \| I10-4 \| 3.47 \| 1.16 \| \| I10-7 \| ND \| ND \| \| LS-2 \| 1.81 \| 0.16 F \| \| LS-3 \| 1.44 \| 0.37 \| \| LS-4 \| 0.15 F \| ND \| \| LS-4 FD \| ND \| ND \| \| LS-5 \| ND \| 0.1 \| \| LS-6 \| 1.83 \| ND \| \| LS-7 \| 2.5 \| 0.26 F \| \| OFR-1 \| 0.35 F \| ND \| \| OFR-1 FD \| 0.34 F \| ND \| \| OFR-2 \| 0.30 F \| ND \| \| OFR-3 \| 2.54 \| 2.07 \| \| RFR-8 \| ND \| ND \| \| RFR-10 \| 17.64 \| 8.14 \| \| RFR-11 \| 1.58 \| 1.24 \| \| RFR-12 \| ND \| ND \| \| RFR-13 \| ND \| ND \| ND= The VOC was not detected above the method detection limit. F= The VOC was not detected above the RL. Bold= Concentration > MCL CS-MWH-LGR
ORAL ARGUMENT NOT SCHEDULED IN THE UNITED STATES COURT OF APPEALS FOR THE DISTRICT OF COLUMBIA CIRCUIT STATE OF WEST VIRGINIA, STATE OF ALABAMA, STATE OF INDIANA, STATE OF KANSAS, COMMONWEALTH OF KENTUCKY, STATE OF LOUISIANA, STATE OF NEBRASKA, STATE OF OHIO, STATE OF OKLAHOMA, STATE OF SOUTH CAROLINA, STATE OF SOUTH DAKOTA, and STATE OF WYOMING Case No. 14-1146 Petitioners, v. UNITED STATES ENVIRONMENTAL PROTECTION AGENCY, Respondent. UNOPPOSED MOTION OF THE STATES OF NEW YORK, CALIFORNIA, CONNECTICUT, DELAWARE, MAINE, NEW MEXICO, OREGON, RHODE ISLAND, VERMONT AND WASHINGTON, THE COMMONWEALTH OF MASSACHUSETTS, THE DISTRICT OF COLUMBIA, AND THE CITY OF NEW YORK TO INTERVENE AS RESPONDENTS (Page 1 of Total) Pursuant to Federal Rule of Appellate Procedure 15(d) and Circuit Rule 15(b), the States of New York, California, Connecticut, Delaware, Maine, New Mexico, Oregon, Rhode Island, Vermont and Washington, the Commonwealth of Massachusetts, the District of Columbia, and the City of New York (collectively, Proposed Intervenor States) file this unopposed motion for leave to intervene in this case in support of the respondent Environmental Protection Agency (EPA). Pursuant to Circuit Rule 15(b), this motion also constitutes a motion to intervene in all petitions for review of the challenged administrative action. INTRODUCTION On August 1, 2014, petitioners West Virginia, et al., filed a petition for review that purports to challenge a settlement agreement entered into in 2010 by EPA and the petitioners in New York v. EPA (D.C. Cir. No. 06-1322), which included the Proposed Intervenor States and several non-governmental environmental organizations. 1 A copy of the settlement agreement is attached as Exhibit A. Under the settlement agreement, EPA agreed to a schedule to promulgate standards of performance for greenhouse gas emissions from new fossil fuel-fired electric generating units (power plants) and guidelines for greenhouse gas emissions from existing power plants, pursuant to section 111 of 1 The environmental organizations who were parties to the Settlement Agreement are the Natural Resources Defense Council, Sierra Club and Environmental Defense Fund. They are not parties to this motion. (Page 2 of Total) the Clean Air Act (the Act), 42 USC § 7411. After completing the required notice and comment process for the settlement pursuant to section 113(g) of the Act, see 75 Fed. Reg. 82,392 (Dec. 30, 2010), EPA signed the agreement on March 2, 2011. See Memorandum from Scott Jordan, Attorney in Air and Radiation Law Office, to Scott C. Fulton, General Counsel (signed March 2, 2011), available at: http://www.regulations.gov/#!documentDetail;D=EPA-HQ-OGC-2010-1057-0036. The Proposed Intervenor States have a right to intervene in this proceeding under FRAP 15(d). As parties to the settlement agreement petitioners seek to challenge, Proposed Intervenor States have a direct and substantial interest in the outcome of this proceeding. Additionally, to the extent that petitioners seek to enjoin rulemaking actions designed to address greenhouse gas emissions from power plants, Proposed Intervenor States have an interest in seeing the rulemaking process move forward to address global warming-related harms. Accordingly, this motion to intervene should be granted. BACKGROUND Section 111 of the Act requires EPA to develop performance standards for categories of stationary sources whose emissions EPA has determined endanger public health or welfare. Section 111(b) requires the EPA Administrator to list categories of stationary sources that the Administrator finds "cause[], or contribute[] significantly to, air pollution which may reasonably be anticipated to (Page 3 of Total) endanger public health or welfare." 42 U.S.C. § 7411(b)(1)(A). The Administrator then must establish "standards of performance" for emissions of air pollutants from new and modified sources within each such category, id. § 7411(b)(1)(B), as well as emission guidelines for states to follow in developing their own standards of performance to limit pollution from existing stationary sources within that category, id. § 7411(d). Power plants are designated as stationary sources of air pollutants under 40 CFR part 60, subparts Da and KKKK. In February 2006, EPA published a final rule under section 111 revising the power plant standards, but did not include a standard for greenhouse gas emissions on the basis that it lacked the authority to do so under the Act. See 71 Fed. Reg. 9,866 (Feb. 27, 2006). Proposed Intervenor States, along with several environmental organizations, filed petitions for review of the rule, arguing, among other things, that the Act required EPA to set standards of performance for greenhouse gas emissions from power plants. The petitions for review in that case, New York v. EPA (D.C. Cir., No. 06-1322), were pending before this Court when the Supreme Court held that greenhouse gases are air pollutants under the Act. Massachusetts v. EPA, 549 U.S. 497, 528-529 (2007). At EPA's request, this Court remanded the rule to EPA for further proceedings on greenhouse gas emissions in light of Massachusetts v. EPA. Over the next few (Page 4 of Total) years, EPA took no formal action in response to the remand order, despite multiple inquiries from the Proposed Intervenor States and environmental organizations. In December 2009, EPA determined that anthropogenic greenhouse gas emissions are already endangering, and in the future may reasonably be anticipated to continue to endanger, public health and welfare. 74 Fed. Reg. 66,496 (Dec. 15, 2009). Power plants are the largest domestic source of greenhouse gas emissions. Currently, fossil fuel combustion for electricity generation is responsible for almost one third of all greenhouse gas emissions in the United States. See 74 Fed. Reg. 56,260, 56,363 (Oct. 30, 2009). Greenhouse gas emissions from power plants harm the Proposed Intervenor States and their citizens by significantly contributing to air pollution that causes climate change. Proposed Intervenor States and their citizens have experienced and will continue to experience injuries that are consistent with those expected from climate change, including: - increased heat deaths and illnesses due to intensified and prolonged heat waves; - increased ground-level smog, with concomitant increases in respiratory problems like asthma; - beach erosion, inundation of property, damage to publicly-owned coastal facilities and infrastructure, and salinization of water supplies from accelerated sea level rise; (Page 5 of Total) - more frequent and severe flooding from more downpours and the potential for higher storm surges, resulting in additional state emergency response costs; - shrinking of water supplies due to reduced snowpack; - declines in water quality from increased water temperatures and increased turbidity due to more frequent and intense storms; and - widespread loss of species and biodiversity, including the projected loss and even disappearance of certain forest types from the U.S. See74 Fed. Reg. at 66,516-66,536. In December 2010, the Proposed Intervenor States, environmental groups, and EPA entered into a settlement agreement to resolve these petitioners' claims in the New York v. EPA litigation. Under that settlement agreement, EPA agreed to a schedule for proposing and finalizing a rule to establish performance standards for greenhouse gas emissions from new power plants under section 111(b) of the Act and emissions guidelines for states to follow with respect to greenhouse gases from existing power plants under section 111(d). Exhibit A, ¶¶ 1-4. The sole remedy for Proposed Intervenor States for EPA noncompliance with the agreement was to file an appropriate motion, petition, or civil action seeking to compel EPA to take action responding to this Court's remand order. Id., ¶ 7. Although EPA did not meet the schedule contained in the settlement (Page 6 of Total) agreement, it did propose a rule to establish performance standards for new power plants in April 2012. See 77 Fed. Reg. 22,392 (April 13, 2012). In January 2014, in response to public comments received, EPA published a new version of the proposed rule. See 79 Fed. Reg. 1,430 (Jan. 8, 2014). In June 2014, as required by section 111(d) of the Act, EPA proposed a rule that would establish emission guidelines for states to follow in developing plans to address greenhouse gas emissions from existing fossil fuel-fired power plants (the Proposed Guidelines). See 79 Fed. Reg. 34,830 (June 18, 2014). After EPA published the Proposed Guidelines for comment – more than three years after the settlement agreement had been executed, but before any of the rules referenced in the settlement agreement had been finalized – petitioners commenced the instant action by filing a petition for review in this Court. The petition for review seeks to "hold the Settlement Agreement unlawful to the extent that" it commits EPA to proposing and finalizing regulations under Section 111(d), to enjoin EPA from complying with the settlement by continuing the comment period for or finalizing the Proposed Guidelines, and to vacate the settlement agreement in relevant part. Petition, at 4-5. Proposed Intervenor States file this motion to intervene in this matter to join EPA is requesting that the Court deny the petition to review. Counsel for the Petitioners has stated that Petitioners do not oppose this motion. Counsel for EPA (Page 7 of Total) has stated that EPA also does not oppose this motion. ARGUMENT I. The Interests of the Proposed Intervenor States Warrant Granting the Motion Under FRAP 15(d). Under FRAP 15(d), a party seeking to intervene in a proceeding to review an administrative action must file a motion indicating the party's interest in the proceeding and the grounds for intervention within 30 days of the filing of a petition of review. Intervention under Rule 15(d) is granted where the moving party's interests in the outcome of the action are direct and substantial. See, e.g., Yakima Valley Cablevision, Inc. v. FCC, 794 F.2d 737, 744-45 (D.C. Cir. 1986) (intervention allowed under Rule 15[d] because petitioners were "directly affected by" agency action); New Mexico Dep't of Human Services v. HCFA, 4 F.3d 882, 884 n.2 (10th Cir. 1993) (permitting intervention because intervenors had "substantial and unique interest" in outcome); Bales v. NLRB, 914 F.2d 92, 94 (6th Cir. 1990) (granting Rule 15[d] intervention to party with "substantial interest in the outcome"). This motion is being filed within 30 days after the petition for review was filed and, therefore, is timely under FRAP 15(d). Additionally, Proposed Intervenor States, as parties to the settlement agreement being challenged, have a direct and substantial interest in the outcome of this proceeding. The settlement agreement resolved a case Proposed Intervenor States spent several years litigating (Page 8 of Total) and the agreement itself required several months of negotiations. Proposed Intervenor States' interest in avoiding annulment of the settlement agreement is therefore manifest. See, e.g., In re Sierra Club, 945 F.2d 776, 779 (4 th Cir. 1991) (party to administrative proceeding involving regulation has sufficient interest to intervene in action to enjoin enforcement of that regulation); County of Fresno v. Andrus, 622 F.2d 436, 437-438 (9 th Cir. 1980) (sufficient interest shown where action by proposed intervenor prompted promulgation of regulations that were being challenged). Moreover, to the extent that petitioners seek to block the finalization of the Proposed Guidelines, Proposed Intervenor States have an interest in seeing the rulemaking process move forward. Although Proposed Intervenor States dispute petitioners' position that there would be any legal effect on the Proposed Guidelines of invalidating the settlement agreement, we have an interest in being able to present that view to the Court. Proposed Intervenor States, as states and other governmental entities, have a compelling interest in curbing the harmful effects of climate change on their citizens and natural resources from the largest source of these emissions. See Massachusetts v. EPA, 549 U.S. at 520-522. Left unchecked, climate change – spurred by greenhouse gas emissions from power plants and other sources – threatens to destroy or damage coastal areas, disrupt natural ecosystems, reduce the amount of water stored in winter snowpack, (Page 9 of Total) increase the frequency and severity of extreme weather events, increase the spread of disease, lead to longer and more frequent droughts, and contribute to a host of other deleterious effects described above. See generally Massachusetts v. EPA, 549 U.S. at 521; 74 Fed. Reg. at 66,516-66,536. Any further delay by EPA in publishing final emission guidelines for existing power plants harms the Proposed Intervenor States and their citizens by delaying adoption of standards of performance, resulting in higher emissions of greenhouse gases than would be permitted if EPA were to finalize the proposed rule. Accordingly, Proposed Intervenor States have an interest in seeing that the rulemaking process for the Proposed Guidelines remains on track. See Andrus, 622 F.2d at 437-438. II. The Liberal Intervention Policies Underlying Federal Rule of Civil Procedure 24 Support Intervention. Federal appellate courts have also looked to the policies underlying Federal Rule of Civil Procedure 24, which governs intervention in the district courts, to determine whether a party should be allowed to intervene. See International Union v Scofield, 382 U.S. 205, 217 n. 10 (1965); Building & Constr. Trades Dep't v. Reich, 40 F.3d 1275, 1282 (D.C. Cir. 1994). Federal Rule of Civil Procedure 24(a)(2) provides that: Upon timely application, anyone shall be permitted to intervene in an action: . . . when the applicant claims an interest relating to the property or transaction which is the subject of the action and the applicant is so situated that the disposition of the action may as a practical matter impair or impede the applicant's ability to protect that interest, unless the applicant's interest is adequately represented by existing parties. FRCP 24(a)(2); see also Fund for Animals, Inc. v. Norton, 322 F.3d 728, 731 (D.C. Cir. 2003) (delineating four-part test for intervention as of right under Rule 24). The decision to allow intervention should be guided by the "need for a liberal application in favor of permitting intervention." Nuesse v. Camp, 385 F.2d 694, 702 (D.C. Cir. 1967). As discussed above, the Proposed Intervenor States have a direct and substantial interest in defending their settlement agreement and in ensuring that EPA regulates greenhouse gas emissions that cause climate change. Furthermore, EPA may not adequately represent the interests of the Proposed Intervenor States in this action. 2 The "inadequate representation" requirement of Federal Rule of Civil Procedure 24(a) "is satisfied if the applicant shows that representation of his [or her] interest 'may be' inadequate; and the burden of making that showing should be treated as minimal." Trbovich v. United Mine Workers, 404 U.S. 528, 538 n. 10 (1972); see also Envtl. Defense Fund, Inc. v. Higgison, 631 F.2d 738, 740 (D.C. Cir. 1979). The interests of one governmental entity may not be the same as those of another governmental entity. See, e.g., 2 FRAP 15(d), unlike Federal Rule of Civil Procedure 24(a), does not, on its face, require an intervenor to show inadequate representation by the parties in the litigation. In any case, Proposed Intervenor States would satisfy this element of Rule 24(a), as explained below. Forest Conserv. Council v. U.S. Forest Serv., 66 F.3d 1489, 1499 (9th Cir. 1995). Here, the Proposed Intervenor States were adverse parties to EPA in the New York v. EPA litigation. To fully protect their interests, the Proposed Intervenor States should be permitted to intervene as party-respondents in this proceeding. III. Permissive Intervention under Federal Rule of Civil Procedure 24(b) Also Is Appropriate. Lastly, even if the policies behind intervention as of right were not applicable here, the Court should exercise its discretion to allow permissive intervention. Permissive intervention under Federal Rule of Civil Procedure 24(b)(1)(B) is available when the proposed intervenor can show that it "has a claim or defense that shares with the main action a common question of law or fact." In granting permissive intervention, courts should consider whether the intervention would "unduly delay or prejudice the adjudication of the original parties' rights." Fed. R. Civ. P. 24(b)(3). Given that Proposed Intervenor States timely filed this motion to intervene, there will be no delay in the proceeding or prejudice to the adjudication of the original parties' rights if the motion is granted. Indeed, as explained above, no party opposes this motion. Furthermore, as explained above, the Proposed Intervenor States have a direct and substantial interest in the outcome of this litigation, which may not be adequately protected unless they are permitted to intervene. Accordingly, granting the motion on grounds of permissive intervention also would be appropriate. CONCLUSION For the reasons stated above, the Proposed Intervenor States respectfully request that this Court grant their motion to intervene in this case. Pursuant to ECF-3(B) of this Court's Administrative Order Regarding Electronic Case Filing (May 15, 2009), the undersigned counsel for the State of New York hereby represents that the other parties listed in the signature blocks below have consented to the filing of this motion to intervene. Dated: September 2, 2014 Respectfully submitted, FOR THE STATE OF NEW YORK ERIC T. SCHNEIDERMAN ATTORNEY GENERAL /s/ Michael J. Myers _____________________________ MICHAEL J. MYERS MORGAN COSTELLO Assistant Attorneys General Environmental Protection Bureau The Capitol Albany, NY 12224 (518) 402-2594 FOR THE STATE OF CALIFORNIA KAMALA D. HARRIS ATTORNEY GENERAL RAISSA LERNER Deputy Attorney General California Department of Justice (Page 13 of Total) By: 1515 Clay Street, 20 th Floor P.O. Box 70550 Oakland, CA 94612-0550 (510) 622-2131 FOR THE STATE OF CONNECTICUT GEORGE JEPSEN ATTORNEY GENERAL SCOTT N. KOSCHWITZ Assistant Attorney General Office of the Attorney General P.O. Box 120, 55 Elm Street Hartford, CT 06141-0120 (860) 808-5250 FOR THE STATE OF DELAWARE JOSPEH R. BIDEN, III ATTORNEY GENERAL VALERIE SATTERFIELD EDGE Deputy Attorney General Delaware Department of Justice 102 West Water Street, 3d Floor Dover, DE 19904 (302) 739-4636 FOR THE STATE OF MAINE JANET T. MILLS ATTORNEY GENERAL JERRY REID Natural Resources Division Chief 6 State House Station Augusta, ME 04333 (207) 626-8800 FOR THE STATE OF NEW MEXICO GARY K. KING ATTORNEY GENERAL TANNIS FOX Assistant Attorney General 408 Galisteo Street Villagra Building Santa Fe, NM 87501 (505) 827-6000 FOR THE STATE OF OREGON ELLEN F. ROSENBLUM ATTORNEY GENERAL Paul Garrahan Acting Attorney-in Charge Natural Resources Section Oregon Department of Justice 1162 Court Street NE Salem, OR 970301-4096 (503) 947-4593 FOR THE STATE OF RHODE ISLAND PETER KILMARTEN ATTORNEY GENERAL REGORY G S. S CHULTZ Special Assistant Attorney General Rhode Island Department of Attorney General 150 South Main Street Providence, RI 02903 (401) 274-4400 FOR THE STATE OF VERMONT WILLIAM H. SORRELL ATTORNEY GENERAL HEA T S CHWARTZ Assistant Attorney General Office of the Attorney General 109 State Street Montpelier, VT 05609-1001 (802) 828-2359 FOR THE STATE OF WASHINGTON BOB FERGUSON ATTORNEY GENERAL ESLIE L R. S EFFERN Assistant Attorney General P.O. Box 40117 Olympia, WA 98504-0117 (360) 586-4613 FOR THE COMMONWEALTH OF MASSACHUSETTS MARTHA COAKLEY ATTORNEY GENERAL AROL C I ANCU Assistant Attorney General Office of the Attorney General One Ashburton Place Boston, MA 02108-1518 (617) 727-2200 FOR THE DISTRICT OF COLUMBIA IRVIN B. NATHAN ATTORNEY GENERAL AMY MCDONNELL Deputy General Counsel Office of the Attorney General 441 4 th Street, NW Washington, DC 20001 (202) 727-3400 FOR THE CITY OF NEW YORK ZACHARY W. CARTER CORPORATION COUNSEL CARRIE NOTEBOOM Senior Counsel New York City Law Department 100 Church Street New York, NY 1007 (212) 356-2319 CERTIFICATE OF SERVICE I hereby certify that a copy of the foregoing Unopposed Motion for Leave to Intervene as Respondents was filed on September 2, 2014 using the Court's CM/ECF system and that, therefore, service was accomplished upon counsel of record by the Court's system. /s/ Michael J. Myers ______________________________ USCA Case #14-1146 Document #1510244 Filed: 09/02/2014 Page 1 of 22 EXHIBIT A SETTLEMENT AGREEMENT This Settlement Agreement-is made by and between the following groups of Petitioners: (1) the States of New York, California, Connecticut, Delaware, Maine, New Mexico, Oregon, Rhode Island, Vermont, and Washington, the Commonwealth of Massachusetts, the District of Columbia, and the City of New York (collectively "State Petitioners"); and (2) Natural Resources Defense Council (NRDC), Sierra Club, and Environmental Defense Fund (EDF) (collectively "Environmental Petitioners"), and Respondent, the U.S. Environmental Protection Agency ("EPA") (collectively "the Parties"). WHEREAS, EPA published a final action entitled "Standards of Performance for Electric Utility Steam Generating Units, In<l:ustrial-Commercial-Institutional Steam Generating Units, and Small Industrial-Commercial-Institutional Steam Generating Units," 71 Fed. Reg. 9,866 (Feb. 27, 2006) (the "Final Rule"); WHEREAS, the Final Rule included amendments to the standards of performance for electric utility steam generating units subject to 40 C.F.R. part 60, subpart Da ("EGUs"); WHEREAS, in connection with this Final Rule, EPA declined to establish standards of performance for greenhouse gas ("GHG") emissions; WHEREAS, State and Environmental Petitioners filed petitions for judicial review of the . Final Rule under the Clean Air Act ("CAA") Section 111, 42 U.S.C. § 7411, contending, inter alia, that the Final Rule was required to include standards of performance for GHG emissions fromEGUs; WHEREAS, the portions of State and Environmental Petitioners' petitions for review of ·the Final Rule that related to GHG emissions were severed from other petitions for review of the Final Rule, and were formerly pending before the United States Court of Appeals for the District of Columbia Circuit (the "Court") under the caption State of New York, et al. v. EPA, No. 061322; WHEREAS, following the Supreme Court's decision in Massachusetts v. EPA, 549 U.S. 497 (2007), EPA requested remand of the Final Rule to EPA for further consideration of the issues related to GHG emissions in light of that decision; WHEREAS, the Court remanded the Final Rule to EPA for further proceedings on GHG emissions in light of Massachusetts v. EPA, by its Order of September 24, 2007 (the "Remand Order"); WHEREAS, as of the date of this Settlement Agreement, EPA has not taken any publicly noticed action to respond to the Remand Order; WHEREAS, the State Petitioners submitted letters to EPA dated June 16, 2008 and August 4, 2009 inquiring as to the status ofEPA's action on the remand and stating their position that EPA had a legal obligation to act promptly to comply with the requirements of Section 111, and Environmental Petitioners submitted a letter to EPA on August 20, 2010 seeking commitments to rulemaking on GHG emissions from EGUs as a means of avoiding further litigation; WHEREAS, EGUs are, collectively, the largest source category of GHG emissions in the United States, according to a recent EPA analysis. See 74 Fed. Reg. 56,260, 56,363 (Oct. 30, 2009); WHEREAS, EPA's initial evaluation of available GHG control strategies indicates that th~re are cost-effective control strategies for reducing GHGs from EGUs; WHEREAS, EPA believes it would be appropriate for it to concurrently propose performance standards for GHG emissions from new and modified EGUs under CAA section USCA Case #14-1146 Document #1510244 Filed: 09/02/2014 Page 4 of 22 11l(b),42 U.S.C. § 741 l(b), and emissions guidelines for GHG emissions from existing affected EGUs pursuant to CAA section 11l(d),42 U.S.C. § 741 l(d), and 40 C.F.R. § 60.22; WHEREAS, the Parties wish to enter into this Settlement Agreement to resolve the State and Environmental Petitioners' request for performance standards and emission guidelines for · GHG emissions under CAA sections 111 (b) and 111 ( d) and to avoid further litigation on this issue, without any admission or adjudications of fact or law; NOW THEREFORE, the Parties, intending to be bound by this Settlement Agreement, hereby stipulate and agree as follows: 1. EPA will sign by July 26, 2011, and will transmit to the Office of the Federal Register within five business days, a proposed rule under section 111 (b) that includes standards of performance for GHGs for new and modified EGUs that are subject to 40 C.F.R. part 60, subpart Da. EPA shall provide the State and Environmental Petitioners a copy of the proposed rule within five business days of signature. 2. EPA will also sign by July 26, 2011, and will transmit to the Office of the Federal Register within five business days, a proposed rule under section 111 ( d) that includes emissions guidelines for GHGs from existing EGUs that would have been subject to 40 C.F.R. part 60, subpart Da if they were new sources. EPA shall provide the State and Environmental Petitioners a copy of the proposed rule within five business days of signature. 3. After considering any public comments received concerning the proposed rule described in Paragraph 1, EPA will sign no later than May 26, 2012,. and will transmit to the Office of the Federal Register within five business days, a final rule that takes final action with respect to the proposed rule described in Paragraph 1 .. EPA shall provide the Environmental and State Petitioners with a copy of its final action within five business days of signature. 4. IfEPA finalizes standards of performance for GHGs pursuant to Paragraph 3, then based on consideration of the public comments received concerning the proposed rule described in Paragraph 2, EPA will sign no later than May 26, 2012, and will transmit to the Office of the Federal Register within five business days, a final rule that takes final action with respect to the proposed rule describe in Paragraph 2. EPA shall provide the State and Environmental Petitioners with a copy of its final action within five business days of signature. 5. EPA agrees that it will make staff available by telephone at least every 60 days to update State and Environmental Petitioners on EPA's progress in completing the actions described in Paragraphs (1) through (4). In addition, EPA will provide State and Environmental Petitioners with a status letter every 60 days, which shall include an affirmative statement of whether EPA believes it will timely complete all actions described in Paragraphs 1 through 4. 6. Upon EPA' s fulfillment of each of the obligations stated in Paragraphs 1 through 4 above, this Settlement Agreement shall constitute a full and final release of any claims that State and Environmental Petitioners may have under any provision of law to compel EPA to respond to the Court's Remand Order with respect to GHG emissions from EGUs. 7. State and Environmental Petitioners shall not file any motion or petition seeking to compel EPA action in response to the Remand Order with respect to GHG emissions from EGUs unless EPA has first failed to meet an obligation stated in Paragraphs 1 through 4 above. If EPA fails to meet such an obligation, or if an EPA status letter described in Paragraph 5 does not affirm that EPA believes it will timely complete all actions described in Paragraphs 1 through 4, or if EPA fails to send a status letter as described in Paragraph 5 and does not promptly cure that failure upon receiving notice, State and Environmental Petitioners' sole remedy shall be to file an appropriate motion or petition with the Court or other civil action seeking to compel EPA to take action responding to the Remand Order. In that event, all Parties reserve any claims or defenses they may have in such an action, and the dates stated in Paragraphs 1 through 4 shall be construed to represent only the parties' attempt to compromise claims in litigation, and not to represent agreement that any particular schedule for further agency action is reasonable or otherwise required by law. State and Environmental Petitioners reserve all rights under the law to file petitions for review of final agency actions under this Settlement Agreement, pursuant to section 307(b ), 42 U.S.C. § 7607(b ). 8. This Settlement Agreement constitutes the sole and entire understanding of EPA and the Environmental and State Petitioners and no statement, promise or inducement made by any Party to this Settlement Agreement, or any agent of such Parties, that is not set forth in this Settlement Agreement shall be valid or binding. 9. Except as expressly provided in this Settlement Agreement, none of the Parties waives or relinquishes any legal rights, claims or defenses it may have. State and Environmental Petitioners reserve the right to seek attorneys' fees and costs relating to this litigation, and EPA reserves any defenses it may have relating to such claims. 10. The provisions of this Settlement Agreement can be modified at any time by written mutual consent of the Parties. 11. Except as expressly provided herein, nothing in the terms of this Settlement Agreement shall be construed to limit or modify th~ discretion accorded EPA by the CAA or by general principles.of administrative law. 12. The commitments by EPA in this Settlement Agreement are subject to the availability of appropriated funds. No provision of this Settlement Agreement shall be interpreted as or constitute a commitment or requirement that EPA obligate, expend or pay funds in contravention of the Anti-Deficiency Act, 31U.S.C.1341, or any other applicable appropriations law or regulation, or otherwise take any action in contravention of those laws or regulations. 13. Nothing in the terms of this Settlement Agreement shall be construed to limit EPA's authority to alter, amend or revise any final rule EPA may issue pursuant to Paragraphs 3 or 4, or to promulgate superseding regulations. 14. The Parties agree and acknowledge that before this Settlement Agreement is final, EPA must provide notice in the Federal Register and an opportunity for public comment pursuant to CAA Section 113(g), 42 U.S.C. 7413(g). After this Settlement Agreement has undergone an opportunity for notice and comment, the Administrator and/or the Attorney General, as appropriate, shall promptly consider any such written comments in determining whether to withdraw or withhold her/his consent to the Settlement Agreement, in accordance with section 113(g) of the CAA. Within 30 days of the close of the public comment period, EPA shall provide written notice to State and Environmental Petitioners of any decision to withdraw or withhold consent or shall provide written notice of finality. This Settlement Agreement shall become final on the date that EPA provides written notice of such finality to the State and Environmental Petitioners. 15. The undersigned representatives of each Party certify that they are fully authorized by the Party that they represent to bind that respective Party to the terms of this Settlement Agreement. This Settlement Agreement will be deemed to be executed when it has been signed by the representatives of the Parties set forth below, subject to final approvals pursuant to Paragraph 14 . . DATE: 1z../-z.1 ho I I DATE: ------ DATE: ------ Counsel for US. Environmental Protection Agency MICHAEL J. MYERS MORGAN A. COSTELLO Assistant Attorneys General Environmental Protection Bureau · ... Office of the Attorney General, The Capitol Albany, New York 12224 Counsel for State of New York KENNETH P. ALEX SUSAN DURBIN Office of the Attorney General, State of California 1515 Clay Street, 20th Floor, P.O. Box 70550 Oakland, CA 94612 Counsel for State of California USCA Case #14-1146 Document #1510244 Filed: 09/02/2014 Page 9 of 22 date that EPA provides written notice of such finality to the State and Environmental Petitioners. 15. The undersigned representatives of each Party certify that they are fully authorized by the Party that they ~epresent to bind that respective Party to the terms of this Settlement Agreement. This Settlement Agreement will be deemed to be executed when it has been signed by the representatives of the Parties set forth below, subject to final approvals pursuant to Paragraph 14. DATE: ------ DAVID GUNTER U.S. Department of Justice Environment and Natural Resources Division Environmental Defense Section P.O. Box 23986 Washington, D.C. 20026-3986 Counsel for US. Environmental Protection Agency DATE: l~ /1'1 ~010 DATE: ------ MORGAN A. COSTELLO Assistant Attorneys General Environmental Protection Bureau Office of the Attorney General, The Capitol Albany, New York 12224 Counsel for State of New York KENNETH P. ALEX SUSAN DURBIN Office of the Attorney General, State of California 1515 Clay Street, 20th Floor, P.O. Box 70550 Oakland, CA 94612 Counsel for State of California date that EPA provides written notice of such finality to the State and Environmental Petitioners. 15. The undersigned representatives of each Party certify that they are fully authorized by the Party that they represent to bind that respective Party to the terms of this Settlement Agreement. This Settlement Agreement will be deemed to be executed when it has been signed by the representatives of the Parties set forth below, subject to final approvals pursuant to Paragraph 14. DATE:. _____ _ DATE: ____ _ DATE: f..,_/z/to DAVID GUNTER U.S. Department of Justice Environment and Natural Resources Division Environmental Defense Section P.O. Box 23986 Washington, D.C. 20026-3986 Counsel for US. Environmental Protection Agency MICHAEL J. MYERS MORGAN A. COSTELLO Assistant Attorneys General Environmental Protection Bureau Office of the Attorney General, The Capitol Albany, New York 12224 Counsel for State of New York SUSAN DURBIN Office of the Attorney Genei:al, State of California 1515 Clay Street, 20th Floor, P.O. Box 70550 Oakland, CA 94612 DATE: f..,_/z/to SUSAN DURBIN Office of the Attorney Genei:al, State of California 1515 Clay Street, 20th Floor, P.O. Box 70550 Oakland, CA 94612 Counsel/or State o/California DATE: ------ DATE: ------ DATE: ------ DATE: ____ _ ~~ KIMBERLY MASSICOTIE MA ITHEW I. LEVINE Assistant Attorneys General Office of the Attorney General P.O. Box 120, 55 Elm Street Hartford, Connecticut 06141-0 t 20 Counselfor State of Connecticut VALERIE M. SATTERFIELD Deputy Attorney General Depmtmcnt of Justice I 02 W. Water Street Dover, DE 19904 Counsel for State of Delaware GERALD D. REID Assistant Attorney General Department of the Attorney General State House Station #6 Augusta, Maine 04333-0006 Counsel for Stctte o/Maine SETH COHEN STEPHEN R. FARRIS JUDITH ANN MOORE Assistant Attorneys General P.O. Drawer 1508 Santa Fe, New Mexico 87504-1508 Counselfor State of New Mexico . \ DATE: ------ KIMBERLY MASSICOTTE MATTHEW I. LEVINE Assistant Attorneys General Office of the Attorney General P.O. Box 120, 55 Elm Street Hartford, Connecticut 06141-0120 Counsel for State of Connecticut DATE: I~ 1S fzn 10 DATE: ------ DATE: ------ V ~ SAITERFIELD Deputy Attorney General Department of Justice 102 W. Water Street Dover, DE 19904 Counsel for State of Delaware GERALD D. REID Assistant Attorney General Department of the Attorney General State House Station #6 Augusta, Maine 04333-0006 Counsel for State of Maine SETH COHEN STEPHEN R. FARRIS JUDITH ANN MOORE Assistant Attorneys General P.O. Drawer 1508 Santa Fe, New Mexico 87504-1508 Counsel for State of New Mexico Page 8 ofll DATE: ------ DATE: ------ DATE: l 'J..( 'Y' / l c DATE: ------ KIMBERLY MASSICOTTE MATTHEW I. LEVINE Assistant Attorneys General Office of the Attorney General P.O. Box 120, 55 Elm Street Hartford, Connecticut 06141-0120 Counsel for State of Connecticut VALERIE M. SATTERFIELD Deputy Attorney General Department of Justice 102 W. Water Street Dover, DE 19904 Counsel for State of Delaware Assistant Attorney General Department of the Attorney General State House Station #6 Augusta, Maine 04333-0006 Counsel for State of Maine SETH COHEN STEPHEN R. FARRIS JUDITH ANN MOORE Assistant Attorneys General P.O. Drawer 1508 Santa Fe, New Mexico 87504-1508 Counsel for State of New Mexico DATE: _____ _ DATE: ____ _ DATE: ____ _ DATE: t zJ e/ ~.:>/ o I ' KIMBERLY MASSICOTTE MATTHEW I. LEVINE Assistant Attorneys General Office of the Attorney General P.O. Box 120, 55 Elm Street Hartford, Connecticut 06141-0120 Counsel for State of Connecticut VALERIE M. SATTERFIELD Deputy Attorney General Department of Justice 102 W. Water Street Dover, DE 19904 Counsel for State of Delaware GERALD D. REID Assistant Attorney General Department of the Attorney General State House Station #6 Augusta, Maine 04333-0006 COHEN STEPHEN R. FARRIS JUDITH ANN MOORE Assistant Attorneys General P.O. Drawer 1508 Santa Fe, New Mexico 87504-1508 Counsel for State of New Mexico DATE: _____ _ DATE: ------ DATE: ------ Assistant Attorney General Department of Justice 1162 Court Street, N.E. Salem, Oregon 97301 Counsel for State of Oregon GREGORY S. SCHULTZ MICHAEL RUBIN Special Assistant Attorneys General Rhode Island Department of the Attorney General 150 South Main Street Providence, Rhode Island 02903 Counsel for State of Rhode Island THEAJ. SCHWARTZ Assistant Attorney General Environmental Division Office of the Attorney General 109 State Street Montpelier, VT 05609-100 I Counsel for State of Vermont LESLIE R. SEFFERN Assistant Attorney General Office of the Attorney General P.O. Box 40117 Olympia, Washington 98504 Counsel for State of Washington DATE: ------ DATE: ------ DATE: ------ PAUL S. LOGAN Assistant Attorney General Department of Justice 1162 Court Street, N.E. Salem, Oregon 97301 Counsel for State of. Oregon Special Assistant Attorneys General Rhode Island Department of the Attorney General 150 South Main Street Providence, Rhode Island 02903 Counsel for State of Rhode Island THEA J. SCHWARTZ Assistant Attorney General Environmental Division Office of the Attorney General 109 State Street Montpelier, VT 05609-1001 Counsel for State of Vermont LESLIE R. SEFFERN Assistant Attorney General Office of the Attorney General P.O. Box 40117 Olympia, Washington 98504 Counsel for State of Washington DATE: PAULS. LOGAN Assistant Attorney General Department of Justice 1162 Court Street, N .E. Salem, Oregon 97301 Counsel/hr State of' Oregon -- . -· ---·-- -· ··---. - - . - . GREGORY S. SCHULTZ MICHAEL RUBIN Special Assistant Attorneys General Rhode Island Department of the Attorney General 150 South Main Street · Providence. Rhode Island 02903 DATE: Counsel.fhr ,','fate <~[Rhode Island DATE: \ 2- /lo l 10 I I DATE: :JL ~·~~ - THEAJ.SCH;i\RT r Assistant Attorney General Environmental Division Office of the Attorney General 109 State Street Montpelier. VT 05609-1001 Counsel [(Jr State of' Vermont . . LESLIE R. SEFFERN Assistant Attorney General Office of the Attorney (]cneral P.O. Box 40117 Olympia, Washington 98504 Counsel.for State of Washington DATE: ------ DATE: ------ DATE: ------ DATE: I 2 ·- /J' -/o PAUL S. LOGAN Assistant Attorney General Department of Justice 1162 Court Street, N .E. Salem, Oregon 97301 ·'- Counsel for State of Oregon GREGORY S. SCHULTZ MICHAEL RUBIN Special Assistant Attorneys General Rhode Island Department of the Attorney General 150 South Main Street Providence, Rhode Island 02903 Counsel for State of Rhode Island THEA J. SCHWARTZ Assistant Attorney General Enviromnental Division Office of the Attorney General 109 State Street Montpelier, VT 05609-1001 Counsel for State of Vermont Assistant Attorney General Office of the Attorney General P.O. Box 40117 Olympia, Washington 98504 Counsel for State of Washington DATE~p<'~/d ~.;~,,.~ ... / ONNA M. MURA Y Deputy Solicitor General . Office of the D.C. Attorney General . 441 Fourth Street, N.W. Washington, D.C. 20001 DATE: ____ _ DATE: ____ _ Counsel for District of Columbia WILLIAM L. PARDEE Assistant Attorney General Environmental Protection Division One Ashburton Place Boston, Massachusetts 02108 Counsel for Commonwealth of Massachusetts CHRISTOPHER G. KING New York City Law Department 100 Church Street New York, NY 10007 Counsel/or City of New York I I t I I DATE: ------ DONNA M. MURASKY Deputy Solicitor General Office· of the D.C. Attorney General 44·1 Fourth S1reet, N. W. Washington, D.. c.. 2qoo 1 :QA'rn; ____ _ WILLIAM L. ~ARDEE CAROLIANCU As.sistant Attorneys General Enviromnental Protection f>ivision Office of the Attorney General · One Ashburton Place Baston, Massachusetts 02108 Cauns.e.l far Cammanwealth of Mas.fKJo.husettfi. CHRISTOPHER G. KING CARRIE NOTEBOOM New York City Law Department 100 Church Street J:'sl"ew York, NY 10007 . Counsel for City. of New. York DATE: ------ DONNA M. MURASKY Deputy Solicitor General Office of the D.C. Attorney General 441 Fourth Street, N.W. Washington, D.C. 20001 Counsel for District of Columbia DATE: ------ WILLIAM L. PARDEE CAROLIANCU Assistant Attorneys General Envirorunental Protection Division Office of the Attorney General One Ashburton Place Boston, Massachusetts 02108 or Commonwealth of Massachusetts DATE:/J.. ID· ID New York City Law Department 100 Church Street New York, NY 10007 Counsel for City of New York or Commonwealth of Massachusetts New York City Law Department 100 Church Street New York, NY 10007 DATE: 12/16/2010 DATE: 12/16/2010 DATE: 12/20/2010 DAVID D. DONIGER Natural Resources Defense Council 1200 New York Avenue NW, Suite 400 Washington, DC 20005 Counsel for Natural Resources Defense Council JOANNE SPALDING Sierra Club 85 Second Street San Francisco, CA 94105 Counsel for Sierra Club VICKIE PATTON Environmental Defense Fund 2334 N. Broadway Boulder, CO 80304 Counsel for Environmental Defense Fund
Sub-‐region: East Africa General statistics Size of country: 582,650 km² Size of protected areas / percentage protected area coverage: 8% (Sub)species Masai giraffe –Giraffa camelopardalis tippelskirchi Rothschild's giraffe –G. c. rothschildi Reticulated giraffe – G. c. reticulata Conservation Status IUCN Red List (IUCN 2012): Giraffa camelopardalis (as a species) – least concern G. c. rothschildi – endangered G. c. tippelskirchi – not assessed G. c. reticulata –not assessed In Kenya: In the Republic of Kenya (referred to as Kenya in the rest of this report), reticulated (G. c. reticulata) and Rothschild's (G. c. rothschildi) giraffe are accorded full protection under the Wildlife (Conservation and Management) Act (Chapter 376). Although Masai giraffe are not awarded any special protection in Kenya, big-‐game hunting has been banned in the country. Issues/threats Kenya is home to three giraffe (sub)species (G. c. rothschildi, G. c. reticulata and G. c. tippelskirchi), all of which vary in abundance and distribution and face their own set of conservation challenges and threats. Although considerable uncertainty surrounds the geographic and taxonomic limits of giraffe (sub)species, recent phylogenetic studies (Brown et al. 2007; Hassanin et al. 2007) determined independently that the three giraffe (sub)species occurring in Kenya are separate and distinct from the other (minimal taxonomic classification) (sub)species. G. c. rothschildi and G. c. reticulata evolved with the northern phylogenetic Country Profile Republic of Kenya Giraffe Conservation Status Report clade, whereasG. c. tippelskirchi evolved with the southern clade. These lineages appear to be maintained in the absence of historical barriers to gene flow. Several cryptic mechanisms for maintaining what appears to be a long history of reproductive isolation have been suggested, however, this remains poorly understood. Although many parts of East Africa remain unrivalled in diversity and abundance of wildlife, conservation efforts in the region face several challenges (Mizutani et al. 2003). Kenya's human population has grown exponentially over the last century (AWF 2013). As the pressure on land becomes more intense, there is increased potential for conflict between people and wildlife (Muthiani 2001). Habitat loss, fragmentation and degradation, Illegal hunting, unsustainable land use practices, and the expansion of human activities into giraffe habitat, all pose serious threats to the survival of each giraffe (sub)species in Kenya (Fennessy & Brown 2008; Githiruet al. 2007; Wanala 2005 Mizutaniet al. 2003; Muthiani 2001). A large percentage of Kenya's giraffe population is found outside of government protected areas (national parks and reserves) and private wildlife sanctuaries, but rather on communal grazing lands and group ranches, where wildlife, people and livestock all co-‐exist, interact and compete for the same natural resources (Githiru et al. 2007; Wanjala 2005). Poverty is widespread and the majority of Kenya's human population is made up of pastoralist groups relying on subsistence agriculture (AWF 2013). Farming often pushes into critical wildlife habitat, degrading land and putting humans and wildlife at odds (AWF 2013). As the country tries to build an infrastructure to support its population, it often comes at the expense of areas rich in biodiversity, including important wildlife habitat (AWF 2013). Masai giraffe Masai giraffe are the most abundant (sub)species in East Africa (and across the continent). However, the proliferation of these giraffe in the southern parts of Kenya is threatened by wholesale changes in land-‐use and land tenure, particularly the introduction of crop farming, logging, charcoal burning, the development of urban centres that fragment habitats and disrupt wildlife movements, as well as illegal hunting for bushmeat (Ngeneet al. 2011; Ogutuet al. 2011a; KWS & TWIRI 2010). A severe drop in Masai giraffe numbers in the Masai Mara Ecosystem has been attributed to habitat fragmentation and loss of wildlife dispersal areas caused by an increase of settlements and cultivated land in pastoral ranches, as well as illegal hunting (Ogutu et al. 2011a, 2009 and 2008; Ottichilo et al. 2000; Hofer et al. 1996). A study by de Leeuw et al. (2001) indicated that giraffe in the Masai Mara Ecosystem were negatively associated with the presence of livestock and human activities and avoided areas around water holes. Given the rising number and the expanding distribution of small stock in the Mara ranches, Ogutuet al. (2011a) suggested that competition between livestock and wildlife would continue to intensify. Ogutu et al. (2011b) further suggested that expansion of pastoral settlements depressed the birth rate in giraffe. An emerging culture change within the Masai community and/or influx of immigrants into Masai land, marked by changes in historical practices e.g. fencing of grazing areas, exclude wildlife and disrupt their movements (KWS & TWIRI 2010). Land use changes in the Athi-‐Kapiti Plains Ecosystem have been accelerated by its proximity to the capital city Nairobi and increased demand for residential and urban development areas (Obari 2008). Irrigated farms rapidly encroach into the wildlife dispersal areas of the Amboseli Ecosystem leading to habitat fragmentation, habitat loss and associated human-‐wildlife conflicts such as crop raiding by wildlife (KWS & TWIRI 2010). Charcoal burning poses serious concerns as mature trees, which are key browse forage for giraffe, are targeted, resulting in a loss of browse species and habitat degradation (KWS & TWIRI 2010). Livestock incursions into government protected areas pose further threats to areas such as the Tsavo-‐ Mkomazi Ecosystem (Ngeneet al. 2011). Reticulated giraffe A review of giraffe history in East Africa by Sidney (1965) reported that they were killed for food during the Great War. Reticulated giraffe were severely hunted by the local population and Dutch colonists for their hides (East 1999; Sidney 1965). East (1999) reported that large parts of the reticulated giraffe range in the north of the country were virtually un-‐administered. Armed conflicts in northern Kenya, southern Ethiopia and Somalia further adversely effected this (sub)species' range (Fennessy & Brown 2008; Mizutani et al. 2003). After the fall of the Republic of Somalia in the early 1990s, there was an influx of large numbers of refugees into northern Kenya. This influx led to the destruction of wildlife habitat, an increase in the consumption of bush meat and hence an unprecedented increase in illegal hunting (Githiru et al. 2007). This was exacerbated by the widespread availability of firearms in northern Kenya (De Leeuw 2001). Wildlife hunting was a common subsistence activity in Turkana in the late 1980s. In 1998, the Director of the Kenya Wildlife Services (KWS) suggested that the bush meat industry intensified following an earlier rise in the price of meat (Du Leeuw 2001). Still today, reticulated giraffe refuges outside of protected areas are under increasing pressure from illegal hunting, increased settlements, expanding farmlands and other anthropogenic activities such as charcoal burning, wood cutting and sand harvesting (Wildlife Direct 2013; Githiruet al. 2007; Dahiye 2005; Mizutani et al. 2003; Ottichilo et al. 2000). Human settlements in areas such as the Laikipia District have blocked wildlife migratory corridors, which has led to intense human-‐wildlife conflict (Kinnairdet al. 2012; Litoroh et al. 2010). Reticulated giraffe have increasingly become confined to protected areas in recent times, including community and private conservancies, as well as government national parks and reserves (Dohertyet al. 2011). Rothschild's giraffe Rothschild's giraffe have largely been diminished and pushed out of their natural range by illegal hunting, agricultural development, human encroachment and habitat destruction and fragmentation (GCF 2013; Brenneman et al. 2009; Sidney 1965). This resulted in the eradication of all known wild (or natural) populations of Rothschild's giraffe in Kenya (GCF 2013; Muller 2011; Fennessy & Brenneman 2010). Kenya-‐wide extra-‐limital translocations of Rothschild's giraffe occurred in the 1960s and 1970s. Most of these introductions were into private fenced wildlife areas where specific threats result from their confinement (Brenneman et al. 2009). Brennemanet al. (2009) reported possible dietary complications in young Rothschild's giraffe. Their introduction to and confinement within Lake Nakuru National Park resulted in over consumption and declining numbers of preferred acacia trees, which in turn caused highly concentrated tannin levels in their forage. This might have compromised their health, making them easier and opportunistic prey for the park's lion population (Brenneman et al. 2009). Other complications which might arise from their confinement include genetic inbreeding and reduced genetic diversity, although Brennemanet al. (2009) suggested that Lake Nakuru National Park's Rothschild's giraffe population was in good genetic health with respect to the likelihood of inbreeding depression. Human-‐wildlife conflict is another factor affecting this (sub)species, especially in areas surrounding protected areas. Inadequate staffing and patrolling, vandalism and lack of fence maintenance in Ruma National Park allow adjacent communities 'easy' access to the park and at the same time allow giraffe to enter human settlements and destroy crops (Awange et al. 2004). Wildfires, deliberately set by neighbouring communities in expressions of disgruntlement, further destroy and reduce giraffe habitat (Awangeet al. 2004) and illegal hunting for medicinal use, meat and skins remains a concern (Muller 2011). A major loss of Rothschild's giraffe is also accounted for by diseases (Kaitho et al. 2013). An anthrax outbreak occurred at the Mwea National Reserve in 2011, which caused a severe decline in giraffe numbers in the reserve (Kaithoet al. 2013). Estimate population abundance and trends Historic Masai giraffe According to Dagg (1962) giraffe formerly occurred widely throughout Kenya, with Masai giraffe occurring mainly along the border of Tanganyika (current day Tanzania). In 1958, 750 Masai giraffe were counted during a wildlife census of the Mara Plains and surrounding hills in southern Kenya's Narok District (Darling 1960). Masai giraffe numbered more than 6,500 in the Masai Mara Ecosystem (including the Masai Mara National Reserve & adjoining group ranches) in the late 1970s (Ottichiloet al. 2000). In 1994, there were an estimated 340 giraffe in the Masai Mara National Reserve and 1,370 individuals on the adjoining ranches (East 1999). Ottichiloet al. (2000) reported that giraffe numbers in the Masai Mara Ecosystem declined by 79% in the 20 year period between 1977 and 1997, from more than 6,500 to less than 1,500 individuals. Game census estimates of Masai giraffe in Nairobi National Park between 1960-‐1963 ranged from 66 to 124 giraffe, with a mean of 83 (Foster 1966). During a three-‐year study of giraffe in the park (1965 to 1968), 250 individuals were identified by their neck markings (Foster & Dagg 1972). The southern boundary of Nairobi National Park is unfenced and open to the Kitengela Conservation Area and the Athi-‐Kapiti Plains. There is considerable movement of giraffe across this boundary and, although 250 different individuals were recognised by Foster & Dagg (1972), only about 70-‐125 indivuduals were present inside the park at any one time. In 1994, an estimated 100 giraffe were present in Nairobi National Park (East 1999). Leuthold & Leuthold (1978) attempted to estimate Masai giraffe density and population numbers in Tsavo East National Park, using different methodologies such as road strip counts and aerial sample counts. Taking a number of untested assumptions into account, as well as the possibility of seasonal movement in and out of the park, they estimated a mean number of 750 giraffe (Leuthold & Leuthold 1978). Total aerial counts of the Tsavo-‐Mkomazi Ecosystem (Tsavo East, Tsavo West, Chyulu National Parks and surrounding ranches, and Mkomazi National Park in Tanzania) were conducted in 1999 (Ngeneet al. 2011). A total of 1,148 Masai giraffe were counted, 1,066 of these in Kenya (Ngene et al. 2011). Of these, 355 giraffe were counted in Tsavo East National Park, 272 in Tsavo West National Park, 171 in Galana, 147 in Taita and 121 in other blocks (Ngeneet al. 2011). In 1996, Amboseli National Park's Masai giraffe population was estimated at 50 individuals (East 1999). By the late 1990s, Masai giraffe still occurred widely in protected areas and unprotected rangeland in southern and eastern Kenya, with an estimated total population of 17,330 individuals (East 1999). Of these, an estimated 2,530 giraffe occurred in protected and 14,800 outside of protected areas (East 1999). The largest population, approximately 9,990 giraffe, occurred in the Kajiado District (including the Rift Valley, the Athi Kapiti Plains, the Central Hills and the Amboseli Plains; East 1999). Other major populations occurred in the Masai Mara Ecosystem, Tsavo National Parks and surrounds, as well as the Tana River Districts (East 1999). Reticulated giraffe According to Dagg (1962) reticulated giraffe formerly occured in the north and east of Kenya, including the arid semi-‐desert parts of the northern regions. Aerial surveys of the Ewaso Nyiro Basin in the Laikipia District estimated the occurrence of some 6,398 reticulated giraffe in 1977 (Muchoki 2000). The Laikipia District comprises of private wildlife conservancies, commercial cattle ranches and traditional pastoralist communities, and forms part of the Greater Ewaso Ecosystem (Kinnaird et al. 2012). This population declined to an estimated 5,410 individuals in 1990, 2,118 individuals in 1994 and 2,903 individuals in 1997 (Shorrocks & Croft 2009; Muchoki 2000), indicating a decline of more than 50% over a 20-‐year period (Shorrocks & Croft 2009). Accoring to Georgiadis 2007(b) the giraffe population in the Laikipia District further declined to 1,856 individuals in 1998 and 1,498 in 1999. According to East (1999), only about 75 reticulated giraffe found a refuge inside Samburu National Park, Buffalo Springs and the Shaba complex of national reserves. Several total counts of wildlife in the privately owned Lewa Wildlife Sanctuary (also known as Lewa Downs) in northern Kenya have been conducted since the 1970s (E. Kisio pers. comm.). In 1977, 190 reticulated giraffe were counted, while annual counts conducted between 1990 and 1999 showed the population fluctuating between 186 and 588 individuals, although on average declining. 440 giraffe were counted in 1990, 376 in 1991, 588 in 1992, 361 in 1993, 229 in 1994, 334 in 1995, 196 in 1996, 202 in 1997, 186 in 1998 and 240 in 1999. (E. Kisio pers. comm.). An increase in illegal hunting and destruction of wildlife habitat followed the influx of refugees into Kenya after the collapse of the Republic of Somalia in 1991. During this time, some 30 reticulated giraffe found a refuge along the Tana River, close to the town of Garissa in the Garissa District (Githiru et al. 2007). The Garissa Community Giraffe Sanctuary (also known as Bour-‐Algi Giraffe Sanctuary) was established in 1999 in an attempt to protect reticulated giraffe in the area (Dahiye 2005). In 1995, more than 300 reticulated giraffe were estimated to occur in Marsabit National Park and Reserve in the Marsabit District in eastern Kenya (East 1999). At the same time, Meru National Park, together with the adjacent Kora National Park and Rahole and Bisanadi National Reserves were home to an estimated 200 reticulated giraffe (East 1999). By the late 1990s, reticulated giraffe still occurred widely in northern Kenya, north of the Tana River and east of the Rift Valley (East 1999). The majority of the (sub)species' population occurred on unprotected rangeland, particularly in the Wajir, Garissa and Marsabit Districts, with relatively small numbers occurring in protected areas such as Marsabit and Maru National Parks and Lewa Wildlife Sanctuary (East 1999). East (1999) estimated that more than 575 reticulated giraffe occurred in protected areas, while an estimated 26,970 individuals occurred outside of protected areas, equating to a total estimate of 27,540 reticulated giraffe in the country. Rothschild's giraffe The Rothschild's giraffe is one of the most imperilled giraffe (sub)species remaining (Fennessy & Brenneman 2010). When it was first described by Lydekker in 1903, Rothschild's giraffe inhabited the region from the Rift Valley of west-‐central Kenya across Uganda to the Nile River and (possibly) northward into southern Sudan (Dagg & Foster 1976). Their numbers declined so drastically that only a few hundred individuals remained by the 1960s (Fennessy & Brenneman 2010). The (sub)species was effectively saved from extinction by a number of conservation and translocation efforts implemented in the 1970s, which resulted in the establishment of new populations in enclosed, protected areas (Fennessy & Brenneman 2010). While the only remaining naturally occurring viable population of Rothschild's giraffe occurs in Murchison Falls National Park in Uganda (a smaller population occurs in Uganda's Kidepo National Park but has been supplemented by giraffe from Kenya), the (sub)species has been re-‐introduced to six sites in Kenya within their assumed native range, namely Ruma National Park, Mt Elgon National Park, Murgor and Sergoit-‐Kruger Farms in Iten, Kitale Area Farm and Nasalot Reserve (Fennessy & Brenneman 2010). Six extralimital introductions have also taken place in Kenya (Fennessy & Brenneman 2010). In 1983, 27 Rothschild's giraffe were translocated from Soi Ranch in Kenya's Rift Valley to Ruma National Park (Awange et al. 2004). The population increased to approximately 40 individuals in 1994 (East 1999) and was estimated to number 69 individuals in 1999 (Awangeet al. 2004). In the late 1980s, 17 Rothschild's giraffe were translocated from Soi Ranch to Lake Nakuru National Park (Awange et al. 2004). In 1994, a wildlife census estimated the (extralimital) Rothschild's giraffe population in Lake Nakuru National Park at 153 individuals (Brennemanet al. 2009). Recent Masai giraffe Two total ground counts of the Masai Mara Ecosystem were conducted in 1999 and 2002 (Reidet al. 2003). The 1999 count included the central portion of the Masai Mara National Reserve, the western part of Koyiaki Group Ranch, the western part of Lemek Group Ranch and the south-‐western half of Ol Chorro Oirowua (Reid et al. 2003). A total of 583 giraffe were recorded for the entire study area, including 384 giraffe on the group ranches, and 199 individuals in the reserve (Reidet al. 2003). The ground count in 2002 was expanded to include the Mara Triangle, the entire Koyiaki Group Ranch, the western corner of Siana Group Ranch, south-‐western Olkinyei Group Ranch and the entire Masai Mara National Reserve (except for the densely vegetated south-‐eastern corner; Reid et al. 2003). A total of 880 giraffe were recorded for the entire study area, including 566 giraffe on the group ranches and 314 in the reserve (Reidet al. 2003). When only comparing the overlapping area for the 1999 and 2002 counts, a total of 621 giraffe were estimated in 2002 compared to 583 giraffe in 1999. Drought related mortalities in 1999 combined with migration into the area may account for observed increases between 1999 and 2002 (Reid et al. 2003). However, in contrast, Ogutuet al. (2008) reported that giraffe numbers dropped by more than 50% in the greater Masai Mara Ecosystem between 1989 and 2003, decreasing sharply from 1998 to 2003. Giraffe remained more abundant on the adjoining pastoral ranches than inside the Masai Mara National Reserve (Ogutuet al. 2011a; Reidet al. 2003). Annual counts of Masai giraffe in Nairobi National Park conducted between 2000 and 2008 showed population fluctuations between 58 and 104 individuals (Obari 2008). The population was estimated to number 73 individuals in 2000, 58 in 2001, 65 in 2002, 69 in 2003, 104 in 2004, 76 in 2005, 76 in 2006, 85 in 2007 and 90 in 2008. These oscillatory changes in giraffe numbers were likely a result of both immigration and emigration of giraffe from Nairobi National Park to and from ranches in the Athi-‐Kapiti Plains (Obari 2008). This is consistent with the giraffe population trends in Nairobi National Park as shown by Foster (1966) and suggests that giraffe numbers in the park have remained stable over the years. Total aerial counts of the Tsavo-‐Mkomazi Ecosystem, comprising of Kenya's Tsavo East, Tsavo West, and Chyulu Hills National Parks and surrounding private ranches as well as the Mkomazi National Park in Tanzania were conducted in 2005 (Omondi & Bitok 2005). A total of 1,584 Masai giraffe were counted of which 1,522 occurred in Kenya (Omondi & Bitok 2005). Of these, 542 giraffe were counted in Tsavo East National Park, 568 in Tsavo West National Park, 153 in Galana, 148 in Taita and 111 in other blocks (Omondi & Bitok 2005). Total aerial counts of the same area, conducted in 2008, counted a total of 2,450 Masai giraffe of which 2,379 occurred in Kenya (Omondiet al. 2008). Of these, 681 giraffe were counted in Tsavo East National Park, 678 in Tsavo West National Park, 534 in Chyulu Hills National Park, 95 in Galana, 193 in Taita and 150 in other blocks (Omondiet al. 2008). Reticulated giraffe In 2001, a wildlife survey of the Greater Ewaso Ecosystem in northern Kenya estimated the reticulated giraffe population at 966 individuals (Kinnairdet al. 2010). The Greater Ewaso Ecosystem is bounded by the Rift Valley in the west, Mount Kenya and the Aberdare Highlands in the south, and comprise of the Laikipia District, a large part of the Samburu District and a small portion of the Isiolo District. However, for the purpose of this count, the Laikipia District and the Lewa and Lorogi areas were excluded (Kinnaird et al. 2010). According to Georgiadis et al. (2007b), an estimated 1,543 reticulated giraffe occurred in the Laikipia District in 2000, while an estimated 1,433 giraffe occurred in 2001. However, according to Kinnaird et al. (2012), 2001 aerial counts estimated Laikipia's giraffe population at 1,727 individuals. An estimated 1,720 giraffe occured in the district in 2002, while the population was estimated at 1,597 individuals in 2003 (Georgiadiset al. 2007b). In 2008, aerial counts estimated Laikipia's giraffe population at 1,931 individuals (Kinnaird & Ojwang' 2008). Aerial total counts of wildlife in the south eastern part of Samburu District were conducted in 2005 (Ihwagi & Douglas-‐Hamilton 2005). The census area is part of the wider Ewaso Ecosystem and comprised formally protected areas, national reserves and community conservation areas, including three protected areas, namely Samburu, Shaba and Buffalo Springs National Reserves (Ihwagi & Douglas-‐Hamilton 2005). A total of 317 reticulated giraffe were recorded. Of these, 33 occurred in Shaba National Reserve, 40 in Samburu National Reserve, 44 in Buffalo Springs National Reserve and 108 in the Namunyak Community Wildlife Conservancy. The remainder were scattered throughout Kalama, Sera, Westgate, Klipsing and Lekuruki Community Wildlife Conservancies and the surrounding areas (Ihwagi & Douglas-‐Hamilton 2005). Total aerial counts of the Samburu-‐Laikipia Ecosystem and parts of the Marsabit District were conducted in 2008 (Litorohet al. 2010). The census area comprised the Isiolo, Laikipia, Imenti, Meru North and Samburu Districts, Samburu, Shaba and Buffalo Springs National Reserves, several community conservation areas (Namunyak, Kalama, Meibae and Il Ngwesi), government-‐owned trust land, forest reserves, private ranches and sanctuaries, and agricultural settlements (Litorohet al. 2010). A total of 2,557 reticulated giraffe were recorded throughout the entire area (Litorohet al. 2010). Annual total counts of wildlife in the Lewa Wildlife Conservancy were conducted between 2000 and 2012 and indicate that the reticulated giraffe population fluctuating between 147 and 293 individuals (E. Kisio pers. comm.): 237 giraffe were counted in 2000, 236 in 2001, 245 in 2002, 215 in 2003, 177 in 2004, 173 in 2005, 147 in 2006, 189 in 2007, 243 in 2008, 293 in 2009, 252 in 2010, 243 in 2011 and 241 in 2012. Birkett (2002) reported that 150 reticulated giraffe occured in the Sweetwaters Game Reserve on the plains of Mount Kenya in 2002. The Sweetwaters Game Reserve was later extended to create the Ol Pejeta Conservancy and an aerial surveys of the conservancy in 2005 estimated 132 individuals, in 2008 172 individiduals, in 2009 178 individuals, and in 2011 165 individuals (Ol Pejeta Conservancy 2008, Ol Pejeta Conservancy 2009 and Ol Pejeta Conservancy 2011, respectively). The Garissa Community Giraffe Sanctuary has improved security for reticulated giraffe in north eastern Kenya's Garissa District and, since its establishment in 1999, more giraffe have naturally populated the sanctuary from other parts of the district where illegal hunting was rampant (Ali 2009; Githiruet al. 2007). By 2003, the giraffe population had increased to over 300 individuals (Wildlife Direct 2013; Dahiye 2005). Rothschild's giraffe In 1999 an estimated total of 69 individuals resided in Ruma National Park, while a survey in 2002 estimated the Rothschild's giraffe population at 75 individuals (Awange et al. 2004). The population increased to an estimated 130 giraffe in 2011 (Muller 2011). The Rothschild's giraffe population in Lake Nakuru National Park declined from 153 individuals in 1995 to 62 individuals in 2002 – a failure in recruitment of offspring into the gene pool (Brenneman et al. 2009). The population was estimated at 65 individuals in 2008 (Muller 2011). Adjacent to Lake Nakuru National Park, the Soysambu Conservancy is home to one of the largest populations of Rothschild's giraffe in Kenya, and the largest on private land. A 2009 total census counted 63 Rothschild's giraffe (Soysambu Conservancy 2009), increasing to an estimated 70 individuals in 2010 (Soysambu Conservancy 2010). In 2011, an antrax outbreak at Mwea National Reserve resulted in the death of 11 Rothschild's giraffe (Kaitho et al. 2013). Before the anthrax outbreak, there were an estimated 44 Rothschild's giraffe in the reserve (Kaithoet al. 2013). The environment was decontaminated by rapidly incinerating all carcasses and 20 of the remaining 33 giraffe were vaccinated against anthrax and black quarter to prevent further losses (Kaithoet al. 2013).Although all the all remaining giraffe were not vaccinated as a result of difficult terrains and dense bushes where they could not be pursued, the number of those that were vaccinated was sufficient to halt the outbreak (Kaithoet al. 2013). In 2011 an estimated population of 32 Rothschild's giraffe resided in the Kigio Wildlife Conservancy (Muller 2011). Less than 20 giraffe were further estimated to occur on each of four properties respectively, namely Giraffe Manor, Mt Elgon National Park, Murgor Farm and Sergoit-‐Kruger Farm (Muller 2011). Kitale Area Farm and Nasalot Reserve each host an additional maximum of 10 Rothschild's giraffe (Muller 2011). Current Masai giraffe A survey of Nairobi National Park in 2012 estimated the Masai giraffe population at 80 individuals (FONMAP 2013). With the park's open border to the Athi-‐Kapiti Plains, considerable movement of giraffe occurs across these landscapes and, as shown historically, the population is likely to be larger. While little data on giraffe numbers across this ecosystem is available, some 300 giraffe reputedly occur on the Machakos Ranches (NGCS 2013). The 2002 total ground count of the Masai Mara Ecosystem is the most recent data available estimating giraffe at approximately 880 individuals (Reidet al. 2003). However, an estimated 1,690 giraffe occur across the broader Loita Plains (NGCS 2013). Cross border aerial total counts of the Amboseli National Park and Namanga-‐Magadi areas (including five surrounding group ranches: Kimana/Tikondo, Olgulului/Olararashi, Selengei, Mbirikani and Kuku) in southern Kenya, and West Kilimanjaro and Natron landscape in northern Tanzania, were conducted in 2010 (KWS & TWIRI 2010). 4,164 Masai giraffe were estimated throughout the entire area, of which 3,063 occurred on the Kenyan side (KWS & TWIRI 2010). Wildlife does however move within the entire area and across the border into Tanzania depending on seasonality and forage availability (KWS & TWIRI 2010). A previous total aerial count of large mammals of the Amboseli Ecosystem, conducted in 2007 (Ngoru & Mwangi 2007), reported the occurrence of 1,458 individuals (KWS & TWIRI 2010). In comparison to this, 1,991 giraffe were counted in the same area during the 2010 count (KWS & TWIRI 2010). Total aerial counts of the Tsavo-‐Mkomazi Ecosystem were conducted in 2011 (Ngeneet al. 2011). A total of 2,055 Masai giraffe were counted of which 1,935 occurred in Kenya (Ngene et al. 2011). Of these, 392 giraffe were counted in Tsavo East National Park, 691 in Tsavo West National Park, 292 in Chyulu Hills National Park, 6 in South Kitui Nature Reserve, 93 in Galana, 282 in Taita and 179 in other blocks (Ngeneet al.2011). Compared to data from past aerial counts, the larger ecosystem's giraffe population increased by 55% from an estimated 1,148 animals in 1999 to 2,055 in 2011 (Ngene et al. 2011). However, compared with the number of giraffe in 2008, the population has declined by approximately 19% in the recent three years (Ngeneet al. 2011). An estimated 620 Masai giraffe reside across the Nakuru district (NGCS 2013). Of these, an estimated 40 individuals occur in the Nakuru Wildlife Conservancy, 225 in the Oserian Wildlife Conservancy, and 61 in Hell's Gate National Park, while the remaining 294, mostly occur on surrounding private ranches (NGCS 2013). Estimated population numbers for Masai giraffe in Kenya 1958 -2013: ‐ Masai \| Year \| Masai M ara \| Nairobi N P \| Tsavo & C hyulu N Ps \| Amboseli E cosystem \| Machakos R anches \| Nakuru D istrict \| \|---\|---\|---\|---\|---\|---\|---\| \| 1958 late 1 960s 1978 late 1 970s 1994 1996 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2010 2011 2012 2013 \| 750 * 6,500 1,710 583 880 * *** 1,690 * ****** \| 250 100 73 58 65 69 104 76 76 85 90 80 \| 750 * * 1,066 2,379 1,935 * *** \| 50* 1,458 3,063 * **** \| 300 \| 620 \| Mara = MasaiMara Ecosystem; Tsavo& ChyuluNPs = TsavoEast& West and ChyuluNationalParks& surrounds * Mara Plains& surrounding hills; TsavaEast NP; * AmboseliNP; ** extended area; *includingNamanga-‐ Magadi areas; **including Mkomazi ecosystem; ****includingLoitaPlains Sources: Darling 1960; Foster & Dagg 1972; Leuthold & Leuthold 1978; East 1999; Ottichilo et al. 2000,2001; Reid et al. 2003; Omondi& Bitok2005; Ngoru& Mwangi2007; Obari2008; KWS &TWIRI2010; Ngene et al. 2011; FONMAP2013; NGCS 2013. Reticulated giraffe The range of reticulated giraffe extends from central Kenya northwards into Ethiopia and possibly Somalia (Shorrocks & Croft 2009). In 2010, reticulated giraffe populations in the Greater Ewaso Ecosystem were estimated at 2,366 individuals (Kinnairdet al. 2010). Of these, 1,432 giraffe occurred in the Laikipia District (Kinnairdet al. 2010). Although three times smaller in area, Laikipia holds a larger population of giraffe than the rest of the Ewaso Ecosystem. The 2012 aerial count of the Laikipia District estimated the giraffe population at 1,105 individuals, indicating a population decline of 36% from the 2001 count (Kinnairdet al. 2012). Annual total counts of wildlife species in the Lewa Wildlife Conservancy conducted in 2013 estimated the current reticulated population at 158 individuals (E. Kisio pers. comm.). An estimated 204 reticulated giraffe are currently present in the Ol Pejeta Conservancy (Ol Pajeta Conservancy 2011). In 2011, aerial total counts of Ijara and parts of Fafi, Lamu and Garissa districts in Kenya's North Eastern Province, estimated 1,666 reticulated giraffe to roam in the area (Kinget al. 2011). Of these, an estimated 400 giraffe find refuge in the Garissa Community Giraffe Sanctuary (Wildlife Direct 2013; Ali 2009). Similar numbers of reticulated giraffe are expected to occur north of Garissa, between Sankuri, Rahole and Balambala (Ali pers. comm.), although no recent count have been done. Anecdotal information suggests that more than 500 reticulated giraffe may possibly be present in the Wajir District, while less than 400 reticulated giraffe might still occur in the Mandera District (NGCS 2013). These recent numbers add up to a total estimate of less than 6,500 reticulated giraffe. Compared to the 27,000 individuals estimated to have existed only a decade earlier (East 1999), this (sub)species has recently suffered a major and rapid decrease in numbers, giving rise to major concern about its long-‐term survival (Dohertyet al. 2011). Estimated population numbers for reticulated giraffe in Kenya 1977 -2013: ‐ Ewaso = Greater Ewaso Ecosystem; Lewa = Lewa Wildlife Sanctury; GCGS = Garissa Community Giraffe Sanctuary; \| Year \| Laikipia D istrict \| Ewaso \| Lewa \| GCGS \| Ijara \| Meru & K ora N P \| Ol P ejeta \| Wajir D istrict \| Mandera D istrict \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 1977 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 \| 6,398 5,410 2,118 2,903 1,856 1,498 1,543 1,727 1,720 1,597 1,931 \| 300 75 * * 966 * ** 317 * *** 2,557 * **** 2,366 \| 190 440 376 588 361 229 335 196 202 186 240 237 236 245 215 177 173 147 189 243 293 252 243 241 158 \| 30 300 \| 1,666 \| 200 \| 150 132 172 178 165 204 \| 500 \| 400 \| Ijara= Ijara& parts of Fafi,Lamu& GarissaDistricts; Meru& Kora NP = Meru& Kora NationalParks& Rahole& BisanadiNationalReserves * Marsabit NP & Reserve; Samburu, Buffalo Springs & Shaba complex; * excluding Laikipia district & lewa & Lorogi areas; **SouthEast SamburuDistrict; **. Samburu-‐LaikipiaEcosystem& parts of MarsabitDistrict Sources: East 1999; Muchoki 2000; Birkett 2002; Dahiye 2005; Ihwagi & Douglas-‐Hamilton 2005; Georgiadis et al. 2007b; Githiru et al. 2007; Kinnaird & Ojwang' 2008; Ol Pajeta Conservancy 2008, 2009, 2011; Shorrocks & Croft 2009; Litoroh et al. 2010; King et al. 2011; Kinnaird et al 2010,2012; NGCS 2013; E Kisio pers. comm. Rothschild's giraffe Rothschild's giraffe in Ruma National Park are estimated to number 144 individuals, while the population in Lake Nakuru National Park is estimated at 81 individuals (NGCS 2013). The privately owned Soysambu Conservancy's Rothschild's giraffe population has increased to an estimated 80 individuals in 2012 (Soysambu Conservancy 2012). In 2011, eight Rothschild's giraffe were re-‐introduced into the Baringo area, where they had previously disappeared over 40 years ago. These giraffe were translocated from the Soysambu Conservancy to the Ruko Community Wildlife Conservancy (The Wildlife Researcher 2012; Soysambu Conservancy 2011). A population of 37 Rothschild's giraffe occurs in the Kigio Wildlife Conservancy (Z. Muller pers. comm.), an estimated 100 individuals in Mwea National Reserve, 10 individuals at Giraffe Manor and eight individuals in Mt. Elgon National Park (NGCS 2013). Estimated population numbers for Rothschild's giraffe in Kenya1983 -‐ 2013: Ruma = Ruma National Park; LNNP = Lake Nakuru National Park; Ruko = Ruko Community Wildlife Conservancy; \| Year \| Ruma \| LNNP \| Ruko \| Soysambu \| Kigio \| Mwea \| Giraffe M anor \| Mt. E lgon N P \| Murgor \| Sergoit \| Kitale \| Nasalot \| Total \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 1983 late 1 980s 1994 1999 2002 2008 2009 2010 2011 2012 2013 \| 27 40 69 75 130 144 \| 17 153 62 65 81 \| 8 \| 63 70 80 \| 32 37 \| 44 33 100 \| 20 10 \| 20 8 \| 20 \| 20 \| 10 \| 10 \| 450 ‐ \| Soysambu = Soysambu conservancy; Kigio = Kigio Conservancy; Mwea = Mwea National Reserve; Murgor = Murgor farm; Sergoit= Sergoit-‐ Kruger farm; Kitale= KitaleArea Farm; Nasalot= NasalotReserve Sources: East 1999; Awange et al. 2004, 2005; Brenneman et al. 2009; Muller 2011; The Wildlife Researcher 2012; SoysambuConservancy2012; NGCS 2013; Z. Muller pers. comm. In total Uncertainty remains regarding the current total numbers of giraffe in Kenya as no official country-‐wide census has been undertaken recently and data are few, incomplete and unreliable. However, current Masai giraffe numbers are estimated at more than 8,000 individuals, reticulated giraffe are estimated to number less than 6,500 individuals, and Rothschild's giraffe are currently estimated to number approximately 450 individuals. Future Conservation Management The following are proposed conservation management options for giraffe in Kenya: Finalising the first Kenyan National Giraffe Conservation Strategy and implementation of its action plan * Anti-‐poaching efforts to conserve key populations of all three (sub)species; * Greater understanding of giraffe population numbers, range and conservation status across the country, including (sub)speciation; * Re-‐establishing priority conservation areas where needed; * Support to dedicated giraffe conservation, habitat protection, education and awareness initiatives (government, NGO and academic); and * Assess transboundary giraffe conservation and management initiatives with neighbouring counties i.e. Tanzania, Uganda, Ethiopia and South Sudan. Acknowledgements We would like to thank Abdullahi Hussein Ali, Margaret Kinnaird, Edwin Kisio and Zoe Muller for their valuable input. This study was financially supported by the Giraffe Conservation Foundation, the Mohamed bin Zayed Species Conservation Fund and Blank Park Zoo. References Awange, J.L., Aseto, O. & Ong'ang'a, O. 2004. A case study on the impact of giraffes in Ruma National Park in KenyaJournal of Wildlife Rehabilitation 27(2): 16-‐21. AWF. 2013. Kenya. African Wildlife Foundation. http://www.awf.org/country/kenya (Accessed 15 April 2013). Birkett, A. 2002. The impact of giraffe, rhino and elephant on the habitat of a black rhino sanctuary in Kenya.African Journal of Ecology 40: 276-‐282. Brenneman, R.A., Bagine, R.K., Brown, D.M., Ndetei, R & Louis Jr, E.E. 2009. Implications of closed ecosystem conservation management: the decline of Rothschild's giraffe (Giraffa camelopardalis rothschildi) in Lake Nakuru National park, Kenya.African Journal of Ecology47: 711-‐719. Brown, D.M., Brenneman, R., Koepfli, K.P., Pollinger, J.., Mila, B., Louis, E.E. Jr., Georgiadis, N., Grether, G. & Wayne, R.K. 2007. 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NFA Project London, Ontario PROGRAM TYPE: Intervention to Prevent Psychiatric Discharge to Homelessness Mental health problems affect approximately one in five Canadians (Wilton, 2004). Traumatic life events, lack of social support and lack of coping strategies mean that many people will suffer from depression, anxiety, personality disorders and psychotic disorders in their lifetime. These issues can further compromise peoples' ability to deal with life's challenges, and a lack of housing can worsen the problem. The same life circumstances that contribute to homelessness (job loss, family conflict and other traumas) can also contribute to mental health problems. For those who have mental health problems and who are also homeless, it would understandably be difficult to enjoy life and deal with challenges when you do not know where you are going to sleep at night or when you do not know where your next meal is going to come from. Although there is a lack of standardized measures used in the homeless sector to accurately identify the number of homeless people who also have mental health problems, a number of studies suggest that people with mental illness and/or addictions are over-represented among the homeless. Among the research is a 1997 Toronto study of 300 shelter users that found that two‐thirds of respondents reported a lifetime diagnosis of mental illness (Goering et al., 2002) In Ottawa, 33 per cent of a sample of the adult street population self‐reported mental health difficulties. Of these, 20 per cent reported depression (Farrell et al., 2001). Toronto's Pathways into Homelessness Project also found that 29 per cent of shelter users met criteria for anti‐social personality disorder, often in addition to another diagnosis such as depression, post‐traumatic stress disorder (PTSD) or psychotic disorder (Mental Health Policy Research Group, 1997). In Ottawa, 33 per cent of a sample of the adult street population self‐reported mental health difficulties. Of these, 20 per cent reported depression (Farrell et al., 2001). KEY MESSAGES * SERVICE INTEGRATION RECONNECT HOUSING, INCOME AND HEALTH SERVICES * UNDERSTANDING DIFFERENT CLIENTS' NEEDS * USE OF TECHNOLOGY * ADDRESS THE CORE ISSUE: HOUSING * ACCESSIBILITY Contact Information Dr. Cheryl Forchuk Arthur Labatt Family School of Nursing The University of Western Ontario London, ON N6A 5B9 P 519-685-8500 x 77034 E email@example.com In addition to the personal circumstances that can lead to poverty, many people find themselves homeless after being in the care of public institutions and systems, including corrections, foster care and health facilities. Beginning in the 1970s with federal policy reforms that saw a shift in mental health care from hospitals to the community, and a gradual decline in supports for people with mental health or addiction problems, systems have played a significant role in contributing to the problem. A lack of integration between sectors like housing, corrections, health and child protection services means that housing is outside of the mandate of these systems, and the lack of a national policy on housing and mental health further contributes to this risk. Canada has no national housing strategy, and until a recent Mental Health Commission document entitled Changing Directions, Changing Lives: The First Mental Health Strategy for Canada (2012), we also lacked a national mental health strategy. Availability of affordable housing also decreased during the 1980s and 1990s and responsibility for social housing shifted from federal to provincial and/or municipal governments. Over the past decade rates of income support have also been reduced. In some cases, people are discharged from hospitals, prisons, and children's aid services, without a support network and/or with no fixed address (NFA). They then enter the homeless system and can become chronically homeless, often returning to the system from which they were recently discharged. People who are housed can risk losing housing as a result of receiving inpatient psychiatric care. Some patients are already homeless when they enter hospital, and systems are not currently in place to ensure that they are being discharged to housing, let alone housing that addresses their needs and can help them permanently avoid homelessness. Even for those who have homes to go back to, the initial period after leaving hospital can be a time when maintaining their wellbeing is challenging. In order to prevent homelessness among the population that is also struggling with mental health issues, it is critical to address the systemic issues that have contributed to the growing problem. There was growing concern among the local shelters about the numbers of people coming directly from hospital in 2002. According to baseline shelter data, in London, Ontario, discharge from psychiatric wards to shelters or NFA occurred at least 194 times in 2002, and discharge from hospital psychiatric wards to shelters or NFA occurred at least 167 times according to hospital data. As a result, a pilot project was created to provide immediate support to find housing, as well as secure income supports in order to maintain housing for people facing mental health challenges. The pilot intervention was designed to prevent first-time homelessness among individuals who were psychiatrically stable but about to be discharged from hospital without housing. This was then expanded to provide support to anyone at risk of discharge to homelessness, regardless of prior history of homelessness. "Preventing homelessness is crucial in the fight to end homelessness. Without a focus on prevention, our success in moving people out of homelessness will be compromised by those falling in. We would simply be 'bailing the leaking boat' of homelessness." (Philip F. Mangano, Executive Director of the United States Interagency Council on Homelessness) PROGRAM DESCRIPTION The project took place in two hospitals in London, Ontario. At one hospital, clients could access the project staff three times per week between 9am-12pm. Clients at the second hospital could access the project staff three times per week between 1-4pm. Appointments could be made or individuals could drop in during those hours to access two types of support: housing and income. The intervention was implemented in three phases: Phase 2: Intervention for all acute psychiatric patients within a general hospital Phase 1: Intervention in two hospitals with psychiatric wards Phase 1 consisted of modifying existing policies related to housing and start-up fees for a select group of income support recipients from both Ontario Works (OW) and Ontario Disability Support Program (ODSP). This included providing a random group of seven clients rapid access to community start-up funds (i.e., for first and last months' rent), and fast-tracking them through a direct connection to income support including OW/ ODSP, and immediate access to a housing advocate to help find housing. Another group of seven random people received care as usual. As mentioned, these 14 people had no history of homelessness prior to losing housing with the current admission. They also had stable income (Ontario Works or Ontario Disability Support), and were psychiatrically stable upon discharge. The seven participants who received this additional assistance were still housed six months later, whereas six of the seven of those who received usual care were still homeless six months post-discharge. The only person to avoid homelessness was recruited into the sex trade on the way into the shelter. The pilot team concluded that if even very stable clients with no prior history of homelessness could not avoid homelessness without the intervention, other more vulnerable clients would certainly be unable to do so (Forchuk et al., 2007). The phase one pilot was concluded and researchers soon began phase two, which included all London psychiatric clients at risk of being discharged to no fixed address. For Phase 2, Ontario Works (OW) linked a staff person directly to an acute care psychiatric ward within a general hospital in London, Ontario. This person provided assistance to any OW applicants and recipients on the ward in need of income and housing support. There was a direct computer link from the ward to the OW database, which meant appropriate action (e.g. community start up funds or paying rent that was in arrears to prevent eviction) could occur immediately. Ontario Disability Support Program (ODSP) participated by identifying a key contact for the project. A Canadian Mental Health Association (CMHA) housing advocate assisted clients in finding housing. The CMHA worker had access to community housing resources, referral applications for individual support including group homes and a computer database listing current available rental housing in London. Phase 3: Intervention for all patients within a specialized tertiary care psychiatric hospital Phase 3 took place in a tertiary care psychiatric hospital in London, Ontario and implemented the same services as Phase 2. The Ontario Works (OW) staff person provided assistance to OW applicants and recipients on the ward in need of income and housing support. A direct computer link to the OW database was provided at the hospital so fund transfers could occur immediately. Ontario Disability Support Program (ODSP) identified a key contact for the project. A Canadian Mental Health Association (CMHA) housing advocate had access to community housing resources, referral applications, and a computer database of current available rental housing in London, and assisted clients in finding housing. Phase 3 was unique in that tertiary care patients required more extensive support from the housing advocate. The housing advocate contacted housing options on behalf of some clients and visited some apartments with them as well. The housing advocate also checked where clients were on subsidized housing waiting lists and, for those not yet on the list, helped them fill out necessary forms. EVIDENCE OF EFFECTIVENESS The research team (researchers from the University of Western Ontario, community members, and community agencies) collected data to compare the effects of offering the income and housing supports to psychiatric clients at risk of homelessness. The design for phases 2 and 3 was a program evaluation design rather than a randomized control. Since the control subjects had fared so poorly in phase 1 it was considered unethical to continue to withhold the intervention. They also conducted a cost-benefit analysis. Findings Cost-Benefit Analysis 14 people were enrolled in the Phase 1 pilot project. Six months after discharge from hospital: * The 7 who were randomly assigned the intervention (rapid access to income and housing support) were still housed while 6 of the 7 who received usual care were still homeless (Forchuk, MacClure et al., 2008). Forchuk et al., (in press) expanded on these results by testing the intervention in a larger sample of 251 individuals. According to shelter data: * The intervention reduced the number of individuals discharged to homelessness or NFA from 194 in 2002 (the baseline for the study) to 15 in 2008 according to the shelter data (the year the intervention was implemented). * The number of clients discharged from tertiary and acute care to homelessness or NFA also dropped from 167 in 2002 to 132 in 2008 according the hospital data. However, the tracking improved by 2008 and the detoxification centre was moved to one of the shelters, so the actual drop is likely larger. * The results show that of those accessing the intervention, 92.5% of individuals were at imminent risk of homelessness, and all but 3 of 251were attached to affordable permanent or temporary accommodation. The costs of implementing and maintaining the intervention were less than the increased medical costs associated with homelessness and the cost of housing individuals in shelters. Specifically, the total cost to implement the intervention on a hospital ward for 3 days/week ($3,917 per month) was less than the monthly cost of keeping 4 individuals homeless ($5,200) (London Ontario Community and Protective Services Committee Meeting, 2008). USER PERSPECTIVE Sixty-six clients completed in-depth interviews at the time of their discharge, and again one and three months post-discharge. The interviews included quantitative instruments and open-ended questions. Additionally, a total of 31 focus groups were held with 75 individuals and staff (i.e. hospital staff, income support staff, housing advocacy staff). The focus groups were held at each site a month after implementation of the intervention and again six months post-implementation. Clients reported that: * They were very happy with the service they received. They were happy to be able to find housing that was safe and affordable. Clients liked the promptness of the service and how quickly appointments were set up with welfare workers to address OW issues. * They were very pleased with the housing advocate staff member and described her as helpful, friendly, fast, efficient, tolerant, courteous, understanding, resourceful, positive, knowledgeable, compassionate, and willing to listen and help. After their visits, clients felt hopeful and optimistic about their housing prospects. * The service has given them motivation to start looking for housing, and to pursue financial support options. The housing advocate has relieved clients' stress and has helped those who need to find somewhere to live after being discharged from hospital. Clients also reported that they have seen how the service has helped others on the ward. * One client expressed that without the housing advocate she "wouldn't have known where to go." Staff Perceptions of the Intervention Hospital staff reported that the intervention: * Was a positive influence for their clients * Influenced other aspects of clients' lives, as housing was central to their well-being and peace of mind * Increased clients' ability to participate and actively engage in their care * Increased clients' level of responsibility and independence * Increased efficiency of the transition into the community, which for this population is most important. Discharge planning is initiated upon admission and a plan can be laid out based on these services to ensure prevention of discharge to no fixed address * Had a positive influence on the clients' treatment while in hospital (Forchuk et al., 2008) RESOURCES & ORGANIZATIONAL MODEL Staffing At each hospital there was one Community Support Coordinator from the CMHA Housing Advocacy Program, and one OW Case Worker who provided services to both hospitals. Housing Advocate Income Support Staff The CMHA Community Support Coordinator utilized the CMHA housing database to assist in accessing available housing listings and assisted individuals in contacting landlords, arranging viewings, and completing applications. The Coordinator then worked with hospital staff in order to prepare clients' discharge plans, provide updates, and also to identify potential transitional challenges, for example securing finances, waiting for applications to be approved, or waiting lists and availability of units. The Ontario Works Case Manager attended each hospital to complete or review clients' applications. The laptop was set up to accommodate access to the OW online system, as well as to print required documentation. The OW worker was able to arrange approval for financial support as part of the discharge planning. CMHA provided follow up for transition from hospital to the community, including obtaining basic needs, referrals for required support through other CMHA programs or additional community service providers. Partnerships Partnerships were critical in ensuring the success of the intervention. The partnership between the community agencies and staff (CMHA, OW, ODSP, shelter staff, community staff) and hospital staff (nurses, social workers) was key to the implementation of the project and became stronger during the process. Hospital Referral Sources Income Support Providers London Health Science Centre & Regional Mental Health Care London The hospitals provided baseline data as to the rate of discharge to homelessness prior to the intervention. They were also the site of recruitment and data collection for clients, as clients were residing in the hospitals prior to discharge. The cooperation of hospital administration and staff was very important to ensure data was collected, clients were identified for participation, and feedback as to the success of the intervention was provided. Ontario Works and Ontario Disability Support Program The current intervention would not have been successful if not for partnership with OW and ODSP. Housing support and available payment was necessary for clients to secure housing and avoid being discharged to homelessness. The cooperation and support of OW and ODSP was required in order to secure these supports for clients. Community Mental Health The local branch of the Canadian Mental Health Association was key as a partner. They had experience with housing support and provided this to the participants. They also had developed a large database of all available housing within the city, which was an important resource. The City of London Staff from the City of London were key. This was not only the administration of Ontario Works local office but also the Social Services Department as a whole. The City provided the initial funding to pilot the intervention, which was instrumental to the larger full scale study. The City has staff directly working with a homelessness portfolio and the priority within the city facilitated collaboration on this project. The Shelters The homeless shelter staff first identified the problem, and the homeless shelters provided information from their administrative data to assess the baseline situation, as well as the situation after the new intervention was in place. Research and the Community Staff initially worked on the identification and early intervention strategies through a Community University Research Alliance (CURA) funded by SSHRC (Social Sciences and Humanities Research Council of Canada). This was a partnership from the identification and validation of the problem, through to developing and testing implementation strategies. Cost The City of London provided financial support for the delivery of the intervention at both sites. The participating agencies reported that it costs approximately $42,000 per year to have staff on the ward for 3 days a week. It also costs an additional $5,300 (approximately) to set up the service unit on the hospital ward. This cost does not account for the in-kind contributions of the hospital, which include office space, computer set-up and access, telephone, parking, and security clearance to access the hospital network. Funding to evaluate Phase 2 was received from the Canadian Institutes of Health Research and funding to evaluate Phase 3 was received from the Homelessness Partnering Secretariat. SERVICE INTEGRATION - RECONNECT HOUSING, INCOME AND HEALTH SERVICES Nationally there is a lack of affordable housing. For people living on low incomes who also have mental health problems, the situation is even worse. Everyone's health and wellbeing can be strongly influenced by a variety of social factors including housing and income, however at both the provincial and federal levels, housing and employment services operate independently, making collaboration and funding between sectors difficult. Disconnect among the services leads to disconnect of care, which means that peoples' basic needs are not met and they become at risk of homelessness. This project has demonstrated that homelessness can be reduced by connecting housing support, income support and psychiatric care services in order to adequately meet the needs of clients with mental health problems who are at risk of becoming homeless. The level of income supports available through public assistance makes it difficult for anyone relying on them to acquire and keep appropriate housing. This new intervention is restricted by these larger system problems. However, despite these problems, this intervention can help at the local level. The results of this pilot project support the notion that systemic issues contribute to and maintain homelessness for some people and that system solutions are needed as urgently as individual ones. UNDERSTANDING DIFFERENT CLIENTS' NEEDS Clients' ability to access services and follow up on housing can depend on the extent of their psychiatric condition. Clients in acute care were more likely general welfare recipients, while clients in tertiary care were more likely on disability support. Therefore different systems needed to be accessed at the different sites. Clients in acute care were more self-directed, came without a referral and easily followed up on suggestions for potential housing. Shorter lengths of stay for clients in acute care meant that the drop-in service was important. More hours of service are needed in order to be accessible if all clients are to have the ability to access the service prior to discharge. Not all acute care clients could be seen with only three half days per week due to the short length of stay. In particular, some clients who had been discharged before they could be seen came in on weekends. Clients in tertiary care needed more direction from the housing advocate and follow-up from ward staff. Less time was available for "drop-ins" since staff spent more time off site assisting clients. In tertiary care, the wards are widely dispersed throughout the entire hospital and since clients are also less well and less independent, it was important for the service to connect directly with the wards for referrals each week. USE OF TECHNOLOGY Access to databases with housing and income support data and information was key to making this service possible. To encourage similar projects that include rapid access to information through computer linkages, the province needs to develop flexible and secure means of accessing income support databases off-site. ADDRESS THE CORE ISSUE: HOUSING Homelessness brings with it many worries and fears; without the security of a home, life can be stressful. First and foremost is the lack of a safe place to sleep and live. The staff perceive that having this service has relieved the pressure and anxiety on clients because it gives them options, as well as hope that they will have some place to go upon discharge. With this major issue taken care of, the moods of clients have improved, and in turn, they are willing and able to focus on their treatment. This service has also brought awareness to staff about the real reasons someone might be in hospital. A specific example mentioned by a focus group participant involved a patient who acted out in hopes to extend her hospital stay because she did not have housing. After the client accessed the housing advocate service, she had housing arranged in 24 hours. Her attitude completely changed towards treatment and discharge. In this instance the psychiatric issue was not necessarily the leading problem, but rather it was a financial/housing problem that led to extended hospital stay. ACCESSIBILITY Rather than patients having to travel to another service to sort out their housing needs, the housing advocate was available for patients on the ward, in a safe and familiar environment. This increase in accessibility reduces one of the barriers to accessing housing. A client who is suicidal cannot leave the hospital to visit the welfare office, however this is often their only option to access housing or help with income. The office needed to be accessible and highly visible. Also, brochures and posters were needed to advertise the service and were in elevators at the tertiary hospital and on wards at both sites. The posters required frequent replacements. The accessibility of offering multiple services on-site was also expressed by staff as having a great influence on the clients' ability to participate and actively engage in their care. CONCLUSION Discharge from a psychiatric ward to homelessness is an example of one of the systemic issues that contributes to homelessness. Overall, the data revealed the positive effect the intervention had on preventing homelessness and achieving housing for individuals being discharged from psychiatric wards. The data also revealed the success of and need for service implementation that crosses multiple service sectors to achieve the prevention of homelessness from psychiatric wards. Staff expressed the success of the intervention as it relates to efficient transition into the community, which for this population is most important. Discharge planning is initiated upon admission and a plan can be laid out based on these services to ensure prevention of discharge to no fixed address. The intervention has the potential to decrease the costs associated with homelessness and is therefore of interest to policy makers and governments who are responsible for preventing homelessness and reducing public costs. Similar strategies could be implemented for other key transition points including people fleeing situations of domestic violence, leaving jail, visiting the emergency room, leaving children's aid custody, and non-psychiatric hospital discharges. Other key areas in the health sector must be explored. For example, ER and medical wards were found to also frequently discharge mental health clients to no fixed address. This intervention may be a new model that can ensure that no one is discharged from an institution with no place to live and could potentially prevent homelessness for all persons discharged from psychiatric care, not just those in London, Ontario. References Farrell, S. J., Aubry T., & Reissing, E. (2001). Street needs assessment: An investigation of the characteristics and service needs of persons who are homeless and not currently using emergency shelters in Ottawa. Ottawa: University of Ottawa. Forchuk, C., MacClure, S.K., Van Beers, M., Smith, C., Csiernik, R., Hoch, J., Jensen E. (2008). Developing and testing an intervention to prevent homelessness among individuals discharge from psychiatric wards to shelters and 'No Fixed Address'. Journal of Psychiatric and Mental Health Nursing. 15(7):569-75. Forchuk, C, Godin, M, Hoch, J., KingstonMacClure, S., Jeng, M., Puddy. L. Vann, R. & Jensen, E. (in press). Preventing Discharge from Psychiatric Wards to Homelessness: Perspectives of Consumers and Staff. Journal of Psychosocial Nursing. Mental Health Policy Research Group (1997). Mental illness and pathways into homelessness: Findings and implications. Paper presented at the Mental Illness and Pathways into Homelessness Conference, Toronto. Mental Health Commission of Canada (2012). Changing Directions, Changing Lives: The Mental Health Strategy for Canada. Retrieved from http://strategy. mentalhealthcommission.ca/download/ Wilton, R. (2004). Putting policy into practice? Poverty and people with serious mental illness. Social Science and Medicine, 58, 25-39.
Guidelines for allocation of funds from the "mini-bread-campaign" (Aktion Minibrot) of the Catholic Rural Youth Movement (KLJB) at the Archdiocese of Paderborn Contact: KLJB im Erzbistum Paderborn e.V. Aktion Minibrot Leostr. 21 33098 Paderborn Phone: +49 5251-206260 Fax: +49 5251-206261 email@example.com www.kljb-paderborn.de Table of Contents 1. PREFACE Since 1970, the Catholic Country Youth Movement (KLJB) at the Archidioecesis of Paderborn has organised an annual development aid campaign with the title "Aktion Minibrot" during every harvest thanksgiving festival. At over 300 KLJB local branches and parishes, young volunteers organise special church services and campaign days. During the campaign, volunteers hand out small breads – so-called mini breads – to parish members against a voluntary donation as a mark of gratitude for the good living conditions people enjoy in Germany and to demonstrate practical world-wide solidarity within the meaning of a world church partnership. The entire Aktion Minibrot campaign is funded from these donations. The responsibility for the funds lies with the diocesan board of the KLJB. The donations are used to promote development projects aimed at improving the situation of young people, with a special focus on countries in the Southern hemisphere. A strong emphasis is placed on promoting educational activities. The KLJB can withdraw reasonable administrative expenses from the donations received in compliance with the standards set by the DZI charity seal. 2. AID PRINCIPLES The aid work provided by the KLJB is guided by the following principles. These principles should be reflected in every project application and are highly relevant for positive funding decisions. When filing an application, the principles should be taken into account as underlying aid criteria. - Partnership-based cooperation: Projects are developed and devised by young people working together as partners. The entire project team is responsible, among other things, for the financial administration of the project. During the development of the project, partners are supported by the KLJB at the Archidioecesis of Paderborn. The KLJB follows a transparent and consistent decisionmaking process for the project application. - Improvement of the situation of children, adolescents and young adults: The most important aim of the aid programme is to improve the situation of children, adolescents and young adults. The project design should ensure that this aim is pursued in a clear and easily identifiable manner, allowing different approaches. - Sustainability: The project should be suitable for the promotion of sustainable development. This involves three key elements: i. The project should place equal emphasis on an ecological, social and economic balance. ii. The project may serve to satisfy the needs of the current generation only insofar as the needs of the next generation are not negatively affected. Seite 7 von 13 iii. As a rule, projects are funded once. It is desirable that the project be continued after funding has ended. In particular, assets and materials specially purchased for a particular project have to be used for the object of the project. - Empowerment and education: The project design should ensure that the beneficiaries of the project receive encouragement and motivation. The aim of the projects is to help place the project target group in a position where the members of the group can improve their lives and social living conditions. Encouragement of educational activities plays a particularly important part in this. - Development in rural areas: The KLJB is a youth organisation active predominantly in rural areas; its aim is to strengthen the rural living space through its projects. Therefore, the KLJB only supports projects whose centre of attention is the countryside. - Equal rights for women and men, volunteers and full-time participants: It has to be ensured that both men and women, volunteers and full-time participants actively participate on the project management level and in the target group of the project. All decisions that have a major impact on the project must be taken jointly. - Transparency: Both the applicants and the KLJB at the Archidioecesis of Paderborn agree that they will ensure the greatest possible transparency. Application of the funds and the aims and effectiveness of the aid granted should be accounted for on a yearly basis. - The KLJB as a Catholic youth association is committed to a view of man defined by Christian values: One objective of the aid programme is to strengthen the dignity of every single person and to respect and take every person seriously regardless of his or her way of life. 3. AID FOCAL POINTS The funds from the Aktion Minibrot campaign are used to promote only such projects that unequivocally reflect one of the following four aid focal points: - Work with children and adolescents: The aim of the project is to encourage a positive development in children and adolescents. The design of the project may focus on leisure activities or on educational activities. The projects should serve as a means of prevention, i.e. measures that help prevent negative life influences are preferred in the allocation of aid. Extra-curricular education activities have priority over school-based activities. - Vocational training: These projects help place young persons in a position where they can earn their own living. They may obtain professional and social competences which help them to lead a self-determined life. As a rule, no funds are paid to individuals. Seite 8 von 13 Ecology and maintenance of creation: Funding is provided for those projects that help place individuals in a position where they can strive for ecological improvement of their living conditions. - Development in rural areas: The projects should be committed to contributing to an environmentally friendly, socially fair and democratic development of rural living space. In addition, emergency measures are eligible for aid upon request and/or if the need for such measures is obvious. Emergency measures are funded on a non-recurrent basis. No funds are paid to individuals. Once the emergency aid project has ended, regular aid may be provided subject to the relevant aid focal points. Supporting the structural work of the Catholic Country Youth is a special concern of the aid programme. The aim is to ensure representation of the interests of young persons in rural areas. As a rule, the MIJARC Solifond (solidarity fund) is granted 10% of the aid sum received until the 1st day December of every year until that date. In accordance with a special resolution passed by the project decision team, funding can be suspended on a non-recurrent basis. 4. ELIGIBLE COSTS Funds from the Aktion Minibrot campaign are granted only if no other funding is available. The KLJB at the Archidioecesis of Paderborn may support the project partner by providing advice in the search for other aid sources. Planning of projects should be as economical and cost-efficient as possible. The project partners should be able to finance the project with an adequate contribution of their own. This own contribution must amount to not less than 10% of the total cost. The own contribution can be provided in the form of voluntary work or participants' fees or by providing accommodation, catering, or materials. Other costs that cannot be directly allocated to a cost item or that are intended for covering unforeseen project costs can be included in the calculation up to an amount equal to 10% of the total costs. All costs must be directly assignable to the project. The necessity of each of the cost items for the success of the project should be clearly identifiable from the project application. The following are eligible costs: - Cost of materials - Service fees and personnel costs in projects carried out or looked after by qualified and professional experts - Participation fees for training courses of external providers - Travelling expenses - Costs for accommodation and catering during courses Investments in infrastructure (buildings, cars, computers, music instruments, technical equipment, energy plants, plants for water supply, etc.) are funded only if there is a clear substantial connection with the above-mentioned aid focal points. The capital goods acquired should be used primarily for the objective of the project. Private use by individuals during or after the duration of the project is excluded. 5. FORMAL AID CRITERIA All aid applications must be written in English or German language. All aid applications must comply with the aid principles mentioned in Chapter 2 hereof. At least one of the aid focal points specified in Chapter 3 must be covered. All levels of the MIJARC member movements in Africa, Latin America and Asia have priority with regard to aid entitlement. Due to the intensive co-operation with Zambian project partners, the focus lies not only on promoting the MIJARC movements but also on promoting organisations and groups in Zambia. Every project application should contain the following details: 5.1. Applicant - Name - Address, telephone, E-Mail, fax - Scope of duties and position - Focus of activity - Other staff members, project partner(s) - Banking details 5.2. Legal holder - Name - Address, telephone, E-Mail, fax 5.3. Responsible project team - Name, qualification and details of project responsibility to be provided for all members of the project management 5.4. Situation report - Project environment (region, village, parish, dioceses, institute, ...) - Geographical - Political - Economical - Socio-cultural 5.5. Project Description - Description of objective (what is the aim?). Focus of the project with a clear reference to one of the above-mentioned aid focal points - Target group and beneficiaries - Timetable of the project (when, what, who, how, with, where?) - Planned duration from ... until ... (please allow for a potential project handling by KLJB, usually six months) - Required tools and their use - local contributions - Qualification of project managers - In case of real property: description of buildings, capacity (for how many persons), building plan, cost estimate - Give details of the owner of the existing infrastructure 5.6. Financial plan - To be submitted in tabular form in local currency, additionally in Euro. - All types of cost must be specified including quantities, unit prices and total costs. - Where personnel costs and fees are incurred, the name, the exact qualification and the number of hours of service plus the actual employers must be specified. - All expenditures and revenues including the planned local contribution must be specified and supported by relevant quotations/cost estimates. - If any other aid organisations co-finance the project or are the recipients of applications, such aid organisations must be identified and the exact sum requested and/or the aid amount, as the case may be, must be specified. If funds are granted by a different aid organisation, this fact must be reported without delay. - The application must include the details of a bank account to which the project funds can be paid. Funds can only be paid to a bank account which belongs to the applicant organisation. 5.7. Statements Applications filed by groups, associations or institutions must include a positive and detailed opinion of the next higher instance of the relevant organisation. Applications filed by parishes should include a positive and detailed report of the local bishop. Recommendations can also be submitted by: - Supra-regional government offices - Supra-regional church offices - Internationally recognised aid or human rights organisations etc. - Religious orders or church organisations Project applications must be signed by at least two competent employees of the project partner. In case of church associations or parishes, one person at least should be a layperson. 6. PROCESSING OF APPLICATION, APPROVAL, REPORTS AND PROOF OF APPLICATION OF FUNDS 6.1. Processing of application Once the application has been received an acknowledgement of receipt is sent. Processing of the application may take several months. The KLJB may have to send inquiries to the partners and ask for further documentation. 6.2. Approval The applicant and the recommending body are informed of any project approval immediately after the decision has been made. The project funds are paid immediately. Payment in instalments is an option. If the project has a duration of more than 12 months, funds will as a rule be paid in instalments. Further instalments will be paid only after receipt of an intermediate report. 6.3. Intermediate reports - The project partner should confirm receipt of the aid funds immediately after payment by the project partner. - Where projects have a duration of more than 12 months, an intermediate report should be submitted after 12 months or earlier. The intermediate report should document any progress in the project with regard to the targets and elements of the project. For this purpose, suitable media (photos, images, …) should be used. Any deviation from the project plan should be accounted for. Intermediate reports
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ISSN: 0067-2904 Estimation the Missing Data of Meteorological Variables In Different Iraqi Cities By using ARIMA Model Sura T. Nassir * , Ahmed B. Khamees, Wassan T. Mousa Renewable Energy Directorate, Ministry of Science and Technology, Baghdad, Iraq. Abstract In this paper, ARIMA model was used for Estimating the missing data(air temperature, relative humidity, wind speed) for mean monthly variables in different time series at three stations (Sinjar, Baghdad , AL.Hai) which represented different parts of Iraq from north to south respectively. Keywords: Meteorological Data, ARIMA Model. تخمين البيانات المفقودة للمتغيرات االنوائية في مناطق مختلفة من العراق بأستخدام نموذج اريما وسن ثامر مو سرى ثامر ناصر* سرى ثامر ناصر* ، احمد بدر خميس، وسن ثامر مو سى دائرة الطاقات المتجددة, وزارة العلوم والتكنولوجيا., بغداد, العراق الخالصة في هذا البحث استخدم نموذج اريما لتخمين البيانات المفقودة (درجة حرارة الهواء و الرطوبة النسبية و سرعة الرياح ) ل ) لمتغيرات الشهرية المعدلة لسالسل زمنية مختلفة عند ثالث محطات (سنجار وبغداد والحي. التي تمثل اجزاء مختلفة من العراق من الشمال الى الجنوب على التوالي 1. Introduction The availability of meteorological data is very important in many applications, especially in renewable energy projects, where suitable locations are selected for the placement of wind turbines or solar panels. Often there are missing data in meteorological databases due to various reasons. It is therefore very important to be able to predict these data (forecasting) and to fill missing data values from databases. In almost all research fields, the procedure for handling missing values must be addressed before a detailed analysis can be made. Thus, a suitable method of imputation should be chosen to address the missing value problem. However, researchers have sometimes faced with the problem of missing data caused by equipment failure, malfunctioning equipment, terrible weather,and incorrect data recording [1] 2. Method of Calculation of Missing Data Missing values are an unavoidable problem in many applications. In fact, the missing values are a more common and serious problem in dealing with prediction. In this work, we adopt an approach based on ARIMA model to recover the missing value of meteorological variables [2].There are many methods available to estimate missing data, most of these methods can also be applied in many different fields, such as meteorology, astronomy …etc. From these models: Autoregressive integrated moving average (ARIMA) is the most popular linear model for forecasting time series and missing data during the last three decades[3]. The linear function is based upon three parametric linear components: autoregressive (AR), integration (I), and moving average (MA)[4]. In this study, the ________________________________ *Email: email@example.com meteorological variables have missing data for several months within time series. The ARIMA model Figure-1. The missing data have been found in three cities of Iraq (Sinjar, Baghdad, and AL-HAI) using ARIMA model for three variables (mean air temperature, mean relative humidity and mean wind speed) for different time series. 4. Calculation and Results Among of all the possible tests which can be result from using ARIMA model with different p, I, and q values, only one of them have been chosen because the missing data results close to the observed data of meteorological variables. The results show in detail below: 4.1 Sinjar Station Time series of Sinjar city for each of the wind speed, air temperature and relative humidity began from 1993 to 2008, the missing data for air temperature were found in all months of 2003 only. The relative humidity was missed values at all the months of 2001, one month from 2002, 11 months from 2003 and 7 months from 2004 while the missing data of the wind speed were observed at one month from 1997, all the months of 2003 and 7 months of 2004 as shown below: Choosing the correct results for the missing values, was used first the autocorrelation function (ACF) and partial autocorrelation function (PACF) and that shows there is no clear correlation within residuals of the three variables because all values within the 95% confidence limits, This means that ARIMA models which have been selected are the best models for the city of Sinjar, as shown in the following Figure There are many criteria which can be used to detect the predicting results in the missing data with minimum errors. The predicting errors are related to the deference's between the actual variables and the predicted variables which obtained from the forecasting models, Such as mean average error (MAE), root mean square error (RMSE), R-squared and mean absolute percentage error (MAPE). The resulting values for these criteria for the three predicted variables are shown in the Table below: Table 1-Statistical parameters of the selected ARIMA models. \| R-squared \| 0.861 \| 0.990 \| 0.973 \| \|---\|---\|---\|---\| \| RMSE \| 0.506 \| 9.156 \| 1.805 \| \| MAPE(%) \| 4.401 \| 5.378 \| 4.295 \| \| MAE \| 0.015 \| 0.034 \| 0.043 \| The following Figure shows the relationship between the values of the three variables were obtained from the Iraqi meteorological organization and seismology and the values estimated by ARIMA model which explained that every increase in (x-axis) the corresponding increase in(y-axis) that proved by the simple linear regression equation. The following Figures show the missing values which estimated by ARlMA Model for the time series of the three variables where the red curve shows observed values and the blue curve shows predicted values. The following Tables will give the values of the missing data for the meteorological variables as shown below: Table 2-The Missing Data For Air Temperature (˚C) in Sinjar Station. Table 3-the missing data forwind speed (m/sec) in sinjar station. \| month \| JAN. \| FEB. \| MAR. \| APR. \| MAY. \| JUN. \| JUL. \| AUG. \| SEP. \| OCT. \| NOV. \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| wind speed(1997) \| 1.2 \| 1.4 \| 2.4 \| 2.7 \| 2.7 \| 2.9 \| 4.5 \| 3.6 \| 2.5 \| 1.4 \| 0.9 \| \| wind speed(2003) \| 1.1 \| 2 \| 2.8 \| 3.6 \| 4.5 \| 5 \| 5 \| 4.5 \| 3.6 \| 2.5 \| 1.7 \| \| wind speed(2004) \| 1.1 \| 1.4 \| 2.3 \| 3.3 \| 4.1 \| 4.6 \| 4.5 \| 4.1 \| 2.6 \| 1.9 \| 1.5 \| Table 4-the missing data for relative humidity(%) in sinjar station. \| year \| JAN. \| FEB. \| MAR. \| APR. \| MAY. \| JUN. \| JUL. \| AUG. \| SEP. \| OCT. \| NOV. \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| RH(2001) \| 76 \| 67 \| 60 \| 46 \| 26 \| 17 \| 14 \| 16 \| 29 \| 39 \| 48 \| \| RH(2000) \| 64 \| 52 \| 50 \| 53 \| 32 \| 24 \| 24 \| 24 \| 26 \| 35 \| 40 \| \| RH(2003) \| 57 \| 52 \| 49 \| 45 \| 35 \| 27 \| 22 \| 29 \| 32 \| 39 \| 49 \| \| RH(2004) \| 81 \| 77 \| 75 \| 71 \| 34 \| 20 \| 20 \| 17 \| 22 \| 30 \| 71 \| In the same way were calculated the missing data for each of the Baghdad and AL-HAI cities. 4.2. Baghdad station Time series for the Baghdad city for each air temperature and relative humidity began from 1993 to 2010 but wind speed began from 1993 to 2009. the missing data for air temperature was found in all months of 2001 and 9 month from 2010 while the missing relative humidity was found missing at all the months of 2001,2003, 2004 and 9 months from 2010. but, the wind speed was found missing in one month from 1999, 2001, 2002, 2006 and 4 months from 2003 and 2 months from 2004 as shown below: The following Figures show the missing values which estimated by ARlMA Model for time series of the three variables where the red curve shows observed values and the blue curve shows predicted values. The following tables will give the values of the missing data for the meteorological variables as shown below: Table 5-The missing data for Air temperature (˚C) in Baghdad station. \| air temp(2001) \| 9.7 \| 11.9 \| 17.1 \| 22.9 \| 29.8 \| 34.4 \| 37.2 \| 35.5 \| 30.1 \| 24.4 \| 15.8 \| 11.6 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| air temp(2010) \| 13.7 \| 14.9 \| 19.5 \| 24.2 \| 30 \| 33.2 \| 35.3 \| 34.1 \| 29.2 \| 24 \| 17.5 \| 14.4 \| Table 6-The Missing Data For Wind Speed(m/sec) in Baghdad Station. \| year \| JAN. \| FEB. \| MAR. \| APR. \| MAY. \| JUN. \| JUL. \| AUG. \| SEP. \| OCT. \| NOV. \| DEC. \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| wind speed(2002) \| 2.8 \| 2.6 \| 3.2 \| 3.4 \| 3.3 \| 4 \| 3.6 \| 4.3 \| 3.7 \| 2.6 \| 2.3 \| 2.7 \| \| wind speed(2003) \| 2.7 \| 3.3 \| 3.2 \| 3.3 \| 3.7 \| 4.3 \| 4 \| 3.5 \| 3.3 \| 3 \| 2.9 \| 2.7 \| Table 7-the missing data for relative humidity(%)in Baghdad station. \| year \| JAN. \| FEB. \| MAR. \| APR. \| MAY. \| JUN. \| JUL. \| AUG . \| SEP. \| OCT. \| NOV. \| DEC. \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| RH (2001) \| 70 \| 61 \| 50 \| 43 \| 34 \| 29 \| 24 \| 29 \| 40 \| 54 \| 67 \| 75 \| \| RH ( 2003) \| 68 \| 57 \| 48 \| 40 \| 31 \| 26 \| 24 \| 26 \| 34 \| 46 \| 58 \| 67 \| \| RH (2004) \| 67 \| 60 \| 51 \| 40 \| 30 \| 25 \| 24 \| 27 \| 37 \| 48 \| 59 \| 66 \| \| RH (2010) \| 62 \| 56 \| 48 \| 40 \| 36 \| 26 \| 26 \| 29 \| 34 \| 46 \| 60 \| 70 \| 4.3. AL-HAI Station Time series for AL-HAI city for each of air temperature and relative humidity began from 1993 to 2009 but wind speed began from 1993 to 2007. the missing data for air temperature was found in all months of 2001 and 0ne month from 2002, 3 months from 2003, one month from 2004, 2 month from 2006 and 7 months from 2009 while the missing relative humidity was found missing at all the months of 2001, 4 months from 2003, 1 month for 2004, 2 months from 2006 and 7 months of 2009. But, the wind speed was found missing in all months of 2001, 1 month for 2002, 3months from 2003 and 1 month from 2004 The following Figures shows the missing values which estimated by ARlMA Model for time series of the three variables where red curve shows observed values and the blue curve shows predicted values. The following tables will give the values of the missing data for the meteorological variables as shown below: Table 8-the missing data for mean air temperature(˚c) in AL-HAI station. \| year \| JAN. \| FEB. \| MAR. \| APR. \| MAY . \| JUN. \| JU L. \| AUG. \| SEP. \| OCT. \| NOV. \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| air temp.(2001) \| 11.4 \| 13.4 \| 19.5 \| 26.6 \| 32.5 \| 37.5 \| 39.6 \| 38.3 \| 33.5 \| 26.3 \| 18.9 \| \| air temp.(2002) \| 11.1 \| 15.3 \| 20.6 \| 23.7 \| 31.6 \| 34.8 \| 38.7 \| 37.1 \| 34.3 \| 29.1 \| 19.6 \| \| air temp.(2003) \| 13.1 \| 15.3 \| 18 \| 26 \| 32.3 \| 36.7 \| 37.9 \| 38.6 \| 33.8 \| 38.7 \| 18.7 \| \| air temp.(2004) \| 15.9 \| 14.8 \| 21.2 \| 24.3 \| 30.9 \| 35.7 \| 38 \| 36.6 \| 33.4 \| 29.6 \| 19.6 \| \| air temp.(2006) \| 12.1 \| 15.2 \| 20.2 \| 25.4 \| 33.2 \| 37.9 \| 38.1 \| 38.9 \| 33.5 \| 28.1 \| 20.6 \| Table 9-the missing data for wind speed(m/sec) in AL-HAI station. \| year \| JAN. \| FEB. \| MAR. \| APR. \| MAY. \| JUN. \| JUL. \| AUG. \| SEP. \| OCT. \| NOV. \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| wind speed(2001) \| 4.1 \| 4.3 \| 4.6 \| 4.9 \| 4.9 \| 5.1 \| 6.5 \| 4.7 \| 4.3 \| 4.2 \| 3.9 \| \| wind speed(2002) \| 3.1 \| 4 \| 4.2 \| 4 \| 4.6 \| 5.2 \| 5 \| 6.9 \| 6.6 \| 3.5 \| 3.8 \| \| wind speed(2003) \| 3.9 \| 3.9 \| 4.6 \| 5.3 \| 4.5 \| 5.4 \| 6.2 \| 4.9 \| 5.1 \| 3.9 \| 3.8 \| \| wind speed(2004) \| 3.6 \| 4.3 \| 3.9 \| 4.1 \| 4.3 \| 5.1 \| 4.7 \| 5 \| 3.2 \| 2.5 \| 3.2 \| Table 10-the missing data for relative humidity in AL-HAI station. \| year \| JAN. \| FEB. \| MAR. \| APR. \| MAY. \| JUN. \| JUL. \| AUG. \| SEP. \| OCT. \| NOV. \| DEC. \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| RH (2001) \| 72 \| 62 \| 52 \| 42 \| 30 \| 23 \| 20 \| 21 \| 30 \| 44 \| 55 \| 63 \| \| RH (2002) \| 69 \| 57 \| 52 \| 57 \| 34 \| 24 \| 22 \| 23 \| 26 \| 35 \| 55 \| 62 \| \| RH (2003) \| 72 \| 72 \| 56 \| 48 \| 35 \| 26 \| 23 \| 22 \| 28 \| 34 \| 45 \| 55 \| \| RH (2004) \| 60 \| 53 \| 43 \| 39 \| 35 \| 26 \| 21 \| 24 \| 25 \| 32 \| 55 \| 69 \| \| RH (2006) \| 68 \| 67 \| 50 \| 50 \| 33 \| 23 \| 22 \| 25 \| 28 \| 45 \| 57 \| 63 \| \| RH (2009) \| 58 \| 52 \| 45 \| 44 \| 29 \| 20 \| 19 \| 22 \| 30 \| 41 \| 50 \| 57 \| Conclusion The results which obtained in this study explain that the ARIMA models provide a useful value of the mean monthly variables. ARIMA model is accurate but requires a lot of computational skill. The data should be available in sufficient large numbers to estimate the missing data which found within time series. The time series should be at least 10 years successive until achieve the appropriate model. References 1. Nurul, k., Ahmad, M., Kamarulzaman, I. and Azami, Z. 2013. Application of the Single Imputation Method to Estimate Missing Wind Speed Data in Malaysia. Research Journal of Applied Sciences, Engineering and Technology 6(10): 1780-1784. 2. Haibo, H. Yuan, C. Yi, C. and Jinyu, W. 2013.Ensemble learning for wind profile prediction with missing values. Neural Computing & Applications. 22(2): 287-294. 3. Shamshad A. I., Hussin, W. M. A., Bawadi, M. A. and Sanusi, S. A. 2003. Autoregressive Integrated Moving Average Model (ARIMA) For Forecasted Wind Speed. School of Civil Engineering, University of Science Malaysia, 125: 591–613. 4. Kumar, A. and Goyal, P. 2011. Forecasting of daily air quality index in Delhi. Science of the Total Environment, 409: 5517-5523.
Séminaire Équations aux dérivées partielles – École Polytechnique J. RALSTON Diffraction by convex bodies Séminaire Équations aux dérivées partielles (Polytechnique) (1978-1979), exp. n o 23, p. 1-9 <http://www.numdam.org/item?id=SEDP_1978-1979____A23_0> © Séminaire Équations aux dérivées partielles (Polytechnique) (École Polytechnique), 1978-1979, tous droits réservés. L'accès aux archives du séminaire Équations aux dérivées partielles (http://sedp.cedram.org) implique l'accord avec les conditions générales d'utilisation (http://www.numdam.org/conditions). Toute utilisation commerciale ou impression systématique est constitutive d'une infraction pénale. Toute copie ou impression de ce ﬁchier doit contenir la présente mention de copyright. 1jCOLE POLYTECHNIQUE CENTRE DE MATH£MATIQVES DE PLATEAU FALAISEAU - " 91128PALAISEAUCFDEX Telephone : 941.82.00 - " Poste No ECOLEX 691596 F S EM I N A I R E G 0 UL A 0 U I C - S C H W A'R SEMINA IRE G 0 U LAO U I C - S C H WAR T Z DIFFRACTION BY CONVEX BODIES by J. RALSTON T Z 1 9 7 8 -1 9 1 9 7 8 - 1 9 7 1978-1979 I In the spectral theory of the laplaci~n in exterior domains "distort.ed plane waves" are fundamental. For the exterior domain IR n,, ,K . where h. is a compact set with smooth boundary ~K, one defines the distorted plane wave Q(x,w,k) for the Dirichlet problem as follows : For a proof of the existence and uniqueness of ~ satisfying i)- iii) one may consult This seminar deals with an approximate construction of in the case that K is strictly convex - in the sense that the normal curvatures of aK are everywhere strictly positive. The construction is asymptotic to order k _ N for any given N as k tends to 00, and it permits the explicit asymptotic expansion of two quantities of interest in scattering theory, the scattering phase s(k) and the forward diffraction peak a(0,0,k). These can be expressed in terms of as f ollows : where v is the unit normal to aK pointing into :RnBK. By substituting the approximations f or ~ into these formulas one can conclude that ds/dk and a(0,9,k) have complete asymptotic expansions of the form and compute the first few terms : Here V(K) is the volume of K, A(6K) is volume of aK, A(B) is the volume of the projection of K onto x.o= 0, r is the boundary of this projection, dS is the volume form on r, and K(e) is the normal curvature in direction 0 on the pre-image of r in K. The constant cn is the finite part of a definite integral of Airy functions and depends only on n. ± The constructions given here follows those of Ludwig [3i very closely but make use of improvements made possible by Melrose's proof of the symplectic equivalence of glancing hypersurfaces [7]. For a discussion of (1) one may see F5j. The expansion (2) was derived when K is a sphere by Rubinow and Wu and conjectured for convex bodies by Keller and Rubinow [2]. The leading term was derived rigorously by Majda and Taylor L6'. The complete asymptotic expansion is due to R. Melrose ;9j. The method of [9 is different from that used here and appears to be more powerful as it yields the same results for the Neumann problem. Still more refined results on permit a uniform expansion near -have been obtained by Melrose and M. E. Taylor. The construction given here seems sufficiently intuitive -at least to the author that it may serve as a prologue to the results of Melrose and MelroseTaylor. Localization Using the standard construction of geometric optics one can decompose e ' into a sum of terms ue, , where e such that ii) the projections of the supports of u e onto x.w = 0 can be made subordinate to any given cover of 0. The strategy here will be, given u e to construct a u s satisfying u satisfies the Sommerfeld condition. s Actually one has only to construct u s on a neighborhood of 6K in RnBK satisfying i) and ii) with wave fronts -or more precisely "frequency set" (see over points near aK but strictly inside EnB K directed toward 6K. Then u s can be extended to satisfy the Sommerfeld condition by the outgoing Green's function for the laplacian on Rn (see [4.,, pp.521-3). If the projection of the support of u e on x.cu does not intersect r, the construction of u s is a standard application of geometric optics. Hence from here on we consider only u e whose support projects onto a neighborhood -which we may take as small as we wish - of a point on r - . The Ludwig-Melrose construction The idea here is to find a representation of u e in the form where the integrand is an asymptotic solution to (p + k2)w= 0 uniformly in S, and one has additionally The function Ai is the standard Airy function and a and b have the form Once we have (3) - (5) the function us will be given by where Note that , since A satisfies Airy's differential equation, the integrand is automatically an asymptotic solution to (A+k )w=0 in RnBK -since A(s) is exponentially increasing as s ~ + co , we use the fact p > ~ in RnBK here. The choice of A is made so that the frequency set of u s is directed toward 6K from RnBK . As we mentioned earlier the constructions here are strictly local. We assume that we are given x E K with = 0 and, writing o o 5 = , ' ) , a ' I such that V9(x ,0,S,)o= -(1). All the assertions (of 1 0 0 0 existence etc...) in the constructions that follow are to be qualified by "for (x,) in a neighborhood of (x 0,1)" -even though this will always o 0 be omitted. Just how small the support of u e must be is only determined at the end of the construction. The representation (3) with conditions (4), (5) is the delicate part of the construction. One first determines 0 and p and then a and b . In order that the integrand in (3) be an asymptotic solution to (~+k )w=0, 6 and p must satisfy the "eichonal" equations : on p 2 0. These equations are solved by choosing a smooth,,family of strictly convex surfaces S with 8K when S1 = 0, and defining p~x,~) - 0 on S . Note that, since we want VxP ¡. 0, this implies 1 on S ~ and is tangent to S . * Thus we must choose e on S~ to be a solution of the surface eichonal on S-. With these choices 7a) and 7b) determine 0 and p uniquely for x outside S , I i.e. in the region where we will have p 3 0. The condition (4) implies and, modulo a change of variables in ~l is equivalent to the following geometric condition on Sg and : if the straight line through xo E Sg with o direction 8K at x', then the reflection of this line x oo in BK is, f or some x1 S , the line through xi with direction o In [_3~! the surfaces S were only chosen so that (4) held up to an error which was 0(§') for all N. However, it is a direct consequence of [7J 1 (the derivation is given in [8J that S and can be chosen so that (4) holds exactly. Then one completes the construction by extending 0 and p as C functions in the complement of p 2 0, maintaining t4).~ If we replace Ai and Ai' 'by their integral representations, (3) becomes Note that, writing then this integral be expanded by the method of stationary phase. If the result of this pansion agrees with ue, then we must have e can ex- xvhere §(x) and fi(x) are defined by However, since ~ is automatically a solution of the standard eichonal (I V ~ 12 = 1 ) it suffices to have (8) hold for x on a surface transverse to w. The eichonal equations (7) and condition (4) remain valid if we replace 0 by 6+ and we must exploit this freedom to obtain det a2 a~ I / 0 and (8) . Introducing local coordinates (z,y) where z = 0 on 6K, 8f/gz = gf/8U on aK and y, = x.w on 3K, we can assume S0161 is given by z ^ a~y, ~ ) . Writing y = (Yl'Y')' it is a consequence of the constructions in 171 that S and 0 t S can be chosen so that (this L J 2 is used in [8j) and 0. We let P denote written as a function of (z,y). To achieve 8) we begin by solving . Z y Z Y for y=y(). This is over determined, but since Iv 81 = Iv (x.w)1 = 1 when it suffices to solve (8 ,8 ,) = ~~ ~ ~ .~ ) x x z y z y on z = a(y,§) . To check the hypothesis of the implicit function theorem, we 0 (so that a = ez = 0) and compute ~ Since is nonzero by the strict convexity of 8K, and we may assume a28/a y 'a y1 vanishes at the base oint, we conclude that (8 ? 6 ) =? ? P ) can be solved f or yeS) on z y z y Now we defined t by the requirement To check that is symmetric, we note that Since (9) determines * up to an additive constant, we complete the construction of ~ by choosing this constant so that the base point. Further work along exactly, the same lines shows that (This uses det and that z = a.(y(s),ç:», y= y(§) defines a surface transverse to w. Then it follows that (8) holds when 0 is replaced by 9 + * -. We will not discuss the construction of the amplitudes a(x,~,k) and b(x,~,k) here. In 15) a and b are constructed so that , given the preceding construction of 0 and p, (3) holds and in place of 6 ) one has b= 0(t N) for any N on 6K. The modifications needed to improve this I y p to (5), i.e. b= 0 on 6K are substantially simpler than those that were used in obtaining (4) - no use of is involved. Actually, imposing (5) for all x E bK (or even the weaker condition b = 0(§' )) would make 1 it impossible to keep the intersection of the support of a and b with 6K strictly inside the set where 0 and p are defined. This is a turn would prevent us from making the integrand in (3) an asymptotic solution to = 0 on a neighborhood of 6K in REK. However, we only impose (5) for (x,~) in a small neighborhood of the base point. Provided the projection of the support of u e is made sufficiently small, one still has us(x, k) + ue(x,k) = O(k-N) for x E aK in this case. The representation of Away from the intersection of 6K with the pre-image of r the expansion of 6~/bv is easy to compute from geometric optics ; the leading term is (the "Kirchhoff approximation"). The next term is 0(1) and it does not contribute to the second term in (1) and (2). In a neighborhood of a point aK where w.v(x0) = 0, i.e. a o o point that projects to r, one can combine (3)-(6) to get where F x = Ai'(x)-2013?201372013 Ai x) . Expanding by stationary hase in the variable S', this can be further simplified to a representation in the form where G has the form Substituting (10) and the analogous expression (derived from (3)), into the integral formulas for ds/dk and one derives (1) and (2). The crucial advantage here of (10) over the formulas that could be . .... ik' obtained from [31 is that one can eliminate the oscillatory factors by an integration in an x-variable without disturbing the Airy functions. At the final stage in the derivation of (1) and (2) one must expand integrals of the form where G is a polynomial in A'/A, i'/X, Ai and their derivatives* it is here that the krlog k terms seem to appear in the asymptotic expansions. It is known that there are no logarithms (and only integral powers of k) in the expansion of but unknown whether logarithms ' actually appear in the expansion of a(0,0,k). ~ REFERENCES [1] V. Guillemin and S. Sternberg : Geometric asymptotics, Math. Surveys, n° 14, AMS, Providence, 1977. [2] J. Keller and S. I. Rubinov, J. Appl. Phys. 32 (1961), 814-820. [3] D. Ludwig, Comm. Pure Appl. Math. 20 (1967), 103-138. [4] A. Majda and J. Ralston : Duke Math. J. 45 (1978), 513-536. [5] A. Majda and J. Ralston : An analogue of Weyl's theorem for unbounded domains, III, preprint 1979. [6] A. Majda and M. E. Taylor : Comm. Pure Appl. Math. 30 (1977), 639669. [7] R. B. Melrose : Invent. Math. 37 (1976), 165-191. [8] R. B. Melrose : Parametrices at diffractive points (MS.1975). [9] R. B. Melrose : Forward scattering by a convex obstacle, preprint 1978. [10] S. I. Rulbinow and T. T. Wu : J. Appl. Phys. 27 (1956), 1032-1039. [11] N. Shenk and D. Thoe : J. Math. Anal. and Appl. 36 (1971), 313-351.
LESSONS LEARNED FROM CIRFT TESTING ON SNF VIBRATION INTEGRITY STUDY J.-A. Wang, H. Wang, H. Jiang, B. Bevard, R. Howard, J. Scaglione Oak Ridge National Laboratory, One Bethel Valley Road, Oak Ridge, TN 37831 A cyclic integrated reversible-bending fatigue tester (CIRFT) was developed to support U.S. NRC and DOE Used Fuel Disposition Campaign studies on high burn-up (HBU) spent nuclear fuel (SNF) transportation during normal conditions of transport (NCT). Two devices were developed; the first CIRFT was successfully installed and operated in the ORNL hot-cells in September 2013. Since hot cell testing commenced several HBU SNF samples from both Zr-4 and M5 clads were investigated. The second CIRFT device was developed in February 2014, and has been used to test clad/fuel surrogate rods (stainless steel with alumina pellet inserts). The second CIRFT machine has also been used for sensor development and test sensitivity analyses, as well as loading boundary condition parameter studies. The lessons learned from CIRFT testing will be presented in this paper. facility. Under Nuclear Regulatory Commission (NRC) sponsorship, ORNL completed four benchmark tests, four static tests, and twelve dynamic or cycle tests on H. B. Robinson (HBR) high burn-up (HBU) fuel. The clad of the HBR fuel was made of Zircalloy-4. The related testing results will be documented in an NRC regulatory guide contractor-prepared (NUREG/CR) report. With support from the US Department of Energy (DOE), the CIRFT work has continued on remaining HBR rods. The CIRFT testing on North Anna (NA) M5 TM and mixed oxide (MOX) M5 TM UNF were also initiated in the reporting period. At the same time, ORNL conducted postirradiation examination (PIE) of selected HBR rod segment/tested specimens, along with fractography on tested NA M5 TM and MOX fuels. I. INTRODUCTION The objective of this project is to perform a systematic study of SNF integrity under simulated transportation environments (normal conditions of transport [NCT]) using hot-cell testing technology developed at the Oak Ridge National Laboratory (ORNL)—the Cyclic Integrated Reversible-Bending Fatigue Tester (CIRFT) [Ref. 1–8]. Currently, the CIRFT testing on UNF is conducted at an ORNL hot-cell testing While the use of CIRFT on HBR UNF rods generated a lot of interesting data, a number of important issues remain to be addressed. Because direct examination of some of these issues in a hot cell is prohibitive due to high cost and limited access, out-of-cell study has been demonstrated to be cost effective and much more feasible. A testing system with the same configuration as that of CIRFT used in a hot cell has been developed to study the issues that emerged from hot-cell testing and also to investigate the fatigue and failure mechanisms of UNF rods that cannot be identified directly in hot-cell testing. The development of hardware and software, CIRFT test results on HBR fuel rods, NA M5 TM fuel rods, and *This manuscript has been authored by UT-Battelle, LLC, under Contract No. DE-AC05-00OR22725 with the U.S. Department of Energy. The United States Government retains and the publisher, by accepting the article for publication, acknowledges that the United States Government retains a non-exclusive, paid-up, irrevocable, world-wide license to publish or reproduce the published form of this manuscript, or allow others to do so, for United States Government purposes. IHLRWM 2015, Charleston, SC, April 12-16, 2015 MOX fuel rods will be discussed in this report. The information resulting from these studies, such as fuel contribution to clad stiffness, potential hydrogen effect, and pellet-clad interaction and their associated bonding efficiency effects, will be presented: II. CIRFT TESTING RESULTS OF H. B. ROBINSON USED FUEL Under DOE sponsorship, ORNL conducted the CIRFT tests on rod specimens R3, R4 and R5 and conducted limited PIE. Brief descriptions of these tests and the PIE are given below. For detailed information on the testing system, the data processing method, and test results on other rod specimens based on HBR UNF [Ref. 5]. II.A. Data Processing Measurement data and online monitoring data were converted into applied moment and curvature based on the load channel output (load 1 and load 2), the loading arm (101.60 mm), and LVDT channels (LVDT 1, 2, and 3) output. The moment (M) was estimated by: where F is the averaged value of applied loads (load 1 and load 2) from Bose dual motors, and L is the loading arm, 101.60 mm. The curvature (κ) was estimated using Eq. (2) as described below. The equivalent strain-stress curves were obtained under the assumption that the UNF rod can be idealized as a linear elastic homogeneous material without the consideration of the effects induced by any pelletcladding interaction. The equivalent stress was calculated by: max where I is the moment of inertia, I = Ic+Ip, and Ic and Ip are moments of inertia of the cladding and pellet, respectively, and ymax is the maximum distance to the IHLRWM 2015, Charleston, SC, April 12-16, 2015 neutral axis of the test rod of the section measured by the radius of the cladding. The calculation of stress disregards the difference of elastic moduli between the cladding and the pellets. The equivalent strain was calculated by: and flexural rigidity is defined as ΔM/Δκ. II.B. Dynamic Testing Results II.B.1. D13/R3/606B3E under ±13.72 N·m 5 Hz The cycle test on sample D13/R3 (606B3E, 66.5 GWd/MTU burnup, 100–110 μm oxide layer, 750 ppm hydrogen content) was conducted under ±13.72 N·m at 5 Hz. Rod specimen R3 failed at approximately 1.29 × 10 5 cycles within the gauge section. Online monitoring showed that rigidity increased prior to the final rigidity drop at failure as shown in Fig. 2. The peak and valley of curvature data reflect the significant variation in curvature from the tension and compression side clad as seen by the drop in the peak value shown in Fig. 2d. The non-symmetry waveform change in peak and valley curvature measurement during the cyclic test are attributed to pellet-clad interaction, while under clad compression cycle the pellet-pellet pining can provide sufficient bending moment resistance, thus, reduces its curvature reading, and the additional reinforcement from pellet-pellet interaction would be diminished under clad tension cycle. The decreased rigidity was observed in the periodical quasi-static measurements, as shown in Fig. 3. II.C. Mean Curvature and Maximum of Absolute Curvature Extremes Under a load-controlling mode, the offset of the Mκ loop with respect to the κ axis can be described by the mean value of curvatures, κ m: In load-controlled cycle tests, the curvature range Δκ = (κ max-κ min) exhibited a flat response prior to failure. As a result, the rigidity was stable over most of the monitored period, followed by a slight drop prior to failure. However, using curvature range/amplitude to characterize fatigue in UNF can be risky. This is because the response of rods is generally not symmetric with respect to the curvature origin, as seen in Fig. 2d. The sign and magnitude of the mean curvature depends on the asreceived condition of a rod and on loading conditions. These observations raised a concern because the use of curvature range/amplitude did not reflect the real maximum stress level of the outer fiber in a bending rod. IHLRWM 2015, Charleston, SC, April 12-16, 2015 An alternate approach is based on the maximum of absolute curvature extremes, \|κ\|max, as defined by the following: For a given specimen, the \|κ\|max given by Eq. (6) corresponds to the curvature that causes the maximum stress levels. Curvature as a function of the number of cycles is shown in Fig. 4 in terms of both curvature amplitude and maximum of absolute curvature extremes. The results indicate that the curve of curvature versus the number of cycles could be raised to a certain degree if the maxima were used instead of amplitude. The factor of the power function was increased by 23%. Fig. 4. Maxima of absolute (abs) curvature extremes and curvature amplitudes as a function of number of cycles. Solid markers represent tests with specimen failures; open markers indicate tests without failures. The power function was obtained from curve fitting based on the HBR data set [5]; solid line corresponds to amplitudes, and dash line corresponds to maxima of absolute. II.D. κ-N Curve and Effect of Hydrogen Contents There was no specific hydrogen content data available for the tested HBR rod segments. However, the ranges of hydrogen content on the parent fuel rods were available, and the hydrogen contents of the tested rod segments can be estimated based on where they were taken. The estimated hydrogen contents of the HBR rods ranged from 360 to 750 ppm. An assembly of cycle tests is presented in Fig.5, with focus on the tests in which specimens failed. It can be clearly seen that the curve of curvature range vs. the number of cycles was shifted down and to the left when hydrogen content was equal to or greater than 700 ppm. Under the same curvature range, the fatigue life of the specimens with higher hydrogen content is shorter than the fatigue life of specimens with lower hydrogen content. III. CIRFT TESTING OF NORTH ANNA M5 TM AND MOX M5 TM UNF III.A. Static Testing of North Anna M5 TM UNF Three static CIRFT samples were tested in hot cell. III.A.1 NA3/651D3 The static test was conducted on the specimen with the CIRFT label NA3 (fuel segment 651D3) under a displacement control mode using the following test procedure: 1. Ramp up to 12.00 mm at 0.1 mm/s rate at each loading point or each Bose motor. 2. Return to 0.0 mm at 0.2 mm/s. 3. If the rod specimen does not fail, repeat steps 1 and 2 four times. Specimen NA3 survived four loading cycles without any sign of failure. The moment-curvature curves and equivalent stress-strain curves are shown in Fig. 6. In the estimates of equivalent stress and strain, the inside and outside diameters of 8.293 and 9.683 mm were used, respectively. There was a significant nonlinear deformation after 30 N·m; the maximum moment of 47 N·m was attained during the initial loading cycle. A deflection point appeared at approximately 8 N·m in the initial loading cycle. Subsequent loading cycles did not produce additional deformation, but they did introduce a closed hysteresis loop. The maximum curvature under a relative displacement of 24.00 mm at the loading points of the U-frame (i.e., 12.00 mm at each motor) was 4.1 m -1 . The maximum equivalent stress and strain obtained were 522 MPa and 2%, respectively. The rod appeared to be IHLRWM 2015, Charleston, SC, April 12-16, 2015 bent with significant plastic deformation after the static tests as shown in Fig. . III.B. Dynamic Testing of North Anna M5 TM UNF Three dynamic tests were conducted in the hot cell. Applied moment amplitudes varied from ±7.62 to ±12.70 N·m. The fatigue life ranged from 1.57 × 10 4 to 6.1 × 10 4 cycles. The results of specimen NA2 are described below. III.B.1. NA2/651C5 under 10.16 N·m 5Hz The test on NA2 (651C5) was conducted under ±10.16 N·m, 5 Hz. A fatigue life of 2.2 × 10 4 cycles was obtained. Periodic quasistatic measurements of rod deformation were conducted using two relative displacement levels—1.0 and 2.0 mm—at the target intervals as described in Ref 11. Variations of the curvature, moment, and flexural rigidity as a function of number of cycles are given in Fig.8. The flexural rigidity of the rod stayed between 22 and 25 Nm 2 during most of the cycle testing period. This value of rigidity is a little lower than but still close to that of NA2. The results from online monitoring are given in Fig., and the image showing the failure location of the rod specimen as well as fractured surface profile is given in Fig.. III.C. Dynamic Testing of MOX UNF Four static CIRFT samples were tested in hot cell. Applied moment amplitudes varied from ±5.08 to ±10.16 N·m. The fatigue life ranged from 3.7 × 10 4 to 2.1 × 10 6 cycles. The results of specimen MOX2 are described below. III.C.1 MOX2/ MOX-A-12 under 10.16N·m 5Hz IHLRWM 2015, Charleston, SC, April 12-16, 2015 The test on MOX2/MOX-A-12 was conducted under ±10.16 N·m, 5 Hz. A fatigue life of 3.70 × 10 4 cycles was obtained. Periodic quasistatic measurements of rod deformation were conducted using two relative displacement levels—0.8 and 1.6 mm—at the selected target number of cycles as described above. Time history of moment and curvature and curvature-moment loops obtained at the first cycle and 11,000 cycles are shown in Fig. 11. The curvature range–moment range and flexural rigidity are illustrated in Fig. 12. The variations of these quantities as a function of number of cycles are given inFig. 13. The rigidity of the measurements showed a clear decreasing trend starting with 24 Nm 2 and then dropping to 20 Nm 2 at 1.1 × 10 4 cycles. IHLRWM 2015, Charleston, SC, April 12-16, 2015 The curvature range, moment range, and flexural rigidity based on online monitoring data are presented in Fig.4, along with the maxima and minima. Online monitoring showed that flexural rigidity was essentially stable with a small amount of decrease (19 to 18 Nm 2 ) prior to the failure. The degree of decrease is lower than the value seen in the measurement. At the same time, the positive offset of curvature with an initial level of 0.1 m -1 tended to become smaller during the cycle test. IV. CIRFT TEST RESULTS DISCUSSION A summary of dynamic testing results for all of the UNF rods is represented in Fig. in terms of equivalent strain amplitude. Under the same level of amplitudes, the NA and MOX fuels showed a shorter fatigue life than HBR fuel. The difference between NA/MOX and HBR fuel is several tens of thousands of cycles. These data correspond with the lower yielding of NA/MOX fuels c. However, the fatigue mechanism remains to be investigated. The alternate form is also given in Fig. in terms of maximum of absolute strain extremes. It is noted here that MOX4 and MOX6 CIRFT specimens both were tested under same loading condition of 5.08N-m. Twice two-foot drops were applied to MOX6 specimen before cyclic fatigue testing; Fig. 15 shows a slightly increase in strain amplitude for MOX6 specimen (likely due to impact induced stiffness degradation) compared to that of MOX4 specimen, however, MOX6 fatigue life is significant less than that of MOX4 specimen. IHLRWM 2015, Charleston, SC, April 12-16, 2015 based on the HBR data set [5]. The data point with the arrow represents the two foot drop test of the specimen. V. FINITE ELEMENT ANALYSIS OF M5 TM CLAD MATERIAL The finite element analysis (FEA) model of an M5 TM fuel rod system is formed by UO2 pellets and M5 TM cladding [Ref. 2]. It incorporates appropriate boundary conditions including the bonding layer at clad/pellet interfaces. The model consists of a fuel rod with a 3dimensional (3D) representation of fuel pellets, clad, and possible combinations of gaps at the pellet-pellet and pellet-clad interfaces. The ABAQUS code was used, and the fuel rod was represented by a beam element with the associated effective stiffness. This approach was used to obtain the effective properties of the beam elements for use as input for further development of the detailed UNF assembly model. The approach is also designed to estimate the damping properties of the beam elements due to frictional resistance between the clad and the embedded pellets. This pellet-clad interaction modeling uses a "contact element" algorithm and can be further implemented into other embedded boundary conditions such as internal pressure and residual stress. The FEA simulation results were also calibrated and benchmarked with CIRFT fatigue aging data [Ref. 5]. Based on FEA simulation results, the impacts of interfacial bonding efficiency at pellet-pellet and pelletclad interfaces on the M5 TM fuel rod performance can be summarized as follows [Ref. 9-10]. With good interface bonding and without fuel pellet and clad fracturing, the pellets in the fuel rod will carry more bending moment resistance than the clad under NCT vibration. The maximum stress resides in the pellets, and the stresses at the clad and pellet are both below the yield condition. Therefore, the system is in a linear elastic state under the target bending loads. There is no shear stress surge inside the M5 TM cladding. Upon fuel pellet failure, including debonding at the pellet-pellet interfaces, the load-carrying capacity shifts from the fuel pellets to the clad. The clad starts to carry most of the bending moment at the pellet-pellet interface region, resulting in localized stress concentrations in the clad. However, under the target bending moment, the clad does not yield. With good cohesion bonding at the pelletclad interfaces, the pellets can continue to support the clad and carry a sufficient portion of the bending moment resistance. Therefore, most of the clad at the gauge section remains in the linear elastic range. A shear stress surge occurs inside the cladding at the pellet-pellet interface regions. When further debonding occurs at the pellet-clad interfaces, the embedded pellets can no longer provide effective structural support to the clad; nor can they assist load transfer within the fuel rod system. Thus most of the load-carrying capacity shifts to the clad throughout the entire gauge section. The shift leads to uniform maximum stress in the clad in the entire gauge section instead of at localized pellet-pellet interface regions due to stress concentrations. VI. CONCLUSIONS The CIRFT was conducted on three HBR rods (R3, R4, R5); two specimens failed and one specimen did not fail. The total number of cycles in the test of nonfailed specimens went over 2.23 × 10 7 ; the test was stopped because the specimen did not show any sign of failure. Data analysis demonstrated that it is necessary to characterize the fatigue life of UNF rods in terms of both the curvature amplitude and the maximum of absolute curvature extremes. The latter is significant because the maxima of extremes signify the maximum of tensile stress of the outer fiber of the bending rod. A large range of hydrogen content has been covered in CIRFT on HBR rods. The load amplitude has been the dominant factor that controls the fatigue life of rods, but the hydrogen content also has an important effect on the fatigue life, as illustrated in Fig. 5. Seven dynamic tests at 5 Hz were conducted in the hot cell: three NA M5 TM specimens and four MOX specimens. The moment amplitudes tested were 5.08– 12.70 N·m, and the curvature amplitudes were 0.200–0.55 m -1 . The equivalent stress amplitudes were 59.12–142.37 MPa, and the equivalent strain amplitudes were 0.10–0.27 %. The fatigue life of the rods decreased from 2.15 × 10 6 to 1.57 × 10 4 cycles. It is noted here that the dynamic test also reveals the potential accelerated aging from the drop during handling or the transient shocks of NCT. Based on a series of FEA simulations on M5 TM clad, the impact of the interface bonding efficiency on UNF vibration integrity, the distribution of moment carrying capacity between pellets and clad, and the impact of the interface material on the flexural rigidity of the M5 TM fuel rod system are all important factors to be considered when evaluating the clad/fuel system under NCT. The immediate consequences of interface debonding are a shift in load-carrying capacity from the fuel pellets to the clad and a reduction in composite rod system flexural rigidity. Therefore, the flexural rigidity of the fuel rod and the bending moment resistance capacity between the clad and fuel pellets are highly dependent on the interface bonding efficiency at the pellet-pellet and pellet-clad interfaces. Furthermore, the curvature and associated flexural rigidity estimates based on global measurement of CIRFT tests are very different from the localized clad data estimated by FEA. As a result of the lack of pellet support at the debonded interface, the local tensile clad curvature is ~3 to 4 times that of the global curvature at the tension side of the clad. And significant stress IHLRWM 2015, Charleston, SC, April 12-16, 2015 concentrations were observed in the pellet-pellet-clad triinterface regions. The potential weakest link of a UNF system is resided at the pellet-pellet interface region, due to its stress concentration. Furthermore, from the UNF CIRFT testing, the fractured CIRFT specimens are almost all failed or initiated at pellet-pellet interface regions. ACKNOWLEDGMENTS This research was sponsored by the DOE Used Fuel Disposition Campaign (UFDC) and NRC under DOE contract DE-AC05-00OR22725 with UT-Battelle, LLC. Authors thank Chuck Baldwin for PIE, Josh Schmidlin for fuel rod cutting and dimension measurement; Bryan Woody and Scot Thurman for hot-cell operation support. REFERENCES 1. H. Wang, J.-A. J. Wang et al., "Development of Uframe Bending System for Studying the Vibration Integrity of Spent Nuclear Fuel," Journal of Nuclear Materials 440, 201–13 (2013). 2. J-A. Wang, H. Wang, H. Jiang, B. Bevard, R. Howard, "CIRFT Testing Results on High Burnup UNF," M2FCRD-UFD-2014-000053, September 2014. 3. J.-A. Wang, H. Wang, B. Bevard, M. Flanagan, et al., "Surrogate SNF Vibration Integrity Investigation," 2014 ANS Meeting, June 15-19, 2014, Reno Nevada. 4. J.-A. J. Wang, H. Wang, et al., "Reversible Bending Fatigue Test System for Investigating Vibration Integrity of SNF During Transportation," PATRAM 2013, San Francisco, Calif., August 18–23, 2013. 5. J.-A. J. Wang and H. Wang, "Mechanical Fatigue Testing of High-Burnup Fuel for Transportation Applications," NUREG/CR, ORNL/TM-2014/214, Oak Ridge National Laboratory, December 2014. 6. J-A. Wang, H. Wang, B. Bevard, "Reversible Bending Fatigue Testing on Zry-4 Surrogate Rods," WM2014 Conference, Phoenix, AZ, March 02-06, 2014. 7. J.-A. J. Wang et al., SNF Test System for Bending Stiffness and Vibration Integrity, International HighLevel Radioactive Waste Management Conference, Albuquerque, N.M., April 28–May 2, 2013. 8. J.-A. Wang, H. Wang, et al., "The Development of Reversible Bending Fatigue Tester and Its Application to High Burnup SNF Vibration Integrity Investigation under Normal Transportation," ORNL/TM-2013/573. 9. H. Jiang, J-A Wang, and H. Wang, "Potential Impact of Interfacial Bonding Efficiency on SNF Vibration Integrity during Normal Transportation," ASME PVP Conference, July 20-24, 2014, Anaheim CA. 10. J-A. Wang, H. Wang, and H. Jiang, "Using Finite Model Analysis and Out of Hot Cell Surrogate Rod Testing to Analyze High Burnup SNF Mechanical Properties," FCRD-UFD-2014-000603, August 2014.
Volume 10, Number 6 "A Pure Language" Messiah who was a Jew born in the land of Israel, died, and rose from the dead in Israel and will return to the land of Israel to rescue and save the Jewish people when He returns. Eli knew we were Messianic believers and accepted a free complete Jewish Bible to discover the While we were walking by a North Place hiking store in Jerusalem, the Lord spoke to us and led us to go into the store. A salesman by the name of Eli greeted us. He immediately pointed to my Messianic necklace and said he "liked it very much." Like so many others, when a positive comment about this is made by an Israeli, I explain the Jewish nature and idea of the Jewish Jesus and learn His teachings are very rabbinic-oriented. Eli's co-worker was not so interested and seemed slightly suspicious of what we were saying. But Robert and I assured him that what we were sharing is part and parcel of biblical Judaism. The Messiah and His coming to Israel is the central tenet of Jewish beliefs. Eli allowed us to go through some of the Messianic prophecies located in the Tenach and their corresponding fulfillment by Yeshua. Next the Lord led us to another young Israeli man by the name of Ran, who was very interested in reading the B'rit Hadashah and learning about the prophesied destiny of Israel's past, present and future planned by God as revealed in both Testaments of the Hebrew Scriptures. The miraculous restoration of the Hebrew language, with the current regathering of the Jewish people to their ancient homeland with the rebirth of the nation of Israel, was the dominant theme we discussed with Ran. We also told him how Bible prophecy Nov/Dec 2012 foretold God would restore Hebrew as a pure language at the time of the regathering. Ran and I looked up this prophecy in Zephaniah 3:9. He read the Hebrew text and then translated it into English. And true to form, we both confirmed this end-time prophecy was fulfilled by Eliezer Ben Yehudah (1859-1922), considered to be "the father of modern Hebrew," when he created Modern Hebrew without any dirty or obscene curse words. Modern Hebrew was literally a "pure language" from its inception in the latter part of the nineteenth century. Ran said this was true because when Jews today curse or use a dirty word they borrow from the Arabic or English languages! When offered a Hebrew Tenach and B'rit Hadashah in one volume, Ran jumped at the chance and expressed a desire to read the New Testament. He accepted our premise that if you read the Scriptures with the Messiah as the chief subject of both Testaments, you will see all the different authors point to one— Yeshua of Nazareth—as the single and exclusive Messiah of the Continued on page 4 Special thanks go out to Zola Levitt Ministries / To The Jew First Ministry for their ongoing funding contributions, helping to make these mission trips to Israel possible. Also, special thanks to Andy Ball of The Bible Society of Israel for supplying us with Hebrew Bibles. The Nine Harbingers Preceding G-d's Judgment on the United States - Part 4 Continued from Part 3 found in the Sept/Oct 2012 issue of this newsletter. This is Part 4 of 4. When I started this study, it was after I was given a book for my birthday. The book was The Harbinger by Rabbi Jonathan Cahn. The first 19 pages of the book confirmed to me what I have been talking about the past three or four years. I would suggest that you get a copy for yourself. There are two trees in the prophecy…the second tree, the cedar, is The Seventh Harbinger. The Seventh Harbinger: The Erez Tree "The Bricks have fallen, but we will rebuild with hewn (Gazit) stone; the sycamores have been cut down, But we will plant cedars in their place. " Now I have a question for you: why would they replant (replace) the sycamores with cedars? It was for the same reason they replaced the bricks with the hewn (Gazit) stone, the Gazit stone was stronger than the bricks of clay and straw. The sycamore was a common tree, it was never seen as anything that held much value, the grain in the wood was quite coarse, knotty, spongy…it was not what you would call a strong wood. Even though its wood could be used in building, it was neither considered the best nor the most long-lasting material to build with. On the other hand, the Cedar was much more highly valued than the sycamore. The cedar grew in the mountains while the sycamore grew in the low lands; the sycamore was common and the cedar was exotic…striking. Unlike the twisted, spongy sycamore, the cedar was straight, magnificent, soaring in stature. The sycamore could grow to fifty feet while the cedar could grow to well over a hundred feet. The wood of the cedar was well suited for construction with its tight smooth grain; it was a very strong wood that was long-lasting. They would plant cedars in the place of the fallen sycamores, and, unlike the sycamores, the cedars they hoped would stand against any future attack…all an act of defiance. Spence and Exell, eds., The Pulpit Commentary, vol. 10 pg 178 puts it this way… "Instead of harkening, heeding, and repenting, the nation determines to act in the spirit of defiance…it will exchange its feeble sycamores that are cut down for the strong cedars which the wildest gales will spare." It is exactly the same act of defiance that they did with the quarried (Gazit) stone…the same act only in different form. They laid the quarried stone on the place and in place of the fallen bricks. Now they are planting the cedar in the place of the sycamore. It is the act of Khlaf. Khlaf ףלח is the Hebrew word used in the verse (Isaiah 9:10). It means to exchange, to replace, to plant one thing in the place of another. The original word in Hebrew for the tree in the prophecy is Erez. Erez זרא is most commonly translated as cedar in English. The word Erez is also found in several ancient texts where it is referenced as an evergreen conifer. So an Erez tree is a coniferous evergreen, but not every coniferous evergreen is necessarily an Erez Tree. More explicitly it is a particular type of cone-bearing evergreen. The Revell Bible Dictionary (Fleming H. Revell)(1990) pg 198 defines it this way: "The Hebrew Erez rendered Cedar in all English versions is most likely a generic word for the pine family." The Erez Tree would come under the botanical classification of "pinacea." Pinacea refers specifically to the cedar, the spruce, the fir, and the pine - the nation's resurgence, their tree of hope. This tree of hope was not necessarily a tree of good hope though; it was a prideful, self-absorbed, egotistical, godless hope. In reality, it was a harbinger of judgment. The Seventh Harbinger: The warning of the fallen sycamore goes unheeded. Its uprooted remains are removed; another is brought in to replace it at the place it was felled. A Hebrew Erez, an evergreen, a conifer, Search the Scriptures the biblical cedar…the Pinacea Tree. This publication is a bi-monthly newsletter, free of charge, from B'rit Hadashah Ministries. For more information about our ministry, or to be added to, or removed from, our subscription list, you may contact Elisa by e-mail at: email@example.com B'rit Hadashah Ministries or by mail at: P.O. Box 796127 Dallas, Texas 75379-6127 www.brit-hadashah.org Visit our website at: Nov/Dec 2012 Nov/Dec 2012 The Seventh Harbinger was manifested when the sycamore was removed from Ground Zero…it was taken down from the place it fell and put on public display as a symbol of the great tragedy that came on 9/11/2001. Even its root structure would be carefully taken out and transferred to another site. But for the mystery to play out another tree had to be planted in the same location. Rather than hearkening to God's initial warning, there was pride and arrogance of heart. Even this judgment did not appease God's wrath because the people refused to deal with their iniquity, so God would continue to chastise them, ultimately in a greater devastation and final judgment with the destruction of the temple. As the first stage of judgment came with no true conversion, God would come with a second and ultimate judgment. This was the wake-up call and God gave the nation a period of grace to return to Him. Since the nation did not turn back to God, then there was an impending and more devastating judgment yet to come. Fulfillment: Just as recorded in Isaiah with Israel, America replaced this Sycamore tree with a 21-foot Norway Spruce called the Tree of Hope. It was planted in the Northwest corner of the churchyard at St. Paul's Chapel on November 22, 2003, replacing the Continued on page 4 Part 7 23"Therefore the kingdom of heaven is like a certain king who wanted to settle accounts with his servants. 24And when he had begun to settle accounts, one was brought to him who owed him ten thousand talents. 25 But as he was not able to pay, his master commanded that he be sold, with his wife and children and all that he had, and that payment be made. 26 The servant therefore fell down before him, saying, 'Master, have patience with me, and I will pay you all.' 27Then the master of that servant was moved with compassion, released him, and forgave him the debt. 28But that servant went out and found one of his fellow servants who owed him a hundred denarii; and he laid hands on him and took him by the throat, saying, 'Pay me what you owe!' 29 So his fellow servant fell down at his feet and begged him, saying, 'Have patience with me, and I will pay you all.' 30 And he would not, but went and threw him into prison till he should pay the debt. 31 So when his fellow servants saw what had been done, they were very grieved, and came and told their master all that had been done. 32Then his master, after he had called him, said to him, 'you wicked servant! I forgave you all that debt because you begged me. 33Should you not also have had compassion on your fellow servant, just as I had pity on you?' 34 And his master was angry, and delivered him to the tormentors until he should pay all that was due to him. 35 So My heavenly Father also will do to you if each of you, from his heart, does not forgive his brother his trespasses." perfect attributes, uniqueness and matchless wisdom over all things. When the servant "worshipped" his master, he made an acknowledgement of his lord's sovereignty and lordship over him. The assertion of God's existence—what He is and says—undergirds all worship. Worship, then, is to really exclaim in all honesty of heart the firm belief that "the Lord lives, in truth, in judgment, and in righteousness" (Jeremiah 4:21). Worship is an integral part of repentance. Worship expresses our thankfulness to God for saving us from our sins. To acknowledge the one true triune God and His only begotten Son, Jesus Christ, is the simple form of true worship. When the apostle John beheld the Lord Jesus in the overwhelming effulgence of Divine glory, he naturally fell at Christ's feet in reverent worship. "And when I saw Him, I fell at His feet as dead" (Revelation 1:17). Once the servant was escorted into the immediate presence of the lord, he instantly fell down imploring his lord for mercy while in the act of worship. For the repentant sinner, a true life-changing encounter with the Lord Jesus Christ will instinctively yield automatic veneration— falling down before His throne of grace in humble adoration of Him. This leads us to the next element involved with the servant's repentance—worship. repentance and He shall redeem you with an "everlasting love." Yes, for your sake, unsaved one, "kiss the Son, lest He be angry, and you perish from the way, when His wrath is kindled but a little" (Psalm 2:12). The meaning of the term worship is very broad in definition. Nevertheless, it can be generally defined as the sincere acknowledgement of God, the full admission of the Lord's supremacy, The worship of the Lord displays the external manifestation of our inner belief, gratitude, submission and dependence on Him. Our worship of the Lord displays our love and total devotion towards Him. O saints of God make it a habitual act, imitating the servant of this parable, to fall down and kneel before our Creator, giving Him thanks for His many benefits and wondrous doings. "O come, let us worship and bow down; let us kneel before the Lord our maker" (Psalm 95:6). To the sinner we strongly advise him to flee from the wrath to come while there is still time, "for the night is coming when no man can work" (John 9:4). Give the Lord due adoration. O sinner you stand not a chance if you maintain your foolish resistance against Him. Christ gave His life that you might not perish but have eternal life. Surrender your life to Him in Page 3 If the unsaved will demonstrate their faith by truly yearning for the mercies of the Lord, confess their sins, admit failure to live up to the perfect standards of God's holy law, the Lord assures: "Then I will hear from heaven and will forgive their sin" (2 Chronicles 7:14). God will never despise the contrite prayer of mercy—the kind of prayer which says, "Have mercy upon me, O Lord, for I am weak" (Psalm 6:2). "Hear, O Lord, when I cry with my voice; have mercy also upon me, and answer me" (Psalm 27:7). The servant's prayer "Have patience with me, lord" well exemplifies the sinner's ardent cry The third element of the servant's repentance was his seeking mercy. The true penitent will invariably seek God for sparing mercy, and like the contrite publican of Luke 18, will accordingly pray, his unworthiness felt, "God be merciful to me a sinner" (Luke 18:13). The humbled servant realized his deep accountability. He knew he was in great debt but without any way of making full payment. Naturally, he then assumes to hope in the mercy of his lord. The servant sought for patience, admitted his own weakness and perpetual failure and ineptitude to pay his debt. These things, in turn, opened the channel of remission releasing him totally of all debt incurred. Continued on page 6 Nov/Dec 2012 24th Outreach Continued from page 1 Jewish people and the world. Let us pray Ran will read his copy of the Bible with this holy perspective in mind, as God would have all the Jewish people believe when reading His Word. Ran was happy to receive a copy of the Bible with the B'rit Hadashah The next day, Robert and I drove to Malcha Mall and had wonderful ministry with a sweet and open young Israeli lady working at the Sabon soap shop. Robert and I personally thanked her for what God has done through the Jewish people— giving the world the knowledge of the one true God through the revelation of His Word in both the Tenach and B'rit Hadashah which together proclaim the coming of the Messiah and that Yeshua is this Messiah Who came and is soon coming again. Robert and I said with deep conviction and emotion we come to Israel to bless the Jewish people out of the love Yeshua the Messiah has given us for His people. The greatest way to do this is to give every Jewish person an opportunity to read and learn of the evidence proving Yeshua is the Messiah of Israel from the pages of the B'rit Hadashah within the larger context of the Messianic prophecies of the Tenach. The lady gratefully accepted our offer and took a complete Bible from us and a list of the major Messianic prophecies to look up in the Scriptures we gave her. >A ✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡✞✡ The Nine Harbingers... Continued from page 2 fallen Sycamore tree. The tree was donated by the Imperatore Nurseries and lifted into place by crane. On November 29, St. Paul's hosted a prayer service and ceremonial lighting of the Tree of Hope. They said, "We will replace them with cedars." Though the cedar tree doesn't grow in America, the Erez tree, translated "cedar" in the Bible, or cadres conifer is of the Pinacea family which includes many well-known conifers such as cedars and spruces. Likewise, the Tree of Hope was a conifer tree like the Cedar of Lebanon. It was a Norway Spruce which is a large evergreen coniferous tree of the same Pinacea family. In Hebrew parallelism, a verse is often matched with a verse that rhymes in thought. The fallen bricks and fallen sycamore are paired together in this sense and were both found in the ruins of the 9/11 attacks at Ground Zero. Similarly, there are the Cedar tree and the hewn stone which can be grouped together because they were both lowered by cranes, both had ceremonies surrounding them, and both were labeled as icons: The Tree of Hope and the Freedom Stone. The Eighth Harbinger: The Utterance Ok now the mystery gets a little mystical and a bit vague. The last two harbingers are not like the others, and yet they are like all of them. One speaks of what is and the other of what would be, again very mystical…and very vague. When looking at the clues that are available to me, I start looking at Isaiah 9:9-10 and I see no other real clue. I then decide to look at the introduction to the vow…what I see in the introduction are names that are linked to Israel…"Ephraim, Jacob (Yaacov), Samaria. I looked at several commentaries and what I found I believe was the missing key…Samaria. Samaria wasn't just another name for the kingdom of Israel. It was also the name of a city, and the prophecy is directed to those who live in Samaria. So was it the kingdom or the city that was being addressed? I have been looking at the prophecy and not getting much. I then look at the intro to the prophecy starting in verse 8. God's Anger with Israel's Arrogance; Isaiah 9:8-9 (NASB) 8 The Lord sends a message against Jacob, And it falls on Israel. 9 And all the people know it, Nov/Dec 2012 That is, Ephraim and the inhabitants of Samaria, Asserting in pride and in arrogance of heart. As I am reading this Introduction to the prophecy, it just jumps out at me—"The Eighth Harbinger is an Utterance." The Eighth Harbinger was the public speaking of the ancient vow of defiance. For this harbinger to manifest, the vow would have to be spoken in the nation's capital by a national leader, as it had been in ancient Israel. On Sept 11, 2004, every object mentioned in the prophecy of Isaiah 9:10 had manifested. The public utterance of the prophecy had to take place publicly, which happened on Sept 11, 2004, when VP candidate John Edwards, giving a speech in the capital city, quoted this exact scripture word for word in Washington, DC. Without realizing it, he was joining the two nations together and, without realizing it, pronouncing judgment on America. The ancient and the modern were bound together. Isaiah 9:10 (NASB) 10"The bricks have fallen down, But we will rebuild with smooth stones; The sycamores have been cut down, But we will replace them with cedars." Fulfillment: John Edwards' public utterance on September 11, 2004, of the very words of Isaiah 9:10 exactly as it was written. The Ninth Harbinger: The Prophecy OK; we are at the Ninth Harbinger: The Prophecy, and you are probably saying to yourself… Wait a minute–we have already covered that. Well hold onto your chair for a few seconds and you will see where we are going. Isaiah 9:10 exists in two different realms. In the first realm it is the voice of a nation proclaiming a vow in defiance of G-d. But in the other realm, it is the voice of a prophet, the voice of Isaiah, and of G-d speaking through him. You see it is a prophecy, and as a prophecy it is a judgment on the nation's defiance and arrogance, a warning foretelling what is held in the future. It can be seen as a message from G-d, and it is given in such a way that it falls on the whole of the nation, so that all of the people will know it. Continued on page 5 ✞ Partner With Us ✡ your prayers, your words and your financial support as the Lord leads your heart. Please consider becoming a monthly partner. As you can read for yourself in the newsletter articles, these worthwhile donations are directly impacting individual lives in Israel. In light of the Last Days' realities, we appeal to you. We ask for and appreciate any support you can give us during this critical time of need. We need your thoughts, Having been to the Holy Land over 20 times, I can assure you that Israelis deeply hunger and thirst for the Word of God and appreciate the believers in America who support ministries devoted to bringing the Word of God to the Jews. We need your support to help us continue to take the Gospel to the land from whence it came. Make checks and money orders payable to: Thank you for supporting this Gospel ministry of the Lord Jesus Christ to His Chosen People in the land of Israel. May He come quickly! Until then, we continue to labor for Him. B'rit Hadashah Ministries PO Box 796127 Dallas, TX 75379-6127 We also accept: You can also make your donation online at: www.Brit-Hadashah.org * Donations are tax deductible in the U.S. as you give to this 501(c)(3) Non-profit ministry. * Thank you for your support. The Nine Harbingers... Continued from page 4 You see the Ninth Harbinger is a manifestation of Isaiah 9:10 in the form of prophecy, as both a vow and a prophecy, and given in such a way as to fall on the Nation (Ancient Israel and America). On Sept. 12, 2001, the day following the fall of the Twin Towers, Senate Majority Leader, Tom Daschle, proclaims Isaiah 9:10 before a joint session of Congress, adding prophetically, "This is what we will do." America's symbol of defiance, arrogance, and prideful attitude of heart is the exclusion of God from our nation. From George Washington and Abraham Lincoln to modern presidents like Ronald Reagan and others, there has existed a humble attitude toward God and His calling on our of self-centeredness, and our defiance is willful disobedience to the God of heaven and earth— creator and sustainer of families, governments, and life itself.So you see "The Ninth Harbinger: The Prophecy" folds back in to itself and becomes a self-fulfilling prophecy. It is time to wake up… it is time to STOP being Sheeple… It is time to repent and turn back to G-d. This country is under Judgment now as we speak and the time may have passed us by as a nation. But as an individual it is never too late to turn back to G-d. Until next time, Shalom in Yeshua always. Aviel A nation to herald the Gospel message of repentance and forgiveness to our nation and the world. The ungodly, from the lowliest to the highest, persist in their disregard of the warnings given by God's Word and God's people to turn from selfmade idols and return to God. As America continues down its slippery slope, God has sent repeated warnings that unless our nation turns from its sin and returns to Him, judgment is imminent. The catastrophe of 9/11, the economic collapse, war, social chaos, poverty, disease, and natural disasters are all warnings (harbingers) from God to get us to turn from sin and self and return to Him as a nation. Our sins are no less great than Israel's; our pride is a clenched fist in the face of God, our arrogance an act Page 5 Nov/Dec 2012 B'rit Hadashah Ministries P.O. Box 796127 Dallas, Texas 75379-6127 e-mail: firstname.lastname@example.org ADDRESS SERVICE REQUESTED Matthew 18... Continued from page 3 for God's mercy—this is the heart of tearful repentance. The lord was deeply "moved" with compassion and forgave him his debt. Easy believism is not satisfactory enough for salvation. God requires repentance first! Repentance for the servant of this parable, like us, is indispensable for God to remove our sin debt. Without repentance, salvation cannot be given. Jesus informs us, "Except you repent, you will all likewise perish" (Luke 13:5)! "God commands all people everywhere to repent" (Acts 17:30). God promises pardon only to the repentant individual. His mercy and forgiveness are insured upon the moment we repent. The servant of our parable acknowledged his wretched state and was thus eligible for his lord's forgiving pardon. God promises in His word: " For I am merciful, says the Lord. I will not keep My anger forever. Only acknowledge your iniquity, that you have transgressed against the Lord your God" (Jeremiah 3:1213). We too, like the servant, must acknowledge our iniquities; confess our sins and God will forgive us in the abundance of His tender mercies. The servant could not be "loosed" from his debt until he first acknowledged and repented of it. Repentance naturally requires the confessing and forsaking of sin, and then remission is made possible. "Let the wicked forsake his way, and the unrighteous man his thoughts. Let him return to the Lord and He will have mercy on him; and to our God, for He will abundantly pardon" (Isaiah 55:7). NONPROFIT US POSTAGE PAID DENTON TX PERMIT NO. 11 The repentance of verses 23 through 26 in our parable is a beautiful illustration of God's sovereignty in the work of election. Notice the lord took account of his servants and "one" not "all" was brought to him. Equally true for every Christian servant. "The goodness of God leads to repentance" (Romans 2:4). No one left to himself is able to approach God through repentance, except God the Father, first, by God the Holy Spirit sovereignly draws him to God the saving Son (see John 6:44). What a marvelous testimony this is of the divine Trinity in the work of salvation. >A About the Author Dr. Todd Baker is president of B'rit Hadashah Ministries and Pastor of Shalom, Shalom Messianic Congregation in Dallas, Texas. He was a chaplain at Medical City Hospital for 16 years. Todd holds a Bachelor of Science degree in biblical studies, a Master of Theology Degree from Dallas Theological Seminary, a Ph.D. in Philosophy and Apologetics from Trinity Seminary under the auspices of Liverpool University at Liverpool, England, and is a Fellow of the International Academy of Apologetics, Evangelism & Human Rights in Strasbourg, France. He is a theological consultant and writer for Zola Levitt Ministries and has appeared on Zola Levitt Presents. With his extensive experience in Jewish evangelism, he has led many Gospel outreaches to Israel. ✞
Casden Forecast 2nd Annual Multifamily Conference CRACKING THE CODE: RESHAPING URBAN LA March 30, 2004 SPONSORED BY: PILLSBURY WINTHROP LLP FIRST AMERICAN TITLE COMPANY RUBB G & E LLIS F IRST B ANK M ANATT OF B HELPS , P ESTON W M EVERLY H ILLS HILLIPS & P ENSHOOF , B EDIA S LLP OCHEFORT , R PONSORS C ALIFORNIA: EAL R E STATE J OURNAL ENTV R. COM , I NC. CRACKING THE CODE: RESHAPING URBAN LA • March 30, 2004 • Aratani/Japan America Theatre, Los Angeles, California REGISTRANT INFORMATION Name: Title: Company: Address: City: State: Zip: Phone: Fax: E-mail: Pa Payment: Pa yment: Pa yment: Payment must accompany the r yment must accompany the r yment must accompany the reeeeegistra gistra gistration f tion f tion form. orm. ❐ General Registration $325 ❐ Corporate Registration (Special rules apply see previous page) ❐ Public Sector Registration $175 Please check one: ❐ Check ❐ Credit Card Enclosed is check check check check check #_________ in the amount of $__________ Please make checks payable to USC Lusk Center for Real Estate Please write the registrant's name on the check. USC accepts checks in U.S. funds only. Charge Charge Charge Charge Charge $_________ to the following credit card: ❐ Visa ❐ MasterCard Name On Card Card Number Expiration Date Cardholder's Signature There are two easy ways to register: Send your completed registration form(s) with check or credit card information to: Casden F Casden F Casden F Casden F Casden F Casden For or or or orecast • Crack ecast • Crack ecast • Crack ecast • Crack ecast • Cracking The Code: Resha ing The Code: Resha ing The Code: Resha ing The Code: Resha ing The Code: Reshaping Urban L ping Urban L ping Urban L ping Urban L ping Urban LAAAAA USC Lusk Center for Real Estate 650 Childs Way, Lewis Hall Room 331 Los Angeles, California 90089-0626 Fax your completed registration form(s) with credit card information to: 213.740.6170. Faxed registration forms will only be processed with payment. FFFFFor further inf or further inf or further inf or further inf or further informa orma orma orma ormation call: USC Lusk Center • (213)740-5000 tion call: USC Lusk Center • (213)740-5000 tion call: USC Lusk Center • (213)740-5000 tion call: USC Lusk Center • (213)740-5000 tion call: USC Lusk Center • (213)740-5000 Print Name as it will appear on the badge: Lunch: ❐ I will attend lunch ❐ I will not attend lunch How did you hear about the conference: ❐ E-Mail ❐ Mailing Cancellation Policy: See previous page. , R UBALCAVA AC & M C UISH LLP CRACKING THE CODE: RESHAPING URBAN LA March 30, 2004, Aratani/Japan America Theatre, Los Angeles, California MORNING SESSION 8:30 A.M. - 12:00 P.M. ELCOME W Stuart Gabriel, Director and Lusk Chair, USC Lusk Center for Real Estate KEYNOTE SPEAKER Steve Kantor, Managing Director, Credit Suisse Group CASDEN 2004 MULTIFAMILY FORECAST REPORT Raphael Bostic, Director, Casden Real Estate Economics Forecast PROTECT YOURSELF – SOLVING THE INSURANCE AND LIABILITY CONUNDRUM M ODERATOR Jeffrey Masters, Esquire, Cox, Castle & Nicholson LLP PANEL Stephanie Shakofsky, Executive Director, California Center for Land Recycling Gregory Econn, President, James Econn & Company Concerns about contamination and construction defect liability are soaring, and these issues could have a devastating effect on developers. Learn successful approaches for navigating the treacherous insurance waters from three experts in the field. In addition, the panelists will offer their views on what developers need to do to get insurance, regulatory alternatives, and potential reforms. Conference participants will receive a "best practices" checklist for dealing with contamination and construction defect issues. CRACKING THE CODE: LEARN THREE THINGS THAT WILL HELP YOU MITIGATE YOUR INSURANCE CHALLENGES LOCATION – LOCATION – LOCATION MODERATOR Robert Osbrink, Vice President and Executive Director, Grubb & Ellis of existing buildings as compared to new construction. What are the infrastructure pressures that impact building in the central city? Can key ingredients be identified as necessary to creating a downtown neighborhood? This panel offers the opportunity to hear about successful conversions of some of Los Angeles' long-vacant properties into productive projects. PANEL John Ausburn, Executive Vice President of Development, Pacific Properties LLC Richard Gentilucci, Senior Vice President, Shamrock Holdings, Inc. Kitty Wallace, Senior Vice President, Sperry Van Ness As we all know, the old adage is true: "The three keys to success in real estate are location, location, and location." Listen to successful leaders give their views as to the best and worst locations for development and investment in the Los Angeles region and what makes them so. In addition, this panel will address threats to successful development, as well as incentives and opportunities that can enhance the likelihood of success. Audience members will gain insights into the key characteristics that make a local market attractive, as well as strategies for identifying locations that are up and coming. CRACKING THE CODE: LEARN WHERE TO GO AND WHERE TO AVOID CREATE OR RE-CREATE: ADAPTIVE REUSE AND NEW CONSTRUCTION IN THE URBAN CORE (LUNCH) M ODERATOR Lisa Specht, Partner, Manatt, Phelps & Phillips PANEL John Given, Senior Vice President of Development, CIM group Greg Vilkin, President, Forest City Residential West, Inc. Los Angeles has an inventory of unused or underutilized industrial and commercial buildings in downtown. Two leading developers of in-fill projects will discuss the opportunities, obstacles, advantages and disadvantages of adaptive reuse or conversion CRACKING THE CODE: RESHAPING URBAN LA March 30, 2004, Aratani/Japan America Theatre, Los Angeles, California Re Registra gistra gistration F tion F tion Fee: ee: ee: The registration fee of $325 includes continental breakfast, lunch, refreshments and program materials. Loca Location and Par tion and Par tion and Parkkkkking: ing: ing: The Aratani/Japan America Theatre is located at: 244 South San Pedro Street, Los Angeles, California 90012. Cor Corpora pora porate Re te Re te Registra gistra gistration P tion P tion Polic olic olicy:y:y:y:y: Save $50 for additional registrants from the same company. You must all register and pay at the same time with one check or credit card. Cost for the first registrant is $325. The cost for each additional registrant from the same company is $275. Confirma Confirmation: tion: tion: Confirmation materials will not be sent out for registrations received after March 22, 2004. They will be available at Will Call in the conference check-in area on Tuesday, March 30, 2004. Substitution P Substitution Polic olic olicy: y: y: All substitutions must be requested in writing by mail or by fax (213.740.6170), on or before Monday, March 22, 2004. After March 22, 2004, substitutions will be accepted at Will Call in the conference check-in area only. Mail Substitutions to: USC Lusk Center • 650 Childs Way/ RGL 331 • Los Angeles, California 90089-0626. Refunds/Cancella Refunds/Cancellation P tion P tion Polic olic olicy: y: y: All cancellations must be in writing and postmarked by Monday, March 15, 2004. Cancellations are subject to a $50 service fee. No refunds will be given after Monday, March 15, 2004. Self-parking is available at the parking structure behind the theatre; the entrance is located on 2nd street. Open space parking is available on 2nd and San Pedro Streets. All day parking is $4.00 or less. DRE Cr DRE Cred ed edit: it: it: The conference has been approved for five hours of DRE credit (Consumer Service), California Department of Real Estate Sponsor No. 2325. DRE license number and photo identification are required for registration and check-out. To successfully complete the offering, you must attend 90% of the conference. CPE Cr CPE Cred ed edit: it: it: The conference is approved for CPE credit for accountants who are required to attend qualified courses. Certificates of attendance will be available after the conference for registrants turning in completed attendance sheets. For further information call the USC Lusk Center for Real Estate at, 213.740.5000 or visit us on the web: www.usc.edu/lusk. USC Lusk Center for Real Estate Casden Real Estate Economics Forecast 650 Childs Way • RGL 331 Los Angeles, California 90089-0626 A FTERNOON S ESSION 1:30 - 3:00 P. M. WHERE'S THE MONEY M ODERATOR Lewis Feldman, Esquire, Managing Partner, Pillsbury Winthrop LLP PANEL Wayne Brandt, Managing Director, RBS Greenwich Capital Financial Products Inc. Peter Kompaniez, President and Chairman, Apartment Investment and Management Company Frank Suryan, Chief Executive Officer, Lyon Capital Ventures Need we say more? Find out where the capital markets believe success is lurking from three leading investors, each with a view that extends beyond southern California. How does the region stack up to others? Will it continue to be an overachiever from an investor perspective? What types of product are attractive in southern California? Where? In addition to answering these questions, speakers will offer their three keys to closing a deal in today's market. This panel offers attendees both a broader perspective on southern California's apartment market as well as the local details that will be important for attracting capital inflows. CRACKING THE CODE: LEARN THREE KEYS TO CLOSING A DEAL IN TODAY'S MARKET
RESEARCH ARTICLE Formulation and In-vitro Evaluation of Super Porous Hydrogel Composite of Baclofen Haidar E. Jeleel 1 *, Fatima J. Jawad 2 1Babylon Health Directorate, Ministry of Health, Baghdad, Iraq 2Department of pharmaceutics, College of Pharmacy, University of Baghdad, Baghdad, Iraq Received: 13th August, 2021; Revised: 27th September, 2021; Accepted: 1st November, 2021; Available Online: 25th December, 2021 ABSTRACT Baclofen (BCN) is a centrally acting muscle relaxant that act by inhibiting the transmission of the reflexes at the spinal cord level. It is used to treat spastic movement particularly in the case of spinal cord injury and multiple sclerosis. The major objective of the present study is to formulate a gastroretentive drug delivery system of super porous hydrogel composite (SPHC) of baclofen to increase its residence time in the stomach to increase its absorption because baclofen has a narrow absorption window limited in the stomach and upper part of small intestine. Gas blowing technique is the method used for the formulation of different formulas of baclofen super porous hydrogel composite by using polymers such as acrylic acid 40%, acryl amide 40%, and poly vinyl alcohol (PVA) in different amounts of 10, 15, 20, 25 and 30 mg, the positive and encouraging results was obtained by the using of acryl amide (AM) and PVA as a monomers. N, N-Methylene-Bis-Aacrylamide (MBA) used as a cross linker. Crospovidone (COP) used as a composite agent. Sodium bicarbonate has been used as the CO2 generating agent to assist to the formulation. The effect of monomer and cross linker agent amounts on the percent of drug release has been studied. The formulas were investigated for their swelling ratio, mechanical strength, porosity, density, drug content and drug release. The formula of 30 mg PVA, 300 µL of 40% AM, 50 mg CRP and 50 mg Sodium bicarbonate has a mechanical strength of 277gm with a percent of drug release reached to 98.5% within 12 hours. that indicate a sustained release of the baclofen drug. The selected formula then evaluated for scanning electron microscopy and fourier transform infrared spectroscopy (FTIR) study to investigate the compatibility of the drug with the polymers used and the results showed there is no incompatibility between the drug and the materials used. Keywords: Acryl amide (AM), Baclofen (BCN), Drug release, Poly vinyl alcohol (PVA), Methylene-Bis-Aacrylamide (MBA), Super porous hydrogel composite (SPHC), Swelling ratio, Mechanical strength. International Journal of Drug Delivery Technology (2021); DOI: 10.25258/ijddt.11.4.42 How to cite this article: Jeleel HE, Jawad FJ. Formulation and In-vitro Evaluation of Super Porous Hydrogel Composite of Baclofen. International Journal of Drug Delivery Technology. 2021;11(4):1372-1378. Source of support: Nil. Conflict of interest: None INTRODUCTION Oral drug delivery systems are the most favored and convenient rout for delivering the drug to the systemic circulation. 1 Oral controlled release drug delivery has recently gained popularity in the pharmaceutical industry to achieve enhanced therapeutic benefits such as ease of dosing administration, patient compliance, and formulation versatility. 2 Gastroretentive dosage form types can be stored in the gastrointestinal tract and avoid rapid gastric emptying. Drugs with short half-lives and easy absorption from the gastrointestinal tract (GIT) are rapidly removed from the systemic circulation. To achieve adequate therapeutic efficacy, these medications must be dosed frequently. 3 To overcome this restriction, oral sustained-controlled-release formulations are being developed to slowly release the medication into the GIT and retain an adequate drug concentration in the systemic circulation for a long time. 4 These systems are ideal for medications that have an absorption window restriction. 5 They are manufactured as modified release drug delivery system formulations with the ability to monitor the release rate and site to confine the dosage type to the GIT's targeted region (stomach). 6 SPHs can be defined as a cross-linked or three-dimensional network consisting of polymers of a hydrophilic nature. These polymers have the ability of absorption of a sizeable amount of One of most important approaches that are formulated and developed for increasing drug residence time in the upper part of the GIT are the gastroretentive drug delivery systems. 7 Super porous hydrogel (SPH) is one of the types of these systems that is designed and then developed for the purpose of maintaining the drug for a long period of time in the stomach as much as possible without affecting on its efficacy, absorption, stability, and its mechanical strength to resist the stomach contractions and the harsh gastric environment. 8 water within a very short period. 9 This ability is because of the presence of many pores that have a diameter with a range from micro to millimeters scale. 10 The BCN is centrally acting muscle relaxant act by inhibiting of the transmission of the reflexes at the spinal cord level. It is used to treat spastic movement, particularly in the case of spinal cord injury and multiple sclerosis. 12 The numerous pores in the super porous hydrogels are connected by forming an opened channels structure, the water molecules can enter to these channels by capillary wetting phenomena rather than by diffusion mechanism. 11 This capillary wetting force makes the swelling of the dried SPH very fast that can take just few minutes regardless of the size of the dried form of the SPH. 12 The major objective of the present study is to formulate a gastroretentive drug delivery system of super porous hydrogel composite (SPHC) of baclofen to increase its residence time in the stomach to increase its absorption baclofen has a narrow absorption window limited in the stomach and upper part of small intestine. MATERIALS Hyper-Chem. LTD CO. (China) provided BCN and COP, HIMEDIA.(India) provided Acryl amide AM, BDH chemicals Ltd. (England) provided Acrylic acid AA, Thomas Baker Chemicals. (India) provided Ammonium persulphate (APS), and N,N-Methylene-Bis-Aacrylamide (MBA), MESE Ltd. (Germany) provided PVA, Alpha chemical. (India) provided Tween 20 (T20), Sodium metabisulfite SMB and Sodium bicarbonate. METHODS Preparation of Baclofen Super Porous Hydrogel Composite The monomers AA and AM or AA and PVA were added to a test tube of 10 mm diameter and 75 mm in length then (MBA) and tween 20 was added to the mixture with shaking in the sonicator for 5 minutes. In the next step of the formulation crospovidone was added then the polymerization initiation pair was added with vigorous shaking of the test tube for at least 5 minute. Before the addition of sodium bicarbonate the BCN powder of 20 mg was added. Finally, the gas generating agent was added with shaking to ensure the homogeneous distribution of CO2 bubbles. 13 used as cross linker, Tween 20 was used as foam stabilizing agent. Ammonium persulfate (APS)/Sodium metabisulfite pair was used as polymerization initiator pair. Crospovidone was used as a composite agent. Sodium bicarbonate was used as gas generating or foaming agent. 13 The synthesized SPHC can be removed from the test tube by adding 2 mL of absolute ethanol and drowned carefully using suitable forceps. The formed BCN SPHC was1 dried in 1oven at 160°C for 48 hours, later can be used and evaluated for further evaluation tests. 14 Characterization and Evaluation of SPHC Formulations Determination of Equilibrium Swelling Ratio The completely dried SPHC was weighed and then placed more than the swelling medium of 0. N HCl solution at room temperature. The weight is measured at different time intervals until reaching a state where no change in weight can be obtained. 15 The equilibrium swelling ratio can be calculated by using the following equation: Gas blowing technique was used in this study as a method for preparation of BCN as SPHC. The monomers used in this study are acrylic acid (AA), acryl amide (AM) and poly vinyl alcohol (PVA). N, N ` - methylene Bisacryl amide (MBA) was Qs is the equilibrium swelling ratio Ws is the weight of swelled SPHC Here, Wd is the weight of dried SPHC Table 1: Formulas of SPHC of BCN prepared by gas blowing technique Determination of Equilibrium Swelling Time Swelling time is a very important criterion of the SPHC. It can be determined by placing the SPHC in the swelling media of 0.1 N HCL solution then the time for complete swelling (or constant weight) can be measured and recorded. 16 Measurement of Density Solvent displacement method was employed for density determination of SPHC. The dried piece of SPHC was weighed and its weight was recorded then, this piece was immersed in a predetermined volume of n-hexane as a hydrophobic solvent in a graduated cylinder. The difference between the initial and the final volume of the solvent was considered as the volume of the SPHC, and the density can be calculated from the following equation. 17 Here, VSPHC is the volume of SPHC WSPHC is the weight of dried SPHC Measurement of Porosity Solvent replacement method is used to determine the porosity of SPHC. The dried SPHC was immersed in absolute ethanol overnight and it absorbed ethanol and swelled. After the full blotting of ethanol on the surface, the porosity is calculated from the following equation. 17 Here, P is the density of absolute ethanol, V is the volume of SPHC M2 and M are the masses of SPHC after and before the immersion in absolute ethanol respectively. Determination of the Mechanical Strength Mechanical strength of the SPHC was determined by applying weight on the swelled SPHC by using TA-XT2i texture analyzer (Stable Micro Systems, Haslemere, UK). The weight in gram (gm) needed for the fracturing of the SPHC was recorded as the mechanical strength. 18 Determination of Drug Content Five units of dried SPHC was placed in a mortar and powdered. An amount of drug equivalent to 20 mg was extracted with 100 mL of 0.1N HCl and placed in sonicator for 15 minutes. Then the solution was filtered and diluted properly with 0.1N HC1 solution then the BCN content was measured using UV-visible spectrophotometer at the λmax of the drug. 19 In-vitro Drug Release Dissolution apparatus (USP type Π) was used to study the release of BCN drug in this study. The paddle was stirred at a rate of 100 RPM in a 900 mL of the dissolution medium of 0.1N HCl at 37 ± 0.5°C. A sample of 5 mL was withdrawn at specific time intervals from 0.5 to 12 hours, then after each withdrawing process, a fresh amount of 5 mL of the medium solution was substituted. At the λmax of the drug, the absorbance of each sample was measured by using UV-visible spectrophotometer. Drug concentration and the percent of drug release were obtained and calculated by using the standard calibration curve. 20 Fourier Transform Infrared (FTIR) Analysis The compatibility of the BCN with the polymers was investigated using the FT-IR spectra of BCN, polymers used, physical mixture and the selected SPHC formula. The powdered sample (2–3 mg) was combined with potassium bromide (KBr) at a 1:5 ratio, and the KBr disc was created by compressing the powder at 5 tons of pressure for 5 minutes in a hydraulic press. Using an FT-IR spectrometer, the scanning range is 4000–400 cm -1 . 21 Scanning Electron Microscopy (SEM) Hummer sputter coater was used to observe the morphology of the selected dried SPHC formula and to assure the porous structure generated during the formulation process of the SPHC. A QUANTA 450 scanning electron microscope was used to plate samples on the home stage and take images using a digital capture card and digital scan generator. 22 RESULTS AND DISCUSSION Effect of Cross Linker Concentration To investigate the effect of MBA concentration as a cross linker on the properties of the SPHC formulas F1-F6 were prepared and then evaluated. The results are listed in the Table 2 as shown below. As shown in Table 2, when the concentration of the cross linker increased, the density of the SPHC was increased because of the network space will be diminished, also the porosity will be decreased due to stronger bonds formed between the two monomers and the cross linker, and this will reduce the sizes of interconnecting pores. 23 Table 2: Ef ect of MBA as (cross linker) concentration The swelling ratio of formulas F1-F4 will increase as the cross linker's concentration increased because MBA is a hydrophilic monomer. While in formula F5-F6 there is no significant effect of increased concentration of the cross linker on the swelling ratio, this belongs to at concentrations of MBA of 2.5% and below, MBA considered as hydrophilic monomer as itself. For this reason, the swelling ratio will increase because the hydrogel will absorb more water. However, at concentrations of more than 2.5%, there is a slight decrease in swelling ratio due to the density increase of the crosslinking in the hydrogel, and it will lead to lower the average molecular weight between the crossed links. It will decrease the free volume accessible for the penetration of the water molecules, for these reasons, the concentration of 2.5% of MBA will be chosen for further study. 18 The mechanical strength for formulas F1-F4 was increased significantly as the concentration of the cross linker was increased because the high amount of cross linker will maintain the pores integrity and the interconnected channels in the SPHC, i.e., at high density of cross linking, the networks of the polymers become more rigid, so, the two polymer chains will be attached more strongly to each other. 18 The swelling time will be decreased significantly for formulas F1-F4 as the concentration of MBA was increased, this is because the total swelling time of the dried SPHC will be determined by a capillary action more than by the thickness of the cell walls and the spokes because of the spokes and the cell walls have a very short swelling time. At higher concentrations of MBA >2.5%, there is no significant effect on the mechanical strength as shown in formulas F5-F6 because the hydrogel chains become too inflexible that the mechanical strength becomes independent on the amount of cross linker MBA used. Figures 1 and 2 shows the effect of cross linker concentration on the swelling ratio, and mechanical strength of SPHC, respectively: Drug content within acceptable limits because of the compatibility of the BCN with the used polymers. Effect of Polyvinyl Alcohol (PVA) Concentration Poly vinyl alcohol is considered as a second option monomer that can be used instead of acrylic acid in the formulation of the SPHC and also can be considered and used as a composite agent. 24 The results in Table 3 show a significant increase in the density and mechanical strength because there is an increase in the fibers of cellulosic nature in the polymer structure. Porosity and swelling ratio are decreased significantly due to increase in the viscosity of the solution during the gelation process. 25 To investigate the effect of PVA amount as a monomer on the properties of the SPHC, formulas F7-F11 were prepares and tested and the results will be shown in the Table 3 as follow: The drug content was in an acceptable limit because there is no drug loss within and after the formulation process and there is a drug-polymer compatibility. Figures 3 and 4 below will show the effect of PVA concentration on the swelling ratio, and mechanical strength of the SPHC, respectively: Effect of the Amount of Foam Stabilizing Agent (Tween 20) Tween 20 was used in this study as a foam stabilizing agent to stabilize the foaming process and control the number of gas bubbles generated. As the gas bubbles are controlled and preserved, and uniformly distributed, the internal structure of the SPHC will become less random and enhanced because the uniform distribution of the intercellular capillary channel network, which is necessary for fast and good swelling and this will lead to an increased mechanical strength by increasing the viscosity of the monomers that were used during the formulation process with improving the swelling properties. 25 The results in Table 4 shows the decrease in porosity and increase in density that leading to the increase in the mechanical strength and a decrease in the swelling ratio significantly and this results is compatible with the facts mentioned in the previous page. It will be enhanced because of the uniform distribution of the gas bubbles that is lead to uniform intercellular capillary network with fast swelling (lower swelling time) with lower swelling ratio. 25 Depending on above-mentioned facts, formulas F4, F12, F13, F14 and F15 were prepared to contain Tween 20 in an amount of (200, 225, 250, 275 and 300 mg), respectively and the results are shown in Table 4. f Figure 3: Effect of PVA concentration on the swelling ratio of the SPHC Figure 4: Effect of PVA concentration on the mechanical strength of the SPHC f Table 4: Ef ect of Tween 20 amount on SPHC properties Drug contents for all formulas (F4, F12, F13, F14, F15) were in the acceptable limits indicating no drug lose within and after the formulation process of the SPHC, indicating the compatibility of BCN with the polymers and the materials used in this study. In-vitro Drug Release Figure 5 will show the release profile of the formulas (F7-F11) and the effect of the concentration of PVA as a second monomer on it. The reason for that was there is a relatively high mechanical strength with a decrease in the porosity and swelling capacity of the SPHC as the amount of the PVA was increased because PVA was produce a high viscous solution and it can act as a composite agent causing an increase in the crosslinking between the monomers themselves leading to enhancing of the dispersion force over the osmotic force that cause a delay in the The results in the Figure 3 and 4 shows that the release profile of the formulas (F7–F11) was extended for 12 hours for all formulas indicating a slow and sustained rate of release of the BCN drug from SPHC. penetration of the swelling media (osmotic force) and hence an increasing in the time period requiring for the complete of the release of the BCN drug from the SPHC. 24,25 Fourier Transform Infrared (FTIR) Study Bruker optics (Germany) FTIR Spectroscope was used for the analysis of BCN SPHC. The FTIR was considered an Figure 7: FT-IR spectra for physical mixture of BCN, PVA and CRP in a ratio of 1:1.5:2.5 important procedure to identify compounds and determine the compatibility of BCN with the polymers used in the formulation process of the SPHC. Figures 6 and 7 will show the FT-IR spectra of pure BCN and physical mixture of BCN with polymers in a ratio of 1:1.5:2.5, respectively. The results indicate no chemical incompatibility between BCN and the polymers as the peaks of the BCN appear in the spectra of the physical mixture. Scanning Electron Microscopy (SEM) Quanta 450 FEI (Netherlands) Scanning electron microscope was used to study the outer and inner morphology of BCN SPHC. The study of the scanning electron microscopy of the selected formula (F11) at different magnification powers can be shown in Figure 8. CONCLUSION It can be concluded that super porous hydrogel composite can be used to sustain the release of baclofen in the stomach and upper part of the small intestine. Also, SPHC can delay the gastric residence time of the drug in the region of its narrow window of absorption. The increase of the amount of cross linker and PVA can increase the mechanical strength and density with a decrease in the swelling ratio of the SPHC. As the concentration of gas-generating agents increases, the swelling ratio will increase with the decreasing mechanical strength and density. There is a compatibility between the drug and the excipients used, as is clear in the FT-IR examination. REFERENCES 1. Ibrahim M, Naguib YW, Sarhan HA, Abdelkader H. Gastroretentive oral drug delivery systems: a promising approach for narrow absorption window drugs. j. adv. biomedical pharm. 2019 Jul 1;2(3):98-110. 3. Lopes CM, Bettencourt C, Rossi A, Buttini F, Barata P. Overview on gastroretentive drug delivery systems for improving drug bioavailability. Int. J. Pharm. 2016 Aug 20;510(1):144-158. 2. Nautyal U, Gupta D. Oral Sustained Release Tablets: An Overview With A Special Emphasis On Matrix Tablet. Int. J. Biol. Sci 2020 Mar 30;3(1):6-13. 4. Porwal A, Dwivedi H, Pathak K. Decades of research in drug targeting using gastroretentive drug delivery systems for antihypertensive therapy. Braz. J. Pharm. Sci. 2017 Oct 26;53. 6. Ahmed AB, Nath LK. Design and development of controlled release floating matrix tablet of Nicorandil using hydrophilic cellulose and pH-independent acrylic polymer: in-vitro and in-vivo evaluations. Expert Opin Drug Deliv. 2016 Mar 3; 13(3):315-324. 5. Sharma D, Sharma A. Gastroretentive drug delivery system-a mini review. Asian Pac. J. Health Sci. 2014;1(2):80-89. 7. Badoni A, Ojha A, Gnanarajan G, Kothiyal P. Review on gastro retentive drug delivery system. J. Pharm. Innov. 2012 Oct 1;1(8, Part A):32. 8. 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An ler' s Calendar The opening day of trout season is in the spring and is one of the most anticipated days of the year for anglers. The opening day for bass is during the summer, and the opening day for Walleyes, Saugers and saugeyes is between the trout and bass opening days. Fall provides the opportunity for anglers to try Lake Erie steelhead fishing. Fall is also a great time to fish for crappies and other species of panfish. Some anglers look forward to winter fishing. There are fishing opportunities in all four seasons. The four seasons of the year are a result of the Earth's position to the sun. While the calendar shows four seasons, the angler's calendar has much more. Often, anglers talk about the season as the time when a particular fish can be kept or harvested. The Pennsylvania Fish & Boat Commission (PFBC) establishes and regulates these fishing seasons. This issue is about the angler's calendar and includes information on seasons and regulations. V OCABULARY (Watch for the first time these words appear!) * Closed Season - period of time when fish may not be in possession and must be released unharmed * Minimum Size - specified length of fish required in order to possess and harvest * Creel Limit - the number of fish that an angler may keep in one day during the open season * Extended Season - sections of approved water with a longer fishing period * Harvest - to possess or keep fish, the opposite of catch and release * Inland Waters - bodies of water that are not connected directly to the ocean PFBC website: www.f shandboat.com · Juvenile - young fish that have not yet matured into adults i * Open Season - period of time when fish may be in possession and harvested * Population - all fish of a certain species within a water * Regional Opening Day - only waters listed in the Regional Opening Day of Trout Season Program * Regulation - fishing rule passed by the Commission * Rulemaking - the process to create a regulation Pennsylvania Angler & Boater • January/February 2015 • Spawning - reproduction of mature fish Why Do We Have Fishing Regulations? Pennsylvania law states that people age 16 and over must have a current fishing license to fish (unless otherwise exempted). In addition to this law and other laws related to fishing, PFBC establishes fishing regulations. These are the basic rules that you must follow when you fish. Some of these regulations specify what, when and the size of the fish you may keep or harvest. Seasons identify when you may harvest fish are called seasons. Some fish species may always be no-harvest; they have no open season. Other species have an open season, and that is when you may keep them to eat. The time when you cannot keep these species is called the closed season. Species caught during their closed season must be released immediately unharmed. In some cases, closed seasons are in place to protect fish populations. Often the closed season is during the spawning period. Regulations that Minimum Creel Limits Minimum sizes are often in place to protect juvenile fish. Minimum sizes are set to allow fish to grow and become reproducing adults. Nearly all gamefish have a minimum size regulation. Fish such as bass, Walleyes, Northern Pike and Muskellunge take longer to become adults. The minimum size for these species is based on the length of a 3- or 4-year old fish. Other species, including Bluegills, Yellow Perch and crappies spawn at a younger age and in large numbers. These fish don't have a minimum size on most waters. Daily creel limits are established to keep people from harvesting too many fish. Limits help to ensure that there are enough fish to catch in the future. Harvesting too many fish can greatly reduce the population of that species. Fish like Muskellunge have lower creel limits, because they grow slowly and have few offspring. Panfish have higher creel limits, because there are more of them, and they grow fast. 46 Pennsylvania Angler & Boater•January/February 2015 PFBC Facebook: PaFishandBoat www.fishandboat.com The Off-Season Professional sports take time off during the year, and this is called the off-season. Some anglers take time off too, especially during the winter months. Some anglers brave the cold and enjoy catching fish through the ice or fishing their favorite river or stream. Others use this time to make repairs, tie flies, build rods, visit sports shows or catch-up on their fishingrelated reading. Special Regulations No Open Season Threatened or endangered species have no open season. The same is true of species that the Commission and others are working to restore, such as American Shad in the Susquehanna River. There is no open season on Smallmouth Bass and Largemouth Bass on some sections of the Juniata and Susquehanna rivers. These regulations are in place to protect the remaining population. PFBC website: www.fishandboat.com The Commission often sets special regulations to enhance fishing opportunities or create a unique experience. Some special regulations are set to provide anglers the opportunity to catch trophy or larger fish. That species has a larger minimum size and a smaller creel limit on those waters. There are also waters where anglers can only use certain types of fishing gear. In these areas, anglers are only permitted to fly fish or use artificial lures. For current regulations and information, see the Pennsylvania Fishing Summary. You can view an online version at www.fishinpa.com/ or on the Commission's website at www.fishandboat.com. Pennsylvania Angler & Boater •January/February 2015 'Tis the Season – All Year Long Here is a look at what fish are "in-season" in Pennsylvania. This means you are allowed to harvest the fish. All Species of Trout and Salmon Regulations stated below are based on regulations for Inland Waters.* For each of these species, special of Trout Season includes only Regional Opening Day crossing from those counties listed in the those waters in 18 southeastern counties and two waters Regional Opening Day of Trout Season Program. Rainbow Trout Regular Season is 8 a.m. on the first Saturday after April 11 to midnight Labor Day; minimum size is 7 inches; daily limit is 5 (combined species) except areas with special regulations. Extended Season is approved trout waters and all waters downstream of approved trout waters 12:01 a.m. the day after Labor Day to midnight the last day of February of the following year; minimum size is 7 inches; daily limit is 3 (combined species), except areas with special regulations. Extended Season: Class A wild trout stream sections are no harvest - catch and release only. Streams are listed at www.fishandboat.com/classa.pdf. Bass – Largemouth, Smallmouth and Spotted (Lakes) 15 inches; daily limit is 4 (combined species from all habitats). January 1 to midnight the day before the first Saturday after April 11 and November 1 to midnight December 31; minimum size is 12:01 a.m. the first Saturday after April 11 to 12:01 a.m. the first Saturday after June 11; no harvest – catch and immediate release only (no tournaments permitted). 12:01 a.m. the first Saturday after June 11 to midnight October 31; minimum size is 12 inches; daily limit is 6 (combined species). Bass – Largemouth, Smallmouth and Spotted (Rivers and Streams) January 1 to midnight the day before the first Saturday after April 11 and October 1 to midnight December 31; minimum size is 15 inches; daily limit is 4 (combined species). Spotted Bass 12:01 a.m. the first Saturday after April 11 to 12:01 a.m. the first Saturday after June 11; no harvest – catch and immediate release only (no tournaments permitted). 12:01 a.m. the first Saturday after June 11 to midnight September 30; minimum size is 12 inches; daily limit is 6 (combined species). Muskellunge and Muskellunge Hybrids Open year-round; minimum size is 40 inches; daily limit is 1. Muskellunge Pennsylvania Angler & Boater•January/February 2015 PFBC Facebook: PaFishandBoat www.fishandboat.com regulations may also apply. The regulations on these waters will be different. Special regulations are set for different seasons, sizes, creel limits or the type of equipment permitted. Pickerel Chain Pickerel Open year-round; minimum size is 18 inches; daily limit is 4. Northern Pike Northern Pike Open year-round; minimum size is 24 inches; daily limit is 2. Walleyes and Hybrids (Saugeye) January 1 through March 14; and 12:01 a.m. the first Saturday in May to midnight, December 31; minimum size is 15 inches; daily limit is 6. Sauger January 1 through March 14; and 12:01 a.m. the first Saturday in May to midnight, December 31; minimum size is 12 inches; daily limit is 6. American Shad Striped Bass and Striped Bass/White Bass Hybrids Open year round; no minimum size; daily limit is 3. Unlawful to take, catch or kill American Shad, in the Susquehanna River and all its tributaries. River Herring (Alewife and Blueback Herring) has a closed year-round season with zero daily limit applied to Susquehanna River and tributaries, Lehigh River and tributaries, Schuylkill River and tributaries, West Branch Delaware River, Delaware River, Delaware estuary, Delaware River tributaries upstream to the limit of the tidal influence and Conowingo Reservoir. American Shad Open year round; minimum size is 20 inches; daily limit is 2 (combined species). Sunfish, Yellow Perch, Crappies, Catfish, Rock Bass, Suckers, Carp and White Bass Black Crappie Open year-round; no minimum size; daily limit is 50 (combined species). Bluegill Yellow Perch NOTE: For Bass regulations, power dam pools and recreational dam pools on the Susquehanna River and navigational dam pools in the Ohio drainage are "rivers." It is unlawful to conduct a fishing tournament on the North Branch, West Branch or main stem of the Susquehanna River that allows a tournament angler to kill black bass. NOTE: Approved trout waters are closed to all fishing from March 1 to the opening day of the regular trout season in April, unless included in the Regional Opening Day of Trout Season Program or Approved Trout Waters open to Year-Round Fishing Program. *Regulations summarized here are current for the 2015 year but are subject to change. Laws and Regulations The Pennsylvania Fishing Summary provides a summary of laws and regulations for PFBC authority to make fishing and boating regulations. This process is called rulemaking. fishing and boating. These laws and regulations are in place to protect the resource, to provide special fishing and boating opportunities and to help ensure the safety of anglers and boaters. Laws are the result of the Governor signing a bill passed by the General Assembly. There are fishing laws that set requirements for a license and set its price. There is a Commonwealth law giving The PFBC Board of Commissioners makes official Commission rulemaking. During their quarterly meetings, commissioners hear recommendations from PFBC staff and take action on proposed rules and final adoption of rules already proposed. The Commission's website, www.fishandboat.com, shows a calendar of upcoming meetings. The public is welcome to attend Commission meetings. The website also includes the records from previous meetings. Steps in Rulemaking 1. Commissioners vote on an idea to propose it as rulemaking. The proposal may change an existing regulation or establish a new regulation. This vote occurs at a public Commission meeting. 1 2. Notice of proposed rulemaking is published in the Pennsylvania Bulletin. The Pennsylvania Bulletin is a weekly publication showing rules and regulations being considered by Pennsylvania state agencies. 2 3. Comments from the public are accepted by PFBC for at least 30 days. 3 4. After the public comment period, the Commission considers adopting the proposed change and takes a vote on final rulemaking. This vote occurs at a public Commission meeting. 4 5. If adopted on final rulemaking, the new or changed regulation becomes effective on the date of publication in the Pennsylvania Bulletin or on another date specified by the Commission. 5 Written by: Kristi Niekamp, Environmental Interpretive Technician, and Miranda Smith, Southwest Regional Education Specialist Editor: Spring Gearhart Design and Illustrations: Jeff Decker Photos: Jeff Decker, Spring Gearhart, James Gilson and PFBC archives © Pennsylvania Fish & Boat Commission 50 Pennsylvania Angler & Boater•January/February 2015 PFBC Facebook: PaFishandBoat www.fishandboat.com Your Fishing Calendar If you're involved in after-school activities, your calendar at home is marked with important dates. Families use calendars to plan activities. Since fishing is an important and fun activity, include opening days and other important fishing dates on your calendar. Mark Your Calendar for these Dates To fill in the blanks with dates for the current year, refer to the 'Tis the Season—All Year Long pages of this newsletter and these websites: www.fishinpa.com, www.fishandboat.com, www.safeboatingcampaign.com and www.takemefishing.org/nfbw. Regional Mentored Youth Fishing Day State-Fish Art Contest Deadline Regional Opening Day of Trout Season Statewide Mentored Youth Fishing Day Regular Opening Day for Trout Statewide Opening Day for Walleye National Safe Boating Week Fish-for-Free Days National Fishing and Boating Week Opening Day for Bass Mandatory Cold Weather Life Jacket Wear Boaters are required by law to wear a life jacket on boats less than 16 feet in length or any canoe or kayak during the cold weather months. Fishing Licenses on Sale Date: Time: Location: Types of fish: Equipment needed: PLEASE TAKE ME FISHING! Cut this form out or copy it. Then, use it to invite your family to take you fishing on the dates listed above. PFBC website: www.fishandboat.com Pennsylvania Angler & Boater •January/February 2015
SANTA ROSA COUNTY SCHOOL BOARD Dr. Karen Barber, Superintendent of Schools Purchasing Department 6544 Firehouse Road Milton, FL 32570-3411 Phone (850) 983-5130 Website: http://sites.santarosa.k12.fl.us/purchasing/ The Santa Rosa County School Board solicits a submission as listed in this request for proposal. All terms and conditions below are a part of this proposal request, and no proposals will be accepted unless all these terms and conditions have been met, unless superseded by the proposal specification. Rights are reserved to reject any and all proposals and to waive technicalities. Proposals not submitted in accordance with this proposal request will be rejected. GENERAL TERMS AND CONDITIONS 1. The purchasing department will be the point of contact for this proposal, unless otherwise noted in the proposal specifications. The Purchasing Agent regarding this proposal is Wes Pavlicek and can be reached at: (850) 983-5130 or firstname.lastname@example.org. Under no circumstances are the superintendent of schools, board members, school administrators or any other school board employee to be contacted concerning this proposal until after award. Any such contact may result in proposal disqualification. 3. Proposal price shall be the delivered and unloaded price to the designated point according to the purchase order. * Collect shipments will be refused * No deposits or requests for pre-payment will be allowed. 2. Price, quality, specifications, payment discounts, warranty, travel time for warranty service, ability to provide service and time of guaranteed delivery will be the determining factors in the awarding of this proposal. 4. Proposals may be awarded or rejected in whole or item by item, with rights being maintained to make joint awards if in the best interest of the district. The Santa Rosa County School Board will retain all copyright and patent rights that may be created by the contract resulting from this proposal. These rights are to include, but are not to be limited to written works, computer software and mechanical devices that are created as a requirement of this proposal. 6. Any manufacturer's name, trade name, brand name, information and/or catalog numbers listed in a specification are for information only to describe and establish general quality levels, not to limit competition. Such references are not intended to be restrictive. The bidder may offer any brand for which authorized to represent, which meets or exceeds the specifications for any and all items. If proposals are based on equivalent products, indicate on the proposal form the manufacturer's name and number and indicate any deviations from the specifications. IMPORTANT NOTE: If offering an alternate, complete manufacturer's literature, giving full description of the alternate being offered, must be submitted. Failure to submit manufacturer's descriptive literature when offering an alternate can result in proposal rejection for failing to comply with proposal instructions. Any proposal lacking written indication of intent to quote an alternate brand will be considered and received as a proposal in complete compliance with the specifications as listed in the proposal. If upon receipt it is found not to meet specifications, payment will not be made and the item will be returned at the contractor's expense. 5. Enough detail is given in the proposal to describe the item being requested, although not written, full manufacturer's specifications are implied. Manufacturer's specifications take precedent over information within this proposal if any discrepancy exists. 7. For Service and Term contracts, the board reserves the right to provide all services internally, and similar goods and services may be procured through a general contractor or other existing contract. The board also reserves the right to separately bid out large purchases of similar goods and services. 9. To be considered all proposals must be submitted on the enclosed proposal form, properly signed by an authorized representative on the company placing the proposal, and delivery date stated. 8. In the event more than one proposal is submitted for a line item, please indicate the alternate item by inserting "ALT" after the unit price. 10. In the event of an error in extending the total cost of an item, the total price submitted will prevail. 12. The proposal opening shall be done publicly and at the time noted in the proposal specifications. 11. Proposals must be submitted electronically through BidNet Direct, located at https://www.floridabidsystem.com unless otherwise stated in RFP 22-07-WP Building Automation Systems specifications. Proposals by telephone or fax will not be accepted. 13. Tie proposals will be awarded to the bidder with the earliest postmark or if hand delivered, the earliest actual time noted or stamped on the envelope. It is the bidder's responsibility to insure the actual date and time are noted on the envelope. 15. Rights are reserved to purchase additional quantities at proposal price. 14. A notice of intended decision will be posted in the office of the Purchasing Director one week prior to award. A notice of intended decision will be furnished only to bidders who supply a self-addressed, stamped envelope with their proposal or by downloading from the purchasing department internet web site at http://sites.santarosa.k12.fl.us/purchasing. Bidders and interested parties may examine the proposal tabulations and files during normal business hours (public record) after proposals have been awarded. 16. Based on School Board Policy 7.70 X, Direct Purchasing, the School District may elect to purchase materials and equipment included in a contractor's proposal directly from the supplier. 18. The successful bidder will allow duly authorized representatives of the board, the Auditor General of the State of Florida, the Comptroller General of the United States, or other authorized representatives access to any books, documents, papers, and records of the bidder which are directly pertinent to this contract for the purpose of making audits, examinations, excerpts, and transcriptions. 17. Payment will not be made until an order is completed in full. 19. When contract is federally funded, retention of all required records is to be for three years after grantees or sub grantees make final payments and all other pending matters are closed in accordance with 2 CFR 200.333. 21. Conflicts of interest as per F.S. 287.057(17): 20. Failure to file a protest within the time prescribed in Section 120.57(3), Florida Statutes, or failure to post the bond or other security required by law within the time allowed for filing a bond shall constitute a waiver of proceedings under Chapter 120, Florida Statutes. All contact in this regard to be made exclusively with the Purchasing Department. In the event of litigation involving this contract, the venue shall be Santa Rosa County Florida. Arbitration will not be an acceptable means to resolve disputes. a. The contractor must provide in writing any potential conflict of interest, real or apparent, to the School District. This could include, but is not limited to any School Board Member or employee holding an office in the contract company. c. Failure to disclose any potential conflict of interest could result in disqualification of the vendors proposal as a nonresponsive bid or termination of the contract for cause if the contract has already been awarded. b. Any employee of the contractor that may have a conflict of interest in the proposal, real or apparent, must recuse themselves from the submission process. 22. Notice of noncompliance per 2 CFR Appendix II to Part 200(A) and Florida Statute 287.058: should a contractor fail to fulfill obligations in part or whole of the contract award, the School Board will issue a Notice of Noncompliance to the contractor. The Notice of Noncompliance will detail the infraction(s), remedy(ies) and the date in which compliance must be met. Failure to correct the deficiencies after the issuance of the notice, the School Board will move to terminate the contract as outlined in paragraph 23 below. a. The School Board may terminate an agreement, in part or in whole, for its convenience or the failure of the bidder to fulfill contractual obligations. The School Board shall terminate by delivering to the bidder a written Notice of Termination specifying the nature, extent and effective date of the termination. Upon receipt of the notice, the bidder shall: 23. Termination per 2 CFR Appendix II to Part 200(B) and Florida Statute 287.058: i. Immediately discontinue all services affected (unless the notice directs otherwise). b. If the termination is for the convenience of the School Board, the School Board shall only be liable for payment for services rendered before the effective date of the termination. ii. Deliver to the School Board all information, papers, reports and other materials accumulated or generated in performing the contract, whether completed or in progress. c. If the termination is due to the failure of the bidder to fulfill its obligations under the contract, The School Board may: ii. Take over and prosecute the same to completion by contract of otherwise and the bidder shall be liable for any additional cost incurred by the School Board. i. Require the bidder to deliver any work described in the Notice of Termination. iii. Withhold any payments to the bidder for purpose of set-off or partial payment, as the case may be, of amounts owed by the School Board to the bidder. 24. (Service proposals only) Insurance required to be carried shall include: d. In the event of termination for cause, the School Board shall be liable to the bidder for reasonable costs incurred by the bidder before the effective date of the termination. Any dispute shall be decided by the School Board's Director of Purchasing and Contract Administration. a. Insurance ii. The Certificate of Insurance shall state that the School Board, including its agents and employees, are additional insureds under the policy or policies. i. The Company shall furnish proof of the following insurance to the Board by Certificate of insurance. iii. The Company shall provide Certificates of Insurance to the District's Risk Manager at 6032 Hwy 90, Milton, FL, 32570 prior to the start of any work under this contract. Santa Rosa County School Board iv. The Companies insurers shall provide thirty (30) days advance written notice via certified mail in the event of cancellation of any insurance program required by this contract. RFP 22-07-WP Building Automation Systems v. All insurance policies shall be issued by companies either of the following qualifications: vii. With respect only to Workers' Compensation insurance, the company must be (1) authorized as a group self-insurer pursuant to Florida Statutes or (2) authorized as a commercial self-insurer fund pursuant to Florida Statutes. vi. The company must be (1) authorized by subsisting certificates of authority by the Department of Insurance of the State of Florida or (2) an eligible surplus lines insurer under Florida Statutes. In addition, the insurer must have a Best's Rating of "A-" or better and a Financial Size Category of "VI" or better according to the latest edition of Best's Key Rating Guide, Published by A.M. Best company. viii. Workers' Compensation Insurance. The Company shall maintain Workers' Compensation coverage as required by Florida Statute 440, covering all Company employees employed in connection with this contract and Employers Liability Insurance with minimum limits of $1,000,000 per occurrence. x. Business Automobile Liability. The Company shall procure and maintain, for the life of the contract/agreement Business Automobile Liability Insurance with minimum limits of $1,000,000 per claim, $1,000.000 per occurrence, combined single limit for bodily injury liability and property damage liability. This coverage shall be on an "Any Auto" or "Comprehensive Form" policy. The coverage shall be on an occurrence form policy. In the event the Company does not own any vehicles, hired and non-owned coverage shall be provided in the amounts listed above. ix. Comprehensive General Liability Insurance. The Company shall procure and maintain for the life of the contract/agreement, Comprehensive Liability Insurance, Broad Form, including Products and Completed Operations Liability. This policy shall provide coverage for death, bodily injury, personal injury, or property damage that could arise directly or indirectly form performance of the contract. The coverage must be on an occurrence form basis with minimum limits of $1,000.000 per claim, $1,000,000 per occurrence, combined single limit for bodily injury and property damage liability b. Indemnification / Hold Harmless i. Contractor agrees to indemnify and hold harmless the School Board, its members, officers, employees and agents, harmless from any and all claims, actions, costs, expenses, damages, and liabilities, including reasonable attorney's fees, arising out of, connected with or resulting from: (a) the negligence, intentional wrongful act, misconduct or culpability of Contractor's members, officers, or employees or other agents in connection with and arising out of any services within the scope of this Agreement; (b) Contractor's material breach of this Agreement or law; or (c) any failure by Contractor to pay its suppliers or any subcontractors. In addition, Contractor shall indemnify, protect and hold the School Board harmless against all claims and actions brought against the School Board by reason of any actual or alleged infringement of patent or other proprietary rights in any material, process, machine or appliance used by Contractor, except when School Board, or required Contractor to use that material, process, machine, or appliance, and any claims or actions related to violation of any state or Federal statutes or regulations including those referenced in this Agreement. Contractor shall not indemnify the School Board for intentional or negligent conduct of the School Board or any other cause of action caused by or through the fault of the School Board. ii. The School Board agrees to indemnify and hold harmless Contractor, its members, officers, employees and agents, harmless from any and all claims, actions, costs, expenses, damages, and liabilities, including reasonable attorney's fees, arising out of, connected with or resulting from: (a) the negligence, intentional wrongful act, misconduct or culpability of the School Board's members, officers, employees or other agents in connection with and arising out of any services within the scope of this Agreement; or (b) the School Board's material breach of this Agreement or law. In addition, the School Board shall indemnify, protect and hold Contractor harmless against all claims and actions brought against the Contractor by reason of any actual or alleged infringement of patent or other proprietary rights in any material, process, machine or appliance used by the School Board or required by the School Board to be used by Contractor, and any claims or actions related to violation of any state or Federal statutes or regulations including those referenced in this Agreement. iii. Notwithstanding anything to the contrary contained herein, through such indemnification set forth in Sections i and ii above, the School Board and Contractor do not waive sovereign immunity to the extent sovereign immunity is available or beyond the limited waiver of sovereign immunity set forth in Section 768.28, Florida Statutes. In the event of any claims described in Sections i and ii above, the School Board and Contractor shall notify one another of any such claim promptly upon receipt of same. The School Board and Contractor shall each have the option to defend such claims with their own counsel at the expense of the other party. If the School Board or Contractor choose to not hire their own counsel to defend, the other party shall assume the defense of any such claim and have authority in the defense thereof. The parties' obligation to indemnify one another shall survive the termination of this Agreement. Direct all insurance inquiries to Risk Management (850) 983-5007. 25. Person or persons submitting a proposal who contends that all or part of the proposal, (record), is exempt from inspection and copying, shall state the basis of the exemption, (on the proposal document, in writing), that he or she contends is applicable to the record. This is to include the statutory citation to an exemption created or afforded by statute. 27. In accordance with Florida Statute 1011.14, funding is subject to availability of appropriated funds. 26. Other governmental agencies or governmental agencies which qualify under State Board of Education 6A-1.012 and Board of Governors regulation 18.001 may purchase from this bid if approved by the winning contractor. 28. The Jessica Lunsford Act: The Santa Rosa County School District reserves the right to refuse to accept services from any personnel deemed by the Santa Rosa County School District to be unqualified, disorderly, or otherwise unable to perform assigned work. This law, effective September 1, 2005, affects your business if you, your employees or your agents will have access to school grounds when students are present, have direct contact with students or have access to or control of school funds. A copy of House Bill 1877, which was approved by the Governor on May 2, 2005 (Chapter 2005-28, L.O.F., section 21) may be found by accessing the following link on the internet: http://laws.flrules.org/files/Ch_2005-028.pdf. The requirements of this new law must be met in order for the School Board to continue working with you. The implementation procedures for this new law, as well as the amendment of July 2007, are posted on our website, at: http://srcsdhumanresources.weebly.com/jessica-lunsford.html 30. (Service Contracts Only) Pursuant to Florida Statute 119, the contractor must follow all public records law. 29. As per Florida Statute 119.071 (Public Records) sealed proposals, proposals or replies received by an agency in response to a competitive solicitation shall be exempt from public inspection or copying until such time as the agency provides notice of an intended decision or until 30 days after opening the proposals, or final replies, whichever is earlier. 31. IF THE CONTRACTOR HAS QUESTIONS REGARDING THE APPLICATION OF CHAPTER 119, FLORIDA STATUES, TO THE CONTRACTOR'S DUTY TO PROVIDE PUBLIC RECORDS RELATING TO THIS CONTRACT, CONTACT THE CUSTODIAN OF PUBLIC RECORDS AT (850)983-5030, email@example.com, OR 6032 HWY 90, MILTON, FLORIDA 32570. 33. The School District has reviewed Florida State purchasing agreements and state term contracts. 32. A contractor who fails to provide the public records to the School Board within a reasonable time may also be subject to penalties under Florida Statute 119. 34. (Online Software Services Only) The District takes the confidentiality and security of our student information very seriously. The contractor must adhere to the following: a. Maintain confidentiality of all data. c. Take all steps reasonably necessary to protect confidential information and to prevent confidential information from falling in to the public domain or into the possession of unauthorized persons. b. Use provided data only for the specified purpose. d. Destroy or return all data to the District upon termination of the contract. f. Sign the District's Data Disbursement Confidentiality Disclosure Agreement, yearly, which can be reviewed at this link: https://www.santarosa.k12.fl.us/docsabc/ or sign the Student Privacy Pledge at https://studentprivacypledge.org/, in lieu of signing the confidentiality agreement, and remain a valid signatory. e. Encrypt the Data by SSL or other cryptographic method anytime it is transmitted electronically. g. Provide no-cost support for one of the following methods of federated Single Sign-On through our SSO platform ClassLink (classlink.com), excluding any Clever integration, if student or teacher login is required: b. OAuth 2.0 a. LTI 1.0 or higher c. SAML h. Use IMS Global OneRoster v1.1 REST API or accept OneRoster CSV files via SFTP using ClassLink Roster Server (https://www.classlink.com/rosterserver/), excluding any Clever handshakes, if student or teacher login is required and service requires rosters. OneRoster integration must use OneRoster enrollments data to create class structures and enroll students. d. ADFS i. Automatically provision (create) accounts on first launch for services that do not require roster data. 35. Contractors must comply with the Equal Employment Opportunity provisions of 41 CFR Part 60. Except as otherwise provided under 41 CFR Part 60, all contracts that meet the definition of "federally assisted construction contract" in 41 CFR Part 60-1.3 must include the equal opportunity clause provided under 41 CFR 60-1.4(b), in accordance with Executive Order 11246, "Equal Employment Opportunity" (30 FR 12319, 12935, 3 CFR Part, 1964-1965 Comp., p. 339), as amended by Executive Order 11375, "Amending Executive Order 11246 Relating to Equal Employment Opportunity," and implementing regulations at 41 CFR part 60, "Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor." 37. Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3708). Where applicable, all contracts awarded by the non-Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence. 36. Contractors must comply with the Copeland "Anti-Kickback" Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, "Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States"). The contractor is prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. All suspected or reported violations will be reported to the Federal awarding agency. 38. Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of "funding agreement" under 37 CFR §401.2 (a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that "funding agreement," the recipient or subrecipient must comply with the requirements of 37 CFR Part 401, "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements," and any implementing regulations issued by the awarding agency. 40. Contractors with awarded contracts in the amount in excess of $150,000 agree to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act as amended (33 U.S.C. 1251-1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA). 39. Contractors with awarded contracts in the amount in excess of $150,000 agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401-7671q). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA). 41. Debarment and Suspension (Executive Orders 12549 and 12689)—A contract award (see 2 CFR 180.220) will not be made to parties listed on the governmentwide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), "Debarment and Suspension." SAM Exclusions contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549. 42. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)—Contractors that apply or bid for an award exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the non-Federal award. * PROPOSAL SPECIFICATIONS * The Santa Rosa County School Board, Milton Florida, solicits your company to submit a proposal on RFP 22-07WP Building Automation Systems as listed in this proposal request. All terms and conditions below are a part of this proposal request. No proposals will be accepted unless these terms and conditions have been met. Rights are reserved to reject any and all proposals and to waive technicalities. Proposals which are not submitted in accordance with this proposal request will be rejected. Pre-proposal Conference: Detailed information will be discussed at a pre-proposal conference to be held March 24, 2022 at 9:00 am, at the Santa Rosa County School Board 6032 Hwy 90 Milton, FL, Room #704. The first five (5) minutes of the conference will be for distribution of documents and for contractors to sign in. The conference will be recorded, with the resulting recording becoming a part of the documentation for this solicitation. Copies of the recording will be made available to interested parties by notifying the Purchasing Department. https://teams.microsoft.com/l/meetupjoin/19%3ameeting_ZDU2YjZiYzUtNzBiOC00ZjAyLWEwNjUtNzUzMDQzNjM1Y2Yy%40thread.v2/0?co ntext=%7b%22Tid%22%3a%224451d2cd-d9cf-4901-bd908b5962cdaf7e%22%2c%22Oid%22%3a%22f63fe0c0-0db6-4d2d-9223-171e407686da%22%7d For those that are not able to join this virtual meeting you may call in with the following phone number: +1 850-400-4211 then enter the conference 296371616# when prompted. Term of Contract - The contract resulting from this proposal shall be for a five (5) year period, if funded, beginning on or about June 7, 2022 and ending June 6, 2027, and may be renewed for five (5) additional one (1) year periods. Either party may cancel the contract, without reason, with written notification. Cancellation must be in writing and received one-hundred and twenty days (120) days prior to June 6 of each contract year. Silence from both parties will be considered as acceptance for another contract year at the same terms and conditions. This condition is not to preclude providing the lowest possible price based on current economic conditions. If economic conditions warrant a change in the conditions or terms of the contract, either party may exercise the cancellation privilege on the next anniversary date without prejudice. The resulting contract from this proposal may be canceled by the Santa Rosa County School Board, at any time, for the contractor's failure to comply with proposal specifications. Funding for this proposal is subject to availability of appropriated funds. Invoices are to be broken down and detailed as per items listed on proposal form and will be audited for the length of this contract. Evaluation of Proposals - A committee will review and rank proposals based on various factors, including but not limited to company history, qualifications, location, performance references, responsiveness and price. Presentations may be requested of the top ranked contractors. If necessary, the committee will enter negotiations with the company that receives the number one ranking. Weighted Categories Submission of Proposals – All proposals must be submitted electronically through BidNet Direct, located at https://www.floridabidsystem.com prior to 3:00 PM CST, April 08, 2022. All documents requested shall be uploaded by the vendor to the BidNet Direct. Proposals submitted will be publicly reviewed in the Director of Purchasing and Contract Administrator's office at 3:15PM CST, April 08, 2022, to be acknowledged and referred to the Purchasing Manager for tabulation and to the Committee for evaluation. The notice of intended decision will be posted by 4:00PM CST, May 5, 2022. The contract award will be at the School Board meeting of May 12, 2022, or a later date if additional study is required. Those submitting proposals and interested parties are invited and encouraged to attend both the opening and award. Only the names of the companies submitting a proposal will be announced verbally at the RFP 22-07-WP Building Automation Systems opening per Florida Statute 119.071. Visit https://sites.santarosa.k12.fl.us/purchasing/registration/intro.htm to register with BidNet Direct in order to submit a bid for this solicitation. Questions and Answers – Questions are to be submitted electronically through BidNet Direct no later than March 30, 2022. Questions will be reviewed and those determined to be relevant to the RFP 22-07-WP Building Automation Systems will be answered and posted by March 31, 2022 to BidNet Direct. SCOPE OF SERVICES The Santa Rosa County School District is interested in providing new, state of the art Building Automation Systems (BAS) in each of the facilities located throughout the County. There are already existing systems located in some facilities that have been provided by different manufacturers under previous construction projects. The District desires to obtain the services of two (2) manufacturers under long term continuing contracts to consolidate the systems for current and future installations. The intent of the project is to design and install over a phased period of time a District-wide Automation System that will allow the District to control the HVAC systems at different facilities, monitor alarms and trend various conditions with the goal of increasing comfort to the occupants, while taking advantage of energy savings opportunities managed from a central location. The Automation System will communicate over the District's existing TCP/IP Ethernet network and must be able to operate over various routers. Router specific systems will not be acceptable. It is the responsibility of the BAS Contractor to verify compatibility with the District LAN/WAN. Except as otherwise noted, the control system shall consist of all Ethernet Network Controllers, Standalone Digital Control Units, workstations, software, sensors, transducers, relays, valves, dampers, damper operators, PE and EP switches, control panels and other accessory equipment, along with a complete system of electrical interlocking wiring to fill the intent of the specification and provide for a complete and operable system. Pneumatic and wireless controls will not be allowed in any new facility installation. All interlocking, wiring and installation of control devices associated with the equipment as listed below (including but not limited to) shall be provided under this Contract. When the BAS system is fully installed and operational, the BAS Contractor and representatives of the District will review and check out the system. At that time, the BAS Contractor shall demonstrate the operation of the system and prove that it complies with the intent of the drawings and specifications. EQUIPMENT TO BE CONTROLLED/MONITORED * Return air fans * Air handling units * Exhaust and supply fans * Boilers including hot water pumps * Chilled water system including pumps, chillers, and cooling towers * Split System DX units * Packaged Rooftop Hydronic units * Interlock to building fire alarm systems for required equipment shutdown * Packaged Rooftop DX units * Variable volume and constant volume box control * Power wiring to DDC devices, smoke control dampers and BAS panels * Utility metering It is the intent of the District to have all specifications for the Services and Project Materials for each project prepared under the terms of this proposal to comply with all applicable statutes, regulations, and ordinances. All work performed as outlined in this RFP will comply with all codes, laws, governing bodies as well as appropriate industry standards. If the drawings and/or specifications prepared for each project provided with controls under the terms of this proposal are in conflict with the governing codes, the Contractor shall submit a cost proposal with the appropriate modifications to the project controls scope of work in order to meet code restrictions. If the project-specific specification and associated drawings exceed governing code requirements, the specification will govern. The Contractor shall obtain and pay for all necessary construction permits and licenses required for each project provided with controls under the terms of this proposal. Services for each project provided with controls under the terms of this proposal will be requested through the issuance of a valid Purchase Order or, in the event of an emergency repair requirement, through a verbal request for Services, by the Assistant Superintendent for Administrative Services, the Supervisor of Building Maintenance or their designee. Each Order shall reference the individual project number and shall include the following minimum information: B) A description of the project, specifications and the Services involved; A) The Order number and the date of the Order; C) Compensation; D) Any special terms and conditions agreed upon by the parties with respect to the Order. Within five (5) business days after receipt of an Order, the selected contractor shall accept the Order in writing and return a legible copy of the accepted Order to the District. The Order may be rejected by promptly submitting written notice of rejection stating in detail the reasons for rejection and the modifications necessary. The successful contractor shall make no changes, amendments, modifications, additions or deletions to an Order without the prior written consent of the District. Acceptance of an Order shall bind the successful contractor to honor dates, amounts and other ordering information shown on the Order, including supplemental provisions contained therein. The effective date of an Order shall be the date on which the District receives an accepted copy of the Order without modification or amendment. Each Order issued under the terms of this proposal shall be deemed to be a separate and independent agreement between the successful contractor and the District which incorporates by reference all of the terms and conditions of this Agreement. Santa Rosa County School District desires the most thoroughly developed and acceptable services available. The following requirements outline the minimum requirements for the proposed service. They are provided to assist participants in understanding the objectives of the District for submission of a thorough response. Proposals received must reflect in detail their inclusion and the degree provided. The Contractor will be expected to have the experience to perform the scope of work and operate common equipment that may be used in jobs covered by this bid inclusive of consulting and cost estimating. The Contractor must provide all labor, supervision, tools, and equipment to complete specified work. Minimum Qualifications * Must be a Building Automation Contractor in the business of installing Direct Digital Control Building Automation Systems for a minimum of five (5) years in the commercial building arena with multiple projects and/or contracts of comparable size and scope. * Must be authorized distributors or branch offices of the equipment manufacturers specified. * Must have an office in the Northwest Florida area and provide responses to requests for modifications and other controls related issues in a maximum of 4 hours' notice. * Must have a trained staff of application engineers, who have been certified by the manufacturer in the configuration, programming and service of the automation system. Santa Rosa County School Board * Must follow and obey all required local, state and federal laws. RFP 22-07-WP Building Automation Systems * Must be capable of accepting payments for services and equipment provided via credit card and other Owner Direct Purchase methods. System Description Describe how your system meets the following criteria: The BAS shall consist of PC-based workstations and microcomputer controllers of modular design providing distributed processing capability and allowing future expansion of both input/output points and processing/control functions, including installation on the District's dedicated virtual server. Code Compliance: Provide BAS components and ancillary equipment, which are UL listed and labeled. All equipment or piping used in conditioned air streams, spaces or return air plenums shall comply with NFPA 90A Flame/Smoke/Fuel contribution rating of 25/50/0 and all applicable building codes or requirements. All wiring shall conform to the National Electrical Code. All wiring shall be installed in metallic conduits per the NEC requirements for 120-volt circuits. All smoke dampers shall be rated in accordance with UL 555S. Comply with FCC rules, Part 15 regarding Class A radiation for computing devices and low power communication equipment operating in commercial environments. Comply with FCC, Part 68 rules for telephone modems and data sets. Technical Requirements System Architecture Describe how your system will perform the following: General The Building Automation System (BAS) shall consist of various levels. The exact breakdown of the levels may vary by manufacturer. Operator Workstations and/or File Servers as well as modification/installation of software and controls on the District virtual server to support system configurations where more than one operator workstation is required will be provided. The BAS shall provide control, alarm detection, scheduling, reporting and information management for each facility, and the entire Wide Area Network (WAN) if applicable, from a single ODBC-compliant database. Include how the BAS will communicates to other devices and systems that might be currently or in the future on the market BAS The BAS shall be capable of being segmented, through software, into multiple local area networks (LANs) distributed over a wide area network (WAN), sharing a single file server located on the District virtual server. This enables workstations to manage a single LAN (or building) and/or the entire system with all devices being assured of being updated by and sharing the most current database. In the case of a single workstation system, the workstation shall contain the entire database with no need for a separate file server. Standard Network Support All NCUs, Workstation(s) and File Server shall be capable of residing directly on the District's Ethernet TCP/IP LAN/WAN with no required gateways. Furthermore, the NCU's, Workstation(s) and File Server shall be capable of using standard, commercially available, off-the-shelf Ethernet infrastructure components such as routers, switches and hubs. With this design the District may utilize the investment of an existing or new enterprise network or structured cabling system. This also allows the option of the maintenance of the LAN/WAN to be performed by the District's Information Systems Department as all devices utilize standard TCP/IP components. Remote Communications In addition to the above LAN/WAN architecture support, the same workstation software (front end) must be capable of sending messages to various digital devices such as pagers and cell phones. System Expansion The BAS system shall be scalable and expandable at all levels of the system using the same software interface. The BAS shall be expandable to communicate and gather information from Fire Alarm, Security and Access Control functions as well as Lighting Control functions at any time in the future with no additional workstations. In this way, the District's investment in wiring infrastructure may be leveraged and the cost and inconvenience of adding new field bus wiring will be minimized. The BAS system shall be capable of integrating existing BAS systems at individual facilities as may be necessary for single point of access to all BAS systems District-wide regardless of manufacturer. Programming Languages The system shall use the same application programming language for all levels: Operator Workstation, Network Control Unit, Remote Site Control Unit and Standalone Digital Control Unit and digital data communication interfaces to third party microprocessor-based devices. Open Systems Protocols The BAS design must be able to communicate and interface with other open systems' protocols, such as BACnet, LonTalk™, or Modbus. The system shall also provide the ability to program custom ASCII communication drivers for communication to third party systems and devices. These drivers will provide real time monitoring and control of the third party. Web Based The system must be web based and accessible from any place. Software Installation Describe how your system will perform the following: General The Contractor shall provide all labor necessary to install, initialize, start-up and debug all system software as described in this section. This includes any operating system software or other third-party software necessary for successful operation of the system. The District will receive backup copies of all loaded software. Database Configuration The Contractor will provide all labor to configure those portions of the database that are required by the points list and sequence of operation. Color Graphic Displays Unless otherwise directed by the District, the Contractor will provide color graphic displays as depicted in the mechanical drawings for each system and floor plan. For each system or floor plan, the display shall contain the associated points identified in the point list and allow for set point changes as required by the District. All such graphics will be standardized from building to building and accepted by the District. System Network Layout and Expandability Provide a Network layout of all Servers, Network Controllers, Application controllers, Application Specific Controllers, BACnet devices, Third Party Proprietary devices, and other systems that can reside on the network. Explain tiers of communication. Santa Rosa County School Board Show what specific media protocols you will use at each of the tiers or levels on this project. For example, (Building to Building CAT-5/Ethernet), (InterBuilding Coax/Arcnet), (Field Buss Twisted pair/MS/TP). RFP 22-07-WP Building Automation Systems What means are available for access to the system, i.e., Internet, front end, and field interface via pocket PC or laptop? What third party software is required for implementation? Supply the associated costs in the Pricing Proposal. Programming Methods and Languages Are the terminal unit controllers configurable? If so, how do non-standard control loops or other complicated/custom processes become resolved within these controllers? To what level can the end user make modifications to the system without Contractor support? List programming languages / software modules required for the product types listed below: * Language for Building or Network Controllers (BC). Are these TCP/IP Ethernet Devices? * Language for Application Specific Controllers (ASC). Are these TCP/IP Ethernet Devices? * Language for Advanced Application Controllers (AAC). Are these TCP/IP Ethernet Devices? Is a separate engineering software package required for the programming of any of the systems or controllers? If so, list what these are and list the associated costs in the Pricing Proposal. Do any of these have annual licensing fees? If so, list the associated costs per year in the Pricing Proposal. Can the system be set up for Web Access? If so, explain the functionality. Is a server required for Web Access? Commissioning Philosophy Describe what the local installer's philosophy and practices are regarding startup and commissioning and how it affects the price of the job. Value added services provided in design and operation stages If you are the selected supplier what value added services might be expected in the design, construction and operation stages of a project. System Maintenance Describe your system maintenance program. Pricing scheme for maintenance shall be included in the Pricing Proposal. Warranties Discuss the warranty structure for your products and installation. Training Discuss how you would provide both on-site and classroom training to the District representative and maintenance personnel. Describe what training will be provided at a cost to the District. Pricing scheme for training shall be included in the Pricing Proposal. Metering Santa Rosa County School Board In detail describe your systems capabilities to provide interface to utility metering. RFP 22-07-WP Building Automation Systems Microsoft based software Is your system a Microsoft based system using a Microsoft SQL database? Obsolescence Discuss the manufactures philosophy and warranties regarding backward compatibility of future generations of equipment. Discuss the stage of the evolution of product development that the proposed equipment is in. WORK AREA: The contractor shall be responsible for cleaning up all work areas; free of debris, supplies and materials. Contractor shall be responsible for the moving of all furnishings as necessary for access to any work area. Furniture is to be covered for protection during the painting process. The work shall be carried on in such a manner that there will be no interruption to or interference of classes. Work shall continue uninterrupted from the start date until the project is completed, except when instructed otherwise. The dumpsters located at the schools or departments shall not be used for removal of debris. QUALITY OF WORKMANSHIP: All work shall be top commercial quality performed according to the standards of the industry, completed to the satisfaction of the Supervisor of Building Maintenance and in compliance with the Florida Building Code. PERSONNEL QUALIFICATIONS: Personnel used for the performance of this work shall be properly trained and qualified for work of this type. The Santa Rosa County School District reserves the right to refuse to accept services from any personnel deemed by the Santa Rosa County School District to be unqualified, disorderly, or otherwise unable to perform assigned work. Personnel shall not engage in any argumentative, idle, or unnecessary conversation with School Board employees, students, or visitors. The Contractor shall be responsible for maintaining satisfactory standards of employee competency, conduct, appearance and integrity and shall be responsible for taking such disciplinary action with respect to his employees as may be necessary. Contractor shall abide by School Board policy 2.45, Drug-Free Workplace Act of 1988, Tobacco-Free School District and School Board dress code. LICENSES: The Contractor will adhere to and meet all Federal, State and Local regulations, and shall be licensed to do business in the County and Cities of Santa Rosa County as an active Contractor. TOOLS, MATERIALS, AND EQUIPMENT: The Contractor shall be required to provide its personnel with all the tools, power tools, trucks, and equipment necessary for the performance of their work. The Board reserves the right to supply all material and devices or to purchase from the contractor upon the presentation of unit costs prior to construction. PARKING POLICY: Contractor vehicles are not allowed to park on sidewalks. The vehicle operator shall be made aware that extreme caution shall be used to operate the vehicle in a way that will not be a hazard or hindrance to pedestrians using the sidewalk. WORK HOURS: Work shall normally be performed within the hours of 7:00 am and 3:30 pm, Monday through Friday, unless otherwise adjusted and agreed upon by the Supervisor of Building Maintenance and the Contractor. Time begins upon arrival at site. Most work will be scheduled; however, contractor must be available for small emergency jobs and must return contact within 72 hours. Time begins on School District work site; no travel or mileage will be paid by the District. Contractor shall report in at the school office upon arrival and check out upon departure. WARRANTY: All work will be warranted for at least a minimum of one year. UTILITIES: The Contractor shall supply all connections to utilities, such as hoses, cords, etc. SAFETY: The Contractor shall comply with the rules and regulations of OSHA and the Department of Labor. The Contractor alone shall be responsible for the safety, efficiency and adequacy of his plant, appliances, and methods, and for any damage which may result from their improper construction, maintenance or operation. The Contractor shall erect and properly maintain at all times, as required by the conditions and progress of the work, proper safeguards for the protection of workers and the public and shall post danger warnings against any hazards created by the construction operations. JOB TIMELINE AND COMPLETION: Once a job/project is requested by the District, a quote must be issued by the contractor and sent to the requestor. The quote must state scope of work to be performed, location and current date, itemized pricing per bid, date to begin work and date to be completed. Once the quote is reviewed and approved by the District a purchase order or work order will be issued. Final authorization of payment shall be given only after thorough inspection indicates that the services/supplies delivered meet bid specifications and conditions. Should the service differ in any respect from the specifications, payment will be withheld until such time as the contractor takes necessary corrective action. The contractor shall complete the job/project within sixty (60) days of receiving the purchase order or work order unless otherwise approved by the District's Supervisor of Maintenance or Facilities Director. Failure to deliver product or service within the required timeline and at the contracted price during regular operations may result in the termination of contract and subsequent award to the next contractor. AVAILABILITY: The Contractor must return contact within 72 hours of the District's initial contact for any jobs, including emergency situations. COST ADJUSTMENTS: Prices shall be firm for the first year of the contract period. If price increase is warranted after the first year of the contract period, a sixty (60) day written advance notice is required for any price adjustment. Price increases may be allowed for certain items provided a published price increase by an industry wholesaler or from the manufacturers can be provided to the Purchasing Department. Costs may be subject to an adjustment only if the increases or decreases occur in the industry. Price increase shall not take effect until the Purchasing Department issues a formal acceptance letter to the Vendor. The School District may, after examination, refuse to accept the adjusted costs if they are not properly documented, or considered to be excessive, or if decreases are considered to be insufficient. In the event the School District does not wish to accept the adjusted costs, the resulting contract from this bid will subject the agreement for review for possible termination, rebidding and/or re-negotiation. INVOICING AND PAYMENT: At the completion of each specified project/work order, payment for services received will be accomplished by submission of an invoice with Purchase Order number or work order number referenced. Invoices shall be submitted to the Maintenance Department. Each invoice shall give a detailed breakdown of the services provided as per bid pricing. Documentation of time worked must be submitted with invoices. Documentation of time worked must include project/work order number, location of work done, employee's name, date and time worked per day. Payment will be made by the District within forty-five (45) days after receipt of the invoice and time worked documentation. Transactions as a result of this contract will be audited for the length of the contract. MULTIPLE VENDOR AWARDS: The Santa Rosa County School District reserves the right to award to one or more vendors. The Board reserves the right to bid or solicit quotes on any job when it determines it is in its best interest. By design, this bid is broad in scope and may over-lap with other established bids the Board has; it will be at the Board's discretion which contract is in the best interest of the School District. REFERENCES: The contractor is required to submit a list of three (3) references with their bid. These references must be from firms, organization and/or governmental agencies/entities for which services were performed satisfactorily in the previous five (5) years. Include the dates of services were provided, client name, address and the name and phone number of the contact. DOCUMENTS REQUIRED: The following is a list of required documents to be submitted with your proposal. Your proposal and documents must be submitted using the BidNet Direct portal. Section 2: Drug Free Workplace Form Section 1: Proposal Form Section 3: Public Entity Crimes Form Section 5: Conflict of Interest Certification Form Section 4: Certification Regarding Lobbying Form Section 6: Business Proposal including: Provide examples of how the manufacturer's headquarters' personnel support the local installers Company history References from at least three (3) clients Licenses Pricing information in a tabulated format
To supply from local stock nationwide the small builder's ever-changing, routine, integrated kitchen and joinery requirements, assuring best local price, no-call-back quality and confidential trade terms The business review The condensed consolidated financial statements Highlights FINANCIAL RESULTS (CONTINUING OPERATIONS) * Howden Joinery UK depot revenue increased by 11.1% to £475.8m (up 8.6% on a same depot basis). Group revenue was £482.6m (2014: £435.4m) * Gross profit margin was 63.7% (2014: 63.2%), reflecting the benefit of exchange rate movements * Operating profit rose to £60.9m (2014: £57.6m) * Profit before tax increased to £59.2m (2014: £57.2m), the net interest charge rising by £1.3m (due to an increase in the pensions finance charge) * Basic earnings per share increased to 7.1p (2014: 6.6p) * Share buyback programme underway (£4.1m spent so far) * Net cash of £223.3m at 13 June 2015 (27 December 2014: £217.7m net cash, 14 June 2014: £161.1m net cash) * Interim dividend of 2.8p per share declared (2014: 1.9p) BUSINESS DEVELOPMENTS * Investment in the future growth of the business remains a priority: – in line with our plans, 14 new UK depots opened so far in 2015, bringing the total to 603, and 3 depots opened in northern France – product portfolio enhanced by introduction of new kitchen ranges, and roll-out of granite and premium brand appliances – capital expenditure totalled £11.7m (2014: £17.2m) CURRENT TRADING AND OUTLOOK * Howden Joinery UK depot revenue increased by 13.1% in the first four week period of the second half of the year * The Board is pleased with the positioning of the Group and, while we still have our peak autumn trading period ('Period 11') to come, the Group is well placed to achieve its expectations for the full year 01 02 How Howdens works The raw material for Howdens’ cabinets comes from trees grown in managed forests in Scotland Howdens’ in-stock model means the builder can schedule his work alongside other trades Howden Joinery Group designs, manufactures, sources and sells kitchens and joinery from stock to small builders and kitchen fitters who install them in homes of all types and sizes. Howdens offers the builder a full range of kitchen and joinery products, including cabinets, frontals, worktops, flooring, lighting, own-brand and branded appliances and joinery doors. All our products are available to the builder every day, from stock in over 600 local depots, on credit terms and at a confidential discount. Howdens' unique product and service offering allows the builder to create and grow a profitable business of his own. Howdens’ extensive product range now includes granite and branded appliances from stock Modern kitchens are complex and require professional installation The first job of a Howdens depot is to build relationships with local builders and open accounts for them We manufacture all our cabinets and most of our worktops in our factories in Runcorn in Cheshire and Howden in Yorkshire Howden Joinery Group Plc Half-yearly report for the 24 weeks ended 13 June 2015 Howdens is a low-cost, locally driven, entrepreneurial business that has grown through recommendation and reputation. Our first depot opened in 1995: today, with over 360,000 active trade accounts, Howdens is the leading trade supplier of kitchens in the UK. Howdens is about people and development. A Howdens depot is a hub of humanity and physicality in an increasingly complex and digital-dependent world, providing reliable, personal service to address real, physical problems that require immediate fixing. 03 Summary of Group results \| Continuing operations1, £m unless stated \| 2015 \| \|---\|---\| \| \| 482.6 \| \| \| 475.8 \| \| \| 307.3 \| \| \| 63.7% \| \| \| 60.9 \| \| \| 59.2 \| \| \| 7.1p \| \| \| 2.8p \| 1. There were no discontinued operations in the first half of 2015. In the first half of 2014, there was an exceptional profit after tax on discontinued operations of £9.8m. Chief Executive Matthew Ingle said: "Howdens' successful business model has always been focused on providing real, personal service to our small builder customers and their end-clients. Through the consistent implementation of this model Howdens has grown into a large, profitable and cash-generative business with significant prospects for further growth. The range and extent of the opportunities we have identified, and on which our business model thrives, are increasing. We are opening more customer accounts, designing more kitchens and selling a wider range of product than ever before. We are increasing our investment in capacity in all areas of Howdens' business, including in property, people, product and continuity of supply. This investment will support our continuing ability to offer better service to the builder while meeting growing demand in a rapidly sophisticating market." Interim management report FINANCIAL REVIEW The information presented below relates to the 24 weeks to 13 June 2015 and the 24 weeks to 14 June 2014 (continuing operations), unless otherwise stated 1 . Sales by our depots in continental Europe totalled £6.8m. In constant currency terms, underlying sales of the original 11 French depots were up slightly. The financial performance of the Group during the first half of 2015 benefited from the Group's competitive position and the continuing focus on improving operational performance. We also benefited from stable market conditions. Total Group revenue increased by £47.2m to £482.6m. \| Revenue £m \| 2015 \| 2014 \| \|---\|---\|---\| \| \| 482.6 \| \| \| \| 475.8 \| \| Howden Joinery UK depots' revenue rose by 11.1%, increasing 8.6% on a same depot basis. This growth has been achieved through a number of factors and is testament to the strength of our business model. We have continued to open new depots and increased the number of customer accounts. As well as driving an increase in revenue, the business continued to focus on price discipline and margin. Gross profit rose by £32.1m to £307.3m. The gross profit margin of 63.7% (2014: 63.2%) reflects the benefit of exchange rate movements. Offsetting this was the impact of increased sales of discontinued products to make way for new ranges. Selling and distribution costs, administrative expenses and other income increased by £28.8m to £246.4m. In addition to the costs of new depots, this reflects additional costs incurred across the business to support growth. In particular, these related to additional headcount, warehousing, our business in continental Europe, and development of our longer-term strategy and plans. Operating profit increased by £3.3m to £60.9m. The net interest charge increased by £1.3m to £1.7m, due to a higher finance expense in respect of pensions. The net result was that profit before tax rose by £2.0m to £59.2m. The tax charge on profit before tax was £13.2m, an effective rate of tax of 22.3%. Basic earnings per share were 7.1p (2014: 6.6p). Growth has been achieved through a number of factors and is testament to the strength of our business model Gross profit rose by £32.1m to £307.3m with a gross profit margin of 63.7% (2014: 63.2%) Note 1 There were no discontinued operations in the first half of 2015. In the first half of 2014, there was an exceptional profit after tax from discontinued operations of £9.8m. 05 Interim management report continued At the end of the period the Group had net cash of £223.3m, compared to £161.1m at 14 June 2014 The Board has approved the payment of an interim dividend of 2.8p per share, up from 1.9p in respect of H1 2014 At 13 June 2015, the pension deficit shown on the balance sheet was £79.5m (27 December 2014: £142.6m). The decrease in the deficit in the period was due to an increase in the discount rate used to calculate liabilities, asset returns, and the Group's contribution to fund the deficit. There was a net cash inflow from operating activities of £20.3m. This was after a cash contribution to the Group's pension deficit of £20.8m. Working capital increased by £18.0m. Within this, debtors at the end of the period were £16.7m higher than at the beginning of the period and stock levels increased by £13.9m, reflecting the seasonality of sales. Offsetting this, creditors increased by £12.6m, and included the 2014 final dividend which was paid shortly after the end of the current period. Also included within net cash flows from operating activities was tax paid totalling £15.8m. Payments to acquire fixed and intangible assets totalled £11.7m (2014: £17.2m). As part of its £70m share repurchase programme, announced on 25 February 2015, in the period the Group acquired 800,000 shares for consideration of £4.1m. These shares are held as treasury shares. Reflecting the above, there was a £5.6m net cash inflow in the first half of the year, the Group having net cash at the end of the period of £223.3m (27 December 2014: £217.7m net cash, 14 June 2014: £161.1m net cash). Excluding payments in respect of the contribution to the pension deficit, there was a cash inflow of £26.4m. Dividend It is the Group's policy to pay an interim dividend equal to one third of the previous year's full dividend (2014: 8.4p). Reflecting this, the Board has approved the payment of an interim dividend of 2.8p per share (2014: 1.9p). It will be paid on 20 November 2015 to shareholders on the register at close of business on 23 October 2015. OPERATIONAL REVIEW The business model of Howden Joinery is "To supply from local stock nationwide the small builder's everchanging, routine, integrated kitchen and joinery requirements, assuring best local price, no-call-back quality and confidential trade terms". Since it started in autumn 1995, the business has opened new depots and increased turnover continuously, except for a 12-month period in 2008–9. Even today, with over 600 depots across the UK, we continue to see the opportunity to transform the scale of the business, seeing scope for at least 700 depots. We continue to invest in all aspects of the growth and performance of the business, including new depots and depot operations, new and existing employees, product development, and manufacturing and distribution. UK depot network and operations 14 new depots have been opened in the UK so far this year, bringing the total to 603. A number of other depots are at various stages of the acquisition/shopfitting process, the opening programme being in line with our expectations to open 30 depots this year. When we interact with our buildercustomers' clients during the design of their new kitchen, we use our 'My kitchens' website to enable them to view visualisations of their new kitchen. Until now, this included static pictures and a video of the kitchen. This has now been enhanced with the addition of a facility that enables a 360º panorama of the new kitchen to be viewed on an iPad and other devices. Product and marketing We continue to enhance our product offering, having introduced a number of new products during the first half of the year across all product categories. Notable amongst these were the introduction of 13 new kitchens. These included, 'tongue and groove' options within our popular Burford family and a new Stockbridge family of ultra smooth matt kitchens, along with the extension of stone coloured options to most of our existing kitchen families and the introduction of ivory coloured options to a number of our kitchen ranges. Last autumn, we trialled selling affordable granite worktops from stock, beginning in a small number of depots. At the start of this year, the trial was extended, and granite is now being sold from 200 depots, with more planned for the second half of the year. Since its launch in 2009, our Lamona range of kitchen appliances has been very successful. Whilst we continue to invest in the range as we develop it further, we are undertaking a trial of some additional branded appliances in a limited number of depots. At this stage, we have decided to sell AEG and Neff appliances throughout our depot portfolio. We continue to invest in our marketing communications and brand advertising. * In our latest kitchen collection brochure, we have introduced a new format to highlight each kitchen family and have added a flooring section. We have redesigned our appliance literature, introducing lifestyle photographs to make it more appealing and aspirational for end-consumers. * To further raise awareness of the Howdens brand, we are attending 17 county shows and agricultural fairs throughout the UK during the summer. Where appropriate, our branding now includes the Royal Arms, following the award to Howden Joinery of a Royal Warrant By Appointment to Her Majesty The Queen. This features on our websites and our vehicle fleet livery, and in our marketing material. 14 new depots have been opened in the UK so far this year, bringing the total to 603 We continue to enhance our product offering, with introductions across all product categories during the first half of the year 07 Interim management report continued Manufacturing and logistics operations We continue to invest in our manufacturing and logistics operations to guarantee quality and availability nationwide at all times We are extending our trial in northern France and have opened three of a planned seven new depots, with the remainder to follow later this year Our UK-based manufacturing and logistics operations play a vital role in ensuring that we are able to supply our small builder customers from local stock nationwide at all times, having the flexibility to respond to each depot's individual needs. We continue to invest in these operations so as to ensure that this aspect of the Howdens model is never compromised, even during our critical 'Period 11', when sales are more than double the level seen in other periods. The replacement of 460 'trailer units' for our fleet of lorries has begun, more than half having already been delivered. These have been custom-designed and built to meet our requirements, and have a revised livery that has been designed to have more visual impact and improve brand awareness. This follows last year's replacement of the fleet's 100 'tractor units'. Continental Europe Following our decision to extend our trial in northern France by adding a second phase of seven new depots, three of these have now been opened, with the remainder to follow later this year. Our plans to open an additional outlet further south in France and a depot in Holland, both towards the end of this year, are on course. We also intend to begin a trial in Germany, where we plan to open a depot in the first half of 2016. CURRENT TRADING AND OUTLOOK The good sales performance seen in the first half of 2015 has continued in the first four weeks of the second half of the year. In this period, total sales of Howden Joinery UK depots rose by 13.1% on the same period in 2014. With our confidence in our growth prospects, we are increasing our investment in capacity in all aspects of Howdens' business, including property, people, product and continuity of supply. This investment will support our continuing ability to offer better service to the builder, while meeting growing demand in a rapidly sophisticating market. The Board is pleased with the positioning of the Group and, while we still have our peak autumn trading period ('Period 11') to come, the Group is well placed to achieve its expectations for the full year. GOING CONCERN The Group meets its day-to-day working capital requirements through cash generated from operations. If required, the Group also has access to an assetbacked lending facility of £140m which expires in July 2016. The Group's forecasts and projections have been stress-tested for reasonably possible adverse variations in economic conditions and trading performance. The results of this testing show that the Group should be able to operate within the level of its current facility and covenants. After making due enquiries, the directors have a reasonable expectation that the Group has adequate resources to continue in operational existence for the foreseeable future. Accordingly, they continue to adopt the going concern basis in preparing the financial statements. RELATED PARTIES Related party transactions are disclosed in note 12 to the condensed set of financial statements. There have been no material changes to the related party transactions described in the last Annual Report & Accounts. RISKS AND UNCERTAINTIES The Board continually assesses and monitors the key risks of the business. The principal risks and uncertainties that could have a material impact on the Group's performance over the remaining 28 weeks of the financial year have not changed from those which are set out in detail on pages 20 to 21 of the Group's 2014 Annual Report & Accounts, and which are summarised below: * Market conditions – a severe downturn in market conditions could impact on our ability to achieve sales and profit forecasts, which in turn could put pressure on our cash availability and banking covenants; * Failure to implement the Group's business model and culture – could have an adverse effect on the Group's future financial condition and profitability; * Failure to maximise exploiting the growth potential of the business – could adversely affect the Group's ability to obtain maximum benefit from its growth potential; * Continuity of supply – could adversely affect the Group's ability to implement the business model; * Loss of key personnel – could adversely affect the Group's operations. A copy of the Group's 2014 Annual Report & Accounts is available on the Group's website, www.howdenjoinerygroupplc.com. CAUTIONARY STATEMENT Certain statements in this HalfYearly Report are forward-looking. Although the Group believes that the expectations reflected in these forward-looking statements are reasonable, we can give no assurance that these expectations will prove to have been correct. Because these statements contain risks and uncertainties, actual results may differ materially from those expressed or implied by these forward-looking statements. We undertake no obligation to update any forwardlooking statements, whether as a result of new information, future events or otherwise. RESPONSIBILITY STATEMENT We confirm that, to the best of our knowledge: (a) the condensed set of financial statements has been prepared in accordance with IAS 34 'Interim Financial Reporting'; (b) the interim management report includes a fair review of the information required by DTR 4.2.7R (indication of important events during the first 24 weeks and description of principal risks and uncertainties for the remaining 28 weeks of the year); and (c) the interim management report includes a fair review of the information required by DTR 4.2.8R (disclosure of related parties' transactions and changes therein). The directors are responsible for the maintenance and integrity of the corporate and financial information included in the Company's website. Legislation in the United Kingdom governing the preparation and dissemination of financial information differs from legislation in other jurisdictions. By order of the Board Matthew Ingle Chief Executive Mark Robson Deputy Chief Executive and Chief Financial Officer 22 July 2015 09 Condensed consolidated income statement \| Note \| 24 weeks to 13 June 2015 – unaudited £m \| 24 weeks to 52 weeks to 14 June 2014 27 December 2014 – unaudited – audited £m £m \| \|---\|---\|---\| \| Continuing operations: Revenue – sale of goods Cost of sales \| \| 435.4 1,090.8 (160.2) (396.3) \| \| \| 482.6 \| \| \| \| (175.3) \| \| \| Gross profit Selling & distribution costs Administrative expenses \| 307.3 \| 275.2 694.5 (183.0) (423.9) (34.6) (80.8) \| \| \| (208.1) \| \| \| \| (38.3) \| \| \| Operating profit Finance income Finance expense Other finance expense – pensions \| 60.9 \| 57.6 189.8 0.3 0.6 – (0.1) (0.7) (1.5) \| \| \| 0.3 \| \| \| \| (0.1) \| \| \| \| (1.9) \| \| \| Profit before tax Tax charge for the period 6 \| 59.2 \| 57.2 188.8 (14.9) (40.1) \| \| \| (13.2) \| \| \| Profit after tax \| 46.0 \| 42.3 148.7 \| \| Discontinued operations: Exceptional item – loss on discontinued operations 14 Exceptional item – tax on discontinued operations 14 \| \| (1.7) (2.1) 11.5 11.2 \| \| \| – \| \| \| \| – \| \| \| Profit after tax \| – \| 9.8 9.1 \| \| Profit for the period attributable to the equity holders of the parent \| \| 52.1 157.8 \| \| \| 46.0 \| \| Earnings per share pence pence pence From continuing operations: Basic earnings per 10p share Diluted earnings per 10p share From continuing and discontinued operations: Basic earnings per 10p share Diluted earnings per 10p share 7 7 7 7 7.1 7.1 7.1 7.1 6.6 6.6 8.1 8.1 23.2 23.0 24.6 24.4 Condensed consolidated statement of comprehensive income \| Note \| 24 weeks to 13 June 2015 – unaudited £m \| \|---\|---\| \| Profit for the period Items of other comprehensive income Items that will not be reclassified subsequently to profit or loss: Actuarial gains/(losses) on defined benefit pension plan 10 Deferred tax on actuarial gains/losses on defined benefit pension plan Deferred tax on pension contributions Current tax on pension contributions Items that may be reclassified subsequently to profit or loss: Currency translation differences \| 46.0 \| \| \| 44.2 \| \| \| (8.8) \| \| \| – \| \| \| – \| \| \| (0.6) \| \| Other comprehensive income for the period \| 34.8 \| \| Total comprehensive income for the period, attributable to equity holders of the parent \| \| \| \| 80.8 \| Condensed consolidated balance sheet \| Note \| 13 June 2015 – unaudited £m \| 14 June 2014 27 December 2014 – unaudited – audited £m £m \| \|---\|---\|---\| \| Non-current assets Intangible assets Property, plant and equipment 9 Deferred tax asset Bank borrowings net of prepaid fees \| \| 3.6 3.4 103.1 107.1 22.4 40.3 0.6 0.3 \| \| \| 3.9 \| \| \| \| 107.9 \| \| \| \| 24.4 \| \| \| \| 0.1 \| \| \| \| 136.3 \| 129.7 151.1 \| \| Current assets Bank borrowings net of prepaid fees Current tax asset Inventories Trade and other receivables Investments Cash at bank and in hand \| \| 0.6 0.6 – – 134.8 143.1 139.5 133.1 – 85.0 160.0 131.9 \| \| \| 0.6 \| \| \| \| 2.8 \| \| \| \| 157.0 \| \| \| \| 149.8 \| \| \| \| 45.0 \| \| \| \| 177.7 \| \| \| \| 532.9 \| 434.9 493.7 \| \| Total assets \| \| 564.6 644.8 \| \| \| 669.2 \| \| \| Current liabilities Trade and other payables Current tax liability Current borrowings \| \| (208.8) (186.1) (0.4) (7.9) (0.1) – \| \| \| (242.9) \| \| \| \| – \| \| \| \| – \| \| \| \| (242.9) \| (209.3) (194.0) \| \| Non-current liabilities Non-current borrowings Pension liability 10 Deferred tax liability Provisions 11 \| \| – (0.1) (72.4) (142.6) (3.6) (2.6) (12.7) (10.6) \| \| \| – \| \| \| \| (79.5) \| \| \| \| (2.6) \| \| \| \| (9.0) \| \| \| \| (91.1) \| (88.7) (155.9) \| \| Total liabilities \| \| (298.0) (349.9) \| \| \| (334.0) \| \| \| Net assets \| \| 266.6 294.9 \| \| \| 335.2 \| \| \| Equity Share capital Share premium account ESOP reserve Treasury shares Other reserves Retained earnings \| \| 64.6 64.7 87.5 87.5 (1.5) 2.4 – – 28.1 28.1 87.9 112.2 \| \| \| 65.2 \| \| \| \| 87.5 \| \| \| \| 7.0 \| \| \| \| (4.1) \| \| \| \| 28.1 \| \| \| \| 151.5 \| \| \| Total equity \| 335.2 \| 266.6 294.9 \| Condensed consolidated statement of changes in equity \| 24 weeks to 13 June 2015 \| Share capital £m \| Share premium account £m \| ESOP reserve £m \| Treasury shares £m \| Other reserves £m \| Retained earnings £m \| \|---\|---\|---\|---\|---\|---\|---\| \| As at 27 December 2014 – audited Accumulated profit for the period Dividend declared Net actuarial gains on defined benefit pension plan Deferred tax on share schemes Current tax on share schemes Currency translation differences Net movement in ESOP Purchase of shares into treasury Issue of new shares \| 64.7 \| 87.5 \| 2.4 \| – \| 28.1 \| 112.2 \| \| \| – \| – \| – \| – \| – \| 46.0 \| \| \| – \| – \| – \| – \| – \| (42.0) \| \| \| – \| – \| – \| – \| – \| 35.4 \| \| \| – \| – \| – \| – \| – \| (2.5) \| \| \| – \| – \| – \| – \| – \| 3.5 \| \| \| – \| – \| – \| – \| – \| (0.6) \| \| \| – \| – \| 4.6 \| – \| – \| – \| \| \| – \| – \| – \| (4.1) \| – \| – \| \| \| 0.5 \| – \| – \| – \| – \| (0.5) \| \| As at 13 June 2015 – unaudited \| 65.2 \| 87.5 \| 7.0 \| (4.1) \| 28.1 \| 151.5 \| During the current period, the Group issued 5,289,319 shares. During the period above, the Group issued 3,662,341 shares. Condensed consolidated cash flow statement \| Note \| 24 weeks to 13 June 2015 – unaudited £m \| \|---\|---\| \| Group operating profit before tax and interest Group operating profit – continuing operations Group operating loss – discontinued operations \| \| \| \| 60.9 \| \| \| – \| \| Group operating profit before tax and interest Adjustments for: Depreciation and amortisation included in operating profit Share-based payments charge Loss on disposal of property, plant and equipment and intangible assets Exceptional items (before tax) \| 60.9 \| \| \| 9.4 \| \| \| 3.8 \| \| \| 0.8 \| \| \| – \| \| Operating cash flows before movements in working capital and exceptional items \| 74.9 \| \| Movements in working capital and exceptional items Increase in stock Increase in trade and other receivables Increase in trade and other payables and provisions Difference between pensions operating charge and cash paid \| \| \| \| (13.9) \| \| \| (16.7) \| \| \| 12.6 \| \| \| (20.8) \| \| \| (38.8) \| \| Cash generated from operations Tax paid \| \| \| \| 36.1 \| \| \| (15.8) \| \| Net cash flows from operating activities \| 20.3 \| \| Cash flows used in investing activities Payments to acquire property, plant and equipment and intangible assets Receipts from sale of property, plant and equipment and intangible assets Interest received \| \| \| \| (11.7) \| \| \| – \| \| \| 0.3 \| \| Net cash used in investing activities \| (11.4) \| \| Cash flows from financing activities Interest paid Receipts from release of shares from share trust Payments to acquire own shares Decrease/(increase) in prepaid loan fees & loans Dividends paid to Group shareholders 8 \| \| \| \| – \| \| \| 0.8 \| \| \| (4.1) \| \| \| 0.2 \| \| \| – \| \| Net cash (used in)/from financing activities \| (3.1) \| \| Net increase in cash and cash equivalents Cash and cash equivalents at beginning of period 13 \| \| \| \| 5.8 \| \| \| 216.9 \| \| Cash and cash equivalents at end of period 13 \| 222.7 \| Notes to the condensed financial statements 1 GENERAL INFORMATION The results for the 24 week periods ended 13 June 2015 and 14 June 2014 are unaudited but have been reviewed by the Group's auditor, whose report on the current period forms part of this document. The information for the 52 week period ended 27 December 2014 does not constitute statutory accounts as defined in section 434 of the Companies Act 2006. A copy of the statutory accounts for that period has been delivered to the Registrar of Companies, and is available via the Group's website at www.howdenjoinerygroupplc.com. The auditor's report on those accounts was not qualified or modified, did not draw attention to any matters by way of emphasis, and did not contain statements under section 498(2) or (3) of the Companies Act 2006. 2 ACCOUNTING POLICIES The annual financial statements of Howden Joinery Group Plc are prepared in accordance with IFRSs as adopted by the European Union. The condensed set of financial statements included in this half-yearly financial report has been prepared in accordance with International Accounting Standard 34 "Interim Financial Reporting", as adopted by the European Union. Basis of preparation The Group's business activities, together with the factors likely to affect its future development, performance, and position are set out on pages 5 to 9, which include a summary of the Group's financial position, its cash flows, and borrowing facilities, and a discussion of why the directors consider that the going concern basis is appropriate. The same accounting policies, presentation methods, and methods of computation are followed in the condensed set of financial statements as applied in the Group's latest annual audited financial statements, except that the taxation charge for the half-year is calculated by applying the annual estimated effective tax rate to the profit for the period. 3 SEGMENTAL RESULTS Basis of segmentation Information reported to the Group's Chief Executive is focused on one operating segment, Howden Joinery. Thus, the information required in respect of segmental disclosure can all be found in the condensed consolidated income statement, and condensed consolidated balance sheet. 4 SEASONALITY OF REVENUE Howden Joinery sales are more heavily weighted to the second half of the financial year. This partly reflects the fact that there are 24 weeks in the first half of the financial year and 28 weeks in the second half. It also reflects sales in the peak October trading period. In the last two financial years, approximately 60% of sales have been in the second half of the year. 5 WRITE DOWN OF INVENTORIES During the period, the Group has recognised a net charge of £1.3m in respect of writing inventories down to their net realisable value (24 weeks to 14 June 2014: net charge of £1.5m; 52 weeks to 27 December 2014: net charge of £4.5m). 6 TAX Tax for the 24 weeks to 13 June 2015 is charged at 22.3% (24 weeks to 14 June 2014: 5.9% on total operations, 26.0% excluding discontinued operations), representing the tax effects of discrete items arising in the period, together with the best estimate of the average effective tax rate expected for the full year applied to the pre-tax income of the 24 week period. Notes to the condensed financial statements continued 7 EARNINGS PER SHARE \| \| 24 weeks to 13 June 2015 – unaudited \| \| \| 24 weeks to 14 June 2014 52 weeks to 27 December 2014 – unaudited – audited \| \|---\|---\|---\|---\|---\| \| \| Earnings £m \| Weighted average number of shares m \| Earnings per share p \| Weighted Weighted average Earnings average Earnings number of per number of per Earnings shares share Earnings shares share £m m p £m m p \| \| From continuing operations: Basic earnings per share Effect of dilutive share options \| \| \| \| 42.3 639.7 6.6 148.7 640.7 23.2 – 1.4 – – 6.2 (0.2) \| \| \| 46.0 \| 643.4 \| 7.1 \| \| \| \| – \| 1.5 \| – \| \| \| Diluted earnings per share \| 46.0 \| 644.9 \| 7.1 \| 42.3 641.1 6.6 148.7 646.9 23.0 \| \| From discontinued operations: Basic earnings per share Effect of dilutive share options \| \| \| \| 9.8 639.7 1.5 9.1 640.7 1.4 – 1.4 – – 6.2 – \| \| \| – \| 643.4 \| – \| \| \| \| – \| 1.5 \| – \| \| \| Diluted earnings per share \| – \| 644.9 \| – \| 9.8 641.1 1.5 9.1 646.9 1.4 \| \| From continuing and discontinued operations: Basic earnings per share Effect of dilutive share options \| \| \| \| 52.1 639.7 8.1 157.8 640.7 24.6 – 1.4 – – 6.2 (0.2) \| \| \| 46.0 \| 643.4 \| 7.1 \| \| \| \| – \| 1.5 \| – \| \| \| Diluted earnings per share \| 46.0 \| 644.9 \| 7.1 \| 52.1 641.1 8.1 157.8 646.9 24.4 \| 8 DIVIDENDS Amounts recognised as distributions to equity holders in the period \| \| 24 weeks to 13 June 2015 – unaudited £m \| \|---\|---\| \| Final dividend for the 52 weeks to 27 December 2014 – 6.5p/share Final dividend for the 52 weeks to 28 December 2013 – 4.5p/share Interim dividend for the 52 weeks to 27 December 2014 – 1.9p/share \| 42.0 \| \| \| – \| \| \| – \| \| \| 42.0 \| No dividends were paid in the current period, or the 24 week period to 14 June 2014. The final dividend for the 52 weeks to 27 December 2014 (6.5p/share) was approved at the 2015 AGM in May 2015, and was paid on 19 June 2015. The final dividend for the 52 weeks to 28 December 2013 (4.5p/share) was approved at the 2014 AGM in May 2014, and was paid on 20 June 2014. The interim dividend for the 52 weeks to 27 December 2014 (1.9p/share) was paid on 21 November 2014. Proposed dividends On 22 July 2015, the Board approved the payment of an interim dividend of 2.8p/share to be paid on 20 November 2015 to ordinary shareholders on the register on 23 October 2015. \| \| 24 weeks to 13 June 2015 – unaudited £m \| 24 weeks to 52 weeks to 14 June 2014 27 December 2014 – unaudited – audited £m £m \| \|---\|---\|---\| \| Proposed interim dividend for the 52 weeks ended 26 December 2015 – 2.8p/share \| 18.1 \| \| Notes to the condensed financial statements continued 9 PROPERTY, PLANT AND EQUIPMENT During the period, the Group made additions of £11.6m to property, plant and equipment (24 weeks to 14 June 2014: £17.2m; 52 weeks to 27 December 2014: £31.6m). It also disposed of property, plant and equipment with a net book value of £0.8m (24 weeks to 14 June 2014: £0.3m; 52 weeks to 27 December 2014: £0.8m) for proceeds of £nil (24 weeks to 14 June 2014: £0.2m; 52 weeks to 27 December 2014: £0.3m). There are non-cancellable commitments to purchase property, plant and equipment of £8.5m at the current period end (14 June 2014: £4.9m; 27 December 2014: £4.3m). 10 RETIREMENT BENEFIT OBLIGATIONS (a) Total amounts charged in respect of pensions in the period \| \| 24 weeks to 13 June 2015 – unaudited £m \| \|---\|---\| \| Charged to the income statement Defined benefit plan – current service cost Defined benefit plan – administrative costs \| \| \| \| (7.5) \| \| \| (0.7) \| \| Defined benefit plan – total operating charge Defined benefit plan – net finance charge Defined contribution plans – total operating charge French post-employment benefits \| (8.2) \| \| \| (1.9) \| \| \| (1.7) \| \| \| – \| \| Total net amount charged to profit before tax \| (11.8) \| \| Credited/(charged) to equity Defined benefit plan – actuarial gains/(losses), net of deferred tax \| \| \| \| 35.4 \| (b) Other information – defined benefit pension plan Key assumptions used in the valuation of the plan \| Rate of increase of pensions in deferment capped at lower of CPI and 5% Rate of CARE revaluation capped at lower of RPI and 3% Rate of increase of pensions in payment: pensions with increases capped at lower of CPI and 5% pensions with increases capped at lower of CPI and 5%, with a 3% minimum pensions with increases capped at the lower of RPI and 2.5% Rate of increase in salaries Inflation assumption – RPI Inflation assumption – CPI Discount rate \| 2.25% \| \|---\|---\| \| \| 2.50% \| \| \| 2.55% \| \| \| 3.55% \| \| \| 2.30% \| \| \| 4.55% \| \| \| 3.55% \| \| \| 2.55% \| \| \| 3.70% \| Balance sheet Movements in the deficit during the period are as follows: \| Deficit at start of period Current service cost Administration cost Employer contributions Other finance charge Actuarial gains/(losses), gross of deferred tax \| (142.6) \| \|---\|---\| \| \| (7.5) \| \| \| (0.7) \| \| \| 29.0 \| \| \| (1.9) \| \| \| 44.2 \| \| Deficit at end of period \| (79.5) \| Statement of comprehensive income Amounts taken to equity via the statement of comprehensive income in respect of the Group's defined benefit plan are shown below: \| \| 24 weeks to 13 June 2015 – unaudited £m \| 24 weeks to 52 weeks to 14 June 2014 27 December 2014 – unaudited – audited £m £m \| \|---\|---\|---\| \| Actuarial gains on plan assets Actuarial gains/(losses) on plan liabilities \| 10.8 \| 19.1 80.9 (49.1) (200.5) \| \| \| 33.4 \| \| \| Total actuarial gains/(losses) before tax \| 44.2 \| (30.0) (119.6) \| Notes to the condensed financial statements continued 11 PROVISIONS Property provision The property provision covers two main areas: (i) onerous leases on any non-trading leased properties, and (ii) obligations to make dilapidations payments to landlords of leased properties. There is a discussion of the main sources of estimation and uncertainty which apply to this provision at note 3 to the Group's 2014 Annual Report & Accounts. The amount of the expected future cash flows has been adjusted to reflect the expected range of possibilities. The timing of outflows from the provision is variable, and is dependent on property lease expiry dates, on opportunities to surrender leases, and on the timing of dilapidations assessments and works. Warranty provision This provision relates to amounts due in respect of product warranties. As products are sold, the Group makes provision for potential future claims under warranties. As claims are made, the Group utilises the provision and then uses this data to periodically revise the basis on which it makes further provision. 12 RELATED PARTY TRANSACTIONS There have been no changes to related party arrangements or transactions as reported in the 2014 Annual Report & Accounts. Transactions between Group companies, which are related parties, have been eliminated on consolidation and are therefore not disclosed. Other transactions which fall to be treated as related party transactions are: those relating to the remuneration of key management personnel, which are not disclosed in the half-yearly report, and which will be disclosed in the Group's next Annual Report; and transactions between the Group and the Group's defined benefit pension plan, which are disclosed in note 10. 13 NOTES TO THE CASH FLOW STATEMENT (a) Net cash flows from operating activities All net cash flows in each of the periods presented relate to continuing activities. (b) Reconciliation of movement in net cash \| \| 24 weeks to 13 June 2015 – unaudited £m \| 24 weeks to 52 weeks to 14 June 2014 27 December 2014 – unaudited – audited £m £m \| \|---\|---\|---\| \| Net cash at start of period Net increase/(decrease) in cash and cash equivalents (Decrease)/increase in short-term investments (Decrease)/increase in bank loans/prepaid loan fees Decrease in finance leases \| 217.7 \| 140.5 140.5 20.3 (7.8) – 85.0 0.2 (0.1) 0.1 0.1 \| \| \| 45.8 \| \| \| \| (40.0) \| \| \| \| (0.2) \| \| \| \| – \| \| \| Net cash at end of period \| 223.3 \| 161.1 217.7 \| \| Represented by: Cash at bank and in hand Short-term investments Bank loans/prepaid loan fees Finance leases \| \| 160.0 131.9 – 85.0 1.2 0.9 (0.1) (0.1) \| \| \| 177.7 \| \| \| \| 45.0 \| \| \| \| 0.7 \| \| \| \| (0.1) \| \| \| \| 223.3 \| 161.1 217.7 \| (c) Analysis of net cash Closing bank loans at 13 June 2015 comprise £0.6m disclosed in current assets, and a non-current asset of £0.1m. Both of these items represent the excess of prepaid loan fees over the amount of current and non-current borrowings which are drawn down at the period end. As previously announced, the Group's debt facilities are due to expire in July 2016. The short-term investments have a maturity of less than three months, and as such are considered to be cash equivalents for the purposes of the cash flow statement. Notes to the condensed financial statements continued 14 DISCONTINUED OPERATIONS There were no discontinued operations in the current period. All discontinued operations in the prior periods were discontinued exceptional items, and are analysed as follows: (a) Increase to discontinued property provisions During the 52 weeks to 27 December 2014, we increased the provision for our remaining legacy properties. (b) Release of discontinued interest accrual In prior periods, the Group had been accruing for possible interest which would be due in relation to overdue tax in the event that we were unsuccessful in our dispute with HMRC relating to discontinued operations (see (c) below). Following the partial resolution of this dispute, we obtained certainty that some of this accrual was no longer needed. We therefore released this amount. (c) Release of tax creditor for discontinued operations During the 52 weeks to 27 December 2014, the Group received a First Tier Tribunal judgement which gave a partial resolution of a dispute with HMRC, regarding the tax treatment of certain expenses relating to our legacy properties which had been incurred in prior periods. In prior years, we had prepared our tax computations for accounts purposes on the basis that the disputed expense items would not be deductible for tax, and we provided for tax on that basis. The judgement gave us certainty that particular expenses may be treated as deductible for tax, therefore we recognised a tax credit in the amount of our best estimate of the deductible expenses. Independent review report to Howden Joinery Group Plc We have been engaged by the company to review the condensed set of financial statements in the half-yearly financial report for the 24 weeks ended 13 June 2015 which comprises the income statement, the balance sheet, the statement of changes in equity, the cash flow statement and related notes 1 to 14. We have read the other information contained in the half-yearly financial report and considered whether it contains any apparent misstatements or material inconsistencies with the information in the condensed set of financial statements. This report is made solely to the company in accordance with International Standard on Review Engagements (UK and Ireland) 2410 "Review of Interim Financial Information Performed by the Independent Auditor of the Entity" issued by the Auditing Practices Board. Our work has been undertaken so that we might state to the company those matters we are required to state to it in an independent review report and for no other purpose. To the fullest extent permitted by law, we do not accept or assume responsibility to anyone other than the company, for our review work, for this report, or for the conclusions we have formed. DIRECTORS' RESPONSIBILITIES The half-yearly financial report is the responsibility of, and has been approved by, the directors. The directors are responsible for preparing the half-yearly financial report in accordance with the Disclosure and Transparency Rules of the United Kingdom's Financial Conduct Authority. As disclosed in note two, the annual financial statements of the group are prepared in accordance with IFRSs as adopted by the European Union. The condensed set of financial statements included in this half-yearly financial report has been prepared in accordance with International Accounting Standard 34, "Interim Financial Reporting," as adopted by the European Union. OUR RESPONSIBILITY Our responsibility is to express to the company a conclusion on the condensed set of financial statements in the half-yearly financial report based on our review. SCOPE OF REVIEW We conducted our review in accordance with International Standard on Review Engagements (UK and Ireland) 2410 "Review of Interim Financial Information Performed by the Independent Auditor of the Entity" issued by the Auditing Practices Board for use in the United Kingdom. A review of interim financial information consists of making inquiries, primarily of persons responsible for financial and accounting matters, and applying analytical and other review procedures. A review is substantially less in scope than an audit conducted in accordance with International Standards on Auditing (UK and Ireland) and consequently does not enable us to obtain assurance that we would become aware of all significant matters that might be identified in an audit. Accordingly, we do not express an audit opinion. CONCLUSION Based on our review, nothing has come to our attention that causes us to believe that the condensed set of financial statements in the half-yearly financial report for the 24 weeks ended 13 June 2015 is not prepared, in all material respects, in accordance with International Accounting Standard 34 as adopted by the European Union and the Disclosure and Transparency Rules of the United Kingdom's Financial Conduct Authority. Deloitte LLP Chartered Accountants and Statutory Auditor London, United Kingdom 22 July 2015 Financial calendar 2015 For more information about Howden Joinery, its products, philosophy and people, please visit www.howdens.com or our corporate website www.howdenjoinerygroupplc.com This document is printed on paper produced at a mill that is FSC and EMAS certified. FSC – Forest Stewardship Council. This ensures there is an audited chain of custody from the tree in the well-managed forest through to the finished document in the printing factory. Carbon Balancing by the World Land Trust tackles climate change through projects that both offset carbon dioxide (CO 2 ) emissions and conserve biodiversity.
Together We Can N.A. GROUPS OF THE FREE STATE REGION NEWSLETTER 217 N. Warwick Avenue • Baltimore, Maryland 21223 Regional Hot-Line: 1-800-317-3222 TOGETHER WE CAN JUNE-JULY 2021 “When we find ourselves disturbed by the turmoil of our world, we can find comfort in prayer and meditation.” (Just for Today, May 7th) Thought for the Month We gain self-respect when we follow through on commitments. These may begin with group service commitments: making coffee, chairing a meeting, and so forth. As our ability to follow through begins to grow, we take on larger challenges. Perhaps the biggest one is following through on our commitment to work the steps. One of our members suggests that it's not just the work we do in the steps, but the way we work the steps that sets the pattern for our lives. Living Clean: The Journey Continues Please submit items from your "Recovery Tool Box" N.A. HISTORY DID YOU KNOW … 1976. This is the year of the first World Service Conference and when copyrights were filed for our first six pamphlets, including Who, What, How, and Why; The Group; Another Look; and Recovery and Relapse. HOLD ON PAIN ENDS Have you done any SERVICE WORK lately? There are lots of ways to serve the fellowship … Choose a subcommittee and get involved, you'll be grateful you did! Editors for the June-July issue of "Together We Can" Curtis C. - Baltimore James A. - Baltimore Ericka N. - Baltimore Jonelle L. - Baltimore Milton W. - Baltimore Kim H. - Baltimore Nichole R. - Baltimore Peggy S. - NEFA "Sound Off" QUESTION OF THE MONTH Why is taking a searching and fearless moral inventory is necessary? Taking a searching and fearless moral inventory allowed me to take a deeper look inside myself to discover things that I thought I knew about myself that I really didn't know. Which helped me open the door to recovery. Curtis C. It's necessary for me because it allows me to see my patterns. I can see my good & not so good characteristics. Doing an inventory allows me to identify negative thoughts, emotions, and actions that have ruled my life. To take a deep look at me and to uncover the ugly forbidden life experience I've had. I can feel, deal, and heal. Also, it's just important to look at my good life experience to get my full truth. Then to get with other addicts with the fourth step experience to help further my understanding. This puts me in a better position to help another addict. The inventory helps lighten the load and fortify the foundation. Nicole Because it introduces you to the real you. It shows you your liabilities and your assets. Your triggers, patterns, old behaviors. Also shows you the new and improved you and getting better by each day that GOD lets me see. Shelia For me I had to go inside my spiritual temple and make a thorough amends to GOD and myself so that could make amends to other people. Moral inventory is an assessment of oneself, thoroughly taking the good in one's life and noticing those characters that are troublesome. Laverne To face our character flaws and to fearlessly face them. Jonelle L. The purpose of a searching and fearless moral inventory is to sort through the confusion and contradictions so we can find out who we really are. Juan Doing a searching and fearless moral inventory is necessary so I can recognize and deal with issues that causes me pain and confusion in my life, so I can find out who I really am. Anthony Fearless means with courage and it takes a lot of strength and courage to look at oneself. For me to grow internally, get to know who I really am. Learn my patterns, and to see I don't have a more deficiency, that's part of the reason to do a searching and fearless moral inventory. Verlie H. A searching and fearless moral inventory is necessary to get to know yourself. Bonnie Craig A searching and fearless inventory is necessary of ongoing recovery. The rest of the steps don't work without the process of sorting through the confusion and contradiction my thinking and my life. They might work on the surface but for a deeper level of recovery searching and fearless is necessary. Otherwise, eventually I will use drugs again. Also, a searching and fearless moral inventory is never complete. It may be appropriate and timely for that stage of my recovery but like an onion there are countless layers to my person and my disease for that matter. More is always being revealed. Exploration never ceases. Jetun It was necessary for me to do a searching and fearless moral inventory, Step 4, because I truly wanted and needed to get to know Katrina. Being as honest as possible with myself, relieved me of the junk I had been carrying around for years, that weighted me down. It darkened my spirit, it clogged my heart, and blurred my vision. What and who I thought I was, was far from the truth about Katrina. After I completed my first of many more to come, searching and fearless moral inventory, I looked at my life, situations, and experiences differently. My eyes are open, my vision is clear, and my spirit is free, free to be who I am today. Non-judgmental of others, willing to be lead and guided in my new way of life, open to change and becoming a better me. Katrina W. Thanks for listening Because that's the step where you learn about yourself and others and work on getting better with life on life's terms. Tina R For me, so much change has happened in my life since the last time I did a fourth step inventory, that I know it is the right time to repeat this process. Searching will be to examine all of the changes I'm changes I'm going through in my life and fearless will be how I need to pray and continue through the process in spite of any sad feelings that this is likely to bring up. That will allow healing to begin. James A. It is important to me because it gives me a place to go and call home and feel like I belong. Milton W. When I hold out my hands Let me give not take When in pain and joys of tears Let me be real, not fake When I'm asked to be a friend Let me open my heart Let me help by listening Let me do my part When a woman is in trouble Let me ask her what she needs When I open my mouth Let me be true Not only what I say But what I do too When I can be of service For a cause to help mankind Let me step outside myself And help the world shine When I feel my feelings And get scared and want to run Let me look inside myself And reach up for the sun When I am sick or hurting And just can't be alone Let me ask a friend for help Let me pick up my phone God let me feel my power Let me keep the faith in you Let me take us both along In all that I do Let me stay here Where my eyes can see God what I ask of you is… Let me be me. N.A. Readers N.A. Readers Write Write Let Me Be Reprinted from BASIC NEWS Multi-Area Newsletter of the Lower Mainland, May 11, 2021 The following articles are the opinions of the writers, and do not represent the opinion of this committee or the fellowship as a whole. We have given permission to all other Service Boards and Committees of the Fellowship of Narcotics Anonymous to reprint any material appearing in this publication. I've Found a New Home & Family Hello. I'm addict named "Scharmaine". I was introduced to recovery back in 1988. If I knew what I know now, back then, I would have more time right now. Bit its okay today because GOD has me right where I'm supposed to be. I say that because back then, I didn't want to believe that I was an addict, or that I had the disease of addiction that was out to kill me, no matter what. Today I know that all it took was a willingness to participate in my own self destruction. So, I continue to go back and forth with this daily struggle, knowing that I can't continue to live my life like that. Today, I know that there is hope. Once I admitted that I'm an addict, and accepted it, I became willing to change and get a sponsor. Among a few addicts who know how to do this thing called "recovery", it's been said that "You don't have to dance with everybody, but you have to dance with someone". Working and applying the steps allowed me to get a God of my understanding; learn the traditions concepts, and spiritual principles. You know I never thought that life could be so abundant, but it really is. Today I'm able to have brothers that are not my lovers, sisters – real women who are true to me and actually love me today. Recovery has taught me how to be a true friend in return. Even though I'm clean today, I still have struggles, but I never want what I had before I came the House of Narcotics Anonymous. To the newcomers: go to 90 meetings in 90 days. Get a GOD of your understanding. Get a sponsor and get into the process. Look for the winners and you too shall be a winner. A recovering addict named "Scharmaine" N.A. Readers Write This and That 48 Musts in Narcotics Anonymous as found in the Basic Text. 1. Everything that's occurs in the course of N.A service must be motivated by the desire to more successfully carry the message to the addict that suffers. Pg. xvi 24. We must live and work together as a group to ensure that in a storm our ship does not sink, and our members do not perish Pg. 60 Tradition One 2. We must always remember that as individual members, groups and service committees…Pg. xvi 3. We must face our problems and our feelings. Pg. 15 4. We are people with the disease of addiction who must abstain from all drugs in order to recover. Pg. 18 5. A second admission must be made before our foundation is complete. Pg. 21 Step One 6. We must be done with the past, not cling to it. Pg. 28-Step Four 7. Assets must also be considered…. Pg. 28 Step Four 8. Although He already knows, the admission must come from our lips to truly be effective Pg. 31 Step Five 9. We must make sure that they know who is to hear our Fifth Step. Pg. 31 Step Five 10. We must make sure they know what we are doing and why we are doing it. Pg. 31 Step Five 11. We must be exact Pg. 32 Step Five 12. We must realize that we are not perfect Pg. 35 Step Seven 13. Our experience tells us that we must become willing before this step will have any effect. Pg. 36 Step Eight 14. We must separate what was done to us from what we did to others. Pg. 37 Step Eight 15. As with each step, we must be thorough. Pg. 38 Step Eight 16. We must remember the pain that they have known Pg. 40 Step Nine 17. It is said that for our meditation to be of value, the results must show in our daily lives Pg. 46 Step Eleven 18. We must give freely and gratefully that which has been freely and gratefully given to us Pg. 47 Step Eleven 19. Our disease involved much more than just using drugs, so our recovery must involve much more than simple abstinence Pg. 53 20. We must give up this old concept and face the fact that reality and life go on Pg. 53 21. When we are prepared, we must try out our newly found way of life. Pg. 55 22. We must learn to adapt our life to the program Pg. 55 23. Unity is a must in Narcotics Anonymous. Pg. 60Tradition One 25. We must constantly be on guard that our decisions are truly an expression of GOD's will. Pg. 61- Tradition Two 26. AN atmosphere of recovery in our groups is one of most valued assets, and we must guard it carefully…Pg. 61 Tradition Two 27. We must remember that offices have been placed in trust…Pg. 61- Tradition Two 28. Our sixth Tradition tells us some of the things that we must do to preserve and protect our primary purpose. Pg. 66 Tradition Six 29. We must first understand what N.A. is…Pg. 70 Tradition Nine 30. In order to achieve our spiritual aim, Narcotics Anonymous must be known and respected Pg. 71 Tradition Ten 31. To improve ourselves takes effort, and sincere there is no way in the world to graft a new idea on a closed mind, an opening must be made somewhere. Pg. 75 32. We must relearn may things that we have forgotten and develop a new approach to life if we are survive. Pg. 77 33. We realize we must do something. Pg. 78 34. When we feel the old urges come over us, we think there must be something wrong with us…Pg. 79 35. We come here powerless…, but we must reach out for it Pg. 79 36. Recovery found in Narcotics Anonymous must come from within…Pg. 80 37. If we have relapsed, it is important to keep in mind that we must get back to meetings as soon as possible. Pg. 80 38. We must totally surrender ourselves to the program. Pg. 81 39. We must use what we learn, or we will lose it in a relapse Pg. 81 40. We must use what we learn, or we will lose it, no matter how long we have been clean Pg. 82 41. Eventually we are shown that we must be honest… Pg. 82 42. We must smash the illusion that we can do it again Pg. 82 This and That 13. They didn't use their sponsor 43. Staying clean must always come first. Pg. 82 N.A. Readers Write 14. The disease of addiction 44. Some things we must accept, others we can change. Pg. 92 15. People, places & things 16. Trying to lead an active lifestyle 45. We must be willing to do whatever is necessary to recover. Pg. 93 46. We never know when the time will come when we must put forth all the effort and strength, we have just to stay clean pg. 93 47. No matter how painful life's tragedy can be for us…, we must not use, no matter what! Pg. 98 48. In order to receive, we must be willing to give. Pg. 10 $3.00 looks so big when a basket is passed at an NA meeting, but so small when we take it to shore. Long 90 minutes are when serving Narcotics anonymous but so short when playing basketball. Difficult it is to read a step from our Basic Text but how easy it is to read 200 pages of a best seller. We can't think of anything when we pray (11th step) but don't have any difficulty gossiping. We need two- or three-weeks advance notice to fit an NA event into our schedule but have no problem adjusting to a social Neverson at the last minute. People scramble to get front seats at any concert but scramble but scramble for back seats at an NA meeting Difficult it is to share the message of recovery with others but how simple it is to talk about everything else. D.T. Reprinted from the September 1999 Issue-of Bronx NA Connection Why Do People Relapse? 1. Very simple, the desire to use 2. Because they forget where they come from 3. They stop working the program of NA 4. They are not grateful for their recovery 5. They didn't hit bottom 6. They are afraid of change 7. They had a reservation 8. They are running on self -will 9. They get tired of doing the work 10. They forget the pain drugs brought us 11. They didn't stay in the basics 12. They were not sharing their feelings 17. Pain 18. They stop making meetings 19. They think they are normal 20. They didn't surrender to the program 21. Isolation 22. They didn't work the first step 23. They are not ready to change 24. Some have to die so others can live 25. They want their old jail cells back Anonymous, Reprinted from the September 1999 Issue of Bronx NA Connection NO MATTER WHATS My name is Gwen, and I am an addict. I am grateful for my life and sanity and I'm grateful to be a part of this fellowship called, "Narcotics Anonymous." I remember when I first came around here a little over four years ago, hearing people share about "NO MATTER WHATS". I didn't have a clue what they were talking about, but you guys told me to keep coming back, that more would be revealed, and that's what I did. On September 6, 1999, the day after our area's first Convention. (It was also the day I turned 18 months clean) I experienced my first "NO MATTER WHAT". My father died. I was devastated and very angry. I was also grateful that my father lived to give me my first cake and died knowing that I was clean. The members of Narcotics Anonymous embraced me, surrounded me with love and support, and no matter what, I did not use. Last September, my son was shot in the head, paralyzed, unable to walk, talk or care for himself. After a few months of convalescence and rehabilitation therapy, and what the doctors called "remarkable" improvement, he was transferred to a rehabilitation therapy center, where I was told that I would soon be able to bring him home on passes. He was doing so well, and the GOD took him too. HOW WAS I GOING TO GET THROUGH THIS??????? Once again, I was embraced by you people. The support and love were overwhelming. The phone calls, messages, visits, etc. You guys were right there. Thank you. I am very grateful for the women and some of you men too, for helping me through the rough times. Today, I know without a doubt, that whatever happens, whatever I'm going through, whoever likes or dislikes me, and whatever else you can come up with, I don't have to use behind it and neither do you. – Gwen B. Step Five [Excerpt from, "Basic Text"] "We admitted to God, to ourselves, and to another human being the exact nature of our wrongs." Some of us tried to hide part of our past in an attempt to find an easier way of dealing with our inner feelings. We may think that we have done enough by writing about our past. We cannot afford this mist ake. This step will expose our motives and our actions. We cannot expect these things to reveal themselves. Our embarrassment is eventually overcome, and we can avoid future guilt. We do not procrastinate. We must be exact. We want to tell the simple truth, cut and dried, as quickly as possible. There s always a danger that we will exaggerate our wrongs. It is equally dangerous to minimize or rationalize our part in past situations. After all, we still want to sound good. EDITOR TO READERS: RELEASE FORM I hereby give the Narcotics Anonymous Fellowship, Together We Can, their successors, assigns and those acting on their authority permission to publish the attached original article(s), poem(s), or other written material pertaining to my personal experiences with or opinions about the N.A. Fellowship or program, I understand that my material may be edited. I further understand that every effort will be made to assure my anonymity. I possess full legal capacity to exercise this authorization and hereby release Together We Can and the Narcotics Anonymous Fellowship and its service boards and committees from any claim by myself, my successors and/or my assigns. __________________________________________________ Signature (first and last name) __________________________________________________ Date __________________________________________________ Witness Signature (first and last name) The following information is optional, and if supplied will be kept in complete confidence. It will help us to contact you if we have any questions about the material you submit. __________________________________________________ Address __________________________________________________ City, State and Zip Code __________________________________________________ Telephone 6 Tradition Five [Excerpt from, "It Works How and Why"] "Each group has but one primary purpose—to carry the message to the addict who still suffers." Tradition Five focuses the group's priority on carrying the message. Members can do many things to further our primary purpose. For example, we show our carw and our willingness to help by taking turns greeting people at the door, preparing lists of telephone numbers to distribute, or offering packets of literature to newcomers. When members come together as a group to undertake the task of carrying the message, they offer an attractive picture of recovery in action. Many meetings are structured to carry the message to our newest members. These new members often need more encouragement to stay, more answers to their questions, more of our love and care. But the newest members are not the only addicts who need the message of recovery. The still-suffering addict with whom we share our hope may be any one of us, regardless of clean time. Tradition Five is not limited to helping newcomers. The message of recovery is for all of us. TOGETHER WE CAN 217 N. Warwick Avenue Baltimore, MD 21223 Fax: 410-362-8505 E-mail: firstname.lastname@example.org Have You Called An N.A. Member Today?
Comparison of Efficacy of Labetalol versus Alphamethyldopa in the Management of Preeclampsia B Preethi 1 , B Sindhuja 2 1Assistant professor, Department of Obstetrics and Gynecology, Sree Balaji Medical College and Hospital, Chennai, Tamil Nadu, India, 2Senior Resident, Department of Obstetrics and Gynecology, Sree Balaji Medical College and Hospital, Chennai, Tamil Nadu, India Abstract Introduction: Hypertension is a common medical problem encountered during pregnancy and is associated with an increased risk of adverse outcomes. Preeclampsia is a multi-system disorder of unknown etiology, unique to pregnancy characterized by the occurrence of gestational hypertension along with proteinuria after the 20 th week of pregnancy in a previously normotensive and non-proteinuric patient. Aim: The aim of the study was to study the efficacy of oral labetalol versus oral Alpha-methyldopa in the management of preeclampsia. Methods: Hundred patients included in this study were assigned to two groups randomly of 50 patients in each group. Group 1: Tablet Alpha-methyldopa (Aldomet) 250 mg was given thrice daily, and Group 2: Tablet Labetalol 100 mg was given twice daily. Blood pressure (BP) and proteinuria were recorded every 12 th h. Results: Significant fall in the diastolic BP after 48 h occurred only in the labetalol group (P = 0.007). In the Alpha-methyldopa group, there was a significant need to increase the drug dose after 48 h (P = 0.043). There appears to be no significant difference in induction rate between the two groups (P = 0.585). The mean birth weight was significantly higher (P = 0.00) in the labetalol group (3.11 kg) compared to the alpha methyldopa group (2.67 kg). There was no significant difference in the Appearance, Pulse, Grimace, Activity, and Respiration scores (P = 0.090) and rate of neonatal admissions (P = 0.240) in both groups. Conclusion: Labetalol controls systolic and diastolic BP more rapidly and effectively than methyldopa. The safety profile and adverse effects of Labetalol and Methyldopa are similar to each other. Key words: Labetalol, Methyldopa, Pregnancy-induced hypertension INTRODUCTION Preeclampsia is a multi-system disorder of unknown etiology, unique to pregnancy characterized by the occurrence of gestational hypertension along with proteinuria after the 20 th week of pregnancy in a previously normotensive and non-proteinuric patient. [1] Gestational hypertension is defined as systolic blood pressure (BP) of 140 mm of Hg or more and Diastolic BP of 90 mm of Hg or more on two occasions, measured at least 6 h apart but within 7 days. [2] Proteinuria is defined as excretion of 0.3 g or more of protein in a 24-h urine sample or >1+ on the dipstick in a random sample after excluding urinary tract infection. [3] Access this article online www.ijss-sn.com Preeclampsia complicates 2–8% of pregnancies. [4] Preeclampsia can affect virtually every organ system in the body and is a major cause of maternal and perinatal mortality and morbidity. Pre-eclampsia, when not controlled or left untreated, can lead to catastrophes like Eclampsia, Abruptio placenta, HELLP syndrome, fetal growth restriction, and intrauterine fetal death. [5] Although the definitive treatment of preeclampsia is the termination of pregnancy, aggressive treatment is necessary to ameliorate the disease progression to carry on the pregnancy till adequate fetal maturity is obtained. Therefore, oral antihypertensive drugs have a major role in the management of pre-eclampsia. [6] A comparison is Month of Submission : 05-2021 Month of Peer Review : 06-2021 Month of Acceptance : 06-2021 Month of Publishing : 07-2021 Corresponding Author: Dr. B Sindhuja, Department of Obstetrics and Gynecology, Sree Balaji Medical College and Hospital, Chennai - 600 044, Tamil Nadu, India. 121 International Journal of Scientific Study \| July 2021 \| Vol 9 \| Issue 4 made here between labetalol and the commonly used drug Alpha-methyldopa in the management of pre-eclampsia. Aim The aim of the study was to study the efficacy of oral labetalol versus oral Alpha-methyldopa in the management of preeclampsia. MATERIALS AND METHODS This randomized prospective comparative study was conducted at the Institute of Social Obstetrics and Government Kasturba Gandhi Hospital for Women and Children, Triplicane, Chennai, on 100 patients diagnosed with preeclampsia and admitted in the Eclampsia ward from September 2010 to August 2011. The patients included in this study were assigned to two groups randomly of 50 patients in each group. Group 1: Tablet Alpha-methyldopa (Aldomet) 250 mg was given thrice daily and Group 2: Tablet Labetalol 100 mg was given twice daily. Inclusion Criteria All patients with gestational hypertension (more than 20 weeks of gestation till term), systolic BP of 140 mm of Hg or more, diastolic BP of 90 mm of Hg or more, and proteinuria (0.3 g in 24 h or more/1+dipstick or more) were included in the study. Exclusion Criteria Chronic hypertension, renal disease, liver disease, bronchial asthma, GDM, cardiac disease, and eclampsia were excluded from the study. Informed consent was obtained from these patients before administration of the drugs. BP was recorded every 12 th h. The treatment was continued till delivery if the BP is controlled. If the BP was not controlled within 48 h, the dose of drugs was doubled. BP was measured by a mercury sphygmomanometer over the right arm in the sitting position after a period of rest for 15 min. Korotkoff phase 5 was used to define diastolic BP. Proteinuria was detected using the sulfosalicylic acid test. The period of study was 1 year. The change in BP after 48 h need for induction, and mode of termination of pregnancy, birth weight, Appearance, Pulse, Grimace, Activity, and Respiration (APGAR) score, and neonatal admissions was recorded. The results were subjected to statistical analysis using the t-test and Chi-square test. RESULTS These 100 patients were assigned to two groups at random of 50 patients in each group. Group 1 was started on tablet Alpha-methyldopa 250 mg thrice daily, and Group 2 was started on tablet Labetalol 100 mg twice daily. Most of the patients in both groups were in the age group of 21–25 years. 42% of cases in Group 1 and 38% of cases in Group 2 were in the age group of 21–25 years. About 60% of women in Group 1 and 40% of women in Group 2 were primigravidae. About 40% of women in Group 1 and 58% of women in Group 2 were multigravidae [Table 1]. The difference between the mean gestational ages between the two groups is not statistically significant, in Group 1 37.90 ± 1.93 weeks and Group 2 37.90 ± 1.59 weeks ( P = 0.910). The difference between the mean BMI between the two groups is not significant, in Group 1 27 ± 3.28 and Group 2 27.30 ± 3.76 ( P = 0.671). Before drug administration, there is no statistical difference in systolic BP and diastolic BP. However, after drug administration, a significant fall in the diastolic BP after 48 h occurred only in the labetalol group (P = 0.007). During the time of delivery, there is no statistical difference in systolic BP and diastolic BP [Table 2]. About 36% of the cases in Group 1 needed an increase in the dose when compared to 18% in Group 2. There is a statistically significant need to increase the dose after 48 h in Group 1 compared to Group 2 (P = 0.043) [Table 3]. The need for induction in both Groups, 14% in Group 1 and 18% in Group 2 were induced with PGE2 gel [Table 4]. The mode of delivery in both the groups 44% of cases in Group 1 and 40% of cases in Group 2 underwent Emergency LSCS. About 36% of cases in Group 1 and 34% of cases in Group 2 were delivered by labor natural [Table 5]. The difference between the mean birth weights between the two groups is 442 g, which is statistically significant. The difference between the mean APGAR score between the two groups is 0.4, which is not statistically significant (P = 0.090). The need for NICU admission in both groups 10% of babies delivered in Group 1 and 4% of babies delivered in Group 2 needed NICU admission [Table 6]. DISCUSSION Preeclampsia is an important cause of maternal mortality and perinatal mortality and morbidity. Oral antihypertensive drugs have played a major role in controlling the disease progression, preventing eclampsia and other dreaded complications, prolonging pregnancy, and reducing fetal prematurity. Although methyldopa has been used routinely International Journal of Scientific Study \| July 2021 \| Vol 9 \| Issue 4 because of its safety profile, several controlled trials have suggested labetalol to be a better drug in controlling hypertension with the least side effects. A prospective study was carried out at City Hospital, Nottingham, the UK, in 1979. Nineteen patients with pregnancy induced hypertension (PIH) whose Mean arterial pressure was >103.3 mm of Hg were selected. They were randomly allocated to two groups. They were given either Labetalol 400 mg or Alpha methyldopa 750 mg daily. This dose was doubled 3 days later if satisfactory BP control had not occurred. Significant falls in BP only occurred in the group treated with labetalol, and daily BP control was better in this group. There was a higher incidence of spontaneous labor in the labetalol group and a significant difference in the Bishop score of the cervix between the two groups. There were no apparent detrimental effects on the fetus antenatally, during labor, or postpartum. [7] In our study, the initial daily dose of labetalol was 200 mg, and the initial daily dose of alpha methyldopa was 750 mg. The dose was increased after 48 h if satisfactory BP control had not occurred. Statistically, significant falls occurred only in the diastolic BP in the labetalol group after 48 h (P = 0.007). There was no statistically significant difference between the need for PGE2 induction between alpha methyldopa and labetalol groups. About 86% of cases in the alpha methyldopa group and 82% of cases in the labetalol group went in for spontaneous labor. Only 5% of babies born in the alpha methyldopa group and 2% of babies born in the labetalol group required NICU admission. This difference was also not statistically significant (P = 0.240). A prospective study (2005) was carried out at Al-Jahra Hospital, Jahra, Kuwait, to assess the efficacy and safety of labetalol compared with methyldopa in the management of mild and moderate cases of PIH. One hundred four primigravidae with PIH were randomly allocated to receive either labetalol (Group A) or methyldopa (Group B). The dose of the drugs was doubled every 48 h to maintain a mean arterial BP ≤103.6 mmHg. Ten patients in Group B (18.5%) developed significant proteinuria, whereas none developed proteinuria in Group A. Labetalol was quicker and more efficient at controlling BP, having a beneficial effect on renal functions and causing fewer side effects compared with methyldopa. The rate of labor induction and the cesarean section for uncontrolled PIH was less in Group A (48% and 1%, respectively) than Group B (63.0% and 5.6%, respectively). Moreover, a higher Bishop score at induction of labor was noticed in Group A. Labetalol is better tolerated than methyldopa, gives more efficient control of BP, and may have a ripening effect on the uterine cervix. [8] In our study, 44% of cases were in the alpha methyldopa group and 40% of cases in the labetalol group Table 1: Comparison of patient characteristics BP: Blood pressure, SBP: Systolic blood pressure, DBP: Diastolic blood pressure Table 3: Comparison of dosage Need to increase the dose Group 1 Group 2 No 32 41 Total P-value 73 0.043 Yes 18 9 27 Table 4: Comparison of induction Table 5: Comparison of mode of delivery LSCS: Lower segment Cesarean section Table 6: Comparison of neonatal characteristics APGAR: Appearance, Pulse, Grimace, Activity, and Respiration, NICU: Newborn intensive care unit 123 International Journal of Scientific Study \| July 2021 \| Vol 9 \| Issue 4 delivered by Emergency LSCS; 36% of cases in the alpha methyldopa group and 34% of cases in the labetalol group delivered by Labor Natural. In a Randomized controlled trial (1988), labetalol was compared with methyldopa in a randomized controlled trial involving 176 pregnant women with mild to moderate hypertension. Diastolic BP below 86 mmHg was obtained in a similar proportion of women given labetalol or methyldopa. Intrauterine death occurred in four women treated with methyldopa, and the one neonatal death on day 1 occurred in the labetalol group. The average birth weight and the proportion of preterm or small-for-gestational-age babies were similar in both groups. Heart rate, BP, blood glucose, respiratory rate, and Silverman score of the babies did not differ between the two treatment groups, whether the comparison was made for all the infants or only for preterm or small-for-gestational-age. These data indicate that maternal beta-blockade with labetalol is as safe as methyldopa for the fetus and the newborn. [9] In our study, there were no reports of intrauterine deaths. There was a statistically significant increase in the mean birth weight in the labetalol group when compared to the alpha-methyldopa group (3.11 kg and 2.67 kg, respectively, P = 0.001). CONCLUSION antihypertensive drugs are crucial in the management of maternal BP. Labetalol reduces systolic and diastolic BP more quickly and effectively than methyldopa, according to our study. In addition, labetalol has a ripening effect on the cervix, increasing the likelihood of spontaneous labor and normal vaginal delivery. REFERENCES 1. Gupte S, Wagh G. Preeclampsia-eclampsia. J Obstet Gynaecol India 2014;64:4-13. 3. Côté AM, Brown MA, Lam E, von Dadelszen P, Firoz T, Liston RM, et al. Diagnostic accuracy of urinary spot protein: Creatinine ratio for proteinuria in hypertensive pregnant women: Systematic review. BMJ 2008;336:1003-6. 2. Mammaro A, Carrara S, Cavaliere A, Ermito S, Dinatale A, Pappalardo EM, et al. Hypertensive disorders of pregnancy. J Prenat Med 2009;3:1-5. 4. Steegers EA, von Dadelszen P, Duvekot JJ, Pijnenborg R. Pre-eclampsia. Lancet 2010;376:631-44. 6. Kattah AG, Garovic VD. The management of hypertension in pregnancy. Adv Chronic Kidney Dis 2013;20:229-39. 5. Uzan J, Carbonnel M, Piconne O, Asmar R, Ayoubi JM. Preeclampsia: Pathophysiology, diagnosis, and management. Vasc Health Risk Manage 2011;7:467-74. 7. Pickles CJ, Broughton Pipkin F, Symonds EM. A randomised placebo controlled trial of labetalol in the treatment of mild to moderate pregnancy induced hypertension. BJOG Int J Obstet Gynaecol 1992;99:964-8. 9. Plouin PF, Breart G, Maillard F, Papiernik E, Relier JP. Comparison of antihypertensive efficacy and perinatal safety of labetalol and methyldopa in the treatment of hypertension in pregnancy: A randomized controlled trial. Br J Obstet Gynaecol 1988;95:868-76. 8. El-Qarmalawi AM, Morsy AH, Al-Fadly A, Obeid A, Hashem M. Labetalol VS. methyldopa in the treatment of pregnancy-induced hypertension. Int J Gynaecol Obstet 1995;49:125-30. Pregnancy-related hypertension is a leading cause of morbidity and mortality around the world. Therefore, How to cite this article: Preethi B, Sindhuja B. Comparison of Efficacy of Labetalol versus Alpha-Methyldopa in the Management of Preeclampsia. Int J Sci Stud 2021;9(4):121-124. Source of Support: Nil, Conflicts of Interest: None declared. International Journal of Scientific Study \| July 2021 \| Vol 9 \| Issue 4
1236715 research-article2024 IJOXXX10.1177/0306624X241236715International Journal of Offender Therapy and Comparative CriminologyLongpré and Turner 2024 Original Manuscript Dark Tetrad at Work: Perceived Severity of Bullying, Harassment, and Workplace Deviance Nicholas Longpré 1 and Sophie Turner 2 Abstract Although the Dark Tetrad has been linked to deviant behaviors, more research is needed about its expression in workplaces and continuity outside of work. The current study investigated the role of the antagonistic traits on perception of workplace harassment and bullying. Men were found to score higher on antagonistic traits and have a more lenient perception of harassment and bullying. Personality traits at work and outside were highly correlated. Regression analyses revealed that sadism predicted a more lenient perception of bullying, while a more lenient perception of harassment was predicted by sadism and industry type, and partially by psychopathy and gender. In summary, personality traits enduring across environments, but sadism was the most important predictor of a more lenient perception of harassment and bullying at work. The current study suggests a disparity between personality traits and expressed behaviors. Findings can be used to prevent workplace deviance and aid recruitment processes. Keywords Dark Tetrad, antagonistic traits, bullying, harassment, deviant workplace behavior 1 School of Law, Criminology & Policing, Edge Hill University, Ormskirk, UK 2Division of Psychiatry and Applied Psychology, School of Medicine, University of Nottingham, Nottingham, UK Corresponding Author: Nicholas Longpré, School of Law, Criminology & Policing, Edge Hill University, St Helens Rd, Ormskirk, L39 4QP, UK. Email: firstname.lastname@example.org International Journal of Offender Therapy and Comparative Criminology 1–21 © The Author(s) 2024 https://doi.org/10.1177/0306624X241236715 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/0306624X241236715 journals.sagepub.com/home/ijo Personality Personality structure and its impact on human functioning have been studied widely in the literature (Krstic et al., 2018). Recently, increasing attention has been given to three dark traits: Psychopathy, Machiavellianism, and narcissism. While psychopathy and narcissism are clinical disorders treatable under clinical or forensic supervision (Salekin, 2002; Weinberg & Ronningstam, 2022), all three traits can be studied in the general population in their milder forms, as sub-clinical disorders (Longpré et al., 2018; Paulhus & Williams, 2002). Sub-clinical dark traits are linked to morally, ethically, and socially questionable behaviors, but may not impede day-to-day functioning (Paulhus, 2014). Some even argue that these lower-level traits can be advantageous (Paulhus & Williams, 2002). Sub-clinical psychopathy, Machiavellianism, and subclinical narcissism have together been coined as the Dark Triad due to their commonality of manipulation, callousness, and lack of empathy (Paulhus & Williams, 2002). With the addition of everyday sadism, this concept has become the Dark Tetrad (Paulhus, 2014; Saravia et al., 2023). The sadistic pleasure in harming others adds a new dimension while maintaining its common core (Longpré et al., 2022; Plouffe et al., 2017). In this study, "antagonistic traits" (Miller & Lyman, 2019) will be used to refer to the Dark Tetrad traits (i.e., psychopathy, Machiavellianism, narcissism, and sadism). Clinical psychopaths show grandiosity, impulsivity, and disregard for social norms (Krstic et al., 2018). They often engage in unhelpful, even destructive, workplace behaviors, increase general workplace hostility, and take part in abusive supervision (Babiak et al., 2010; Babiak & Hare, 2006; Boddy, 2011; Mathieu & Babiak, 2016). The disinhibition and meanness dimension of the triarchic model of psychopathy were associated with counterproductive work behaviors (CWB; Kranefeld & Blickle, 2022). Machiavellians use manipulation and deception for personal gain and show a cynical disregard for morality (Jones & de Roos, 2016). Clinical narcissists desire attention and superiority and are exploitative in nature (Morf & Rhodewalt, 2001). Clinical narcissism is linked to behaviors such as delinquency, white-collar crime, and courtship violence and aggression (Amos et al., 2024; Jones, 2014). At a sub-clinical level, individuals with these traits may be poor team players and hypersensitive to criticism, causing outbursts of anger or aggression (Krstic et al., 2018). Sadism and everyday sadism are defined by the infliction of humiliation, cruelty, and aggression on others for subjugation or pleasure (Longpré et al., 2018; Plouffe et al., 2017). It has also been linked to sexual and non-sexual offending (Longpré et al., 2020). Everyday sadists can function as part of society whilst gaining pleasure directly or indirectly (e.g., vicariously) from others' sufferings without violating the law (Paulhus & Dutton, 2016; Plouffe et al., 2017; Saravia et al., 2023). In summary, the impact of the Dark Tetrad and its antagonistic traits are far-reaching due to the ability to function in society, while acting in a deviant or antisocial manner (Paulhus & Williams, 2002). Individuals presenting higher level of antagonistic traits are more inclined to commit bullying (Geel et al., 2017) and stalking (Tachmetzidi Papoutsi & Longpré, 2022), as well as having a more lenient perception of sexual harassment and sexual coercion (Saravia et al., 2023), and holding more Rape Myths (Longpré et al., 2022). As such, this has become a worthy topic of research. One of the lines of research is the effect of these antagonistic traits on workplaces' behaviors and perceived severity. Workplace Deviance Workplace deviance is defined as "voluntary behavior that violates significant organizational norms and in so doing, threatens the well-being of an organization, its members, or both" (LeBreton et al., 2018). Counterproductive work behavior (CWB) is another term used interchangeably; however, this concept omits a violation of the organizational norms (O'Boyle et al., 2010). Research on workplace deviance has increased due to the negative consequences on organizations and employees (LeBreton et al., 2018). Workplace deviance can be linked to changes in productivity, job satisfaction, staff turnover, mental health issues, and suicide (Mathieu & Babiak, 2016; Pearson & Porath, 2005). Workplace deviance has been studied regarding the influence of situational and environmental factors such as job security, satisfaction, and injustice. Individual differences have focused on aspects such as cognition, stress, and self-esteem (Ferris et al., 2010). One of the most welldocumented areas of discussion is the influence of personality traits on general job performance as well as deviant workplace behaviors and perceived severity (Mathieu & Babiak, 2016; Tett et al., 2006), which is, in part, the focus of the current research. Harassment and Bullying at Work Bullying and harassment are mistakenly used interchangeably, with bullying often regarded as a sub-type of harassment. However, there are notable differences between both constructs (ACAS, 2023). Bullying is defined as "unwanted conduct that violates people's dignity or creates an intimidating hostile, degrading, humiliating or offensive environment" (ACAS, 2023). It can be physical, verbal, or psychological (Baughman et al., 2012). General harassment is defined as any non-sexual, interpersonal, negative workplace behaviors which violate organizational norms, such as those within the concept of "workplace deviance" (Baughman et al., 2012). Finally, sexual harassment is defined as "unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature" (Sims-Knight & White, 2018). Harassment and sexual harassment are covered under the Equality Act 2010 (UK), but not bullying (ACAS, 2023). Bullying and harassment are considered as sub-categories of workplace deviance (Zappalà et al., 2022). The literature suggests a persistent and underreported workplace harassment across organizations (Amos et al., 2024; Sims-Knight & White, 2018). A need for increased awareness has been raised along with the importance of prevention and response strategies. When it comes to sexual harassment in the workplace, the negative outcomes are similar to those of general workplace deviance (Sims-Knight & White, 2018). Experiencing harassment can increase rates of illness, injury and assault and the effects are enduring over time creating emotional and physical costs for organizations and employees (Stoica, 2021). Dark Triad at Work Bullying, CWB, and general workplace deviance are likely the most studied constructs within antagonistic traits at work (Jonason et al., 2012). One meta-analysis found a significant positive association between antagonistic traits and CWB (O'Boyle et al., 2010). Sub-clinical narcissism was the strongest predictor of CWB, followed by Machiavellianism, while sub-clinical psychopathy reduced CWB. These findings have been replicated (i.e., Stoica, 2021). In contrast, research conducted in Pakistan, Turkey, and China found sub-clinical narcissism to be the only trait with no relationship to CWB (Cohen & Liu, 2021; Koçoğlu, 2020; Rizvi & Siddiqui, 2023). It is hypothesized that this relationship may be more prominent in individualistic Western cultures. Finally, sub-clinical psychopathy was found to be the only predictor of CWB in another study (George & Lavinia, 2021). Previous studies have revealed that psychopaths are more prevalent in high-level manager positions (i.e., 4%) than found in the general population (i.e., 1%) and that psychopathic traits have been associated to dysfunctional leadership, causing significant psychological distress to their employees (Babiak et al., 2010; Babiak & Hare, 2006) and higher employee turnover (Mathieu & Babiak, 2016). Jonason et al. (2012) found that Machiavellians and sub-clinical psychopaths use more manipulation at work than those scoring high on sub-clinical narcissism and those scoring low on all constructs. However, those scoring high on all three antagonistic traits used more hard manipulation tactics (i.e., forceful, aggressive, and to the point) than soft manipulation tactics. When assessing bullying behaviors, Baughman et al. (2012) found sub-clinical psychopathy to be the best predictor, followed by sub-clinical narcissism and Machiavellianism. This supports previous research on corporate psychopaths and bullying in the workplace (i.e., Boddy, 2011). Boddy (2011) also found that sub-clinical narcissists engaged significantly more in indirect forms of bullying, possibly attributed to a need to uphold social standing. Associations between workplace bullying, sub-clinical narcissism, and Machiavellianism have been found in further research (Linton & Power, 2013). It has been shown that the antagonistic traits are related to higher endorsement of Rape Myths (Longpré et al., 2022) and to a more lenient perception of sexual harassment and sexual coercion (e.g., Saravia et al., 2023), with harassment being part of a continuum of sexual violence, ranging from sexual harassment, to coercion, to rape, and to sexual homicide (Longpré et al., 2020). This would suggest a link between these traits and a lenient perception harassment in the workplace. Sub-clinical psychopathy predicted a more lenient perception of harassment (Longpré et al., 2022), but further research is needed to properly ascertain this association in a workplace setting. Outside of the workplace, Zeigler-Hill et al. (2016) found an association between all antagonistic traits and sexual harassment proclivity. Dark Tetrad at Work Fernández-del-Río et al. (2020) found positive correlations between all four antagonistic traits and workplace bullying, with sub-clinical sadism showing the strongest correlation. Furthermore, with the addition of sub-clinical sadism into a predictive model, sub-clinical psychopathy was no longer a significant predictor. Sub-clinical psychopathy, Machiavellianism, and sub-clinical sadism also predicted traditional bullying behaviors, but sub-clinical narcissism did not. These findings were replicated in the context of CWB (Fernández-del-Río et al., 2020). In contrast, another study found a positive association between sub-clinical psychopathy and Machiavellianism but not with sub-clinical sadism or narcissism (Mushtaq, 2021). The authors suggested this may be due to vicarious sadists preferring to observe cruel behavior rather than engage in it. All four antagonistic traits have also shown to positively correlate with workplace deviance, with sub-clinical sadism being a unique predictor of interpersonal CWB and bullying (Thibault & Kelloway, 2020). The authors have suggested that the focus of this behavior may stem from a desire to hurt others. Min et al. (2019) also found sub-clinical sadism to predict workplace deviance and bullying over and above the Dark Triad. The literature on sexual harassment and the Dark Tetrad is generally limited to nonorganizational contexts. Smith et al. (2018) found that Machiavellians had selfish reasons and sub-clinical psychopaths were not motivated by consistent partnership. Findings that the Dark Triad correlated with revenge porn proclivity, a type of sexual harassment, is consistent with previous research. A recent study found that higher sadistic traits were associated with more lenient perceptions of harassment (Saravia et al., 2023). While the current study focuses on perception of harassment and bullying, similar to the high concordance between fantasy and behavior (de Roos et al., 2024), studies have shown that perception and behavior are highly intertwined (Chartrand et al., 2006). Results from previous studies indicate that even in small dose, antagonistic traits have an influence on perception (e.g., Longpré et al., 2022), attitudes (e.g., Szabó et al., 2023), and behaviors (e.g., Tachmetzidi Papoutsi & Longpré, 2022), which in turn can influence each other. Gender Differences Overall, previous studies have shown that antagonistic traits are present across genders, but at different levels (Amos et al., 2024; Longpré et al., 2022). However, men are usually endorsing more antagonistic traits than women (Paulhus & Williams, 2002), with psychopathy and sadism presenting the biggest effect size (Amos et al., 2024). While men report more CWB (Fernández-del-Río et al., 2020), to our knowledge, no study has assessed gender differences for Dark Tetrad and bullying at work. Finally, studies have revealed that men have a more lenient perception of harassment (Beckett & Longpré, 2022; Saravia et al., 2023). Pitfalls Within the Research and Aims Inconsistencies in the research make it difficult to compare findings meaningfully across contexts (Thrasher et al., 2019). For example, single behavioral constructs such as employee theft, harassment, lying, violence, aggression, and sabotage have been studied in isolation (e.g., Amos et al., 2024). Umbrella terms such as "workplace aggression" miss the subtle differences between behaviors such as bullying and sexual harassment. Finally, there is limited research looking into the influence of antagonistic traits and perception of severity in the organizational context. It would be beneficial for organizations to enhance understanding the link between the Dark Tetrad and perception of harassment and bullying to improve detection and prevention. The overall aim of the present study is to expand our understanding of the antagonistic traits in organizational context. The first aim will explore whether there is an association between the antagonistic traits and gender. The second aim is to explore potential correlations between all study measures, and importantly between the two measures (Dark Tetrad at Work Scale; The Short Dark Tetrad [SD4]) of the Dark Tetrad). Finally, the third aim is to understand the main predictors for perception of bullying at work and perception of harassment. A set of open-ended questions gathering qualitative insight will be used to support findings and add context. Based on previous studies, it is hypothesized that: H1: Men will present more antagonistic traits than women. H2: The antagonistic traits will correlate positively with a lenient perception of bullying and harassment, and that the two measures of the Dark Tetrad will correlate with each other. H3: Sub-clinical sadism, in general and at work, will be the best predictors of a lenient perception of harassment and bullying. Methods Participants The participants for the current study (N= 138) were recruited from the general population. Due to missing data (i.e., one scale or more), some participants (n= 20) were removed. No other participants were removed because of high social desirability score, outlier score, or appearance of response inconsistency. In the final sample (N= 118), a majority of participants were women (n= 74; 62.7%) and ranged between 18 and 66 years old, with a mean age of 30.31 years old (SD= 10.83). The majority of the sample had a postgraduate degree (n= 50; 42.4%), worked in non-caring roles (n= 76, 64.4%) and in manager positions (n= 65; 55.1%). All participants were recruited in England and Wales and were employed. No other demographics were collected. For more details, see Table 1. Table 1.Sample Demographics. Procedures and Ethics This project received ethical approval from a university in England. All responses were gathered through Qualtrics, an online survey tool. The Qualtrics link was sent to the mailing list of several businesses spanning a range of occupations and industries. Participation did not receive any financial compensation. The consent form warned of sensitive topics, right to withdraw, anonymity as well as confidentiality of the survey. At the end, participants were given mental health and victim support information. Measures Industry. Participants were asked to specify in which industry they were employed, and answers were merged under one of the six categories: (1) Tech, Finance, Business, and Law, (2) Caring, (3) Creative, Entertainment, Media, and Sport, (4) Good and Services, (5) Manual Labor and Property, and (6) Education and Other. Dark Tetrad at Work Scale (Thibault & Kelloway, 2020). This scale composed of 22 items measuring the Dark Tetrad (i.e., psychopathy, Machiavellianism, narcissism, and sadism) within workplace settings. The scale is scored on a 5-point Likert-style scale (1—Strongly Disagree; 2—Disagree; 3—Neither Agree nor Disagree; 4—Agree; and 5—Strongly Agree). A higher score is indicating a higher level of individual traits. An example of an item is "I am much more valuable than my co-workers." In the original study, the authors reported an overlap between items from the sadism subscale and from the psychopathy subscale. Therefore, to ensure that this cross-loading was not an inherent issue with the scale, exploratory factor analyses (EFA) with Promax rotation were conducted. Overall, EFA are showing that items from each subscale are falling under different factors, with some minor overlap, supporting the idea that the original cross-loading findings might be sample-related (see Supplemental Table 1). Further studies using this scale (i.e., Barry, 2020; Fernández-del-Río et al., 2020) have reported good internal consistency, good predictive validity, and unique contribution of each antagonistic trait. In the original study, the authors have reported Cronbach's alpha of .78 for narcissism, .81 for Machiavellianism, .88 for psychopathy, and .94 for sadism. In the current study, the Cronbach's alphas were .73, .79, .73, and .78, respectively. The Short Dark Tetrad (SD4; Paulhus et al., 2021). This scale is composed of 28 items that measure the 4 antagonistic traits: psychopathy, Machiavellianism, narcissism, and sadism. The scale is scored on a 5-point Likert-style scale (1—Strongly Disagree; 2—Disagree; 3—Neutral; 4—Agree; and 5—Strongly Agree). A higher score is indicating a higher level of individual traits. An example of an item is "watching a fistfight excites me." The authors reported Cronbach's alpha of .83 for narcissism, .78 for Machiavellianism, .82 for psychopathy, and .82 for sadism. In the current study, the Cronbach's alphas were .75, .70, .67, and .76, respectively. Perception of Harassment Scale (MIDSA, 2011). This 24-item scale is an amended version of the MIDSA Harassment Scale and measures perception of harassment. The amended version of the scale was used in previous studies (i.e., Longpré et al., 2022; Saravia et al., 2023) and provided stable and consistent results. The scale is scored on a 4-point Likert-style scale (1—Strongly Agree; 2—Agree; 3—Neutral; 4—Disagree; and 5—Strongly disagree). A higher score on this scale indicates perceptions of harassment as more unacceptable. An example of an item is "I think it's acceptable to circulate sexual or embarrassing pictures or videos electronically." The original study reported a Cronbach's alpha of .94. The Cronbach's alpha was .87 in the current study, consistent with prior studies. Perception of Bullying at Work Scale (Escartín Solanelles et al., 2009). This scale is composed of 35 items measuring perceptions of bullying in the workplace. The scale is scored on a 0 to 10 rating scale (0 being "no bullying" to 10 being "most severe bullying"). A higher score on this scale indicates perceptions of bullying as more unacceptable. An example of an item is "Insult or laugh at someone without provocation." The original study reported a Cronbach's alpha of .77. The current study yielded a Cronbach's alpha of .88. Marlowe Crowne Social Desirability Scale Short Form (Reynolds, 1982). This scale is composed of 13 items measuring the likelihood that participants will respond to questions in a socially desirable way. Each question is scored either "true" or "false." A higher score indicates a more socially desirable response tendency. An example item is "I am always courteous, even to people who are disagreeable." Previous studies have reported Cronbach's alpha ranging between .70 and .80. The current study yielded a Cronbach's alpha of .64. Open-ended questions. Participants were asked five open-ended questions, specifically designed for this study, to assess participants' views on committing deviant behaviors at work. An example item is "What kind of tactics or behaviours have you used in the workplace to gain status, power, or success that you would not use in your day-to-day life?" These questions were used to support the interpretation of results. Analyses An a priori power analysis was conducted using GPower (version 184.108.40.206) to determine the minimum sample size required to test the hypotheses. Results indicated the required sample size to achieve 80% power, at a significance criterion of α= .05, was N= 82 for detecting a medium effect for Pearson's moment correlations with effect size p value sets at .30; N= 115 for detecting a medium effect for Student's t-tests with effect size d value sets at .50; and N= 116 for multiple linear regressions with 9 predictors and effect size F 2 value sets at .15. Thus, the sample size of N= 118 is adequate to test the study hypotheses across analyses. Skewness and kurtosis values are ranging between −2 and +2, indicating normal distribution of data. At a bivariate level, first, Student's t-tests were conducted to assess gender difference on the score of each scale. Furthermore, Cohens' d scores were provided to assess the specific effect size of each group difference. Second, Pearson's moment correlations were conducted to assess the relationship between each scale. Finally, multiple linear regressions were performed to assess which variables predicted: (1) Perception of harassment and (2) Perception of Bullying. Analyses were conducted with Statistical Package for Social Sciences (SPSS) Version 29 (IBM, New York, USA). Results Independent Samples t-tests: Gender Differences Independent samples t-tests revealed a significant difference between men and women on their scores of general Machiavellianism t(111) = 2.40, p= .02, general narcissism t(111) = 3.20, p= .002, general sadism t(111) = 4.63, p <.001 and general psychopathy t(111) = 3.62, p <.001, with men reporting more antagonistic traits than women. Furthermore, independent samples t-tests revealed a significant difference between men and women on their scores of Machiavellianism at work t(114) = 1.88, p= .03 (one-tailed; non-significant at two-tailed), narcissism at work t(114) = 2.43, p= .02, sadism at work t(114) = 1.90, p= .03, and psychopathy at work t(114) = 3.22, p= .002, with men reporting more antagonistic traits at work than women. Independent samples t-tests also revealed a significant difference between gender on their perception of harassment t(110) = −3.00, p= .003, and perception of bullying at work t(110) = −2.55, p = .01, indicating that women have a greater perception of harassment and bullying at work than men. Cohen's d revealed effects ranging from small (Machiavellianism at work, Cohen's d= .362; Sadism at work, Cohen's d= .365) to moderate (Psychopathy at work, Cohen's d= .629; General psychopathy; Cohen's d= .704) to large (General sadism, Cohen's d= .900). For more details, see Table 2. Table 2.Results of Independent Sample t-Tests and Descriptive Statistics for Main Scales by Gender. Note: X = one-tailed. p <.05. p <.01. p <.001. Pearson's r Correlation Pearson's r correlation showed that most scales significantly correlated with each other. As expected, the Dark Tetrad at Work scale was highly correlated with the Short Dark Tetrad, suggesting that antagonistic traits are stable across a work and non-work environment. Furthermore, antagonistic traits at work negatively correlated with perception of harassment and perception bullying at work, with higher antagonistic traits indicating a lower perception. Correlations ranged from r= −28 and r= −.59 for perception of harassment and from r= −.21 and r= −.40 for perception of bullying at work. More details are presented in Table 3. Multiple Linear Regressions Multiple linear regressions were conducted to assess which variables predicted a more lenient perception of harassment and perception of bullying at work. Predictors used in the analysis were age, gender (men = 1; women = 2), type of industry (non-care role = 1; care role = 2), leadership position (manager = 1; non-manager = 2), and social desirability. For both perception of harassment and perception of bullying at work, one regression was conducted with the Dark Tetrad at work and one with the SD4. Before interpreting the results, variance inflation factor (VIF) scores were examined. For the Dark Tetrad at work models, VIF scores were ranging between 1.001 and 1.667, and for the SD4, VIF scores were ranging between 1.004 and 1.467, indicating no issues with multicollinearity. Perception of harassment. The first regression, using the Dark Tetrad at work, indicated that the model explained 34.1% of the variance and the model was a significant Table 3.Correlations Across Scales (Total Score). p <.05. **p <.01. predictor of perception of harassment (F= 26.70, p <.001, R 2 = .341, R 2 Adjusted = .329). Gender (β= −.165, t(90) = −2.003, p= .048) significantly predicted a more lenient perception of harassment, as did industry (β= −.162, t(90) = −2.006, p= .048), psychopathy at work (β= −.267, t(90) = −2.583, p= .001), and sadism at work (β= −.378, t(90) = −3.661, p= .001). No other variables were significant predictor of a more lenient perception of harassment. For more details, see Table 4. The second regression, using the General Dark Tetrad, indicated that the model explained 39.1% of the variance and the model was a significant predictor of a more lenient perception of harassment (F= 32.77, p <.001, R 2 = .391, R 2 Adjusted = .379). Industry (β= −.190, t(90) = −2.449, p= .016) and general sadism (β= −.615, t(90) = −7.921, p= .001) significantly predicted a more lenient perception of harassment. No other variables were significant predictor of a more lenient perception of harassment (see Table 5). Perception of bullying at Work. The third regression, using the Dark Tetrad at work, indicated that the model explained 21% of the variance and the model was a significant predictor of a more lenient perception of bullying at work (F= 5.19, p= .027, R 2 = .21, R 2 Adjusted = .17). Sadism at work was the only significant predictor of a more lenient perception of bullying at work (β= −.21, t(80) = −2.24, p= .027). No other variables were significant predictors of a more lenient perception of bullying. For more information, see Table 4. The fourth regression, using the General Dark Tetrad, indicated that the model explained 19% of the variance and the model was a significant predictor of perception of a more lenient bullying at work (F= 4.27, p= .029, R 2 = .19, R 2 Adjusted = .16). Sadism at work was the only significant predictor of a more lenient perception of bullying at work (β= −.212, t(80) = −2.210, p= .025). No other variables were significant predictors of a more lenient perception of bullying. For more information, see Table 5. Table 4.Multiple Linear Regression with Dark Tetrad at Work Predicting Perception of Harassment and Bullying at Work. Table 5.Multiple Linear Regression with General Dark Tetrad Predicting Perception of Harassment and Bullying at Work. Discussion The present study aimed to explore the influence of the Dark Tetrad on the perception of bullying and harassment in the workplace. Furthermore, this study aimed to explore the impact of gender on the level of antagonistic traits as well as exploring the correlations between the Dark Tetrad at Work scale and the Short Dark Tetrad. As hypothesized, analysis revealed that men scored higher on both Dark Tetrad scales and were more likely to have more lenient perceptions of bullying and harassment. The two measures of the Dark Tetrad correlated with each other, suggesting that personality traits are stable across environments. As hypothesized, the antagonistic traits correlated with a more lenient perception of bullying and harassment. Finally, regression analyses revealed that industry, gender, general sadism, sadism at work, and psychopathy at work were predictors of a more lenient perception of harassment, but sadism and sadism at work were the only significant predictors of a more lenient perception of bullying at work. This partially supported the third hypothesis. The implications will be discussed along with the impact of the antagonistic traits on the perception of harassment and bullying at work. Open-ended questions assessing participants' views on committing deviant behaviors at work will be used to support the discussion. These findings have several implications, ranging from exploring which personality traits can predict potential predispositions toward harassment and bullying at work, to offering a much-needed empirical foundation in the development of effective prevention strategies. Implications Personality across environments. The results of the current study show that antagonistic traits are relatively stable between workplace and personal life. This is consistent with previous studies which revealed that personality traits are relatively stable across situations and that workplace personality traits highly correlate with general personality traits (Thibault & Kelloway, 2020). Therefore, we would expect similar expressions of the antagonistic traits across environments. Although a measure of the Dark Triad has been found to correlate with the Dark Tetrad at Work Scale (Thibault & Kelloway, 2020), to our knowledge, this is the first study to compare the Dark Tetrad at Work scale with the SD4. As a result, this finding makes a unique contribution to the existing literature. When asked about this in an open-ended question, most said they felt they behaved differently at work and in their day-to-day life. This finding suggests that although personality traits may be stable, the associated perception behaviors may not. Hyde and Grieve (2018) found subtle differences in emotional manipulation in the workplace and day-to-day life, with individuals using more emotional manipulation in the workplace; however, the authors mentioned that further research was needed. There could be different reasons for these variations. First, people may not be conscious of similar behaviors outside of a work setting, or do not realize which behaviors negatively impact others. Second, it could be the case that in a sub-clinical population, behaviors can be controlled in such a way that they are only employed as part of employment progression, otherwise unneeded in day-to-day life. Holland (1997) suggests in the Career Choice Theory that individuals make career choices based on what they feel will fulfill their needs. It could be said that those scoring higher on the antagonistic traits have their associated needs met through their role at work and therefore do not need to employ manipulative, sadistic, or general deviant behavior outside of the workplace. The question of why some individuals may choose to engage in this specific behavior outside of work but not in the workplace remains opened. Analyses revealed discrepancies between correlations and regressions on the contribution of each antagonistic trait. At a bivariate level, all antagonistic traits at work, and general antagonistic traits were predicting a more lenient perception of harassment, while only narcissism at work and general narcissism were not predicting a more lenient perception of bullying, indicating a similar expression of the antagonistic traits across environments. However, at a multivariate level, slightly different patterns were revealed, with Machiavellianism (both general and at work) losing its predicting power for perception of harassment and bullying, and narcissism (both general and at work) losing its predicting power for perception of harassment. These inconsistencies might be explained by overlapping features of antagonistic traits. Lynam et al. (2016) showed than when studying highly correlated predictors, such as the antagonistic traits, regression analyses can obscure what is left of a predictor once the common variance with the other independent variables is removed. As such, focusing on the interaction of antagonistic traits, underlying perception, and resulting behaviors, as separate factors, would increase our understanding of personality traits, the unique contribution of each trait, and its impact across environments. Furthermore, it would help to clarify the unique versus shared variance of antagonistic traits, which could increase the effectiveness of prevention programs by targeting specific traits linked to specific antisocial or unethical behaviors, with a focus on the underlying mechanisms and cognitions. The implications for this within clinical practice relate to the possibility that people are less likely to adhere to socially acceptable behaviors in the workplace in order to progress. Perceived severity and behaviors are expressions of personality traits and can be used strategically (Mathieu, 2013). Organizations should consider employees' personal traits as well as the organizational culture when implementing strategies that aim to reduce unethical workplace behavior. Sadism and workplace. The results are in line with previous findings which indicates that sub-clinical sadism is an important predictor of a lenient perception of inappropriate behaviors, often over and above the other traits (e.g., Saravia et al., 2023; Thibault & Kelloway, 2020). Furthermore, results indicate that individuals holding a more lenient perception of bullying and harassment in the workplace are more likely to score higher on general sadism and sadism at work than any other traits. Interestingly, only general sadism and sadism at work predicted a more lenient perception of bullying at work. In contrast, psychopathy at work, industry, and gender were predictor of a more lenient perception of harassment at work. As such, it can be hypothesized that sadistic traits and psychopathic traits can lead to different perception of inappropriate workplace behaviors. Sadism is motivated by the enjoyment of harming others or seeing others suffer (Plouffe et al., 2017), while psychopathy is defined by higher levels of impulsivity and callousness (Paulhus & Williams, 2002). This could explain the discrepancies between the perception of inappropriate workplace behaviors and support why sadists rely more on bullying than psychopath, which includes elements of cruelty. Furthermore, sadists have more widespread sadistic tendencies and also find that harassment meets their needs and motivations. Open-ended questions suggest that people are aware and knowingly use certain behaviors related to the antagonistic traits to achieve workrelated goals and these are generally behaviors which aim to make themselves look favorable in comparison to others. These findings are useful in preventing inappropriate workplace behaviors which are detrimental to organizations. Research on workplace deviance has focused on victim traits, victim support and prevention from a victim point of view. However, it has been shown that understanding the motives of the perpetrator is just as valuable, and personality testing as part of recruitment has been cited as useful on numerous occasions (e.g., Amos et al., 2024). Personality assessments within organizations have, however, focused mainly on the Big Five personality traits of extraversion, agreeableness, openness, conscientiousness, and neuroticism (Wiggins, 1996). Alongside this, Boddy (2011) asserts that an increase in "shallow" recruitment processes are influencing the increasing number of destructive leaders taking up roles in corporate and public organizations. Based on the current field of research, assessing for the antagonistic traits may be a way of helping organizations reduce harmful behaviors committed by their employees, thereby increasing staff wellbeing, and improving organizational output. Narcissism, Machiavellianism, and bullying. Narcissism, with Machiavellianism, was the only personality traits that were not correlated with a more lenient perception of harassment at work, in contradiction to the second hypothesis. Research has previously shown sub-clinical narcissism to correlate with negative workplace behaviors (Fernández-del-Río et al., 2020). This result is surprising given the characteristics of sub-clinical narcissism. Their sense of entitlement and superiority often leads to bragging, aggressiveness when preserving their ego and a tendency to exploit other in order to achieve their desired goals (Paulhus & Williams, 2002). This, in turn, would suggest a propensity toward more lenient views on bullying. One disparity could lie between the scales used. The bullying scale used in the current study was designed to measure the perception of specific workplace behaviors, while the harassment scale is a measure of general perception. This could suggest a stronger link between sub-clinical narcissism and general bullying rather than bullying at work (i.e., if the scale was not work specific, a significant correlation may have been found). It is important to note that the overlapping features of the antagonistic traits might have impacted our findings. As such, the lack of significant relationship between narcissism, Machiavellianism, and a more lenient perception of harassment at work and a more lenient perception of bullying at work might be explained, in part, by the overlapping features with psychopathy and sadism, and results should be interpreted with this in mind. Findings suggest that workplace bullying is not the chosen tactic when aiming to progress or achieve work-related goals. However, it suggests that narcissistic and Machiavellian traits are associated with workplace deviant behaviors. For example, narcissists may find that subtle and repeated harassment over time is more likely to further their career and outright bullying may cause disputes, which may negatively impact their inflated sense of self and reputation. This was partially supported by open-ended answers. Baughman et al. (2012) suggest sub-clinical narcissists engage more in indirect bullying and therefore it could be the case that the present bullying scale was not able to capture these subtle behavioral differences. This theory is in line with some of the supporting quotes such as participants highlighting colleagues' errors and taking work matters above a direct line manager to support career goals. This suggests more indirect and work oriented behaviors rather than direct bullying such as behaviors of a physical nature or commenting on colleagues' personal characteristics. Therefore, antagonistic traits, with the influence of situation or "state" personality, may lead the individual to consciously choose certain behaviors favorable to them. The overall results suggest that dependent on an individual's unique score on the Dark Tetrad, this may influence their perception of harassment and bullying, and their potential choice of deviant behavior in the workplace. An increased understanding of the motivations behind deviant workplace behaviors committed will support organizational intervention and treatment planning (Babiak et al., 2010; Mathieu, 2013). If prevention programs can be better tailored to personality type, motives, and potentially associated behaviors, the previously mentioned negative consequences on the organization and its employees could potentially be reduced. This could improve personality assessment of candidates in recruitment processes. Limitations This study is not without limitation. First, the study relied on self-report measures, which can be problematic, due to increased social desirability, inaccurate self-perception, or an increased propensity to lie (Smith & Lilienfeld, 2013). Furthermore, shared method variance (i.e., self-report) may have influenced the associations between the variables. A social desirability scale was used in the present study. Although this had no impact in the regressions, participants' responses may not have been completely objective. Research has shown that individuals do sometimes under or over rate themselves on personality questionnaires and this is usually a consistent pattern across all self-report personality ratings (Nilsen & Campbell, 1993). Also, due to individual differences, interpretations of questions could have differed between and within participants answers. This might explain, in part, why we have found Cronbach alphas (i.e., Marlowe Crowne Social Desirability Scale Short Form; SD4 psychopathy subscale) that are slightly lower than in the original studies. Further research should aim to use a mixture of data collection methods including case notes, practitioners' assessments, and workplace observations. Second, even though the type of industry was a significant predictor of a more lenient perception of harassment, the overall non-significance of industry and position is surprising. This could perhaps be linked to a lower power (i.e., smaller sample size). Data was gathered about the type of industry people worked in, however, within each industry there could be many types of roles. For example, within the National Health Service, which was classed as a caring industry, participants could be working face to face such as doctor, or they could hold a managerial position without contact such as administrator. It would be beneficial to classify industry by day-to-day tasks within a job role, rather than a broader industry allocation. This study was, however, unique in comparing the Dart Tetrad scale in a work and non-work context as well as looking at two specific behaviors (bullying and harassment). The sample was gathered from the general population, in contrast to many other studies of the antagonistic traits which generally rely on student samples and therefore the results are more generalizable to the general population. Finally, the sample was in majority composed of women (62.7%). While women and girls represent 50.1% of the population in the UK, they made up for more than 57% of higher education. Considering that an important proportion of our sample have at least a postgraduate degree, this discrepancy between gender is not surprising. However, it might have impacted, in part, our findings. Before comparing gender differences, it is important to assess whether an instrument is interpreted in the same way across different groups (Holden et al., 2020). While the Dark Tetrad at Work lack establishing prior measurement invariance across gender, prior research has showed that differences on the traits between genders seem to be reflecting true differences on the latent traits for the SD4. However, because of the sample size, and research design, this was not analyzed in the current manuscript and results on gender differences should be interpreted accordingly. Conclusion In summary, analysis revealed a relationship between gender, antagonistic traits, perception of harassment, and perception of bullying at work. Industry and position were inconsistent predictors of a more lenient perception of harassment and perception of bullying at work. Finally, sadism was the main predictor of a more lenient perception of harassment and bullying, but psychopathy only predicted a more lenient perception of harassment. Identifying the motivators behind these behaviors at work, including lenient perception, should help to develop effective prevention programs as well as targeted interventions to reduce these negative behaviors and manage it effectively. As recommended, future studies should aim to replicate these results on different samples, as well as focusing on non-self-report measures and focus on behaviors over perception. The current study provides a basis for tailoring prevention and intervention programs based on personality traits and future direction for assessing lenient perception and concordant negative workplace behaviors linked to the antagonistic traits in differing industries. Organizations could include the Dark Tetrad as part of selection procedures via personality assessments in order to highlight those who may negatively impact the workplace and their colleagues. Additionally, these traits should also be seen in the context of the workplace and the impact that work-related progression has on the behavior of its employees. 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. Ethical Approval All procedures performed in studies involving human participants were in accordance with the ethical standards of the institutional and/or national research committee and with the 1964 Declaration of Helsinki and its later amendments or comparable ethical standards. 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The EU GDPR: Implications for U.S. Universities and Academic Medical Centers Mark Barnes February 21, 2018 Agenda [x] Introduction [x] Jurisdictional Scope of the GDPR Compared with the Directive [x] "Offering Goods or Services" to Data Subjects in the EU [x] "Monitoring Behavior" of EEA Residents [x] Authority to Use and "Process" Personal Data [x] Transfer of Personal Data to the U.S. and from U.S. to EEA [x] Implications of GDPR's Application to U.S. Universities and AMCs [x] Recommended Steps Introduction [x] Effective May 25, 2018, the European Union's General Data Protection Regulation (the "GDPR") will make EU data privacy law much more rigorous and will broaden its jurisdiction. [x] GDPR may apply extraterritorially to U.S.-based universities and AMCs", through, for example: – Online education programs; – Maintaining sites/study abroad branch sites in EEA member states; – Maintaining alumni clubs in and soliciting donations from EEA member states; – Recruiting students from EEA member states; – Maintaining patient referral arrangements with health care providers in EEA member states; – Offering telemedicine services to patients in EEA member states; – Sponsoring clinical research occurring in EEA member states; – Acting as a core data facility or lead site for a multi-national clinical trial with EEA-based sites; or – Study subject data are transmitted to sponsors, servers or data core facilities sited in the EEA. Agenda [x] Introduction [x] Jurisdictional Scope of the GDPR Compared with the Directive [x] "Offering Goods or Services" to Data Subjects in the EU [x] "Monitoring Behavior" of EEA Residents [x] Authority to Use and "Process" Personal Data [x] Transfer of Personal Data to the U.S. and from U.S. to EEA [x] Implications of GDPR's Application to U.S. Universities and AMCs [x] Recommended Steps GDPR and Superseded Data Protection Directive [x] GDPR will supersede the presently effective EU Data Protection Directive, which was adopted in 1995. See EU Data Privacy Directive (Directive 95/46/EC) (the ''Directive''). [x] The Directive and GDPR apply in the 28 member states of the EU and the three additional countries (Iceland, Liechtenstein and Norway) that together with the EU make up the European Economic Area (''EEA''). – GDPR will apply directly across all of the EEA's member states, unlike the Directive, which supplied general principles that were implemented in a different fashion by each EEA member state. – The United Kingdom is preparing for GDPR implementation despite "Brexit." Map of EEA Member States Current Directive's Application to U.S.-Based AMCs [x] GDPR will apply extraterritorially in a broader range of circumstances than the Directive. – Typically, the Directive has applied to U.S.-based universities and AMCs only in those scenarios in which a university or AMC is "established in" the EEA. – A university or AMC could be deemed to be "established in" the EEA by virtue of: [x] Operating a subsidiary or campus in the EEA; or [x] Operating an office in the EEA. GDPR Application to U.S.-Based AMCs GDPR applies if: U.S.-based AMC or university offers goods or services to individuals in the EEA AMC or university is established in the EEA and acts as a data controller or processor U.S.-based AMC or university monitors the behavior of individuals in the EEA "Personal Data" under the GDPR [x] "Personal data'' are defined broadly to include: – "[A]ny information relating to an identified or identifiable natural person ('data subject'); an identifiable person is one who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, online identifier, or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural, or social identity of that person.'' (GDPR Art. 4(1)). [x] "Special categories of personal data" include: – "[P]ersonal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership . . . genetic data, biometric data for the purpose of uniquely identifying a natural person, data concerning health or data concerning a natural person's sex life or sexual orientation." (GDPR Art. 9(1)). Data Subject to GDPR vs. HIPAA [x] The set of data to which the GDPR applies is broader than that covered under HIPAA. – Applies to all "personal data" across all sectors of the economy, not only health care; no concept of "covered entity." [x] Personal data under the GDPR include, for example, identifying information on EEA health care providers (HCPs), such as principal investigators, and other persons who are not patients. – There is no anonymization "safe harbor" under the GDPR. [x] Identifiability is judged on a facts and circumstances test, taking into account "all the means reasonably likely to be used . . . [e]ither by the controller or by another person to identify the natural person directly or indirectly." (GDPR Recital 26). [x] "Pseudonymised" data (e.g. key-coded data) remain "personal data." Controllers and Processors [x] GDPR applies distinct requirements to two groups of entities: – A "controller" is an entity that, alone or jointly with others, determines the purposes and means of processing data. [x] E.g. acting as a collaborator as part of a research project. – A "processor" is an entity that processes personal data on behalf of the controller. [x] E.g. acting as a fee-for-service laboratory for a research project. Agenda [x] Introduction [x] Jurisdictional Scope of the GDPR Compared with the Directive [x] "Offering Goods or Services" to Data Subjects in the EU [x] "Monitoring Behavior" of EEA Residents [x] Authority to Use and "Process" Personal Data [x] Transfer of Personal Data to the U.S. and from U.S. to EEA [x] Implications of GDPR's Application to U.S. Universities and AMCs [x] Recommended Steps Offering Goods or Services [x] GDPR provides that, ''[i]n order to determine whether such a controller or processor is offering goods or services to data subjects who are in the Union, it should be ascertained whether it is apparent that the controller or processor envisages offering services to data subjects in one or more Member States in the Union.'' (GDPR, Recital 23). – GDPR notes that the goods or services offered should be considered ''irrespective of whether connected to payment.'' (GDPR, Recital 23). [x] Little guidance has been offered on the meaning of ''offering goods or services'' to persons located in the EEA. Offering Goods or Services [x] GDPR clarifies that ''mere accessibility of the controller's, processor's or an intermediary's website'' in the EEA is insufficient to ascertain an intention to offer goods or services in the EEA. (GDPR, Recital 23). – GDPR jurisdiction therefore requires that a website be somehow directed to EEA data subjects, such as translating the website into an EEA member state language, using an EEA member state currency, or mentioning customers or users in the EEA. (See GDPR, Recital 23). – This is effectively a low bar to GDPR's jurisdiction/application to U.S.-based entities, including universities and AMCs. U.S. Universities Offering Goods or Services [x] Arrangements and practices that might be seen as a U.S. university "envisioning" providing services to EEA data subjects: – "Study abroad" programs – Recruiting that targets students in EEA member states. – Recruiting visiting faculty and/or fellows. – University publishing house targeting customers in EEA member states. – Collaboration agreements with universities in EEA member states to develop educational platforms and share data. U.S. AMCs Offering Goods or Services [x] Arrangements that might be seen as a U.S. university or AMC "envisioning" providing services to EEA data subjects. – Referral arrangements between U.S. AMCs and EEA HCPs involving a written agreement for referral of patients. – Consultation arrangements in which the U.S. AMC offers consultation services to EEA HCPs. – Third and fourth year medical student rotations in EEA-based hospitals/clinics. [x] In the above scenarios, the EEA "data subject" whose data are subject to GDPR could include both the EEA HCP and the EEA patient. U.S. Universities or AMCs Offering Goods or Services [x] If a university or AMC does not target its website to EEA data subjects, conduct other advertising targeted at EEA residents, or establish routine relationships with EEA residents, the university or AMC may be able to argue that it does not "offer goods or services" to EEA data subjects within the meaning of GDPR. [x] Thus, for example, the GDPR may not apply to: – AMC providing occasional treatment to patients from the EEA who travel to the U.S. to seek services at the AMC; or – AMC's providers engaging in occasional informal consultation with EEA health care providers. U.S. Universities or AMCs Offering Goods or Services [x] Research arrangements involving European governmental grants or contracts. – U.S. universities or AMCs may be direct awardees or subrecipients through EEA institutions of European governmental grants or contracts to perform research services. – Terms of grant may require compliance with GDPR. – Personal data flows to and from EEA direct grant awardees should be scrutinized to see if they "envisage" offering services to EEA data subjects. Agenda [x] Introduction [x] Jurisdictional Scope of the GDPR Compared with the Directive [x] "Offering Goods or Services" to Data Subjects in the EU [x] "Monitoring Behavior" of EEA Residents [x] Authority to Use and "Process" Personal Data [x] Transfer of Personal Data to the U.S. and from U.S. to EEA [x] Implications of GDPR's Application to U.S. Universities and AMCs [x] Recommended Steps GDPR Recitals on "Monitoring Behavior" [x] GDPR's recitals provide that "[i]n order to determine whether a processing activity can be considered to monitor the behavior of data subjects, it should be ascertained whether natural persons are tracked on the internet including potential subsequent use of personal data processing techniques which consist of profiling a natural person, particularly in order to take decisions concerning her or him or for analysing or predicting her or his personal preferences, behaviors and attitudes." (GDPR, Recital 24). "Monitoring Behavior" and Education [x] Certain university operations may involve "monitoring behavior" of EEA data subjects: – Online education programs that include participants from EEA member states and use cookies to track student participation. – Educational records (e.g. attendance, participation and grades) compiled at U.S.-based universities' European satellite campuses. – Tracking giving history of alumni and other donors in EEA member states. "Monitoring Behavior" and Clinical Trials/Human Subjects Research [x] Conducting clinical research with research sites or research subjects located in the EEA could involve activities that may constitute ''monitoring of the behavior of data subjects.'' – Multi-Site Research: U.S. university or AMC that serves as a lead site for a clinical trial with sites located in the EEA could be seen as monitoring the behavior of data subjects in the EEA if the university or AMC is required to monitor research subject records for adverse events. – Mobile Application Research: U.S. universities or AMCs may conduct research studies through mobile applications whereby the university or AMC enrolls subjects in the study remotely and the app collects data on the subject's physical condition or geographic location through the subject's mobile phone. If such studies target individuals in EEA member states, this activity could be seen as "monitoring behavior" of data subjects in the EEA. "Monitoring Behavior" and Telemedicine [x] While the GDPR's recitals focus on tracking behavior through the internet, telemedicine offered by a U.S.-based physician to a patient located in the EEA would seem to constitute "monitoring behavior." – Could also be interpreted as offering a good or service to the data subject Agenda [x] Introduction [x] Jurisdictional Scope of the GDPR Compared with the Directive [x] "Offering Goods or Services" to Data Subjects in the EU [x] "Monitoring Behavior" of EEA Residents [x] Authority to Use and "Process" Personal Data [x] Transfer of Personal Data to the U.S. and from U.S. to EEA [x] Implications of GDPR's Application to U.S. Universities and AMCs [x] Recommended Steps Authority to Use and "Process" Personal Data [x] Bases for processing personal data include: – Data subject has given consent to processing. – Processing necessary for the performance of a contract to which the data subject is a party. – Processing necessary for compliance with a legal obligation. – Processing necessary to protect vital interests of the data subject or a natural person. – Processing necessary for a task carried out in the public interest. – Processing necessary for the legitimate interests of the controller or a third party, except where such interests are overridden by the interest or fundamental rights and freedoms of the data subject. (GDPR, Art. 6(1)). Authority to Use Special Categories of Personal Data [x] Bases for processing special categories of personal data include: – Explicit consent of the data subject to processing. [x] Article 29 Working Party: "'explicit consent' is understood as having the same meaning as express consent." (Opinion No. 15/2011 (WP197) of the Article 29 Data Protection Working Party). – Express consent "encompasses all situations where individuals are presented with a proposal to agree or disagree to a particular use or disclosure of their personal information and they respond actively to the question, orally or in writing. Usually, explicit or express consent is given in writing with a hand-written signature." (Id.). [x] But EU or Member State law may provide that the data subject may not provide valid consent to certain processing of special categories of personal data. (GDPR Art. 9(2)(a)). – Processing necessary to protect the vital interests of the data subject or another natural person where the data subject is physically or legally incapable of giving consent. – Processing necessary for reasons of public interest in the area of public health. . – Processing necessary for scientific or historical research purposes (GDPR Art. 9(2)). Agenda [x] Introduction [x] Jurisdictional Scope of the GDPR Compared with the Directive [x] "Offering Goods or Services" to Data Subjects in the EU [x] "Monitoring Behavior" of EEA Residents [x] Authority to Use and "Process" Personal Data [x] Transfer of Personal Data to the U.S. and from U.S. to EEA [x] Implications of GDPR's Application to U.S. Universities and AMCs [x] Recommended Steps Requirements for Transfer of Personal Data to U.S. [x] Both the Directive (currently in effect) and GDPR (upon its implementation) require that a legal basis be in place to permit the transfer of personal data from the EEA to jurisdictions lacking adequate data protection legislation (e.g., the United States). (See Directive Ch. IV; GDPR Ch. V). [x] Even if a U.S. university or AMC's activities do not subject it directly to regulation under the GDPR, certain steps may be required to ensure that an adequate legal basis exists to permit the transfer of data from the EEA to the U.S., for example: [x] A research collaborator in the EU transfers files of pseudonymised (coded) data to the U.S. university or AMC for research purposes. [x] A patient who is an EEA resident falls ill while on vacation in the U.S. and the AMC treating the patient requires medical records from the patient's primary care physician in the EEA to assist in treatment. Legal Bases for Data Transfer to US [x] Obtaining the explicit consent of the data subject to the transfer of personal data to the U.S. for processing. – Requires advising the data subject of the risks of the transfer resulting from the absence of adequate data protection legislation in the recipient jurisdiction. – May work well in the context of clinical care or prospective clinical research, in which consents are customarily obtained. [x] Entering into model contractual clauses approved by the European Commission with the EEA entity transferring personal data to the university or AMC, such as the European hospital or research institute that is transferring information. Model clauses impose on the contracting U.S.-based university or AMC certain of the requirements of EU data privacy law with respect to the data transferred under the contract. [x] Data transfers necessary to protect the "vital interests" of the data subject. – Generally considered to be "life and death" situations. Legal Bases for Data Transfer to US [x] U.S.-based universities or AMCs that are for-profit entities may have an additional option of applying for certification under the EU-U.S. Privacy Shield, a program administered by the U.S. Department of Commerce. – Permits personal data to be transferred from the EEA to U.S. forprofit entities that self-certify for the program after implementing various data protection measures consistent with EU privacy law. [x] Associations may create codes of conduct setting forth rules on data processing. Such codes must be approved by the supervisory authority in the relevant EEA jurisdiction or the European Data Protection Board, if operable in multiple jurisdictions. Personal Data in the Reverse Direction: Personal Data Transferred from US to EEA [x] There are potential implications of the GDPR with respect to the transfer of personal data from the U.S. to the EEA, for example, for clinical research sponsored by EEA-based companies or for which an EEA-based AMC serves as lead site or data coordinating center. – U.S. university or AMC may need to transfer its employees' data to the EEA if the university or AMC is serving as a clinical trial site for an EEA-based clinical research sponsor, such as an EEA-based pharma company or AMC. [x] EEA-based research sponsor may request that the U.S. entity's employees sign a consent form to allow processing of their data in the EEA. [x] EEA-based research sponsor may need to provide a notice regarding data processing activities to the U.S. entity's employees whose data are being transferred to EEA sponsor. Personal Data Transferred from US to EEA [x] U.S. university or AMC may need to transfer clinical trial data of research subjects to the EEA when the trial is sponsored by an EEA-based entity or EEA-based entity serves as the lead site. – EEA-based sponsor may need the US AMC to obtain trial subjects' consent that meets the notice requirements of the GDPR and permits processing of their data in the EEA. – Consent will likely need to include the following information not usually included in consent forms used for U.S. subjects: [x] Fact that data will be transferred to EEA for analysis [x] Identity of data controller/Data Protection Officer [x] Contact information for data subject to file complaints with applicable data protection authority Personal Data Transferred from US to EEA [x] Additional elements required for a GDPR-compliant consent: – Period for which data will be maintained or criteria used to determine the period – Rights to: [x] Object to processing [x] Request rectification of data [x] Request portability of data [x] Request erasure of data Agenda [x] Introduction [x] Jurisdictional Scope of the GDPR Compared with the Directive [x] "Offering Goods or Services" to Data Subjects in the EU [x] "Monitoring Behavior" of EEA Residents [x] Authority to Use and "Process" Personal Data [x] Transfer of Personal Data to the U.S. and from U.S. to EEA [x] Implications of GDPR's Application to U.S. Universities and AMCs [x] Recommended Steps Implications if GDPR Applies [x] GDPR imposes requirements on data processing and grants rights to data subjects that exceed those found under HIPAA. – Consider whether university or AMC knows identity of subject or receives only pseudonymised data. [x] GDPR provides for a broader data subject access right than does HIPAA. (See GDPR Art. 15; 45 C.F.R. § 164.524). – GDPR generally allows data subjects to obtain copies of all of their personal data undergoing processing. – In contrast, HIPAA provides a right of access only to protected health information stored within a covered entity's ''designated record set.'' – GDPR does not contain exceptions found in HIPAA to the access right for certain categories of PHI, such as: [x] Psychotherapy notes; or [x] PHI collected during a research study, provided that the subject agreed to the suspension of the right of access for the pendency of the research. [x] [x] Implications if GDPR Applies GDPR provides the data subject the right to obtain additional information in an accounting of disclosures, including the source of the personal data if the source is not the data subject himself/herself. (See GDPR Art. 15; 45 C.F.R. § 164.528). GDPR contains a ''right to erasure,'' also known as a ''right to be forgotten,'' that permits the data subject to request that data be erased when certain circumstances apply, including the following: – Personal data are no longer necessary in relation to the purposes for which they were collected or otherwise processed; – Data subject withdraws consent on which the processing is based;. – Data subject objects to processing that was based on legitimate interest of the controller and the controller cannot demonstrate compelling legitimate grounds for the processing; – Personal data have been unlawfully processed; or – Personal data have to be erased for compliance with a legal obligation in EU or member state law to which the controller is subject. (See GDPR Art. 17). Implications if GDPR Applies [x] GDPR requires non-EU data controllers and processors subject to the GDPR to appoint an EU representative unless their processing is occasional and certain other requirements are met. (See GDPR Art. 27). Implications if GDPR Applies [x] Data subjects must be provided a notice at the time their data are collected setting forth several details not typically found in a HIPAA notice of privacy practices or a HIPAA-compliant research authorization: – Identity and contact details of controller and controller's EU representative – Purposes and legal basis for processing data under EU law – Period of time for which data will be stored or criteria used to determine period – Right to request erasure of personal data – Right to lodge complaint with EU data protection authorities – Any "automated decision-making" made on the basis of the processing (SeeGDPR Art. 13) [x] Notice could be provided to patient at time of treatment or included in a research consent form. Implications if GDPR Applies: Penalties [x] With respect to enforcement penalties, fines from infringements under the GDPR can be extensive. (See GDPR Art. 83). – Fines up to the higher of € 10,000,000 or 2 percent of worldwide annual turnover for the violation of some GDPR Provisions. – Fines of the higher of € 20,000,000 or 4 percent of worldwide annual turnover for violation of other provisions, including the provisions on subject access and right to erasure. [x] Unlike HIPAA, GDPR confers a private right of action on data subjects, who may bring damages claims directly against data controllers and processors. (See GDPR Art. 82). – In some jurisdictions, including the United Kingdom, individuals need only show distress in order to claim financial damages—financial loss is not a determinative factor in the risk analysis. Agenda [x] Introduction [x] Jurisdictional Scope of the GDPR Compared with the Directive [x] "Offering Goods or Services" to Data Subjects in the EU [x] "Monitoring Behavior" of EEA Residents [x] Authority to Use and "Process" Personal Data [x] Transfer of Personal Data to the U.S. and from U.S. to EEA [x] Implications of GDPR's Application to U.S. Universities and AMCs [x] Recommended Steps Recommendations [x] Universities and AMCs should monitor whether EU regulatory bodies issue further guidance clarifying the circumstances in which the GDPR applies to trans-national treatment, research and health care operations activities. [x] Universities and AMCs should identify the circumstances under which they receive and process personal data from, or generate personal data in, the EEA. – Begin with a fact gathering exercise to determine all relevant data flows. – Outline of relevant questions is presented on the following slides. Recommendations – Fact Gathering Advertisements and Recruiting [x] What advertising, recruiting, or public relations activities does the university or AMC undertake in the EEA? [x] Is the university or AMC's website translated into EEA member state languages? [x] Does the university or AMC's website direct itself to EEA residents, such as through quoting prices in local currencies, profiling EEA residents who have been students or patients, or advertising academic or referral arrangements with with EEA-based HCPs/AMCs? [x] Does the university press market its publications to customers in the EEA member states? Recommendations – Fact Gathering Education-Related Activities [x] Does the university maintain campuses, offices or other sites in EEA member states, such as in connection with study abroad programs? [x] Does the university offer online classes translated into languages of the EEA member states or that otherwise could be said to target residents of the EEA member states? [x] Does the university coordinate programs for alumni in the EEA member states? [x] Does the university track or solicit donations from alumni or other donors in the EEA member states? Recommendations – Fact Gathering Patient Care Activities [x] Does the AMC offer telemedicine or second opinion services to patients in the EEA? [x] Does the AMC have any affiliation or referral arrangements with EEA HCPs? [x] Does the medical school or other professional school offer rotational placements in EEA-based health facilities? [x] Does the AMC permit any EEA HCPs to operate under the AMC's "brand"? Recommendations – Fact Gathering Research Activities [x] Does the university or AMC serve as a lead site for research activities taking place at EU sites, such as acting as a prime recipient of an NIH grant which flows through sub-awards to EU sites? [x] Does the university or AMC conduct any studies involving mobile applications that target enrollment in the EEA? [x] Does the university or AMC conduct industry-sponsored studies for companies located in the EEA, with personal data of U.S. residents being sent to and/or processed in the EEA? Recommendations – Fact Gathering Bases for Legitimizing Personal Data Transfers From EEA to U.S. [x] Does the university or AMC have compliant consent forms that legitimize the transfer of personal data from the EEA to the U.S. with data processing occurring in the U.S., or from U.S. to EEA with data processing occurring in EEA? [x] Has the university or AMC entered into model contractual clauses with EEA institutions from which AMC receives personal data? [x] Is the university or AMC eligible for Privacy Shield certification? [x] Is there a "code of conduct" to which the organization can adhere that would serve as a basis to legitimize the data transfer? Recommendations – Implementation [x] If U.S. university or AMC determines that its activities are subject to the GDPR, implementation steps would include the following (non-exhaustive list): – Determine legal bases for processing personal data and special categories of personal data (e.g., consent, vital interest). – Draft notices of data processing activities advising subjects of purposes of processing, recipients of data, and the subject's rights. – Develop processes for responding to data subject requests (e.g., request for access, rectification, restriction on processing, data portability). – Appoint a Data Protection Officer if processing special categories of personal data or conducting regular and systematic monitoring of subjects. – Appoint an EU representative (unless processing is only occasional, does not include large scale processing of sensitive personal data, and is unlikely to result in a risk to the rights and freedoms of natural persons). Recommendations – Implementation – Develop procedure for maintaining records of processing activities and consents for processing. – Develop breach reporting procedures, i.e., reporting to EU supervisory authorities and data subjects. – Update vendor contracts to implement GDPR requirements for entities processing data on behalf of the university or AMC. – Implement appropriate technical and organizational security measures (harness existing HIPAA Security Rule infrastructure). Recommendations – Implementation – Analyze basis for legitimizing transfer of personal data from EU to the U.S., e.g.: [x] Model contractual clauses [x] Consent [x] Binding corporate rules [x] Privacy shield (not applicable to not-for-profit entities) [x] Codes of Conduct? (possible future state) The EU GDPR: Implications for U.S. Universities and Academic Medical Centers Mark Barnes February 21, 2018
Crystallisation temperatures of the most Mg-rich magmas of the Karoo LIP on the basis of Al-in-olivine thermometry Jussi S. Heinonen, Eleanor S. Jennings, Teal R. Riley PII: S0009-2541(15)00303-4 DOI: doi: 10.1016/j.chemgeo.2015.06.015 Reference: CHEMGE 17611 To appear in: Chemical Geology Received date: 13 March 2015 Revised date: 12 June 2015 Accepted date: 16 June 2015 Please cite this article as: Heinonen, Jussi S., Jennings, Eleanor S., Riley, Teal R., Crystallisation temperatures of the most Mg-rich magmas of the Karoo LIP on the basis of Al-in-olivine thermometry, Chemical Geology (2015), doi: 10.1016/j.chemgeo.2015.06.015 This is a PDF ﬁle of an unedited manuscript that has been accepted for publication. As a service to our customers we are providing this early version of the manuscript. The manuscript will undergo copyediting, typesetting, and review of the resulting proof before it is published in its ﬁnal form. Please note that during the production process errors may be discovered which could aﬀect the content, and all legal disclaimers that apply to the journal pertain. Crystallisation temperatures of the most Mg-rich magmas of the Karoo LIP on the basis of Al-in-olivine thermometry Jussi S. Heinonen a (PhD, corresponding author, firstname.lastname@example.org, +35850-3185304) Eleanor S. Jennings b (MSci, email@example.com, +44-1223-333424) Teal R. Riley c (PhD, firstname.lastname@example.org, +44-1223-221423) a Finnish Museum of Natural History, P.O. Box 44, University of Helsinki, 00014, Helsinki, Finland b Department of Earth Sciences, University of Cambridge, Downing Street, Cambridge CB2 3EQ, United Kingdom c British Antarctic Survey, Madingley Road, High Cross, Cambridge CB3 0ET, United Kingdom Abstract Calculating reliable temperatures of Mg-rich magmas is problematic because melt composition and KD(Fe-Mg) ol-liq , the key parameters of many traditional thermometers, are difficult to constrain precisely. The recently developed Al-in-olivine thermometer [Coogan, L.A., Saunders, A.D., Wilson, R.N., 2014. Aluminum-in-olivine thermometry of primitive basalts: Evidence of an anomalously hot mantle source for large igneous provinces. Chemical Geology 368, 1–10] circumvents these problems by relying on the temperature-dependent exchange of Al between olivine and spinel crystallising in equilibrium with each other. This thermometer is used to reevaluate the crystallisation temperatures of the most Mg-rich magma type identified from the Karoo large igneous province (LIP), known as the Vestfjella depleted ferropicrite suite. Previous temperature estimates for the suite were based on olivine-melt equilibria and indicated anomalously high crystallisation temperatures in excess of 1600 °C. We also present crystallisation temperatures for another Antarctic Karoo magma type, Group 3 dykes from Ahlmannryggen, which are derived from a pyroxene-rich mantle source. Our high-precision analysis of Al in olivine-spinel pairs indicate crystallisation temperatures from 1391±42 °C to 1481±35 °C for the Vestfjella depleted ferropicrite suite (Fo88–92) and from 1253±64 °C to 1303±40 °C for the Group 3 dykes (Fo79–82). Although the maximum temperature estimates for the former are over 100 °C lower than the previously presented estimates, they are still ~200 °C higher than those calculated for mid-ocean ridge basalts using the same method. Although exact mantle potential temperatures are difficult to estimate, the presented results support elevated sub-Gondwanan upper mantle temperatures (generated by a mantle plume or internal mantle heating) during the generation of the Karoo LIP. Keywords: Karoo; large igneous province; continental flood basalt; picrite; thermometry 1. Introduction Reasonable constraints on the crystallisation and mantle source temperatures of mantle-derived mafic and ultramafic igneous rocks are crucial for determining the geodynamics of our planet. Yet, this task has long remained one of the major challenges in modern petrological research: e.g., the question of whether large-scale intra-plate volcanic phenomena such as continental flood basalts (CFBs) require the existence of thermal anomalies in the upper mantle has been heavily debated (see Anderson, 2005; Campbell, 2005; Herzberg, 2011). Temperature estimates of mantle-derived magmas have traditionally relied on estimates of (parental) melt and mantle source compositions and/or olivine-liquid equilibration conditions (e.g., Roeder and Emslie, 1970; Ford et al., 1983; Beattie, 1993; Herzberg and O'Hara, 2002; Herzberg et al., 2007; Putirka, 2005; Falloon et al., 2007; Putirka et al., 2007; Lee et al., 2009; Herzberg and Asimow, 2008, 2015). In the case of CFBs, these are often very difficult to define due to the high degree of differentiation, geochemical overprinting by the assimilation of continental lithosphere, and the lack of knowledge of the geochemistry of CFB primary melts. Most of the Antarctic dyke rocks with sublithospheric geochemical affinities contain fresh olivine with abundant Cr-spinel inclusions (Fig. 2; Heinonen and Luttinen, 2010; Heinonen et al., 2013) and thus provide suitable sample material for the use of the Al-in-olivine thermometer. Given that the previous temperature calculations (Heinonen and Luttinen, 2010) are based on equations of Putirka et al. (2007) that require knowledge on the parental magma compositions and crystallisation conditions (see Falloon et al., 2007) and tend to overestimate temperatures suggested by Al-inolivine thermometry by around ~100 °C (Coogan et al., 2014), there is a need for reappraisal. Here we present olivine and spinel mineral chemical data for the Vestfjella depleted ferropicrite suite and for another series of Mg-rich primitive dykes (Group 3; Riley et al., 2005) from Ahlmannryggen, western Dronning Maud Land, Antarctica. They represent melting of peridotitic (Heinonen and Luttinen, 2010, Heinonen et al., 2010) and pyroxenitic (recycled oceanic crust mixed with mantle peridotite; Heinonen et al., 2013, 2014) sources in the sublithospheric mantle, respectively. Unlike the majority of the lithosphere-signatured Karoo CFBs, these intrusive rocks provide the best material available for estimating the thermal conditions beneath the thick Gondwanan lithosphere during Karoo magmatism. ACCEPTED MANUSCRIPT Recent advancements in constraining the temperature-dependent behaviour of Al in magmatic olivine and Cr-spinel in equilibrium with each other have provided a new tool to estimate crystallisation temperatures (Al-in-olivine thermometer; Wan et al., 2008; Coogan et al., 2014). Olivine and Cr-spinel are usually the first minerals to crystallise from primitive mantle-derived magmas: during co-crystallisation, the two phases must be in equilibrium with each other. Spandler and O'Neill (2010) demonstrated that Al diffusion within olivine is extremely slow, and so even at low cooling rates, the initial composition of a spinel-olivine pair is preserved. Thus, chemical information is recorded from the earliest stages of magma evolution. Importantly, the application of Al-in-olivine thermometry does not require information on the parental melt compositions and has insignificant pressure dependence (Wan et al., 2008; Coogan et al., 2014). It is thus especially useful in determining the temperatures of CFB magmas. The ~180 Ma Karoo CFBs (Fig. 1) erupted during the initial stages of the breakup of the Gondwana supercontinent in a developing fracture between the landmasses of modern Africa and Antarctica (e.g., Cox, 1988, 1992; Jourdan et al., 2005, 2007b). The trace element and isotopic compositions of the majority of Karoo CFBs are compatible with melt contribution from the underlying continental lithosphere (e.g., Hawkesworth et al. 1984; Sweeney et al. 1994; Luttinen et al 1998, 2015; Luttinen & Furnes 2000; Riley et al. 2005; Ellam 2006; Jourdan et al. 2007a; Neumann et al., 2011), but rare CFB-related dykes that are not contaminated by the lithosphere and show evidence of both depleted and enriched (recycled) sublithospheric sources have been described from the Antarctic portion of the province (Fig. 1; Luttinen et al., 1998, 2015; Luttinen and Furnes, 2000; Riley et al., 2005; Heinonen and Luttinen, 2008, 2010; Heinonen et al., 2010, 2013, 2014, in press). The so-called "Vestfjella depleted ferropicrite suite" is a magma type that bears evidence of the most Mg-rich melts (MgO > 20 wt. %) known from the Karoo (Heinonen and Luttinen, 2010). The notably high crystallisation and mantle potential temperatures ( ≥ 1600 °C) calculated on the basis of olivine-liquid equilibria following the method of Putirka et al. (2007) are indicative of mantle plume sources (Heinonen and Luttinen, 2010), but are in glaring contrast with the Sr, Nd, Pb, Os, and He isotopic compositions and trace element characteristics that indicate derivation from upper mantle sources akin to those of the Southwest Indian Ridge mid-ocean ridge basalts (SWIR MORBs) (Heinonen et al., 2010; Heinonen and Kurz, in press). 2. Geological setting and sample suites The Jurassic (~180–190 Ma; Duncan et al., 1997; Zhang et al., 2003; Riley et al., 2005, 2009; Luttinen et al., 2015) Karoo CFBs and related intrusive rocks of Antarctica are found up to few hundred kilometres off the coast of western Dronning Maud Land (Fig. 1). The CFBs, exposed at Vestfjella, Heimefrontfjella, and Kirwanveggen, represent the youngest major stratigraphic unit in the area and are underlain by Palaeozoic sedimentary rocks (e.g., Juckes, 1972) and/or a Precambrian basement complex consisting of a variety of Archaean to Proterozoic rocks (e.g., Wolmarans and Kent 1982, Groenewald et al., 1995; Moyes et al., 1995; Jacobs et al., 1998; Marschall et al., 2010). Abundant CFB-related intrusive rocks are found in the same areas, but they also crosscut the basement complex at Ahlmannryggen, Borgmassivet, H.U. Sverdrupfjella, and Mannefallknausane (Fig. 1). The lavas and intrusive rocks can be geochemically divided into several groups, most of which show strong evidence of melt contribution from continental crust and/or lithospheric mantle (Furnes et al., 1987; Harris et al., 1990, 1991; Luttinen et al., 1998, 2010; 2015; Luttinen and Furnes, 2000; Riley et al., 2005). Some of the magma types show geochemical similarities with the larger Karoo CFB formations found on the African side of the Jurassic rift system (e.g., Luttinen and Furnes, 2000; Riley et al., 2005). The Vestfjella depleted ferropicrite suite is composed of dykes that show a wide range of major element compositions from meimechites to basalts (MgO = 5–28 wt. %) and are composed of variable amounts of olivine, clinopyroxene and plagioclase phenocrysts within a groundmass of basaltic composition (Heinonen and Luttinen, 2008, 2010). Crystalline melt inclusions in olivine contain igneous amphibole that indicates parental melt H2O contents of 1–2 wt. % (Heinonen and Luttinen, 2010). The most Mg-rich samples have been collected from boulders within glacial drift deposits at Basen nunatak (Fig. 1). The boulders exhibit chilled margin contacts of the high-Mg magmas adjacent to sandstones, and have thus likely been transported and deposited at Basen nunatak from the surrounding valleys (Lindström, 2005). Some of the boulders represent cumulate samples, but others contain very Mg-rich olivine phenocrysts (up to Fo92) in or close to equilibrium with the whole-rock composition (Heinonen and Luttinen, 2010). For the estimation of maximum olivine-spinel equilibrium temperatures, we selected meimechitic boulder sample AL/B1b-03 (MgO = 19 wt. %) that is characterised by abundant forsteritic olivine (with euhedral/subhedral spinel inclusions; Fig. 2a) and is likely to closely correspond to a melt composition (Heinonen and Luttinen, 2010). ACCEPTED MANUSCRIPT Four intrusive magma types from western Dronning Maud Land show evidence of limited lithospheric interaction and derivation of the parental magmas from sublithospheric sources: 1) The Vestfjella depleted ferropicrite suite, 2) Vestfjella Low-Nb dykes, 3) The Vestfjella enriched ferropicrite suite, and 4) Ahlmannryggen Group 3 dykes (Riley et al., 2005; Heinonen and Luttinen, 2008; Heinonen et al., 2010; Luttinen et al., 2015). The first two originated from a common depleted (upper mantle) source (Heinonen et al., 2010; Luttinen et al., 2015) and the latter two derive from distinct pyroxene-rich (recycled) mantle sources (Heinonen et al., 2010, 2013, 2014). In this study, we will concentrate on the depleted ferropicrite suite and Group 3 dykes. Analysis of the Low-Nb dykes is hampered by limited volume of sample-material and alteration of olivine, and analyses of the enriched ferropicrite suite showed spinel compositions that are very Fe 3+ -rich (Fe 3+ /Fe T > 0.40) and notably outside the calibration range for the Al-in-olivine thermometer (Fe 3+ /Fe T ≤ 0.35; Coogan et al., 2014). The Group 3 dykes (MgO = 8–22 wt. %) crosscut the Precambrian basement rocks of western Dronning Maud Land at Ahlmannryggen (Fig. 1; Riley et al., 2005). In addition to fresh olivine and clinopyroxene phenocrysts, many of the Group 3 dykes also contain orthopyroxene phenocrysts, which indicate high pressures of crystallisation and pyroxene-rich mantle sources (Heinonen et al., 2013). Picritic samples Z1813.1, Z1817.2, and Z1816.3, with fresh euhedral olivine and euhedral/subhedral spinel inclusions (Fig. 2b), were selected for analysis. All of the selected Group 3 samples show evidence of a variable degree of olivine and orthopyroxene accumulation (Heinonen et al., 2013). 3. Analytical methods ACCEPTED MANUSCRIPT For the analysis, the samples were crushed, and the freshest olivine grains were hand-picked, mounted, and polished. Spinel inclusions within olivine hosts which met a minimum size of ~ 8 µ m and lacked fractures and alteration textures were selected for analysis, aided by back-scattered electron images. The olivine spinel pairs of the Vestfjella depleted ferropicrite suite (sample AL/B1b-03) and Group 3 dykes (samples Z1813.1, Z1817.2, and Z1816.3) were analysed for Si, Ti, Al, Cr, Fe, Mn, Mg, Ca, and Ni (+P only for olivine) with Cameca SX-100 microprobe at the Department of Earth Sciences, University of Cambridge in two separate analysing periods. Matrix corrections were performed with the Cameca Peak Sight software using the PAP correction method. The microprobe was calibrated using natural and synthetic standards. The acceleration voltage, sample current, and beam diameter for the analyses were 15 kV, 20 or 40 nA (20 for olivine, 40 for spinel), and 1 µ m, respectively. The element-specific peak and background count times, standard deviations, and limits of detection are presented in Supplementary Table S1. Special care was taken for setting the analysing conditions for Al: it is a crucial element for the thermometer, but its concentration in olivine is generally very low (< 600 ppm; Coogan et al., 2014). The applied conditions resulted in low limits of detection ( ≤ 101 ppm) and standard deviations ( ≤ 20%) for Al in olivine (Supplementary Table S1). 4. Results The olivine and spinel analyses are presented as major element oxides in Table 1. Olivine compositions represent averages of multiple analyses on the same grain next to the spinel inclusion: the variation in Al content is expressed as σ nat . The overall compositional characteristics of the phases are similar to previous analytical studies (Heinonen and Luttinen, 2010; Heinonen et al., 2013) with the exception that MnO was not previously measured from the depleted ferropicrite suite spinels (Heinonen and Luttinen, 2010). In addition, our new data does not include the rare Fo 89–90 olivine phenocrysts identified in Group 3 sample Z1816.3 (Heinonen et al., 2013). All of the olivines have high CaO, and spinels are encapsulated as inclusions within those olivines and have higher TiO2 than spinels found in mantle peridotites (Fig. 4). These observations indicate that the olivines and spinels crystallised from the parental magma and are not entrained xenocrysts, which is also in accordance with previous studies on these rocks (Heinonen and Luttinen, 2010; Heinonen et al., 2013). Olivine phenocrysts in the depleted ferropicrite suite sample AL/B1b-03 are very Mg-rich and range from Fo88 to Fo92, whereas olivines in Group 3 sample are more Fe-rich and range from Fo79 to Fo82, reflecting the higher Fe/Mg of the parental magmas of the latter. The Al2O3 contents in olivine range from 0.055 to 0.096 wt. % (Al = 290–510 ppm) in AL/B1b-03 and from 0.026 to 0.035 wt. % (Al = 140–186 ppm) in Group 3 samples (Fig. 3); all analyses are 3σ–8σ above the limit of detection. Spinels in both sample suites are very Cr-rich and exhibit Cr# [Cr/(Cr+Al)] ranging from 0.67–0.78 (Table 1). 5. Discussion 5.1. Applicability of the Al-in-olivine thermometer The Al-in-olivine thermometer is not recommended for olivine-spinel pairs that are significantly outside the calibration ranges of the experiments (Wan et al., 2008; Coogan et al., 2014). Here we address the applicability of the thermometer to our samples in terms of spinel Fe 3+ , Cr#, Ti, and olivine P. The thermometer reproduces experimental temperatures to within ±25°C (Coogan et al., 2014), but larger errors may be caused by analytical uncertainties and the natural variation in Al ol . Accordingly, we implemented the uncertainty of Al ol in the equation by performing Monte Carlo simulations (n = 5000) for each olivine-spinel pair. We either used analytical σ or natural σ (whichever was larger; Table 1) as the standard deviation for Al ol in the simulations. In all cases, the error of the Al ol measurements exceeds the intrinsic error of the thermometer (±25 °C) such that the errors are ±30–42°C for the depleted ferropicrite suite and ±34–66 °C for Group 3 (Table 1). The relative difference in the errors can be explained by the relatively lower and more variable Al ol in the case of Group 3 (although Al ol analysis of Group 3 samples was more precise; Supplementary Table S1). ACCEPTED MANUSCRIPT The experiments of Wan et al. (2008) had a relatively tight range of spinel Fe 3+ [Fe 3+ /(Fe 3+ +Cr+Al) ≤ 0.15]. The additional experiments of Coogan et al. (2014) were performed at higher f O 2 and the authors calibrated the thermometer for more oxidised spinels (spinel Fe 3+ /Fe T ≤ 0.35). All of the analysed spinels in our study have stoichiometrically calculated Fe 3+ /Fe T < 0.35 (Table 1) and are within the Fe 3+ calibration range of the thermometer. The spinels analysed in this study exhibit high Cr# (0.64–0.78) and some of them exceed the Cr# calibration range of the thermometer (Cr# spl = 0–0.69; Table 1; Coogan et al., 2014). As our calculated temperatures are similar within magma types regardless of the Cr# spl (Table 1; Fig. 5b) and the correlation of Cr# spl and K D (Al) ol-spl appears to be linear (Wan et al., 2008), we conclude that spinels with high Cr# also give meaningful results. Our samples exhibit high Ti spl contents (0.029–0.316 per four oxygens; Table 1) relative to the spinels used in the calibration of the thermometer (atomic Ti spl < 0.025; Wan et al., 2008; Coogan et al., 2014). We note that the possible effect of high Ti spl on the thermometer has not been studied and Coogan et al. (2014) also use Ti-rich spinels (atomic Ti spl up to 0.07) from Greenland to constrain crystallisation temperatures. The lack of correlation of Ti spl with the calculated temperatures in our data and global LIP data from Coogan et al. (2014) (Fig. 5c) indicates that, for the range of samples presented in these studies, Ti spl does not seem to have a notable effect on the thermometer. Incorporation of Al into olivine may also take place as a coupled Al-P substitution (Coogan et al., 2014). For olivines with anomalously high P (> 200 ppm), Al ol contents should be extrapolated to P ol = 0 ppm. Phosphorus is below detection limits ( ≤ 129 ppm; Supplementary Table S1) in all of our samples so a correction is not required. 5.2. Crystallisation temperatures For the calculation of the crystallisation temperatures of the olivine-spinel pairs we used the experimentally calibrated equation of Coogan et al. (2014): T[K] = 10 4 /[0.575 + 0.884Cr# spl − 0.897ln(Al 2 O 3 ol /Al 2 O 3 spl )] (1) The resulting crystallisation temperatures for the olivine-spinel pairs are listed in Table 1 and are plotted against olivine Fo, Cr# spl , and Ti spl in Fig. 5. The temperatures calculated for the depleted ferropicrite suite using Eq. (1) range from 1367±37 °C to 1481±35 °C and for the Group 3 dykes from 1253±64 °C to 1303±40 °C. We were unable to separate the rare Fo89–90 olivines from sample Z1816.3 (Heinonen et al., 2013); the presence of these higher Fo phenocrysts indicates that Group 3 samples have already fractionated to some extent, so their crystallisation temperatures may be somewhat cooler than the true liquidus temperature. ACCEPTED MANUSCRIPT The maximum crystallisation temperature estimates for the depleted ferropicrite suite acquired using the Al-in-olivine thermometer from the most Mg-rich olivines (1424–1482 °C; Fo 91– 92 ) are more than 100 °C lower than previously calculated (>1600 °C; Heinonen and Luttinen, 2010) using the olivine-liquid equilibrium equations of Putirka et al. (2007). Similar differences between the results of these two models in general were observed by Coogan et al. (2014). Interestingly, similar liquidus temperatures as given by the Al-in-olivine thermometer are suggested for an accumulated fractional primary melt calculated for the depleted ferropicrite suite sample AL/B1b03 (1490–1491 °C at 0–3 GPa) with the recent PRIMELT3 software (Herzberg and Asimow, 2015). PRIMELT3 adds olivine to (or subtracts olivine from) a melt composition until it corresponds to a peridotite partial melt composition. The parental melt and olivine compositions predicted by the PRIMELT3 software are very Mg-rich (MgO = 23 wt. % and Fo 92 , respectively; K D (Fe-Mg) ol-liq = 0.30–0.32), also similar to the suggestions of earlier studies (Heinonen and Luttinen, 2010; see also Table 1 of this study). The compatibility of this approach (originally by Herzberg and O'Hara, 2002) and the Al-in-olivine thermometer was also observed by Coogan et al. (2014). The implied pyroxene-rich source of the Group 3 dykes (Heinonen et al., 2013) hampers the estimation of the liquidus temperatures of their parental melts with the PRIMELT3 software (Herzberg and Asimow, 2008, 2015). In comparison with Al-in-olivine temperatures calculated for olivine-spinel pairs from MOR settings and other large igneous provinces (LIPs), the depleted ferropicrite suite exhibits temperatures among the highest calculated (Fig. 6). In addition, the temperatures for both Antarctic magma types are relatively high at any given Fo content (Fig. 5a). This may be related to the fact that their parental melts were very Fe-rich ( ≥ 13 wt. % of FeO T ; Heinonen and Luttinen, 2010; Heinonen et al., 2013), given that Fe-rich melts may crystallise more Fo-poor olivine at higher temperatures compared to melts that have lower Fe contents (see Putirka, 2005). The within-group crystallisation temperatures are not dependent on Cr# spl (Fig. 5b) or Ti spl (Fig. 5c), but exhibit an expected general positive correlation with olivine Fo (Fig. 5a). One of the depleted ferropicrite suite olivine-spinel pairs (#4) with high olivine Fo (Fo91.8), however, shows significantly lower temperature (1367±37 °C) than other pairs with similar olivine Fo (Fo91.2–92.1; 1424±30–1481±35 °C; Table 1). Although olivine and spinel of this pair are not texturally different to other pairs, it is possible that the spinel analysis could represent the Cr-poor rim of the crystal and/or that the olivine is zoned in terms of Al (see also Coogan et al., 2014). We regard that the compositions of analysed olivine and spinel may not be in equilibrium in this case and stress the importance of the analysis of multiple olivine-spinel pairs for the determination of crystallisation temperatures when using the Al-in-olivine thermometer. 5.3. Mantle source temperatures Mantle source temperature is generally described as pressure-independent mantle potential temperature (Tp) that represents the temperature of mantle material if it adiabatically ascended to the Earth's surface without melting (McKenzie and Bickle, 1988). When melting has occurred, its calculation requires correction for the heat of fusion as well as decompression (Cawthorn, 1975) and relies on several assumptions. For example, any given Tp represents average melting conditions and thus assumes that melts segregated from different depths within the melting region are pooled and recombined in crustal magma chambers, integrating their thermal and chemical properties. All the available tools to estimate Tp assume that the mantle source is composed of peridotite and thus we concentrate on Vestfjella depleted ferropicrite suite (derived from peridotite source; Heinonen and Luttinen, 2010) in this section. One of the simplest methods for deriving Tp of a peridotite source from an olivine crystallisation temperature is provided by Putirka et al. (2007), who assume a two-step process whereby the temperature is first corrected for the temperature drop through fusion, and is then corrected back to 1 atm along an adiabat. The process is described by: ACCEPTED MANUSCRIPT T p [°C] = T ol-liq + ∆ T fus – P[ ∂ T/ ∂ P] (2) The temperature correction for fusion ∆ T fus = F( ∆ H fus /C p ) can be approximated for a lherzolite source using C p = 192.4 J/mol · K -1 and ∆ H fus = 128.3kJ/mol, and – P[ ∂ T/ ∂ P], the adiabatic gradient, can be approximated to be 13.3 °C/GPa (Putirka et al., 2007). Putirka et al. (2007) also provide two different equations to estimate the degree of melting (F) on the basis of major element composition and pressure (given as GPa): F[%] = -117.2 – 1.62P + 2.12(SiO 2 liq ) + 4.2(MgO liq ) – 3.93(FeO liq ) (3) and F[%] = -105.1 – 2.34P + 1.789(SiO 2 liq ) + 3.84(MgO liq ) – 2.26(FeO liq ) (4) These equations are parameterised from experimental peridotite partial melt data (see Putirka et al., 2007). Inputting the parental melt compositions and melting pressures (5–6 GPa) suggested for the depleted ferropicrite suite by Heinonen and Luttinen (2010) to equations (3) and (4) results in F of 24–34 %. Then, replacing T ol-liq with the highest T ol-spl values of this study (1464–1481 °C; Table 1) in Eq. (2) results in T p of ~1540–1640 °C. Alternatively, T p can be calculated with the PRIMELT3 software (Herzberg and Asimow, 2015) which gives similar liquidus temperatures for sample AL/B1b-03 as suggested by the Al-inolivine thermometer (see section 5.2.). As with the equations of Putirka et al. (2007), PRIMELT3 suggests high-degree melting of a garnet peridotite source (F = 31 %) for the parental melt of the sample AL/B1b-03, and the resulting T p is ~1630 °C (whole-rock composition of AL/B1b-03 used as an input; Heinonen and Luttinen, 2008). The large differences in all of the aforementioned estimates reflect the uncertainties in defining the composition (including volatile content) and degree of melting of the mantle source of the depleted ferropicrite suite. The considerable lithological and compositional heterogeneity of the We emphasise that the above Tp's calculated for the depleted ferropicrite suite rely on several simplified assumptions on the thermodynamic properties and composition of the mantle source and should be treated with caution (see Putirka, 2005; Falloon et al., 2007; Putirka et al., 2007; Coogan et al., 2014; Herzberg and Asimow, 2015). The relatively H2O-rich (~1–2 wt. %; Heinonen and Luttinen, 2010) nature of the parental melts must to some degree undermine the results of models that are based on melting of dry mantle lherzolite (see Stone et al., 1997). Furthermore, the models of Putirka et al. (2007) and Herzberg and Asimow (2015) are only based on Si-Mg-Fe compositions of the parental melt and the mantle source: the F values (24–34 %, see above) suggested by them are too high for the parental melts of the depleted ferropicrite suite source given the observed degree of incompatible trace and minor element (and H2O) enrichment (e.g., TiO2 = 1.3–1.4 wt. % in the parental melts; Heinonen and Luttinen, 2008, 2010). For comparison, Heinonen and Luttinen (2010) followed the approach of Herzberg and O'Hara (2002) and suggested an F of 12 % on the basis of not only Si, Mg. and Fe, but also Ti, Al, Mn, Ca, Na, K, Ni, and Cr composition of the estimated parental melts. Using such an F value (and T ol-spl 1464–1481 °C as T ol-liq and P of 5–6 GPa) in Eq. (2) results in Tp's of 1464–1495 °C, which are considerably lower than those (e.g., Hole 2015) yielded by the standard models of Putirka et al. (2007) and Herzberg and Asimow (2008, 2015). sublithospheric mantle (e.g., Warren et al., 2009) poses substantial challenges for defining Tp, especially for compositionally anomalous magma types. Nevertheless, even though the presented mantle source temperatures should be treated with considerable uncertainty, the apparent difference of the crystallisation temperatures between the depleted ferropicrite suite and MORB (~200 °C; Fig. 6) strongly suggests the derivation of the former from sources that are considerably hotter than those beneath modern MORs in general. This conclusion is in agreement with temperatures obtained from other LIPs, also obtained by Al-in-olivine thermometry (Coogan et al., 2014). As the depleted ferropicrite suite is related to the eruption of Karoo CFBs, these vast volcanic eruptions most likely represent melting at the same elevated Tp, the exact value of which is difficult to constrain using the current methods. Elevated Tp is frequently attributed to a mantle plume source (e.g. Putirka, 2005; Herzberg et al., 2007). Alternatively, upper mantle temperatures of up to ~1600°C (~200 °C higher than ambient upper mantle) may be caused by supercontinent insulation and favourable plate boundary assemblies (e.g., Coltice et al., 2007, 2009; Rolf et al., 2012). Such a model is in fact supported by the strong trace element and isotopic affinities of the Vestfjella depleted ferropicrite suite to SWIR MORB sources (Heinonen et al., 2010; Heinonen and Kurz, in press). In addition, the results of this study suggest crystallisation temperatures (and possibly mantle potential temperatures) that are ~100 °C lower than estimated by earlier studies on the basis of olivine-melt equilibria and melting models of dry lherzolite source (≥ 1600 °C; Heinonen and Luttinen, 2010; Hole, 2015). It should be emphasised, however, that although the internal heating model is also compatible with the most of the recent structural and geochronological studies on the Karoo LIP (e.g., Le Gall et al., 2002, 2005; Jourdan et al., 2004, 2005, 2006, 2009; Hastie et al., 2014), influence of a mantle plume or plumes for the generation of Karoo CFBs cannot be ruled out (see Ferraccioli et al., 2005; Curtis et al., ACCEPTED MANUSCRIPT We do not provide an estimate for the mantle source temperatures of the Group 3 dykes, because geochemical evidence indicates their derivation from mixed pyroxenite-peridotite sources (Heinonen et al., 2013, 2014). In such a case, it is inappropriate to use the above methods, which are based on parameterisations of experimental studies of peridotite melting; even eq. (2), which calculates T p independently of liquid composition, requires an estimate of F, for which an understanding of the chemistry of pyroxenite-derived melts is required. There is no clear consensus on the nature of pyroxenite in the mantle, which is reflected in the wide range of bulk compositions on which experiments are performed. Pyroxenite will generally melt more productively and at lower temperatures than peridotite, producing higher fraction melts with higher FeO at a given pressure (e.g. Kogiso et al., 1998). It is expected that pyroxenite-derived melts should record a lower crystallisation temperature at similar T p than their peridotite-derived counterparts, due to the intersection of the pyroxenite solidus with a given mantle adiabat at higher pressure resulting in an increased ∆ T fus . The simple relationship of eq. (2) would also be complicated by heat flow from the surrounding peridotite (Phipps Morgan, 2001). Quantitative modelling of pyroxenite melting is beyond the scope of this study. 5.4. Implications Given that there is less uncertainty related to the Al-in-olivine thermometer, because knowledge of the parental melt composition (see, e.g., Putirka, 2005; Herzberg et al., 2007) and K D (Fe-Mg) ol-liq (which may be composition- and pressure-dependent; Herzberg and O'Hara, 2002; Toplis, 2005) is not required (Coogan et al., 2014), we consider the Al-in-olivine thermometer to currently provide the best estimate for the crystallisation temperatures of the most Mg-rich magmas of the Karoo CFB province. We regard that the Al-in-olivine thermometer may be especially useful in tracing the thermal history of magmatic systems which have proven to be troublesome for the more traditional thermometers, e.g., if the involved magmas contained volatiles (e.g., Vestfjella depleted ferropicrite suite) or represent anomalous magma compositions from pyroxene-rich sources (e.g., Group 3). 2008). Importantly, the temperature data presented in this study do not discriminate between the two scenarios. ACCEPTED MANUSCRIPT 6. Summary We analysed primitive olivine-spinel pairs from Antarctic dyke rocks (Vestfjella depleted ferropicrite suite and Ahlmannryggen Group 3 dykes) related to the Karoo LIP for Al-in-olivine thermometry, which can address crystallisation temperatures without knowledge on melt composition or mineral-melt equilibria. The Vestfjella depleted ferropicrite suite represents the most magnesian magma type known from the Karoo province and both of the analysed magma types are characterised by primary compositions not influenced by the continental lithosphere. The host olivine Fo contents range from 79 to 92 mol. % and the analyses indicate olivine-spinel crystallisation temperatures from 1391±42 °C to 1481±35 °C for the Vestfjella depleted ferropicrite suite and from 1253±64 °C to 1303±40 °C for the Group 3 dykes. The temperatures calculated for the Vestfjella depleted ferropicrite suite are ~100 °C degrees lower than previously estimated using olivine-melt equilibria. Although exact mantle potential temperatures are difficult to estimate due to uncertainties related to degree of melting and mantle source composition, the crystallisation temperatures are compatible with derivation of the most Mg-rich magma type known from the Karoo LIP from a mantle source that was notably heated above ambient upper mantle temperatures. Acknowledgements Comments by Dante Canil and Klaus Mezger (Editor) greatly improved the manuscript, and a comment by an anonymous reviewer encouraged us to emphasise the importance of the results. Iris Buisman is warmly thanked for her competent management of the microprobe at Cambridge. Riina Puttonen is thanked for picking some of the olivines from crushed whole-rocks for the analyses. Laurence Coogan provided support in constraining the errors for the thermometer. Arto Luttinen is thanked for their general support of the work. This work has been funded by the Academy of Finland (for J.S.H., Grant no. 252652) and a Natural Environment Research Council studentship (for E.S.J., [NE/J500070/1]). The Al-in-olivine thermometry results of this study and of Coogan et al. (2014) suggest that at least CFBs of the North Atlantic Volcanic Province, Madagascar, and Karoo originated from mantle that was heated above ambient temperatures, irrespective of the heating mechanism. The origin of these provinces is thus difficult to explain solely by models of lithospheric delamination (ElkinsTanton and Hager, 2000), melting of fertile mantle components (Anderson, 2007), drainage of slowly-accumulated sublithospheric magma reservoir (Silver et al., 2006), or any model that does not include elevated upper mantle temperatures. References Anderson, D.L., 2005. Large igneous provinces, delamination, and fertile mantle. Elements 1, 271-275. http://dx.doi.org/10.2113/gselements.1.5.271 Anderson, D.L., 2007. 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Mixed pyroxenite–peridotite sources for mafic and ultramafic dikes from the Antarctic segment of the Karoo continental flood basalt province. Lithos 177, 366-380. http://dx.doi.org/10.1016/j.lithos.2013.05.015 Heinonen, J.S., Carlson, R.W., Riley, T.R., Luttinen, A.V., Horan, M.F., 2014. Subduction-modified oceanic crust mixed with a depleted mantle reservoir in the sources of the Karoo continental flood basalt province. Earth Planet. Sci. Lett. 394, 229-241. http://dx.doi.org/10.1016/j.epsl.2014.03.012 Herzberg, C., 2011. Basalts as temperature probes of Earth's mantle. Geology 39, 1179-1180. http://dx.doi.org/10.1130/focus122011.1 Herzberg, C., Asimow, P.D., 2008. Petrology of some oceanic island basalts: PRIMELT2.XLS software for primary magma calculation. Geochem. Geophys. Geosyst. 9. http://dx.doi.org/10.1029/2008GC002057 Herzberg, C., Asimow, P.D., 2015. PRIMELT3 MEGA.XLSM software for primary magma calculation: Peridotite primary magma MgO contents from the liquidus to the solidus. Geochem. Geophys. Geosyst. 8, 563-578. http://dx.doi.org/10.1002/2014GC005631 Herzberg, C., O'Hara, M.J., 2002. Plume-associated ultramafic magmas of Phanerozoic age. J. Petrol. 43, 1857-1883. http://dx.doi.org/10.1093/petrology/43.10.1857 Herzberg, C., Asimow, P.D., Arndt, N.T., Niu, Y., Lesher, C.M., Fitton, J.G., Cheadle, M.J., Saunders, A.D., 2007. Temperatures in ambient mantle and plumes; constraints from basalts, picrites, and komatiites. Geochem. Geophys. Geosyst. 8, http://dx.doi.org/10.1029/2006GC001390 Hole, M.J., 2015. The generation of continental flood basalts by decompression melting of internally heated mantle. Geology 43, 311-314. http://dx.doi.org/10.1130/g36442.1 Jacobs, J., Fanning, C.M., Henjes-Kunst, F., Olesch, M., Paech, H., 1998. Continuation of the Mozambique Belt into East Antarctica: Grenville-age metamorphism and polyphase Pan-African high-grade events in central Dronning Maud Land. J. Geol. 106, 385-406. http://dx.doi.org/10.1086/516031 Jourdan, F., Féraud, G., Bertrand, H., Kampunzu, A.B., Tshoso, G., Le Gall, B., Tiercelin, J.J., Capiez, P., 2004. The Karoo triple junction questioned: evidence from Jurassic and Proterozoic 40 Ar/ 39 Ar ages and geochemistry of the giant Okavango dike swarm (Botswana). Earth Planet. Sci. Lett. 222, 989-1006. http://dx.doi.org/10.1016/j.epsl.2004.03.017 Jourdan, F., Féraud, G., Bertrand, H., Kampunzu, A.B., Tshoso, G., Watkeys, M.K., Le Gall, B., 2005. Karoo large igneous province: Brevity, origin, and relation to mass extinction questioned by new 40 Ar/ 39 Ar age data. Geology 33, 745-748. http://dx.doi.org/10.1130/G21632.1 Jourdan, F., Féraud, G., Bertrand, H., Watkeys, M.K., Kampunzu, A.B., Le Gall, B., 2006. Basement control on dyke distribution in large igneous provinces: case study of the Karoo triple junction. Earth Planet. Sci. Lett. 241, 307-322. http://dx.doi.org/10.1016/j.epsl.2005.10.003 Jourdan, F., Bertrand, H., Schaerer, U., Blichert-Toft, J., Féraud, G., Kampunzu, A.B., 2007a. Major and trace element and Sr, Nd, Hf, and Pb isotope compositions of the Karoo large igneous province, Botswana-Zimbabwe: lithosphere vs mantle plume contribution. J. Petrol. 48, 1043-1077 http://dx.doi.org/10.1093/petrology/egm010 Jourdan, F., Féraud, G., Bertrand, H., Watkeys, M.K., 2007b. From flood basalts to the inception of oceanization: example from the 40 Ar/ 39 Ar high-resolution picture of the Karoo large igneous province. Geochem. Geophys. Geosyst. 8, http://dx.doi.org/10.1029/2006GC001392 Jourdan, F., Bertrand, H., Feraud, G., Le Gall, B., Watkeys, M.K., 2009. Lithospheric mantle evolution monitored by overlapping large igneous provinces: case study in southern Africa. Lithos 107, 257-268. http://dx.doi.org/10.1016/j.lithos.2008.10.011 Juckes, L.M., 1972. The geology of north-eastern Heimefrontfjella, Dronning Maud Land. British Antarctic Survey, Scientific Report 65, 44 p. Kamenetsky, V.S., Crawford, A.J., Meffre, S., 2001. Factors controlling chemistry of magmatic spinel: an empirical study of associated olivine, Cr-spinel and melt inclusions from primitive rocks. J. Petrol. 42, 655-671. http://dx.doi.org/10.1093/petrology/42.4.655 Kogiso T., Hirose K., Takahashi E., 1998. Melting experiments on homogeneous mixtures of peridotite and basalt: application to the genesis of ocean island basalts. Earth Planet. Sci. Lett. 162, 45-61. http://dx.doi.org/10.1016/S0012821X(98)00156-3 Le Gall, B., Tshoso, G., Jourdan, F., Féraud, G., Bertrand, H., Tiercelin, J.J., Kampunzu, A.B., Modisi, M.P., Dyment, J., Maia, M., 2002. 40 Ar/ 39 Ar geochronology and structural data from the giant Okavango and related mafic dyke swarms, Karoo igneous province, northern Botswana. Earth Planet. Sci. Lett. 202, 595-606. http://dx.doi.org/10.1016/s0012-821x(02)00763-x Le Gall, B., Tshoso, G., Dyment, J., Basira Kampunzu, A., Jourdan, F., Féraud, G., Bertrand, H., Aubourg, C., Vétel, W., 2005. The Okavango giant mafic dyke swarm (NE Botswana): its structural significance within the Karoo Large Igneous Province. J. Struct. Geol. 27, 2234-2255. http://dx.doi.org/10.1016/j.jsg.2005.07.004 Lee, C.A., Luffi, P., Plank, T., Dalton, H., Leeman, W.P., 2009. Constraints on the depths and temperatures of basaltic magma generation on Earth and other terrestrial planets using new thermobarometers for mafic magmas. Earth Planet. Sci. Lett. 279, 20-33. http://dx.doi.org/10.1016/j.epsl.2008.12.020 ACCEPTED MANUSCRIPT Lindström, S., 2005. Palynology of Permian shale, clay and sandstone clasts from the Basen till in northern Vestfjella, Dronning Maud Land. Antarct. Sci. 17, 87-96. http://dx.doi.org/10.1017/S0954102005002476 Luttinen, A.V., Furnes, H., 2000. Flood basalts of Vestfjella: Jurassic magmatism across an Archaean-Proterozoic lithospheric boundary in Dronning Maud Land, Antarctica. J. Petrol. 41, 1271-1305. http://dx.doi.org/10.1093/petrology/41.8.1271 Luttinen, A.V., Rämö, O.T., Huhma, H., 1998. Neodymium and strontium isotopic and trace element composition of a Mesozoic CFB suite from Dronning Maud Land, Antarctica: Implications for lithosphere and asthenosphere contributions to Karoo magmatism. Geochim. Cosmochim. Acta 62, 2701-2714. http://dx.doi.org/10.1016/S00167037(98)00184-7 Luttinen, A.V., Leat, P.T., Furnes, H., 2010. Björnnutane and Sembberget basalt lavas and the geochemical provinciality of Karoo magmatism in western Dronning Maud Land, Antarctica. J. Volcanol. Geotherm. Res. 198, 1-18. http://dx.doi.org/10.1016/j.jvolgeores.2010.07.011 Luttinen, A.V., Heinonen, J.S., Kurhila, M., Jourdan, F., Mänttäri, I., Vuori, S.K., Huhma, H., in press. Depleted mantle-sourced CFB magmatism in the Jurassic Africa-Antarctica rift: petrology and 40 Ar/ 39 Ar and U/Pb chronology of the Vestfjella dyke swarm, Dronning Maud Land, Antarctica. J. Petrol. 56, 919-952. http://dx.doi.org/10.1093/petrology/egv022 Marschall, H.R., Hawkesworth, C.J., Storey, C.D., Dhuime, B., Leat, P.T., Meyer, H.-P., Tamm-Buckle, S., 2010. The Annandagstoppane Granite, East Antarctica: Evidence for Archaean Intracrustal recycling in the Kaapvaal-Grunehogna Craton from zircon O and Hf isotopes. J. Petrol. 51, 2277-2301. http://dx.doi.org/10.1093/petrology/egq057 McKenzie, D., Bickle, M.J., 1988. The volume and composition of melt generated by extension of the lithosphere. J. Petrol. 29, 625-679. http://dx.doi.org/10.1093/petrology/29.3.625 Moyes, A.B., Krynauw, J.R., Barton, J.M.,Jr, 1995. The age of the Ritscherflya Supergroup and Borgmassivet Intrusions, Dronning Maud Land, Antarctica. Antarct. Sci. 7, 87-97. http://dx.doi.org/10.1017/S0954102095000125 Neumann, E.-R, Svensen, H., Galerne, C.Y., Planke, S., 2011. Multistage evolution of dolerites in the Karoo Large Igneous Province, central South Africa. J. Petrol. 52, 959-984. http://dx.doi.org/10.1093/petrology/egr011 Phipps Morgan, J., 2001. Thermodynamics of pressure release melting of a veined plum pudding mantle. Geochem. Geophys. Geosyst. 2, http://dx.doi.org/10.1029/2000GC000049 Putirka, K.D., 2005. Mantle potential temperatures at Hawaii, Iceland, and the mid-ocean ridge system, as inferred from olivine phenocrysts; evidence for thermally driven mantle plumes. Geochem. Geophys. Geosyst. 6, http://dx.doi.org/10.1029/2005GC000915 Putirka, K.D., Perfit, M., Ryerson, F.J., Jackson, M.G., 2007. Ambient and excess mantle temperatures, olivine thermometry, and active vs. passive upwelling. Chem. Geol. 241, 177-206. http://dx.doi.org/10.1016/j.chemgeo.2007.01.014 Riley, T.R., Leat, P.T., Curtis, M.L., Millar, I.L., Duncan, R.A., Fazel, A., 2005. Early-Middle Jurassic dolerite dykes from Western Dronning Maud Land (Antarctica): Identifying mantle sources in the Karoo Large Igneous Province. J. Petrol. 46, 1489-1524. http://dx.doi.org/10.1093/petrology/egi023 Riley, T.R., Curtis, M.L., Leat, P.T., Millar, I.L., 2009. The geochemistry of Middle Jurassic dykes associated with the Straumsvola-Tvora alkaline plutons, Dronning Maud Land, Antarctica and their association with the Karoo large igneous province. Mineral. Mag. 73, 205-226. http://dx.doi.org/10.1180/minmag.2009.073.2.205 Roeder, P.L., Emslie, R.F., 1970. Olivine-liquid equilibrium. Contrib. Mineral. Petrol. 29, 275-289. http://dx.doi.org/10.1007/bf00371276 Rolf, T., Coltice, N., Tackley, P.J., 2012. Linking continental drift, plate tectonics and the thermal state of the Earth's mantle. Earth Planet. Sci. Lett. 351–352, 134-146. http://dx.doi.org/10.1016/j.epsl.2012.07.011 Silver, P.G., Behn, M.D., Kelley, K.A., Schmitz, M., Savage, B., 2006. Understanding cratonic flood basalts. Earth Planet. Sci. Lett. 245, 190-201. http://dx.doi.org/10.1016/j.epsl.2006.01.050 Simkin, T., Smith, J.V., 1970. Minor-element distribution in olivine. J. Geol. 78, 304-325. http://dx.doi.org/10.1086/627519 Spandler, C., O'Neill, H.St.C., 2010. Diffusion and partition coefficients of minor and trace elements in San Carlos olivine at 1,300°C with some geochemical implications. Contrib. Mineral. Petrol. 159, 791-818. http://dx.doi.org/10.1007/s00410-009-0456-8 Stone, W.E., Deloule, E., Larson, M.S., Lesher, C.M., 1997. Evidence for hydrous high-MgO melts in the Precambrian. Geology 25, 143-146. http://dx.doi.org/10.1130/0091-7613(1997)025<0143:EFHHMM>2.3.CO;2 Sweeney, R.J., Duncan, A.R., Erlank, A.J., 1994. Geochemistry and petrogenesis of central Lebombo basalts of the Karoo igneous province. J. Petrol. 35, 95-125. http://dx.doi.org/10.1093/petrology/35.1.95 Toplis, M.J., 2005. The thermodynamics of iron and magnesium partitioning between olivine and liquid; criteria for assessing and predicting equilibrium in natural and experimental systems. Contrib. Mineral. Petrol. 149, 22-39. http://dx.doi.org/10.1007/s00410-004-0629-4 Wan, Z., Coogan, L.A., Canil, D., 2008. Experimental calibration of aluminum partitioning between olivine and spinel as a geothermometer. Am. Mineral. 93, 1142-1147. http://dx.doi.org/10.2138/am.2008.2758 Warren, J.M., Shimizu, N., Sakaguchi, C., Dick, H.J.B., Nakamura, E., 2009. An assessment of upper mantle heterogeneity based on abyssal peridotite isotopic compositions. J. Geophys. Res. B 114. http://dx.doi.org/10.1029/2008JB006186 Wolmarans, L.G., Kent, K.E., 1982. Geological investigations in western Dronning Maud Land, Antarctica - a synthesis. S. Afr. J. Antarc. Res. Suppl. 2, 93 p. Zhang, X., Luttinen, A.V., Elliot, D.H., Larsson, K., Foland, K.A., 2003. Early stages of Gondwana breakup: the 40Ar/39Ar geochronology of Jurassic basaltic rocks from western Dronning Maud Land, Antarctica, and implications for the timing of magmatic and hydrothermal events. J. Geophys. Res. B 108. http://dx.doi.org/10.1029/2001JB001070 Figure captions Figure 1. Outcrop map of western Dronning Maud Land from Vestfjella to H. U. Svedrupfjella with distribution of Karoo flood basalts and Vestfjella depleted ferropicrite and Ahlmannryggen Group 3 dyke suites. Distribution of Karoo flood basalts and related intrusive rocks in reconstructed Gondwana supercontinent (see Heinonen et al., 2010) is shown in the lower right inset. Figure 2. Spinel inclusions in olivine phenocrysts in plane-polarised light in samples AL/B1b-03 (a; Vestfjella depleted ferropicrite suite) and Z1816.3 (b; Group 3). Figure 3. Olivine Fo vs. olivine Al2O3 for the Vestfjella depleted ferropicrite suite (VDFP) and Group 3 dykes. Vestfjella olivine-spinel pair that is suspected to be out of equilibrium is shown with a grey symbol (see section 5.2.). LIP and MORB fields are after Coogan et al. (2014). The reequilibrated olivines of the MORBs from the Siqueiros transform fault are not included (Coogan et al., 2014). Error bars (1σ) either represent the analytical error or natural variation in olivine Al2O3, whichever is larger (see Table 1). Figure 4. Mineral chemistry of the analysed samples from the Vestfjella depleted ferropicrite suite (VDFP) and Group 3 dykes shown in olivine Fo vs. olivine CaO (a) and spinel Al2O3 vs. spinel TiO2 diagrams (b). The dashed line that separates volcanic and plutonic olivines on the basis of CaO in (a) is after Simkin and Smith (1970). Spinel discrimination fields in (b) (LIP = large igneous provinces; OIB = oceanic island basalts; MORB = mid-ocean ridge basalts; ARC = island arcs; Peridotites = mantle peridotites) are after Kamenetsky et al. (2001). ACCEPTED MANUSCRIPT Figure 5. The results of Al-in-olivine thermometry for the Vestfjella depleted ferropicrite suite and Group 3 dykes shown in olivine Fo vs. T (a), spinel Cr# vs. T (b), and spinel Ti vs. T (c) diagrams. Estimated 1σ errors for the temperatures are shown (see. section 5.2). Vestfjella olivine-spinel pair that is suspected to be out of equilibrium is shown with a grey symbol (see. section 5.2). LIP and MORB fields in (a) are after Coogan et al. (2014). Olivine-spinel pairs of the MORBs from the Siqueiros transform fault suffer from re-equilibration of the olivines and are not included (Coogan et al., 2014). LIP olivine-spinel pairs with variable Ti spl analysed by Coogan et al. (2014) shown for reference in (c). Figure 3 Figure 4 Figure 6 Highlights Re-evaluation of the crystallization temperatures of the most Mg-rich magmas of the Karoo LIP Most primitive magmas crystallized at temperatures of 1400-1500 °C Sublithospheric sources of the Karoo LIP heated above ambient upper mantle temperatures
HIGH COURT OF AUSTRALIA HIGH COURT OF AUSTRALIA NOTICE OF FILING NOTICE OF FILING This document was filed electronically in the High Court of Australia on 11 Oct 2021 and has been accepted for filing under the High Court Rules 2004. Details of filing and important additional information are provided below. This document was filed electronically in the High Court of Australia '] and has been accepted for filing under the High Court Rules 2004. De ind important additional information are provided below. Details of Filing Details of Filing File Number: File Number: File Title: File Title: Registry: Registry: Document filed: Document filed: Filing party: party: Filing Date filed: H2/2021 Hobart International Airport Pty Ltd v. Clarence City Council Hobart International Airport Pty Ltd v. Clarence Hobart Form 27F - First Respondent's outline of oral argument Form 27F - First Respondent's outline oral ar Respondent's outline of oral ar Respondents Respondents 11 Oct 2021 11 Oct 2021 Date filed: Oct2021 Important Information Important Information This Notice has been inserted as the cover page of the document which has been accepted for filing electronically. It is now taken to be part of that document for the purposes of the proceeding in the Court and contains important information for all parties to that proceeding. It must be included in the document served on each of those parties and whenever the document is reproduced for use by the Court. This Notice has been inserted as the cover page of the document en accepted for filing electronically. It is now taken tobe part of that ¢ he purposes of the proceeding in the Court and contains important ini all parties to that proceeding. It must be included in the document served Ise parties and whenever the document is reproduced for use by the Court Page 1 Page1 IN THE HIGH COURT OF AUSTRALIA HOBART REGISTRY IN THE HIGH COURT OF AUSTRALIA HOBART REGISTRY Respondents Respondents and and Page 2 Page2 H2/2021 H2/2021 10 10 20 20 1. These submissions are in a form suitable for publication on the internet. 1. These submissions are in a form suitable for publication on the internet. Part II: Propositions to be advanced in oral argument Part IT: Propositions to be advanced in oral argument 1. The Councils adopt the oral submissions of the Commonwealth relating to the justiciable controversy and matter requirements and do not repeat their written case. 1. The Councils adopt the oral submissions of the Commonwealth relating to the justiciable controversy and matter requirements and do not repeat their written case. Ground 1 of the appeal Ground 1 ofthe appeal 2. An applicant with a cause of action ordinarily has standing to seek declaratory relief in private law proceedings where questions of standing and cause of action overlap: Truth About Motorways (Tab 26) at [92]. 2. An applicant with a cause of action ordinarily has standing to seek declaratory relief in private law proceedings where questions of standing and cause of action overlap: Truth About Motorways (Tab 26) at [92]. 3. It does not follow that lack of a cause of action is fatal: FC [91], [140], [150]; Ashmere Cove (Tab 33) at [32]; CGU (Tab 13) at [26]. 3. It does not follow that lack of a cause of action is fatal: FC [91], [140], [150]; Ashmere Cove (Tab 33) at [32]; CGU (Tab 13) at [26]. 4. Primarily, the privity principle operates within the confines of the law of contract to deny to a non-party a cause of action: Mason (Tab 44) p.88; Trident (Tab 25) at 134, 136, 143, 144; FC at [77]. Primarily, the privity principle operates within the confines of the law of contract to deny to a non-party a cause of action: Mason (Tab 44) p.88; Trident (Tab 25) at 134, 136, 143, 144; FC at [77]. 5. In cases where the claim does not depend on a cause of action, the principle operates differently: FC at [91-93]. It is relevant to the sufficient interest and intermeddling questions (if the constitutional matter requirement is met): FC [129], [144], [147-148]; Aussie Airlines (Tab 30) at 415, B-G. The privity principle does not necessarily deny standing where an applicant is not an outsider: CGU (Tab 13) at [96]. In cases where the claim does not depend on a cause of action, the principle operates differently: FC at [91-93]. It is relevant to the sufficient interest and intermeddling questions (if the constitutional matter requirement is met): FC [129], [144], [147-148]; Aussie Airlines (Tab 30) at 415, B-G. The privity principle does not necessarily deny standing where an applicant is not an outsider: CGU (Tab 13) at [96]. 6. The appellants contend that privity operates as an exclusionary principle in these cases to deny declaratory relief to "validate an entitlement" to contractual benefit or which touches upon "rights in relation to a contract": AS [19]. But as the FC reasoned, it is necessary to inquire more closely to comprehend the true operation of the principle: FC [80]; Coulls (Tab 14) at 494. 6. The appellants contend that privity operates as an exclusionary principle in these cases to deny declaratory relief to "validate an entitlement" to contractual benefit or which touches upon "rights in relation to a contract": AS [19]. But as the FC reasoned, it is necessary to inquire more closely to comprehend the true operation of the principle: FC [80]; Coulls (Tab 14) at 494. 7. The authorities considered by the FC support its central conclusion at [89-90]: Coulls (Tab 14) at 478, 494, 495; Trident (Tab 25) at 115, 127, 128, 142, 155 and 163; Wilson (Tab 27) at 67. The Councils do not assert a cause of action on or upon the contracts to enforce the benefit that is payable. The authorities considered by the FC support its central conclusion at [89-90]: Coulls (Tab 14) at 478, 494, 495; Trident (Tab 25) at 115, 127, 128, 142, 155 and 163; Wilson (Tab 27) at 67. The Councils do not assert a cause of action on or upon the contracts to enforce the benefit that is payable. 30 8. The appellants' arguments are not supported by EB9&10 Pty Ltd (Tab 32) or Royal Insurance (Tab 24). Each is an example of cases where an applicant could assert an entitlement to coercive relief. Neither stands for the general proposition that a grant of The appellants' arguments are not supported by EB9&10 Pty Ltd (Tab 32) or Royal Insurance (Tab 24). Each is an example of cases where an applicant could assert an entitlement to coercive relief. Neither stands for the general proposition that a grant of 30 Respondents Respondents Page 3 Page3 H2/2021 H2/2021 10 10 20 20 30 declaratory relief confers an entitlement to coercive relief and Smethurst v AFP (Tab declaratory relief confers an entitlement to coercive relief and Smethurst v AFP (Tab 42) at [76] is firmly against it. 42) at [76] is firmly against it. 9. There is no doubt that the FC correctly understood the difference between declaratory and executory judgements at [90-92]; Woolf and Woolf (Tab 46) at [1.02]. Nowhere do the appellants explain what consequential coercive relief in these cases would look like. If sought, that will be the proper time to apply the privity principle. The PJ did not draw that distinction. There is no doubt that the FC correctly understood the difference between declaratory and executory judgements at [90-92]; Woolf and Woolf (Tab 46) at [1.02]. Nowhere do the appellants explain what consequential coercive relief in these cases would look like. If sought, that will be the proper time to apply the privity principle. The PJ did not draw that distinction. 10. Contrary to the reply submission at [14], CGU (Tab 13) is a case where the non-party applicant was found entitled to pursue declaratory relief even though the contracting parties were not disputants. As the plurality explained at [67], the anterior claim for declaratory relief was not contrary to the privity principle. Similarly, Nettle J at [96], [99], [102]. Milebush (Tab 37) is another example where the parties were not in dispute, albeit relief was refused on discretionary grounds. 10. Contrary to the reply submission at [14], CGU (Tab 13) is a case where the non-party applicant was found entitled to pursue declaratory relief even though the contracting parties were not disputants. As the plurality explained at [67], the anterior claim for declaratory relief was not contrary to the privity principle. Similarly, Nettle J at [96], [99], [102]. Milebush (Tab 37) is another example where the parties were not in dispute, albeit relief was refused on discretionary grounds. 11. This is not to say that an absence of privity is irrelevant on the real and sufficient interest question: FC [129], but it is certainly correct to conclude that the seeking of declaratory relief by a non-party (who is a participant in the contractual mechanism) does not necessarily run counter to the doctrine: FC [92]. 11. This is not to say that an absence ofprivity is irrelevant on the real and sufficient interest question: FC [129], but it is certainly correct to conclude that the seeking of declaratory relief by a non-party (who is a participant in the contractual mechanism) does not necessarily run counter to the doctrine: FC [92]. 12. Rather, the correct inquiry requires that attention must focus on the nature and quality of the Councils' interests: FC [144], [148 -153], consistently with the analysis in Aussie Airlines (Tab 30) at 415-416 and that of Nettle J in CGU (Tab 13) at [92-96]. 12. Rather, the correct inquiry requires that attention must focus on the nature and quality of the Councils' interests: FC [144], [148 -153], consistently with the analysis in Aussie Airlines (Tab 30) at 415-416 and that ofNettle J in CGU (Tab 13) at [92-96]. Ground 2 of the appeal Ground 2 ofthe appeal 13. Meadows Indemnity Co (Tab 36) is not authority for the proposition that standing to seek declaratory relief is limited to the parties to the contract, save for exceptional circumstances: FC [129]. Aussie Airlines (Tab 30) establishes that a non-party, with a real commercial interest, has standing to seek declaratory relief as to the meaning of a contract for the reasons explained by Lockhart J at 415-416. That reasoning was approved of by Nettle J in CGU (Tab 13) at [102] and by Heydon J in Edwards v Santos (Tab 16) at [38]. Ashmere Cove (Tab 33) at [50-52] is to like effect. 13. Meadows Indemnity Co (Tab 36) is not authority for the proposition that standing to seek declaratory relief is limited to the parties to the contract, save for exceptional circumstances: FC [129]. Aussie Airlines (Tab 30) establishes that a non-party, with a real commercial interest, has standing to seek declaratory relief as to the meaning of a contract for the reasons explained by Lockhart J at 415-416. That reasoning was approved of by Nettle J in CGU (Tab 13) at [102] and by Heydon J in Edwards v Santos (Tab 16) at [38]. Ashmere Cove (Tab 33) at [50-52] is to like effect. 14. The Councils are not outsiders within the meaning of the separate reasons of Nettle J in CGU at [96] for the reasons explained by the FC at [152-153] and [177-183]. 14. The Councils are not outsiders within the meaning of the separate reasons of Nettle J in CGU at [96] for the reasons explained by the FC at [152-153] and [177-183]. 30 15. In any event, the position in the United Kingdom has 'moved on' since Meadows: RollsRoyce PLC v Unite the Union (Tab 39) at [150], Milebush (Tab 37) at [86-88]. 15. In any event, the position in the United Kingdom has 'moved on' since Meadows: RollsRoyce PLC v Unite the Union (Tab 39) at [150], Milebush (Tab 37) at [86-88]. Respondents Respondents Page 4 Page4 H2/2021 H2/2021 10 10 20 20 Notices of contention Notices of contention Exceptional circumstances–Ground 5 of the Councils' appeals to the FC (CB 54-55; Exceptional circumstances — Ground 62-63) 62-63) 16. If privity is the correct prism through which to assess the Councils’ standing contrary If privity is the correct prism through which 5 of the Councils' appeals to theFC(CB54-55; to assess theCouncils' standing contrary to the FC at [94], there are exceptions: CGUNettle J at [96]. The PJ erred at [57-59] to theFCat [94], there are exceptions: CGUNettle Jat[96]. ThePJ erred at [57-59] in confining the relevant circumstances to the absence of a source of right outside of in confining the relevant circumstances to the absence of a source of right outside of the contract and the agreement as between the parties to the contract that its terms had the contract and the agreement as between the parties to the contract that its terms had been complied with. been complied with. NeitherMeadows(Tab 36) norCGU(Tab 13) compel the conclusion that 'exceptional NeitherMeadows(Tab36) norCGU(Tab13) compel the conclusion that 'exceptional circumstances’ are to be so confined. circumstances' are to be so confined. All of the circumstances as set out by the FC at [177-183] establish that these cases 17. 17. 18. All of the circumstances as set out by theFCat[177-183] establish that these cases are 'exceptional'. are'exceptional'. Confining privity Confining privity 19. The appellants' formulation of the privity principle cuts across the reasoning and the 19. The appellants’ formulation of the privity principle cuts across the reasoning and the outcome inCGU, Aussie Airlines and the autonomy of the contracting parties to invite outcome in CGU,Aussie Airlines and the autonomy of the contracting parties to invite participation by a non-party in an aspect of their bargain. The principle should be stated participation by a non-party in an aspect of their bargain. The principle should be stated no wider than the formulation of Barwick CJ in Coulls , which is not in conflict with the no wider than the formulation of BarwickCJin Coulls, which is not in conflict with the justification for the privity rule: Mason (Tab 44) at 90, 92; Furmston and Tolhurst (Tab justification for the privity rule: Mason(Tab44) at 90, 92; Furmston and Tolhurst(Tab 48) at [2.32]. 48) at[2.32]. DATED: 11 October 2021 DATED: 11 October 2021 \- S.B.McELWAINE ELWAINE KATE CUTHBERTSON KATE CUTHBERTSON XVM". Respondents Respondents Page 5 5 Page H2/2021 H2/2021
ASSESSMENT OF ECOLOGICAL STATUS OF THE RIVER IBAR IN TERMS OF PHYSICOCHEMICAL PARAMETERS UDC 502.14(497.11Ibar) Nataša Elezović 1 , Ljiljana Takić 2 , Nenad Ţivković 3 , Predrag Jovanić 1 Faculty of Technical Sciences, Kosovska Mitrovica, University of Priština, Serbia 2 Faculty of Technology, Leskovac, University of Niš, Serbia 3 Faculty of Occupational Safety, Niš, University of Niš, Serbia 4 University of Belgrade, Institute for Multidisciplinary Research, Belgrade Serbia Abstract. The importance of preservation and improvement of the quality of surface waters implies the consideration of the current ecological state of water quality. The aim of this paper is to present the two methodologies used for determination of the ecological status of the Ibar River. The analysis of measured concentrations of selected physical and chemical parameters, which are the indicators of water quality, is based on the data obtained from the stations along the river. Ecological classification of watercourse is defined in accordance with the methodology prescribed by Regulation on the parameters of the ecological and chemical status of surface water and the parameters of the chemical and quantitative status of groundwater. The research data were obtained from the Serbian Environmental Protection Agency from 2013. It was found that some parameters exceeded the limit values of required good status, and therefore, the Ibar is given moderate ecological status. Moderate ecological status of the river Ibar corresponds to Class III watercourses. The conditions that correspond to biological parameters are typical for a given status. The ecosystem approach clearly indicates the need to take continuous monitoring in order to prevent disruption and to improve water quality as an integral part of the environment protection. Key words: ecological status, the Ibar River 1. INTRODUCTION Water Framework Directive (WFD) has established a new approach for protection, improvement and sustainable utilization of water systems, which includes integrated management of the water resources. The general goal of WFD is to achieve and maintain „good ecological status" and „good chemical status" of water bodies, and „good ecological Received July 8, 2015 / Accepted February 9, 2016 Corresponding author: Nataša Elezović Faculty of Technical Sciences, Knjaza Miloša 7, 38220 Kosovska Mitrovica, Serbia potential" for heavily modified or artificial water bodies by 2015 [1]. Legislation in the field of sustainability of water systems in Serbia and harmonization with the European Directives has been implemented since 2012, through various laws, regulations and provisions on water and TheSurface Water Quality MonitoringProgramme. These legislation and procedures arising from them were the basis for setting up our research methodology within the definition of the status and sustainability of the Ibar water system. The river Ibar basin belongs to the West Morava, that is, the Black Sea basin. The river Ibar, the longest and the most important tributary of the Western Morava river is 276 [km] long. The surface of its basin is 8060 [km2]. It springs from the strong fountainhead under Hajla Mountain (1360 [m]) in Montenegro, 10 [km] upstream from Rožaje. It enters the territory of the Republic of Serbia 20 [km] downstream from Rožaje, flows east to Kosovska Mitrovica taking tributary the river Sitnica, and turns north to Kraljevo, where it flows into the West Morava River [2]. The original scientific paper by Ockoljic et al., classifying the river waters in Serbia by the degree of their pollution, ranks the river Ibar as one of the most polluted rivers in Serbia [3]. The selection of methodology for analysis of collected data on water quality was a problem that needed to be solved. Nowadays, a large number of data processing methodologies based on statistic procedures and mathematical models are used worldwide. In this case, the first step was to solve the problem of what type of analysis should be conducted: whether to analyse the collected data in their spatial milieu according to time and location of sampling or to analyse them as incomplete time series. These are two different approaches to data processing. The understanding of processes in watercourse suggests to use both of them in the analysis and multivariable analysis of obtained results. A good ecological status is defined by „unalterable" condition, permitted small deviations from natural conditions, and determined reference values that indirectly define the goal that given water body must reach. Ecological status is determined in terms of chemical and physicochemical quality elements, which are important for biological elements of certain types of surface waters. 2. MATERIALS AND METHODS Ecological status of surface waters is determined according to three groups of quality elements: biological, hydromorphological and physicochemical. Ecological status of unalterable water bodies, surface waters is classified as High (I), Good (II) and Moderate (III). All surface waters that have a status lower than moderate are classified as Poor (IV) or Bad (V). Waters showing signs of major changes in the values of biological quality elements, for a given type of surface waters, and in which relevant biological communities deviate substantially from the ones common for that type under undisturbed conditions are classified as poor. Waters showing very large changes in the value for that type of water are classified as bad. Generally, Regulation on the parameters of the ecological and chemical status of surface water and the parameters of the chemical and quantitative status of groundwater („Official Gazette of RS", No. 74/2011) prescribes ecological status parameters and defines types and related aquatic bodies. According to this Regulation, all sections of the river Ibar are classified as the water body TYPE 2-big rivers in which middle layer dominates [4]. The assessment of ecological status class is determined according to defined chemical and physicochemical parameters: pH, dissolved oxygen, biochemical oxygen demand (BOD-5), ammonium ion, nitrates, orthophosphates, total dissolved phosphorus and chlorides. Table 1 presents the limits of chemical and physicochemical parameters for the assessment of ecological status class [4]. Table 1 Chemical and physicochemical limits of ecological status for water bodies TYPE 2. In this paper, we analysed mean values of the parameters for the year 2013 at three measurement points of the river Ibar (Batrage, Raska and Kraljevo). Based on the monthly concentrations, their mean value at the annual level at each measurement point has been estimated. In the introductory part of the paper, it is noted that the assessment of the ecological status of the water body depends on the selection of indicators of the water body quality and related processing methodologies. Determination of the ecological status of the rivers, which are mainly flow systems, is a very specific case. Sampling is conducted at a location, that is part of the water body movable in space due to mixing, and movable in time due to the water flow. Having this in mind, we must clearly set down the analyses of data that also have time delay in the analysis of values of parameters. Therefore, it is always better to be precise about the status assessment. In order to illustrate this hypothesis, Figure 1 presents two simple tests for data collected at the station Batrage for the year 2013. The first test comprises spectral analyses conducted by observing data as time series. The second figure presents a classical motivational analysis where data were observed from the aspect of measurement points immovable in time that are obtained via the software program Statistica 7. 3. RESULTS AND DISCUSSION In order to assess the ecological status, nine chemical and physicochemical parameters of water quality indicators were analysed: pH, dissolved oxygen, biochemical oxygen demand, ammonium ion, nitrates, orthophosphates, total dissolved phosphorus and chlorides. The ecological status of the river Ibar was determined based on the data from the Serbian Environmental Protection Agency. The data resources were measured at the stations Batrage, Raska and Kraljevo. This is done in accordance with the methodology prescribed by the Regulation on the parameters of the ecological and chemical status of surface water and the parameters of the chemical and quantitative status of groundwater („Official Gazette of RS", No. 74/2011). Because of the need to assess the current ecological status, the latest available data from the year 2013 were used [5]. We explained earlier that these data sets were analysed as the time series or as multifactorial data. The figure below presents the analyses of the time series for all data and the spatial analyses of the same data. Changes in water quality along the river Ibar to the place of confluence near Kraljevo are presented on Figure 2 by statistical analysis of BOD-5 values. Designed values of physicochemical parameters observed in the assessment of ecological status are given in Table 2. Table 2 Parameters values at measurement points of the river Ibar in 2013. The water in the Ibar has base character and the greatest number of measured pH values, at all three stations, and are on the very limit of permitted. Oxygen regime is relatively balanced, and the lowest values are recorded at the measuring station Raška. The pointed data of load indicator of river water by organic matter (BOD-5) show that it is the strongest at the measuring station Raška, while total organic carbon (TOC) has the highest value at the measuring station Kraljevo. Measured concentrations of total organic carbon at the measuring station Kraljevo in 2013 were approximately 50 [%] higher than the measured concentrations at the measuring station Batrage. The highest value of ammonium ion was measured at the measuring station Raška, while the value of nitrates was highest at the measuring station Kraljevo. In the observed period, significant fluctuations in concentration of orthophosphates and chloride at the measuring station Raška were recorded. It is recommended to look at the correlations between measured time data and their values as it is presented in Table 3. Table 3 Assessment of water quality of the river Ibar in 2013. In the Article 5, Paragraph 5 of the Regulation on the parameters of the ecological and chemical status of surface water and the parameters of the chemical and quantitative status of groundwater it is stated: „If one or more parameters of the ecological status exceed the limits of good status, the ecological status of ecological status of surface waters can only be moderate" [3]. The ecological classification of analysed chemical and physicochemical parameters at the measuring station Batrage, in accordance with the Regulation, corresponds to I, II and II Class in terms to pH value, dissolved oxygen, BOD-5, nitrates, chloride, observed organic oxygen, orthophosphates and total dissolved phosphorus, that is, ammonium ion, respectively. At the measuring station Raska, the contents of pH and chlorides corresponds to Class I of water quality, the contents of dissolved oxygen, biochemical oxygen demand, total organic carbon and nitrates corresponds to Class II, while the contents of ammonium ion, orthophosphates and total dissolved phosphorus is within the limits of Class III. The values of pH, dissolved oxygen and chlorides at the measuring station Kraljevo belong to Class I; the contents of biochemical oxygen demand, nitrates and total dissolved phosphorus corresponds to Class II, while the presence of increased concentration of total organic carbon, ammonium ion and orthophosphates impairs the water quality to Class III. It has been concluded that, from the group of observed physico-chemical parameters, the concentrations of ammonium ion, orthophosphates and total dissolved phosphorus exceed the values of good status so the water quality of the river Ibar corresponds to moderate ecological status. According to this Regulation, moderate ecological status provides conditions that correspond to values of biological parameters typical for a given status, that is, ecological changes of watercourse are not irreversible for the environment. 4. CONCLUSION Ecological status of the river Ibar, the sign of quality of the structure and functioning of an aquatic system, was determined according to the data obtained from the Serbian Environmental Protection Agency. The measuring stations are Batrage, Raska and Kraljevo. Methodology is based on recommendations of the Regulation on the parameters of the ecological and chemical status of surface water and chemical parameters and quantitative status of groundwater. The Ibar River has moderate ecological status according to the data obtained in 2013. Ecological classification, Class III watercourse, shows moderate deviation from the values of parameters in natural state. The conditions for functioning of aquatic ecosystem of the river Ibar were not significantly disturbed. The applied research methodology confirms the implementation of WFD recommendations in the accomplishment of sustainable water management principles and preservation of environmental quality in Serbia. Based on the results of the analysis, it can be concluded that the presence of increased concentrations of ammonium ion, orthophosphates and total dissolved phosphorus indicates the presence of municipal waste waters and industrial effluents along the river. Ecological classification of the current situation clearly indicates the need to protect recipient to achieve required water quality of the river Ibar which is as an integral part of the environment. REFERENCES 1. Directive 2000/60/EC of the European Parliament and of the Council establishing a Directive. (http://ec.europa.eu/environment/water/waterframework/index_en.htm). 2. System HE on the Ibar, Impact Assessment Study on the Environment, Water Management Institute „Jaroslav Ĉerni", Beograd, 2013. 3. Ockoljić M., Milijašević D., Milanović A., The classification of river waters in Serbia according to the degree of pollution, Faculty of Geography, University of Belgrade, Proceedings, 57, 7-18 pp. 2009. 4. Regulation on the parameters of the ecological and chemical status of surface water and the parameters of the chemical and quantitative status of groundwater („Official Gazette of RS", No. 74/2011). 5. Results of testing the quality of surface and groundwater in 2013, the Republic of Serbia, the Ministry of Energy, Development and Environmental Protection, Agency for Environmental Protection, Belgrade, 2013.(http://www.sepa.gov.rs). 6. Bovan Lake, Monitoring of water quality for the period 2007-2013, University of Belgrade, Institute for multidisciplinary research, Belgrade, 2013. 7. N. Elezović, Doctoral dissertation in preparation. 8. Yugoslav lexicographical Institute Miroslav Krleža (1998), Encyclopedia of Yugoslavia, Zagreb, book 5. PROCENA EKOLOŠKOG STATUSA REKE IBAR U FUNKCIJI FIZIČKO-HEMIJSKIH PARAMETARA Značaj očuvanja i unapređenja kvaliteta površinske vode podrazumeva sagledavanje trenutnog stanja kvaliteta vode kao integralnog dela životne sredine. Cilj rada je da na osnovu analize izmerenih vrednosti koncentracije određenih fizičko-hemijskih parametara, pokazatelja kvaliteta vode na mernim stanicama duž toka reke, prikaže metodologija geostatističkih (vremenskih) analiza i multivarijacionih analiza pri proceni ekološog statusa rekeIbar. Ekološka klasifikacija vodotoka određena je u skladu sa metodologijom koju propisuje Pravilnik o pramaterima ekološkog i hemijskog statusa površinskih voda i parametrima hemijskog i kvantitativnog statusa podzemnih voda i, korišćenjem podataka Agencije za zaštitu životne sredine iz 2013. godine. Ustanovljeno je da određene vrednosti pojedini parametri prekoračuju granice vrednosti zahtevanog dobrog statusa, tako da je sumarno rezultovan umeren ekološki status kvaliteta vode reke Ibar. Umeren ekološki status Ibra, odgovara III klasi vodotoka i obezbeđuje uslove koji odgovaraju vrednostima bioloških parametara koji su tipični za dati status. Ekosistemski pristup jasno ukazuje na potrebu preuzimanja meras prečavanja narušavanja i unapređenja kvaliteta vode kao integralnog dela životne sredine. Kljuĉne reĉi: ekološki status, Ibar
J Surg Med. 2022;6(3):369-372. DOI: 10.28982/josam.1055547 Relationship between voice handicap index and reflux symptom index in patients with laryngopharyngeal reflux with dysphonia: A crosssectional study Bilal Sizer 1 , Songül Demir 2 , Kadri Atay 3 1 Department of Otorhinolaryngology Clinic, Faculty of Medicine, İstanbul Arel University, İstanbul, Turkey 2 Department of Otorhinolaryngology Clinic, Mardin Training and Research Hospital, Mardin, Turkey 3 Department of Gastroenterology Clinic, Mardin Training and Research Hospital, Mardin, Turkey ORCID ID of the author(s) BS: 0000-0003-2604-5015 SD: 0000-0002-0616-7085 KA: 0000-0002-7570-3638 Corresponding Author Bilal Sizer Department of Otorhinolaryngology Clinic, Faculty of Medicine, İstanbul Arel University, İstanbul, Turkey E-mail: firstname.lastname@example.org 󠄀 Ethics Committee Approval The ethics committee approval (Date:04/02/2021No:114) was obtained from the Ethics Committee for Non-Interventional Clinical Research, Dicle University Faculty of Medicine, for this study. All procedures in this study involving human participants were performed in accordance with the 1964 Helsinki Declaration and its later amendments. 󠄀 Conflict of Interest No conflict of interest was declared by the authors. 󠄀 Financial Disclosure The authors declared that this study has received no financial support. 󠄀 Published 2022 March 26 Copyright © 2022 The Author(s) Published by JOSAM This is an open access article distributed under the terms of the Creative Commons Attribution-NonCommercial-NoDerivatives License 4.0 (CC BY-NC-ND 4.0) where it is permissible to download, share, remix, transform, and buildup the work provided it is properly cited. The work cannot be used commercially without permission from the journal. Abstract Background/Aim: Laryngopharyngeal reflux (LFR) occurs due to the backward traveling of gastric contents through the esophagus, resulting in their contact with the upper respiratory tract and laryngopharynx. It has been determined that more than 50% of patients presenting with voice hoarseness may have a pathology associated with such reflux. Symptoms including hoarseness, difficulty in making high-pitched sounds, and a tired and cracked voice may occur due to changes in the vocal cord mucosa induced by the reflux. The present study investigated the relationship between the Reflux Symptom Index (RSI) and Voice Handicap Index-10 (VHI-10) evaluations of patients with significant findings for LFR. Methods: Patients with an RSI score of 13 and above and RFS of 7 and above, considered significant for LFR, and patients aged between 18 and 65 years, who met the mandatory requirements, were included in the study. The patients included in the study were divided into three groups, mildly impaired (MII), moderately impaired (MOI), and severely impaired (SEI) based on their response to the question, "How do you feel about your voice?'' VHI-10 was also applied to the patients included in the study. The RSI and VHI-10 scores of the patients were separately recorded and compared using various parameters. Results: Of the 38 patients included in the study, 18 (47.4%) were female and 20 (52.6%) were male. It was observed that RSI and VHI-10 scores increased significantly as the patients' level of voice disorder increased (P<0.001, P<0.001). A statistically significant positive correlation was found between the RSI and VHI-10 scores of the patients (r=0.749, P<0.001). Conclusion: The high level of significant positive correlation between VHI-10 and RSI scores suggested that VHI-10 could serve as a valuable supportive tool in the evaluation of dysphonia in patients with LFR. RSI and VHI-10 can further play an important role in the initiation of appropriate treatment on diagnosis of LFR. Keywords: Dysphonia, Laryngopharyngeal reflux, Reflux symptom index, Voice handicap index Pag e\| 369 Introduction The backward traveling of gastric contents via the esophagus causes contact with the upper respiratory tract and laryngopharynx, leading to laryngopharyngeal reflux (LFR). More than 10% of the patients presented to otorhinolaryngology outpatient clinics are considered to have LFR. More than 50% of patients with voice hoarseness are determined to have a pathology associated with such reflux [1]. LFR diagnosis can be overlooked by clinicians as several characteristic symptoms of classical reflux, including indigestion and pyrosis, are not prevalent in LFR [2]. The most common symptoms of LFR include voice disorders, cough, dysphagia, frequent throat clearing, and globus pharyngeus [3]. No gold standard diagnostic test solely intended for this clinical pathology exists; nevertheless, the Reflux Symptom Index (RSI) and Reflux Finding Score (RFS), the validity and reliability of which was demonstrated by Belafsky et al. [4, 5], have been used for the evaluation of patients with LFR symptoms. Gastric content reflux that reaches the upper levels of the throat frequently affects vocal cords and consequently phonation. Symptoms, such as hoarseness, a tired and cracked voice, and difficulty in making high-pitched sounds may occur due to changes in the vocal cord mucosa. Failure to diagnose LFR for an extended period and the resultant delay in treatment may cause permanent deterioration in the vocal cord mucosa and lasting voice disorders, whereas timely diagnosis based on associated symptoms and appropriate treatment implementation may prevent permanent damage and lead to recovery [6]. In this study, the literature-recommended RSI and RFS values were applied to patients with voice disorders persisting for more than three months and/or accompanying symptoms, such as cough, dysphagia, frequent throat clearing, globus sensation in the throat, etc. We investigated the relationship between RSI and Voice Handicap Index-10 (VHI-10) by applying it to patients, resulting in significant findings for LFR. Materials and methods This study was carried out in Mardin State Hospital Otorhinolaryngology Outpatient Clinic between March and August of 2021. Of the 152 patients who applied to the otolaryngology outpatient clinic with the complaint of dysphonia in a six-month period, 38 patients who had significant findings in terms of LFR and agreed to participate were included in the study. The required ethics committee approval (Date:04/02/2021-No:114) was obtained from the Ethics Committee for Non-Interventional Clinical Research, Dicle University Faculty of Medicine, for this study. The patients included in the study underwent physician examinations at the Otorhinolaryngology Outpatient Clinic. Patients with LFRrelated symptoms received complete ear, nose, and throat (including larynx) examinations. Akbulut et al. [7] performed the Turkish validity and reliability study of RSI and RFS, which was utilized in this study only for patients presenting with voice hoarseness as a symptom suggesting LFR. The inclusion criteria of the study were as follows: patients with an RSI score of 13 and above and RFS of 7 and above, which were considered significant for LFR, and patients between the ages of 18 and 65 years, who met the mandatory requirements. The patients included in the study were divided into three groups, mildly impaired (MII), moderately impaired (MOI), and severely impaired (SEI) based on their response to the question, "How do you feel about your voice?" All the patients, regardless of their participation in the study, were recommended dietary and lifestyle changes and prescribed proton pump inhibitors. VHI-10 was also administered to the patients included in the study. The RSI and VHI-10 scores of the patients were separately recorded and compared by various parameters. Study inclusion criteria The presence of voice disorders, such as hoarseness and a cracked voice, for at least three months and the absence of previous vocal cord surgery, neck radiotherapy, known allergic history, tobacco use, psychiatric and mental health disorders hindering communication were considered inclusion criteria. In addition, a healthy assessment, recent proton pump inhibitor or other antireflux drug use as well as the presence of symptoms suggesting LFR upon examinations and assessments were considered for inclusion in this study. Exclusion criteria Presence of any organic laryngeal pathology apart from the findings specified in the RFS, neurological clinical condition that might cause abnormalities in phonation, upper respiratory tract infection in the last three weeks, untreated thyroid glandrelated diseases, and chronic exposure to chemical agents were considered as the exclusion criteria of this study. Data collection tools VHI-10 Adapted to the Turkish population by Kılıç et al. [8], VHI-10 is a 5-point Likert scale that consists of 30 items scored between 0 and 4 points, where a higher score indicates more severe voice disorder, which is associated with deteriorated daily life quality. RSI The RSI is a 6-point Likert scale consisting of nine items, each rated between 0 and 5. The minimum and maximum scores of RSI are 0 and 45, respectively. An RSI score of 13 or above is considered significant for LFR [4]. RFS The RFS scores eight common symptoms of LFR by the degree of their severity. The minimum and maximum scores of RFS are 0 and 26, respectively. Belafsky et al. [5] suggested a 95% likelihood of LFR in a patient with a total RFS score of 7 or above. Statistical analysis IBM SPSS Version 21.0 for Windows software program was used for statistical assessment of the data. The measured variables were presented as mean (standard deviation (SD)) and median, whereas categorical variables were presented as numbers and percentages. Distribution normality hypothesis was tested for the data. The independent t test was used for the comparison of two independent groups with normal distribution. The Kruskal–Wallis H test was used to compare groups without normal distribution, with more than two options. The Mann– Whitney U test was used after Bonferroni correction for post hoc analysis in the binary comparison of the groups. Spearman's correlation test and simple linear regression analysis were Pag e\| 370 performed to evaluate the relationship between the continuous variables. The hypotheses were dual and a P-value of ≤0.05 was considered as statistically significant. Results Of the 38 patients included in the study, 18 (47.4%) were female and 20 (52.6%) were male. No statistically significant difference was observed between the sexes by age and RSI and VHI-10 scores (Table 1). Table 1: Comparison of age, total RSI score, and total VHI-10 score parameters by sex ̄ N: Number, x̄ : Mean, SD: Standard deviation, DF: Degree of freedom, t: Independent t test value, RSI: Reflux Symptom Index, VHI-10: Voice Handicap Index-10 The patients were divided into three groups based on their responses to the question, "How do you feel about your voice?" Fourteen patients (36.8%) responded indicating mildly impaired (MII), 10 (26.3%) as moderately impaired (MOI), and 14 (36.8%) as severely impaired (SEI). There was a significant difference in the RSI scores among the three groups (MII median: 20.50; MEI median: 23.50; SEI median: 33.00; P<0.001). Upon paired intergroup comparisons, statistically significant differences in RSE scores between SEI and MOI (P=0.011) and between SEI and MII (P=0.001) were observed, whereas no statistically significant difference between RSE scores of MII and MOI was found (Table 2). Table 2: Evaluation of the RSI scores based on the patients' responses to the question "How do you feel about your voice?" Group N (%) Median x ̄ (SD) H P- value * MII: Mildly impaired, MOI: Moderately Impaired, SEI: Severely Impaired, N: number, x̃: mean, SD: standard deviation, H: Kruskal–Wallis H test value, P * : Kruskal–Wallis H test statistical significance value, Mann–Whitney U test used in binary comparisons. Bonferroni correction used (P<0.016). The intergroup comparisons of VHI-10 scores indicated a significant difference among the three groups (MII median: 11.00; MEI median: 32.00; SEI median: 41.00, P<0.001). Upon paired intergroup comparisons, statistically significant differences in VHI-10 scores between MII and MOI (P=0.002) and between SEI and MII (P=0.001) were found, whereas no statistically significant difference between RSE scores of SEI and MOI was observed (Table 3). Table 3: Evaluation of the VHI-10 scores based on the patients' responses to the question "How do you feel about your voice?" ̄ MII: Mildly Impaired, MOI: Moderately Impaired, SEI: Severely Impaired, N: number, x̃: mean, SD: standard deviation, H: Kruskal–Wallis H test value, P * : Kruskal–Wallis test statistical significance value, Mann–Whitney U test used in pair comparisons. Bonferroni correction used (P<0.016). A statistically significant positive correlation was observed between the RSI and VHI-10 scores of the patients (r=0.749, P<0.001; Table 4, Figure 1). Simple linear regression analysis found the RSI scores to be a significant predictor of the VHI-10 scores (F=47.114, P<0.001). The RSI scores predicted 56% of the VHI-10 score variances. A one-unit increase in the RSI scores of the patients led to a 0.974 unit increase in their VHI-10 scores. The equation for predicting the VHI-10 scores was as follows: VHI score= −75.667 + 0.974 × RSI score (Table 5). Table 4: Result of the Spearman's correlation test evaluating the relationship between the total RSI and VHI-10 scores n r P- value RSI 38 0.749 <0.001 VHI RSI: Reflux Symptom Index, VHI-10: Voice Handicap Index-10, N: number, r: correlation coefficient, The Spearman's correlation test found a significant positive relationship between total RSI and VHI-10 scores of the patients (r=0.749, P<0.001). RSI: Reflux Symptom Index, Simple linear regression analysis was performed to predict the VHI-10 scores by the total RSI scores. The RSI scores were a significant predictor of the VHI-10 scores (F=47.114, P<0.001). The RSI scores predicted 56% of the VHI-10 score variances. A one-unit increase in the RSI score increased the VHI-10 scores by 0.974 units. The equation that predicted the VHI-10 score was as follows: VHI score=−75.667 + 0.974 × RSI score. Discussion LFR presentation is quite prevalent in the otorhinolaryngology practice and induces dysphonia in patients [9]. The results of this study suggested a strong and positive relationship between RSI, intended for evaluating LFR, and VHI-10, which is used to investigate the effect of dysphonia on the quality of life. Despite the high prevalence of LFR, no gold standard test or diagnostic method has been developed yet, and research on its pathophysiology, diagnosis, and treatment continues [2]. Although there is no consensus on the standardization of LFR diagnostic criteria, the multichannel intraluminal impedance-pH monitoring can be used in the diagnosis process [10]. However, RSI and RFS are more commonly used in practice due to difficulties with ambulatory pH monitoring [5, 11]. A number of studies in the relevant literature suggest hoarseness as one the most common symptoms associated with LFR [2, 12, 13]. Although the pathophysiology of LFR-related hoarseness is not well-established, the contact of pepsin and acid with the vocal cord surface during reflux was one suggested mechanism of this condition; 55%–79% of the patients with hoarseness persisting for more than three months had LFR [14, 15]. VHI is a tool that investigates the effect of voice disorders on the patient's quality of life [16, 17]. It is one of the most widely used surveys worldwide in the evaluation of voice disorders. The original 30-point VHI (VHI-30) was translated into several languages [17, 18]. Over time, a simplified 10-point version (VHI-10) was developed, reducing the time spent on the Pag e\| 371 procedure and making it easily implementable in a clinical environment while maintaining statistical significance [16]. In this study, VHI-10 adapted to the Turkish language was used for LFR patients presenting with hoarseness [8]. The VHI-10 scores were suggested to be higher in patients with LFR than in the healthy control group [19]. Lechien et al. [9] reported that VHI could be employed to identify, follow-up, and assess voice disorders in patients with LFR. A number of studies on the relationship between LFR and RSI and VHI have been adapted to several languages [9, 15, 20-22]. A study investigating the RSI and VHI-30 indexes in patients with LFR, adapted to Arabic, reported a statistically significant correlation between RSI and VHI-30 [23]. Another study by Alanazi et al. [15] suggested that there was a significant relationship between RSI and VHI-10 scores, and thus, these indexes could prove to be valuable tools for monitoring patients with LFR. Upon evaluating the relationship between the VHI-10 and RSI scores and the responses of the patients to the question, "How do you feel about your voice?" the patients' perceived severity of their voice impairment and index scores were observed to be significantly affected by their voice disorders. Spearman's correlation analysis of VHI-10 and RSI scores indicated a strong positive correlation between them. This supports the suggestion that index scores could serve as important tools for the initial evaluation, follow-up, and detection of dysphonic severity in LFR-related dysphonia. Limitations The limitations of the study included the restricted number of patients, diagnoses not confirmed by pH monitoring, and the lack of certain measurements, such as acoustic analyses, of patients with dysphonia. Therefore, further multicenter studies with larger samples accommodating objective diagnostic methods would contribute to the ongoing research. Conclusion The high level of significant correlation between VHI10 and RSI scores suggested that VHI-10 could serve as a valuable supportive tool in the evaluation of dysphonia in patients with LFR. Since multichannel intraluminal impedancepH monitoring technology is currently in limited use due to issues associated with availability, applicability, and cost, RSI and VHI-10 can play an important role in the initiation of appropriate treatment following diagnosis. Furthermore, they can also play an important role as prognostic indicators of LFR. The symptoms of laryngopharyngeal reflux may differ from the symptoms of classical gastroesophageal reflux. Therefore, this should be kept in mind in the differential diagnosis of patients who come to the outpatient clinic with dysphonia. Finally, we recommend long-term studies with larger samples to explore the role of RSI. References 1. Ford CN. Evaluation and management of laryngopharyngeal reflux. JAMA. 2005 Sep 28;294(12):1534-40. doi: 10.1001/jama.294.12.1534. 2. Sataloff RT, Hawkshaw MJ, Gupta R. Laryngopharyngeal reflux and voice disorders: an overview on disease mechanisms, treatments, and research advances. Discov Med. 2010 Sep;10(52):213-24. PMID: 20875343. 3. Tauber S, Gross M, Issing WJ. Association of laryngopharyngeal symptoms with gastroesophageal reflux disease. Laryngoscope. 2002 May;112(5):879-86. doi: 10.1097/00005537-200205000-00019. 4. Belafsky PC, Postma GN, Amin MR, Koufman JA. Symptoms and findings of laryngopharyngeal reflux. Ear Nose Throat J. 2002 Sep;81(9 Suppl 2):10-3. PMID: 12353425. 5. Belafsky PC, Postma GN, Koufman JA. Validity and reliability of the reflux symptom index (RSI). J Voice. 2002 Jun;16(2):274-7. doi: 10.1016/s0892-1997(02)00097-8. 6. Yorulmaz İ. Larengofaregeal Reflü. KBB-Forum. 2002;1(1):22-34. 7. Akbulut S, Aydinli FE, Kuşçu O, Özcebe E, Yilmaz T, Rosen CA,et al. Reliability and Validity of the Turkish Reflux Symptom Index. J Voice. 2020 Nov;34(6):965.e23-965.e28. doi: 10.1016/j.jvoice.2019.05.015. 8. Kiliç MA, Okur E, Yildirim I, Oğüt F, Denizoğlu I, Kizilay A, et al. Ses Handikap Endeksi (Voice Handicap Index) Türkçe versiyonunun güvenilirliği ve geçerliliği [Reliability and validity of the Turkish version of the Voice Handicap Index]. Kulak Burun Bogaz Ihtis Derg. 2008;18(3):139-47. 9. Lechien JR, Huet K, Khalife M, Fourneau AF, Delvaux V, Piccaluga M, et al. Impact of laryngopharyngeal reflux on subjective and objective voice assessments: a prospective study. J Otolaryngol Head Neck Surg. 2016 Nov 8;45(1):59. doi: 10.1186/s40463-016-0171-1. 10. Lechien JR, Akst LM, Hamdan AL, Schindler A, Karkos PD, Barillari MR, et al. Evaluation and Management of Laryngopharyngeal Reflux Disease: State of the Art Review. Otolaryngol Head Neck Surg. 2019 May;160(5):762-82. doi: 10.1177/0194599819827488. 11. Belafsky PC, Postma GN, Koufman JA. The validity and reliability of the reflux finding score (RFS). Laryngoscope. 2001 Aug;111(8):1313-7. doi: 10.1097/00005537-200108000-00001.i 12. Cohen JT, Bach KK, Postma GN, Koufman JA. Clinical manifestations of laryngopharyngeal reflux. Ear Nose Throat J. 2002 Sep;81(9 Suppl 2):19-23. PMID: 12353427. 13. Siupsinskiene N, Adamonis K, Toohill RJ. Quality of life in laryngopharyngeal reflux patients. Laryngoscope. 2007 Mar;117(3):480-4. doi: 10.1097/MLG.0b013e31802d83cf. 14. Lechien JR, Saussez S, Harmegnies B, Finck C, Burns JA. Laryngopharyngeal Reflux and Voice Disorders: A Multifactorial Model of Etiology and Pathophysiology. J Voice. 2017 Nov;31(6):73352. doi: 10.1016/j.jvoice.2017.03.015. 15. Alanazi R, Alrahim A, Bayounos S, Al-Ghuwainem A, Al-Bar MH. Association Between Voice Handicap Index and Reflux Symptom Index: A cross-sectional study of undiagnosed general and teacher cohorts in Saudi Arabia. Sultan Qaboos Univ Med J. 2018 Aug;18(3):e350-e354. doi: 10.18295/squmj.2018.18.03.014. 16. Rosen CA, Lee AS, Osborne J, Zullo T, Murry T. Development and validation of the voice handicap index-10. Laryngoscope. 2004 Sep;114(9):1549-56. doi: 10.1097/00005537-200409000-00009. 17. Jacobson BH, Johnson A, Grywalski C, Silbergleit A, Jacobson G, Benninger MS,et al. The voice handicap index (VHI) development and validation. Am J Speech Lang Pathol. 1997;6(3):66-70. doi:10.1044/1058-0360.0603.66 18. Saleem AF, Natour YS. Standardization of the Arabic version of the Voice Handicap Index: an investigation of validity and reliability. Logoped Phoniatr Vocol. 2010 Dec;35(4):183-8. doi: 10.3109/14015439.2010.490851. 19. Pribuisiene R, Uloza V, Kupcinskas L, Jonaitis L. Perceptual and acoustic characteristics of voice changes in reflux laryngitis patients. J Voice. 2006 Mar;20(1):128-36. doi: 10.1016/j.jvoice.2004.12.001. 20. Lapeña JFF Jr, Ambrocio GMC, Carrillo RJD. Validity and Reliability of the Filipino Reflux Symptom Index. J Voice. 2017 May;31(3):387.e11-387.e16. doi: 10.1016/j.jvoice.2016.09.013. 21. Lechien JR, Huet K, Finck C, Khalife M, Fourneau AF, Delvaux V, et al. Validity and Reliability of a French Version of Reflux Symptom Index. J Voice. 2017 Jul;31(4):512.e1-512.e7. doi: 10.1016/j.jvoice.2016.11.020. 22. Calvo-Henríquez C, Ruano-Ravina A, Vaamonde P, Lattomus K, Sebio A, Fernández-Rodríguez R, et al. Translation and Validation of the Reflux Symptom Index to Spanish. J Voice. 2019 Sep;33(5):807.e1-807.e5. doi: 10.1016/j.jvoice.2018.04.019. 23. Kaddah F-AA-H, Hassan SM, Shoeib RM, Jawad J. Laryngopharyngeal reflux: Correlation between reflux symptom index, reflux finding score and voice handicap index. 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October .22, 1985 PREPARING FOR THE POST-. VOLCKER ERA AT THE FED David I. Fand John M. Olin Fellow INTRODUCTION The U.S. seems t o have licked inflation-or has it? In testimony before the Joint Economic Committee of Congress recently, Council of Economic Advisors Chairman Beryl Sprinkel warned t h a t the money supply has been growing at more than a 13 percent rate t h i s year and poses a l'serious risk t o inflation contro1.I' Sprinkel pressed the Federal Reserve Board t o ''pursue a riskminimizing policy path" t o avoid the danger of economic suspicion caused by e r r a t i c monetary policy. Sprinkel's tes'timony raised once again the question that haunts policy makers: W i l l monetary policy torpedo U.S. economic expansion? The answer could turn on the policies of Paul Volcker, Chairman of the Board of Governors of the Federal R e s e r v e . Volcker's term as chairman w i l l end i n two years, and there are some expectations t h a t he w i l l step down before then. If Volcker leaves the Fed, Ronald Reagan w i l l have the opportunity t o nominate a new chairman t o the Board of Governors of the Federal Reserve system. T h i s is a very significant appointment. The Fed Chairman is viewed by many experts as the second most important economic policy maker i n the country. From almost any monetary policy perspective, the Fed chairman plays an extremel y important role i n shaping U.S. economic policy. As such, the choice of a new chairman should be preceded by a thorough assessment of monetary strategy and a frank appraisal of the Volcker tenure. Such a review indicates strongly t h a t recent reductions i n the rate of inflation mask years of dangerous monetary d r i f t that must be ended. Without a change of course a t the Fed, the U.S. economy could be headed for a severe crisis. THE VOLCKER YEARS Paul Volcker was appointed Chairman of the Federal Reserve Board in 1979 by President Jimmy Carter. Inflation was rising at an 8.6 percent rate in 1979, at a 3.8 percent rate in 1984, and at a 3.7 percent rate for the four quarters ending on June 30, 1985. Productivity was declining at a 1.2 percent rate in 1979. It grew at a 3.2 percent rate in 1984, and has moved down to a mere 0.1 percent rate in 1985. The unemployment rate was 5.8 percent in 1979, 7.2'percent in 1984, and it is running at approximately 7.5 percent for 1985. There has been a significant rise in the value of the dollar since 1979. It averaged 1.83 West German marks in 1979, 2.85 in 1984, and 3.2 in 1985, and rose from an average of 1.66 Swiss , francs in 1979 to 2.70 by 1985. This extraordinary increase in the dollar's value since 1979 is dramatic evidence of the growing confidence of foreigners in the American economy. Such figures point to an excellent performance on inflation but mixed results for the productivity and employment variables. And the extreme contrast between the GNP and productivity results for 1984 and for 1985 illustrate the extraordinary economic variability in the Volcker years. These fluctuations can be traced in part to Fed policies that have contributed to economic instability. MONEY GROWTH AND INTEREST RATE VARIABILITY The money growth rate in the Volcker years has averaged 7.9 percent annually-somewhat above the 6.7 percent average for the preceding six-year period. Yet the variability of money growth around that average (as measured by the standard deviation) has been almost twice as high as the next highest period, which was during the 1940s. To illustrate the extreme money growth variability since 1979, Chart I compares the money growth rate on a six-month basis with the five-year trend of the money growth rate. As the chart demonstrates, money growth variability under Volcker has been far higher than under previous Fed chairmen. Given this money growth volatility and the link between money and the tangible economy, it is no surprise that output ana employment have also swung wildly during the Volcker years.. The unemployment rate moved up almost 5 full points in three years, from a 5.7 percent rate in 1979 (second quarters) to a 10.6 percent rate in 1982 (fourth quarters). GNP growth and productivity, as noted earlier, have also experienced wide fluctuations under Volcker. In two years, the U . S . moved from a famine 3 percent decline in real GNP between 1981 to 1982 (third quarters) to a superfeast 8 percent growth between 1983 and 1984 (first i I I I quarters). Only in 1958.to 1959 (second quarters) was there a higher yearly growth rate of 8.4 percent; and in 1974 to 1975 (first quarters), the oil shock period, GNP declined at a 3.9 percent rate. The only recent period that can be compared to the fluctuations in real GNP growth rate for the five-year period 1980 to 1985 (first quarters) was the 1970 to 1975 period, when the first oil shocks occurred. MONEY AND THE PERFORMANCE OF THE ECONOMY While this correlation between monetary volatility and economic instability cannot be disputed, many would argue that it is by no means clear that there is a causal connection. They point'out, correctly, that logically some other factor may be responsible for both phenomena. the economy leads to an inescapable conclusion. The extreme variability in money growth in the Volcker years led to very sharp movements in interest rates, .employment, and real GNP, imposing a severe and costly burden on the private sector and reducing output and employment. Yet examining relationships in To reach this conclusion, it is helpful to examine the following developments: the large budget deficit; the addiction of policy makers to fine tuning and crisis management; and the change to fiat money in 1971. Deficits and the Economy The current federal deficit of approximately $200 billion is a little more than 5 percent of the GNP. This is very high by historical standards. As shown in Table I, during the past 65 years deficits typically have averaged about 1 percent of the GNP. large budget deficits have simply not materialized. Deficits were expected to increase inflation; in fact, inflation has been reduced by about two-thirds since 1980. , t o increase interest rates; in fact, interest rates are now less than half of their peak level since 1981. expected to weaken investment and thereby weaken the recovery; in fact, real business investment in the current recovery has been stronger than in the average recovery. Yet many of the predicted negative economic effects of Deficits were expected And deficits were Despite the widespread and longstanding concern about the magnitude of the federal budget deficit, its effects on the economy have been surprisingly difficult to observe. is certainly a serious problem. It increases future interest payments that must be financed by reducing future noninterest expenditures or increasing taxes. able effects. But it seems not to be a fatal disease. Perhaps too much attention has been given the deficit by Volcker and others compared with two other, far more serious problems that threaten to undermine this monetary system. The deficit And it may have other undesirTable I Federal Expenditures, Receipts, and Deficits as a Share of the GNP Selected Years, 1929-1984 Pecentages In of GNP Source: Economic Report of the President for1985, p. 66. Crisis Management and Fine Tuning: Highly Variable, Volatile, and Uncertain Monetary Policies During the Volcker years, quarterly money growth moved 21 percentage points in 1980 (from -4 percent to 17 percent), 14 percentage points in 1982 (from 3 percent to 17 percent) and 15 percentage points in 1983-1984 (from 18 percent to 3 percent). In contrast, in the six years before Volcker, the swing from the lowest quarterly money growth rate to the highest was 8 percentage points. the previous 27 years. Money growth has been mgre volatile since 1979 than in What are the implications of such monetary seesawing? Theory and evidence indicate that sharp swings in money growth affect output and employment in the short run. Interest rates also are linked to money growth because a rise in money growth variability has a significant and positive relation to interest rate variabi1ity.l Recent studies suggest that the increase in 'variability of money and interest rates in the early 1980s, which John A. Tatom, "Interest Rate Variability: Its Link to the Variability of Money Growth and Economic Performance," Federal Reserve Bank of St. Louis Review, November 1984; Z. Bodie, A. Kane, R. McDonald, "Why Are Interest Rates So High?," NBER Working Paper No. ,1141, June 1983; M. Gertler and Earl Grinois, "Monetary Randomness and Investment," Journal of Monetary Economics, September 1982. exacerbated monetary uncertainty, reduced output and employment and first raised, then lowered, the rate of inflation.2 The interest rate variability during the Volcker years helps explain the severity of the 1981-1982 recession and the swings in inflation from 1980 to 1983. Inflation was first.pushed up temporarily in 1980-1981, then down in 1982-1983, due to the volatility of changes in interest rates. Federal Reserve policy in the Volcker years has developed into an addiction to money growth variability and to fine tuning-concentrating almost exclusively on immediate problems to e relative neglect of overall future policy. Moreover, the rollercoaster Fed policy has become an additional source of uncertainty for .business managers-many businesses hire "Fed watchers" at substantial salaries to interpret what the Fed is doing. This prompts business executives to worry not only about their competitors and their customers, but also about what the Fed may do do next. This wastes valuable resources and dampens business confidence by introducing an additional risk. Needed instead is a monetary system that provides a stable monetary framework and stable prices, so that monetary policy ceases to be an additional significant source of instability and uncertainty. Fiat Money Since 1971 Inflation started to turn upward almost two decades ago, and it accelerated sharply starting in 1971. It rose from a 1.6 percent rate in 1953-1965 to a 4.1 percent rate in 1965-1971, and then accelerated to an average 7.5 percent rate in the period 1971-1985, with many years in the double digit range. Before 1971, the dollar and most other currencies were backed by gold or silver. Money stock growth was limited by law or other conventions. In 1971, however, the United States adopted inconvertible or If fiat" money, meaning that the major currencies in the international monetary system were no longer backe'd by anything tangible. This lack of an anchor for currency makes the outlook for the long-term price level extremely uncertain. Already the era of fiat money has had a profound effect on prices. The 1939 price level in Great Britain, for instance, was essentially the Paul Evans, "The Effect on Output of Money Growth and Interest Rate Variability i n the United States," Journal of Political Economy, April 1984; John A. Tatom, 'fInterest Rate Variability and Output, Further Evidence," Federal Reserve Bank of S t . Louis, Working Paper No. 84-016; A. Vevany and Thomas Saving, "The Economics of Journal of Political Economy, December 1983; and A. Mascaro and A. H . Meltzer, "Long and Short Term Interest Rates i n a R i s k y World," Journal of Monetary Economics, November 1983. ... . ... -... .. same as it was in 1739. As Chart I1 indicates, the 1939 price level in the United States was very similar to that in 1800. from 1939 to 1985, the price level rose by a factor of 8 in the United States, and it leaped 20-fold in Great Britain. Such a dramatic and sustained increase in the price level has not been seen for 200 years; it is a very drastic change in the world's monetary environment.3 But The acceleration in inflation since 1971 demonstrates the need for an anchor restricting money growth if the U.S. is to ach1eve.a stable monetary framework, and with it stable long-term prices. and predictability will remain uncertain. It is not at all clear that fiat money can achieve stability; the historical evidence is not reassuring. . If there are no restraints on money growth price stability Even the recent decline in inflation does not inspire confidence. This success has come in the face of the step-up in money growth during the Volcker years. Accordingly, it is quite possible that the countryls recent disinflation merely reflects the strong dollar, the drop in oil prices, the deceleration in the velocity of circulation, and other favorable factors which temporarily are keeping inflation below what it may become later. There is little reason to assume that inflation has been licked. Indeed, a 4.5 percent inflation rate is not low; it is historically very high. 'It would produce an 8-fold increase in prices in 45 years, the same that occurred between 1940 and 1985. The U.S. economy needs some system, arrangement, or device that will limit the quantity of money that governments can issue to keep inflation well under control. This problem is even more serious now'that America faces $200 billion budget deficits. The government may be tempted to monetize the deficit by an Ilinflation tax" on cash balances, by reducing the real value of outstanding government debt, or by reinstituting bracket creep into the income tax. APPROACHES TO MONETARY POLICY Two basic philosophic approaches characterize the debate over strategies for monetary policy. One approach emphasizes the constitutional limits of monetary policy, while the other concentrates on short-term managerial aspects. The first highlights the rules and guidelines to determine monetary policy; the other, the authorities and their powers to manage policy. See Milton Friedman, "Resource Costs of an Irredeemable Currency," forthcoming in the Journal of Political Economy. ' ' Rules Rather Than Authorities In a famous 1936 essay, IIRules vs. Authorities in Monetary Policy,t1 University of Chicago economist Henry Simons, founder of the Chicago School, discussed the threats to a market economy. He focused particularly on the danger of substituting authorities for rules in monetary policy. Wrote Simons: An enterprise system cannot function effectively in the face of extreme uncertainty as to the action of monetary authorities or, for that matter, as to monetary legislation. We must avoid a situation where every business venture becomes largely a speculation on the future of monetary policy. In our search for solutions to this problem, however, we seem largely to have lost sight of this essential point, namely, that definite, stable, legislative rules of the game as to money are of paramount importance to the survival of a system based on freedom of enterprise. In this essay, Simons favored a monetary system based on constitutional rules to eliminate managerial discretion, fine tuning, crisis management, and the resultant uncertainty.S A growing number of economists today would agree that the health and long-,run viability of a market economy require a constitutional approach to money. The Random Walk Monetary Standard In sharp contrast to the constitutional monetary regime favored by Simons is the managerial approach, based on discretion, fine tuning, and crisis management. This approach leads to a monetary regime that UCLA economist Axel Leijonhufvud calls the "random walk monetary standard." He writes: Under this standard the authorities, that is the monetary authorities, decide one period at a time whether to accelerate or to keep constant or to decelerate the rate of money growth. Only current economic conditions and immediate political pressures enter into this decision. Future money growth rates are left to the future. Nobody thinks about them today. Whoever will be in charge when the time comes will accelerate or de= celerate as he or they see fit. The only rule that governs this process is that in each point in time, those who are in charge choose what seems to be the 4 "Rules v s . Authorities i n Monetary Policy," Journal of Political Economy, 1936. Henry Simons favored a monetary regime that eliminated fractional reverse banking. would prevent sharp and erratic changes i n the money stock. H e argued that a banking system based on 100 percent reserves most convenient and expedient thing to do at that point .... There is no scientific or rational way for the private sector to forecast future price levels in this system that we have allowed to develop. Yet in an economy, a market economy such as ours, people are forced to bet on the price level ten years hence, all the time, whether or not there is a rational way to forecast it.6 Experience shows that a monetary regime based on the rule of authorities and operating under the random walk monetary standard will undermine .the market economy, which is based on contractual arrangements, and lead to monetary anarchy. WHY THE RANDOM WALK MONETARY STANDARD MEANS ANARCHY The Federal Reserve's propensity for fine tuning and crisis management, together with the change to fiat money in 1971, has left the U.S. with volatile and highly variable money growth, high inflation, and super high interest rates. destructive impact on U.S. institutions and attitudes. It has had a financial instruments tend to disappear. It is difficult.to allocate resources efficiently during inflationary periods. result is that productivity and capital accumulation suffer. First, rampant uncertainty means that markets for long-term The Second, economic success depends more on the ability to forecast and hedge against inflation than on efficiency and competitiveness. Guessing inflation correctly becomes the road to success for many Americans. An entire population, of course, cannot all improve their living standards by playing this infla'tion game. reducing the risks of long-term ventures in such an inflationary environment. strategy, as some seek to attain by public compulsion what private cooperation has failed to achieve. Because inflation and fluctuations make outcomes less equitable, legislators are swamped by demands to control prices and rents, to regulate business, to tax some and to subsidize others. Ultimately, the political system loses legitimacy, and constitutional constraints on government will be demanded to end the monetary anarchy. Third, contracting ceases to be a reliable mechanism for Political lobbying often becomes a substitute Axel Leijonhufvud, "Constitutional Constraints on the Monetary Powers of Goverpment," in Richard B. McKenzie,. ed., Constitutional Economics (Lexington, Massachusetts: D. C. Heath and Co., 1984). A CONSTITUTIONAL APPROACH TO MONETARY POLICY A number of economic schools of thought reinforce the notion ,that it would be desirable to change the emphasis in U.S. monetary policy from a managerial to a constitutional a p p r ~ a c h . ~ The theory of "public choice,@ developed under the leadership of George Mason University professors, James Buchanan, Gordon Tullock, and others, views civil servants and legislators as pursuing their own interests. While these perceived interests may, of course, include concern for the public interest, as well as the needs of their agency, public choice research on the determinants of government behavior suggests that the existing incentive structure does not adequately protect the public interest. Not surprisingly, public choice theory strongly favors a constitutional . appproach to money. -. The l'rational expectations'' school of academic economists, however, concludes that the public quickly learns what effects a government policy will have and takes action to anticipate it. Thus the public is seen to make rational decisions according to its expectations of the future. This school stresses the importance of a monetary rule that stabilizes expectations associated with monetary p01icy.~ The Austrian school, especially F. A. Hayek and Ludwig von Mises, raises very serious doubts as to whether the government is ever likely to play a constructive role in managing fiat money. The Austrians favor an automatic commodity standard such as gold or a monetary system that relies on a competitive privately produced money. Empirical evidence supports the conclusions of these theories. America's experience with relying on the Fed to pursue monetary targets lends support to a constitutional approach. In 1975, for instance, Congress required the Federal Reserve to specify monetary targets and to abide by them. But money growth has been more variable and more erratic in these ten years than it was in earlier periods when there was no such target. The divergence between the target and the actual growth in the U.S. is extraordinary when compared with experience in other countries. And it raises serious doubts as to whether the Federal Reserve Board, under its current leadership, will follow a monetary rule or even monetary guide1ines.l0 See Milton Friedman and Anna J. Schwartz, "Has Government Any Role in Money?" forthcoming in Journal of Monetary Economics. . See J. Buchanan, R. Tollison and G. Tullock, "Theory of Public Choice," University of Michigan, 1984. , David I. Fand, "The Monetary Policy of the Federal Reserve," in C. Campbell and W. Dugan, Alternative Monetary Systems, Johns Hopkins Press , forthcoming. lo Robert J. Barro, Macroeconomics (New York: John Wiley and Sons, 1985) pp. 459-486. Finally, extensive financial deregulation, which has increased the complexity of the monetary system, also suggests a move ' toward a constitutional approach. Some financial innovations are due to technological advances, while others are due to a looser regulatory environment. To accommodate such changes, the economy needs a monetary regime that can deal constructively with new . technologies. There is growing interest now in seeking ways of changing America's highly volatile and highly inflationary monetary system to one that is more compatible with stable prices'and long-term price predictability. Support for a constitutional approach to money is growing. Restructuring the system according to such a model would be a desirable and constructive change in America's. monetary system.11 IS A CONSTITUTIONAL APPROACH VIABLE? A COMPARISON OF FOUR COUNTRIES To assess the prospects for a constitutional approach in the United States, it is helpful to compare actual money growth in the United States to that of West Germany, Japan, and Switzerland for the period 1978 to 1984, as measured against the money growth targets set by the central bank in each case. tries have committed themselves to constrain monetary growth to conform to the money targets. 'These three coun- For the U.S., the record is poor. As shown in Table 11, the Fed missed its targets in five of the six 'years. In four of those five years, the growth in the money, or M1, l 2 was considerably above the target. three points above the upper range of the target. The Fed missed the target in every single year during the period, except the last. Indeed, M1 growth in one period was The West German record is quite different. Except for one period, the West Germans hit their target each year. one period where they missed the target, 1980 to 1981 (fourth quarters), the actual.rate of 3.1 percent was only slightly lower than the lower range of 4 percent. And in thc because the Japanese do not target a range, but set an exact number. They have come very close to these precise targets. The Japanese record is the most impressive-all the more The l 1 See Carl Christ, "Rules Versus Disgression i n 'Monetary Policy," The Cat0 Journal, Spring 1983; Milton Friedman, "Monetary Policy i n a F i a t World," Montary and Economic Studies, Bank of Japan, forthcoming; and Friedman and Schwartz, op. c i t . The monetary stock i n the United States i s defined as the sum of currency held by the nonbank public, demand deposits, other checkable deposits, and travelers checks. l2 78(4)-79(4) 79 80(4)-81(4) 81(4)-82(4) 82(4) 83(4)-84(4) Rate of Money Table I1 Growth i n Four Countries (in percentages) Swiss Swiss t 3 Base r Ac tua 1 6.8 2.6 Source: IMF S t a t i s t i c s only period where there was a considerable gap was i n 1979 t o 1981 (fourth quarters), when the target was 10 percent growth, and the central bank achieved a 7.8 growth rate. other period, the actual r a t e is almost exactly o r very close t o the targeted number. In almost every close t o the targeted numbers since 1981. were attempting to stabilize the value of the Swiss franc relative t o other currencies, causing S w i s s money growth rates t o fluctuate widely. Since 1981, however, money growth rates have been very close t o the targets. In the S w i s s case, the actual money growth rates have been Before then, the S w i s s land, the central banks take their money growth targets seriously and are able t o achieve their targets, w h i l e i n the U.S., the Fed consistently misses its targets and by w i d e margins. countries can h i t t h e i r money growth targets, the Fed should be able t o do so as w e l l . the Fed. This record suggests t h a t i n Japan, West Germany, and SwitzerIf other T h i s would require a clear commitment by l3 Ai H. Meltzer, "Variability of Prices, Output and Money, under Fixed and Fluctuating Exchange Rates: Japan and the U . S . , " i n Bank of Japan Monetary and Economic Studies, forthcoming. An Empirical Study of Monetary Regimes in .. REFORMING U.S: MONETARY POLICY Economic performance during the Volcker years has been mixed. The output, employment, and productivity results are spotty and uneven; the inflation results--thus far--are good. There is l i t t l e dispute t h a t Volcker has proved t o be an extremely a b l e . c r i s i s manager. The manner i n which he dealt with the Hunt Silver Crisis, the Penn Square collapse, the Mexico debt problem, the Continental Bank problem, and the recent Ohio and Maryland savings and loan difficulties has been impressive-at l e a s t for the t i m e being. Reserve System is t o provide the U.S. with a stable currency, a stable value of money, and long-term price predictability. Judged against t h i s objective, the Federal Reserve System under Volcker must be considered a failure. But the basic function of the Federal The inflationary developments i n the l a s t t w o decades, and especially i n the l a s t 15 years, go beyond anything seen i n the prior two or three centuries. Institutions b u i l t up during those years of relative price s t a b i l i t y are beginning t o crumble and erode. And Americans who no longer can depend on long-term contracts have sought increasingly t o resort t o the p o l i t i c a l process instead for economic security. The U.S. was facing very serious problems before Volcker came t o office i n 1979. But he has not devoted his great talents t o fashion the stable monetary framework t h a t would lead t o stable money, stable prices, and stable expectations. Such a framework is c r i t i c a l t o the structural health of the U.S. economic system.14 RULES TO DETERMINE THE MONETARY BASE A possible solution t o the policy vacuum would be t o move t o a commodity money such as a gold standard. effectively only i f politicians, the public, and bankers w e r e prepared t o accept the necessary discipline. An automatic monetary regime based on gold would remove the p o l i t i c a l elements from the monetary process. T h i s is a very desirable objective. If the public proved ready t o accept the constraints of an automatic commodity standard, it could provide the discipline currently lacking i n monetary p01icy.l~ T h i s would work l4 See M. D . Bordo and A. J. Schwartz, "The Importance of Stable Money: Theory and Evidence," The Cat0 Journal, vol. 3 , 1983. l5 See Robert A. Mundell, A. Reynolds, J. Salerno, A. Kafka, e t a l . i n The Cat0 Journal, vol. 3, 1983. I An alternative would be t o freeze the monetary base a f t e r a t r a n s i t i o n period of several years.16 sum of currency plus bank reserves would be held constant. Once the monetary base were frozen, the Federal Reserve no longer would be able t o vary the quantity of reserves it supplied t o the banking system, and there would be an end t o volatile fluctuation i n both money growth and interest rates. T h i s would mean t h a t the The monetary base could be frozen i n various ways. For example, the U.S. could freeze its monetary base and make no provision f o r any further increase i n l1hand-to-handt1 currency, (used f o r everyday purchases). Alternatively, .the monetary base could be frozen, b u t banks might be permitted t o issue bank notes redeemable i n monetary base o r i n some valuable commodity, such as gold, or anything else t h a t the public would accept. These bank notes would be used as hand-to-hand currency and serve as a means of payment. This would provide a fixed quantity of (government-produced) money as the base f o r a competitively produced supply of (privately produced) money t h a t would m e e t the needs of business.17 If moving t o a commodity standard or freezing the monetary base seemed too radical for policy makers t o contemplate, b e y might consider other monetary regimes. They could introduce a monetary structure based on some other form of rule, such as a specific growth i n the quantity of base money ( a I1quantityl1 r u l e ) or a supply of money determined by the price movements of a specified commodity or group of commodities ( a llpricell r u l e ) . The essential point i n each of these options, however, is t h a t monetary policy would be predictable, and it would conform t o a rule-not t o the discretion of the Fed.18 C,ONCLUS ION The V.S. must free i t s e l f from the addiction t o fine tuning and crisis management and l i m i t the quantity of f i a t money t h a t can be printed. The country needs a monetary system t h a t gives the public confidence i n the future--especially t h a t the Fed w i l l l6 See Milton Friedman, "Monetary Policy for the 1980's," in J. H. Moore, ed., To Promote Prosperity (Stanford, California: Hoover Institution Press, 1984). '' l9 See Meltzer, "Monetary Reform.. . ," op. c i t . See L: H. White, Free Banking in Britain (Cambridge, Massachusetts: Cambridge University Press, 1984); "Competitive Money Inside and Out," i n The Cat; Journal (previously cited), and L. B. Yaeger, "Stable Money and Free Market Currencies," in The Cat0 Journal (previously cited). not simply print money to cover burgeoning deficits. There is widespread agreement that the U.S. should pursue this goal, but it has not been translated into a general agreement on the appropriate monetary regime that should be constructed. Accordingly, the Fed, the Congress, and the Administration should develop a "statement of intent" on the need for a more stable monetary framework. A monetary policy consistent with this statement should then be designed and implemented. Given the extreme volatility of recent years, a tough monetary rule has great appeal.lg Milton Friedman, who first proposed this 25 years ago, recently concluded that the Federal Reserve bureaucracy simply will not of money, if they have the power to vary the monetary base.20 According to Friedman, it would be better to have a rigid freeze on the monetary base, despite the theoretical disadvantages of such a rule, than to entrust the Fed with any rule that involves changes in the monetary base. But it should be noted that Nobel economist follow any rule that limits its ability to manipulate the quantity build support for a freeze. And it should do so quickly. Monetary policy has taken a back seat to taxes and spending in recent years. The evidence suggests that, unless it receives immediate attention, the economic future of the U.S. could be threatened. If Friedman is correct, the Administration should begin to l9 See Milton Friedman, A Program for Monetary Stability (Fordham University Press. 1959). ~~ 2o See Milton Friedman, "Monetary Policy i n the 1980's," op. c i t .
* Rhubarb G&T 6.50 Warner Edwards Rhubarb gin (25ml) with Fever-Tree tonic or ginger ale * * * * Mini chorizos 3.95 2 courses 15.95 * 3 courses * A PÉ R ITIF S Veuve Devienne 4.75 Kir Royal French sparkling wine (125ml) Elegant, fresh and lively 18.95 * Veuve Devienne (125ml) sparkling wine and crème de cassis * Mini chorizos roasted in honey A PPE TIS E R S Tapenade 3.50 tapenade with sourdough croûtes 4.95 * With sourdough croûtes * Red pepper and anchovy Mixed marinated olives S TAR TE R S All served with complimentary freshly baked French bread and butter Calamari with garlic aïoli * Lightly spiced crispy fried squid With soy, chilli, ginger, coriander and sesame seeds Chicken liver parfait With grilled artisan bread and red onion confiture Goan king prawns New King prawns sautéed with an Indian spiced butter served with grilled artisan bread 2.00 supplement Vietnamese crispy beef salad New Baked goats' cheese Baked goats' cheese with marinated beetroot, chicory, watercress, toasted walnuts and grain mustard dressing Winter risotto New Kale, crumbled goats' cheese, roasted butternut squash, celeriac, crispy sage and truffle oil Vegan option also available * Crispy Brie Deep-fried Brie in a crisp rosemary crumb, with dressed leaves and plum chutney Toast et champignons of mushrooms with (or without Toasted sourdough topped with fricassée smoked Alsace bacon ) Vegan option also available Soup Freshly made soup of the day MA INS Served with today's selection of complimentary potatoes and seasonal vegetables, salad or pommes frites (unless specified) * Steak-Frites 7oz pan-seared minute steak (bavette cut, served pink) served with roasted garlic and parsley butter, pommes frites and dressed leaves SUNDAY ROASTS Burger maison 100% prime British beef burger, Le Saint Mont Cheese, gherkins, relish, plum tomatoes and lettuce served with pommes frites Seabass New With creamy saffron curried mussels and samphire Boeuf bourguignon Braised beef with shallots, red wine, mushrooms and bacon with pomme purée and honey-roasted carrots Winter risotto New Kale, crumbled goats' cheese, roasted butternut squash, celeriac, crispy sage and truffle oil Vegan option also available 8oz Rump Steak Pan-fried Scottish pasture-fed 21 day-aged steak (best cooked slightly rare) with a choice of roasted garlic and parsley butter or green peppercorn and brandy sauce served with a slow roasted tomato and pommes frites2.50 supplement Moroccan roasted vegetable salad New Harissa roasted butternut squash, celeriac and beetroot with super grains, pomegranate seeds, tarragon, mixed leaves and an orange dressing. With grilled chicken or goats' cheese or add both for 1.50 Crème brûlée Our signature dessert – a French classic. Vanilla crème brûlée freshly made by our chefs every day Tarte au citron Caramelised lemon tart with raspberry sorbet Chocolate brownie With warm chocolate sauce and salted caramel ice cream Sticky toffee pudding With vanilla ice cream Mocha panna cotta New With almond and pistachio crumble Caesar salad New Cos lettuce, artisan bread croutons, Le Saint Mont cheese and Caesar dressing With or without grilled chicken SIDES Dauphinoise potatoes Roast potatoes 3.25 Superfood side salad 3.50 Grains, couscous and mixed leaves House salad 3.25 Pommes frites 2.95 Roasted field mushrooms 3.25 Creamed spinach 3.25 French beans 3.50 With toasted almond flakes Sautéed buttered kale 3.25 New Ice cream & sorbets Award-winning West Country farm organic ice cream and sorbets. Choose from: Chocolate chip, Vanilla clotted cream, Strawberry, Salted Caramel, Raspberry sorbet, Mango sorbet Vegan option also available Cheese board Camembert Our typical rustic French cheese board served with biscuits, celery and red onion confiture: A smooth, mild and buttery Camembert from the southwest of Paris A rich and well-balanced creamy blue cheese Le Saint Flour Bleu Le Saint Mont des Alpes A mature regional cheese with a nutty flavour 3.50 All our Sunday roasts are served with roast potatoes, seasonal vegetables, Yorkshire pudding and red wine gravy. Choose from: Roast rump of beef • * Roast pork and crackling Half roasted chicken Parmentier Maison A rich French-style cottage pie with ground beef and smoked bacon topped with pomme purée and served with seasonal vegetables Moules frites Rope-grown mussels in a white wine, onion, parsley, thyme and fresh cream sauce with pommes frites Tagine de legumes Roasted root vegetables, chickpea and apricot tagine with couscous tabbouleh and mint yogurt dressing Vegan option also available Fishcake On sautéed spinach with soft poached egg, Dijon and herb beurre blanc DESSER TS & CH E E SE The perfect finish to your meal Frangipane Warm baked apple and pear frangipane with vanilla crème fraîche and toasted pistachios Valrhona chocolate mousse New With meringue Bistrot crêperie New Traditional French crêpes your way. Choose vanilla ice cream or crème Chantilly. Then choose your filling: * Chocolate • Mixed berry compôte • Lemon • For an explanation of our dietary symbols, please see overleaf Olives 2.95 Houmous 2.95 * * Hendrick's G&T 6.25 Hendricks Gin (25ml) with Fever-Tree elderflower tonic Roasted garlic bulb Oven roasted with sourdough, 3.95 olive oil and balsamic vinegar New * * * * * * • * APÉR I T I FS • & COCK TAI LS 6.25 Aperol Spritz Aperol and Veuve Devienne sparkling wine topped with soda St. Germain Spritz 6.25 St. Germain elderflower liqueur and Veuve Devienne sparkling wine topped with soda 4.95 Bucks Fizz Veuve Devienne sparkling wine and orange juice Cucumber Spritz 6.25 Fever-Tree Indian tonic and cucumber White wine, St. Germain elderflower liqueur, 6.50 Grand Mimosa Veuve Devienne sparkling wine, Cointreau and orange juice Bloody Mary 6.50 Russian Standard vodka, tomato juice, Worcestershire sauce and Tabasco sauce Kir Royal 4.95 Veuve Devienne (125ml) sparkling wine and crème de cassis * G I NS Working in partnership with Fever-Tree, our G&T's include a single measure of gin paired with the perfect Fever-Tree mixer. Feel free to swap your tonic or mixer to another if you wish. * * * CLASSIC DRY Sipsmith London Dry 41.6% 6.25 Bold, complex and aromatic traditional London Dry Gin with dry juniper and a hint of zesty, citrus freshness. Paired with Fever-Tree Indian Tonic Water. CITRUS Bombay Sapphire 40% 5.75 Citrus and juniper flavours combined with an elegant light spicy finish. Paired with Fever-Tree Mediterranean Tonic Water. FLORAL 41.4% Uniquely distilled with the infusion of rose and cucumber. Paired with Fever-Tree Elderflower Tonic. Hendrick's 6.25 The Botanist 46% 6.50 A distinctive, floral gin with 22 botanicals local to the Island of Islay. Paired with Fever-Tree Indian Tonic Water. FRUITY Warner Edwards Rhubarb 40% 6.50 Sweet and tangy with British rhubarb. Paired with Fever-Tree Ginger Ale or tonic water. 40% Subtle notes of berry give an intensely smooth taste. Paired with Fever-Tree Refreshingly Light Tonic Water. Brockmans 6.25 Pinkster 37.5% 6.25 With hints of real raspberries and an exceptionally smooth finish. Paired with Fever-Tree Mediterranean Tonic Water. BEERS•& CID E R S DRAUGHT Vedett Extra Blond 5.0% (Pint) 4.95 Vedett Extra Blond 5.0% (Schooner) 3.25 BOTTLES Regional Bottled Ale (500ml) 4.10 Leffe Blonde 6.6% (330ml) 3.95 Kronenbourg 1664 5.0% (275ml) 3.50 Meteor Bière d'Alsace 4.6% (330ml) 3.75 Meteor Classic '27 5.0% (330ml) 4.50 Bolée d'Armorique Cidre Breton 5.0% (330ml) 3.50 Beck's Blue Alcohol-Free (275ml) 2.95 S PIR ITS * Russian Standard Vodka (25ml) 2.75 \| (50ml) 4.95 Grey Goose Vodka (25ml) 4.25 Bacardi Superior (25ml)2.75 \| (50ml)4.95 Lamb's Navy Rum (25ml) 2.75 \| (50ml) 4.95 Havana Club 3 Year Rum (25ml)2.95 \| (50ml)5.00 Jose Cuervo Gold Tequila (25ml)2.95 \| (50ml)5.00 Jack Daniel's (25ml) 2.95 \| (50ml) 5.00 Bell's Whisky (25ml) 2.75 \| (50ml) 4.95 Jameson Irish (25ml) 3.50 Glenmorangie (25ml) 10 Year Malt 3.50 Sipsmith London Dry Gin (25ml)3.95 (25ml)3.50 Bombay Sapphire Gin (25ml) Hendrick's Gin 3.95 The Botanist Gin (25ml)4.25 Warner Edwards Rhubarb Gin (25ml) 4.25 Brockmans Gin (25ml)3.95 (25ml) Pinkster Gin 3.95 SOFTDRINKS Fresh Orange Juice (250ml) 2.95 Orangina (250ml) 2.60 Belvoir Elderflower Pressé (250ml) 2.95 Belvoir Raspberry Lemonade (250ml) 2.95 Pago Fruit Drinks (200ml) 2.75 Please ask your server for available flavours Coca-Cola, Diet Coke and Coca-Cola Zero Sugar (330ml) 2.95 Pepsi & Diet Pepsi (250ml) 2.60 Lemonade (250ml) 2.60 Fever-Tree Tonics and Mixers Indian Tonic Water Refreshingly Light Tonic Water Mediterranean Tonic Water Elderflower Tonic Water Ginger Ale Spiced Orange Ginger Ale (200ml) 2.30 1.35 Schweppes Mixers (125ml) Fentimans Ginger Beer (275ml) 2.75 Britvic Cordial 0.40 Lime, orange or blackcurrant Evian Still Mineral Water (330ml/750ml) 1.95 \| 2.95 Perrier Sparkling Water (330ml/750ml) 1.95 \| 2.95 HOTDRINKS Espresso/Double Espresso 1.95 \| 2.25 Macchiato 1.95 \| 2.25 Café 2.30 Americano 2.25 Cappuccino/Latte 2.75 Mocha/Hot Chocolate 2.75 Flat white 2.65 Floater Coffee 2.75 Liqueur Coffee 4.95 Traditional/Herbal Tea 2.00 Choose from Earl Grey, Green, Peppermint and Camomile or fruit tea Double up your G&T for an additional £2.50 We have a separate children's menu or we are happy to charge 50% less for smaller portions of selected dishes on our menus. We can provide a detailed list of all allergens used in our kitchen on request. If you do have an allergy please alert your server before ordering. The ingredients used in all of our dishes may vary occasionally, subject to availability. There is a 10% discretionary service charge for all tables of eight or more. All service charges and tips go directly to our team. Winter 2019 * * * * * * * * • *
President's Letter March 2018 Volume 1 Issue 1 GLOVERSVILLE BID P.O. Box 448, Gloversville, NY gloversvillebid.com Monthly BID meetings are held the second Tuesday of the month. 8 a.m. at the Fulton Montgomery Regional Chamber of Commerce. Local Highlights Spring is already here and 2018 is taking shape to be a truly momentous year for BID. We are proud and excited to share with you the first-ever BID Buzz, a quarterly newsletter for business and building owners in our BID District. Our main goal is to increase communication with our membership, giving you an insight into the programming we have planned throughout the year. We promise to be a conduit of information, concerns and questions. We are dedicated to making downtown Gloversville a destination for shoppers, visitors and new businesses. We are open to listening to your points of view and creating action steps that will help us all reach our goals for downtown. I'd like to remind you that all BID members are welcome to join our monthly meetings which are held the second Tuesday of every month at 8 a.m. inside the Fulton Montgomery Regional Chamber offices at 2 North Main Street. In the meantime, feel free to reach out to us at firstname.lastname@example.org at any time or stop by my offices in the Argersinger Building Suite 105. All the best, Jim Schlesier, President BID BUZZ is published by the BID Board of Directors 2018 Members: Jim Schlesier, Argersinger Office Complex, President Bill Rowback, WCR Realty, Vice President Donna Kenney, Leader-Herald, Secretary Roseann Lauria, NBT Bank, Treasurer Susan Casey, Piseco Realty Julienne Cunningham, Arcadian Pastures James Dempsey, Studio Herbage Vince DeSantis, 31 & 33 N. Main Street Bob Galinsky, Mohawk Harvest Cooperative Market Linda Hinkle, Micropolis Gallery Brandi Johns, Twin City Twisters Jenni Mazur, Gloversville City Clerk Michael Ortiz, Fulton County Barber Shop Sharon P. Poling, Glove Performing Arts Center Eugene Reppenhagen, Gloversville Senior Center Maryann Reppenhagen, Gloversville Finance Office Karen Smith, Schine Memorial Hall Steven Smith, Steven E. Smith, P.E. Terry Swierzowski, Fulton-Montgomery Chamber of Commerce Joshua Thompson, Gloversville Community Music Marcia Weiss, City of Gloversville Common Council, Ward 4 BID BUZZ is produced by the BID's Marketing Committee: Jennifer Jennings, Chair; Ruth Levinton; Sharon Poling; Linda Hinkle; Terry Swierzowski; Vince DeSantis For more information or for ideas for the newsletter, please email email@example.com We'd like to share with you some need-to-know information on upcoming events and projects happening downtown! Micropolis Cooperative Art Gallery ● March 9 through April 30 Jon Segan of Fort Edward, NY will be the guest artist at Micropolis during March and April. Outside of his studio work, Jon is an active member of the arts community in the Glens Falls region, volunteering his time with art-based groups. His work has been shown regionally in solo and group exhibitions, and is in numer- ous private collections. For more information on this spring's featured artist along with the other art on offer at the gallery, please go to www.micropolisgallery.com. Micropark The Micropark will be out along North Main Street at soon as the weather allows. We will have information sessions leading up to the installment with community members, city department heads and others present to talk about what the micropark is, why it's there and how to use it. Information will follow soon, please keep an eye out and join us at the meetings. Placemaking 101 Conference ● April 18 & 19 This April, downtown will play host to a two-day conference on economic revitalization and community engagement. We will welcome economic development professionals from across the state, community organizations and city residents for a funfilled, information-packed event. In advance of the conference, there will be a few pilot tactical urbanism projects popping up on North Main Street, primarily at the crosswalks on North Main and Church Streets. These projects are meant to encourage slower speeds along North Main and increase pedestrian safety. They will not obstruct your businesses in any way and will not take away parking. If you have any questions about the conference or the pedestrian safety project, or to register to attend, please call Jennifer Jennings at (518)725-7700 or email firstname.lastname@example.org. You can also visit www.downtowngloversville.org for more details . Southern Adirondack Wine & Food Festival ● June 9, 4-8PM North Main Street will once again play host to the Southern Adirondack Wine & Food Festival. We expect a larger crowd this year and have a substantial vendor line-up. This will mean more foot traffic for your businesses throughout the event. If you would like to place signage out in front of your shop, please contact Jenni Mazur, Gloversville City Clerk, (518) 7734542. She will need to have your request no later than May 21st so that the event layout can reflect your request. Please note: Set-up for this event is not quick BUT we try to have as little impact on you as possible on a Saturday morning. The road will close at 11:30 so that the main tent can be erected at 12 p.m. We ask that you have your customers' cars off of North Main Street by 10:30. We will be dropping off reminder signs to effected businesses on Wednesday, June 6th for you to display as a reminder. Want more info? Visit the Facebook event page or www.southernadirondackwineandfoodfestival.com Things Happening in Downtown Gloversville BID March to June 2018 Would you like your business' information listed on our calendar of events? Please email us at email@example.com . March March 9 th —April 30th 5 PM – 7 PM Micropolis Art Gallery (30 N. Main Street) Guest Artist for March & April: Jon Segan March 1 st through April 20 th Open Mon-Fri 8 AM – 5 PM Chamber Rotunda (2 N. Main) Art Show “Local Inspirations” presented by Gloversville Public Library & Fulton-Montgomery Regional Chamber of Commerce. March 10 th 6 PM – 8 PM Open Mic at Mohawk Harvest (30 N. Main Street) April April 14 th 3 PM Chamber Music at the Chamber: French 75 – Dixieland Jazz Chamber Rotunda (2 N. Main) $10 Pre-Sale / $15 at the Door. Tickets available at Mohawk Harvest & FM Chamber Office April 14 th 6 PM – 8 PM Open Mic at Mohawk Harvest (30 N. Main Street) April 21st 7:30 p.m. Glove Theatre (40 N. Main) Funk Evolution Ticket information available at www.glovetheatre.org May May 4th 7:30 p.m. Glove Theatre (40 N. Main) The Refrigerators Ticket information available at www.glovetheatre.org May 12 th 6 PM – 8 PM Open Mic at Mohawk Harvest (30 N. Main) May 18th 7:30 p.m. Glove Theatre (40 N. Main) Star Man Ticket information available at www.glovetheatre.org June th June 9 3 PM – 7 PM Southern Adirondack Wine & Food Festival (and Music & Beer & …) North Main Street The street will be closed starting at 11:30 AM, a giant tent will cover N. Main, music will fill the air. Samples of local wineries, breweries, distilleries will be available (with opportunity to purchase), food & local art & artisans. ● $20 to sample spirits (Includes a sampling glass to keep / Must be 21+) / $10 for entry without spirit sampling. Tickets will be available at Mohawk Harvest June 14 th Open Mic at Mohawk Harvest (30 N. Main) 6 PM – 8 PM Spotlight—Home & Gift Shops in Gloversville BID Each issue, we will be putting a spotlight on different business categories within BID. This time around, we are focusing on home and gift shops. Would you like to be featured in an upcoming issue? Please email us at firstname.lastname@example.org. Adirondack Stained Glass Works / 29 West Fulton Street Patrick Duell and Donald Dwyer have been creating and restoring stained glass works of art in their Downtown Gloversville studio since 1982. Their work includes Tiffany reproductions, mission and contemporary lamps, solid wood entry doors and more. The pair have become known across the country for their unique line of Adirondack Mountain products that depict the beauty and majesty of the Adirondacks. It's always a delight to visit Adirondack Stained Glass Works whether you're looking for a special item for your homes or a special gift. They also take custom work for new & restorations; residential and commercial. Open Tues-Fri 9 AM to 5 PM / Sat from 9 AM to 4 PM. (518) 725-0387 t Bount ful Home & Gif / 34 North Main Street Jody White opened her delightful shop in a storefront of Schine Memorial Hall just a few months ago and it has already become a favorite place in Downtown Gloversville. Jody has added decorative touches to display her eclectic mix of merchandise that includes delicious foodstuffs; unique jewelry; decorative home gifts, furniture and more. It's a great place to visit and Jody will be happy to help you find the perfect thing for your home or to give as a gift. Welcome to Downtown Gloversville Jody, we so happy to have you here. Open Wednesday to Saturday. (518) 774-7508. Terry's Antiques / 8 South Main Street (corner of South Main and West Fulton) Terry & Linda Brundige run this wonderful shop that takes up multiple rooms in the Four Corners of Downtown Gloversville. Terry restores antique furniture displayed throughout the store that includes tables, chairs, sideboards, bookshelves – the merchandise changes often as new items come in. Besides the furniture, you'll find collectibles of all kinds, glass, crystal and lots more. Always fun and informative to visit, this place is perfect for a special piece. They also buy items! (518) 378-3834 Did you know? BID is constantly working to promote the businesses and events happening in our downtown Gloversville district. We post a monthly calendar of events on our website. The website also hosts profiles on many businesses in our district. We also feature stores, businesses, customer specials and downtown events on our Facebook page. Information is posted throughout the week and we work hard to engage our 900+ followers. Would you like more information on how we can help to promote your business, building, organization or event? Please email us at email@example.com. BID Website: www.gloversvillebid.com/ BID Facebook: www.facebook.com/GloversvilleBID/
M.W. Evans and H. Eckardt Group and phase velocities in the R theory of matter waves: conditions for superluminal signalling M.W. Evans 1* and H. Eckardt 2 ** Alpha Institute for Advanced Studies (AIAS) (www.aias.us); *Unified Physics Institute of Technology (UPITEC) (www.upitec.org) The de Broglie relation between group and phase velocities of matter waves is a product of special relativity, which is now known to be valid only in narrow contexts, indicating the need for general relativity as corrected by the Einstein– Cartan–Evans (ECE theory. The de Broglie relation is corrected with R theory, and an expression obtained for group velocity of a matter wave in terms of R. The conditions and sample solutions for superluminal signalling are given. Keywords: ECE theory, R theory, group and phase velocity in R theory, superluminal signalling. 1. Introduction The concept of the group velocity of waves was introduced by Hamilton in the late eighteen thirties and published in abstracts in 1841. Little notice was taken of these abstracts until the concept was inferred independently by Stokes and by Rayleigh. The group velocity differs from the phase velocity. For a matter wave, de Broglie [1, 2] derived a relation between the two using the basic concepts of special relativity and quantum theory put together in the de Broglie Einstein equation of 1922 to 1924. In UFT 158 and following papers in this series [312] it has been shown that the de Broglie Einstein theory becomes unworkable and grossly self inconsistent within the context of special relativity. This disaster for the old twentieth century physics has been averted through the development of the concept of mass into covariant mass defined by the R parameter of ECE theory [312]. In Section 2 the de Broglie theory of the group velocity of a matter wave is developed in general relativity using R theory. The group velocity is defined 1e-mail: firstname.lastname@example.org 2e-mail: email@example.com as the partial derivative of total relativistic energy with respect to relativistic momentum. In special relativity this procedure produces a group velocity equal to the particle velocity v, and the group velocity cannot exceed c, the maximum velocity of special relativity. In R theory however the group velocity is defined by R and may exceed the velocity c. Under well defined conditions, superluminal signalling becomes possible using the group velocity. As observed experimentally the group velocity may exceed c, may be zero, or may be opposite in direction to the phase velocity. The results are developed in Section 2 for use with refraction theory. In Section 3 numerical solutions for dispersion are found using a differential equation obtained in Section 2. 2. Group velocity of a matter wave in R theory The group velocity is defined by de Broglie for any wave / particle by: where the total relativistic energy E and relativistic momentum p are defined by the Einstein energy equation: where the mass m 0 is the conventional mass of special relativity, i.e. is a constant. In UFT 158 and following papers of this series it was found that the particle mass varies in experiments such as inelastic scattering. This indicates the necessity of generalizing particle mass in special relativity to the covariant mass, defined by: where c and ħ are the speed of light and reduced Planck constant respectively. The de Broglie group velocity is therefore: m 0 where the Lorentz factor is: and where v is the particle velocity. Therefore, the group velocity is the same as the particle velocity: The phase velocity of the wave is: where the de Broglie relations [1, 2] are given by: Therefore, the group velocity can be defined by: and the de Broglie relation between group and phase velocities follows: The generalization of these equations is based on the ECE wave equation [3–12]: whose classical equivalent is: Here a qµ is the Cartan tetrad. Therefore, the R factor is defined by: and the group velocity is defined by: The relation between the angular frequency and wave vector is a dispersion relation, and is given from Eq. (14) as: Therefore: Another equation for the particle velocity can be obtained directly from the equation: giving: It is observed experimentally [13–15] that the group velocity can be zero, greater than c or negative. In special relativity the photon is often assumed to be massless, despite the fact that the photon mass was assumed by de Broglie to be identically non-zero. This assumption means that the group velocity in special relativity is always: and also for any type of matter wave as considered by de Broglie. In other words, in special relativity, the derivative of R with respect to κ vanishes in de Broglie theory because: and m 0 is a constant. In R theory this is no longer the case because R is defined by geometry as follows: and the concept of covariant mass m is the result of this geometry. It is possible to define the superluminal condition by: where c is the maximum speed of special relativity. For the hypothetical massless photon c is the vacuum speed of light. The superluminal condition (23) means from Eq. (17) that In special relativity and de Broglie theory the condition (24) is not allowed because: and The fixed mass m 0 of special relativity is always greater than zero, so Eq. (24) can never apply. In R theory, m 2 in Eq. (22) is a positive valued proportionality factor between R and the fundamental constant (c/ħ) 2 . This makes a profound difference because R can be a variable that gives rise to new information in absorption and scattering theory as explained in UFT 158 to UFT 165 on www. aias.us. The fact that R is a variable makes superluminal signalling possible because / R ∂ ∂κ is non zero. Therefore, from Eq. (24) the superluminal condition is: i.e.: It is also observed experimentally [13–15] that the group velocity can be zero while the phase velocity remains finite. For the group velocity to vanish, Eq. (17) means: Therefore, from Eq. (17): and so: and from Eq. (17): In this case the phase velocity goes to infinity: Finally, it is also observed experimentally [13–15] that the group velocity can become negative, i.e. opposite in direction to the phase velocity. From Eq. (17) the condition for this is: and from Eq. (17) it is required that: i.e. / R ∂ ∂κ must be negative. It is possible to obtain the following relation between R, group velocity and phase velocity: This gives a relation between the geometrical definition of R in Eq. (22) and the partial derivative / ∂ω ∂κ that defines the group velocity: The contravariant and covariant four momenta are well known to be: so the R factor is: From Eqs. (17) and (39): which relates the derivative / ∂ω ∂κ to E and p. For the hypothetical massless particle travelling at c: so and from Eq. (40) the following self-consistent result is obtained: with Q.E.D. In this case, Eq. (39) gives: i.e. and Using the ECE hypothesis: A ( ) 0 a a A q µ µ = (48) we obtain the d'Alembert wave equation for a massless photon self-consistently for each polarization sense labelled a: Q.E.D. This in turn means that the Proca equation for the massive photon is: and when the covariant mass vanishes R vanishes self consistently: Q.E.D. For a monochromatic plane wave traversing a dielectric [16] with no charge current density present the Helmholtz wave equation gives: where n is the refractive index, μ is the permeability and e the permittivity of the dielectric. So, in this case R can be expressed simply in terms of the refractive index: and the refractive index is given by: At the interface of two dielectrics Snell's law is given by [16]: Therefore: where and where: Therefore Snell's law is: and the R spectrum of any refraction process is: with A' defined from Snell's law as: The R theory of refraction can be expressed in terms of the R theory of the scattering process defined by: and This is the scattering of a particle with initial angular frequency ω from a particle at rest with rest angular frequency ω 0 . The scattered angular frequency of the incoming particle is ω' and the scattered angular frequency of the particle initially at rest is ω''. Eq. (63) is the accompanying conservation of momentum where the scattering angle is: as defined in terms of r and i of Snell's law (see accompanying note 165(4) for more details). As in UFT 158 ff., solution of Eqs. (62) and (63) gives: where R 2 is the R factor of the initially static particle, and R 1 is the R factor of the scattered particle. Solving Eq. (65) gives: where: Therefore, from Eqs. (61) and (67): which unifies the macroscopic theory of refraction with the particle theory of refraction considered as a scattering from an effective R 2 . 3. Numerical solution for the dispersive dependence The general dispersive relation between frequency go and wave number κ is given by Eq. (16): where the curvature parameter R, which has a κ dependence too, enters the calculation. The group velocity is determined by R, ω and κ via Eq. (17): To obtain an equation for R, Eq. (69) can be inserted into (70), leading to This is a first order differential equation for R. The ratio of v g /c has to be predefined to obtain a solution. In particular, superluminal cases of v g > c can be considered. Equation (71) must be solved numerically because the square root term prohibits an analytical solution. Having obtained R(κ), the dispersion relation (69) can be calculated, and from that the optical refraction index n(κ) using Eq. (54): The numerical solution requires an initial value for R(0). It results that only for positive initial values a solution exists. We did not consider complex-valued solutions. All numerical calculations were performed for three values of v g /c: The solution R(κ) for these cases is shown in Fig. 1. For v g = c the solution is linear, in the other cases it is decreasing or increasing, respectively. From Fig. 2 where the derivative of R is shown, it becomes clear that the derivatives are straight lines, i.e. R is a quadratic function of κ in all cases. We conclude that the R theory of general relativity reproduces the results of classical optics. These were obtained from assuming a group velocity not being dependent on the frequency. The numerical method developed can easily be extended to arbitrarily predefined dependencies of v g (κ). Thus, special materials can be designed with certain properties. The method described is also applicable to quantum optics and de Broglie frequencies of particles so that these 'design principles' are even valid in the microscopic regime. Interestingly, also the dispersive relation ω(κ) (Fig. 3) is linear as can also be concluded from Eq. (69) because R is quadratic. Finally, the optical refractive index n(κ) can be seen in Fig. 4. This is asymptotically constant for large wave numbers. The behaviour is exactly as in classical optics, that means for v g = c it is exactly unity, for v g < c it is n > 1, and for v g > c (superluminal case) we have n < 1 as is also known from optics. References [1] L. de Broglie, Comptes Rendues, 177, 507 (1923). [3] M. W. Evans, Generally Covariant Unified Field Theory (Abramis 2005 to present), in seven vol umes to date. [2] L. de Broglie, Phil. Mag., 47, 446 (1924). [4] M. W. Evans, S. Crothers, H. Eckardt and K. Pendergast, Criticisms of the Einstein Field Equation (Cambridge International Science Publishing Ltd, 2011, www.cisp-publishing.com). [6] L. Felker, The Evans Equations of Unified Field Theory (Abramis 2007). [5] M. W. Evans, H. Eckardt and D. Lindstrom, ECE Theory applied to H Bonding (Serbian Academy of Sciences, 2010). [7] K. Pendergast, The Life of Myron Evans (Cambridge International Science Publishing Ltd, 2011, www.cisp-publishing.com). [9] M. W. Evans and J-P. Vigier, The Enigmatic Photon (Kluwer 1994 to 2002), in five volumes; [8] The ECE websites: www.aias.us (www.webarchive.org.uk), www.atomicprecision.com, www.et3m. net, www.upitec.org. [10] M. W. Evans and L. B. Crowell, Classical and Quantum Electrodynamics and the B(3) Field (World Scientific, 2001). [12] M. W. Evans and A. A. Hasanein, The Photomagneton in Quantum Field Theory (World Scientific, 1994). [11] M. W. Evans and S. Kielich (eds.), Modern Nonlinear Optics (Wiley, 1992, 1993, 1997, 2001 and e book, first and second editions). [13] G. M. Gehring, A. Schweinsburg, C. Barsi, N. Kistinksi and R. W. Boyd, Science, 312, 895(2006). [15] A. Schweinsberg, N. N. Lepishkin, M. S. Bigelow, R. W. Boyd and S. Jarabo, Europhysics Let ters, 73, 218 (2005). [14] G. Dolling, C. Enkrich, M .Wegener, C. M. Soukoulis and S. Linden, Science, 312, 892 (2006).
FAQ (Frequently Asked Questions) Most of the questions you have regarding your tour can be answered by reading through this brochure. Knowing as much as you can beforehand will enable you to enjoy your tour experience to the fullest. The terms and conditions of your travel arrangements are controlled by the Tour Contract, starting on page 68, and it is necessary that you read through the next three sections (FREQUENTLY ASKED QUESTIONS, PHYSICAL CONDITION GUIDELINES, and the TOUR CONTRACT) prior to making your reservation. When should I make my Reservation? For the best price and choice of dates, we suggest making reservations as soon as you decide on a tour/date. Are Visas or Inoculations required for U.S. Citizens? No visas or inoculations (shots) are required for passen gers carrying a U.S. passport. The European "twin" room consists of two twin beds made up separately, placed side by side, and sharing the same headboard. In some hotels it may not be possible to separate these twin beds. Image Tours can request "twin" or "double" accommodations, but some hotels do not offer the choice or guests may not always receive their preferred choice due to limited allotments. Are Visas or Inoculations required for Non-U.S. Citizens? Before making a deposit, Non-U.S. citizens must ask their embassy or consulate which visas and inoculations they will need for each of the countries they will visit. It is your responsibility to determine which visas or inoculations are required and to obtain them before your departure. Cancellations due to the inability to obtain proper visas or inoculations will be subject to the Image Tours "Cancellations" policy. What Age do Children need to be to go on these tours? Children under eight (8) years of age are not accepted on our tours because it is difficult to keep them entertained on the motor coach, and this may impact the enjoyment of other tour members. Children between the ages of 8 and 17 must be accompanied by an adult. If the accompanying adult is not the child's legal guardian, the legal guardian must sign the Reservation Application and provide a notarized consent form for the child. Are there any Discounts for Children? Unless you are informed otherwise at the time you make reservations, children who will be ages 8 through 17 at time of departure and will share a room with at least one legal guardian are entitled to a $250 discount. No chil dren discounts apply to extensions, optional excursions, or any other additional costs. Do the Hotel Rooms have Private Bathrooms? All rooms have a private bathroom with a shower and/or bathtub, toilet, and sink. What is the difference between a Double and a Twin Room? A "double" room consists of one double bed. ©2016 Image Tours, Inc. Are Triple Rooms offered? If available, triple occupancy rooms are the same per per son price as double occupancy. "Triples" usually consist of a double bed or two twin beds, with a folding bed, cot, or rollaway for the third person. Be aware that this may not be comfortable for three adults. If a triple room is not available, one double plus one single room may be substi tuted and the single supplement will apply. Are Single Rooms offered? Single rooms are on request and Image Tours may decline an application for a single room without explanation. If a single room is confirmed, a single supplement will apply. The applicable single supplement for each tour can be found in the "Dates & Prices Guide." Single rooms are of ten much smaller and not as well located as double rooms. If you have paid the full single supplement and end up sharing a room, you will receive a refund equivalent to the average nightly single supplement. Passengers request ing a single room will be required to provide a signed statement of current medical status, acknowledging the passenger is fit to travel alone, including the signature of a family member as an emergency contact. Please read "Physical Condition Guidelines" on page 67. Can Image Tours help find a Roommate? Image Tours does not offer a room share program and is unable to assist in finding a roommate. If you do not have a roommate, you will need to request a single room. Refer to "Are Single Rooms offered?". How are Rooms Assigned? Room assignments are made by the individual hotels. The location, view and size of the rooms may vary. FAQ (Frequently Asked Questions) When will I know which Hotels will be used for my tour? A list of the tour hotels, along with contact information, will be included with your Trip Documents Packet, which you will receive at least one week prior to departure. For a list of frequently used hotels, see pages 60 and 61. For hotel descriptions and web links, go to www.ImageTours.com. Is this a Non-Smoking Tour? Do the Hotels have Heating & Air Conditioning? All of our hotels are equipped with central heating. Due to a milder climate, air conditioning is not as widely used in Europe as it is in the U.S.A. Therefore, a number of our hotels in northern and central Europe do not feature air conditioning. For hotel descriptions and web links, go to www.ImageTours.com. What do the Hotels serve for Breakfast? Breakfasts are commonly served buffet style with a selec tion of rolls, butter, jam, cheese, cold cuts, coffee, tea, milk and juice. Breakfast buffets usually also include one or more other items, such as cereal, pastries, fruit, yogurt or eggs. Some selections and preparation will reflect the local area. What is typical for the included Dinners? The included dinners are most commonly served at the tour hotel following a prearranged, fixed menu. We work closely with the restaurants to provide a variety of dishes throughout the tour. Unless otherwise advised by your tour manager, beverages are not included with dinners. Although it is not customary in Europe, our hotels make every effort to provide water with dinner, when possible, as a special courtesy to Image Tours' clients. May I request Vegetarian, Gluten-free or Diabetic Meals? If notified in writing at least 75 days prior to departure, Image Tours accepts the following diet requests only: 1) diabetic; 2) gluten-free; 3) vegan; 4) vegetarian with dairy and eggs; or 5) semi-vegetarian (no pork or red meat). Although we will inform the tour manager and the hotels, any dietary requirements remain entirely your own responsibility. Please do not give the tour manager a list of items you may or may not eat. Instead, leave items you may not eat on your plate and order additional items à la carte at your own expense. Image Tours does not forward diet requests to the airlines, but passengers may be able to submit such preferences themselves through the airline website. Image Tours expressly disclaims any responsibility or liability in connection with dietary requirements. www.ImageTours.com Regardless of the policies within the countries visited, the tour manager will adopt a non-smoking policy on the motor coach and during group activities. Although some restaurants in Europe do not designate non-smoking sec tions, tour participants are also expected to refrain from smoking during breakfasts and group dinners. Image Tours requests non-smoking rooms for all tour partici pants where possible. In fact, many hotels have converted to only non-smoking rooms and charge a substantial pen alty to guests who smoke in a non-smoking room. Image Tours expressly disclaims any responsibility or liability in connection with smoking or non-smoking requirements. Do I need to bring Formal Attire? Comfort is the priority on our tours. There are no occa sions that require formal attire, but some clients like to bring one casually elegant outfit to wear for special occasion dinners. How often will I need to carry my own Luggage? At the airports, you will have the use of luggage carts to transport your luggage to the motor coach. At each hotel a porter will take your suitcase (one per person per the Image Tours "Baggage Allowance") up to your room and place it outside your door. Each morning you depart from a hotel, you will place your suitcase in the hallway outside your room and the hotel porter will take it down to the motor coach for your driver to load. Although highly unlikely, there may be a rare occasion on which individual baggage handling is required at a hotel. You must handle your own carry-on luggage throughout the tour. Are Airport Transfers included? On Day 2 and again on the last day of the tour, one sched uled group transfer between the airport and the hotel (hosted by the tour manager) is available at no additional cost. Transfer times in each direction are set based on the scheduled flight times of passengers who have purchased the complete "Tour & Air Inclusive" package from Image Tours. Passengers who purchase "Tour Only" from Image Tours should expect to make their own way between the airports and the hotels at their own expense, but are welcome to join the complimentary transfer if the passen ger's actual flight time coincides with the group transfer time. Book early morning arrivals and afternoon return departures for the best chance to join the group transfer. If you are unable to join the group transfer due to sched ules, flight delays or for any other reason, you will need to make the transfer on your own, and the entire cost of this ©2016 Image Tours, Inc. FAQ (Frequently Asked Questions) transfer will be your responsibility. Under no circumstance will Image Tours be held responsible for any portion of the cost of these transfers. As you consider travel pro tection plans, check if travel delay coverage is included. Pre- and post-tour extensions do not include transfers. What Time does the tour group usually Depart and Arrive at the Hotels? On most days, the tour will depart from the hotel between 8:00 a.m. and 9:00 a.m. and will arrive at the hotel between 5:00 p.m. and 6:00 p.m. Where do I Meet the Tour Manager? For the scheduled group airport transfer, the tour man ager will be waiting at an assigned Meeting Point inside the arrival airport in Europe. "Arrival Instructions," includ ing the Meeting Point location and time, are provided with the Trip Documents, which you will receive at least one week prior to the tour. Please review this information before your departure. Will the Tour Manager accompany us throughout the entire tour? Generally, the tour manager who accompanies the group arrival transfer to the first tour hotel, will be the same tour manager who will accompany the entire tour. Are Tips for the Tour Manager & Driver included? The tips for the tour manager and driver are not included in the tour price. This allows you to express your level of appreciation for their contribution to your overall enjoy ment of the tour. Depending on the level of service you feel they provided, an average tip is $4 per person, per day, to each the tour manager and driver. Tips should be paid in the local currency. Tipping envelopes are provided with the Trip Documents. Are Tips for Other Services included? Tipping is included for all services that are pre-arranged by Image Tours, such as hotel staff, restaurant staff and other services that are included in the tour or in the optional ex cursions. Generally, if anyone who provides a pre-arranged tour service is just doing their job, you need not tip. On the other hand, feel free to tip any personnel who is extra helpful or goes beyond expectations. When you purchase beverages or receive water service with dinner, it is polite to include a tip of at least 50 cents. During independent meals, the general rule at restaurants in Europe and the British Isles is 5% to 10% depending on level of service. When do I pay for the Optional Excursions? Unless noted otherwise in the optional excursion descrip tion, you pay for the optional excursions once you are on the tour. See page 47 for optional excursion payment instructions and see pages 48 through 51 for a list of optional excursion descriptions. ©2016 Image Tours, Inc. How much Free Time will I have? When you make a sightseeing stop, your tour manager will typically indicate points of interest while on the motor coach and/or with a walking tour, followed by 45 minutes to 2 hours for independent sightseeing, depending on the location. You may forego a walking tour if you prefer more independent time. How much Time will I spend on the Motor Coach? Our tours are planned so that the average time on the motor coach between stops is 1½ to 2 hours. For more specific times, consult the "Travel Time"section of your tour on our website at www.ImageTours.com. Is there a Bathroom on the Motor Coach? Although motor coaches are usually equipped with an enclosed portable toilet, you are asked to limit its use to emergencies only, due to infrequent access to disposal sites. Frequent sightseeing and rest stops will be made in order to allow for a comfortable traveling experience. Do the Motor Coaches have Heating & Air Conditioning? All our motor coaches are equipped with heating and air conditioning. Due to stringent pollution prevention laws, the motor coaches must turn off their en gines (which also turns off the heating and air conditioning) when at a standstill (for example, while parked or waiting at a light). On warmer days when air conditioning is in use, the temperature on the motor coach tends to be about 10º lower than the outside temperature. For instance, on an 80º day the temperature on the motor coach will be about 70º. How are Seats Assigned on the Motor Coach? Seating on the motor coach will be assigned by a rotation system. Out of fairness to all passengers, we do not accept special motor coach seating requests for any reason and expect full participation in the rotation system. May I request Airline Seat Assignments? Some airlines or flights do not allow for seat assignments until check-in. If the airline does allow pre-assigned seats, you may request seat assignments through the airline website, after final payment and after tickets have been issued. Please note these seat assignments may be canceled by the airline due to schedule or equipment www.ImageTours.com FAQ (Frequently Asked Questions) changes, and it is recommended that you reconfirm seat assignments 25 days prior and again a few days prior to departure. Any fees charged by the airlines for pre-as signed seating are not included in the tour price and must be paid directly to the airlines. What happens if I Arrive Late at a departure point? May I record Frequent Flyer information? If you are a member of a frequent flyer club and if the airline offers miles on tickets issued by Image Tours, it is your responsibility to make sure that you are credited your mileage. The best way to do this is through the airline website. Image Tours recommends you record your air ticket num ber and keep your boarding passes even after you have returned so you can provide proof of travel to the airline in the event of any problem. Image Tours cannot provide copies of tickets or ticket numbers after travel is completed. Is it possible to Extend the Stay? Early departures, later returns, and pre- or post-tour extension accommodations must be requested at the time you make your tour reservation and before your deposit is posted. These requests will be subject to avail ability of air and hotel space. For air deviation fees, hotel prices and additional information about extensions of fered by Image Tours, refer to the "Dates & Prices Guide" insert or ask your travel agent. Will any credit be available for Unused Tour Nights? Tour prices are based on full group utilization of the hotel rooms and services. No credit or refund will apply for un used tour nights or services. You may leave the tour at any place on the itinerary after communicating your plans to the tour manager. You may only rejoin the tour at one of the overnight hotels. What if I need to Return Home Early? Air tickets are subject to change fees and you may need to purchase a one-way air ticket for returns within 7 days of departure or for a different flight itinerary. If you must return early for a medical reason, obtain a statement from the attending physician. If you have purchased a travel protection plan, this documentation will be required to make a claim and may help reduce airline change fees. How can I use my Cell Phone during the tour? Contact your cell phone provider about short term international data and calling plans. If you have a smart phone, the WhatsApp is a cost-free way to communicate with other smart phones. If you will use your phone for photos, consider increasing your memory and taking a USB battery. www.ImageTours.com At each stop, write down the meeting time and the name of the cross streets or landmark near your meeting point so you can ask for directions in case you get lost. In the unlikely event that you do not arrive at a meeting point on time, proceed to your hotel by way of a taxi, train or bus. This will be at your own expense. If you need to do this, you can ask police, bus drivers, train station or tourist office personnel for assistance. Always carry your pass port and a copy of your Overnight Schedule with you! What happens if I Lose an Article? Neither Image Tours nor any company contracted through Image Tours shall be responsible for articles lost, stolen, left behind, confiscated or damaged. Such articles are rarely retrieved. We recommend you check to ensure you have all your possessions each time you leave a motor coach, hotel, restaurant, shop, and on all other occasions throughout your tour. Out of consideration for your fellow travelers, do not ask the driver/tour manager to wait or turn back to retrieve a lost article. Locating the owner of a "lost and found" item, brought to the attention of Image Tours, will be more likely if the owner reports the loss to their tour manager immediately. Upon receipt of payment for the shipping and handling (on average $75 per item) Image Tours will attempt to ship the item, with all retrieval and shipping costs being the responsibility of the owner, even when unsuccessful. How can I get Addresses of fellow Travelers? Image Tours respects the privacy of their tour partici pants. If you wish to contact fellow tour participants after the tour, be sure to ask them for their names and addresses during the tour. Image Tours will not be able to provide you with this information. What is the Weather like in Europe? The weather in Europe, like that in most places, is unpre dictable. While planning your wardrobe, imagine that you are planning a trip through the U.S.A. Season for season, the climate of the midwest is comparable to western and central Europe, and the climate in our southern states is comparable to southern Europe. Even in the summer, bring that warm sweater and a raincoat. Conversely, dur ing fall and winter, you may experience some warmer temperatures. Enjoying the sights, sounds and smells of Europe is in no way bound by seasons or the weather. So, whether guided by your calendar, or by your pocket book, pick the season that suits you best and capture the fun and enjoyment of an Image tour . . . in any season! ©2016 Image Tours, Inc. Physical Condition Guidelines Tour Pace and Walking Requirements: The pace of the tours featured in this brochure is considered 'ACTIVE'. Due to limited access for motor coaches to enter town centers, a fair amount of walking, commonly three to four miles per day, is required to take in the old world charm and sights. Consequently, these tours are a good fit for persons who can comfortably walk a mile in less than 30 minutes without shortness of breath or other physical discomfort. What if I am unable to keep up during the Tour? If you are unable to keep up with the group, the tour man ager will ask you to refrain from group activities and it will be your responsibility to be at the designated meeting point, at the stipulated time. If you have to purchase a re freshment in return for a place to sit or take a taxi to get to the meeting point, this will be at your own expense. The Motor Coach is Not Accessible During Free Time or Sightseeing Stops: During free time and at sightsee ing stops, all passengers must exit the motor coach. Staying on the parked motor coach is not an option. Physical Assistance: Tour and hotel personnel will not be available to lift or physically assist you at any time. If you require any type of support, you must bring a capable travel companion who can comfortably help you keep up with the pace of the tour. With an average of 40 participants, it is not possible for the tour manager and/or the motor coach driver to provide repetitive, special attention to any one tour member. The tour manager may ask a passenger to leave the tour if that passenger is unable to keep up with the pace of the tour to the extent that it impedes the safety or overall enjoy ment of that passenger or other tour members. In the event a passenger is asked to leave the tour, all resulting costs will be solely that passenger's responsibility. Wheelchairs or other Walking Devices: Image Tours does not recommend these tours for passen gers who require the use of a cane, walker, wheelchair or other walking assistance device, or for passengers who are considering the use of a walking assistance device while they travel. If this applies to you and you still decide to make a reservation request, please note the following: 1) A walker or similar walking assistance device is not practi- cal or safe on the tour due to motor coach entrances, uneven sidewalks, and cobblestone streets. You will need to leave it home and bring a wheelchair. If you regularly use a cane and feel confident that you will have no dif- ficulty sturdily and comfortably walking a mile in less ©2016 Image Tours, Inc. than 30 minutes (including steps), Image Tours still recommends bringing a wheelchair for back up. 2) You must be able to manage the steps of the motor coach independently. In Europe, the laws do not require motor coaches to be equipped with ramps/lifts, or hotels to offer provisions for the physically challenged. Please do not expect these facilities on our tours. 3) You must bring your own manual, folding wheelchair. Motorized wheelchairs are not allowed on the tour. 4) You must bring a capable travel companion (Image Tours recommends traveling with two or more capable com- panions for greatest success) who can confidently push the wheelchair and assist you in any way necessary to comfortably keep up with the tour pace. 5) At time of reservation you must obtain, complete and return a 'Request to Bring a Wheelchair' form (provided by Image Tours), signed by both you and your traveling companion(s). Requests will be subject to Image Tours' approval and availability of storage space. If the request is received after deposit and declined by Image Tours, the applicable cancellation penalties will apply. 6) The charge to store a wheelchair under the motor coach during the tour is USD $10.00 multiplied by the total number of tour days. This amount is to be paid with final payment for the tour. 7) Make sure you and your travel companion feel confident using a wheelchair outside your home before making a reservation. Passengers who are not comfortable using a wheelchair on a daily basis before the tour tend to be unable to successfully complete the tour. No credits or refunds will apply for missed sights, tour features, wheel- chair storage fees or optional excursions. Additional costs to keep up with the tour or return home early will be entirely the tour participant's responsibility. Oxygen or other Medical Devices: Oxygen tanks will not be permitted on the motor coach. Due to higher elevations and the tour's active pace, clients dependent on oxygen assistance devices should not take these tours. CPAP and other medical devices must fit within the "Baggage Allowances" for the tour. Under no circumstance does Image Tours, the airlines, the motor coach company, the tour manager, the hotels or any other service provider accept any responsibility or liability in connection with medical conditions, medical devices or any electronic devices. Geographical Elevations: Highest expected elevations, based on usual tour routings, are stated above the map for each itinerary and in the "Optional Excursions" descriptions. Image Tours accepts no liability for inaccuracies or variations. Tour Contract General: Upon full payment of the tour price by the participant, Image Tours, Inc., 2828 Kraft Ave. S.E., Grand Rapids, MI 49512, Ph: 616/957-1010, Fax: 616/957-0103, hereinafter referred to as Image Tours, agrees to secure the services specified in this brochure, subject to the terms, conditions and limitations contained in this contract. The participant agrees that if there are any corrections or changes, the correct information will prevail. Included: Consult "Included Features" on pages 8 and 9 and the itinerary for each tour. Not Included: All costs not included in "Included Features" on pages 8 and 9, for example, fees and charges for laun dry, beverages (except coffee, tea or milk with breakfast or when expressly specified), travel protection plans, in surance, optional excursions, passports, visas, inoculations, postage, phone calls, any items of a personal nature, or any other items or services the inclusion of which has not been expressly specified in this brochure. Also not included are any fees associated with (or in connec tion with) air transportation, including but not limited to seat assignment fees and baggage fees. Airlines, Tour Managers, Drivers, Accommodations: Image Tours strives to coordinate a pleasurable and memorable trip for all of its customers, but it must be remembered that all aspects of the tour, including but not limited to travel, accommodations and services, are furnished by independent companies which are not under the direct control of Image Tours. Driver/Tour Manager: As a general rule, Image Tours secures both a driver and a tour manager for each tour. Under certain circumstances, Image Tours may have the driver double as the tour manager. www.ImageTours.com Itinerary Deviations: Due to special circumstances (including but not limited to holidays, special events, seasonal schedule changes, weather, safety considerations, traffic delays and itinerary adjustments), some sights and stores may have reduced hours or may not be available. Under such circumstances or toward the improvement of the tour experience, Image Tours and the tour manager reserve the right to make changes in the itinerary or sights, at their sole discretion. Physical Condition Guidelines: You must read the "Physical Condition Guidelines" on page 67 before making a reservation in order to determine if these tours are a good fit for you. Reservations: Image Tours requires a signed Reservation Application and deposit for each participant within one week from the date the partici pant makes his/her reservation. A signed Reservation Application means that the participant has re viewed this Tour Contract and agrees to abide by its terms and conditions. Each participant must provide his/ her signed Reservation Application and a non-refundable deposit of $250 per person, plus the Image Tours Travel Protection Plan payment (if pur chased), to the travel agency whose name and address appear on the Reservation Application. Full payment is required for new reservations made within 100 days prior to departure. Final Payment: Final payment must be received by Image Tours at least 90 days prior to departure. Please Note: 1) After initial deposit, Image Tours accepts only one payment per person (one agency check, one credit card number or one wire transfer). No split or partial payments will be accepted. 2) Image Tours accepts Visa®, MasterCard®, or Discover when the card holder is a traveler on the same tour and date. 3) Up to 90 days prior to departure, the participant's travel agency may, at its sole discretion, accept payment by check, which must be made payable to the travel agency. Within 90 days prior to departure, participant must pay by Visa®, MasterCard®, Discover, or wire transfer. 4) Image Tours reserves the right to cancel a reservation for which it has not received payment by the due date, or when a check is returned due to insufficient funds. Cancellation penalties will apply. Price Guarantee: Image Tours will guarantee the Tour Only price after receiving the deposit and completed Reservation Application. Image Tours guarantees the Tour and Air Inclusive price after the reservation is paid in full. In order to guarantee the air price, Image Tours must have the flexibility to issue the air tickets any time after final payment. Subsequently, changes or cancellations after final payment are subject to the Image Tours "Cancellations" policy. Air Schedules: Prices are based on Economy Class fares. Air schedules will be provided after the Tour and Air Inclusive reservation is paid in full and tickets are issued. Some flight schedules require a transfer between La Guardia (LGA) Airport and New York (JFK) Airport. These transfers are not included in the tour price. Image Tours is not responsible for overnight stays or independent transfers occasioned by airline sched ules or delays. Airline baggage fees are not included and must be paid at the airport if charged by the air lines. Frequent Flyer Miles, luggage transfer service between flights, and pre-assigned seats may not be available. Air schedules are subject to ©2016 Image Tours, Inc. change at any time, and tour partici pants who cancel due to changes in airline or changes in flight schedule will be subject to the Image Tours "Cancellations" policy. A participant wishing to request a specific sched ule, airline, or upgrade must ask his/ her travel agent to check the cost and availability prior to final payment. The participant will be responsible for any price increases, change fees, pen alties, and airport/hotel transfer costs, as applicable. A participant should always check with his/her travel agent before purchasing an air ticket from another source. Image Tours does not recommend issuing air tickets un til 75 days prior to departure. Image Tours shall not be held liable for any fees, costs or penalties incurred for tickets purchased through another source, regardless of the reason. Airport Transfers: Refer to "Are Airport Transfers Included?" on page 64. Change Fees: After Image Tours receives the deposit, all changes, including but not limited to depar ture/return date (when the tour date remains the same), departure/ return city in U.S., arrival/return city in Europe, "Tour & Air Inclusive" to "Tour Only" and vice versa, and spelling of participant's name, are subject to avail ability and acceptance by Image Tours. Changes must be submitted in writ ing, and if confirmed by Image Tours, the following change fees will apply, in addition to any applicable increase in participant's price: 1) Prior to final payment, $100 per person. 2) After final payment, all changes are considered a cancellation and a new booking and are subject to the Image Tours "Cancellations" policy. Note: Tour changes (to a different tour date or itinerary), or name changes (substitutions) are always considered cancellations/new book ings and are subject to the Image Tours "Cancellations" policy. ©2016 Image Tours, Inc. Tour Contract Cancellations: Image Tours must receive written notification of cancellation. The date such notifica tion is received by Image Tours will determine the applicable cancella tion penalties. The following cancel lation penalties apply and will be retained by Image Tours: 1) More than 80 days prior to par- ticipant's scheduled departure date, a. Prior to final payment, $250 per person. b. After final payment, $250 per person plus all costs associated with the air transportation. 2) From 79 days to 1 day prior to participant's scheduled depar- ture date, a. Without a medical statement, 50% of the tour price plus all costs associated with the air transportation. b. With a valid medical statement (see "Medical Statement Requirements"), 25% of the tour price plus all costs associated with the air transportation. 3) Scheduled departure date and after, no refund. 4) No refund will be issued for any unused portions of a tour. Note: In case of cancellation by one of two persons sharing a room, a change to a single room for the remaining participant is subject to availability and confirmation by Image Tours. In most cases, it will not be possible to confirm a change to a single room within 50 days prior to departure. If Image Tours is able to confirm a single room, the remaining participant must pay the applicable single supplement. Also refer to "Are Single Rooms offered?" on page 63. Travel Protection Plans: For coverage of cancellation penal ties or missed days of the tour due to covered reasons, Image Tours highly recommends purchasing a travel protection plan. Please note that many health insurance providers do not cover customers while travel ing outside the USA. Look for travel protection plans that include cover age for travel accident and sickness, as well as luggage. Ask your travel agency for travel protection plan options or consider the Travel Protec tion Plan offered by Image Tours (see page 75). After purchase, the Travel Protection Plan is non-refundable. Medical Statement Requirements: To be eligible for the refund provision under sec tion 2) b of "Cancellations," it is your responsibility that Image Tours receives a valid medical statement, deemed acceptable to Image Tours, within six weeks of the date you were scheduled to leave. Otherwise, your cancellation will be processed in accordance with section 2) a of "Cancellations." A valid medical statement must meet all the following criteria: 1) A copy of the completed Attending Physician Statement required by the insurance provider (preferred) or a legible medical statement on the letter- head (including the address and phone number) of an attending licensed physician M.D. 2) Signed by the physician. 3) State specific dates the passen- ger is unable to travel. These dates must include the entire duration of the scheduled travel dates. 4) State a specific medical reason why the passenger was unable to travel, due to the illness of the participant or participant's travel companion. In case of death of the participant or participant's travel companion, or a member of participant's immediate family, namely spouse, child, brother, sister, parent, in-law, grandparent or grandchild, a copy of the death certificate is required. Baggage Allowances: 1) Suitcase - Motor Coach Allowance: Each participant is entitled to one suitcase during the tour. The suit- case cannot exceed 62 total linear inches (length + height + width, excluding wheels and handles), cannot exceed 12 inches on the shortest of the three measure- ments, and cannot exceed 50 lbs. (23 kgs.) in weight. This applies throughout the tour (please be considerate of the drivers and porters) and on your return trip as well (plan for shopping by packing lighter before you leave home). The following are a few examples of common luggage sizes currently on the market that fit the luggage allowances: 28" x 18.25" x 11.25" (57.5" linear) 28" x 21" x 10.5" (59.5" linear) 29" x 20" x 10" (59" linear) 29" x 20.5" x 12" (61.5" linear) 29" x 21" x 11" (61" linear) 29.5" x 22.5" x 10" (62" linear) Baggage space on the motor coach is limited, and we cannot comfortably accommodate more baggage. In fairness to all passengers, our tour managers are instructed to direct any participant with a suitcase exceeding the allowance to purchase a replacement bag on Day 2 of the tour and to leave the oversized bag behind or ask the hotel to ship it back home, entirely at the participant's own expense. If there is room on the motor coach, the tour manager may allow the oversized luggage, in which case the tour participant must pay the foreign currency equivalent of USD $10.00 per day to the tour manager at the beginning of the tour. If luggage weighs more than www.ImageTours.com Tour Contract 50 lbs., the tour participant will be required to carry his/her own luggage between the motor coach and hotel room. Baggage Size Allowances 2) Suitcase - Airline Allowance: Airline baggage allowances may differ from the Motor Coach Allowance. Airline baggage fee policies are changing frequently and are inconsistent between carriers. Airline baggage fees are not included and, if charged, the passenger is responsible to pay any applicable baggage fees directly to the airline at time of check in. To minimize (and pos sibly avoid) baggage fees, Image Tours recommends you follow the same checked baggage allowance for air travel as out lined for the motor coach (#1 of this section), namely one suitcase not to exceed 50 lbs. and 62 linear inches. 3) Carry-on - Motor Coach/ Airline Allowance: Each passenger is entitled to one carry-on. The carry-on may not exceed 15 lbs. and must fit in the space under your seat on the motor coach. This space mea sures 15" x 12" x 7". In addition, each participant may carry a coat over their arm, a camera or small purse over their shoulder, and a magazine or book in their hand. For safety and storage allowance considerations, wheeled carry-on bags are not suitable. You will not be able to store your carry-on in the suit case compartment under the bus, during the tour. Baggage Loss or Damage: Baggage loss or damage sustained while in the custody of an airline, hotel, bus company, or transfer company is not the responsibility of Image Tours. Airline liability for pas sengers' baggage is stated on the passenger contract included in the Trip Documents Packet, or a statement can be found on file for inspection at the offices of the airline or on the airline's website. The airline's liability shall in no event exceed the actual loss incurred by the passenger, subject to proof of the amount of the loss. What to do in case of damage or loss by an airline: The participant must report the loss or damage im mediately (while still at the airport) to the airline in question for two reasons: a) Most airlines require im mediate claims or they will not ac cept them. b) Insurance companies have the right to void any claim that is not reported immediately. Responsibility of the Airlines: The airlines are not held responsible for any acts, omissions, or events during the time the passengers are not on board their aircraft or convey ances. The passenger's contract in use by the airlines, when issued, shall constitute the sole contract between the airline and the passenger. Any and/or all transportation companies shall have or incur no responsibil ity for liability to any traveler aside from their liability as common carri ers. Services performed and tickets issued by the air carrier are subject to rules and regulations relating to liabilities established by the Warsaw and Montreal Conventions and the terms and conditions of the airline contract. ©2016 Image Tours, Inc. Hazardous Materials Notice: Federal law forbids the carriage of hazardous materials aboard aircraft in your luggage or on your person. A violation can result in five years' imprisonment and penalties of $250,000 or more (49 U.S.C. 5124). Hazardous materials include explo sives, compressed gases, flammable liquids and solids, oxidizers, poisons, corrosives and radioactive materi als. Examples: paints, lighter fluid, fireworks, tear gases, oxygen bottles and radiopharmaceuticals. There are special exceptions for small quantities (up to 70 ounces total) of medicinal and toilet articles carried in your luggage and certain smok ing materials carried on your per son. For further information, review the prohibited items webpage on the TSA website: www.tsa.gov. Cancellation by Image Tours: Image Tours reserves the right to cancel a tour at any time for any reason, and its liability shall be limited to a refund in full of only those moneys it has received from or on behalf of the participant. If the air ticket is purchased through any source other than Image Tours, it is the purchaser's responsibility to become familiar with the penal ties and restrictions. In the event of a cancellation or date change, Image Tours shall not be held liable for any penalties incurred from the cancellation or change of the air ticket. Therefore, we recommend tickets not be issued until 75 days or less prior to departure. Cancella tions by a group, due to insufficient group participation or for any other reason, will be subject to the Image Tours "Cancellations" policy. Responsibility: Image Tours, Inc., its employees, shareholders, sub sidiaries, affiliates, officers and directors (collectively "Image Tours") does not own or operate any entity which is to provide or does provide goods or services for your trip, ©2016 Image Tours, Inc. Tour Contract including, for example, lodging facilities, transportation companies, local ground handlers, tour opera tors, food service or entertainment providers, etc. As a result, Image Tours is not liable for any negligent or willful act or failure to act of any such person, or of any other third party not under its control. With out limiting the foregoing, Image Tours accepts no responsibility for any risk or resulting injury, delay, inconvenience, damage, or death which results from criminal activ ity, accidents, disease, epidemics or the threat thereof, illness, the provision of inappropriate or no medical attention or the lack of access to same, the demands of indoor or outdoor activities, strikes, political or civil unrest, overbook ing, structural or other defective conditions in hotels or other lodg ing facilities, acts of terrorism or the threat thereof, insurrection or revolt, weather, acts of God or any other events or circumstances beyond its control. In addition, Image Tours is not responsible for typographical or substantive errors in descriptions of hotels or programs. Travel Advisories and Warnings and Health Alerts: It is the responsibility of the traveler to become informed about current travel advisories and warnings. Refer to the U. S. State Department's travel website at ww.travel.state.gov or call 1-888-407-4747. For health alerts, refer to the Centers for Disease Control website at ww.cdc.gov or call 1-800-232-4636. Traveler's Representation: The traveler represents that neither he nor she nor anyone traveling with him or her has any physical or other condition or disability that could create a hazard to himself or herself or other members of the tour. Image Tours reserves the right to decline, to accept or retain any person as a member of the tour at any time prior to departure, or in the course of the tour, should such participant's health, mental condi tion, physical infirmity or general deportment impede, in Image Tours' judgment, the operation of the tour or the rights, welfare or enjoyment of other tour participants, and all resulting costs will be the responsi bility of the participant. Entire Agreement: Participant warrants that no promises or in ducements have been offered for this agreement other than as set forth herein and that this agree ment is executed without reliance upon any other promises or repre sentations. No modification, termi nation or attempted waiver of this Tour Contract shall be valid unless in writing and signed by the partici pant and an officer of Image Tours. Arbitration Agreement: Any controversy or claim arising out of or relating to this Tour Contract, to the brochure or to any informa tion relating in any way to the trip, or to the tour itself, shall be settled solely and exclusively by bind ing arbitration in Grand Rapids, Michigan in accordance with the then existent commercial rules of the American Arbitration Associa tion. In any such arbitration, the substantive (but not procedural) law of Michigan shall apply. The arbitrator and not any federal, state, or local court or agency shall have exclusive authority to resolve any dispute relating to the interpreta tion, applicability, enforceability, conscionability or formation of this contract, including but not limited to any claim that all or any part of this contract is void or voidable. Payment to Image Tours, Inc., or toward an Image Tours, Inc. tour, constitutes your acceptance of the Tour Contract as set out here. * • • • 2 0 1 7 R E S E RVAT I O N A P P L I C AT I O N (Fill out a separate application for each traveler. Duplicate form is on reverse side) NAME OF TOUR: _____________________________________________________ TOUR & AIR TOUR ONLY TOUR DEPARTURE DATE:_________________________________ DEPARTURE CITY:___________________________ EARLY DEPARTURE/LATER RETURN/EXTENSION REQUESTS (please indicate extension hotel requests, if applicable): _____________________________________________________________________________________ [x] A Reservation Application and signature is required for EACH person traveling (duplicate form on reverse). [x] Type or print name exactly as it appears/will appear in your passport. Yes, we do need the Birth Date for each participant. NAME: ___________________________________ /_________________________ /____________________________________________ (as appears in passport) (First Name) (Middle Name) (Last Name) ADDRESS: _____________________________________________________ /____________________________/_____/______________ (No. & Street) (City) (State) (Zip Code) PH:_________/___________________________/__________________________ EMAIL ADDRESS: ___________________________ (Area Code) (Home) (Alternate) (Optional) GENDER: MALE FEMALE BIRTH DATE: _________________PLACE OF BIRTH:__________________________ (Month/Day/Year) (State and/or Country) CITIZENSHIP (Country):____________________ PASSPORT NO:________________________EXP. DATE:________________ (Passport must be valid for at least 6 months after return date. You may leave line above blank and advise when you receive your passport.) NAME OF PHYSICIAN(optional): _______________________________________________________ PH:_____ /_________________ EMERGENCY CONTACT:__________________________________RELATION: _________________PH:_____ /_________________ ROOMMATE'S NAME: _______________________________________ ROOM TYPE: 1 DOUBLE BED 2 TWIN BEDS TRIPLE SINGLE ROOM - If this box is checked, additional paperwork is required. Please read ‘Are Single Rooms offered?’ on page 63. NAME(S) OF TRAVELING COMPANION(S) (if applicable): _________________________________________________________ Travel Protection Plan (Please check one of the options within this box. The Plan only covers U.S. citizens or residents.) Review the “Description of Coverage” at www.tripmate.com/wpF432i I wish to purchase the Image Tours Travel Protection Plan and have included the payment with my deposit. I wish to decline the Travel Protection Plan offered through Image Tours, Inc. Initial to acknowledge you understand that Federal law prohibits the carriage of certain hazardous materials aboard aircraft in your luggage or on your person and could result in a fine. (See “Hazardous Materials Notice” on page 71 ). Please select only one of the following payment options for deposit: My payment information is noted with my travel companion’s payment information Enclosed is my non-refundable deposit (and Travel Protection Plan payment if applicable). Make checks payable to travel agency . Please charge $________ (only non-refundable deposit and Travel Protection Plan payment) to my Discover/Visa®/MasterCard® Important: For full or final payments, request a Final Invoice for credit card authorization. Exp. Date: _____________ Account #: ___________________________________________CVC#__________________ Billing Address if different than above: ___________________________________________________________________ I have read the IMAGE TOURS BROCHURE pertaining to this tour and I understand and accept its contents, including FAQ, Physical Condition Guidelines, and Tour Contract. Tour & Air Inclusive Price is subject to change until paid in full. To view the brochure online, go to www.ImageTours.com/europebrochure SIGNATURE OF PERSON TRAVELING: _________________________________________________________________ (Please sign full name as it appears / will appear in your passport. If traveler is under 18, legal guardian must also sign.) PRINT & SIGN CARD HOLDER’S NAME (if different than above): ____________________________________________ I FOUND OUT ABOUT THE TOUR FROM: _______________________________________________________________ (Name of Newspaper, Direct Mailer, specific Website, Internet Search, TV Station, or specify other source) TRAVEL AGENT: Travel Agency Name & Address PLEASE COMPLETE THE INFORMATION BELOW AND IN THE BOX! Res ID:_______________ IATAN #:___________________ Ph:_____________________Fax:______________________ Agent's Full Name:__________________________________ Agent's Email Address: ______________________________ ©2016 Image Tours, Inc.
Vilma Sousa Santana I Maria Claudia Peres Moura I Flávia Ferreira e Nogueira II I Programa Integrado em Saúde Ambiental e do Trabalhador. Instituto de Saúde Coletiva Universidade Federal da Bahia. Salvador, BA, Brasill II Programa de Pós-Graduação em Saúde Coletiva. Instituto de Saúde Coletiva. Universidade Federal da Bahia. Salvador, BA, Brasil Correspondence: Vilma Sousa Santana Instituto de Saúde Coletiva Campus Universitário do Canela Rua Augusto Vianna, s/n 2º andar 40110-040 Salvador, BA, Brasil E-mail: email@example.com Received: 4/13/2012 Approved: 10/27/2012 Article available from: www.scielo.br/rsp Occupational pesticide poisoning, 2000-2009, Brazil ABSTRACT OBJECTIVE: To estimate the mortality rate due to occupational pesticide poisoning in Brazil. METHODS: Data on diagnoses of death from pesticide poisoning between 2000 and 2009 were obtained from the Mortality Information System. ICD-10 codes T60.0-T60.4, T60.8 and T60.9, Y18, X487 and Z578 as the main or secondary cause of death; data on work-related deaths were obtained from the death certificate, from the fields <work related accident>, <circumstances of death> and whether cases were agricultural workers. Homicides and suicides were excluded. To calculate mortality, the number of agricultural workers was obtained from the Brazilian Institute of Geography and Statistics, National System of Accounts estimates. RESULTS: There were 2,052 deaths recorded as caused by pesticide poisoning in Brazil, between 2000 and 2009, of which 36.2% (n = 743) had no occupation data. Of the remaining 1,309, 679 (51.9%) were agricultural workers. Mortality from occupational pesticide poisoning declined from 0.56/100.000 (2000-2001) to 0.39/100.000 (2008-2009) workers during the study period, and there was a larger decrease among men compared with women. Males had a higher mortality from this type of poisoning than women in all study years. Most deaths were caused by organophosphates and carbamate pesticides poisoning. During the study period the number of cases declined in all regions, except for the Northeast. CONCLUSIONS: Improvement in the quality of Death Certificate records is needed, particularly for occupation and the assessment of causes of death as work related, crucial for work injuries control and prevention programs. Special attention is required in the Northeast region. DESCRIPTORS: Pesticides, poisoning. Occupational Mortality. Accidents, Occupational. Occupational Exposure. Working Conditions. Occupational Health. INTRODUCTION Brazil is one of the world's principal agricultural producers. According to the 2006 Agricultural Census, there were 5.17 million agricultural companies, a total of 329.94 million hectares. This is reflected in the large demand for and consumption of chemical products or compounds named pesticides. In 2008, the country became the world's largest consumer of pesticides and was responsible for 86% of Latin America consumption. The term "agrotóxico" (pesticide) was adopted in Brazil through Federal Law nº 7,802/1989, regulated by Decree nº 4,074/2002, and refers to any chemical compounds aimed to control, destruct or prevent, directly or indirectly, substances pathogenic to plants and animals useful to humans. Pesticides may take the form of herbicides, fungicides, rodenticides, nematicides, acaricides, molluscicides, termiticides, growth regulators and inhibitors, fumigants, fertilizers, wood preservatives and certain veterinary products. The most commonly used substances are organophosphates, carbamates and halogens. 13 Pesticides affect the health of those who consume agricultural or contaminated products, live in areas close to agricultural or pesticide production or are affected by crop spraying, and exposed workers. Occupational exposure to pesticides is related to trades as diverse as public health, the timber industry or related to the production of such substances. Agricultural workers may have contact with these products by working in: tilling, sowing, irrigation, plant care, harvest, storing and packaging products, soil fertilization, pest control, animal care, animal healthcare when veterinary substances are used, and others. 4 Pesticide poisoning may occur in the workplace, while travelling to work, or during work-related journeys, due to ingestion, inhalation or skin absorption, and can be classified as intentional or non-intentional. The majority of pesticide poisoning cases occur among agricultural workers. 18,11 Work-related pesticide exposure is a public health problem, 9 therefore subject to health surveillance and monitoring. cause) as 9.2/100,000, which fell to 1.8/100,000 when only autopsy-confirmed diagnoses were considered. In England, deaths from acute pesticide poisoning were identified using data for 1989-1992 from various health information systems. Almost one quarter of cases (24.3%) was classified as occupational and 79 deaths were recognized as caused by acute work-related pesticide poisoning. However, records from the Health and Safety Executive, responsible for legal notifications, revealed only one case.16 Large underreporting of cases has also been reported in other countries. In the USA, a specific notification system – Sentinel Event Notification System for Occupational Risks-Pesticides (SENSORPesticides) was set up in 1998 to monitor pesticide poisoning. Between 1998 and 2005, from all 3,271 registered cases only one fatality was recorded.2 Using data from the California Pesticide Illness Surveillance Program (PISP) between 1994 and 1996, the mortality rate from occupational pesticide poisoning was estimated at 0.024/100,000 person-years. 11 With few records, reports on the factors associated with occupational poisoning are rare. However, there is evidence that male workers, 11,16,18 aged between 15-19, have a higher mortality rate from occupational pesticide poisoning than other workers. Crop spraying and the use of paraquat were more common among registered cases 18 Little epidemiological data is available on mortality or morbidity due to occupational pesticide poisoning. In some reviews, 3,9 this lack of data has been found in emerging countries, where the control of the commercialization and use of these products are poorly implemented or less effective. Studies on mortality are even rarer and very distinct patterns may be seen across different countries. In Costa Rica, using data from 1980 to 1986, Wesseling et al 18 (1993) estimated the annual mortality related to occupational pesticide poisoning (probable No mortality estimates due to occupational pesticide poisoning have been found for Brazil. Bochner1 (2007) analyzed data for 1986-2003 from the Pharmacological Toxic National Information System (SINITOX) for the entire country. She found 3,012 deaths caused by pesticide poisoning in general, and estimated a 1.58/1,000,000 mortality, higher in the Midwest (3.1), Northeast (2.7) and South (2.2) regions respectively. There were only 25 cases recognized and recorded as work related.1 Another useful data source is the death certificate, which, since 1997, has incorporated a specific field for recording whether each external cause death is work-related, although this is not commonly analyzed. The aim of this study is to estimate occupational pesticide poisoning mortality in Brazil. METHODS The study was carried out using data from death certificates from 2000 through 2009 using the Mortality Information System (SIM), available at Datasus, b which enables the extraction of anonymous individual data. a Instituto Brasileiro de Geografia e Estatística, Sala de Imprensa. Notícias: IDS 2010: país evolui em indicadores de sustentabilidade. Rio de Janeiro; 2010. [cited 2013 May 14]. Available from: http://saladeimprensa.ibge.gov.br/noticias?view=noticia&id=1&busca=1&idnoticia=1703 b Ministério da Saúde, Datasus. Informações de saúde: mortalidade: download de arquivos – CID 10. Brasília (DF); 2011 [cited 2013 May 14]. Available from: http://tabnet.datasus.gov.br/cgi/sim/dados/cid10_indice.htm The study population comprises all active workers from the trade group known as the Agricultural Sector of the National Classification of Economic Trades (CNAE): 0101 – Agriculture, forestry and logging; and 0102 – Livestock and fishing. The population data comes from the Brazilian Institute of Geography and Statistics (IBGE), National Accounts System (SCN), c which provides estimates of the number of active workers according to trades and calendar year. Adjustments were made to account for inconsistencies between these estimates and data from the 2006 Agricultural Census. Poisoning due to non-intentional exposure to pesticides is coded in the International Classification of Diseases (ICD-10ª Rev.) as: T60.0 organophosphate and carbamate insecticides, T60.1 halogenated insecticides, T60.2 other insecticides, T60.3 herbicides and fungicides, T60.4 rodenticides, T60.8 other pesticides and T60.9 unspecified pesticides (Chapter XIX). From Chapter XX, we used: all codes of the X48 group, that correspond to accidental poisoning [intoxication] from exposure to pesticides, Y18 poisoning/intoxication due to exposure to pesticide poisoning of undetermined intent, and the Z57.8 code for occupational exposure to toxic agents in agriculture. Cases of intentional poisoning, such as homicides or suicides, were not considered, although cases of self-inflicted poisoning are recognized as potentially related to occupational pesticide poisoning. 9 The main cause of death and the five associated causes recorded on SIM were all checked, either in isolation or linked with other diagnoses. In addition to ICD-10 a codes, to select study cases we used data recorded in the "work-related" (yes/no), and "circumstances of death" fields (1 = accidental, 2 = suicide, 3 = homicide, 4 = other, 9 = ignored). We defined cases of occupational pesticide deaths as those who had the main or associated cause of death classified within the selected ICD-10ª codes, were identified as work-related, or where the circumstance of death recorded as "accidental", and worked in the Agriculture (Group 6), according to the Brazilian Occupation Classification 2002. They correspond to occupations related to agriculture, silviculture, aquaculture, forestry, hunting, livestock and fisheries. Descriptive variables were: sex, age group (< 15; 15 to 24; 25 to 44; 45 to 59; > 60 years old), state, region, year of death and specific ICD-10ª code. Mortality was calculated yearly and in two-year periods to better visualize trends. The number of fatal cases was divided by the total number of agricultural workers in the corresponding year or period and multiplied by 100,000. Statistical tests were not applicable because census data was used, and the study purpose was descriptive. Missing data was imputed using other records from the same individual. For instance, missing data of the state was identified using the municipality code where the death occurred. Data were analyzed with SAS 9.2 and Excel spreadsheets RESULTS There were 2,052 deaths by pesticide poisoning in the SIM database between 2000 and 2009, of which 36.2% contained no information on occupation. When this information was available, 51.9% were identified as agricultural workers. Of these, 5.6% were recorded on the death certificate as work-related injuries, and all of them were coded as "accidental" in the <circumstances of death> field. However, 7.2% of those considered "accidental" were not registered as work-related injury. Valid records (yes; no) for the <work-related injury> field were identified in only 15.5% of the cases selected for this study. The majority (47.8%) of main cause diagnoses were coded within the pesticide poisoning of undetermined intention (Y18) or undetermined location (Y18.9) (34.3%). The group of accidental pesticide poisoning (X48.0) (27.5%) was the second most common, with the highest proportion of diagnoses recorded "in a non-specified location" (X48.9) (14.3%). Only 30% of the cases had a diagnosis of pesticide poisoning as the associated cause in line "a", 9.6% identified chemical substances, especially organophosphates and carbamates (T60.0) (56.9% of the cases classified in group T60). For the other associated causes, the pattern of diagnosis was similar to the one found for the main cause, with a large proportion of cases coded as of undetermined intention and in an unspecified location. The other associated cause data did not reveal any relevant patterns. There were no missing data for the underlying cause of death diagnosis (Table 1). In all of the two-year periods considered, most cases occurred in men aged 25 to 44, in the Northeast region of the country. Between 2000-2001 and 2008-2009, the absolute number of deaths by occupational pesticide poisoning in Brazil decreased from 162 to 112, a 30% fall (Table 2). This decline was found in all categories of the variables analyzed, except for an increase (19.2%) amongst those aged 60 and over, and the disappearance, from 2006-2007 onwards, of cases amongst the under 15s. The reduction in the number of deaths from occupational pesticide poisoning occurred in all regions except for the Northeast, where there was no change during the study time. The occupational pesticide poisoning mortality fell from 0.56/100,000 workers in 2000-2001 to 0.39/100,000 in 2008-2009. Amongst males, Table 1. Distribution of diagnoses of underlying and associated causes of death by occupational pesticide poisoning among agricultural workers. Brazil, 2000 to 2009. Source: Ministry of Health. Mortality Information System, 2000 to 2009. this decrease was from 0.67/100,000 workers to 0.47/100,000, whereas the variation for women was from 0.29/100,000 to 0.21/100,000, less (27.6%) than the male estimate (29.9%). Men had a higher risk of dying from occupational pesticide poisoning compared to women throughout the study period, with the smallest difference occurring in the last two-year period (2008 to 2009) (Figure 1). DISCUSSION There was a large variation in the occupational pesticide poisoning mortality in 2009, with Mato Grosso do Sul being the state with the highest mortality (1.42/100,000 agricultural workers), followed by Rio de Janeiro (1.27/100,000), Acre (1.00/100,000), Goiás (0.72/100,000) and Espírito Santo (0.63/100,000), whereas no deaths were recorded in Amapá, Roraima, Rondônia, Sergipe, Rio Grande do Norte, Mato Grosso, Santa Catarina and the Federal District (Figure 2). In Brazil, between 2000 and 2009, 679 agricultural workers died from occupational pesticide poisoning. This significant number may be even higher, considering the large number of death certificates lacking information about occupation, work-relatedness or circumstance of death. There was a declining trend in the number of deaths due to occupational pesticide poisoning over the study period, especially amongst men, workers under 24 years old and in the Midwest and Southeast regions of the country. A similar pattern was observed for mortality, which fell during the study time, and was higher amongst men than women. The most common occupational pesticide poisonings were related to organophosphates and carbamates. Men (male to female ratio of 5:1), people aged 25 to 44 and those resident in the Northeast region prevailed amongst the recorded study cases. \| \| 2000/2001 \| 2002/2003 \| 2004/2005 \| 2006/2007 \| \|---\|---\|---\|---\|---\| \| Male \| 0.67 \| 0.55 \| 0.57 \| 0.45 \| \| Female \| 0.29 \| 0.29 \| 0.29 \| 0.16 \| \| Total \| 0.56 \| 0.47 \| 0.49 \| 0.37 \| Source: Ministry of Health. Mortality Information, 2000-2009, National Household Survey – Pesquisa Nacional por Amostra de Domicílio (PNAD)/ Instituto Brasileiro de Geografia e Estatística (IBGE) 2000-2009. Mortality coefficients per 100,000 in brackets. PR: Paraná (0.18); SC: Santa Catarina (0.00); RS: Rio Grande do Sul (0.49); MG: Minas Gerais (0.47); SP: São Paulo (0.33); ES: Espírito Santo (0.63); RJ: Rio de Janeiro (1.27); MT: Mato Grosso (0.00); GO: Goiás (0.72); DF: Distrito Federal (0.00); MS: Mato Grosso do Sul (1.42); MA: Maranhão (0.30); PI: Piauí (0.12); CE: Ceará (0.35); RN: Rio Grande do Norte (0.00); PB: Paraíba (0.41); PE: Pernambuco (0.74); AL: Alagoas (0.22); SE: Sergipe (0.00); BA: Bahia (0.26); AC: Acre (1.0); AM: Amazonas (0.37); RO: Rondônia (0.00); TO: Tocantins (0.57); AP: Amapá (0.00); PA: Pará (0.50); RR: Roraima (0.00) Source: Ministry of Health. Mortality Information System, 2009. National Accounting/Instituto Brasileiro de Geografia e Estatística (IBGE), 2008. The occupational pesticide poisoning mortality in the agricultural trade (0.39/100,000 in 2008-2009) found here is lower than the 1980s estimate for Costa Rica, 18 from over 30 years ago. However, it is higher than the 1994 to 1996 results for California (0.024/100,000 person-year mortality in the general population), 11 even considering differences in the nature of the population, not limited to workers, the measure of mortality, and the data source. While we use death certificates, the Californian study data came from a specific pesticide monitoring system, with greater potential for case identification. We estimate mortality in contrast with the Californian study, which used mortality rate based on person-time; and the study population was not composed exclusively of agricultural workers. Studies in India, 12 South Korea 10 or for the total population of the United States 2 have found between 1 and 3 cases, which did not justify mortality estimates. Also in the USA, in a prospective cohort study of more than 57,000 workers potentially exposed to pesticides, and their wives, who composed a referent group, the pesticide-related mortality was not estimated due to small numbers. 17 Figure 2. Mortality coefficients (MC/100,000) by occupational pesticide poisoning, by state, 2009. Although the occupational pesticide poisoning mortality may be considered low in Brazil, it is higher when compared to the findings from other countries. This is not surprising, given the high level of pesticide use in the country and the poor compliance with norms related to workers' health and safety, especially amongst rural workers. 5,7 However, the decreasing number of cases and mortality especially in the South and Southeast is encouraging, suggesting improvements in the Table 2. Number and percentage of deaths due to occupational pesticide poisoning among agricultural workers, according to sex, age and region. Brazil, 2000 to 2009. (N = 679) Source: Ministry of Health. Mortality Information, 2000-2009, National Household Survey – Pesquisa Nacional por Amostra de Domicílio (PNAD)/ Instituto Brasileiro de Geografia e Estatística (IBGE) 2000-2009. effectiveness of prevention and control interventions. There has been a significant extension of workers' health care, as part of the SUS implementation, particularly with the growth of the Environmental Health Surveillance and the number of Referral Center for Workers' Health (CEREST). These centers comprise part of the Workers Integral Health Care Network (RENAST), d which has been under expansion in every state. In addition, there have been important debates on environmental health and pesticides policies, highlighting food contamination, workers' exposure and its health effects, 5,7 as well as the economic impact. 15 Studies conducted with samples of rural workers reveal high levels of pesticide poisoning, either perceived 5 or measured through biological tests. 7,15 workers. We know these are more likely to be informal workers, with low levels of education and little access to healthcare and social protection. The fall in occupational pesticide poisoning mortality was lower amongst women, in contrast to the higher decline of the total work-related injuries mortality in women. e The sex difference is smaller for deaths due to occupational pesticide poisoning, when compared with all fatal work-related injuries, usually to the order of 10. Women working in agriculture may be in a more vulnerable condition, which could be a result of low access to protective measures and less knowledge about the pesticide effects on health, amongst other factors, as reported by Faria et al 5 (2004). The situation in the Northeast is worrying and requires urgent attention from the healthcare authorities. In this region, there was a higher proportion of cases recorded on death certificates, and the number of fatal occupational pesticide poisonings did not decline over the study period. It is possible that this is due to improvements in the quality of death certificate recording, but we cannot rule out the opposite, an increasing number of cases resulting from greater exposure and/or unsafe conditions related to pesticides amongst agricultural Conclusions based on the findings from this study should be viewed with caution, due to the large number of losses from the lack of occupation data and the possible underreporting of study cases. This is especially worrying, since it concerns agricultural workers who are in the majority in rural areas, where access to healthcare services and the quality of healthcare information are poorer than in urban areas. Since deaths from exogenous poisoning are violent deaths, it is possible that those responsible for completing the d Santana VS, Silva JM. Os 20 anos da saúde do trabalhador no SUS. Brasília (DF): Ministério da Saúde; 2009. (Série Saúde Brasil). Available from: http://bvsms.saude.gov.br/bvs/publicacoes/saude_brasil_2008.pdf e Universidade Federal da Bahia, Instituto de Saúde Coletiva, Centro Colaborador em Vigilância dos Acidentes de Trabalho, Programa Integrado em Saúde Ambiental e do Trabalhador. Acidentes fatais no Brasil 2000-2010. Bol Epidemiol Acid Trab. 2011;1(1):1-4. Available from: http://www.2pontos.net/preview/pisat/hp/upload/boletim_1_final_3.pdf death certificates are reluctant to record data about the cause, because of its legal implications. The recording of occupational causes of death implies the responsibility of employers and may lead to pressure for it to be omitted. Evidence of this is seen in the high proportion of cases classified as of undetermined intention and unspecified location found in this study. However, our definition of occupational pesticide poisoning based on the occupation of the deceased worker, the use of all ICD-10 codes related to pesticides, the main cause of death and all five associated causes available, in isolation or in combination, should have avoided, or at least substantially reduced cases undercounting. The underreporting of the work relatedness of injuries is a problem commonly found in Brazil and other countries. 8 This could have been reduced by the adoption of a presumed occupational causal relation as used in this study, supported by the obvious relationship between working in agriculture and work-related exposure to pesticides. 5,7,14,15 There was a large proportion of lost occupation data, a variable used to identify our study cases. The fatal pesticide poisoning cases with missing occupation data could ultimately be agricultural workers, thus increasing our mortality estimates. In 2006, changes were introduced in the structure of the death certificate form, which may have affected the recording quality of causes of death related to this type of poisonings. Although we did not find estimates of underreporting of deaths from work-related poisoning, for all non-fatal occupational injuries in rural Rio Grande do Sul it was estimated as 91%. 5,6 This study highlights the importance of SIM data in monitoring workers' health, especially for work-related injuries from 1997 onwards although these data has not been frequently used in epidemiological studies. Death certificate data need to be more commonly analyzed to generate the knowledge required for prevention programs tailored to the local context. Rural workers have been targeted in epidemiological research in Brazil but this is the first national study of occupational pesticide poisoning mortality that covers all workers, both the formal (insured) and the informal (uninsured). In fact, no cases of occupational pesticide poisoning deaths can be found in the Social Security compensation database, because it does not use the Chapter XX codes of ICD-10 a , for external causes. One of the most important, and as yet unanswered, questions on this topic concerns the circumstances in which these poisonings occur, which could be useful in guiding the development of prevention programs and understanding the role gender plays in occupational pesticide poisoning. Studies using data from the National System of Notifiable Diseases (SINAN) may be able to further explore such questions, based on national data. Documents reviewing successful prevention experiences demonstrate that the most important actions to reduce pesticide poisoning mortality target the banning of pesticides, especially those classified as Class I and II pesticides by the World Health Organization (WHO). 4 These pesticides have been replaced by others, less toxic and polluting, based on biological control or even on the manual removal of pests, 4 measures that impact on the health of workers, consumers and the environment. In addition to more effective control norms, healthcare professionals could receive better training focusing on the identification and treatment of cases and healthcare surveillance, with an emphasis on prevention and control. It is important to disseminate knowledge and practices for the secure storage and handling of pesticides, since this is the most immediate way of preventing deaths and the other serious effects of pesticide poisoning. The safe use of pesticides has been questioned widely, suggesting that their elimination is viable. Pressure on the manufacturers of these products to use less toxic substances, as well as incentives to adopt economically sustainable development models, are recommended. REFERENCES 1. Bochner R. Sistema Nacional de Informações Tóxico-Farmacológicas SINITOX e as intoxicações humanas por agrotóxicos no Brasil. Cienc Saude Coletiva. 2007;12(1):73-89. DOI:10.1590/S1413-81232007000100012 2. Calvert GM, Karnik J, Mehler L, Beckman J, Morrissey B, Sievert J, et al. Acute pesticide poisoning among agricultural workers in the United States, 1998-2005. Am J Ind Med. 2008;51(12):883-98. DOI:10.1002/ajim.20623 3. Eddleston M, Karalliedde L, Buckley N, Fernando R, Hutchinson G, Isbister G, et al. Pesticide poisoning in the developing world: a minimum pesticides list. Lancet. 2002;360(9340):1163-7. 4. Fait A, Iversen B, Tiramani M, Visentin S, Maroni M. Preventing health risks from the use of pesticide in agriculture. Geneva: WHO/International Centre for Pesticide Safety; 2001. (Protecting Workers Health Series, 1). 5. Faria NMX, Facchini LA, Fassa AG, Tomasi E. Trabalho rural e intoxicações por agrotóxicos. Cad Saude Publica. 2004;20(5):1298-308. DOI:10.1590/S0102-311X2004000500024 6. Faria NMX, Fassa AG, Facchini LA. Intoxicação por agrotóxicos no Brasil: os sistemas oficiais de informação e desafios para realização de estudos epidemiológicos. Cienc Saude Coletiva. 2007;12(1):25-38. DOI:10.1590/S1413-81232007000100008 7. Faria NMX, Rosa JAR, Facchini LA. Poisoning by pesticides among family fruit farmers, Bento Gonçalves, Southern Brazil. Rev Saude Publica. 2009;43(2):335-44. DOI:10.1590/S0034-89102009005000014 9. Konradsen F. Acute pesticide poisoning: a global public health. Dan Med Bull. 2007;54(1):58-9. 10. Lee SJ, Kim I, Ryou H, Lee KS, Kwon YJ. Workrelated injuries and fatalities among farmers in South Korea. Am J Ind Med. 2012;55(1):76:83. DOI:10.1002/ajim.21016 11. Mehler LN, Schenker MB, Romano PS, Samuels S. California surveillance for pesticide-related illness and injury: coverage, bias, and limitations. J Agromedicine. 2006;11(2):67-79. DOI:10.1300/J096v11n02_10 12. Patel SK, Varma MR, Kumar A. Agricultural injuries in Etawah district of Uttar Pradesh in India. Saf Sci. 2010;48(2):222-9. DOI:10.1016/j.ssci.2009.08.003 13. Peres F, Moreira JC, Dubois GS. Agrotóxicos, saúde e ambiente: uma introdução ao tema. In: Peres F, Moreira JC, organizadores. É veneno ou remédio? Rio de Janeiro: FIOCRUZ; 2003. p.21-41. 14. Soares W, Almeida RMVR, Moro S. Trabalho rural e fatores de risco associados ao regime de uso de agrotóxico em Minas Gerais, Brasil. Cad Saude Publica. 2003;19(4):1117-27. DOI:10.1590/S0102-311X2003000400033 15. Soares Wl, Porto MFS. Estimating the social cost of pesticide use: an assessment from acute poisoning in Brazil. Ecol Econ. 2009;68(10):2721-8. DOI:10.1016/j.ecolecon.2009.05.008 16. Thompson JP, Casey PB, Vale JA. Pesticide incidents reported to the Health Safety Executive 1989/90 – 1991/92. Hum Exp Toxicol. 1995;14(8):630-3. DOI:10.1177/096032719501400802 8. Hämäläinen P, Saarela KL, Takala J. Global trend according to estimated number of occupational accidents and fatal work-related diseases at region and country level. J Safety Res. 2009:40(2):125-39. DOI:10.1016/j.jsr.2008.12.010 17. Waggoner JK, Kullman GJ, Henneberger PK, Umbach DM, Blair A, Alavanja MCR, et al. Mortality in the agricultural health study, 1993-2007. Am J Epidemiol. 2010;173(1):71-83. DOI:10.1093/aje/kwq323 18. Wesseling C, Castillo L, Elinder CG. Pesticide poisonings in Costa Rica. Scand J Work Environ Health. 1993;19(4):227-35. DOI:10.5271/sjweh.1479 This study is part of the Central Collaborative, Project in Monitoring Work-Related Accidents of the Integrated Program for Environmental and Workers' Health (PISAT), of the Instituto de Saúde Coletiva, at the Universidade Federal da Bahia and the Ministério da Saúde, Coordenação Geral de Saúde do Trabalhador (CGSAT). The study was funded by the Ministério da Saúde. Fundação Nacional de Saúde (Process MS nº 145/2011); by the productivity grant to Vilma Sousa Santana from the Conselho Nacional de Desenvolvimento Científico e Tecnológico (CNPq – Process nº 304108/2011-1); and by master's grant to Flávia Nogueira e Ferreira from the Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES), 2011-2012. The authors declare that there are no conflicts of interest.
Non European Cultural Heritages in Poetry for Young People (In and Out of School) Herencias culturales no europeas en poesía para jóvenes (dentro y fuera de la escuela) Herències culturals no europees en poesia per a joves (dins i fora de l'escola) María Luisa Alonso. University of Cambridge, United Kingdom. firstname.lastname@example.org https://orcid.org/0000-0002-9078-6339 Abstract Poetry can be especially well-suited to encouraging awareness, reflection and debate about cultural difference. This article reflects on poetry's overlooked suitability to engage young people in the expression of cultural difference in a progressively globalized world where cultivating cross-cultural understanding and tolerance needs to be at the top of our agendas Keywords: Postcolonial poetry, Cultural difference, poetry and youth, poetry in performance Resumen La poesía puede ser muy adecuada para incentivar la conciencia, la reflexión y el debate sobre la diferencia cultural. Este artículo reflexiona sobre la adecuación para comprometer a los jóvenes en la expresión de la diferencia cultural en un mundo progresivamente globalizado en el que el cultivo de la comprensión intercultural y la tolerancia necesita prioridad. My research paid attention to the different forms that poetry can take when young audiences interact with it. I focused both in school poetry and in poetry that circulates outside the straightjacket of formal educational contexts. The main body of this article focuses on literary qualities of texts but the first sections summarize the theoretical lenses that informed my investigation and the rationale that I used. I also include in this article, after an explanation about literary features in poems, a summary of the reflections that emerged from the analysis of printed and digital material and in conversations with interviewed key informants. Nuestra investigación presta atención a las diferentes formas que puede tomar la poesía cuando las audiencias jóvenes interactúan con ella. Focalizamos tanto en la poesía escolar como en la poesía que circula al margen de la camisa de fuerza de los contextos de educación formal. El cuerpo principal de este artículo focaliza en las calidades literarias de los textos, pero los primeros apartados resumen los enfoques teóricos que avalan nuestra investigación y la lógica que se ha utilizado. También se Received: 06/06/2019 Accepted: 07/11/2019 Published: 05/12/2019 Journal of Literary Education n. 2, 2019 / ISSN 2659-3149 incluye en este artículo, tras una explicación sobre los rasgos literarios de los poemas, un resumen de las reflexiones que surgen del análisis de material impreso y digital y en conversaciones con informantes clave entrevistados. La nostra recerca para atenció a les diferents formes que pot prendre la poesia quan les joves audiències interactuem amb ella. Focalitzem tant en la poesia escolar com en la poesia que circula al marge de la camisa de força dels contextos d'educació formal. El cos principal d'aquest article focalitza en les qualitats literàries dels textos però els primers apartats resumeixen els enfocaments teòrics que avalen la nostra investigació i la lògica que s'ha utilitzat. També s'hi inclou en aquest article, després d'una explicació sobre els trets literaris als poemes, un resum de les reflexions que sorgeixen de l'anàlisi de material imprès i digital i en converses amb informants clau entrevistats. Paraules clau: Poesia postcolonial; diferència cultural, poesia i joventut, poesia en performance Palabras clave: poesía postcolonial; diferencia cultural; poesía y juventud; poesía en performance Resum La poesia pot ser molt adequada per a encoratjar la consciència, la reflexió i el debat sobre la diferència cultural. Aquest article reflexiona sobre l'adequació per a comprometre els joves en l'expressió de la diferència cultural en un món progressivament globalitzat on el conreu de la comprensió intercultural i la tolerància necessita ser prioritària. Intercultural dynamics - whether experienced as a condition of tragic mixture and alienation or as the comic integration of multiple strategies and sources – have fueled some of the most powerful poetry of our time (Ramazani 2001, p. 7) 1. Theoretical lenses and context Postcolonial theory and debates framed my research design. The postcolonial debate about children's literature has been mostly limited to fiction. This situation could be contested given the relevance of poetry within literature and within the global education of individuals. Postcolonial approaches to mainstream poetry are scarce and the few existing book-length studies about the particular literary qualities of poetry that can be explored from a postcolonial perspective do not focus on poetry for young people. Ramazani (2001) states "postcolonial studies and poetics offer a potentially valuable blend of strategies for exploring (an) important Postcolonial approaches to mainstream poetry are scarce and the few existing book-length studies about the particular literary qualities of poetry that can be explored from a postcolonial perspective do not focus on poetry for young people. María Luisa Alonso and varied body of work" p. 4). Demonstrating a postcolonial approach to poetry for young people works with the disruption of many conventions prevailing in mainstream school approaches and dominant poetry culture. A postcolonial approach is interested in how poetry deploys different aesthetic or discursive elements as a means of challenging the dominance of Western linguistic and aesthetic patterns, models, ideas and ways of understanding the world. A postcolonial lens emphasizes how the poem "seeks to disentangle itself from disciplinary norms conducive to perpetuating cultural domination" (Ramanazi, 2001, p. 165). I chose a comparative analytical design that is in line with current trends in international education research to highlight the usefulness of comparative approaches in "challenging the dominance of prevailing discourses about what is desirable and how it might be best achieved" (Broadfoot 2000, p.369). I collected and analyzed information from parallel cultural and educational contexts, France and Spain, "two countries whose common location within Europe and historical interconnectedness would suggest many similarities" (Broadfoot 2000, p. 362). This includes being marked by a significant colonial past. Different types of colonialism produced different kinds of unbalanced social relations between creoles, mestizos (mixed-race) and other indigenous groups that are deeply inscribed in current internal social exclusions and have global consequences in today's migrant world. Diverse social processes and socioeconomic situations in France and Spain have affected differently migrant people from cultures that have suffered colonial rule (and the way these differences are perceived by people in the former metropoles); in particular, my research took into account the different approaches to education in cultural diversity that are visible in the choice of poetry that has been made available to young people in the two countries. 2. Research design and methodology The study was articulated through the interaction of three elements 1. Selection and analyses of a small sample of poems available for young people (2013-2015) to identify key characteristics which are distinctive to the poetry I was investigating. Rather than focusing on postcolonial poetry as a socio-literary category, I focused on a postcolonial approach to poetry that shares certain characteristics. This was illustrated through an analysis of poems, designed to bring out features that are often occluded when the poems are viewed out of context. 2. A two-stage investigation was conducted into which poems were available (and how they were made available) to young people in the respective countries both inside and outside formal education contexts. This encompassed investigating what poems with a postcolonial orientation were available for young people in different contexts, and what proportion or significance of the poems on offer articulated non-European cultural heritage First, searching for poetry in school education by exploring textbooks and anthologies. Secondly searching outside formal education. exploring on-line channels and exchanging information with relevant actors and organizations involved in France and Spain in the dissemination of poetry among young people. The information generated was mixed. One investigation comprised a collection of poetry information, namely lists of poems, names of poems, links with videos of poems and whole poems texts. The other brought together varied viewpoints from people engaged in poetry for young people. These emerged from communications with relevant agents and organizations (prior to interviews) and from observations collected in a research journal that documented my poetry search (e.g., about my attendance at events like book fairs). 3. Interviews with experts (key informants) who have responsibilities within the institutional apparatus for the dissemination of poetry amongst young people. The development of this third methodological element entailed the selection of representative French and Spanish agents who were currently involved in the selection, production and distribution of poetry among young people. The information generated consisted in interview transcripts. The interviews sought to understand the positions of the interviewees with regard to the priorities, attitudes and concerns that guide their selections of poetry and of cultural interventions or pedagogical approaches to poetry for young readers. A description of the methods used to identify poems as a way to investigating what poems with a postcolonial orientation were available for young people in different contexts is included in the following paragraphs. Also, a discussion about the observations of poetry searches is summarized in the following pages. This discussion is informed by the reflections and discussions that emerged in interviews with key informants. The three methodological elements that María Luisa Alonso formed the research design were interrelated and helped me build my contribution to knowledge about poetry, young people and intercultural issues 3. The methods used to identify poetry To investigate the availability of poems with a postcolonial orientation in the school context I studied the poems that were present in a sample of textbooks and recommended anthologies (2015) and focused on the poets´ origins and expressions of multiple cultural heritages. I used one textbook per secondary school year per context and five recommended anthologies in French and in Spanish. For the selection of school textbooks and anthologies, I tried to use a sampling strategy in which units were chosen based on how representative of the population they were (Schwandt, 2001, p. 232). The units of the sample were Spanish and French school textbooks and poetry anthologies currently used in the French and Spanish education systems. I selected textbooks and poetry anthologies used in schools following the instructions of the French and Spanish education systems. The sample of school syllabi was composed of one French and one Spanish textbook per year of secondary education. However, I took into consideration the fact that, in the French and Spanish schools (Licée Francais and Spanish section of European schools) where the books that were available to me were being used, the last two years share the same syllabus. I therefore had access to a total of twelve syllabuses, with six per language. In the next phase of sampling strategy, I complemented the officially specified poetry selections with a search for official recommendations by relevant French and Spanish literary organizations. I searched for anthologies that can be seen as representative of mainstream practice because they are reviewed and endorsed by institutions frequently consulted by different agents (teachers included) who mediate between young people and literature. The aim was to find coincidences between the poetry included in school textbooks that could be read using a postcolonial approach and the poetry recommended by institutions. For the selection of poems from outside of the school context I concentrated on searching for poems whose forms and strategies differ from what the main cultural gatekeepers have traditionally associated with school practice. I focused on non-written forms of poetry, taking into account the fact that non-written poems were missing in the school textbooks and anthologies that I considered. There are many existing possibilities for young people to engage with poetry forms that reflect the cultural heritages of European citizens of non-European descent in out-of-school contexts. However, there is a total absence of reliable and concrete indicators 1 that could measure young people's current engagement with contemporary poetry forms outside school or in general cultural life. Therefore, when searching for poetry through informal learning contexts, the interest lies in the difficulty of delimiting the search for information in ways that are fruitful and illustrative for the investigation. I used parameters similar to those used when filtering school poetry: I looked for French and Spanish speaking poets from non-European cultural backgrounds. I searched in different locations such as performance venues and especially in online channels. Young people commonly use these because they offer the easiest access to French and Spanish speaking poets from non-European cultural backgrounds that participate in Spanish and French performance venues. The performances that I filtered were poems that I could find using online channels commonly used by young people to participate in cultural life. It is through the Internet that young people can gain the easiest access to different kinds of poetry through the many platforms and online resources with which they interact on a daily basis. Using Internet resources took into account my convenience as researcher (e.g., it offered the possibility of accessing multiple digital recordings of performances without the need to travel to distant geographical locations), while also serving as an acknowledgment of the learning modes that are more characteristic of the new millennium and that are used by young people to engage with cultural and social life. I concentrated on selecting contemporary poets who were currently active and whose creations were available at present through online channels (online poetry communities, video platforms, blogs etc.). It might seem that children tend to become less enthusiastic about poetry as they grow older but the case of the spoken word as a global phenomenon is worth paying special attention to as it is growing in popularity in youth cultures. I did not focus on poetry in song but I considered that poetry in performance takes different forms, in many of which the poetry recitation takes place with musical accompaniment. Poetry performed in different venues is usually registered and the videos commonly uploaded to online global video platforms or channels like YouTube, Dailymotion or Vimeo. They are then linked to the Internet pages or online social network profiles of slam communities and to the personal online sites or online profiles of the poets. However, I could only explore a small number of existing possibilities in 1 My observations and communications with people involved with poetry venues and Internet platforms made me suspicious of the reliability of quantitative indicators such as numbers of visits and 'likes' in posts on online networks and Internet video platforms. Journal of Literary Education n. 2, 2019 / María Luisa Alonso young people's engagement through the Internet because its vastness and openness makes any ambition to representativeness impractical. A useful strategy for selecting meaningful paths to survey poetry in performance using online channels was supported by the guidance of informed agents who knew about the production of poetry through different venues and about the dissemination in these channels. During a first preliminary stage I contacted organizers of poetry festivals and venues that were known to be popular among young people. The contacts that proved to be more helpful and comparable for my purposes were the Spanish and French federations of slam poetry. They were significant because they are active in social networks and well-informed about young people's engagement with contemporary practice. The French and Spanish slam federations can be seen as both catalyzers of poetry, because they group varied associations that help poets to make their poems public, and are also sites of exchange between poets, audiences and poetry event organizers. The slam federations were also relevant key informants for this research because they are aware of emerging practice that is being developed to bridge school practice and young people's participation in performed poetry events. With the help of speakers from four slam organizations (two French and two Spanish) I obtained information about some poets from non-European backgrounds who participate in Spanish and French slam events. I also identified other interesting poets whose participation in local lives is remarkable and who perform poems in different venues but not necessarily with spoken word performances. I arrived at a selection of poems thanks mainly to the direct advice of people actively engaged in the organization of slam venues. These organizations pointed me in useful directions and led me to learn about many interesting digital recordings of performed poems, some of which were not recorded during slam venues. This was even the case for Lilian Pallares, a poet who has participated only occasionally (as opposed to Julian Delmaire who was and still is very active in the French slam scene) in slam venues in Spain but who is starting to receive credit in contemporary poetry milieus and is quite active with young audiences. 4. Observations about poetry searches The selection of poems in school textbooks and school poetry anthologies produced in Western countries draws light on the way in which individual nation state curriculum histories, agencies and agendas are made material. These agendas convey a belief that this literature both represents and develops a shared cultural heritage. In my selection of school poetry, there were more poems written by Francophone poets from Africa or the Caribbean in the French syllabuses and anthologies than there were Spanish speaking poets from non-European backgrounds in the Spanish syllabuses. There were 366 poems in the Spanish and French textbooks and anthologies. Of 178 poems in the French school books, 14 were by Francophone poets from Africa and the Caribbean, a proportion of just under 8%. In the Spanish case the proportion was even smaller, hardly 7%. To put this proportion in its global context, there are 220 million French-speaking people of whom 44% live in Europe (mostly in France, then Belgium and Switzerland), 46% in Africa and 10% in North America and the Caribbean region. This means a very limited representation of non-European cultural influences that have contributed to shape the French and Spanish nation's literary heritage. This also implies a poor presence in school materials of related language varieties. Additionally, the poems included in syllabuses that express nonEurocentric cultural heritages were likely to be those that could more easily be assimilated within a liberal multiculturalist paradigm. While my searches showed that poetry articulating cultural difference is scarce in European schools, my searches in other learning settings confirmed that young people have access to it through other channels. In the UK, France and Spain young people engage frequently outside the school context with varied contemporary forms and their more frequent articulation of affiliation to English, French and Spanish speaking non-European heritages. In many European countries the number of live poetry performances, contests and festivals has increased significantly in the last decade. Internet (YouTube, Instagram etc.) has also made available a dynamic body of contemporary poetry, some of which has high quality and addresses intercultural issues in a performance mode that is highly engaging and accessible for young people. As a result, young people access easily and frequently, outside the constraints of educational institutions, varied forms of contemporary poetry 2. . The most accessible expressions have emerged from urban cultures, particularly syncretic ones, and take the form of poetry from performed venues like slam contests or verses from rap or hip hop lyrics. Culturally syncretic expression circulates more freely in informal contexts, in the "many new forms of learning opportunity that characterize the third millennium" (Broadfoot 2000, p. 357). Much syncretic expression (that is considered poetry by some or which can be located in the blurred borders of the poetry field) is accessed (and many times reworked) by young people without adult mediation through virtual communities of peers and online social networks. In 2 Many of these forms are on the boundary between poetry and song or poetry and the spoken word; only some would be called poetry by most cultural and educational gatekeepers. Journal of Literary Education n. 2, 2019 / María Luisa Alonso addition to this, cultural organizations arrange activities for young people. In countries like France and the United Kingdom organized cultural events and activities that support the engagement of young people with mixed-heritage poetry are not uncommon. They import ideas from popular performance venues and forms such as slam poetry. However, in Spain the lack of a coordinated cultural strategy at National and regional levels that supports young people´s engagement with poetry outside the school context make the efforts of a few cultural organizations look disperse and even more distant from the educational field. 5. The recognition of literary qualities While I concluded that poetry articulating cultural difference has little presence in school contexts some commonalities of selected poems in the school sample lead to think about distinctive qualities and about some interesting issues that they foreground for young audiences, which are also present in out-of-school selected poems. The cultural and educational valorization of poetry entails the recognition of its literary qualities. Also, the cultural difference articulated by some poetry that is already present (if only scarcely) in school selections, may need attention to the possibilities and qualities of poems. Dealing with intercultural issues in literary education includes paying attention to the qualities and forms that best invite an approach which can be especially well-suited to encouraging awareness, reflection and debate about cultural difference, and the kinds of challenges and experiences this approach offers for young people. Some commonalities exist between French, British and Spanish poetry currently available for young people that make it suitable for a critical exploration of cultural difference. The following are the main qualities (summarized) that I identified in some poetry written and performed in French, Spanish and English. I illustrate these qualities with verses from poems currently circulating among young people both in the school context and in informal learning settings. 1. The use of distinctive words, images, stylistic devices and sound patterns to foreground idiosyncratic understandings of social constructs and to illustrate recurrent concerns is a common feature in the poetry I focus on. An example is how Mistral uses in La Extranjera (The Stranger) different features to highlight the contrasting ways of understanding the indigenous and barbaric world of "the stranger", as opposed to a westernized and civilized way of knowing and living. With Habla con dejo de sus mares bárbaros, con no sé qué algas y no sé qué arenas; reza oración a dios sin bulto y peso, envejecida como si muriera. Ese huerto nuestro que nos hizo extraño, ha puesto cactus y zarpadas hierbas English translation with neglect barbaric I don't know which algae and I don't know which In our Aged, as if dying that she strange She speaks of her kitchen garden She prays to a formless, weightless god, seas, sands; thorny herbs She has planted cactus and La Extranjera by. turned Extract from Gabriela Mistral The epithet "barbaric" is used to describe the stranger's indigenous origins (and the poet's claimed roots) in opposition to the dominating westernized culture in Latin America. Several images illustrate a special communion between La Extranjera and the Earth and nature (cosmos included) that metonymically refers to an indigenous Amerindian understanding of life. The following verses by Senegalese poet Leopold Sedar Senghor develop a staircase shape that enacts the leaping rhythm that the author intends to convey: the uncontrollable, vivid and abrupt call of Africa. The call of the tam-tam, an African percussion instrument that is similar to a gong, allegorizes Senghor's longing for Africa. This onomatopoeic "tam-tam" mirrors (in French) the sound that the instrument produces when it is played with the hands, and it also symbolizes the rhythm of Africa, mimetically representing the poet's African roots. Calme jardin, bondissant Grave jardin, par monts Jardin aux yeux baissés au soir et (..) continents Mais l'appel du tam-tam Extract of Jardin de France by Leopold Sedar Senghor María Luisa Alonso (…) English translation But the tam-tam bounding Calm garden through mountains Solemn garden and Garden with eyes lowered/bent down to the evening continents, The central issue of the poem is the collision of two symbolic images. On one hand the garden, the poet's actual context, symbolizes France and a Western way of understanding the world. On the other hand, the tam-tam symbolizes Africa and materializes Senghor's nostalgia. It is the dialogic co-occurrence of these two central figures which constructs the strength of Jardin de France. More contemporary than Mistral´s and Senghor´s are the following verses by Spanish speaking Caribbean poet Lilian Pallares: Cabellos de palma Agua de coco Y oleaje perpetuo s English translation Palm tree hairs Coconut water And perpetual swell Afro s Extract of by Lilian Pallares Y de alga flotante Sea Hairs Aphrodisiac And of floating seaweed Cabello marino s s disiaco s s Iniciación The central figure of the previous verses, the hairs, not only distil the poet's essence but also evoke a feminine collective spirit. The image of the hairs enacts an erotic feminine power, a "vitalist version of spiritual issues" (Tena 2010) that can best be expressed through poetic means. Lilian's feminine style is in line with claims by other contemporary female poets like Gioconda Belli: who opposes the existential depth of sensual Latin American idiosyncrasy to stereotypically colorful but superficial folkloric representations of Latin American cultures. Pallares attaches to the symbolic image of her hairs intertwined qualities. These juxtapose canonical Western symbols on the kind of feminine connection to natural elements that dominates the poem. A feminine connection to natural elements is sublimated in the AfroCaribbean tradition of female transition that the theme of the poem focuses on. Guyanese poet Grace Nichols also draws on her Afro Caribbean heritage. She makes it visible and audible in the choice of images and patterns: http://doi.org/10.7203/JLE.2.15351 Come on into my tropical garden Come on in and have a laughing Taste my sugar drink and my pine cake Come on in please come on in And yes you can stand up in my hammock And breeze out in my trees And you can pick my hibiscus And kiss my chimpanzees¨ Tropical Garden 2. The need to express a sense of cultural displacement or contrast and the longing for a distant land related to the poet's roots is a common feature in poetry for young people that is worth of attention and commentary. Cultural products (poems included) make visible the ways in which different groups of people who have suffered (or were born) the aftermaths of colonial encounters represent themselves, how they represent their conformity or disagreement with regard to the assimilation of Westernized universal patterns, how they perceive themselves and how they feel themselves to be perceived by peoples in the old settler communities. Extract of by Grace Nichols The following verses, from La Extranjera, are relevant here English translation She breathes with the panting/gasping of the desert And she has loved with a passion that turns her white that she never speaks of, for if she were to tell It would be like the face of another star. Alienta del resuello del desierto y ha amado con pasión de que blanquea, que nunca cuenta y que si nos contase sería como el mapa de otra estrella. The verses that build La Extranjera seem to be brought to the page in the form of a list, an enumeration of claims to the strangeness of the subject (the mysterious stranger). A sequence of claims is divided into three parts of growing strangeness, a structure that progressively deepens and consolidates the division between our world and the stranger's. While La Extranjera (found in a school anthology) was the expression of a Chilean poet who wrote at the turn of the XIX century, the following verses (found on a popular Facebook page) originally written in English by Chicano poet and activist Rodolfo Gorki González, similarly reveal Journal of Literary Education n. 2, 2019 / María Luisa Alonso how colonial encounters produced movements of people who express a sense of cultural displacement that persists through time and space. As postcolonial theorist Gayatri Spivak puts it ¨Whatever our view of what we do, we are made by the forces of people moving around the world." (2003, p.3). I am Nezahualcóyotl, great leader of the Chichimecas. I am the sword and flame of Cortes the despot And I am the eagle and serpent of the Aztec civilization. Extract of I am Joaquín by Gorki The following contemporary verses resonate with Gorki´s and Mistral´s poems. They are articulated (often in the form of poetry performance in Madrid) by Leo Zelada (Spanish resident born in Peru in 1970). Extract of y no sé ahora en realidad quién soy si tal vez un incógnito amauta pronunciando alguna oración oculta hacia el sol o un oscuro corsario asolando algún puerto desconocido del sur Machupichu by Leo Zelada English translation «and I don't know now who I am if I am an incognito 'anauta 3 ' enunciating some concealed prayer to the sun or a dark corsair devastating any unknown port in the south » The feelings associated with living in a liminal space of constant cultural negotiation are also frequently articulated by contemporary poets. It can also be found in the expression of a few poets who are, if only occasionally, sometimes included in school selections. Exile is dealt with in the mentioned Mistral's La Extranjera as it is in Senghor’s Jardin de France. While Senghor´s poem inclusion in the poetry selections of French textbooks and anthologies is 3 http://doi.org/10.7203/JLE.2.15351 122 Inca wise person 3. Non European Cultural Heritages in Poetry for Young People (In and Out of School) La Extranjera frequent, can only be found in a few Spanish recommended anthologies. In terms La Extranjera of formal strategies, the conflict in and Jardin de France is interesting as the poets frame it in ways that do not permit it to be easily assimilated or erased through absorption into universals. The more contemporary poem Wherever I hang , by Guyanese poet Grace Nichols resonate with Mistral´s foregrounding of an impossibility of belonging. I don't know really where I belaang To tell you de truth Wherever I Hang Yes, divided to de ocean Divided to de bone Also, in Delmaire's contemporary poem (frequently performed on stage) extract from by Grace Nichols Favela , Delmaire expresses and connects his own liminality with a global wound that is in this case represented by Brazilian favelas. Ô Favela, Favela Rythme de braise, cendre mystique Voix portugaise, accent d'Afrique extract from Favela by Julian Delmaire English translation Portuguese voice, African accent Ô Favela, Favela Ember rythm, mystic ash Mistral, Senghor, Nichols and Delmaire manifest their subject position between two cultures. They also show a general interest in the cultural negotiations and positions of inbetweenness generated by global people displacements. This common concern frames the relevance of their poetry not only within their own local dimensions but also within a global design. 4. The poets´ "social commitment to ethnic and cultural diversity with a specific desire to integrate different ethnic (mainly a mixed-race singularity) and cultural positions within a context marked by white male supremacy" (Author 2016) is also a common thread among poets who feel deeply affected by the difficulty of living between two different cultural perceptions of the world. Race is a central issue in Cuban Nicolas Guillén's poem La Muralla as it is in Martinican Césaire Aimé’s Demain. Journal of Literary Education n. 2, 2019 / María Luisa Alonso différents à leur base mais oh! que leurs têtes se rejoignent oui très haut dans l'éther égal à ne former pour tous qu'un seul toit je dis l'unique toit tutélaire… English translation different at their base but oh! may their heads meet yes high up in the ether equivalent to forming for all just one roof I say the only protective roof... Extract of Demain by Aimé Cesaire Explain yuself wha yu mean when yu say half-caste yu mean when Picasso mix red an green is a half-caste canvas? Both La Muralla and Demain can be seen as odes to harmonious living between people of different ethnic origins, but the ambiguous feelings that emerge in multiethnic environments are made evident and help to illustrate the contradictory nature of Caribbean cultural hybridity. Half Caste also by a Caribbean poet (John Agard) is a more contemporary poem. In this case the verses overtly approach the tensions inherent in dealing with racial purity and how people feel about it. Extract of by John Agar Half Caste Attention to literary qualities is best framed within the contexts of reception and production of the poems because "readings have status not objectively but relative to their circumstances" (Stockwell 2002:4). The context of reception is an issue in considering the relationship of the poems' content and form to young peoples' frames of reference. Paying attention to the context of poetry production means considering the historical and sociological contextualization of the poem's rhetorical strategies and the meaning that the poets deploy. This way of framing the discussion of poetry has relevant implications for how poems may be taught, or perhaps encountered, in a context of reception that is likely to yield maximum potential for an http://doi.org/10.7203/JLE.2.15351 understanding of cultural difference that highlights the richness of varied cultural backgrounds and linguistic variations. I observed in my research (i.e.: what I mentioned before about the presence of La Muralla´s verses in one syllabus) that lessons in textbooks miss the opportunity to offer any hints of the poems´ contexts of production. Following La Muralla example, a teaching strategy that enhances cultural difference would highlight how Guillen´s engagement with Cuban ethnic and cultural diversity are articulated in the poem. Given the poet's personal ties to colonized territories and the relevance of his engagement with the Cuban cause, an introduction to the author could frame best an exploratory analysis that foregrounds Guillen´s cultural position. In poetry, the voice of the author has a distinctive personal connection with the production contexts of the poet and the text's intentionality. This is not necessarily shared to the same extent with other kinds of literary texts because "poetry is the literary genre where subjectivity is maximal" (Dessons 1995, p. 81). In the case of authorial performances of poems (such as Iniciación, Favela or Machupichu), the presence of the poet's persona constitutes an additional feature for the contextualization of poems. Some contemporary poets share the desire to claim and highlight the cultural richness of their indigenous roots (African, Caribbean, Andean), setting them in contrast to a dominating Eurocentric cultural context. In their own ways, and with the particularities of their own individual backgrounds, they articulate their personal ties to colonized cultures and this has an influence in the formal strategies of their writings and/or their performances at different levels. Poets´ performances usually help to contextualize their poems. This is the case of Delmaire´s. Delmaire precedes his performances with a brief introduction to help young people locate the experience in a specific framework. In the performance of his poem Rouge, the poet explains to his audience the influence of Negritude poetry, particularly Aimé Césaire's 4 , in his work, not only from an aesthetic perspective but also from a moral and ethical point of view. As Delmaire acknowledges when he presents a digital video-recorded performance: Rouge is a "tribute to my first love in poetry which was the poetry of Negritude" 5 . Also, the poet explains that Rouge "talks a lot about percussion and roots". The performance of poems such as Iniciación, Rouge or Whenever I hang, adds an interesting layer of meaning. The case of Pallares performance is worth mentioning. "En hommage a mes premiers amours en poésie qui était justement la poésie de la négritude". Journal of Literary Education n. 2, 2019 / 4 "Césaire reste une boussole, une référence, un idéal" From his blog 5 María Luisa Alonso Pallares´ recitation style is not very dramatic or excessively theatrical but her performance adds corporality to a very sensuous poem. The poet makes use of her hands and body language in her recitation, mirroring the rhythmic clapping of the public gathered around the dancers during Bullerengue celebrations. Percussion instruments accompany most of Pallares' recitations of the poem Iniciación (mentioned before) but in some digital videos there is only the poet spontaneously accompanying her recitation with undulating gestures that allude to the movement of the young female dancers' dresses (pollerones). In so doing, the poet foregrounds the undulating rhythm also conveyed by words (e.g., "perpetual swell") and stylistic features in the poem. This demands an attitude of the reader that is grounded in the body in such a way that the experience of listening to the performed poem will leave an imprint on the audience that will influence any later reading of a printed version of Iniciación. 6. Reflections about poetry for young people that emerged from poetry searches and in interviews with key speakers Some recurrent themes emerged in the process of delimiting poetry searches and when talking to key informants involved in the field of poetry. Decisions behind new poetry selections define the representation of poetry. Questioning what forms of poetry (digital, print, oral, performed) are missing in school challenge what the educational system defines as poetry. These issues fueled interesting reflections and discussions with people involved in the French and Spanish fields of poetry for young people that I framed into existing scholarly efforts. Every attempt to define poetry can be challenged and those participating in debates about it only agree on that poetry is best defined by poems: "Poetry like landscape, like lyric water, is not a precise nor defined or immutable thing"(Jiménez 1975, p.150). . My research highlighted how increasing young people's engagement with larger and more diversified poetry selections contributes to expanding what defines the field of poetry. Intercultural issues in literature are often associated with multilingual concerns because poetry particularly resists translation and linguistic barriers can complicate access to poetry from diverse cultural traditions 1. . However, the evolution of some languages (i.e.: French Spanish, Portuguese and English) spoken by inheritors of varied cultural traditions, bear witness to the variations of diverse cultural heritages. Linguistic variations constitute an important element for their literatures' vitality but my research showed that poetry made available for young people by the school context hardly reflects how non-European heritages energize European literatures and the notion of poetry. The need to reduce the distance between home and school as environments for poetry enjoyment has long been pointed out by scholars studying children's poetry (e.g., Styles 1998). In the case of older children and poetry, the gap that it would be interesting to bridge is between school as a learning setting and the channels of youth culture, which are both popular and contemporary. However, as Joseph Thomas claims, much of the literary study of literature for young people emerges from "theory that questions both the idea of literature (with a capital L) and the cultural assumptions that undergird such a category" and from the "refiguring of the canon such theories allow" (2007, p. 3). For that reason, I followed Thomas 'point of view during my research process trying to spur debate about the limits of literary study, particularly those between mainstream adult poetry and that engaged with by adolescents, and between the fields of literature and cultural and media studies. Paying attention to the underused and unexplored educational potential of French and Spanish poetry currently available for young people is a matter of developing both poetry appreciation and critical understanding of cultural diversity. The critical understanding of cultural diversity might involve challenging pedagogical approaches that tend to either assimilate or erase cultural difference, or that reiterate positions in a cultural hierarchy and aggravate distinctions. Developing poetry appreciation in a wide sense might also involve challenging continuously the representation of poetry, including the question of what forms of poetry (digital, print, oral, performed?) help to define what the educational system defines as poetry. Dominant French and Spanish approaches to poetry and limited poetry repertoires hinder the visibility of some contemporary forms of poetry and restrain the effectiveness of some poetry already present in mainstream poetry corpora. European educational systems largely ignore the potential of oral, digital and non-printed forms of poetry for school poetry, in textbooks and anthologies. In France and Spain young people are left to encounter these voices through social media and informal networks of influence. The challenge is to bridge young people´s encounter with a richness of poetry forms and cultural variations in informal settings and school teaching strategies and poetry selections. Given that adults dominate access to poetry for young people, it is not surprising that educators from different cultural traditions frequently note a resistance to poetry. In his influential text for poetry teacher training, A l'Ecole de la Poésie (1980), George Jean asked poetry teachers to consider adolescence as a stage of non-conformity where the established (literary) order is seen as boring and exists to be subverted. Following Jean´s orientations and framed by cultural activities that are developed outside the school context, some practitioners are developing María Luisa Alonso dynamic methods for working with performance-based poetry in informal learning workshops, but both aspects are relatively unknown in formal curriculum material. 7. Conclusions The conclusions of my investigation showed that the theoretical concern for cultural diversity that traverses Western educational political discourses does not permeate the decisions that inform the dissemination of poetry among young people. Neither is it effectively translated into an intention to enrich and diversify cultural perspectives on poetry. The representation of nonEuropean cultural heritages in the literature curricula of England, France and Spain is weak, with Spain having the least visible representation in textbooks and school poetry anthologies, France demonstrating an emerging recognition of a need to attend to the problem and England disrupting a settled if somewhat static resolution (Author and Blake 2019). All three countries clearly need to recognize better the contributions of new citizens whose cultural traditions differ from existing dominant conventions. Selections of poetry for young people are stamped with an unchallenged desire for the reproduction of established cultural and educational conventions in these national contexts. This situation does not help to nurture a context that is open to contemporary poetry forms that bring rhythms and representations from non-European cultural backgrounds to European literature. It preserves unchallenged the prioritization of poetry's function in education as the quintessential expression of national high-brow culture. A more contemporary vision of poetry selections and teaching strategies might encompass digital, print and oral cultures for the production, performance and enjoyment of poetry; more actively engage young people in writing and creating poetry, as well as reading it; and might bring colonial pasts into a more honest dialogue with postcolonial presents through the juxtaposition of different poets and poems. This presents a considerable challenge to the professional development of many teachers, but there is a substantial foundation of research informed practice to build on in the pioneering teacher professional development work of the (anglophone) Caribbean Poetry Project. The efforts done by the Poetry Across Borders international team (at the faculty of Education, University of Cambridge), Julie Blake´s research evidence and my own research clearly indicates that there is rich potential for a renewal of poetry education in the UK, France and Spain. This renewal will come by widening the cultural space within which young people might find a more personally meaningful path towards enjoyment and appreciation of a wide range of poetry. This widening of the cultural space represents a significant challenge to established practice in curriculum and pedagogy, one which "calls for new proposals for reading practices and alternative creations" (Bessière 2001, p.159). 8. References Alonso ML and Blake J (2019). Poetry, Nation State Curricula and Diaspora. Caribbean Journal of Education. (In Print) Alonso, M. L. (2016). Poetry for Young People and Cultural Imbalances. A postcolonial approach to the current situation in Spain and France (Doctoral thesis). https://doi.org/10.17863/CAM.16659 Broadfoot, P. (2000). Comparative Education for the 21st Century: Retrospect and Prospect. Comparative Education 36, 3: 357-371 Dessons G. (1995). Introduction a la Poétique: Approche des Théories de la Littérature. Paris: Dunod. Jean, G. (1980). A l'Ecole de la Poésie. Paris: Retz Jiménez, J.R. (1975). Crítica paralela . Madrid: Narcea. Ramazani, J. (2001). The Hybrid Muse: Postcolonial Poetry in English . Chicago: The University of Chicago Press Spivak, G. (2003). The Death of a Discipline . New York: Columbia University Press Stockwell, P. (2002). Cognitive Poetics. An Introduction . London: Routledge Styles, M. (1998). From the Garden to the Street . London: Cassell Tena, V. (2010, December 2). Presentación del Libro Voces Mudas . Retrieved from http://www.lilianpallares.com/2010_12_01_archive.html Bessière, J. (2001). Littératures Francophones et Postcolonialisme. Fictions de l'Interdépendance du Réel in J. Bessière and J.M. Moura Littératures Postcoloniales et Francophonie (pp 169-195). Paris: Honoré Champion Thomas, J. (2007) Poetry's Playground. The Culture of Contemporary Children's Poetry Detroit: Wayne State University Press How to cite this paper: Alonso, M.L. (2019). Non European Cultural Heritages in Poetry for Young People (In and Out of School). Journal of Literary Education, (2), pp. 110-129. doi: 10.7203/JLE.2.15351
2 know your flow 3table of contents 01 02 Pages 1-2 What is a period? Pages 3-4 What's normal? 06 Pages 15-16 Are periods getting in the way of you living your best life? Visit mydatch.com for additional resources! Pages 5-6 Hello Flow: Some facts about periods Pages 7-10 Period products Pages 11-14 How can a bleeding disorder affect your period? 03 04 05 Pages 17-18 What happens if you lose too much blood? Pages 19-20 But how much blood is too much? Pages 21-32 Tips from the pros 07 08 09 Pages 33-34 When should I talk to my healthcare team? Pages 35-44 Prepping for the talk with your healthcare team Pages 45-46 For adults, parents, and caregivers 10 11 12 6 As you'll see in this booklet, there is a lot to learn about periods. If you or your family members have a bleeding disorder, things can get a little more complicated. And maybe a bit messy — but everything will be okay! Periods are a normal part of your health and wellbeing. You might be excited, scared, or nervous. You might not have even thought about your period yet! Whatever your situation, this guide will help you prepare for and feel confident about your period. what is a period? A period is a natural bleed that comes out of the vagina. It's also known as menstruation or a menstrual period. Every month or so, your uterus will shed its lining. This lining comes out of your body as blood. This is your period! Your body then makes a fresh lining again the next month (see page 3). How long does it last? Everybody's body is different, which makes their periods different, too. For most people, bleeding lasts around 3-7 days. Once your periods start, you keep having them until you're around 45-55 years old. Periods don't come at exactly the same time every month but they do happen in a cycle. A cycle counts the number of days between the first day of one period to the first day of the next period. For teenagers, a cycle can start between 21-45 days but usually finds its own pattern as you get older. 2 In your body, different chemicals called hormones help you digest food, manage your temperature, and help you grow. Hormones also turn periods on and off. uterus lining period vagina The lining of the uterus changes during your cycle A cycle starts with the uterus shedding its lining as period blood. After that, the lining grows back and thickens for your next period! what's "normal"? Everyone's periods are different but in general: * People typically start getting their periods around the age of11-14, but they can start earlier or later for some people (from 7 to 16 years old) * The time between periods (cycle) is around 28 days * Bleeding can last between 3 to 7 days * On average, normal bleeding is losing between 2 to 5 tablespoons over the week * People use around 3 to 5 pads or tampons in a day hello flow: some facts about periods Flow is how much blood comes out. Your flow can be light, moderate or heavy and can change over time. The first few days of your period are usually your heaviest flow days. The colour of blood changes. Periods can be light pink, bright red, dark red, dark brown, and even blackish. It's not unusual that your period starts brown then changes to red then back to brown. Emotional changes may happen before and during your period. You might feel grumpy, get angry, or want to cry without being exactly sure why. Don't worry, you're not the only one going through this. What does it look like? spotting fresh blood end of period Cramping! When people have pain during their period, they are usually talking about cramps (see page 25). Cramps happen when your uterus squeezes and then relaxes. This squeezing helps push blood out of your body. Period blood can come out as a jelly-like blob. It can feel like a small gush coming out of you. These are menstrual clots. 7period products As you may have guessed, periods can get messy. This is where period products come in. There are a lot of options available. The products that you decide to use might change over time and might be different from your friends and family. Here are some of the pros and cons of each product to help you decide which product is right for you. pads Padding that you stick to the inside of your underwear to soak up your period. When the pad looks full of blood, roll it up, wrap it in some toilet paper, and throw it away in the trash. Pads come in different shapes and sizes. Some are even washable so you can wear them again. PROS Easy, especially for beginners Can be worn while you sleep Help you to see what's going on Easy to buy at the store Cannot be used for swimming Can sometimes move out of place The heavier your flow, the more often you may need to change your period product. Your period might leak out of one product so you might want to have extra backup ready. tampons Small tube that absorbs your period. A tampon is put in the vagina and then pulled out when full. You might need help learning how to put one in the first time, but it gets easier! Like pads, tampons cannot be flushed down the toilet. When you take it out, just wrap the tampon in toilet paper and throw it in the trash. PROS CONS Can't see or smell it Should not feel it Good for swimming, sports, and sleeping Easy to buy at the store Takes practice to put in at first May need to also wear a pad to protect against leaks Needs to be changed every 4 – 8 hours products you buy once and can use over and over again menstrual cups A small, flexible cup that is put inside the vagina to catch your period before it comes out. When you take it out, you empty the blood in the toilet, sink, or while you shower. One cup lasts a long time. To keep it clean, it has to be put in boiling water once your period is over. PROS CONS Can wear up to 12 hours Can be worn while you sleep Should not feel it Good for swimming Can measure how much blood Takes practice to put in and take out, but gets easier Needs to be washed after each use before putting back in Can be messy to empty Needs to be boiled at the end of your period period underwear Special underwear that can absorb your period but looks like regular underwear. If you have a heavy period, you can use this as a backup option to catch any leaks. PROS CONS Easy Wash, dry, re-use Comfortable and doesn't move around Good for travel, sports, and sleeping May need to wear with other products on heavy days Expensive at first, but cheaper in the long run Need many pairs for an entire period Great with other products as extra protection against leaks Might need to change every 10 hours Can't put in a dryer how can a bleeding disorder A lot of people don't know they have a bleeding disorder. About 1 in 3 people who see their doctor about heavy periods find out they actually have a bleeding disorder they didn't even know about! the clotting process Legend a: red blood cell b: platelet c: fibrin d: clot When we bleed, our blood forms a clot (or "plug") to slow and stop the bleeding. When you have a bleeding disorder, your blood doesn't always clot, which means it can take longer for the bleeding to stop. During a period, there are tiny blood vessels in the uterus that leak blood while the lining is shed. Sometimes, this means that periods might be longer or heavier in people with a bleeding disorder. b a Step 1 Blood moves through the body in veins and small blood vessels. A tear or hole happens when you get a cut (or as the lining sheds during a period). Parts of your blood then work together to make a clot. Bleeding starts 12 Over 11,000 people in Canada affect your period? have a bleeding disorder, too! This includes people who have clotting factor deficiencies, hemophilia and hemophilia carriers, von Willebrand, and platelet function disorders like Glanzmann thrombasthenia and Bernard-Soulier. Step 2 Step 3 Platelets are parts of the blood that start gathering at the hole to stop bleeding. The blood vessel also gets tighter. Making the plug Clots stop bleeding Many different clotting factors work together with your blood to keep the plug in place, making a clot. If everything isn't working perfectly, this might take longer. everyone's experience is unique your periods may not be the same as your friends' and family's Periods are different for everyone and bleeding disorders are different for everyone. For some people with bleeding disorders, periods can be easy to manage, but for others, their periods can be complicated or difficult. Periods can also tell you a lot about your overall health. This is why it's important to keep an eye on your periods and your whole body, and learn what a typical period looks like for YOU. The good news is that there are lots of things that can help you during your periods, so that you can (and SHOULD) enjoy the same activities that you do when you're not on your period. Your family members might not recognize how difficult heavy periods can be even if they've lived with heavy periods or bleeding disorders, too. But that shouldn't stop you (or them!) from getting help if your periods are too heavy. Everyone deserves a life where periods are not a problem. "Just because I have a bleeding disorder doesn't mean that I WILL have a heavier period, just that there's a chance…I spoke with my doctor because my family wanted me to know there are ways to help if my periods became unmanageable." – "Snapdragon" Carrier of hemophilia A e r are periods getting in the way of you living how do you know if your periods are too heavy? Although everyone's "normal" is different, there are some signs that your period might be too heavy: Soaking through more than one pad in 2 hours Menstrual clots bigger than a quarter If your bleeding is so heavy or long that it's getting in the way of studying, hobbies, activities, or having fun, this is a big sign that you should check in with an adult and your healthcare team. your best life? 16 Heavy periods that need a change of product more than every 1 - 2 hours, for 3 hours or more in a row, requires urgent medical attention at your nearest Emergency Department. Other warning signs: lightheadedness passing out shortness of breath racing heartbeat Changing products at night when you should be asleep There is no wrong time to talk to your healthcare team if your periods, or anything else, are bothering you! what happens if you lose Iron deficiency anemia is serious and might impact how you grow or how you focus and learn in school. Losing too much blood can lead to a problem known as iron deficiency anemia where there isn't enough iron in the body. Iron is needed for your muscles and brain to work to their fullest potential. At first, people might not notice that they have iron deficiency. It can make you: Feel very tired or weak, or even lead to fainting Feel dizzy, light headed, have a hard time concentrating, or experience changes in mood Have pale skin or cold hands and feet light period heavy period iron 18 People with heavy periods can lose five to six times more iron per cycle than people with lighter periods! too much blood? Call your doctor ASAP if you start feeling this way–it may be a sign that your periods are too heavy. Your healthcare team can prescribe iron pills to bring your iron level back to where it should be. but how much blood is too much? A heavy period is losing more than 80 mL of blood in one period. This is about the same as 6 tablespoons. Measuring how much blood you lose during a period is not easy. You can keep track of your flow by counting how many pads or tampons you use a day or using the measuring lines on your menstrual cup. Make notes in an app or period calendar and pay attention to how you feel. Specific details will help your healthcare team understand your experience. Your healthcare team might ask questions like "how many days does your period last?" or "how many products do you use on your heaviest days?" to try and figure out how much blood is leaving your body. If your healthcare team has never asked you these questions, it's a good idea to tell them yourself! Lots of apps are available to help you keep track of the your periods and help predict when your next period is coming (so you can wear a pad, just in case). Popular apps are "Flo", "Clue", and "Period Tracker". WeThrive is a new app made in Canada! WeThrive Periods happen to people with and without bleeding disorders so you are not alone! Here's their advice: be prepared Your period is not interested in your schedule and might show up without warning. Luckily, you CAN plan ahead: * Carry a zip bag with you that has period products, pain medication (talk to your doctor first!), backup underwear, travel stain remover, and medication that you take for your bleeding disorder * Keep extra clothes in your bag or locker. A sweater or jacket can be tied around your waist if you need it * Plan what you're going wear like dark colored clothing and underwear that can hide stains and leaks * Sleep on a dark towel * Wear shorts that keep pads close to your body while you sleep or when you travel tips from the pros 22 Leaks will probably happen. These supplies can all help remove blood stains from clothing or bed sheets. Be sure to get the stain out before putting the item in the dryer (which can make stains permanent). cold water stain remover dish soap hydrogen peroxide 1 in 5 people who menstruate experience heavy menstrual bleeding experiment with different period products Don't be afraid to explore different period products to find what works best for your body and flow. DOUBLE UP! You can combine different products, too. This could be: * two pads (end to end) * a tampon plus a pad as backup * a menstrual cup with a pad or period underwear tips from the pros 24 Some products are designed for extra protection against leaking: maxi/super long /extra-long/ overnight adult diapers the highest absorbency level for pads or tampons provides extra coverage. Overnight pads can be used during the day, too! can give even more protection but might feel a bit big and bulky. "There was a huge learning curve for me with the menstrual cup. It took me about 6 months to be really comfortable with it, but once I figured it out it changed things so much. I empty it first thing in the morning and before I go to bed. I often forget that I am even on my period." – "Lavender" Carrier of hemophilia A dealing with cramps Cramping during your period is pretty common. A lot of people have mild pain but for some, it really hurts and can be really uncomfortable. There are a few ways to deal with cramps: * Get warm: Try a warm bath or put a heating pad, warm towel, or hot water bottle on your lower belly * Exercise: Trust us! Activities like walking, jogging, dancing, or swimming can ease cramps * Relax: Stress can make cramps worse. Try taking slow, deep breaths, meditation, or even doing yoga * Pain relievers: Always check with your doctor about which medicine will work best for you tips from the pros 26 Sometimes cramps can feel bad. Really bad. If the pain is so intense that you have to skip activities or school (or can't even walk!), it could be a sign of other problems. Think about if it feels a lot worse this month vs. last month. If it's bad, call your healthcare team for help! stay active how to deal with feeling tired It is not uncommon to feel tired or sluggish before and during your period. You might not feel like doing sports or hanging out with your friends and that's fine. But if you feel like you're missing out or too tired to concentrate on your schoolwork, be sure to tell someone. Self-help tips: * Get 8-10 hours of sleep as a part of a healthy lifestyle * Drink plenty of water * Remember, if you start to feel extreme tiredness, weakness and shortness of breath, this might be iron deficiency tips from the pros There are all sorts of new period products that you can use while you sleep like period shorts and period blankets. 24h lean on friends and family To start the conversation, try something as simple as "I got my period and I need some supplies," or try talking about something funny that happened during your last period, and ask if the same thing has ever happened to them. Periods are natural and normal so don't be shy to talk to your family and friends about your periods. You may even find that you feel closer with them once you start talking about it. Your parents or trusted adults can help buy period products for you, so it's important that they know when your periods have started, too. They're probably familiar with periods and can share more advice. Remember: half of all people on earth have periods, and it's just a part of their lives. It's not weird, gross, or anything to hide. It's totally normal. At the same time, don't feel pressure to celebrate OR defend your period if you don't want to. You can say that periods are funny, annoying, awesome, or anything in between! Do whatever feels right for you. tips from the pros Cultures and religions around the world view periods and period products in different ways. It's important for you to figure out how you want to deal with your period. In some Indigenous cultures, your period or "moon time" is considered a sacred and powerful time. In Islam, you might skip fasting during your period. "Find someone you can talk to about your periods. That way, you can ask about their experience, and you don't end up ignoring heavy bleeding because you think it's normal." – "Sunflower" Has von Willebrand disease Start the conversation early and keep it going! Your healthcare team is waiting to hear from you about your first period, so don't wait to call! when should I talk to my healthcare team? If traveling to a clinic is a problem, check to see if your clinic has a telehealth option, or if you can talk to your healthcare provider on the phone. Some clinics may also offer after-hours appointments. talk to your healthcare team if your period impacts: School Missing classes, or missing whole days because of your period or cramping Sports Social time If your period keeps you from interacting with friends or joining in activities Sleep When your bleeding or symptoms get in the way of doing the things you love If your sleep is interrupted by leaking or cramps For people with bleeding disorders, it's also a good idea to be monitored by your healthcare team once your periods start. The earlier your healthcare team knows about your periods, the better! self-reflection checkpoint what's your plan? Who will you tell when your periods start? What products do you have ready for your period? Do you know the warning signs of when to go to the Emergency Department? Hint: see page 16 prepping for the talk with your healthcare team Periods are a part of your health so it's a good idea to keep track of them. Write down any questions or concerns and bring the list with you to your appointment (see page 49). This will help you remember everything you need to ask, since appointments can go by fast. If your usual healthcare team isn't that familiar with bleeding disorders, a gynecologist and the team at your local hemophilia and bleeding disorders treatment centers (HTC) are experts in both periods AND bleeding disorders. Be honest and open about your bleeds (periods or otherwise) with your healthcare team. Period apps can be extra helpful for sharing details that you might have forgotten. If you think changes in your body are serious, say so. Did you know that a medical interpreter can help communicate information between you and your healthcare team if English or French is not your first language? Have this information ready to share with your healthcare team, even if they don't ask you first: How many days do your periods last? How many pads/tampons do you use on your heaviest days OR how many times do you empty and re-insert your menstrual cup in a day? How big are your period clots and how often do you see them? Do you have any changes in cramping or pain with your periods or other bleeds? How many times have you missed school or social activities because of your period? Do you wake up at night to change your period product or does your period overflow onto your pajamas and bed sheets? Do you have joint pain, nosebleeds, bruising, or other bleeding events, either without anything happening or after going to the dentist? Has anyone else in your family experienced heavy periods or has a bleeding disorder? Be specific! The more details you can share, the easier it will be for you to get the help that you need. medications to help with your blood flow There are lots of medicines to help with periods and even make periods stop altogether (!). You and your healthcare team can work together to figure out what's best for you. Here is some more information to help you learn about the different options. non-hormonal medications If you have heavy periods and your healthcare team hasn't given you an official bleeding disorder diagnosis yet, there are options for you even while you wait for your results! " I remember being so happy when I started my medicine. The amount of blood reduced dramatically and no globby clots!" – "Lily" Carrier of hemophilia A hormonal medications Hormones are chemicals in the body that control the menstrual cycle, so hormonal medications can be used to help manage periods, period-related symptoms, and even other hormonerelated aspects of health (hello, pimples!). The different hormonal medications act like natural hormones and tell the uterus not to make a thick lining each month. They are sometimes called "birth control" because they can prevent pregnancy but they can also be used to treat heavy periods or very bad cramping. Depot medroxyprogesterone (DMPA) Injection The 'Shot' The Shot is an injection of hormones provided by your healthcare team every 3 months. Intrauterine Device (IUD) An IUD is a small T shaped device that is placed inside the uterus and slowly releases a hormone to control the menstrual cycle. The IUD is implanted by a doctor. It works for 5 years, then needs to be removed and replaced. Combined Hormonal Contraceptives (CHCs): 'The Pill', 'The Patch', or 'The Ring' CHCs can come in the form of a pill taken by mouth every day at the same time of day, a patch or sticker placed on the skin every week, or a ring inserted into the vagina like a tampon and changed every month. CHCs can reduce bleeding, cramping, and allow you to turn off or control when you have your periods. Some breakthrough bleeding (which is unexpected bleeding) can still happen. Hormonal medications can be used to turn off periods for months at a time so you can have your period when it's convenient for you. Talk to your doctor about the best option for you! other treatments Desmopressin Desmopressin (also known as DDAVP) can be used to help control bleeding in people with von Willebrand disease or types of hemophilia A. DDAVP increases the clotting factors von Willebrand factor and factor VIII, which helps to stop bleeding. It can be taken as a spray in the nose or an injection. Other treatments may be available depending on the type of bleeding disorder you have. Your healthcare team might have already suggested these for nose bleeds or other types of bleeds. Clotting Factor Concentrates (Factor) Clotting factor concentrates or Factor help control or prevent bleeding by making sure that your body has everything it needs to stop a bleed. Each bleeding disorder has a different type of Factor treatment. Factor is given as an injection into a vein to protect the whole body from any bleeding that might occur (prophylaxis) or can be used to control bleeding that has just happened (on demand). questions to Period history * Have your periods started? What has it been like? * Does anyone in your family have heavy periods? * Do you know when your next period is coming? (Hint: have you downloaded an app or checked your calendar?) * How often do you have to change your product on your heaviest day? How do your periods impact your life? * Are you bothered by your periods? * Have you missed school, work, or activities due to your periods? * Do you make up excuses not to do things because you are worried about bleeding or leaking? Bleeding symptoms and medication * Do you ever feel tired or weak during your period? * How bad are your cramps? * Do you have treatment for bleeding events that might occur? * Are your bleeds under control (periods, joints, nosebleeds, bruising, dentist visits, or anything else)? * Have you met with a hematologist yet? What about a gynecologist? think about 44 Other * Do you have an older go-to person who you can talk to about periods? * Do ALL of your doctors know about your bleeding disorder? * Do you have any worries or questions about your body that your healthcare provider can help with? * Do you feel like your healthcare team is listening to you? * Have you ever gone to a bleeding disorders camp to meet other kids and teens with bleeding disorders? Let's Talk Period: letstalkperiod.ca Self-BAT test. An online quiz to help think about your bleeding: letstalkperiod.ca/self-bat Know your flow: knowyourflow.ie Center for Young Women's Health: youngwomenshealth.org Period Tracking app MyCBDR or iCHIP (BC only): two apps that are the best way to report treatments and bleeds to your healthcare team. Canadian Hemophilia Society (CHS) and local chapters (not just for people with hemophilia!): hemophilia.ca/provincial-chapters Code Rouge: coderougewomen.ca Your Period: yourperiod.ca heavymenstrualbleeding.com The North American Society for Pediatric and Adolescent Gynecology (NASPAG): naspag.org World Federation for Hemophilia. (WFH): wfh.org/en/home For Teens Period: @for.teens.period other helpful resources preparing for menstruation If you care for a child with a bleeding disorder, you may be wondering what you can do to prepare your child for menstruation. Here are some ideas on talking with your child and their healthcare team, and for even thinking about yourself. start early Preparing your child before their periods start will help make the transition smoother. Introduce the topic gradually over time so that it's part of a normal conversation. Encourage open and honest communication. The more comfortable your child becomes with discussing periods, the easier it will be for them to advocate for the help and support they need. Early recognition and treatment for heavy periods has a huge impact in the long-term. for adults, parents, and caregivers 46 share your experience Even though your experience may not be the same as your child's, talk about your experiences with periods and what your child might expect in terms of the flow and length of their period. Setting expectations will help your child feel more comfortable when their period arrives. support your child's mental health During this transition, your child's mental health is just as important as their physical health. Encourage your child to talk about their feelings and watch for signs that they may be struggling. There will likely be times when your child feels sad, anxious, or overwhelmed, but if these feelings start to interrupt school or their activities, it could be a flag that they need additional support. Everyone deserves support and to have their experiences taken seriously. Discussing menstruation with all siblings and family members can help make sure everyone knows that periods are normal, healthy, and nothing to be ashamed of. talk to the healthcare team In addition to providing medical care, your healthcare providers are a valuable resource for guidance. Talk to them about how and when to seek care, what treatments are available to control bleeding, and what advice is unique to your child's situation. Call your doctor when your child gets their first period so that they are ready to help, if needed. speak with your child's school about support Let your child's teacher, coach, or school nurse know about your child's bleeding disorder (and if it impacts their periods). They may be able to make accommodations if your child needs to miss class, take more visits to the washroom, take their medicine, or adapt training schedules so that your child can still participate in their favorite activities. for adults, parents, and caregivers be open and ready to discuss hormonal treatments to manage periods or new-to-you period products Some adults may be concerned about their child using "birth control" medication or certain period products. Hormonal medications are used as contraceptives, but they can also help to reduce heavy periods and make periods more regular. Your child may also prefer certain period products that you're not used to. Keep an open mind and be ready to discuss topics like relationships, sexual behaviour, and birth control if questions arise. support independence Provide a safe space in the clinic for private conversations between the clinic and your child by leaving the room if you need to. They might be embarrassed to talk about their problems in front of you and that's okay. build a network Build a network of friends, family, and other parents or caregivers who you can chat with for support. Connect with your local hemophilia society, which supports anyone with a bleeding disorder. Register yourself at your local hemophilia treatment centre too, to make sure you're also getting the best care. 50 This book has been developed by healthcare professionals, people living with bleeding disorders, and caregivers to people living with bleeding disorders across Canada. They contributed their expertise in living with and/or managing a bleeding disorder. A special thank you to all those individuals who shared their advice and who reviewed drafts of this booklet. This booklet is intended for informational purposes only. It is not intended to be used to make healthcare coverage or treatment determinations. Always seek the advice of your physician or health provider with any questions you may have. This project was led by Dr. Anthony Chan and Casey Li at Hamilton Health Sciences as a part of DATCH: Developmentally Appropriate Tools for Children with Hemophilia. This project was sponsored by Novo Nordisk Canada Inc. questions for my healthcare team
An Efficient Cryptography Key Management for Secure Communications in Smart Metering Abdul Khadar Asundi, Pradeep Basavaraj Jyoti, Mudakapla Shadaksharappa Nagaraj, Shabana Sarmas Sultan Abstract: Smart Grid (SG) is used in power systems to enhance environmental sustainability and increase the efficiency of energy management. In Smart Grid systems, Smart Meter (SM) is one of the most important devices. The SM is an advanced energy meter that receives data from the load devices of end users and computes the customer's energy consumption. After that these smart meter transfers the information to the utility company and/or system operator. The secure data transmission is the main issue between the smart meters to the smart grid. Because the advanced metering architecture is vulnerable to the cyber-attacks. In order to ensure the security of smart meter data, the cryptography based encryption techniques are used in the SG. In this paper, the secure data transmission between the SM and the SG is performed by RSA cryptography. The communication over the devices performed by Binary Phase Shift Keying (BPSK). Here, the data from the SM encrypted using RSA encryption technique and then it transmitted using BPSK to SG. At last, at the smart grid the RSA decryption technique is used to decrypt the power values from various loads. The introduced RSA based encryption key management mechanism used to provide the end to end security in the smart metering communications. The access of the data is limited by providing the key to the authorized end users for enhancing the confidentiality of the data transmission. This proposed method is named as BPSK-RSA methodology. The performance of this BPSK-RSA methodology evaluated using energy consumption of the load devices. Then the performance of BPSK-RSA methodology is compared with DFT based CHE in terms of Mean Square Error (MSE). By taking the average, the MSE of BPSK-RSA methodology is improved at 5.02% than the DFT based CHE. The performance of the BPSK-RSA methodology is also compared with ECC-SM method in terms of Packet Delivery Ratio (PDR), Throughput (TH) and End to End Delay (EED). The PDR, TH and EED of BPSK-RSA methodology are improved at 2.95%, 6.24% and 19.64% than the ECC-SM method at 100 smart meter placement. Index Terms: Smart Grid, Smart metering, Binary Phase Shift Keying, RSA cryptography, energy consumption. I. INTRODUCTION The traditional power grid system had some issues like large maintenance costs, scalability issues and lack of system Manuscript published on 30 August 2019. Correspondence Author(s) Abdul Khadar Asundi, Department of Electrical and Electronics Engineering, Ballari Institute of Technology and Management, Ballari, India. Pradeep Basavaraj Jyoti, Department of Electrical and Electronics Engineering, PDIT, Hospet, India. Mudakapla Shadaksharappa Nagaraj, Department of Electrical and Electronics Engineering, Bapuji Institute of Engineering and Technology, Davangere, India. Shabana Sarmas Sultan, Department of Electronics and Communication Engineering, Govt. Polytechnic Ballari, Davangere, India. monitoring. Due to these drawbacks the traditional power grid system is replaced by a next generation electronic system, which is called as called Smart Grid (SG) [1-2]. Traditionally the power grid adopts only one-way supply model in power distribution. But the smart grid provides the dual way interaction between the users and the power authority. Also, it uses the advanced control capabilities to create, distribute and consume the electricity effectively compared to the power grid [3-4]. SG is a global networked cyber-physical system, it is effectively constructed to provide the global electric energy flow in the main electric lines and also in the single households [5]. The integration of sensors and advanced communication technologies with conventional power grid is called as a smart grid. SG is used for efficient power generation, monitor the real-time power consumption, accurate billing, and enable demand response [6]. With modern communication technologies and automated control, the SG has become a next generation electricity grid to provide better reliability and efficiency. The electric power grid infrastructure enhanced by designing an overlay communication and computing network in SG [7]. SG represents the bi-directional communication power flow between the two concerned entities, i.e. Consumer and Grid [8]. The smart meters are introduced at end-users for transferring the energy information to the grid. Based on this, the smart grid gathers the real time energy demand from the users that helps to fulfil the load requirements [9]. SM has the capacity of monitoring and controlling power consumption by end users. SM gathers the data from the smart appliances of the home and then it conveys the resident's information about the usage of electricity [10]. SM allows people to organize their daily routines based on the bill details and also provide information that helps them to decrease their monthly power consumption bills [11]. A reliable and real time information about the SG becomes a crucial factor for providing reliable power to the end users of the generating units [12]. The security in the data network is an issue in terms of data confidentiality and integrity. Here, the smart grid lags in data protection from the unauthorized users [13]. The conventional methods which are associated with the SG's data transmission are given as follows: A hybrid hierarchical network is introduced for cost effective data transmission and this is a combination of wired (copper cable/optical fiber) and wireless (cellular/IEEE 802.15.4) standards. This proposed formulation is generic and also it addresses real world scenarios with asymmetric sensor data generation, unreliable wireless link behavior, non-uniform cellular coverage, etc. [14]. © The Authors. Published by Blue Eyes Intelligence Engineering and Sciences Publication (BEIESP). This is an open access article under the CC-BY-NC-ND license http://creativecommons.org/licenses/by-nc-nd/4.0/ DOI: 10.35940/ijitee.I7846.0881019 Journal Website: www.ijitee.org 2908 Published By: Blue Eyes Intelligence Engineering and Sciences Publication (BEIESP) An Efficient Cryptography Key Management for Secure Communications in Smart Metering The top-k query is a cluster topology sensor network, which is used in smart grid to transfer the data from one side to the other side. The query routing is optimized by using the local indices in top k-query as well as it is used to cut down the data traffic inside the cluster [15]. Generally, the SM is placed outside of the house and this SM is protected only by using the mechanical lock. The hacker can hack the information from the SM. Additionally, the data transmission between SM to the operator is insecure. So, here the secure communication among the smart meter to the utility is improved by using the cryptography technique. The main contributions of this research work are stated as follows: Here the security of the communication is enhanced by using the RSA cryptography technique. The introduced RSA is used to overcome the threats against the cyber-attacks. * The data transmission through the smart meter to grid utility is performed using BPSK technique. The complexity of the BPSK modulation scheme is less. Besides, the data transmitted using BPSK can transmitted at high distance due to the 180 phase shift. * The combination of the BPSK with RSA cryptography techniques used to enhance data transmission security in the smart metering architectures. * The proposed methodology is evaluated in terms of energy consumption of load devices at the end users. * The organization of the entire paper is given as follows: The works related to the smart metering communications is described in section 2. The smart metering communication using BPSK with RSA cryptography is clearly explained in section 3. The performance of the BPSK-RSA methodology is evaluated in the section 4. Then the conclusion is given in the section 5. II. LITERATURE REVIEW Z.A. Khan et al. [16] presented the stochastic load modelling of smart meter data, and this process has four stages, those are data clustering, curve smoothing and linearization of curves, optimizing the linear curves and finally energy classification. This approach made the smart meter data into a manageable level that is made by linearizing energy consumption patterns. The extended k-means clustering and particle swarm optimization used in data clustering and optimizing the linear curves respectively. The processing time over the SG is less as well as it decreases the complexity among the load profiles with other uncertainties. The highly nonlinear complex load profiles are difficult to process by the linear system. K. V. Deshpande and A. Rajesh [17] presented the Machine to Machine (M2M) communications for smart metering applications. The Improved M2M Clustering Process (IMCP) based clustering technique introduced in the M2M communications. The evolved Node B (eNB) can control a number of M2M devices. In a network, the congestion will happen when all M2M devices access the eNB. Because of that, the clustering was utilized to reduce the number of devices accessing the Retrieval Number: I7846078919/19©BEIESP DOI: 10.35940/ijitee.I7846.0881019 Journal Website: www.ijitee.org 2909 eNB and also it saved the overall system's energy. The communication of this M2M network can be easily hacked, because there is no security technique used in this method. S. Aleksic and V. Mujan [18] presented the holistic framework for computing the environmental impact of SMs and Information and Communication Technology (ICT) equipment needed for home area network and advanced metering infrastructure. The energy based life cycle assessment (E-LCA) method presents the environmental impact of the ICT equipment. The fundamental laws of thermodynamics used in this paper for estimating the accurate environmental effects. However, to reduce the cumulative embodied energy consumption, more SM are required. U. B. Baloglu and Y. Demir [19] introduced the lightweight data aggregation technique in smart metering architecture. Initially, the information from the SMs collected in terms of time series. Then the collected data perturbed and encrypted using a Decisional Diffie-Hellman (DDH) scheme. This scheme was used to communicate with smart meters and privacy preserving nodes. Privacy protection is required in this smart metering, because the data transmission between the metering devices and task scheduler is considered as open to attacks from the malicious users. J.-S. Chou and G.A.N. Yutami [20] presented the structural equation modelling for analyzing the data which were surveyed from the Indonesia households. The interacting factors in consumer acceptance of SMs are determined by the structural equation modelling. The Consumer Adoption Propensity (CAP) index developed for the smart meter development which measures the consumers' tendency to accept and adopt residential smart meters based on the analytical results of SEM. This research work excludes some factors such as climate and natural resources. Wang, H.J et al. [21] has introduced the Long Term Evolution (LTE) based smart grid communication network. In this LTE, orthogonal frequency division multiple access (OFDMA) is used for downlink. Here, there are three channel estimation (CHE) schemes are analysed such as Least Square (LS), Minimum Mean Square Error (MMSE) and Discrete Fourier Transform (DFT). In this work, the clear description about the transmitted data using LTE network is not provided. Wu, F et al. [22] has introduced the Authenticated Key Agreement (AKA) scheme with elliptic curve cryptography (ECC) for the smart grid communication. The negligible probability of the attacker is provided by using the formal proof for AKA. In this smart grid, the secure communication is enabled among SM and service provider through the wireless communication channel. The ECC cryptography used in this SM communications has more complexity and also it is difficult to implement. III. BPSK-RSA METHODOLOGY In this BPSK-RSA methodology, the power grid is used for distributing the power to the number of loads (for example house 1, house 2 and house 3) which is present in certain areas. Published By: Blue Eyes Intelligence Engineering and Sciences Publication (BEIESP) Here, 3 houses have been considered as a load for this paper and the SM is used to monitor the day by day utilization of power in the smart grid. SM helps to measure the electricity used by the loads and the communication through the SM to the SG is performed by BPSK modulation. Only the mechanical lock generally secures the smart meters. The hackers can easily access the user's data. So, the RSA cryptography is used to enhance the security of the smart grid communication. The following Fig. 1 illustrates the block diagram of the BPSK-RSA methodology. A. Smart meter The power grid technology is considered the smart grid as the main source for transmission and distribution of the power to the respective loads. In that, the SM is considered as the main component. The SM is an electricity meter which reads and records a user's power consumption. The conventional metering system collects the readings from the service providers. But in smart metering system, the meters send the readings directly to end users for impartial and error-free billing purpose. The transmit/receive power is monitored by each device and also these devices create alarm (i.e., notification) and connect or detach a customer energy source when the error occurs in the SG. The smart meters are required for every premise and household, because the smart meter provides accurate billing, power usage monitoring of household devices and power on/off to the utility company. The power supply of a premise can be remotely terminated using a termination function of smart meters. This smart meter provides a data collection service for the remote monitoring interface known as Advanced Metering Infrastructure (AMI). The AMI uses the smart meters for data collection, measuring and analyzing the electricity and it also offers two-way communication with service providers. The AMI system has various technologies and applications which consists of smart meters, home area network, meter data management systems, wide area communications infrastructure, and user gateways. These are integrated to perform as one system. The smart meter has two different standards such as the American National Standards Institute (ANSI) and International Electro Technical Commission (IEC). a. The architecture of smart meter The smart meter has various modern components such as data computation using software system, hardware system for supporting the digital reading with several electrical and DOI: 10.35940/ijitee.I7846.0881019 Journal Website: www.ijitee.org 2910 electronic sub devices and energy utility reading by a calibration mechanism. The smart meter architecture is given in Fig. 2. The general components that are available in the SM systems are data communication, supervisory module, system-on-chip metering system, module for power management, transformer driver, module for computing the forms of tampering, voltage reference, clock that works in real time, etc. The main component of the SM is system-on-chip processor. In its front end, the analog to digital converter used for supporting the differential inputs. The sensors with low-input receive its gains from integrated gain stage. The SoC chip with hardware multiplier is greatly boosted the many intensive applications, when carrying the energy computation. The smart meter used for several calculations of voltage, power factor, frequency, reactive and active power, voltage RMS current, etc. These performances are in active process when the SM is in operating mode. B. Security using RSA cryptography in smart grid In SG, communications and nodes are monitored potentially which subject to capture and surreptitious use by an adversary. e.g. an attacker or an unauthorized user modifies customer data or which may affect by any type of attack on SG network. A number of security attacks such as jamming and access restriction, NAN sniffing and eavesdropping, energy theft attack and spoofing affect the smart meter's data. Because of these attacks, the RSA cryptography is introduced in the smart grid to secure the data from an attacker. The RSA cryptography mainly depends on the algebraic operations on large integers. The RSA cryptography has three different steps, those are key generation, encryption and decryption. At first, the data from the smart grids are encrypted using RSA encryption and then this data are transferred to BPSK modulation, that help to transmit the data from the one place to another place. The process of the secure data transmission through the BPSK using RSA is given in the Following Fig. 3. Published By: Blue Eyes Intelligence Engineering and Sciences Publication (BEIESP) An Efficient Cryptography Key Management for Secure Communications in Smart Metering a. Key generation Input: Create or select two large prime numbers. Output: Two different keys. One is public key and another one is private key. * Create two different prime numbers which are represented as a . and b Compute the modulus that is m a b = , Where a . and b are the prime numbers. * Compute the ( ) m that is ( ) ( ) ( ) 1 1 m a b = − − . * An integer is selected as a public key and this key should satisfy the ( ) 1 e m and . * The private key d is selected which satisfies the * Public ( ) , . key e m = The public key e is used for encryption. * Private . key d = The private key is used for decryption. b. RSA encryption Input: The plain text that is the smart meter data from the loads to encrypt and public key. Output: The encrypted cipher text. * Obtain a public key ( ) , m e . * Denote the message ( ) p as an integer which is in the interval of 0, 1 m − . * Calculate cipher text e cip p modm = , Where cip represents the cipher text from the RSA encryption and m is the modulus. * Send this cipher text to transmitter of BPSK modulation. C. BPSK modulation BPSK is the basic digital modulation technique which is used at the transmitter side. Here, the BPSK is used for modulating the data from the RSA encryption. The encrypted power value which is obtained from the smart meter is given as the input to the BPSK modulation. The carrier phase is adjusted with respect to the information signal that is in digital form and it keeps frequency and amplitude of carrier constant. So, the modulated signal is divided into two phases, logical '1' and '0'. This BPSK has two phases of the carrier with the same frequency, but these two results are separated by 180º phase shift. The block diagram of the modulator is shown in Fig. 4. The modulated signal lasts same as the carrier with the initial phase 0º at the transmission of logical '1' and also the modulated signal changes with 1800 when the logical '0' is transmitted in the BPSK modulation. The form of the BPSK signal is given in the Eq. (1). If binary '0' If binary '1' (1) Where, the carrier frequency is represented as c f and the peak amplitude is denoted as p A . The modulated BPSK signal is transmitted to the BPSK demodulation with the addition of AWGN noise, which is described in the following section. D. BPSK demodulation The block diagram of BPSK receiver is shown in the Fig. 5 which contains noise contaminated BPSK input signal, regenerated carrier signal, balanced modulator and low pass filter. The BPSK signal, recovery signal and low pass FIR filter are multiplied using the balanced modulator. The possible outputs of the balance modulator re ( ) cos t and cos () t −. Due to the 180 phase shift of the carrier, the BPSK modulation scheme is considered as a robust technique. So, the BPSK modulation can use in any of the long distance communication and data transmission. DOI: 10.35940/ijitee.I7846.0881019 Journal Website: www.ijitee.org a. AWGN channel model The term AWGN (Additive White Gaussian Noise) denotes an unwanted electric signal which always exist in the electrical systems. Here, the term additive denotes the added signals. AWGN is a channel model which affects the communication by adding the white noise with a constant spectral density and a Gaussian distribution of amplitude. This AWGN is a best channel model for satellite and deep space telemetry. In BPSK, the analog levels Eb and Eb − represents the binary digits 1 and 0 respectively. The noise value (n) follows the Gaussian probability distribution function which is given in the Eq. (2). Where, the variance of the Gaussian random variable is denoted as 2 , specifies the mean and noise spectral density is o N . In digital modulation, the number of bit errors is the number of received bits over a AWGN channel. The BER is the ratio of the number of bits in error to the total number of transferred bits. BER is a unit less performance parameter. Therefore, the BER for BPSK is given by the following Eq. (3). Where, the complementary error function is specified as , r c e f b E is the energy per bit, o N is the noise density and b E N is the signal to noise ratio. 0 The general formula for the probability of error or BER of MPSK for AWGN channel is given as in Eq. (4). . For BPSK, the m is 2. E. RSA decryption The RSA decryption receives the data from the BPSK demodulation and it is decrypted by RSA. By using the binary phase shift keying the power used by the loads (i.e., house) are known by the smart grid. Input: The encrypted cipher text and private key. Output: The plain text. I7846078919/19©BEIESP DOI: 10.35940/ijitee.I7846.0881019 Journal Website: www.ijitee.org * The original plain text that is power value is recovered by using private key (d) . Where, d p is the data transmitted through the BPSK. IV. RESULTS AND DISCUSSION The simulation of the BPSK-RSA methodology was performed using the Matlab/Simulink R2018a. In this BPSK-RSA methodology, the power grid was used to transfer the essential power to the load which is present in the certain area. The overall Simulink model of the BPSK-RSA methodology is given in the following Fig. 6. The major components present in the model are power grid, pole mounted transformer, load requirement, main breaker, BPSK modulation and demodulation module and RSA encryption module. The inputs given to the Simulink model of the BPSK-RSA methodology are voltage, current and energy from the power grid. The output taken from Simulink model is the energy consumption of respective loads. Initially, the energy is given by the power grid and then this energy is step down by using the pole mounted transformer. This energy divided into the load requirements. The load requirement module is used for analyzing the energy consumption in smart grid. Here, the BPSK block is used for transmitting the data to the end users and this data transmission is secured by using the RSA encryption module. The specifications of the three phase source, three phase transformer, linear transformer and main breaker are given in Table 1, 2, 3 and 4 respectively. Table I. Specification of the three phase source \| Frequency \| 60 Hz \| \|---\|---\| \| 3-phase short circuit level at base voltage (VA) \| 100×106 \| \| Base voltage (Vrms Ph-Ph) \| 25×103 \| Blue Eyes Intelligence Engineering 2912 and Sciences Publication (BEIESP) Table II. Specification of the three phase transformer Table III. Specification of the linear transformer \| Nominal power and frequency [VA, Hz] \| 75×103, 60 \| \|---\|---\| \| Winding 1 parameter [V1, R1, L1] \| 6600, 0.0005, 0.0002 \| \| Winding 2 parameter [V2, R2, L2] \| 100, 0.00005, 0.0002 \| \| Winding 3 parameter [V3, R3, L3] \| 100, 0.00005, 0.0002 \| \| Magnetization resistance Rm \| 50 \| Table IV. Specification of the main breaker \| Initial status \| 1 \| \|---\|---\| \| Breaker resistance \| 0.001 \| \| Snubber resistance \| 1×106 \| \| Snubber capacitance \| inf \| Fig. 7 a, b and c show the Energy from the smart meter of load 1, 2 and 3 respectively. Here, the loads are considered as a house and the houses have different load requirement. For example, the house 1 has one washing machine, one refrigerator and one two AC coolers. Second house has one mixer/grinder, one AC cooler and one washing machine and third house has one washing machine, one geyser, one mixer and two ACs. The main breaker of the model is used as a switch which handles the on/off conditions of the loads. By using the main breaker, the various process like the system with one load or two load or three loads is analysed. The energy values from the SM which are shown in Fig. 7 that are given as the input to the RSA decryption to enhance the security over the communication. Fig. 8 (a), 9 (a) and 10 (a), show the RSA encrypted energy consumption from the load 1, load 2 and load 3 respectively. By using this RSA cryptography, the data from the SM are secured in the communication process. Because the hacker can modify the data of the customer and the system may affect by any type of attack when the system has an unsecured SG network. There are so many attacks to affect the data from the SM such as jamming and access restriction, NAN sniffing and eavesdropping, energy theft attack, spoofing. From these attacks, data from the end user to the SG is secured by the RSA cryptography through the BPSK communication. The transferred energy values to the SG is shown in Fig. 8 (b), 9 (b) and 10 (b), that are decrypted energy values of BPSK demodulation to the load 1, load 2 and load 3 respectively. The communication performance of the BPSK is analysed in terms of Mean Square Error (MSE). MSE is defined as the averaging the squared intensity of the original input to the resultant output. The MSE is expressed in the following equation (5). (a) Where, n is the number of data points; d p is the decrypted power value of RSA (output) and p is the given input power value. The following Fig. 11 shows the MSE analysis of BPSK-RSA methodology. Blue Eyes Intelligence Engineering 2913 and Sciences Publication (BEIESP) (a) (b) (a) (b) Fig. 9. (a) Encrypted energy at grid 2, (b) Decrypted energy at grid 2 Retrieval Number: I7846078919/19©BEIESP DOI: 10.35940/ijitee.I7846.0881019 Journal Website: www.ijitee.org (a) (b) Fig. 10. (a) Encrypted energy at grid 3, (b) Decrypted energy at grid 3 The comparative analysis of the BPSK-RSA methodology with the existing methodology called DFT based CHE method [21] is shown in the Table 5. Table V. Comparative analysis of MSE \| SNR \| DFT based CHE [21] \| BPSK-RSA methodology \| \|---\|---\|---\| \| 0 \| -6 \| -5 \| \| 5 \| -10.5 \| -10.09 \| \| 10 \| -13 \| -12.45 \| \| 15 \| -17 \| -16 \| \| 20 \| -21 \| -20.02 \| From the analysis, conclude that the BPSK-RSA methodology gives better performance when compared to the DFT based CHE method. Because, the noise present in the output of DFT based CHE method is higher than the noise present in the BPSK-RSA methodology signal. Blue Eyes Intelligence Engineering 2914 and Sciences Publication (BEIESP) An Efficient Cryptography Key Management for Secure Communications in Smart Metering So, the MSE of BPSK-RSA methodology is higher than the DFT based CHE method. Table VI. Comparative analysis of SM communication performance \| No of SM \| PDR \| \| TH (bps) \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| ECC-SM method [22] \| BPSK-RSA methodology \| ECC-SM method [22] \| BPSK-RSA methodology \| ECC-SM method [22] \| \| 20 \| 100% \| 100% \| 43.72 \| 51.25 \| 5.24 \| \| 40 \| 99.53% \| 99.66% \| 86.73 \| 93.12 \| 6.19 \| \| 60 \| 97.46% \| 97.73% \| 125.34 \| 132.94 \| 6.27 \| \| 80 \| 94.66% \| 96.12% \| 158.21 \| 169.32 \| 9.37 \| \| 100 \| 90.32% \| 92.98% \| 182.09 \| 193.45 \| 9.98 \| The comparative analysis of PDR, TH and EED of the BPSK-RSA methodology with ECC-SM method [22] is shown in Table 6. The ECC algorithm is more complex and it is difficult to implement than the RSA algorithm. The robustness of the RSA is higher than the ECC. Meanwhile, the data rate provided by the BPSK is high in this BPSK-RSA methodology. So, the performance of the PDR, TH and EED are high when compared to the ECC-SM method [22]. V. CONCLUSION The modern trend in the SG is to implement the secured wireless communications in smart grids to create the communication between the SM to the utility as well as to monitors the customer's energy consumption. In this paper, security in communications is developed by RSA cryptography. Then the BPSK is utilized to enable the data transmission between the SM to the SG. Initially, the observed energy from the smart meter is encrypted using RSA encryption. Then these energy values are transferred using BPSK modulation and demodulation. In the end, the values from the BPSK is decrypted by using RSA decryption. Based on this, the observed energy values from the load devices are transferred to the smart grid. The BPSK-RSA methodology is used for enabling the secure communication among the SM and the end users to avoid the cyber-attacks. From the comparison, conclude that the BPSK-RSA methodology provides better results when compared to the DFT based CHE method and ECC-SM method. Furthermore, the security of the data transmission from smart meter to the smart grid can be enhanced by novel encryption technique. REFERENCES 1. E. Fadel, V. C. Gungor, L. Nassef, N. Akkari, M. A. Malik, S. Almasri, and I. F. Akyildiz. (2015). A survey on wireless sensor networks for smart grid. Computer Communications, 71, pp. 22-33. 2. S. Katyara, M.A. Shah, B. S. Chowdhary, F. Akhtar, and G. A. Lashari. (2018). Monitoring, Control and Energy Management of Smart Grid System via WSN Technology through SCADA Applications. Wireless Personal Communications, pp. 1-18, 3. B. Lang, J. Wang, and Z. Cao. (2018). Multidimensional data tight aggregation and fine-grained access control in smart grid. Journal of information security and applications, 40, pp. 156-165. 4. M. Yigit, V. C. Gungor, E. Fadel, L. Nassef, N. Akkari, and I. F. Akyildiz. (2016). Channel-aware routing and priority-aware multi-channel scheduling for WSN-based smart grid applications. 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BALOGLU, and Y. DEMİR. (2018). Lightweight Privacy-Preserving Data Aggregation Scheme for Smart Grid Metering Infrastructure Protection. International Journal of Critical Infrastructure Protection, 22, pp. 16-24. 20. J. S. Chou and I. G. A. N. Yutami. (2014). Smart meter adoption and deployment strategy for residential buildings in Indonesia. Applied Energy, 128, pp. 336-349. 21. H. J. Wang, Y. Zhen, Q. H. Ou, H. Y. Zhang, W. Q. Yang, and Y.D. Xia. (2015). Comparison of Downlink Channel Estimation Schemes for LTE-Based Smart Grid Communications. In: Proc. of Applied Mechanics and Materials, 713, pp. 962-965. 22. F. Wu, L. Xu, X. Li, S. Kumari, M. Karuppiah, and M. S. Obaidat. (2018). A Lightweight and Provably Secure Key Agreement System for a Smart Grid with Elliptic Curve Cryptography. IEEE Systems Journal, pp. 1-9. AUTHORS PROFILE Abdul khadar A Received B.E in E&EE from UBDT College of Engineering Davangere, Karnataka, India. He holds M Tech. degree in Electrical Power System from NIE Mysore, Karnataka, India in year 2006 respectively. Currently he is pursuing Ph.D in Electrical Engineering from Visvesvaraya Technology University Belagavi, Karnataka, India. Currently he is an Associate Professor in the department of Electrical and Electronics Engineering at Ballari Institute of Technology and Management, Ballari. He has published there journals and conference proceedings. Pradeep B Jyoti received his Ph.D in Electrical Engineering from Jawaharlal Nehru Technology University Hyderabad, Telangana, India. He is Currently Professor in the department of Electrical and Electronics Engineering at Prouda Devaraya Institute of Technology, Hosapete. He has maore than 25 years of teaching experience. He has published many research articles in leading journals, conference proceedings. M S Nagaraj received his Ph.D in Electrical Engineering from Visvesvaraya Technology University Belagavi, Karnataka, India. He is Currently Professor in the department of Electrical and Electronics Engineering at Bapuji Institute of Engineering and Technology, Davaangere. He has more than 25 years of teaching experience. He has published many research articles in leading journals, conference proceedings. Shabana S S is working in Govt. Polytechnic Ballari
A GUIDE TO MEASURING SALES TRAINING EFFECTIVENESS A Guide to Measuring Sales Training Effectiveness A RICHARDSON SALES PERFORMANCE EBOOK www.richardson.com 1 Why Bother to Measure Sales Training? 01 We measure almost everything in our lives. Starting at birth, a baby's height, weight, and length are measured. Parents count fingers and toes. They count age by weeks and months and, finally, years. In school, learning is measured by written tests and fitness levels by activity tests. www.richardson.com www.richardson.com 2 In sports, we keep score and statistics. Moneyball analysis has become a widely used strategy in evaluating baseball players. When we travel, we measure distance traveled and time to destination using maps and GPS. We wear Fitbits, keep food diaries, and use apps to track calorie intake.The point is that we track just about everything. Measurement is an integral part of our lives. How can it not be an element of sales training (especially when so much is at stake, considering both dollars spent and the potential for performance improvement)? TrainingIndustry.com reported that, for 2013, the most recent numbers published, companies in North America spent approximately $142 billion dollars on training; globally, the investment in training was approximately $307 billion. These are significant numbers. So, when someone asks me why they should have a measurement strategy, my short answer is, "Why wouldn't you?" How could any organization not grab the opportunity to measure progress made, or the lack of results, when committing big dollars to training their people? To start, and before implementing any training program, you need a baseline. This helps to establish where you're at now and to make sure that you get to your ultimate destination, with all employees improving their skills and adopting the desired behaviors. www.richardson.com www.richardson.com Consider this truism: what gets measured gets done. Measurement shines a light on what is important. Just knowing that management is observing, monitoring, or assessing behavior will change it. Measurement provides an additional value to the learning for individuals; they know that proficiency matters. Again, let's look at recent data. TrainingIndustry.com studied strategies for sustaining the impact of sales training: Organizations that were "ineffective" or "somewhat effective" at sustainment put nearly half of their budget into delivery of the training, at 46%. The other half was split between planning, at 27%; evaluation 14%; and sustainment, 13%. Organizations that were "effective" or "very effective" at sustainment allocated their funds differently. Delivery of training consumed just 31% of budget. Planning was another 31%.That left more than a third of the budget for evaluation, at 17%, and sustainment, at 21%. What these numbers reveal is a serious misperception among the first group of companies — that delivery of training is the most important part of the learning process. Maybe these companies decide not to focus as much on measurement because they know (or fear) that, one month after training, the majority of what was taught may be forgotten. 3 What we at Richardson Sales Performance know about learning and adoption of knowledge and behavior change is that training will not stick unless it's put into practice immediately, reinforced regularly, and made part of the daily routine. True change and transformation take a thoughtful approach, discipline, buy-in, and a regular cadence of communication and training reinforcement to achieve results. How will you know you've achieved this desired state unless you measure? Measurement in INEFFECTIVE Organizations Measurement in EFFECTIVE Organizations Order Matters — the Sequence of Measurement 02 Now that the importance of measurement has been established, it's vital to adopt the proper measurement sequence to have the greatest impact on performance. www.richardson.com www.richardson.com Measurement is not a one-and-done prospect. The standard pre- and post-test approach isn't sufficient to achieve lasting change. The Kirkpatrick Four-level Training Evaluation model has become a cornerstone in the learning industry, looking at reaction, learning, behavior, and results. These traditional measures are familiar and necessary, but they're not sufficient. At Richardson Sales Performance, we build on the Kirkpatrick model by identifying additional factors that come into play. Before training individuals, we want to know their natural talents and skills. There's an important difference between the two. Talent refers to an individual's aptitude and motivation. Talent is a part of their DNA because people can be great at jobs that are a good fit. The other side of that coin is that while a poor fit can be workable, it's not optimal. It's hard to be passionate about a job that doesn't play to a person's talents. The other element involves skills. This is the "how" of doing something. Skills can be observed. If there was a video camera taping a client meeting, what would the camera see? Talent should be assessed as a foundational element, both in pre-hiring, as well as pre-training. Assessing skills is the next step to set a baseline to measure against. www.richardson.com These two elements, assessing talent and skills, should come before training. After training, we move on to assess the four Kirkpatrick levels but with a few twists to gain a more complete perspective. 01 REACTION This is more than the typical participant feedback (How did you like the class? How would you rate the instructor?). We want to know if the content was relevant and applicable. Do participants see themselves changing behavior? What is their confidence level that they will use what they learn? What is their plan when they get back to the office? We also want feedback from the instructor. Are they seeing early indications of adoption and behavior change? KNOWLEDGE RETENTION 02 This is about more than passing a test. It's about arresting the forgetting curve, which is the first step to sustainment. We measure how well participants retain knowledge in the immediate three-to-four months following training, and we provide them with feedback throughout the process to reinforce learning. Measurement has to be part of the learning journey, and people need to know how they're doing along the way. 5 BEHAVIOR CHANGE 03 It takes about six months to achieve a consistent change in behavior. We take a multi-faceted approach to measuring this change. It can be self-reported by the individual ("When a client objects to a solution that I have offered, I typically ..."). It can be observations from the individual's manager ("When a client raises an objection, this sales professional acknowledges the objection and asks an open-ended question to better understand the client's need driving that objection.") Or, it can be feedback from customers ("When I express concerns, this person acknowledges my issues and asks questions to better understand my needs.") Of course, it is best if these results are compared to baseline measurements or observations of these same behaviors prior to the training. At this level, it's important to consider three elements: 1) the consistent application of the knowledge and skills gained; 2) the actual change in the business metrics (revenue, volume, goal attainment, etc.); and 3) the extent to which the change can be attributed to the application BUSINESS IMPACT 04 of the new knowledge and skills. It can also be helpful to determine what barriers or obstacles may be inhibiting potential improvement, such as competing organizational priorities, market influences, or the lack of management support. It's more than whether the individual is achieving his/ her goals and seeing an improvement over time. The question is: to what extent did his/her learning influence www.richardson.com what he/she is doing now and is that making a difference in results? These should be tied to the company's performance scorecard or other regularly tracked metrics.* According to author and expert on HR strategy Mark Huselid, a measurement strategy that focuses just on 6 efficiency and activity level is merely capturing "doables." More meaningful measurement comes from focusing on "deliverables;" that is, the outcomes that serve the company's strategy. When you incorporate measurement into your sales training strategy, using the proper sequence, you can gain insights and confidence about the ability of your team to deliver on its accountabilities. And, that will always be more meaningful than measuring what the team does on the job. It's a matter of activity vs. business impact. Five Guiding Principles for your Measurement Strategy 03 At this point, you should be ready to establish your own measurement strategy. But first, I'll share five guiding principles to help you through the process. www.richardson.com START WHERE YOU WANT TO END 01 When you start with the end in mind, your measurement plan will be more likely to address those things that matter most to your business. You will be aligned with the outcome that you are trying to achieve. If you identify best practices and then establish current performance as a baseline, you can see where opportunities for improvement exist and track changes along the way. Giving feedback to the individual going through training should be part of the learning journey. For everything that is measured, make sure the individual has the opportunity to see his/her results and bea part of an ongoing developmental dialogue. Put the individual in charge of his/her learning, and help him/her understand how to use that information to guide his/ her continuous learning. When he/she expects and gets feedbacks, there is more engagement and compliance. FEEDBACK IS A GIFT 02 www.richardson.com METHODOLOGY MATTERS 03 It is best to measure performance in a way that aligns with direct experience. In sales training, it's about client situations and how people behave with clients. And, when you anchor measurement to the best practices that people should be exhibiting, it reinforces the behavior that you're trying to achieve. At Richardson Sales Performance, best practices tend to focus on strategy rather than tactics; they're focused on the customer rather than the sales professional; and, they advocate question-led dialogue over just telling someone the solution. USE THE RIGHT TOOLS AT THE RIGHT TIME 04 For people in the field, tools need to be mobile, and the time that it takes to complete the measurement task needs to be minimal. At Richardson Sales Performance, mobile- based skills testing takes less than a half-hour. We also have a mobile, knowledge- retention tool that takes only five minutes every other day, presenting a question, multiple-choice answer, response, and 8 explanation. When we conduct impact surveys, there are a maximum of 12 questions. We also make sure to incorporate these measurement and feedback mechanisms into their everyday lives. "There was an existing business situation (approximately $10 million annual revenues) that recently took over as the new account manager. I've been using the questioning, positioning, and checking skills learned in class, and this has been successful for me. The latest NPS score is a 9 "Promoter," with "Good Support" as the reason for recommending us." BLEND DATA WITH STORIES 05 Use both quantitative and qualitative measures to see the big picture on measurement. Statistics will not be enough. Make sure to also capture stories and observations, and then blend these with the numbers. Consider how much more effective the following two scenarios are when context is added and told as feedback from training participants: "I improved my listening skills and let the client talk more. As a result, I won a more than $700,000 sale with a major utility. I have been working on negating a bad habit of interrupting the client during his/her "This is what I want" speech." "There was an existing business situation (approximately $10 million annual revenues) that recently took over as the new account manager. I've been using the questioning, positioning, and checking skills learned in class, and this has been successful for me. The latest NPS score is a 9 "Promoter," with "Good Support" as the reason for recommending us." With these PRINCIPLES and the sequence of measurement, you should be well on your way to implementing a measurement strategy before training even starts. And, Richardson Sales Performance is always here to help you get started. www.richardson.com 9 A GUIDE TO MEASURING SALES TRAINING EFFECTIVENESS Learn more about how Richardson Sales Performance can help your sales organization drive results with virtual selling skills, contact us today. Follow us on LinkedIn for more insights on effective selling. www.richardson.com 10 US: +1-215-940-9255 EMEA: London: +44 (0) 20 7917 1806 Brussels: +322-252-5004 APAC: +61 (0) 8 8376 1667 APAC: +61 (0) 8 8376 1667 CHINA: +86 21 32577032 firstname.lastname@example.org www.richardson.com
Division of External Relations Colorado State University Diversity Planning Goal: Environmental Audit, an examination of internal practice, content and professional engagement. Subcommittee: Kimberly Stern, Connie Schimmels, Gary Ozzello, and Pam Jackson This goal was self-identified by the Division of External Relations (DER) directors and not among the six goal options in the CSU Diversity, Equity, Inclusion, and Campus Climate Blueprint provided by the Commission on Diversity and Inclusion. The Environmental Audit is one of three proposed goals (the other two from the Blueprint) selected by the DER leadership team for our 2018-19 commitment toward helping CSU to ensure an inclusive campus, and it is intended to provide a general overview of how DER exercises diversity and inclusion practices in the communications content we produce and in our professional pursuits on behalf of the key units we serve and support. We recognize the DER teams of Creative Services (CS), Public Relations (PR), Video and Photography are cognizant of the need to uphold the Principles of Community and help promote a campus climate that is inclusive of everyone. However, it is expected that the findings of this proposed audit can assist the Division's future planning around diversity and inclusion best practices for our teams, improve our issues management efforts on behalf of the university with respect to diversity and inclusion, and further help us to support a culture of inclusive excellence at CSU in our roles as strategic communicators, public relations coordinators, brand managers and consultants. Analysis: We know that as a Division our staff broadly appreciates and respects the need to support an inclusive culture on our campus through our individual and collective work. But what we do not know, and need to understand, is how well we are hitting the mark and what are the perceptions of our work and efforts among our staff and key units that we serve. Design: In order to meet this goal, we recommend conducting an information-gathering exercise or audit so that we can better understand how DER staff and the units we serve perceive where we do well in supporting an inclusive campus, and to solicit ideas from them on where we can create or capture opportunity that we currently might be missing. We also recommend such an audit seek to identify internal and external forces that might be creating obstacles to our ability to promote diversity and inclusion in our supporting role to other units. We would seed interviews for this audit with three key definitions of what is diversity, inclusion and inclusive excellence. The CSU Diversity, Equity, Inclusion and Campus Climate Blueprint has a glossary of several terms (pages 14-16) which include the following definitions: Inclusive Excellence re-envisions both quality and diversity. It reflects a striving for excellence in higher education that has been made more inclusive by decades of work to infuse diversity into recruiting, admissions, and hiring; into the curriculum and co-curriculum; and into administrative structures and practices. Diversity refers to the variety of differences and similarities/dimensions among people, such as race, ethnicity, gender identity and expression, physical abilities/qualities, sex, sexual orientation, age, culture, first generation status, different ideas and perspectives, familial status, immigration status, geographic background, marital status, national origin, religious and spiritual beliefs, socioeconomic status, and veteran status. Inclusion is involvement and empowerment, where the inherent worth and dignity of all people are recognized. An inclusive university promotes and sustains a sense of belonging; it values and practices respect for the talents. Journalism Professor Emeritus Donna Rouner, an expert in conducting research surveys, social group communication, narrative persuasion, audience evaluation of imagery, and information valueaffirmative and value-processing of messages, was consulted. We asked to advise us on how we might construct an audit in pursuit of this goal, and for recommendations of the type of questions we should and should not ask to understand the perceptions of DER staff and representatives of key units we serve. Dr. Rouner helped us design the questions below for DER staff and unit representatives. Unit Representatives: - Can you provide examples of where you or your unit (committee, initiative) specifically designed and implemented a project, program, event, collateral materials or other messages, or campaign with DER's direct consultation and/or support that directly or indirectly assisted you with the promotion of inclusion and diversity through your unit? What worked well? What did not work well or have the desired outcome, and why? - What are examples of something your unit developed and implemented directly, but was supported in parallel by DER? What worked well? What did not work well, and why? - Are there ways that DER can better support your unit in its diversity and inclusion efforts? (Please provide examples.) - Are there ways that DER can better support the university's efforts toward inclusive excellence? That is, what would you like to do or see us do differently? (Please provide examples.) We recommend interviewing one representative from the following key units, committees, initiatives: - Vice President for Student Affairs (Kathy Sisneros) - Vice President for Enrollment and Access (Leslie Taylor) Vice President for Operations (Lynn Johnson) - Vice President for University Advancement (TBD) - Vice President for Diversity (Shannon Archibeque- Engle) Presidential Communications (Cara Neth) - Athletics (Albert Bimper) - Facilities Management (Fred Haberecht) Housing & Dining Services (Tonie Miyamoto) - Standing Committee on Status of Women Faculty (Ellen Fisher) Women and Gender Collaborative (Cori Wong) - Employee Councils (Chairs) DIVERSITY PLAN 2018-19 DER Staff: We recommend interviewing one or two staff members from each DER team, and that this occurs following the full implementation of a staff re-organization, currently underway March-July 2018. The invitation would clarify their participation is voluntary and they may decline to participate without explanation or if they select to participate, they may choose to not answer certain questions without explanation. - Can you provide examples of how you have assisted the colleges and units you serve in promotion of diversity and inclusion through work on a story(ies), project, program, event, collateral materials or other messages, or campaign by way of your direct consultation and/or support? What worked well? What did not work well or were obstacles to a better outcome, and why? - In terms of external (to campus units) support, storytelling, events and other activities, what does DER do well to help the university embrace the values of diversity and inclusion and promote inclusive excellence? What opportunities do you see for us to improve? - In terms of your own creative work for DER, what most supports your ability to help the university promote inclusive excellence as a core, foundational pillar? What inhibits your ability or what obstacles do you see that prevent you from embracing these values? (Please provide examples.) - Are you satisfied with the contributions DER makes – internally to our Division and externally in service to the campus community – regarding diversity and inclusion? What would you do or like to see us do differently? (Please provide examples.) - In your role as a DER employee, have you ever witnessed someone or experienced yourself being excluded or marginalized in a manner that would be counter to the university's efforts to create a climate of diversity and inclusion, and promote inclusive excellence? (Please explain.) Implementation: We recommend this audit begin in early summer for interviews with unit representatives, and late summer for DER staff interviews. Voluntary members from each of DER's units will be equally provided with the opportunity to respond to questions. Questions will be thoughtfully designed in collaboration and under the guidance of Journalism Professor Emeritus Donna Rouner as noted above. The proposed question samples are also noted above. Evaluate: The complete findings of the audit would be presented to the Vice President for External Relations and the DER senior leadership team with recommendations by the Audit Subcommittee based on the findings. Additionally: * An executive summary/brief of the external and staff findings should be presented to the full DER staff. * A follow-up "thank you" email to individuals we interview for the external units for their participation and that we will share the information they provided with our leadership team and staff and their comments will help inform our diversity and inclusion planning moving forward. DIVERSITY PLAN 2018-19 Diversity Planning Goal: Cultivate an inclusive institutional climate Subcommittee: Elias Martinez, Mike Hooker, Joe Rymski "Cultivate an inclusive institutional climate" - as defined in the Institutional Diversity Blueprint, the goal is to improve the campus climate of inclusion. As the hub for CSU's internal and external communications, the Division of External Relations is in a unique position to help cultivate an inclusive climate on campus, and to communicate about, and connect other campus units with, other campus units with ideas and best practices for their own outreach. These recommendations outline specific ways that DER can contribute significantly to the overall efforts to be established in CSU's Diversity Strategic Plan. This focus area will naturally have some overlap with focus #3 which is to "increase outreach and engagement." Analysis Diversity and inclusivity are two of the primary lenses through which DER views communication. Our intent to promote these core values is firmly established and much of our work is successful at cultivating an inclusive climate. We consider and actively curate diversity in our choices of how we tell the University's story every day and as we promote and build CSU's brand. These recommendations add new ways of increasing inclusivity on campus while also strengthening current practices. - Public Relations o Deliberate attention to featuring students and faculty from diverse backgrounds on all of our channels. [x] Constant effort to assure that images representing the university – photos and videos – represent diversity and inclusion [x] Inclusion of diverse voices and backgrounds [x] Encouragement to attend events and trainings that focus on inclusion [x] Thorough coverage of campus inclusion events such as CSUnite, various speakers on campus, Feminist Fight Club, activities of student groups [x] Leadership of compliance with web access policies by communicators across campus [x] Highlight CSU Principles of Community in employee 1:1's and reviews [x] DER has reps on Incidents of Bias and Campus Climate committees - Public Safety Team o For emergency and safety alerts: careful attention to the language we use to make sure it is both inclusive and non-discriminatory. This is an ongoing concerted effort. Design A communication audit will provide insight as to how DER (specifically public relations, creative services, and web communications) cultivates an inclusive climate. The audit will be done by the subcommittee members as a brainstorming session. - Audit of DER vehicles for cultivating an inclusive climate o Recurring publications [x] Source [x] Social media channels [x] CSU Life [x] CSU magazine [x] On-hold messages [x] Graphics and other assets for recurring events such as Ram Welcome, [x] Commencement, Football gameday [x] CSU Main page [x] Brand.colostate.edu - CSU's Visual Style Guide o Specific deliverables [x] Photos [x] Video [x] Text [x] Audio [x] University Brand Standards o Campus advising and consulting [x] SDVI [x] Campus Communicators [x] Professional Development sessions Implementation Implementation for this goal would involve a series of actions, as noted below. - Host trainings (including experts from VP-Diversity and other relevant campus units) for Campus Communicators on the importance inclusive language and images, and important considerations when producing content. - At SDVI, regular sharing of successes and challenges around issues of inclusion which we encounter while working on projects. - Add required diversity discussion as part of project planning. This consideration typically happens, but this would formalize it. - Add a diversity and inclusion element to onboarding for new employees and during annual reviews. - Regular updates from VP-Diversity on the most current evolution in how people are thinking about these issues, and specifically how they are playing out at CSU an on campuses across the country. This is a constantly evolving discussion and while we may be current and up-todate in our thinking today, that can easily change based on current events or new language and we could suddenly find ourselves behind to curve. - Partner with VP-Diversity to produce an Inclusion Campaign of images and messaging that promotes this campus value. This campaign would be a branding campaign and coordinated on a timeline that works for both DER and VP-Diversity Office. - Cultivating regular diversity and inclusion training and professional development opportunities for DER staff in relation to their area of expertise - Quarterly team strategy sessions to discuss how each unit can champion diversity and inclusion through our everyday work product. Evaluate - 100% of division employees will participate in professional development training. The training will be arranged with the VP of Diversity Office and other campus partner experts and possibly external experts, in accordance with their availability, for completion of training during the FY18-19 period. - Participation will be documented for completion during the 2019 annual evaluation process. Subcommittee Goal: To increase outreach and engagement with marginalized and excluded external communities. Subcommittee: Tiana Nelson, Stacy Grant, Jennifer Lobermeier, Kathy Phifer Colorado State University's and External Relations' commitment to engagement with marginalized and external communities through its professional resources, channels, messaging, and marketing opportunities (i.e.: SOURCE, social media, advertising.) DER demonstrates and fully communicates their commitment to engagement with marginalized and external communities through volunteer and service of staff time, talent, and expertise (i.e.: School Is Cool, United Way, N2N, Meals on Wheels.) DER utilizes its "voice" and influence for what is currently being done for marginalized populations. Analysis: The Division of External Relations is committed to fostering community engagement and outreach efforts with marginalized and excluded communities. There are many programs and initiatives in which the division is creates or is involved. Additionally, we are aware that staff have personal commitments outside of the office in which they partake. The first steps is to survey the division staff members to gather insight as to how each role is serves as a key component for community engagement and outreach and to gather feedback as to how individuals support engagement and outreach in their personal time. Design: A survey was developed by the subcommittee for anonymous feedback from DER staff members. A google form survey was sent to the individuals within each unit. The survey consisted of three questions and an optional opportunity to provide additional feedback. Questions included: * How does your work unit work to increase CSU's and/or DER's outreach and engagement with marginalized and excluded communities? * What role does your position have in supporting engagement and outreach with these populations in a professional sense? * What role do you have in supporting engagement and outreach with these populations in a personal sense? (For example, what volunteer service are you involved with?) * Additional comments/feedback Implementation: The anonymous survey was distributed to all DER staff members and leadership team members via email and individuals were grouped on the distribution email by unit. Participation was encouraged but optional. * Utilize External Relations resources and channels to successfully communicate the University's commitment to our external marginalized communities through positive stories, promotions, and volunteer impact. * Work closely with our campus partners to identity and implement messaging that aligns with University approved language in all communication efforts and projects. * Create a culture within External Relations that supports and encourages employee engagement with marginalized populations and initiatives both on- and off-campus. Evaluation – Analysis of survey results: - 18 responses; 22% response rate - Responses address many aspects of DER's operation from storytelling to events to social media takeovers to human resource practices – along with others. Examples include of DER's involvement in engagement and outreach with marginalized and excluded communities: o Boys and Girls Club of Metro Denver o National Western Center and surrounding neighborhoods o Middle school and high school student group visits o PR stories that feature individuals or groups from marginalized and excluded communities o ADA accessibility for University websites o Collaboration with Advancement office for CSU Cares, Fostering Success, Rams Against Hunger, etc. o Having a "lens" to include diversity and inclusion in videos, photos, social media takeovers, and stories to best represent CSU's diversity o Collaboration with CSU divisions, departments, colleges and units - Responses address many personal volunteer services that DER team members are involved in that reflect on CSU and DER in positive ways. Examples include personal volunteer or causes in which DER staff are engaged with marginalized o Adopt a Family o Habitat for Humanity o Meals on Wheels o United Way o Food Bank of Larimer County o School is Cool o Special Olympics o Volunteer in their child(ren)'s schools o J-Day - After careful review of survey results, evaluate the feedback and develop strategies on behalf of CSU and External Relations. Recommendations: - Showcase the various actions and projects that will continue to engage our marginalized populations. - Increase awareness and engagement through visible messaging. - Initiate a DER task force that identifies opportunities for volunteerism with marginalized populations and initiatives. [Supporting materials attached]
Setting up E-Mail for ORDER POWER! User Guide Computer 6187 N.W. 167th Street, Suite H33 Miami, FL 33015 (305) 558-7000 firstname.lastname@example.org ORDER POWER! Version 4.0.1 Computer Solutions, Inc. 1991-2001 Setting up E-mail for ORDER POWER! and the AS/400 Document Version 4.0.1 All Rights Reserved. Printed in the U.S.A. December 20, 2001 Computer Solutions, Inc. 6187 NW 167 Street Suite H33 Miami Lakes, Florida 33015 U.S.A. Telephone: (305) 558-7000 Fax: (305) 557-0003 AS/400is a registered trademark of the IBM Corporation. ORDER POWER! is a registered trademark of Computer Solutions, Inc. Copyright Table of Contents ORDER POWER! Setting up E-mail forORDER POWER! and the AS/400 i ii Setting up E-mail forORDER POWER! and the AS/400 Setting up E-Mail for ORDER POWER! and the AS/400 In the Information Age, E-mail has become the quickest, and most cost-effective forms of communication. Even if you are not running an ORDER POWER! Web Store, your AS/400 can still act as your E-mail connection. There are two basic requirements to set up E-Mail on the AS/400: Your AS/400 must be at least at IBM release level 4.2 to use E-mail. You must have QSECOFR authority Before you begin, you must have answers to the following questions: What will my e-Mail addresses look like? What is the address of my Name Server (DNS)? Do I have a firewall? If the answer is yes, what is the IP address? Do I have a Mail Proxy, Mail Router, or Mail Relay? If the answer is yes, what is the IP address? To configure the AS/400 system as an Internet or intranet e-Mail server, you must determine the format of your Mail Addresses and have your Name Server(s) configured appropriately. For example, if you want your Mail Addresses to look like the following: email@example.com firstname.lastname@example.org you must have your Domain Name Server (DNS) provider configure the Name Server to identify your AS/400 system as the Mail Server for yourcompany.com . This is known as creating an MX Record. Receiving Mail The AS/400 system must be able to recognize the SMTP DOMAIN for the recipient (the part of the e-Mail address to the right of the @) as its own to receive mail. This is done by configuring the Local Host Table as follows: To configure the Local Host Table 1. On the OS/400 command line, type CFGTCP, then press Enter to display the Configure TCP/IP menu (figure 1). Setting up E-mail forORDER POWER! and the AS/400 CFGTCP Configure TCP/IP CFGTCP Configure TCP/IP CFGTCP Configure TCP/IP CFGTCP Configure TCP/IP System: S987MA2M System: S987MA2M System: S987MA2M System: S987MA2M Select one of the following: Select one of the following: 1. 1. Work with TCP/IP Work with TCP/IP Work with TCP/IP interfaces interfaces interfaces 2. Work with TCP/IP 2. Work with TCP/IP routes routes routes attributes 3. Change TCP/IP 3. Change TCP/IP attributes attributes 4. Work with TCP/IP 4. Work with TCP/IP port restrictions port restrictions port restrictions 5. Work with TCP/IP 5. Work with TCP/IP remote system information remote system information remote system information 10. Work with TCP/IP 10. Work with TCP/IP host table entries host table entries host table entries 11. Merge TCP/IP 11. Merge TCP/IP host table host table host table 12. Change TCP/IP 12. Change TCP/IP domain information domain information domain information 20. Configure TCP/IP 20. Configure TCP/IP applications applications applications 2 21. Configure related tables 1. Configure related tables 1. Configure related tables 22. Configure point 22. Configure point----to to to----point TCP/IP point TCP/IP point TCP/IP Selection or command Selection or command Selection or command Selection or command ===> ===> ===> ===> .... .... F3=Exit F4=Prompt F9=Retrieve F12=Cancel F3=Exit F4=Prompt F9=Retrieve F12=Cancel F3=Exit F4=Prompt F9=Retrieve F12=Cancel F3=Exit F4=Prompt F9=Retrieve F12=Cancel Configure TCP/IP menu (figure 1) 2. Select Option 1 (Work with TCP/IP interfaces), then press Enter to display the Work with TCP/IP Interfaces panel (figure 2). Work with TCP/IP Interfaces panel (figure 2) 3. Write down all Internet Addresses there (except 127.0.0.1, which is an internal system address), then press F3 to redisplay the Configure TCP/IP menu (figure 1) . 4. Select Option 10 (Work with TCP/IP host table entries), then press Enter to display the Work with TCP/IP Host Table Entries panel (figure 3). Setting up E-mail forORDER POWER! and the AS/400 Work with TCP/IP Work with TCP/IP Host Table Entries Host Table Entries Host Table Entries System: S987MA2M System: S987MA2M System: S987MA2M System: S987MA2M Type options, press En Type options, press En Type options, press En Type options, press Enter. ter. ter. ter. 1=Add 2=Change 4=Remove 5=Display 7=Rename 1=Add 2=Change 4=Remove 5=Display 7=Rename 1=Add 2=Change 4=Remove 5=Display 7=Rename 1=Add 2=Change 4=Remove 5=Display 7=Rename Internet Host Internet Host Internet Host Internet Host Opt Address Name Opt Address Name Opt Address Name Opt Address Name .... 127.0.0.1 LOOPBACK 127.0.0.1 LOOPBACK 127.0.0.1 LOOPBACK 127.0.0.1 LOOPBACK LOCALHOST LOCALHOST LOCALHOST LOCALHOST 100.100.100.1 S987MA2M 100.100.100.1 S987MA2M 100.100.100.1 S987MA2M 100.100.100.1 S987MA2M ORDERPOWER.COM ORDERPOWER.COM ORDERPOWER.COM ORDERPOWER.COM CSIFLORIDA.COM CSIFLORIDA.COM CSIFLORIDA.COM CSIFLORIDA.COM 100.100.100.10 S103LCWM 100.100.100.10 S103LCWM 100.100.100.10 S103LCWM 100.100.100.10 S103LCWM 100.100.100.50 S1017548 100.100.100.50 S1017548 100.100.100.50 S1017548 100.100.100.50 S1017548 Bottom Bottom Bottom Bottom F3=Exit F5=Refresh F6=Print list F12=Cancel F17=Position to F3=Exit F5=Refresh F6=Print list F12=Cancel F17=Position to F3=Exit F5=Refresh F6=Print list F12=Cancel F17=Position to F3=Exit F5=Refresh F6=Print list F12=Cancel F17=Position to Work with TCP/IP Host Table Entries panel (figure 3) 5. For each Internet Addresses recorded in step 3: If the address already exists in the table Use Option 2 (Change) to add your Domain name (mycompany.com) to the name(s) already associated with that address. If the address is not in the table Use Option 1 (Add) to add it, associating your Domain Name (mycompany.com) with the address. 6. Press Enter to return to Configure TCP/IP menu (figure 1), then select Option 12 (Change TCP/IP domain information to display the Change TCP/IP Change TCP/IP Domain (CHGTCPDMN) Domain (CHGTCPDMN) Domain (CHGTCPDMN) Type choices, press Enter. Type choices, press Enter. Host name . . . . . . . . . . . 'S987MA2M' 'S987MA2M' 'S987MA2M' 'S987MA2M'.... .... Domain n Domain name . . . . . . . . . . ame . . . . . . . . . . 'CSIFLORIDA.COM' 'CSIFLORIDA.COM'.... .... .... Host name search priority . . . LOCAL LOCALREMOTE, LOCAL, SAME REMOTE, LOCAL, SAME REMOTE, LOCAL, SAME REMOTE, LOCAL, SAME Domain name server: Domain name server: Domain name server: Domain name server: Internet address . . . . . . . Internet address . . . . . . . Internet address . . . . . . . Internet address . . . . . . . '100.100.100.1' '100.100.100.1'.... .... .... Bottom Bottom Bottom Bottom F3=Exit F4=Prompt F5=Refresh F10=Additional parameters F12=Cancel F3=Exit F4=Prompt F5=Refresh F10=Additional parameters F12=Cancel F3=Exit F4=Prompt F5=Refresh F10=Additional parameters F12=Cancel F3=Exit F4=Prompt F5=Refresh F10=Additional parameters F12=Cancel F13=How to use this display F24=More keys F13=How to use this display F24=More keys F13=How to use this display F24=More keys F13=How to use this display F24=More keys Change TCP/IP Domain panel (figure 4) 7. Complete these fields: Host name If there is nothing already specified, type the AS/400 system name. Setting up E-mail forORDER POWER! and the AS/400 Domain name If there is nothing already specified, type your Domain name (such as mycompany.com). Host name search priority Type LOCAL . Domain name server Type the address(es) for the Internet Nameserver provided by your Internet Service Provider (ISP). This is the server which translates a domain name, such as yourcompany.com, to an IP address on the Internet. Then when you send an e-mail to "email@example.com" the server at the above IP address knows where yourcompany.com is found on the Internet. 8. Press Enter to update the Local Host Table. Receiving Mail for POP Users (Mail only Clients) Even if they never sign on the AS/400 system, each POP (Post Office Protocol) mail user is considered an AS/400 user and must have a user profile. Users who normally sign on the AS/400 system already have a user profile. If that is the case, skip to the section on Directory Entries. Otherwise, you must create a User Profile. To create a new User Profile 1. On the OS/400 command line, type CRTUSRPRF , then press Enter to display Create User Profile panel 1 (figure 5). 2. Most of the defaults can be used, but the following parameters require attention. Complete these fields: Create User Profile panel 1 (figure 5) Set password to expired Type NO for this parameter is recommended because setting this parameter to YES forces the user sign on the AS/400 system to change the password. Initial menu Type SIGNOFF to prevent this User Profile from being used to sign on the AS/400 system. Setting up E-mail forORDER POWER! and the AS/400 Limit capabilities Specify YES for security purposes. 3. Press F10 (Additional parameters), then Roll Up (or Page Down on most PCs) to display Create User Profile panel 2 (figure 6). Create User Profile panel 2 (figure 6) 4. Complete these fields: Password expiration interval(related toSet password to expired) Type NOMAX if the user does not sign on the AS/400 system. (Otherwise, when the password expires, the user cannot access mail.) 5. Press Enter to update the User Profile. The User Profile and Password configured here are the same as those configured on the POP Client as UserID, ACCOUNT, or a similar parameter. Often, for security reasons, the User Profile is not the same as the e-Mail user. For example, if the e-Mail address for the user is firstname.lastname@example.org, the User Profile name might be ROE or JROE. Using that example, the command is: CRTUSRPRF USRPRF(JROE) PWDEXP(NO) INLMNU(SIGNOFF) +LMTCPB(YES) PWDEXPITV(NOMAX) To create Directory Entries Each user also requires a Directory Entry. The Directory Entry is where the e-Mail Address gets matched with the User Profile. If the user does not already have a directory entry, you need to add one. This example adds a new Directory Entry, using the User Profile from the example above. 1. On the OS/400 command line, type ADDDIRE, then press Enter to display Add Directory Entry panel 1 (figure 7). Setting up E-mail forORDER POWER! and the AS/400 ``` Add Directory Entry (ADDDIRE) Add Directory Entry (ADDDIRE) Type choices, press Enter. Type choices, press Enter. User identifier: User identifier: User ID . . . . . . . . . . . > User ID . . . . . . . . . . . > User ID . . . . . . . . . . . > User ID . . . . . . . . . . . > JANEROE JANEROE Character value Character value Address . . . . . . . . . . . > Address . . . . . . . . . . . > Address . . . . . . . . . . . > Address . . . . . . . . . . . > SYSNAME SYSNAME Character value Character value User description . . . . . . . . > User description . . . . . . . . > User description . . . . . . . . > User description . . . . . . . . > 'Jane Roe 'Jane Roe 'Jane Roe ---- POP3 User' POP3 User' .... User profile . . . . . . . . . . > User profile . . . . . . . . . . > User profile . . . . . . . . . . > User profile . . . . . . . . . . > JROE JROE Name, NONE Name, NONE System name: System name: System name . . . . . . . . . System name . . . . . . . . . System name . . . . . . . . . System name . . . . . . . . . LCL LCL Character value, LCL, PC... Character value, LCL, PC... System gr System group . . . . . . . . . Character value oup . . . . . . . . . Character value oup . . . . . . . . . Character value Network user ID . . . . . . . . Network user ID . . . . . . . . Network user ID . . . . . . . . Network user ID . . . . . . . . USRID USRID .... Last name . . . . . . . Last name . . . . . . . . . . . NONE . . . . NONE . . . . NONE First name . . . . . . . . . . . NONE First name . . . . . . . . . . . NONE Middle name . . . . . . . . . . N Middle name . . . . . . . . . . NONE ONE ONE Preferred name . . . . . . . . . NONE Preferred name . . . . . . . . . NONE More... More... F3=Exit F4=Prompt F5=Refresh F12=Cancel F1 F3=Exit F4=Prompt F5=Refresh F12=Cancel F13=How to use this display 3=How to use this display 3=How to use this display F24=More keys F24=More keys Already at top of area. Already at top of area. ``` Add Directory Entry panel 1 (figure 7) 2. Complete these fields: User ID Type the User ID of the person for whom you are creating this Directory Entry. Address Type SYSNAME. User Description Type an identifying description of the user. User Profile Type the User Profile of the person for whom you are creating this Directory Entry (in most cases, this is the same as the User ID). 3. Press F10 (Additional parameters), then Roll Up (or Page Down on most PCs) five times to display Add Directory Entry panel 6 (figure 8). Add Directory Entry (ADDDIRE) Add Directory Entry (ADDDIRE) Type choices, press Enter. Type choices, press Enter. User User----defined fields: defined fields: defined fields: Field name . . . . . . . . . . Field name . . . . . . . . . . Field name . . . . . . . . . . Field name . . . . . . . . . . NONE NONE NONE NONECharacter value, NONE Character value, NONE Character value, NONE Character value, NONE Produc Produc Produc Product ID . . . . . . . . . . t ID . . . . . . . . . . t ID . . . . . . . . . . t ID . . . . . . . . . . Character value, NONE Character value, NONE Character value, NONE Character value, NONE Value . . . . . . . . . . . . Value . . . . . . . . . . . . Value . . . . . . . . . . . . Value . . . . . . . . . . . . .... .... .... .... .... .... .... + for more values + for more values + for more values + for more values Mail service level: Mail service level: Mail service level: Mail service level: Field name . . . . . . . . . . > Field name . . . . . . . . . . > Field name . . . . . . . . . . > Field name . . . . . . . . . . >SYSMS SYSMS SYSMS SYSMSCharacter value, USRIDX... Character value, USRIDX... Character value, USRIDX... Character value, USRIDX... Product ID . . . . . . . . . . Product ID . . . . . . . . . . Product ID . . . . . . . . . . Product ID . . . . . . . . . . Character value, NONE Character value, NONE Character value, NONE Character value, NONE More... More... More... More... F3=Exit F4=Prompt F5=Refresh F12=Cancel F13=How to use this displ F3=Exit F4=Prompt F5=Refresh F12=Cancel F13=How to use this displ F3=Exit F4=Prompt F5=Refresh F12=Cancel F13=How to use this displ F3=Exit F4=Prompt F5=Refresh F12=Cancel F13=How to use this display ay ay ay F24=More keys F24=More keys F24=More keys F24=More keys Add Directory Entry panel 6 (figure 8) Setting up E-mail forORDER POWER! and the AS/400 4. Complete this field: 5. Press Roll Up (or Page Down on most PCs) to display Add Directory Entry panel (figure 9). Mail service level: Field name TypeSYSMS. Add Directory Entry (ADDDIRE) Add Directory Entry (ADDDIRE) Type choices, press Enter. Type choices, press Enter. Type choices, press Enter. Type choices, press Enter. Preferred address: Preferred address: Preferred address: Preferred address: Fi Fi Fi Field name . . . . . . . . . . > eld name . . . . . . . . . . > eld name . . . . . . . . . . > eld name . . . . . . . . . . >SMTP SMTP SMTP SMTPCharacter value, USRID... Character value, USRID... Character value, USRID... Character value, USRID... Product ID . . . . . . . . . . Product ID . . . . . . . . . . Product ID . . . . . . . . . . Product ID . . . . . . . . . . Character value, NONE Character value, NONE Character value, NONE Character value, NONE Address type . . . . . . . . . Address type . . . . . . . . . Address type . . . . . . . . . Address type . . . . . . . . . Character value Character value Character value Character value cc:Mail address cc:Mail address cc:Mail address cc:Mail address . . . . . . . . . . . . . . . .. . . . . . . .. . . . . . . . NONE NONE NONE NONE.... .... .... .... cc:Mail comment . . . . . . . . cc:Mail comment . . . . . . . . cc:Mail comment . . . . . . . . cc:Mail comment . . . . . . . . NONE NONE NONE NONE.... .... .... Allow synchronization . . . . . Allow synchronization . . . . . Allow synchronization . . . . . Allow synchronization . . . . . YES YES YES YESYES, NO YES, NO YES, NO YES, NO DLO owner . . . . . . . . . . . DLO owner . . . . . . . . . . . DLO owner . . . . . . . . . . . DLO owner . . . . . . . . . . . USRPRF USRPRF USRPRF USRPRFUSRPRF, GRPPRF USRPRF, GRPPRF USRPRF, GRPPRF USRPRF, GRPPRF Bottom Bottom Bottom Bottom F3=Exit F4=Prompt F5=Refresh F12=Cancel F13=How to use this display F3=Exit F4=Prompt F5=Refresh F12=Cancel F13=How to use this display F3=Exit F4=Prompt F5=Refresh F12=Cancel F13=How to use this display F3=Exit F4=Prompt F5=Refresh F12=Cancel F13=How to use this display F24=More keys F24=More keys F24=More keys F24=More keys Add Directory Entry panel (figure 9) 6. Complete this field: 7. Press Enter to update the Directory Entry Preferred address: Field name TypeSMTP. . Using that example, the command is: ADDDIRE USRID(JANEROE SYSNAME) USRD('Jane Roe - POP3 User') + USER(JROE) SYSNAME(LCL) MSFSRVLVL(SYSMS) PREFADR(SMTP) Note: If the user already has a Directory Entry, use the change command to modify it. To modify an existing Directory Entry 1. On the OS/400 command line, type CHGDIRE, then press Enter to display the Change Directory Entry panel, similar to Add Directory Entry panel 1 (figure 7). 2. Complete the fields as described in steps 2 – 7 of the "To create Directory Entries" section above. Using that example, the command is: CHGDIRE USRID(JANEROE SYSNAME) MSFSRVLVL(SYSMS) + PREFADR(SMTP) To create an e-mail address for a user This step ties it all together and assigns the actual e-mail address for the user. 1. On the OS/400 command line, type WRKDIRE, then press Enter to display the Work with Directory Entries panel (figure 10). Setting up E-mail forORDER POWER! and the AS/400 ``` Work with Directory Entries Work with Directory Entries Type options, press Enter. Type options, press Enter. 1=Add 2=Change 4=Remove 5=Display details 6=Print details 1=Add 2=Change 4=Remove 5=Display details 6=Print details 7=Rename 8=Assign different ID to 7=Rename 8=Assign different ID to description 9=Add another description description 9=Add another description description 9=Add another description Opt User ID Address Description Opt User ID Address Description .... ADIEL S987MA2M Adiel Gonzalez ADIEL S987MA2M Adiel Gonzalez ANDREA S987MA2M Andrea Bentley ANDREA S987MA2M Andrea Bentley ARMANDO S987MA2M Armando Someillan ARMANDO S987MA2M Armando Someillan BONNIE S987MA2M Bonnie Rogers BONNIE S987MA2M Bonnie Rogers CLARA S987MA2M Clara Guzman CLARA S987MA2M Clara Guzman CONNIE S987MA2M Connie Jo Church CONNIE S987MA2M Connie Jo Church CSI S103LCWM CSI CSI S103LCWM CSI ---- Distributions to S170 Distributions to S170 Distributions to S170 CSI S1037CCA Distributions to SISK CSI S1037CCA Distributions to SISK CSI S987MA2M CSI CSI S987MA2M CSI ---- Local Distributions Local Distributions Local Distributions CSI CSI S9871847 Karol Media Distributions S9871847 Karol Media Distributions S9871847 Karol Media Distributions DARREN S987MA2M Darren D'Cunha DARREN S987MA2M Darren D'Cunha DAVID S987MA2M David Scorca DAVID S987MA2M David Scorca More... More... More... F3=Exit F5=Refresh F9=Work with nicknames F11=Sort by description F3=Exit F5=Refresh F9=Work with nicknames F11=Sort by description F12=Cancel F13=Work with departments F17=Position to F24=More keys F12=Cancel F13=Work with departments F17=Position to F24=More keys ``` Work with Directory Entries panel (figure 10) 2. Type 2 (Change) beside the User ID you want to work with, then press Enter to display the Change Directory Entry panel (figure 11). Change Directo Change Directory Entry ry Entry ry Entry User ID/Address . . . . : MARV S987MA2M User ID/Address . . . . : MARV S987MA2M User ID/Address . . . . : MARV S987MA2M User ID/Address . . . . : MARV S987MA2M Type changes, press Enter. Type changes, press Enter. Type changes, press Enter. Type changes, press Enter. Description . . . . . . Description . . . . . . Description . . . . . . Description . . . . . . Marv Smith Marv Smith Marv Smith Marv Smith.... System name/Group . . . System name/Group . . . System name/Group . . . System name/Group . . . S987MA2M S987MA2M S987MA2M S987MA2M F4 for list F4 for list F4 for list F4 for list User profile . . . . . User profile . . . . . User profile . . . . . User profile . . . . . MARV MARV MARV MARVF4 for list F4 for list F4 for list F4 for list Network user ID . . . . Network user ID . . . . Network user ID . . . . Network user ID . . . . MARV S987MA2M MARV S987MA2M MARV S987MA2M MARV S987MA2M.... Name: Name: Name: Name: Last . . . . . . . . Last . . . . . . . . Last . . . . . . . . Last . . . . . . . . .... First . . . First . . . First . . . First . . . . . . . . . . . . .. . . . .. . . . . .... Middle . . . . . . . Middle . . . . . . . Middle . . . . . . . Middle . . . . . . . .... Preferred . . . . . . Preferred . . . . . . Preferred . . . . . . Preferred . . . . . . .... Full . . . . . . . . Full . . . . . . . . Full . . . . . . . . Full . . . . . . . . .... More... More... More... More... F3=Exit F4=Prompt F5=Refresh F12=Cancel F18=Display location details F3=Exit F4=Prompt F5=Refresh F12=Cancel F18=Display location details F3=Exit F4=Prompt F5=Refresh F12=Cancel F18=Display location details F3=Exit F4=Prompt F5=Refresh F12=Cancel F18=Display location details F19=Change name for SMTP F22=Remove name for F19=Change name for SMTP F22=Remove name for F19=Change name for SMTP F22=Remove name for F19=Change name for SMTP F22=Remove name for SMTP SMTP SMTP SMTP Change Directory Entry panel (figure 11) 3. Press F19 (Change name for SMTP) to display the Change Name for SMTP panel (figure 12). Setting up E-mail forORDER POWER! and the AS/400 Change Name for SMTP Change Name for SMTP Change Name for SMTP System: S987MA2M System: S987MA2M System: S987MA2M System: S987MA2M User ID/Address . . . . . : MARV S987MA2M User ID/Address . . . . . : MARV S987MA2M User ID/Address . . . . . : MARV S987MA2M User ID/Address . . . . . : MARV S987MA2M Type choices, press Enter. Type choices, press Enter. SMTP user ID . . . . . . SMTP user ID . . . . . . SMTP user ID . . . . . . SMTP user ID . . . . . . marv_smith marv_smith marv_smith marv_smith.... SMTP domain . . . . . . . SMTP domain . . . . . . . SMTP domain . . . . . . . SMTP domain . . . . . . . CSIFLORIDA.COM CSIFLORIDA.COM CSIFLORIDA.COM CSIFLORIDA.COM.... .... .... .... .... SMTP route . . . . . . . .... .... .... .... .... .... .... .... F3=Exit F12=Cancel F3=Exit F12=Cancel F3=Exit F12=Cancel F3=Exit F12=Cancel Change Name for SMTP panel (figure 12) 4. Complete these fields: SMTP user ID Type the name you want to assign as this user's e-mail address. SMTP domain Type your domain name. (In the example above, the full e-mail address becomes email@example.com.) . 5. Press Enter to redisplay the display the Change Directory Entry panel (figure 11) Press Enter to update." Press Enter to update. Receiving Mail for OV/400 Users OfficeVision/400 users already have a User Profile and a Directory Entry. All you need to do is add the e-Mail Address to the Directory Entry. To do that for each user, follow the "To create an e-mail address for a user" on page 7. Receiving Mail for Domino Users No additional OS/400 configuration is required to allow Domino/400 users to receive mail. Refer to the Lotus documentation for required DOMINO configuration steps. Sending Mail No additional configuration is required to allow POP or Domino users to send mail. To allow OV/400 users to send mail 1. On the OS/400 command line type: ADDDIRE USRID(INTERNET GATEWAY) USRD('Allow OV/400 to send INTERNET Mail') + SYSNAME(INTERNET) MSFSRVLVL(USRIDX) PREFADR(NETUSRID IBM ATCONTXT) 2. Press Enter. Then, type: CHGDSTA SMTPRTE(INTERNET GATEWAY) 3. Press Enter. If you have a firewall and/or a mail proxy, on the OS/400 command line type: CHGSMTPA MAILROUTER(MAIL.ROUTER.NAME) FIREWALL(YES) Setting up E-mail forORDER POWER! and the AS/400 4. Press Enter to complete. 10 Setting up E-mail forORDER POWER! and the AS/400 Going Live with E-Mail After all your users are set up, make sure that the mail router name is in the AS/400 Host Table (CFGTCP, Option 10) or can be resolved via your Name Server (DNS). When all configurations are complete: 1. On the OS/400 command line, type: ENDTCPSVR SMTP, then press Enter 2. Type: ENDMSF, then press Enter. 3. Type: STRTCPSVR *SMTP, then press Enter. 4. Type: STRMSF, then press Enter. 5. Type: WRKACTJOB SBS(QSYSWRK), then press Enter. 6. In the display that results from Step 5, verify that there are: 3 jobs named QMSF running A job named QTSMTPBRCL running A job named QTSMTPBRSR running A job named QTSMTPCLNT running A job named QTSMTPSRVR running 7. Set system value WRKSYSVAL SYSVAL(QUTCOFFSET) to your difference from GMT (Greenwich Mean Time). For example, Computer Solutions, Inc. in Miami is now in Daylight Savings Time, which is -04:00 relative to GMT. When we go back to regular time, we need to set it back to -05:00. Troubleshooting E-Mail If mail does not work after following the above instructions above, you can do some preliminary troubleshooting by looking at the job logs for the QMSF jobs, and for QTSMTPBRSR, QTSMTPBRCL, QTSMTPCLNT, and QTSMTPSRVR. If any of these jobs is not running, we must have the job logs. Most error messages that are found in those logs have a workable recovery procedure or lead to a PTF. ORDER POWER! Setting up E-mail forORDER POWER! and the AS/400 11. Working with automatic E-mails (E-mail Classes) E-mail Classes allow the user to define what e-mails should be sent for each customer, order, and vendor. E-mails can be sent automatically for these events: Order Was Shipped Web Order Has Check-out Response to Contact Us Query from Web Order confirmation (Future enhancement) Credit card denial (Future enhancement) Marketing (Future enhancement) Invoices (Future enhancement) Each E-mail Class contains a list of E-mail Types. By assigning an E-mail Class to a Customer or Vendor, you are actually defining the types of e-mails to be sent to that Customer or Vendor. Within the E-mail Class, each Email Type specifies the "Subject Line" and where you store the text document used for the "Body" of the e-mail. E-mail Classes allow the user to define what e-mails should be sent for each customer, order, and vendor. For Web customers, this code overrides the (non-Web) E-mail Class defined in the Company Profile. See the "Working with automatic E-mails (E-mail Classes)" section on page 12 for more information. To set up automatic E-mails To work with E-mail classes On the ORDER POWER! Work with Files menu, select E-mail Class Codes, then press Enter to display the E-mail Class Inquiry panel (figure 13). E-mail Class Inquiry panel (figure 13) Setting up E-mail forORDER POWER! and the AS/400 These actions are available, in addition to the standard ORDER POWER! functions: \| \| Action \| Description \| \|---\|---\|---\| \| 2=Change \| \| \| \| 5=Display \| \| \| \| 6=Class/Type Details \| \| \| \| F6=Create \| \| \| To create a new E-mail Class 1. On the E-mail Class Inquiry panel (figure 13), press F6 (Create) to display the Email Class Maintenance panel (figure 14). WEB STORE WEB STORE WEB STORE WEB STORE E E E E----mail mail mail Class Maintenance Class Maintenance Class Maintenance Class Maintenance E E----mail Class mail Class mail Class .... F1=Help F3=Exit F12=Cancel F1=Help F3=Exit F12=Cancel F1=Help F3=Exit F12=Cancel F1=Help F3=Exit F12=Cancel E-mail Class Maintenance panel (figure 14) 1a. Complete this field: E-mail Class Type a code to identify the E-mail Class you are creating. 1b. Press Enter to display the E-mail Class Maintenance panel (figure 15) . To change E-mail Class 1. On the E-mail Class Inquiry panel (figure 13), type 2 (Change) to display the E-mail Class Maintenance panel (figure 15). Setting up E-mail forORDER POWER! and the AS/400 WEB S WEB STORE TORE TORE E E----mail Class Maintenance mail Class Maintenance mail Class Maintenance E E E E----mail Class mail Class mail Class WB5 WB5 WB5 WB5 DescriptionContact Us and Order Receipt Contact Us and Order Receipt.... Info1 Info1 Info1 Info1 .... Info2 Info2 Info2 Info2 .... Info3 Info3 Info3 Info3 .... Delete Delete Delete Delete.... F1=Help F3=Exit F12=Cancel F1=Help F3=Exit F12=Cancel E-mail Class Maintenance panel (figure 15) 2. Complete this field: Description Type an identifying description of the E-mail Class. Info fields 1 / 2 / 3 Type the text you want to populate these 10-character user-defined fields. 3. Press Enter to update the E-mail Class record. To display an E-mail Class 1. On the E-mail Class Inquiry panel (figure 13), type 5 (Display) to display the E-mail Class Display window similar to E-mail Class Maintenance panel (figure 15). To work with E-mail Class Types 1. On the E-mail Class Inquiry panel (figure 13), type 6 (Class/Type Details) to display E-mail Class Detail Inquiry panel (figure 16). WEB STORE WEB STORE Position to : Position to : Position to : Position to : E E----mail Class Detail Inquiry Show Delete mail Class Detail Inquiry Show Delete mail Class Detail Inquiry Show Delete : : : : NNNN ALL ALL ALL ALL All E All E All E All E----mail are selected mail are selected mail are selected 2=Change 5=Display 2=Change 5=Display 2=Change 5=Display 2=Change 5=Display Option Option Option Option E E E----mail Type Description Del mail Type Description Del mail Type Description Del ORSHP Order Was Shipped ORSHP Order Was Shipped WBCKO Web Order Has Check WBCKO Web Order Has Check----out out out WBCUS WBCUS Response to Contact Us Query from Web Response to Contact Us Query from Web Response to Contact Us Query from Web Bottom Bottom Bottom Bottom F1=Help F3=Exit F6=Create F7=Bkwd F8=Fwd F12=Cancel F21=Print F1=Help F3=Exit F6=Create F7=Bkwd F8=Fwd F12=Cancel F21=Print E-mail Class Detail Inquiry panel (figure 16) Setting up E-mail forORDER POWER! and the AS/400 ORDER POWER! If you are creating a new E-mail Class, you must create Class/Types before any e-mails will actually be sent. See below for details. These actions are available, in addition to the standard ORDER POWER! functions: \| \| Action \| Description \| \|---\|---\|---\| \| 2=Change \| \| \| \| 5=Display \| \| \| To create a new E-mail Type 1. On the E-mail Class Detail Inquiry panel (figure 16), press F6 (Create) to display the E-mail Class/Type Maintenance panel 1 (figure 17). WEB STORE WEB STORE WEB STORE WEB STORE WB5 E WB5 E WB5 E WB5 E----mail Class/Type Maintenance mail Class/Type Maintenance mail Class/Type Maintenance Contact Us and Order Receipt Contact Us and Order Receipt Contact Us and Order Receipt Contact Us and Order Receipt ?E ?E ?E ?E----mail Type mail Type mail Type .... F1=Help F3=Exit F4=?List F12=Cancel F1=Help F3=Exit F4=?List F12=Cancel F1=Help F3=Exit F4=?List F12=Cancel F1=Help F3=Exit F4=?List F12=Cancel E-mail Class/Type Maintenance panel 1 (figure 17) 1a. Complete this field: E-mail Type Type a code to identify the E-mail Class you are creating. 1b. Press Enter to display the E-mail Class/Type Maintenance panel 2 (figure 18). To change an E-mail Type 1. On the E-mail Class Detail Inquiry panel (figure 16), type 2 (Change) to display the E-mail Class/Type Maintenance panel 2 (figure 18). Setting up E-mail forORDER POWER! and the AS/400 WEB STORE WEB STORE WEB STORE WEB STORE E E E E----mail Class/T mail Class/T mail Class/Type Maintenance ype Maintenance ype Maintenance ype Maintenance EEE E----mail Class WB5 Contact Us and Order Receipt mail Class WB5 Contact Us and Order Receipt mail Class WB5 Contact Us and Order Receipt EEE E----mail Type WBCKO Web Order Has Check mail Type WBCKO Web Order Has Check mail Type WBCKO Web Order Has Check mail Type WBCKO Web Order Has Check----out out out Send e Send e----mail to ordered mail to ordered mail to ordered----by customer by customerYYYYY/N Y/N Y/N Y/N Subject line for the e Subject line for the e----mail mailThank you for your order Thank you for your order.... Where is the document located Where is the document located Where is the document located Where is the document locatedAAAAI = In folder QDLS/OPEMAIL, A = AS/400 I = In folder QDLS/OPEMAIL, A = AS/400 I = In folder QDLS/OPEMAIL, A = AS/400 I = In folder QDLS/OPEMAIL, A = AS/400 If "I", what is the document name If "I", what is the document name If "I", what is the document name If "I", what is the document name .... Delete Delete Delete Delete.... F1=Help F3=Exit F12=Cancel F1=Help F3=Exit F12=Cancel E-mail Class/Type Maintenance panel 2 (figure 18) 2. Complete these fields: Send e-mail to ordered-by customer Type Y(es) or N(o) to indicate whether or not you want to send this E-mail Type to the Ordered-By Customer. Subject line for the e-mail Type the text you want the Web Store to use for the "Subject" line of this e-mail message. Where is the document located Type a code to indicate the location of the document you want to use for the "Body" of this e-mail message. I In IFS folder QDLS/OPEMAIL A On the AS/400 in a document you will be prompted to create in step 3. If "I", what is the document name Type the name of the document you want to use for the "Body" of this e-mail message. This document MUST be stored in IFS folder QDLS/OPEMAIL. 3. Press Enter to update the E-mail Class/Type. If you selected A (AS/400) in the Where is the document located field, ORDER POWER! displays AS/4000 E-mail Message Entry panel (figure 19). Setting up E-mail forORDER POWER! and the AS/400 Thank you for sending a message to us. We promise that the Thank you for sending a message to us. We promise that the message will be re message will be re ad by an actual human very soon..... .... .... .... .... .... .... .... .... .... .... .... .... .... .... .... .... .... .... .... .... .... AS/4000 E-mail Message Entry panel (figure 19) 4. Type the text you want to use as the "Body" of this e-mail message. To display an E-mail Type 1. On the E-mail Class Detail Inquiry panel (figure 16), type 5 (Display) to display the E-mail Class/Type Detail Display panel similar to E-mail Class/Type Maintenance panel 2 (figure 18). To set the E-mail class for you Web Store Press Enter to display the Web Store Profile Update Panel 6 (figure 20). WEB STORE Panel 6 WEB STORE Panel 6 WEB STORE Panel 6 WEB STORE Panel 6 Automatic E Automatic E----mail Web Store Profile Update mail Web Store Profile Update mail Web Store Profile Update ?E?E?E ?E----mail class for this Web Store mail class for this Web StoreWEB WEB WEB WEBAll possible web e All possible web e All possible web e All possible web e----mails are selected mails are selected mails are selected SMTP Server IP.................. SMTP Server IP.................. SMTP Server IP.................. SMTP Server IP.................. 100.100.100.1 100.100.100.1 100.100.100.1 100.100.100.1.... F1=Help F3=Exit F4=?list F12=Cancel F23=User F1=Help F3=Exit F4=?list F12=Cancel F23=User F1=Help F3=Exit F4=?list F12=Cancel F23=User F1=Help F3=Exit F4=?list F12=Cancel F23=User Web Store Profile Update Panel 6 (figure 20) Complete these fields: E-mail class for this Web Store Type a user-defined code that identifies which E-mail Class you want assigned to new Customers created by Web Store orders. Setting up E-mail forORDER POWER! and the AS/400 SMTP Server IP (required) Type the numeric Internet Protocol address your System Administrator has established for your e-mail server. This is used for outbound e-mails such as Order and Shipment confirmations. Press Enter to update the Web Store. Setting up E-mail forORDER POWER! and the AS/400
Advance Nanogels of Drug Delivery System: A Review Ahmed Y. Fadhel 1* , Nawal A. Rajab 2 1Department of Pharmaceutical, College of Pharmacy, University of Tikrit, Tikrit, Iraq 2Department of Pharmaceutical, College of Pharmacy, University of Baghdad, Baghdad, Iraq Received: 28th May, 2021, Revised: 2nd August, 2021, Accepted: 1st November, 2021, Available Online: 25th December, 2021 ABSTRACT The term 'nanogels' defined as particles in nanosized made cross-linked polymers networks by chemically or physically which is a swell in a suitable solvent. The nanogels are made up of various forms of synthetic or natural polymers that are bound together by physical non-covalent bonds such as H-bonds, electrostatic bonds, and hydrophobic bonds or by chemical covalent bond. A nanosize of nanogel is designed to reduce some of the disadvantages of micron size particles, which includ retention at targeting site, surface area, site specificity, swelling properties, loading efficiency of drug, and finally release behavior. It classifies based on responsive behavior and on the basis of linkages (physical and chemical). This review aims to provide general introduction on nanogels, their novel application in different approach and recent synthesis methodology. Keywords: Cross-linked particles, Nanogel, Physical chemical properties, Polymers. International Journal of Drug Delivery Technology (2021); DOI: 10.25258/ijddt.11.4.67 How to cite this article: Fadhel AY, Rajab NA. Advance Nanogels of Drug Delivery System: A Review. International Journal of Drug Delivery Technology. 2021;11(4):1507-1512. Source of support: Nil. Conflict of interest: None INTRODUCTION The term 'nanogels' defined as particles in nanosized made cross-linked polymers networks by chemically or physically which is a swell in a suitable solvent. The nanogels can be made from different of synthetic, natural polymers, or a mixture of physically cross-linked by non-covalent bonds like hydrophobic interactions, hydrogen bonds and electrostatic or by chemically (covalent) crosslinked. The most capacity of absorbing water is result to the presence of groups with hydrophilic properties, like –CONH–, –CONH2–, –SO3H and –OH, alongside the macromolecular chains in the structure of polymers. 2 The origin word nanogel was first presented to explain of bi-functional networks with cross-linked of a nonionic and a multi-ion polymers to delivery of polynucleotides like poly ethylene glycol (PEG) and cross-linked poly ethyleneimine (PEI). 1 Nanogels are particles with less than 100 nm in dimension polymers network. The nanogels are biocomptable nanocarriers, which have been introduced in the biotechnology and biomedicine sciences to a day. 3 Due to their size, it can avoid from renal clearance and lead to increase of serum half-life period. It has hydrophilic networks with three dimensional that have the ability to absorb physiological fluid or water in a high amount, without altering in internal structure of network. Changes of nanogels by chemical process can be made to aid introduction of ligands which can be used for drug as targeting delivery system, preparation of composite materials or stimulus responsive drug release. 4 Nanogel nanosize regimens are designed to resolve some of the drawbacks of micron-sized particles, such as retention at the target site, site specificity, surface area, drug loading efficiency, swelling, and release behavior. Nanogels are ideal because they are biodegradable, biocompatible, leak-resistant, and flexible. 7 Nanogels may composed from amphiphilic molecules which are a charged or non-charged system. 5 The loading of drug in a nanogels requires physiochemical interaction between drug and polymeric compounds through functional groups. 6 Advantages of Nanogels Drug Delivery Approach 8 * It produced good protection from biodegradation of drugs inside the body. * Low doses of drug due to low amount drug is required . * Physical properties like size of nanogels can be easily adjusted and maintained according to the desired delivery molecule. * Enhance the bioavailability of the drug and reduce the drugs toxicity. * These are able to pass through physiological barrier like skin and also can cross blood brain barrier. * Drugs loaded nanogels can be applied topically and can be delivered inside the body without side effects . Disadvantages of Nanogels 9 * The process of removal the surfactants and solvents at the end of preparation process are very expensive technique. * Due to the mean size and weight, scaling up is difficult. * The presents traces amount of monomer or surfactant can produce adverse effects. Classification of Nanogels Based on Responsive Behavior Nanogels may be either stimuli-responsive or nonresponsive: * Non-responsive nanogels which swell when come in contact with water. 10 * Swelling or deswelling of nanogels in response to environmental stimulus like magnetic field, pH, temperature, and ionic strength. Based on Linkages A. Physically Cross-linked Nanogels Hybrid Nanogels These are the complex of nanogel particles dispersed in both organic or inorganic medium. A number of studies have verified the synthesis of nanogel through self-assembly or accumulation of polymer amphiphiles in an aqueous medium, like hydrophobized polysaccharides, pullulanpoly N-isopropylacrylamid (PNIPAM), and hydrophobized pullulan. Mostly, pullulan is employed in cosmetics, food and in pharmaceutical industries due to its easy chemical modification, as well as nonmutagenic, nontoxic, noncarcinogenic, and nonimmunogenic nature. 11 This type of nanogels can form complexes with many proteins, DNA and drugs and it also have ability to coat particles, solid surface (cells), and liposomes. The hybrid nanogels are also ability of delivering anticancer drugs and insulin more efficiently. Cholesterin-producing pullulan is made up of a backbond and branches made up of cholesterol. It self-aggregates by lipophilic groups, resulting in stable nanogels as shown in Figure 1. Liposome Modified Nanogels These are vesiclar of lipid bilayer structure, where the lipid can form vesicles when present in aqueous medium. The main ingredients of liposome are phospholipid and cholesterol. 12 pH and thermo responsive liposome modified nanogel are being investigated for transdermal drug delivery. It is made by combining poly (N isopropylacrylamide) and succinylated poly (glycidol) and is used to deliver calcein to the cytoplasm by fusing the chain below pH 5.5. 13 Figure 1: Schematic demonstration of cholesterol-bearing pullulan nanogel preparation by physical cross-linking (self-assembly) Micellar Nanogels Both hydrophilic and hydrophobic blocks are supramolecular self-assembly to produce micellar nanogls or by graft copolymers in an aqueous mediumIt is made up of a hydrophobic core and a hydrophilic shell that work together to keep the micelle stable. 14 The advantages from shape of micellar nanogels is to produce good space to carry biological macromolecules or drugs just by physical entrapment of these matreials within the shell, there by acting as a drug delivery system. Following micelle administration in the body, the aqueous media form hydrogen bonds with the hydrophilic shell to shield the drug inside the hydrophobic core, which transports it to the target area. By this process can protects the drug from hydrolysis or enzyme degradation. 15 B. Chemically Cross-linked Gels These are composed of chemical linkage of covalent bonds along entire the gel networks. The properties of these type depend on functional groups and the chemical linkages which present in the gel networks. 18 Chemically cross-linked gels are prepared through electron and gamma beam polymerization, chain growth polymerization and addition condensation polymerization. The polymerization lead to chain growth includes anionic and cationic polymerization, free radical polymerization and controlled free radical polymerization. It is completed through three procedures such as initiation, propagation and termination. The active site of free radical is produced after initiation, that accommodates monomers in a chain network-like style. 19 6 The crosslinking mediator is explained by using disulfide crosslinking exhaustion in nanogel preparation (20–200 nm), where the pendant thiol groups are obtained by 'environmentally friendly chemistry. Synthesis of Nanogels Inverse Microemulsion Method In this method can synthesize nanogels with greater controlled morphology, composition, and size by radical polymerization. The inverse microemulsion prepared by dissolved the crosslinker and monomer molecules in aqueous phase and then added this mixture to surfactant solution in organic phase. The polymerization is initiate by irradiation and finally removal of surfactant molecules from contents, then washed and drying by freezing technique. Modifications on nanogels can be formed by series of chemical functionalities for electrostatic and hydrophobic interactions of various nanogels with drug. To solve problems with instability, this modifications can be created by co-polymerizing a nucleophillic group. the degree of substitution should be limited to 10%. Polyvinyl alcohol, polyethyleneimine, poly (acrylic acid), and polycrylamide nanogels have all been successfully synthesized using emulsion polymerization. 17 Inverse (mini) Emulsion Method In this method, the nanogel can prepared by mixing continuous oil phase with droplets of aqueous bipolymer by using either a homogenizer or a high-speed mechanical stirrer. Due to the presence of appropriate crosslinking agents, the resulting biopolymers are crosslinked as aqueous droplets. When crosslinked microgel particles are produced, they are dispersed in an organic solvent, then purified by centrifugation, precipitation, and finally washing with organic solvents such as isopropanol, followed by lyophilization. During the preparation of an inverse emulsion, the amount of surfactants, crosslinking agents, and stirring speed can all be used to monitor the size of the microgel particles. 18 Dispersion Polymerization In this technique, the continuous phase contain is organic solvent in which most of polymeric stabilizers,monomers and initiators are soluble in it. By homogeneous reaction mixture, the polymerization are obtained in which the obtained polymers become insoluble in the organic solvent, ultimately leading to the formation particles as polymeric dispersion in presence of colloidal stabilizers. By this technique can prepare hydrophilic monodisperse micron-sized particles from poly (2-hydroxyethyl methacrylate) in the presence a diblock copolymer stabilizer of poly (ethylene oxide) -b-poly (1,1,2,2-tetrahydroperfluorodecyl acrylate) in supercritical methacryloyl-terminated poly (methyl methacrylate) and carbon dioxide in a mixture of 2-butanol/tolune 55/45 (wt/wt). 19 Physical Self-assembly of Interactive Polymers In this technique, the principle forces are hydrogen bonds and van der Waals forces which responsible for interaction between solvent and drug moiety. 20 The macro- and micro molecules are captured inside them during the self-assembling process of nanogels. By using hydrophilic polymers, this method is used to deliver insulin nanogels.When prepared by this technique (self-assembling method) can obtain samm particles size of ananogel (less than 30 nm). However, it was based on the polymer concentration as well as various environmental factors such as temperature, ionic strength and pH. In a study, when the size of nanogels between 120 to 150 nm can enhanced stability by using of two types of polymer with different ratios. Furthermore, also can obtain the nanogels from amphiphilic block copolymers by the reversible addition–fragmentation chain transfer technique. 21 Novel Pullulan Chemistry Modification The reaction of cholesterol isocynate in pyridine and dimethyl sulfoxide produces this form of nanoge. The modification of pullulan was obtained when each 1.4 units cholesterol are substituted with 100 units of anhydrous glucoside. The freeze drying of this preparation resulted in the formation of nanogels in aqueous media, which were used to deliver the w-9 peptidecomplexed for osteological disorders. Due to high loading capacity of pullulan, it act as good carrier for protein delivery. Further chemical modification of cholesterol based pullulan nanogels by michael addition reaction in which thiol group and acrylate group are replacing through polyethylene glycol, this allowed for a mesh size reduction to 40 nm, encapsulating 96% of interleukin-12 (IL12). 22 Another modification of pullulan, in which 100 glucose units for 1.1 units of cholesteryl group showed important association with monomer and Aβ oligomer for treatment of alzhiemer's disease by improving cortical cell and microglia viability, was investigated. 23 Mechanism of Drug Release from Nanogels pH-responsive Mechanism The pH-sensitive polymers responsible for shrinking-swelling behavior which related to the ionizing groups, which when change in pH lead to change by ionization or deionization in response. 24 Some scientific research has show that change of microenvironments of tumor cells (pH 5.0–6.5 in endosomes and pH 4.5–5.0 in lysosomes) and tumor tissues (pH 6.5–7.2) to acidic medium in compared with the physiological pH 7.4 in normal tissues and the blood circulation. 25 The monomers methacrylic acid and methyl ester are pH-sensitive which reported to polymerize as a nanogels, which at basic medium it will become more swollable with high permeability. The deionization of methyl ester and methacrylic acid is accompanied by a decrease in pH values, which lead to entrapment of the hydrophilic drug doxorubicin and the hydrophobic fluorescent indicator oligothiophene and then shrinkage of nanogels. Moreover, due to the shrinkage of pH-sensitive nanogels and the protonation of doxorubicin, increased doxorubicin release was observed at pH 5.5. 26 Thermo-sensitive and Volume Transition Mechanism The volume phase transition temperature is defined as the temperature effect on the variations ability of nanogels. When the surrounding medium is below the volume phase transition temperature, polymers become hydrated and shrink. The swelling of shrunken and hydrated polymer lead to releases the loaded active ingredient. This type of nanogel when swell and increases in volume lead to degreded within cell and biological environment. N-isopropyl acrylamide prepared as nanogels have thermoresponsive properties. These nanogels when maintain the heat of the solution less than the lower critical temperature, lead to indomethacin is released as a result of the rapid contraction of the gel volume. The 5-fluorouracil was prepared as gel from poly (N-isopropyl acrylamide-co-acrylamide) and ex vivo experiments on rats have been conducted. Since the 5-fluorouracil is loaded at lower temperatures and released from nanogels at body temperature, this method is suitable for drug delivery. 27 Photochemical Internalization and Photo Isomerization Excitation of photosensitizer-loaded nanogels produces reactive oxygen and singlet oxygen,which cause oxidation reaction at cellular compartment walls like endosomal barrier walls allowing drug release into the cytoplasm. Eventually, intracellular compartment walls prevent drug release into the cytoplasm. 28 By using photo-regulation in the isomerization of azoben zene, the trans-cis can see with aspirin as model drug in which azo dextran loaded nanogel that exhibited azo group in Z–con figuration of is less release in compare with E–configuration at 365 nm radiation. Diffusion of the Drug from Nanogel In this type of nanogel the diffusion mechanism is responsible for drug release in control manner. The doxorubicin released from polymer through diffusion mechanis is regulated for a longer time by the addition of anionic and cationic polyelectrolytes, where the drug begins to release layer by layer rather than releasing rapidly at first. 30 The diffusion of drug can occur as macroscopic scale at molecular level by passing through pores presented within the matrix or between the chains of polymers. A process diffusion as normal level is given in Figure 2. A homogeneous system is obtain by mixing of polymer with active agent which called to as a matrix system. In this type of system (homogeneous system) upon administered into biological environment, permit for drug release by diffusion mechanism through the macromolecules or pores of the polymer structure without any changes in it structure. Two important factor responsible for drug release by diffusion mechanism from the delivery system: (a) the binding force of the drug in the micelle core, which is depended on the partitioning of drug between the external environment and micelle, and (b) binding chain of the polymer to each other in micelles structure. 29 The Application of Nanogels Transdermal Application of an Analgesic Drug Aceclofenac is a non-steroidal anti-inflammatory drug that was prepared as nanogels using emulsion-solvent diffusion and then entrapment into carbopol 940. The prepared formulation demonstrated good stability and permeability properties, as well as long-term release (Table 1). 31 Nanogel in Opthalmic From poly (acrylic acid)-polyvinyl pyrrolidone (PAAc/PVP) can prepare pH sensitive nanogel by γ-radiation-induced polymerization method. This type of nanogel is used to deliver of pilocarpine as sustain release which maintaining the drug release at the site of action (Table 1). 32 Diabetics Application As diabetics diseases becomes more and more predominant in the world's population, developed new techniques are being used for treatment of diabetics. Smart insulin nanogel where injected, which is sensitive to changes in blood glucose levels and insulin release at desired amounts accordingly has been requirement. This types of nanogels containing oppositely charged of nanoparticles, so attraction of nanoparticles oppositely charge each other lead to formation intact gel matrix that responds to pH changes. By using of dextran nanogels containing the insulin and other enzymes and these enzymes responsible for the conversion of glucose into gluconic acid. In case of hyperglycemia, there is high level of glucose, the glucose pass through gel network of a nongel and by action of enzymes convert glucose into gluconic acid, Table 1: Applications of nanogels in the cancer therapy As a result, the pH of the medium is lowered. As a result, the insulin release will be triggered. Even though this approach is effective in the treatment of diabetes, it is still a new technique that needs further research before it can be used in clinical trials. 33-36 Nanogel in Cancer The use of nanogel as a targeted drug in cancer treatment is for the specific delivery with high therapeutic efficacy and low toxicities as shown in Table 1. 37-40 CONCLUSION Nanogel systems have been studied for both practical and theoretical aspects. Nanogels formed by physical crosslinking or chemical self-assembly reveal the ability to deliver hydrophobic or hydrophilic drugs. Recent advance of nanogel have delivered greater vision in the applications of nanogels, especially within the management of cancer, gene transfection,gastrointestinal complications, enzymology and protein folding. It most commonly used for targeted, controlled delivery system, cosmetics products, and for the coatings purpose. Nanogels systems have a bright future ahead of them, with new technologies and drug delivery possibilities. Considering the advancement of nanogels, we believe that future research and clinical evaluation of nanogels with smart properties based on regulated physico-chemical properties of the device has greater potential. REFERENCES 1. Sultana F, Manirujjaman M, Imran-Ul-Haque MA, Sharmin S. An overview of nanogel drug delivery system. J Appl Pharm Sci. 2013 Sep;3(8):95-105. 3. Rahdar A, Sayyadi K, Sayyadi J, Yaghobi Z. 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PCCNEWS ISSUE 5 - SPRING 2016 EDITION PCC WELCOMES HMIC PEEL REPORTS DORSET VIEW THE HMIC REPORTS FOR The Dorset PCC has welcomed the full annual HM Inspectorate of Constabulary's PEEL (Police Effectiveness, Efficiency and Legitimacy) report, which makes up its annual assessment of all 43 police forces in England and Wales. communities and that crime investigations are of a good standard with skilled and experienced officers. Dorset Police received praise for its efforts in safeguarding the vulnerable, protecting the public from dangerous people and reducing crime. The report concluded that Dorset Police has a firm foundation of neighbourhood policing, which underpins its approach to crime reduction and community safety. The Inspectorate was also impressed by the strong evidence-based approach to policing that is a feature of crime prevention, investigation and tackling Anti-Social Behaviour in the County. The Inspectorate found that Dorset Police was ‘good’ in relation to effectiveness and legitimacy. These two areas reflect the steps that have been taken to improve performance despite consistent reductions in funding. It assessed the culture within Dorset Police, as well as public engagement, use of Tasers and compliance with the 'Best Use of the Stop and Search' Scheme. Dorset Police maintains a visible presence in the local WELCOME It's been a very busy period since my last newsletter and I want to highlight some key issues. I have been active throughout the county visiting residents at community days in Weymouth, Dorchester, Verwood, Swanage, Boscombe, Poole and Bridport. These visits have highlighted the impact that rural crime has on our communities as well as the issues that are felt within our larger towns, such as Anti-Social Behaviour, Drug Misuse and Street Drinking. I have been impressed with the work and engagement that the Force's Neighbourhood Policing Teams complete to engage with residents and deal with these concerns. I welcomed the decision from Government with the proposals to change the police complaints process and it's positive to see the Home Office responding to both PCC and public views. I made the decision, following a formal request from the Chief Constable and public consultation, to raise the council tax precept by 1.97% to invest in detecting online crime, protecting the most vulnerable people and making it easier to access police services. The Inspectorate also concluded that, while Dorset Police has responded well to financial challenges in the past, it requires improvement to its future workforce planning. Dorset Police and Crime Commissioner, Martyn Underhill, said, "I welcome HMIC's PEEL review of Dorset Police which sums up findings on several inspections over the past year. The Chief Constable and I will now move forward in developing an action plan on the issues that have been raised. However, I continue to disagree with HMIC's view that Dorset Police's financial reserves are disproportionate to the risk. We now have a debt free, prudent force which has also removed the pension deficit liability, unlike many other forces across the country. Dorset Police has good governance and financial controls in place and our Strategic Alliance with Devon & Cornwall Police will continue to deliver savings to the taxpayer." Looking forward, we again have a comprehensive community engagement programme for the summer. I would really like to hear your views on the future of policing, crime and community safety in your area. MARTYN UNDERHILL Dorset Police & Crime Commissioner @PCCDorset dorset.pcc.police.uk Working for a safer together Dorset dorset.pcc.police.uk PARTNERSHIP WORKING JOINING UP THE DOTS IN THE CRIMINAL JUSTICE SYSTEM The PCC has commissioned Crest Analytics, a specialist ICT company, to develop a bespoke performance management tool for the Dorset Local Criminal Justice Board (LCJB) that enables the collation of data from across the criminal justice system. It provides a platform to communicate information on crime, cost, confidence and performance of all partners involved in prosecuting criminals. Company and Youth Offending Service. All of these organisations operate on separate software systems that do not link up. The commissioned system is a secure web based system, which is accessible to all partners, irrespective of their IT hardware and has been designed to cross-reference lots of different information at the touch of a button. Currently, performance management relies on manual comparisons of a variety of datasets from Police, Crown Prosecution Service, Her Majesty's Courts & Tribunals Service, National Probation Service, Community Rehabilitation The system is much more transparent, enabling staff working with the data to understand performance better at different geographical levels, providing data storage, data search and data management. Crest has been working closely with all partners, to ensure the tool meets each agency's requirements. Their system is currently being tested with live data and will be rolled out later this year. RESTORATIVE JUSTICE NOW AVAILABLE IN POOLE * Imagine being able to speak to the person who committed a crime against you. * Imagine being able to tell them the effect the crime had on you, your life and your family. residents and those harmed as a result of incidents in Poole. This is the first stage of a programme to roll out a wider restorative solution across Dorset. * Imagine being able to tell a person you have harmed that you are sorry. perpetrator/offender to ensure they understand the process. The panel meeting is facilitated by an independent RJ trained volunteer, often with a 'co-facilitator', to engage those in the conflict to be part of the solution, through the delivery of an outcome agreement, that meets the needs of the victim(s) and the wider community involved. * Imagine being able to speak with members of your community in order to agree ways in which, despite your differences and historic behaviours, you can move forward and improve where you live. This can be achieved using a Restorative Justice(RJ) or Restorative Mediation (RM) approach. The Borough of Poole's Safer Poole Partnership is working with the Office of the Dorset Police and Crime Commissioner and has established a community service to provide Neighbourhood Panels for Poole dorset.pcc.police.uk Restorative Justice focuses on the needs of the victim. Evidence has shown that it empowers victims by giving them a voice, mitigates the harm caused by crime or Anti-Social Behaviour, reduces re-offending and helps those involved to move on. It can be used at any stage of the criminal justice process and can involve both direct and indirect communication. A Neighbourhood Justice Panel (NJP) is a face to face conference in which offenders of lowlevel crime and/or perpetrators of Anti-Social Behaviour, and any wider involved community, to recognise the harm they have caused, and repair the harm caused by their actions. NJPs can also be used in civil matters, such as housing and neighbourhood disputes. When a suitable crime or incident is identified, a panel meeting is arranged by a co-ordinator, following contacting both the victim and the 2 AWARDS VOLUNTEER AWARDS CELEBRATING THE WORK OF SPECIALS AND VOLUNTEERS "IT IS VITAL WE RECOGNISE THE INCREDIBLE ACHIEVEMENTS OF THE VOLUNTEERS WHO GIVE THEIR TIME TO HELP US REDUCE CRIME AND THE FEAR OF CRIME. VOLUNTEERS FORM AN INTEGRAL PART OF THE POLICING FAMILY AND THEIR VALUABLE SUPPORT SHOULD NOT BE UNDERESTIMATED." MARTYN UNDERHILL Dorset Police & Crime Commissioner In February, Dorset Police held an event to recognise and celebrate the Special Constabulary officers and Police Support Volunteers who gave up 60,000 hours of their own time during 2015. and in specialist areas, such as traffic and the marine section. Specials make up a flexible, dedicated and proactive team who play a key part, alongside regular officers and police staff, to make Dorset safer and to make communities within the county feel safer. Dorset has a total of 205 specials, and awards were presented at the event to all those who had completed 200 hours or more during 2015. Particular mention was given to Acting Special Sergeant Kier Dagnall who was given the Outstanding Achievement award for his dedication and hard work over 1,474 hours of volunteered time during 2015, working with the No Excuse team. After completing their training, specials have the same full warranted powers as police officers and carry out frontline duties including patrol work, community engagement and assisting in targeted operations. This is both in general policing Alongside the specials, the event also celebrated the work of Dorset's Police Support Volunteers who occupy a huge variety of roles including providing support to victims of crime, sending Dorset Alert messages and running Public Contact Points. These 220 volunteers enhance the work of police officers and staff and provide additional support to their communities. The event celebrated their work, with a particular commendation given to Alan Hunt, who is a CCTV Operator Volunteer with North Dorset and contributed 842 hours in 2015. Alan was presented with an Outstanding Achievement award by the PCC. dorset.pcc.police.uk dorset.pcc.police.uk 3 "IT IS BRILLIANT KNOWING THE ENJOYMENT OUR SPECIALS AND VOLUNTEERS GET OUT OF THEIR WORK. I WOULD RECOMMEND ANYONE LOOKING FOR A VARIED, INTERESTING AND REWARDING EXPERIENCE TO TAKE A LOOK AT THE VOLUNTEERING OPPORTUNITIES DORSET POLICE IS CURRENTLY OFFERING." JAMES VAUGHAN Deputy Chief Constable FUNDING WORKING IN PARTNERSHIP Every year, the PCC commissions a number of services to address the Police and Crime Plan priorities alongside a Community Grant Scheme, where local groups and organisations can access funding for smaller local initiatives. The chart shows how, over the last financial year, the £2m budget has been spent. *Accurate at time of publication 1 REDUCE NUMBER OF VICTIMS The majority of projects funded by the PCC meet both priorities 1 and 2. For example, a range of services that support and assist victims of domestic abuse or sexual violence, in addition to services that aim to re-educate and work with the perpetrators, to reduce future offending and prevent people becoming seriously harmed. Projects under this category range from large projects and contracts, such as the Victim Support Contract or Sexual Assault Referral Centre, to smaller community grant projects, such as Street Pastors, who work with young adults accessing the night time economy, and the Bournemouth People First Safe Event, which provided training on staying safe for adults with learning disabilities. 2 REDUCE SERIOUSLY HARMED This priority attracts the largest amount of funding from the PCC and accounts for the majority of the projects delivered. Schemes include the Drug Intervention Projects delivered through Public Health, Safe Schools and Communities Team and Youth Offending Service. Some of the smaller community projects funded include the Bournemouth Children and Families Trust, who provide emergency short term childcare to allow parents to attend court in cases of domestic abuse. dorset.pcc.police.uk 3 HELP PROTECT FROM SERIOUS THREATS Projects under this priority tend to be commissioned services, rather than community projects, due to the nature of the work. The Paedophile Online Investigation Team has been established to address this priority. The PCC also uses funding to match fund other statutory organisations to tackle issues, such as the Sex Worker Referral Assessment Conference in partnership with Bournemouth Borough Council. 4 REDUCE RE-OFFENDING The PCC has funded a number of small community projects to address this priority, including diversionary activities and mentoring projects for young people, such as the Rendezvous in Sherborne, and Coach in The Community in East Dorset. Work is underway to expand Restorative Justice approaches across Dorset, with initiatives already operating in West Dorset, Weymouth and Poole. 5 INCREASE SATISFACTION IN POLICING A number of commissioned services address this priority, including consultation groups facilitated by Intercom Trust, Access Dorset and Dorset Race Equality Council. A main focus of the PCC's office over the last two years has been the introduction of the Street Triage Project, which enables Police Officers to provide appropriate assistance to individuals in mental crisis. The PCC has also funded a range of one off projects, such as shop wrapping in Boscombe and Weymouth which helps neighbourhoods feel safer. 6 SUPPORT NEIGHBOURHOOD POLICING Projects funded include Dorset Crimestoppers and the Association of Dorset Watches. Appropriate local services have also been funded, such as the Community Safety Accreditation Scheme, which provides accredited uniformed Community Safety Patrol Officers in Boscombe to address issues of ASB, street drinking, rough sleepers and begging. Smaller community initiatives have also been funded, including the supply of ID bracelets for people living with dementia, which has had great success in reuniting confused and lost adults with their carers. VIEW THE HMIC REPORTS FOR DORSET INDEPENDENT CUSTODY VOLUNTEERS A VOLUNTEERING ROLE FOR YOU? Are you looking for a worthwhile and rewarding voluntary role that utilises your good communication skills? Each and every Police and Crime Commissioner has a statutory duty to run an Independent Custody Visiting Scheme as part of their scrutiny of their Force. Do you work well in a team and have respect for race and diversity? Perhaps a role as an Independent Custody Visitor is for you? dorset.pcc.police.uk Independent Custody Visitors are appointed and overseen by the Office of the Police and Crime Commissioner and are independent of the police force. We are keen to hear from people representing the diverse groups living or working within Dorset. The Office of the Police and Crime Commissioner is seeking volunteers from the Dorset community to check on the rights, welfare and entitlements of those being held in police custody. Full training, including an induction course and mentoring for this high level volunteering is provided. Once training is complete, the commitment would be on average one visit a month, attendance at a quarterly panel meeting and twice yearly update training. An application pack, including more information, can be downloaded from our website www.dorset.pcc.police.uk. 5 INFORMATION EVENTS As part of our recruitment drive, we are holding information events at Poole Police Station on Wednesday 13 and Thursday 14 April. This event will allow you to find out more about custody visiting, including observing staged visits and a question and answer session with current visitors. You can book on one of these events by contacting the Scheme Manager, Yvonne Fenwick by calling 01202 229082 or by email at: email@example.com KEY RECRUITMENT DATES CLICK TO FIND OUT MORE… THE STORY OF A VISIT WHAT MAKES A GOOD ICV? HISTORY OF CUSTODY VISITING READ THE VISIT REPORTS HERE TECHNOLOGY "DRONES COULD REVOLUTIONISE POLICING IN THE SAME WAY THAT THE INTRODUCTION OF POLICE RADIOS DID IN THE 1960'S." MARTYN UNDERHILL Dorset Police & Crime Commissioner DRONES ARE THE FUTURE FOR POLICING That's according to Dorset's Police and Crime Commissioner, who believes drones have a key role to play in the fight against crime and protecting the public. The county's police force is one of the few across England and Wales that already uses drones, sharing four with neighbouring Devon & Cornwall in an arrangement that has been fully licensed by the Civil Aviation Authority (CAA). demonstration of the drones in use. He added, "I know there will be some people who feel uneasy about police using this equipment but, in my view, the law abiding public has nothing to fear. Providing strong governance is in place, there is no reason why police drones can't become as familiar a sight as patrol cars, a police helicopter or an officer on the beat." Drones are used to help officers in their investigations by taking aerial photographs, recording videos and maps. The two forces have also used them to take photographs at crime scenes and road accidents. Dorset's PCC, Martyn Underhill, now wants to see more UAVs - unmanned aerial vehicles - used by the police. 3D map serious road collisions. This could be beneficial in speeding up the safe opening of main arterial routes, which often have to be closed for hours following a serious accident. They could also be used to fly automated set routes, for example in a crime hotspot area. In an era when police funding is so challenging, all forces need to explore the potential an asset like UAVs would give them. I'm delighted Dorset is at the forefront of this technology and I look forward to stepping into the next generation of drones in the near future. I believe, once we demonstrate further the benefits of UAVs, that the public will be fully behind their use in helping keeping them safe." He said, "Policing needs to be at the forefront of technology and quick to embrace innovation. Look at the way portable two way radios transformed policing in the 1960s - I believe drones have the capability to revolutionise the way we police in this country in a similar way, whilst saving a substantial amount of public money. Whether it is helping search for a missing person, recording evidence for later use in a criminal investigation or giving police officers a unique bird's eye view of a particular situation, the potential UAVs have for helping forces is huge." The Surveillance Camera Commissioner, Tony Porter, visited Dorset to look at a dorset.pcc.police.uk The PCC said UAVs were not being seen as a replacement to police helicopters, as some commentators have speculated, but rather an additional tool in the police toolbox. He said, "There are exciting opportunities for the future use of police drones. In Dorset, we are looking at the potential to use them to 6 DID YOU KNOW? IN THE LAST 12 MONTHS… The Office of the Police & Crime Commissioner, supports the PCC in delivering their statutory responsibilities and police and crime plan. The below shows some of the work the team have carried out over the last 12 months. PARTNERSHIP MEETINGS ISSUES RAISED BY PUBLIC RESOLVED MEMBERS OF THE PUBLIC SURVEYED MEMBERS OF THE PUBLIC ENGAGED 100+ WEBSITE PAGE VIEWS 14 COMMISSIONED SERVICES NED COMMISSIO SERVICE 40 S dorset.pcc.police.uk dorset.pcc.police.uk 1,662 TWITTER FOLLOWERS 3,570 CONFERENCES HELD 3 FREEDOM OF INFORMATION REQUESTS FREEDOM OF 32 INFORMATION REQUESTS 6,671 FACEBOOK FANS 700 SURGERY SESSIONS HELD 21 CUSTODY VISITS CUSTODY VISITS 120 MAJOR PUBLIC EVENTS ATTENDED 22 COMMUNITY PROJECTS FUNDED 33 NUMBER OF AWARDS NUMBER OF AWARDS 3 @PCCDorset COUNCIL TAX COUNCIL TAX RAISED TO INVEST IN THREE KEY AREAS OF POLICING READ THE PUBLIC CONSULTATION REPORT HERE "AS YOUR ELECTED POLICE & CRIME COMMISSIONER (PCC), ONE OF MY MOST IMPORTANT RESPONSIBILITIES IS TO DECIDE THE AMOUNT THAT LOCAL TAXPAYERS PAY TOWARDS POLICING - THIS IS KNOWN AS THE PRECEPT. The police are having to adapt to meet an £18m reduction in funding since 2012. Additionally, society is facing emerging threats as criminal behaviour changes. As part of my decision making process, I consulted further with the people of Dorset about the prospect of raising the Precept to meet the emerging threats. I therefore asked residents whether they were prepared to pay roughly 1p a day extra to fund this investment. For the first time in my term of office, the Chief Constable has formally requested additional funds in order to tackle these issues in our county. The investment will be used to investigate on-line crime, protect the most vulnerable people and make it easier to access police services. Significantly, these issues reflect the same areas of concern expressed to me by the public over the last year. Over 4,000 people replied to that consultation, which was the highest response rate of any Policing Council Tax survey in the country. An overwhelming 82% of residents supported a rise. In the light of the Chief Constable's request, and the overwhelming public support, I therefore decided to raise the Precept. I have been convinced by the public support that this increase is needed to keep our county safe. IF A CRIME IS IN PROGRESS OR IF THERE IS DANGER TO LIFE CALL 999 FOR ANY OTHER POLICING ISSUE CALL 101 AT ANY TIME dorset.pcc.police.uk dorset.pcc.police.uk Office of the Dorset Police & Crime Commissioner Force Headquarters Winfrith Dorchester Dorset DT2 8DZ LAST YEAR, I ACCEPTED A £574,000 GRANT FROM GOVERNMENT ON THE CONDITION THAT I DID NOT RAISE THE PRECEPT. THAT OPTION IS NOT AVAILABLE TO ME THIS YEAR. I HAVE DECIDED TO RAISE THE PRECEPT BY 1.97% (OR 1p A DAY FOR A BAND D HOUSEHOLD) AND I WOULD LIKE TO EXPLAIN TO YOU WHY. " MARTYN UNDERHILL Dorset Police & Crime Commissioner I would encourage you to feedback your thoughts on the precept and policing in your community. You can do this via the contact methods below. CONTACTING US We are always looking to hear from residents about their experience with policing in Dorset and what their priorities are. Please get in touch via the details below. T 01202 229084 E firstname.lastname@example.org or in confidence at: E email@example.com E@PCCDorset EDorset Police and Crime Commissioner All content © Dorset Police & Crime CommissionerDesigned by Proworx :: www.proworx.co.uk 8
IZVLEČEK V besedilu z naslovom Projekt, imenovan Slovenski etnografski muzej je z nekaterimi bistvenimi sestavinami podan prerez skozi dogajanje z muzejem in v muzeju od njegovih začetkov do danes; upodobljeni so načrti arhitekture in namembnosti njegovih bodočih prostorov v stavbnem sestavu na Metelkovi; predstavljeni so osnutki in druge zamisli za stalno razstavo v bodoči muzejski razstavni palači in pojasnjena je pot, ki je do njih pripeljala. ABSTRACT The article entitled "The project called the Slovene Ethnographic Museum" discusses some of the museum's essential constituents and provides a cross-section of what occurred to the museum and in it from its beginnings to the present day; it illustrates the architectural plans and the envisaged functions of its future halls in the complex of buildings situated in Metelkova Street; it also presents proposals and other ideas concerning the permanent exhibition in the museum's future exhibition palace and explains the road that led to them. UVODNA BESEDA Osnovni namen besedila, zraslega pod gornjim naslovom, je bil enovita predstavitev osnutkov in nekaterih drugih zamisli, nastalih in porojenih v okviru enoletnega snovanja stalne muzejske razstave, ki jo bodo delovna skupina Slovenskega etnografskega muzeja in njeni zunanjji sodelavci postavljali v bodoči razstavni hiši v stavbnem sestavu na Metelkovi. Ker se je zdelo smiselno omenjeno predstavitev umestiti v širši kontekst celostne zasnove prenovljenega muzeja in z njo končati prerez skozi dogajanje z muzejem in v muzeju od njegovih začetkov, upodobiti arhitekturo in namembnost njegovih bodočih prostorov ter pojasniti pot do nastanka vsebinskih osnutkov za stalno muzejsko razstavo, je pričujoče besedilo širše, sestavljeno iz ustreznih poglavij. Oblikovala in ubesedila sem ga na osnovi nekaterih etnoloških in muzeoloških člankov in razprav, videnih razstav, predavanj, zamisli in premnogih neformalnih diskusij. USTANOVA, PROSTOR, DENAR Prerez skozi dogajanje z etnografskim muzejem in v njem je na tem mestu skop, omejen na bistvene premike, ponekod le na začetna in sedanja stanja, saj so razvoj muzeja od ustanovitve do danes v zadnjih nekaj letih osvetlila poglobljena besedila (zlasti Rogelj-Škafar, 1993, 1995), ki bi jih bilo nesmiselno v celoti obnavljati. Ustanova Slovenski etnografski muzej je dobila svoje današnje ime v šestdesetih letih. Ustanovitveno ime Kraljevi etnografski muzej iz leta 1923 je po 2. svetovni vojni zamenjalo ime Etnografski muzej, temu pa so leta 1964 (na pobudo tedanjega ravnatelja Borisa Kuharja) dodali še pridevnik slovenski, z namenom, "da bi bilo že iz imena razvidno, da gre za osrednjo slovensko etnološko muzejsko ustanovo" (Rogelj-Škafar, 1993). To desetletja uveljavljeno ime nacionalne muzejske inštitucije smo zaradi njegove tradicije ohranili. Zaradi tradicije in zaradi različnih zgodovinskih, prostorskih in teoretičnih pojmovanj etnografskega smo ohranili tudi ta temeljni vsebinski pridevnik v imenu muzeja, čeprav bi ga lahko na osnovi opravljenega dela, delovnih ambicij in vsebine zbirk nadomestili s širšim vsebinskim pridevnikom, etnološki muzej, ali pa ga označili celo kot antropološki muzej. Zametek etnografskega muzeja so pomnile "etnografske" in/oziroma "narodopisne zbirke" Kranjskega deželnega muzeja v Ljubljani, ustanovljenega leta 1821. Začetek etnografskega muzeja kot ustanove pa je bil sad prizadevanj enega človeka, Nika Županiča, prvega akademsko izobraženega slovenskega etnologa in antropologa (svetovljana in diplomata), kateremu je leta 1923 uspelo dobiti privoljenje Ministrstva za prosветo Kraljevine Jugoslavije za ustanovitev Kraljevega etnografskega muzeja v Ljubljani. V naslednjem letu je ta dokaj netipična "inštitucija enega", zamudnica v toku sočasnega dogajanja z večino in v večini evropskih etnografskih muzejev, dobila prvega zaposlenega, asistenta, umetnostnega zgodovinarja Stanka Vurnika. Človek, ki je postal glavni in poleg Županiča edini strokovni in znanstveni delavec v muzeju, je leta 1926 (v kroniki z naslovom Kr. etnografski muzej v Ljubljani, njega zgodovina, delo, načrti in potrebe, objavljeni v prvem letniku muzejske znanstvene revije Etnolog) zapisal nekaj besed o prostoru etnografskega muzeja, ki so tako značilne in povedne za skoraj vsa obdobja ustanove, da so - sicer s kasnejšimi različicami in njihovimi morda malce drugačnimi odtinki - ostajale sodobne skozi vseh muzejevih sedemdeset let: "...prostor za (stalno) razstavo. Glede tega prostora, ki je zaenkrat ena izmed najnujnejših potreb etnografskega muzeja, so se storili v zadnjih treh letih mnogi koraki pri pokrajinski in centralni vladi. Narodni muzej (glavni naslednik Kranjskega deželnega muzeja) je odločno premajhen postal i sam za svoje ambicije, v njega poslopu se etnografski muzej ne more dovoljno razširiti.... Točka budgetne dotacije, iz katere bi bilo nujno treba zidati za etnografski muzej v Ljubljani novo, posebno stavbo, pa je zaenkrat še mrtva točka, preko katere ni mogoče dalje, dokler vlada ne bo našla poti, da z višjo dotacijo bolje podpre delo etnografskega muzeja." Niti tri razstavne dvorane, pridobljene v stavbi Narodnega muzeja leta 1947, niti odpiranje razpršenih dislociranih muzejskih razstavnih prostorov v šestdesetih letih in niti pridobitev novih delovnih prostorov na podstrešju stavbe Narodnega muzeja v osmdesetih letih niso pomenili zadostnih in dokončnejših prostorskih rešitev za etnografski muzej. V iskanju slednjih so se zdaj s te, zdaj z one strani pojavljale vse mogoče zamisli; tja do devetdesetih let, do politično ugodnega časa pred, med in po osamosvojitvi države Slovenije, ko so se prizadevanja ustanove za lastno stavbo zgostila. Simbolno jih označuje Mladika, mestni dekliški licej in potem vojaška bolnica, stavba (funkcionalistična arhitektura Maksa Fabianija), ki je po odhodu vojaščine nekdajanje Jugoslavije ostala prazna in se je zdela tako zelo ustrezna za etnografski muzej. Kljub nelagodju zaradi morebitne politične manipulacije, ki v etnološkem zgodovinskem spominu ni neznan pojav, smo etnologi v etnografskem muzeju v tem obdobju, nabitem s čustvi in s politiko, pri svojih pisnih in ustnih nastopih zavestno uporabljali tudi politične odtenke; čeprav smo bili sami prepričani, da si za lastno, dovolj prostorno muzejsko hišo prizadevamo z vso legitimnostjo suverene znanstvene discipline in nacionalne kulturne inštitucije (Smerdel, 1995). In kaže, da je šele spolitizirano vrenje okrog Mladike, politična pozornost zaradi izjemne naklonjenosti javnosti in dela političnega prostora na eni strani ter odklonilnega odnosa nasprotnega dela tega prostora na drugi strani Slovenski etnografski muzej končno uzavestilo kot kulturno ustanovo nacionalnega pomena, ki za svoje poslanstvo, za uresničevanje temeljnih družbenih vlog po "abecedi muzejske dejavnosti" (Duclos, 1996) nedvomno potrebuje ustrezen prostor. Tudi v ta namen je vlada Republike Slovenije sklenila odpreti kulturi južni del kompleksa nekdane vojašnice na Metelkovi. V juliju leta 1994 ga je dodelila Ministrstvu za kulturo: za Slovenski etnografski muzej in za druge potrebe v kulturi. S pogodbo, ki jo je 29. marca 1995 podpisal tedanjí ravnatelj muzeja Ivan Sedej, je ministrstvo dalo etnografskemu muzeju v rabo dve izmed šestih stavb na jugu Metelkove (s površinama 3500 in 1900m²), za razstavno in skoraj vso drugo muzejsko dejavnost, ter nam kmalu za tem v okviru istega stavbnega sestava zagotovilo še površino za muzejski depo (2000m²). V sodelovanju med ljubljansko Mestno občino in Ministrstvom za kulturo je bil potem v juliju 1995 razpisan javni arhitekturno-urbanistični natečaj za južni del kompleksa nekdane vojašnice 4. julij na Metelkovi in anketni urbanistični natečaj za njegov severni del; natečaj za urbanistično ureditev, stavbno prenovo in morebitno dozidavo objektov tako imenovane Belgijske kasarne iz časa Avstro-Ogrske, historičnih stavb s konca 19. stoletja, ki naj bi elegantno sprejele prerazne muzejske in druge vsebine in ki naj bi sestavljal nov, živahen ljubljanski kulturni center, mikaven v svoji multikulturalnosti (z ustanovami: Slovenski etnografski muzej, Narodni muzej, Moderna galerija; z Akademijo za gledališče, radio, film in televizijo, z neinstitucionalno kulturno ustvarjalnostjo...). S temi dejanji verjetno lahko sklenemo tako negativno zgodbo o prostoru etnografskega muzeja, ki jo je začel Vurnik v prvih letih obstoja ustanove z besedami o prostoru za razstavo kot o "ení izmed najnujnejših potreb etnografskega muzeja", kot negativno zgodbo o denarju, o "mrvi točki budgetne dotacje glede gradnje novega muzeja" (Vurnik, 1926/27). Med naložbami v kulturi je od leta 1995 odprta proračunska postavka "Metelkova - Slovenski etnografski muzej", ki je v letu 1996 muzeju omogočila začetek notranje prenove prve, manjše, gradbeno manj zahtevne stavbe, izvzete iz natečaja, vendar obravnavane kot del celote. Cena prenove te stavbe: gradbenih, obrtniških in inštalacijskih del je bila brez opreme 241.000.000 tolarjev (2.680.000 DEM). Glede na oceno naložbe za dokončanje večjega, gradbeno zahtevnejšega objekta etnografskega muzeja in pripadajočih podzemnih depojskih prostorov, ki znaša skoraj 1.183.000.000 tolarjev (13.252.000 DEM), in glede na vse tisto, kar naj bi se še udejanilo v stavbnem sestavu na Metelkovi, v tem novem ljubljanskem kulturnem središču, ki nedvomno pomeni izziv, je upati, da bodo političnim in kulturnim odločitvam, ki so botrovale začetku del na Metelkovi, sledile takšne odločitve, ki bodo vztrajno vodile k njihovemu uspešnemu in korektnemu koncu. Ko smo v ustanovi sestavljal program celostne zasnove etnografskega muzeja na Metelkovi, osnovo za arhitekturno-urbanistični natečaj, smo imeli v mislih vizijo muzeja, kakršnega v muzejskih krogih zadnje čase označuje sicer modna, a pomensko bogata in zahtevna sintagma "prijažen muzej". Imeli smo svojo predstavo o sodobnem, mednarodno primerljivem etnografskem muzeju, živahni kulturni, znanstveni in pedagoški ustanovi, ki bi morala svojim obiskovalcem nuditi ne le privlačne razstave, druge prireditve in muzejske delavnice; ne le možnosti odkrivanja, učenja, uživanja, sodelovanja, ustvarjanja, sanjarjenja in premišljanja, temveč tudi vse tisto, kar je potrebno za njihovo dobro telesno počutje. Načrtovali smo muzej, v katerem bi moralo biti v skladu z mednarodnimi standardi poskrbljeno za muzealije: za njihovo varnost, pogoje hranjenja in razstavljanja; in snovali smo ustanovo, ki bi svojemu osebju omogočala smiselno povezavo med različnimi procesi muzejskega dela in jim nudila prijetne, vzpodbudne delovne prostore. Tako smo domislili delitev na tri med sabo povezane enote: 1. na razstavno palačo, največjo in najbolj reprezentančno hišo na jugu stavbnega sestava, vso namenjeno javnostim (s prostori za stalno razstavo, za občasne razstave, muzejske delavnice, muzejsko trgovino, muzejsko okrepčevalnico...); 2. na njej sosednjo, pogojno imenovano upravno hišo, manjšo stavbo, namenjeno upravni, informacijski, raziskovalni, avdiovizualni, založniški, konservatorsko-restavratorski in drugim dejavnostim (z javno čitalnico, predavalnico, manjšim razstaviščem) in 3. na med obema hišama ležeč in z obema povezan podzemni muzejski depo. (Za podobno delitev se so naprimjer odločili načrtovalci novega Kanadskega muzeja civilizacije v Hullu, odprtega leta 1989 (Hushion, 1992): ena stavba je namenjena upravi, konservaciji in depojem, druga pa v celoti razstavam.) Programsko zasnovo muzeja so udeleženci arhitekturno-urbanističnega natečaja v glavnem upoštevali. Zaželeno shemo namembnosti bodočih prostorov razstavne palače etnografskega muzeja in njihovo povezanost z depojem in z upravno hišo tako najbolj povedno predstavlja podoba, načrti v marcu 1996 nagrajene natečajne rešitve z oznako Forum, arhitektov Sama in Gorazda Grolegerja, Miroslava Kvasa in Maje Štefula. Pridobljeni prostori, ta tako dolgo čakana osnova za normalen razvoj in delovanje ustanove, so v etnografskem muzeju oživili zlasti etnološka in muzeografska razglabljanja o stalni muzejski razstavi (o tem v naslednjih poglavijih). Z njimi pa se je pojavila tudi možnost in potreba po načrtovanju nekaterih novih muzejskih služb, v urejenih muzejskih inštitucijah podobnega pomena in velikosti drugače povsem vsakdanjih, in novega muzejskega osebja, kakršno je naprimjer: receptor, prodajalec muzejskih vstopnic, vzdrževalec objektov, muzejski fotograf, oseba za odnose z javnostmi ipd. Etnografski muzej se je kot ustanova nedvomno razvil tudi v preteklih sedemdesetih letih; od "inštitucije enega" (Nika Županiča) leta 1923 in potem kmalu dveh (Županiča in Vurnika) je bolj ali manj v skladu z rastjo zbirk, knjižničnega in dokumentacijskega fonda ter s širjenjem raziskovalne in razstavne dejavnosti do leta 1995 zrasel v ustanovo s petindvajsetimi zaposlenimi: - s petimi v upravi (direktorico, tajnico, računovodkinjo, blagajničarko, ekonomom, kurirko/snažilko); Namembnost bodočih prostorov razstavne palače SEM in njihova povezanost z depojem in z upravno hišo. Natečajna rešitev arhitektov Sama in Gorazda Grolegerja, Miroslava Kvasa in Maje Štefula. ♦ Functional arrangement of the Slovene Ethnographic Museum's future exhibition halls and their connections with the depository and management building. Proposal submitted by architects Samo and Gorazd Groleger, Mirolav Kvas and Maja Štefula. Projekt, imenovan Slovenski etnografski muzej 21 Projekt, imenovan Slovenski etnografski muzej 1 - SOBA VARNOSTNIKOV Z RAC.NADZOROM STAVBE 2 - SOBA PAZNNIKOV 3 - PROSTOR ZA ČISTILA 4 - DELAVNICA ZA VZDRŽEVAL OBJEKTA 5 - SKLADIŠČE ZA RAZLIČNE TEHNIKE 6 - SKLADIŠČE ZA PRIROČNO ORODJE DEPOJI ZA ETNOGRAFSKI MUZEJ 1900m² + 600m² DOSTAVA VHOD PREJMEVNE 38.00m² VEČETAJN HALL 100.00m² STOPLICE V 1. NADSTROJU KOMUNIKACIJE DELAVNICA/DELAVNICI 170.00m² INFO 20.00m² DELAVNICA/DELAVNICI PRIDRUŽENE 120.00m² OKREPČEVANICA 100.00m² KOMUNIKACIJE VEČETAJN HALL 100.00m² STOPLICE V 1. NADSTROJU KOMUNIKACIJE TRGOVINE 78.00m² HODNIK 18.00m² POZORNIKI STOPLICE OBČASNE RAZSTAVE 130.00m² OBČASNE RAZSTAVE 178.00m² GLUZBONI VHOD TLORIS PRITLIČJA RAZSTAVIŠČE 128.00m² RAZSTAVIŠČE 94.00m² RAZSTAVIŠČE 80.00m² RAZSTAVIŠČE 80.00m² RAZSTAVIŠČE 80.00m² RAZSTAVIŠČE 94.00m² TLORIS NADSTROJJA ETNOGRAFSKI MUZEJ - s šestimi kustosji in raziskovalci (v kustodiatih za ljudsko umetnost, socialno kulturo in šege, ruralno gospodarstvo, obrti in trgovino, oblačilno kulturo in tekstilno opremo, stavbarstvo in notranjo opremo); - s štirimi v informacijsko-dokumentacijski službi (tremi kustodinjami dokumentalistkami, računalničarjem); - s kustodinjo bibliotekarko v muzejski knjižnici; - s kustodinjo pedagoginjo v muzejski pedagoško-andragoški službi; - s štirimi v muzejskih konservatorsko-restavratorskih delavnicah (vodjem delavnic, restavratorji za les, kovino in tekstil) in - s tremi v dislocirani muzejski enoti v gradu Goričane (kustosom za zunajevropske kulture, kurirko/snažilko, hišnikom). Za nadaljnji razvoj ustanove je bil spomladi leta 1995 sestavljen kratkoročni in dolgoročni koncept strukture muzejskega osebja, v skladu z opredeljeno dejavnostjo muzeja (nekaj temeljnih nalog skrajšano povzemam po novem Sklepu o ustanovitvi...: - zbira, konservira in restavrira, ureja, dokumentira, hrani in znanstveno raziskuje: predmetne, pisne, tiskane, slikovne in zvočne vire za etnološko proučevanje načinov življenja in kultur v Sloveniji in zamejstvu ter v okviru danih možnosti tudi drugod; - pripravlja razstave in druge oblike izzsledkov muzejskega dela...; - izdaja strokovne, znanstvene in druge publikacije...; - sodeluje z vzgojno-izobraževalnimi organizacijami, skrbi za popularizacijo svoje dejavnosti...; - vodi osrednjo etnološko knjižnico...; - izvaja in organizira etnološko znanstveno raziskovalno dejavnost na Slovenskem in drugod...) in s predvideno ureditvijo prostorskih razmer. V osnutku je z vsemi ustreznimi utemeljitvami predvideno odpiranje naslednjih novih muzejskih služb (do leta 2000), oziroma širjenje obstoječih, in naslednje dodatno osebje: - v upravi pomočnik direktorja; - v kustodiatih dva dodatna kustosa, za zunajevropske zbirke in za (bodoče) zbirke slovenskih izseljencev, Slovencev v zamejstvu in narodnih manjšin v Sloveniji; (zaželena pa bi bila še kustosa za zbirko glasbil in za množično kulturo); - v muzejski knjižnici dodaten bibliotekar; - v konservatorsko-restavratorskih delavnicah dodaten restavrator za les in restavrator za tekstil; - v novi službi za avdiovizualno dokumentacijo vodja avdiovizualnega laboratorija, muzejski fotograf in risar; - v novi službi za odnose z javnostmi ustrezna oseba; - v novih servisnih službah vzdrževalec stavb, dva receptorja, dve snažilki (oziroma snažilka in garderoberka), prodajalec vstopnic in šest paznikov. - v muzejski okrepčevalnici najemnik okrepčevalnice; - v muzejski trgovini najemnik trgovine; - v muzejskih delavnicah mojstri: lončar, rezbar/strugar, tkalec, uporabniki posameznih delavnic. Ta kratkoročni in dolgoročni koncept strukture muzejskega osebja je bil osnova za shemo namembnosti prostorov v prvi, pogojno imenovani upravni hiši etnografskega muzeja (in delno v drugi, razstavni palači). Prva stavba Slovenskega etnografskega muzeja na Metelkovi se prenavlja v skladu s sprejeto shemo in bo spomladi leta 1997 vseljena. Namembnost prostorov v upravni hiši SEM ♦ Function of the rooms in the Slovene Ethnographic Museum’s management building. Projekt, imenovan Slovenski etnografski muzej II. NADSTROPE / II. FLOOR I. NADSTROPE / I. FLOOR PRITLIČJE / GRAUND FLOOR VHOD / ENTRANCE - Uprava in odnosi z javnostmi / Management and public relations - Informacijsko-dokumentacijska služba / Information and documentation - Kustosi in raziskovalci / Curators and researchers - Muzejska knjižnica / Museum's library - Konservatorsko-restavratorske delavnice/ Conservation and restoration workshops - Pedagoško-andragoška služba / Educational service - Avdiovizualna dokumentacija / Audio-visual documentation - Predavalnica z razstavilcem / Lecture and exhibition hall POGLED NA ZBIRKE, POMEN PREDMETOV IN NEKATERE OPREDELITVE MUZEJA TER STALNE RAZSTAVE Slovenski etnografski muzej je bil kot nacionalna ustanova vsa leta svojega obstoja precej protisloven muzej; še posebej v primerjavi z večino drugih nacionalnih in celo pokrajinskih muzejev, ki so bili prepoznavni tako s svojimi stavbami kot s stalnimi razstavami (pri čemer je ironija, da je prav Etnografski muzej s terenskimi raziskovanji v petdesetih letih poskrbel za prve predmete v etnografskih zbirkah nekaterih pokrajinskih muzejev). Protislovnost Slovenskega etnografskega muzeja se kaže v naslednjem: Po eni strani gre za muzej z nacionalno in evropsko pomembnimi zbirkami, pričevalnimi zlasti o tradičnski kulturi na Slovenskem in o vsakdanjem življenju zlasti kmečkega prebivalstva; za zbirke, med katerimi je potrebno omeniti vsaj: ornata orodja, "najpomembnejšo zadevno zbirko v jugovzhodni Evropi" (po sodbi prof.dr. Hansa Korena; Smerdel, 1983); edinstveno, veselosvensko in najštevilnejšo zbirko noš, vezenin in čipk (po vpisih v inventarne knjige je leta 1983 obsegala 8572 kosov; Makarovič, M., 1983; ob pregledu leta 1995 je štela 10071 kosov); zbirko ljudske umetnosti, "daleč največjo in najbolj reprezentativno te vrste" in "edino veselosvensko zbirko te vrste" (Makarovič, G., 1983); zbirke bloških smuč, poljsih pasti, mask, skrinj... Gre tudi za muzej z nekatерimi podobno pomembnimi zunajevropskimi zbirkami, pričevalnimi o posameznih kulturnih sestavinah nekaterih "ljudstev sveta" in o slovenskem odnosu do slednjih, o "srečevanjih z drugačnostjo"; za zbirke, med katerimi kaže omeniti vsaj (zvečine imenovane po darovalcih): Baragovo zbirko predmetov severnoameriških indijanskih plemen Očipva in Otava; Knobleharjevo zbirko predmetov vzhodnosudanskega plemena Bari; Skuškovo kitajska zbirko, "eno največjih" po obsegu; "izredno obsežno, izvirno in načrtno zbrano" Beblerjevo indonezijsko zbirko (Štrukelj, 1983) in zbirko Paula Schebeste (darovalec je bil dr. Lambert Ehrlich), etnologa, znanega preučevalca Pigmejev. Po drugi strani pa gre za nacionalni muzej, ki do zadnjega časa, kljub nacionalnemu in širšemu pomenu svojih zbirk, brez lastne hiše (razen prostorov dislocirane enote za zunajevropske kulture v gradu Goričane), brez primernega in dovolj velikega stalnega razstavnega prostora sploh ni ustrezal polni vsebini besede muzej. "Zbirka ni muzej. Muzej postane šele takrat, ko se oblikuje kot živ del kulture, ki ji pripada," je naprimer izrekel Michel Van-Praët (EMYA, 1996), eden izmed vodilnih sodobnih evropskih muzeologov, in pri tem mislil na razstavljene zbirke. V primeru Slovenskega etnografskega muzeja, v katerem gre za povečini zaprte, deponirane zbirke, ki si jih lahko muzejski obiskovalci ogledajo v obliki različnih interpretacij zgolj na občasnih razstavah, bi bila njegova sodba enaka. Presenetljivo bi ne bilo niti mnenje, da je tak muzej "prostor zaplenjene dediščine", saj ne more izpolnjevati ene izmed svojih temeljnih družbenih vlog, "vračanja" (Duclos, 1996). V "muzejih o ljudeh", kakršen je nedvomno tudi Slovenski etnografski muzej, "človek vrača človeku, kar mu je vzelo", je tako poetično in obvezujoče dejal Georges Henri Rivière (Duclos, 1996). Slovenci smo s svojim nacionalnim etnografskim muzejem veliki evropski zamudniki; toda le glede stavbe - prostora - in nikakor glede zbirk. Vzpodbuda za nastanek večih osrednjih evropskih etnografskih muzejev so bile svetovne razstave v drugi polovici 19. stoletja. Pariška svetovna razstava leta 1867 je naprimer predvidela poseben oddelek, namenjen "ljudskim nošam iz različnih pokrajin" v Franciji in iz drugih dežel; še posebej opaženi sta bili tedaj predstavitvi Norveške in Švedske. Stockholmski Nordiska Museet je bil ustanovljen leta 1873; v pariškem Trocadéru, odprtem leta 1884 (kot paleoantropološkem in zlasti zunajevropskem muzeju), kasnejšem Musée de l’homme, pa so na osnovi takih in drugačnih vzpodbud leta 1888 uredili "francosko dvorano" (Duclos, 1996), zamenek kasnejšega Musée des arts et traditions populaires. Podobno vzpodbujeni z dunajsko svetovno razstavo leta 1873 so na Dunaju leta 1895 ustanovili Österreichisches Museum für Volkskunde, ki je ob koncu 1. svetovne vojne zamenjal začasne prostore Dunajske borže z današnjo hišo, vrtno palačo Schönborn (Beitl, Tschofen, 1994). Če bi v Ljubljani ob koncu 19. stoletja prisluhnili "naukom" Matije Murka, ki je leta 1895 obiskal veliko Narodopisno razstavo Češkoslovensko v Pragi, leto za tem o njej poročal, objavil znamenite Nauke za Slovence in se zavzemal za ustanovitev slovenskega narodopisnega muzeja (Keršič, 1993), bi ne zamujali prav dosti za tedanjim porajanjem evropskih etnografskih muzejev. A Murko je bil žal preslišan. Tako smo Slovenci šele leta 1923 (na osnovi čisto drugačnih vzpodbud) dobili vsaj ustanovo Kraljevi etnografski muzej. Stavbo je inštitucija dobila dvainsedemdeset let za tem. Vse drugače je bilo z zbirkami. Leta 1821 je bila sprejeta odločitev o ustanovitvi Kranjskega deželnega muzeja v Ljubljani (predhodnika tudi Slovenskega etnografskega muzeja). Še pred oblikovanjem muzejskih zbirk petih vsebinskih področij: zgodovine, statistike, prirodoslovja, tehnologije in fizike so odborniki načrtovali poseben etnografski oddelek (v okviru vsebinskega področja zgodovina) po vzoru graškega Joanneuma, ki naj bi obsegal opise in slike narodnih noš in stavb, ljudske priповedke, pravljice, ženitovanske šege, narodne pesmi in napeve (Rogelj-Škafar, 1993, 1995). Sodobno romantično usmeritev etnografskega oddelka pa je prehitel odmev razsvetljenstva (z na fiziokratskih načelih temelječem zanimanju za gospodarsko, agrikulturno), v obliki predmetov, ki veljajo za najstarejše pridobitve v zbirkah današnjega Slovenskega etnografskega muzeja: voza za prevajažanje žita in sladkorja med Ljubljano in Trstom, pluga in brane, s Planine pri Rakeku, iz leta 1833 (Golob, 1996/97); majnih modelov "na Krainskim navadniga kmetouškiga orodia", tudi s Planine pri Rakeku, iz leta 1835 (Smerdel, 1994) in modela dvojnega pluga iz leta 1836 (Deschmann, 1888). Prve noše, "figurinice" z nošami iz Bele krajine, iz Črnomlja, Vinice in Bojancev, so zabeležene šele leta 1839 (Rogelj-Škafar, 1995). Prva, najstarejša zbirka današnjega Slovenskega etnografskega muzeja pa je nedvomno zbirka "etnografskih predmetov" iz Severne Amerike, indijanskih plemen Očipva in Otava, ki jo je Kranjskemu deželnemu muzeju leta 1836 daroval misijonar škof Friderik Baraga. Zanj je bil naprošen. Predsednik "muzejskega kuratorija" naravoslovec Hohenwart je nagovoril Baragovo sestro Amalijo, da je pisala bratu misijonarju za etnografske predmete "divjakov" (Golob, 1996). Hohenwartovo zanimanje za indijanske predmete je bilo tako v duhu evropskih naravoslovnih "kabinetov čudes", katerih pridih je na začetku zaznamoval tudi nastajajoče antropološke muzeje (ti so bili pod imeni etnološki ali folklorni muzeji sredi 19. stoletja omejeni na zunajevropske kulture; Rivière, 1989). Med zacetkom zbirk etnografskega muzeja in današnjim dnem je obdobje sto enainšestdesetih let. V tem času so zunajevropske zbirke do leta 1953, ko je njihovo število ugotavljal Boris Orel, narasle na 1242 predmetov (kar naj bi ne bilo povsem stvarno, saj naj bi nekateri že "prevzeti" in inventarizirani predmeti še naprej ostajali v Narodnem muzeju; Orel, 1954) in potem do leta 1983, ko je o njih pisala Pavla Štrukelj, na "več kakor 9500 predmetov". Zbirke so urejene po celinah in po darovalcih oziroma prodajalcih, med katerimi so: raziskovalci, svetovni popotniki, misijonarji, pomorščaki, trgovci, diplomati... Iz leta 1843 je naprimer seznam egipčanskih predmetov, ki jih je muzeju daroval konzul Laurin; leta 1850 je misijonar Ignacij Knoblehar poslal v Ljubljano zbirko predmetov vzhodnosudanskega plemena Bari; Codellijeva zbirka iz Toga, Nigerije in Kameruna je iz let 1912-1914; zbirka predmetov, "ki jih je med Pigmejci v Centralni Afriki nabral Paul Schebesta, znani etnolog in raziskovalec Pigmejev", je bila vpisana v inventarno knjigo Etnografskega muzeja leta 1941; iz let 1912, 1913 je naprimer "izredno kvalitetna" kitajska zbirka misijonarja Petra Turka; leta 1963 je muzej prevzel (od Narodnega muzeja) reprezentančno zbirko Japonke Tsuneko Kondo-Kavase, poročene Skušek; iz 1964 leta je indonezijska zbirka Vere in Aleša Beblerja in leta 1978 je muzej dobil v dar mehiško zbirko Vere in Ignaca Goloba (Orel, 1954, Štrukelj, 1983). Pomembnejša od naštevanja nekaterih upoštevanja vrednih ali najbolj obsežnih zbirk in njihovih darovalcev ali prodajalcev ( zadnja je bila leta 1990 pridobljena afriška zbirka 336 predmetov, ki jo je muzeju prodal Anton Petkovšek) je nedvomno pričevalnost zbranih zunajevropskih predmetov. Pozorno branje pregleda zadevnih zbirk, ki ga je ob šestdesetletnici Slovenskega etnografskega muzeja napisala Pavla Štrukelj (1983), omogoča spoznanje, da je v njih največ: lovskega in drugega orožja, nakita in drugih oblačilnih dodatkov (pip, torb, glavnikov...), ženskih in moških oblačil ter obuval, mask in glasbil; predmetov, ki so zbiralce pritegovali zlasti s svojo nenavadnostjo, drugačnostjo, eksotičnostjo. Ti predmeti so nedvomno zgovorne priče o nekaterih zunajevropskih kulturah in o posameznih segmentih tamkajšnjega vsakdanjega življenja. Vidik, na osnovi katerega so bili zbrani: njihova nenavadnost, eksotičnost, pa je poveden zlasti o odnosu zbiralcev do teh kultur. Ob tem "Muzej neevropskih kultur ni in nima namena biti zbirka eksotičnih preostankov,...temveč namerava čim bolj kompleksno predstaviti neevropske kulture, s katerimi smo Slovenci prihajali, še prihajamo ali bomo prihajali v stike" (Čeplak, 1991). Navedena opredelitev svojčas načrtovanega ločenega "Muzeja neevropskih kultur" (namesto enote Slovenskega etnografskega muzeja v gradu Goričane) in njegove stalne razstave, zapisana leta 1991, je bila tako glede na vsebino zbirk dokaj nestvarna in nedorečena. V istih sto enainšestdesetih letih so se slovenske zbirke oblikovale malce drugače. Namesto zbiranja predmetov "divjakov", iskanja nenavadnosti in eksotičnosti je šlo tu sprva za zbiranje "narodnega blaga", "narodovih dragotin", "izdelkov duha in roke, ki so nastali v narodu samem" (Rogelj-Škafar, 1993, Smerdel, 1983). Po pokrajinskem izvoru so bile zbirke večinoma iz nekdajne dežele Kranjske oziroma še ozje, iz Gorenjske in Bela krajine, tematsko pa zlasti tekstilije in ljudska umetnost (Rogelj-Škafar, 1993). Bolj ali manj enaki kriteriji so prevladovali tudi v obdobju leta 1923 ustanovljenega Kraljevega etnografskega muzeja, pri dopolnjevanju zbirateljske dediščine nekdajnega Kranjskega deželnega muzeja Rudolfinum. (Od njegovega glavnega naslednika Narodnega muzeja je bilo prevzetih 3502 predmetov etnografske zbirke.) Za etnografski muzej so bili zanimivi čim starejši predmeti, ki naj bi skupaj z vsemi posebnostmi in značilnostmi dokazovali "starost malega naroda". Pridobljene muzealije povečini niso bile starejše od dveh stoletij; med pokrajinami, od koder so bile prinesene v muzej, sta še vedno prevladovali Gorenjska in Bela krajina in po tematiki še posebej tekstil in ljudska umetnost. Bistven kriterij za izbor je bil tipološki, kmečko pa so pojmovali kot konstanto brez upoštevanja socialnega razlikovanja (Rogelj-Škafar, 1993). Do vsebinskega premika pri zbiranju je prišlo šele v prvih dveh desetletjih po 2. svetovni vojni. Ambicija tedanjega ravnatelja Borisa Orla, da naj bi muzej predstavljal popolno podobo "ljudskega življenja na našem podeželju", in njegova opredelitev etnologije kot vede, ki zbira in preučuje "raznovrstno gradivo iz slovenskega ljudskega življenja" oziroma kot znanosti "o kulturnih tvorbah slovenskega ljudstva in o zakonih njihovega razvoja" (Orel, 1948), sta bili vodili monumentalnega zbirateljskega dela tako imenovanih Orlovih terenskih ekip. (Do leta 1962 se jih je v različnih slovenskih pokrajinah zvrstilo osemnajst.) Posledica njihovega dela: raziskovanja, zbiranja in dokumentiranja kulturnih sestavin v okviru uveljavljene delitve na materialno, socialno in duhovno kulturo je bila naposled tematska in krajevna raznolikost zbirk. V njih so se v večjem številu pojavili: orna orodja, drugo poljedelsko orodje, naprave in stroji za čiščenje in predelavo pridelkov, orodja za lov in ribolov, vprega, prometna sredstva, pohištvo, gospodinjski predmeti in naprave, orodja domačih obrtnikov, izdelki domačih obrti... Predmeti so izvirali iz ljubljanske okolice, Dolenjske, Primorske, Notranjske, Štajerske in Koroške (poleg Gorenjske in Bele krajine). V naslednjih desetletjih so postale zbirke še bolj raznolike - tako tematsko in krajevno kot socialno; tudi zaradi večjega števila muzejskih kustosov. Njihovo raziskovalno, zbirateljsko in živahnvo razstavno delo je bilo organizirano bolj ali manj v skladu z etnološko sistematiko, po kustodiatih za ljudsko gospodarstvo (promet in hrano), obrti in trgovino, naselja, stavbarstvo in notranjo opremo, nošo in druge tekstilije, družbeno kulturo (šege) in ljudsko umetnost. Še posebej pomemben vpliv je imelo uveljavljanje sodobnih teoretičnih pogledov; odmik od študija razvoja kulturnih sestavin k obravnavi njihovih nosilcev oziroma njihovemu odnosu do kulturnih sestavin (Rogelj-Škafar, 1993). V središče zanimanja je bil (tudi v muzeju) postavljen "človek kot nosilec kulture, vpeljan s konceptom način življenja kot razmerjem med človekom in njegovim kulturnim in naravnim okoljem, kakor se kaže v vsakdanjih rutinah" (Slavec Gradišnik, 1995). Etnologija je bila opredeljena kot "specializirana disciplina historiografskega značaja, ki se posveča raziskovanju vsakdanjih, običajnih, tipičnih kulturnih oblik in vsebine vsakdanjega življenja tistih družbenih slojev in skupin, ki dajejo neki etnični ali nacionalni enoti njen specifičen značaj" (Kremenšek, 1960/61). V zbirkah je mogoče videti odsev te opredelitev zlasti v naslednjem: v manjšem številu so se pojavili predmeti, pričevalni o vsakdanjiku pripadnikov posameznih poklicnih skupin (naprimjer gozdnih in žagarskih delavcev) in drugih družbenih slojev (naprimjer meščanov). Kljub deklarativni širiti pa so glavnina muzejskega thesaurusa ostajale zbirke virov kmečke kulture, priče o vsakdanjem življenju kmečkega prebivalstva, o slovenskem človeku arhaične, tradicionalne družbe. (Vse slovenske zbirke etnografskega muzeja štejejo danes več kot 30000 predmetov; 22904 je inventariziranih, ostalim je mogoče slediti po dohodnih knjigah.) Predmeti v teh zbirkah, nekdanji "dokazi ljudske ustvarjalnosti" in "inventar narodnega zaklada", so zvečine še vedno isti. Drugačen pa je današnji pogled nanje. Postali so zlasti večpomenski nosilci informacij: materialne priče o vsakdanjiku kmečkega prebivalstva in zgodbo nosoci o ustvarjalnosti, inventivnosti, znanjih, modrostih, idealih lepote, sožitju z naravo... Včasih jih je vse zaobjelo sicer sporno, a še vedno uveljavljeno ime ljudska kultura. Slovenska etnološka veda je za ljudsko kulturo do šestdesetih let štela "kmečko kulturo iz predindustrijske dobe in poznejše prežitke te kulture" (po Baševi opredelitvi; Kremenšek, 1983), kar naj bi bila sprejemljiva oznaka. Kasneje je bil pojem ljudska kultura povezan s "kulturo podložniškega razreda obdobja fevdalizma" (Kremenšek, 1983), kar naj bi njeno opredelitev še bolj natančno zgodovinsko in socialno zamejilo. Po nekaterih mlajših premišljanjih (Muršič, 1995) pa naj bi ne bilo mogoče ljudske kulture "locirati niti v dejanski čas niti v družbeni prostor - tudi v predindustrijsko dobo ne". Za etnološko vedo naj bi bila "transcendentalna" kategorija. Termin "ljudska" je nedvomno teoretsko sporen, ne dovolj določen; po drugi strani pa so reči, muzejski predmeti, ki jih je zaobojemal pojem ljudska kultura prav neverjetno stvarne: izdelala ali uporabljalo jih je zlasti kmečko prebivalstvo; večinoma gre za predmete, povedne o ročnem delu in o izročenem znanju (o pred-strojnih delovnih opravilih in predindustrijskih delovnih načinih), izvirajoče največ iz 19., manj iz 18. (ter v posameznih primerih iz stoletij pred tem) in iz 20. stoletja, pogosto pričevalne o kulturnih sestavinah "dolgega trajanja". Pomensko ustreznejša se zato zdi sintagma tradicijska kultura. Pojem "tradicija" sporoča preteklo, historično, prenašanje iz roda v rod, "dolgo trajanje"; in v preteklosti, do prvih desetletij 20. stoletja, je bilo večinsko prebivalstvo na Slovenskem kmečko (v vsej svoji razslojenosti). Sintagma tradicijska kultura tako nosi v sebi historično in socialno. Bolj ali manj z zbirkami v mislih so skozi zgodovino muzeja nastajale različne opredelitev muzeja in stalne razstave ter njene redke uresničitve. Kot prvo tako udejanjenje je treba omeniti razstavitve zbirk "narodopisnega" oddelka Kranjskega deželnega muzeja Rudolfinum leta 1906, v osmih omarah (vitrinah) in z naslednjo opredelitvijo muzejskega kustosa Walterja Šmidca: "...da se jasno vidi slika lokalne kulture Kranjske dežele v zaokroženih skupinah" (Rogelj-Škafar, 1995). Kustos Kraljevega etnografskega muzeja Stanko Vurnik je načrtoval stalno razstavo kot odraz cilja "ponazoriti slovenski in jugoslovanski živelj v etnografskem, antropološkem in ljudskoumetnostnem pogledu". Postavitev je predvidel v zamišljenih bodočih prostorih po jasni shemi: šest dvoran za kmečko arhitekturo s tipičnimi interjeri sob, kamer in kuhinj; dve dvorani za razstavo pohištva in lesene, železne keramične ter tekstilne kmečke obrti; dve dvorani za poljedelstvo in obrtno orodje; tri dvorane za razstavo noš in vezenin; ena dvorana za plastiko in slikarstvo; ena dvorana za ljudsko glasbo; ena dvorana za razstavo šeg in dve dvorani za predmete eksotičnih narodov (Rogelj-Škafar, 1993). Leta 1947 so Etnografskemu muzeju v stavbi Narodnega muzeja dodelili tri razstavne dvorane in del hodnika v pritličju. Ravnatelj Boris Orel si je zamislil predstavitev celotne slovenske ljudske kulture z zgodovinsko razvojnimi vidikov, kar pa v omenjenih treh dvoranah še ni bilo mogoče. Šlo je za ekskluziven izbor komaj desetine vseh muzejskih predmetov. Prvo dvorano so namenili predstavitvi slovenske kmečke hiše, njenega gospodarstva in gospodinjstva ter obrti; drugo dvorano so napolnile slovenske ljudske noše in tretjo predmeti slovenske ljudske umetnosti in šeg (Rogelj-Škafar, 1995). Od polovice šestdesetih let Slovenski etnografski muzej ni imel več stalne razstave. Začelo se je obdobje preraznih občasnih razstav, ki naj bi bile vse "osnova za pripravo, za postavitev stalne zbirke" (Kuhar, 1983). Ravnatelj Boris Kuhar jo je opredelil z naslednjimi besedami (1983): "To naj bi bila razstava, ki bi predstavila po vseh sodobnih muzeoloških pravilih in v skladu z razvojem etnološke stroke, v svetu in doma, življenje Slovenca od njegove naselitve do včeraj, ali celo do danes. Prostorso naj bi prikaz zajel Slovence to in onstran meje pa tudi naše izseljence in zdomce. Tematsko pa naj bi ta prikaz zajel sloje prebivalstva, socialne, poklicne in druge skupine na podeželju in v mestih, ki so bili v posameznih zgodovinskih obdobjih značilni za našo narodno skupnost." V opredelitev, ki ni izhajala iz muzejske stvarnosti, iz zbirk, in ki je temeljila na dveh uveljavljenih definicijah etnologije: na tisti Slavka Kremenška, navedeni na prejšnjih straneh, in na oni Angelosa Baša, da je etnologija "veda o načinu življenja ali, natančneje, o zgodovini načina življenja posameznih narodov" (1968), je sam Kuhar podvomil v stavkih, ki so ji sledili: "Ker je na žalost v naši dosedanji etnološki literaturi velik manjko, ker nimamo temeljnih del, bo tu potrebno še veliko raziskovalnega znanstvenega dela, pa tudi sodelovanje ostalih etnoloških ustanov in sorodnih strok." Opredelitev se je ohranila v spominu muzeja kot "način življenja od paleolita do Tita" in še so jo sledili. Sledili so namreč zlasti obema navedenima metodološkima obrazcem. Kustodinja Irena Keršič je naprimer zapisala (1983): "Temeljna naloga Slovenskega etnografskega muzeja ostaja postavitve stalne razstave Načina življenja Slovencev v zgodovinskih obdobjih vse do danes." Ta dolgo deklarirana kompleksnost: način življenja vseh časov, vseh slojev in poklicnih skupin, ki jo zdaj tu zdaj tam sestavljamo s posameznim in ki je zaradi mnogočesa neulovljiv, izmikljiv cilj, je bila v zadnjem času (Muršič, 1995) dokaj stvarno označena kot "predimenzioniran modernistični cilj". V Slovenskem etnografskem muzeju se po preudarku vračamo k svojemu jedru: k zbirkam; k predmetu in tako vedno znova k človeku, o katerem nam reči, ki jih je nosil in ki so ga obdajale, toliko povedo. K zbirkam pa se ne vračamo zato, da bi postavili stalno razstavo, ki bi bila "muzej predmetov", temveč zato, da bi s predmeti ustvarili "muzej idej" (po Van-Praëtu) bivanja, muzej o ljudeh za ljudi. Verjetno ni potrebno poudariti, da nas tak pristop k stalni razstavi oddaljuje od starih konceptov postavitve "ljudske kulture nekega naroda", a tudi od neulovljive kompleksnosti, ki jo je še mogoče zaznati v leta 1995 napisanem besedilu kustodinje Bojane Rogelj-Škafar: "Stalna razstava bo skušala s svetom predmetov razkriti značilne dejavnosti, ki so oblikovale in vplivale na način življenja, na procese in odnose med in znotraj značilnih slojev slovenskega naroda v različnih obdobjih do danes." Zbirkam predmetov, pričevalnih o tradicijski kulturi, o vsakdanjem življenju zlasti kmečkega prebivalstva na Slovenskem, ne moremo ubežati, saj so posebnost Slovenskega etnografskega muzeja in pomenijo pomemben del ne le slovenske, temveč evropske kulturne dediščine (kakršno v nekaterih deželah, še posebej v Franciji, označuje sintagma "kmečka civilizacija"). Podobno ne moremo ubežati vidiku eksotičnosti oziroma nenavadnosti, ki je tako povedno navzoč v zunajevropskih zbirkah. Zato bi bilo razumno, da bi se končno znebili frustracije kompleksnih definicij; vsaj kar se stalne razstave tiče. Prenovljeni Slovenski etnografski muzej v stavbnem sestavu na Metelkovi namreč ne bo omejen le na pripoved relativno stalne razstave. Tu so še neizčrpane tematske in izrazne možnosti občasnih razstav: lastnih, gostujučih domačih in tujih; slovenskih, evropskih, zunajevropskih. Tu je (poleg izpopolnjevanja obstoječih zbirk in dokumentacijskega fonda) nuja oblikovanja nekaterih novih zbirk in vzporednih raziskav: naprimer zbirke predmetnih prič o vsakdanjem življenju slovenskih izseljencev; dopolnjevanje zamejskega gradiva; zbiranje predmetov, pričevalnih o življenju pripadnikov drugih etnij v Sloveniji in osnovanje oziroma dopolnjevanje zbirk predmetov, povednih o sodobni množični kulturi. (Slednja je za sodobnost - podobno kot tradicijska kultura za preteklost - kulturna podoba vsakdanjega življenja premnogih, morda celo večine slovenskega prebivalstva.) Cilj je sodoben evropski muzej kulturnih identitet, ki je z vso svojo vsebino del nacionalne kulturne identitete. Poleg drugih osnovnih družbenih vlog bodo njegova bistvena sporočila: ponosna, dostojanstvena ljubezen do lastne tradicijske kulture, do izročene dediščine; razkritje kulturne raznoterosti, sožitje z drugačnostjo, strpnost do tujih narodov, tujih etnij in modrost življenja v sobivanju z naravo. O prenovljenem Slovenskem etnografskem muzeju, kulturni, znanstveni in pedagoški ustanovi, tako premišljam kot o celostnem etnološkem, antropološkem muzeju, ki bo za svoje obiskovalce vez med preteklim in sedanjim, med tradicijsko in sodobno kulturo, med naravo in civilizacijo, med svojo in tujimi kulturami; med človekom in med podobo, ki jo bomo o njem umetno ustvarili - s predmeti, ki so resnični. POT PROTI STALNI RAZSTAVI S snovanjem stalne razstave smo v Slovenskem etnografskem muzeju začeli spomladi leta 1995. Takrat prostori bodočega muzeja niso bili več nestvarni. Začelo se je s pogovori o možnih pristopih k delu, naprimjer o takojšnji ali poznejši pritegnitvi sodelavcev iz drugih etnoloških inštitucij, o zadolžitvi skupine ali posameznikov in podobnem. Ob koncu pomladi smo na Ministerstvu za znanost in tehnologijo prijavili triletni uporabni projekt s področja ohranjanja naravne in kulturne dediščine, z naslovom Stalna razstava v Slovenskem etnografskem muzeju. Projekt poteka od januarja 1996. V njegovem okviru bo nastal zbir besedil, ki bodo imela na razstavi temeljni razlagalni, povezovalni oziroma dopolnilni pomen (legend, besedil zloženek in vodnika po razstavi); izvedeni bosta priprava muzeoloških vidikov razstavljanja (muzeografije, mikroklime, razsvetljave) in priprava pedagoško-andragoškega dela razstave. V jesenskih mesecih leta 1995 se je potem izoblikovalo mnenje, da mora vsebinski osnutek za stalno razstavo nastati v muzeju, v krogu kustosov etnologov, ki združujejo muzeološki in etnološki znanstven pristop in ki najbolje poznajo temeljno gradivo za razstavo, zbirke muzealij. Izbrana zasnova naj bi bila šele za tem dana v presojo drugim, vendar ne le etnologom, temveč še posebej širši javnosti, muzejskim obiskovalcem. Glede na smiselno delitev dela v skupini muzejskih kustosov in zaradi misli, da naj bodo prvi osnutki plod individualnega snovanja, so bili za izdelavo slednjih naprošeni Gorazd Makarovič, Andrej Dular in Janja Žagar. Spomladi leta 1996 smo že prebirali nastale zasnove za stalno razstavo ter jim ob rob zapisovali ali ustno izrekali morebitne pripombe in sugestije. Makarovič je predlagal organiziranje razstave v štiri sklope: 1. Prostor, čas in družba - orientacijski okvir, 2. Viri in načini preživljanja (poljedelstvo, živinoreja, lov, nabiralništvo, obrti...), 3. Potrošnja (hrana, obleka, stanovanje) in 4. Odnos do sveta (verovanja, šege, umetnosti, znanja...). Prvi sklop bi bil uvodni, drugi trije pa bi bili utemeljeni "na pogledu 'od spodaj', na vidikih in odnosih do stvarnosti, kot si jih oblikuje prebivalstvo, ki se mora preživeti, trošiti in se samouresničevati". Postavitev naj bi bila - kjer je le mogoče - historična in razvojna, s poudarkom na obdobju od sredine 18. stoletja naprej. Razčlenjeni vzorci posameznih podpoglavljev osnovnih sklopov so nakazovali izrazito znanstveno obliko stalne razstave. Dularjev osnutek je obsegal tri glavne sklope: 1. Generalije, 2. Življenjske zgodbe in 3. Slovenci in svet. Prvi sklop, v katerem bi bili predstavljeni osnovni podatki o Slovencih kot narodu (naselitev, zgodovinski razvoj, jezik, demografsko relevantni podatki...), bi težil od splošnega k posameznemu in se končal s primeri psiho-fizičnih značilnosti Slovencev, z namišljenim posameznikom, ki bi uvedel sklop Življenjske zgodbe. Ta bi potekal na ravni dveh pripovedi: življenjskih šeg od rojstva do smrti, kjer bi bilo človekovo življenje postavljeno v osebni časovni kontekst, in na ravni koledarskih, letnih šeg, kjer bi bilo umeščeno v širši, splošni, družbeni časovni kontekst. Tretji sklop, Slovenci in svet, pa bi težil od posameznega k splošnemu in bi prikazoval povezanost Slovencev z Evropo in ostalim svetom. Poudarek bi bil na prikazu poznavanja in odkrivanja tujih kultur in na izseljenstvu Slovencev. Tako Dularjev kot Makarovičev koncept sta predvidela enovito obliko stalne razstave z notranjo zgradbo navedenih sklopov. Osnutek Janje Žagar pa je vseboval delitev na dve temeljni razstavni obliki (od treh - po eni izmed možnih razvrstitev - pogosto imenovanih pedagoška, kulturna in znanstvena, glede na to, ali so namenjene zlasti otrokom, najširši javnosti ali strokovnjakom; Desvallées, 1976), na obliko tako imenovane kulturne razstave, namenjene najširši javnosti, z naslovom Podobe neke kulture ali predmet o ljudeh, in na obliko znanstvene razstave z naslovom Študijske zbirke ali predmet o sebi. V okviru prve razstavne oblike je predvidela uvodni del, "orientacijski oris kulture" (geografsko-historični in historično-družbeni) in za tem postavitev, ki "naj bi obiskovalcu ponujala več možnih načinov sprejemanja posredovanih informacij", in sicer: kot življenjska "zgodba o posamezniku in njegovih družbenih vlogah" (ki se v skladu z njegovimi življenjskimi dobami "širile" ali "krčile"), kot "širjenje" in "ciklično ponavljanje" (ki se odraža na nivojih človeka, družbe, drugih razsežnosti, narave, dela) in kot ogled povprečnega inventarja predmetov (orodja, notranje opreme, oblačil), opravil in odnosov med ljudmi. (Razstavna zasnova v celoti in izbran izsek iz scenarija bosta predstavljena posebej.) Ob tem je zapisala, da se zdi, "da so - če izvzamemo geografsko specifične razmere in predmete, hkrati pa tudi glede na sestavo zbirk SEM - najlaže opredmetene razmere v osrednji Sloveniji sredi 19. stoletja". Razstava se tako začne okoli 1830 ali 1840, konča pa v prvih desetletjih 20. stoletja. V okviru druge razstavne oblike si je Žagarjeva zamislila prikaz zbirk Slovenskega etnografskega muzeja, večinoma v skladu z uveljavljeno etnološko sistematiko. Tu bi bil poudarek na predmetu, zaradi njegove "oblike, izdelave in deloma zaradi uporabe", oziroma tehnoškega vidika, in razviden bi bil "časovno-geografski kontekst razvoja predmeta". O delitvi na vsaj dve temeljni razstavni obliki smo že dlje časa premišljali pod vtisom tako imenovanega "ATP stila", tipa predstavitve, ki ga je zasnoval predvsem Georges Henri Rivière in ga izpeljal v obliki Študijske in Kulturne galerije v pariškem Musée des arts et traditions populaires (Desvallées, 1976). Čeprav smo si v času svojih snovanj širili poglede s primerjalnim branjem nekaterih dostopnih vodnikov po stalnih razstavah etnografskih muzejev, z drugim branjem (naprimjer kritik relativno zastarele postavitve v ATP-ju) in z ogledi nekaterih novejših zadevnih evropskih razstav (naprimjer konceptualno izvirne, vizualno pa ne dovolj sporocilne postavitve iz leta 1994 v dunajskem Österreichisches Museum für Volkskunde in dokaj klasične postavitve iz začetka devetdesetih let v budimpeštanskem Néprajzi múseumu), smo se vedno znova vračali k omenjenemu "ATP stилu", vendar zlasti zaradi misli o ustreznosti delitve na dve oziroma na tri razstavne oblike. (Rivière je namreč načrtoval tudi tretjo, Pedagoško galerijo, ki bi bila namenjena samo otrokom; Desvallées, 1976.) Kot temeljno zasnovo stalne razstave Slovenskega etnografskega muzeja smo spomladi izbrali zamisel Janje Žagar. Pri nadaljnji organizaciji dela je Žagarjeva prevzela dokončno izoblikovanje razstavne zgodbe sklopa Podobe neke kulture ali predmet o ljudeh, prikaza tradicijske kulture, "njenih sprememb in novosti" skozi pripoved o življenju namišljenega posameznika oziroma para. Andrej Dular je prevzel oblikovanje scenarija študijske razstave zbirk in Gorazd Makarovič snovanje uvodne razstavne pripovedi, "orientacijskega orisa kulture" oziroma "temeljnih okvirjev slovenskega etnosa". Študiju pedagoško-andragoških vidikov stalne razstave se je že pred tem posvetila Sonja Kogej-Rus, Marjeta Mikuž pa je sredi leta prevzela izvedbo raziskave potencialnih obiskovalcev Slovenskega etnografskega muzeja in njihovih pričakovanj glede stalne razstave. V dialogu z zunanjim sodelavcem Borutom Rovšnikom, muzeologom Mestnega muzeja Ljubljana, je bil sestavljen vprašalnik, s katerim bo januarja 1997 izvedeno poskusno anketiranje. Po dokončni redakciji vprašalnika bo v februarju steklo anketiranje, ki bo zajelo okrog šeststo vzorčnih posameznikov. Obiskovalce kot aktivne sopotnike muzeja nameravamo (po opravljeni pripravljalni raziskavi) še intenzivneje pritegniti k snovanju stalne razstave s postavitvijo "razstave - testa". Ob tej bomo izvedli tako imenovano formativno oziroma oblikovalno raziskavo (prim. Van-Praët). Dva izseka zamišljene celote na osnovi scenarijev razstavne zgodbe in študijskih zbirk bosta od junija 1997 razstavljena v prvi muzejski hiši v stavbem sestavu na Metelkovi. Oblikovana bosta tako, da ju bo mogoče na osnovi analize odzivnosti različnih skupin obiskovalcev in njihovih mnenj ustrezno preoblikovati. Pričakujemo, da nam bosta tako obe raziskavi, pripravljalna in oblikovalna, kot izidi pogovorov, na katere bomo ob "razstavi - testu" vabili krog etnologov, pomagali do končnega scenarija za stalno razstavo. Za slednjo si namreč želimo, da bi jo sprejel za svojo kar najširši krog v muzeje zahajajočega občinstva in da bi pritegnila premnoge nove obiskovalce. Besedilo Projekt, imenovan Slovenski etnografski muzej, ki mu sledita zadnja osnutka Janje Žagar in Andreja Dularja, končujem z namišljenim obiskom muzeja in s sprehoodom po stalni razstavi; z izmišljijo, v katero sem poskusila strniti nekaj spoznanj iz razpravljanj in ogledov ter kup zamisli, porojenih v preteklih mesecih. Vrnila sem se s potovanja. Ko se začnem vživljati v ljubljanski vsakdan s prebiranjem nakopičenih časopisov, se zazrem v številne objave dolgo pričakovane novice: končno so odprli stalno postavitev v razstavni palači Slovenskega etnografskega muzeja! Od radovednosti me kar privzdiigne. Zadnja leta, odkar so se preselili v prvo izmed obeh hiš na Metelkovi, sem pogosto in rada zahajala v ta muzej. V njem je bilo vedno prijetno vzdušje, tu in tam manjša razstava, živahna predavanja, ogledi etnoloških filmov, predstavitve knjig, komorni glasbeni dogodki in ustvarjalne muzejske delavnice. Vsi, ki smo se tam srečevali, smo s pričakovanjem in z nestrpnostjo pogledovali proti drugi, večji stavbi, za katero smo že iz načrtov vedeli, da raste v zanimivo razstavno hišo. In zdaj je odprta. Danes sicer nimam časa v izobilju, a z mlajšim, osemlenim, sinom se vseeno odpraviva do muzeja. Ustvariti si želim vsaj prvi vtis o novi stalni razstavi. Že ob vstopu v prostorno večnadstropno avlo sva prijetno presenečena. Prostor, ki mu dajejo toplino naravni materiali, je sodobno oblikovan, in vendar na tak način, da te v njem preplavi duh vsebine muzeja. Tudi muzejski vstopnici sta oblikovalsko ubrani z vsebino; shraniva ju za spomin na najin prvi obisk. Na levi strani zagledava mikavno muzejsko trgovino. Zavem se, da po ogledu ne bom mogla iz muzeja, ne da bi stopila vanjo. V avli je kar dosti ljudi: eni posedajo, drugi odhajajo proti stopnicam, tretji zavijajo proti pritličnim dvoranam k ogledu občasne razstave ali pa na drugo stran, k mojstrom v muzejske delavnice, četrte zagledava med spuščanjem v kabini steklenega dvigala. Potem na vidnem mestu uzreva jasen, zelo razumljiv načrt muzeja in shemo stalne razstave. Iz sheme je mogoče razbrati, da stalno postavitev sestavlja več celot, ki so vsaka razstava zase in ki jih je mogoče obiskati ločeno ali pa si jih ogledati v zamišljenem zaporedju. Naslovi posameznih razstavnih celot so jezikovno prijazni, razumljivi nosilci nekaterih idej, vendar obenem malce skrivnostni, tako da prav vabijo k ogledu vsebin, ki jih nosijo besede: 1. Podobe preteklosti - "Noč časa" 2. Zgodba o preživetju in o razkošju - "Kontrapunkt življenja" 3. Urejeni svet predmetov - "Enciklopedija stvari" 4. Etno-AbecedaŽ 5. Naj-reči: - Čupa, najdaljši, najenovitejši muzejski predmet - Čanca, najnenavadnejši, najskrivnostnejši muzejski predmet Stopica do prvega nadstropja in se znajdeva na začetku poti ogleda, pred vhodom v kinodvorano. Povsod visijo plakati, ki napovedujejo napet zgodovinski film z naslovom "Noč časa". Je to začetek razstave? Uniformiran biljetar pregleda najini vstopnici in naju spusti v temo dvorane, kjer se zatopiva v nenavadno posnet film, kombinacijo stvarnih podob in animacije, ki naju kot pripoved posameznika o življenju prednikov vodi skozi slovenski prostor, skozi njegovo gospodarsko in družbeno zgodovino, skozi razvoj posameznih kulturnih sestavin, od naselitve do prvih desetletij 19. stoletja. Šele ko je filma konec, se zavem, kako uspešno so naju z domačim, sodobnim medijem, z gibljivimi filmskimi podobami potegnili iz vsakdana z začetka 21. stoletja v nek drug čas, v pretekle življenjske zgodbe. Neboleče sva izkusila muzejski "rite de passage", obred prehoda in tako pripravljena vstopiava v prvi razstavni prostor, na začetek Zgodbe o preživetju in o razkošju. Ko sva odhajala iz kinodvorane, sva vzadlož leve strani prehoda opazila svetleč časovni trak z besedili in podobami, ki je na drug vizualen način sporočal v bistvenem enako vsebino kot film; za tiste obiskovalce, ki dvorano le prehodijo in si ne vzamejo časa za njegov ogled. Nama vsekakor ni žal, da sva se - presenečena nad takim začetkom ogleda stalne razstave in nad prijaznim likom biljeterja - kar pogreznila v mehkobo dvorane in v uvodno zgodbo "Noči časa". Ob vstopu v "Kontrapunkt življenja" oziroma v Zgodbo o preživetju in o razkošju se najprej srečava s človekom; z namišljenima žensko in moškim, s posameznikoma, s fizično-antropološkimi in značajskimi značilnostmi Slovencev, kot so jih opisovali in zaznali Valvasor, Hacquet, Linhart. Prostor s to predstavitvijo naju posrka, kot da sva ujeta med stene maternice. Potem izstopiva in se znajdeva v pomladnem jutru v okolju dveh kmečkih domov: premožnega kmeta in kajzarja, gostaca. Od tod skozi scene življenja spremljava namišljena dekle in fanta, ženo in moža, od tridesetih let 19. stoletja do let med svetovnima vojnama; skozi koledarsko leto od pomladi do zime, od jutra do noči, od rojstva do smrti; v okviru rodbine in družine v domu, na dvorišču, v gospodarskih poslopijih, ob delu; v okviru vaške skupnosti na vaškem trgu ob žegnanju, o pustu in poroki; v okviru regije na poti v mesto, v trg, na živilski trg, na romanje; skozi srečanje s posvetno in cerkveno oblastjo; skozi odhajanje v svet in srečevanje s tujimi kulturami in v okviru drugih razsežnosti, kot so spominjanje, izročanje znanj, pripovedovanje pravljič, zgodovinskih in popotnih doživetij. Presenečena sem, kakšno razstavo so domislili. Sredi nje se vesokozi zavedaš, da si v etnološkem muzeju; stopiš v tok življenja in skozenj spremljaš človeka, sporočenega s predmeti, ki označujejo njegovo socialno okolje, opredeljujejo čas, v katerem je živel, in prostor. Človek je tu in tam tudi vizualno prisoten, vendar ne kot realistična lutka. Tem so se na srečo izognili. (Spomnim se jih iz nekaterih angleških in škotskih muzejev pa tudi iz pariškega Musée de l'homme. Kako odbijajoče, groteskno so delovale name! Vzbujale so mi asociacijo na vzdušje cenjenih zabavišč in hiš strahov. Pariška znanka ni je pravila, kako so se zaradi pretiravanja z realističnimi scenami in lutkami mediji kritično razpisali o nekaterih razstavah v Musée de l'homme; slednjega naj bi bili zaradi njih označili kot muzej, "qui se moque des hommes", ki se norčuje iz ljudi.) Izognili so se tudi pretiranemu scenskemu koketiranju z resničnostjo. Stvarna okolja so upodobljena na simbolni ravni, a so vseeno nedvoumno prepoznavna. Z razstavo, s tem samostojnim medijem, so zavestno ustvarili novo - muzejsko resničnost, vendar takšno, ki obiskovalcem priazno približa v predmetih in v nekaterih drugih virih sporočena minula bivanja. Skozi postavitvo je prepoznavna tudi igra nasprotja med preživetjem in razkošjem, ki jo nosi naslov te celote stalne razstave; še posebej pa je mogoče premišljati o njeni temeljni ideji, o ciklicnosti življenja. Delamo od sobote do naslednje sobote, koprnimo od poletja do poletja, se gibljemo od božiča do božiča... Zavem se, kako vsakdanje prisotno, kako blizu mi je z razstavo sporočeno kroženje. Pa tudi širjenje; od mikro-nivoja doma do odhajanja v svet, celo v prostranstva tujih svetov. Ta del razstave me je spet presenetil. Srečevanja z nekaterimi zunajevropskimi kulturami so prikazali skozi upodobitev slovenskih predstav o prebivalcih tujih dežel in o njihovem življenju (naprimjer med potomci primorskih izseljencev zabeležene predstave, da v Braziliji balinajo s pomarančami in podobnih), ki so jo soočili s predmetnim gradivom, pričevalnem o izsekih stvarnega življenja v nekaterih izmed teh dežel. Tako zamišljena kar naenkrat opazim, da sin ni več ob meni. Najdem ga, ko zapušča enega izmed ne preštevilnih dotikalnih ekranov, na katerem je odkrival dodatne informacije, in odhaja proti skupinici otrok, ki sredi prostora z muzejsko pedagoginjo vneto preizkušajo delovanje replike neke naprave. Spomnim se, da soa že prej sledila besednim in vizualnim dodatkom, ki so se nevsiljivo pojavljali poleg vodilnih legend in posamezne vsebine jedrnato umeščali v zgodovinsko dogajanje ter ponujali socialne in regionalne primerjave. Všeč mi je tak muzejski odnos do obiskovalca. Razstavo lahko doživi že ob sprehodu skoznjo; a če želi, lahko raziskuje, se izobražuje. Po več znanja o posameznih predmetih in kulturnih sestavinah ga napotijo še v Urejeni svet predmetov ali "Enciklopedijo stvari". Midva to razstavno celoto tokrat le prehodiva. Ne da bi si kaj dosti ogledovala, jo zapuščava z vtisom o čudoviti raznolikosti razstavljenega, o preraznih oblikah, vzorcih, funkcijah, znanjih, h katerim se bom sama še večkrat vračala. Sin hiti v Etno-Abecedaž in kot je pravilno presodil, gre za prav poseben, otrokom namenjen razstavni prostor, ki so ga umestili v zadnje, tretje nadstropje med študijski razstavi slovenskega in drugega, zlasti zunajevropskega Urejenega sveta predmetov. V prostoru je razburljivo živahno. Pod vsako črko abecede zagledava razstavljen posamezen predmet - kot muzejsko seme - ob njem pa se na podesti in na policah nabirajo nove prerazne reči, ki jih prinašajo in urejajo otroci. V Abecedažu soa ravno ob Dnevu za mlade zbiralce. Prineseši predmeti so od vsepovsod: z vasi, iz mesta, iz drugih dežel. Z otroki so muzejski kustosi, ki jim pomagajo pri urejanju kartotek, pri vnosašanju podatkov v računalnik. Sin mi takoj šepne, da bo naslednjič tudi on prišel v muzej s pridobitvijo za Etno-Abecedaž. Potem zagledava pri vsaki črki kup predalov in vratc. Moj radovednejš jih začne odpirati in presenečen odkrije, da se v nekaterih skrivajo manjši predmeti, v drugih pa le fotografije ali risbe predmetov z imeni, z osnovnimi podatki in z napotki, kje v muzeju je o njih mogoče izvedeti še kaj več. V posameznih predalih odkrije le besede; naprimjer pod črko L besedo lončar in napotek, naj obišče mojstra lončarja v muzejski delavnici v prilikiču. Sin kar ne more odnehati. Potegne me še k črki Č. Izvlečevo ravno predala, v katerih najdeva fotografiji čupe in čance, predmetov, ki se ju spomniva iz sheme stalne razstave kot dveh Naj-reči. Napotek, ki se skriva v predalu, naju usmeri prav k ogledu te razstavne celote. Čeprav uživam, se tokrat nisem nameravala tako dolgo zadržati v muzeju; sinu zato predlagam, da Naj-reči prihraniva za naslednji obisk. A moj poskus je zaman; čupa in čanca sta ga preveč uznemirili, morava še do njiju. Najprej naju prevzame čupa. Potopiva se v modrino razstavnega prostora z zgodbo o ogromnem, sedem metrov dolgem ribiškem drevoaku, v kakršnem so stoletja odhajali na morje slovenski ribiči iz vasi od Trsta do Timave. Sin ima o njem sto vprašanj in na razstavi radovedno odkriva odgovore. Potem stopiva še v prostor druge naj-reči, čance. V trepetajočem mraku, ki vzbuja občutje tropskega pragozda, jo odkrijeva kot zares najnenavadnejši, najskrivnostnejši predmet: trofejo iz kože človeške glave z ohranjenimi lasmi, umetno skrčeno na velikost jabolka. Njena magična zgodba povzema utrinke iz življenja južnoameriškega indijanskega plemena Jivaro. Polna čudenja zapuščava Naj-reči. Tako razstavno izpostavljeni nama bosta ostali še posebej v spominu. Ob tem pomislim, kako mikavni za muzejske obiskovalce so prav zaradi česarkoli izjemni muzejski predmeti. Nekateri zgolj z njimi povezujejo spomin na obisk posameznega muzeja. Tako smo se otroci spominjali ljubljanskega Prirodoslovnega muzeja kot tistega, kjer imajo mamuta; a je v njem še toliko drugih zanimivosti. Slovenski etnografski muzej nama kot kaže ne bo ostal v spominu samo zaradi čupe in čance, temveč kot muzej, ki ga kar nisva mogla zapustiti. Kljub časovni stiski tega dne, ki jo najino dolgo raziskovalno potepanje le poveča, se prepustiva dobremu razpoloženju ter se z mapo nabranih zloženk in reklamnih muzejskih tiskovin za konec usedeva še v vrt priazne muzejске kavarne, v senčni objem dveh stoletnih platan. VIRI IN SLOVSTVO BAŠ, Angelos, 1968 O predmetu etnologije (Teze za diskusijo). V: Časopis za zgodovino in narodopisje, n.v. 4. Maribor, str. 273-277. 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V: Terrain 25, Carnets du patrimoine ethnologique. Paris, str. 147-157. RIVIÈRE, Georges Henri, 1989 Muzej in družba. Etnologija, antropologija, folklor. V: La muséologie (tipkopis prevoda iz zbornika). Paris. ROGELJ-ŠKAFAR, Bojana, 1993 Slovenski etnografski muzej, Sprehod skozi čas in le delno skozi prostor. Ljubljana. ROGELJ-ŠKAFAR, Bojana, 1995 Slovenski etnografski muzej od ustanovitve do danes. V: Razvoj slovenske etnologije od Štrekla in Murka do sodobnih etnoloških prizadevanj, Zbornik prispevkov s kongresa (Ljubljana, Cankarjev dom, 24.-27. oktober 1995). Ljubljana, str. 213-220. SLAVEC GRADIŠNIK, Ingrid, 1995 Med narodopisjem in antropologijo, O razdaljah in bližinah. V: Razvoj slovenske etnologije od Štrekla in Murka do sodobnih etnoloških prizadevanj, Zbornik prispevkov s kongresa (Ljubljana, Cankarjev dom, 24.-27. oktober 1995). Ljubljana, str. 125-140. SMERDEL, Inja, 1983 Ljudsko gospodarstvo. V: Slovenski etnograf, XXXII (1980-1982). Ljubljana, str. 1-26. SMERDEL, Inja, 1990 Etnološka razstava Kam so vsi pastirji šli..., Miselno popotovanje od raziskave do razstave z uvodnim in z nekaterimi obpotnimi postanki. V: Argo, XXIX-XXX. Ljubljana. SMERDEL, Inja, 1994 Oselniki, Zbirka Slovenskega etnografskega muzeja. Ljubljana. SMERDEL, Inja, 1995 Slovenski etnografski muzej in kulturna identiteta. V: Znanost na Slovenskem danes in jutri. Ljubljana, str. 51-54. ŠMITEK, Zmago, 1995 Neevropska etnologija v Sloveniji ali koliko daleč vidimo. V: Razvoj slovenske etnologije od Štrekla in Murka do sodobnih etnoloških prizadevanj, Zbornik prispevkov s kongresa (Ljubljana, Cankarjev dom, 24.-27. oktober 1995). Ljubljana, str. 155-160. ŠTRUKELJ, Pavla, 1983 Neevropske zbirke v Muzeju Goričane. V: Slovenski etnograf XXXII (1980-1982). Ljubljana, str. 125-158. TSCHOFEN, Bernhard, 1994 Volkskultur im Museum oder Den Alltag muss man sich denken. V: Österreichisches Museum für Volkskunde, Schausammlung zur historischen Volkskultur, Begleitbuch. Wien, str. 15-26. VAN-PRAËT, Michel Une rénovation muséographique a la convergence d’un lieu, de publics et d’idées scientifiques. (Kopija avtorjevega članka, str. 13-23.) (VURNIK, Stanko), 1926/27 Kr. etnografski muzej v Ljubljani, njega zgodovina, delo, načrti in potrebe. V: Etnolog 1. Ljubljana, str. 139-144. INTRODUCTION The basic aim of the article written under the above mentioned title is a uniform presentation of the proposals and some other ideas that originated or were brought up during the one-year process of planning the museum’s future permanent exhibition. The exhibition will be set up in the new exhibition halls that are part of a complex of buildings known as “Metelkova” by a team of the Slovene Ethnographic Museum assisted by external collaborators. Considering it sensible to set this presentation in the broader context of the comprehensive project for the renovated museum; to make it the conclusion of a cross-section of what occurred to the museum and in it from its beginnings; to present the architecture and functions of its future halls; and to explain the road that led to the proposals for the contents of the museum’s permanent exhibition, the present article has a broader range and consists of separate chapters, corresponding with themes listed above. Its composition and final wording draw on a number of ethnological and museological articles and discussions, from exhibitions I had the privilege to visit, to lectures, ideas and an abundance of informal discussions. THE INSTITUTION, ITS PREMISES AND RESOURCES The here presented cross-section of what happened to the Ethnographic Museum and in it, is terse, limited to essential changes, and occasionally merely refers to the initial and present conditions since the development of the museum from its foundation until today has in recent years been the subject of several in-depth studies (see, especially, Rogelj-Škafar, 1993, 1995), and it would therefore make little or no sense to repeat their findings in their entirety. As an institution the Slovene Ethnographic Museum received its present name in the 1960s. It was founded (in 1923) as The Royal Ethnographic Museum, changed its name into Ethnographic Museum after the Second World War, and the adjective Slovene was added in 1964 (following an initiative of the museum’s then director Boris Kuhar), in order to have the name point out “that it is the central Slovene ethnological museum and institution” (Rogelj-Škafar, 1993). The present name has been preserved because of its tradition as a national museum institution. For reasons of tradition and other historical, spatial and theoretical conceptions of the word “ethnographic”, we have also preserved this basic content-oriented adjective in the museum’s name, though the work that is carried out in it, the museum’s ambitions, and the contents of the collections might support its replacement with an adjective with wider associations, for instance “ethnological” or even “anthropological museum”. The beginnings of the ethnographic museum were the “ethnographic” and/or “folklore collections” of the Carniolian Provincial Museum in Ljubljana, founded in 1821. The origin of the ethnographic museum as an institution resulted from the efforts of a single person, Niko Županič, the first academically trained Slovene ethnologist and anthropologist (as well as man of the world and diplomat) who in 1923 succeeded in obtaining the permission of the Ministry of Education of the Kingdom of Yugoslavia to found the Royal Ethnographic Museum in Ljubljana. One year later, this rather untypical “one-man institution and late-comer in the run of contemporary developments in and around most of Europe’s ethnographic museums got its first employee, an assistant, in the person of art historian Stanko Vurnik, who was to become the main and besides Županič the only specialized scientific worker in the museum. In 1926 Vurnik wrote (in a chronicle entitled the Royal ethnographic Museum in Ljubljana, its history, activities, plans and needs, published in the first volume of the museum’s scientific journal Etnolog) about the ethnographic museum’s spatial problems in terms that are so characteristic and illustrative of nearly the entire history of the institution – with later variations and perhaps slightly different accents - that they have remained true all through the museum’s seventy years of existence: “…a (permanent) exhibition space. Concerning this room or hall, at present one of the museum’s most urgent requirements, many steps have been taken with the provincial and central governments in the past three years. The National Museum (the main successor of the Carniolian Provincial Museum) has become absolutely too small even for its own ambitions, and in its building the ethnographic museum cannot expand properly. But the budget item that would allow a new and special building to be built for the ethnographic museum in Ljubljana is as yet at a deadlock, beyond which there is no solution unless the government finds a way to support the work of the ethnographic museum with higher subsidies.” The three exhibition halls, acquired in the National Museum building in 1947, the opening of branch exhibition halls in the sixties, the acquisition of new work premises in the attic of the National Museum in the eighties: these changes did not amount to a satisfactory and final solution for the ethnographic museum’s lack of space. In the search for better solutions many ideas emerged from various circles; this lasted until the 90s when before, during and after the process of Slovenia achieving independence more favourable times came and the museum’s struggle for an own building invigorated considerably. These efforts are symbolically marked by the case of “Mladika”, originally the municipal Lyzeum for girls, and later a military hospital. The building (designed by architect and functionalist Maks Fabiani) remained unoccupied after the departure of the Yugoslav Army and appeared to be quite suitable premises for the ethnographic museum. In spite of our embarrassment concerning possible political manipulations, though far from non-existent in the ethnologist’s historical memory, the staff of the ethnographic museum tried to benefit from this period, charged with emotions and political agitation, and we deliberately based our written and oral actions also on political accents; we were convinced, however, that we agitated for our own, sufficiently spacious museum with the legitimacy of a sovereign scientific discipline and national cultural institution (Smerdel, 1995). Looking back, it appears that the developments had to go as far as the politicised commotion around “Mladika”, meeting with exceptional approval from the public and part of the political circles as well as rejection by others, to make the authorities aware of the Slovene Ethnographic Museum as an established, full-grown cultural institution of national importance and that in order to carry out its message and realise its fundamental social role according to “the ABC of museum activities” (Duclos, 1996) the museum definitely required suitable premises. To meet, beside other needs, also this requirement the government of the Republic of Slovenia decided to allocate the southern wing of a complex of military buildings in Metelkova Street to cultural institutions. In June of 1994 the buildings were handed over to the Ministry of Culture for the needs of the Slovene Ethnographic Museum and other cultural institutions. The agreement, signed on March 29, 1995 by the museum’s then director Ivan Sedej, provides that the ministry allocates to the Ethnographic Museum two of the six buildings in the southern wing of Metelkova (areas: 3,500 and 1,900 square metres) for exhibition purposes and nearly all other museum activities; shortly afterwards and under the same agreement the museum also obtained 2,000 sq. metres of depository premises in the same complex. In co-operation with the Municipality of Ljubljana and the Ministry of Culture a competition was announced (in July 1995), inviting proposals for the architectural and town-planning renovation of the southern wing of the former complex of military buildings as well as proposals for the renovation of the northern wing from the point of view of town-planning only. The competition invited proposals for the urban arrangement, renovation of the buildings and possible extensions to the so-called Belgian barracks from the times of the Austrian-Hungarian monarchy, that is historical buildings dating from the end of the 19th century. It was expected that the renovation would provide an elegant solution for a number of museums and other institutions, thus creating a new, lively cultural venue of Ljubljana that would attract people because of its multi-cultural nature (housing the following institutions or parts of them: the Slovene Ethnographic Museum, the National Museum, the Modern Gallery; the Academy of Theatre, Film and Television, as well as a range of non-institutional creative endeavours.) It seems appropriate that the two decisions mentioned in the above paragraph conclude our negative story about resources for the ethnographic museum’s spatial problems to which Vurnik referred in the first years of the museum’s existence with the following words: (an exhibition space is) “one of the ethnographic museum’s most urgent requirements”, and, on another occasion: “the deadlock in the budget concerning the building of a new museum” (Vurnik, 1927). The 1995 budget provided among investment projects in culture an item “Metelkova - The Slovene Ethnographic Museum” thus enabling the museum to start (in 1996) the renovation of the interior of the first, smaller building. The renovation of this building is less demanding and was not included in the competition, though it is treated as part of the complex of buildings. The costs for the renovation of this building amount to 241,000,000 tolars (or 2,680,000 DM) for the building, installation and finishing works, exclusive of furnishings. Keeping in mind that an assessment of the investment necessary to renovate the second, larger and more demanding building of the ethnographic museum as well as the appertaining underground depositories, amounts to approx. 1,183,000,000 tolars (13,252,000 DM), and recalling what else is expected to happen in the complex of buildings in Metelkova, this new cultural venue of Ljubljana, which certainly is a challenge, we can only hope that the political and culture-oriented decisions that made way for the beginning of works in Metelkova will be followed by others and lead to a successful and correct realisation. When we elaborated the program for a comprehensive project of the new ethnographic museum in Metelkova, required for the competition inviting proposals for architectural and urban-planning solutions, we had a vision of a museum which in the world of museums has become known in recent years under the perhaps fashionable but otherwise rich and meaningful concept word of a “(user-) friendly museum”. We envisaged a modern ethnographic museum with high, internationally comparable standards, a lively cultural, scientific and educational institution that would offer to its visitors not only attractive exhibitions, a variety of events and museum workshops, not only opportunities for discovering, learning, enjoying, inter-action, dreaming and reflections, but also everything else that would contribute to their physical well-being. What we planned was a museum that would take care of the objects it holds in accordance with international standards, that is provide for their safety, provide the necessary conditions for keeping and exhibiting them; and we also planned it to be an institution that would enable its staff to find sensible links between the different processes of museum work, and offer them pleasant, stimulative work premises. We thus envisaged a division into three interconnected units: 1. the exhibition palace, the largest and most representative building in the southern wing of the complex of buildings, entirely open to the public (including the halls of the permanent exhibition, those for temporary exhibitions, the museum’s workshops, a museum shop and coffee shop ...); 2. the adjacent, smaller building, conditionally called the management building, would be reserved for administration, information, research, audio-visual, publishing, conservation, restoration, and other activities (with a public reading-room, lecture room and small exhibition room); 3. in between the two buildings and connected with both of them: the museum’s underground depositories. (A similar division was adopted by the planners of the new Museum of Civilisation in Hull, Canada, which opened in 1989 (Hushion, 1992): one building for administration, conservation and depositories and a second one entirely for the exhibitions.) The concept we submitted for the museum’s contents was in general respected by the participants in the competition. The desired functional scheme of the future rooms in the ethnographic museum’s exhibition palace and the connections with the depository and management building are best illustrated by the winning solution called Forum, the work of architects Samo and Gorazd Groleger, Miroslav Kvas and Maja Štefula. (See pp. 21-23.) The acquired premises, this fundamental condition for a normal development and functioning of the institution that we had to wait for so long, stimulated in the ethnographic museum above all ethnological and museographical reflections on the permanent exhibition (see the following chapters). But they also brought the opportunity and requirement to plan new museum services and staff of the kind that are quite common in well-run museum institutions of similar significance and size, for instance a receptionist, ticket seller, maintenance worker, photographer and a public relations officer. There is no doubt that in the past seventy years the ethnographic museum developed - despite its lack of space - far beyond the “one-man institution” (Niko Županič) of 1923 and, shortly afterwards, the “two-men museum” (Županič and Vurnik) and that its progress was more or less in accordance with the growing collections, library and documentation and with the expansion of research and exhibition activities. In 1995 the institution had a staff of twenty-five including: - five persons in management (director, secretary, accountant, cashier, bursar, courier/cleaner); - Six curators and researchers (folk art, social culture and customs, rural economy, crafts and trade, clothing culture and textiles, architecture and home furnishings); - four in the information and documentation service (three curators and documentalists, a computer expert); - a curator and librarian in the museum library; - a curator and pedagogue in the museum’s pedagogic and adult education service; - four in the museum’s conservation and restoration workshops (head of the workshops, restorers of wood, metal and textiles) and - three in the branch museum in the Goričane mansion (a curator of non-European cultures, a courier/cleaner and concierge). In spring 1995 a short-term and long-term concept was elaborated of the further development of the institution and its staff, in accordance with the museum’s statutory tasks (some of the museum’s basic tasks are listed in the new Foundation Act and summarised here: (The Slovene Ethnographic Museum) collects, conserves, restores, arranges, documents, preserves and scientifically researches objects, written, printed, pictorial and sound sources for ethnological research into different ways of life and cultures in Slovenia, the border areas and, when possible, also elsewhere; it prepares exhibitions and other forms of presenting the findings of museum work; publishes specialist, scientific and other publications...; co-operates with educational institutions, is responsible for the popularisation of its activities, manages the central ethnological library...; ... carries out and organises ethnological scientific research activities in Slovenia and elsewhere...), and in accordance with the envisaged solution of its spatial problems. The well-founded proposal foresees the following present and additional staff in the new museum (by 2000): - in the management: an assistant director; - two additional curators, one for the Non-European collections and one for the future collections of Slovene immigrants, the Slovenes living in the neighbouring border areas, and the national minorities in Slovenia; (desirable are also a curator of musical instruments and one for mass culture); - an additional librarian in the museum library; - an additional restorer of wooden objects and restorer of textiles in the museum’s conservation and restoration workshop; - in the new services of audio-visual documentation a head of the AV laboratory, a photographer and a draughtsman; - a suitably trained person in the new public relations service; - in the new services: a maintenance worker, two receptionists, two cleaners (or a cleaner and a cloak-room attendant) a ticket seller and six guards; - in the coffee shop: a licensee; - in the museum shop: a licensee; - in the museum workshops the following master craftsmen: a potterer, a wood-carver and turner, a weaver, all of them users of the individual workshops. This short- and long-term concept of the structure of the museum’s staff was the basis for the functional arrangement of the rooms in the first building, the one conditionally called the management building of the ethnographic museum (and partly also in the second one, the exhibition palace). The first building of the Slovene Ethnographic Museum in Metelkova is being renovated in accordance with the adopted arrangement and is expected to be put into use in spring 1997. (See p. 25.) A VIEW OF THE COLLECTIONS, THE SIGNIFICANCE OF THE OBJECTS AND SOME DEFINITIONS OF THE MUSEUM AND ITS PERMANENT EXHIBITION For the entire time of its existence the Slovene Ethnographic Museum as a national institution has been a rather ambivalent museum, especially when compared with other national and even provincial museums, prominent because of their buildings and permanent exhibitions (there is some irony in the fact that it was precisely the Ethnographic Museum’s field research in the 50s which gave the ethnographic collections of some provincial museums their first objects). The ambivalent nature of the Slovene Ethnographic Museum is shown in the following aspects: On the one hand it is a museum holding nationally and internationally significant collections, illustrative especially of traditional culture in Slovenia and the everyday life of the primarily peasant population; of its collections at least the following deserve special mentioning: ploughing implements, the “most important collection of its kind in Southeastern Europe” (as evaluated by Prof. Dr. Hans Koren; Smerdel 1983); the unique, all-Slovene and most extensive collection of costumes, embroideries and laces (the entries in the inventory books amounted to 8572 items in 1983; Makarovič, M., 1983; the 1995 review counted 10,071 pieces); the collection of folk art, “by far the largest and most representative of its kind” and “the only all-Slovene collection of its kind” (Makarovič, G., 1983); the collection of Bloke skis, dormouse traps, masks, chests ... Furthermore, the museum also holds some equally important non-European collections, illustrative of individual cultural elements of some “peoples of the world” and of the Slovene attitude towards them, of encounters with “alien cultures”; among them deserve mentioning at least (most of them are known by the names of their donors): the Baraga Collection of objects from the native North-American Ojibwa and Ottawa tribes; the Knoblehar Collection of objects from the East-Sudanese tribe of the Bari; The Skušek Chinese Collection, “one of the biggest”; the “exceptionally extensive, original and systematically collected” Bebler Indonesian Collection (Štrukelj, 1983) and the Paul Schebesta Collection (donated by Dr. Lambert Ehrlich), an ethnologist and well-known researcher of the Pygmies. On the other hand, however, the Slovene Ethnographic Museum is a national museum which until recently - and in spite of the national and broader significance of its collections - has remained deprived of its own premises (except for the branch museum of non-European cultures in the Goričane mansion), suitable and sufficiently large exhibition halls and thus did not meet the full meaning of the word museum. “A collection is not a museum. It becomes a museum only when it forms a living part of the culture to which it belongs”, are the words of Michel Van-Praët (EMYA, 1996), one of Europe’s leading museologists, who, of course, was referring to exhibited collections. In the case of the Slovene Ethnographic Museum, most of whose collections are locked up in depositories and are accessible to the public only in the form of different interpretations in merely temporary exhibitions, his opinion would be quite the same. It would not even surprise to have such a museum judged to be the "home of confiscated heritage" because it cannot fulfil one of its basic social roles, "that of giving back" (Duclos, 1996). In museums "about people", such as the Slovene Ethnographic Museum undoubtedly is, "man gives back to man what he has taken from him", in the poetic and binding words of George Henri Rivière (Duclos, 1996). The Slovenes and their national ethnographic museum are late-comers in the European context; but only as far as an own building is concerned, not when referring to its collections. The major incentive for the origin of big central ethnographic museums in Europe were the world expositions in the second half of the 19th century. The Paris World Exposition of 1867, for instance, had a special section devoted to "folk costumes from the different provinces" of France and from other countries; especially notable were the presentations of Norway and Sweden. The Stockholm Nordiska Museet was founded in 1873; the Paris Trocadéro was opened in 1884 (as a paleo-anthropological and mainly non-European museum), in the later Musée de l'homme, deriving from similar initiatives a "French hall" was set up in 1888 (Duclos, 1996), the embryo of the later Musée des arts et traditions populaires. Similarly, the Vienna World Exposition of 1873 led to the foundation of Österreichisches Museum für Volkskunde, which, at the end of the First World War, exchanged its temporary halls in the stock exchange for the present garden palace in Schönborn (Beitl, Tschofen, 1994). If Ljubljana had listened to the "lessons" of Matija Murko, published towards the end of the 19th century - Murko had visited the Great Ethnological Czechoslavonic Exhibition in Prague in 1895 and one year later reported on it publishing his famous "lessons for the Slovenes" advocating the foundation of a Slovene ethnographic museum (Kersič, 1993) - the Slovenes would not have lagged quite that much behind the then European-wide boom of ethnographic museums. Unfortunately, Murko was not heard. And thus the Slovenes got their Royal Ethnographic Museum (as a result of initiatives of a completely different nature) as late as 1923. For its own premises, however, the institution had to wait another 72 years. Quite different is the story of the collections. In 1821 the decision was adopted to found the Carniolian Provincial Museum in Ljubljana (the precursor also of the SEM). Even before they defined the five major fields of contents of the museum's collections (history, statistics, natural science, technology and physics) the trustees planned a special ethnographic section (as part of the field covered by history) after the Joanneum in Graz. The section was to include descriptions and pictures of costumes and buildings, folk and fairy tales, wedding customs, folk songs and melodies (Rogelj-Škafar, 1993, 1995). This contemporary romantic orientation of the ethnographic section was overtaken by echoes of the Enlightenment (and its interest in economy and agriculture, based on physiocratic principles) in the concrete form of some objects that are considered to be the oldest acquisitions in the Slovene Ethnographic Museum's present collections: three models of a waggon (for carrying wheat and sugar), a plough and a harrow, originating from Planina near Rakek and dating from 1833 (Golob, 1996/97); miniature models of "na Krainskim navadniga kmetouškiga orodia" ("peasant tools common in Carniola") originating also from Planina near Rakek and dating from 1835 (Smerdel, 1994) and a model of a double plough (Deschmann, 1888). The first costumes, "figurines" carrying costumes from Bela krajina (Črnomelj, Vinica and Bojanci), were registered as late as 1839 (Rogelj-Škafar, 1995). The first and oldest collection of the present Slovene Ethnographic Museum, however, is undoubtedly the collection of "ethnographic objects" from North America, i.e. from the native tribes of the Ojibwa and Ottawa, donated to the Carniolian Provincial Museum by the missionary bishop Frederic Baraga, who had been asked to collect them. The chairman of the museum’s board of trustees, natural scientist Hohenwart had persuaded Baraga’s sister Amalija to write to her brother, the missionary, and ask him for ethnographic objects of the “savages” (Golob, 1996). Hohenwart’s interest in native American objects was in line with the then widespread natural sciences “cabinets of curiosities”, traces of which can be found in the first anthropological museums (in the mid 19th century they were known as ethnological or folklore museums and limited to non-European cultures; Rivière, 1989). From the very beginning of the ethnographic museum’s collections until the present day one hundred and sixty-one years have passed. By 1953, when Boris Orel made a survey of the non-European collections, their number of objects had risen to 1242 (though this number is not quite correct since some objects that had already been received and inventorised, continued to remain in the National Museum; Orel, 1954) and by 1983 when Pavla Štrukelj wrote about them, to more than 9500 objects. The collections are arranged according to continents, as well as donors or sellers, among whom we find researchers, globetrotters, missionaries, seamen, merchants and diplomats. The list of Egyptian objects, donated to the museum by consul Laurin, for instance, dates from 1843; a collection of objects from the East-Sudanese tribe of the Bari was sent to Ljubljana by the missionary Ignacij Knoblehar in 1850; the Codelli Collection from Togo, Nigeria and the Cameroon dates from 1912-1914; the collection of objects “collected among the Pygmies of Central Africa by Paul Schebesta, the well-known ethnologist and researcher of the Pygmies”, was entered in the Ethnographic museum’s catalogue of holdings in 1941; back to 1912-1913 goes the “high-quality” Chinese collection of the missionary Peter Turk; in 1963 the museum received (from the National Museum) a representative Chinese collection from Mrs. Skušek, née Tsuneko Kondo-Kavase; Vera and Aleš Bebler’s Indonesian collection dates from 1964, and in 1978 Vera and Ignac Golob donated to the museum their Mexican collection (Orel, 1954, Štrukelj, 1983). However, more important than these references to some of the most valuable or extensive collections and their donors or sellers (the latest acquisition is a collection of 336 African objects, sold to the museum by Anton Petkovšek) is undoubtedly the information value of the collected non-European objects. Careful reading of the survey of these collections, carried out on the occasion of the Slovene Ethnographic Museum’s sixtieth anniversary and written by Pavla Štrukelj (1983), leads to the conclusion that the larger part consists of hunting gear and arms, jewelry and other clothing accessories (pipes, bags, combs…), men’s and women’s clothes, masks and musical instruments; objects - one might say - that are especially attractive to collectors because of their strange, different and exotic nature. These objects are no doubt eloquent witnesses to some non-European cultures and to some segments of everyday life there. However, the fact that they were largely collected because of their strange and exotic nature, is quite indicative of the collectors’ attitude to these cultures. “The Museum of Non-European Cultures is not a collection of exotic remnants, nor has it the intention to be one, …but intends to present in a most comprehensive way the non-European cultures Slovenes came into contact with and are or will continue to be connected with (Čeplak, 1991 ). This definition of a - at one time - envisaged separate “Museum of Non-European Cultures” in the Goričane mansion (instead of being a branch museum of the Slovene Ethnographic Museum) and of its permanent exhibition, dates from 1991, and, keeping in mind the collections’ composition, must be judged as rather unrealistic and only half-way correct. During the same period covering one hundred and sixty years, the Slovene collections were formed on quite different premises. Instead of collecting objects from “savages”, searching for the strange and exotic, the collectors’ efforts at first focused on “national treasures”, “the nation’s jewels”, “crafted by the mind and the hands of the people, originating from the soul of the nation” (Rogelj-Škafar, 1993, Smerdel, 1983). Geographically, the collections originated mainly from the former province of Carniola or, even narrower, from Gorenjska and Bela krajina, thematically they included above all textiles and folk art (Rogelj-Škafar, 1993). More or less the same criteria also prevailed during the existence of the 1923 founded Royal Ethnographic Museum in its efforts to enrich the collected heritage of the former Rudolfinum, the Carniolian Provincial Museum. (From its main successor, the National Museum, the Slovene Ethnographic Museum received 3502 objects that were in the ethnographic collection). The ethnographic museum’s main interest was in objects that were as old as possible because their particularities and characteristics were to prove that the Slovenes may be a small nation but one with a long history. The majority of the acquired objects were not older than two centuries; among the provinces of origin Gorenjska and Bela krajina continued to prevail and among the themes especially textiles and folk art. The essential criterion was typology, rusticity was conceived as an invariable constant and no consideration was given to social differentiation (Rogelj-Škafar, 1993). An essential change in the approach to collecting occurred for the first time in the first two decades after the Second World War. It was the ambition of the then director Boris Orel that the museum should present “a complete image of life in our countryside”; he defined ethnology as the science that collects and studies “different material from Slovene folk life” or as a science “dealing with the cultural products of the Slovene people and the laws of their development” (Orel, 1948). These were the guidelines governing the monumental collection efforts of the so-called Orel field teams. (By the end of 1962 no less than 18 teams had roamed the Slovene provinces). Their efforts ranged from research and collection to documentation of cultural elements within the framework of the established division into material, social and spiritual culture, and resulted in the present variety of material and geographic origin in the collections. The collections mainly consist of the following items: ploughing implements, other agricultural tools, devices and machines for cleaning and processing crops, hunting and fishing gear, harnesses, means of transportation, furniture, household objects and implements, tools and products of domestic craftsmen... The objects originate from the environs of Ljubljana, Dolenjska, Notranjska, Primorska, Štajerska and Koroška (i.e. besides Gorenjska and Bela krajina). In the course of the last decades the collections have become even more varied as far as themes, geographic and social origins are concerned; a development also due to the increased number of curators. Their research, collecting and lively exhibition activities were organised more or less in accordance with ethnological systematics and in departments of rural economy (transport and food), the crafts and trades, settlements, architecture and home furnishings, costumes and other textiles, social culture (customs) and folk art. An even more important influence was generated by the assertion of modern theoretical views; that is by the shift from studying the history of cultural elements to the bearers and their attitude towards these cultural elements (Rogelj-Škafar, 1993). The interest focused (also in the museum) on “man as the representative bearer of culture, and the way of life was introduced as the relationship between man and his cultural and natural environment as expressed in everyday routine”. (Slavec Gradišnik, 1995). Ethnology was defined as “a specialised discipline of historiographic nature, dedicated to the research of the everyday, common and typical cultural forms and contents of life of those social classes and groups that give to a certain ethnic or national unit its specific character” (Kremenšek, 1960/61). The collections reflect these definitions especially in the following aspects: small numbers of objects appeared, illustrating the everyday life of members of individual occupational groups (for instance forestry and saw-mill workers) and of other social classes (for instance the bourgeoisie). In spite of this intended broadening the major part of the museum’s holdings still consists of collections of peasant culture, witnesses to the everyday life of the peasant population, to Slovene people of an archaic, traditional society. (The Slovene collections of the ethnographic museum today count over 30,000 objects; 22,904 of them have been inventorised, the others can be traced in the registers of acquisitions.) The objects in these collections, the formerly so-called “evidence of folk creativity”, this “inventory of the nation’s treasure”, have not changed, of course. What has changed is how they are viewed today. Indeed, they have become bearers of information with multifold meanings, material witnesses to the everyday life of the peasant population, telling stories about its creativity, inventiveness, skills, wisdom, ideals of beauty, co-existence with nature. Formerly they were all encompassed by the disputable, but still existent concept of “folk culture”. Up to the 1960s the Slovene ethnological discipline considered folk culture to be “the peasant culture of the pre-industrial period and the later survivors of this culture (definition by Baš, in: Kremenšek, 1983) which is supposed to be an acceptable term. Later, the concept of folk culture became linked with “the culture of the subjected classes in the period of feudalism” (Kremenšek, 1983), a definition attempting to be more accurate in the historical and social sense. More recent reflections (Muršič, 1995) hold that it is not possible to “locate” folk culture “in a concrete time or social space - not even in the pre-industrial period”. For the ethnological discipline it is supposed to be a “transcendental” category. The concept “folk” is undoubtedly disputable from a theoretical point of view, since it is not defined well enough; on the other hand, however, the things themselves, the museum objects, encompassed by the concept of folk culture are incredibly concrete: they were made and used especially by the peasant population; most of them are objects that supply information on manual work and skills passed on (on work processes before the use of machines and before the industrial revolution); most of them originate from the 19th century, a small part from the 18th (and, in very few cases, from before the 18th century) as well as from the 20th century. They are often illustrative of cultural elements of “long standing”. Therefore, a more suitable syntagm as far as meaning is concerned would be traditional culture. The concept “tradition” refers to what is past, historical, passed over from generation to generation, is of “long duration”; furthermore, in the past, that is up to the first decades of the 20th century, the majority of Slovenia’s population were peasants (though completely differentiated). The syntagm traditional culture therefore encompasses both historical and social aspects. While more or less constantly focusing on the collections, the history of the museum has seen various definitions of a museum and permanent exhibitions, but only rare exhibitions of a more permanent nature. The first one to be mentioned is the exhibition of the collections of the "ethnographic" section of the Carniolian Provincial Museum, the Rudolfinum, in 1906, displayed in eight showcases, and according to the then museum’s curator Walter Schmid “showing a clear picture of local culture in the Carniolian province in well thought-out self-contained groups”. (Rogelj-Škafar, 1995). Stanko Vurnik, The Royal Ethnographic Museum’s curator, planned a permanent exhibition as a reflection of the goal “to represent the Slovene and Yugoslav population from the point of view of ethnography, anthropology and folk art”. He envisaged the collections to be displayed in the future halls according to a clear scheme: six halls for peasant architecture with typical interiors of rooms, a "kamra" and kitchens; two halls were to exhibit furniture and wooden, iron, ceramic and textile peasant crafts; two halls for agricultural implements and crafts tools; three halls to exhibit costumes and embroideries; one hall for sculptures and paintings; one hall for folk music; one hall to exhibit customs and two halls for the objects from exotic peoples (Rogelj-Škafar, 1993). In 1947 the Ethnographic Museum was allocated three exhibition halls and part of the ground-floor corridor in the building of the National Museum. The museum’s director Boris Orel wanted a presentation of the entire Slovene folk culture based on different historical and developmental views, but in the three mentioned halls this was far from viable. What was exhibited was an exclusive selection of merely a tenth of the museum’s holdings. The first hall was dedicated to the presentation of a Slovene peasant house, its economy, household and crafts; the second one displayed Slovene folk costumes, and the third objects of Slovene folk art and customs (Rogelj-Škafar, 1995). From the mid 1960s onwards the Slovene Ethnographic Museum no longer set up permanent exhibitions. The last three decades saw various temporary exhibitions that were all intended to be “basic preparations for the setting up of a permanent collection” (Kuhar, 1983). Director Boris Kuhar described (in 1983) this (future) permanent exhibition in the following words: “The exhibition, fully in accordance with the principles of modern museology and with the development of the ethnological discipline at home and abroad, will present the life of the Slovenes from their settlement up to yesterday or even today. In the spatial sense it is to include the Slovenes in this country and those on the other side of the border, emigrants and Slovene guest workers abroad. Thematically, the presentation is to encompass all classes of the population, social, occupational and other groups in the countryside and in towns that characterized the national community in individual historical periods.” This description (or definition) which failed to take into account the actual circumstances in the museum and the nature of its collections was based on two then prevailing definitions of ethnology: that of Slavko Kremenšek which we mentioned above, and that of Angelos Baš, stating that ethnology “is a discipline studying the way of life, or, more accurately, the history of the way of life of individual nations” (1968). But even Kuhar had his doubts and they are reflected in the sentence following the above quoted one: “Unfortunately, available ethnological literature shows great deficits since we have no fundamental works; there is still a lot of scientific and research work to be done, and the co-operation of other ethnological institutions and related disciplines will be necessary.” In the memory of the museum’s staff the above quoted definition has survived as “the way of life from the Palaeolithic to Tito” and was often adhered to, that is both methodological approaches were often followed. Curator Irena Kersič, for instance, wrote (in 1983): “The basic task of the Slovene Ethnographic Museum remains to set up a permanent exhibition on The way of life of the Slovenes through the historical periods up to the present.” This die-hard declared complexity - the way of life of all periods, all classes and occupational groups - is something we keep on trying to compose from individual things and is for many reasons an unattainable, elusive target. In recent times it has been quite realistically assessed as being an “over-dimensioned modernistic goal” (Muršič, 1995). Rethinking our goals brought the staff of the Slovene Ethnographic Museum back to the essence, to the collections and to the object, and thus over and again to man, about whom the things he wore and which surrounded him can tell us so much. But this does not mean that we are returning to the objects with the aim of setting up a permanent exhibition that would be a “museum of objects”, but rather to create with them a “museum of ideas” (Van-Praët), of existence, a museum about people and for people. It is hardly necessary to emphasize that such an approach to the permanent exhibition takes us far away from past concepts of a display of the “folk culture of a nation”, but also from the unachievable complexity that still lingered in curator Bojana Rogelj-Škafar’s text (1995): “The permanent exhibition will attempt to reveal with its world of objects the characteristic activities that formed and influenced the way of life, the processes and relationships between and within the characteristic classes of the Slovene nation in the various periods up to the present.” We cannot escape from the collections of objects, illustrative of traditional culture, of the everyday life of the primarily peasant population in Slovenia; they are the special feature of the Slovene Ethnographic Museum and are an important part not only of the Slovene cultural heritage, but also of the European heritage (such as in other countries, especially in France, is marked with the syntagm “peasant civilisation”). Similarly, we cannot escape the aspects of the exotic and strange that is so expressively present in the non-European collections. It would therefore make sense to finally rid ourselves of the frustrations brought about by complex definitions; at least as far as the permanent exhibition is concerned. The renovated Slovene Ethnographic Museum in the complex of buildings in Metelkova will indeed not be limited to the story told by a relatively permanent exhibition. Temporary exhibitions will offer inexhaustible possibilities to treat themes in so many different ways; they will be set up by our own staff, domestic and foreign guest experts; and they will deal with Slovene, European and non-European themes. Besides enriching the existing collections and the documentation there is also the need to establish several new collections and carry out corresponding research; for instance into a collection of objects, witnesses to the everyday life of Slovene emigrants; the material on the Slovenes living in the neighbouring border areas has to be completed; objects, illustrative of the life of the national minorities in Slovenia is still scarce; and a collection of objects illustrating modern mass culture will have to be set up. (In modern times mass culture has become - as did traditional culture in the past - the cultural image of everyday life of many people, perhaps even of the majority of the Slovene population). What we aim at is a modern European museum of cultural identities that will be embedded in the national cultural identity with the whole of its contents. Besides its basic social tasks the museum’s primary message will be a proud and dignified love of our own traditional culture, of the heritage handed down to us, of discovering cultural diversity, co-existence with differences, tolerance towards foreign nations, minorities and the wisdom of life in co-existence with nature. Reflecting on the renovated Slovene Ethnographic Museum as a cultural, scientific and educational institution I therefore imagine a comprehensive ethnological and anthropological museum that to the visitor will present a link between past and present, between traditional and modern culture, between nature and civilisation, between our culture and other ones, between man and the image about man we create artificially, though with objects that are genuine. THE ROAD TO THE PERMANENT EXHIBITION In the Slovene Ethnographic Museum we started working on the permanent exhibition in the spring of 1995. At that time it was no longer unrealistic to imagine the new premises of the future museum to become a fact. Initial discussions looked into possible approaches to the exhibition, for instance whether to involve collaborators from other ethnological institutions from the beginning or at a later stage, and into the assignments of groups and individuals. Towards the end of spring we submitted to the Ministry of Science and Technology a three-year applied research project in the field of conservation of the natural and cultural heritage, entitled “The permanent exhibition in the Slovene Ethnographic Museum.” The project has been running since January 1996. As part of it a selection of texts will be written for the exhibition that will provide basic explanations, point out connections and offer additional information (legends, the texts of brochures and a guide to the exhibition); the project further includes elaboration of the exhibitions museological aspects (museography, micro-climate, lighting) and of the adult-education section. In the autumn months of 1995 we reached the decision that the concept of the permanent exhibition’s contents was to be elaborated in the museum itself, that is by the curators and ethnologists who combine a museological and ethnological scientific approach with thorough knowledge of the basic material for the exhibition - the collections of objects. At a later stage, the chosen project for the exhibition would be submitted to others, yet not only to ethnologists, but especially to a broader public, that of the museum’s visitors. The need for an efficient division of labour within the group of museum curators and the decision that the initial concepts should be the fruit of individual planning, resulted in Gorazd Makarovič, Andrej Dular in Janja Žagar being asked to elaborate their visions of the permanent exhibition. In the spring of 1996 we were already able to read their first concepts of the permanent exhibition and add our written or oral comments and suggestions. Makarovič proposed to set up an exhibition divided into four themes: 1. Space, time and society - orientation background; 2. Resources and ways of making a living (agriculture, cattle breeding, hunting, gathering, crafts..); 3. Consumption (food, clothes, housing); and 4. The attitude to the world (beliefs, customs, arts, science, skills). The first theme would be introductory, and the other three based "on a view 'from below', on aspects and attitudes to reality as they are formed by a population that has to survive, consume and achieve self-realisation". The exhibition would be based - wherever possible - on historical and developmental aspects with special emphasis on the period from the mid 18th century onwards. Makarovič’s breakdown of the three basic units into samples of individual subchapters pointed out that the permanent exhibition would have a distinctly scientific character. Dular’s project envisaged three main units: 1. General items, 2. Life stories, and 3. The Slovenes and the World. The first unit would present the basic data on the Slovenes as a nation (settlement, historical development, geographically relevant data..), and develop from the general to the individual, ending with illustrations of psycho-physical characteristics of the Slovenes and with a fictional individual who would introduce the unit Life stories. This second unit would run on two levels of narration, with the first one to be life customs from birth to death, in which man’s life would be set in a personalised context of time, and, as a second level, that of calendar or yearly customs, where man’s life would be set in a wider, general context of society and period. The third unit, The Slovenes and the World, would develop from the individual to the general and present the connections of the Slovenes with Europe and the rest of the world. Major accents would be on presenting the knowledge and discovery of foreign cultures and on Slovene emigrants. Both Dular’s and Makarovič’s concepts envisaged the permanent exhibition to have a uniform form, structured into the above mentioned units. Janja Žagar’s concept foresaw a division into two basic exhibition forms (out of the three advocated by a well-known division and generally called the educational, cultural and scientific approaches, based on whether the exhibition is intended primarily for children, the general public or experts; Desvallées, 1976). The two approaches chosen by Žagar were a so-called cultural exhibition, intended for the general public and entitled Images of a culture or Objects about people; and, secondly, that of a scientific exhibition entitled Study Collections or Objects about themselves. The first approach envisaged an introductory part, “orientation outline of a culture” (geography-history and history-society), followed by a display that would offer “to the visitor various ways of receiving the imparted information”, that is in the form of “the life story of an individual and his social roles” (which in accordance with his age “widen” or “narrow”); in the form of “widening” and “cyclical repetition” (as reflected on the levels of man, society, other dimensions, nature, work); and in the form of a survey of an average inventory of objects (tools, furnishings, clothes), jobs and relationships between people. (The concept as a whole and the chosen section of its scenario are presented in a separate article). Žagar also wrote that it appeared to her that, "if we ignore geographically specific conditions and objects and at the same time keep in mind the actual composition of the museum’s collections, the most appropriate and best illustrated (by objects) conditions to feature in the exhibition are those from central Slovenia in the mid 19th century". The exhibition would therefore start around 1830 or 40 and end with first decades of he 20th century. As to the second form of exhibition, Žagar imagined a presentation of the Slovene Ethnographic Museum’s collections, largely in accordance with asserted ethnological systematics. The emphasis here would be on the object because of its “form, making and partly also use”, that is the technological aspect and the exhibition would illustrate “the context of the objects’ development in time and place”. A division into two basic forms of exhibition had been on our minds for some time already, under the impression of the so-called “ATP style” (ATP: Arts et traditions populaires), the type of presentation elaborated primarily by Georges Henri Rivière and realised in the form of the Study and Cultural Galleries in the Paris Musée des arts et traditions populaires (Desvallées, 1976). In the period of intensive involvement in elaborating concepts for the exhibition we broadened our knowledge through comparative reading of guides to permanent exhibitions in existing ethnographic museums, studying other sources (for instance, critical assessments of the relatively outdated installation in the ATP), and by visiting some recent relevant exhibitions in Europe (for instance, the conceptually original, but visually not quite sufficiently informative exhibition set up in 1994 in Vienna’s Österreichisches Museum für Volkskunde, and the rather classical set-up in Budapest’s Néprajzi múseum from the early 1990s). Nevertheless, we kept returning to the above mentioned “ATP style”, though primarily because of its basic idea - that it is most appropriate to have two or three forms of exhibition (Rivière indeed planned a third, educational gallery, intended exclusively for children; Desvallées, 1976.) In spring, Janja Žagar’s concept was chosen as the basic concept for the permanent exhibition of the Slovene Ethnographic Museum. In the course of the further organisation of work Žagar was assigned the responsibility of final design of the scenario entitled Images of a culture or Objects about people, to present traditional culture, “its changes and novelties”, through the story of the life of a fictional individual or couple of individuals. Andrej Dular was made responsible for the design of the scenario of the study exhibition of the collections and Gorazd Makarovič for conceiving the exhibition’s introductory story, “orientation outline of a culture” or “the basic background of the Slovene ethnos”. Sonja Kogej-Rus had already earlier started to devote herself to the general and adult education aspects of the permanent exhibition, and in mid 1996 Marjeta Mikuž was assigned the execution of a research of potential visitors of the Slovene Ethnographic Museum and what they expected from the permanent exhibition. Consultations with outside co-operator Borut Rovšnik, museologist of the Municipal Museum of Ljubljana, led to the elaboration of a questionnaire that will be used for a trial survey in January 1997. It will then be re-edited and used on a sample of approximately 600 people in February 1997. Visitors are a museum’s active fellow-travellers and we therefore intend (after carrying out the survey) to engage them even more intensively in the concept of the permanent exhibition by setting up a trial exhibition, during which a so-called formative or design research (see Van-Praët) will be carried out. Two sections of the envisaged whole, based on the scenarios of the exhibitions’ story and on the study collections will be exhibited from June 1997 onwards in the first museum building in the complex of buildings in Metelkova. They will be designed in a way that they can be rearranged, following analysis of the response of different groups of visitors and their opinions. We expect the two, the preparation and the design research, as well as the results of the discussions with a number of ethnologists that will take place during the trial exhibition, to help us define the final scenario of the permanent exhibition. We indeed sincerely hope that the permanent exhibition will be warmly welcomed by a wide range of museum visitors and that it will attract numerous new ones. This article, “The project, called the Slovene Ethnographic Museum”, to which the final concepts of Janja Žagar in Andrej Dular are added in separate articles, concludes with a fictional visit to the (future) museum and a stroll through its permanent exhibition; though fictional it attempts to summarise some of the findings and discussions, visits to museums and a wealth of ideas, born in the past months. After returning from a journey I try to get in tune with Ljubljana’s everyday life by working my way through a pile of newspapers, and notice among numerous other announcements something I have been looking out for for a long time: the Slovene Ethnographic Museum has finally opened its permanent exhibition on the new premises! I am so curious I get to my feet right away. In recent years, that is since the museum moved into the first of two buildings in Metelkova, I have frequented it with delight because of its pleasant ambience, the small exhibitions here and there, the lively lectures, ethnological films, presentations of books, chamber music events, and creative museum workshops. Like the other regular visitors I often glanced, full of expectation and impatience, at the other, larger building that was being turned - as we gathered from the projects - into an interesting exhibition hall. And now its has finally opened its doors. There is not much time today but I decide to take my youngest, eight-year old son to the museum. I at least want to get a first impression of the new permanent exhibition. The museum’s spacious entrance hall with its high ceiling is the first pleasant surprise. It breathes warmth because of the natural materials it is furnished with, and its design, though modern, floods the visitor with the spirit of the museum’s contents. The entrance tickets, too, are designed in the same spirit and we decide to keep them as souvenirs of our first visit. To the left there is a charming museum shop and I know I won’t be able to leave the museum without visiting it. The hall is swarming with people: some are sitting about, others heading towards the staircase or towards the ground-floor halls to see the temporary exhibitions or, in the opposite direction, to pay a visit to the master craftsmen in the museum’s workshops, while some are descending in a glass lift. It takes us just another instant to notice the distinct and easily comprehensible plan of the museum and a lay-out of the permanent exhibition. The layout indicates that the permanent installation consists of several units, each of them a self-contained exhibition that can be visited separately or in the proposed order. The titles of the individual exhibition units are genial, plain bearers of ideas, but nevertheless somewhat enigmatic, inviting people to find out what contents are hidden behind the following words: 1. Images of the past – “The night of time” 2. A story of survival and affluence – The counter-point of life 3. The orderly world of objects – “Encyclopaedia of things” 4. Ethno-ABC 5. The pick of the bunch - Čupa (chupa) the longest museum object in one piece - Čanca, (chantsa) the museum’s most bizarre and mysterious object After climbing the stairs to the first floor we find ourselves at the beginning of the tour, the entrance to the cinema. Everywhere around there are posters announcing a thrilling historical movie entitled “The night of time”. Shall we start here? A custodian in uniform checks our tickets and ushers us into the dark room where we are soon captured by a remarkable film, a combination of real images and animation, that guides us – in the form of a story told by an individual person about the life of our predecessors – through the Slovene territory, its economic and social history, the development of individual cultural elements from the settlement to the first decades of the 19th century. It is only when the film ends that I become aware how elegantly this familiar medium and its moving pictures have taken us from the everyday life of the 20th century to past times and life stories. This is how we experienced the museum’s “rite of passage” without pain and we are now prepared to enter the first exhibition hall, the beginning of the Story of survival and affluence. Leaving the cinema we notice a highlighted time line along the corridor’s left wall, featuring texts and illustration that in another visual way provide the same essential information as the film and is intended for those visitors who prefer to go directly to the exhibition halls without seeing the film. We are glad we have decided to see it – surprised by this kind of introduction to seeing the permanent exhibition and by the amicable custodian - and are absorbed by the cinema's mellow atmosphere and the introductory story, "The night of time". Entering "The counter-point of life" or "A story of survival and affluence", our first encounter is with people, that is with a fictional man and woman, individuals showing the physical, anthropological and character features of the Slovenes attributed to them by Valvasor, Hacquet and Linhart. The room and the presentation in it make us feel as if caught between the walls of a womb. In the next hall we are welcomed by two peasant homes on a spring morning: that of a wealthy farmer and that of a crofter. From here on scenes take us through the life of a fictional boy and girl, later man and wife, from the 1830s to the eve of the Second World War; through the calendar year from spring to winter, from morning to night, birth to death; in the family, home, courtyard, outbuildings, and at work; in gatherings of the village community on the occasion of the parish fair, the Shrovetide festival and a wedding; further afield with the couple on their way to the town and the market, or on a pilgrimage; through their encounters with secular and ecclesiastical authorities; their leaving the homeland and meeting foreign cultures. We walk in their footsteps in other dimensions too: in their reminiscences, handing on of skills, telling stories, recounting historical events or travelling adventures. I am quite surprised by the imagination behind the exhibition. Even in the middle of the exhibition one is constantly aware of being in an ethnological museum; one enters the flow of life and through it follows man, communicated through objects that set out his social environment, the period and place he lived in. Here and there man is present visually too, though not as a realistic puppet. How grateful I am that they managed to do without such puppets. Here such exaggerated scenic flirting with reality has been avoided. Real environments are shown, presented on a symbolic level, but nevertheless recognisable beyond any doubt. With the exhibition, this autonomous medium, a new reality has been created, albeit that of a museum; in a gentle way it brings the visitor closer to the life in the past it recounts with objects and other sources. The exhibition is also set up to emphasize the interplay of the opposites between survival and affluence, indicated by the title of this unit of the permanent exhibition; and its other special feature is that it forces us to reflect on the unit's basic idea - the cyclical nature of life. We work from Saturday to Saturday, as soon as one summer is over we long for the next, we progress from one Christmas to the next. I become aware how familiar this roundabout presented by the exhibition's message is. And so is the expansion: from the micro-level at home to journeying into the vast realms of foreign and distant worlds. This part of the exhibition has another surprise for me. Encounters with non-European cultures are presented through illustrations of the Slovenes' ideas about the inhabitants of foreign countries and their life (for instance among emigrants from Primorska it was held that in Brazil boules is played with oranges); the illustrations are confronted with concrete material that informs us about aspects from real life in some of these countries. I am so wrapped up in thoughts it takes some time before I notice that my son is no longer with me. I find him on his way from one of the moderate number of touch screens that provide additional information to a group of children in the middle of the hall who are eagerly trying out a replica of an implement, aided by a museum pedagogue. I remember how we followed the texts and graphic supplements that unobtrusively accompany the leading legends, setting individual contents in their historical context and providing social and regional comparisons. I like the museum's attitude to its visitors. They can experience the exhibition by merely strolling through it, but it is only if they engage in discovering that they will get better informed. If a visitor wants more knowledge about certain objects or cultural elements he is referred to "The orderly world of objects" or the "Encyclopaedia of things". Today there is just time enough for the two of us to walk through this part of the exhibition. Though we do not manage more than a random viewing, we leave the exhibition impressed by the enchanting variety of exhibits, the wealth of forms, patterns, functions and skills to which I am certain to return on my own. My son darts into the Ethno-ABC, a name behind which he correctly imagines a very special exhibition, reserved to children. It is located on the third upper floor between the study exhibitions of the Slovene and the other, especially non-European Orderly world of objects. The room buzzes with excitement. Under every letter of the alphabet individual objects are exhibited - like museum seed - and next to them on a platform and on shelves an almost endless variety of new things, brought and arranged by the children themselves. We have come to the Ethno-ABC's "Young gatherers' day". They have brought objects from everywhere: villages, towns and even foreign countries. The children are assisted by museum curators who help to arrange the card files, enter data into the computer. My son whispers in my ear that next time he'll bring his own contribution to the alphabet. Then we notice that every letter is accompanied by a multitude of drawers and small doors. My inquisitive companion starts pulling them out and is surprised to discover that some of them hide small objects, others only photographs or drawings of objects with their names, basic data and tips to where more about them can be learned in the museum. Some drawers contain only words: for instance under the letter P there is the word potterer and the tip to see the master potterer in the workshop on the ground-floor. My son can hardly stop his discovery tour. He drags me to the letter Č and we open the drawer that contains photographs of a čupa and a čanca, the objects we remember the scheme of the permanent exhibition mentions as the Pick of the bunch. The instructions hidden in the drawer tells us in which part of the exhibition we can find them. Though I'm fully enjoying the museum I had not planned to spend so much time here and I try to convince my son that we should reserve the Pick of the bunch for our next visit. In vain, of course: čupa and čanca are much too exciting words and he must see these things. Our encounter with the čupa submerged in the blueness of the exhibition hall's modern design is quite thrilling: we catch sight of an enormous, seven-meter-long dug-out of the kind Slovene fishermen from the villages between Trieste and the Timava used to go out to sea in. My son has hundreds of questions and I'm grateful that the exhibition quite succeeds in answering them. Then we meet the other object that is part of the pick of the bunch - čanca. The quivering twilight in the room conjures up the feeling of a tropical rain-forest, an ambience befitting this indeed most unusual and mysterious object: a trophy made of a human head with hair still attached, artificially shrunken to the size of an apple. Its magic story outlines moments from the life of the South-American Jivaros. We leave the Pick of the bunch in total amazement. The way these two objects are exhibited will certainly implant them in our memories. They make me realize how attractive exceptional objects can be for visitors. Sometimes they are the only thing a person associates with visiting a certain museum. As children we remembered the Museum of Natural Science as the one with the mammoth, and yet there are so many other interesting things there. The Slovene Ethnographic Museum will remain in our memory not only because of the čupa and čanca, but as a museum we found it hard to leave. There was not enough time but we managed to make the most of our long walk through the museum. Now we can afford to enjoy the pleasant impression and, carrying a folder with brochures, find ourselves a pair of seats in the garden of the museum coffee shop, in the shadow of two centenarian planes. Translated by Franc Smrke SOURCES AND LITERATURE see pages 37-39. BESEDA O AVTORICI Inja Smerdel, mag., etnologinja, od julija 1995 direktorica Slovenskega etnografskega muzeja, je bila pred tem kustodinja za ruralno gospodarstvo v Slovenskem etnografskem muzeju (od leta 1980) in glavna urednica znanstvene publikacije Etnolog (1991 - 95). Po preučevanju nekaterih pojavov množične kulture (stenskega okrasja in godbe na pihala) se je v preteklem desetletju in pol posvečala zlasti raziskovanju različnih gospodarsko kulturnih prvin: sošeskine gospodarske samouprave, del ob spravilu žitnega pridelka, ovčarstva s selitveno pašo, ptičjega lova, nazadnje osehnikov in košnje. Med objavljenimi razpravami in članki, izmed katerih jih nekaj izpričuje tudi njene muzeološke poglede, sta pomembnejši deli: Ovčarstvo na Pivki, Transhumanca od srede 19. do srede 20. stoletja ali Trije "ovčarji" (Koper, 1989) in Oselniki: zbirka SEM (Ljubljana, 1994). ABOUT THE AUTHOR Inja Smerdel, M.A., ethnologist and director of the Slovene Ethnographic Museum since July 1995. Prior to her appointment as director she was curator of rural economy in the museum (since 1980) and chief editor of the scientific periodical Etnolog (1991-1995). After initial studies of mass-culture phenomena (wall decorations and brass bands) her research efforts of the past fifteen years concentrated on the cultural elements of economic activities: economic self-management of a village, harvesting jobs, sheep-farming and transhumance, bird-catching, and, most recently, whetstone holders and the hay harvest. Noticeable among her treatises and articles, some of which also reveal her views on museum issues, are Sheep-farming in Pivka, Transhumance from the Middle of 19th to the Middle of 20th Century or The Three "Sheepmasters" (Koper, 1989) and Whetstone Holders, published in the series of SEM (Ljubljana, 1994).
A SIMULATION MODEL TO IMPROVE WAREHOUSE OPERATIONS Jean Philippe Gagliardi Jacques Renaud Angel Ruiz Faculté des sciences de l'administration & CIRRELT Université Laval Québec, G1K 7P4, CANADA ABSTRACT Warehouse or distribution centre managers have to decide how to collect the products to fulfill customers requests but also where to locate the products (SKUs) and how much space to allocate to each of them. Moreover, they have to deploy replenishment strategies to guarantee the reliability of their own stocks. These are challenging decisions because of their level of complexity and their high impact on the centre performance in terms of both its throughput and the operation costs. In particular, the goal of this work is to evaluate whether specific strategies to share the storage space could lead to reduce the operation costs while keeping the service level as high as possible. To this end, this paper develops a discrete event simulation model of the logistic operations at a real high throughput warehouse which handles more than 12 millions of cases annually. Preliminary results show that potential economies may be achieved by reducing the number of stock-outs at the picking area where customer orders are collected. located to specific zones or areas in the warehouse. These basic strategies may be combined to better respond to specific requirements. Since the number of locations is often limited, such decisions implicitly require determining the number of locations assigned to each product, whose impact on the warehouse performance will be deeply discussed in this paper. 1 INTRODUCTION Although a large number of research works concerns supply chain simulation, considerable less effort has been concentrate in warehouse or distribution centre operations, a key element in supply chain efficiency. Operations at such facilities may be roughly separated into storing and picking. Inbound products coming from external or internal manufacturers are received, sorted and stored. On the order hand, according to client requests products are collected at the store by employees (the pickers) and moved to the transportation docks prior to distribution. Storage decisions concern mainly the assignment of SKUs among the available storage locations. Classic storage strategies include dedicated storage, in which products are allocated to fixed locations; random storage, in which products are allocated to various locations according to the available storage space; and classed-based storage, in which products are al- Order picking strategies determine how the ordered SKUs are grouped into picking lists, and subsequently retrieved from their storage locations by one or many pickers. There are four basic procedures for picking orders: discrete, zone, batch and wave. In discrete picking, one person picks one order, one line at a time. This strategy is often preferred because it is easily implemented and order integrity is always maintained. In zone picking, the warehouse is divided into distinct zones, with one picker assigned to each zone. This means that the items in an order are divided into several picking lists. In batch picking, one person may pick many orders at the same time. In wave picking, orders are picked to satisfy the required shipping schedule. All other picking practices are a combination of these basic procedures. Operating DCs or warehouses requires much more than choosing storage and picking strategies. In fact, even given a basic storage model—dedicated storage, for example—many decisions must be made: what type of equipment should be chosen (e.g., racking), whether certain equipment (e.g., handling devices like conveyors) should be used, and which products should assigned to which storage locations. The goal of these decisions is to allow warehousing systems to respond rapidly to customer demands, and the choices made play an important role in the success of a supply chain. However, these challenging decisions are very difficult to make and, as will be shown in the literature review section, available analytical models – such us inventory models – cover only specific parts of the problem. Therefore the aim of this paper is to provide an operation oriented simulation model that could help managers assessing the performance of the different storing and picking strategies. In particular, we think that optimizing the assignment of storage locations (the number of slots) to products could also contribute to improve operations. As a first step towards the design and implementation of a decision support system, a simulation model integrating different assignment and replenishment strategies and allowing managers to choose among them was developed. This paper is structured as follows. The next section presents a brief literature review. Section 3 describes in detail the industrial setting here considered and the logistic operations deployed at the warehouse. Section 4 focuses in the simulator development and specifies the implementing choices made. Section 5 is devoted to the simulation execution and results analysis. Conclusions and further research avenues are reported in Section 6 which concludes the paper. 2 BRIEF LITTERATURE REVIEW Most of the research concerning warehouse operations has concentrated either in order picker routing (determining the minimum distance picker route within a warehouse is a variant of the classic Traveling Salesman Problem, which is NP-hard, Laporte 1992) or product location strategies. Product location strategies (i.e. where to store products in order to facilitate order picking) has received considerably less attention. In his classic work, Heskett (1963) developed the cube-per-order index, in which the most popular products are located closest to the base location. This index minimizes the routing distance for cases in which one product is picked on each route (pallet picking). Jarvis and McDowell (1991) developed a model for locating products in a warehouse in such a way that the average orderpicking time is minimized. Recently, Jewkes, Lee and Vickson (2004) took a closer look at product location along a picking line. In their study, each order was filled by moving a container past the various product storage locations, with the appropriate quantity of each product being transferred from its respective storage location to the container. To the best of our knowledge, the problem of product location involving a conveyor belt, like the one studied in this paper, has never been addressed before. On the other hand, simulation has traditionally been one of the most popular approaches to investigate warehouse operations. From the pioneers research works underlining the potential of simulation in warehouse management (see for example Bafna, 1973 and Biles 1977) to the most recent publications, simulation has mostly been used as a means to validate the performance of warehouse designs or material handling devices. In particular, most of the OR models and results reported in the previous subsections were validated upon simulation approaches. Examples of such a mixed optimization-simulation approach are found in Gue et al. (2006) and Renaud and Ruiz (2007). However, despite of the large number of papers in the lit- erature, theoretical or general contributions are scarce, given that product location is highly dependent on warehouse configuration and on the order-picking strategy and technology in place, and thus most of the research in the literature deals with specific practical cases. 3 THE WAREHOUSE OPERATIONS The company studied in this paper is one of the largest snack selling company in the United States (potato chips, corn chips, hardy pretzels, savory cookies, …). The facility under study is its second largest production plant in Canada, producing annually more than 40 millions of kilograms of products. More than 12 millions of cases are handled annually by the distribution center, which shows two different storage areas depending on the type of customer to be served (see Figure 1). The first type of customer includes local DCs and/or internal customers. These customers order large quantities of products which are shipped on pallets by truckloads. Orders are assembled using a pallet picking strategy, with forklifts moving back and forth between the warehouse, where the pallets are stored on standard racks, and the shipping area, where the trucks wait to be loaded. This section of the warehouse has adopted a random storage policy. Production Storage (bulk) Shelves area Distribution docks Customers Internal customers or Distribution centres Order picking Production Storage (bulk) Shelves area Distribution docks Customers Internal customers or Distribution centres Order picking Shelves replenishment Figure 1 : Warehouse operations The second type of customer comprises external retailers, who may order any quantity of any product. These customers generate the greatest part of the orders. Products for these customers are assigned to storage locations (slots) in a shelving system along a conveyor belt, according to a dedicated storage policy (one kind of product by slot). A wave discrete order picking policy is used. The orders that have to be loaded in a given truck are released (waving) following the shipping schedule. Thus, the picker works on a single order (discrete picking) walking along the shelves, gathering the required quantities of the products from the various locations along the route (case or box picking), and putting them on the conveyor belt. Once the picker has completed the order, she triggers an acknowledge signal at the end of the conveyor which starts moving the items products to the right truck in the shipping area at the time that the picker returns to the beginning of the shelving system. As orders are picked one by one, there is no need to sort the products. The average throughput of this picking system is around 600 cases per hour and it works 24 hours a day. A more detailed description of the warehouse layout and, in particular, of the shelves and picking areas can by found in Gagliardi, 2006. Shelves are replenished from the bulk part of the warehouse by means of a forklift operated by a single employee. She drives along the back side of the shelves and whenever the stock level of a product seems low enough, she decides to refill the shelf. The refilling cycle consists in driving to the bulk area, locate the product and pick a pallet. The pallet is then moved to the shelving area and placed at the targeted slot. Pallet Pallet Figure 3 : The shelves replenishment This paper focuses exclusively on the shelving system used to service the latter category of customer. In particular, the company has observed in the last months that the performance of picking operations has decreased. In fact, it often happens that a picker has to wait in front an empty shelf till the product is replenished, increasing the time of preparation of an order and thus reducing the number or orders produced per day. Therefore, it happens that the company has to call for extra time in order to fulfill the customers requests and that distribution trucks must wait at the loading decks. In order to balance the product flow at the shelving system, all the locations are refilled during the weekend, so every Monday morning inventories are full and the system is ready to begin the new week. 4 MODELING THE PICKING ACTIVITIES Let us assume that a list of orders to collect and a set of parameters describing the system configuration are provided. Among the former, let us mention the assignment of storage locations in the shelves area to products, the picker walking and handling speed, and the replenishment cycle length. Let also assume that the orders are listed preprocessed in the following way. First, the orders from customers being visited by in the same truck are grouped and second, orders are sorted in the inverse order in which customers will be visited. Moreover, each order contains a given number of lines. A line specifies a required product and the quantity to pick. Lines in an order are also automatically sorted according to the shelves assignment, the first product in the list being the closest one to the picking starting point. Orders are sequentially picked. Picking is modelled by two activities : walking and handling (grab the boxes from the shelf and put them on the conveyor). Walking time is assumed to be constant for every order as the picker must arrive till the end of the shelves area before come back to the starting point. Handling time depends on the number of items to "launch" on the conveyor. Therefore, whenever a new order is selected to be collected, the simulation algorithm verifies the inventory status of each product for each line and, if the whole order can be fulfilled, then the end of the picking is automatically estimated by adding the walking time to the handling time computed by multiplying the number of items by the launching time. Then, the inventory for each product is updated and the algorithm selects the following order to be picked. Unfortunately, it happens that the quantity required by a line can't be satisfied by the inventory on the shelves. In this case, we estimate the picker arrival time to the location of the stock-out product. This is done by adding the launching time of the previous lines in the order and the walking time to the location of the stock-out product which is estimated by dividing the total walking time by the number of lines to be picked (this produces a sort of "average time" between the storage locations to be visited) and multiplying it by the order of the stock-out product in the picking list. If a replenishment of the product has been done from the moment that the picker start the collection, the picker launches the line and the time to complete the rest of the order – or to move towards the next stock-out product – is computed. However, if the location has not been replenished, the picker lunches partially the line with the remaining boxes on the shelf after what she must wait till the shelf replenishment prior to complete the line and move to the next location. The picking activities as described in the previous paragraphs were validated with the warehouse operations manager in order to ensure that our perception of the tasks and the relationships among them fitted the warehouse reality. The implementation of the simulation model is thoroughly described in the next section. 5 IMPLEMENTING THE MODEL Any computer based simulator aims to truthfully mirror the behaviour of the real system. To achieve this goal, the different decision processes along the operational cycle described in the previous section must be accurately reproduced. Keeping this in mind, the simulator presented here is built around a discrete event simulator engine (DES) using the three phases approach (Pidd, 1995). Discrete event simulation concerns the modelling of a system as it evolves over time by a representation in which system variable changes instantaneously at separate points in time – the ones in which an event occurs (Law and Kelton 2000). Basically, the simulator contains three main components : a database, a list of events, and a simulation clock that manages the simulated time. The data base contains the list of orders to be processed and it also stores the system parameters. Presently, the data base is feed exclusively with historical data provided by our industrial partner, but pseudo random data is expected to be generated soon after conducting statistic input modelling tests on the real data. Variates obtained from such a pseudo random generator will allow assessing robustness and test specific situations or scenarios. The simulation engine contains basically a list of events and a simulation clock that advances the simulated time. The events list is a chronologically ordered list containing the time when each type of event will occur. Events list is sequentially examined and, each time an event is processed, future – either conditional or bounded – events are created and added to the event list. After executed an event, it is deleted from the list and the clock is advanced to the following event. The warehousing activities here studied are modeled by means of three different events. At the beginning of the simulation, the events list contains only two events : an event triggering the picking of the first order in the order's list, and an event associated to the beginning of the first replenishment activity. Therefore, the simulation clock – set to zero at the beginning of the simulation – is advanced to the first of these events and the event is executed. For example, let us assume that the first event in the list is SPO1 (start picking order 1) at time t1. Executing SPO1 consists in checking the stock for all the lines in the first order and, if every line can be fulfilled, create a SPO2 (start picking order 1) event at time t = t1 + walking time + handling time, computed as described in the previous section. Then, SPO1 is deleted from the list and the clock is advanced to the following not executed event (either RP1 or SOP2). If a stock-out is detected during the inventory check, a PP (partial picking) event is created at the time the picker is expected to arrive at the stock-out location (see the previous section) instead of a SPO. When a PP event is executed, the inventory at the location is checked. If the inventory fulfills the request, either a SPO – if the rest of the lines in the order can be collected – or another PP at the next stock-out location is created and added to the event list. However, if the inventory does not fill the line, another PP event at the same location is created just after the following replenishment event. This modeling approach, with respect to the one generating a new event each time the picker moves from one storage location to the next, speeds up the simulation execution reducing the number of read/writing access to the events list when the order can be collected without stock-outs (most of the cases). On the other hand, the picker arrival time to a stock-out location is roughly approximated. The execution of a replenishment event creates a new replenishment event at time t = present time + tr , tr being computed from a normal distribution whose parameters were fit to the historical replenishment times observed in practice. When generating a new replenishment event, one has also to decide which product to refill. Several strategies or selection rules are available according to information considered to make the decision and the desired level of synchronization between picking and replenishment. For example, a pure random rule would chose with equal probability among the storage locations that can be refilled – i.e. there is at least free space as to add a full pallet of product. Clearly such a rule presents no synchronization at all between picking and replenishment activities and it was discarded after consulting replenishment employees. The most intuitive yet simple rule consisting in replenish first the product having the lowest inventory level was finally implemented. Needless to say, the data base stores all the event executions, allowing further results and performance analyze or even to review a whole simulation of the different decisions made along the simulated period. Finally, parameters concerning the simulation experiment itself such as the number of replications or the length of the simulation are also stored in the database. The simulation implementation has been coded in VB.net (Visual Basic 7.0). The code was debugged by means of the associated Microsoft tools, in particular the step-by step running mode that allowed us to validate the code by following the algorithmic flow. The choice of VB.net was based on two arguments. First, programming languages are more flexible than standard simulation software. Since our research aims at testing a large number of location and replenishment strategies, the model implementation ought to accept such modifications dynamically. Doing so with simulation software as ARENA or VISUAL8 would certainly required us to use the embedded programming code – i.e. SIMAN in the case of ARENA – which represents as much work as coding directly in programming languages as VB.net. Secondly, VB.net was chosen among other languages (C++ or Java) because it was the language already used by our partner developers. In addition, we found that VB.net is supported by a worldwide community of developers who contribute useful banks of libraries that made the implementing of simulation models easier than expected. 6 NUMERICAL EXPERIMENTS AND PRELIMINARY RESULTS This section aims at proving that the allocation policy which shares the available storage locations among the products has an impact on the warehouse performance. To this end, real data provided by our industrial partner has been feed into the simulator in order to compare the performance of four different allocation rules. 6.1 Experiment setting The simulator will reproduce the picking of 58 149 lines corresponding to the company's demand during eight consecutive weeks. The demand concerns 253 different products which has to be assigned to the 1 012 available storage locations. Recall that (1) commands are picked one at a time and (2) the picker must walk the entire storage area at each command picking. Then, to address the goal of this study, we only need to determine the number of locations reserved for each product (how many) rather that their specific physical location (where). Moreover, since at this point our main interest centers exclusively in evaluating the impact of different space allocation strategies with respect to the system efficiency, walking and launching times have been assumed to be constants despite of their (low) variability. Space allocation is done by a simple priority based assignment algorithm which proceeds as follows. At the beginning, the algorithm assigns one single slot (location) to each product in order to ensure that all the products will be present on the storage zone. Then, it assigns one slot to the product having the highest dispatching ratio, computes the product's new ratio and keeps assigning slots till all of them have been assigned. In particular, four dispatching rules were used to generate four different allocation scenarios. The first scenario gives equal priority to all the products, leading to an homogeneous storage space assignment. On the other hand, the other scenarios aim at assign more locations to the most popular products, the popularity of each product being estimated differently by each rule, while the remaining rule Rule 1 : Homogeneous sharing. This scenario shares the allocations among the products in an homogeneous manner. Thus, since 1 012 locations must be shared among 253 products, each product occupies four locations. Rule 2 : Product demand frequency. This scenario shares the allocations among the products according to their popularity, which is estimated by dividing the number of commands containing the product by the total number of commands considered and by the number of storage locations that it has received so far. Rule 3 : Product demand quantity. This scenario shares the allocations among the products according to their popularity, which is estimated by the total product demand over the eight weeks considered divided by the number of storage locations that it has received so far. Rule 4 : Product picking quantity. This scenario command shares the allocations among the products according to the size of its average pick, which is estimated by dividing the total product's demand by the number of commands requiring the product and by the number of storage locations that it has received so far. Our preliminary tests are based on real data provided by the company exclusively. Statistical analyze of demand is being currently conducted in order to model demand patterns and behavior but the results of this study are not available yet. Nevertheless, we run eight experiments, each using the company's demand for one week. Although robustness and variance analyze can not be performed on such a small experiment setting, al least it will allow us assessing the potential of our approach. The system here studied is clearly a terminating one, since the shelving area is fully replenished at the end of each week. Furthermore, the same initial condition in which every product inventory is filled up to its assigned capacity applies. Finally, we set the walking speed and the replenishment time, tr , to constant values suggested by our industrial partner. 6.2 Preliminary results and discussion As we mentioned in the previous sections, the primary goal of the company is to increase the efficiency of the order picking process by reducing the picker's idle time caused by stock-outs at the shelves. Thus, Table 1 reports the results of our experiments. For every assignment strategy, the number of stock-outs observed at each experiment are reported. Also, lines Total and Gap provide the total number of stock-outs over eight consecutives working weeks and the difference (in percentage) with respect to the best rule, respectively. First of all, we were extremely surprised by the number of stock-outs and therefore by the amount of idle time reported. Let us recall that the average replenishment cycle requires two minutes which means, assuming 200 stockouts, more than 6.67 hours of idle time per week. Since the average results in Table 1 doe not show a clear dominance between the space allocation strategies under test, we also computed the 95% confidence intervals for the results obtained for each rule. Unfortunately, the widths of such intervals are too large as to statistically conclude on the performance of the four rules, as reported by Table 2. Gagliardi, Renaud and Ruiz Table 1 : Experiments results \| Week \| Rule 1 \| Rule 2 \| Rule 3 \| Rule 4 \| \|---\|---\|---\|---\|---\| \| 1 \| 108 \| 147 \| 106 \| 99 \| \| 2 \| 159 \| 180 \| 164 \| 177 \| \| 3 \| 177 \| 197 \| 181 \| 177 \| \| 4 \| 154 \| 181 \| 152 \| 161 \| \| 5 \| 187 \| 208 \| 161 \| 179 \| \| 6 \| 214 \| 240 \| 224 \| 214 \| \| 7 \| 205 \| 226 \| 182 \| 192 \| \| 8 \| 196 \| 241 \| 204 \| 220 \| \| Total \| 1400 \| 1620 \| 1374 \| 1419 \| it is used to discuss the impact of storage space allocation on the system performance. The modeling approach adopted can easily accept slight modifications to account for particularities of other conveyor based industrial settings. Four storage space sharing rules are proposed and compared. Eight working weeks were simulated. The results show large variability which does not allow to identify a dominant rule. However, despite such large confidence intervals, we can observe that rule 2 is outperformed by the other rules. To sum up, we showed that space sharing rules impact the system performance but additional experiments based on demand replication are required to reduce the results variability. Also, more research is needed to better understand the system dynamics and, in particular, the links between order picking and replenishment decisions. We think that the simulation platform will allow us conducting such future research. Table 2 : One sample test (T-test) \| \| Average \| Lower \| \|---\|---\|---\| \| Rule1 \| 175 \| 146,3932 \| \| Rule2 \| 202,5 \| 175,0437 \| \| Rule3 \| 171,75 \| 142,0246 \| \| Rule4 \| 177,375 \| 146,1165 \| Despite of the large variability of these results, we performed paired samples tests for all the combinations of rules taken two by two. The tests showed that rule 2 is dominated by rules 1, 3 and 4 but no other result could be stated. Clearly, more replications are required in order to obtain more accurate results but we can conclude that the location sharing strategy impacts the system performance (or at least that bad strategies can deteriorate it!). Furthermore, although picking and replenishment operations seems to be independent, we think that a decision support system synchronizing order release and replenishments could help increasing the performance of the warehouse reducing the number of stock-outs on the shelves. Since the list of orders to prepare is known a priori, we think that replenishments could be planned in a proactive rather than reactive mode. Forthcoming research will be oriented towards the design of replenishment algorithms able to look forward into the entire list of commands in order to minimize the number of stock-outs. 7 CONCLUSIONS This paper presents a discrete event simulation model of the internal logistic operations at a real high throughput warehouse. The model focuses in the order picking and shelves replenishment processes and, as a first application, REFERENCES Bafna, K.M. 1973. A Simulator for Designing High-Rise Warehouse Systems, Proceedings of the 1973 Winter Simulation Conference San Francisco, 128-138. Biles, W.E.1977. Computer simulation and material handling systems. Material Handling Industry of America, Charlotte, NC. Gagliardi, J. P. 2006. Simulation et optimization de cueillettes sur convoyeur. M.Sc. thesis, Département Opérations et systèmes de decision, Faculté des sciences de l'administration, Université Laval. Gue K.R., R.D. Meller and J.D. Skufca. 2006. The effects of pick density on order picking areas with narrow aisles. IIE Transactions, 38, 859-868. Heskett J.L. 1963. Cube-per-Order index – A key to workhouse store location. Transportation and Distribution Management, 3, 27-31. Jewkes E., C. Lee and R. Vickson. 2004. Product location, allocation and server home base location for an order picking line with multiple servers. Computers and Operations Research, 31, 623-636. Laporte, G. 1992. The traveling salesman problem: An overview of exact and approximate algorithms. European Journal of Operational Research, 59, 231-247. Law, A. M., and W. D. Kelton. 2000. Simulation modeling & analysis. 3rd ed. New York: McGraw-Hill, Inc. Pidd, M. 1995. Object orientation, discrete simulation and the three-phase approach. Journal of the Operational Research Society, 46, 362-74. Renaud, J. and Ruiz, A. 2007. Improving Product Location and Order Picking Activities In a Distribution Center, Journal of the Operational Research Society, forthcoming. AUTHOR BIOGRAPHIES JEAN PHILIPPE GAGLIARDI is a PhD student in the department of Operations and Decision Systems at Laval University. His research interest lies in the area of Manufacturing and Operations Management and more specifically, in modern warehouse and distribution systems simulation and optimization. He is a student member of the Interuniversity Research Center on Enterprise Networks, Logistics and Transportation (CIRRELT). JACQUES RENAUD is professor in Operations and Decision Systems at Laval University. Member of the Interuniversity Research Center on Enterprise Networks, Logistics and Transportation (CIRRELT), his research interest lies in the area of transportation, vehicle routing, warehousing and production planning. His web page is at <www.fsa.ulaval.ca/personnel/renaudj/>. ANGEL RUIZ is professor in the department of Operations and Decision Systems at Laval University. He holds a Ph.D. from the Université de Technologie de Compiègne (France). His current research interests are in supply chain management, logistics and computer simulation applied to solve production planning and control optimization problems. He is member of the Interuniversity Research Center on Enterprise Networks, Logistics and Transportation (CIRRELT).
Using the theory of change approach for assessing the intervention logic – lessons learned from the impact evaluation of P6 of the Austrian RDP 2014-2020 ANDREAS RESCH (METIS) THE CAP: EXPERIENCES AND OUTLOOK'. ROME, 15 - 16 OCTOBER 2019 General Outline * Background for the development of the tool * What is Theory of Change (ToC) in brief * A practical example from 2014-2020 impact assessment * Appraisal of the intervention logic at the micro-level of interventions and at the meso level of focus areas (Specific Objectives in the new period) * Conclusions and recommendations for ex-ante application Background for tool development For the impact evaluation in 2019 of the Austrian RDP 2014-2020 / Priority 6 the evaluators developed a tool (impact model) to * better understand the design of the measures, * the preconditions for a successful implementation, * their expected impacts towards overarching objectives and * the suitability of the indicators for impact measurement This tool is also interesting for ex-ante evaluation The tool is based on the Theory of Change (ToC) approach Background for tool development * The Austrian RDP 2014-2020 is programmed at a very detailed scale (types of operation) according to the implementation responsibility * Priority 6 includes 20 types of operation with an allocation of approx. EUR 550 million (excluding LEADER) * Impact models were established for each type of operation (in total 20) see the composition of Focus Area 6A on the next slide Background for tool development * Example Priority 6 / Focus area 6A \| 6a \| \| \| 6 \| \|---\|---\|---\|---\| \| \| art 19 \| farm and business development \| 6.4 \| \| \| \| \| 16 \| \| \| art 35 \| Cooperation \| 16.2 \| \| \| \| \| 16.3 \| \| \| \| \| 16.9 \| \| \| \| \| 16.1 \| Impact models were established for each type of operation Theory of Change basics 'Theory of Change', developed in the 1990s, is used to build a strategic plan and to design a related evaluation model * It illustrates how a desired change is expected to happen and describes the pathway from activities to planned results. It pays attention to the 'mini-results' that must be achieved to reach a long term objective ('outcome mapping') * It identifies all necessary preconditions for successful implementation but also limitations * It uses a system with built-in indicators for success control * It works with a visual language Theory of Change basics Building blocks of an impact model Limitations to achieve results & impacts Long-term impacts Short-term results I Planned activities grouped according to pathways Preconditions for successful implementation of the intervention I Accountability threshold: scope of effects which can be attributed to the intervention Build-in indicators I Using 'impact models' for assessing P6-interventions * First, a theoretical model was re-constructed from programme documents * All given common and programme specific indicators were outlined See a 'theoretical' impact model for 6.4.1 Diversification allocated with 43 Million € public funds on the next slide Diversification towards non-agricultural activities (VHA 6.4.1) Link to 9 GOOD PRACTICE WORKSHOP: 'APPRAISING INTERVENTION STRATEGIES UNDER THE CAP: EXPERIENCES AND OUTLOOK'. Well-founded diversification concepts are being elaborated The capital resources for financing the investment are given results R21/T20 Employment created through supported projects EI Evaluation indicators (partially not in the monitoring) The potential beneficiaries receive counselling The beneficiaries are well qualified for the planned project Developing new products and services in the business Improvement/expans i o n o f existing products and services Investment in existing and new businesses (within limitations especially Non-Annex I) Founding a new business (transitioning into trade) Improving work conditions More efficient use of resources Extending capacities Meeting/ raising standards Increased participation in quality control systems Acquisition of more clients and improved capacity utilisation Increased implementation of innovation Achievement higher prices Increased use of regional supply chains Exploitation of new markets and target groups Improved cooperation with key actors Increased revenue Contribution to strengthening the economic viability of the agricultural business Increased operating income Safeguarding existing employment Creating new employment Diversification fits into the overall strategy of the business sustainably R21/ T20 EI EI EI EI EI EI EI EI EI Limitations • Max. first step into business supported, i.e. capacity limitations e.g. on beds and horses • Non-Annex I products supported only • HR resources in family businesses Contribution to enhancing the supply/offer in the region EI EI EI Preconditions to be in place for successful implementation Pathway of activities leading to results with built-in indicators objectives above the account- ability threshold ROME, 15 - 16 OCTOBER 2019 overarching Using 'impact models' for assessing P6-interventions * The impact model was empirically verified in a later stage to show the actual impact paths at the end * Each building block is verified through the analysis of mixed sources such as monitoring data, surveys, document research in a qualitative & quantitative way See a 'verified' impact model for 6.4.1 Diversification on the next slide Diversification towards non-agricultural activities (VHA 6.4.1) R21/T20 Employment created through supported projects EI Evaluation indicators (partially not in the monitoring) GOOD PRACTICE WORKSHOP: 'APPRAISING INTERVENTION STRATEGIES UNDER THE CAP: EXPERIENCES AND OUTLOOK'. Well-founded diversification concepts are being elaborated The capital resources for financing the investment are given The potential beneficiaries receive counselling The beneficiaries are well qualified for the planned project Developing new products and services in the business Improvement/expansi on of existing products and services Investment in existing and new businesses (within limitations especially Non-Annex I) Founding a new business (transitioning into trade ) Improving work conditions More efficient use of resources Extending capacities Meeting/ raising standards Increased participation in quality control systems Acquisition of more clients and improved capacity utilisation Increased implementation of innovation Achievement higher prices Increased use of regional supply chains Exploitation of new markets and target groups Improved cooperation with key actors Increased revenue Contribution to strengthening the economic viability of the agricultural business Increased operating income Safeguardin g existing employment Creating new employment Diversification fits into the overall strategy of the business sustainably R21/ T20 EI EI EI EI EI EI EI EI EI Limitations • Max. first step into business supported, i.e. capacity limitations e.g. on beds and horses • Non-Annex I products supported only • HR resources in family businesses Contribution to enhancing the supply/offer in the region EI EI EI EI EI EI • Green: Main impacts • Yellow: Side effects • White: Not verifiable Preconditions Activities Short term results Long term results Using 'impact models' for the ex-ante appraisal of interventions The ex-ante evaluator can use 'theoretical' impact models at the intervention level to answer the following questions: * Does the (draft) strategy describe a clear system of objectives which can be translated into a visual impact model? * Are the pre-conditions and limitations for successful implementation described in the (draft) strategy? * Are planned short term results logically linked to longer term results? * Is it possible to trace a clear pathway to the specific objective? * Are all relevant activities covered by output–indicators? * Are all relevant results covered by result indicators? Using "impact models" for assessing Focus Area (SO) objectives * At the FA level, the 2019 evaluation had to assess the contribution of the combined set of interventions towards the FA-objectives in order to answer the CEQ * Challenge: The objectives pursued in FAs in P6 are very briefly described in the outline of the strategy (while the types of operations are presented in more detail). There is only 1 common target/result-indicator e.g. for FA 6A allocated with 120 million € public funds * Therefore, in a 1 st step, the system of objectives had to be reconstructed at FA level. For this purpose, the impact objectives were clustered from the types of operation See the next slide for illustration Contribution of the operations to the objectives of focus area 6A Auf- und Ausbau der und forstwirtschaftlichen Zusammenarbeit zwischen land- AkteurInnen zur Schaffung und im Bereich sozialer Land- und Entwicklung von Sozialleistungen Forstwirtschaft Indikator EU Ziel EU-Ziel für 6A: Schaffung zusätzlicher und nicht-lw. Bereich Erwerbsmöglichkeiten im lw. Materielle Indikatoren T2: Gesamtzahl der Kooperationsvorhaben Anzahl der Kooperationspartner Anzahl der neuen Formen der Zusammenarbeit (ZA) Anzahl der zertifizierten Green Care Betriebe Anzahl der geschaffenen Kooperation (Stunden/Woche), Arbeitsplätze im Rahmen der davon Frauenarbeitsplätze Professionalisierung von agrarischen Enhancement of agricultural businesses through diversification Creating and maintaining employment Founding and development of small enterprises Strengthening of rural regions by establishing social services, improved tourism offers and enhanced cooperation Zusammenarbeit von Kleinstunternehmen im ländlichen Raum (6A) (VHA 16.3.2) Vorhaben muss im ländlichen Raum umgesetzt werden Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Evaluierungs-indikatoren Y / N Projektzusammenarbeit basiert auf zumindest 3 Kooperationspartnern. Technologien oder Prozesse Zusammenarbeit zur Entwicklung neuer Produkte Beitrag zur Stärkung der Lebensfähigkeit des landwirtschaftlichen Betriebes Erhaltung von Arbeitsplätzen Nachhaltige Wirkung des Projekts Effiziente Nutzung von Ressourcen Sicherstellung und Stärkung der Nahversorgung Beitrag zur Erhöhung der regionalen Wertschöpfung Kooperationspartner schwerpunktmäßig (zumindest zwei Drittel der teilnehmenden Kooperationspartner) gehören der gewerblichen Wirtschaft an Beitrag zur Stärkung der Wettbewerbsfähigkeit der beteiligten Kleinstunternehmen Schaffung von branchenübergreifenden Kooperationen Mobilisierung von Projektteilnehmern Gemeinsam organisierte Arbeitsabläufe Verhinderung der Abwanderung der ländlichen Bevölkerung Markenaufbau Organisation gemeinsamer Arbeitsabläufe Grenz- überschreitende Markterschließu ng Erschließung von grenzüberschreiten d en Märkten EI EI Stärkung innovativer Projekte EI Erschließung von neuen Märkten EI Nutzung von lokalen Märkten und Anbietern EI EI EI EI Schaffung von Arbeitsplätzen R21/ T20 16.3.2 Zusammenarbeit von kleinen WirtschaftsteilnehmerInnen - Arbeitsabläufe, Ressourcennutzung und Tourismusdienstleistungen (VHA 16.10.1) Gute Beratung Gut implementiertes Auswahlverfahren Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Evaluierungs- indikatoren Y / N in übergeordnete Konzepte und Strategien von Bund und Ländern eingebettet Gut qualifizierte Begünstigte Gesicherte Finanzierung/Förderung Stärkung und Unterstützung der Zusammenarbeit: gemeinsam durchgeführte Arbeitsabläufe Umsatzsteigerung der Kooperationspartner Nutzung lokaler Märkte und Anbieter Erschließung grenzüberschreiten der Märkte Stärkung der Region Sicherung der Versorgung im ländlichen Raum Erhalt bestehender Arbeitsplätze Schaffung neuer Arbeitsplätze R21/ T20 EI EI EI EI EI EI 16.10.1 Zusammenarbeit von kleinen WirtschaftsteilnehmerInnen - Arbeitsabläufe, Ressourcennutzung und Tourismusdienstleistungen (VHA 16.3.1) Gute Beratung Gut implementiertes Auswahlverfahren Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Evaluierungs- indikatoren Y / N Modellprojekte in übergeordnete Konzepte und Strategien von Bund und Ländern eingebettet Gut qualifizierte Begünstigte Gesicherte Finanzierung/Förderung Organisation gemeinsamer Arbeitsabläufe Förderung der Zusammenarbeit Innovative Produkte/Dienst leistungen, Technologien oder Prozesse Umsatzsteigerung der Kooperationspartner Steigerung des Bekanntheitsgr ades von Ausflugszielen und tour. Einrichtungen Nutzung lokaler Märkte und Anbieter Steigerung der BesucherInnenzahl en Erschließung überregionaler und grenzüberschreiten der Märkte Steigerung der Nächtigungen Verbesserte Kooperation/Vernetzung branchenübergreifend Sicherung und Stärkung der Versorgung im ländlichen Raum Steigerung der Wettbewerbsfähigkeit, insbesondere von touristisch weniger intensiven Gebieten Sicherung bestehender Arbeitsplätze Schaffung neuer Arbeitsplätze ökologische, ökonomisc he (selbsttragend nach Förderablauf) und soziale Nachhaltigkeit R21/ T20 EI EI EI EI EI EI EI EI EI 16.3.1 Unterstützung bei der Entwicklung von innovativen Pilotprojekten im Tourismus (VHA 16.2.2) Gute Beratung Gut implementiertes Auswahlverfahren Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Evaluierungs- indikatoren Y / N Modellprojekte in übergeordnete Konzepte und Strategien von Bund und Ländern eingebettet Gut qualifizierte Begünstigte Gesicherte Finanzierung/Förderung Überbetriebliche Kooperationen entlang der touristischen Wertschöpfungskette Entwicklung von innovativen touristischen Pilotprojekten Förderung der Zusammenarbeit Innovative Produkte/Dienst leistungen; Innovative Modellprojekte mit Beispielwirkung Nutzung lokaler Märkte und Dienstleistungen Erschließung überregionaler und grenzüberschreiten der Märkt e Steigerung der Nächtigungen bzw. BesucherInnen Verbesserte Kooperation/Verne t zung branchenübergreife nd Stärkung der Region Sicherung bestehender Arbeitsplätze Schaffung neuer Arbeitsplätze ökologische, ökonomische und soziale Nachhaltigkeit R21/ T20 EI EI EI EI EI EI EI EI EI 16.2.2 Vorhabensart 16.9.1 - Förderung horizontaler und vertikaler Zusammenarbeit land- und forstwirtschaftlicher AkteurInnen zur Schaffung und Entwicklung von Sozialleistungen (SPB 6a) Entwicklung von Förderrichtlinien (in den BL) Anzahl der geschaffenen Arbeitsplätze Aufbau, Entwicklung und Verbesserung der Zusammenarbeit im Bereich sozialer Land- und Forstwirtschaft Vernetzung und Abstimmungsarbeit zwischen Einrichtungen Erstellung zielgruppen- orientierter Angebote und deren überregionale Umsetzung Anzahl der zertifizierten lw/fw Betriebe Unterstützung von Kooperationen im sozialen Bereich der LW/FW Sicherung der Lebensfähigkeit von strukturschwachen landwirtschaftlichen Betrieben sowie Sicherung und Schaffung von Beschäftigungsmöglichkeiten auch in nicht-landwirtschaftlichen Unternehmen im ländlichen Raum – insbesondere für Frauen Schaffung neuer Erwerbsmöglichkeiten lw/fw Betriebe Neue Formen der Zusammenarbeit Technische Umsetzung Information & Wissen Schwerpunkt bereich 6a Voraus- setzungen Maß- nahmen Kurzfristige Ergebnisse Längerfristige Ergebnisse • • • • • Forcierung innovativer zielorientierter Ver- marktungskonzepte Erhaltung und Schaffung von Arbeitsplätzen im LR Aufbau der Abwicklungsstruk turen (in den BL) Bewusstseins- bildung unter den Stakeholdern Fördergegenstände Sektorübergreifende Zusammenarbeit von AkteurInnen im Bereich der sozialen Land- und Forstwirtschaft und forstlichen Sozialleistungen Schaffung von Grundlagen für die Umsetzung von Greencare Projekten Anzahl der Betriebs- konzepte Wirkungs -studien Vernetzungs- und Erfahrungs- austausch- konzepte Plattform zertifizierter Betriebe Anzahl der Projektbeglei- tungen Anzahl sektorenübergr eifender Kooperationsge spräche 16.9.1 Gründung von innovativen Kleinprojekten im ländlichen Raum (VHA 6.4.4) Fundierte Businesspläne werden erarbeitet Die Eigenmittel für die Finanzierung der Investition sind vorhanden Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Ergebnis- indikatoren OI Outputindikatoren Die Interessierten erhalten eine gute Beratung Die Begünstigten sind für das geplante Vorhaben gut qualifiziert Die Projekte stehen im Einklang mit einer relevanten Regional- oder Landesstrategie Investitionen in bestehende kleine junge Unternehmen (max. 5 Jahre) zur Umsetzung einer innovativen Investition Gründung eines neuen Unternehmens zur Umsetzung der innovativen Gründungsidee Senkung des Risikos für innovative Unternehmensgründungen (Steigerung der Gründungsbereitschaft) Wirksame Unterstützung der Markterschließung und der Wachstumsphase (Steigerung der Wachstumschancen) Nachhaltige Erhöhung der Zahl der innovativen Unternehmens- gründungen Verbesserung der Wirtschafts- struktur Schaffung neuer hochqualitativer Arbeitsplätze Stärkung der heimischen Leistungsbilanz Erschließung neuer Märkte und Zielgruppen Mehr Kunden, Aufträge und Umsatz Kleine Unternehmen können wettbewerbsfähige Produkte, Verfahren, Dienstleistungen anbieten, die regionale Wertschöpfungsketten ergänzen Beitrag zum Unternehmenserfolg Förderung von innovativen Investitionen mit regionalem Mehrwert von 20.000 bis 200.000 € mit max. Zuschuss von 50.000 € R21/ T20 Beschränkung • Sehr kleines Volumen der Förderschiene EI Misserfolg - Konkurs OI EI EI OI 6.4.4 Diversifizierung hin zu nichtlandwirtschaftlichen Tätigkeiten (VHA 6.4.1) Fundierte Diversifizierungskonzepte werden erarbeitet Die Eigenmittel für die Finanzierung der Investition sind vorhanden Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Evaluierungs- indikatoren (z. T. nicht im Monitoring) Die Interessierten erhalten eine gute Beratung Die Begünstigten sind für das geplante Vorhaben gut qualifiziert Entwicklung neuer Produkte und Dienstleistungen im Betrieb Verbesserung / Ausweitung bestehender Produkte und Dienstleistungen Investitionen in bestehende und neue Betriebe (innerhalb der Beschränkungen v.a. Nicht-Anhang I) Gründung eines neuen Betriebes (Wechsel ins Gewerbe) Verbesserung der Arbeits- bedingungen Effizienterer Einsatz von Ressourcen Ausbau der Kapazitäten Einhaltung / Anhebung von Standards Verstärkte Teilnahme an Qualitäts- sicherungssystemen Gewinnung von mehr Kunden und bessere Auslastung Verstärkte Umsetzung von Innovation Erzielung höherer Preise Verstärkte Nutzung regionaler Zulieferketten Erschließung neuer Märkte und Zielgruppen Verbesserte Zusammenarbeit mit anderen Schlüsselakteuren Mehr Umsatz Beitrag zur Stärkung der Lebensfähigkeit des landwirtschaftlichen Betriebes Steigerung des Betriebseinkommens Sicherung bestehender Arbeitsplätze Schaffung neuer Arbeitsplätze Diversifizierung fügt sich nachhaltig in die Gesamt- strategie des Betriebes ein R21/ T20 EI EI EI EI EI EI EI EI EI Beschränkungen • Max. 1. Schritt ins Gewerbe gefördert, d.h. Kapazitätsbeschränkungen z.B. bei Betten und Pferden • Nur Nicht-Anhang I Produkte gefördert • Personalressourcen im Familienbetrieb Beitrag zur Steigerung der Versorgung / des Angebotes in der Region EI EI EI 6.4.1 Clustering of objectives der Vermarktung GOOD PRACTICE WORKSHOP: 'APPRAISING INTERVENTION STRATEGIES UNDER THE CAP: EXPERIENCES AND OUTLOOK'. Using 'impact models' for assessing Focus Area (SO) objectives * In the 2 nd step the main results of the interventions in relation to the clustered overarching objectives were summarized by using the common and programme-specific indicators * Several interventions can contribute to one objective See the next slide for illustration Contribution of the operations to the objectives of focus area 6A R21/T20 Employment created through supported projects EI Evaluation indicators (partially not in the monitoring) Enhancement of agricultural businesses through diversification Creating and maintaining employment Founding and development of small enterprises Strengthening of rural regions by establishing social services, improved tourism offers and enhanced cooperation R21/ T20 EI EI EI Zusammenarbeit von Kleinstunternehmen im ländlichen Raum (6A) (VHA 16.3.2) Vorhaben muss im ländlichen Raum umgesetzt werden Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Evaluierungs-indikatoren Y / N Projektzusammenarbeit basiert auf zumindest 3 Kooperationspartnern. Technologien oder Prozesse Zusammenarbeit zur Entwicklung neuer Produkte Beitrag zur Stärkung der Lebensfähigkeit des landwirtschaftlichen Betriebes Erhaltung von Arbeitsplätzen Nachhaltige Wirkung des Projekts Effiziente Nutzung von Ressourcen Sicherstellung und Stärkung der Nahversorgung Beitrag zur Erhöhung der regionalen Wertschöpfung Kooperationspartner schwerpunktmäßig (zumindest zwei Drittel der teilnehmenden Kooperationspartner) gehören der gewerblichen Wirtschaft an Beitrag zur Stärkung der Wettbewerbsfähigkeit der beteiligten Kleinstunternehmen Schaffung von branchenübergreifenden Kooperationen Mobilisierung von Projektteilnehmern Gemeinsam organisierte Arbeitsabläufe Verhinderung der Abwanderung der ländlichen Bevölkerung Markenaufbau Organisation gemeinsamer Arbeitsabläufe Grenz- überschreitende Markterschließu ng Erschließung von grenzüberschreiten d en Märkten EI EI Stärkung innovativer Projekte EI Erschließung von neuen Märkten EI Nutzung von lokalen Märkten und Anbietern EI EI EI EI Schaffung von Arbeitsplätzen R21/ T20 16.3.2 Zusammenarbeit von kleinen WirtschaftsteilnehmerInnen - Arbeitsabläufe, Ressourcennutzung und Tourismusdienstleistungen (VHA 16.10.1) Gute Beratung Gut implementiertes Auswahlverfahren Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Evaluierungs- indikatoren Y / N in übergeordnete Konzepte und Strategien von Bund und Ländern eingebettet Gut qualifizierte Begünstigte Gesicherte Finanzierung/Förderung Stärkung und Unterstützung der Zusammenarbeit: gemeinsam durchgeführte Arbeitsabläufe Umsatzsteigerung der Kooperationspartner Nutzung lokaler Märkte und Anbieter Erschließung grenzüberschreiten der Märkte Stärkung der Region Sicherung der Versorgung im ländlichen Raum Erhalt bestehender Arbeitsplätze Schaffung neuer Arbeitsplätze R21/ T20 EI EI EI EI EI EI 16.10.1 Zusammenarbeit von kleinen WirtschaftsteilnehmerInnen - Arbeitsabläufe, Ressourcennutzung und Tourismusdienstleistungen (VHA 16.3.1) Gute Beratung Gut implementiertes Auswahlverfahren Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Evaluierungs- indikatoren Y / N Modellprojekte in übergeordnete Konzepte und Strategien von Bund und Ländern eingebettet Gut qualifizierte Begünstigte Gesicherte Finanzierung/Förderung Organisation gemeinsamer Arbeitsabläufe Förderung der Zusammenarbeit Innovative Produkte/Dienst leistungen, Technologien oder Prozesse Umsatzsteigerung der Kooperationspartner Steigerung des Bekanntheitsgr ades von Ausflugszielen und tour. Einrichtungen Nutzung lokaler Märkte und Anbieter Steigerung der BesucherInnenzahl en Erschließung überregionaler und grenzüberschreiten der Märkte Steigerung der Nächtigungen Verbesserte Kooperation/Vernetzung branchenübergreifend Sicherung und Stärkung der Versorgung im ländlichen Raum Steigerung der Wettbewerbsfähigkeit, insbesondere von touristisch weniger intensiven Gebieten Sicherung bestehender Arbeitsplätze Schaffung neuer Arbeitsplätze ökologische, ökonomisc he (selbsttragend nach Förderablauf) und soziale Nachhaltigkeit R21/ T20 EI EI EI EI EI EI EI EI EI 16.3.1 Unterstützung bei der Entwicklung von innovativen Pilotprojekten im Tourismus (VHA 16.2.2) Gute Beratung Gut implementiertes Auswahlverfahren Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Evaluierungs- indikatoren Y / N Modellprojekte in übergeordnete Konzepte und Strategien von Bund und Ländern eingebettet Gut qualifizierte Begünstigte Gesicherte Finanzierung/Förderung Überbetriebliche Kooperationen entlang der touristischen Wertschöpfungskette Entwicklung von innovativen touristischen Pilotprojekten Förderung der Zusammenarbeit Innovative Produkte/Dienst leistungen; Innovative Modellprojekte mit Beispielwirkung Nutzung lokaler Märkte und Dienstleistungen Erschließung überregionaler und grenzüberschreiten der Märkt e Steigerung der Nächtigungen bzw. BesucherInnen Verbesserte Kooperation/Verne t zung branchenübergreife nd Stärkung der Region Sicherung bestehender Arbeitsplätze Schaffung neuer Arbeitsplätze ökologische, ökonomische und soziale Nachhaltigkeit R21/ T20 EI EI EI EI EI EI EI EI EI 16.2.2 Vorhabensart 16.9.1 - Förderung horizontaler und vertikaler Zusammenarbeit land- und forstwirtschaftlicher AkteurInnen zur Schaffung und Entwicklung von Sozialleistungen (SPB 6a) Entwicklung von Förderrichtlinien (in den BL) Anzahl der geschaffenen Arbeitsplätze Aufbau, Entwicklung und Verbesserung der Zusammenarbeit im Bereich sozialer Land- und Forstwirtschaft Vernetzung und Abstimmungsarbeit zwischen Einrichtungen Erstellung zielgruppen- orientierter Angebote und deren überregionale Umsetzung Anzahl der zertifizierten lw/fw Betriebe Unterstützung von Kooperationen im sozialen Bereich der LW/FW Indikator EU Ziel Sicherung der Lebensfähigkeit von strukturschwachen landwirtschaftlichen Betrieben sowie Sicherung und Schaffung von Beschäftigungsmöglichkeiten auch in nicht-landwirtschaftlichen Unternehmen im ländlichen Raum – insbesondere für Frauen Schaffung neuer Erwerbsmöglichkeiten lw/fw Betriebe Neue Formen der Zusammenarbeit Technische Umsetzung Information & Wissen Schwerpunkt bereich 6a Voraus- setzungen Maß- nahmen Kurzfristige Ergebnisse Längerfristige Ergebnisse Auf- und Ausbau der Zusammenarbeit zwischen land- und forstwirtschaftlichen AkteurInnen zur Schaffung und Entwicklung von Sozialleistungen im Bereich sozialer Land- und Forstwirtschaft EU-Ziel für 6A: Schaffung zusätzlicher Erwerbsmöglichkeiten im lw. und nicht-lw. Bereich Materielle Indikatoren • T2: Gesamtzahl der Kooperationsvorhaben • Anzahl der Kooperationspartner • Anzahl der neuen Formen der Zusammenarbeit (ZA) • Anzahl der zertifizierten Green Care Betriebe • Anzahl der geschaffenen Arbeitsplätze im Rahmen der Kooperation (Stunden/Woche), davon Frauenarbeitsplätze Forcierung innovativer zielorientierter Ver- marktungskonzepte Erhaltung und Schaffung von Arbeitsplätzen im LR Aufbau der Abwicklungsstruk turen (in den BL) Bewusstseins- bildung unter den Stakeholdern Fördergegenstände Sektorübergreifende Zusammenarbeit von AkteurInnen im Bereich der sozialen Land- und Forstwirtschaft Professionalisierung der Vermarktung von agrarischen und forstlichen Sozialleistungen Schaffung von Grundlagen für die Umsetzung von Greencare Projekten Anzahl der Betriebs- konzepte Wirkungs -studien Vernetzungs- und Erfahrungs- austausch- konzepte Plattform zertifizierter Betriebe Anzahl der Projektbeglei- tungen Anzahl sektorenübergr eifender Kooperationsge spräche 16.9.1 Förderung von Nahversorgungsbetrieben einschließlich gewerblicher Beherbergungs- und Gastronomiebetriebe (6A) (VHA 6.4.5) Vorliegen der gewerbe- rechtlichen Voraussetzungen Betriebsspezifische Bedeutung Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Evaluierungs- indikatoren Y / N Vorhaben muss im ländlichen Gebiet liegen Potenzial bezüglich der Steigerung der Wettbewerbsfähigkeit Verbesserung und Neugestaltung der Betriebs und Geschäftsausstattung Verbesserung / Ausweitung Einrichtungen und Bauten Investitionen in bestehende und neue Betriebe Betriebsnotwendige IT- Hardware und -Software. Ausweitung der Verkaufsfläche Verbesserte Gestaltung der Geschäftsräume Verstärkte Umsetzung von Innovation (z.B. Kaffeeecke) Verbesserte Qualitätssicherung bei Frischwaren Verstärkte Zusammenarbeit mit lokalen Produzenten Verbesser- ung der Öffnungs- zeiten Verbesserung des Marketings Verbessertes Angebot an Lebensmitteln insgesamt und Qualitätsprodukten / Spezialitäten aus der Region Vergrößer- ung des Kunden- bereichs Verbes- serung des Controllings Beitrag zur Stärkung der Lebensfähigkeit des landwirtschaftlichen Betriebes Verbesserung der Erreichbarkeit Verbesserung des Umweltschutzes Schaffung neuer Arbeitsplätze Steigerung der Wettbewerbsfä higkeit R21/ T20 EI Maschinelle Ausstattung Angebot zusätzlicher Dienstleistungen Verbessertes Angebot für spez. Gruppen Ausbau von Multifunktions -geschäften (zB Post) Steigerung des jährlichen Umsatzes Erhalt von Arbeitsplätzen EI EI EI EI EI EI EI EI EI EI EI EI EI Touristische Bedeutung 6.4.5 Gründung von innovativen Kleinprojekten im ländlichen Raum (VHA 6.4.4) Fundierte Businesspläne werden erarbeitet Die Eigenmittel für die Finanzierung der Investition sind vorhanden Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Ergebnis- indikatoren OI Outputindikatoren Die Interessierten erhalten eine gute Beratung Die Begünstigten sind für das geplante Vorhaben gut qualifiziert Die Projekte stehen im Einklang mit einer relevanten Regional- oder Landesstrategie Investitionen in bestehende kleine junge Unternehmen (max. 5 Jahre) zur Umsetzung einer innovativen Investition Gründung eines neuen Unternehmens zur Umsetzung der innovativen Gründungsidee Senkung des Risikos für innovative Unternehmensgründungen (Steigerung der Gründungsbereitschaft) Wirksame Unterstützung der Markterschließung und der Wachstumsphase (Steigerung der Wachstumschancen) Nachhaltige Erhöhung der Zahl der innovativen Unternehmens- gründungen Verbesserung der Wirtschafts- struktur Schaffung neuer hochqualitativer Arbeitsplätze Stärkung der heimischen Leistungsbilanz Erschließung neuer Märkte und Zielgruppen Mehr Kunden, Aufträge und Umsatz Kleine Unternehmen können wettbewerbsfähige Produkte, Verfahren, Dienstleistungen anbieten, die regionale Wertschöpfungsketten ergänzen Beitrag zum Unternehmenserfolg Förderung von innovativen Investitionen mit regionalem Mehrwert von 20.000 bis 200.000 € mit max. Zuschuss von 50.000 € R21/ T20 Beschränkung • Sehr kleines Volumen der Förderschiene EI Misserfolg - Konkurs OI EI EI OI 6.4.4 Diversifizierung hin zu nichtlandwirtschaftlichen Tätigkeiten (VHA 6.4.1) Fundierte Diversifizierungskonzepte werden erarbeitet Die Eigenmittel für die Finanzierung der Investition sind vorhanden Voraus- setzungen Maß- nahmen Direkte Ergebnisse Folgeeffekte R21/T20 In unterstützten Projekten geschaffene Arbeitsplätze EI Evaluierungs- indikatoren (z. T. nicht im Monitoring) Die Interessierten erhalten eine gute Beratung Die Begünstigten sind für das geplante Vorhaben gut qualifiziert Entwicklung neuer Produkte und Dienstleistungen im Betrieb Verbesserung / Ausweitung bestehender Produkte und Dienstleistungen Investitionen in bestehende und neue Betriebe (innerhalb der Beschränkungen v.a. Nicht-Anhang I) Gründung eines neuen Betriebes (Wechsel ins Gewerbe) Verbesserung der Arbeits- bedingungen Effizienterer Einsatz von Ressourcen Ausbau der Kapazitäten Einhaltung / Anhebung von Standards Verstärkte Teilnahme an Qualitäts- sicherungssystemen Gewinnung von mehr Kunden und bessere Auslastung Verstärkte Umsetzung von Innovation Erzielung höherer Preise Verstärkte Nutzung regionaler Zulieferketten Erschließung neuer Märkte und Zielgruppen Verbesserte Zusammenarbeit mit anderen Schlüsselakteuren Mehr Umsatz Beitrag zur Stärkung der Lebensfähigkeit des landwirtschaftlichen Betriebes Steigerung des Betriebseinkommens Sicherung bestehender Arbeitsplätze Schaffung neuer Arbeitsplätze Diversifizierung fügt sich nachhaltig in die Gesamt- strategie des Betriebes ein R21/ T20 EI EI EI EI EI EI EI EI EI Beschränkungen • Max. 1. Schritt ins Gewerbe gefördert, d.h. Kapazitätsbeschränkungen z.B. bei Betten und Pferden • Nur Nicht-Anhang I Produkte gefördert • Personalressourcen im Familienbetrieb Beitrag zur Steigerung der Versorgung / des Angebotes in der Region EI EI EI 6.4.1 16.10.2 EI R/T GOOD PRACTICE WORKSHOP: 'APPRAISING INTERVENTION STRATEGIES UNDER THE CAP: EXPERIENCES AND OUTLOOK'. Using "impact models" for the ex-ante appraisal of Specific Objectives * In the ex-ante evaluation, it should be checked whether the objective system is described sufficiently precisely at the level of the Specific Objective * The Specific Objectives are somehow general and need to be specified in the national context. Without clear objectives at Specific Objective level, the (broad) impacts of underlying interventions cannot be assessed later * The ex-ante evaluator can check the contribution of interventions towards the Specific Objectives by using impact models * This serves more targeted national policies and better designed interventions in the context of the proposed overall shift from a compliancebased to a performance-based CAP Conclusions and recommendations * Common intervention-logics are often very schematic and hardly correspond to real effect relations. An ex-ante evaluation based on such logic is limited in its robustness * ToC works very well at the micro (intervention) and meso (specific objective) level to check the plausibility of the pathways to achieve a goal, to discover flaws in the design of interventions and to prove the consistency between expected results and indicators * The ex-ante established impact model can later be used for ongoing evaluation (2 flies are done with one flap!) * Visualizations are very well suited as participative instruments in working groups Conclusions and recommendations * On the macro-level (programme-level) ToC becomes very complex. Probably macro-economic analysis (modelling techniques) is more suitable here * In order to assess the effectiveness of interventions and groups of interventions thoroughly, impact models should be developed for all interventions and Specific Objectives. The existing evaluation results should be used for this purpose * ToC thinking should be used from the beginning; therefore the ex-ante stage should be the starting point * My vision: Every policy designer should have an impact model on the wall (printed in large format), which has to be improved more and more over the years Austrian evaluation studies are published at https://www.bmnt.gv.at/land/ laendl_entwicklung/evaluieru ng/Evaluierungsstudien.html Mr Andreas Resch Organisation: Metis E-mail: firstname.lastname@example.org Further reading:
IODP Science Advisory Structure Executive Committee 11th Meeting, 18-19 January 2011 Miami, USA Science Advisory Structure Executive Committee – SASEC Shoji Arai Kanazawa University, Japan Keir Becker University of Miami, USA Se Won Chang (observer)* Korea Institute of Geoscience and Mineral Resources (KIGAM), Korea Jan Willem de Leeuw Royal Netherlands Institute for Sea Research, (NIOZ), The Netherlands Gabe Filippelli (non-voting) Indiana University-Purdue University Indianapolis, USA Susan Humphris Woods Hole Oceanographic Institution, USA Kenji Kato Shizuoka University, Japan Hiroshi Kitazato Japan Agency for Marine-Earth Science and Technology, Japan Kozo Takahashi Kyushu University Terry Quinn University of Texas at Austin, USA Rasik Ravindra* (observer) National Centre for Antarctic and Ocean Research, India Maureen Raymo (chair) Boston University, USA Jianzhong Shen (observer) Ministry of Science and Technology (MOST), China Kiyoshi Suyehiro (non-voting) IODP Management International, Inc., Japan Damon Teagle University of Southampton, UK Chris Yeats (observer) Australian Resources Research Centre, CSIRO, Ausutralia Unable to attend Liaisons, Observers and Guests Jamie Allan National Science Foundation, USA Wataru Azuma Center for Deep Earth Exploration (CDEX), JAMSTEC, Japan Rodey Batiza National Science Foundation, USA Dismas Coelho Petrobras, Brazil Brad Clement Integrated Ocean Drilling Program, Texas A&M University, USA Consortium for Ocean Leadership, USA David Divins Nobuhisa Eguchi Center for Deep Earth Exploration (CDEX), JAMSTEC, Japan Robert Gatliff British Geological Survey, UK Dave Goldberg Lamont-Doherty Earth Observatory, USA Shinji Hida Ministry of Education, Culture, Sports, Science and Technology (MEXT), Japan Tom Janecek National Science Foundation (NSF), USA Hiroshi Kawamura IODP Management International, Inc., Japan Yoshi Kawamura IODP Management International, Inc., Japan Shin'ichi Kuramoto Ministry of Education, Culture, Sports, Science and Technology (MEXT), Japan Hans Christian Larsen IODP Management International, Inc. , Japan Sarah Menassian National Science Foundation, USA Catherine Mével ECORD Managing Agency (EMA), France Alan Mix (PAGES) Oregon State Universtiy, USA William Ridley National Science Foundation (NSF), USA Yusuke Sakai Ministry of Education, Culture, Sports, Science and Technology (MEXT), Japan Jeff Shuffert U.S. Science Support Program, Consortium for Ocean Leadership, USA Shingo Shibata Ministry of Education, Culture, Sports, Science and Technology (MEXT), Japan Petrobras, Brazil Adriano Viana Michiko Yamamoto IODP Management International, Inc., Japan Masaoki Yamao Center for Deep Earth Exploration (CDEX), JAMSTEC, Japan Science Advisory Structure Executive Committee 11 th Meeting, 18-19 January 2011 Miami, Florida USA EXECUTIVE SUMMARY (v1) 1. Introduction 1.5. Approve meeting agenda SASEC Motion 1101-01: SASEC approves the agenda for its eleventh meeting on 18-19 January 2011 in Miami, USA. Humphris moved, Teagle seconded; 9 in favor (Arai, Becker, de Leeuw, Humphris Kato, Kitazato, Takahashi, Teagle ,Raymo); 2 non-voting (Filippelli, Suyehiro) 1.6. Approve last meeting minutes SASEC Motion 1101-02: SASEC approves the minutes of its tenth meeting on 18-19 June 2010 in Kyoto, Japan. Quinn moved, Humphris seconded; 9 in favor (Arai, Becker, de Leeuw, Humphris Kato, Kitazato, Takahashi, Teagle ,Raymo); 2 non-voting (Filippelli, Suyehiro) 2. SPC report SASEC Motion 1101-03: SASEC accepts the SPC Chair's proposal for handling conflict of interest at the March 2011 SPC meeting. Becker moved, Quinn seconded; 9 in favor (Arai, Becker, de Leeuw, Humphris Kato, Kitazato, Takahashi, Teagle ,Raymo); 2 non-voting (Filippelli, Suyehiro) 6. Linkages to scientific/national initiatives (PAGES, OOI, etc.) SASEC Action Item 1101-04: Maureen Raymo to attend PAGES Scientific Steering Committee meeting in Bern which takes place in conjuction with INQUA meeting. 7. Program renewal 7.3. Discussion of Science Plan SASEC Action Item 1101-05: Damon Teagle, Chris Yeats and Catherine Mevel to write "Resource" focused section for the new science plan. SASEC Action Item 1101-06: Terry Quinn, Susan Humphris, Robert Gatliff, and David Divins to help draft Education & Outreach chapter. SASEC Action Item 1101-07: Maureen Raymo and Hans Christian Larson to charge Ellen Kappel to come up with few possible names of the new science plan that will be circulated for consideration to SASEC over email. 7.4. Timeline of Science Plan review and Blue Ribbon Comm. SASEC Action Item 1101-08: There is still time for SASEC to nominate candidates for Blue Ribbon Committee. 8. Renewal of IODP website SASEC Consensus 1101-09: SASEC recommends IODP home page to revert back to the old home-page, and that IODP-MI develop a new home page for consideration and comment by SASEC. 9. Reports of committee building model for new program SAS structure 9.1. Discussion of new SAS Terms of Reference SASEC Motion 1101-10: SASEC approves in principle the draft Terms of Reference as prepared by the SASEC SAS Terms of Reference subcommittee and forwards them to the IWG+. Becker moved, de Leeuw seconded; 9 in favor (Arai, Becker, de Leeuw, Humphris Kato, Kitazato, Takahashi, Teagle ,Raymo); 2 non-voting (Filippelli, Suyehiro) SASEC consensus 1101-11: The current IODP Memorandum specifies that the SAS Executive Authority Chair should initially rotate between US and Japan. SASEC suggests to IWG+ that the first SIPCOM chair during the FY2012-2013 transitional period should be from long-term contributing IODP member ECORD. SASEC Consensus 1101-12: SASEC recommends that the two year term of Chairperson of SIPCOM be rotated, with the position to be held twice by Japanese scientists, twice by US scientists and once opened to all members during the ten year duration of the new program (2014-2023). Additionally, SASEC considers that each Chair should be selected by an international panel, in the spirit of the program, rather than nominated by National program offices. SASEC Consensus 1101-13: SASEC forms a subcommittee to assess structural models in the post-2013 IODP for (a) advising on engineering development and industry-IODP technology transfer, and (b) ensuring adequate long-term engineering advice to the new SAS. The subcommittee should consult with the IODP agencies, CMO, and IO's and provide its report at the June 2011 SASEC meeting. Subcommittee members include Keir Becker, Shoji Arai, Damon Teagle, and Susan Humphris. SASEC Consensus 1101-14: SASEC thanks Keir Becker, Jan Willem de Leeuw, Gabe Filippelli, and Shoji Arai for their effective efforts in crafting the new SAS Terms of Reference that lays a strong foundation for the SAS structure within the new International Ocean Discovery Program. This subcommittee is now officially disbanded. 9.5. Proposal categories and guidelines SASEC Consensus 1101-15: SASEC nominates Gabe Filippelli (Chair), Jan De Leeuw, Chris Yeats and one of SSEP co-chairs as members of a subcommittee to work with IODP-MI to develop proposal guidelines prior to the next Call for Proposal. 10. Workshops in FY2011-12: Budget and Process SASEC Consensus 1101-16: SASEC has reviewed four workshop proposals (No. 5, Indian Ocean Drilling, No. 3, Continental Transform Boundaries, No. 4, Slow Slip Events, and No. 6, Gulf of Lion Drilling) and recommends funding for the first three and resubmission of a revised proposal based on the recently held workshop of the Gulf of Lion community. SASEC strongly suggests urgent development of a guideline for workshop proposals. 13. Other business SASEC Consensus 1101-17 : Hiroshi Kawamura has been a steadfast resource for the Science Advisory Structure and IODP-MI. His knowledge of proposal details and his extremely efficient management of the correspondence and business of the SAS were great assets. We congratulate him on his new position with the IPCC, and wish him and his family the very best as they move back to Germany. SASEC Consensus 1101-18 : SASEC thanks Keir Becker for his organizational skills, hospitality and panache in hosting this meeting in balmy Miami, taking many (but not all) of us away from the cold grip of the Northern Winter. We appreciate the warmth and sunshine, and eagerly anticipate the refreshments that will be provided for us. Tuesday Science Advisory Structure Executive Committee th 11 Meeting, 18-‐19 January 2011 Miami, Florida USA Draft Minutes (ver. 1.0) 18 January 2011 1. Introduction 1.1. Call to order and opening remarks The Science Advisory Structure Executive Committee (SASEC) chair Maureen Raymo called the meeting to order at 09:00 and welcomed everyone to the meeting. 1.2. Introduction of participants Maureen Raymo asked all meeting participants to introduce themselves. Each participant introduced himself/herself. Raymo informed that Indian participants could not come to the meeintg. 1.3. Welcome and meeting logistics Local meeting host Keir Becker welcomed everyone to the Rosenstiel School of Marine and Atmospheric Science at the University Miami and gave some basic logistical information for the meeting. 1.4. Rules of engagement (Robert's rules, COI policy, etc.) Maureen Raymo went over some salient points of Robert's Rules of Order, including that members should take turns speaking, no member should speak twice until everyone has had a chance to speak, each person should raise his/her hand before speaking, members should not speak in the background, and everyone should speak slowly and clearly. Raymo indicated that the full text of the Conflict of Interest (CoI) policy is found in the agenda 09:00-‐17:00 book. She noted that all actual or potential COIs must be declared. SASEC member declared the following COIs regarding potential discussions: ‐ \| \| Name \| Declaration \| \|---\|---\|---\| \| Raymo \| \| \| \| Teagle \| \| \| \| Becker \| \| \| \| Takahashi \| \| \| \| Eguchi \| \| \| \| Yeats \| \| \| ‐ 1.5. Approve meeting agenda Maureen Raymo asked if there were any suggested changes to version 1.4 of the meeting agenda. There were no changes, and the agenda was approved by consensus. SASEC Motion 1101-‐01: SASEC approves the agenda for its eleventh meeting on 18-‐19 January 2011 in Miami, USA. Humphris moved, Teagle seconded; 9 in favor (Arai, Becker, de Leeuw, Humphris Kato, Kitazato, Takahashi, Teagle ,Raymo); 2 non-‐voting (Filippelli, Suyehiro) 1.6. Approve last meeting minutes Maureen Raymo asked if anyone liked to amend the last meeting minutes and no one raised concerns. SASEC Motion 1101-‐02: SASEC approves the minutes of its tenth meeting on 18-‐19 June 2010 in Kyoto, Japan. Quinn moved, Humphris seconded; 9 in favor (Arai, Becker, de Leeuw, Humphris Kato, Kitazato, Takahashi, Teagle ,Raymo); 2 non-‐voting (Filippelli, Suyehiro) 1.7. Review of items approved since last meeting Maureen Raymo noted that no items had been approved since the June 2010 SASEC meeting. 2. SPC report Science Planning Committee (SPC) chair, Gabe Filippelli, provided the SPC report on the following four points. 1. SPC update from August meeting, 2. Global proposal review process, 3. Communication with ocean observation programs, 4. Request for temporary COI change. As the item 1. "SPC update from August meeting", he introduced the following two consensuses; SPC Motion 1008-‐07: The SPC recommends IODP Proposal 681-‐Full2 Lesser Antilles Volcanic Landslide as the preferred contingency for Proposal 553-‐Full2 Cascadia Margin Hydrate for FY 12 JR schedule. SPC Consensus 1008-‐03: The SPC recognizes the spirit of SSEP consensus statement 1005-‐5, but, given the upcoming changes in science advisory structure, declines the statement at this time. As the item 2. "Global proposal review process", he explained the need of the global review process and its timeline; SPC Consensus 1008-‐10: SPC will consider OTF and SPC proposals at March 2011 for transferring to the new SAS SPC Consensus 1008-‐11: At the March 2011 SPC meeting, SPC will consider the prioritization of proposals from SSEP when SPC decides which proposals to transfer to the new SAS SPC Consensus 1008-‐12: SPC will work with IODP-‐MI in the March-‐August 2011 timeline to individually advise proponents of all proposals as to the status of their proposal Filippelli introduced the 3 tier evaluation system that the SSEP adopted for their last meeting to sort the SSEP proposals into 3 groups based on each proposal's scientific potential. He also explained what the next SPC would do for it. They will likely do; 1. Transferring top tier proposals to the new program, 2. Returning bottom tier proposals for potential resubmission as new proposals, 3. Reviewing middle tier proposals with respect to the new Science Plan and operational factors. As the item 3. "Communication with ocean observation programs", he introduced the observation programs that have potential to collaborate with IODP, which were reported from SPC subcommittee members, Donna Blackman, Gretchen Früh-‐Green and Junzo Kasahara. In US, Ocean Observatory Initiatives (OOI) is developing cable network that will be operational in 2013. Scripps has a preexisting wireline re-‐entry system that has not been used for a few years, which could be an asset to IODP. In Europe, Neptune Canada is collaborating with US and European groups and making progress in cable observatories. Also, European initiative, "Deepsea Frontier Initiatives" that includes a group for ocean drilling was introduced as an additional funding source not as competitor to IODP. In Japan, JAMSTEC is installing DONET (Dense Ocean-‐floor observatory Network for Earthquakes and Tsunamis) in Nankai Trough. DONET will be under full operation by March 2011. As the item 4. "Request for temporary COI change", he requested for SPC's COI policy change because many COIs are expected and it makes it difficult to keep enough expertise in review. He proposed to arrange watchdog groups to avoid COI yet retain expertise (i.e., SSEP-‐like rules) for the global review, and a platform-‐specific basis discussion and exclude COI members for the normal review and ranking. Yeats asked how many proposals are in the system. Filippelli answered 105. Raymo asked if Filippelli meant that the two-‐third of the proposals would be reviewed at the next SPC meeting. Filippelli replied yes and explained that the result from the next SPC meeting would provide to the next June SASEC. The proposals currently within OTF would simply transfer to the new SAS structure. Larsen commented that the panels need to think carefully about when to inform the proponents about the fate of their proposals. To give proponents enough time to be able to submit before the October 1st deadline, they need to inform the community and proponents what is the fate of their proposals sometimes shortly after the SPC. Filippelli agreed with Larsen and also pointed out that information would leak out anyway and proponents need fairness in preparation. Kenji Kato asked if SPC will inform the proponent just their tier ranking or proposal-‐specific advice. Larsen replied that SPC would need comment on why proposal should not move forward. It should not be an apologetic letter but just to state these are the facts. Filippelli agreed with Larsen. Jamie Allan asked if Becker has used the Scripps wireline re-‐entry system before. Becker replied that he was the last one who used it. The reason why it has not been used is only the lack of the budget for technical support, so there is a capability there. Filippelli asked JAMSTEC for any update on DONET. Masaoki Yamao replied that DONET currently has eight sites and the number is increasing. Jan de Leeuw remembered that there was a presentation about deep carbon observatory (DCO) at the last SASEC meeting, and wondered whether it should be added on the US list. Suyehiro replied that DCO is not the same kind of observatory as the others like OOI or DONET. de Leeuw commented that it might be important to have them on the list, although if it is still in very early stages. Filippelli noted that he would let the SPC subcommittee know about DCO and that SPC would carry on with another update in March and provide the update at SASEC's disposal. Susan Humphris noted that the last SASEC concluded that SPC subcommittee should be in charge of this kind of issue, but, she pointed out, it's grassroots level efforts that is really needed for integrating the different programs. She suggested not giving the subcommittee some vague charge because she thought it could be not so productive. Larsen commented that IODP could send the draft of the science plan to the key individuals in those programs to inform them of IODP's plan in future and to get support from them back. Raymo agreed with Larsen. Becker informed that SPC did platform-‐specific review during his term as SPC chair even though there is no global ranking. Susan Humphris saw no problem in the new COI rule Filippelli proposed. She asked why it is important to review on a platform-‐specific basis. Filippeli replied that one MSP proposal would conflict three of four of hard rock members, meaning they conflict all of that SPC review and ranking, therefore SPC have to bring them in. Allan commented that global ranking does not make sense unless SPC is pooling resources. Damon Teagle agreed with Allan and commented that it pragmatically makes a sense. Hiroshi Kawamura asked Filippelli how SPC would treat APLs that SPC members has also COI. Filippelli replied that he had not decided how to handle APLs, but he would coordinate with IODP-‐MI to figure out how best to handle. Terry Quinn agreed on the pragmatic approach if it keeps the discussion going without a potential conflict. Chris Yeats pointed out that the new program would have the same problem. He suggested more flexibility in the new COI rule for the new program. de Leeuw asked about the case that a COI member staying in the room is asked only for advice but no judge voting. Raymo replied that it would a separate issue of how to define COI in the new SAS. Jeff Schuffert asked Filippelli if the rule would be adopted only for single platform proposal. Filippelli replied that it would be only for one platform but could not answer that unequivocally. Larsen commented that MSP and Hawaiian Drowned Reefs could be an issue because there are plans on the table that could involve both JR and MSP. It's up for the OTF to discuss at the next meeting. Becker asked how many potential slots remain to actually schedule. Filippelli answered that there are only two at most, perhaps only one more. Raymo made sure that all members agreed on the new COI rule for the next SPC meeting and wrapped up the discussion. SASEC Motion 1101-‐03: SASEC accepts the SPC Chair's proposal for handling conflict of interest at the March 2011 SPC meeting. Becker moved, Quinn seconded; 9 in favor (Arai, Becker, de Leeuw, Humphris Kato, Kitazato, Takahashi, Teagle ,Raymo); 2 non-‐voting (Filippelli, Suyehiro) 3. Annual program plan 3.1. IODP-‐MI Budget updates on FY11, timeline of FY12 Kiyoshi Suyehiro reported on FY11 Annual Program Plan. The current version that MI submitted on October 28 had accepted by the lead agencies. The difference between the current version and old version that SASEC accepted in the last June meeting is the smaller overall amount, meaning MI successfully reduced the amount spent by itself. There is a slight increase in USIO's budget proposal because of Superfast schedule change. CDEX's budget proposal needed some minor adjustments on outreach and configuration part. The FY11 APP should be revised again soon in February because of the schedule change of Chikyu. At the end of FY11, the riser drilling of stage 3 NanTroSEIZE will start and it will be done in two-‐time windows with 5-‐7 months extension each in FY12 and FY13. Chikyu will be engaged in a commercial drilling in the August timeframe. Concerning this change, IODP-‐MI informed the community through the web and had discussion with SAS, Board of Governors and the Lead Agencies and they approved that IODP-‐MI revises the APP under the condition that CDEX commits to engage Chikyu in IODP riser drilling in FY12 and 13 long enough to complete the objectives of the NanTroSEIZE. IODP-‐MI has more than one million carry-‐forward from FY10 to 11 because of saving and some tasks that could not be done within FY10 and has to be rescheduled in the following fiscal years. IODP-‐MI has sent out a carry-‐forward request to NSF last week and now waiting for their approvals. Carry-‐forward and its process repeat every year, but it has never reported to SASEC by this time although such report is easily found in MI's quarterly report. FY12 timeline is that the budget guidance will come up in February and IODP-‐MI will notify all the sub-‐contractors, IOs and the SASEC budget sub-‐committee. Then the process starts in the timeframe of February to May in order to bring FY12 APP to SASEC discussion in June. Finally, the APP will go through the Board of Governors and lead agencies no later than August 1. As the program keeps the same international members, the same moderate level of commingled funds would be expected. Raymo asked if Humphris will be a new liaison for the budget subcommittee. Humphris replied she thought so but not sure. Raymo asked if any one of the members want to replace Yoshiyuki Tatsumi on the budget sub-‐committee as the BoG liaison. Catherine Mevel noted that it would be difficult for Europe to have budget guidance in February, because the budget changes every year and there are also financial difficulties. Raymo asked Suyehiro to show the future Chikyu schedule. Suyehiro replied that the last two months of FY11 dropped out and the rest remains the same. Raymo asked how the Chikyu's rescheduling was discussed in December. Suyehiro replied CDEX assured that Chikyu will be back to IODP after six months in Sri Lanka for commercial activities. Raymo asked what months. Suyehiro answered it will be June to December. Nobuhisa Eguchi noted that December 11 to January 12 is IODP window. But thinking the fishing restriction in January, it is impossible to operate riser drilling (NanTroSEIZE) in that December-‐January window, so the next possible window for riser drilling would start from June 2012. de Leeuw asked how much money of the 1 million carry forward was being reserved. Suyehiro replied that the amount requested as carry-‐forward was 700,000 and the only new thing that would use the CF is pre-‐scoping activities and engineering feasibility study for mantle drilling. Yeats and Humphris asked what did not get done in 2010 that would be implemented in 2011. Suyehiro replied some data management, some engineering development projects. Humphris asked if any of them would impact the schedule. Yoshi Kawamura replied that the expeditions would be safe, but sea test could be influenced, although he believed CDEX could manage to complete the development before the sea trial period and have a chance to test the equipment on board. Suyehiro asked Humphris if she had any specific engineering development in mind. Humphris replied no and she was just curious. Yoshi Kawamura commented that one is for SCIMPI, which is a simple observatory system, there is a project to develop its deployment system. Second one is University of Texas project on decoupling system for the temperature measurement, which is delayed about one year. But finally they completed the system in this summer. If those two projects go fine and we have time, we can test those together. Yeats asked if that engineering development is for Chikyu. Kawamura answered that it's for both of Chikyu and JR. The test will be probably done by the JR. Yeats asked if it would be done before Cascadia's drill. Kawamura replied it's a different issue. Allan commented that there are two that NSF and MEXT approved in December already. One of them was to modify a tool to make it have greater interoperability. The requested budget was $180,000. The other one was to digitize and make a digital archive of the DSDP and ODP legacy material that is housed here at University of Miami. Yeats asked what kind of material that is. Becker replied that it is the document including minutes related to old panels since 1997. Raymo commented that it is an important historical archive that should be preserved. Suyehiro noted that the three-‐year budget comparison that he presented to the budget subcommittee would not so helpful and hard to understand because the items are not consistent over the time. However, if the committee asks, he could answer to it. Damon Teagle raised a concern that the way to release the change of the Chikyu schedule to the community was not done in the most effective way. While the change was leaked out, IODP advertized that UK may have opportunities to sail on the leg postponed by a year. IODP need better plan to do in a more coordinate way. Suyehiro commented that we learned an important lesson that we need more effective communication with CDEX, MEXT and NSF. Raymo indicated that communication line did not exist outside of IODP rather than within. She did not think it was a communication issue between IODP-‐MI and SAS structure. Yeats added that if the plan changes every year, it is difficult for SASEC to do long -‐term planning and difficult to attract scientists whose schedule could get easily changed and ruined in months or years because of the ship schedule. At least 12 months consistency and certainty in planning is very important. Raymo agreed with Yeats. She noted that people arrange to have sabbaticals and once they are awarded, they usually cannot change because department teaching schedules are reorganized around that. Suyehiro suggested discussing on it in IWG+ meeting. 4. ICDP-‐IODP linkages update Terry Quinn reported an update on ICDP-‐IODP linkages. He noted that communication with Uli Harms from ICDP is usually twice a semester, and their last communication was in December. He noted that there were no burning issues that he was aware of, but the both recognized that the two programs could better leverage each other's science if they continue the communication and increased interactions. Catherine Mevel commented that ECORD had a joint committee and she did talk with Harms just a few days ago, and he was very much in favor of pragmatic approach in grassroots level, which people develop joint proposals and make sure that their program finds a way to be accommodated. Raymo noted that the linkage factor should be included in the new system for proposal evaluation. Filippelli informed that SPC had approved a joint program planning group with ICDP. But there has been a hold up from the ICDP side and they are not yet releasing funds for the workshop. He hoped the joint plannnig would happen and believed Harms might know more soon. Hiroshi Kitazato noted that IODP and ICDP have different budget structures. He asked how to improve the joint proposals had been discussed. Quinn replied that New Jersey Exp.313 is a good example of where there is ICDP drilling on land, the standard ICDP budgetary situation and their model. Raymo commented that it is very valuable to have grass-‐root efforts that are operating through many people. Suyehiro suggested that IODP-‐MI science managers could communicate to the ICDP science advisory group and look at potential proposals with similar objectives and geographical locations. The best timing would be before their meeting of science advisory group and the March SPC meeting. Raymo asked if their meeting will be before SPC March meeting. Suyehiro replied that they have that kind of meeting every year. Mevel commented that Harms' concern is not to have a double evaluation system and we have to find a way to build the single evaluation system. Hiroshi Kawamura indicated their meeting would be at the same timing as SPC meeting. Raymo asked Quinn to be the SASEC liaison to them and question about what specific joint proposals are being considered. Quinn replied he has done that unofficially and be happy to do that more officially. Raymo also asked Quin to work with Filippelli. She also asked Filippelli to follow up what proposals cross between the two programs. 5. IODP-‐DCO linkage update Kiyoshi Suyehiro reported on IODP-‐DCO linkage update. He explained that DCO stands for Deep Carbon Observatory. Its initiative is funded by Sloan Foundation, and the program office is at the Geophysical Laboratory of the Carnegie Institution in Washington. SASEC had Tony Brook from DCO in the last Seoul meeting and learned the program and IODP-‐MI has been successful in getting funding from Sloan Foundation to host a workshop in Washington DC in September of last year. Its summary will be published in the upcoming Scientific Drilling Journal in March and a longer report will be posted on the IOD-‐MI website. The information is circulating among the people who made significant contributions to the workshop. The next action would be forming a scoping group and its member nomination. DCO targets deep life, reservoir and fluxes, energy, environment, climate, and physics and chemistry of carbon. Reservoirs and fluxes are the most relevant to mantle drilling and its PI is Erik Hauri from the Geophysical Lab. Suyehiro will be in close touch with them and visit Geophysical Lab in early February. He indicated that the two programs needs to build a formal relationship and it needs a long lead time, one year or so, while IODP develops the new science plan. Basically IODP has very interesting science that can attract them because they are new to the drilling science knowing very little about it. This is a chance to expand our science outside of IODP. Raymo asked if the leaders of DCO have a recognition or appreciation of the importance of the drill ships. Suyehiro answered their science plan mentions it. Raymo asked if he continues to liaise. He replied yes. Rodey Batiza commented that DCO initiative and workshops are really significant, which brings new money from the Sloan foundation into the drilling program. Raymo asked what the next DCO's action is. Suyehiro replied that they would have their executive committee meeting in March. Raymo asked if someone from the drilling community will be in that meeting. Suyehiro replied someone from IODP-‐MI should be there. Kenji Kato asked about the size of the community. Suyehiro replied he was not sure, but perhaps a few hundred. de Leeuw replied that from his involvement with writing their Science panel in the past, the DCO consists of 2000-‐3000 people, but he thought the number of scientists really tied could be about 1000. They get funded not only from Sloan Foundation but also seed money. He added that he was glad that they also focus on deep life. He liked to ask more attention from IODP to the deep life section. 6. Linkages to scientific/national initiatives (PAGES, OOI, etc.) Alan Mix represented PAGES and he introduced what PAGES is about. PAGES is a core project of the International Geosphere and Biosphere program, focusing on addressing past changes in the earth systems by quantitative process, understanding of the climate system, biogeochemical cycles, human impacts, etcetera. A key goal is to be a conduit for feeding paleoclimate information into the very practical issue of projections of the future climate and environment, particularly through the IPCC process. PAGES is co-‐funded by the Swiss and US National Science Foundation, NOAA and IGBP. IGBP is connected to biodiversity programs, world climate programs, and human dimensions IHDP programs. PAGES as a sort of integrator picks up the time dimension agendas from many agendas within IGBP. PAGES has formal liaison to other international programs. PAGES is not a funder of research projects or field study, but a organizer of the community. It forms scientific working groups to do both science planning and synthesis. But PAGES co-‐funds international meetings. PAGES develops outreach products at good range from school children to science bodies like the IPCC, and publicize science programs and results. PAGES is interested in integrating international research across disciplines and interested in the great hiatus at the beach between IODP and land programs. PAGES successfully integrated programs and communities by encouraging research partnerships among different groups. PAGES has a specific agenda to encourage involvement of scientist from developing countries. PAGES has been quite effective at having workshops and educational programs for example in Africa and South America and various places around the world that helps those communities tap into the science programs in the more developed countries. Also it has agenda to facilitate public access to data. Pages is an international network as large as having 5000 registered users in 28 countries. It has organized activity leaders, rotating scientific steering committee with the formal rotation process, which balances scientific expertise and geographic distribution. It has two elected co-‐chairs, chairs are Alan Mix himself and Hubertus Fisher from Bern. PAGES has an international project office in Bern. Many member countries have their national PAGES organization and website. PAGES is well distributed and is growing. PAGES has its science program plan, which is available on PAGES webpage. Its four foci are Climate forcings, regional climate dynamics, global or system dynamics, and human climate ecosystem interactions. And there are also cross-‐cutting themes, which are geochronology, proxy development, modeling, and data management. All of those are addressed both in the larger program plan and in the pocket guide, all available on the web page. Some of PAGES's foci are relevant to IODP. For example, sea level up, dust and atmospheric dynamics, climate evolution of the last 21,000 years, the end of the ice age, ocean acidification, global monsoons, marine nitrogen cycle, past interglacial dynamics, regional integration soils, soil and sediment, climate of last 2000 years. These working groups have their own program plan. They report their update annually or more frequently. And every four years, there is a major open science meeting that is open to the entire world community. There are also two joint meetings, one is specifically for young scientists meeting to encourage both graduate students and very recent PhDs, and the other is open science meeting. PAGES has several information platforms, newsletter, web presence and also Facebook. He was very skeptical of Facebook when it started, but it's only been going some months, 5000 scientists registered, though if they are from outside or inside is unknown. The number of registration is growing by about 100 a month. It actually seems to be reaching out, particularly to the younger science community. Mix showed some examples of PAGES workshop reports. He announced PAGES next steering committee meeting is this summer in Bern. He invited IODP liaisons. Catherine Mevel asked about the relation to IMAGES. Mix replied that IMAGES is an endorsed sub-‐program and it has their own funding stream including a little stream from PAGES. IMAGES has a meeting in February and will report to PAGES. Mevel asked if IMAGES is an equal level organization to PAGES. She found it having relationship to IODP MSP project and contact with Ralph Schneider who is the current chair. Raymo asked if IODP has a liaison to their meeting. Meve replied it is easy to have it because the meeting will be in Brussels. Teagle noted that it will be next week and he will be attending. Raymo commented that there are a lot of scientific groups and initiatives that need the tools that IODP can provide. Grassroots activity is what the communities need to get the message up to the funding agencies that they need a drilling program. All panel members need to act as mini ambassadors and try to make web of connectivity. But it would be more useful to have formal requests from organizations like PAGES and DCO, saying that a drilling program will be an essential need to them, and pass it up to the decision makers of the new program. She asked Mix if such action would be effective. Mix replied that giving voice to that 5000 people and funneling them into the development of IODP science would be an idea because PAGES consists of workshop-‐oriented people. Raymo commented that the question is how these different communities get their voices heard in Washington and at ECORD level. Susan Humphris asked if Mix has any matrix about how much of what the PAGES community has published on drilling data. Mix replied no but it's a lot. Filippelli asked the budget size. Mix replied it's very small, $750,000 a year. PAGES is trying to partner with other organizations including with national organizations to co-‐fund meetings and get three or four times as much work out of that $750,000 at this point. Yeats asked how much of it goes directly to workshops. Mix answered the half of it. Larsen asked what kind of activities for data management and data distribution, and indicated a possibility of collaboration between the two programs on it. Mix replied that it is a new initiative and no intention to be a data center. But many data centers like NOAA, Pangea, ODP etc are cropping up and it's hard to find specific data even we have access. PAGES working group is trying to address that issue, specific to the paleo issues, and perhaps getting a sort of database of databases as a vehicle into them. Larsen asked if its target is a scientific community or general public level. Mix replied that it's under discussion. Larsen asked for the contact person of the working group. Mix replied he would provide it. Allan commented that he was surprised by how many people who are involved in planning effort, even climate modelers who often have poor appreciation about the history of earth. Mix commented that their models are strong, but they are not necessarily fully tested against the paleo record, which is one of PAGES agenda items. Another agenda item is incorporation of biogeochemical models into the climate models that will lead towards climate impact projections. PAGES is trying to occupy the interface between them to get people connected. Allan asked if Mix knew Belmont Forum. Mix relied no. Allan explained that it set out by inter-‐governments to solve climate modeling issues and addressing climate issues. One of the leaders of it was Tim Killeen who is Assistant Director for Geosciences. Belmont's challenges have absolutely nothing in understanding past climate. It is all forward looking in spite of a recent paper that shows how current models underestimate the forcing factors of CO2 by a factor of two from looking at past point. Raymo asked if Allan meant they underestimated because they do not look at past climate. Allan replied yes and noted that their models cannot reproduce the past. Raymo added it is because they do not get all the feedbacks. de Leeuw referred his experience with the most advanced climate model that has never worked for the past, and he noted that it is not only because wrong CO2 estimation, but missing parameters that we never know. He also commented that this is very critical issue that should be written in the science plan. Quinn commented that average climate modeling groups would know nothing about IODP. He warned the risk of showing IODP side's distrust of modeling to the modeling community and he pointed that their model would work with past 100 years input and future 100 years output. He suggested that IODP could demonstrate what IODP actually has and does. Raymo commented that people need to think about how best to integrate, and suggested sending IODP liaisons to INQUA meeting to talk about IODP science plan and vision of workshops and proposals generation in the new program. Wataru Azuma asked how to share the data between the programs and what kind of collaboration would be the most effective. Mix replied that the best way would be that the collaboration starts at very early stage through workshop to build a proposal and they are disconnected when they hit the review stage. Teagle suggested using Scientific Drilling or newsletter more effectively by distributing it to PAGES, GeoPRISMS and InterRidge. Mix offered to pick up the paleo relevant page from Scientific Drilling and make it into a special issue page. Raymo thought this issue should be in the next meeting agenda to think how Scientific Drilling could be the most effective outreach magazine. Jeff Schuffert asked if PAGES publicizes to its community the opportunities to sail on IODP expeditions. Mix replied that he thought if the PAGES office gets that information from IODP, it could be publicized, but not in a systematic way. Schuffert commented that if that could happen in a systemic way, it might also be a very fruitful area of collaboration. Mix noted that some parts of PAGES community in less developed countries are not interested in joining the drilling legs, but finding a way that they benefit from it would be helpful. Raymo asked if we can share the new science plan with the steering committee of PAGES. Mix commented that would be welcomed. Yeats suggested sending a message to tell what people can do with the ocean drilling program. Quinn commented that he trusts Raymo to present the overlapping parts between the programs. Mevel named InterRidge program that should be also taken into account. Raymo noted that this project needs helps from leaders who understand the essential nature of having ocean drilling. Mix offered his support from PAGES side. SASEC Action Item 1101-‐04: Maureen Raymo to attend PAGES Scientific Steering Committee meeting in Bern which takes place in conjuction with INQUA meeting. 7. Program renewal 7.1. IWG+ report Rodey Batiza reported that Mevel, Shibata and himself had a meeting at the last AGU and he would report on the outcomes on Thursday IWG+ meeting. The funding agencies are concentrated mostly on renewal within each country. NSF was spending most of their time to prepare international science board packages because the all of the tasks have to be done between now and when we go to the board in May of 2012. Most of the IWG Plus' work is done. Batiza hoped that IWG+ could strongly endorse the new SAS structure. IWG+ should not discuss over a little details of the new SAS because it still beta version. Yeats asked for the timing of decision in US, Europe and Japan for the new program. Batiza replied that it depends on country. They will keep everybody in IWG Plus informed about where we are. He expected that somewhere in that interim period before May 2012, he would receive an indication from the board whether it's going to be thumbs up or thumbs down. 7.2. Status of new science plan 7.3. Discussion of Science Plan Hans Christian Larsen reported on new science plan. He showed the NSP-‐related activities since the last SASEC meeting. Late July 2010 : Review (pre-‐view) by US NRC. * Early August : SPWC presented draft 2.0 to NRC. * Mid-‐August : Completion of 2 nd draft (2.0). * Late August – late September : Broad Community Review * September : Science writer Ellen Kappel Contracted. * October : SPWC meets in DC. * December : Summary of draft 2.1 presented at AGU Fall 2010 IODP Town Hall Meeting. * February 2011 : Draft 3.0 expected Larsen introduced the four themes of the science plan: CLIMATE AND OCEAN CHANGE -‐ Reading the Past, Informing the Future BIOSPHERE FRONTIERS -‐ "Deep Life" and Environmental Forcing of Evolution EARTH CONNECTIONS -‐ Deep Processes and Their Impact on Earth's Exterior Environment EARTH IN MOTION -‐ Processes and Hazards on Human Time Scales Larsen explained that there was no plan of any change to these themes. Yeats asked why "Deep Life" has "" and if it implies no deep life. Larsen replied that it might be come from some initial draft and stay there without any good reason. Raymo commented that it is probably because nobody really knows what the deep life is down there, but she could not find a good reason to have it in parenthesis or quotes. Larsen replied that it could be taken out. Larsen informed that that the name of the new science plan had not been decided. One idea was just ISP (IODP science plan). He introduced the challenges for each theme. Climate -‐-‐-‐-‐-‐-‐-‐ Challenge 1. How does Earth's climate system respond to elevated levels of atmospheric CO2? Challenge 2. How resilient is the climate system to chemical perturbations to the ocean? ?(to be combined with Challenge 7) Challenge 3. What is the pace and pattern of ice sheet response to a warming climate? Challenge 4. What controls regional changes in precipitation patterns and variability? Biosphere -‐-‐-‐-‐-‐ Challenge 5. What are the origins and functions of communities in the deep biosphere? Challenge 6. What are the limits of life in the deep biosphere? Challenge 7. What are the consequences of acidification and hypoxia for the health of ocean ecosystems? (to be moved to Climate) Challenge 8. How sensitive are ecosystems and human societies to environmental change? Earth Connections -‐-‐-‐-‐-‐-‐-‐ Challenge 9. What is the composition, structure, and physical properties of Earth's upper mantle? Challenge 10. How are mantle-‐derived melts accreted and distributed in oceanic crust? Challenge 11. How do the different styles of oceanic crustal accretion influence global geochemical cycles? Challenge 12. How do subduction zones initiate and arcs develop? Earth in Motion -‐-‐-‐-‐-‐ Challenge 13. What properties and processes govern the flow and storage of carbon in the subseafloor? Challenge 14. How do fluids link subseafloor tectonic, thermal, and biogeochemical processes? Challenge 15. What mechanisms control the occurrence of destructive earthquakes, landslides, and tsunami? -‐-‐-‐-‐-‐ Larsen noted that in particular Chapter 2 and 3 need considerable edit. Kiyoshi Suyehiro asked if the sentence of Challenge6 is correct English. Larsen replied that it is fair to say that the science writer has been so busy getting sort of the fundamental scientific pieces together in a proper way and there is still work to be done with a grammatically unified and correct style. Kato suggested changing "Deep biosphere" to "subseafloor biosphere" Rodey Batiza pointed that there was a rifted margins section before. Larsen replied that no strong support was founded for it. Batiza raised a concern that if IODP wants to have partnerships with industry or if people want to write proposals on it, missing it from ISP is a problem. Larsen repeated there were no strong community proposals or group within the community to pursue it. Raymo noted that it did not have its own challenge at this point, but it could be possible to find places to reside naturally within the document. Teagle commented that there would be many groups who feel they are left out. Larsen commented that there could be a way to highlight it without promising too much, including a sentence like "IODP has done a lot in the past that we can be proud in that area", looking back in the past. Yeats asked Larsen if he meant that 9 and 10 could not be combined just in case we cannot manage them all. Larsen answered that was one reason and another reason is the highlight is about getting to the pristine mantle, not only getting to Moho, and combining the challenges dilutes it. Larsen also pointed that because it is not sure that the program technically can get to the mantle, it's dangerous to mix things. Yeats replied that the bright side of combining them into one challenge is that if we do everything else except getting to the mantle, it means that the goal would be mostly achieved. On other hands, if they are different challenges and getting mantle is not successful, it means that you lose all of the challenge. Teagle commented that mantle drilling is a challenge to itself and there might be different ways of getting samples about mantle rather than just a deep single hole. Larsen replied that either way creates difficulties. Teagle noted that Challenge 10 is principally about the heterogeneity of ocean ridges, which is new and links quite nicely into 11. On the other hand, Challenge 9 is something very specific. Yeats noted that the older version had a topic about oceans floor resources in the "Earth in motion" chapter and he asked why it was gone. Larsen replied that it had not really been in there, it was scattering in some paragraphs in the other chapters. Yeats noted that resource part is very important to attract government funding and engage industry. Mevel agreed with Yeats. Larsen asked where it can fit. Yeats replied the "Earth in Motion" chapter, because it is about human time scale of questions. "Resources" should be at least a short section somewhere. Raymo suggested forming a working group to write as a box or challenge, then SASEC can decide where it can fit in. Larsen and Mevel agreed. Teagle suggested having it in chapter 3 or 4 . Larsen liked the idea of a box. Batiza suggested putting the recource part somewhere at the beginning in the executive summary to show it is "science and service to society" and he explained that three Es, environment, economy, and energy, and sustainability are strong in NSF. Raymo summarized the executive summary should be having broad issues including the resources by referring some specific drilling experiments that can be done to promote resource exploration and understanding. SASEC Action Item 1101-‐05: Damon Teagle, Chris Yeats and Catherine Mevel to write "Resource" focused section for the new science plan. Larsen introduced the outreach chapter and explained that outreach is very important to the new science plan, which will show a big number of IODP published papers and refer education, publication, all data available. Humphris commented that it is a really important part of the new science plan to get scientific ocean drilling out into the citizenry. Yeats agreed with Humphris and commented that one of the great legacies of the program is the fact that we are training the next generation. Its influence is more than publishing in the Science and Nature. Raymo agreed that there has to be education and outreach chapter with explicit discusssion to the general public. Ian Ridley commented that it could be a red flag for NSF if the issue is covering too large area, getting information over the general public, etc. Allan commented outreach must be included. Teagle commented that outreach to the public is not something that ocean drilling has done particularly well over the decades, although drilling projects keep improving. Humphris agreed with Teagle and commented that there needs to be a commitment at international level that education and outreach would be an important part of the new program. David Divins noted that it has to highlight the value and the necessity of outreach. Larsen and de Leeuw agreed. Batiza commented that training of next generation needs to be recognized as a very important product of this whole program. Quinn suggested having it as a separate challenge. Larsen replied it is now a separate chapter. Raymo suggested forming a writing subcommittee for outreach part. SASEC Action Item 1101-‐06: Terry Quinn, Susan Humphris, Robert Gatliff, and David Divins to help draft Education & Outreach chapter. Larsen explained NSP future timeline. February-‐March : Blue-‐ribbon panel review, SASEC review, name of NSP to be decided, Capacity Building/Outreach to be completed in parallel with reviews Mid/late March : Final SASEC and IWG+ comments Late March/early April: Final editorial meeting with IODP-‐MI, SASEC chair, 4 theme leaders. Late April/early May : Print-‐ready version Late May: US NRC review meeting Early June : Print and distribution Teagle raised a concern about when the graphical improvement can occur. Raymo replied she heard that the editor was trying to get the text in shape first, and text is still actually changing quite dramatically, so, the editor does not want to engage graphic designer until text is ready to go. Teagle noted that graphics are still subject to be reviewed. Larsen assured it will be improved. Filippelli commented that he was surprised with the header every other page, he thought it was once gotten rid of. Larsen replied it will go away. Raymo liked to hear about how the new program name came about. Sarah Menassian of NSF explained the background, which there were three workshops, one was in US, one was in Europe, and one in Asia. Also there was an online survey to advertise as widely as possible, then, their input was summarized and came up with some draft names. The key aspect is that acronym does not change. Tom Janecek informed that the name selection was helped by Sarah Saunders who is a marketing expert. Teagle commented that he heard from scientific community that they do not like the name, International Ocean Discovery. Yeats noted that the name without "drilling" sounds like we encapsulate what the program does. Raymo invited panel discussion on the name of science plan that should be a new name to sell it to lead agencies. Mevel suggested "exploring" because IODP is not discovering ocean. Ridley commented that "exploring" remind him of NOAA that has whole bunch of people exploring the earth under the sea, though they do not do much research. Raymo asked Larsen who is the best to craft title. Larsen replied SASEC. Batiza suggested working with Ellen Kappel the science editor. He would send Ellen all of Sara Saunders' ingredients. Raymo suggested creating an action item for it. SASEC Action Item 1101-‐07: Maureen Raymo and Hans Christian Larson to charge Ellen Kappel to come up with few possible names of the new science plan, which will be circulated for consideration to SASEC over email. Humphris asked if it is possible to edit the document into a shorter version less than 50-‐60 pages. Raymo replied that what NSF asked, and it should be done quickly in some way like by cutting the repetition. Larsen replied that he thought the realistic volume to cut would be 10%-‐15%. Humphris asked the time frame for revising it into the shorter version. Larsen asked when the short version will be needed. Humphris replied that it is needed very soon to engage community and to show it their administrators. Mevel agreed with Humphris and commented that new funding agencies need time to decide and they would not go through 80 pages. Larsen replied that 1st April would be a possible day to start working on the shorter version because the long version is supposed to be in review until then. 7.4. Timeline of Science Plan review and Blue Ribbon Comm. Becker noted that there is a request for additional nominations for the Blue Ribbon Committee. Raymo noted that they have not been asked yet. Larsen noted that the required time for Blue Ribbon Committee would be two months, if they need to come up with a lot of consensus, and it would be four weeks, if it is individual comment without consensus. Raymo clarified that high level prestigious scientist will be asked to review the science plan in such short time and provide their output individually. Larsen commented that he didn't know whom he would physically hand in the document yet, although it is aiming for February 1st to have that document. SASEC Action Item 1101-‐08: There is still time for SASEC to nominate candidates for Blue Ribbon Committee. 7.5 National reviews Raymo asked the result from UK survey. Teagle replied that he did not know well about the result. He reported that there was a request from Nature Geoscience for an article about why UK needs to be a member of scientific ocean drilling, and he and Mike Bickle wrote the article and published on January 4th. Humphris reported that US has a small team whose charge is to energize the community in support of a new drilling program. Last year, they accomplished the 8 pages brochure that is now available for everyone. They also wrote an article for Eos that will be published in mid February, which was written based on the premise what science could do and not do if there was no ocean drilling program. They are also currently in the process of trying to develop a PowerPoint presentation that is about the new science plan. They have a letter writing campaign in which they are trying to get major universities to send in letters to NSF in support of the drilling program in terms of how important it is. 5 letters are promised so far. There will be a workshop at the end of March for early career scientists funded by the US Science Support Program. Yeats reported that Jeffery Garrett became the chair of Australian governing council around six months ago and a large part of the reason behind is he has connections in all places of camera and potentially get audience that we wouldn't otherwise have gotten. So, he is a key part of our strategy to refer newer funding our intentions to stay in program. ANZIC is trying to involve GI in the discussions. CEO of GI is much more supportive of already, but it's a just a matter of funding and flexibility. Mevel reported that European review committee has a meeting on February in Paris. The report should be delivered in June of this year. In parallel, a business plan would be sent in September to the funding agency. Shibata reported that Japan was still at the initial stage. Japan formed a committee consisting of 16 scientists. Their first meeting was held last week and four or five more meetings are planned trying to finalize by April or May. Main agenda is the possible options of Chikyu projects and also the science plan. The next level review will be held after the June. Kitazato added the IODP made very good scores and a broader plan would be selected at the end of March. Larsen noted that Teagle's group got very nice comment from Journal Nature. 7.6. Forwarding/Call for proposals for new program (timing/format) Larsen explained that the next deadline will be October 1st and the good time to announce the call for proposals would be late April to early May. Science plan should be available by then, maybe not printed but at least on the web front. 8. Renewal of IODP website Kiyoshi Suyehiro introduced the new IODP website. Raymo pointed out the broken links on the web page and the website with broken links is the worst of the worst. That should be fixed immediately. She also pointed that loading a lot takes too long. Larsen explained the background of the site design change, which started from SASEC request and now it has a separate front page with links to the original front page instead of restructuring the entire webpage. He showed that the options are to go back to the old front page, or to stay with the new one and work on the broken links in parallel. Suyehiro welcomed complains and positive comments. Filippelli commented that the front webpage should never take time to load, not even half a second. The reason why it takes time is that it needs to build the front page by searching and loading a bunch of active content. Front pages are never supposed to be built but they are supposed to be there immediately. Raymo pointed out another problem that she cannot back to the first page with the back button. Yeats suggested a new front page design because the blue writing on the black background is invisible to him. de Leeuw commented that it is easy to understand what kind of program it is, but it should be more clearer as you go to the second layer and third layer. Yeats commented there is no obvious prompt to make the globe spin around and have a look. Humphris pointed that the front page has the funny little symbols that say expedition, but you don't know what the expedition is about. There is no picture of a drilling ship. Raymo asked if this was done by a contracted service with professional web designers and she commented that people do not like the rotating globe, it takes too long to load. Humphris commented the entire site seems to be flash based, so it is not even loading at all and she added that it is a very unprofessional looking website. Raymo commented that maybe there was no high enough level expert. Dismas Coelho commented that the page should have some gates to specific target like students, academia, and sponsors, then people simply go straight to what they want. Quinn pointed out that he heard earlier that there were some carry over funds, so it could be used to hire a webmaster. Suyehiro commented that the carry-‐forward request actually includes revamping the whole website. Raymo asked if it was a company who did the front page. Suyehiro answered yes. Filippelli advised not hire them again. Raymo asked if MI can ask them to fix the page within 48 hours. Suyehiro replied that he couldn't understand how it was processed between Tokyo office and an American company. But he would be able to work on it. 9. Reports of committee building model for new program SAS structure 9.1. Discussion of new SAS Terms of Reference Kier Becker reported on new program SAS structure. He introduced the original ideas for new SAS, which is simpler structure, more effort being placed into proposals development and nurturing the program in the workshops and potential SAS working groups, earlier scoping by the IOs, produce fewer but more competitive proposals in shorter residence time in the proposal evaluation process. The subcommittee also suggested that single JR and MSP proposals can be evaluated using a common process, but planning for riser projects and complicated long-‐term non-‐riser projects may need a separate pathway. He introduced an older version of the new SAS structure and how it changed to the current version with PEP and SIPCom. He explained that there is still room to change the name of the panel, he asked members idea on new name if they have. The current version of the term of reference was considered as a beta version and the new SAS will revise by themselves. Becker introduced ToRs for service panels. EPSP is much like the current EPSP. Site Characterization Panel looks at how well the site survey meets the science objectives and justifies the science objectives of the proposal. Technology panel has a similar mandate of Scientific Technology Panel. There is no EDP. And it would be the most controversial aspect. Teagle asked why no Engineering Development Panel in the new structure. Becker replied that the committee found that the IODP had been not much investing to engineering development, which leads to the question, "why do we need a independent engineering panel if we are not doing that much in engineering development?". Teagle noted that there is a desperate need for engineering development. Becker replied yes and noted that it is also true that IODP does not much funding to engineering development. Kenji Kato commented that STP people want to keep their name STP, not TP. Becker commented that the reason for changing the name to technology panel was that if there will be engineering development issues and EDP does not exist in the SAS, a possibility would be to have a subgroup in the technology panel. However, as technology panel's mandate has become much more like the STP, giving them back their name would be an option. Becker explained that the first meeting of the proposal evaluation panel could occur this coming fall. The new panel will review the new proposals and those that will be forwarded from the current IODP. Proposal development workshops and working groups could be this year as well. The first meeting of the Science Implementation Policy Committee could be late 2011 or early 2012. Becker questioned if SASEC would phase out completely or phase out more slowly and continue to exist through 2013, because SASEC will be responsible for approving annual program plans for the current IODP, or responsible for transfer to SIPCom. Raymo asked if SASEC should just approve the current ToRs and she pointed that it is important to recognize that maybe one year after each panel will be impelled to do a self evaluation. Becker expected that there would be a review almost immediately because it happened when ODP moved to IODP. Raymo questioned how the panel members would be chosen. Becker showed what happens in the transition from ODP to IODP, which the nominations were coordinated in four-‐five months and the IWG wrote a request to JOIDES and OD-‐21 to make nominations for a new interim SAS that became the design for the SAS in IODP. Only four months later IWG approval came out and they started meeting right away. Suyehiro asked the new SAS system is within the current program or next program. Mevel replied that it has to be part of the current IODP. Larsen commented that new SAS will start October 1st and the same SAS will continue into the new program. The new SIPCom will have its first meeting in 2012. There is always only one SAS and that is the new SAS, no transition time. Larsen suggested approving everything because staffing needs to start very quickly. CMO has to contact all the national office and need to get input to the new population and the membership fee. Raymo asked if SASEC needs to think about National representation balances. Suyehiro noted that if the new SAS is within the current program, the scheme is bound by the MoU. Allan commented that IODP-‐MI has a responsibility under the contract to facilitate and support the SAS, and a part of that is overseeing population according to memorandum, guidelines and understandings as well as the funding. Raymo asked for member's thought on chairmanship. Currently chair alternates between Japan and the US. She asked who decides the chairmanships of SIPcom. Kenji Kato commented that comparing the former transition from ODP to IODP is not meaningful because IODP and new IODP have similar structure, not like the previous transition. Yearts commented that the role of SASEC is to make a recommendation regarding the structure in the terms of reference of the SAS. It is IWG+ who decides how we select the chairs. Schuffert noted that SIPCom chair will be approved by the CMO Board of Governors and PEP chair will be approved by SIPCom. He questioned, since the PEP will meet before the SIPCom, how the SIPCom is going to approve the PEP chair. Batiza commented that the term of reference mentions that the chair of SIPCom is chosen by the IODP-‐MI Board of Governors, which means PGB. Humphris commented that the SAS is the responsibility of IODP-‐MI, which means the Board of Governors should play a role in determining who was part of that structure. Allan commented that the chairing job is delegated to IODP-‐MI and whether they consult with BoG or not, it's a box. Larsen commented that IODP-‐MI should do it for SIPCom but he was not sure if it also for PEP. He explained that IODP-‐MI had been strongly encouraged by the Triennial Reviewers and all other reviews to have open competition and nominations, collect applications for the PEP chair. There will be a subcommittee involving IODP-‐MI that will determine who is the best candidate. Raymo suggested that Hans Christians write an advertisement and circulate it to SASEC and IWG+, then it goes to public. She expected the requirement being not about national or study field, but just excellence of science. Larsen noted that the SIPCom candidates need to be from an IODP member country. Yeats suggested Filippelli for an interim PEP chair. Raymo replied that it is not bad idea to have an interim PEP chair by the time an obvious successor would come out from the PEP committees. Teagle agreed on having an interim chair so that they maintain that corporate memory. Raymo noted that the PEP committees are very complex and large committee with an incredibly difficult mandate, so the chair must be a master of all the science. She assumed that PEP will have an interim PEP chair that has a lot of corporate memory and experience. Mevel commented that a program with the same chair and the same proposals from the old program is too far from "new" program. de Leeuw commented this is very confusing discussion because he thought that approval or non-‐approval of the terms of references was the point to discuss, but now how to fill in the terms of references seems the point to discuss. Raymo replied that she would like to decide how SASEC wants it to happen, that has to circle back and be written into the terms of reference. Quinn suggested making a general statement like "SASEC supports these terms of reference", then go into. Yearts commented that SASEC have endorsed these twice already basically, and that is the reason why SASEC delves down into the details. Quinn understood Yeats's point, but he thought it was still needed because of new SASEC members. Yeats commented SASEC should have agreement on the structure and what the panels will be like, and staffing needs to be sorted out at IWG+ in the last two days of this week. Batiza agreed with Yeats. SASEC could approve the terms of reference and just give an action item to CMO to come up with some recommendation on how to select chairs and how to do with the other things. Raymo agreed Batiza. Schuffert raised a concern about the potential lack of flexibility in membership and definition of PEP. He pointed that the current ToRs was so rigid that the national programs would get locked in having to supply somebody with the very specific expertise over and over again. Larsen noted that national balance is open between sub-‐panels. Hiroshi Kawamura commented that vice chair is not mentioned in the current ToRs. Becker replied that the reason was that vice chair is just a chair designate for all this panel in the current system. The subcommittee thought such system would not be needed. SASEC Motion 1101-‐10: SASEC approves in principle the draft Terms of Reference as prepared by the SASEC SAS Terms of Reference subcommittee and forwards them to the IWG+. Becker moved, de Leeuw seconded; 9 in favor (Arai, Becker, de Leeuw, Humphris Kato, Kitazato, Takahashi, Teagle ,Raymo); 2 non-‐voting (Filippelli, Suyehiro) 9.2. Position of Technology Development in new SAS Raymo asked to discuss about the technology development issue. Allan disagreed on the current concept that technology panel reports to the IODP-‐MI, not to IOs. He also suggested an engineering subgroup within the technology panel. Raymo asked if the letter from the engineering panel states strongly that they should stay. Allan replied that he did not think it is possible for them to stay. But there still need for advice within the program for engineering. He also questioned, if it is about a delivery device development, how it can be separated from science. He argued that engineering development and technology development are too interrelated to be seperated. Yamao commented that IOs should discuss with the oil industries which possess the most developed technology. Mevel commented that they spent a lot of time developing roadmap which was a wish list covering everything which was not realistic. Allan commented there need to be an entity that works for the IOs directly. Raymo asked if IOs want their own separate group. Allan replied that there is a need for a group that is able to give advice to the USIO from outside but also need a group within the SAS. Raymo commented that independent advisory committee could come to SAS and keep SAS updated on their activities. Larsen commented that IODP-‐MI likes to have a taskforce involving the IOs, industry representation and other program science community, which would integrate the knowledge. Raymo asked if it is a taskforce within the SAS. Larsen replied that it needs OTF-‐like task force, i.e. a hybrid entity working closely with SAS, IO and CMO. Teagle commented that EDP did what they were supposed to do. It is about money versus return. He suggested pre-‐mortem taskforce involving IOs not like current post-‐mortem review. Divins agreed with Teagle. Quinn concerned the case that proponents have little knowledge of the technology. Divins commented that that kind of advice to the proponent should come from a SAS panel not from the operator. Tom Janecek commented that operator with a task force is better because there are operational issues related specifically to day-‐to-‐day drilling that needs input from knowledgeable people. Maintenance and upgrades are clearly issues related to their platform, and scoping of proposals that are going to be also related to specific platforms. These issues are very IO-‐centric, especially if you don't have and agree with funds for centralize engineering programs. That's why IO's independent advisory taskforce works better. The other reason is that the most operational issues are funded directly by each funding agency for each platform. With this funding stream, it is responsible to have IO as the center of the taskforce. Raymo suggested making a statement that TP should also advice on technical feasibility and make sure that the initial panel has technology development experts or experts in it. One of their roles will be the liaison to the operators who can exploit your own models of getting advice outside the SAS structure. Eguchi commented that the statement sounds about EDP. Allan commented that it should be simple and flexible. The responsibility for scoping of potential expeditions should lie with the operator. Larsen asked if the CMO has responsibility in overseeing not physically but intellectually engineering development. If IWG+ wants CMO has it, CMO need the kind of taskforce and IOs can have whatever they want. Teagle commented that it seems clear that SAS does not need an engineering panel and the individual expedition advices are operator-‐based issues. Allan commented that there was a real lesson that IODP model was originally built on one platform, but now IODP has different platforms, resulting in a lot of things that cannot be integrated, like EDP that made recommendations to each platform. He stressed that it is necessary to take those tasks down to the IO level. Teagle commented that SAS panel needs the liaisons from the IOs for proposal evaluation to be knowledgeable. Raymo commented that Larsen stated clearly what kind of guidance is needed from IWG+. She suggested starting on that part next day and she adjourned day1. Wednesday 19 January 2011 09:00-‐17:15 Raymo asked the panels for their thoughts on technology development, engineering development, and how it needs to be done within the new program. Becker suggested setting up a subcommittee and getting some guidance from IWG Plus in a next couple of days. Allan commented USIO will have an engineering taskforce and independently seek its own engineering device. Larsen commented that IOs should provide advice to the SAS at the beginning of proposal review. Yeats commented that it is clear that engineering development belongs to outside of SAS and SASEC need to talk about SAS, so engineering is not an issue. Raymo said that IODP-‐MI would disagree. Larsen replied that an engineering panel needs to be within the program but not necessarily within the SAS. Humphris liked to have a subcommittee because there were very different opinions from different groups with different interests on this topic and it seems hard to reach a consensus. Raymo replied that she would agree with Humphris if IOs, LAs, and the CMO would agree on it. de Leeuw agreed with Humphris, and he suggested inviting the present chair or vice chair of EDP to that subcommittee. Larsen doubted de Leeuw's idea because the current EDP was very much constrained by the current situation. He instead proposed to send someone from the subgroup to the EDP meeting to get their input. Raymo listed potential members of the subcommittee, Larsen, Allan, Becker. Filippelli suggested sending someone in Europe because EDP meeting will be in Grenoble. Shibata commented Mext can send one person. Teagle would not be able to attend the meeting, but he would be in the subcommittee. Filippelli suggested Gretchen Früh-‐Green who will be going to be part of the EDP meeting anyway. Janecek noted that IWG Plus has already said that Engineering panel will be a second-‐tier activity, which was decided based on the lessons learned form the past. He suggested one-‐time committee to look at 3-‐5 years engineering development, and bring them back in 3-‐5 years to look it again. Mevel noted that engineering development is not the right word because IODP need engineering expertise from outside industry, not trying to develop. Raymo noted that it does not seem possible to decide whether there should be a new EDP right now. Allan commented that it is important to understand that we may not have a solution and the discussion may not lead to consensus. Raymo suggested having half-‐day agenda item at the final SESAC meeting where people come prepared. Humphris disagreed with Raymo, and noted that SASEC needs to come up with a position on engineering development. She preferred forming a subcommittee including some SASEC members, one of them would be a Japanese member. Yeats agreed with Humphris, and commented that now SASEC knew what IOs want to see and what MI wants to see. SASEC can put them on the table and make a decision, and whether that position is fundable or not is another issue. Kato suggested forming rather small subcommittee. Raymo suggested a model with 3-‐4 SASEC members who go out to the stakeholders and get their opinions and advice, and formulate their own opinion of what is the best. SASEC Consensus 1101-‐13: SASEC forms a subcommittee to assess structural models in the post-‐2013 IODP for (a) advising on engineering development and industry-‐IODP technology transfer, and (b) ensuring adequate long-‐term engineering advice to the new SAS. The subcommittee should consult with the IODP agencies, CMO, and IO's and provide its report at the June 2011 SASEC meeting. Subcommittee members include Keir Becker, Shoji Arai, Damon Teagle, and Susan Humphris. Raymo asked if the panels are happy with the future revision on ToRs, which SASEC would not be involved. No objection was raised. Teagle noted that SIPCom will write their own. Larsen commented that CMO has responsibility for the whole SAS and it approves ToRs, and asked SASEC to let him know if they want to change something. 9.3. Staffing of new SAS Shingo Shibata asked about the perspective of SIPCom chairmanship. He suggested that the current rotation system should be maintained to secure domestic funding and understanding among Japanese taxpayers. Larsen commented that he couldn't understand how securing funding could be connected to the rotation between LAs as CMO pays for travel and salary for SIPCom. Raymo spoke for Shibata that it was about funding for the whole program. She informed that all discussion she had heard on SIPCom chairmanship concluded the rotation constraint should go away. However, now she heard it opposite. She invited the members to the discussion. Kenji Kato agreed with Shibata and he also suggested discussing chairs of SIPcom and PEP separately. Teagle did not agree with the rotation system. He suggested selecting the best person doing the job without any national or even expertise bias. Kato commented that "select the best person" rule would be good for PEP chair but not for SIPcom chair, because it could ruin its internationalism. He added that Japanese community wants to keep the current rotation system for SIPCom. Jan de Leeuw supported Teagle's argument. He pointed that the panel was preparing a new phase, meaning there was room to change the rules. As a scientist to deal with scientific panel, calling for the best person is a common understanding. Kozo Takahashi commented that he would agree with the choosing the best person, however, he does not agree with the same way to do it for SIPCom. Japanese funding agency has the need to secure the rotational scheme. There is a significant difference in the cultures between Asian culture versus US or European. Unless the rotational scheme stays in SIPCom, it would be difficult to get supports from the scientific community, especially from Japan. Kitazato commented that PEP is surely scientific but SIPCom is not. Budget contribution and how often which country keeps the chairing positions mean to the IODP system, so the rotation between LAs is very important factor for Japanese people to decide if the IODP is a good program to them. Suyehiro suggested a compromised plan that the chairs are selected by an international nomination committee, not by their home offices. Raymo and de Leeuw agreed with Suyehiro. Raymo concerned about SIPcom's role, if it is directly involved in proposal's science or just like the current SASEC, it steps back from the proposal's science. Humphris noted that, accorging to the ToRs, it should be different from the current SASEC. Yeats commented that the TOR is saying that SIPCom basically generates the drilling plan. Becker informed that the Triennium Review committee and SASEC subcommittee ensures that SIPCom does not engage in re-‐review of individual proposals. OTF puts together potential packages, and then SIPCom takes a look at the big package on which will achieve the high-‐priority objectives for the program. SIPcom doesn not go through "this proposal is better than that proposal". Humphris explained that, according to the current the ToR, SIPCom receives the high priority group but then at the same time OTF provides scheduling options. So, PEP inputs SIPcom with a top ranked group and OTF inputs how they could potentially do it. Maureen Raymo clarified that the point was if SIPcom needs to understand the science of the selected proposals. Yeats replied that it has to. SIPCom would take a more whole of program view and more long-‐term strategic view towards the science plan goals. SIPcom has to understand the proposal's science to understand how they achieve the science plan goals. Jan de Leeuw agreed with Yeats. SIPCom is not only for annual plan but also for long range science operation plans and assessment of success in achieving its scientific objectives. In that sense, it is scientific. Quinn commented that the members of SIPCom would come from PEP, just like some people were elevated from SPC to SASEC. In that case, there is carryover knowledge. Proposals in OTF should be already the very best proposals and SIPcom would have no need to see into each proposal. Kenji Kato switched back to the SIPcom chair nomination and asked Suyehiro how the international nomination could be done. Suyehiro replied that he did not like to be dictated here, but it should be easily done. Yeats commented that Kato's question was very fundamental. Suyehiro noted that the question was still open in the point whether only Japanese and US scientists or whether the entire scientific community can be considered as the chair, but the message from the former discussion was that it should be between only Japanese and US. Raymo pointed that the SIPcom would be more scientific than the current SASEC. She questioned if SIPCom's scientific level has any impact onto Japanese stance that they still think that it should rotate between the two LAs because it has a perceived political impact that is important back with their home. Jeff Schuffert commented that the P of SIPcom is Policy, so it would be reasonable that politics might come into play. Filippelli noted that there does not seem to be as a strong agreement on how much science SIPCom will be engaged with. He asked Becker for explanation. Becker answered that SIPcom discussion should not be "this proposal is better than one so we have to choose them." But they are looking at the package of potential schedule. Raymo questioned how the interaction of OTF and SIPCom is happening. Humphris answered that OTF considers the long-‐range and overall programmatic priorities, while SIPcom selects which one is the best. Raymo replied that SIPcom has to know the science to say that. Kato commented that, in order to simplify the system, SIPCom needs not to touch on science directly if everything is okay. Raymo repeated that SIPcom needs to know the science otherwise it cannot evaluate the ship tracks forwarded from OTF. Humphris replied that SIPcom also has input from PEP, which could cover that part. Raymo replied that, in that case, SIPcom need much more scientific input. Raymo noted that SASEC now found that SIPcom is covering both of science and policy. She questions again how this impact on other issues. Yeats suggested two year term of two Japanese chairs, two US chairs, and one other, as a compromise, thinking that Japanese members are quite adamant that they want this to be rotational. Raymo agreed on the idea. Teagle commented he would agree on it if there would be an international selection. Shibata asked Suyehiro what the international actually means. Suyehiro replied it means an agreement by an international committee. Shibata asked how it could be done actually and asked if he had a specific idea. Suyehiro asked if Shibata thought it is impossible. Jan de Leeuw asked Suyehiro if his international selection means US and Japanese and then go for the international inspection procedure, or it is completely open. Suyehiro answered that it is US and Japan. Quinn agreed with Yeats. He commented that the Yeats' idea has the spirit of the international collaborative research organization and some other criteria that can be used in how the chairs could be selected. The 2:2:1 notion is the right track and it will work. Filippelli also supported 2:2:1 concept, and he wondered if language could be an issue for the first SIPCom chair. Raymo pointed that is a practical issue. Takahashi noted that the first SIPCom chair would be within this fiscal year of FY12 and 13, which is the end of the present 10-‐year period. So it has to be within the rule of MOU between the two agencies. Mevel pointed that the last SASEC decided to modify the rule and consider the possibility of having somebody not from the two lead agencies. Raymo replied that she thought that was the spirit of the discussions of the terms of reference of the new SAS and that was the message form IWG+. Rodey Batiza commented that the concept of new SAS was to establish the future program that is better, faster, and cheaper than the old system. MOU was already violated in many areas. It should be more flexible. He thought IODP was not bound by the MOUs anymore. Shibata agreed with Batiza, and he commented that there were many violations for MOU, it was because the current MOU is too inflexible. In the future program, it is needed to be more flexible or simple. Shinichi Kuramoto commented that LA has the ultimate responsibility to implement the new program and oversee this program, based on the IWG points of agreement. He insisted that LA has the responsibility to find out the best person to be a SIPCom chair. That could be one of the ways to succeed in smoothly doing this program. Allan commented that LAs needed to talk more on this problem. Larsen commented that the chair should not cast a designing role. The chair is to facilitate the best possible discussion and make sure that everyone is heard at the table. He thought it could not be so important at these national standpoint, though he did understand some politics involved. ASEC consensus 1101-‐11: The current IODP Memorandum specifies that the SAS Executive Authority Chair should initially rotate between US and Japan. SASEC suggests to IWG+ that the first SIPCOM chair during the FY2012-‐2013 transitional period should be from long-‐term contributing IODP member ECORD. SASEC Consensus 1101-‐12: SASEC recommends that the two year term of Chairperson of SIPCOM be rotated, with the position to be held twice by Japanese scientists, twice by US scientists and once opened to all members during the ten year duration of the new program (2014-‐2023). Additionally, SASEC considers that each Chair should be selected by an international panel, in the spirit of the program, rather than nominated by National program offices. 9.5. Proposal categories and guidelines Hiroshi Kawamura explained that the new proposal guideline has to be public very soon and the current version contains new proposal categories but other things are basically the same as the old guidelines. Humphris asked when it should be published. Larsen replied May. Humphris commented that the current version was too complicated for new proponents to know what to do. There must be simpler way to say the same thing with a table or flow diagram for non-‐drilling people. Yeats noticed that the required page length was changed and asked if this change was an arbitrary decision or a rationale. Kawamura replied that this was just a suggestion. Mevel pointed that it still mentioned SOCS and POCS. Kawamura replied because it was still for the current IODP. Mevel and Yeats replied no. Mevel suggested no mentioning it because it will be abolished. de Leeuw commented that it also included extra information like response letters, project of drilling science, nation, etc, which are not about proposal. This could be very confusing for newcomers. Humphris commented that it should not encourage people to submit a multiphase drilling project, as a much bigger project, because we do not want a workshop to create 10 proposals that are all addressing the same goals of the project. It should be realized with integrated series of drilling legs. Raymo suggested convening a subcommittee of SASEC to work with IODP-‐MI on editing and drafting the very best proposal guidelines. And they need to make it publishable by May. Yeats suggested postponing the call for proposals until the science plan will be there. Launching the call for proposals and science plan at the same time would be a good idea. Mevel agreed with Yeats. Teagle commented that science plan is not supposed to be a rulebook. It is a general state of the art things that we would like to achieve. Filippelli agreed to form a subcommittee. Raymo showed two options, the subcommittee will report to the next SASEC meeting and get approve, or they do it over email. The former requires a delay in publication till late June and the latter could have difficulty in time and smooth communication. Larsen noted that the guideline should be on web no later than mid to late May. It should get done much before the next SASEC meeting. He explained Agenda for #11 SASEC 18-19 January 2011 that the two essential things to be considered are the complementary project proposals and multiphase drilling project. Filippelli recommended having SSEP co-‐chairs in the subcommittee. Raymo stated that the guideline work happens between now and May. The final version of this proposal submission guideline will be circulated to the full SASEC for approval of meeting. SASEC Consensus 1101-‐15: SASEC nominates Gabe Filippelli (Chair), Jan De Leeuw, Chris Yeats and one of SSEP co-‐chairs as members of a subcommittee to work with IODP-‐MI to develop proposal guidelines prior to the next Call for Proposal. de Leeuw questioned if ToR subcommittee came to the end. Raymo replied that it is disbanded. SASEC Consensus 1101-‐14: SASEC thanks Keir Becker, Jan Willem de Leeuw, Gabe Filippelli, and Shoji Arai for their effective efforts in crafting the new SAS Terms of Reference that lays a strong foundation for the SAS structure within the new International Ocean Discovery Program. This subcommittee is now officially disbanded. 10. Workshops in FY2011-‐12: Budget and Process Raymo and Eguchi left the room due to COIs. Arai took over chairmanship. Hans Christian Larsen reported on the summary of cost and timing of four workshop proposals that were submitted for 1 December deadline. -‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐ Title: Indian Ocean Drilling Lead proponent: Pandey Country: India Proposed date: Oct-‐Nov. 2011 Requested fund: $35000 Title: Continental transform boundaries: Tectonic evolution and Geohazards Lead proponent: McHugh Country: USA Proposed date: 2011 Requested fund: $26490 Title: Workshop to develop a conceptual framework for ocean drilling to unlock thesecrets of slow slip events Lead proponent: Wallace Country: New Zealand Proposed date: June 2011 Requested fund: $41100 Title: Gulf of Lion Drilling Lead proponent: Rabineau Country: France Proposed date: June 2011 Requested fund: $59000 -‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐-‐ Larsen requested SASEC to consider their potential to turn out a good proposal and if they should be funded at the level required. SASEC can grant, reject, and ask to revise. Suyehiro commented that he had some experience with ICDP's workshop in which the proposals were examined with some criteria like if the key scientists are from international community. Quinn reported on the Indian Ocean Drilling proposal. They seek $35,000 from IODP-‐MI. The total cost of their proposed workshop is $110,000. They plan on their expected financial support is $40,000 from the Indian host and also $35,000 from NSEC and other Australian agencies. The strength of this workshop proposal is that there is already a large number of proposals in the system. There is 15 or so with an opportunity to synthesize, prioritize, and build international alliances. It is more than a decade since IODP drilling has been Indian Ocean. India, the host country, has recently joined IODP and they are going to host a meeting in Goa. They have a strong international steering committee. Their science is along with new science plan in terms of climate variability, monsoon histories, plate tectonics, volcanism, and deep biosphere. So, given the level of matching, this seems like fairly reasonable. It is a reasonable investment with a potential for large return in terms of science. Teagle reported on the proposal "Continental transform boundaries: Tectonic evolution and Geohazards". This is a proposal for a workshop to look at the North Anatolian Fault where is a highly active region with a series of very large earthquakes, greater than magnitude 7+. They want to develop a drilling proposal to investigate these basins in the Sea of Marmara to look at mountain records of earth-‐like activity. They are requesting $26,000. They would like a small focused workshop for about 20 scientists, and it will be held either until spring or like summer at Istanbul Technical University and one of the co-‐conveners is a Turkish scientist. It follows on from another workshop hosted by ESF in Bremen late last year whose acronym was RAMBO. One of the scientific goals of this proposal is to look at the evolution of the fault zone that moves across the basins. They want to develop a paleoseismic record over a 10,000-‐year timeframe. The workshop goals would be to develop a draft drilling proposal better to define the objectives. They already have quite a large amount of geophysical science survey data. The main justification of having this second workshop was to invite US and other international colleagues, though it is not clear why they could not have been done with this previous workshop. Teagle agreed that this proposal deals with a topical fields of geo-‐hazard, which are under-‐represented so far in what is being done in IODP. He thought that it was a fairly modest amount of money and IODP-‐MI could grant it. Larsen asked when the previous workshop. Teagle replied October last year. Suyehiro asked if the proposal refer to ICDP. Azuma replied this proposal links to ICDP proposal. Yeats commented this is extremely narrowly focused, while the Indian Ocean was once broadly focused. Yeats pointed that Teagle said this is a small amount of money but they were asking for $26,500 for 20 people, while the Indian proposal is asking for $35,000 for tens of hundred people. This proposal has no matching funds. Teagle replied that they are going to other 20 people and they have matching funds from the local host as well. Yeats commented that it isn't in the same league as the other proposal, in terms of the return on investment, because one proposal tries to kick off some momentum in an ocean basin while the other proposal wants to drill a single target. Schuffert noted that it would not be able to get funded if they want the workshop in April-‐May timeframe. Teagle replied that they made some comment about they could set it in September. Larsen commented that the proponents need to be aware that non-‐member country members cannot get funded. He also commented that the question is if SASEC accepts workshops which goal is to build a pre-‐proposal, meaning no related proposal in the system. Humphris reported on "Workshop to develop a conceptual framework for ocean drilling to unlock thesecrets of slow slip events". This is a proposal from an international group of scientist basically to start thinking about how to investigate slow slip events through use of scientific ocean drilling. Slow slip events are a class of shifts that is found in subduction zones that is different from the strike slip that is being investigated mostly at Nankai. And the research area has come very much to the fore in recent years. This workshop is to discuss how to use drilling to look at not only slow strip slip occurrences but also what are the causes of those slow slip events, which are probably related to things like high fluid crushes and changes and stress along those subduction zones. There is already their pre-‐proposal in the system and they want to start thinking about it in the workshop. The target area gets slow slip events every two years offshore of the North Island of New Zealand. They are also interested in some other areas like Japan and also Costa Rica where there was obviously the crisp drilling. They are asking for $41,000 that would allow them to bring in 10 key scientists from other countries and to support some minor aspects of the meeting. Humphris agreed that this proposal was very good, looking at the big picture and also key locations where you can investigate these events. They have good international representation. Hiroshi Kawamura noted that their pre-‐proposal was considered to have high potential by SSEP. Schuffert informed that their funding request to USSAP were currently under review, and he expected a decision early next month at the USSAP meeting. The amount of their request was $45,000 -‐ $50,000. Humphris added that they were also requesting $25,000 from New Zealand, which makes the whole proposal about $100,000. Quinn noted that the recent GeoPRISMS meeting was focused on New Zealand slow slip sequence. So there are related program to emphasizing this workshop. Suyehiro commented that the understanding of slow earthquakes is ongoing in different countries. Each country is becoming very competitive trying to be there first inviting exciting papers. So this is a very good opportunity for these popular scientists to get together and try to find the best place to understand slow slip events. de Leeuw reported on the workshop proposal, "Gulf of Lion Drilling". This workshop proposal is different from the other ones in the sense of no active drilling proposal in the system and that it cannot be done without the Chikyu. Their previous drilling proposals have been deactivated by SSEP. If the Chikyu can come to the Mediterranean, it should be very well prepared. The ultimate goal of the project is to drill a deep hole on a unique and highly appropriate location to contribute our knowledge in many different fields. The quite unique point in this proposal is to try to cover climate change, co-‐evolution of life and planet, deep earth process, extreme events, and natural resources and geo-‐hazard, which seem to correspond with the themes of new science planning at this stage. So, it is highly multidisciplinary and therefore also highly complex. One of the questions is whether it is really feasible to do all these different things with one drill activity. It has been a successful to have the first ECORD cosponsored workshop in France last year. They are planning a two-‐day meeting in Tokyo in June 2011 where about 40 scientists including a couple of people from oil industry representatives to develop a detailed proposal. The total cost is estimated $75,000 and request to IDOP-‐MI is 59,000. It could worth investing in terms of a chance to pull Chikyu out of Japanese water, although there could be room for improvement. Azuma commented Chikyu could come to Mediterranean if it is a good proposal. Teagle commented that their proposal was very poorly received by the SSEP 5 years ago. Hiroshi Kawamura informed that they had two proposals and both were deactivated. Mevel commented that she was attending their previous workshop in France. She thought that the reasons why they got deactivated was that it was delivered by the young scientists who knew little about IODP. But now they are assembling a group of experienced scientists and they have done very well. She believed that the next workshop would really help them to write a good proposal, but it takes time because it is a big project. Suyehiro suggested that SASEC simply approves these four proposals, and let CMO decide on budget cut to fit in the amount we have. Humphris replied SASEC had not reached an agreement to approve all the four. Quinn suggested discussing on each proposal. He was favor of Indian proposal because a lot of matching funding, no drilling in the past decade there, hosted by India who is new in the program and a very strong international steering committee. Humphris agreed with Quinn. No objection is raised. de Leeuw indicated "Gulf of Lion" proposal and suggested advising them to focus on the science and see what the additional value of this multi-‐disciplinary approach. Quinn added that SASEC would also ask them to report on the previous workshop to organize themselves, then SASEC could pick it up again in the June meeting. Humphris agreed with de Leeuw and Quinn, and commented that they just had one workshop in October and it cost 70,000 euros and we had not seen the results. SASEC needs to seek some evidence that they are actually focusing in and coming up with something viable. Teagle commented that they need to refine what science is coming out of a 7.5 km core. Suyehiro agreed with Teagle. de Leeuw agree on the idea that SASEC keeps it in the hold waiting for a report on previous workshop, and ask them to submit a new proposal, despite the fact that it will not help to meet the proposal deadline in October. Mevel commented that the report had been already existed and she would send the SASEC members the link to it. Humphris made a clarification that SASEC does not fund it at this time, but welcome a new proposal that is built on the results of the first workshop. Larsen added that they should show the rationale for having one more very broad workshop. Teagle indicated the goohazard proposal and asked if SASEC could support them to write a full proposal. Humphris questioned if IODP spends money on having them write a full proposal when they have not even done the pre-‐proposal step. Mevel commented that it could completely confuse community if you encourage people to have workshop to develop a proposal before you say a pre-‐proposal is needed to exist in the system beforehand. Humphris suggested not funding it at this time and encouraging them to write a pre-‐proposal and see how it fares. Teagle pointed that she was treating this proposals slightly harsher than the others. He suggested keeping balance. Yeats commented that it explored questions about important seismic situation and it could turn out what the drilling could do there. Mevel commented that she was trying to encourage people to develop workshops, but now SASEC were trying to shy away and just wait to see. Humphris replied that IODP cannot be funding everything and the possible filter is if they have a pre-‐proposal in the system, then we fund them to develop a full-‐proposal. Mevel noted that it should be explicit. Humphris agreed on that point. Filippelli commented that the "pre-‐proposal needs to be in the system before workshop" rule should be mentioned in the new proposal guideline for future proposals, but SASEC could support the proposal already submitted. Teagle summarized that SASEC was positive for the Indian Ocean proposal, there was recommendation to have resubmission for the Gulf of Lion proposal, and SASEC did not quite come to agreement on the Sea of Marmara proposal. Yeats noted that the call for workshop proposals did not say that pre-‐proposal should come to first, then you can move on to a workshop. The question is "do we want to tell the proponents in good faith have replied to the call to go back and do a pre-‐proposal?". Especially in this transition period, do we want to penalize them for their proposal that is following our call? Suyehiro suggested that SASEC considers this proposal as pre-‐proposal level, because the advertisement did not say the need of pre-‐proposal and we should be faithful and fair. Yeats expressed his favor of funding this proposal. SASEC Consensus 1101-‐16: SASEC has reviewed four workshop proposals (No. 5, Indian Ocean Drilling, No. 3, Continental Transform Boundaries, No. 4, Slow Slip Events, and No. 6, Gulf of Lion Drilling) and recommends funding for the first three and resubmission of a revised proposal based on the recently held workshop of the Gulf of Lion community. SASEC strongly suggests urgent development of a guideline for workshop proposals. 11. Scoping of mantle drilling in new program Raymo and Eguchi were back in the room. Kiyoshi Suyehiro repoted on the feasibility study of the mantle drilling in new program. IODP-‐MI was charged of the project by the BoG. The project goal is to characterize in situ section of oceanic crust and upper mantle, which was reaffirmed at the INVEST meeting. Three candidate sites have been identified by the international science community at the Kanasawa workshop and then Washington DC workshop as well. The Mohole project is intended to start by 2017. The deadline for completion of the feasibility study is set to April 30, 2011. The first question to be answered is if the Mohole drilling project is feasible to start by 2017. This is not a commitment but just a question that feasibility study would answer. If so, the next questions are what new technologies are needed for it, how sensitive its success and costs are to the range of scientific experiments at each candidate sites and what the most efficient platform for establishing scientific success. These are initial feasibility studies to provide the estimated cost of the project. Two months is necessary to conduct this study. Yoshi Kawamura is in charged of these efforts. Teagle commented that there are some important parameters, like temperature. Becker commented that they say that it is feasible and still need to continue the scoping effort, so we have to be faced with how to continue that scoping temperatures. Suyehiro informed that the workshop came up with a solution and a list of possible members who could contribute to the scoping. He introduced the following basic concept of the scoping that was written at the workshop. -‐-‐-‐-‐-‐ The scoping group will assess what is needed in order for the project to have a high likelihood of success. Scoping group will evaluate various engineering technology for all measurement of science efforts. Scoping activities need to be sufficiently advanced on the framework of the project prior to the new ocean drilling program. A report would be provided at the start of 2012, so that funding agencies can include the project in the consideration for funding of the new ocean drilling program. -‐-‐-‐-‐ This was written before the board changed, so this needs to be modified. But its spirit maintains and SASEC would be asked to approve. The document will be posted on IODP website to get comments from the community after the feasibility study is done. Teagle asked if the feasibility study will be shared with the proponents of the Mohole project. Suyehiro replied yes. Teagle asked if SASEC will receive the feasibility report for the June meeting. Suyehiro replied yes. Raymo commented that packaging it with the SASEC engineering subcommittee report would be a good idea. Yeats asked if the scoping group has already its subcommittee who is looking for potential members. Suyehiro replied yes. 12. Review of rotation schedule for SASEC members Raymo noted that agenda item 12 was a non-‐issue because nobody was rotating off and rotating on. 13. Other business SASEC Consensus 1101-‐17 : Hiroshi Kawamura has been a steadfast resource for the Science Advisory Structure and IODP-‐MI. His knowledge of proposal details and his extremely efficient management of the correspondence and business of the SAS were great assets. We congratulate him on his new position with the IPCC, and wish him and his family the very best as they move back to Germany. SASEC Consensus 1101-‐18 : SASEC thanks Keir Becker for his organizational skills, hospitality and panache in hosting this meeting in balmy Miami, taking many (but not all) of us away from the cold grip of the Northern Winter. We appreciate the warmth and sunshine, and eagerly anticipate the refreshments that will be provided for us. 14. Review of action items, motions, and consensus statements Panel members walked through the drafted consensuses and discussed on their wording. Damon Teagle made an interim report from the resource subcommittee to write a box for the new science plan (cf. action item 1101-‐05). The box needs 150-‐300 words with some powerful statements about resources, which is that very essential to society, the global demand is increasing at exponential rate, and that there is increasing requirements or energy security and increasing requirements for low carbon energy sources. Then it is followed by clarification of the roles of scientific ocean drilling that is we have modern exploration project to discover how resources formed in the past and active analogues of ongoing resource information. Much of our research provides a knowledge framework that is useful for industry to understand the mechanisms of resource information and resource identification. There needs to be a sample list of the potential resources. Energy in the widest sense involves hydrocarbons but also maybe hydrogen from prototype reactions, abiotic hydrocardbon production and also geothermal heat. Carbon capture opportunities with the storage of CO2 in sedimentary structure or hydro reservoirs should be written in. The subcommittee needs some resource specialist to build up the idea. The box would be including de Leeuw's idea that is about nuclear waste or storage. Teagle will send the draft to the science editor. Raymo asked what kind of figure would be in the box. Teagle replied he thought a 3D cross section on continental margin going to mid-‐ocean ridge, but some similar figures were already in there, so he now thought a picture with bubbles coming out of something. Humphris suggested having a big picture of societal relevance of scientific ocean drilling in the introduction page, and the resources could fit in there. Raymo asked if Humphris suggested not having a box for resources but it now moved into the introduction page. Humphris replied it is still a box but as a part of introduction. Raymo did not agree on the box in introduction, but agreed with Humphris on that the introduction page should be improved. Quinn gave an interim report from the education & outreach subcommittee (cf. action item 1101-‐06). They built questions, what are the goals of the new IODP in terms of elevating understanding of the critical role, what ocean drilling plays in the earth, ocean scientists and stakeholders which included the general public, from elementary to high school, university and government. IODP is an international program with strong track record of turning research into knowledge of the exploration of the earth under the sea. Target audience is next generation of scientists, policymakers, industry partners, teachers, students and general citizenry. This chapter would be 2 to 3 pages with a half page summary box. 15. Future meetings Raymo informed that de Leeuw will host the next SASEC meeting. de Leeuw gave the information on the next SASEC meeting. Date: 14-‐15 June 2011 Venue: Amsterdam 16. Closing remarks Maureen Raymo noted that the afternoon joint session began at 15:00. She adjourned the meeting at 14:35.
Guide to the structure of the environment section pages. Please review the content and either email me with comments or bring written notes to the next council meeting. Overall Vision and General Policies (3 areas) Links to the details and support pages for each policy area Suggestion Box Articles of Interest (locally written or links to external) Supporting Pages Opening Page Notes This page is to show how the web section is structured, to help council members and the web writer understand the proposed structure. It is not needed on the actual website. Vision for a more environmentally responsible future for our parish Context Regardless of our views of the causes, climate change is now happening, and the consequences are inevitable to some extent. Our vision in the Ramsbury and Axford Parish is to do our bit to improve our local practices and make our natural environment better for the people and wildlife in our community, including trying to reduce any negative impact on our evolving climate. As a parish council we can be a small force for change in addressing the climate and nature emergency, our vision needs to drive practical but impactful change locally. Our vision Ramsbury and Axford parish council aims to support the drive to a more sustainable climate and an improved local environment through steering efficient environmental practices across our community and those involved with events and businesses in the parish. We will encourage better biodiversity and clean places for our community to live, work and play in, ensuring these actions will not have a negative environmental impact in and beyond the parish where possible. Aims Our parish aims to continue to evolve our local ways of working where we have any influence by putting in place clear practical guidance around three core areas: 1. Environment: The parish council will strive to support local ideas and initiatives to improve the village, its wildlife spaces, biodiversity or further reduce our climate impact 2. Resources: Our community, local businesses, and contractors engaged in activities in our parish will be encouraged to be more carbon neutral, employing the principles of the 4R's: reduce, re-use, repair and recycle 3. Operations: Parish council operations, processes and use of buildings and equipment adopt more resource efficient practices Details and Information for Each Area Enhancing Our Environment Rational Resources and Recycling Parish council Operations Suggestion Box i Details/Support Pages Enhanced Environment - i i \| \| \| Description \| Parish actions and guidance \| \|---\|---\|---\|---\| \| Enhanced \| Focuses on our local nature and wild places, striving to build upon the excellent work already done in the Parish. \| Focuses on our local nature and wild \| The parish council are supporting ongoing initiatives including dog waste bag \| \| Environment \| \| places, striving to build upon the \| dispensers. The bags we provide are biodegradable, albeit over some time, but we will \| \| \| \| excellent work already done in the \| always consider suitable alternatives. Until then, please dispose of these in waste bins \| \| \| \| Parish. \| provided around the parish \| \| \| \| \| The parish council will assess and support future ideas suggested by the community to \| \| \| \| \| improve the wildlife spaces and biodiversity in our parish – see map below illustrating \| \| \| \| \| the parish boundaries and where we invite suggestions for improvements \| Kennet River, Axford. ©B.Murray 2023 t Details/Support Pages Rat onal Resources i i \| \| Description \| Parish actions and guidance \| \|---\|---\|---\| \| Resource use across our community, by local businesses, and services in the parish. \| Resource use across our community, by \| The parish council is encouraging local businesses and services to reduce the use of \| \| \| local businesses, and services in the \| single use plastics. \| \| \| parish. \| \| \| \| \| The parish council will direct residents to existing support and guidance. In addition, \| \| \| \| we will invite and then pro-actively review local resident recommendations for the \| \| \| \| betetr use of resources and support these when agreed by the council. (See locally \| \| \| \| writetn article on the Spotlight on the 4Rs) \| i There are a number of opportunities to support the parish council aim to adopt the 4R's: (reduce, re-use, repair and recycle). These include using the Marlborough Recycling Centre which recycles a wide range of items including some picked up at the roadside (plastics, glass, batteries, card, paper), see link for up to date guidance; https://www.wiltshire.gov.uk/rubbish-and-recycling . The WRAP recycle website can be used to find out what is recyclable in our area; https://www.recyclenow.com/ t \| \| Specifci support \| Repair \| \| Re-use \| \| Recycle \| Details \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Blister packs, inhalers, and unused \| \| \| \| \| \| \| \| \| medicine \| \| \| \| \| \| \| \| Cosmetcis \| \| \| \| \| \| \| \| \| \| Clothing recycling \| \| \| \| \| \| \| \| \| Garden tool sharpening \| \| \| \| \| \| \| \| \| Unwanted household items, \| \| \| \| \| \| \| \| \| jewellery, toys, and books \| \| \| \| \| \| \| i Useful websites t https://www.wiltshire.gov.uk/rubbish-and-recycling local recycling https://www.recyclenow.com/ further tips and info on recycling https://www.reducereuserecycle.co.uk/greenarticles/where_can_i_recycle.php fairly comprehensive list of what and how to recycle https://boots.scan2recycle.com for recycling of beauty products https://www.podback.org/ for recycling coffee pods https://lionsclubs.co/MemberArea/home/spectacles-recycling/ to repurpose spectacles (Specsavers, Boots, Peep Eyewear will recycle) https://www.packagingnotincluded.co.uk/ refill shop in Marlborough t t t i Opt mised O p erat ons i i i \| \| \| \| Description \| Parish actions and guidance \| \|---\|---\|---\|---\|---\| \| Optmi ised Operatoi ns \| Optmi ised \| How the parish council carries out its duties in the area. \| How the parish council carries out its \| 1. Communications across the parish will be electronic where possible, and the \| \| \| Operatoi ns \| \| duties in the area. \| Council will publish on-line articles, host talks and hold events (could be online \| \| \| \| \| \| or in person). \| \| \| \| \| \| 2. Council supported events on parish land. \| \| \| \| \| \| At village events, contractors will be expected to submit details of how they \| \| \| \| \| \| propose to minimise their carbon footprint, including but not limited to \| \| \| \| \| \| removing single use plastics. \| \| \| \| \| \| 3. The management and maintenance of parish owned buildings will aim to \| \| \| \| \| \| minimise negative impacts on our environment. \| Best kept village activities. Ramsbury has won the best kept large village seven times, the last was in 2021 (:www.Ramsbury.org) Suggestion Box Page Suggestion Box We welcome suggestions from across our community, including businesses and services for initiatives that might enhance or improve parish council operations, resources utilisation or our environment. Suggestions from our community can be sent by email to firstname.lastname@example.org SPOTLIGHT on Reduce, Reuse, Repair, Recycle! By Dawn Gill There is a lot of talk these days about how reducing, reusing, repairing, and recycling various household items can help us all to be more environmentally friendly, to be greener, to be ecologically sound and live sustainably. These four terms all refer to ways that we can minimise the number of materials that we use, the amount of the Earth's resources that we use, the energy that we use and the amount of waste which we produce in our everyday life. But how do we do this? Here is some information which we hope will help the residents of Ramsbury and Axford on their journey towards being more sustainable. Reduce Don't create waste if you don't have to Reduce is first on the list because it is the simplest and most important way of minimising your impact on the Earth's environment. It means that you try to reduce the number of materials that you use and the resources such as fuel and water that you use or are used in the delivery process of such items. Here are some examples of ways that you can reduce: - * By not buying items that you do not need, for example only replacing items when they can no longer be used or are beyond repair. * Buy refills – they take up much less room and so fewer delivery lorries are needed, therefore reducing carbon emissions as well as plastic waste. * Save up to thousands of bottles and cans per year and take your refillable bottles to refill shops instead of buying single-use household containers. * Buy your own reusable drinks bottles. * Take your own bags to shops and say NO to paper AND plastic. * Refuse to buy items that have excessive packaging, for example chocolates that come in plastic boxes or items that are sold in an unnecessarily large container. * If you need to print out a document, print on both sides of paper, and in black of white if suitable. If you have paper that you have printed on one side only, maybe use the back to write on. * Choose to walk, cycle or take public transport rather than using a car. * Hang washing outside to dry rather than using a tumble dryer. Reuse, share, sell, or give away still usable items. If you have an item that you can no longer use or simply do not want, but is still in a usable condition, you should try to find a way that it can continue to be used rather than throwing it away – potentially in landfill. Here are some examples of ways to reuse: - * Sell the item, for example by advertising it on one of the many websites such as eBay, on Facebook groups, Nextdoor or via local newspapers. If it is an antique or collectable item, you may be able to sell it to a local antiques shop. * Give it to a friend that needs the item. * Donate it to a charity shop (e.g., Ramsbury Charity Shop) where it can be sold to raise money for a good cause. * Give it to somebody who is looking for something, via websites such as Freecycle or Freegle. * Hold a garage sale or get a pitch at a car boot sale. * Make the item into something else completely. Often referred to as 'upcycling'. * If you do need to buy something, see if you can buy it second-hand, borrow it from someone else or hire the item. As a bonus you will also save money! Repair items before deciding to throw them away and buying new Here are some examples: - * If an item is damaged, try to repair the item rather than buying something new. Clothes and electronics are good examples of items which are often thrown out when they become damaged, yet they can often be repaired. * Buy furniture and products that last if you can, then repair, repaint, or re-finish them to give them a new look. * Buy/borrow a knife sharpener and revive those tired knives. * Sharpen gardening implements - a sharpened shovel or hoe makes life so much easier, and this service is provided at our Ramsbury Horticultural Society events! (check – do they also sharpen knives and scissors?) Recycling means to break down an item and to make something new from the materials. Some examples of recycling are: - * Ramsbury surgery (in the foyer) accept pharmaceutical blister packs which are sent to Superdrug who send them off to be recycled into boards for the construction industry. The surgery also accepts inhaler canisters for recycling. Both these collection points are easily accessible in the surgery foyer. They will also take back unused medication at the pharmacy counter, preferably in the original packaging, to be safely disposed of. * Textiles such as clothing and bedding which are in poor condition and cannot be used or mended, can be used to make cleaning rags, or for filling furniture. * Wastepaper can be pulped and used to make new pieces of paper. * Plastics can be melted down and made into new plastic items. * Electrical items can be broken down and the metal components melted down to make a new item (this is particularly important in the recycling of irreparable mobile phones as they contain small amounts of rare and valuable metals.) The plastic casings can also be recycled. * Glass can be melted down and made into new glass items. t * Cosmetics are accepted for recycling by Boots– ht ps://boots.scan2recycle.com * Soft plastics and wrappers (if it springs back when you crumple it) can be recycled at most supermarkets - please rinse first. t * Coffee pods can be recycled by getting a free recycling bag when you buy coffee pods – ht ps://www.podback.org/ * Spectacles can be sent to eye centres in the developing world by Lions International – ht ps://lionsclubs.co/MemberArea/home/spectacles -r ecyclin g / t * Tea bags – many are now sealed with a thin layer of plant-based plastic (PG tips, Yorkshire Tea, Clipper, Co-op, Asda, and Sainsbury's own brands plus Tesco soon) and can be put into garden waste or composted. How you dispose of an item depends on what local recycling facilities there are where you live. Please check the Wiltshire County Council website – https://www.wiltshire.gov.uk/rubbish-and-recycling Not recyclable * "Compostable" or "biodegradable" plastic wrappers were initially heralded as a revolution, but the tide is turning on these plant-based plastics. The University College London's Big Compost Experiment published late 2022 highlighted how poorly compostable they actually are. Unfortunately, they should just go in the bin. * Pyrex dishes and drinking glasses – the different melting points causes havoc with glass recycling. * Disposable nappies – but trials are being run to use them as a road resurfacing material, already successful on the A487 in Wales, so it may happen! * Large plastic toys – give them away if still serviceable, but currently too difficult to break down all the components economically. * VHS cassettes – bin unfortunately. Recycling and landfill Processing these recyclable materials still requires time, energy, and cost, therefore an item should ideally only be sent for recycling if there is no other way that it can be reused or repaired. It is the last term on the list of the four 'r's because it is in fact the least useful of the four ways of reducing your impact on the planet, however it is still vastly better than sending waste to landfill, although that will have to happen to some items eventually. Wiltshire county council on landfill Over a third of the items put in rubbish skips could have been recycled (analysis Jan 2022), and about one tenth is placed in the wrong skip, and this is costly. * Disposal of waste to landfill - at a cost of £125.77 per tonne * Correct sorting can reduce the amount of waste by about 40%, removing 6,175 tonnes of waste from landfill * Diverting 6,175 tonnes of waste from landfill to recycling would save 2,500 tonnes of carbon emissions * Additionally, costs savings relating to reduced use of landfill and income from additional recycling could achieve £0.5m per annum saving New onsite sorting facilities at county recycling centres will be introduced by the end October 2023, to aid and encourage better sorting of waste by residents. (check if this has happened) So, let's reduce the volume of material consumed, reuse or repair whenever possible and recycle items only when its useful life is over. Reuse Repair
https://helda.helsinki.fi Synthesis of quinone-based heterocycles of broad-spectrum anticancer activity Aly, Ashraf A. 2021-05 Aly , A A , Hassan , A A , Mohamed , N K , Ramadan , M , Abd El-Aal , A S , Braese , S & Nieger , M 2021 , ' Synthesis of quinone-based heterocycles of broad-spectrum anticancer activity ' , Journal of Chemical Research (Print Edition) , vol. 45 , no. 5-6 , pp. 562-571 . https://doi.org/10.1177/17475 http://hdl.handle.net/10138/332763 https://doi.org/10.1177/1747519820959737 cc_by_nc publishedVersion Downloaded from Helda, University of Helsinki institutional repository. This is an electronic reprint of the original article. This reprint may differ from the original in pagination and typographic detail. Please cite the original version. research-article 959737 research-article2020 Research Paper Synthesis of quinone-based heterocycles of broad-spectrum anticancer activity Ashraf A Aly 1 , Alaa A Hassan 1 , Nasr K Mohamed 1 , Mohamed Ramadan 2 , Amal S Abd El-Aal 1 , Stefan Bräse 3,4 and Martin Nieger 5 Abstract A synthesis of benzo[e][1,2,4]triazines and 1,2,4-triazolospiro[4,5]deca-2,6,9-trien-8-ones has been developed from reactions of amidrazones with 2-chloro-1,4-benzoquinone in EtOAc containing 0.5 mL of piperidine. This highly regioselective and one-pot process provided rapid access to 1,2,4-triazolospiro[4,5]deca-2,6,9-trien-8-ones (60%– 70%) and benzo[e][1,2,4]triazines (11%–18%). On reacting amidrazones with 5-hydroxy-1,4-naphthoquinone in an EtOAc/piperidine mixture, the reaction proceeded to give 5-hydroxy-2-(piperidin-1-yl)naphthalene-1,4-dione. The structures of the isolated products were proved by infrared, NMR (2D-NMR), mass spectra, and elemental analyses in addition to X-ray structure analysis. The reaction mechanisms are discussed. The anticancer screening of selected compounds showed broad-spectrum anticancer activity against most melanoma cancer cell lines, ovarian cancer OVCAR-3, central nervous system cancer SF-295 and U251, non-small cell lung cancer NCI-H23, renal cancer SN12C, and colon cancer HCT-15 and HCT-116. The selected compounds exhibited moderate to weak anticancer activity to other cell lines. Keywords 1,2,4-triazolospiro[4,5]deca-2,6,9-trien-8-ones, 2-chloro-1,4-benzoquinone, 5-hydroxy-1,4-naphthoquinone, 5-hydroxy2-(piperidin-1-yl)naphthalene-1,4-dione, amidrazones, benzo[e][1,2,4]triazines Date received: 28 June 2020; accepted: 29 August 2020 Introduction Amidrazones display fungistatic, bacteriostatic, and antimycotic activity. 1 In addition, they have herbicidal 1 and lipoxygenase-1 inhibitory activity. 2 Aly et al. 3 reported that amidrazones reacted with 1,4-benzoquinone or 1,4-naphthoquinone to give, in a few minutes, benzo- and naphtho-1,2,4-triazin-6(4H)-ones. The reactions of amidrazones with 2,3,5,6-tetrachloro-1,4-benzoquinone and 2,3-dichloro1,4-naphthoquinone in dry DMF proceed to give indazole derivatives. 3 The synthesis of various 4-aryl-5-imino-3phenyl-1H-naphtho[2,3-f]-1,2,4-triazepine-6,11-diones has also been reported 4 by the reaction between amidrazones and 1,4-dioxo-1,4-dihydronaphthalene-2,3-dicarbonitrile, while 1,4-diphenyl-2-arylamino-2-{[1-phenylmeth-(Z)ylidene]-hydrazino}butane-1,4-diones were obtained from the reaction of amidrazones with 1,4-diphenyl-2-butyne1,4-dione. 5 Quinones are widely distributed in the natural world, 6 being found in bacteria, plants, and arthropods and are ubiquitous to living systems. Quinones play pivotal roles in biological functions including oxidative phosphorylation and electron transfer. 7 They also have important roles as electron transfer agents in primary metabolic processes like photosynthesis and respiration which is vital to human life. 7 A large number of chemicals with 1,4-benzoquinone as the basic subunit exhibit prominent pharmacological applications such as antibiotics, 8,9 antitumor, 10–14 antimalarial 13 and anticoagulant compounds. 15 Juglone itself shows 1Chemistry Department, Faculty of Science, Minia University, El-Minia, Egypt 2 Department of Pharmaceutical Organic Chemistry, Faculty of Pharmacy, Al-Azhar University, Assiut, Egypt 3 Institute of Organic Chemistry, Karlsruhe Institute of Technology, Karlsruhe, German 4Institute of Biological and Chemical Systems, Karlsruhe, Germany 5Department of Chemistry, University of Helsinki, University of Helsinki, Helsinki, Finland Corresponding author: Ashraf A Aly, Chemistry Department, Faculty of Science, Minia University, 61519-El-Minia, Egypt. Email: firstname.lastname@example.org https://doi.org/10.1177/1747519820959737 Journal of Chemical Research May-June 2021: 562–571 © The Author(s) 2020 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/1747519820959737 journals.sagepub.com/home/chl effective anticancer activity. 16,17 However, 2-chlorocyclohexa-2,5-diene-1,4-dione (CBQ) and 2-chloro-1,4-benzoquinone are common metabolites of polycyclic aromatic hydrocarbons generated through industrial processes. Chlorobenzoquinones have remarkable effects on DNA, and a few studies are available regarding chlorobenzoquinone-induced protein modifications. 18–20 Drugs containing quinone moieties are represented by anthracyclines, anthraquinones, mitomycin C, and streptonigrin. 20 Doxorubicin has been used clinically to treat solid tumors 21 and acute lymphoblastic and myeloblastic leukemia. 22–24 Anti-neoplastic agents such as actinomycin and streptonigrin as well as antibiotics such as mitamycin 25 (Figure 1) and rifamycin 26 have aminoquinone moieties in their structures. 1,4-Dioxo-3-(phenylamino)-1,4-dihydronaphthalene2-carboxylic acid (Figure 1) shows potent cytostatic effects against both renal and melanoma cancer cell lines. Against renal cell lines, the activity (GI 50 = 8.38 μM) was nearly as good as that of the anticancer agent, etoposide (GI 50 = 7.19 μM). A series of naphthoquinone derivatives showed proteasome inhibitor activity against PI-083 (Figure 1). 27–30 In addition, they also exhibited high selectivity (twofold to fourfold more selective) for cancer cells over normal cells (L-929, IC 50 = 2.85μM). The activity of 3-(4-(1-hydroxycyclohexyl)-1H-1,2,3-triazol-1-yl)-2,2dimethyl-2,3-dihydronaphtho[1,2-b]furan-4,5-dione against melanoma cells was comparable to that of the initial quinones, nor-ß-lapachone and β-lapachone, and better than that of doxorubicin 31 (Figure 1). Moreover, 3-amino-1,2,4-benzotriazine-1,4-dioxides have received considerable attention as a class of antitumor agent. 32 Triazoles can easily bind with a variety of enzymes and receptors in biological systems via diverse non-covalent interactions. 33 Therefore, many triazole derivatives serve as medicinal drugs. 34 More specifically, compounds having the 1,2,4-triazole moiety have shown various biological activities, such as antifungal, 35 antimicrobial, 36 antitubercular, 37 anticancer, 38 anticonvulsant, 39 hypoglycemic, 40 anti-inflammatory, and analgesic activities. 41 In this paper, we report a new straightforward reaction of amidrazones with electron-deficient naturally occurring quinones, and the new compounds with a quinone nucleus were screened for their anticancer activity. Results and discussion Equimolar amounts of an amidrazone 1a–d and 2-chloro1,4-benzoquinone (2) were allowed to react in dry EtOAc containing piperidine (0.5 mL) and, after chromatographic separation and recrystallization, the products 3a–d (60%– 70%) and 4a–d (11%–18%) were isolated (Scheme 1). The reactions proceeded in low yields in the absence of piperidine as shown in Table 1 (Methods a and b). Method a was established using EtOAc, piperidine, reflux for 10– 14 h, whereas Method b was carried out using refluxing in EtOAc for 20–24 h. We chose amidrazones 1a–d having aryl groups with either electron-donating or electronwithdrawing substituents on the benzene ring, in order to examine the substituent effect on the reaction. Elemental analyses, infrared (IR), NMR ( 1 H and 13 C), and mass spectra were in good agreement with the structures assigned to the products. For example, compound 3b was identified as 6-chloro-4-(4ʹ-chlorophenyl)-3-phenyl1,2,4-triazaspiro[4.5]deca-2,6,9-trien-8-one. Mass spectroscopy and elemental analysis indicated the molecular formula of 3b as C 19 H 13 Cl 2 N 3 O, which corresponds to the sum of the molecular weights of the two starting materials with loss of a water molecule. The IR spectrum showed absorptions at υ= 3262 (NH), 1701 (C=O), 1613 (C=N), and 1548 cm −1 (C=C). The 1 H NMR spectrum revealed a singlet at δ H = 8.82. 13 C NMR confirmed the structure of Table 1.Methods and corresponding yields of compounds 3a–d and 4a–d. Method a: EtOAc, piperidine, reflux for 10–14 h; Method b: EtOAc, reflux, 20–24 h. 3b by the appearance of the carbonyl, C=N, and spirocarbon signals at δ C 169.2, 161.0, and 78.12 ppm, respectively. Elemental analysis and mass spectroscopy of compound 4b showed an elimination of an HCl molecule from the two starting materials. The IR spectrum of 4b showed the OH absorption at υ= 3411, with the NH at 3270 cm −1 . The 1 H NMR spectrum had two singlets at δ H = 10.05 (OH) and 7.65 ppm (NH). The aromatic protons resonated as a multiplet at δ H = 7.55–7.40 ppm. The 13 C NMR spectrum showed the Ar–C–OH and C=N carbons at δ C = 156.6 and 153.5 ppm, respectively (see the experimental). The aforementioned spectroscopic data were in accordance with the absence of the two carbonyl groups with one being converted to a phenolic carbon. The regioselectivity of the formation of compounds 3a– d was consistent with the literature previously reported by Aly et al. 4 which described the reactions between amidrazones and 1,4-benzoquinone and/or 1,4-naphthoquinone. Benzoquinone 5 reacted with piperidine to afford initially a charge-transfer (CT) complex (Scheme 2) which gave intermediate 11. Intermediate 11 was oxidized under the reaction conditions to give 6 (Scheme 2). The structure of 6 was proved by NMR spectroscopy and has been previously reported. 42,43 Detailed NMR spectra of compound 6 are shown in Table 2. The X-ray structure of 6 is shown in Figure 2. Biological evaluation Screening of the in vitro anticancer activity Among the synthesized compounds, NCI selected compounds 3c and 6. The anticancer activity of 3c and 6 was evaluated according to the protocol of the drug evaluation branch of the National Cancer Institute (NCI), Bethesda, USA, for in vitro anticancer activity (http://www.dtp.nci. nih.gov). The results for each tested compound are reported as the percentage of growth inhibition of the treated cells when compared to the untreated control cells. The compounds were tested against a panel of 60 cancer cell lines, derived from different tumors, including leukemia, melanoma, lung, colon, central nervous system (CNS), ovarian, renal, prostate, and breast cancer. The compounds were incubated with the cells at a concentration of 10 μM for 48 h. The results, in Table 3, were reported for the growth inhibition percent (GI%). Surprisingly, 3c and 6 exhibited broad-spectrum potent inhibitory effects on most of the Melanoma cell lines especially MDA-MB-435, SK-MEL-5, UASS-62, LOX IMVI, MALME-3M, M14, and UACC-257. In addition, both compounds revealed strong anticancer activity against ovarian cancer cell lines OVCAR-3, CNS cancer cell lines SF-295, SF-539 and U251, non-small cell lung cancer cell lines HOP-62, A549/ ATCC and NCI-H23, renal cancer cell lines SN12C and Table 2.Detailed NMR spectral data of compound 6. UO31, leukemia cell lines HL-60 and K-562, and colon cancer cell lines HCT-15 and HCT-116. Moreover, compounds 3c and 6 exhibited moderate to weak anticancer activity to other cancer cell lines (Table 2). In vitro five-dose full NCI 60 cell panel assay Compounds 6 were selected for five-dose testing against the full panel of 60 human tumor cell lines according to the NCI protocol (http://www.dtp.nci.nih.gov). Compound 6 exhibited noteworthy antiproliferative activity against melanoma cell lines with GI 50 = 1.38 µM (Table 4) and selectivity ratio = 2.10, against CNS cancer cell lines with GI 50 = 1.406 and selectivity ratio = 2.07 and against colon cancer cell lines with GI 50 = 2.06 and selectivity ratio = 1.41 (Figure 3). Conclusion Herein, we report reactions of amidrazones with two naturally occurring quinones, namely, 2-chloro-1,4-benzoquinone and 5-hydroxy-1,4-napthalene-1,4-dione (Juglone). Spiro-triazoles and 1,2,4-triazines were obtained from the reactions of amidrazones with the aforementioned quinones. The screening results were encouraging and promising, but further studies of their anticancer activities should be continued. Experimental Melting points were determined using open glass capillaries on a Gallenkamp melting point apparatus (Weiss Gallenkamp, Loughborough, UK), and they are uncorrected. The IR spectra were recorded from potassium bromide disks with an FT device, and Minia University NMR spectra were measured on a Bruker AV-400 spectrometer (400 MHz for 1 H, 100 MHz for 13 C, and 40.55 MHz for 15 N); chemical shifts are expressed in δ (ppm) versus internal tetramethylsilane (TMS) = 0 for 1 H and 13 C, and external liquid ammonia = 0 for 15 N. Coupling constants are stated in Hz. Correlations were established using 1 H– 1 H COSY, and 1 H– 13 C and 1 H– 15 N HSQC and Table 3.Anticancer activity of compounds 3c and 6 against 60 cell lines. (continued) Table 3. (Continued) CNS: central nervous system. HMBC experiments. Mass spectra were recorded on a Finnigan Fab 70 eV, Institute of Organic Chemistry, Karlsruhe University, Karlsruhe, Germany. TLC was performed on analytical Merck 9385 silica aluminum sheets (Kieselgel 60) with Pf 254 indicator; TLCs were viewed at λ max = 254 nm. Elemental analyses were carried out at National Research Center, Al Doki, Egypt. Starting materials Amidrazones 1a–d were prepared according to reported method by Müller et al. 44 Reactions of amidrazones 1a–d with 2-chloro-1,4-benzoquinone (2) Equimolar mixtures of amidrazones 1a–d (1 mmol) and 2 (0.142 g, 1 mmol) in 50 mL of absolute EtOAc and 0.5 mL of piperidine were refluxed for 10–14 h. The reactions were followed by the TLC analysis. The mixtures were then concentrated under reduced pressure, and the resulting solids were separated by preparative PC using toluene: ethyl acetate (2:1). The faster migrating zones gave compounds 4a–d, followed by products 3a–d. The products were then recrystallized from the appropriate solvents. 6-Chloro-3,4-diphenyl-1,2,4-triazaspiro[4.5]deca-2,6,9trien-8-one (3a). Red solid (EtOH), yield: 0.218 g (65%), m.p. 115–117 °C. IR (KBr): ν= 3260 (NH), 3136 (Ar– CH), 1702 (C=O), 1614 (C=N), 1599 cm −1 (Ar–C=C). 1 H NMR (400 MHz, DMSO-d 6 ): δ H = 8.83 (s, 1H, NH), 8.208.15 (m, 2H), 7.80-7.75 (m, 2H, Ar–CH), 7.60-6.72 (m, 8H, Ar–CH), 6.60 (d, 1H, J= 0.7 Hz, Ar–CH). 13 C NMR (100 MHz, DMSO-d 6 ): δ C = 169.0 (C=O), 163.0 (C=N), 141.8, 134.0, 130.6 (Ar–C), 130.3, 130.0 (Ar–CH), 129.7, 129.4, 127.9, 126.4 (Ar–2CH), 126.3, 125.5, 122.6 (Ar– CH), 78.1 (Spiro-C). MS: m/z (%) = 337 (6), 335.8 (27), 256.0 (42), 225.3 (47), 185 (30), 183.6 (100), 154.0 (58), 149.2 (47), 114.1 (15), 81.0 (39), 77.1 (93). Anal. calcd Table 4.Results of in vitro five-dose testing of nine human cancer types and selectivity for compound 6. (continued) Table 4. (Continued) MID a = 2.905; selectivity ratio = MID a /MID b. for C 19 H 14 ClN 3 O (335.79): C, 67.96; H, 4.20; Cl, 10.56; N, 12.51; found: C, 68.05; H, 4.08; Cl, 10.70; N, 12.60. 6-Chloro-4-(4 ʹ -chlorophenyl)-3-phenyl-1,2,4triazaspiro[4.5]deca-2,6,9-trien-8-one (3b). Red solid (EtOH), yield: 0.222 g (60%), m.p. 204–206 °C. IR (KBr): ν= 3262 (NH), 3135 (Ar–CH), 1701 (C=O), 1613 (C=N), 1548 cm −1 (Ar–C=C). 1H NMR (400 MHz, DMSO-d 6 ): δ H = 8.82 (s, 1H, NH), 8.40-8.35 (m, 2H, Ar– CH), 8.25-8.22 (m, 2H, Ar–CH), 7.62-7.52 (m, 7H, Ar– CH), 7.42 (d, 1H, J= 0.8 Hz, Ar–CH). 13C NMR (100 MHz, DMSO-d 6 ): δ C = 169.2 (C=O), 161.0 (C=N), 141.17, 138.49, 132.48, 130.49 (Ar–C), 130.22 (Ar–CH), 129.57, 129.46, 129.12, 128.89 (Ar–2CH), 125.72, 125.65, 125.19 (Ar–CH), 78.12 (Spiro-C). MS: m/z (%) = 370.6 (63), 372.6 (42), 336.0 (14), 296.1 (18), 294.1 (59), 261.1 (6), 259.1 (26), 236.0 (36), 225.3 (47), 185.6 (29), 154.0 (59), 149.2 (47), 114.2 (4), 112.2 (14), 81.1 (39), 77.1 (93). Anal. calcd for C 19 H 13 Cl 2 N 3 O (370.23): C, 61.64; H, 3.54; N, 11.35; Cl, 19.15; found: C, 61.52; H, 3.43; Cl, 19.03; N, 11.13. 6-Chloro-4-(3 ʹ -chlorophenyl)-3-phenyl-1,2,4triazaspiro[4.5]deca-2,6,9-trien-8-one (3c). Red solid (CH 3 OH), yield: 0226 g (61%), m.p. 174–176 °C. IR (KBr): ν= 3269 (NH), 3130 (Ar–CH), 1705 (C=O), 1616 (C=N), 1548 cm −1 (Ar–C=C). 1 H NMR (400 MHz, DMSOd 6 ): δ H = 8.73 (s, 1H, NH), 8.35 (dd, 2H, J= 1.2, 0.8 Hz, Ar–CH), 8.13-7.95 (m, 2H, Ar–CH), 7.53-7.35 (m, 7H, Ar–CH), 7.33 (d, 1H, J= 0.7 Hz, Ar–CH). 13 C NMR (100 MHz, DMSO-d 6 ): δ C = 169.7 (C=O), 161.8 (C=N), 141.14, 140.7, 135.8, 132.59 (Ar–C), 131.4 (Ar–CH), 131.17, 130.96, 130.45, 129.58 (Ar–2CH), 126.28, 125.22, 124.34 (Ar–CH), 78.23 (Spiro-C). MS: m/z (%) = 372.2 (16), 370.2 (53), 336.0 (15), 296.1 (20). 294.1 (62), 261.1 (9), 259.1 (27), 236.0 (37), 225.3 (47), 185.0 (100), 154.0 (60), 149.2 (47), 114.0 (7), 112.0 (26), 81.1 (39), 77.1 (70). Anal. calcd for C 19 H 13 Cl 2 N 3 O (370.23): C, 61.64; H, 3.54; Cl, 19.15; N, 11.35; found: C, 61.72; H, 3.60; Cl, 19.25; N, 11.20. 6-Chloro-3-phenyl-4(4ʹ -methoxyphenyl)-1,2,4triazaspiro[4.5]deca-2,6,9-trien-8-one (3d). Red solid (CH 3 CN) 245 mg (67%), m.p. 254–256 C. IR (KBr): ν= 3260 (NH), 3140 (Ar–CH), 1700 (C=O), 1610 (C=N), 1550 (C=C), 1110 cm −1 (OCH 3 ). 1 H NMR (400 MHz, DMSO-d 6 ): δ H = 8.90 (s, 1H, NH), 8.40 (dd, 2H, J= 1.2, 0.7 Hz, Ar–CH), 8.25-8.20 (m, 3H, Ar–CH), 7.52-7.45 (m, 5H, Ar–CH), 6.60 (dd, 2H, J= 0.8 Hz, Ar–CH), 3.90 (s, 3H, OCH 3 ). 13 C NMR (100 MHz, DMSO-d 6 ): δ C = 169.2 (C=O), 161.0 (C=N), 150.1 (Ar–C–OCH 3 ), 138.2, 132.0, 130.3 (Ar–C), 129.2 (Ar–CH), 128.1, 127.5, 127.1, 126.8 (Ar– 2CH), 125.7, 123.6, 122.2 (Ar–CH), 78.1 (Spiro-C), 57.6 (OCH 3 ). MS: m/z (%) = 367 (13), 365.0 (40), 2960 (20), 184.6 (19), 154.0 (60), 121.0 (100), 77.0 (60). Anal. calcd for C 20 H 16 ClN 3 O 2 (365.81): C, 65.67; H, 4.41; N, 11.49; Cl, 9.69; found: C, 65.72; H, 4.43; N, 11.30; Cl, 9.60. 3,4-Diphenyl-1,4-dihydrobenzo[e][1,2,4]triazin-6-ol (4a). White solid (CH 3 CN), yield: 0.045 g (15%), m.p. 302– 304 °C. IR (KBr): ν= 3424 (OH), 3264 (NH), 1631 (C=N), 1590 cm −1 (Ar–C=C). 1 H NMR (400 MHz, DMSO-d 6 ): δ H = 10.12 (s, 1H, OH), 8.54 (s, 1H, NH), 7.48-7.13 (m, 13H, Ar–CH). 13 C NMR (100 MHz, DMSO-d 6 ): δ C = 158.2 (Ar–C–OH), 154.0 (C=N), 132.0, 130.8, 130.0, 129.0 (Ar– C), 128.6, 128.4, 127.8, 127.4, 127.0 (Ar–2CH), 126.9, 126.5, 126.0 (Ar–CH). MS: m/z (%) = 301.34 (60), 225.25 (33), 156.26 (59), 133.15 (100), 77.05 (58). Anal. calcd for C 19 H 15 N 3 O (301.34): C, 75.73; H, 5.02; N, 13.94; found: C, 75.61; H, 5.11; N, 14.02. 4-(4ʹ-Chlorophenyl)-3-phenyl-1,4-dihydrobenzo[e] [1,2,4]triazin-6-ol (4b). White solid (CH 3 CN), yield: 0.044 g (13%), m.p. 264–266 °C. IR (KBr): ν= 3411 (OH), 3270 (NH), 1629 (C=N), 1593 cm −1 (C=C). 1 H NMR (400 MHz, DMSO-d 6 ): δ H = 10.05 (s, 1H, OH), 8.70 (s, 1H, NH), 7.55-7.40 (m, 12H, Ar–CH). 13 C NMR (100 MHz, DMSO-d 6 ): δ C = 156.6 (Ar–C–OH), 153.5 (C=N), 134.2, 133.7, 130.2, 129.7, 128.5 (Ar–C), 128.3, 128.1, 127.8, 127.2, 127.0 (Ar–2CH), 126.9, 126.8 (Ar– CH). MS: m/z (%) = 337.1 (15), 335.1 (45), 261.7 (19), 259.1 (61), 225.3 (100), 149.2 (58), 133.2 (33), 114.6 (19), 112.6 (53), 77.1 (92). Anal. calcd for C 19 H 14 ClN 3 O (335.79): C, 67.96; H, 4.20; Cl, 10.56; N, 12.51; found: C, 68.05; H, 4.08; Cl, 10.70; N, 12.77. 4-(3ʹ-Chlorophenyl)-3-phenyl-1,4-dihydrobenzo[e][1,2,4] triazin-6-ol (4c). White solid (CH 3 CN), yield: 0.037 g (11%), m.p. 262–264 °C. IR (KBr): ν= 3424 (OH), 3264 (NH), 1631 (C=N), 1584 cm −1 (C=C). 1 H NMR (400 MHz, CDCl 3 ): δ H = 10.22 (s, 1H, OH), 7.94 (s, 1H, NH), 7.487.30 (m, 12H, Ar–CH). 13 C NMR (100 MHz, DMSO-d 6 ): δ C = 158.2 (Ar–C–OH), 154.2 (C=N), 134.3, 133.9, 132.1, 130.3, 129.8 (Ar–C), 128.7, 128.2, 127.9, 127.3, 127.1 (Ar–2CH), 126.8, 126.5 (Ar–CH). MS: m/z (%) = 337.1 (15), 335.1 (45), 261.7 (28), 259.1 (60), 225.3 (100), 190.0 (8), 149.2 (59), 133.2 (22), 114.6 (15), 112.6 (44), 77.1 (80). Anal. calcd for C 19 H 14 ClN 3 O (335.79): C, 67.96; H, 4.20; Cl, 10.56; N, 12.51; found: C, 68.05; H, Cl, 10.65; 4.08; N, 12.72. 4-(4ʹ-Methoxyphenyl)-3-phenyl-1,4-dihydrobenzo[e] [1,2,4]triazin-6-ol (4d). White solid (CH 3 CN), yield: 0.060 g (18%), m.p. 210–212 °C. IR (KBr): ν= 3410 (OH), 3250 (NH), 1620 (C=N), 1590 cm −1 (C=C). 1 H NMR (400 MHz, DMSO-d 6 ): δ H = 10.00 (s, 1H, OH), 8.80 (s, 1H, NH), 7.60 (dd, 2H, J= 1.2, 0.7 Hz), 7.30-7.10 (m, 8H, Ar– CH), 6.60 (dd, 2H, J= 1.2, 0.7 Hz), 3.90 (s, 3H, OCH 3 ). 13 C NMR (100 MHz, DMSO-d 6 ): δ C = 157.8 (Ar–C–OH), 152.0 (Ar–OCH 3 ), 151.2 (C=N), 135.0, 130.2, 129.4, 128.6 (Ar– C), 127.6, 126.4, 125.8, 125.2, 122.0 (Ar–2CH), 121.0, 120.8 (Ar–CH), 52.0 (OCH 3 ). MS: m/z (%) = 331.1 (30), 225.0 (100), 149.2 (40), 133.2 (30), 77.1 (90). Anal. calcd for C 20 H 17 N 3 O 2 (331.37): C, 72.49; H, 5.17; N, 12.68; found: C, 73.00; H, 5.00; N, 12.82. Reaction of piperidine with 5-hydroxy-1,4naphthaquinone (5) An equimolar mixture of 5 (0.161 g, 1 mmol) and piperidine (0.085 g, 1 mmol) in 100 mL of absolute EtOAc was stirred at room temperature for 4 h. Blue precipitate was formed, which by time (1 h) dissolved and a green precipitate of compound 6 was formed. The green precipitate was then dissolved in acetone and purified on applying to preparative PC using toluene: ethyl acetate (10:1). The formed product 6 was then recrystallized from EtOH. 8-Hydroxy-2-(piperidin-1-yl)naphthalene-1,4-dione (6) [42 and 43]. Green solid (EtOH), yield: 0.206–0.219 g (80%– 85%), m.p. 159–160 °C (rep. 158 °C). IR (KBr): ν= 3440 (OH), 1700 (C=O), 1590 cm −1 (C=C). NMR (see Table 2). MS: m/z (%) = 257 (M + , 100). Anal. calcd for C 15 H 15 NO 3 (257.28): C, 70.02; H, 5.88; N, 5.44; found: C, 70.20; H, 5.98; N, 5.60. Crystal structure determinations of 6 The single-crystal X-ray diffraction study was carried out on a Bruker D8 Venture diffractometer with Photon100 detector at 123(2) K using Mo-Kα radiation (λ= 0.71073 Å). Dual space methods (SHELXT) 45 were used for structure solution, and refinement was carried out using SHELXL-2014 (full-matrix least squares on F 2 ). 46 Hydrogen atoms were localized by difference electron density determination and refined using a riding model (H(O) free). A semi-empirical absorption correction and an extinction correction were applied. 6: red crystals, C 15 H 15 NO 3 , M r = 257.28, crystal size 0.236 mm ×0.24 mm ×0.16 mm, monoclinic, space group P2 1 /c (no. 14), a= 10.1353(5) Å, b= 12.0295(5) Å, c= 11.1132(7) Å, β = 116.045(2)°, V= 1217.35(11) Å 3 , Z= 4, ρ= 1.404 Mg/m −3 , µ(MoKα) = 0.10 mm −1 , F(000) = 544, 2θ max = 55.0°, 32,736 reflections, of which 2810 were independent (R int = 0.031), 176 parameters, 1 restraint, R 1 = 0.038 (for 2480 I >2σ(I)), wR 2 = 0.101 (all data), S= 1.03, largest difference peak/hole = 0.37/−0.19 e Å −3 . CCDC 1968210 (6) contains the supplementary crystallographic data for this paper. These data can be obtained free of charge from The Cambridge Crystallographic Data Centre via www.ccdc.cam.ac.uk/data_request/cif. NCI screening assay The methodology of the NCI procedure for primary anticancer assay is detailed on their site (http://www.dtp.nci. nih.gov), but briefly, the protocol was performed using the 60 human tumor cell lines panel derived from nine different neoplastic diseases. NCI-60 testing is performed in two parts: first, a single concentration is tested in all 60 cell lines at a single dose of 10 −5 M or 15 μg/mL in accordance with the protocol of the Drug Evaluation Branch, National Cancer Institute, Bethesda, USA. If the results obtained meet selection criteria, then the compound is tested again in all 60 cell lines in 5 ×10 folds of dilution. Acknowledgements The authors thank DFG Collaborative Center "3MET," Karlsruhe Institute of Technology, Karlsruhe, Germany, for financial support to Professor Aly enabling him to carry out analyses in the aforesaid Institute. Purchase of the NMR spectrometer at the Florida Institute of Technology was assisted by the US National Science Foundation (CHE 03-42251). 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 Ashraf A Aly https://orcid.org/0000-0002-0314-3408 Supplemental material Supplemental material for this article is available online. References 1. Modzelewska-Banachiewicz B, Matysiak J and Niewiadomy A. Eur J Med Chem 2001; 36: 75. 2. Haldeman RG, Morin LT, Matsuda K, et al. Hydrazidesocyanoformimidicandoxalimidic acids. 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THE DEFENSE OF HADITH SCHOLARS AGAINST AHL AL-RA'Y MADHHAB (Study of Thought Shaikh 'Abd al-Fattâh Abû Ghuddah) Adi Abdullah Muslim Institut Agama Islam Negeri Pekalongan, Indonesia firstname.lastname@example.org Article history: Submitted: 05-02-2018 \| Revised: 23-02-2018 \| Revised: 23-07-2018\| Revised: 09-05-2019 \| Accepted: 30-06-2019 Abstract Debate between hadith scholar and Islamic jurisprudence has occurred since the time of the founding of fiqh madhhab that was dominated by Imam Abû Hanîfah in Kufah (as a representation of ra'y), and Imam Malik in Medina (as a representation of hadith scholar). Then the figure of Imam al-Shafi'i emerged as the mediator for them, he was given the title Nasir al-Sunnah. This study explains the existence of scholars of hadith - Shaikh Abd al-Fattâh Abû Ghuddah - who adhered to Ahl al-Ra'y madhhab of Imam Abû Hanîfah, defended the accusations against his madhhab, and also wanted to prove that Imam Abû Hanîfah was a textualist. This is a library research using content analysis. This study indicated that Imam Abû Hanîfah who was held by Abû Ghuddah as Ahl-al-ra'y madhhab did not make his madhhab understanding be rationalist in the field of hadith. He often in issuing fatwas based on ra'y. As a textualist cleric, he put nash in perseverance not prioritize qiyas and reason. Keywords: Defense, Madhhab (school of thought), Ahl al-Ra'y, Abû Ghuddah, hadith Abstrak Perdebatan antara ahli hadis dan ahli fikih telah terjadi sejak masa berdirinya mazhab fikih yang didominasi oleh mazhab fikih Imam Abû Hanîfah di Kufah (sebagai representasi kelompok ahli ra'y), dan Imam Malik di Madinah sebagai representasi kelompok ahli hadis. Kemudian muncul sosok Imam al-Shafi'i sebagai penengah di antara keduanya dengan diberi julukan Nasir al-Sunnah. Kajian ini akan menjelaskan bagaimana keberadaan ulama ahli hadis – Shaikh Abd al-Fattâh Abû Ghuddah – yang berpegang pada mazhab Ahl al-Ra'y Imam Abû Hanîfah, membela tuduhan terhadap mazhabnya, dan juga ingin membuktikan bahwa Imam Abû Hanîfah adalah seorang tekstualis. Penelitian ini merupakan penelitian pustaka dengan menggunakan konten analisis. Kajian ini memperlihatkan bahwa Imam Abû Hanîfah yang dipegangi oleh Abû Ghuddah sebagai mazhab Ahl-al-ra'y, justru tidak menjadikan pemahaman bermazhabnya berpikir rasionalis di bidang hadis. Tidak selamanya Imam Abû Hanîfah dalam mengeluarkan fatwa berdasarkan ra'y. Imam Abû Hanîfah juga merupakan ulama yang tekstualis, dalam berijtihad tidak mendahulukan qiyas dan akal melainkan memposisikan nash di atas keduanya. Kata kunci: Pembelaan, mazhab, Ahl al-Ra'y, Abu Ghuddah dan hadis Introduction The socio-historical research on early Islam in the post-death period of the Prophet became a period of Islamic scientific growth. The spread of friends to several areas outside the city of Medina became a step in providing an extension of Islamic values of the prophetic treatise. Like the hadith, Medina became scientific direction. The development of hadith in Medina is increasingly known by the presence of Imam Malik (w 179 H). In the same period, Imam Abû Hanîfah (w 150 H) was a qibla of ahl al-ra'y in Kufah. According to Christopher Melchert, the dominance of two cities between Kufah and Medina in the development of hadith has a large capacity to exert influence. The successors of the two students from both cities had works in the form of hadith studies and Islamic law developed. 1 Disciples of Imam Abû Hanîfah were Abu Yusuf (w 181 H), Fudhail bin Iyadh (w 187 H), Muhammad al-Syaibani (w 189 H) and others. Disciples of Imam Malik in Medina were Ibn Mubarak (w 181 H), Yahya bin Yahya al-Andalusi (w 233 H) and others. Understanding Hadith is an urgent matter in Muslim community, moreover hadith is known as an explanation for al-Qur'ân verses 2 that is still global, and the law can be withdrawn which is not found in the Qur'ân. Hadith according to Nûr al- 1Christoper Melchert, "How Hanafism Come to Originate in Kufah and Traditionalism in Madinah", Journal Source Islamic Low and Society 6, no. 3 (1999), 318-347. Retrieved at 27/09/2012. 2Refers to al-Qur'ân surah al-Nahl: 44 [We sent them] with clear proofs and written ordinances. And We revealed to you the message that you may make clear to the people what was sent down to them and that they might give thought. Dîn 'Itr is something that is based on the Prophet in the form of words, deeds, stipulations, traits, physical or moral or something that is based on a friend or tâbi'în. 3 Hadith has an important position in Islam, because it is believed to be a source of Islamic teachings after al-Qur'ân. From the two teaching sources, al-Qur'ân is more mutawâtir, 4 that should not be any doubt in it. Besides, Hadith is not all mutawâtir, there are degrees that have not reached the level of mutawâtir or also called hâdîth âḥâd. 5 From the studies of hadith, it can be said that the Prophet Muhammad has the ability to communicate with different Arab communities, so that the impact was not only on the research of the quality of hadith, but also on the understanding of hadith. This became a good opportunity to narrate the hadith in a meaningful manner, and cause the existence of utterances that were difficult to understand in the matan hâdîth. 6 Beside the studies of hadith, there are studies of fiqh that can be discussed in them. There is a close relation, where many of fiqh laws derive from hadith. So, it can be said that fiqh is 3Nûr al-Dîn Itr, Manhaj al-Naqd fî 'Ulûm al-Hâdîth (Damaskus: Dar al-Fikr, 1997), 26-27. 5A word of âḥâd plural of wâḥid, literally is one. according to science of hadith âḥâd is the hadith that narration does not exceed the number of narrators of hadith mutawâtir, does not meet the requirements of the hadith mutawâtir, and does not reach the degree of hadith mutawâtir. For more explanation about mutawâtir and âḥâd, see Mahmud at-Tahhan, Taisîr Musṭalah al-Hâdîth..., 18-22. 4Literally mutawâtir is tatâbu', that is sequential, according to science of hadith mutawâtir is the news narrated by many people at every level of the narrators, ranging from the level of friends to the mukharrij and according to the size ratio and impossible habits of the many narrators agreeing to lie. Some scholars include witnessing the five senses as one of the conditions. Mahmud at-Tahhan, Taisîr Musṭalah al-Hâdîth (Beirut: Dar alQur'ân al-Karim, 1398 H/1979 M), 21. 6Arifuddin, Paradigma Baru Memahami Hadis Nabi (Jakarta, Renaisan, 2005), 3. dependent on hadith. Both cannot be separated, they are maintaining the purity of Islamic values from attacks by "influencing" the authenticity of the points of Islamic teachings. A figure of contemporary scholars named bernama 'Abd al-Fattâh Abû Ghuddah (w 1997 M), is an activist in the study of modern hadith, Born in Aleppo city north of Syria in mid Rajab 1336 H / 1917 M. 7 Adhering to madhhab of Imam Abû Hanîfah in carrying out fiqh practice in his daily life and has several works dominated by the study of hadith and science. He increasingly studied with Hanafi madhhab teachers, including a Shaykh Zahid al-Kautsari (1296-1371 H/18781952M). 8 His opinions refer to views of his teacher. Thus, it is not surprising if there are some scholars who accuse him of being too ta'aṣṣub (fanatic) with Hanafi Madhhab and his teacher. However, it is not all allegations accordance with the facts, and even limited to the basis of displeasure with him who adheres to Hanafi madhhab. In addition, there were some scholars who tried to refute accusations made against Abû Ghuddah, the defense of allegations directed at him was Hasan Ali al-Saqqaf. His defense of Abû Ghuddah is stated in a book called Tanâquḍât al-Albâni al-Waḍîḥah. This book consists of two volumes, in which it contains the arguments and defense of the author against scholars who disagree with al-Albâni, by showing some of the criticisms raised by al-Albâni to the scholars and providing answers to his criticisms. 9 As a muḥaddith with Hanafi madhhab known as ahl al-ra'y, he prioritized rationality in implementing and establishing law. This becomes something that needs to be proven to be leaning of Imam Abû Hanîfah held by Abû 7'Abd al-Fattâh Abû Ghuddah, Ṣafahât min Ṣabri al-'Ulamâ' 'ala Shadâidi al-'Ilm wa al-Taḥṣîl, (Beirut: Dâr al-Bashâir alIslâmiyyah, 2012), 9. 9Enni Endriyati, Kontribusi Abû Ghuddah dalam Ilmu Hadis (Thesis of postgraduate, UIN Syarif Hidayatullah Jakarta, 2007). 8Muhammad Zahid al-Kautsari, http://ar.wikipedia.org/wiki/ الكوثري_زاهد_محمد (Retrieved at 26/08/2014). Ghuddah as madhhab he held, is it the same as the Imam's madhhab? However, to answer the questions about the position of Imam Abû Hanîfah in the study of hadith is as evidence of the form of intensity of an imam in the narration of hadith. So is it true that Imam Abû Hanîfah prioritizes reason in making legal decisions, which ultimately overrides nash of al-Qur'ân and the sunnah in its stipulation? Doubts about the position of Imam Abû Hanîfah will be proven in this study, madhhab of Abû Ghuddah as object of this study. Therefore, it is interesting to examine the influence of madhhab in the study of hadith, does madhhab influence the study of hadith, or or vice versa? By looking at the history of the emergence of madhhab, it would be desirable to examine how the process Abû Ghuddah thought from the works he wrote and taḥqîq, where he was also a hadith cleric, on the other hand, he held to a fiqh madhhab. Furthermore, the study of the figure focused on the study of the influence of madhhab. According to hadith study and as it is known, the study of madhhab will not be separated from fiqh study. Research Method As mentioned above, the main focus of this research is to examine the ideas and interpretations of a figure of taḥqîq book. This study is library research, 10 a series of activities relating to the method of collecting library data, reading and recording, and processing research materials, 11 this refers to the books and data related scientific works. The nature of research used is descriptiveanalytical-critical with a sociological-historical approach. Thus, the sources of data obtained from various books that have been studied and read. It is expected to provide valid and accurate 10See Muhammad Sabana and Sudrajat, Dasar-Dasar Penelitian Ilmiah (Bandung: Pustaka Setia, 2001),77. 11See Mestika Zed, Metode Penelitian Kepustakaan (Jakarta: Yayasan Obor Indonesia, 2004), 3 information. The main method used in this study is descriptive-analytical method, to depict the problem being investigated by describing the situation objectively. 12 Paradigm of Development of Hadith and Islamic Law The maintenance of hadith has been widely agreed upon, it has begun at the time of Prophet Muhammad. However, the maintenance is not in the form of manuscripts, documents or writings; however, it was still in form of memorization, a method commonly used by Arab society at that time, where most cultures are still oral. 13 Companions keep their memorization by listening from words of Prophet Muhammad, seeing from the actions of the Prophet and observing by the provisions (taqrîr) of the Prophet. According to Adis Duderija that the first four generations of Islam functioned to develop the concept of epistemological sunnah and methodologies that depend on the hadith by adopting definition that had been used by classical Muslim scholars. It is in the form of the Sunnah that has interpretation of Qur'ân increasingly emerged at the beginning of Islamic thought. Concept of understanding the canonical sunnah book was an exclusive vehicle of transmission and certain hermeneutical manifestations between Qur'ân, sunnah and hadith itself. Therefore, sunnah considered important with regard to the knowledge of tafsîr (interpretation of al-Qur'ân), fiqh (Islamic law) and uṣûl al-fiqh (Islamic legal theory). 14 Therefore hadith considered important in the scientific branch of Islamic studies. Refers to how hadith is an authoritative study 12Hadari Nawawi, Metode Penelitian Bidang Sosial (Yogyakarta: Gajah Mada University Press, 2003), 63. 14Adis Duderija, "Evolution in the Canonical Sunni Hadith Body of the Literature and Concept of an Autenthic Hadith During of the Formative Period of Islamic Thought as Based on Resent Western Scholarship", Journal of Arab Law Qurterly 23, no. 4 (2009): 389-415. Retrieved at 26/03/ 2015, 06.08. 13Abdullah Saeed, Pemikiran Islam Sebuah Pengantar terjemahan dari Islamic Thought: And Introduction, editor Sahiron Syamsudin & M. Nur Prabowo..., 58. in the Islamic world, there are some western scholars who were interested in plunging into this field, mentioning conclusions that make Muslim scholars think more deeply in response to the conclusions produced, and are required to come into direct contact with western hadith scholarship studies. Western scholarly studies which were considered monumental by academics in conducting research with a historical-phenomenological approach to the matan of hadith were carried out by Ignaz Goldziher (1850-1921), who thought that hadith began to develop among Muslims at the beginning of the second century hijri and was considered a teaching dogmatic. 15 This study was continued by Joseph Schacht who was a figure in western by writing the book The Origin of Muhammad Jurisprudence that made conclusions about hadith now was something made by Muslims in the second century hijri. In other words, isnad in the study of hadith also a product appeared at that time, 16 it was introduced with a common link. Their conclusions were certainly very contrary to the conclusions built by classical scholars. Muslim scholars regarding with western studies tried to argue in a scientific way, including Fazlur Rahman, by saying that hadith is a living tradition produced from a silent tradition. Finally, it can be said that the Prophet's hadith is also the beginning of the Sunnah of Islamic society, conceptually so related to the Sunnah of the Prophet, these two things are inseparable; it is a mistake for those who separate the elements. 17 In the discussion of initial appearance of isnad, Ḥammâm 'Abd Rahim Sa'id has a view, that isnad has existed at the time of comrade and tâbi'în with the assumptions presented in his 15Ignaz Goldziher, Muslim Studies, translatedby C. R Barber and 16 Joseph Schacht, The Origin of Muhammadan Jurisprudence... 163-164. , S. M Stern from Muhammadanischen Studien, Vol. 2 (Leiden: Brill, 1989-1990). 17Fazlur Rahman, Islam (Bandung: Pustaka, 1986), and Membuka Pintu Ijtihad translated from Islamic Methodology in History (Bandung: Pustaka, 1983), al-Fikr al-Manhaji 'inda al-Muḥaddithin in the form of an account of the story between Umar ibn Khattab and Abu Musa al-Ash'ari. Starting the question posed by Umar ibn Khattab to Abu Musa al-Asy'ari regarding the witness to know the truth of hadith from the Prophet Shallallâhu 'alaihi wa sallam. This method showed the accuracy of a narrator of the hadith about the news delivered accurately from the Prophet. 18 As an element of protect, hadith can be understood textually by looking at the meaning of hadith, there are also several hadith can be read by understanding it contextually. Such as the meaning in the term 'jihad' that may be understood literally as an effort, however, it is unfortunate that it is only translated as 'holy war'. Unlike some other obligations, jihad can be interpreted as an external manifestation, can distinguish between wrong and right, and an obligation for all humans, especially for Muslim individuals 19 as a form of reviving traditions that have been transformed by the Prophet Shallallâhu 'alaihi wa sallam to comrade and humanity as a whole. Efforts to safeguard hadith text through understanding in accordance with the Prophet are one of the ways to alienate all forms of affliction, so that the hadith coupled with words other than those from the Prophet may change the initial meaning of asbâb al-wurûd. Even there are also additions contained in a hadith do not change the meaning of the hadith. 20 Therefore, inside the history of the companions has begun to pay attention to the hadith seriously as the teachings revealed by Allah to His Prophet. The proof of the seriousness of comrade is the large number of people present filled the halaqah of the Prophet's 18Hammam 'Abd Rahman Sa'id, al-Fikr al-Manhaji 'inda alMuhaddithîn (Kairo: Dar al-Shuruq, 1408 H), 59-60. 20In the science of hadith it is also called ziyâdât al-thiqât. divided into two parts, namely, ziyâdât fi al-matn and ziyâdât fi al-isnâd. Mahmud Tahhan, Taisîr Musṭalah al-Hâdîth (Riyadh: Maktabah al-Ma'arif li al-Nasr wa al-Tauzi,' 1996), 137. 19Marcel A Boisard, Humanisme dalam Islam translated from L' Humanisme De L'Islam, by H. M. Rasjidi..., 66. teachings in important matters concerning religious affairs. 21 In the form of criticism, it is not to doubt the existence of the Prophet as a messenger of Allah subhânahu wa ta'âlâ, where the commands and prohibitions are revelations to be obeyed as a form of obedience to Allah, 22 however, prove the truth that hadith comes from the Prophet without being added and reduced, by identifying originality without forgery by parties who have political interests intending to elevate their rank in the name of religion, and expressing support for a group, relying on (false) hadith comes from the Prophet. For classical scholars, determining the authenticity of hadith is an attempt to ensure the truth in its position as a source of Islamic law. Scientific traditions are increasingly built by the classical generation occurred political conflicts. As the beginning of the incident, it occurred taḥkîm, so that there was a distortion in Islam, that was marked by the formation of several groups including the Syî'ah, Khawârij and supporters of Mu'awiyyah. 23 The impact of the incident, many of the companions moved to hijrah, their places of residence became the search area of the later hadith, and became the central city of hadith in the form of madrasah, 24 such as Kufa, Basrah, Medina, Mecca, Sham 21Muhammad Musthaf a al-A'zami, Studies in Early Hadith Literature with a Critical Edition of some Early Texts (Beirut: al-Maktab al-Islamy, 1968), 183. 22Al-Hasr [59] : 7 [x] 23Marhsal G. Hodgson, The Venture of Islam: Volume one (Chicago: The University of Chicago, 1974) 212-223. "And what Allah restored to His Messenger from the people of the towns - it is for Allah and for the Messenger and for [his] near relatives and orphans and the [stranded] traveler - so that it will not be a perpetual distribution among the rich from among you. And whatever the Messenger has given you - take; and what he has forbidden you - refrain from. And fear Allah; indeed, Allah is severe in penalty." 24Abu Zahû, al-Hadîth wa al-Muhaddithûn (Kairo: Maktabah al-Tawfiqiyyah, t.th), 243-244; Musthafa Muhammad Abu 'Imarah, Adhwâ' 'alâ al-Madâris al-Hadîthiyah: nash'atuhu wa tatawwuruhu (Kairo: Maktabah al-îman, 2010), 8. and Egypt. 25 Beside the emigration of the companions as result of taḥkîm, a generation born by the Prophet was the next generation of Muslim leaders as trustworthy bearers. Therefore, the election of the caliph was considered important to maintain the political stability of the Muslims at that time. The Caliphate began with the leadership of Khulafâu al-Râshidîn (632-661), in the time of first three caliphs Abû Bakar al-Siddiq, 'Umar ibn Khattab dan Uthman ibn Affan were centered in Medina, while in the government of Ali ibn Abi Talib had moved to Kufa, Umayyad Caliphate (661-750) was in Damascus, followed by Abbasid Caliphate (750-1258) was in Baghdad. Then Fatimiyyyah Caliphate (909-1171) was in Cairo, was the only Shî'ah caliphate at that time. Umayyad Caliphate was also found in Cordova Spain which lasted from 929 to 1031. As well as the Caliphate founded by the Ottoman Dynasty in Turkish Constantinople which was the largest Caliphate but not from the Arabs (1517-1924). 26 In track record of the Caliphate run by Muslims since Khulafâu al-Râshidîn until the Caliphate was founded by Utsmani Dynasty, there were several periods that could not be avoided from political matters. 27 So, according to majority of scholar, it happened less phenomena harmonious, resulting in the development of forms of counterfeiting of hadiths, especially the beginning of the second century after the emigration of Prophet Muhammad. 28 The perpetrators were carried out by irresponsible parties, taking the opportunity to raise the rank of the group to get more attention from Muslims at that time. Reflecting from the above, to maintain the authenticity of the Prophet's hadith, it needs to 25Akram Diya' al-Umari, Buhûth fî Târikh al-Sunnah alMusharrafah (Beirut: 1984), 278-280; Ahmad 'Umar Hasyim, Manâhij al-Muhaddithîn, (Kairo: Dar al-Ma 'arif, 2014), 23-26. 26Philip K Hitti, History of The Arabs translated from the book 27Ibid., 222-229. of History of the Arabs; from the Earliest Times to the Present (Jakarta: Serambi Ilmu Semesta), 229. 28Ahmad 'Umar Hasyim, al-Sunnah al-Nabawiyyah wa 'Ulûmuhâ… 75-77 ., be based on mature scientific disciplines, it began at the beginning of the third century as formation of methodological models of various aspects of Islamic teachings. 29 From these models, it can be characterized by the growth of several religious narratives of fiqh genre, words and appeals for prophetic traditions. 30 Initially, the idea of forming Islamic law had happen since the time of Khulafâu al-Râshidîn, point of view Mannâ al-Qatthân not to mention its appearance at the time of Prophet, because the Prophet's period was at the beginning of rules formation Makah and Medina periods. 31 Over time, after going through period of Khulafâu al-Râshidîn, it followed by period of comrade junior and tâbi'în senior. The end of the first century and into the second century post-migrate, it began formation of law methodologies that was triggered by classical scholars. In the relationship between hadith and Islamic law, a founder of madhhab, Imam Abû Hanîfah mentioned in Sahiron Syamsudin's work states that hâdîth âḥâd was considered by Imam Abû Hanîfah could not be used as a source as a legal reference, unless there has been evidence of the accuracy of the narrator, 'adâlah was guaranteed and strengthened by al-Qur'ân and other authentic hadiths. 32 It indicated that Imam Abû Hanîfah has carried out legal retrieval by sorting out various sources used as references, although it has not been summarized as a standard methodology. The methodology of Islamic law has been recognized by eastern and western scholars initiated by Imam al-Shâfi'î (204 H) through his book al-Risâlah as the formation of uṣûl al-fiqh (Islamic legal theory). Wael B Hallaq argued that Imam al-Shâfi'î the book of al-Risâlah had built 29Muhammad Dede Rodliyana , Sejarah Pemikiran Ulumul Hadis (Bandung: Pustaka, 2007). 31Manna' al-Qatthan, al-Tashrî' wa al-Fiqh al-Islâmî: Târikhan wa Manhajan (Kairo: Maktabah al-Wahbah, 2001), 45-49. 30Daneal W Brown, Rethinki ng Tradition in Islamic Thought (Cambridge: Cambridge University Press, 1997), 15. 32Sahiran Syamsudin, "Abû Hanîfah Use of the Solitary Hadith as a Source of Islamic Law", Journal Islamic Studies 40, no. 2 (2001): 257-272. Retrieved at 20/03/2015, 08.34. a synthesis between revelation and reason, it had succeeded become a mediator between traditional community initiated by Imam Malik bin Anas domiciled in Medina and rationalist community by Imam Abû Hanîfah followers in Kufa. 33 From several books, al-Risâlah Imam al-Shâfi'î built a synthesis that had never been done by those groups without cornering one of them, Imam alShâfi'î was able to stand in the middle of it. The Works of Shaykh Abû Ghuddah Actually, to find a series of thoughts that established Abû Ghuddah in formulating several theories of hadith, it is necessary to classify several of his work books and taḥqîq, the extent to which reform of hadith thought developed by Abû Ghuddah or even remain consistent in the form of thought inherited by classical scholars. Works of Abû Ghuddah consist of various scientific disciplines, such taḥqîq in the fields of hadith and science of hadith, fiqh and ushul fiqh, creed and morals, al-Qur'ân knowledge, and Arabic literature. Pure work of Abû Ghuddah included the fields of hadith discipline and knowledge of hadith, history and biography of classical scholars, creed and morals education, scientific polemics. It will be classified the types of works produced by Abû Ghuddah. From various books that have been ascertained taḥqîq and from the pure work of Abû Ghuddah thought, the dominance of the work produced is more in the discussion related to the disciplines of hadith. It can be classified as follows. The work or book of Abû Ghuddah in from of taḥqîq related in hadith disciplines of 28 (50.9%), hadith 2 (3.6%), ushul fiqh 2 (3.6%), fiqh 14 (25, 4%), morals 5 (9.1%), aqidah 1 (1.9%), knowledge of al-Qur'ân 1 (1.9%) and Arabic literature 2 (3.6%). The percentage of pure works of Abû Ghuddah thought are hadith science 7 (35%), hadith 3 (15%), biography and history 3 (15%), 33Wael B Hallaq, "Was al-Syafi'i the Master Architec of Islamic Jurisprudence", International Journal of Middle East Studies 25, no. 4 (1993): 587-605. Retrieved at 26/03/2015, 01.34. education, morals, courtesy 5 (25%) and scientific polemics 2 (10%). Therefore, some of Abû Ghuddah work are more inclined and dominant in the ushul hadith, so the discovery of how Abû Ghuddah crated a theory in the science of hadith is a way to discovery his thought. The number of works produced by Abû Ghuddah was by taḥqîq and re-explain meaning in the past by interpreting with more contextual meaning. It proved most of Abû Ghuddah works are from taḥqîq, thus, it identified the mastery of Abû Ghuddah in the study of hadith in the form of taḥqîq. Moreover, He also re-read classical texts to be explained in a language that was easier to understand. As a conclusion, He has conducted reformation of thought as a contemporary hadith scholar by contextualizing the scientific Hadith to be more relevant in contemporary period. The Existence of Madhhab in the Study of Hadith The historical formation of madhhab has an important role to find the existence of the early madhhab related to study of hadith. The ahl alhâdîth was well known as the textualist have a foundation in maintaining the understanding conveyed by the Prophet Muhammad. Madhhab was dominated by figures of ahl al-fiqh who understand texts more contextual. Beside, sect of ahl al-ra'y understood logically the text that has existed since the 2 nd and 3 rd century hijri. The dynamics in classical studies was the starting point of the scholars to carry out ijtihad with the capacity of knowledge possessed in the provisions that have been fulfilled. The level of difference in the classical period did not have to be continuity until the present period, that is sometimes a difference in furû'îyyah, did not have a split, but a form of gratitude as a form of wealth and Islamic diversity with diverse opinions. 34 The Prophet taught his comrade to be able to take a legal basis from al-Qur'ân, Sunnah and ijtihad 34Muhammad Baharun, Islam Idealitas Islam Realitas (Jakarta: Gema Insani, 2012), 112. in accordance with the teachings of the nash. Followed by the legal method of the new findings by Imam al-Syâfi'î (204 H) by making qiyas the last hierarchy in the source of Islamic law. Ahl al-hâdîth as a group that maintains of hadith from the Prophet, comrade and tâbi'în did not see ra'y and qiyas as legal sources, who prefer to maintain tradition of sanad. A different step is taken by ahl al-ra'y using reasoning as an authority reinforcement of the statements built. 35 The position of hadith has shifted from a period many hadith memorized by the Comrade of the Prophet until the narration of hadith in writing. According to Nabia Abbot, it began from the time of al-Zuhri (w. 124 H), or it referred to as the period of shift from oral to written transmission. 36 Then, a renewal action was taken by classical scholars to realize Islamic values could be comprehensively understood by using rules of study of hadith that had been formulated by comrade and tâbi'în, so that Islamic values continued from the time of the Prophet, the period of Makkah and Madinah, to the present. Basically, between ahl al-ra'y and ahl alhâdîth, both are groups initiated by the two founders of the fiqh madhhab recognized in their time, namely Imam Abû Hanîfah (w 148 H) for ahl al-ra'y in Kufah and Imam Malik ibn Anas (w 159 H) from ahl al-hâdîth in Medina. The truth of Imam Abû Hanîfah and his students were followed by Hanafi madhhab followers, as the successor to fiqh madhhab inclined to logical thinking, whether it survived until now, or the figure of Imam Abû Hanîfah did not fully use reason in taking law, may prioritize nash; however, with an understanding has been understood by Imam Abû Hanîfah, it can be relevant to the sociological conditions of Kufa 35Joseph Schacht, The Origin of Muhammadan Jurisprudence..., 129. 36Michael Cook, Kontroversi Hadis: Percaturan dan Pertentangan Awal Islam, translated from the book of "The Opponents of The writing of Traditional in Early Islam" (Bandung: Penerbit Marja, 2015), 16; see more complete, Nabbia Abbott, Studies, II, 53, 80, 184 and 196. region at that time? The question that was presented related to the research studied from the Shaikh Abu Ghuddah of madhhab Hanafi. Since the beginning of the emergence of jurisprudence madhhab until the medieval period of Islam, the ahl al-hâdîth was dominated by several figures who had an affiliation to the Shâfi'î madhhab, while the theological held by hadith scholars was more affiliated with the sect of Asyâ'irah. Hadith scholars followed Shâfi'î madhhab included Imam al-Bukhâri (w 256 H), Imam Muslim (w 261 H), Imam al-Nasâ'i (w 303 H), Imam Ibn Khuzaimah (w 311 H), Imam Ibn Hibbân (w 354 H), Imam al-Ismâ'ili (w 371 H), Imam al-Dâruquthni (w 385 H), Imam Abû Nu'aim ( w 430 H), Imam al-Khatîb al-Baghdâdi (w 463 H), Imam Ibn Shalâh (w 643 H), Imam al-Hâkim (w 403/405 H), Imam al-Khatâbi (w 388 H), Imam Ibn Asâkir (w 571 H), Imam al-Silafi (w 576 H), Imam al-Sam'âni (w 562 H), Imam Ibn Najjâr (w), Imam al-Nawawi (w 676 H), Imam al-Dimyati (w), Imam al-Mizzi (w 578 H), Imam Ibn Kathîr (w 774 H), Imam al-Subki (w 756 H), Imam Ibn Sayyidinnas (w), Imam al-'Irâqi (w 806 H), Imam al-Haithâmi (w 974 H), Imam Ibn Hajar al-'Asqalâni (w 852 H), Imam al-Suyûti (w 911 H), Imam al-Syakhâwi (w 902 H) and others. The narration of hadith carried out by the scholars by recording hadith from some teachers where they studied, such as al-Hafidz Abu alFadhl Zainuddin al-Iraqi (w 806 H) recited the hadith from memorized increased to 400 majlis, Imam Ibn Hajar al-'Asqalâni his student (w 852 H) said that his teacher revived the tradition of writing hadith since 796 H. 37 Ahl al-hâdîth affiliated with Asyâ'irah theology included Imam Ibn Hibbân (w 354 H), Imam al-Dâruqhutni (w 385 H), Imam Abu Nu'aim (w 430 H)), Imam al-Harawi (w 481), Imam al-Hâkim (w 403/405 H), Imam al-Khatâbi 37Muhammad Muhammad Abû Zahw, al-Hâdîth wa alMuḥaddithûn 'Inâyat al-Aimmah al-Islâmîyyah bi al-Sunnah alNabawîyyah (Riyadh: Maktabah al-'Arabiyyah al-Su'udiyyah, 1957), 437. (w 388 H), Imam al-Khatîb al- Baghdâdi (w 463 H), Imam al-Baihaqi (w 458 H), Imam Abu Thahir al-Silafi (w 576 H)), Imam al-Sam'ani (w 562 H), Imam Ibn 'Asâkir (w 571 H), Imam Qadhi 'Iyâḍ (w 544 H), Imam Ibn Shalâh (w 643 H), Imam alNawawi (w 676 H), Imam Abû Amr al-Dani (w 444 H), Imam Ibn 'Abdil Bar (w 463 H), Imam Ibn Abi Jamrah (w 699 H), Imam al-Kirmani (w 412 H), Imam al-Mundziri (w 656 H), Imam al-Dimyati (w), Imam al-'Irâqi (w 806 H), Imam al-Sakhawi (w 902 H), Imam al-Haithâmi (w 974 H), Imam Ibn Hajar al-'Asqalâni (w 852 H), Imam al-Suyûti (w 911 H), Imam al-Qasthalâni (w 923 H), Imam al-Ubbi (w), Imam Ali al-Qâri (w 1014 H) and others. From the names of ahl al-hâdîth, it could not be generalized that all ahl al-hâdîth are Shâfi'î madhhab and all ahl al-hâdîth are Asyâ'irah theology. Imam Abû Hanîfah as the originator of Hanafi fiqh had madhhab had three thousand students. 38 The amount was not slight. They studied fiqh, hadith and other Islamic disciplines. Imam Abû Hanîfah has several students known as faqîh fî al-dîn, such Abû Yûsuf al-Qâḍi (113-181/182H), Muhammad Ibn Yûsuf al-Farqad or known as Abû 'Abdullah al-Syaibâni (187 H), Zafar ibn Huzail ibn Qais ibn Salâm al-'Anbâri alTamîmi (158 H), al-Hasan ibn Ziyad al-Anshâri al-Lu'lûi Abu 'Ali al-Kûfî (204 H). 39 The spread of hadith study did not stop in the early days of Islam or the heyday of Islam under the rule of the Abbasid dynasty (132-656 H/ 750-1258 AD). The study of hadith continues to show the existence until modern era 20 th century. It proved by the number of the existence of scholars wrestle in the field of hadith, as khâdim al-sunnah. 40 A muḥaddith with Hanafi madhhab 38Muhammad Qâsim 'Abdah al-Harîthi, Makânat al-Imâm Abû Hanîfah baina al-Muḥaddithîn (Disertasi Universitas al-Dirasat al-Islamiyyah Pakistan, 1413 H), 83. 40Khâdim al-Sunnah is a term used for a cleric with his devotion to study and practice the teachings of the Sunnah of the Prophet Muhammad. If Khâdim al-Qur'ân is a person who is 'alim in the knowledge of al-Qur'ân, has an understanding of interpretation and its rules by applying the knowledge he has learned from al-Qur'ân. 39Ibid., 86-88. Shaykh 'Abdul Fattâh Abû Ghuddah, is one of scholars of contemporary hadith wrestle in the field of hadith, dirâyah and riwâyah. The works and taḥqîq of Abû Ghuddah explained the study of modern hadith still exists. The ability of hadith scholars in maintaining the originality of hadith studies makes an appeal of western scholars to study by proving the truth of genealogies existence (sanad) scientifically. The occurrence of debate and upheaval in the field of hadith that Abû Ghuddah tried to defend, through syarḥ classical manuscripts were accompanied by additional explanations in order what was studied by classical scholars could be understood in current context, easier to understand by language and methods contemporary, concluding the statement of difference opinion, the problem was concluded and resolved. 41 The existence of a feud in defending the original hadith, or more globally in the form of turâth, as a wealth owned by Islam needs to be understood correctly. The problem of al-khilâfîyyah did not need to be disputed to break up the unity of the Ummah, because, it did not relate to the issue of theology of creed. However, Nash Hamid Abû Zayd revealed conflict of thought in understanding al-Qur'ân and hadith by involving knowledge of kalam, had a profound impact on ummah life, a past nash relevance for the present, while backrest by relying on the present can form innovative laws or rules. 42 Maintaining the original of turâth is an obligation to look at the history of scientific dynamics. The interpretation of the relevance of present-day reality is an innovative way of contemporary scholars in safeguarding the values of Nash without going 41Muhammad 'Abdul Hay al-Laknawi al-Hindi, Zafâr al-Amâny bi Sharhi al-Mukhtasar al-Sayyid al-Sharif al-Jurjâni, Sharh by Shaikh 'Abdul Fattâh Abû Ghuddah (Beirut: Dâr al-Bashâir alIslâmiyah 1429/2008), 7-8. 42Nashr Hamid Abu Zayd, al-Nash, al-Sultah wa al-Haqîqah: alFikr al-Diny baina Irâdat al-Ma'rifah wa Irâdat al-Haimanah (Beirut: al-Markaz al-Thaqafi al-'Arabi, 1995), 18-19. beyond the boundaries of sharia taught by the Prophet Muhammad. As a cleric in the field of hadith, Abû Ghuddah in his works was not limited to dominating the quotes of opinions from Hanafi madhhab, it also involved madhhab of Maliki, Syâfi'î, Ahmad and other followers of the sect. Works of Abû Ghuddah quoted from several madhhab besides Hanafi are Lamaḥât min Târîkh al-Sunnah wa 'Ulûm al-Ḥadîth and al-Fawâid al-Mustamiddah min Taḥqîq al-'Allâmah al-Syaîkh 'Abdul Fattâh Abû Ghuddah. Both books have the genre of hadith that discusses the science of hadith dirâyah or Uṣûl al-ḥadîth. Abû Ghuddah Answering the Criticism of Imam Abû Hanîfah in the Science of Hadith Though of Imam Abû Hanîfah in the study of hadith is rarely echoed as a figure who plunges into the field of hadith. His character was better known as an early mujtahid in the field of fiqh till now. The character of the thought of Imam Abû Hanîfah was persistent in maintaining principles. When there was an offer to serve of Caliphate government, but he refused, Period of Bani Umayyad Caliphate in Kufa for 52 years and Abbasiyyah Caliphate in Baghdad for 18 years. 43 Kufah and Basrah in Iraq were the two cities delivered several scientists in various disciplines. The disciplines are literature, theology, interpretation, hadith, fiqh and tasawuf. That was a transformation of socio-cultural, political and traditional conflict among tribes of North Arab, South Arabia and Parsia that influenced on Imam Abû Hanîfah mindset in science especially in establishing the law, so that his life and education background is never separated from available sources. 44 The condition of Kufah 43Muhammad Abu Zahrah, Târîkh al-Madhâhib al-Islâmîyah fî al-Siyâsah wa al-'Aqâid wa Târîkh al-Madhâhib al-Islâmiyah (Kairo: Dar al-Fikr al-'Arabi 1996), 347-348. 44Muhammad Ma'shum Zein, Arus Pemikiran Empat Mazhab: was intensively Caliphate political, Imam Abû Hanîfah as a fiqh expert in establishing the law istinbâṭ from al-Qur'ân and hadith prefer to use reason and prioritizing al-ra'y (rational) instead of khabar âhâd. Whereas if you find a hadith that is outwardly contradictory, then the law is determined by using the qiyâs and istiḥsân path. This is what makes Imam Abû Hanîfah was better known as the mujtahid Imam in the field of jurisprudence. The position of Imam Abû Hanîfah for Abû Ghuddah was as a model in ijtihad in clarifying the criticisms raised by some clergy mutaakhkhirin regarding the biased status of Imam Abû Hanîfah to ahl al-ra'y madhhab in taking legal istinbâṭ. To answer this statement, Abû Ghuddah did taḥqîq and ta'lîq as what and how was the rebuttal uttered by Abû Ghuddah. Conclusion Debate between hadith scholars and ra'y developed into a fiqh expert has in common with the existence of clerical figure such as Shaikh Abd al-Fattâh Abû Ghuddah. His figure expects that as a hadith scholar with Imam Abû Hanîfah madhhab was well known as ahl al-ra'y madhhab paving the way to reject differences between hadith scholar and al-ra'y. Imam Abû Hanîfah on several occasions gave fatwas based on texts, so that the label of textual scholars could be pinned to him as the founder of ahl al-ra'y madhhab. 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RESULTS FROM POST-CLOSURE DOSE ASSESSMENT MODELS WITH "ALTERNATIVE" LEVELS OF DETAIL Ryk A Kłos 1 , Danyl Pérez-Sánchez 2 , Shulan Xu 3 and Maria Nordén 3 1. Aleksandria Sciences, 37 Coverdale Road, Sheffield United, Kingdom, S7 2DD, firstname.lastname@example.org 2. CIEMAT, Madrid, Spain, E-28040 3. SSM, Stockholm, Sweden, SE-171 16 An important issue for long-timescale dose assessment is how to use site descriptive material to the assessment model over extended time periods. Assessments need to strike a balance between simple models and more complex approaches that draw more extensively on this site-specific information. This paper explores the relative merits of complex versus more stylized biosphere models in the context of a site-specific assessment. applications for the construction of deep geologic disposal facilities for high-level radioactive waste (SKB, the Swedish Nuclear Fuel and Waste Management Company 6 and POSIVA, the corresponding organization in Finland 7 ) have assembled detailed site descriptive modeling, since the site is known and well characterized. The dose assessment models supporting their applications are correspondingly complex and detailed. 8,9 We report on work undertaken on behalf of, and in cooperation with, the Swedish Radiation Safety Authority (SSM) in review of the recent license application submission by the Swedish Nuclear Fuel and Waste Management Co. (SKB). The work is contributing towards Working Group 6 of the International Atomic Energy Agency's (IAEA's) programme on Modelling and Data for Radiological Impact Assessments (MODARIA), which is developing guidance on addressing environmental change in long term safety assessments of radioactive waste disposal facilities. Complementing this is material from CIEMAT's development of detailed soil models capable of dealing with changes of soil hydrogeochemistry in response to changes in the depth of the water table. I. BACKGROUND – MODEL REQUIREMENTS What constitutes a "fit-for-purpose" model depends strongly on the assessment context, the site context, the regulatory context and, to a large extent, the stage in the iterative process that is the licensing process. 1 In the late 1980s and 1990s SSM's forerunner (SSI) sponsored a series of intercomparisons to address different aspects of subject as applied to environmental radioactivity. 1,2,3 This was subsequently followed up by the IAEA's BIOMASS program which codified the Reference Biospheres approach. 4 At that time models for generic applications were relatively simple in structure and those intended for more clearly defined sites tended to be configured to the site-specific detail. 5 The two strands generic and specific are still discernable in today's ongoing model development. Those organizations having recently submitted license IHLRWM 2015, Charleston, SC, April 12-16, 2015 The regulatory framework in Sweden 10 and Finland 11 does not specify the way in which the calculations should be performed. Instead the protection objectives are set out so that the method to be used to assess future impacts is left open to the licensee. With a more prescriptive framework (e.g., in the USA 12 ) the regulator has a more direct role in determining the nature of the calculation. Detailed dose assessment models are not only used in HLW-assessments. Also in Sweden, SKB have recently submitted an application to the Swedish government to extend the existing I/LLW repository at Forsmark (the location of the proposed repository for spent fuel). In Spain, CIEMAT (Research Centre for Energy, Environment and Technology) have been engaged in development of models for the assessment of I/ILW repositories, specifically the facility at El Cabril. 13 The role of soil hydrology and the soilplant interaction and how they evolve can be important in such assessments. 14,15,16 The interpretation and usage of standard models for the soil-plant interaction have also been studied in other dose assessments. 17,18 Currently the International Atomic Energy Agency (IAEA) is finalizing its' MODARIA project. 19 The aim is to enhance confidence in dose assessment models with focus on long term climate change, in part by developing a consensus on modelling philosophies and approaches. This implies system evolution is an integral feature of assessments. Both CIEMAT and SSM are active in this forum with contributions involving the models described below. This paper considers results from SSM's "alternate" models used to support the review of SKB's spent-fuel license application, specifically in respect to the treatment of long-term site evolution. We also consider the use of more detailed FEP-based models with higher spatiotemporal resolution. Results indicate how alternate models can be used to support the licensing process and indicate where future developments in dose assessment modelling are required. II. MODELS AND APPLICATIONS II.A. Types of model Table I summarizes the models considered here. They can be categorised as "simple" (non-evolving, single ecosystem), "complex" (evolving, multi-ecosystem) and "advanced" (FEP-based, high spatiotemporal resolution) models. The applications for which they are intended are outlined below. II.B. Models for Forsmark describe the continuous development over time by varying the size and properties of aquatic and terrestrial areas according to the development of each specific biosphere object. "Landscape Dose Factors" (LDFs, (Sv year -1 )(Bq year -1 ) -1 ) for a range of relevant radionuclides in the disposed inventory are calculated to scale geosphere discharges so providing a measure of the potential radiological impact. The LDF values are used in Section III to compare alternative interpretations of the future landscape. While the SKB model is a highly complex, spatially extended and evolving "landscape model", SSM's review models differ: GEMA-Site is an evolving model of a representative hydrologic basin typical of the future Forsmark landscape 20 . It takes the SKB database and, in particular, looks at the spatial discretisation of the basin and how this can influence the evolving flow system in the regolith of the basin. This too can be classed as a "complex" model. The Forsmark site is located on the Baltic coast with a terrestrial landscape including lakes, mires, forest and arable land. The land at the site is projected to continue to rise due to post-glacial uplift (legacy climate change from the previous deglaciation) leading to significant ecosystem transitions over the next ten to twenty thousand years. SKB's Radionuclide Model 8 is built on a landscape evolution model, whereby radionuclide releases to distinct hydrological basins/sub-catchments (termed 'objects') are represented as they evolve through land rise. The large number of data sets obtained by landscape development and site descriptive modeling 21,22 feed into the Radionuclide Model to The third model - the "simple" model has been developed by Walke using the BIOMASS Reference Biospheres Methodology for different ecosystem types. 23 Parameters describing the system are constant in time. As with GEMASite it is configured to use the common SR-Site dataset (as a first approximation). There are commonalities in the structures of the SRSite, GEMA-Site and models derived using the BIOMASS Reference Biospheres Methodology (RBM models) for dif- TABLE I. Classification of models and characteristics. Vertical discretisation shows number of layers in the soil column. Horizontal indicates the spatial extent of the model. Models use either annual or monthly parameter values. Soil-plant interaction is by concentration ratio (CR) or as a dynamic uptake process. \| Model and type \| \| Ref. \| Discretisation \| \| \| Soil-plant model \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| Vert. \| Horiz. \| Time \| \| \| “Complex” – evolving, linked multi-ecosystem \| SKB SR-Site \| 8 \| 3 \| 2c \| Year \| CR \| \| \| GEMA-Site a \| 20 \| 3 \| 3 \| Year \| CR \| \| “Simple” – constant, inde- pendent single ecosystem \| RBM b \| 23 \| Varia- ble \| 1 \| Year \| CR \| \| “Advanced” – FEP-based, high spatiotemporal resolu- tion \| CIEMAT \| 14, 15 \| 10 \| 1 \| Month \| Dyn. \| \| \| GEMA-10 a \| 16 \| 10 \| 1 \| Month & year \| CR or Dyn. \| Notes: a GEMA – Generic Ecosystems Modelling Approach. Several models in the GEMA series have been developed for SSM. b RBM - "Reference Biosphere Models". Multiple instances of different models are used to represent different ecosystem types. Based on the BIOMASS methodology, the discretisation is selected by the developer. c Two lateral areas are defined for each basin in the landscape. Many basins are modelled separately and linked in the landscape model. IHLRWM 2015, Charleston, SC, April 12-16, 2015 ferent ecosystems. GEMA-Site and the SR-Site model combine multiple ecosystems in the same model structure and different ecosystem types are active as the evolution progresses. Where SR-Site's dose assessment model links different (largely independent) basins in the landscape, assessing the radiological consequence of release to each of the potential recipient basins, the single basin in GEMA-Site can be run in a probabilistic mode with varying characteristics. In this way both models "sample" the future landscape. The essential difference between "complex" and "simple" models therefore lies in the way in which the models deal with system evolution. In the simpler approach multiple time-invariant models are used independently. In the more complex approach there are a considerable number of in-built switches that activate or deactivate specific processes according to the current state of the evolving system. During any particular system state the complexity of FEP representations is similar in "complex" and "simple" models. II.C. "Advanced" models Both CIEMAT and SSM have developed an interest in modeling redox effects in the soil column and the influence of a moving water table on interannual timescales, leading to models with more advanced FEP representations. The main focus of the results presented in Section III.B is the CIEMAT model developed to assess radiological impacts of the I/LLW facility at El Cabril. The site is located in a semi-arid valley in the hills of the Sierra Albarrana, in the province of Córdoba. Ongoing anthropogenic climate change means that uncertainties in soil hydrology are important. This has prompted CIEMAT to develop tools to investigate time-varying soil conditions. The initial CIEMAT model 15 addressed selenium transport and accumulation in soils, accounting for variation in sorption as a function of water saturation linked to local redox-sensitive behavior in each of the ten soil layers. A development 16 was reconfigured and run for 238 U and 226Ra. The model adopts a 1D vertical compartment model, employing a mass balance approach so that net precipitation inputs are balanced against losses by evaporation, transpiration and drainage, allowing for changes in storage in the soil layers. Monthly rather than annual averages are used as input parameters. The GEMA-10 model developed on behalf of SSM was motivated from similar considerations and is similar in structure. The water table in Sweden is close to the surface – within 1 m in many agricultural situations (see Ref. 23). Bioturbation was included between the non-saturated layers IHLRWM 2015, Charleston, SC, April 12-16, 2015 and the model, otherwise simplified with respect to the CIEMAT interpretation, was configured from the outset to be a flexible assessment-level model, incorporating a range of radionuclides: 79 Se, the 226 Ra chain, 129 I, those relevant to the Swedish HLW program. Compared to the models for Forsmark described in Section II.A, the CIEMAT 14,15 and GEMA-10 (Ref. 16) models feature higher vertical resolution in the soil column as well as monthly averaged parameters to describe water fluxes and soil chemistry. They also allow for the modelling of the soil-plant interaction to be addressed as a dynamic process (see also Refs. 10, 17). Both models originated with the aim of modeling the effects of variability in water table height. Notwithstanding the difference in climate state at the Forsmark (temperate/boreal) and El Cabril (Mediterranean) sites, there is a high degree of commonality in the models, albeit with different input data. In comparison to the structures of the SR-Site models, these models are more detailed in that they include more processes (bioturbation, dynamic root uptake) with higher (fixed) vertical resolution and with monthly rather than yearly temporal resolution of input parameters. In this way they are beyond the standard modeling approach employed by the models in Section II.A. They can therefore be described as more "advanced" than the standard assessment models. III. RESULTS AND DISCUSSION III.A. "Complex" Landscape and "simple" models Fig. 1 compares the SR-Site best-estimate LDF results 6 with the corresponding values from Walke's "simple" models 23 and a set of alternate results from GEMA-Site. 20 SKB's LDFs are based on the assumption of 1 Bq year -1 input to the base of the regolith and this same source term is used for each of the "simple" and GEMA-Site models. Results are presented for 79 Se, 94 Nb, 129 I and 226 Ra. These are important radionuclides in the disposed spent-fuel inventory with different sorption properties – selenium and iodine are relatively weakly sorbing and niobium and radium (with contributions from ingrowing daughters 210 Pb and 210Po) are all relatively strongly sorbing. Doses are calculated for foodstuffs available in the evolving ecosystems. Wells in the bedrock provide drinking water resources for both the SKB and "simple" models. GEMA-Site assumes water from lakes (when present) or the surface drainage streams (agricultural period). Results for the reference model with a well in the lower regolith are also shown. SKB's LDFs are derived as the highest dose from all landscape objects over the time period of the assessment. The set of landscape objects is the sample space from which the LDF is obtained. It constitutes objects of different sizes. The "simple" model assumes a small object if 10 4 m 2 , comparable to small agricultural areas in the SR-Site landscape description. GEMA-Site employs two sets of area data - the reference object (see Ref. 20) with Outer, Inner and Central basin areas in the ratio 10 7 :10 6 :10 5 m² respectively - the 76-5-model. A small basin 10 5 :10 4 :10 4 m² is also modelled the 5-4-4-model. The effect of the time of conversion to agriculture in the Central basin is shown, with agri t = 19 kyear compared to conversion as soon as possible, at the end of the lake stage at 13.148 kyear (determined by the model at run time in response to the initial configuration of the system and the land uplift parameter). For the weakly sorbing radionuclides ( 79 Se, 129 I) the LDFs calculated by SKB are at the upper end of the range, with the results from the "simple" models more than an order of magnitude lower. With agricultural transition at 19 kyear, the 7-6-5 (reference basin) model gives the lowest doses and it is only the small basin (5-4-4-model) that approaches the SKB LDFs. Notably the early conversion to agriculture with such a small basin gives a higher dose for 79Se. Usage of lower regolith wells does not significantly increase the dose for these nuclides in the GEMA-Site modeling. For the more strongly sorbing 94 Nb and the members of IHLRWM 2015, Charleston, SC, April 12-16, 2015 (a) Reference basin (7-6-5), 19000year agri t . (b) Small basin (5-4-4), 13148year agri t (conversion as soon as possible) Fig. 2. Evolving doses in the model described in the GEMA-Site model (including well usage for domestic and livestock water consumption). Reference and "small basin" models. See Ref. 20 for a brief description of the model. the 226 Ra chain the role of kd is clearly important. Niobium is more mobile in the lower regolith than in the superficial media. The GEMA-Site 5-4-4 model therefore gives an order of magnitude higher dose than the SKB LDF. Members of the 226 Ra chain are more strongly retained at depth in the system and there is relatively little variation in the dose from the release of 226 Ra system. Only in the case of the well in the lower regolith (GEMA-Site, 7-6-5 model) is the dose higher than the values calculated in the "simple" model and the SR-Site implementation. GEMA-Site (and the SR-Site model) evaluate the evolution of the system from the end of the previous glaciation out to 20 kyear in the future. In this way the aim is to model all of the major changes to the biosphere. Fig. 2 clearly demonstrates that agricultural systems give rise to the highest doses. Before year 10000 all of the basin is beneath the Baltic and doses from marine foodstuffs are lower than those at later times from terrestrial ecosystems. The dynamics of dose evolution in the GEMA-Site model demonstrate the effect of changes to the hydrological regime in the basin. With the reference model in Fig. 2(a), there is some accumulation in the upper regolith upto the end of the lake stage in the Central basin. On conversion to wetland this is progressively leached out, as net precipitation drains through the wetland. In Fig. 2(b) agriculture starts as soon as the lake is shallow enough to allow the emplacement of drainage pipes in the mid-regolith. The residual activity concentration in the upper regolith is therefore available for uptake in agricultural crops before leaching through the rooting zone becomes effective. Agricultural doses from 79 Se peak at this time. The two variables – area and time of transition to agriculture have an important role. Overall the SR-Site model predicts relatively high doses from the low kd radionuclides ( 79 Se and 129 I) but there is an indication in Fig. 1 that the doses from higher kd radionuclides could be higher with alternative interpretations of hydrology. For the 226 Ra chain, it is well water that dominates dose. The well water sub-models differ between the three models considered here. SR-Site and the "simple" model assume a deep well in the bedrock as the source. In the GEMA-Site model well abstraction is from the lower regolith where there can be significant accumulations of sorbing radionuclides. Overall, the "alternate" models applied to the SR-Site dataset build confidence in the license model – doses are conservative. They also suggest that additional model development might be needed in respect of the more highly sorbing radionuclides. IHLRWM 2015, Charleston, SC, April 12-16, 2015 III.B. Advanced soil-plant modeling In contrast to the site-specific model discussed above, the raison d'être of the "advanced" models is to investigate alternative representations of FEPs. The context remains the development of assessment-level models; reviewing what FEPs might be required in assessment models and seeing how they can be practically added. We focus here on results affecting uptake in plants. Kłos & Wörman noted that there are alternatives in the representation of the soil-plant uptake and that there can be considerable uncertainties in plant concentration (and thereby dose) as a result. 17 These results used the standard annual temporal resolution approach with a ten layer 1 m soil column. Results were presented for soil-plant interaction by concentration ratio as well as dynamic uptake. Similarly structured soil models with higher temporal resolution 14,15,16 show similar variation. The issue is with the appropriate value of the concentration ratio. Fig. 3 shows the derived interannual variation for the soil-plant concentration ratio (CR) calculated by the CIEMAT model. 16 This is simply the ratio of the dynamic plant concentration to the concentration in the soil column. The appropriate value that should be used in the dose assessment model would therefore be that at harvest (month 9). The implication of a simply interpreted constant CR value for use in assessment models is therefore of questionable utility. Further investigation is suggested. What impact does this uncertainty in the appropriate soil-plant model have on plant concentrations? Fig. 4 illustrates the results of using the GEMA-10 model 16 with the distribution of 79 Se, 129 I and 226 Ra resulting from GEMASite reference model (Fig. 2a). There are clear differences between the plant concentrations for three variants of the soil-plant interaction. The highest plant concentrations come from the case with monthly parameters used in the calculation (precipitation and evapotranspiration influencing a range of soil parameters) with dynamic soil-plant transfer. The same model using annual-average soil hydrology with a dynamic model gives lower crop values. Slightly higher are results for the annually averaged hydrology using CR to model plant concentrations. The influence of this model feature on plant concentration is nuclide dependent. For 129 I and 226 Ra it is around 1 to 1½ orders of magnitude. For 79 Se – with its CR values – the overall uncertainty is fairly constant in time; less than one order of magnitude. There is scope for further research and this is being undertaken by CIEMAT and SSM. III.C. Synthesis – impact on uncertainties Two assessment contexts have been presented here: a detailed site-specific assessment related to an application for a license to construct a deep-geologic repository for spent fuel and the development of assessment-level models that "push the envelope" beyond what is traditionally considered in dose assessment modelling. By the nature of the advanced stage of disposal program in Sweden, the license application and associated review models also deal in advanced concepts. System change and the consequences of climate change are prominent. Over the timescale of the dose assessment (up to 20 kyear) the legacy of climate change at the end of the latest glacial episode is still working itself out in Fennoscandia. Results in Section II.A indicate that alternative approaches to the modelling of system change lead to similar conclusions in respect of the radiological impact of release to the future landscape at Forsmark. There are two features of interest; retention in the upper regolith and the interpretation of the hydrology in the regolith that has a major influence on the distribution in the components of future hydrologic units – the basins in the future landscape. Changes of ecosystem state are important. Currently models are relatively crude in the way in which these transitions are modeled with step changes apparent in Fig. 2. As indicated changes in the flow system concomitant with ecosystem change can lead to differences in dose depending on when they occur in the evolutionary sequence. As part of the overall verification and confidence building the "simple" models have an important role. They can be used to bound the results from more "complex" evolving models. It is the way in which the more complex models capture changes to the system that is important. In the examples shown there are differences between the SR-Site (licensee) and GEMA-Site (review) models that can be traced to the way in which the hydrologic flow system in the regolith of the basins is interpreted. In the SR-Site model the relative water fluxes in the model remain constant in time whereas in the GEMA-Site model the flow vectors are time-dependent, contingent on the nature of the ecosystems. This feature accounts for the differences in the landscape dose conversion factors for weakly and strongly sorbing radionuclides. The "advanced" models discussed here have another role. They ask questions about the way in which FEPs are included in assessment level models. A common theme arising from this type of high spatiotemporal resolution model is that there is a need to review the model implemen- IHLRWM 2015, Charleston, SC, April 12-16, 2015 tation of the soil-plant relationship. Such alternative interpretations could account for around an order of magnitude increase in dose factors† compared to the standard modeling approach. Both SSM and CIEMAT are active in these respects. Further results will be reported to the IAEA's MODARIA project, the final meeting of which will take place in the Fall of 2015. IV. CONCLUSIONS As is generally the case in biosphere dose assessments, the treatment of hydrology is fundamental to the results obtained. The main differences between the "simple" approach and the SKB SR-Site models on the one hand and the GEMA-Site model on the other is the way in which the flow system changes in the latter. There remains scope for a better implemented understanding of the evolution of the flow in the regolith layers. The "complex" models here illustrate how a quasi-3D approach might be used in the future. Similarly the "advanced" models describing, in particular, the soil-plant interaction are also a useful method for improving model capabilities. Understanding of current and future "complex" and "advanced" models can best be aided by the application of simpler modeling to the same site and assessment context. The inherent uncertainties in the long-term development of biosphere systems coupled to the detail in some of the models that have recently been used in performance assessments mean that simple and transparent models can illuminate the workings of more sophisticated models. Complex models use more of the available site-specific information and contribute to an understanding of process interactions and effects of system heterogeneity. However, the degree of conservatism associated with complex modelling approaches can be difficult to interpret. 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"Biosphere Modelling in Waste Disposal Safety Assessments - an example using the TerrestrialAquatic Model of the Environment (TAME)", Nucl. Technol., 123, 44, 1998. 6. SKB. Long-term safety for the final repository for spent nuclear fuel at Forsmark: Main report of the SRSite project. SKB TR-11-01, Svensk Kärnbränslehantering AB, 2011. 7. POSIVA Safety Case for the Disposal of Spent Nuclear Fuel at Olkiluoto - Description of the Disposal System 2012. POSIVA 2012-05., 2012 8. R. AVILA, P-A. EKSTRÖM, and P-G. ÅSTRAND. Landscape dose conversion factors used in the safety assessment SR-Site. SKB TR-10-06, Svensk Kärnbränslehantering AB, 2010 9. POSIVA. Biosphere Radionuclide Transport and Dose Assessment. Safety case for the disposal of spent nuclear fuel at Olkiluoto - Radionuclide transport and dose assessment for humans in the biosphere assessment BSA-2012. Eurajoki, Finland: Posiva Oy. POSIVA 2012-31. 10. SSM. Strålsäkerhetsmyndigheten föreskrifter och allmänna råd om skydd av människors hälsa och miljön vid slutligt omhändertagande av använt kärnbränsle och kärnavfall. Swedish Radiation Safety Authority Regulatory Code SSMFS 2008:37, Stockholm, January 2009. 11. STUK 2011. Disposal of nuclear waste. Guide STUKYVL D.5-L4 (version 17.3.2011). Radiation and Nuclear Safety Authority (STUK). https://ohjeisto.stuk.fi/YVL/D.5L4.pdf 12. NRC, 10 CFR 63, Disposal of high-level radioactive wastes in a geologic repository at Yucca mountain, Nevada. Definition of reasonably maximally exposed group, available from www.nrc.gov/reading-rm/doccollections/cfr/part063/part063-0312.html 13. D. PÉREZ-SÁNCHEZ and M.C. THORNE. Developments and recommendations in radiological assessment and biosphere modelling studies to support radioactive waste disposal in Spain. International Conference on Radioecology and Environmental Radioactivity, Barcelona, Spain, 7-12 September 2014. 14. D. PÉREZ-SÁNCHEZ, M.C. THORNE, and L. LIMER. A Mathematical Model for the Behaviour of Se-79 in Soils and Plants that takes account of Seasonal Variations in Soil Hydrology. Journal of Radiological Protection, 32, 11-37, 2012. 16. R.A. KŁOS, L. LIMER, G. SHAW, D. PÉREZSÁNCHEZ, D, and S. XU. Advanced spatio-temporal modelling in long-term radiological assessment models – radionuclides in the soil column, Journal of Radiological Protection, 34 (2014) 31-50. 15. D. PÉREZ-SÁNCHEZ and M.C. THORNE. An investigation into the upward transport of uranium-series radionuclides in soils and uptake by plants. Journal of Radiological Protection, 34 (2014), 545-573. 17. R.A. KŁOS and A. WÖRMAN. Uncertainties in doses from agricultural ecosystems following conversion from wetlands Proc. 14th Int. High-Level Radioactive Waste Management Conf. (IHLRWMC) (La Grange Park, IL: American Nuclear Society), 2013. 18. R.A. KŁOS, L. LIMER, D. PÉREZ-SÁNCHEZ, S. XU and P. ANDERSSON. Uncertainties in soil-plant interactions in advanced models for long-timescale dose assessment, Proceedings of the 3 rd International Conference on Radioecology and Environmental Radioactivity, Barcelona, Spain, 2014. 19. IAEA MODARIA: http://www-ns.iaea.org/projects/modaria/ 20. R. A. KŁOS and A. WÖRMAN. Site specificity in advanced dose assessment modeling, This conference. 2015. 21. S. NORDÉN, R. AVILA, I. DE LA CRUZ, K. STENBERG, and S. GROLANDER S. Element-specific and constant parameters used for dose calculations in SRSite. SKB TR-10-07, Svensk Kärnbränslehantering AB, 2010. 22. E. BOSSON, M. SASSNER, U SABEL, and L-G. GUSTAFSSON. Modelling of present and future hy- IHLRWM 2015, Charleston, SC, April 12-16, 2015 drology and solute transport at Forsmark. SR-Site Biosphere. SKB R-10-02, Svensk Kärnbränslehantering AB, 2010. 23. Walke, R. "Modelling Comparison of Simple Reference Biosphere Models with LDF Models – Main Review Phase," SSM Technical Note 2014:34, Strålsäkerhetsmyndigheten, Stockholm, Sweden, 2014.
HOLY FAMILY JUNIOR NATIONAL SCHOOL River Valley, Swords, Co Dublin. Principal: Mr D Power Deputy Principal: Ms M McNally Chairperson: Mrs M O'Neill Charity No: 20119300 Roll No. 19721R Phone No: 8404394 Fax No: 8404446 E-mail: email@example.com Website: www.holyfamilyjns.ie ADMISSIONS ADMISSIONS POLICY POLICY The Board of Management of Holy Family Junior National School Holy Family Junior National School Holy Family Junior National School will revisit this admissions policy annually in advance of taking enrolment applications. The Board will update the enrolment criteria as required. This is done to provide a clear understanding of the enrolment process in our school for parents, teachers and the community at large. This policy is in accordance with the provisions (insofar as they have been commenced) of the Education (Admissions to Schools) Act 2018, the Education Act 1998, the Education Welfare Act 2000, Equal Status legislation and directives of the Patron. Holy Family J.N.S. is a co educational Catholic Primary Junior school under the patronage of the Archbishop of Dublin. It caters for the educational needs of children from Junior Infants to Second Junior Infants to Second Junior Infants to Second Class. Class. This school aims to promote the full and harmonious development of all aspects of the child; intellectual, physical, cultural, moral, and spiritual, including a living relationship with God and with other people. As a Catholic school we are concerned with the education of the whole person, therefore prominence is given to the quality of relationships alongside academic achievement. This school provides Religious Education for the pupils in accordance with the doctrines, practices and traditions of the Roman Catholic Church, and promotes the formation of the pupils in the Catholic faith. The school models and promotes a philosophy of life inspired by a belief in God and in the life death and resurrection of Jesus Christ. The prescribed Religious programme for schools in the diocese of Dublin is """"Grow In Love" Grow In Love" Grow In Love".... Children of other Religious beliefs are excused from this programme, but there is no facility to withdraw these children when religious instruction is taking place. The Roman Catholic children in 2 nd class are prepared for the Sacraments of Penance/Reconciliation and Eucharist. General Information General Information Holy Family J.N.S. is a Co Educational Catholic Primary School in the Parish of St Finian. Holy Family J.N.S. is a Co Educational Catholic Primary School in the Parish of St Finian. At present there are 644 644 644 children enrolled in the school. Based on the number of 650 650 650(30 (30 th thth th September September September September 20 20 20 2018 18 18 18)))) the following is the staffing allocation. 1 Administrative Principal 1 Administrative Principal 1 Administrative Deputy Principal 1 Administrative Deputy Principal 24 Class teachers 24 Class teachers 24 Class teachers 24 Class teachers 1 Support teacher 1 Support teacher 11Full 11Full----time and 1 part time and 1 part time and 1 part----time Special Education Needs Teachers (These time Special Education Needs Teachers (These time Special Education Needs Teachers (These teachers cater for children teachers cater for children who require Learning Support and Resource Teaching who require Learning Support and Resource Teaching 2 E.A.L i.e. English as an Additional Language. 2 E.A.L i.e. English as an Additional Language. 10 10 Special Needs Special Needs Special Needs Assistants ( Assistants ( Assistants (7777 full time, full time, full time, 3333 part part part----time) time) time) 1 Secretary 1 Secretary 1 Secretary 1 Secretary 1 Caretaker (part 1 Caretaker (part 1 Caretaker (part 1 Caretaker (part ----time time time time) The number of staff can change in line with staffing requirements of the Department of Education and Skills, and with enrolments. The Holy Family J.N.S. follows the curricular programme prescribed by D.E.S. in accordance with Sections 9 and 30 of The Education Act 1998. The curriculum is being implemented in accordance with the timetable recommended by D.E.S. The R.S.E. and Stay Safe programmes are both being implemented in the school within the S.P.H.E. programme. Within the context and parameters of the D.E.S. regulations and programmes, the school supports the principles of Inclusiveness Inclusiveness with particular reference to pupils with Special needs Equality Equality Equality Equality of access and participation in school life. Parental choice Parental choice Parental choice Parental choice in relation to enrolment. Respect for diversity Respect for diversity of values, beliefs tradition, language and culture. Children enrolled in the school are required to co-operate with, and support the School/B.O.M's Code of Behaviour as well as all other policies on curricular, organisation and management. In making application to the school, Parents/Guardians undertake to support the school's policies, and the B.O.M. expects them to ensure that their children co-operate with said policies in an age appropriate way. School Opening Hours: School open to receive children at 8.50 am. Classes begin at 9.10 am. ``` Morning Break: 10.30 – 10.40 am. Lunch 12.00 – 12.30 pm. Dismissal: Junior/Senior Infants: 1.30 pm First/Second Standards: 2.30 pm ``` The School Authorities, Principal and Staff do not accept responsibility for The School Authorities, Principal and Staff do not accept responsibility for your children before 8.50 am or your children before 8.50 am or after the pupils have been dismissed at the above times. after the pupils have been dismissed at the above times. There are 2 schools on this campus, each has their own roll number and are completely separate from each other. ``` 1 Holy Family J.N.S ( Junior Infants - 2 nd Class ) 2 Holy Family S.N.S. ( 3 rd Class - 6 th ``` Class ) Both schools work very closely together with the children from Holy Family J.N.S. transferring automatically to 3 rd class in Holy Family S.N.S. We at Holy Family J.N.S. ensure in so far is possible that the transfer is a very smooth operation to facilitate the educational and pastoral well- being of the children. Application Procedure for New Junior Infant Classes Each January Parents/Guardians are invited to make an application for a place in the Junior Infant classes which will be formed for August/September of the same year. There is one intake of Junior Infants every year, this being at the commencement of the school year and all applicants must have reached their 4 th birthday by 31 st August. In December/early January the parents and general community are informed that the school will be accepting applications for enrolment for New Junior Infants. This is done by note through schools, announcements at Masses, and posted on the school website and local advertising. Details of the documents required to complete Details of the documents required to complete the application are also supplied, these being: the application are also supplied, these being: the application are also supplied, these being: 1. Original Birth Certificate/Adoption Certificate.(not a photocopy) All pupils who are accepted for enrolment will be registered as per the name on their birth certificate. 2. Child's PPSN (requirement from Department of Education & Skills) 3. Two original items as proof of address, issued within 3 months: * one being a gas/electricity bill *** and * any one of the following: Statement from Bank/Building Society/Credit Union, Letter from Dept. Social Protection/Revenue. Other official correspondence from an Irish State Agency. (not required in the case of siblings who attend or have attended Holy Family Schools) 4. Eircode 5. E-mail address for one parent/guardian 6. Any other relevant reports eg, medical/psychological/speech & language reports. Any special needs must be referred to at application stage (see addendum with respect to pupils with special needs). **Where the applicant cannot present the stipulated utility bill, a letter from a Peace Commissioner / Commissioner of Oaths, confirming that the address given is the primary residence of the child/applicant. This lett This letter must be dated within the previous 3 months of the date of application. er must be dated within the previous 3 months of the date of application. As Catholic children in this school are prepared for the Sacraments of First Confession & First Holy Communion we request that an original copy of their Baptismal Certificate be supplied at a later date. A member of staff will meet parents/guardians to fill an Enrolment Application Form. The required documentation will be checked first. The application cannot pr The application cannot pr The application cannot proceed unless all documentation is supplied. oceed unless all documentation is supplied. The applicant will be required to return with the documents, before the closing date to make an application. The Parent/Guardian is then asked to check, sign and date the application confirming that all information given is true. Offers of places will be based on this evidence and be withdrawn if this information is subsequently found to be false. For administrative reasons the school will designate specific days and times to take applications for enrolment. This will usually be in January of the year your child is due to commence school. However, valid applications for enrolment will be accepted up to the closing date on January 31 st at 2.30 pm. As this school does not treat applications for enrolment on a "first come, first served" basis, the school does not accept applications for New Junior Infants in advance of the specified application time, and all late applications will be placed at the end of the list of applicants. All parents/guardians making an application receive a copy of the Admissions Policy which is also available on our website. Except in exceptional circumstances a decision regarding enrolment will be made and notified to parents within 21days of the closing date. Parents/guardians of children who have been offered places are invited to a parents/guardians information meeting in the school hall March/April. This meeting is conducted by the principal of the school. Parents' Association Members, B.O.M. members and staff members may also attend and address meeting if they so wish. At this meeting the parent body are given information about the school e.g. current enrolment, number of classes, number of Junior Infant classes, numbers of children in each class, resources available to school, uniform, book lists, format of first day, numbers on waiting list, arrangements for staff meetings, Croke Park/ Haddington Road/Lansdowne Road etc. To end this meeting, parents will be invited to ask questions about any area of school life that they are not familiar with. They are also informed of Parent Information Book, Code of Behaviour and Discipline, Anti–Bullying Code and Support Programme. On a specific day in June all parents/guardians whose children have been offered and have accepted places for enrolment in the school will be invited to bring their child to the school at a specific time for the purpose of seeing their child's classroom and meeting their teacher (where possible). All parents/guardians will receive such notice in writing. When parents/guardians attend this meeting they are issued with a welcome pack containing copy of the PARENT INFORMATION BOOKLET / ROUTINES, CODE OF BEHAVIOUR AND DISCIPLINE, ANTI BULLYING CODE AND SUPPORT PROGRAMME. They sign a form confirming receipt of same. The children are formally enrolled in the school on the first day of the school year. Decision Making The decision in relation to applications for enrolment in Holy Family National School is made by the B.O.M in accordance with school policy. In so far as possible and having regard for school policy, all children who apply will be enrolled, provided there are places for them. The B.O.M. will take account the D.E.S. guidelines on class sizes. In coming to their decisions the B.O.M is bound by the D.E.S. Rules for National Schools which state that pupils may be enrolled from the age of 4 years and upwards, (i.e. child must have reached their 4 th birthday by 31 st August) though compulsory attendance does not apply until the child reaches their 6 th birthday. In the event of there being an excess of applicants over available places, the following are the criteria by which successful applicants are decided in Holy Family Junior National School Category 1 Children living in the parish of St Finian together with brothers and sisters who attend/attended Holy Family Schools and children of current staff of Holy Family Schools. (who have reached their 4 (who have reached their 4 th thth th birthday on or before 31 stststst August August August)))) Parish boundaries are defined by the Catholic Archdioceses Category Category 2222 All other applicants resident outside the parish.... (who have reached their 4 (who have reached their 4 th thth th birthday on or before 31 stststst August August)))) All valid applications received by the closing date will be ranked by category. Rankings within each category will be determined by date of birth. Priority is given to the oldest children within each category within each category within each category. Available places are allocated to Category 1 first, in order of age, oldest children first. Any unfilled places will then be offered to Category 2, in order of age, oldest children first Applicants will now be notified of the BOM decisions. Notification will be in writing to the address provided. The available places will be offered in writing to applicants following the order detailed above. Successful applicants are asked to complete and return an Acceptance/Non-acceptance slip by the specified date. Where the applicant's parents decide not to send their child to school that particular year, the applicant's place cannot be deferred. A new application must be made the following year should the parent/guardian decide to do so. The remaining names now constitute a "Waiting List", ranked from first to last, oldest children first.. Unsuccessful applicants are informed in writing and are told where they are on the waiting list. Where the school receives confirmation of a rejected offer of a place, that place will be offered to the child at the top of the waiting list as soon as possible. Late Applications Applications for enrolment in New Junior Infants will be accepted after the closing date. These are deemed late applications, and will be considered when: Applicants who made a valid application by the closing date have been offered and accepted/declined a place * Applicants on the "Waiting List" (should one exist) have been offered and accepted/declined a place Should places remain available at this point, the late applicants will be ranked according to Categories 1 & 2 above and will be offered places in this order. Where the waiting list is not cleared earlier, it will be in operation until September 30 th of that year, by which time all Junior Infants places will have been filled. At this time all information held by the school on unsuccessful applicants will be destroyed. An unsuccessful applicant may reapply for a place in Junior Infants the following year should they choose to do so, provided they have not been enrolled in another recognised school. From October 1 st , applications for Junior Infants will only be considered where they are Inter-School Transfers. Application Procedure for Application Procedure for In InIn Inter ter ter ––––School Transfers School Transfers This section applies where children are already pupils attending a recognised school. The Board of Management of the Holy Family JNS may accept pupils transferring from another school subject to space being available in the particular class in question, and subject to the Board being satisfied that the transfer is in the best interests of all concerned. The Board will seek the approval of the Department of Education and Skills where applicable. While recognising the right of parents to enrol their children in the school of their choice, the Board is also obliged to respect the rights of the existing school community and in particular the children already enrolled. When considering applications the Board must have regard for the relevant D.E.S. guidelines in relation to class size and/or staffing provisions together with any other requirements concerning physical space and the health, safety and well being of the children. This requires balanced judgements, acting in the best interest of all children. The Board reserves the right to refuse an application for transfer to the school, and to determine the maximum number of children in each separate classroom bearing in mind * The available space in each classroom * The educational needs of children of a particular age * The educational needs of the applicant * The presence of pupils with special educational/behavioural needs * The question of multi-grade classes * The prevailing Pupil-Teacher Ratio as per DES Parents of children seeking a transfer to any class (including Junior Infants after 30 th September) are expected to visit the school to complete a Transfer Application Form. The documentation required is as listed above, together with recent school reports and any assessment reports. The school may contact the child's current school to seek additional information. Application may be made at any time during the school year. In the event of there being an excess of accepted applicants over available places for any class, names will be placed on a list. The applicant's name may remain on this list until the school is requested to remove it, or the child is no longer a candidate for the Junior School. Applicants for each standard will be ranked according to Categories 1 & 2 above. Please note that the addition of another applicant may alter the previous ranking, as the school does not operate on a "first come, first served" basis. When a vacancy occurs in a particular standard, and where the Board sanctions filling it, this place will be offered to the applicant who is first on the list when that vacancy occurs. The child may join the class at any point in the school year, once the application is in order and accepted by the Board. Lobbying of School personnel or Board members regarding admission will disqualify an applicant. Transfers out Parents/Guardians are requested to inform the school when their child will be transferring to another school or leaving the country. This notification should be in writing, it should specify the name and starting date for the new school/country to which the child is moving, and the date of final attendance in the Holy Family J.N.S. This allows the school offer the vacated place as detailed above. Parents should be aware that subsequent to the written notification, if the transfer does not take place; they will have to apply to the school for a place as detailed above. Where there is no notification provided, the school will be informed of the child's attendance in a new school by that Principal (Education (Welfare) Act (2000), Section 20), or, the child will accrue 20 consecutive school days absences. At this point the vacated place will be offered to the next person on the waiting list. ADDENDUM TO SCHOOL ENROLMENT POLICY WITH RESPECT TO PUPILS WITH SPEC ADDENDUM TO SCHOOL ENROLMENT POLICY WITH RESPECT TO PUPILS WITH SPECIAL NEEDS. IAL NEEDS. IAL NEEDS. 1. A clear statement of the extent of the child's special learning difficulty/physical needs to be sought from the agency dealing with the case. 2. Up to date Psychological / Speech and language reports to be provided Up to date Psychological / Speech and language reports to be provided. Following receipt of these reports. The B.O.M. will assess how the school will meet the needs specified in the report. Where the B.O.M. deems that further resources are required, it should prior to enrolment, request the N.C.S.E.(National Council for Special Education)/D.E.S.(Department of Education & Skills) to provide the resources required to meet the needs of the child as outlined in the psychological or medical report. These resources may include for example: access to or the provision of any or a combination of the following: Visiting teacher service/resource teacher for special needs/special needs assistant/specialized equipment or furniture, transport services or other. 3. If currently enrolled in another school, an up to date report to be sought. 4. An analysis of the requirement of the child's educational and physical needs and our ability to meet these needs. This may involve visiting child's current school/preschool. Meeting with parents to discuss the case at which the above are discussed. Full consideration of the parents' wishes to be taken into account and balanced with the above. It may be necessary to convene a full case conference involving all parties which may include parents, principal, class teacher, resource teacher, visiting teacher, psychologist, speech therapist, occupational therapist social worker, as appropriate. As with all pupils regular reviews of progress are our policy. Where it is deemed that (a) a child is not benefiting from a place in Holy Family JNS i.e. his/her educational, emotional, and behavioural needs are not being met due to the lack of specialised teaching resources, funding or facilities. (b) the presence of the child in Holy Family JNS would cause a situation where educational needs of other children are not being fully met. (c) a child cannot cope or who exhibits challenging behaviour i.e. behaviour which prevents the child from accessing the curriculum or behaviour which prevents other children from accessing the curriculum or a child who is deemed to be a danger to him/herself or others, the Board of Management reserves the right to modify the school day for that child. Then the Board of Management reserves the right, in consultation with the Parents/Guardians, through Then the Board of Management reserves the right, in consultation with the Parents/Guardians, through the Principal, to seek a placement in a school better able to meet the child's ne the Principal, to seek a placement in a school better able to meet the child's needs. eds. eds. Decision on placement will be taken based on the child's assessed educational and special physical needs and on the ability of the school to provide for these needs while continuing to provide for the educational needs of the pupils already enrolled needs of the pupils already enrolled in the school. in the school. in the school. The Board of Management reserves the right to modify the school day in the best interests of the child and/or the other pupils/adults in the class. and/or the other pupils/adults in the class. The Board of Management reserves the right to refuse enrolment in very exceptional circu The Board of Management reserves the right to refuse enrolment in very exceptional circumstances. mstances. mstances. Children with Exceptional Ability Children with Exceptional Ability Holy Family J.N.S. recognises that exceptionally gifted children may be registered pupils of this school. Curriculum planning by individual teachers will ensure that the resources of the school, teaching and material, will be applied to such children to maximise their potential. Appeals Appeals Under Section 29 of the Education Act 1998 parents/guardians have a right to appeal a refusal by the school to enrol a child. The appeal to the Department of Education & Skills must be made within 42 calendar days from the date the decision was notified to parents/guardians. Department of Education & Skills, Department of Education & Skills, Section 29 Appeals Administration Unit, Section 29 Appeals Administration Unit, Friar's Hill Road, Friar's Hill Road, Mullingar, Mullingar, Co Westmeath. Co Westmeath. N91 H30Y N91 H30Y Data Protection The school is a Data Controller under the Data Protection Act 1988 and 2003. Personal data supplied on the Enrolment Form will be used for the purpose of student enrolment, registration, administration, child welfare and to fulfil any other legal obligations. While the information provided will generally be treated as confidential to the school, from time to time it may be necessary for Holy Family JNS to exchange personal data on a confidential basis with other bodies including the Department of Education and Skills, the Department of Social Protection, An Garda Síochána, the Health Service Executive and the National Educational Welfare Board. Contact details will also be used to notify parents of school events and activities. The school relies on parents to provide accurate and complete information and to update the school in relation to any change in the information provided. It is a condition of enrolment that relevant pupil information is uploaded onto the Department of Education & Skills Pupil Online Data Base (POD) when the pupil is enrolled. Further information on www.education.ie In the case of partnership breakdown/separation the Board requests that any dispute should not involve the school. Any legal custody information should be notified to the principal's office. Annual Admission Notice An annual admission notice will be available to parents and the wider school community as a hard copy from the school and on our website www.holyfamilyjns.ie. This will give information to parents on how to access the schools' Admission Policy, application procedure, the relevant dates for the admission process and the number of school places available in junior infants for the school year concerned (this may be dependent on staffing schedule being released from DES for the next school year) Implementation, Review & Communication This Policy was ratified by the Board on 23/10/19 and approved by the Patron. This Policy is available to view on the School's website or a copy can be accessed from the School office. This policy will be reviewed annually This policy will be reviewed annually Signed:_________________________________ Dated:_______________ Ms Margaret O’Neill, (Chairperson) Board of Management, Holy Family J.N.S.
What Is a Fundamentalist? Supplementary Charts and Notes for the 12 Sermon Series (Plus Addendum) by Dr. David C. Innes © 2012 Dr. David C. Innes Hamilton Square Baptist Church 1212 Geary Street San Francisco, CA 94109 (415) 673-8586 WHAT IS A FUNDAMENTALIST? Message 1 Basic Axioms Foundational to Fundamentalism — Underlying self-evident truths that are presuppositional to being a Fundamentalist. Message 2 Biblical Instructions on Separation — A general study of Ecclesiastical Separation in the New Testament. Message 3 The Commands of Love and Unity — The clear commands of Scripture concerning love and unity. Message 4 The Accursed Principles — The absolute prohibition of common cause with, or neutrality toward those who embrace a false gospel. Message 5 The Jehoshaphat Principles — The tragic historic disaster that results when good, godly men violate the biblical principles of ecclesiastical separation. Message 6 Categories of Truth We Teach and Preach — Levels of clarity of biblical teachings and the resulting levels of authority with which they can be preached. Message 7 Clear Biblical Teaching — Clear commands of Scripture are equal in authority and importance with clear teachings. Both are equally essential and therefore Fundamental ! Message 8 What Is a Fundamentalist and What Is a New Evangelical? — Definitions and contrasts of each. Message 9 The Genius of Apostasy — How apostasy works and why it is so difficult to fight, especially in its early stages. Message 10 Problems and Misunderstandings — Those things that cause confusion, weakness and unnecessary, unbiblical divisions among Fundamentalists. DICTIONARY DEFINITIONS fundamentalist noun syn DIEHARD 1, bitter-ender, conservative, old liner, right, rightist, right-winger, standpat, standpatter, tory fundamental adjective 1 forming or affecting the groundwork, roots, or lowest part of something <the fundamental rules of poetry> syn basal, basic, bottom, foundational, meat-and-potatoes, primary, radical, underlying rel primal, prime, primordial; elemental, elementary con incidental 2 syn ELEMENTAL 1, basic, elementary, essential, primitive, substratal (foundational), underlying 3 synESSENTIAL 2, cardinal, constitutive, vital rel indispensable, necessary, needful, requisite; dominant, paramount fundamental noun 1 syn PRINCIPLE 1, axiom, law, principium (fundamental principle), theorem rel component, constituent, element, factor 2 syn ESSENTIAL 1, basic, element, part and parcel, rudiment 3 usually fundamentals plural syn ALPHABET 2, ABC's, elements, grammar, principles, rudiments fundamentalism noun (1922) 1 a often capitalized : a movement in 20th century Protestantism emphasizing the literally interpreted Bible as fundamental to Christian life and teaching b : the beliefs of this movement c : adherence to such beliefs 2 a movement or attitude stressing strict (rigid) and literal adherence to a set of basic principles ©1997, 1996 Zane Publishing, Inc. All rights reserved. BASIC AXIOMS FOUNDATIONAL TO FUNDAMENTALISM (Axiom 1 = self-evident, pre-suppositional truth) 1. The Bible is the very Word of God – our only rule of faith and practice – and is absolute in its authority. 2. God is more significant and important than man. 3. God's honor is more important than man's honor. 4. God's ways are better than man's ways. 5. God's love is more perfect than man's love. 6. Man is never benefited when God is dishonored. 7. God's judgments are necessary for man's welfare. 8. It is never right to do wrong. There is never a right reason for doing a wrong thing. 9. Partial obedience or selective obedience is disobedience. 10. The Holy Spirit of God never leads anyone to do anything that is contrary to His Word. 11. Anything that is not Scriptural is not spiritual — of the Holy Spirit. 12. It is always wrong to add strength or numbers to an apostasy 2 . 13. It is always wrong to give credibility (believability) to the works of apostasy. 14. It is always wrong to give authority to the message of apostasy. 15. God has not called us to succeed. He has called us to work hard and to be faithful. The results of our work are God's business, not ours! 16. Pragmatism 3 (outcome-based, result-oriented philosophy) is never the measure of a man's work. God always measures our work by the Standard of His Word. 17. Fighting and confrontation are absolutely necessary under certain conditions. That for which you will not fight, you will ultimately lose. 18. God has enemies. The Bible instructs believers to relate to God's enemies differently than to their own personal enemies. Entirely different principles apply. 19. Everyone, without exception, who claims to represent the Living God and His Son, Jesus Christ is morally and spiritually obligated to be in full agreement with God in everything — to be on God's side in every issue of life and ministry. 1 ax•i•om noun [L axioma, fr. Gk axiÖma, lit., something worthy, fr. axioun to think worthy, fr. axios worth, worthy; akin to Gk agein to weigh, drive] 1: a maxim (a general truth, fundamental principle, or rule of conduct) widely accepted on its intrinsic merit 2 : a statement accepted as true as the basis for argument or inference : POSTULATE 3 : an established rule or principle or a self-evident truth ©1997, 1996 Zane Publishing, Inc. All rights reserved. 2 apos•ta•sy noun [ME apostasie, fr. LL apostasia, fr. Gk, lit., revolt, fr. apo- from+ histasthai to stand] 1 : renunciation of (departure from) a religious faith 2 : abandonment of a previous loyalty : DEFECTION ©1997, 1996 Zane Publishing, Inc. All rights reserved. 3 prag•ma•tism noun [L pragmaticus skilled in law or business, fr. Gk pragmatikos, fr. pragma deed, fr. prassein to do] 2 : an American movement in philosophy founded by C. S. Peirce and William James and marked by the doctrines that the meaning of conceptions is to be sought in their practical bearings, that the function of thought is to guide action, and that truth is preeminently to be tested by the practical consequences of belief ©1997, 1996 Zane Publishing, Inc. All rights reserved. Message 2 BIBLICAL INSTRUCTIONS ON SEPARATION \| WHO IS INVOLVED \| WHAT THEY DO \| \|---\|---\| \| Immoral, impure, covetous, idolatrous persons \| Practice immorality, impurity, and greed. \| \| Judiazers and Gnostics professing Christianity \| Rebel and speak against the truth, deceive believers, upset whole families, teach false doctrine, seek personal gain. \| \| Many false prophets \| Deny the incarnation of Christ — that He has come in the flesh. \| \| Many deceivers who personify the antichrist \| Do not acknowledge Jesus Christ as having come in the flesh. They go beyond sound teaching and do not abide in the teaching of Christ. \| \| Wicked men holding to an outward form of godliness, while professing adherence to Christianity \| Deny the power of godliness (they continue to refuse God’s transforming power in their lives). \| \| Judaizers (They added circumcision to the gospel as a requirement for salvation) \| Preach a different gospel of a completely different kind, distort (completely change) the gospel of Christ. \| \| Unbelievers, unregenerate but religious pagans \| That which by nature unbelievers and pagans do. \| \| Disobedient believers — “brothers” \| Conduct themselves contrary to the prescribed order. Refuse to obey Paul's instructions as recorded in inspired Scripture. \| \| Professing Believers \| As to doctrine, they teach heresy (wrong doctrine) -- as to conduct, they are factious persons (cause divisions and factions). \| \| Professing Believers \| Cause divisions and offenses (entrapments) contrary to the accepted body of teaching. Use smooth speech. Deceive the hearts of the unsuspecting. \| Please note that the doctrine of separation applies to both unbelievers (Top Sections) and to believers (Bottom Sections). The practice of the doctrine of separation assures the purity and preservation of the other doctrines. This is a very general sampling of texts, not a comprehensive explanation of personal and/or ecclesiastical separation. Tit 1:13 is viewed by some as a reference to straying believers. Whatever their precise spiritual status, one's responsibility toward them is clear. Message 3 Biblical Commands of Love and Unity TEXTS: Psalm 133:1-3 Ephesians 4:1-6 John 13:34,35 John 15:12-14,17 INTRODUCTION There are two very clear and very important commands in the New Testament: 1. Separation from unbelievers and disobedient believers in local church ministry. 2. Love for and unity with true believers who walk obediently to the clear commands of scripture. NOTE: 1. These two commands do not in any way contradict one another. 2. These two commands must be kept in balance. There is a natural tension between them. We breath out of two lungs at the same time — Balance is not compromise! It is our God-given responsibility. UNITY DEFINED Biblical words and expressions describing unity. Love one another (15+3) The unity of the spirit (1) Peace (4) No divisions among you (2) One body (5) One soul (2) One mind — understanding (5) One spirit (3) One heart (1) One passion (6) One fold, One Shepherd (1) Speak the same thing (1) One (3) N.B. Before oneness, separation is to take place. It is the separated ones — sanctified ones who are intended by the Lord Jesus to be one. BUT, this oneness is to be true of all who are sanctified in the truth. This prayer of Christ (John 17:6,8,14,17-19) requesting oneness for those who are truly His own assumes that there will be many things that divide these sanctified brethren which ought not to divide them. NOTE: Sanctification takes place only in the sphere of truth. This is defined as the specific utterances [ta. r`h,mata] and the specific message [to.n lo,gon sou] given by Christ. What scriptural unity is NOT! 1. Scriptural unity is not uniformity. It is harmony (symphony = sum+phonos = many different kinds of instruments sounding together in harmony). 2. Scriptural unity is not a uniting of believer and unbeliever, or a uniting of obedient believers with disobedient believers. 3. Scriptural unity is not a uniting of different religions believing in different gospels — different ways to heaven. THE BASIS OF BIBLICAL UNITY A common life in Jesus Christ. 1. A common life and mission. 2. Genuine spiritual relationships. Relationships based upon carnal considerations are to be a thing of the past. New relationships based on reconciliation (vs. 19) are now to prevail. There are differing gifts, personalities, insights, approaches to ministry, and emphases all among God-fearing, Bible-believing, fundamentalist brethren — like the many facets on a gem. The mutual need of fundamental brethren one for another is beyond anything most of us recognize! Dr. Issues needs Dr. Soul winner — Dr. Soul winner needs Dr. Issues. Dr. Expositor needs Dr. Evangelism — Dr. Evangelism needs Dr. Expositor. Dr. Missions needs Dr. Local Church — Dr. Local Church needs Dr. Missions. Dr. Administrator needs Dr. Orator — Dr. Orator needs Dr. Administrator. Dr. Traditional needs Dr. New Ideas — Dr. New Ideas needs Dr. Traditional. Dr. Theology needs Dr. Practical — Dr. Practical needs Dr. Theology. The "Christ" Who is defined in the Word of God. The Scriptures themselves. 1. The Fundamental truths of scripture. 2. Not logical conclusions, traditions, spiritual hang-ups, methodology (outside the realm of biblical principles). Many equate Methodology with Theology in fundamental importance. There is a decided distinction between Theology and Methodology. Methodology is not fundamental — essential — to our belief and practice in the same sense as Theology. The principles for Methodology arise out of Theology, but they are not one and the same. The clear commands of Scripture. 1. Scriptural unity cannot exist with those who ignore or disobey the clear commands of Scripture. 2. Unity with and love for genuinely obedient brethren is not an option. IT IS A CLEAR COMMAND OF SCRIPTURE!!! 3. We are to love the brethren because God loves them! Not because they meet our expectations or because we find them likable or attractive. VIOLATIONS OF BIBLICAL UNITY Not only is there a false kind of unity — there is also a false kind of separation! Separation misunderstood and misapplied results in unnecessary fragmentation and division. Factious, divisive words and deeds done in the name of separation are a direct violation of biblical unity. Those guilty of these words and deeds are to be dealt with according to the instructions of Titus 3:10,11. NOTE: A heretic is one who chooses another way — one who causes divisions or separations contrary to biblical teaching. God hates the spreading of strife and discord among brethren. Judging others is forbidden. Condemnation for personal reasons is forbidden. Judging of motives is forbidden. Wrong reasons for separation: 1. Personal disagreements. 2. Within the bounds of biblical principles — differing decisions on colleges, mission boards, etc.. 3. Differing standards. 4. Turf wars. 5. Politics within the work of God. 6. Denominational distinctives. Being of another denominational persuasion does not in and of itself constitute one an apostate. There no place for bitterness in the battle. 1. Separation is never to be practiced for personal reasons but for biblical reasons and based upon biblical principles. 2. Much that is done in the name of separation is just plain meanness. There must be repentance for violations of biblical love and unity! PRACTICAL APPLICATIONS OF LOVE AND UNITY There must be a place for reaching out to and restoration of fallen brethren. How true Christian love operates. QUESTION? If we are to behave in this spirit toward those who are sinners and enemies, in what spirit should we behave toward those who are our brothers in Christ? The teaching of Matthew 18:15-17 Matthew 18 is not a procedure to deal with public sins. Matters of ecclesiastical separation are not personal matters between two individuals within the context of a local church. Matters of ecclesiastical separation are not a matter of a personal, unreconciled condition between differing brethren. They are a matter of discipline and accountability to the clear commands of Scripture. In Matthew 18, no matter of church discipline is involved. Even if it were a matter of discipline, the first party has already put the matter before the public — before the church and the world. Ecclesiastical separation is not therefore a private matter of personal offence. Our response must appropriately be as public as the original statement or action. Otherwise, the church will be hurt. More basic axioms: You can have discipline without love, but you cannot have love without discipline. You can have separation without love, but you cannot have love without separation. You can have unity without love, but you cannot have love without unity. You can have doctrinal correctness without love, but you cannot have love without doctrinal correctness. You can have truth without love, but you cannot have love without the truth. Further clarifications: It is wrong not to separate from unbelievers in matters of religious endeavor. To unite ecclesiastically with unbelievers is wrong! It is wrong not to separate from believers when clear basic principles of Scripture have been violated. It is wrong to separate from obedient brethren, as we would separate from unbelievers — on matters that clearly are not basic and fundamental to biblical belief and practice. KEEPING UNITY AND SEPARATION IN BALANCE 1. It is very important to keep a cutting edge on your ministry. If you do not, you will ultimately surround yourself with people who do not necessarily share your convictions, but who enjoy the success of what you are doing. In so doing, you will build an organization that will ultimately repudiate your convictions. 2. Failure to separate where the Scriptures require us to do so will result in serious offenses against God and His Word! The following important issues are at stake: Identity — assuming an identity in common with those who dishonor God — lending the good auspices of your name to that which dishonors God. Morality — abandoning biblical moral and social principles. Commonality — leaving biblical teachings and principles in order to establish common ground with others. Credibility — giving credibility to that which ought to be rejected — giving your personal approval to disobedience. It is always wrong to add numbers, credibility, or strength to an apostasy! Culpability — failure to reject wrong doctrine, conduct, morals and practices. Culpable = meriting condemnation or blame especially as wrong or harmful, blameworthy. Principles Regarding That Which is "Accursed" 1. God is the only one who fully knows everything. Therefore, He is the only One who is qualified to determine what is good and what is evil, what is useful and what is not useful, what is acceptable and what is not acceptable, and what is desirable and what is not desirable. 2. It is our primary business to be in absolute agreement and concord with God in every evaluation and pronouncement He makes. We must be on God's side in every issue! 3. God has enemies! We are to relate to God's enemies in a totally different way than we do to our own personal enemies. The Scriptures give completely different instructions for each. It is wicked for us to embrace God's enemies, or for us to relate to them in a way differently than God does. It is wicked and wrong to bless someone whom God has pronounced accursed. 4. It is a crime against heaven and earth to reject God's declaration about and disposition toward His enemies. The issue is not whether something seems to be negative or positive, but what God wants done! 5. God has sovereign rights over all men to dispose of them as He pleases. 6. God's authority over our ministries and Christ's lordship over the church are absolute. 7. When we consent to the sin that brings others under the judgment of God, we ourselves will become unusable to God and as a result will find ourselves ultimately rejected by God (not necessarily by men) as to our own personal ministries. 8. Complicity with evil in the present destroys the prospect of victory in the future. 9. Partial obedience is disobedience. 10. Selective obedience is not an option for us. 11. We are responsible to enter into God's battles as a part of God's work. 12. There is never a good reason for doing a bad thing. 13. God's commands are firm and final. 14. Disobedience, for whatever reason given, amounts to complicity — making common cause with Satan and demonic powers; and is an act of direct rebellion against God. 15. Disobedience is an outright rejection of God's wisdom, God's purpose, God's authority and God's Word. Message 5 THE JEHOSHAPHAT PRINCIPLES Lessons from the life of Jehoshaphat 1. You do not have to be a wicked man to do untold, immeasurable damage to the cause of Christ. You can be a godly, sincere, doctrinally correct revivalist and still set a disaster in motion. 2. Everyone's ministry is multi-generational, therefore, every present course of action will have historic consequences. 3. Sowing and reaping always take place in a framework of time. The production of fruit is a long, slow process. That which is sown will become magnified and multiplied many times over — Something relatively insignificant can ultimately have enormous consequences. 4. History many times tells an entirely different story than the contemporary account. Outward appearances in the present can be very deceiving. 5. Discernment is the ability to see the long term consequences of a present course of action. 6. Alliances, associations and companions are always a critical factor in our ultimate destiny. The prophet did not reprove Jehoshaphat for doctrinal matters but for a mortal failure in the matter of making common cause with the wicked – a failure in the matter of separation from evil. 7. Alliances always give birth to accommodations that can and do lead to dangerous commitments. 8. The ultimate outcome is always determined by the principles that govern the immediate course of action. 9. The long term consequences of a man's life and ministry are not ultimately determined by what a man teaches but by what a man tolerates. (Dr. Less Ollila) Great Bible teachers can and do create spiritual disasters for the generations that follows them. 10. God is the only One qualified to define for me who is and who is not wicked. Wicked men can be very nice men. The seeds of destruction are sown without exception when godly men are yoked together with wicked men. 11. Ahab's greatest wickedness was in the spiritual realm. False gospels and false doctrines are never a matter of indifference with God. They are a direct assault on His character and His truth and are wicked. 12. Going into apostasy and idolatry is very easily and quickly done. Recovering from apostasy and idolatry is almost impossible. 13. Carelessness by one generation can produce untold damage on many generations to follow. 14. Those who insist on peace at any price will ultimately loose everything. ISRAEL JUDAH Northern Kingdom Southern Kingdom Message 6 – CHART "A" CATEGORIES OF TRUTH We Teach and Preach Column 1 Column 2 Column 3 Column 4 \| Row \| APPLICATIONS \| \| VERY CLEAR BIBLICAL STATEMENTS \| LOGICAL CONCLUSIONS based on Very Clear Biblical Statements \| SPECULATION – Informed and Uninformed Personal Opinions \| \|---\|---\|---\|---\|---\|---\| \| 1 \| As to doctrine this becomes \| \| A conviction — a belief for which we would die \| A preference though strongly believed \| A mere preference \| \| 2 \| \| Essence of doctrinal \| Belief of a clear statement \| A matter of interpretation \| A matter of supposition \| \| \| \| belief \| \| \| \| \| 3 \| \| As to practice \| A Divine command with no option \| An option though strongly believed \| Totally optional \| \| \| \| this becomes \| \| \| \| \| 4 \| Level of importance \| Level of importance \| Absolutely essential to the Christian Faith \| Not fundamental or essential but very important \| Generally, not very important \| \| 5 \| Essence of practice \| \| Necessary obedience \| A sincere desire to obey \| A desire to be sincere \| \| 6 \| \| Denial of this \| Heresy or willful rebellion against God \| A disagreement of some consequence \| A mere disagreement \| \| \| \| category of \| \| \| \| \| \| \| truth is \| \| \| \| \| 7 \| \| Biblical command \| Command of repudiation and separation \| Command of love and harmony \| Command of love and unity \| \| \| \| that applies to \| \| \| \| \| \| \| denial \| \| \| \| \| 8 \| \| Biblical response to \| Denunciation and separation Confrontation \| Toleration and Christian charity Accommodation \| Toleration and Christian charity \| \| \| \| denial of this \| \| \| \| \| \| \| category \| \| \| \| \| 9 \| \| At Issue Is: \| Separation \| Participation \| Unity \| \| 10 \| \| Level of fellowship \| Personal fellowship and limited church fellowship \| Closer church fellowship and joint participation \| Unlimited fellowship and participation \| \| \| \| agreement \| \| \| \| \| \| \| allows \| \| \| \| \| 11 \| \| Level of fellowship \| None \| Limited \| Unlimited \| \| \| \| lack of agreement \| \| \| \| \| \| \| allows \| \| \| \| \| 12 \| \| Agreement of belief \| A true Christian brother \| A Christian brother of like faith and order \| A rare find \| \| \| \| indicates \| \| \| \| \| 13 \| Ultimate significance \| Ultimate \| Defines a Fundamentalist \| Defines denominational distinctives \| Defines denominational idiosyncrasies \| \| \| \| significance \| \| \| \| SPECIAL NOTE: These categories of truth should never be taught or preached with the same level of authority. Truth must be preached "out" of the Scriptures, not "into" the Scriptures. It is dishonest to preach our own logical conclusions and speculations with the same "thus saith the Lord" as we would with truth which is very clear. Our preaching and teaching should be confined for the most part to columns 1 and 2. The truths and commands of the column 1 category constitute "the faith" referred to many times throughout the New Testament. (Acts 6:7, 14:22; I Tim. 4:1; II Tim. 4:7; Jude 1:3 et. al.) Message 6 – CHART "B" Beliefs & Practices by Categories of Truth Message 7 – CHART "C" VERY CLEAR BIBLICAL TEACHING* Two major divisions of Column 1 Truth by which we define what is Fundamental \| Row \| APPLICATIONS \| \| DOCTRINE Clearly revealed Truths to be believed \| \|---\|---\|---\|---\| \| 1 \| This is \| \| Clearly taught — Truth we must believe \| \| 2 \| Violation is \| \| Heresy (a choosing, embracing and propagation of false teaching contrary to clearly revealed truth) \| \| 3 \| Violation in relation to God is \| \| A denial of God’s authenticity (Who He says He is) An attack on God’s character (What He is) \| \| 4 \| \| Violation in relation \| Outright rejection of the Word of God \| \| \| \| to Scripture \| \| \| 5 \| Level of importance \| Level of importance \| These are irreducible minimums of the Christian Faith and are absolutely essential to the Christian Faith — for which we are commanded to “earnestly contend” \| \| 6 \| Those who deny are \| \| Unbelievers, Heretics Not saved \| \| 7 \| \| When these are \| We must expose, repudiate, separate \| \| \| \| denied \| \| \| 8 \| Exclusivist \| Exclusivist \| Insists on making teachings that are not clearly taught fundamental \| \| 9 \| Fundamentalist \| \| Regards belief as essential Believes wholly \| \| 10 \| \| Pseudo- \| Believes wholly but regards belief as optional \| \| \| \| Fundamentalist \| \| \| 11 \| Neo-Evangelical \| Neo-Evangelical \| Believes almost wholly — has problems concerning the inerrancy, infallibility, and authority of Scripture \| \| 12 \| Neo-Orthodox \| \| Doesn't believe but uses biblical vocabulary \| \| 13 \| \| Liberal \| Denies outright \| \| 14 \| Charismatic \| Charismatic \| Rejects the Scriptures as the exclusive source of Divine Revelation \| The truths referred to here are so clearly set forth in Scripture that to deny them is to deny the meaning of words and the integrity of language. In other words, to deny them is an outright denial of the Word of God. Therefore these truths are both fundamental and essential! PLEASE NOTE: There are many things that we teach, preach, and practice that are not in this category of truth. Message 8 WHAT IS A BIBLICAL FUNDAMENTALIST? IMPORTANT REVIEW: Dictionary definition and explanation. Current misunderstandings such as militant radical, terrorist concept, etc. These in contrast to – DEFINITION: A "fundamentalist" is one who believes everything that is CLEARLY taught and obeys everything that is CLEARLY commanded in the Scriptures. In the main, fundamentalism is about biblical integrity in belief and practice! IMPORTANT CLARIFICATIONS ! Genuine, biblical fundamentalism is not primarily a relationship with men and movements. Fundamentalism is a relationship to the Word of God which fully acknowledges and joyfully submits to the absolute authority of the Scriptures over all that we believe and practice! An inerrant, infallible, inspired Bible is useless if it carries no authority over our belief and practice – what we believe and what we do! Our relationship with men and movements is the resulting outcome of the kind of relationship we have with the Word of God. The fundamentalist does not limit what he considers to be fundamental to the irreducible minimums for salvation. To the fundamentalist, all that is clearly taught, whether for belief or conduct, is fundamental and therefore essential to the Christian faith. Tragically, many limit their concept of the essentials of fundamental belief to the context of the irreducible minimums for salvation: the virgin birth, the deity of Christ, the blood atonement, Christ's bodily resurrection etc. And tragically to many, obedience to the commands of Scripture is not only nonessential but also irrelevant. Should not the essentials of fundamental belief and practice rather go beyond these irreducible minimums for salvation and be defined in the context of the whole body of truth revealed in the Scriptures, the Word of God? Is not everything that is clearly taught in the Word of God essential for belief? Is not every clear command of Scripture essential for obedience? A fundamentalist takes seriously the clear command to love his brethren and to promote biblical unity and harmony among those who believe and obey fundamental truths of Scripture. How is it possible to exhibit due reverence for the Word of God and not insist on believing all that it clearly teaches and obeying all that it clearly commands? Fundamentalists must be fully devoted and submitted to the authority of the Word of God pertaining both to what they believe and what they practice. To the Fundamentalist, the only option in regard to clearly stated truths is to believe, propagate and defend them as truths given by God. To the Fundamentalist, the only option in regard to clearly stated commands is to obey and insist on obedience to them as commands given by God. Authentic Fundamentalism indeed goes beyond merely believing the core of irreducible minimums for salvation. A truly biblical faith demands that the scope of belief and practice be governed by the whole of God's revelation to man. All that is clearly taught and all that is clearly commanded is essential to biblical Fundamentalism! A fundamentalist will separate on the basis of any kind of denial of that which is clearly taught. He will not compromise that which is fundamental. He will separate on the basis of two distinct categories: 1. Heresy – on the basis of belief 2. Willful disobedience – on the basis of practice A fundamentalist will separate from either unbelievers or believers who violate fundamental truths or commands of Scripture. A fundamentalist will fellowship with all who believe and obey that which is clearly taught. A fundamentalist will participate with other fundamentalists to the extent that agreement on other non-fundamental beliefs renders it possible. A fundamentalist operates on the basis of principle (what is involved), not personality (who is involved). FURTHER CLARIFICATIONS ON SEPARATION 1. Biblical separation is not isolation from the world. 2. Biblical separation is not antiquation – holding on to the past. It is not Amishism or Ludditism (referring to those who resist progress in technology). 3. Biblical separation is based on biblical commands and principles, not culture. Biblical commands and principles are timeless – they never change but their applications change as culture changes. FUNDAMENTALISM AND CULTURE Culture = The customs, ideals, beliefs, attitudes, goals and practices shared by a society. 1. Fundamentalism is not rooted or grounded in culture nor is it defined by any external culture. It is rooted and grounded in the timeless truths of the Word of God. The characterization, Cultural Fundamentalism is a misnomer! 2. Fundamentalism is not cultural in nature but does have a direct, and hopefully profound effect on the life of the believer in his cultural environment. 3. Fundamentalism is not anti-cultural but because of its biblical world view is counter-cultural. 4. Biblical commands and principles should be applied to and sit in judgment on culture, not vice versa. 5. In matters where culture conforms to and is compatible with the commands and principles of the Word of God, it should be acceptable to the believer. 6. In matters where culture is contrary or adverse to the commands and principles of the Word of God, it must be rejected. 7. In matters where the culture is neutral to the commands and principles of the Word of God discernment should be exercised. WHAT IS A NEW-EVANGELICAL? EIGHT CHARACTERISTICS OF NEW EVANGELICAL THINKING (As given by Dr. J. B. Williams) 1. They emphasize love and unity to the exclusion of the truth of separation. 2. They will not separate from religious groups on the ground of doctrinal error (Column 1). 3. They emphasize scholarship and intellectualism (modern scientism, evolution). 4. They praise liberal theologians for their scholarship (level of academic training, etc.). 5. They emphasize participation in politics and in social and moral issues (impacting culture and public life). 6. They criticize the fundamentalist even more than the liberals do. 7. They remain strangely silent about apostasy and its evils. 8. They are success oriented (pragmatists) – the end justifies the means. Message 8 DIFFERENCES BETWEEN FUNDAMENTALISTS AND NEW EVANGELICALS Fundamentalists New Evangelicals \| \| ATTITUDES \| Principled — governed by principles Absolute sense of right and wrong according to Very Clear Statements of Scripture Ultimate aim is the glory of God — insist on both the spirit and letter of the law Emphasize Faith and Fidelity to God’s Word Critical toward those who are indifferent to matters of fundamental importance \| \|---\|---\|---\| \| METHODS \| \| Confined by and conformed to Biblical principles Biblical philosophy of the ministry of church music Love and unity based upon absolute, Biblical truth and obedience — separation from apostasy Biblical concept and practice of the Great Commission and Church planting \| \| \| ASSOCIATIONS \| Confrontation & Separation Separatists - “Come out from among them and be ye separate saith the LORD” \| \| \| MESSAGE \| Bible-oriented preaching God-focused preaching Emphasize doctrinal correctness and obedience Contend for the faith Proclaim the whole counsel of God — clear commands and clear teachings \| \| MORALS \| \| Dogmatic preaching on Biblical morals and Biblical separation Insist on a Biblical culture Dogmatic preaching on Biblical ethics — standards of right and wrong \| \| PERSONAL STANDARDS \| \| Biblical standards of conduct, dress and deportment based on Biblical principles, resulting in separated living \| \| GOALS \| \| In the evangelization of the world, to perpetuate a Biblical faith complete, intact, pure and undiluted to succeeding generations \| WHAT IS FUNDAMENTAL TO BEING A FUNDAMENTALIST? Any book that deals with fundamentalism must come to grips with the question: What really is essential or fundamental to Fundamentalism? To accurately answer this question, we must ask another -- fundamental to what? Salvation, the Christian Faith, or something else? Tragically, many limit their concept of the essentials of fundamental belief to the context of the irreducible minimums for salvation: The virgin birth, the deity of Christ, the blood atonement, Christ's bodily resurrection etc. And tragically to many, obedience to the commands of Scripture is not only non-essential but also irrelevant. Should not the essentials of fundamental belief and practice rather go beyond these irreducible minimums for salvation and be defined in the context of the whole body of truth revealed in the Scriptures, the Word of God? Is not everything that is clearly taught in the Word of God essential for belief? Is not every clear command of Scripture essential for obedience? Though there are many beliefs and conclusions drawn from the Scriptures over which good men disagree and which they passionately debate, many other matters are so clearly taught and so clearly commanded in Scripture that to deny them is to deny the inherent meaning of words and the integrity of language. How can any of those things that are so clearly taught or commanded in Scripture be considered non-essential? And how is it possible to exhibit due reverence for the Word of God and not insist on believing all that it clearly teaches and obeying all that it clearly commands? Fundamentalists must be fully devoted and submitted to the authority of the Word of God pertaining both to what they believe and what they practice. To the Fundamentalist, the only option in regard to clearly stated truths is to believe, propagate and defend them as truths given by God. To the Fundamentalist, the only option in regard to clearly stated commands is to obey and insist on obedience to them as commands given by God. Authentic Fundamentalism indeed goes beyond merely believing the core of irreducible minimums for salvation. A truly biblical faith demands that the scope of belief and practice be governed by the whole of God's revelation to man. All that is clearly taught and all that is clearly commanded is essential to biblical Fundamentalism! THE GENIUS OF APOSTASY How apostasy works. 1. Apostasy = A departure from or a moving away from something. 2. Heresy = fr. to choose = to choose another way or position. 3. Important historic consequences result from everything that is done in the present. Discernment = the ability to see the long term consequences of a present course of action. Why it is difficult, yea almost impossible to fight apostasy in its inception — the three "G's". 1. Gradualism. Apostasy produces minute, incremental changes over an extended period of time. At no point in time are the changes radical enough to justify taking a strong position against them. a. Dr. Charles Woodbridge — Apostasy proceeds progressively with a change in: Mood, then — Method, then — Message, and finally — Morals b. A change in posture from one of confrontation to that of accommodation. 2. Good. At its inception apostasy has much good to commend it and very little evil to condemn it. Those who stand in opposition to apostasy at this point in time are falsely accused of apposing all the good that is associated with it. a. The classic example here is Jehoshaphat, also Billy Graham. b. Moses smiting the rock produced all the water they needed but tragically lost the privilege of entering the promised land. 3. Gurus – the prominent personalities involved. 4. Other reasons: The appearance of success (initial success) — the deceitfulness of outward appearances. Confusing high powered promotion for the power of the Holy Spirit. The unwillingness of God's people to separate. The Sanballets who want to share in our ministry. cf. Demon possessed girl in Acts 16 The embarrassment of the godly, uncompromising man of God. cf. Samuel in I Samuel 15 The silence of the majority of preachers who stand by and say nothing. cf. The 7000 silent prophets in Elijah's day The problem of when to separate. When do you call the fire department? When should the dog bark? When should you get off of the train? Train from San Francisco to New York — when a change in direction has been determined. The necessity of keeping a cutting edge on your ministry. 1. If you do not keep a cutting edge on your ministry, you will ultimately surround yourself with those who join with you, not because they share your convictions, but because they enjoy the success of what you are doing; and you will build an organization that will ultimately repudiate your own convictions. 2. You can have law without love but you cannot have love without law. Love always imposes limits for the protection of its object. 3. You cannot build a strong ministry by focusing on issues alone, but you cannot build a strong ministry without dealing with and defining issues. PERSONALITIES & ORGANIZATIONS Original proponents of New Evangelicalism Carl Henry Harold Ockenga Billy Graham (Franklin Graham) Bible-believers who claim NOT to be Fundamentalists John McArthur Chuck Swindoll Charles Stanley Warren Wiersbe Erwin Lutzer Al Mohler John Piper Mark Dever C. J. Mahaney Charismatics Pat Robertson Tony Campolo Seeker Friendly Movement Bill Hybels Rick Warren – purpose driven church Joel Osteen Organizations which claim NOT to be Fundamentalists Southern Baptist Convention Campus Crusade Inter-Varsity Fellowship The Navigators Family Radio Focus on the Family World Vision Trinity Broadcast Network Colleges and Seminaries which claim NOT to be Fundamentalists Biola University & Talbot Seminary Moody Bible Institute Trinity Evangelical Divinity School Wheaton College Cedarville College Fuller Seminary Dallas Seminary Ecumenical* endeavors Christians and Catholics Together Together for the Gospel Sovereign Grace **Ecumenical: Inclusive of everyone regardless of beliefs or practices Message 10 Problems and Misunderstandings That cause confusion, weakness and unnecessary, unbiblical divisions among Fundamentalists 1. The idea that Biblical commands concerning unity and separation are mutually exclusive — that somehow the commands concerning love and unity don't rightly apply to Fundamentalists. 2. Failure to distinguish between various categories of truth that we teach and preach, preaching all of them with the same level of authority; insisting that everything we believe and practice regardless of whether or not it is clearly taught in Scripture (column 1 truth) is essential to Fundamentalism — and therefore, a test of fellowship – e.g. exclusivists. 3. The inability to distinguish between fellowship on an individual basis and joint participation on a church basis — to recognize that fellowship on an individual basis does not require agreement on all minor details — and regarding such fellowship as compromise. 4. Failure to regard obedience (to clear commands of Scripture) to be equally essential to Fundamentalism with belief (of clearly revealed truth), and the resulting erroneous assumption that mere agreement on six or seven fundamental doctrines makes one a Fundamentalist. 5. Relating Fundamentalism to personalities rather than to clearly taught Biblical principles, along with failure to understand and identify these principles. 6. Personalizing differences with those with whom we differ and from whom we may separate. Whether or not a person is likeable has nothing to do with the rightness or wrongness of his positions. 7. Confusing cultural traditions and certain methods or philosophies of ministry with timeless fundamental truth and clearly revealed Biblical principles; assuming that conformity to certain outward standards and practices makes one a Fundamentalist. 8. Failure to regard the clear Biblical commands concerning separation (from apostates and willfully disobedient brethren) as essential to a Fundamentalist position. 9. Concerning the Bible translation issue: It is wrong to require others to believe and teach about the Bible, that which the Bible does not clearly say about itself. To do so is tantamount (amounts to the same thing as) to adding to the Word of God. 10. Confusing combativeness with militancy, and a gentle spirit with compromise — substituting name-calling for a clear exposition of Biblical principles and/or insistence on the practice of those principles. 11. Evaluating a man's position based on where he is in the present rather than the direction where he is headed. Some men who are very close to us in position will soon be far away, and some who are quite a distance away in the present may some day join us in the Fundamentalist movement. We must be aware of the direction in which a man's feet are pointed.
Chapter 4 ACCEPTANCE TESTING Introduction Acceptance testing of voting systems is perhaps the most important function that local election jurisdic tions undertake in order to ensure the security and accuracy of their elections. Acceptance tests must be conducted under the strict control of the chief elec tion official of the jurisdiction. Under no circum stance should acceptance tests be conducted by a manufacturer. An acceptance test is defined as a test that is per formed on an individual unit of a voting system in order to verify that the unit is physically, electroni cally, mechanically, and functionally correct. Cor rect, in this sense, means that the unit is identical in every respect, including software/firmware to the unit that was originally purchased. It is extremely important that election officials maintain a complete record of every acceptance test conducted on your voting system. These records should contain the device identification including software/ firmware version, the date of the test, the name of the tester(s), and the outcome of the test. If the device passes the test no further information is necessary. If the device fails the acceptance test, the test documenta tion should contain a detailed description of the reason for the failure. If the failed device is returned to the manufacturer for repair, it is recommended that a copy of the test documentation be returned with the device. Acceptance testing provides assurance that the voting system is functioning correctly, that the voting system complies with the conditions of the product acquisition document, and that the voting system is correctly configured for use in an election. If initial acceptance testing is successful, the test documentation becomes the first item in the chain of custody for the elements that comprise the voting system. Later, if a component of the voting system leaves the election officials direct control for any reason (i.e. repair, upgrade, etc.) a repeat of the initial acceptance test serves to re-establish your chain of custody for the component. important reminder A certified voting system consists of a specific set of hardware/software/firmware, the specific version of the operating system, and the specific versions of any support software In order to conduct acceptance tests you must know the version levels of each of these components. Keeping all documentation on your election system in a single, easily accessible place can aid your manage ment decisions. Ideally, you should build a database that can track the components of your system through out their life. In it you would store the results from every acceptance test conducted, all election-related performance data, all chain-of-custody data, etc. This database becomes a single place to track each compo nent of the voting system by serial number. Request for Proposal and Contract Considerations Planning for acceptance testing begins with the development of the Request for Proposal (RFP). The RFP should require that the vendor's bid proposals contain a recommended acceptance test script for each device contained in the proposal and an accep tance script for the overall voting system. The RFP should specify that the proposed scripts must apply equally to all devices of a given type. For example, if the script is for a DRE voting station it must apply uniformly to all DRE voting stations. Do not accept a script that calls for a rigorous test of some subset of the DREs and only a cursory inspec tion of the rest. The manufacturer's proposed acceptance test scripts will generally not be entirely satisfactory, but they will provide election officials with a solid basis for developing their own scripts. Contracts for voting systems usually include a progressive payment schedule that calls for the total value of the contract to be paid in a series of payments based on measurable deliverables, such as hardware delivery, software installation and testing, etc. One of these payments should be based on completion of suc cessful acceptance testing of all devices that make up the voting system and a successful acceptance test of the overall system. recommendation The final payment should be based on the successful completion of the first election held using the voting system. Acceptance Tests There are three distinct parts to an acceptance test: a test for physical integrity, a diagnostic test of the various hardware features, and a test for functional characteristics. This last test includes a test of the various software/hardware modules that control the unit. Acceptance tests must be conducted on every unit of your voting system every time a unit leaves your control and is returned. For example, if you loan a voting station to a civic club for a demonstration or send a unit of the voting system out for repair. Note that this does not include functions under the con trol of staff of the elections office. If you have a large number of devices this may be a tedious and time consuming task. Fortunately, as with most tedious and time consuming tasks, acceptance testing usually pro ceeds more quickly as the testers gain experience with the voting system. In some instances, an expe rienced tester can perform an acceptance test on a touch screen voting station or a ballot scanner in less than fifteen minutes. In the course of an acceptance test, the tester may experience problems that can be easily corrected by the tester such as an incorrect time or date or a poorly calibrated touch screen. This is not a cause for termi nating the test. In these cases, the tester should cor rect the problem and continue the test. However, the problem should be noted in the unit documentation. U.S. Election Assistance Commission Physical Analysis: This portion of the acceptance test is performed to assure that the voting unit is not physically damaged and that all physical components are working properly. The specific tests will vary based on the particular voting system; however, some typical items will include: Examine the outer shell or case for any sign of damage such as dents or cracks. Check that the top and bottom of the shell mate easily, that all doors open and shut easily, etc. Inspect all latches and hinges. Latches should open and shut without binding. Hinges should operate smoothly and be inspected to insure that hinge pins are not easily removed. All locks should open and close without binding. Inspect all electrical wires and connectors for damage or signs of wear. Diagnostic Analysis: This portion of the acceptance test is performed to assure that all of the mechanical and electronic components of the voting unit are operating correctly. Again, the specific tests will vary based on the particular voting system; however, some typical items will include: Test all input/output devices. This will include any voter card readers, printers, PC card slots, etc. Test the connections that support any accessibility devices. If accessibility devices use a serial port, use a loop-back connector to test this port. On ballot scanners verify that the ballot feed path is properly set and that ballots will feed without binding. On touch screen devices verify that the screen is calibrated correctly. If there are controls that the voter can use to change brightness or intensity, verify that these controls are working properly. If the device is a commercial computer, verify that the floppy disk drives, CD/DVD drives, PC Slots, etc. are working properly. If the devices record date and time, verify that the date and time are correct. Functional Analysis: This test is performed to assure that the correct Federal and State certified version(s) of the software/firmware are installed in the voting unit and that the system will perform correctly during an election. This test consists of loading a mock election onto the unit, casting a known pat tern of votes, closing the election, printing the reports, and then comparing the test results with the known vote pattern. The following sections provide a generic outline for developing an acceptance test for the most common devices found in an electronic voting system. In each of the tests described below, you will need to setup a mock election. This mock election does not need to be long; however, it should exercise the features of the voting unit being tested. If your jurisdiction allows straight party voting, straight party voting with cross-over, multiple representative districts (i.e. vote for n of m), etc. then these types of contests should be included in your mock election. Acceptance Tests for Optical Scan Ballot Scanners This section describes an acceptance test for a standalone ballot scanner. The scanner should be set up for this test the way it will be set up for use in a precinct. Materials Required: In addition to the following, you must know the version of the operating system and/or firmware that was certified for your ballot scanner. A memory card or other device that is used to configure the ballot scanner for an election. This device must contain the election setup for the mock election that you will be using to test the scanner. The password, manager card, or other device that is used to gain manager/administrator privilege on the scanner. A test deck of pre-marked optical scan ballots for the mock election. This test deck typically contains one ballot with a vote for the first candidate in each race, two ballots with votes for the second candi date, three ballots with votes for the third candidate, etc. For 'yes' or 'no' questions, vote 'yes' on the first ballot and 'no' on the next two ballots. Do not vote this question on subsequent ballots. Although most ballot printers can supply you with this test deck; it is recommended that these ballots be hand prepared using the marking device noted by the system manufacturer. Physical Analysis: This analysis is conducted with the scanner turned off. 1. Examine the case and/or cover for cracks or dents. 2. Inspect latches, hinges, carrying case, wheels, etc. 3. Examine the legs and/or stand. The legs and/or stand must operate smoothly without binding. 4. Inspect the power cord and plug for any frayed insulation or damaged connectors. 5. Verify that there is sufficient paper in the printer to complete the test. Diagnostic Analysis: This analysis is conducted with the scanner turned on. Some of these tests may require manager/administrator privilege. 1. Turn on the ballot scanner and, as it boots up, verify that the correct Federal and State certified version of the operating system and software are installed. This information may only display on the screen briefly. If you miss it, turn the scanner off and then re-boot. 2. Verify that the date and time set in the scanner are correct and, if not, correct them. 3. Be aware of time changes due to daylight savings time. If the daylight savings time will change between the time of this test and the next election, set the time on the scanner to compensate for this change. 4. Print a test pattern to verify that the printer is operating correctly. If your scanner does not have the ability to print a test pattern, the printer can be tested during the Functional Analysis. 5. Unplug the ballot scanner and verify that it will operate on the battery. If the scanner will not operate on the battery check to be sure the battery is fully charged before failing the scanner. 6. Verify that the battery charger will charge the battery. 7. Test all ports and card slots. If the scanner uses a serial port to communicate with the election man agement system, use a loop-back connector to test this port. Functional Analysis: This analysis is conducted with the scanner loaded with the mock election and set for election mode. Turn the scanner on, load the mock election, and then set the scanner in election mode. 1. Be sure all vote totals are set to zero. 2. Print a zero tape. 3. Use the pre-marked test deck to accumulate a signifi cant number of ballots (at least 25) on the scanner. 4. Close the election on the ballot scanner. 5. Print the results tape. 6. Verify that the vote counts on the result tape match the known results of the test deck. 7. Zero the vote counters and remove the mock elec tion from the scanner. Documentation: If the scanner experiences a failure during any of the above steps that cannot be corrected by the tester, terminate the test. Prepare documenta tion that lists the serial number of the scanner, the persons conducting the tests, the date, and a descrip tion of the failure. Make two copies of this docu mentation; one copy for your permanent record and another copy that stays with the scanner to assist the persons making any required repairs. Attach all print outs to the copy retained for your permanent record. If the scanner passes all of the above tests, pre pare documentation for your permanent record that lists the serial number of the scanner, the persons conduction the tests, and the date. Attach all print outs to this documentation. recommendation It is important to be able to look at a scanner and determine whether or not it has passed acceptance testing. One way to accomplish this is to attach a permanent, non-removable label to the back or underside of the scanner. This label should contain the serial number of the scanner, the date, and the name or initials of the testers. Acceptance Test for Touch-screen Voting Stations This section describes a typical acceptance test for a touch-screen voting station. The voting station should be set up for this test the way it will be set up for use in a precinct. Material Required: In order to conduct an acceptance test, you will need the following materials. You will also need to know the version of the operating system and the software/firmware on your voting stations. A memory card or other device that contains the mock election to be used for the test. This will be used to load the mock election into the voting station. U.S. Election Assistance Commission If the voting station uses a serial port to connect dis ability devices, you will need a loop-back connector. A voter card or other device required to activate the voting station for a voter. The password, manager card, or other device required for gaining manager/administrator privilege on the voting station. Physical Analysis: This analysis is conducted with the voting station turned off. 1. Examine the case and/or cover for cracks or dents. 2. Inspect latches, hinges, carrying case, wheels, etc. 3. Examine the legs and/or stand. The legs and/or stand must operate smoothly without binding. 4. Inspect the power cord and plug for any frayed insulation or damaged connectors. 5. Verify that there is sufficient paper in the printer to complete the test. Diagnostic Analysis: This test is conducted with the voting station turned on. Some parts of the test may require manager/administrator privilege. 1. Turn the voting station on and as it boots up verify that the correct Federal and State certified version of the operating system and firmware are installed. This information may only appear briefly on the screen. If you miss it, turn the voting station off and then turn it back on. 2. Verify that the date and time are correct and correct them if necessary. 3. Be aware of time changes due to daylight savings time. If the daylight savings time will change between the time of this test and the next election, set the time on the scanner to compensate for this change. 4. Check the calibration on the screen and re-calibrate the screen if necessary. 5. Print a test pattern to verify that the printer is operating correctly. If your voting station does not have the ability to print a test pattern, the printer can be tested during the Functional Analysis. 6. Examine the screen for condition and clarity. 7. Unplug the voting station and verify that it will operate on the battery. If the battery is dead, charge the battery and repeat this test. 8. Verify that the battery charger will charge the battery and that any indicators that display charg ing condition and level of battery charge are func tioning properly. 9. Test all card slots and input/output ports. If the voting station uses a serial port to connect the accessibility devices, test this port using a loopback connector. Functional Analysis: For this test the voting station is turned on and the mock election is loaded. 1. Verify that the mock election loaded correctly and that the ballot(s) contain all contests and candidates. 2. Set the voting station in election mode. 3. Print the Zero Totals tape. 4. Manually enter ballots that contain one vote for each candidate and issue. Continue to manually enter ballots until each candidate on the ballot has received exactly one vote and each issue has received one 'yes' and one 'no' vote. 5. Verify that each candidate has received exactly one vote and each issue has received one 'yes' and one 'no' vote. 6. If the voting station has the ability to automatically generate Logic and Accuracy ballots, use this feature to enter a total number of ballots that exceeds the number of ballots expected to be cast on a typical election day (usually about 150). 7. Close the election on the voting station. 8. Print the results. 9. Verify that the printed results exactly match the known number of votes cast for each candidate and issue. 10. Zero the totals and close the voting station. Documentation: If during any of the above steps the voting station experiences a failure that cannot be corrected by the tester, terminate the test. Prepare documentation that lists the serial number of the touch screen unit, the persons conducting the tests, the date, and a description of the failure. Make two copies of this documentation; one copy for your per manent record and another copy that stays with the touch screen unit to assist the persons making any required repairs. Attach all printouts to the copy retained for your permanent record. If the touch screen unit passes all of the above tests, prepare documentation for your permanent record that lists the serial number of the unit, the persons conducting the tests, and the date. Attach all printouts to this documentation. recommendation It is important to be able to look at a voting station and determine whether or not it has success fully passed acceptance testing. One way to accomplish this is to attach a permanent, non-removable label to the back of the screen or underside of the voting station. This label should contain the serial number of the voting station, the date, and the name or initials of the testers. End-to-end Voting System Acceptance Test This test is sometimes referred to as a test of the election management system. In reality, it not only tests the election management system but also tests the ability of the election management system to interface correctly with the voting devices and to correctly count the votes and print reports. This test should be conducted on all newly acquired voting systems, and also after any event that has the poten tial to alter the voting system. Such events include replacing a disk drive or other component in the election computer and any time the election com puter leaves your direct control and is returned. Important If you use a 'blended system', for example optical scan and touch screen for ADA, all components of the system must be included in this test. Materials Required: You must know the correct Federal and State certified versions of the operating systems and software/firmware for your election management system and your vote gathering devices, scanners and voting stations. In addition, you will need the following: 1. An election management computer with your voting system installed. 2. If Touch Screen units are used: One Touch Screen voting unit, One blank Touch Screen Memory Card or other device used to load the election definition into the voting unit, One Touch Screen manager/supervisor card or other device used to obtain manager/supervisor access to the voting unit, One Touch Screen voter card or other device used to initiate a voting session for a voter. 3. If Optical Scan Ballot Scanners are used: One Ballot Scanner, One blank memory card or other device used to load the election definition into the ballot scanner, One set of pre-marked Optical Scan test ballots with known results. This can be the same test deck used to conduct acceptance tests on the ballot scanner. 4. All communications cables and devices necessary to connect the voting units and ballot scanners to the election management computer. 5. One blank disk or other device used by your system to record and store the election results. 6. One disk or other device containing your mock acceptance test election setup. Prerequisite: The election management system con sisting of items 1 through 4 above must be set up and tested before beginning this acceptance test. Note It is acceptable to allow your IT staff or the manu facturer to do this setup because in the course of conduct ing the end-to-end test you will verify that everything has been set up correctly. The Touch Screen voting unit and the ballot scan ner should have previously completed acceptance testing. If not, run the Touch Screen voting station acceptance test and the ballot scanner acceptance test on these units prior to beginning this test. Verify Correct Operating System and Election Man agement Software: Turn on the election management computer. As the computer boots up, verify that the correct Federal and State certified version of the operating system is installed. After the boot up is complete, verify that the correct Federal and State certified version of the election management system is installed. This can be accomplished by comparing the hash values of the installed voting system software with the hash values contained in the Web site of the National Software Reference Library maintained by the National Institute of Standards and Technology (http://www.nsrl.nist.gov/votedata.html). U.S. Election Assistance Commission Verify the Election Management System Hardware: Verify that all components of the election management computer are turned on and functioning properly. This includes such components as printers, communi cation devices, disk drives, etc. Verify Voting System Functionality: This test will verify that the overall voting system is functioning properly. It will verify that the election management system will format media to setup the TS voting sta tions and OS ballot scanners, that votes cast on these devices can be uploaded to the election management system, and that these votes will be counted correctly. 1. Load the acceptance test database (election setup) on the election management computer. 2. Verify that the election management system will support the Touch Screen voting unit (If your voting system does not include Touch Screen units go to Step 3). Use the election management system to prepare the memory card or other device that is used to load the acceptance test mock election into the TS voting unit. Load the mock election into the voting unit. Open the election on the unit. Manually enter one vote for each candidate and one 'yes' and one 'no' vote for each issue on the ballot. If the Touch Screen voting unit has the facility to produce Logic and Accuracy ballots, use this fea ture to cast one set of Logic and Accuracy ballots. Close the election on the Touch Screen voting unit. Print the vote totals on the voting station printer. Use your standard method for transferring votes from the voting station to the election manage ment computer to upload the votes from the voting unit to the election management system. 3. Verify that the election management system will support the Optical Scan ballot scanner. Use the election management system to prepare the memory card or other device that is used to load the acceptance test mock election into the ballot scanner. Load the mock election into the ballot scanner. Open the election on the ballot scanner. Use the pre-marked set of optical scan test ballots to cast votes on the ballot scanner. Close the election on the ballot scanner. Print the vote totals on the ballot scanner. Use your standard method for transferring votes from the ballot scanner to the election manage ment computer to upload the votes from the ballot scanner to the election management system. 4. Verify Printed Outputs. Close the election on the election management system. Print the standard reports that contain the vote totals. Compare the results printed from the election management system with the results printed from the voting station and ballot scanner. Documentation: If the voting system experiences a failure during any of the above steps that cannot be corrected by the tester, terminate the test. Prepare documentation that lists the serial number of the election computer and the serial number or other identifying information for any other component that failed, the persons conducting the tests, the date, and a description of the failure. Make two copies of this documentation; one copy for your permanent record and another copy that stays with the touch screen unit to assist the persons making any required repairs. Attach all printouts to the copy retained for your permanent record. If the voting system passes all of the above tests, prepare documentation for your permanent record that lists the serial number of the voting system com puter, the serial number of the Touch Screen voting unit, the serial number of the Optical Scan ballot scanner, the persons conducting the tests, and the date. Attach all printouts to this documentation. recommendation It is important to be able to look at a voting system computer and determine whether or not it has successfully passed acceptance testing. One way to accomplish this is to attach a permanent, non-removable label to the case of the voting system computer. This label should contain the serial number of the computer, the date, and the name or initials of the testers. Conclusion Acceptance testing on each machine delivered to a voting jurisdiction by a manufacturer is a critical step in the process of ensuring that electronic voting units used by voters on Election Day will function as intended. Although each manufacturer has internal quality control procedures, and although quality control should be guaranteed to some degree in the contractual agreement between the manufacturer and the voting jurisdiction, these procedures and guaran tees are worthless unless the jurisdiction can proac tively detect failures or non-functional systems at the time the product is delivered. Rigorous acceptance testing provides this detection mechanism. recommendation Your agreement with the vendor should include an understanding that the warranty on a unit of the voting system will not begin until the initial acceptance testing has been successfully completed. SAMPLE FORM 4.1: TSX TOUCH SCREEN ACCEPTANCE TESTING PROCEDURES (Johnson CO. Kansas) \| SERIAL NUMBER: (Left side of unit) 204404 \| Check off as completed. Note any discrepancies. \| \|---\|---\| \| Inspect for physical damage, such as cracks. \| \| \| Write to the right the number of keys received with unit (if new). \| \| \| Unfold legs and stand unit up. \| \| \| Plug TS unit into electrical source. \| \| \| Plug polarity checker into “daisy chain” outlet only far enough for lights to come on. Confirm electrical. Remove polarity checker. \| \| \| Unlock PC card compartment on top left side. (turn key 3:00 to 6:00) \| \| \| Make sure that the nut on the inside of the key assembly is tight. \| \| \| Make sure that there is a red cover on the On/Off button. Power On by holding red button to count of 3. Open doors. \| \| \| Confirm that Boot Loader Release Build Date is April 19, 2004. If not, record the build date to the right. \| \| \| Confirm that Windows CE 4.10 Build Date is February 5, 2004. If not, record the build date to the right. \| \| \| Confirm that the ballot station is version 4.5.2 (lower right hand corner of screen). If not, record ballot station version to the right. \| \| \| Unlock printer compartment and bring forward. (turn key 12:00 to 3:00) \| \| \| Feed printer paper, if necessary. \| \| \| Insert Manager card. Enter (the password) and “OK.” \| \| \| Confirm AC Online and write battery percentage to right. \| \| \| Touch “System Setup.” \| \| \| Confirm Serial Number on Setup screen. Write on this sheet at top if necessary. \| \| \| Touch “Set Date.” \| \| \| Touch the arrows to set the correct month, year, and time. Be careful of AM & PM. Touch the correct date on the calendar. \| \| \| Select Central Time from the drop-down list. Uncheck “Automatically adjust clock for daylight saving.” \| \| \| Touch “Apply” after setting date, time, and/or time zone. \| \| \| Touch “OK” if no changes made or “X” to exit. \| \| \| Touch “Diagnostics.” Touch “Test Printer.” \| \| \| If printer does not print, push the whole printer to the right to confirm that there is a solid connection. You may also need to open the lid by pushing down on the gray lever—make sure that the hinges are seated correctly, tighten the paper roll, feed the paper, and snap the lid shut. \| \| \| After test finishes, touch “OK” for “Printer test PASSED.” \| \| \| Attach loop back connector (slightly wider at top) to serial port located on the back of the unit. Touch “Test Serial Port.” \| \| continued next page... U.S. Election Assistance Commission SAMPLE FORM 4.2: TSX DIAGNOSTICS (Johnson County Kansas) \| ELECTION: Summer 2005 \| SERIAL NUMBER: 216879 \| Check off as completed. Move unit to repair bench if it fails. \| \|---\|---\|---\| \| Inspect for physical damage, such as cracks. \| \| \| \| Flip machine over and extend legs (double first, then single). Twist gently to align bullets. \| \| \| \| Make sure “Property of” sticker is on back. Fold legs down & turn machine back over. \| \| \| \| Plug TS unit into electrical source. Unlock machine padlock. \| \| \| \| Examine padlock label. Take key & padlock to printer and make new label if needed. \| \| \| \| Make sure that AC light is yellow. \| \| \| \| Unlock PC card compartment on left side of unit. (Turn key from 12:00 to 3:00) \| \| \| \| Insert Tech PC card with tech label on top of card. \| \| \| \| Power On by pressing red button and holding to the count of 3. \| \| \| \| Confirm that the Boot Loader Release Build Date is April 19, 2004. \| \| \| \| Confirm that the Windows CE 4.10 Build Date is February 5, 2004. \| \| \| \| Confirm in lower right-hand corner that Ballot Station Version is 4.5.2. \| \| \| \| Unlock printer cover & raise printer. Make sure there is enough paper for diagnostics. \| \| \| \| Use yellow tape to tape printer around the bottom so that it is firmly against connection. \| \| \| \| Confirm that the touch screen says “AC Online” in the Power field. \| \| \| \| Insert Manager card. Touch (the password) and “OK.” Touch “System Setup.” \| \| \| \| Confirm that the number on the screen and the sticker on the left side of machine match. Write Serial number on this sheet if needed. \| \| \| \| Touch “Set Date.” Select “Central Time” from the drop-down list if not already selected. Touch “Apply.” \| \| \| \| If date/time is still not correct (daylight saving), reset by touching date and/or using arrows to set time, year or month. (Be careful of AM & PM.) Touch “Apply” if you reset anything. \| \| \| \| Uncheck “Automatically adjust clock for daylight saving time.” Touch “Apply.” \| \| \| \| Touch “OK” if no changes made or “X” to exit Date/Time Properties window. \| \| \| \| Record today’s date and time here for proofing purposes. \| \| \| \| Touch “Diagnostics.” Touch “Test Card Reader.” \| \| \| \| Manager card is ejected. Remove the Manager card. Do not respond to Warning. \| \| \| \| Insert a smart card. (Do Not Test The Manager Card. It Will Be Erased.) \| \| \| \| Remove smart card when prompted after test. \| \| \| \| Reinsert Manager card. Touch “Done.” \| \| \| \| Touch large “OK” at bottom of screen to save settings. \| \| \| continued next page... U.S. Election Assistance Commission \| ELECTION: Summer 2005 \| SERIAL NUMBER: 216879 \| Check off as completed. Move unit to repair bench if it fails. \| \|---\|---\|---\| \| Touch “Exit Supervisor.” Remove Manager card. \| \| \| \| Touch “Clear Totals.” Answer “OK” to message. \| \| \| \| Touch “Test Count.” Check “Not Using Voter Card.” \| \| \| \| Touch “Count Test.” Touch “Vote.” Touch “Next.” \| \| \| \| Vote for Red, White, & Blue and then one time for the first candidate in every race, except write in “yam” for favorite food. \| \| \| \| Touch “Cast Ballot.” Touch “Close” on the “Select Precinct and Party” screen. \| \| \| \| Touch “Close” on the “Pre-Election Testing Mode” screen. \| \| \| \| Touch “Reporting.” Answer “Yes” to “Print write-in candidates?” \| \| \| \| “PRINT LONG REPORT?”—answer “No.” \| \| \| \| “NEED ANOTHER COPY?”—answer “No,” unless printer did not print successfully. \| \| \| \| Tear off printer tape. Confirm machine number and 1 vote for Red, White, Blue, first candidate in each race & yam. Fold printout facing out. Paper clip to back of this form. \| \| \| \| Push red button & hold to count of 3 to turn unit Off. Use eject button to remove PC card. \| \| \| \| Make sure there is enough paper for manual L&A. Close and lock both compartments. \| \| \| \| Clean screen with dry optical cloth. Replace protective Styrofoam sheet over screen. \| \| \| \| Examine hinges & fold privacy panels in. Relock machine at top with its specific padlock. \| \| \| \| Put a plastic tie through the lower holes in the privacy panels as a marker that it is done. \| \| \| \| Remove colored dot from “foot” of machine. \| \| \| \| TECHNICIAN: Revised 5/31/05 \| \| DATE: \| Page is intentionally left blank
County of Santa Clara Domestic Violence Council DATE: December 7, 2018, Regular Meeting TIME: 12:15 PM PLACE: Board of Supervisors' Chambers County Government Center – 70 West Hedding Street, 1st floor San Jose, CA 95110 AGENDA In compliance with the Americans with Disabilities Act and the Brown Act, those requiring accommodations in this meeting should notify the Clerk of the Domestic Violence Council no less than 24 hours prior to the meeting at (408) 299-5001, or TDD (408) 993-8272. Please note: To contact the Commission and/or to inspect any disclosable public records related to an open session item on a regular meeting agenda and distributed by the County to all or a majority of the Board of Supervisors (or any other commission, or board or committee) less than 72 hours prior to that meeting, visit our website at http://www.sccgov.org or contact the Clerk at (408) 299-5001 or 70 W. Hedding, East Wing - 10th Floor, San Jose, CA 95110, during normal business hours. Persons wishing to address the Commission on a regularly scheduled item on the agenda are requested to complete a request to speak form and give it to the Deputy Clerk. (Government Code Section 54953.3.) Individual speakers will be called by the Chairperson and are requested to limit their comments to two minutes. Groups of speakers on a specific item are asked to limit their total presentation to a maximum of twenty minutes for each side of the issue. COMMUTE ALTERNATIVES: The Board of Supervisors encourages the use of commute alternatives including public transit, bicycles, carpooling, and hybrid vehicles. For public transit trip planning information, contact the VTA Customer Service Department at (408) 321-2300 Monday through Friday between the hours of 6:00 a.m. to 7:00 p.m., and on Saturday from 7:30 a.m. to 4:00 p.m. Schedule information is also available on the web at www.vta.org. Bicycle parking racks are available in the James McEntee, Sr., Plaza in front of the County Government Center building. If this Board or Commission does not meet in the County Government Center, please contact VTA for related routes. Opening 1. Call to Order/Roll Call. 2. Public Comment. This item is reserved for persons desiring to address the Commission on any matter within the subject matter jurisdiction of the Commission that is not on this agenda. Members of the public who wish to address the Commission on any item not listed on the agenda should complete a request to speak form and give it to the Deputy Clerk. The Chairperson will call individuals to speak in turn. Speakers are limited to the following: three minutes if the Chairperson or designee determines that five or fewer persons wish to address the Commission; two minutes if the Chairperson or designee determines that between six and fourteen persons wish to address the Commission; and one minute if the Chairperson or designee determines that fifteen or more persons wish to address the Commission. The law does not permit Commission action or extended discussion of any item not on the agenda except under special circumstances. If Commission action or response is requested, the Commission may place the matter on a future agenda. 3. Approve Consent Calendar. Notice to the public: there is no separate discussion of consent calendar items, and the recommended actions are voted on in one motion. If an item is approved on the consent vote, the specific recommended action listed on the agenda is approved. Members of the public who wish to address the Commission on any consent items should complete a request to speak form and give it to the Deputy Clerk. Items removed from the Consent Calendar will be considered at the end of the regular agenda, or earlier at the Chairperson's discretion. Officer and Staff Reports 4. Receive Verbal Reports from Staff and Council Officers: a. Membership report. (Slack) b. Staff report. (Office of Women's Policy Staff) c. Chairperson's report. (Halcon) Committee Reports 5. Receive Verbal Reports from Committees: a. Executive Committee report. (Halcon) b. Children's Issues Committee report. (Cain) c. Court Systems Committee. (Ford) d. Conference Committee report. (Ford) e. LGBTQ/IPV Committee report. (Halcon) f. Medical Committee report. (Brunetto) g. Police Victim Advocacy Committee report. (Halcon) Regular Agenda 6. Approve calendar year 2019 Domestic Violence Council meeting schedule. (ID# 94524) 7. Consider recommendations relating to Firearm Relinquishment Order Ad Hoc Committee. Possible action: a. Receive report from the ad hoc committee. (Halcon) b. Discuss and approve extending the end date of the ad hoc committee. 8. Discuss and approve establishing a 2019 Retreat Planning Ad Hoc Committee, and appoint members to serve on the Committee. (Halcon) 9. Discuss and approve establishing a 2019 Law Enforcement Protocol Training Ad Hoc Committee to develop a training for law enforcement officers on domestic violence protocols and report to the Council following the training, and appoint members to serve on the Committee. (Halcon) Consent Items 10. Approve minutes of the September 7, 2018 Regular Meeting. Announcements 11. Announcements and correspondence: a. Chairperson's announcements. b. Commissioners' announcements. c. There are currently six vacancies on the Council. For internet access to vacancies and applications, visit www.sccgov.org/sites/bos/bnc. d. The County of Santa Clara provides reimbursement to appointed Commissioners for family care expenses incurred during the time spent performing their official duties. For additional information please contact the Office of the Clerk of the Board at (408)299-5001. Adjourn 12. Adjourn to the next regular meeting on Friday, January 4, 2019, at 12:15 p.m. in the Board of Supervisors' Chambers, County Government Center, 70 West Hedding Street, San Jose. County of Santa Clara Domestic Violence Council 94524 DATE: December 7, 2018 TO: Domestic Violence Council FROM: Stephanie Simunic, Board Clerk I SUBJECT: 2019 schedule RECOMMENDED ACTION Approve calendar year 2019 Domestic Violence Council meeting schedule. ATTACHMENTS: * 2019 DVC meeting schedule (PDF) Board of Supervisors: Mike Wasserman, Cindy Chavez, Dave Cortese, Ken Yeager, S. Joseph Simitian County Executive: Jeffrey V. Smith Page 6 1 Page 1 of Packet Pg. 4 DOMESTIC VIOLENCE COUNCIL Proposed 2019 meeting schedule Meetings are typically held on the first Friday of every month, at 12:15 p.m., unless otherwise noted, in Board Chambers at the County Government Center, 70 West Hedding, San Jose January 4, 2019 February 1, 2019 March 1, 2019 April 5, 2019 May 3, 2019 June 7, 2019 July 2019 – no meeting August 2019 – no meeting September 6, 2019 October 4, 2019 November 1, 2019 December 6, 2019 County of Santa Clara Domestic Violence Council DATE: September 7, 2018, Regular Meeting TIME: 12:15 PM PLACE: Board of Supervisors' Chambers County Government Center – 70 West Hedding Street, 1st floor San Jose, CA 95110 MINUTES Opening 1. Call to Order/Roll Call. Chairperson Halcon called the meeting to order at 12:19 p.m. A quorum was present. \| \| Attendee Name \| \| Title \| \| Status \| Arrived \| \|---\|---\|---\|---\|---\|---\|---\| \| Laura Brunetto \| \| Council Member, Seat No. 9 \| \| Absent \| \| \| \| Natalia Cacdac \| \| Council Member, Seat No. 3 \| \| Absent \| \| \| \| Amy Caffrey \| \| Council Member, Seat No. 12 \| \| Present \| \| \| \| Andrew Cain \| \| Council Member, Seat No. 15 \| \| Present \| \| \| \| Adriana Maria Caldera \| \| Council Member, Seat No. 16 \| \| Absent \| \| \| \| Julie Emede \| \| Council Member, Seat No. 8 \| \| Present \| \| \| \| Perla Flores \| \| Council Member, Seat No. 14 \| \| Present \| \| \| \| Nicole Ford \| \| Vice Chairperson, Seat No. 13 \| \| Present \| \| \| \| Kasey Halcon \| \| Chairperson, Seat No. 6 \| \| Present \| \| \| \| Jermaine Hardy \| \| Council Member, Seat No. 11 \| \| Present \| \| \| \| Cindy Hendrickson \| \| Council Member, Seat No. 7 \| \| Present \| \| \| \| Aaron Johnson \| \| Council Member, Seat No. 5 \| \| Present \| \| \| \| Henry Kwong \| \| Council Member, Seat 17 \| \| Present \| \| \| \| Daniel Little \| \| Council Member, Seat No. 1 \| \| Present \| \| \| \| Melissa Luke \| \| Council Member, Seat No. 19 \| \| Absent \| \| \| \| Jake Rhodes \| \| Council Member, Seat No. 20 \| \| Present \| \| \| \| Dan Rodriguez \| \| Council Member, Seat No. 10 \| \| Present \| \| \| \| Steve Slack \| \| Council Member, Seat No. 22 \| \| Present \| \| \| 2. Public Comment. (ID# 93347) Three individuals addressed the Council. September 7, 2018 3. Approve Consent Calendar. 3 RESULT: APPROVED [14 TO 0] MOVER: Andrew Cain, Council Member, Seat No. 15 SECONDER: Aaron Johnson, Council Member, Seat No. 5 AYES: Caffrey, Cain, Emede, Flores, Ford, Halcon, Hardy, Hendrickson, Johnson, Kwong, Little, Rhodes, Rodriguez, Slack ABSENT: Brunetto, Cacdac, Caldera, Luke Officer and Staff Reports 4. Receive Verbal Reports from Staff and Council Officers: a. Membership report. (Slack) Chairperson Halcon advised of vacancies, in Seat No. 2, a representative from a battered women's shelter; Seat No. 4, a representative from the Santa Clara County Bar Association; Seat No. 8, a representative from Superior Court Family Court; Seat No. 12, a representative from the Gay/Lesbian Community; Seat No. 18, a representative from a Batterer's Treatment Program; and Seat No. 21, a representative from Superior Court Criminal Court. 4.a RESULT: RECEIVED b. Staff report. (Office of Women's Policy Staff) No report was received. c. Chairperson's report. (Halcon) Chairperson Halcon stated that since the Domestic Violence Conference is scheduled on the same day as the October 5, 2018 Domestic Violence Council meeting, the meeting is cancelled so the Council Members can attend the conference. 4.c RESULT: RECEIVED Committee Reports 5. Receive Verbal Reports from Committees: a. Executive Committee report. (Halcon) No report was received. b. Children's Issues Committee report. (Cain) Council Member Cain stated that the Committee did not meet in July and August of 2018 and will resume monthly meetings in September 2018. He further stated that the Committee is planning an event in winter 2019 relating to the film, September 7, 2018 "Resilience," a documentary regarding the science of Adverse Childhood Experiences and a new movement to treat and prevent toxic stress. 5.b RESULT: RECEIVED c. Court Systems Committee report. (Ford) Two individuals addressed the Council. Council Member Ford stated that the next meeting is scheduled for September 17, 2018, at 12:15 p.m. in Conference Room 157 at the County Government Center, 70 West Hedding Street, San Jose. 5.c RESULT: RECEIVED d. Conference Committee report. (Ford) (ID# 93348) Two individuals addressed the Council. Vice Chairperson Ford stated that the 25th Annual Domestic Violence Conference, themed, "The Journey to Safety, Justice and Healing," is scheduled for October 5, 2018, at the Computer History Museum in Mountain View. She further stated that the keynote speaker is Brigid McCaw, Medical Doctor, and founder and Director of Kaiser Permanente's Family Violence Prevention Program in Northern California. 5.d RESULT: RECEIVED e. Medical Committee report. (Brunetto) No report was received. f. Police Victim Advocacy Committee report. (Halcon) No report was received. Regular Agenda 6. Receive report relating to Senate Bill 10, regarding pretrial release and detention Penal Code amendments. (Johnson) Council Member Johnson provided an overview of Senate Bill 10, stated that it passed in the State legislature, and that it will take effect October 1, 2019. He further stated that the bill eliminates bail schedules in the cash bail system under which California currently operates and replaces it with a release decision matrix, as currently utilized by the County of Santa Clara. He further stated that the County utilizes the Ontario Domestic Assault Risk Assessment (ODARA) model, which is a tool to assess the risk of future domestic assault, as well as the frequency and severity of future assaults. 6 RESULT: RECEIVED September 7, 2018 7. Receive report from Firearm Relinquishment Order Ad Hoc Committee. (Halcon) (ID# 93349) Two individuals addressed the Council. Chairperson Halcon stated that she intends to provide an agenda for the upcoming meeting, and that she was contacted by the Office of the County Counsel relating to jointly researching laws and enforcement efforts in other jurisdictions regarding firearm relinquishment programs. Discussion ensued relating to County and nation history and enforcement efforts regarding firearm relinquishment programs. Commissioner Rhodes left his seat at 12:58 p.m. 7 RESULT: RECEIVED Consent Items 8. Approve minutes of the June 1, 2018 Regular Meeting. 8 RESULT: APPROVED [14 TO 0] MOVER: Andrew Cain, Council Member, Seat No. 15 SECONDER: Aaron Johnson, Council Member, Seat No. 5 AYES: Caffrey, Cain, Emede, Flores, Ford, Halcon, Hardy, Hendrickson, Johnson, Kwong, Little, Rhodes, Rodriguez, Slack ABSENT: Brunetto, Cacdac, Caldera, Luke Announcements 9. Announcements and correspondence: a. Chairperson's announcements. Chairperson Halcon stated that October is Domestic Violence Awareness Month. b. Commissioners' announcements. Council Member Flores stated that Community Solutions is producing a play relating to domestic violence scheduled for November 10, 2018, and that a documentary film related to domestic violence is scheduled for the evening of September 7, 2018. Chairperson Halcon advised of involvement of HaNhi Tran, Deputy District Attorney, Santa Clara County, in The Clothesline Project, a nonprofit created to bring awareness to the issue of violence against women, men, and children. c. There are currently five vacancies on the Council. For internet access to vacancies and applications, visit www.sccgov.org/sites/bos/bnc. d. Chairperson Training is scheduled for Thursday, September 27, 2018 at 4:00 p.m. in Room 157, County Government Center, 70 West Hedding Street, San Jose. Page 4 of 5 e. The County of Santa Clara provides reimbursement to appointed Commissioners for family care expenses incurred during the time spent performing their official duties. For additional information please contact the Office of the Clerk of the Board at (408)299-5001. Adjourn 10. Adjourn to the next regular meeting on Friday, October 5, 2018, at 12:15 p.m. in the Board of Supervisors' Chambers, County Government Center, 70 West Hedding Street, San Jose. Chairperson Halcon adjourned the meeting at 1:14 p.m. Respectfully submitted Stephanie Simunic, Deputy Clerk Packet Pg. 10
Radiofrequency conical emission from femtosecond filaments in air 1 Laboratoire d'Optique Appliquée, ENSTA ParisTech, Ecole Polytechnique, CNRS UMR 7639, 91761 B. Forestier 1 , A. Houard 1 , M. Durand 1 , Y.B. Andr é 1 , B. Prade 1 , J.-Y. Dauvignac 2 , F. Perret 2 , Ch. Pichot 2 , M. Pellet 3 and A. Mysyrowicz 1,a) Palaiseau, France 2 Laboratoire d'Electronique, Antennes et Télécommunications, Université Nice-Sophia Antipolis, CNRS UMR 6071, 250 rue Albert Einstein, 06560 Valbonne, France 3 Ministère de la Défense, F-00457 Armées, France We show that the broadband conical emission associated with filaments in air extends down to the radiofrequency region. This RF emission which originates from the longitudinal oscillation of charged ions formed during filamentation is strongly enhanced by the presence of a longitudinal static electric field. Femtosecond filamentation, a process during which an intense subpicosecond laser pulse launched in atmosphere self organizes in the form of a collimated beam is the subject of active investigations (for a recent review see ref 1). Filaments consist of a hard core where the self-focused pulse intensity is sufficient to ionize air molecules, surrounded by a laser energy reservoir contributing to the stability of the core. Filaments are thus able to convey high intensities over long distances, well beyond the limit imposed by diffraction, leaving in their wake a short-lived plasma column. A signature of filaments is the appearance of a forward oriented conical emission extending over a large frequency domain, from the UV to the THz 1-7 . While the origin of the visible part of the conical emission is still a question of debate (X waves, Cerenkov emission 1-4 ), the low frequency THz component is now well understood 5,7 . It corresponds to a Cerenkov-like emission from free electrons oscillating longitudinally in the plasma column. This THz emission is strongly enhanced by the presence of an external static electric field 8-9 and some evidences of RF emission from a biased filament have been reported 10 . The experimental set up is shown in Fig. 1. The measurements were performed outdoor, in a free environment, to avoid unwanted reflections. The laser used for this experiment was the TERAMOBILE 11 , a CPA laser chain based on Ti:Sa technology. It delivers pulses with a peak power of several TW at 800 nm (pulse energy: 150 mJ; pulse duration of 50 fs; repetition rate 10 Hz). Since its peak power is far above the critical power for the onset of filamentation (3 GW in air for a wavelength of 800 nm), a bundle of ~ 20 parallel filaments were formed after a few meters of propagation. In order to regroup the plasma columns from the individual filaments into a single column, the laser beam was weakly focused with a 10 m focal length telescope. A plasma column of ~ 7 mm diameter was then obtained, starting 1 m before the geometric focus and extended over at least 2 m 10 . In order to apply a longitudinal electric field to the plasma column, a circular electrode with a central hole was placed at the beginning of the plasma channel (See Fig. 1). A high voltage (up to 50 kV) was applied on the electrode. The end of the plasma column was precisely fixed by inserting a thick dielectric block in the beam path 20 and 50 cm after the electrode. Two types of electrodes have been tested: the first had an inner hole diameter d of 2 cm and an outer diameter D of 10 cm, while the second electrode had the dimensions d = 2 cm, D = 100 cm. The corresponding calculated electric fields on the propagation axis are shown in Fig. 2. In this letter, we investigate experimentally the conical emission of filaments, in the RF range (MHz to GHz) when an external static electric field oriented along the filament axis is applied. We detect a broadband emission between kHz and GHz and show that this emission is in fact the analog of the THz Cerenkov emission reported earlier, except that here the motion of electrons is replaced by the motion of charged molecules. Detection of the RF emission was performed with two planar integrated antennas: antenna A has an optimal response in the range 150 MHz-2 GHz, and antenna B from 1 to 6 GHz 12 . The transfer function in reception of antenna A was measured with a network analyzer in the spectral range 100 MHz - 5 GHz showing a quasi flat response over this spectral range (see Fig. 3). Some measurements at still lower frequencies were performed with a magnetic loop antenna (bandwidth: 9 kHz to 30 MHz). The reception antennas were set at a distance of 15 meters from the filament and could be displaced on a quarter circle centered around the electrode (see Fig. 1). The antennas were set to detect the electric field component (perpendicular to the acquisition circle radius) in the horizontal plane defined by the filament and the detection point. The RF signal from the reception antennas was directly digitized with a real time oscilloscope (Tektronix DSA700000, 6 GHz bandwidth). Measurements were performed as a function of applied field, angle with respect to the filament axis and plasma column length. For each measurement point, the background noise level was also recorded with the laser operating but stopped before filamentation. . A typical electric signal is shown in the inset of Fig. 3. It was recorded at angle 90 ° , perpendicular to the filament axis, with electrode A and an applied voltage of 40 kV. The corresponding spectrum obtained by Fourier transformation is shown in the same figure. As can be seen, a broad emission, extending over the entire antenna bandwidth is observed a Author to whom correspondence should be addressed. Electronic mail: email@example.com. Measurements with the magnetic loop antenna confirmed that its low frequency tail extends to the kHz domain. Fig. 4 shows the dependence of the spectral amplitude at 140 MHz as a function of applied voltage. For this measurement, a second grounded electrode was set at a distance of 14 cm from the other electrode. Below 5 kV (corresponding to a maximum external field of 330 V/cm in a single electrode configuration), the signal is buried in the ambient noise, effectively limiting the active region of the plasma column to a distance of ~18 cm for electrode A and ~30 cm for electrode B. Indeed, no appreciable difference in the amplitude of the emitted RF signal was found by removing the dielectric block limiting the filament length. Finally, the far field radiation pattern of the RF emission at a few selected frequencies was measured along 24 points placed on the quadrant. As shown in Fig. 5, the radiation presents a hollow cone shape oriented in the forward direction. The angular center of gravity of this emission moves towards the filament axis for increasing frequencies. We first discuss the radiation pattern since it gives a clue about the origin of the emission. As can be seen, the emission takes the form of a slightly forward oriented emission, the angle of which depends on the plasma length and the emission frequency. This is similar to the radiation pattern observed in the THz range, except that the angle of aperture is considerably larger here. This particular radiation pattern allows identifying the emission mechanism. It is due to the same mechanism as in the case of THz radiation (Cerenkov-transition process), except that the motion of electrons in the plasma is replaced by the motion of ions. More precisely, the situation is analog to the THz emission enhanced by a longitudinal field 8 . Consider an element of the filament at distance z . Once the ionization front reaches z, it creates free electrons and ions which are set in a longitudinal motion in order to screen the preexisting longitudinal field and then oscillate at their characteristic plasma frequency. Each element z emits therefore a dipole like radiation oriented perpendicular to the filament axis z, but with a phase delay with respect to that of element z-dz . In the present case, reflections at the end of the filament can be neglected. This is similar to the emission from a travelling wave antenna. The coherent sum of all elementary dipoles over the entire plasma column gives rise to a conical emission in the far field obeying the relation in the frequency domain 13 . R Since the external field is non uniform, the current distribution I can be expressed as where = 377 is the impedance of vacuum, c k / is the wave vector of the radiated field, R is the distance between the beginning of the active region O and the detection point P, M is a source point of the emitting line and L is the length of this line. One should note that this formula is only valid in the far field (1/ << 1) and for a small source ( L << R ). with ) ( ) ( max z E z I s according to the model developed in ref 8-9. The normalized radiation pattern at the pulsation can thus be developed into: where is a normalization constant. K We have performed simulations which include the spatial variation of the electric field. The radiated field is given by the far field integral of a one-dimensional current. Other characteristics of the RF emission are in agreement with the model. The emitted radiation amplitude should depend linearly on the applied field, in agreement with the experiment (see Fig. 4). The travelling wave antenna predicts a broad spectrum since there is no quantization of the field in a resonance cavity as it is the case with a dipole antenna. The filament produces a dipole-like emission in the extreme case when the wavelength in much longer than the active length ( >>L). The directivity is linked to the spatial distribution of the applied field on the axis. Results are shown as red curves in Fig. 5. As can be seen the overall radiation pattern is well restituted, except for the appearance of a more complex structure inside the lobes. This effect is particularly pronounced in the high frequency part of the spectrum. We attribute these interferences to reflections of the radiations over the bumped ground and the surrounding obstacles, but the complexity of the environment geometry does not allow us to make clear estimation of these effects. In conclusion, filaments in air give rise to a forward conical emission extending down to the kHz domain. The origin of this low frequency signal is the longitudinal motion of charged ions. To be observable this emission requires the presence of an external static field, since the ponderomotive force of the pulse is too weak to displace ions significantly. This work was partially funded by the DGA grant N . *200795091 1 A. Couairon and A. Mysyrowicz,Phys. Rep., , 47 ( 2007) éberge, M âteauneuf, V 33 441 2 E.T.J. Nibbering, P.F. Curley, G. Grillon, B. S. Prade, M. A. Franco, F. Salin and A. Mysyrowicz Opt. Lett. 21 , 62 (1996) 3 F. Th . Ch . Ross, P. Mathieu, and J. Dubois, Opt. Lett. , 2515 (2008) 4 P. Maioli, R. Salam -P Wolf Optics Exp. , 4726 (2009) 'Amico 6 A. Houard, Y. Liu, A. Mysyrowicz and B. Leriche ., Appl. Phys. Lett., 91 , 241105 (2007) é, N. Lascoux, E. Salmon, P. Béjot, J. Kasparian, and J , 17 5 C. D , A. Houard, M. Franco, B. Prade, A. Couairon, V.T. Tikhonchuk, A. Mysyrowicz ., Phys. Rev. Lett. 98 , 235002 (2007) 7 C. D 'Amico , A. Houard, S. Akturk, Y. Liu, J. Le Bloas, M. Franco, B. Prade, A. Couairon, V.T. Tikhonchuk, and A. Mysyrowicz ., New J. Phys. , 013015 (2008) ., 93 9 A. Houard Y. Liu, B. Prade, V.T. Tikhonchuk and A. Mysyrowicz, Phys. Rev. Lett. , 255006 (2008) 10 8 Y. Liu, A. Houard, B. Prade, A. Diaw, V.T. Tikhonchuk and A. Mysyrowicz Appl. Phys. Lett. , 051108 (2008) , 100 10 C. D , A. Houard, M. Pellet, C. Pichot and A. Mysyrowicz Journal of Physics D: Applied Physics, , 245206 (2008) 20 12 E. Guillanton, J. Y. Dauvignac, Ch. Pichot, J. Cashman, Microw. Opt. Tech. Lett. 286 9 (1998) 'Amico ., 41 11 H. Wille, M. Rodriguez, J. Kasparian, D. Mondelain, J. Yu, A. Mysyrowicz, R. Sauerbrey, J.P. Wolf, and L.W öste, Eur. Phys. J. AP , 183 (2002). 19 – 13 P. Vaudon, B. Jecko and P. Brachat, Annals of Telecommunications, , 227-232 (1996) 51 FIG. 3. Radiation spectrum (red curve) and background noise (black curve) measured with antenna A at 15 m and for è = 90 ° with electrode A and an applied voltage of 40 kV. Antenna transfer function and deconvoluted spectrum are shown respectively as green dashed line and blue continuous line. The corresponding temporal waveforms for signal and noise are presented in the inset.
The Better Together Bulletin John's Corner What's Inside Last year, CMS finalized separate payment for non-face-to-face (telehealth) visits to manage patients with two or more chronic conditions. This telehealth payment rule is set to go into effect beginning in 2015 and reflects CMS's willingness to recognize new efficient and cost effective delivery systems to contain the rising costs of managing health care. Last week, the Centers for Medicare & Medicaid Services (CMS) proposed several additional telehealth policies and payment changes for 2015. Among the proposed changes, CMS would allow Medicare beneficiaries to receive four new services under telehealth benefits. These services are annual wellness visits, psychoanalysis, psychotherapy, and prolonged evaluation and management services. The advent of telemedicine is taking hold as CMS expands payment policies to recognize the value of telehealth services. UCIN recommends their Members become telehealth providers for MeMD to expand their urgent care patient base. Gear up; Management Matters - Shared Risk Contracts Urgent Care Site Selection Vendor Profile: UrgentRad Ask Angie! Urgent Care Textbooks UCI Network Partners * McKesson /PSS * MePro Disposal * Wood Insurance * Athenahealth * UrgentRad * Find Urgent Care * National UC Realty * BlueRidge Xray * MeMD * MedSol * Inflection HR * Baker Donelson * TLC Medical * Wellcentive * Legal Shielf * iMoxie * QLess * Active Forever * OfficePro * InDemand Interpreting * SafetyMagnets Management Matters Practice Management Tips by: Sybil Yeaman Shared Risk Contracts Health plans control the cost of providing medical care to their members by various methods, such as laddering patient co-pays, determining covered services, and managing provider reimbursement. Part of managing provider reimbursement includes the development of new payment models. Currently, health plans have created value-based contracts, which are designed to have physicians share the financial risk of patient care. The most common are shared savings agreements, which are the first step in sharing risk. Revenue Cycle Phases and Processes Managed Care Contracting In order to meet the challenge of these new payment models and determine if the plan reimbursement is acceptable, it is imperative for your center to understand their utilization and know their cost to provide medical care. This means you should know your patient utilization by payer and procedure, and the average cost to provide care per patient. Otherwise, you won't know if there are any "shared savings" or ample reimbursement to adequately cover your costs of doing business. Protect your urgent care center from taking a financial loss. Be sure the payment model will cover your costs of providing medical care before renewing current contracts or signing up for new plan opportunities. Urgent Care Site Selection By Mike Zelnik and Jim Garrett National UC Realty Finding the right location for your urgent care center is paramount to its success. The selection process should include the following steps: Define a General Market area – Gather Population Statistics Because mapping is an effective tool that aids in site evaluation, your site search should start by defining a general market area, the region that can support your first location and provide suitable opportunities for future expansion. One search method is to select a county of city and use its boundaries to define the general market area. Information used in you analysis is readily available on the basis of county, city and zip code. Inventory the Competition Locating the competition can be as simple as doing an on-line search to identify providers and their locations. Key search terms might be urgent care, immediate care, minor medical, and walk-in clinic. When using the Internet to uncover local competition, you will find that the websites often do not differentiate general medical practices or hospitals from medical clinics. Recognizing this fact will help you eliminate search results that do not meet your criteria. Additional sources for locating competitors include database subscriptions and calls to local clinics. Once you have compiled a list of surrounding competitors, plot the locations on a map. Mapping the competition provides a good overview of underserved areas and the impact of market barriers, which can help you identify the gaps in the market. In general, the distance between competitors should at least be 3 to 4 miles simply to avoid cannibalizing a competitor's market. Locate Strong Retail Markets with Good Traffic Flow The urgent care industry has evolved into retail medicine. The goal is to locate in the areas that have large amounts of flow-to traffic, not flow-through traffic. Ideally, the traffic flow should expose your center to consumers who visit the same shopping areas multiple times per week. Studies show that "Better Together" the average family travels to the grocery store 2.5 times a week. Such consistent travel helps increase awareness of an urgent care center located near the grocery store, which should decrease the time required for the center to achieve a stabilized patient count. Profile the Local Population Now that you have defined your general market area, identified the competition, and located a strong retail area with limited competition, it is time to profile the people who live in the area. You need information from these four key categories: * The median income of the population * The percentage of the market's population over 55 years of age * The total population in a 3-mile radius of the proposed site * The population per urgent care center within the 3-mile radius Identify the Ideal Property Identifying the ideal property involves analysis of many factors. After you have inventoried the competition and profiled the local population, the main areas to focus on are traffic counts, rental cost, and visibility. Imbalance in these areas decreases the probability of your success at a particular location. For example, you could end up with an expensive new building in an area with poor visibility, or with an inexpensive building that is old and out of date. Compare Potential Sites Now that you have identified a list of potential properties, it is important to compare those opportunities to pinpoint the location that has the highest probability for success. The ways in which you choose to compile and organize the data can help you compare potential sites. Conclusion There are many factors to consider when identifying the best location for your urgent care center, all of equal importance. It is not simply a matter of identifying local competition and potential trade areas; it is the classification and understanding of those factors that allow yo to enter the market confidently. Thorough research and analysis will help you identify the location with the highest probability of success. Key Points 2. Locate strong retail markets with good traffic flow. If your desired population doesn't naturally spend a lot of time in your proposed location but rather passes through it, you won't be able to build a large enough client base. 1. Define a general market area. Use mapping to define a region that can support your first location and that allows for future expansion. 3. Compare potential sites. 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research-article 842275 2019 IRE0010.1177/0047117819842275International RelationsLynch Article The moral aporia of race in international relations Cecelia Lynch University of California, Irvine Abstract Drawing on recent scholarship on race, post-colonialism, and ethics in the field of international relations, I return to the 'first debate' in the field regarding realism versus liberalism to highlight how racialized international political practices a century ago shaped theoretical assumptions, deferrals, and absences in ways that continued to resonate throughout the century. In reviewing several prominent periods of the past 100 years, I argue that (a) a powerful, ongoing moral aporia regarding race has marked the practice of international politics and the study of international relations over the century, despite important challenges and (b) it is critically important for the field as a whole to confront both the aporia and these challenges to understand its own moral precarity and to dent ongoing racialized injustices. Keywords aporia, colonialism, international politics, international relations, morality, race, racism Introduction: the aporia of (hidden) conviction 1 My simple task in this contribution is to address and analyze morality in international relations (IR) over the past 100 years. I say 'simple', because the review process has poked a number of conceptual bears that each comprise layers and layers of assumptions about theories of international relations and practices of international politics (IP). Thoroughly investigating processes of socialization and resocialization in the field or discipline, and also providing openings to potentially new ontologies cannot be tackled in a single article, especially one that, according to the editors' instructions, should make 'big statements about critical themes'. Thus, I begin with a return, to what Yosef Lapid famously labeled the 'first debate' 2 of 100 years ago, to ground my argument that the practice of IP has not fully grasped its own moral aporia regarding race, racialized conquest, and inequality, nor have the theories that arose in close companionship to this practice. I employ 'international politics' or Email: firstname.lastname@example.org https://doi.org/10.1177/0047117819842275 International Relations 2019, Vol. 33(2) 267–285 © The Author(s) 2019 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/0047117819842275 journals.sagepub.com/home/ire IP to refer to practice, including policy, and 'international relations' or IR to refer to scholarship in the field. Regarding both, my focus is on IP and IR as practiced by actors and scholars in major powers of the global north, or west, not because they represent the sum total of either theory or practice, but because they have generally defined both for readers in numerous IR journals, including this one. I understand international political practice and international relations scholarship to be tightly interconnected, with scholarship mostly reacting to but also occasionally shaping practice. Moreover, over time theorists and practitioners have sometimes overlapped or changed places in government, the private sector, foundations, and non-profits. As a result, moral issues that implicate practice cannot exclude scholarship, and vice versa. This 'first debate', regarding realism versus idealism/utopianism, brought differing views about morality in IP and IR to the forefront. This debate continues to shape theory and practice in the present, even though it oversimplified numerous and complex issues. 3 It also took place during a peak period of European and North American colonialism, that is, the point at which colonialism in much of the world was consolidated while anticolonial movements and independence struggles were gaining steam. Most self-described realists favored maintaining their respective imperial statuses, although liberals inscribed racialized hierarchies by establishing 'mandates' through the League of Nations for nonwhite peoples. Although this period was also one of full-fledged anti-imperialist sentiment, self-described 'progressives' in the great powers still frequently divided along racialized lines, and even early feminist thinkers demonstrated an equivocal stance visà-vis race. 4 As the century continued, theorizing about the Cold War and the virtues of capitalism versus communism became predominant. Far from resolving questions of race, however, this focus relied on developmentalist assumptions that drew on previous racialized categories without resolving their contradictions, arguably overshadowing theorizing about the implications of massive decolonization around the world from the 1940s into the 1970s and beyond. Hence, the excavation of racialized assumptions in theory and practice was deferred. During the post-Cold War period, much of the attention to conflict and poverty re-racialized inequality by promoting a form of liberal humanitarianism that critics charge with enacting a 'white saviour complex'. 5 In the post9/11/2001 era, racialization has become partially refocused to bring Orientalist stereotypes (once again) center-stage as a politics of fear, epitomized by the Islamophobia engendered by the war on terror. The idea of morality encompasses an articulation of 'right' (vs. wrong) action, and a conceptualization of the kind of agent who engages in it. As Kimberly Hutchings points out, concepts of 'morality' and 'ethics' are often used interchangeably, and form part of 'the broad category of the "normative," encompassing not only the rights and wrongs of interactions between individuals and collectives but also the structures that enable and constrain action'. 6 The concept of aporia indicates a contradiction that is irresolvable. A moral aporia regarding race begs the question of whether, and if so why and how, ideas about morality in IP and IR contain racialized contradictions that become impossible to resolve, at least in the contexts of extant frameworks. 7 I do not assert that questions of race and racialization present the only moral aporia in IP and IR, and certainly an intersectional analysis of race/gender/class, and so on, is necessary to excavate fully IR and IP's moral contradictions. 8 But I do assert that racialized constructions and imaginaries have plagued both the field and the practice of IP over the past 100 years, breeding sometimes explicit and other times implicit assumptions of non-white and non-European/ North American inferiority that manage to sweep into their orbit peoples and forms of knowledge that emanate from other political, economic, cultural, religious, and social systems. It is necessary to (re)state at the outset that race, like other identity markers, is a social construction rather than an objective category: Its modern manifestations were constructed and solidified in tandem with European expansion (territorial, economic, cultural) throughout the world. Seventeenth and eighteenth century philosophers, including John Locke and Immanuel Kant, formulated hierarchies of racial difference between Europeans and others, upon which scientists like Johann Friedrich Blumenbach built theories of alleged biologically determined racial superiority and inferiority. 9 Nevertheless, as Thomas McCarthy points out, '"race" was never purely a biological construction'. Rather: It always comprised congeries of elements, including not only other 'material' factors such as geographical origin and genealogical descent, but also a shifting array of 'mental' characteristics such as cognitive ability and moral character, as well as a mobile host of cultural and behavioral traits. 10 This shifting array became normalized, combining with theories of eugenics by the late nineteenth century to lend the construction of race an allegedly scientific cast. By the beginning of the early twentieth century, the 100-year period addressed by this Special Issue, racialized assumptions about global power and practice had become reified. This is why race, colonialism, and imperialism should be understood as intersecting components of 'developmental schemes, in which designated groups have been represented as not only racially distinct but also as occupying different stages of development', which in turn inscribe 'various forms of hierarchical relations'. 11 'Race' is therefore a slippery thing, constructed of ephemeral materials. On the one hand, it is socially constructed of multiple elements that do not always appear to be present in IR theories and practices; on the other hand its attendant assumptions about superior power and forms of 'civilisation' have produced astoundingly violent consequences against people who are racialized in specific ways. Prominent social theorist and political scientist Achille Mbembe, for example, pulls no punches in reflecting on how the moral aporia regarding race in IR and IP has affected non-white peoples over several centuries: By reducing the body and the living being to matters of appearance, skin, and color, by granting skin and color the status of fiction based on biology, the Euro-American world in particular has made blackness and race two sides of a single coin, two sides of a codifed madness. Race, operating over the past centuries as a foundational category that is at once material and phantasmic, has been at the root of catastrophe, the cause of extraordinary psychic devastation and of innumerable crimes and massacres. 12 At the heart of the moral aporia regarding race in IR and IP lies the continuation of developmentalist assumptions that result from this phantasm in both theory and practice, and their naturalization in concepts of deductive theory and rational, as well as ethical, international management. The state is arguably the privileged moral agent in IR, especially for classical and neorealist as well as neoliberal perspectives. Realists have over time naturalized colonialist relations of power, deferred racial equality, and even taken up racialized developmentalist hierarchies among allegedly primitive versus allegedly advanced states in developing models of power politics. In liberal constructs, individuals are the primary agent, sometimes along with groups based on different forms of commitment, coding, and social construction. Again, however, racialized hierarchies of difference that had become normalized before the time of the first debate 13 have continued to shape liberal theoretical trends as well as practices, particularly through developmentalist legitimations of aid and help. The realisms and liberalisms/utopianisms of the period – advertently or inadvertently – inscribed racialized hierarchies of difference and alterity in their conceptualizations of IP, as well as their practices of diplomatic negotiation, institution-building, and intervention. This inscription prevents the equal achievement of the kind of equality and freedom promoted by liberals. It also obfuscates the historically derived injustices masked by forms of classical as well as neorealism. To be sure, the realisms and alleged utopianisms of the first debate were diverse phenomena, representing a wide range of moral and ethical positions, and they have begotten an even wider range of concerns and ethical stances over time. 14 Practitioners and theorists struggled with the racialization of IP in important ways, most often by bringing the injustices of colonialism and imperialism to the forefront, and by noting their perpetuation in post-colonial relations of power. But as John Hobson points out, antiimperialisms also formed part of racially problematic 'Eurocentric' frameworks and visions of IP and IR. 15 The fact of these struggles, then, also points to the existence of the moral aporia at issue. Although it is impossible to do justice in a single article to the moral implications of all of IR and IP over the past century, the ongoing reverberations of the first debate indicate that questions of race have over time been either deferred, as Naeem Inayatullah and David Blaney explicate 16 or imbricated into morally problematic hierarchies of development. My argument that IR and IP are racialized is not new. An increasing number of scholars in the field of international relations have drawn attention to the racialization of both international practice and IR's disciplinary origins over the past 100 years. Beginning in 1996, Siba N'Zatioula Grovogui blazed the trail for the former and its connections to IR and social theory writ large. 17 Roxanne Lynn Doty also insisted in 1996 that we take time to deconstruct and expose the problematic assumptions behind imperialism, Eurocentrism, and colonialism. 18 Grovogui and Robbie Shilliam have since taken on the racialized nature of both theory and practice in virtually all of the conventional subfields of the discipline. 19 Catia Confortini has grappled with the contradictions of feminist activism regarding race in her clear yet nuanced critique of the Women's International League for Peace and Freedom (WILPF), although Anna Aganthangelou, L.H.M. Ling, and Shirin Rai have explicated the connections among gender, race, and empire. 20 David Blaney, Naeem Inayatullah, Mustapha Kamal Pasha, Himadeep Muppidi, and Jeanne Morefield have highlighted the racialized assumptions that stretch from the Scottish Enlightenment to contemporary liberalism, in the process coding Amerindians, Africans, and Muslims, among many others, as racially inferior. 21 In cognate fields, Michael Hanchard has just published a work that exposes the racialized construction of democracy studies in comparative politics and political theory. 22 Post-colonial theory informs all of the above in different ways and to differing degrees. 23 Ido Oren, Robert Vitalis, Lucian Ashworth, John Hobson, David Long, Brian Schmidt, and Robbie Shilliam have each provided eyeopening analyses of the disciplinary origins of the field of IR, taking apart the AngloAmerican genealogy in particular to connect theory to practice, despite interesting debates about temporal and conceptual boundaries. 24 Audie Klotz and Neta Crawford, in different ways, have exposed the construction and – in some cases – the partial deconstruction of racialized norms in international practice. 25 Taking seriously, these intersecting bodies of work, I relate them to additional evidence to emphasize the moral silences, gaps, and inconsistencies that plague much of IR. Although I, too, have increasingly paid attention to these gaps and silences, 26 I do not exempt my earlier work from their implications (as discussed later), and assert that we should pay special attention to the intersection between IR and IP. Morality debates at the close of the Great War: 'everywhere the ceremony of innocence is drowned' 27 One of the implications of the first debate in international relations scholarship was to ground developments in international ethics over the century in terms of 'is' versus 'ought' questions, which theorists soon connected to questions of what should and could be expected of different kinds of moral agents, particularly the state versus the individual. In 1919 the world had just emerged from what would almost immediately become known as the unnecessary war for large numbers of people: There appeared to be no justification, or moral rationale, for the huge loss of life, destruction of landscapes and economies, or social trauma resulting from 'the Great War'. 28 The line of Yeats's famous poem quoted above reflects and refracts many of the anxieties of trying to make sense of a conflagration that IR theory continues to debate. After World War I, stripping away even the 'ceremony' of innocence by 'the blooddimmed tide' of the war begged urgent questions about agency and responsibility for right and wrong in war and peace. Moral debate was ubiquitous because numerous survivors of the conflagration said it had to be. In many ways, the certainties of the past were gone, and arguments about alleged utopias and purported realisms produced numerous visions of stark dystopias. This context created possibilities for moral renewal and change. Still, each of these utopias, realisms, and dystopias connected morality to IR and IP in ways that privileged the state – as in need of harnessing for some notion of the good (liberal utopias), an unalterable fact of international life (realisms) or an always-already danger (dystopias). This state-centric veneer masked racialized (as well as ethnicized, religionized, classist, and gendered) alterities that were imbricated into assumptions about the discipline of IR and the practice of IP. 29 The question of what to do about the state and its power to destroy became the primary moral question of the day for many citizen-activists in peace movements, as well as for early IR theorists of the first debate. Proponents of what would become known as liberal morality in Europe and the United States viewed the war that had just ended as giving arms manufacturers license to create ever more destructive forms of weapons, and they particularly feared the potential combination of chemical weapons and bombers that might be harnessed to deliver them to injure and kill vast numbers of civilians. 30 The liberal dream of comparative advantage had been perverted by ever-powerful 'munitions makers'. Thus the solution for liberals was to contain the Pandora's box of destruction by establishing agreements to reverse the numbers and kinds of weapons available, and establish the institutional mechanisms to monitor them while denying the immorality of greed. Liberals, then, focused on containing the unchecked collusion between state military power and the diversion of productive resources into ever-more-dangerous weapons by individuals who acted immorally. Emergent 'realists' noted the importance of moral considerations that could blunt the bald exercise of power for power's sake. (I use the term emergent because it was during this period that the label was created in IR; and put it in quotation marks because those concerned created a self-referential label to differentiate themselves from non-realist others. 31 ) At the same time, they created a universalized framework to delimit the moral authority of such concerns. As Yeats presciently noted, the 'mere anarchy … loosed upon the world' was quickly normalized and theologized as the primary foundation for interpreting what had happened. Diplomatic elites did not know how to accommodate the rising claim to moral agency of peace groups, especially, in international affairs. These movements organized into 'voluntary associations' in Europe and North America, sometimes spilling out of liberal boundaries into socialism and communism, and movements for ethnic and religious solidarity and against imperialism in Latin America, South and East Asia, and Africa. 32 It is critical to note that some early twentieth-century white socialists, communists, pacifists, and feminists in Europe and North America challenged both realist and liberal readings of morality. Phyllis Lassner, for example, shows how mostly white British women writers such as Olivia Manning and Elspeth Huxley, among others, 'not only bear witness to colonialism's complex relations and consequences, but also narrate actions and arguments to expedite its end'. 33 Feminist peace scholars such as Catia Confortini, however, also point out the persistent manifestations of the moral aporia: Emily Greene Balch of the WILPF tried hard to integrate the WILPF even while shutting down black women's voices and positions on the connections between racism in the United States and racism internationally. 34 white left-liberal and Marxist critics also challenged European imperialism in Africa and Asia and US interventionism in Latin America, as well as the latter's imperialism in the Philippines and Cuba. One of the most famous white critics of European cruelty in Africa was E.D. Morel, whose work with Roger Casement exposed the extreme violence of Belgian's King Leopold II. 35 But Morel's understanding of racial equality contained serious contradictions, exemplifying the moral aporia at issue, as evidenced by his opposition to the use of French – and especially colonial – troops in the 1923 invasion of the Ruhr/Rhineland. His opposition was not on the grounds that men from the colonies should not be forced to fight and die for their colonial overlords, instead it was based on a sexualized racism that charged black African men with aggression against white European women. 36 While colonialism and imperialism were contested during the early twentieth century, too often both theory and practice masked domestic and international racialized policies, normalizing their evils as a necessary, if unfortunate, component of either the civilizing process or the stewardship of great power management. Thus, as John Hobson and Jeanne Morefield point out, anti-imperialist thinkers (including some in peace movements) incorporated and frequently furthered Eurocentric thinking. 37 But this morally problematic argumentation differed from that of realist morality, which gradually inscribed an impenetrable ethical boundary between the ethics of judging actions of the state versus actions of the individual. In complementary fashion yet with important differences, incipient realists such as Walter Lippmann, E.H. Carr, and Reinhold Niebuhr reinforced state legitimacy over any action by citizens, social movements, or other 'non-governmental' forms of association. Lippmann voiced, the diplomatic irritation with the growing power of peace movements; he focused his punditry on delegitimizing the broadening of state diplomatic practice to include citizens. 38 In partially drawing on Saint Augustine's 'two cities', Niebuhr created the theology of 'Christian realism' and provided a religious gloss on the moral code that he helped to construct especially for the secular state. Niebuhr frequently deplored US racial policies and even defended the theoretical possibility of black revolution (although he did not develop this theorization further), but on a more personal level, he argued in favor of delaying the integration of one of his own parishes. 39 Carr, like Niebuhr, represented a left-of-center realism that was sobered by the war even while it grew distressed with liberal institutionalist projects and hopes, labeling them both naïve and dangerous. Carr focused his ire on liberals, but in doing so created an imposed, utopian 'other' that was also dangerous in its overly expansive reach. 40 He hinted at the moral aporia of race in international relations by drawing attention to the imperialism embedded in much liberal thought. Nevertheless, he ultimately deferred action to rectify its injustices, insisting instead that the 'constant intrusion' of power renders equality impossible, and that at most, '[t]he process of give-and-take must apply to challenges to the existing order'. 41 Moreover, the policies and conceptual frameworks of post-World War I realist diplomats and scholars demonstrate the racialized assumptions underlying such processes. For example, Austen Chamberlain, who, unlike his brother Neville, is often considered to be a doyen of 'prudent' diplomacy, exhibited the realist's suspicion of disarmament and arbitration, artfully managing most of the time to block peace movement demands for both. Still, he might have agreed to some limited controls on weapons if only Europeans were at issue. But he continually refused restraints on armaments as well as compulsory arbitration of disputes, even when peace movement pressure was at its height, because of the purported necessity to have 'freedom of movement' to protect British 'vital interests', meaning the ability to employ these weapons to maintain 'order' and put down unrest in the colonies. 42 Colonies were the repositories of people who were racially coded as inferior, requiring specific methods of control for British interests to be ensured. Surely, one might argue, realists' unsympathetic understanding of human relations made no distinction between people, and liberals sincerely believed in the spread of prosperity to all, regardless of any racial coding. But in developing what we now think of as classical realist as well as liberal thought, scholars, scholar-diplomats, and scholaractivists avoided examining the racially problematic assumptions underlying new institutional frameworks and ongoing forms of intervention, reinforcing, and normalizing the moral aporia of race. Many of the most influential liberal-internationalist politicians justified empire, including President Woodrow Wilson, Lord Robert Cecil, the off-and-on leader of the British League of Nations Union and sometime Conservative cabinetmember, and General Jan Christian Smuts, South African icon of the League of Nations. They as well as realist politicians believed in the civilizing mission of either empire in general or the 'white race' in particular. Woodrow Wilson – now disgraced but then lauded – became the standard-bearer for the post–World War I conception of morality that would constrain state aggression that he deemed illegitimate, while managing unruly populations domestically and abroad. The League of Nations, therefore, enshrined the concept of 'mandates' for peoples and territories allegedly unable to govern themselves (including many former German colonies and former Ottoman territories). Agreements by Wilson, Smuts, and the British Round Table Group promoted the idea of 'civilisation' for these peoples in part through the exploitation of their resources by powers such as Britain and France. 43 Wilson's interventionism in Latin America is also well known. As US President, he ordered the invasions of Mexico between 1914 and 1916, Haiti in 1915, and the Dominican Republic in 1916. This record, along with his long-time racism at home toward black citizens, has today forced a reconsideration of his legacy. Wilson not only promoted racialized concepts of alterity abroad, but also reversed moves toward racial equality made in the United States, especially by appointing numerous white supremacists to federal positions and segregating the Civil Service. 44 Wilson, in fact, campaigned on a racist platform of preventing black encroachment in middle-class positions. Even The New York Times Editorial Board recently concluded that Wilson 'was an unapologetic racist whose administration rolled back the gains that AfricanAmericans achieved just after the Civil War, purged black workers from influential jobs and transformed the government into an instrument of white supremacy'. 45 white suffragists followed by excluding women of color from their demands for the 19th amendment. 46 General Jan Christian Smuts's racism was emblematic of the South African regime. But perhaps more important for morality in international relations was the ease with which Smuts's articulations of international 'responsibility' moved between the South African and international (i.e., League) contexts. Siba Grovogui states, 'Smuts conveniently drew from old and new justifications for colonial expansion' in successfully making the case to Wilson and other League creators for the annexation of Southwest Africa (Namibia). These justifications included 'the obligation toward uncivilized natives' 'the obligation of the trustee toward the international community' and the strategic rationale of denying any influence in the area to the Japanese. 47 The Germans had committed genocide against the Herero population, and Smuts presented South African annexation as morally necessary according to both liberal and realist criteria. Liberal thinkers rarely challenged such assumptions in their conceptual or policy frameworks, instead building on racialized ideas of civilizational superiority. Jeanne Morefield shows how the thought of Alfred Zimmern and Gilbert Murray represented both a continuation of nineteenth century liberal thought and a preview of liberal theory's twentieth century idealist aspirations. Moorefield calls the resulting moral aporia 'a paternalistic global politics based on … the supposedly natural relationship between imperial and colonized societies'. 48 Moreover, in the midst of attempts to reinforce and challenge the moral aporia on race, non-white voices were systematically excluded from policy and theory alike. 49 As Grovogui, Vitalis, and others have shown, such exclusions masked racialized constructions in both international practice and international relations as a developing field. W.E.B. DuBois's work is now being recognized by some IR scholars for its importance to international relations, especially for the clarity of its exposition of the structural immorality of slavery and colonialism, and its articulation of pan-Africanism as an important alternative and historical corrective (prior to the articulations of European Union that IR has focused on as the model for supranational expansion around the globe). 50 Du Bois, Ida B. Wells (in her work exposing the domestic-transnational connections of slavery and lynching), 51 and the prolific thinkers of the Harlem Renaissance are all critical for understanding the underpinnings and articulations of the moral aporia on race. These and numerous other non-white thinkers need not only to be incorporated but their insights, concepts, and frameworks prioritized in discussions about morality in international relations. After the second world war: 'things fall apart; the center cannot hold' 52 A prominent narrative about post-World War II world order concerns the comfort derived from successful 'lessons learned'. I refer here to the kind of realist/liberal accord that, at least for a time, came to underlie new forms of US-led economic management. 53 According to this narrative, the interwar period demonstrated (a) that the great powers had to unite to manage the world, as they had done to reverse the evil of fascism and (b) that institutions could be created to align domestic and international economic goals to achieve liberal notions of prosperity and well-being. Although this narrative remains powerful today, it did not take long for it to be rivaled by fears of the destructive power of new generations of nuclear weapons. Nuclear strategy games involving millions of potential deaths became part and parcel of policy and academic training (including my own), even while new activism against these weapons and new theories that would become the subfield of 'peace studies' challenged the resources spent on weapons rather than social welfare. For most of the world outside of the west, the post-World War II era was a period of considerable celebration, or at least a sense of renewed possibility, as colonialism was indeed falling apart. From the 1940s into the 1970s and 1980s, dozens of countries obtained independence from former colonial powers, after struggles that were often bloody (India, Kenya, Congo, Algeria, Vietnam, Angola, Mozambique, among many others), but sometimes relatively peaceful if not still difficult (Ghana, Senegal). But the post-colonial 'centre' also did not hold, as Chinua Achebe's novel about Nigeria's disintegration painfully illustrates. The Biafra/Nigerian Civil War of 1967–1970 was not merely a domestic affair, Cilas Kemedjio points out, because Britain and France played off the Nigerian and Biafran sides, respectively, to maintain their post-colonial economic interests. 54 What is also fascinating during this period is the incredible ferment and development of social and political thought that challenged the moral aporia of race. The work of Frantz Fanon and Aimé Césaire, among others, today forms the foundation of much decolonial theorizing about race, and the interactions between writers/theorists such as Du Bois and theorists/politicians such as Kwame Nkrumah of Ghana are legendary as foundational moments of challenge to the practice of IP. 55 Coming from parts of the world that were a priori excluded from consideration in theoretical development, however, such thought made insufficient impact at the time on the field of IR. By the late 1970s, however, 'third world' challenges to IP had gained traction in forums from Bandung (1955) to the New International Economic Order (NIEO) of 1975. At the same time, the work of Edward Said provided the foundation for the emerging field of post-colonialism. 56 The rise of neo-Marxist dependency theories in Latin America during the 1970s posed a considerable challenge to the realist/liberal parameters of the first debate, as did Johan Galtung's structural theories of peace and conflict. The World Order Models Project (WOMP) of Richard Falk, Saul Mendlovitz, and Ashish Nandy also challenged the liberal/realist consensus underlying great power economic and military management. 57 These approaches continue to resonate today, although many commentators see such a third world challenge to western hegemony (in IP) as having dissipated by the 1980s. 58 There is insufficient space to explore all aspects of the huge gap between emergent post-colonial theorizing and emergent (neo)realisms and liberalisms, but several theoretical moves demonstrate important aspects of the implicit assumptions that allowed the moral aporia to continue, primarily by redirecting, ignoring, or silencing claims for racial, political, and economic equality. Many liberals became increasingly concerned with 'transnationalism', especially actors and movements that crossed state boundaries and might challenge post-war liberal economic management. The framework of Robert Keohane and Joseph Nye, for example, disaggregated areas of western economic hegemony that were more susceptible (i.e., vulnerable) to challenge versus those that were less susceptible (i.e., sensitive), in conditions of 'complex interdependence'. 59 It is also interesting to return to the classic work of Hans Morgenthau (and Kenneth Thompson), Politics Among Nations, to understand at least part of the realist critique to the challenge of Marxism and peace studies. Morgenthau includes in this book an extended discussion of imperialism, engaging in a debate with neo-Marxist and pacifist critics who misunderstood simple power politics. Imperialism, for Morgenthau, is dynamic, not to be confused with 'a politics of the status quo'. 60 Instead, Morgenthau (or Morgenthau and Thompson) divides imperialism into its military, economic, and cultural aspects, to argue that each operated according to its own logic, and that military imperialism proceeded from power politics pure and simple, usually to be followed by economic and cultural imperial forms. Morgenthau wrote, 'Thus, in both Great Britain and the United States, much of the modern debate on imperialism follows after [emphasis mine] the process of imperialistic expansion, condemning or justifying it in retrospect'. 61 Morgenthau's isolation of and emphasis on the role of political/military over economic and cultural power, as the primary driver of and major distinction between status quo and imperialist politics, regards 'weak states or … politically empty spaces' as legitimately ripe for the picking. Power becomes excised out of its historical, racialized development, and rendered objective: Societies with less lethal military technology are viewed as developmentally 'empty', implicitly affirming the Eurocentric categories that produce the shifting assumptions about race. 62 Morgenthau's realism increasingly morphed into purportedly deductive theories of power that could not fully escape developmentalist assumptions and their racialized underpinnings. A fascinating quote by none other than Kenneth Waltz, for example, reveals important assumptions grounding his own realist framework. As such, it merits an extensive citation, because in it he explains the logic of his own historical and geographical inclusions and exclusions: When I [started out in international politics], my wife and I realized you cannot pay attention to everything, so I said to myself 'one continent that I am going to leave aside is Africa'. I preferred to concentrate on Europe and China. I did a pretty good deal of work on China because I saw it ripe to become one of the most important parts of the world of which I knew nothing … But Africa is kind of a blank spot for me, apart from casual observation … In fact, a criticism people used to make to me was that Africa was clearly an anarchic arena, and yet African states did not fight much among themselves. How, then, would a Realist like myself explain that? Well, I did by invoking Turney-High's book in anthropology, which was published – I believe – in the 1920s. There, he made the very valid point that countries have to obtain a certain level of self-consciousness as being a political entity, and a certain level of competence before they are able to fight one another. Turney-High's illustration was very clear with his study of the peoples he referred to as the 'Californians', who were such a primitive people that they did not have the ability to form groups or fight as a group. A consciousness and competence at a certain level is needed before a group is able to systematically impose on another group – whether in the form of warfare or in other ways. I think that, for a long time, Africa was in that condition, and that, as it proceeds away from that condition, African countries will be able to fight wars against one another. In a historical sense, though, that is an implication of advancement. 63 Deconstructing this quote could provide the basis for an entire article, but at least two things stand out: (a) Waltz's structural realism was formulated by explicitly ignoring an entire continent that did not fit his preconceptions of what counts in IR, and (b) Waltz legitimized this decision by actually grounding his functional logic on the developmentalist assumptions inspired by early twentieth century anthropology, which successors have long decried as irremediably racialized. 64 As Roxanne Lynn Doty states (in discussing a developmentalist passage in a book by Steven Krasner), such a logic, with the opposition it entails between (in this case) 'primitive' and 'competent' groups, is presented as 'foundational fact' rather than 'as a problematic distinction that is part of an even more problematic body of "knowledge"'. 65 Yet a third major assumption in Waltz's description of his thinking concerns the content of the developmentalist logic to which he ascribes. Groups that are more advanced are capable of violence and war; groups without the requisite level of 'consciousness and competence' are not. Ironically, this of course turns upside down the common liberal narrative regarding Africa and Africans throughout the century of concern in this issue: that the violence on the continent is a product of non-democratic (read primitive) ethnicized and religionized conflict! Thus, different IR frameworks have produced different developmentalist conclusions from the ephemeral and shifting characteristics of the same racialized moral aporia. The point is not that the phantasm of racial difference is the only grounding for moral codes in IR and IP, but instead that moral concerns – from how to manage power and state interests to how to create institutional stability – have relied on the silences, elisions, and suppressions that have been shaped by racialized assumptions about development, order, and progress. These silences, elisions and suppressions have not disappeared. The end of the Cold War (1989–1991) brought challenges to the realist/liberal faith in the moral superiority of superpower and liberal institutional management of world affairs (including the fraying of US political authority and the potential diminution of the European Union), but racialized assumptions continued to shape new institutional forms of management. An important example concerns the phenomenon of humanitarianism, which has also been called 'the humanitarian international', and its production of a moral order formed by 'humanitarian reason'. 66 The latter represents 'a powerful social imaginary' that mobilizes moral sentiment to govern suffering, justifying economic and military interventionsm, as well as attendant forms of 'humanitarian government'. 67 It is also constitutive of the ongoing racialized moral aporia in the late twentieth and early twenty-first centuries. This humanitarian order brings together western and transnationalized publics with states and U.N. agencies to create new forms of 'partnership' (one of the new buzzwords for implementing post-Cold War moral codes). 68 In these relationships, nongovernmental organizations are delegated to give 'early warning' of conflict, and provide aid in sites of suffering. The 'Responsibility to Protect' (R2P) and the International Criminal Court, new components of the IR/IP architecture, provide post-Cold War justifications for varying degrees of military intervention. 69 These interventions privilege interference in Africa and Asia while overlooking crimes against humanity committed by countries such as the United States and United Kingdom in Iraq and Afghanistan, according to critics. 70 Economic intervention occurs in the form of humanitarian and development aid by a complex of nongovernmental organizations, UN agencies, and state donor agencies. Such aid has become 'neoliberalized' into a kind of Foucauldian governmentality, in which nongovernmental humanitarian organizations work hand-in-glove with state and UN agencies to provide assistance according to market logics. These logics promote interventions that seek (albeit often unsuccessfully) to obtain quick results for limited investment of time and money, 71 in the process inscribing racialized victimhood on populations of the global south. Humanitarian government highlights violence to non-white bodies, but does so in ways that erase white/northern responsibility for the fragility of political and economic structures within the global south. These interventions inherit and continue the racialized phantasms of earlier interventions in Congo and Biafra, among numerous others. Cilas Kemedjio, for example, argues that the moral discourses of nongovernmental groups who wanted to aid starving Biafrans in the late 1960s established the foundation for contemporary military interventionism in the present. Kemedjio highlights in particular, the racialization of late-colonial and postcolonial moral codes that seek to save non-white bodies from themselves and their environments. 72 Although realists and liberals debate the degree to which state interests should limit or foster intervention in societies riven by violence, critics show how the 'humanitarian international' established and perpetuates a 'white saviour industrial complex' that has the effect, in both IP and IR, of once again locking 'non-whites … in[to] their supposed origins'. 73 Morality in IR in a new century: 'turning and turning in the widening gyre'? 74 Non-white thinkers have long drawn attention to the racialized moral aporia of the past 100 years (and beyond), arguing that attempts to pretend that it does not exist are unconvincing. 75 And while the bulk of IR scholarship has until recently ignored race, its manifestations have been evident enough for those who have scratched the surface. I explore this moral aporia in part because I did scratch the surface but then deferred the problem of race in my earlier work on the interwar period. I was troubled at the time by the arguments made against the use of colonial troops in the Ruhr valley in 1923 – were otherwise 'progressive' peace activists rallying against colonial troops because they were black? Weren't they simply against troops in general? The moral aporia regarding race in European and US interwar peace movements was emerging from the fog. But what to do with it, when the 'primary' issue I was exploring concerned movement/government struggles about the normative agendas of disarmament and arbitration? Anti-colonialism also figured prominently among many (although certainly not all) peace movement activists and their understandings of the causes of war. How, then, could this anti-colonialism be accompanied by such assumptions of racialized inequality and violent sexuality? I began to explore this as well as many other questions in research challenging the implications of race, slavery, and colonialism as well as religion in ethical constructs. 76 Such questions become all the more important, given the serious new contestations around racial lines in the early twenty-first century. After 9/11/2001, military strategies in the United States and other parts of the global north increasingly constructed danger as both non-white and predominantly Muslim. Thus, race has also become religionized. In Mbembe's interpretation, 'for the first time in human history, the term "black" has been generalized' .… Racialized categories abound, most of them feeding into everyday practices of Islamophobia'. 77 Said, among others, might well respond that Islamophobia also has a long history and that it is 'orientalism' that has become generalized. But the point here is that race has always been an unstable, pseudo-scientific category. For Mbembe, '"culture" and "religion" have increasingly replaced "biology"', 78 but we might instead understand both culture/religion and biology as forming shifting components of the unstable moral aporia of race. In many ways, the moral aporia of race, which I liken here to the vortex, or gyre, that turns so insistently in Yeats's poem, has widened to the point that it can no longer be hidden, elided, or suppressed. Throngs support racialized populism in the United States, United Kingdom, France, Italy, Hungary, Poland, and beyond, in demonstrating anger against the failed liberal promise of prosperity for all, and trying to reclaim order and security for white populations alone. As a result, there is also a growing awareness of the impact of racialized policies in campaigns such as black Lives Matter and movements to ensure the rights of immigrants and Muslims in western societies. Within the field of IR, scholars are decentering western-centric knowledge through several intersecting strategies, including in-depth research on non-Eurocentric histories of the world, insistence on intersections and replacements for Euro-centric philosophy and social theory, and detailed examinations of the racialized origins and development of IR theories and concepts, as well as diplomatic practices. 79 Nevertheless, the pressures for re-establishing comfortable forms of deferment, elision, and suppression remain strong in both IP and IR, as does racialized developmentalist logic. 80 But if and when such expressions settle again into 'merely' the discourse of paternalism, it will be all-too-easy to reassert the security of conventional moral codes. Just as oceanic gyres may swell in poetry but do not completely disappear in practice, the moral aporia of race in the practice and study of IR has considerable longevity and staying-power. Throughout this contribution, I have implicitly advanced an ethics of equality, criticizing IR and IP for assuming its importance but refusing, suppressing, or deferring its enactment. Of course, such an ethics remains vague – equality of and for whom, or what? In emphasizing the moral aporia of race, the first task is to recognize the problem, taking on the responsibility of pursuing its contours in our own work and that of other scholars, and challenging its manifestations in international political practice. The next task requires a willingness to dismantle the ontological and developmentalist hold of state and individual-centric moral codes, and an openness to ontologies, epistemologies, and conceptualizations that bring dignity and full agency to the 'human', including in its relation to the 'nonhuman' (in terms of environmental concerns as well as non-western cosmologies). 81 This project need not romanticize alternative ethics, nor does it provide an easy solution to the phantasmical problem of race. Instead, it suggests that taking seriously the racialized moral aporia at issue requires sustained investigation of IP and reflexivity regarding IR, and the willingness to dismantle the developmentalist assumptions of the first debate once and for all. Funding The author(s) received no financial support for the research, authorship, and/or publication of this article. Notes 1. Rephrased from William Butler Yeats, The Second Coming (1919), from The Poetry Foundation: https://www.poetryfoundation.org/poems/43290/the-second-coming. The full verse is: 'The best lack all conviction, while the worst are full of passionate intensity'. 2. Yosef Lapid, 'The Third Debate: On the Prospects of International Theory in a Post-Positivist Era', International Studies Quarterly, 33(3), 1989, pp. 235–54. 3. Ken Booth, '75 years on: rewriting the subject's past; reinventing its future', in Steve Smith, Ken Booth and Marysia Zalewski (eds), International Theory: Positivism and Beyond (Cambridge: Cambridge University Press, 1996), pp. 328–339; Cecelia Lynch, Beyond Appeasement: Interpreting Interwar Peace Movements in World Politics (Ithaca, NY: Cornell University Press, 1999); David Long and Brian C. Schmidt, 'Introduction', in David Long and Brain Schmidt (eds) Imperialism and Internationalism in the Discipline of International Relations (Albany, NY: State University of New York Press, 2005), pp. 1–22; Lucian Ashworth, 'Did the Realist/Idealist Debate Really Happen? A Revisionist History of International Relations', International Relations, 16(1), 2002, pp. 33–51; John M. Hobson, The Eurocentric Conception of World Politics (Cambridge: Cambridge University Press, 2012). 4. Gary Dorrien, The New Abolition: W. E. B. DuBois and the black Social Gospel (New Haven, CT: Yale University Press, 2015); Susan Curtis, A Consuming Faith: The Social Gospel and Modern American Culture (Baltimore, MD: Johns Hopkins University Press, 1991); Mary Church Terrell, A Colored Woman in a white World (Amherst, MA: Humanity Books, 2005); Catia Confortini, 'The Same Evils': Race, Empire, War in the International Thought of Emily Greene Balch', unpublished paper presented at the Radcliffe Institute for Advanced Study Exploratory Seminar, Cambridge, MA, March 2018. 5. Teju Cole, 'The white Savior Industrial Complex', The Atlantic, 21 March, 2012, available at: https://www.theatlantic.com/international/archive/2012/03/the-white-savior-industrial -complex/254843/ See also Gayatri Spivak, 'Can the Subaltern Speak? Speculations on Widow Sacrifice', Wedge, 1985, pp. 120–130, available at: https://archive.org/stream /CanTheSubalternSpeak/Can_the_subaltern_speak_djvu.txt 6. Kimberly Hutchings, 'A History of Ethics in International Relations', in Brent J Steele and Eric A Heinze (eds) Routledge Handbook of Ethics and International Relations (London: Routledge, 2018), p. 7. 7. I genuflect here to Roxanne Lynn Doty's use of the term 'aporia' in her piece, 'Aporia:: A Critical Exploration of the Agent-Structure Problematique in International Relations Theory', European Journal of International Affairs, 3(3), 1997, pp. 365–392. 8. Brooke Ackerly and Jacqui True, 'An Intersectional Analysis of International Relations: Recasting the Discipline', Politics and Gender, 4(01), 2008, pp. 156–173. 9. Thomas McCarthy, Race, Empire, and the Idea of Human Development (Cambridge: Cambridge University Press, 2009), p. 70; see also Vanita Seth, Europe's Indians: Producing Racial Difference, 1500-1900 (Ann Arbor, MI: University of Michigan Press, 2010). 10. McCarthy, Race, Empire, p. 6. 11. McCarthy, Race, Empire, p. 1. 12. Achille Mbembe, Critique of black Reason (Durham, NC: Duke University Press, 2017), p. 2. 13. Brian C. Schmidt, 'Paul S. Reinsch and the Study of Imperialism and Internationalism', in David Long and Brian C. Schmidt (eds.), Imperialism and Internationalism (Albany, NY: SUNY Press). pp. 43–70. 14. On the conceptual and empirical problems with imposing the utopian label on interwar peace movements, see Lynch, Beyond Appeasement, pp. 29–38, available at: https://www .biblio.com/beyond-appeasement-by-lynch-cecelia/work/2038925; see also Raymond Geuss, 'Realism and the Relativity of Judgment', International Relations, 29(1), 2015, pp. 3–22, for a philosophical defense of strands of utopianism as compatible with realism. On the richness of ethical traditions in IR, see Steele and Heinze (eds) Routledge Handbook of Ethics and International Relations. 15. Hobson, Eurocentric Conception, pp. 133–149. 16. Naeem Inayatullah and David Blaney, International Relations and the Problem of Difference (London: Routledge, 2004). 17. Siba N'Zatioula Grovogui, Sovereigns, Quasi-Sovereigns, and Africans: Race and SelfDetermination in International Law (Minneapolis, MN: Minnesota University Press, 1996). 18. Roxanne Lynn Doty, Imperial Encounters (Minneapolis, MN: University of Minnesota Press, 1996). 19. Siba N'Zatioula Grovogui, Beyond Eurocentrism and Anarchy: Memories of International Order and Institutions (New York: Palgrave-Macmillan, 2006); Grovogui and Lori Leonard (eds) Governance in the Extractive Industries: Power, Cultural Politics, and Regulation (London: Routledge, 2017); Grovogui, 'The Missing Human: Intervention, Human Security, and Empire', in Mustapha Kamal Pasha (ed.) Globalization, Difference, and Human Security (London: Routledge. 2013), pp. 79–90; Robbie Shilliam, 'Forget English Freedom, Remember Atlantic Slavery: Common Law, Commercial Law, and the Significance of Slavery for Classical Political Economy', New Political Economy, 17(5), 2012, pp. 591–609; Shilliam, 'Decolonizing the Grounds of Ethical Inquiry: A Dialogue Between Kant, Foucault and Glissant', Millennium, 39(3), 2011, pp. 649–665; Shilliam, 'What the Haitian Revolution Might Tell us About Development, Security and the Politics of Race', Comparative Studies in Society and History, 50(3), 2008, pp. 778–808; Shilliam, 'Morgenthau in Context: German Backwardness, German Intellectuals, and the Rise and Fall of a Liberal Project', European Journal of International Relations, 13(3), 2007, pp. 299–327; Robbie Shilliam, Alex Anievas and Nivi Manchanda, Race and Racism in International Relations: Confronting the Global Color Line (London: Routledge, 2015); Robbie Shilliam, 'Marx's Path to Capital: The International Dimension of an Intellectual Journey', History of Political Thought, 27(2), (2006), pp. 349–75; Robbie Shilliam, 'What about Marcus Garvey? Race and the Transformation of Sovereignty Debate', Review of International Studies, 32(3), 2006, pp. 379–400. 20. Catia Confortini, Intelligent Compassion: Feminist Critical Methodology in the Women's International League for Peace and Freedom (Oxford: Oxford University Press, 2012); Shirin M. Rai, Gender and the Political Economy of Development: From Nationalism to Globalization (London: Polity, 2002); Ana Aganthangelou and Lily H.M. Ling, World Politics from Empire to Multiple Worlds (London: Routledge, 2009). 21. David Blaney and Naeem Inayatullah, Savage Economics: Wealth, Poverty, and the Temporal Walls of Capitalism (London: Routledge, 2009); Mustapha Kamal Pasha, Islam and International Relations: Fractured Worlds (Oxford: Oxford University Press, 2017); Himadeep Muppidi, Colonial Signs of International Relations (Oxford: Oxford University Press, 2012); Jeanne Morefield, Covenants without Swords: Idealist Liberalism and the Spirit of Empire (Princeton, NJ: Princeton University Press, 2004). 22. Michael G. Hanchard, The Specter of Race: How Discrimination Haunts Western Democracy (Princeton, NJ: Princeton University Press, 2018). 23. Siba Grovogui, 'Postcolonialism', in Tim Dunne, Milja Kurki and Steve Smith (eds) International Relations Theories: Discipline and Diversity (Oxford: Oxford University Press, 2007), pp. 229–246; Achille Mbembe, On the Postcolony (Berkeley, CA: University of California Press, 2001); Sanjay Seth (ed.), Postcolonial Theory and International Relations (London: Routledge, 2013). 24. Ido Oren, Our Enemies and Us: America's Rivalries and the Making of Political Science (Ithaca, NY: Cornell University Press, 2002); Robert Vitalis, white World Order, black Power Politics: The Birth of American International Relations (Ithaca, NY: Cornell University Press, 2015); Lucian M. Ashworth, A History of International Thought: From the Origins of the Modern State to Academic International Relations (London: Routledge, 2014); Long and Schmidt (eds), Imperialism and Internationalism; Anievas, Manchanda and Shilliam (eds), Race and Racism in International Relations. For a critique, see Ken Booth, 'What's the Point of IR? The International in the Invention of Humanity', in Synne L. Dyvik, Jan Selby, and Rorden Wilkinson (eds) What's the Point of International Relations? (London: Routledge, 2017), pp. 24–8. 25. Audie Klotz, Norms in International Relations: The Struggle Against Apartheid (Ithaca: Cornell University Press, 1995); Neta C. Crawford, Argument and Change in World Politics: Ethics, Decolonization, and Humanitarian Intervention (Cambridge: Cambridge University Press, 2002). 26. See, for example, Cecelia Lynch, Interpreting International Politics (New York: Routledge, 2014). 27. Yeats, Second Coming. 28. Lynch, Beyond Appeasement. 29. Vitalis, white World Order, black Power Politics; Grovogui, Sovereigns, Quasi-Sovereigns, and Africans; Ackerly and True, 'An Intersectional Analysis'. 30. Lynch, Beyond Appeasement , p. 96. 31. Lynch, Beyond Appeasement, p. 210. 32. Cecelia Lynch, 'Peace Movements, Civil Society, and the Development of International Law', in Bardo Fassbender and Anne Peters (eds) The Oxford History of International Law (Oxford: Oxford University Press, 2012), pp. 198–221. 33. Phyllis Lassner, Colonial Strangers: Women Writing the End of the British Empire (New Brunswick, NJ: Rutgers University Press, 2004). 34. Catia Confortini, '"The Same Evils": Race, Empire, War in the International Thought of Emily Greene Balch', unpublished chapter for proposed book entitled Toward a History of Women's International Thought (eds. Patricia Owens and Katharina Rietzler). 35. Nancy Rose Hunt, 'An Acoustic Register: Rape and Repetition in Congo', in Ann Laura Stoler (ed.) Imperial Debris: On Ruins and Ruination (Durham, NC: Duke University Press, 2013), pp. 44–8. 36. https://encyclopedia.1914-1918-online.net/article/morel_edmund_dene. Keith L. Nelson, 'The "black Horror on the Rhine": Race as a Factor in Post-World War I Diplomacy', The Journal of Modern History, 42(4), 1970, pp. 606–27. 37. Hobson, Eurocentric Conception, p. 28; Morefield, Covenants without Swords, passim. 38. Walter Lippmann, U.S. Foreign Policy: Shield of the Republic (Boston, MA: Little Brown, 1943). 39. Cecelia Lynch, Wrestling with God: Christian ethics and violence in the modern west, forthcoming, Chapter 4; Richard Wightman Fox, Reinhold Niebuhr, A Biography (New York: Pantheon Books, 1985), pp. 119–20. 40. E.H. Carr, The Twenty Years' Crisis (New York: Harper Torchbooks, 1964 (1946)); Reinhold Niebuhr, Moral Man and Immoral Society (New York: Scribner's, 1932). 41. Carr, Twenty Years' Crisis, pp. 166, 169. 42. Lynch, Beyond Appeasement, p. 86; Public Record Office (PRO) FO 371/12789 (rec'd 4 January 1928); FO 371/12790 (13 April 1928). 43. Pitman B. Potter, 'Origin of the System of Mandates Under the League of Nations', American Political Science Review, XVI, 1922, pp. 563–583. 44. Eric S. Yellin, 'How the black middle class was attacked by Woodrow Wilson's administration', The Conversation, 8 February, 2016, Available at: https://theconversation.com /how-the-black-middle-class-was-attacked-by-woodrow-wilsons-administration-52200 45. Editorial Board, 'The Case Against Woodrow Wilson at Princeton', The New York Times, 24 November, 2015, available at: https://www.nytimes.com/2015/11/25/opinion/the-case -against-woodrow-wilson-at-princeton.html; Gordon J. Davis, 'What Woodrow Wilson Cost My Grandfather', The New York Times, 24 November, 2015, available at: https://www .nytimes.com/2015/11/24/opinion/what-woodrow-wilson-cost-my-grandfather.html 46. I am indebted to Catia Confortini for this point. 47. Grovogui, Sovereigns, Quasi-Sovereigns, and Africans, pp. 133–34. 48. Moorefield, Covenants without Swords, p. 16. See also Duncan Bell, Reordering the World: Essays on Liberalism and Empire (Princeton, NJ: Princeton University Press, 2016). 49. Vitalis, white World Order. 50. W. E. B. Du Bois, Writings: The Suppression of the African Slave Trade/ The Souls of black Folk/ Dusk of Dawn/ Essays and Articles, Library of America, 1986. 51. Ida B. Wells, The Light of Truth: Writings of an Anti-Lynching Crusader (New York: Penguin Classics, 2014); Anievas, Manchanda, and Shilliam (eds), Race and Racism in International Relations. On the Harlem Renaissance, see Vitalis, white World Order, black Power Politics, and Lynch, Wrestling with God, forthcoming. 52. Chinua Achebe, Things Fall Apart (New York: Penguin Books, 1994 (1959)). 53. Robert Latham, The Liberal Moment: Modernity, Security, and the Making of Postwar International Order (New York: Columbia University Press, 1997) and John Gerard Ruggie, Constructing the World Polity: Essays on International Institutionalization (London: Routledge, 1998) each describe different aspects of this realist-liberal synthesis. 54. Cilas Kemedjio, 'Remembering Biafra's Complex Motivations', The Critical Investigations into Humanitarianism in Africa (CIHA) Blog, 10 July 2017. See also Chima J. Korieh (ed.), The Nigeria-Biafra War Genocide and the Politics of Memory (New York: Cambria Press, 2007). 55. Frantz Fanon, The Wretched of the Earth (New York: Grove Press, 2004 (1963)); Aimé Césaire, Discourse on Colonialism (New York: Monthly Review Press, 2000 (1972)); George Padmore (ed.), History of the Pan-African Congress (London: Hammersmith Bookstore, 1963). 56. Nils Gilman, 'The New International Economic Order: A Reintroduction', Humanity, 19 March, 2005, available at: http://humanityjournal.org/issue6-1/the-new-international -economic-order-a-reintroduction/; Edward Said, Orientalism (New York: Vintage, 1979); Grovogui, 'Postcolonialism'. 57. José Luís Cardoso, Maria Cristina Marcuzzo and María Eugenia Romero Sotelo (eds), Economic Development and Global Crisis (London: Routledge, 2014); Johann Galtung, Peace and World Structure (Oslo: PRIO Monographs, 1980); Robert C. Johansen, 'The Contribution of the World Order Models Project', Alternatives, 19, 1994, pp. 155–62. 58. For example, Gilman, 'The New International Economic Order'. 59. Robert O. Keohane and Joseph Nye, Power and Interdependence (Boston, MA: Little, Brown, 1977). 60. Keohane and Nye, Power and Interdependence. 61. Morgenthau, Politics Among Nations, p. 61. 62. On Morgenthau and imperialism, see also John Hobson, Eurocentric Conception, pp. 188–92, and Mark Salter, Barbarians and Civilization in International Relations (London: Pluto Press, 2002), p. 117. 63. Theory Talk #40, 'Kenneth Neal Waltz: The Physiocrat of International Politics', 3 June 2011, available at: https://www.files.ethz.ch/isn/155101/Theory%20Talk40_Waltz.pdf 64. For an overview, see Jemima Pierre, 'Anthropology and the Race of/for Africa', in Paul Tiyambe Zeleza (ed.) The Study of Africa: Vol. 1, Disciplinary and Interdisciplinary Encounters (Dakar, Senegal: CODESRIA, 2006), pp. 39–61. 65. Doty, Imperial Encounters, p. 159. 66. Alex de Waal, Famine Crimes: Politics and the Disaster Relief Industry in Africa (Oxford: James Currey and African Rights & The International African Institute, 1997), pp. 3–4; Didier Fassin, Humanitarian Reason: A Moral History of the Present (Berkeley, CA: University of California Press, 2012). 67. Fassin, Humanitarian Reason, p. 247. 68. Cecelia Lynch, 'Religious Humanitarianism and the Global Politics of Secularism', in Craig Calhoun, Mark Juergensmeyer and Jonathan VanAntwerpen (eds) Rethinking Secularism (Oxford: Oxford University Press, 2011), pp. 204–24. 69. Aidan Hehir, The Responsibility to Protect: Rhetoric, Reality and the Future of Humanitarian Intervention (New York: Palgrave Macmillan, 2012); Adam Branch, Displacing Human Rights: War and Intervention in Northern Uganda (Oxford: Oxford University Press, 2011). 70. See, for example, Branch, Displacing Human Rights; Cole, 'white Savior'; Andrew Buncombe, 'US and UK could face Afghanistan war crimes investigation', Independent, 3 November, 2017, available at: https://www.independent.co.uk/news/world/asia/us-uk-war -crimes-afghanistan-investigation-icc-criminal-court-hague-latest-a8035576.html 71. Ole Jacob Sending and Iver Neumann, 'Governance to Governmentality: Analyzing NGOs, States, and Power', International Studies Quarterly, 50, 2006, pp. 651–72; Cecelia Lynch, 'Religious Humanitarianism'. 72. Cilas Kemedjio, 'The Humanitarian Misunderstanding: Fragmented States and the Privatization of Imperialism', The CIHA Blog, 13 January 2009, 73. Cole, 'white Savior'; Mbembe, black Reason, p. 7. 74. Yeats, Second Coming. 75. Césaire, Discourse on Colonialism; Fanon, The Wretched of the Earth; Spivak, 'Can the Subaltern Speak?'; DuBois, Writings. 76. E.g. Cecelia Lynch, Interpreting International Politics. 77. Mbembe, black Reason, pp. 5–7. 78. Mbembe, black Reason, p. 7. 79. In addition to citations from earlier footnotes, see contributions to the Worlding Beyond the West and Interventions series at Routledge. 80. Such pressures cross all segments of realist, liberal, neoliberal and critical IR theory. Hobson, Eurocentric Conception, Parts III and IV. 81. See Grovogui, Beyond Eurocentrism; Grovogui, 'The Missing Human', Lynch, Wrestling with God; Matthew Weinert, Making Human: World Order and the Global Governance of Human Dignity (Ann Arbor, MI: University of Michigan Press, 2015); and Shilliam, NonWestern Thought, among others. Author biography Cecelia Lynch is Professor of Political Science at the University of California, Irvine. She is the author of Beyond Appeasement: Interpreting Interwar Peace Movements in World Politics (1999); Strategies for Research in Constructivist International Relations (with Audie Klotz, 2007), Interpreting International Politics (two co-edited volumes, 2014) and the forthcoming Wrestling with God. She has received several book, scholarship and mentoring awards, and co-edits the `Critical Investigations into Humanitarianism in Africa' (CIHA) Blog, at www.cihablog.com
Description of document: Minutes from United States Marine Corps (USMC) Joint Non-Lethal Weapon (JNLW) Program Non- Lethal Weapons Joint Concepts and Requirements Group (NLW JCRG) 97-02 Meeting-BW, 3 September 1997 Requested date: 06-October-2007 Released date: 15-November-2007 Posted date: 02-June-2009 Source of document: US Marine Corps Systems Command Commanding General LAW 2200 Lester Street, Suite 120 Quantico, VA 22134 Email: firstname.lastname@example.org Fax: 703-432-3483 The governmentattic.org web site ("the site") is noncommercial and free to the public. The site and materials made available on the site, such as this file, are for reference only. The governmentattic.org web site and its principals have made every effort to make this information as complete and as accurate as possible, however, there may be mistakes and omissions, both typographical and in content. The governmentattic.org web site and its principals shall have neither liability nor responsibility to any person or entity with respect to any loss or damage caused, or alleged to have been caused, directly or indirectly, by the information provided on the governmentattic.org web site or in this file. The public records published on the site were obtained from government agencies using proper legal channels. Each document is identified as to the source. Any concerns about the contents of the site should be directed to the agency originating the document in question. GovernmentAttic.org is not responsible for the contents of documents published on the website. UNITED STATES MARINE CORPS MARINE CORPS SYSTEM COMMAND 2200 LESTER STREET QUANTICO, VIRGINIA 22134·5010 5720 LAW/BCC MCSC200800029 15 NOV 07 This responds to your Freedom of Information Act (FOIA) request dated October 6, 2007, for a copy of "Minutes from NLW JCRG 97-02 Mtg 3 Sept 1997." The requested document is enclosed. Fees will be assessed upon completion of the last document processed under your October 6, 2007 request. Any questions concerning this matter should be directed to Mrs. Bobbie Cave at (703) 432-3934 or email@example.com. UNITED STATES MARINE CORPS JOINT NON-LETHAL WEAPONS DIRECIORATE ?iH7RANGEROAD QUANTICO, VIRGINIA 22134-5100 5000 8 Sep 97 NLWD 97-30 From: Joint Non-Lethal Weapons Directorate To: Distribution List Subj: MINUTES FROM NON-LETHAL WEAPONS JOINT CONCEPTS AND REQUIREMENTS GROUP (NLW JCRG) 97-02 MEETING ON 3 SEPTEMBER 1997 Encl: (1) Summary of Taskings and List of Attendees (2) JCRG Briefing Slides 1. The principals from L.'1e Non-Lethal Weapons Joint Concept and Requirements Group (NI .. W JCRG) met at the Headquarters Building, Marine Corps Combat Development Command, Quantico, Virginia, on 3 September 1997. MajGen. Patrick G. Howard, USMC, (Chainnan, JCRG) and BGen. Robert T. Clark, US Army (Deputy Chairman, JCRG), along with the others listed at Enciosure (1) attended. 2. The pmpose of the meeting was to review the status of the Joint NLW efforts since the last JCRG meeting and to gain the JCRG principal's concurrence with: a. the funding plan for the FY98IFY99 Technology Investment Program (TIP) and b. the Joint NLW POM Working Group's (PWG's) recommendation for POM-OO.- This JCRG meeting was a prelude to a Joint Acquistion Group meeting on 5 September 1997 and the Joint NLW Integrated Product Team (IPT) meeting to be held on 16 September 1997, 3. Ms. Susan LeVine presented a briefing on the status ofJoint NLW progralll, the results of the Joint Technology·lnvestment Proposal Review Panel, and the results of the Joint NL W PWG. Her briefing slides are at Enclosure (2). The following summarizes her remarks: a. The Joint NL W Program has made significant progress since the last JCRG meeting: * The Joint NLW Directorate has been established ale The Joint NL W Master Plan is in "working-level" staffing .;. The Joint NL W Concept is ready for the NL W Executive Agent's signature * Progress is being made on Joint ORDs (and in line with the Concept-Based Requirements System (CBRS» ale The Joint TIP and the Joint NLW PWG met and prepared recommendations I b. Before presenting the recommendations of the TIP and the NLW PWG, Ms. LeVine opened the floor for general discussion on her briefing: 1) Mr. Charles Swett, OSD, asked if any of the Joint NLW ORDs had been signed. Ms. LeVine indicated that none have been signed but that the ORD for the 66mm Vehicle Launched Payloads program would consist of a change to the Army's existing ORD for the Light Vehicle Obscurant/Smoke System (L VOSS) which is currently in staffing. 2) MajGen. Howard, Capt. Bob Rieve, and Mr. Walt Streiter led a general discussion on the Joint staffing process for the ORDs. Capt. Rieve opined that there was not an approved Joint ORD staffing process other than the process for those ORDs going to the Joint Requirements Oversight Council (JROC) and that, due to the relatively low cost of the NL W programs, he doubted that the JROC and its staffing/signature process was appropriate for NL WORDs. Each Service representative indicated that they had experience in gaining concurrences from the other Services on Service programs where there was Joint interest, but that additional work needed to be done to clarify the overall Joint NL WORD staffing process, particularly in defining the role and responsibility envisioned for the NL W EA. Ms. LeVine accepted this comment as a tasking for the NL W Directorate. 4. Ms. LeVine then presented the results of the Joint NLW TIP and the Joint NL W PWG for the JCRG's approval. Those briefing slides are also included as part of Enclosure (2). The following summarizes her remarks: a. FY98 Technology Investment Program. "Technology Investment" is one of the five major funding categories for the Joint NL W Program. While the TIP is intended to solicit input from government laboratories, civilian industry, and academia, because of time constraints for FY98 funding, the call for proposals for FY98 funding was limited to government laboratories only. Note: the NL W IPT previously approved spending $750,000 on the TIP for FY98 and $1,500,000 for FY99. 1) The proposals were reviewed by a panel of Integrated Product Team service representatives and chaired by the Joint NLWD. Of the 63 proposals submitted, three were selected for FY98 and FY99 funding. 2) The JCRG members concurred with the selection ofthe three proposals and, after discussion on possible options for allocating the excess TIP funding, decided to recommend approving $50,000 for drafting a Broad Area Announcement (BAA) to industry for additional proposals. Ms. LeVine expressed the NL W Director's concern over obligation and expenditure of the FY98 funds if the remaining $290,000 was held until late in the fiscal year. Three options (contained in briefing slides) were discussed. During discussions, sufficient interest in pursuing work in the NL Layered Defense for Force Protection and the Long range delivery ofNL payloads led the JCRG members to recommend to the JAG that the remaining $290,000 be held until the results of the BAA were available. If the JAG felt it was necessary to commit these funds at this time, the JCRG members agree that funding experiments at the two battlelabs (focused on long range/layered defense, possibly with UGVs and/or mortars) was the preferred option, with further definition to be provided by the battlelabs on these experiments. 3) Decisions. To summarize, the following decisions were made by the JCRG on the Technology Investment Program: a) Approve funding for the three proposals selected by the TIP. b) Approve funding $50,000 to draft BAAs to industry for NL Layered Defense for Force Protection and Long Range Delivery ofNL Payloads. c) Hold the remaining $290,000 uiltil results of BAA are evaluated. Fallback position is to provide funds to the two battlelabs. b. Joint NLW POM-OO. Ms. LeVine informed the JCRG principals that the Joint NLW PWG developed the Joint NL W POM -00 based on the annual funding levels contained in PBD 719 (escalated by 2.4% inflation for FY04 and FY05) built around seven areas: * EAlDirectorate Support * Modeling & Simulation * Service Project Management Support * Experimentation * Service Tech Base & Acquisition Programs (12 programs) * Technology Investment * New Initiatives (5 programs) 1) A detailed funding breakout by programlby fiscal year was presented to the JCRG principals. In addition, Ms. LeVine provided two pie charts showing the relative percentages of funding to each of the seven general areas and the breakout of programs within the Technology Base area. See briefing charts at Enclosure (2). 2) Decision. All Services concurred with the proposed Joint NLW POM-OO. 6. Taskings. See Enclosure (3). 7. Other topics. MajGen Howard called for other discussion items. There were none so the meeting was adjourned. ~CU\t1eJL SUSAN LEVINE Director, Non-Lethal Coordination Cell Distribution: All Attendees OSD (A&T) Office of Munitions HQDA DAMO-FD ARDEC NSWCDD Phillips Laboratory Armstrong Laboratory SUMMARY OF TASKINGS 1. MajGen Howard tasked the NL W Director to continue to work on defining the process for staffing and approving of Joint NL WORDs. LIST U~' ATTENuEES Marine Corps Col James P. O'Donnell, Head Requirements Division, MCCDC MajGen Patrick G. Howard, DCG MCCDC Maj James E. Budway, MCCDC, Req Div Army BG Robert T. Clark, HQ TRADOC, Ft. Monroe, VA Mr. Sam Schiro, USAIC CDS, Ft. Benning, GA Mr. Walt Strieter, HQ TRADOC, Ft. Monroe, VA Capt. Robert Rieve, USN, Expeditionary Warfare Division, CNO (OPNAV N85l) LtCol. Don House, Office ofProgranl Appraisal, (SecNav OPA) Mr. Kelly Donegon, CNO (OPNA V N851) Air Force Maj Buzz Sawyer, HQ USAF/XORBP Col Dennis D. Miner, HQ USAF/XORBP Special Operations Command LtCol Joe Tyner, USAF, USSOCOM, SOJ5-0 USACOM Maj A. Taylor, USACOM, 13 Joint Non-Lethal Weapons Directorate Ms. Susan LeVine, Head, Joint NLW Program Coordination Cell Mr. Terry Wright, Deputy Director, Joint NL W Directorate Mr. Kevin Stull, Joint NLW Program Coordination Cell Office of the Secretary of Defense Mr. Charles Swett, SOLIC (Policy) Enclosure (1) , Joint Concepts Requirements Group Meeting 3 Sept 97 r Agenda * Directorate Update * Program Update I I .... I:'V 97 l-linhl"lghtc: : ~~ 9~ ~;:~.~ •• ~ I • Documentation Update I ~ Master Plan I ~ORDs = POM-OO Content L: Director, Joint Non-Lethal Weapons * Technoiogy Investment Program Recommendations ________ ~j Course & Speed "1\ .V ~ ... _-_._- .. _--- The Joint NLW Directoratei USMC as Executive Agent iii\ ~ ... -' NLW Organizational Structure JCRGlJAG selects lead component Directorate executes program reVIews and ove~lg"t lor IPT Directorate ResponsibilitiesiJ - Perform day-to-day Activities for EA 1- Manage Joint Funding Lines '"".-- 1 I" Liaison w/DoD, OGAs, and foreign governments .. Assist in POM Development .. Publish Master Plan .. Monitor Execution of 000 NLW Program .. Promote Exchange among Services .. Monitor Service-unique Programs Director, Joint Non-Lethal Weapons ________ ~/ FY97 Program Highlights .. Directorate Standup .. Kick-off of Technology Investment Program .. Ground Vehicle Stoppers (10-11Sept) .. User's Conferences -- ----- .. r-oams .. Service War College Projects .. Website .. POM-OO Development Director, Joint Non-Lethal Weapons--------...-" -~-------- L -_ .. ---------- FY98/99 Program Budget') \| rate \| \|---\| FY98/99 Service Program List I \| ~7:n~ \| ~~!8C1 \| FY95 \| FY99 \| ueveloper \| \|---\|---\|---\|---\|---\| \| 1 NL Crowd Oispersal(MZ03) \| \| ~O~ \| 1)(0 \| At'lUC\,. \| \| 2 \| I Acoustic Blo-Effects \| 1010 \| 1730 \| I AROEC (with Armstrong Labs) \| \| 3 \| I MCCM (NL Claymore) \| 1130 \| 0 \| I AROEC \| \| 4 \| Stoppers \| \| \| \| \| \| a. Ground \| l1l5lf \| 1200 \| I AROEC (With AkL.i \| \| \| D. Marillme \| 1050 \| 1200 \| I NSWCOD \| \| 5 \| Speed Bump (Net) \| 1000 \| 700 \| AROEC \| \| 6 \| ActJve Oenlal TeChnOlogy \| 210D \| 02153 \| I IpS Lab \| \| ....m m venlcte Laun~aytOliifs I \| \| 64D \| 600 \| At'Iuc .... (with EROEC) \| \| t; '.JAV NL paYloadS \| \| 600 \| 1100 \| NSVVCDU \| \| I 9 ~ounolng NL Munition \| \| 950 \| 1600 \| At'Iuc .... \| \| I 1U canister LaunChed Area Denial , System (CLADs) \| \| 1260 \| 1000 \| AKDEC \| \| 11 I ~oam AppliCabons \| \| 300 \| 198 \| AKUc': (wltn cKUc\,.j \| \| 1Z i Acoustic Generators \| \| 500 \| 700 \| AKDEC \| \| 13 VOrtex King lOun \| \| 458 \| 500 \| AKDt:C (WlIn AKL) \| \| \| \| 340 \| 650 \| ARDEC \| CONCEPT-BASED REQUIREMENTS PROCESS (i . "Guiding Principles" ._._------- The Joint NLW Concept I r "Core Capabilities" I II Counter-~:rs~n~el I _ Crowa control I I I - Incapacitate Individuals - Clear Facilities/Structures - Denv Access ., = Counter-Materiel - Area Denial (land, sea and/or air space) -Disable/Neutralize Equipment or Facilities Director, Joint Non-Lethal Weapons L ---------.---.-) I / ( I Documentation Update v Joint NLW Concept v Ready for EA Signature vJoint NLW Master Plan v In Working Level Staffing v Joint Operational Requirement Documents Director, Joint Non-Lethal Weapons --------------------------) JORD Status .. ........... 1 I I I \| I I tFp'i. t / iS.. ... "" . ... .... ... ".'. .i. ..t.t ... j,;i~;;1y I I );LCrowD U1spersa I \| \| \| \| \|---\|---\|---\|---\| \| \| \| USA \| \| \| - \| Arousllr Bio--£JJectJ \| NfA \| \| \| J ~ \| ~CCM \| .J~'" \| JKL !!! pro1:fes5 \| \| \| Sloppe" \| \| \| \| I a. \JrounD \| \| lJS1\lL \| ORO In progrcs~ \| \| \| b. Mumme \| USN \| OKU mprogress \| \| S \| Speed Bump (\IOel.1 \| USA \| ORO In progress \| \| 6 \| ActlveDemal T ethnology \| USMl \| ORD IR progress \| \| 7 S \| 66mmVehicleLlunchea PaylDads \| USA \| MOd 10 eXiSting ORO \| \| \| UAV NL. ayoad. \| USN \| ORD In progr~ss \| \| 9 \| !lounoms Nl Munl\lon \| USA \| -UlUlm progrrss \| \| 10 \| lLADs \| USA \| OKU In progrcSJ \| \| II \| foam App Icallon \| \| ORO In proEress \| \| - \| Acoustic Gcnenltors \| \| 00 ear y or ORO \| \| IJ \| von• • Rln~ Gun \| -US-A \| 00 car y or oRlJ \| \| 14 \| Und. . Barr.l T,ch<all'oyrn.~ Dellvcry System \| USA \| OK lJ In progress \| r, '1 I ----------------------~/ .,--_.---- L ------------~ J Technology Investment Program * Objective: ~ Stimulate government laboratories, industry, and academia in generating new technology solutions to meet current or future nonlethal mission needs and requirements * Approved funding (per IPT 97-3) ~FY98: ~ FY99: 1500K 750K * Process: * Joint Service Review Panel makes recommendations for JCRG/JAG approval ~ Call for Proposals Director, Joint Non-Lethal Weapons____________ Technology Investment Recommendations * 63 Proposals Received ____' * Joint Service Review Panel - USMC:Mr. larry Willard (MCCDC) - USN: CAPT Rieve (N851) - USAF: Capt Marchessault (SAF/AQPS) -USA: Mr. Schiros(DBBl) - USSOCOM: Mr. Randy Murphy ISOAC) * Panel Recommendations * Fund the following proposals: JCRG DECISION REQUESTj- ~ * Approval For Funding 3 Technology Investment Proposals: ~ USMC Concur Nonconcur -- ~USA Concur Nonconcur -- ~ USAF Concur Nonconcur -- ~USN Concur Nonconcur -- ~ USSOCOM __ Concur Nonconcur -- Residual Recommendations ,."irI.·.·:· ~ . * Of $340K remaining: ~ Use $50K of FY98 Funds to thoroughly define and draft BAA requirements for potential FY99 funding - Long range delivery of NL payloads - N L Layered Defense 'for Force Protection _______ * Use remaining $290K of FY98 funds for L one of the following proposals: Director, Joint Non-Lethal Weapons ~j Tech Investment Program ... 1 Residual Funds Re-allocation: I ",. Proposal A - Fund AMC under USMC lea, for a specifically focused project to develop a NLW APL Alternative (NAAPL) .,,~,.~ ",. Proposal B - Fund a joint Army/USMC effort to enhance/sustain NLW sets ",. Proposal C - Fund experiments at both labs for next two TIP projects Director, Joint Non-Lethal Weapons -------------- ~ i ----------------/ ----- -- Joint NLW POM-OO .... -_. Joint NLW POM-OO * USD(A& T) Directed USMC to establish an "M" line f~~~ ~oint ~~~ R~T&E .F~~di~.~ __ _ _ I. a il ) I I I * Joint NLW POM-OO profile must be submitted by 19 Sep r.-, to US'" AC In&n\ ~o- :-c l • • .... :0- :- I I~MC pnl\ .. "0 C"''''''' tjf IVI \r r\) I I III IU::>I II "' Uv I VIYI-V VIC * Accordingly, tne JOint NLw KuT&E t-'.t:. must De POMeo by the USMC * A JCRG/JAG POM working group convened 21-22 August to assemble the Joint NLW POM-OO submit * Completing the Joint NLW POM-OO submission now will allow the Services ample time to work procurement tails, as applicable Director, Joint Non-Lethal Weapons __________ ~/ -.----.------ .... -.-.--------- -- .. -----. -- - .. ------_. --- POM-CO Timeline ) -1 Aug l r "~~'l Kick-off briefing presented to JCRG/JAG <~..;,.;;:;o: ) )' I , ) ) I I 4 1 t::. A.. _ - I - ~ '"'U!:t -12 Aug, -18 Aug ). -21-22 Aug , -3 Sep , -5 Sep -16 Sep -19 Sep Working Group Services pit=pare initial cost/schedule estimates for initiatives DC/SP&R Brief onPOM-OOFormulationProcess, Service input due JCRG/JAG POPM Working Group JCRG Review JAG Review IPT briefed on "DRAFT NLW POM-OO" DCIS PP&O submits "DRAFT NLW POM-OO" to DCIS P&R after briefing the NLW EA. jl __________ ~ . .. Joint NLW RDT&E Funding Profile * FYOO - 03: Per PBD 719 FY04-05: 2.40/0 Inflation Rate .... .-._---_._ _----.---_ .. _._---_._-- PROPOSED JOINT NLW POM-OO ii I -- -- ~------------------------------------------------------', JointNLW POM-OO ,/ Program List uu I Ul U" ,.... CI,l·"ra"'" \ . _.. I I II j '''-I I j \| program uu I Ul \| \| \| U" u'> 04 05 \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| Nonlethal \;rowa I HIU I Dispersing Round \| \| \| \| \| \| \| \| Grouna vehiCle Stoppers \| 11;;::1 \| \| \| \| \| \| \| Maritime vemc'e Stoppers \| 1;;:50 \| \| ;;:UUU \| ;SUUU \| 1000 \| \| \| I ACtiVe uen.a, Technology \| ,,;)"U \| ;;:1I:lU \| ;;:lI;'U \| ,)l,)U \| IIlI;'U \| 6;SJO \| \| 66mm ::;ystems \| HUU \| 11;;:5 \| lUUU \| \| \| \| \| !.lAY Nb !"IYloag Delivery \| lUVV \| lUUU \| \| \| \| \| \| sounalng NL. Munition \| 500 \| I \| \| \| I \| \| \| t;amster Launched Area Denial System \| I 1;);)1.1 \| \| \| ' ,',u.U \| \| \| \| I AcoustiCS \| 4;'UU \| 6J40 \| 74;;:0 \| \| lD400 \| lD400 \| \| Foam Applications \| 14(U \| ';;:00 \| <100 \| \| \| \| \| vonex King uun \| lUUU \| 1"4:1 \| 1UUU \| lUUU \| :lUU \| IIUU \| \| I unaer aarre. Tactical Payload System \| liD:! 194 I \| \| \| \| \| \| --------------------------~ Director, Joint Non-Lethal Weapons r Joint NLW POM·OO New Initiatives I I I I II I I I I I ~-'l I \| ..... I I ~~~~';,~~~y I Contingency I Sets I \| \| ::1 ::1 \| \| \|---\|---\|---\|---\| \| \| 900 \| 1200 1300 I \| 1 00 \| I Director, Joint Non-Lethal Weapons -------- --->-, - - ----.------- L )0 I I I I I I I I ) I - - --------- - --" _------.. . I -"-.. - /' EYOO Overview Director, Joint Non-Lethal Weapons --------------------------~ .. l J .--------_ FYOO Tech Base Breakout r - 'ji UAV Hovering I I l Director, Joint Non-Lethal Weapons --------------------~/ cf,1 PROPOSED JOI~~T NLW POM-OO *·i:· JCRG DECISION REQUeST ;: CONCURRENCE ON POM-OO SUBMIT: ~ USrv1C Concur Nonconcur ~USA Concur Nonconcur ~USAF Concur Nonconcur ~USN Concur Nonconcur ~USSOCOM Concur Nonconcur I !---------------~ ------------ FINAL COMMENTSilSSUES ?
Design, social innovation and peace: experiences from the Amazon-Orinoquía border in Colombia (2018-2019) Jairo Ernesto Luna-García Bogotá. National University of Colombia firstname.lastname@example.org María Alejandra Alarcón Bolívar National University of Colombia Emilio Alejandro Alméciga Mora National University of Colombia Manuel Francisco Berdugo Sánchez National University of Colombia Laura Natalia Carrero Ángel (Spain) Polytechnic University of Valencia Diego Alexander Carreño Rodríguez National University of Colombia Diana Cristina Caviativa Pinzón National University of Colombia Angélica María Chaves Hernández National University of Colombia Juan José Clavijo Castiblanco National University of Colombia Felipe Franco González National University of Colombia María Camila Galeano Melo National University of Colombia Fausto Andrés García Urueña National University of Colombia Andrea Hernández Galvis National University of Colombia Yenny Alejandra Jiménez Mariño National University of Colombia Andrés Javier Jiménez Martínez National University of Colombia Paulo Roberto Pachón Serna National University of Colombia Angie Stefanny Patiño Gutiérrez National University of Colombia Paula Daniela Peña Rivera National University of Colombia Cristian Fernando Porte Ocampo National University of Colombia Jorge Hernando Preciado García National University of Colombia Daniela Sánchez Buitrago National University of Colombia Laura Catalina Torres Avendaño National University of Colombia Dubán Ricardo Vargas Jaimes National University of Colombia Clara Fernández (Spain) Polytechnic University of Valencia José Vega (Spain) Polytechnic University of Valencia COMO CITAR ESTE ARTIGO: LUNA-GARCIA, Jairo Ernesto et al. Design, Social Innovation and Peace: Experiences from the Amazon-Orinoquía border in Colombia (2018-2019). Projética, Londrina, v. 11, n. 3, p. 109-120, Nov. 2020. Edição especial FDaP DOI: 10.5433/2236-2207.2020v11n3esp.p109. ISSN: 2236-2207. DOI: 10.5433/2236-2207.2020v11n3esp.p109 ABSTRACT: As a contribution to the implementation of the Peace Agreements in Colombia, an accompaniment initiative has been developed from the discipline of industrial design for the promotion of productive and social projects, aimed at supporting the process of reinstatement of former combatants of the FARC EP guerrilla in the department of Guaviare. The objective is to support the construction of Peace from the design activity as a strategic element in social development through innovation dynamics and strengthening productive processes of grassroots economy, articulating the dynamics and interests of communities and government institutions in the local development. The methodology used was the Co-design process among teams of students, FARC EP ex-combatants and community members in order to formulate and develop productive projects and social development linked to the Territorial Training and Reincorporation Space Jaime Pardo Leal ("Espacio Territorial de Capacitación y Reincorporación Jaime Pardo Leal" in Spanish), in the village of Colinas, municipality of San José del Guaviare - Colombia. As a result the group have been working on five projects: agro ecology, production of capsicum jam, tourism, dairy and education and culture, all of them aimed at strengthening productive and social development initiatives. In this way this experience has allowed students to open up a dimension of how relevant the design in the social field can be, identifying problems and opportunities for contribution from design Design, social innovation and peace: experiences... Colombia (2018-2019) to local development. All pointing at overcoming the causes of armed conflict and contributing to a stable and lasting peace through a process of dialogue with the knowledge of former combatants and communities. Social design. Social innovation. Peace. Agro ecology. Colombia. Keywords: 1 INTRODUCTION The Territorial Training and Reincorporation Space Jaime Pardo Leal (hereinafter ETCR JPL) located in the village of Colinas in the municipality of San José del Guaviare was created within the framework of the peace agreements in Havana, Cuba, signed by the FARC guerrillas and the Colombian Government in 2016. The ETCR JPL is conceived as a comprehensive strategy for the reincorporation of approximately 380 ex-guerrillas into civilian life. In its almost 3 years of formation, it is a clear example of territorial organization that works to become a benchmark for peace in the rural sector of the municipality of San José del Guaviare. The International Design Summit: Building Peace, held between January 20 and February 4 of 2018 in the ETCR JPL, allowed the development of several design projects whose objective was the promotion of the productive initiatives that arose in the exercise of co-creation with the community. Based on an evaluation of the viability of these projects, it was decided to give continuity to the accompaniment in the development of five of them from the Observatory of Design and Social Innovation of the National University of Colombia in Bogota. The focus of this Observatory is framed in articulating the missionary activities of the University (Teaching, Research and Extension), through strategies of relationship with the community and institutional environment of the country so as to promote the development of the discipline and the design culture, with the purpose of contributing to the improvement of the quality of life, development with equity and the protection of the environment. The design for social innovation is configured as an opportunity to contribute to the process of building a stable and lasting peace, starting from contributing to the confrontation of the causes of the armed conflict as well as to local development in a more balanced way, especially through strengthening productive processes that add value and build social fabric understanding that productive projects become life projects for these people who are transiting towards civility. This perspective is located in the tradition of social design (MARGOLÍN, 2016; PAPANEK, 2014), which promotes that design should be a field of contribution to social change with a reflexive look towards consumerism, social inequalities and the harmful environmental impacts that have largely accompanied the predominant design practice that have been subjected to criticism and re-orientation (ESCOBAR, 2015; MANZINI, 2015). Therefore, the focus of the Observatory can be raised in dialogue with the developments of the social innovation approach, which have had different emphasis in Europe (ECHEVERRÍA, 2008; ECHEVERRÍA EZPONDA; MERINO MALILLOS, 2011) than in Latin America (REY DE MARULANDA; TANCREDI, 2010) and own formulations from the field of design (MANZINI, 2015). In this way, the Observatory of Design and Social Innovation seeks to enroll the group of students in a local reality, in interaction with community and government actors, aiming at making a contribution from co-design to the identification of problems and construction of alternatives from the territory in a solidary, sustainable, inclusive and alternative perspective to market-centered development models. 2 METHODOLOGY: THE DESIGN FOR SOWING PEACE It has been postulated that Design Thinking is a pertinent approach to Social Innovation because it allows a construction process from the point of view of the community, strengthening its capacities (empowerment) through iteration. Therefore, it allows quick and efficient adjustments that contribute to reducing economic and social risk; makes it possible to identify the problems, and from them, the possible solutions. Also, it gives relevance to the innovation process by sustaining opportunities in community dynamics and because it enables the active participation of the different actors involved with the community (SOCIAL INNOVACIÓN CENTRE, [ca. 2014]). From this perspective, the Observatory of Design and Social Innovation set out a series of objectives: firstly, to support the construction of peace from the design activity as a strategic element in social development through innovation dynamics and the strengthening of productive processes, this happens articulating the dynamics and interests of communities and government institutions in local development. Secondly, to know, apply and develop tools of social innovation that allow the creation of value and incorporation of knowledge in the productive process and in the social networks of production in community areas. Thirdly and lastly, to contribute to the strengthening of community processes, in order to harmonize welfare and economic development with a territorial approach. The scope of the work carried out is based on co-constructing the projects through the contribution in a technical-productive dimension, but also in the process of management and strengthening the processes of collaborative organization as well as through enhancing visibility and communicative action. At the same time, consolidate constant support on the ground to strengthen associative structures in the community by strengthening local capacities. The process has had different moments: An initial phase of appropriation of the projects in which the antecedents of the social design and the developments in the social innovation of the design are approached. In this phase, each team studied one of the formulated projects in order to approach social reality. The second phase was aimed at defining the strategic horizon of the design intervention, based on a meeting with the actors of the Territorial Space and the definition of a work proposal. The third phase geared towards preparing a brief of the proposals to be designed, in a strategic, tactical and operational design framework using the SWOT matrix tool linked to the value chain. The fourth and final phase was focused on developing the outputs and preparing the final delivery. Once in the ETCR JPL, each group of students developed the design proposal in a co-design process with the ex-combatants using tools such as interviews, participant observation and workshops with the community. Through a process of active listening and identification of value propositions, the participants intertwine in dialogue in order to respond to aspects such as the technical-productive ones, collaborative organization for production and visibility of the peace process through recognition of the reconciliation process and development of sustainable projects from an environmental and social point of view. This process has been carried out since the second semester of 2018 in charge of three different groups of students. There has been a splice process in which the new groups can take back what was advanced by the previous ones. The population of the ETCR JPL that was linked to this process was made up of men and women who belonged to the FARC guerrillas, who have been forming new families that represented the birth of a significant number of boys and girls. These people have embraced the peace process as an opportunity to rebuild their life project, and at an initial stage of enthusiasm have been followed by moments of demotivation as a result of problems in the implementation of collective projects, for instance the lack of technical capacity and the limited commercialization scope. Their participation with the students along process has allowed to oxygenate and give a boost to these collective initiatives. 3 RESULTS Below is a summary of each projects: Tourism: Focused on the visibility and recognition of the cultural and material heritage of the community (conformed by former guerrillas, indigenous and peasants) in order to build a sustainable economy with productive initiatives within the populated centre and those articulated around them. We want to take advantage of the tourist potential of territory's location near the Amazon rainforest and the chance to show the experiences and knowledge of this group of people, such as their survival techniques and their unique knowledge about fauna and flora. This can certainly help to change the concept of war that this region experienced for the one of peace building. Peace at hands: It is a project focused on the development of an educational and cultural management model in territorial spaces. For this, it is divided into 3 pillars: "Wise Hands" in which the new school, the library and the school of youth leaders are immersed; "Own Hands" that has all the experiences of the community inhabitants with the indigenous and guerrilla memory; and "Interlaced Hands" in which the community groups are found, like the youthful "Jungle inside" and the foundation "Roots of My Land" conformed by householders or artistic mothers who prepare dances. The objective of the model is to interrelate all the actors immersed in the education and culture of the community in all its fields, so as to generate processes of recognition and appropriation of knowledge, ecosystems, learnings and history. Agro ecology: A process of vindication of the productive relationships built between nature and the inhabitants of the territory, based on clean production, sustainability and closing cycles. From these ideas arose four complementary projects: Fish farming, pork raising, agro ecological crops and concentrate production for animal feeding. These projects are established within a system of mutual benefit, embraced in an interest in self-supply and self-management. In this way, the community is integrated in an exercise of recognition highlighting the territory's own values, interest in food sovereignty and the ideals of the peasantry and ex-combatants. Thanks to the above and the level of consolidation of the project, the collective seeks to disseminate this agro ecological experience in an exercise of collective work, knowledge dialogue and the objective of defending the relationship of mutual benefit between nature and human beings. Lactiare: It is an alternative of business development that emerged in a family farm a few kilometres from the ETCR Jaime Pardo Leal. Maribel and her husband are the creators, they bet on innovation through the transformation of cheese (a basic product of the family basket) to a gourmet product. The couple were responsible for proposing five flavors using different products of the region: turmeric, cacao, coriander, coca leaf and chili pepper, all of them produced in their farm. Also, they themselves commercialize these products to tourists who arrive in the region. However, their proposal goes beyond selling cheeses, they want to provide a living experience of what it is to inhabit the rural space where peace is being built and strengthened. Thus, demonstrating that they are a community capable of providing a tangible benefit for the economic and social development of the country. Sweetening Peace: A project born in 2018 with the visit of the Institute of Science and Food Technology (ICTA) of the National University to the ETCR Jaime Pardo Leal. This project emerges as a venture of Dayana Lizeth Barbosa Bustos following her desire to support her community, she decided to start producing jams that using the agricultural products of her territory. This project has been underway for two years, in which the capsicum transformation technique has been perfectioned to produce sweet sauces of this ingredient in an artisanal way. Although the project has faced the difficulties that its territory presents, like the lack of accessibility or obstacles to commercialization, it is a product that has remained faithful to the values that its leader considers fundamental: the value of the community and its well-being, the recognition of valuable role of women, 100% natural products and the desire to build peace. The students of the observatory have been working with her to strengthen issues related to the strategic formation of the company, the consolidation of a territory image, the technification of production processes and the search for new distribution channels. This has been carried out in order to apply to financing funds that give an economical boost the project and also become Design, social innovation and peace: experiences... Colombia (2018-2019) a way to achieve long-term benefits within the community. It is recognized that these types of initiatives are the reflection of a context that demands other forms of incorporation and whose greatest wealth lies in generating a community welfare beyond only economic interests. 4 CONCLUSIONS: MAIN TEACHINGS The process gone through in San José del Guaviare highlights the historical problems of abandonment of peripheral territories, with a limited presence of the State. This implies colonization models that have taken little care of the rich ecosystems present in these areas, as well as the presence of native peoples that have been most affected by the armed conflict. In addition to the structural problems of limited coverage in social and infrastructure services, which hinders an economic and social integration of these territories with a sustainability perspective. This scenario in which the armed conflict has developed itself is a space of opportunities for the contribution of design to the sowing of peace. It allows a formative experience of the students facing that other reality of the country that is absent from the industrial design practice, integrating the configuration of objects and products along with the design management and participation in public policy development. All of these helps transforming the territory from co-construction processes. Here remains full valid the design approach to transition proposed by Escobar (2015), where the look at political ecology, decolonial theories and the feminist perspective contributes to a reconfiguration of the role of design in society from an autonomic perspective. The practice of design for social innovation allows the construction of collaborative organizations and social fabric construction processes, in which all people design, in a process of confluence of diffuse design and expert design, in the way in which Manzini (2015) proposes. Therefore, the path proposed by Papanek (2014), to rethink the relevance of design in the social field also gains full force, aimed at integrating tools and approaches of participatory design, the design for the development of goods and services from a perspective of value chains, the design of collaborative organizations and relationships, contributes to the transition towards environmentally and socially sustainable societies. Despite the uncertainties regarding the peace process and the quest for overcoming internal and external difficulties to these processes, the bet from the National University of Colombia in general and the one from the School of Industrial Design is to continue contributing to the implementation of the peace agreements towards a stable and durable peace. Taking into account that a transformative experience allows the role of ex-combatants to be translated into actors in the construction of society from a social justice project. From each of the projects that the observatory supports, the strengthening of capacities is sought to allow that transit of skills that were held in an environment of armed confrontation and that now come to be useful within a framework of building peace and community. ACKNOWLEDGEMENT To the ex-combatants located in the ETCR JPL, the communities of the El Capricho, the drivers of the National University of Colombia who have made possible the field work in this territory. Also, to Hernán Pérez and the Extension Division of the National University (Bogotá) who with their contribution have enabled the development of this process. BIBLIOGRAPHY 1. CENTRO DE INNOVACIÓN SOCIAL. Cazando ideas. Caja de herramientas. Bogotá, DC: Agencia Nacional para la Superación de la Pobreza Extrema, [ca. 2014]. 2. ECHEVERRÍA EZPONDA, Javier; MERINO MALILLOS, Lucía. Cambio de paradigma en los estudios de innovación: el giro social de las políticas europeas de innovación. ARBOR Ciencia, Pensamiento y Cultura, v. 187, n. 752, 2011. Doi:10.3989/arbor.2011.752n6002. Available on: http://arbor. revistas.csic.es/index.php/arbor/article/view/1387/1396. Access in: 4 Feb. 2020. 3. ECHEVERRÍA, Javier. El manual de Oslo y la innovación social. ARBOR Ciencia, Pensamiento y Cultura, v. 184, n. 732, p. 609-618, 2008. ISSN: 02101963. Available on: http://arbor.revistas.csic.es/index.php/arbor/article/ view/210/211. Access in: 9 Jan. 2020. 4. ESCOBAR, Arturo. Autonomía y diseño. La realización de lo comunal. Colombia: Editorial Universidad de Cauca, 2015. 5. MANZINI, Ezio. Cuando todos diseñan: una introducción al diseño para la innovación social. Madrid, España: Experimenta Editorial, 2015. 6. MARGOLÍN, Victor. Construir un mundo mejor: diseño y responsabilidad social. Ciudad de México: Editorial Designio, 2016. SANTOS, R. D.; SILVA, B. S. da 7. PAPANEK, Victor. Diseñar para el mundo real. Ecología humana y cambio social. Barcelona: Pollen Ediciones, 2014. Available on: http://pol-len.cat/wpcontent/uploads/2014/11/Disenarparaelmundoreal.pdf. Access in: 9 Mar. 2020. 8. REY DE MARULANDA, Nohra; TANCREDI, Francisco. De la innovación social a la política pública: historias de éxito en América Latina y el Caribe. Santiago de Chile: CEPAL, 2010. Available on: http://repositorio.cepal.org/bitstream/ handle/11362/39313/LCW351_es.pdf?sequence=1. Access in: 9 Mar. 2020.
KEYWORDS face recognition gender differences evolutionary theory relationship status Singles and Faces: High Recognition for Female Faces in Single Males Mohamad El Haj 1, 2, 3 , Ahmed A. Moustafa 4 , and Jean-Louis Nandrino 5 1 Nantes Université, Univ Angers, Laboratoire de Psychologie des Pays de la Loire (LPPL - EA 4638), F-44000 Nantes, France 2 Unité de Gériatrie, Centre Hospitalier de Tourcoing, Tourcoing, France 3 Institut Universitaire de France, Paris, France 4 School of Social Sciences and Psychology & Marcs Institute for Brain and Behaviour, Western Sydney University, Sydney, Australia 5 Univ. Lille, CNRS, CHU Lille, UMR 9193 - SCALab - Sciences Cognitives et Sciences Affectives, F-59000 Lille, France ABSTRACT A substantial body of research has assessed the effect of gender on face recognition; however, little is known about the effect of relationship status on face recognition. In this study, we assessed for the first time how relationship status impacts face recognition by asking 62 male and female participants to decide whether they had previously encountered faces of males and females. Participants were also asked to fill a socio-demographic variables questionnaire which included, among other information, question about their relationship status (i.e., single vs. in a relationship). A significant effect of relationship status on face recognition was observed only in males; namely, single males demonstrated higher face recognition than males in relationships, whereas similar face recognition was observed in single and in-relationship females. More specifically, single males demonstrated higher recognition for female than for male faces, whereas no differences were observed in single females, males in relationships, or in females in relationship. Single males seem to be motivated by mating opportunity and, thus, unlike single females or males and females in relationships, devote high attentional resources to processing faces of the opposite gender. INTRODUCTION Face processing is a crucial social cognitive ability. Unsurprisingly, substantial literature has been devoted to this topic. Like many other cognitive abilities, face processing has been found to be influenced by gender, as reported in a numerous studies (Caplan, Crawford, Hyde, & Richardson, 1997; Halpern, 2000; Kimura, 1999; Sommer, Hildebrandt, Kunina-Habenicht, Schacht, & Wilhelm, 2013; Voyer, Voyer, & Bryden, 1995). There is, for instance, evidence that males are better than females at performing visuo-spatial working memory tasks (for a review, see Cornoldi & Vecchi, 2004). In contrast, studies suggest that females are better than males at performing a variety of verbal episodic memory tasks (for a review, see Ullman, Miranda, & Travers, 2008). The superiority of females in verbal processing has been also observed for autobiographical memory, that is, memory for personal experiences ( Conway, 2005 ; Rubin, Schrauf, & Greenberg, 2003 ). For instance, studies have reported that females often describe autobiographical events with more details ( Grysman, 2017 ; Nahari & Pazuelo, 2015 ) including basic factual details ( Grysman, Merrill, & Fivush, 2016 ). Interestingly, some studies suggest that females outperform males in tasks involving face recognition, independent of face age and ethnicity (Herlitz & Lovén, 2013; Herlitz, Reuterskiold, Loven, Thilers, & Corresponding author: Mohamad El Haj, Faculté de Psychologie, LPPL – Laboratoire de Psychologie des Pays de la Loire, Université de Nantes, Chemin de la Censive du Tertre, BP 81227, 44312 Nantes Cedex 3, France. E-mail: firstname.lastname@example.org This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/). Rehnman, 2013; McBain, Norton, & Chen, 2009; Rehnman & Herlitz, 2006, 2007). The advantage of females in face recognition can be attributed to better perception of emotional expressions. Females are better at recognizing and interpreting emotional facial expressions, a difference already apparent in infancy (McClure, 2000). There is also evidence that, on an attentional level, females process faces faster and more efficiently than males (Bowles et al., 2009; Godard & Fiori, 2010, 2012; Megreya, Bindemann, & Havard, 2011; Sommer et al., 2013). In a similar vein, infant girls spend more time looking at faces than boys do (Connellan, Baron-Cohen, Wheelwright, Batki, & Ahluwalia, 2000). The advantage of females in face processing can be significantly observed specifically for female faces: Research suggests that females perform at a higher level for female faces than for male faces (Cross, Cross, & Daly, 1971; Lewin & Herlitz, 2002; Wright & Sladden, 2003). The advantage of females in face processing in general can also be attributed to a general greater interest and knowledge of social aspects of the world (Kaplan, 1978; Rehnman & Herlitz, 2007). Finally, the advantage females have in processing of female faces perhaps reflects the fact that that females' social interest is specifically directed towards other females (Loven, Herlitz, & Rehnman, 2011). Besides gender differences, face recognition may be impacted by relationship status (i.e., single vs. in a relationship). Single individuals may be more motivated by mating interest, and consequently, be more oriented toward the opposite gender than individuals in relationships. Accordingly, single individuals may be specifically interested in processing and retaining physical attributes (e.g., faces) related to the opposite gender. This proposal is in agreement with the derogation effect, that is, the observation that single individuals tend to rate the attractiveness of opposite-gender individuals as higher than individuals in relationships (Karremans, Dotsch, & Corneille, 2011; Lydon, Meana, Sepinwall, Richards, & Mayman, 1999; Ritter, Karremans, & van Schie, 2010; Simpson, Gangestad, & Lerma, 1990). Support for the effect of relationship status on face processing can also be found in studies demonstrating that single individuals pay more attention to opposite-gender individuals than do individuals in relationships (Maner, Gailliot, & Miller, 2009; Maner, Gailliot, Rouby, & Miller, 2007; Maner, Miller, Moss, Leo, & Plant, 2012; Maner, Rouby, & Gonzaga, 2008). More specifically, Maner et al. (2009) found that whereas single participants increased implicit attention to physically attractive opposite gender targets, participants in relationships were inattentive to such stimuli. The potential effect of relationship status on face processing can be also understood in light of studies on mating motivations. Confer, Perilloux, and Buss (2010) asked participants to consider dating, in short- or long-term, an opposite gender individual whose face and body were hidden, respectively, by a "face box" and a "body box". Participants were instructed that only one box could be removed to make their mating decision. Results showed that men prioritized facial cues in long-term mating contexts, but shift their priorities toward bodily cues in short-term mating contexts, whereas females prioritized facial cues over bodily cues regardless of the mating context. Similar findings were observed by Lu and Chang (2012) who found that when 302 considering short- rather than long-term mating contexts, males' attention was significantly influenced by the waist/hip area rather than the face on photographs of attractive women. In contrast, females did not demonstrate such an influence in response to photographs of attractive men. Lu and Chang (2012) argue that perceptual attention in males has evolved to selectively process reproductive information about the opposite gender as a function of short- versus long-term mating goals. The effect of the mating context on face recognition was also reported by Wagstaff, Sulikowski, and Burke (2015), who observed that when prompted for a short- rather than a long-term relationship, male participants showed an increase in their preference for looking at female bodies rather than faces, whereas female participants did not show this difference and generally preferred to look at male faces. Together, research suggests that females' perception of males' faces is not context-dependent, whereas males seem to show a bias toward low processing of females' faces when considering a short-term mating context. Importantly, none of these studies have considered the participants' relationship status. To summarize, while there is a body of evidence suggesting gender differences in memory for faces, little is known about the effect of relationship status on this type of memory. Our study addressed this issue by assessing face recognition in single versus. in-relationship male and female participants. Regardless of their relationship status, based on literature suggesting female superiority in face recognition (Herlitz & Lovén, 2013; Herlitz et al., 2013; McBain et al., 2009; Rehnman & Herlitz, 2006, 2007), we expected to find superior face recognition in female participants. We also expected a higher face recognition accuracy for the opposite gender faces in single participants, especially single males, than in participants in relationships. METHOD Participants Sixty-two native French speaker students at the University of Lille participated in the study (32 females and 30 males, M age = 23.06, SD = 4.95). At the beginning of the experiment, participants completed a form about their age, gender, relationship status (i.e., single vs. in a relationship), occupation, and history of psychiatric or neurological disorders. We excluded six participants with psychiatric/neurological disorders from the original sample (N = 68). We also excluded participants who performed two SDs below the mean score on the episodic memory task by Grober and Buschke (1987). On this task, participants had to remember 16 words, each describing an item belonging to a different semantic category; after a 20 s distraction phase, they had to recall as many words as they could; the maximum score is 16 points. The mean score of participants was 12.34 (SD = 3.13). Procedures Participants were informed in advance that they had to retain faces for a later recognition task (for a similar use of intentional encoding in face recognition, see Golby, Gabrieli, Chiao, & Eberhardt, 2001; Rehnman & http://www. ac-psych.org TABLE 1. Distribution of Participants According to Gender and Relationship Status Herlitz, 2007). However, in order not to interfere with the relationship status variable, no mention of it was made in the instructions. In line with studies on face recognition (Rehnman & Herlitz, 2006), our task included 48 colored faces, taken from the FACES database (Ebner, Riediger, & Lindenberger, 2010), including 24 male and 24 female faces aged from 18 to 25 years old. This age interval was chosen to control for any potential own age bias, that is, the fact that young participants perform worse in recognizing older than young adult faces (Rhodes & Anastasi, 2012). In the FACES database, faces had similar size, lighting conditions, and orientation. All faces depicted neutral expressions, so as to control for any potential effect of emotion on recognition (El Haj, Antoine, & Nandrino, 2016; El Haj, Fasotti, & Allain, 2015; El Haj, Raffard, Antoine, & Gely-Nargeot, 2015). The task was designed with the Psychopy (Peirce, 2007) software package. We used a Dell laptop computer with a 15 in. LCD display. The task included an encoding, an interpolated, and a recognition phase. On the encoding phase, each of 24 pictures (12 males + 12 females) was presented for 1 s (interstimulus interval: 1 s). The encoding phase was followed by the interpolated phase (implemented to prevent reliance on immediate memory) in which participants had to read aloud strings of three-digit numbers for one minute. Afterward, participants proceeded to the recognition phase, in which 48 pictures were presented (the previous 24 pictures + 24 distractors). Pictures were randomly presented, with no time constraint. For each picture, participants responded whether it was presented in the previous phase by pressing a green key or whether it was new by pressing a red key. The dependent variable was recognition scores (hits minus false alarms), as recommended for analyzing recognition memory (Snodgrass & Corwin, 1988). RESULTS We first compared the number of single participants and participants in relationships in the two gender groups. We then compared recognition scores for female and male faces according to the gender and relationship status of our participants. We also compared episodic memory scores according to the participants' gender and relationship status, so as to control whether any potential gender/relationship status differences would be observed in face recognition only or in episodic memory in general. For all tests, the level of significance was set at p ≤ .05 Similar Distribution of Relationship Status The distribution of the participants according to their gender and relationship status is depicted in Table 1. Chi square test showed no significant differences between single participants and participants in relationships in the two gender groups, χ 2 (1, N = 62) = .22, p > .10. 303 2019 volume 15(4) * 301-307 High Recognition for Female Faces in Single Males We conducted a repeated-measures analysis of variance (ANOVA) using recognition scores (depicted in Figure 1), the participants' gender (male vs. female) and their relationship status (single vs. in a relationship) as the between-participants factors and the gender of faces (male vs. female) as the repeated-measure factor. Analyses showed a significant effect of participant gender, F(1, 58) = 28.92, p < .001, η 2 = .33. Female participants showed higher face recognition than male participants, with respective means of .80 (SD = .17) and .58 (SD = .22). The effect of relationship status was also significant, F(1, 58) = 21.42, p < .001, η 2 = .27. Further, single participants showed higher face recognition than participants in relationships, with respective means of .78 (SD = .17) and .59 (SD = .23). The interaction between participant gender and their relationship status was significant, F(1, 58) = 4.79, p < .05, η 2 = .08. Higher face recognition was observed in single males than in males in relationships, t(28) = 4.71, p < .001, with respective means of .72 (SD = .15) and .43 (SD = .17). However, no significant differences were observed between single females and females in relationships, t(30) = 1.68, p > .1. Higher face recognition was also observed in single females than in single males, t(23) = 2.17, p < .05, with respective means of .85 (SD = .15) and .72 (SD = .15). Higher face recognition was also observed in females than males in relationships, t(35) = 5.76, p < .001, with respective means of .75 (SD = .16) and .43 (SD = .17). The effect of face gender was significant, F(1, 58) = 3.92, p < .05, η 2 = .11. Higher recognition was observed for female than for male faces, with respective means of .74 (SD = .28) and .64 (SD = .26); this effect was, however, observed only in female participants, t(31) = 2.11, p < .05, with respective means of .84 (SD = .20) and .73 (SD = .23). The interaction between relationship status and face gender was significant, F(1, 58) = 3.95, p < .05, η 2 = .12. Single participants demonstrated higher recognition for female faces than for male faces, t(24) = 2.85, p < .01, with respective means of .87 (SD = .17) and .69 (SD = .26), whereas participants in relationships demonstrated similar recognition for both female and male faces, t(33) = .65, p > .10. Finally, the interaction between participant gender, their relationship status, and face gender was significant, F(1, 58) = 3.89, p < .05, η 2 = .09. Single males demonstrated higher recognition for female than for male faces, t(12) = 2.49, p < .05, with respective means of .83 (SD = .20) and .60 (SD = .25). However, similar recognition was observed in single females and in females and males in relationships. Similar Episodic Memory in Single Participants and Participants in Relationships Episodic memory scores, as obtained on the task by Grober and Buschke (1987), are depicted in Table 2. We conducted a 2 × 2 (Participant Gender [females, males] × Relationship Status [ single, in a relationship]) ANOVA on these scores. Analyses showed a significant effect of gender, F(1, 58) = 4.11, p < .05, η 2 = .07, females showed higher episodic memory than males, with respective means of 12.84 (SD = 2.83) and 11.33 (SD = 3.15). All remaining effects were not statistically significant. http://www. ac-psych.org FIGURE 1. Recognition of female and male faces according to the participants' gender and rela- tionship status. Error bars represent intervals of 95 % within-subjects conf idence. DISCUSSION This study investigated the effect of gender and relationship status on face recognition. Our analyses showed higher face recognition in female than in male participants, regardless of their relationship status. A significant effect of relationship status on face recognition was observed only in males; specifically, single males demonstrated a higher face recognition than males in relationships, whereas similar face recognition was observed in single females and females in relationships. More specifically, single males demonstrated higher recognition for female than for male faces, whereas no differences were observed in single females and both females and males in relationships. In addition, higher episodic memory was observed in female than in male participants, whereas no significant effect of relationship status was observed on episodic memory. Together, relative to males in relationships, single males demonstrated higher face recognition, especially for female faces, but similar episodic memory, whereas females demonstrated similar face recognition and episodic memory regardless of their relationship status. Our findings replicate prior studies with regard to (a) higher general face recognition and episodic memory in female participants and (b) the own-gender bias in female participants, that is, the fact that these participants demonstrated higher recognition for female than for male faces. The finding of a higher general face recognition in these participants mirrors studies demonstrating that females outperform males in tasks involving face recognition, independent of face age and ethnicity (Herlitz & Lovén, 2013; Herlitz et al., 2013; McBain et al., 2009; Rehnman & Herlitz, 2006, 2007). This finding also mirrors research demonstrating that females are better at recognizing and interpreting emotional facial expressions (McClure, 2000) as that infant girls spend more time looking at faces than boys (Connellan et al., 2000). The advantage females have in face processing has been attributed to a general greater interest in and knowledge of social aspects of the world (Kaplan, 1978; Kimura, 1999; Rehnman & Herlitz, 2007). 304 2019 volume 15(4) 301-307 As for the high verbal episodic memory in our female participants, studies suggest females tend to outperform males when the memory material is verbal (Astur, Ortiz, & Sutherland, 1998; Lewin, Wolgers, & Herlitz, 2001; Ruff, Light, & Quayhagen, 1989; Ullman et al., 2008). This advantage is illustrated by a study in which females and males were tested on a series of tasks involving the recall and recognition of verbal material and abstract pictorial stimuli (Herlitz & Yonker, 2002). Herlitz and Yonker (2002) found that females outperformed males on memory of verbal materials. The superiority of females in verbal processing has been also observed for autobiographical memory (Grysman, 2017; Grysman et al., 2016; Nahari & Pazuelo, 2015). Since our episodic memory task implied processing verbal information, it is not surprising that female participants in our study have outperformed male participants. With regard to the own-gender bias in female participants, research suggests that females perform at a higher level on female than male faces (Cross et al., 1971; Lewin & Herlitz, 2002; Wright & Sladden, 2003). In contrast, males do not appear to show a corresponding own-gender bias for male faces. Several studies have found that males perform at a similar level for both male and female faces (Cross et al., 1971; Ino, Nakai, Azuma, Kimura, & Fukuyama, 2010; Lewin & Herlitz, 2002; Loven et al., 2011; Megreya et al., 2011; Wright & Sladden, 2003), mirroring the performance of male participants in our study. The own-gender bias, as observed in females, has been interpreted as reflecting the fact that females' greater social interest is specifically directed towards other females (Loven et al., 2011). According to another social account, females may be more interested in female than in male faces due to the high value placed by society on female attractiveness (Cross et al., 1971; Ellis, Shepherd, & Bruce, TABLE 2. Episodic Memory Scores of Participants According to Gender and Relationship Status Note. SDs given in brackets; the maximum score was 16 points. http://www. ac-psych.org 1973). Taken together, our findings replicate previous studies with regard to the higher general face recognition and episodic memory in female participants, as well as with regard to their own-gender bias. Compared to other investigations of face recognition, the originality of our study lies in the assessment of relationship status. Our findings demonstrate higher face recognition in single females than in single males, as well as in females in relationships than males in relationships. Accordingly, regardless of their relationship status, females seem to outperform males on face recognition. The main finding of our paper was the high face recognition in single male participants, especially for female faces. Female participants, on the other hand, demonstrated similar face recognition regardless of their relationship status or the gender of faces. In our view, single males are specifically motivated by mating opportunity, and thus, tend to pay more attention to features of the opposite gender than single females do. On the other hand, individuals in relationships may benefit from affective and emotional comfort and stability, decreasing their motivation to process physical features of the opposite gender, which may explain why similar face recognition was observed in our female and male participants in relationships. This suggestion is supported by studies demonstrating that while single individuals increase implicit attention to physically attractive opposite gender targets, individuals in relationships are inattentive to such stimuli (Maner et al., 2009; Maner et al., 2008). Our assumption is additionally supported by the individuation motivation account (Hugenberg, Wilson, See, & Young, 2013), which states that individuals essentially process faces considered worthy of their attention. More specifically, enhanced motivation triggers selective attention (and deeper processing), which can facilitate face encoding. This model is supported by research demonstrating bias toward low processing of female faces when males consider a short-term mating strategy (Confer et al., 2010; Lu & Chang, 2012; Wagstaff et al., 2015). Even though the individuation motivation account does not take into account the effect of relationship status, it does, however, provide support to the assumption that single males are motivated by mating opportunity, resulting in high memory for females faces. The effect of motivation on face processing in single males can also be interpreted from an evolutionary perspective. According to one evolutionary account, humans possess fundamental social motives shaped by natural selection to produce behaviors that increase reproductive fitness (Kenrick, Neuberg, Griskevicius, Becker, & Schaller, 2010). Interestingly, mate-related motives have been considered as one of fundamental social motives that exert important effects on social behaviors (Griskevicius, Cialdini, & Kenrick, 2006; Karremans et al., 2011; Lydon et al., 1999; Maner et al., 2007; Maner et al., 2012; Ritter et al., 2010). Further, attention is the first step in information processing and in memory, and its evolutionary function is mainly related to information relevant to survival and reproductive goals (Dunbar & Barrett, 2007), siven the limited attentional capacity and the diverse and complex social information that surrounds us. Hence, this attentional selectivity may result in high processing of female faces in single males. Single females, on the other hand, do not seem to demon- 305 2019 volume 15(4) 301-307 strate such an attentional bias, probably due to their enhanced overall memory for faces. That is, they process faces faster and more efficiently than males (Bowles et al., 2009; Godard & Fiori, 2010, 2012; Megreya et al., 2011; Sommer et al., 2013), or they simply do not seek mating opportunities as much as males do. One limitation of our study is the small sample size, which increases the risk of Type II statistical errors. Another is that we did not consider the duration of the relationship status of our participants. Future studies should take into account the duration of relationship as individuals in recently established relationships or those in open relationships may have high mating motivation, and thus, may demonstrate high face recognition. Another suggestion for future research is to explore face recognition according to sexual orientation, as single homosexual individuals may demonstrate higher face recognition for the same rather than for the opposite gender. Finally, it would be of interest to take response time into account, as this variable may provide better insight into participants' performance. This issue is important because accuracy measures may not reflect attentional processes by themselves. By addressing these limitations, future research may provide a comprehensive picture of the effect of relationship status on face recognition. 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SAINT JUDE CATHOLIC CHURCH The Ascension of the Lord NEW TO REDMOND OR ST. JUDE? WELCOME! We are glad to have you as a member of our parish. Please fill out a registration on our website so we can get to know and serve you better. CHURCH OFFICE Telephone: 425-883-7685 Office Hours: Monday—Thursday 9—2 PM Friday 9—Noon Church Address: 10526 166th Avenue NE, Redmond, WA 98052 Website: www.stjude-redmond.org PARISH STAFF Pastor Rev. James Johnson email@example.com Parochial Vicar Rev. Anh Tran firstname.lastname@example.org f Pastoral Associate ext 118 (Liturgy,Social Justice,Outreach, and Pastoral Care) Sr. Betty Schumacher email@example.com Pastoral Assistant for Family Faith Formation of Children & Teens ext 123 Rick Casolary firstname.lastname@example.org Pastoral Asst. for Evangelization & RCIA ext 117 Sondra Sciola email@example.com Business Manager ext 128 Krista Schafer firstname.lastname@example.org Facilities and Maintenance Manager ext 114 Dave Herridge email@example.com Sacramental Records ext 125 Mandy Giusti firstname.lastname@example.org Registration, Scheduling, Bulletin, Website ext 121 Lisa Brown email@example.com ASSISTANCE TO THOSE IN NEED Assistance call: 206-767-6449 or www.svdpseattle.org. To donate furniture or household items call: Jeanne 425-881-2720 or Ministry Information email: firstname.lastname@example.org CATHOLIC COMMUNITY SERVICES Marriage, adolescent, family and individual counseling and referral . Call 1-800-872-3204. ST. VINCENT de PAUL SAFE PARKING Contact: email@example.com -2- CELEBRATION OF THE SACRAMENTS SUNDAY MASS Monday – Fri day 9:00 am (except Tuesday) Saturday Vigil Mass: 5:00 pm Sunday: 9:00 am and 11:00 am DAILY MASS COMMUNION TO THE HOMEBOUND Please contact Sr. Betty Schumacher at firstname.lastname@example.org or 425-883-7685 ext 118 to schedule a visit. EXPOSITION OF THE BLESSED SACRAMENT Fridays from after 9:00 am Mass until Noon. CONFESSIONS Saturdays 3:30-4:30 pm, or by appointment BAPTISM OF INFANTS Infants and children under 7 are baptized monthly at Mass. A preparation session is required for parents and Godparents. Contact Sondra Sciola at email@example.com BECOMING CATHOLIC If you are an adult who has not been baptized or were baptized in another Christian community and would like to become Catholic or have children over age 7 who would like to be baptized or become Catholic, contact Sondra Sciola at firstname.lastname@example.org for more information. MARRIAGE A preparation program over a period of several months is required. Contact Fr. Johnson to begin the process: email@example.com. ANOINTING OF THE SICK A communal celebration is held twice a year. In case of serious illness, impending surgery or advanced age, please contact the parish office or Fr. Johnson. The sacrament should not be delayed until the person is unconscious or in imminent dange of death. FUNERALS Contact Fr. Johnson at 425-883-7685 ext 120 CATHOLIC CEMETARIES SERVING ST. JUDE Calvary 206-522-0996 and Holyrood 206-363-8404. FROM THE DESK OF THE PASTOR Dear Friends in Christ, May 16, 2021 This weekend we observe the Solemnity of the Ascension of the Lord. A few years ago, I came across this reflection of Pope Francis on the Ascension. I think it still speaks to us today in these days as we begin to recover from COVID and its effects. THE ASCENSION OF THE LORD "The Ascension of Jesus into heaven acquaints us with this deeply consoling reality on our journey: in Christ, true God and true man, our humanity was taken to God. Christ opened the path to us. He is like a roped guide climbing a mountain who, on reaching the summit, pulls us up to him and leads us to God. If we entrust our life to him, if we let ourselves be guided by him, we are certain to be in safe hands, in the hands of our Savior, of our Advocate...the Ascension does not point to Jesus' absence, but tells us that he is alive in our midst in a new way. He is no longer in a specific place in the world as he was before the Ascension. He is now in the lordship of God, present in every space and time, close to each one of us. In our life we are never alone; we have this Advocate who awaits us, who defends us. We are never alone; The Crucified and Risen Lord guides us…" POPE FRANCIS Two key points Pope Francis makes are that we are not alone, Jesus is with us, even close to us and that the Lord Jesus is like the roped guide pulling us up to himself, pulling us up to God. So, let us look for that "guide rope" and cling to it as we experience these uncertain times. He will keep us on the right path. The Lord will help us through this but much more than that! If we let him, he will help us grow more like him, and he will use this moment to transform and renew us. An older version of the preface of the Ascension put it this this way: "Christ, the Mediator between God and man, Judge of the world and Lord of all, has passed beyond our sight, not to abandon us but to be our hope." TRANSITIONS After 24 years here at St. Jude, Mandy has decided to retire and enjoy more time with family and friends. She has been a wonderful part of the fabric of St. Jude, and has welcomed parishioners and visitors with her warmth and smile. She is here on Monday mornings until May 24 th , if you would like to stop by and say farewell. We will miss her day to day presence here, but happily we will still see her around as a parishioner. We wish her all the best in her retirement. Wishing Mandy All the Best! Rick Casolary is taking on a new role After 20 plus years leading our Family Faith Formation, Youth Ministry and Confirmation programs, Mr. Rick has decided to take on a new role. Rick has done a fantastic job in all of these programs and I am particularly grateful for the creative work he has done making everything virtual this past year. This past year, Rick asked if he could take on a new challenge. I am very grateful that he has agreed in the coming year help us revitalize our ministries as we come out of COVID and to coordinate our celebrations of the Church's 40 th Anniversary of Dedication. Rick will be doing a variety of things around the parish, but most especially he will be recruiting new volunteers and finding new ways for us to minister in the post COVID world. I am so grateful he has agreed to bring his enthusiasm to this new role. I can't begin to thank Mr. Rick enough for all he has done for our Faith Formation programs. PLEASE SUPPORT THE ANNUAL CATHOLIC APPEAL FRIDAY NIGHT ROSARY The Annual Catholic Appeal is a combined effort of the 169 parishes in that support the outreach of the Catholic community in Western Washington. The appeal funds Catholic social ministries, programs for youth and young adults, recruiting seminarians and training new priests, Catholic schools and faith formation, plus administrative support for parishes in areas such as liturgy, evangelization, human resources, and much more. These are essential things we need but cannot do on our own as a parish. In these challenging times your support of these ministries is needed all the more. Please make a pledge today. Last year's average gift was between $400-500. Some people's may be able to do more, some people less. Please know that your gift, whatever the amount will be a big help. Please mail in the envelope you received in the mail, or give online at Annual Catholic Appeal_ Donation Form \| Archdiocese of Seattle (archseattle.org)or call in your gift to the ACA office at 800-809-4921. Thank you!! A reminder…. During the month of May, We are livestreaming every Friday night at 7pm. Let's come together as a family of faith and pray together asking Mary's aid in these times. You can also join us in person at Holy Innocents. May God bless you and your family in every way! Fr. Johnson -3- PARISH NEWS AND EVENTS CONGRATULATIONS TO OUR NEWLY BAPTIZED! Alex De Niz Romero, son of Claribet and Christian De Niz Romero Emma Hayes, daughter of Heather and Greg Hayes who were baptized this past weekend. PLEASE PRAY FOR THE RECENTLY DECEASED, ESPECIALY: Betty Simonds, Long-time parishioner Eternal rest grant unto them, O Lord, And let perpetual light shine upon them. ANNUAL CATHOLIC APPEAL UPDATE 93 Families participating, and 18.5% toward our goal. KNIGHTS OF COLUMBUS VIRTUAL FRATERNAL BENEFIT EVENT MONDAY, MAY 17 AT 7 PM You are invited to attend a virtual seminar on Long-term Care Insurance with featured guest Tim Woziak, a Knights of Columbus expert on long-term care. Register to receive the ZOOM link here: https://register.gotowebinar.com/ register/1773619322486489099 SOCIAL JUSTICE A PRAYER TO THE HOLY SPRIIT FOR THE RENEWAL AND SPREAD OF THE FAITH. On the feast of Pentecost, May 23, Archbishop Etienne will promulgate a new pastoral plan for the Archdiocese of Seattle. The archbishop Invites all Catholics to pray a novena to the Holy Spirit leading up to Pentecost (May 14-22), for the intention of the renewal and spread of the faith. The novena prayer is a translation of the traditional Pentecost hymn Veni Creator Spiritus. Come, Creator Spirit Visit the minds of those who are yours; Fill with heavenly grace the hearts that you have made. You who are named the Paraclete, gift of God most high, living fountain, fire, love and anointing for the soul. You are sevenfold in your gifts, you are a finger of God's right hand, you, the Father's solemn promise putting words upon our lips. Kindle a light in our sense, pour love into our hearts, infirmities of this body of ours overcoming with strength secure. The enemy drive from us away, peace then give without delay; with you as guide to lead the way we avoid all cause of harm. Grant we may know the Father through you, and come to know the Son as well, and may we always cling in faith to you, the Spirit of them both. Amen. -4 PARISH NEWS JOIN US FOR THE ROSARY EVERY FRIDAY DURING MAY LIVESTREAMED FROM OUR WEBSITE AT 7 PM EVERY FRIDAY Our Blessed Mother cares so deeply for each of us and wants to bring our petitions and prayers to the feet of Jesus. We only need to ask. Join Fr. Johnson, Fr. Anh and other faithful in praying this incredible gift of spiritual power each Friday during the month of May VIRTUE OF THE MONTH Justice Scriptures, is distinguished by habitual right thinking and the uprightness of his conduct the poor or defer to the great, but in righteousness shall you judge your neighbor." From CCC 1807 The just person, often mentioned in the Sacred toward his neighbor. "You shall not be partial to ANNUAL CATHOLIC APPEAL This year's Annual Catholic Appeal has us reflect upon A Future Full of Hope: Passion for our Faith, Promise for our Future, Care for our Community, and Love for our Family. Please prayerfully consider giving to the needs of our Archdiocese as we conduct the 2021 Annual Catholic Appeal. You can mail in your pledge, make a donation online or call your pledge into the ACA office at 800-809-4921 . Some of you have already made your donation, and we thank you for your thoughtfulness! -5- WEEKLY SCHEDULE NEXT WEEK'S SCHEDULE Monday, May 17 11 AM Mass Parish Office Open 9 AM—2PM 9 AM Mass Tuesday, May 18 Parish Office Open 9 AM—2PM No Mass (livestream from Holy Innocents) Wednesday, May 19 Parish Office Open 9 AM—2PM 9 AM Mass Thursday, May 20 Parish Office Open 9 AM—2PM 9 AM Mass Friday, May 21 Parish Office Open 9 AM—Noon 9 AM Mass followed by Benediction 9:30—noon Adoration Parish Office Open 9 AM—12PM Saturday, May 22 3:30—4:30 PM Confessions 5:00 PM Vigil Mass Sunday, May 23—Pentecost Sunday 9 AM Mass PARISH STEWARDSHIP Finance Council Report …Stewardship of Treasure… Parish Financial Giving/Sunday Offertory July 1, 2020 thru May 2, 2021… Weekly Year To Date Actual…. $ 18,212 $ 920,759 Goal… 20,800 $ 998,800 Gain (loss) $ (78,041) St Jude offers Online Giving For more information or to sign up, visit our website at www.stjude-redmond.org and click on Online Giving Our Parish Finance Council Thanks You and Asks for Your Continued Generosity! (Jose Barreto, Vinod Nazareth, John Reilly, Ron Fechtner, Carol Michael, Fr. James Johnson)
THE DISASTERDIALOGUES Rethinking Our Approach To Disaster Preparedness www.disasterdialogues.com TABLE OF CONTENTS FOREWORD 3 JONATHAN BÉLISLE Relational Artist and Web Entrepreneur 4 KELLIE BENTZ Manager, Global Crisis Management, Target 8 WILLOW BRUGH Community Leadership Strategist, Aspiration 12 WARREN ELLER Associate Professor, Department of Health Policy, Management, and Leadership, West Virginia University School of Public Health 18 RON KLAIN Executive Vice President and General Counsel, Revolution LLC 21 JOANNA MCCREARY Director of Rooms, W Hotel Austin 27 PATRICK MEIER Thought Leader Humanitarian Technology and Innovation 30 LIONEL MITELPUNKT Catalyst, Generation Cloud 35 JONATHON MORGAN CEO, Popily 39 LUCIAN TARNOWSKI Founder and CEO, BraveNew.com 44 MAGGIE WINDSOR GROSS Director of Brand and Digital Strategy, Havas Worldwide 50 FOREWORD Disasters happen. Many federal, state, local, and private entities invest significant resources in disaster readiness initiatives. But they primarily focus on how to improve management of disasters. There are huge gaps in how we think about individual preparedness — the information we collect and share, the tools we use to connect and communicate, the ways we educate and support people to ensure they take the necessary steps to be ready when disaster strikes. Inadequate preparation can lead to catastrophic consequences. Disasters are not "won" in the moment. The before (preparedness) and after (recovery) are most important in an emergency situation. Instead of spending so much time, energy, and money focused on managing disasters (reacting, surviving) - how do we improve the ways we prepare, learn from, and rebuild when bad things happen? Disaster Dialogues consists of interviews with eleven very smart people from various backgrounds and with expertise related to disaster preparedness and response, data, behavior change, innovation, and more. Together, we look at how to improve the ways we prepare, learn from, and rebuild when bad things happen. Themes include: * Getting people to care about preparedness is hard; day-to-day needs come first. * Communities are vital to helping prepare and respond to disaster – online and off. * Innovation has a role, but opinions differ on the value of that role. * Top down solutions to preparedness are not the answer. * Local leadership, engagement, and customized plans are necessary. These conversations are just the beginning. Take a look. Let me know what you think at email@example.com. Brian Reich little m media "Do we trust the machine enough... to start having assisted decisionmaking in times of crisis?" Jonathan Bélisle Relational Artist and Web Entrepreneur Jonathan Bélisle has been a relational artist and web entrepreneur for nearly 20 years. He is an interactive production director, dedicated UX poet, creative techie, and teacher. Jonathan is the founder of Hello, Architekt, co-founder of UX MTL, a community of 600 UX professionals, a professor of experience architecture at INIS Media School, and a partner and chief experience architect at SAGA. Q: When it comes to preparedness, what role does being connected to others play? How do you create a mechanism that allows a community to adapt, or respond, to different situations? way to use that information to learn about buildings, places that people have horizon view, places where people can actually feel secure when they sleep. Jonathan Bélisle: People are now able to learn from each other from different places of the world by interconnecting objects that previously would have been too expensive to deploy. And simulation allows people to ask the right questions as they are living and experiencing something. Q: Is there a way of looking at communications in a structured way so that the same approach can be used across a wide range of communities or geographic areas? JB: I think every city is different – in terms of their design, and their culture. So, preparedness in Austin, for example, would be very different from Montréal. And everywhere else. Right now we talk about smart cities, which is more a utilitarian view of the types of intelligence we can, and should, gather. Right now, we can sense what is happening – we can sense how much water a building is losing, or how much a building is filled with the types of people or conversation that might be useful towards something like preparedness. We can also map cultural exchange on cities. We could know that a park is the place where most people have ideas, or figure out where people rest, where kids play and similar. This knowledge is gathered over time. And if you want to be prepared you need to know your city. So it could be a Q: How do you turn that information into a plan, or some way of training people to take certain actions? JB: With the right censors, buildings themselves become characters in the planning and response – they can have a certain sensitivity or personality, and learn from the surroundings. They are listening to different levels of noise that they match with certain risk threat. When there's a crisis, that building can say, "I'm 80% safe, or I'm 40% safe." It will just emit that information. Then people around that building can be sent that information. It's not a human being having to make sense of the information and then share it. The building plays that role. Also, very soon all our phones will be enabled with microprojectors and other features that we can use to share information socially, and at very large-scale. For example, if something is happening near me, I could project on a wall or on the street a very detailed view of the zone where everything is happening – creating a very rapid common view for everyone. You could show people where something has happened, where the threats are, what routes to follow. And because everybody sees the map projected on the wall, everyone is receiving the same information – and we are able to act together. Q: How do we make sure that human behaviors evolve at the same rate, or in the same ways, as the technology – so the intelligence of the city doesn't exceed what the residents are able to utilize? JB: There is no clear roadmap right now. It's all about adaptation. Human behavior is not predictable unless you have trackable data. Google is able to predict what you do because you allow them to track you. If you don't allow them they will be very poor at predicting. could that know 80 percent of people don't know how to take a certain action. When someone answers a question like "Do you know how to start a fire – yes or no?" If the answer is no, then they send a video to show them. Ask the same question again the following month and track the changes in preparedness. Q: So we shouldn't measure preparedness based on actions taken, but rather the emotional connection that people have to the space and the specific thing they need to know? " There is no clear roadmap right now. It's all about adaptation. Human behavior is not predictable unless you have trackable data. " I think we should invent an app that starts asking questions such as, "Do you feel safe in your environment? How much? 20%?" Then the next day it asks "Do you have clean water? Do you have clean air? Do you fear earthquakes? Did you fear violence in your neighborhood?" and whatever. As people provide those answers you can start to create a portrait of a community. They already have those kinds of surveys done, but not in a very real-time way. People are not really prepared. But the basics of preparedness – clean water, a source of food – those are very basic needs. We should have a survival kit that is constantly upgraded based on the awareness. With that kind of information, city officials JB: Yes. We live in an age of sensor now. The information age was finished in the '90s. In a crisis environment, people will not be able to trust each other. When people are scared they might lie to preserve their own interests. But collective effort relies on trust. So what if we take the human component out of it. Maybe I have a sensor that tells me to leave because the area is unsafe. It tells me to drink water because I am getting dehydrated. If the system is deployed by a city then you can start to see the larger narratives develop. We collected the data, and everybody behaved correctly. We have reason to be concerned about this neighborhood because we are sensing that air quality is really bad and people aren't eating properly. You should leave this area. Health warnings could be transformed in narrative. 6 6 Q: Will people trust the sensor – a machine – over themselves? JB: Not yet, but we have to get there. Do we trust the machine enough in the next 10 years to start having assisted decisionmaking in times of crisis? Do humans make good decisions all the time in times of crisis? Can we demonstrate that the machines, In times of crisis very rapid propaganda could create a catastrophe. People could overestimate the danger of the situation with not enough data and create a story that makes everybody afraid. with the ability to make sense of new patterns of analysis and at different correlation between place, people, and what they do, can process information better and faster than the human brain? Q: What should we stop doing to improve our approach to preparedness? JB: We are a story driven species. We have been for a long time now. It's a benefit and a flaw because we don't understand facts very quickly, so we need stories to wrap them up. In times of crisis very rapid propaganda could create a catastrophe. People could overestimate the danger of the situation with not enough data and create a story that makes everybody afraid. Right now we are following social media and opinions, not facts. And I think this is a bad behavior of the social media era. I think the first thing we need to do is build social conversation in times of crisis. I think we're not mature with the internet yet. We're sharing a lot of opinions, but we have not learned how to have a factual debate about hard data. 7 7 "I see preparedness as a continuum vs. a defined state of being." Kellie Bentz Manager, Global Crisis Management, Target 8 8 Kellie Bentz managed Target Corporation's global crisis management program which involved response planning across the company, responding to incidents that impacted the company and organizing a coordinated response and global monitoring for all incidents that could impact Target's people, business or reputation. Prior to her role at Target, Kellie served as the senior director of disaster services at Points of Light,. Over the course of her career, Kellie has responded to various disasters, including Hurricane Katrina, the 2011 Japanese tsunami and earthquake, Super Storm Sandy in 2012, and Ebola. She also served as the chair of the volunteer management committee for the National Organizations Active in Disaster. Kellie started her career in crisis management in New Orleans in the wake of Hurricane Katrina. There, she started a volunteer disaster relief operation to help rebuild communities. As the result of her work there, Kellie became the founding executive director of what is now HandsOn New Orleans. The following interview was conducted with Kellie while she was with Target. Since that time, Kellie has moved to San Francisco to lead Airbnb's Global Disaster Response & Relief efforts. Q: How do you define preparedness? What do you think is possible in terms of getting people to be more prepared? Kellie Bentz: First and foremost I see preparedness as a continuum vs. a defined state of being. There is not one action or one set of actions that will "prepare" anyone for anything. I would say from a corporate perspective (since that is the role I currently hold), it falls into a couple of different categories. We have a continuity and resiliency team, which means they focus on the business continuity plans and the critical infrastructure pieces, including technology. They create those very tedious technical plans. And then we have a team that focuses on the response and crisis management aspect working closely with the continuity and resiliency team as needed. Many companies, like Target, want all of their people to be as prepared as possible or be able to respond if there is anything that would potentially impact our people, our business or our reputation. Our company does awareness campaigns during national preparedness month but we are really trying to have that be a year-round thing so we have an internal preparedness portal where all team members have access to be able to get that information for themselves and their families in addition to how they can be prepared at work. On our crisis team, we have a specific specialist dedicated to creating and building out our exercise program for the company. And that really is to exercise the crisis response plans that have already been created and ideally those that teams have already been trained on. And then it's ready to be exercised. We have multiple drills and exercises throughout the year – not just fire drills but we work on things like ammonia response plans for our food distribution centers. We work on our flight services response plans and how we exercise those and build out an exercise program. So some of those programmatic elements are actually still in development. From the business perspective, we often look first from a continuity standpoint – how you continue the business while something is being impacted. How do you prepare for that? How do you prepare for recovering the business while you're trying to continue it? 9 9 Q: What is the primary hurdle to getting individuals prepared in your experience? KB: I think the primary hurdle to getting individuals prepared is that people don't think it's going to happen to them. The easiest people to get more prepared are disaster survivors because they've been through it. They know it can happen, and they know the critical things that they need to prepare for themselves, their families and their business. So they are more resilient because they've been through it before. They know what they need and To me, critical contacts and communication is probably the number one thing to prepare. But the hurdle is really the people that don't believe it's going to happen to them and then not knowing what to do. It just doesn't feel real to a lot of people. Q: With so many different types of potential disasters, is there a way to adapt people's perspectives, depending on their circumstance, to help make a situation seem more likely or more relevant to their lives? " I think the primary hurdle to getting individuals prepared is that people don't think it's going to happen to them. " what they would take with them versus what they thought they would take with them (in the case of an evacuation). I think about when I lived in New Orleans and hurricane evacuations. You really think about those critical items that you can fit in your car. When I think about the people that we worked with all those years, and what they lost - it was their photographs, their critical documents, birth certificates – and those types of things that were really sentimental. And then being able to come back to a community that's recovering itself and being part of a support network – and ideally having that network in place prior to the disaster. KB: First, the crisis management, disaster space, whatever you want to call it is definitely moving more towards an all hazards approach. There are specific nuances to how you prepare or plan for specific types of disasters. But as far as preparing for those as an individual or as a family, there are critical things that you can do to prepare for an emergency. The number one thing in the immediate aftermath of a disaster is that people want to be connected and know that their loved ones are safe and secure. And once they know that then they can continue through the recovery process. Your contacts and communications should be number one. How are you going to contact your family and friends? When are you going to contact them? Have first second and third ways to do that. If only cellular is available, if only internet is available, if cellular is down … go through those different scenarios and then prepare for them. Then, thinking through the different types of scenarios. You need to ensure you have a plan and can articulate your plan to different people – if you are at home, or traveling, if you have time to prepare (as in the case of a hurricane where you get advance notice) or you don't (such as in the case of an earthquake). So instead of looking at the causation of the disaster, it's more thinking about what is the reality that you're going to have to live in. Q: Do you think the fact that we are all connected and have instant access to information undermines the argument that is being made to encourage people to be prepared because they have become conditioned to think that they're always going to be able to access information, or ask for help? KB: I can certainly see the argument and that mental framework especially for those that have grown-up in the "technology is everything" age and rely on that. And so certainly I think that is a barrier but not one that can't be moved through. I think you can put those people in situations or talk them through the scenario to help them better understand. And I think unfortunately it oftentimes takes a disaster to experience that – to actually live it and understand it. So yes I would agree that it is probably a barrier but one that I think is not insurmountable. Q: There are presumably a number of things that we are doing that are standing in the way of more innovative and more accessible or compelling approaches to preparedness. What would you suggest we stop doing so that we have the possibility to explore some different ways of doing things? KB: I think that we have to shift the focus of people thinking, "If I do X, Y and Z that means I'm prepared." That's the myth that has to be busted because in no way, shape, or form if you have a 72-hour kit does that mean that you're prepared. That's just one step in the process. You can't check the box and say, "I'm prepared." You are more prepared, but you can never really say, "I'm 100% prepared," because you can't predict everything that's going to occur. We need to think about this more from a community standpoint. That's an important shift in our thinking that needs to happen. I think what's more important than just the actual action of getting the water or getting the food or packing your kit – or whatever that is – is the actual process of thinking through and planning. I don't think the current approach –of the "72 hour kit" – is bad, or not useful. I do think that there are other things that could be done as well. I think there are different efforts in the resiliency space that are looking at preparedness more from a community approach – looking at asset mapping and working with community organizations and neighborhood organizations to get a neighborhood or a block organized, or looking at the network of people within your neighborhood so that you help bring the community back online versus just looking at your individual needs or individual level of preparedness. "It's not the one-person or the four-person team that won a giant prize at an event or that came up with this grand idea. It's about the long-term systemic change that it takes." Willow Brugh Community Leadership Strategist, Aspiration Willow Brugh is the community leadership strategist at Aspiration and a professor of practice at Brown University. She is affiliated with the Center for Civic Media at MIT's Media Lab, the New England Complex Systems Institute, and is a fellow at Harvard Law's Berkman Center for Internet and Society. She has facilitated hackathons across the world, including Port-au-Prince's first-ever hackathon, embedding technology with local communities through open source and co-design. Willow investigates connections, systems, empowerment, and powerlessness and strives to understand and improve what she finds. She has worked with the Occupy Sandy movement and the Naval Defense University, and has keynoted the IEEE Global Humanitarian Technology Conference. Willow received an award at the White House for her contribution to the FEMA Field Innovation Team for Hurricane Sandy. Q: What do you think is the most interesting, or promising, area of preparedness? Where should we be focusing? Willow Brugh: We have institutional knowledge. We have history. We now also have climate science where we know when extreme events are likely to happen. We used to get away with not preparing much because the potential cost of preparing and it potentially not being worth it was higher than it was to just do recovery. Figuring out how to show that preparedness spending is more effective both financially and in reducing suffering is the most promising area of preparedness to me right now. The numbers are there as well as the ethics. I don't think that it is a question of whether or not we should do it. We know how to do preparedness to a pretty high degree of precision now. We will of course do it even better. The most interesting to me is designing the entire response ecosystem around front line communities. Q: Is there, in your mind, a difference between how we should think about institutional preparedness and individual preparedness? WB: They are a part of the same thing. Institutions are amazing at having history, at bringing checks and balances, and at having repositories of resources. Individuals are really great at being part of a network, which is known to itself, and robust. So it's able to both deliver last mile logistics as well as give it situational awareness. We need to think of individual and institutional preparedness as a part of the same object, so the different styles can compliment each other. Q: In terms of how we as a society are evolving and becoming more connected, is either individual preparedness or institutional preparedness advancing in your mind more rapidly? WB: I see connection as evolving through a couple of different steps: the first we already have are communication infrastructures which are good for broadcast of extreme events from institutions to individuals. The next step which also is already happening is that information being taken up by neighborhoods comprised of individuals which have already been talking to each other for a long time. The neighborhood already knows how to take care of itself (so long as it's been allowed to do that - which sometimes it hasn't). What's new for our connections is when comms go back up, we open up the possibility of remote digital responders chipping in – helping to parse through all the information that's happening around the event. This data isn't generated for the institution, per se -- it's often the exhaust from people who are talking to each other. Gaps realized in those conversations should be filled by institutions. One of the groups that I spend time with, The Center for Civic Media, had shown in studies that people pay attention to groups they already know about. We thought that the internet and all this connectivity was going to link us to the rest of the world and it was going to be beautiful and multinational. In fact it's allowed us to pay even closer attention to the things that are even closer to us. But it's important that people actually understand this is a real tendency, and that we have to actively fight against it in order to be a part of a larger community. It's something that continues to happen in disaster, people who are in Boston are not likely to pay attention to floods in Pakistan, but the digital response space is something which bridges these gaps in attention. Q: How do we get communities, or individuals, to pay more attention to things beyond their immediate experience? community need to be more resilient on a day-to-day basis?" I don't think it's just a conversation about disaster preparedness, it's how we can talk about larger problems. That's why I do the things I do -- while the problems are just continuations of themselves, people have a really hard time ignoring disaster response whereas they can ignore people being hungry on a day-to-day basis. Q: Would you argue that our narrow focus on specific preparedness actions is not likely to have breakthrough success, Mandating what "they" should be doing is not going to work because, frankly, '... Who are you to tell me to do that?' is the general attitude… WB: An awful lot of this is that communities don't have the time or extra resources in order to focus on preparedness. When you talk to people who have very little in general, including in the U.S., those are also the people that are most vulnerable in these situations. Mandating what "they" should be doing is not going to work because, frankly, "Fuck you. Who are you to tell me to do that?" is the general attitude, and I would tend to agree with it. Long-term interactions would say, "Hey, what does your unless we focus on the larger context and connection to issues people are facing? WB: It's nice that we can get the funding for preparedness and response. But people who are having a hard time day-today figuring out how to survive aren't going to care that something even worse might happen two weeks down the road or two years down the road. They care about putting food in their mouths and food in their children right now. Thinking about preparedness as a stand-alone silo (even as we try to connect all the parts of response) is part of what is what is wrong with everything in humanitarian response. It's all connected, and I really feel like we can talk about preparedness as a way of uplifting everything. Then it absolutely does help preparedness. But if we just think that we're going to have potable water and an evacuation pack or whatever, that seems overly simplistic and disconnected from the reality of many people, which means that it's not going to connect with them, and the whole system will continue to fumble. Q: Are we not asking enough of the people or the communities that presumably have the ability to prepare for themselves by not actually creating the intercommunity connections? Should we be directing people to create a buddy system in a preparedness context instead of looking at this too individually and knowing that some people are just not going to get to the same level as others? WB: Yeah, I think that strong individuals make a strong community. And so by asking people to look out for each other, hopefully mentoring and support is also happening – but this often happens anyway. a great way to encourage self efficacy. It's not them going to one other person's house because they're in a buddy system. It's them saying, "Look, if you can see this sign come bring your device by," because they're always going to be people that we miss in trying to have a buddy system. In certain populations there are people who have been trafficked. There are all sorts of people who can't go and talk to FEMA because they don't have a Social Security Number. So they are ...people who are having a hard time day-to-day figuring out how to survive aren't going to care that something even worse might happen two weeks down the road or two years down the road. Q: Perhaps they will take care of them anyway – but should we go a step further and make a request that people who are prepared take specific responsibility for someone else? WB: Yeah, but even that is too exact. I would love to see, instead, documentation for replication of community practices that we've seen. People might have a generator that is way more than they need for their house. Knowing that setting up a power strip out front with a sign that says, "Hey, come charge your phone" is left out in the cold, literally, when they need assistance. And so instead having this community approach means that it's a little bit more permeable and flexible to not only what the needs of the community are but also what different people in the community have to offer. And so having those scaffoldings of, "Hey, here's how you take care of a community. Here's how you do this in a more open way,” I think it would be hugely beneficial. Q: Are there non-disaster management, non-disaster preparedness, non-humanitarian NGO social good actors or entities that you look at that you think are particularly interesting in terms of how they've figured out how to connect with people and get them to do things or change how they do things? WB: I mean, this is what universities are, right? Entire institutions set up to alter how individuals act. We've also seen libraries change the way individuals can inhabit the world. We've seen Wikipedia set up the scaffolding for massive collaboration. We've seen some MOOCs change what's possible in learning, although that's a mixed bag. And we've also seen any free software or hardware project spawn cross-geographic and crosscultural collaboration. Q: Are there things you would encourage us to stop doing when it comes to preparedness? WB: I think that we need to stop assuming and having the rhetoric that government entities are going to come in and fix everything – that Red Cross is going to come in and fix everything. I think we need to shift back to being responsible for ourselves, and institutions are responsible for making sure that any gaps that we have are filled. I think that's the main thing that we need to stop doing is assuming that one mode or system is going to fix everything. They are a vital part but they're not the whole thing. Q: Do we have an inertia problem when it comes to changing our thinking and behavior around preparedness? WB: I think most things are inertia problems. The people that I know that are in response groups and people that I know that are in FEMA and other parts of DHS are all lovely people. They want to do good things, and they should be doing good things. It's that they're trying to do things that their institutions are not shaped for. The bulkiness of their shape does not allow them to deliver that grain of detail. And so diverting the inertia of trying into instead trusting that the population is going to be able to say pretty accurately what it is they need and how they need it and then fulfilling the mandate of providing is, I think, a pretty reasonable step that we can hopefully figure out within the next 15 years, maybe sooner. Q: Fifteen years – that seems like a really long time. Do you really think the inertia because the role of government will actually take that long to turn over? WB: No, it's that I hope it takes that long because I want it to be community driven and with government sanction. I don't think the private sector should have a large role in disaster response unless it is their corporate responsibility role. Q: So don't make it an entrepreneurial venture that "improves" preparedness as opposed to an organic, community powered approaches bubbling up in appropriate ways? WB: The market is good at finding short term fixes to long term issues -- but rarely at delivering something which actually addresses the core issues of access and equality at the core of response and preparedness. I hope that it takes 15 years because the level of community engagement that it would take to be resilient enough to disasters are at the level of something like Occupy Wall Street. And right now those actions get shut down because of inertia. Until we can see people performing mutual aid at that scale together in a government sanctioned way, we're not going to be resilient to disaster. And having startups get into this space and be further disruptive I think is probably the worst thing that could happen. Who are they disrupting? I bet it's actually people who are already vulnerable. Q: What would be something that you think would be a constructive spark if there was an entrepreneurial type approach? WB: Two points. One is that there are some good things that have come out of hackathons as they've continued to be developed, like the water infrastructure tracking tool, Taarifa. I think that having events like that allow a sense of possibility and a sense that things could be different. And we can in fact change the way we do things and speed up the rate at which we respond. We can do radical change instead of the incremental change of inertia. And we repair and we understand. It's that people tend to really fixate on that spark and they really don't like that we have a long haul, let alone having to realize that these are long-standing issues with cultural history. And so that is far less glamorous and hard to build team unity behind. It's not the one-person or the four-person team that won a giant prize at an event or that came up with this grand idea. It's about the long-term systemic change that it takes. And we can use entrepreneurial spirit to encourage that those things can happen, but we have to have the execution as an even greater part of that dialogue. "Americans don't prepare for things. We don't mitigate. That's just not what we do. What we do is we respond." Warren Eller Associate Professor, Department of Health Policy, Management, and Leadership, West Virginia University School of Public Health WARREN ELLER Dr. Eller is an expert on the implementation and evaluation of public policy. He conducts research on crisis and disaster management, response, and recovery. His research includes multiple funded studies and diverse partnerships, many of which are within the State of West Virginia. He works actively with nonprofits and many government agencies that focus on disaster relief efforts. Previously, Dr. Eller served as department chair and MPA director for the Department of Public Administration at the University of North Carolina at Pembroke. Prior academic appointments include positions with Texas A&M University and Louisiana State University. A native of Morgantown, West Virginia, Dr. Eller received his MPA from West Virginia University and his PhD in Political Science at Texas A&M University. Q: How should we think about preparedness – particularly at an individual level? Warren Eller: That's a hard question – mainly because I don't think about it at the individual level for a bunch of reasons. I always think about things from a governmental standpoint and from citizen mandates and also because we're Americans. Americans don't prepare for things. We don't mitigate. That's just not what we do. What we do is we respond. Preparedness is contradictory to the American spirit. It's contrary to the American political system. It's just not what we do. Q: Is there anything that might motivate Americans to take steps to prepare? Would people respond better if you gave them money, or supplies? WE: One problem you've got is that the people who really need to be prepared are the people who can't afford to be prepared. The 30,000 people who were more dramatically affected by Hurricane Katrina were not the people who could have been prepared had they had the opportunity. The whole idea of social vulnerability is really one of the hugest issues that we haven't found a way to get around. It's tough to be prescriptive and to give somebody a luxury and tell them to preserve that luxury when that's all they have at the time. Should you provide people with 72 hours worth of food? Well no, because at the end of the month when the money is tight they're going to eat that 72 hours worth of food. Why? Because they need it more today than compared to the possibility that they might need to have that food to survive through an emergency. And you can't fault them for that. Q: How could we tailor the way we talk about preparedness for different audiences? What information is most important for the government, and others who organize preparedness and response efforts, to know? WE: I'm not sure tailoring these things better can do a whole lot. Where it can help is the technology for communicating across different mediums. There are dozens of different dialects alone the state of Texas. We need to make sure that we have people who speak the language for the people that might be in the area for evacuation. First responders are not prepared to deal with that. Technology can help with that, and it will improve our response in the moment. Q: What would you recommend we do to open up the possibility improving individual preparedness? WE: That's a good question. Probably the number one thing I would do is change the way we're doing education for the first response community. There are basically two fully independent systems in the United States: the NIMS-based system (NIMS is the National Institute Management System) that grew out of ... the ICS, the Incident Command System. Post-9/11 we built a system mirroring that to organize our responses across the United States. The problem is this: firefighters are really great at operating within this system because they use it every day. Law enforcement personnel are pretty good, because they qualify with it once in a while. But it completely leaves out anybody in the healthcare field. So the minute you get a pandemic, a health emergency that doesn't fit the model that NIMS is built around, everything goes to hell. The biggest problem we have is when people are under stress we revert to what we know. So, it varies by evacuation point. The National Disaster Medical System, NDMS, runs the medical side of response systems. And NDMS was around long before FEMA got into the business of responding. And it was stand-alone. After 9/11 it was rolled into the Department of Homeland Security (DHS) for a very short period of time. Then it was pushed back out to the Department of Health & Human Services (HHS) because it just didn't fit with the other things DHS was managing. So, we have two response systems. NDMS takes care of DMAT teams, the medical teams, the DMORT teams, the teams that deal with mortality and getting rid of corpses and things like that. They deal with transportation for medical special needs. So S if you've got people in hospitals that need to be evacuated – but not nursing homes. They deal with spiritual care. They also deal with animal care. These two systems – NIMS and NDMS - work pretty independently. And, about 85 percent to 90 percent of the recovery and response phase are also covered by the nonprofits who weren't included anywhere in there. One of the things that I've tried to do in my career is get a seat at the table for nonprofits. But because disasters are local level events, and driven by local level officials, it depends on the local level emergency operations as to how they are incorporated. Q: What would be the best first step that we could take to better align these systems? WE: I would say that we need to do is create networking events that build connections before disasters happen. The biggest problem we have is when people are under stress we revert to what we know. We don't pull the plan off the shelf. We don't go to the contacts list. We go to our cell phone. We call the people we know to ask them for help – even if they aren't the right person for the job. The networks that are going to function are the ones that are established before the storm – not during and after. "Preparedness isn't a one-time investment. It's an ongoing investment." Ron Klain Executive Vice President and General Counsel, Revolution LLC Ron Klain is the executive vice president and general counsel at Revolution LLC and an adjunct professor at Georgetown University. He recently served as the United States Ebola response coordinator and was assistant to President Obama and chief of staff for Vice President Joe Biden. Previously, Ron was partner and practice group chair at O'Melveny & Myers LLP. He served as general counsel for the Gore Recount Committee in 2000 and was chief of staff for Vice President Al Gore from 1995 to 1999. He has also served as chief of staff and counselor to the Attorney General at the Department of Justice, associate counsel to the President, chief counsel to the U.S. Senate Judiciary Committee, and law clerk for United States Supreme Court Justice Byron White. Ron is a member of the Board of Visitors of the Harvard Law School and serves on several nonprofit and for-profit boards. Q: When you look at disaster or crisis – health, weather, terrorism or whatever – and you think about the individual level of preparedness, where do you think we are compared to where we should be, particularly here in the United States? Ron Klain: I think a hard social and philosophical question that needs to be asked first is whether or not your focus is preparedness for resilience and whether or not preparedness is a fool's errand because to be prepared would be to just have a level of investment in unlikely but highly impactful events, that's irrational. And on an individual level to be prepared means what? It means to have your supply of Tamiflu in case it's a flu and your supply of ZMapp in case it's Ebola and your supply of … that's a lot of investment. And most of that's going to be wasted. We saw a big preparedness push and billions of dollars spent after 9-11, and again after the Anthrax attacks, and none of that was applicable when Ebola struck. We have spent billions of dollars to have a bunch of hospitals ready to deal with some kind of big, bad disease thing. And only three were ready for Ebola when Ebola struck. Take Ebola as an example. So should we have had 50 hospitals ready to treat people with Ebola before Ebola came? We only had three. We ultimately did have 50 at the peak of the epidemic. We weren't prepared. Should we have been prepared? Once we knew Ebola was coming, yeah. But if you're going to get 50 hospitals ready for Ebola, should you get 50 hospitals ready for MERS? Should you get 50 hospitals ready for SARS? Should you get 50 hospitals ready for H7N5? Should you get 50 hospitals ready for the epidemic flu that hasn't yet emerged? Should you get 50 hospitals ready for Marburg – Chikungunya? Where does this stop? Q: What is different about how we talk about preparedness, and actually being prepared? RK: Well, preparedness isn't a one-time investment. It's an ongoing investment. We go and we train everyone at the hospital what to do if something happens. And that's great. And then the next day the first person quits. And then the next day the third person quits, and by three years later, half those people are gone. And, all the equipment has an expiration date. So you bought 100,000 units of PPE, and dump them all in the trash can, never having used them in three years. And all of the different antidotes and countermeasures have a one-year expiration date. So we spent a lot of money on getting them. The hard thing is sorting out which of these problems you're going to deal with by preparedness. Most of these problems you can deal with by resilience – by having the capacity to respond afterwards. Often we look at the preparedness thing only through the backward looking telescope. Of the 20 things that could have hit New York in October of 2014 – MERS, SARS, Marburg, whatever – Ebola was the one that hit. Why weren't we more ready for that one? Well because to be ready for all of them would have been an incredibly insane and an intense thing. Q: If the concept of preparation – stockpiling materials in anticipation of the next Ebola outbreak or similar – does not make sense, are there intellectual/emotional preparations that we should make that would help instead? RK: I think part of the problem is that every one of these things is sui generis a little bit. And the intellectual rigors of preparation are complicated. Let's take the simplest example: 9/11. Some people had been told, had intellectually prepared, that in the event that you hear there's a terrorist activity what you're supposed to do is to stay put. Don't go running outside. People made a conscious decision based on some preparation they had been given that the right thing to do in that instance was to sit at their desk because in fact the real danger is out there. That was bad advice. Some of these people died because they were prepared. They were prepared incorrectly. So when you're preparing for these super unlikely extreme and unique events general preparation may be helpful, or it may just lead you to do the wrong thing. Q: So it's very situational. RK: I think the way to run the exercise is this: What are the three things I would want every person to know in the event that any of these bad things happen? It's hard to know what they are, right? There are some general things that people could do. I guess one of them would be have a good supply of water. You can't go wrong with that. But it does strike me that any extremist situation one or more of these things is going to turn out to be a really bad piece of advice. So, instead, I would focus the resources on – early detection of things and prompt communication of the appropriate response in that event. If we had processed quickly what was happening on 9/11, and had the right way to communicate with people in the buildings, we would have told them, "Don't sit at your desk chair, and don't climb up to the roof." But it's very hard to anticipate every possible scenario. Being able to detect quickly what is happening is the key. If you think about this in the disease context – since you have the most time to think about them – the scary diseases are the ones that move so quickly. In the end with Ebola – but for three countries in West Africa we had six months to sort out what the right response should be and put that response in place in a way that prevented people in America – after the initial screw ups – from getting Ebola, and taking those people who got Ebola and getting them good treatment. We figured it out. If Ebola had been a fast spreading airborne flu millions of people would have died over the six months while we were figuring this out. Q: Communications is key to both figuring something out, and getting people to follow instructions. What do we have to know/ think about when it comes to communications? RK: There is a question of what the phrase "a trusted source" means and how panic, politics, whatever overrides that. We saw that with Ebola. Q: Is it that we're just doing a poor job making sure that people understand what is important? Does each situation require us to start from the beginning and build a new, unique communications plan? RK: Part of the challenge is the multiplicity of scenarios. bodies. So in the fall, all the smart people get together, and they say, "This is what we're going to do. We're going to teach people not to touch the dead bodies, not to kiss the dead bodies. Don't do it." So the government writes a bunch of contracts to a bunch of people who go to West Africa and tell them not to do that. There The whole premise of preparation is based on the idea that people are rational, but they aren't. What sort of communication cuts through that? But there is more – having to do with how fear drives certain behaviors. I think we classically believe that in the event of fear we defer to authority. What we actually find is when something big happens people start to negate authority. The whole premise of preparation is based on the idea that people are rational, but they aren't. What sort of communication cuts through that? Let's take the most painful example we found in the case of Ebola. 70-80 percent of the people who got Ebola in West Africa got it from contracting it during a burial practice. Three quarters to four fifths of the transmission came in the handling of dead are countless cases of trained healthcare communicators standing at funerals telling people to their faces do not touch the dead body. Do not kiss the dead body. And people touch and kiss the dead body. So respected authority, clear advice, easily executable, communicated on a one-toone basis – didn't have to read it on Twitter – ignored. Why? A deeply held religious belief that a failure to touch the body will keep the deceased from going to heaven. What's the communication thing that breaks through that? Q: So you need to look at the religious authority in that situation – the person that sets the ground rules? It has to be very specific… RK: If I brought you into some conference room, some government agency and said – we need an education plan for fighting Ebola. Here's what we are going to do: We're going to get trained healthcare workers. We're going to get doctors in white coats. And it turns out, actually, what you need is the most influential religious leaders in Sierra Leone to tell people, "You will still go to heaven if you don't touch the body." The religious leaders are not on the list of your top 10 public health communicators. But it turns out they are the guys in this instance. That's the tricky piece to this. Q: What would be the one or two things you would put as a must-have when considering preparation? And what are the one or two things you would tell us to stop doing it because it's preventing us from getting better prepared? Q: Each person's network of influence is fairly easily mappable. We have the ability to do this. But why don't we approach the communications challenge in that way, creating hyperpersonalized plans in these situations? Particularly during disasters – isn't there an opportunity to tap into the community in ways that wouldn't otherwise be possible? RK: That's really interesting. I think we're invested very heavily in top-down communication from mass media and it almost always fails. In today's media culture there are no truly trusted authority figures. And so the one-to-many communications through that medium just raises anxiety, doubt, people looking for excuses. I think that the idea that you're going to communicate with people effectively through traditional mass media always fails. So what's I think we're invested very heavily in top-down communication from mass media and it almost always fails. " " RK: Right. But who are the influencers in those situations? What messages resonate with us in these times of crisis – who we're listening to, what we're listening to – that's a hard thing to map in advance of the crisis. Who your influencers are may not be your influencers at times of crisis. So then you may gravitate towards irrational, mistaken, or misguided voices.... I agree with you that disasters are times when you can change people for the good. There are also times when evil people can exploit people for the bad. the alternative? The alternative is this idea that we've got to get into people's influence networks more directly and have some kind of iterative or interactive communication with people. Q: Dynamic and contextually relevant that is specific to location. RK: Right, again, let's go back to 9/11. The right answer if you were on the 70th floor the moment after the plane hit or on the 80th floor an hour after the plane hit might well have been different. And just one speaker blasting over like everyone should get to the stairway might have been good advice for half the people, bad advice for other people. You might have heard that and said, "Actually, there's a fire between me and the stairway. Should I run through anyway or not run through it?" So one message "everyone do X" is not the right message. Q: So we essentially have to stop thinking about efficiency, and start thinking about value or impact and saying on an individual level. RK: Yes, coupled with the question of your relationship to the messenger. It's the right advice for you based on all the different factors. It's super complicated stuff. Even in the knowns there are unknowns. Q: Are we just screwed? RK: I don't think we're just screwed. But go back to the disease context -- the key things are super early detection. For the people who are connected, early detection is super, super key. And this is even true for weather, as we know. Our ability now to forecast … we're saving thousands of lives by much improved forecasting data and to be able to tell people the tornado is actually coming to your street. In the next seven minutes you need to get in your basement. That kind of detection for disease, for disasters, really helps – definitely saves lives – and improving the way we communicate about it. Those to me are the two things that cut across a lot of this and are unmitigated goods – even if not always effective – but unmitigated goods, early detection and better, prompter, more authoritative, more individualized communication. "We're not political. We're just people-people..." Joanna McCreary Director of Rooms, W Hotel Austin Joanna McCreary is director of rooms at the W Hotel in Austin, Texas. She has spent much of her career in executive and management roles for the W Hotel in major cities, including New York and Atlanta. Joanna managed the re-opening of the W Hotel in New Orleans after Hurricane Katrina, where she also won manger of the year in 2006. Her hotels consistently receive high ratings from guests and staff, and she has been nominated for several awards for her management excellence. Q: How do you define preparedness? How do your personal experience [with Hurricane Katrina in New Orleans] impact your thinking? Joanna McCreary: After what happened with Hurricane Katrina, our company, and every other hotel company in New Orleans, from a corporate level, re-created their emergency preparedness procedures, particularly from a security standpoint. Some of the things that we learned were interesting … of course power is really important. And at the time the W and the Sheraton in post-Katrina New Orleans were the only hotels with a really good generator. And, of course, having access to power was a big deal in operating the hotel. The other thing that was a big deal was labor. After Katrina, there wasn't anywhere to live in the area for someone who makes $8 an hour. That's the way our business – particularly in places like New Orleans - survived. Think about the base of labor needed to clean the rooms and staff a restaurant and service the hotel. That population wasn't there. We ended up housing 60 employees in the hotel for at least six months just to be able to operate. We created housing for our own employees to be able to service it. Q: What responsibility does a hotel have to take care of its guests when something happens in the community? S JM: I was in New York City at a hotel during the New York City blackout. We were sold out with 700 guests, and there was no question. Every single leader stayed there 24 hours. These are people who don't know New York City. They ultimately really do want to go home. But there was no power, so nothing worked. In the hospitality business more than anything else – those are our people. They were here with us at the time this thing happened. It is our obligation to take care of them until they leave and go on to the next place. Q: Is there any consideration in your planning for how to deal with the different psychological considerations of guests who are away from home, likely to be scared/anxious during a crisis situation? JM: Not really. I can't tell you that we have any specific employee training. It's just sort of an innate hospitality feeling – whatever people are going through you take care of them. I would say 98% of people who stay in a hotel are staying there for normal reasons. They're traveling. They're visiting family and friends. And then there's this 2 percent that might be there for different reasons, but they take up a lot of your time and energy. But that's our role. Anyone can stay in a hotel, and anyone can be with you when something bad happens. There's no specific training that says "be empathetic and take care of people." That comes with the territory. And obviously in extenuating circumstances it gets turned up to a level 10. Q: Should it be more of a priority to provide that kind of training? Or, does the core idea of hospitality have that built in already? JM: The latter. We had someone last week whose dog died. And we have people staying with you because they are in town for a funeral. Whatever is needed we will try to provide. Obviously we have standardized manuals and things. But in hospitality people innately have that sense of responsibility: it's my house, my ship. I'm not leaving until all these people feel okay. JM: Yeah, 100 percent. The fact that a hotel never closes means that you are a quasi-public space. Anyone can walk in here and use the bathroom, We're a part of the community, and a 24-hour component … and we're never going to close. Q: What has changed about the hospitality experience in the digital age – and what hasn't? JM: A hotel is one of the only places left on the planet that has dual line landlines in every room. It's a real landline. That doesn't" We're not in the profit business when really bad things happen. We're really good at becoming a community member as opposed to a for-profit business. " Q: What do you think the hospitality industry could teach others about how to manage in times of crisis? go away. That's an innkeeper's law. I cannot occupy a room without a working telephone in it. And that hasn't changed. JM: One thing that we're very good at if there is a disaster is money. We put money aside. We don't care. We don't charge you for a stupid cancellation. We don't run the room and tax on our hotels when there's a major event. We just literally write it off, and we speak to loyalty forever. We're not in the profit business when really bad things happen. We're really good at becoming a community member as opposed to a for-profit business. Q: Because you are open every day, is there a sense of inevitability in your thinking that disasters will occur? Q: What would you stop doing in the preparedness context from a hospitality standpoint? JM: The nature of the event will always make the actions different. When I think preparedness I think of things like local politics being crazy and there being a demonstration in front of your hotel. I think of everything . We're not political. We're just people-people, and I think ultimately it comes down to that. Can you get here? Can you leave here? Do you have everything you need here? "It is possible to use data for preparedness or disaster response, it just requires a different calculus in terms of incentives." Patrick Meier Thought Leader, Humanitarian Technology and Innovation Patrick Meieris an internationally recognized expert and consultant on humanitarian technology and innovation. His book, Digital Humanitarians, has been endorsed by Harvard, MIT, Stanford, Oxford, UN, Red Cross, World Bank, USAID and others. Over the past 12 years, Patrick has worked in the Sudan, Somalia, Kenya, Uganda, Liberia, India, Philippines, Kyrgyzstan, Nepal, Timor-Leste, Turkey, Morocco, Western Sahara, Haiti, Vanuatu and Northern Ireland on a wide range of humanitarian projects with multiple international organizations including the United Nations and the World Bank. He has been publicly praised by President Clinton for his pioneering digital humanitarian efforts. Patrick's work has been featured in the New York Times, Washington Post, Wall Street Journal, The Economist, Forbes, New Yorker, NPR, Wired, Fast Company, Scientific American and elsewhere. He writes about crisis mapping, big data, disaster preparedness, and more at iRevolutions.org. Q: Is there a difference in how data can be used in response to an emergency, and its potential application towards improving preparedness? It is possible to use data for preparedness or disaster response, it just requires a different calculus in terms of incentives. Patrick Meier: In the context of sudden onset disasters, people react more emotionally. You see the mainstream media go crazy and the story is all over the place. That helps in terms of incentive. The slow burn disasters, the disasters that aren't sexy enough basically, they don't get people's attention. In those cases, organizers need to focus on recruiting folks who are geographically more proximate to the region, ideally people in country, because they will have an incentive to get involved, and a long term incentive to stay involved. There is more of reward and satisfaction that local contributors feel. It is meaningful to them in a way, that wouldn't be meaningful to somebody who is on the other side of the world, who still wants to do good, but doesn't have that emotional connection. A good example is Humanitarian OpenStreetMap – and what they have done in Indonesia, where they work directly with local universities, schools, and students. Another thing Humanitarian OpenStreetMap has shown is you can crowdsource the creation of maps for disaster preparedness and risk reduction. Q: What are the data points that you think are particularly important in organizing a disaster response? PM: What I'm particularly interested in is local. Self-organizational mutual aid, mutual help, and how that can be facilitated. It's already happening. It has happened forever. First responders, by definition, are the local effective community. For example, there was a report from the Haiti earthquake a couple years after the earthquake that made the link between resilience and the capacity for self-organization. Q: In a disaster, motivation is not an issue, full community participation seems to naturally occur. That is not the case with preparedness. Is the key to people becoming motivated to prepare more about education – appreciation for the potential impact it could have? PM: I think it's about community engagement and community empowerment. One question I would ask: is there anything about mutual aid that prevents mutual aid from happening in sudden onset disasters? I don't think so. Why couldn't creating greater resilience and capacity to get out of harm's way, to weather the storm, to mitigate the impact of hazards on livelihoods, serve as the same motivation? Why can't that be a process that is also facilitated through self-organization and mutual aid? I don't think logically there's any reason not to. Perhaps the biggest challenge is whether the incentives are pronounced. The incentives are not as visible. And doing preparedness today is diverting resources and time, and allocating resources to a hypothetical crisis in the future. How do you make that tradeoff? It is much harder to invest for the future, rather than using what you have now for the present. That is especially true if there is not much in terms of resources to sustain yourself in the present. Q: Do we need to standardize our approaches, the way we talk about disasters (and preparedness) to improve the way we approach those challenges? PM: Not having that makes it more challenging. The Red Cross did a survey a few years ago, strictly the United States, that showed that social media users expected the Red Cross to respond to an urgent need. They expected that if they post on social media, within a few hours, within an hour or two, The Red Cross would respond. And that really freaked out the Red Cross. There are now all these other media channels that are not formal communication channels, like 911 and so on. But people, nevertheless, expect The Red Cross to be monitoring those channels, and responding accordingly. It certainly adds a level of complexity. There's absolutely no doubt about that. But it's not only the diversity of social media that's an issue. It's also just the volume of information coming through these different data sources, and different types of data sources. They're not only just dealing with tweets, but also potentially pictures and videos, and all of that. So, it absolutely makes it a lot more complex. Which is partly why, a couple years after the Haiti earthquake, I thought to myself "well, surely there are some folks who have been thinking about these issues, and starting to develop solutions." And sure enough, it's folks who have been doing advanced computing, and who have PhDs in computer science, and data science, who have been tackling these similar issues in different domains and different industries. That level of increased complexity does require partnerships and collaborations with people that have the skillsets. Humanitarian organizations have never had to deal with this kind of data overflow before. Q: How much of the challenge today is about having access to the best data, and how much is about our ability to analyze it quickly and make good decisions? PM: In general, I think all humanitarian organizations are behind the curve. And that's not meant as a criticism. That's the reality. They've never had to deal with this kind of complex information environment, and they are not even resourced to try and address this new challenge. But that's also the nature of innovation. The humanitarians don't tend to be early adopters of technology, never have. There are all kinds of other issues that come up: bureaucratic issues, legal issues, liability issues. When the lawyers get involved, with respect to using the new technology, it can be very much slow going. There are occasional exceptions - usually due to an individual within an organization that happens to be savvy enough to know how to circumvent authority, or to manage a system from the inside and help prototype new ideas and technologies. But in general, I would say it's just the nature of large bureaucracies that they are behind the times. All the rules and processes are there for a reason. But at the same time, it will slow the possibility of mainstreaming innovation down considerably. Q: Where should we be focusing? PM: Ultimately, I think it's less to do with technology or the data. It has to do with the leadership, policymaking, and the resources. Right now, maybe 80% or 90% of funding goes to sudden onset disasters and only 10% - 20% goes to preparedness. It should be the other way, right? And that's not to say that it's easy to change. For sure, there are all kinds of other dynamics, entrenched interests. The humanitarian space is already more overstressed than it's been in a decade. So, how are you going to shift resources that need to go into saving lives today, and providing refugee assistance and instead say "no, no, we're not going to invest in preparedness, and, oh well, for the folks who are in the middle of a disaster right now." It's just the classic fireman approach, where you're just trying to put out fires, and you have no time to actually think about something more sustainable. Q: How would you suggest we develop the necessary data culture, the acumen for analyzing data, the understanding of context necessary to do better humanitarian response and preparedness? PM: Education. Q: Do we need a special area of education specifically devoted to studying disasters? Do we need aggressive efforts to share intelligence across sectors? How should we tackle this education challenge? PM: I think it's just a core competency. I'm not an expert, but I know that there have been internal conversations within the United Nations, at pretty high levels, and other organizations, about creating a new generation of humanitarians who have data science backgrounds. They understand the importance of having that expertise available in-house, and to building that capacity and skillset in-house, while also leveraging partnerships. They're not looking at it as necessarily an either/or proposition. My bias, ultimately, is towards partnerships, partnerships, partnerships. It's not reasonable to expect humanitarian organizations to be experts in everything, especially as the world becomes more and more complex. That's not going to scale. Instead, work with the best data scientists. Embed them in the humanitarian organizations. And of course, if you have resources to spare, get the humanitarians to spend a few months in Silicon Valley, or wherever they need to spend time. Ultimately, it's about embedding folks with the expertise in computer science, and data science, and everything else, inside humanitarian organizations. There is a full-time data scientist as part of the UNICEF innovation lab. He's never worked in the humanitarian space before. But boy, has he been learning It's not reasonable to expect humanitarian organizations to be experts in everything, especially as the world becomes more and more complex. That's not going to scale. like heck over the past year, and is a really smart guy, and understanding the opportunities and so on. But it's like learning another language. It does take some time to figure this out, and to really understand what the core challenges are, the issues with datasets and so on. That's why my bias is towards partnerships. One shouldn't expect a computer scientist to be an expert in humanitarian response. Just like a humanitarian should not be expected to be able to develop amazing code in four different computing languages overnight. I think there has to be a cross-disciplinary relationship. Easier said than done. It's not automatic. It is challenging. There's no doubt about that. Q: What should we stop doing? PM: That's a really interesting question. There are two thoughts that come to mind. One is from my book and my interest in the digital humanitarian space: Any data processing, information management, data entry tasks that can be done remotely should be done remotely. Taking the burden off humanitarians on the ground, and saving them from having to do all kinds of data processing, information management, and doing that remotely by crowdsourcing or other methodology would make a big impact. The other thing, which is not new, but which may be a little more out of left field is about how you respond more locally to disasters. The issue that happens when you've got a major disaster, and you've got supplies being delivered from the outside, imported in from warehouses across the world, is that you completely warp the local economy. There's a huge problem, in terms of the economic impact of that kind of aid. We can shift towards more of the mentality of building or helping to establish – of getting the local economy back on track, whether it's the agriculture or whatever else, instead of importing. Actually using this as an opportunity for a business opportunity, a local business opportunity. So that the relief aid doesn't come from 1,000 miles away, but maybe on the other side of the country instead. "Something that is lacking today is future casting and fore-sighting. " Lionel Mitelpunkt Catalyst, Generation Cloud Lionel Mitelpunkt focuses on education, creativity, and communication in the interest of connecting people and solving problems. He works to enable individuals to collaborate and do good for themselves, their communities, and the planet. Lionel is an active member of many communities, including TEDx Israel, the Muslim Jewish Conference, Burning Man, Midburn-Israel, Inspiration Arts for Humanity and Israeli Innovation. Lionel is also an educator, speaker and mentor in various programs, such as a future scientists and innovators program at Tel Aviv University, numerous hackathons, and Elevation Academy's community management course. Lionel's various experiences led him to launch Generation Cloud, where he wishes to catalyze and connect leaders and projects around the world. Q: How do you actually build a community around something that people don't realize they're interested in yet? organization. Now you have somebody specific doing an activity, but you understand what you need to do in case of emergency. Lionel Mitelpunkt: There is a story my dad tells about the first Gulf War in Israel. I was three years old, and I have an older brother and older sister. So it was two of my parents, my siblings and me. Everybody had their own role on what their responsibility was in case of emergency. My sister had to go get the keys to the shelter. My mom had to bring the covers and the headsets. My brother was in charge of the gas masks and I went to my dad, and asked, "And what's my role?" He had to invent some role for me in the case that something happened. I think responsibility is a big part of it. We need to identify and have in mind that in case something happens I have a role, which is known to the leader of this community, so if something happens to me they know 1) I'm missing. 2) What role needs to be covered. Q: Does the idea of making preparedness an individual action undermine the ability of an entire community to become prepared? LM: The idea is to first identify the roles that you need within your community. You need somebody to open the shelter. You need somebody in charge of water. And then assign those to specific individuals. But have it broken into tiny tasks and also responsibilities and roles. From that you can build an I think a big part is simulation. Let's play the "what if" game in case this happens now, and have it as real as possible. That could be through playing SimCity and running a disaster and seeing what people have to say and going back, debriefing. Asking "How did you handle it?" A lot of people have never suffered disasters. Something that is lacking today is future casting and fore-sighting. Disasters are a big part of this. We're being trained to just leave the room in case of emergency and go to the nearest exit. Nobody speaks to us about what to do when this happens. Q: Can you create general simulations and still have them be effective, or do you have to create hundreds of different simulations so that people can have a sense of the specific experience they might eventually face? LM: When disaster occurs it's just like different books. It's different narratives. It could have been a flood, but it was a hurricane. We can never really know what it will be. I want to prepare people to be something – to play some role - and not just to shut down when something bad happens. I don't necessarily need to know what will happen to me because nobody can tell me that. But I need to think of the different ripple effects and where I fit into everything. Q: Can you differentiate the roles so that everybody can be deliberately interconnected? LM: Especially when it comes to disaster, it's about leveling the playing field. Let's create spaces that are neither yours nor mine. If my role is to bring blankets and make sure that space, say a community center or school - is prepared, and your role is to open that space and distribute supplies, we're equals. It's inputoutput. Everyone has a role. Q: Are there behaviors in our lives – interactions with brands or social connections online or media consumption, watching television, reading the newspaper – that can be effectively mined for the types of intelligence that we would benefit from applying to preparedness? LM: Movies are a great way of educating, teaching. I don't think as a society we are exposed to or educated enough about disaster products. I don't know what to eat that will give me the best nutrition for three days if I'm stuck somewhere. Q: What do we need to stop doing? LM: Blaming each other. We must – as soon as possible – find agreement. Once a disaster has happened, it doesn't matter if the government was prepared or not. It doesn't matter if my neighbor calls me 10 minutes before or if you remembered to bring the kids something. This is the situation. This is it. Open your eyes, take a deep breath. This is reality. Now start acting. The only thing that I would try and advocate for and demand right now for preparedness is the resource of time. Whether it's a school or Google or a library – everybody needs to have preparedness slots scheduled and do something with that time – whether it's mental preparedness, EMS training, training about I don't think as a society we are exposed to or educated enough about disaster products. I don't know what to eat that will give me the best nutrition for three days if I'm stuck somewhere. how to break open a door. Give me some skills. I need to have a skill set that might be useful because we all need to be ready for anything when this happens. Q: Are there some activities that should be prioritized during those times? LM: I would go for a fine balance between quantity and quality. If radio can give me 30 seconds throughout the day to talk about preparedness I'll take it. It can be full-day trainings that Google gives to its entire enterprise throughout the world. Or maybe do a one-hour TV show every month. Some mix of those will start to have an impact. We need to understand what the network looks like, what the different roles are. And then if we have 20 people for 20 roles, that's great. But if we have five people for twenty roles, we still need to prepare. We need that someone in charge of clean water. "It's a fool's errand to...pursue behavioral change. What's… important is to understand the behaviors in which people already engage." Jonathon Morgan CEO, Popily Jonathon Morgan is CEO of Popily, an interactive data discovery platform that allows users to browse answers buried in data the way they browse movies on Netflix. The system learns from users' behavior and figures out which answers it should recommend next. Previously, Jonathon ran technology for CrisisNET, an Ushahidi initiative to build a platform for the world's crisis data, giving journalists, data scientists, developers, and other makers fast, easy access to critical government, business, humanitarian, and crowdsourced information. He works on data science and data journalism projects through his interactive agency, Good at the Internet, and, in his spare time, co-hosts Partially Derivative, a podcast about data science and drinking. Q: How would you improve our approach to preparedness? Jonathon Morgan: I think one of the things you can do when you have a ton of information is that you can start to get a better idea about what people already do. And so when you're looking at a user experience problem you always have to start with how people already behave and then see if you can support that effort or improve that effort or work with them in order to prepare them in the way that they're already preparing themselves. What's always tricky is changing people's behavior. And what I see a lot from disaster preparedness right now is a kind of top-down imposition of, "Well we've already thought all this through. We know how the best way to do this would be." And thinking about those efficiencies in a vacuum as opposed to responding to the way that people are already engaging with this problem themselves I think ultimately results in the kind of disconnect that you see where lots of people fall through the cracks because they just don't participate. Q: How would you measure the difference between someone's current set of behaviors and a set of behaviors that you think are more constructive? JM: I think it's a fool's errand to actually pursue behavioral change. What's actually more important is to understand the behaviors in which people already engage. What's the existing support structure that they have? How do people already rely on their community for support in a time of crisis? What do people choose to do when a crisis hits? And then can we augment that somehow – give them more tools to respond to the crisis in the way that they believe that you should. I think that's important for two reasons: one, it's unlikely that people will change their behavior just because you tell them to. And two, they're the ones closest to the problem. So while you may understand at a high level of how a flood affects the region, what you don't understand is how these people need to prepare themselves based on their personal subjective experience in their area, based on the things that they value, the things that are most important to them, whatever their priorities are. The best example that I've ever seen is in Nigerian flood response. They faced this problem that people wouldn't move when a flood was coming to probably destroy their village. The flood plains in Nigeria often affect people who are in outlying areas. They're fairly isolated. It's difficult to communicate with them. They tried broadcasting things on television. They tried broadcasting radio announcements - but that turned out to be really difficult because not a lot of this stuff has names in the area where they are. So, people don't really take the threat seriously. What they ended up doing was finding one individual in the community with whom they could share a more complicated evacuation strategy. They taught that person to draw a map of the region, a map of the area so that they could visually communicate to their peers, to the rest of their community how they were going to prepare themselves for the flood, how they were going to move and why that was important because that was somebody who already understood what was prioritized and valued in that community. So it was a particularly influential channel for communication. The social structures that already existed using hand-drawn maps – a very kind of unsexy, not particularly technological response – no drones, no smart phone apps, no free tablets – none of these things that are traditionally thought of as being part of this next generation of disaster response. But it was the most effective way to save people's lives. Q: How would you scale that type of effort? JM: That's a big question. But I think we're in a unique position in history to be able to answer it. Because of the way we're all connected to each other explicitly – the way that we communicate on social media is probably the biggest and most obvious example – we've already implicitly defined who we think the most important people are in our networks at any given time. It is already possible to work backward from that and identify who are the most important or the most central or the most essential communicators for a given group of people, and then use them as conduits for the message that needs to be communicated. The right person often emerges out of a situation. It might be that the most "important person" that I follow on Twitter is a celebrity at the moment. Everybody follows them. But, if a flood were to run through the streets, ...whoever it is that turns out to have the most valuable information at that time is going to emerge. What we're able to do now with the technologies that are available is rapidly identify that person and be able to leverage their credibility in a given space or whatever it is that we need to do to get people from Point A to Point B or to get them to prepare themselves properly or just to behave in a way that keeps them the most safe. Q: How do we figure out how to adapt what to say different disasters or for different people, or both? JM: I think that's a valid question, and the adaptability of the messaging or the content that we need to provide the people in a crisis situation is important. But that still assumes a kind of topdown approach. The opportunity that we have as technologists is to give people the tools to self-organize. And that's something that people are now doing all the time. We have an entire sharing economy. There is the startup incubators that have Uber for X and that's their entire model. They only want companies that are basically modeled after this idea that we can all share a resource and then build a business on top of it. I think you saw people self-organizing in this way in the aftermath of Super Storm Sandy in New York where people were giving up their rooms that they'd already put on Airbnb so that people could come stay for free because they needed to quickly move from one part of the city to another. I think that that's the kind of on-the-fly planning that has to happen because you can never really understand the nature of a disaster far enough in advance to tailor your message appropriately in exactly the way that you need, because it's so specific. The context is so specific to each disaster that what we really need to make sure we can do is give people the ability to be creative and to communicate effectively and to build their own plans on the fly. Q: How could we get more – or even all – people to be willing to participate? sourced sharing economy type models that you're seeing are very popular in the consumer startup space. Applying those to disaster relief only means that we spread the net wider and we have the possibility of helping more people in a way that's organic and flexible and allows them to be creative and make a lot of their own choices … people who are opting out of the top-down messaging because – for whatever reason – it doesn't resonate with them. JM: Right now, I think we are mostly appealing to people who have a self-interest. Those are the people that end up using, say, Q: So, rather than saying we need Uber for disaster preparedness, it's actually more Uber for disaster preparedness for those people You can never really understand the nature of a disaster far enough in advance to tailor your message appropriately in exactly the way that you need, because it's so specific. " a sharing service like Uber or a sharing service like Airbnb or whatever – people who recognize that maybe they save money. Maybe they get to where they're going more quickly. Maybe they just enjoy that experience more than they do staying at a hotel or taking a taxi or whatever. That is the role that technology can play – to improve efficiency and big operations and use data to recognize where you can optimize your processes and things like that. For the top-down approach those are fine. who are not currently participating? For those people who are responding to the current approach, nothing changes? " We're already helping a significant portion of the population using the approaches that we have. The more disruptive crowd JM: Yeah, but they have to connect. It is important for us to always remember what number we are trying reach. There's some number that needs to get bigger for us to know that we're being successful. Is it that we want to increase the number of people who aren't displaced during a crisis? Do we just want to increase the number of people who survive a particular crisis? And as long as we're all focused on that then we're fine. Looking at it from that perspective then suddenly it doesn't matter so much exactly what we're doing because we can be creative in pursuing that goal. We might use a handful of strategies. I'd like to see us doing more testing of different hypotheses and iterating on solutions. We should take things that are working in the consumer space, and especially in startup technology, and apply some of those ideas and test market them in a crisis because it's certainly not going to hurt anything. Q: Are there particular social behaviors or technologies that are baked into our society at present that we could do more to utilize to support preparedness? JM: What you see Google's disaster response team doing is really novel. They're opting to give up some of the space on the Google home page and do contextually relevant disaster warnings that they pull from different U.S. government agencies. They have a handful of different data sources that they use to broadcast this message to millions and millions of people. And the reach that they have is almost unimaginable, and so the impact they think I have is similarly enormous. We are starting to see Facebook participate in that. We are starting to see Twitter participate in that. What I'm happy about is that these organizations are starting to move past the political divides, the fact that they're all competing with one another for access to users and access to user data – and they're willing to share information and communicate across platforms for this one purpose of making sure that everybody stays safe. That is really encouraging. That's an area that we're just starting to tap into that I think we can definitely improve. "How can you enable communities online to... help unleash knowledge?" Lucian Tarnowski Founder and CEO, BraveNew.com Lucian Tarnowski is Founder and CEO of BraveNew.com, an enterprise platform that enables organizations to connect, engage, and develop stakeholders around important concerns, including veterans, STEM, women, diversity, health, sustainability and leadership development. BraveNew helps its clients break down knowledge silos through peer-to-peer learning communities. The company has been awarded Best Advance in Social Learning Technology by Brandon Hall Group. Lucian also runs Take Heart India, a 50-year-old charity, started by his father, that provides blind and handicapped people in rural India with vocational skills to gain lifelong employment or start a small business. Lucian sits on the board of Innovate Educate, has served on the Steering Board for World Economic Forum Global Agenda Council on Talent Mobility, has been honored as a Young Global Leader (YGL) by the World Economic Forum, and was a winner of the Global Enterprising Young Brit award. Q: What do you do? What is BraveNew? Lucian Tarnowski: We're a platform for social learning. We facilitate learning online, and we do it through communities. We're not the community builder ourselves. We are the platform on which communities are built. So we sell to companies like Lockheed Martin, GE, Genentech, Mercer, Dell Medical School and others. They already have an audience. They may be doing some form of communication with that audience, where they push rather than give the audience any kind of ability to enable themselves to become participants. Normally they're consumers of content. And what we do is we provide an online environment for that community. And it becomes a kind of community of purpose where everybody has a common goal, a common purpose connecting them. The actual activity in the community is learning and knowledge sharing and sharing best practice, collaboration – that sort of thing. Our first community was created by Lockheed Martin for veterans in transition.. Lockheed has curated over 10,000 different resources from across the open web that are all specific to vets making a successful transition from the military into civilian jobs. This community is all about people with that common goal. The community is designed for people who say "I want to make a successful transition. I want to make the best use of my skills. I want to find something of purpose after leaving the military." We're that platform where they can do that. Q: So, the platform was created around a principle that community is necessary or beneficial to how people learn? LT: Correct. My dad got polio while he was setting up an education travel company in the '50s. He was writing guide books at the time. He got polio, and he spent all of his life in a wheelchair. He quickly realized that the majority of the people that were disabled didn't work – they were maybe 10 percent of the world's population and there weren't good job options for most of them. He started looking at vocational education solutions to get handicapped people into employment. And the model he ended up with was basically community-based learning programs that were training handicapped people to be mechanics, shoemakers, tailors, electricians, work in repair shops – that sort of thing. My dad felt quite strongly that if you're not able to be an active contributor to your community, it is very hard to have self-respect or dignity. It's very closely connected. I grew up around the idea of community-based education. I was fascinated by the model – particularly its focus on getting people as quickly as possible and efficiently as possible from education to employment. The focus wasn't education for education's sake. The purpose of the training was to get people skilled up to get employed as quickly as possible. We're trying to figure out how to apply online communities to enable that knowledge transfer. If you take a kind of anthropologist's view of this, humans have always made sense of their world through communities they belong to – and still do. what people are learning informally as they're learning it. You have to capture that. Right now there's a general belief that in the workplace 70 percent of what people learn is on the job, 20 percent happens through informal learning, and 10 percent happens through formal training. Through communities we try to connect the 70 to the 20. A lot of the preparedness training would fit into that 10 percent - the formal training. How can we capture that tribe knowledge that is the other 90 percent? Perhaps we're not rewarding people for sharing it? What methods have we got that we can reward people? Communities are a good answer to that question. " Humans have always made sense of their world through communities they belong to – and still do. Now we have the internet, which is arguably the greatest learning tool ever. The question we are trying to answer is how can you enable communities online to be the best they can be, to help people reach their full potential, to help unleash knowledge? How can you use the idea and the power of community to reward people for sharing that knowledge? Q: How do you take a community – people who are connected, by geography or shared interest – and have them take the same actions? If you look at historic villages they were very, very good at passing on wisdom from the elders. They had initiation rituals. They had rites of passage. They were all about trying to pass on that wisdom from the older groups to the younger. Society has lost that quite a bit. There's an opportunity around preparation and building the culture of preparedness through tribe knowledge, through informal learning. How do you reward that behavior? You recognize people in the community as experts. You promote what they're sharing because people want their stories. They want it to be grounded. And that's a good way of doing it. " LT: I think one of the big opportunities that happens in these communities of purpose is you can begin to track and reward The other thing we do is we score people's contribution and value to the community. If you share something that's of real value in this preparation environment, the more people learn from that idea the higher your score. We're constantly trying to reward people for creating value in the community. Q: How long does this kind of learning take? How do you keep it from becoming a situation where only a very small number of hyper-involved people participate, while the masses miss out on the benefits? LT: It's informal learning, so there's not a defined start and finish. That's actually a big problem because most people are not accustomed to learning that way. Most people are not selfmotivated learners. They are more comfortable with a highly structured learning environment. Q: What are the types of things you could only learn in an unstructured setting? LT: With informal learning, content can come from any source - including you. So the most important thing is that you're a participant, and you're able to be a contributor. In fact, the actions you take in the community are contributing to the curation of your community. So just by you looking at something you're helping to curate it. If you find value from it we can presuppose that other people might. If other people do we can presuppose that others will, and over time we can create recommendations based on that. All of it is personalized. This is for the individual. It's dynamic. It's based on their choices. At any one point you're presented with different routes that you can go down based on your interests. And people don't have to end up all at the same place. It would be difficult to end up at the same place, and that's where the community is needed – to share its wisdom. Q: How do you teach preparedness? LT: People don't particularly enjoy going to school. They also don't retain that much information. They don't feel that they are participating. They don't necessarily feel empowered. But if you flip the model on its head, and you say, "Look, we want to empower everybody in this community. We want to empower everybody to be a teacher and learner at the same time. We want you to share what you know about this, and we want you to learn from others that know. And we want to recognize these community heroes that maybe have been through this and maybe have something that we can all learn from." In doing so you're creating an environment where people feel like participants. They feel that they have a say and that they have something to add to the community. And when they do they're rewarded for it. Q: Are there absolute things that are needed for one of these in formal learning environments to succeed? Do you need a critical mass of people? Do you need a certain number of variations on the learning path? LT: This is a really good question. This works better in some scenarios than others. It is very hard to build a community without a community manager. Communities can get to a stage of maturity where the requirements on the community manager reduce dramatically. But in the early days when you're trying to get from creation through infancy to maturity you need the community manager to be introducing, to be promoting, to be connecting -- to shepherd good behavior and highlight it. So community management is very important. Content priming – making sure there's content there before you go and invite people in because the fastest thing to kill a community is no content. Thinking about who your influencers are and inviting them in first. Communities are made up of constituencies, and these different groups have different needs from the community. And if you invite one group that has a need from a different group, and you invite the different group in after the first group, that first group won't work because they don't have the second group that they need. So mapping community journey is really, really important. And so what we go through with all of our clients is this whole idea that a LT: As a society, we're too caught up in credentialing. The unfortunate reality is that your professional capabilities are your summary of what's on your resume – and what that means is that human capital is the world's most wasted resource. The vast majority of people never reach their full potential. What are we doing wrong? We're relying on a school system that is out of sync with demand. People don't particularly enjoy going to school. They also don't retain that much information. They don't feel that they are participating. They don't necessarily feel empowered. community experience should actually be a journey. It shouldn't be something that's there in perpetuity. Your experience of community should take you from somewhere to something, and it's got a purpose. Q: What would you tell people to stop doing - because it undermines the potential for this informal learning to happen? If you think of human capital as an asset class… in this marketplace you've got demand on human capital, which is jobs; and you've got supply, which is people. The education system, I would argue, is the world's largest middleman between supply and demand. So you've got an education system that's meant to be preparing people for work, but it's doing an increasingly terrible job of it. It's pigeonholing people in a way that isn't maximizing their individual potential. So, I think we should stop pushing people into very narrow channels based on credentialing, and by doing so, undermine their potential. I also think we should do more to democratize access to education – make it cheaper, go from high cost, high touch to low cost or no cost and low touch. There's been a huge amount of buzz around MOOCs and all the online courses. My personal feeling is we're kind of at risk of what I call the "Animal farm of education" – in reference to George Orwell – in that all we've done is take the same type of education, course delivered, sage on the stage, teacher classroom, and we've changed the medium. We changed the delivery platform. In my opinion, the real revolution in education is actually enabling everybody to be a teacher and learner at the same time – to enabling everybody to be able to be a participant and contributor based on their unique skills and strength and passions and interests. The thing I think society could be doing more of is personalizing the academic experience – rather than just having Khan Academy, what's the everyone Academy, what's your academy -- and how can we all be motivated and rewarded for sharing what we're learning, as we're learning it, and sharing our experience as we're developing it and creating better systems for capturing and rewarding that. "We need to do a better job explaining the problem, without scaring people." Maggie Windsor Gross Director of Brand and Digital Strategy, Havas Worldwide Maggie Windsor Gross is the director of brand and digital strategy for Havas Worldwide. Her goal is to find ways to turn risks into opportunities for brands through both internal and external communications and she thinks empathy and education can solve most problems. Previously, she did planning, digital and brand strategy for Digitas and was a communications and media strategist for PHD Worldwide. Maggie worked on the global digital strategy and site redesign for Samsung—including the launch of the Galaxy phone, the partnership between Coca-Cola and the Special Olympics, the first-ever advertising campaign launched by Starbucks, and American Express OPEN and Small Business Saturday. She also founded and runs Flex Aid, a charitable organization that connects unused FSA funds to the medical supplies that health clinics need most. Q: Can we create community, or a movement, around disaster preparedness when there is not a disaster to galvanize that conversation? MWG: It's a really good question. From a disaster perspective, being a brain nerd, it's really hard to train your brain what to do in one of those instances. It's fight or flight. But I think of this thing called the amygdala hijack – like when you're doing a public speaking engagement and you get nervous. You can train yourself to get less nervous when you speak, through practice. We need to do a better job explaining the problem, without scaring people. We need to make it feel personal to them. Because right now it feels like we're all not prepared. The more personal you can make it the more likely someone is to act. place at a time – and people connect with that. It's a lot of like having a bit of a tribal instinct to protect where you came from, where you live, or because you identify with the struggle of those people. Q: What are the general behaviors that you would want to emphasize? What are the underpinnings of movement in terms of people's emotional reasons for wanting to join them? MWG: You start with a problem; you use media to gain support, usually through empathy of seeing someone else's pain because you want to act on their behalf. From there you give people a role. That's a typical movement. But I think a really important thing is focused leadership. Disasters strikes small communities and large communities, but more importantly, they strike one I also think we overlook the power of training children. I know that might sound like a little evil, but I think that a lot of what happened in recycling is because schools train children to care. You would have kids come home from school and say, "Mom, Dad, we have to recycle this." And their parents would say, "What are you talking about? I don't want to recycle this." And then the kids would get all excited about it. Kids get excited about this kind of thing, and especially as kids are around eight years old… they start to make things part of their own identity, and they want to be a family leader. I don't think I'm the most prepared person, but a lot of my training in preparedness came from when I was a kid. It becomes second nature at that level, and you bring it back to your parents. Q: How do you have a unified movement or a clear direction if the relationships that you have to create to influence people are so varied? How do you ensure that there is a throughline in the idea of what preparedness means even though each generation, each cohort, is going to have to interact with it differently? MWG: As a brand strategist my job is to help define the personality of a brand and make sure that personality shines through to whoever they're talking to. Take Brand X – what you might do with that brand is you would say, "Okay, we're going to target typical moms that drink coffee. And then we're also going to target tech-focused people that are coffee snobs. And then we're also going to focus …." You might have five different people that you're actually targeting, but a lot of that doesn't necessarily impact the actual umbrella message. It might impact the bullet points underneath of why that person should care. But what it really impacts is where you put it. So the "what" and the "why" stay the same and the "where" and the "who" are the things that change. If I were starting from scratch I would want to talk about who are the people that are at most risk? Who are the people that are most likely to be on our side? You might have three in each of those columns and try to figure out how to use the people in one column to influence people in another column, how to give the people in one column a specific role, and reach them through media where they're most likely to be reached. But I think the message should stay consistent. That starts by understanding the true DNA of what you're really trying to say. Q: In the building of a movement, how prescriptive do you feel that direction needs to be? Is there room for variability and the human adaptation without losing the core structure of the brand or the movement? MWG: It's a little bit of both. If you look back at the civil rights movement, it was like, "Hey, we're going to get together, and we're going to march on Washington to show Washington that we care about them passing these bills." And what people were told to do is show up here, and we're going to walk. That's a very clear "what to do," and some people brought 10 people with them. Some people made signs. So people will choose to go above and beyond or maybe to do a little bit less. When you see movements fail it's when people aren't given explicit instructions. Q: How do you apply that specifically to disaster preparedness? What isn't working about how we direct people to take actions to be prepared? MWG: I don't think the problems are functional. I don't think the preparedness information isn't accessible enough for people to go find it, or that they just don't want to type in www.Ready.gov. I think it's an emotional issue. Planning for a disaster isn't fun. It's like buying life insurance. I have to realize that I could die. Or I have to plan for something that's not fun. And people like to put that off until the last minute. The government of Sweden – and of course Swedish people are very different than Americans – do a really good job. It's a small country, but they do a really good job of mobilizing their people with quirky little funky sorts of things. It's a hidden way to make people do something. Q: Do we not understand what makes Americans do things on an emotional level – and how to tap into that? MWG: At our heart we're still just children inside. We may look at the world a little bit differently and have more responsibilities. But if you can turn that on – that curiosity – I think people will get excited, and it'll turn into fun. As silly as that sounds, disaster preparedness could turn into fun. The way that I approach my job, because a lot of times I have to get a creative team really excited about something that might not be exciting – like stain removers or laundry detergent – is I try to take people through a story as if they were going to a science museum. You'll learn a little bit, but I'm also going to let you experience it and maybe blow your mind in just a little way so that you get really excited. I would do the same with disaster preparedness. How would you teach an eight year old? And then just don't make it in primary colors. Planning for a disaster isn't fun. It's like buying life insurance. I have to realize that I could die. Or I have to plan for something that's not fun. Q: What should we stop doing – either because it is sucking up bandwidth and not actually accomplishing anything, or worse, undermining the likelihood that we're going to make sufficient progress towards the goal of creating a more playful environment through which to learn? MWG: I live in New York, so I see the ads – one has a four square of family members and its says "I'll grab flashlight with dead batteries," and "I'll grab the cat." It's cute. It's fun. It definitely makes you realize – "Oh crap. I actually wouldn't know what to do." From an ad perspective it's definitely doing its job because that is the job of awareness and to get you to think a little bit differently. I don't think there's anything wrong with that. But after that, you have to tell me something more you want me to do. And that's when I think it starts to fall apart.
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'Aan deze zijde van de utopie' ~ De wijsgerige antropologie van Helmuth Plessner Wie een thuis zoekt, een vaderland, geborgenheid, moet zich uitleveren aan het geloof. Maar wie vasthoudt aan de geest, keert niet terug. Telkens weer zijn andere ogen nodig om op een andere manier zichtbaar te maken wat allang gezien, maar niet bewaard kon blijven. ~ Helmuth Plessner De afgelopen decennia laten een groeiende belangstelling zien voor het werk van de Duitse bioloog, filosoof en socioloog Helmuth Plessner (1892–1985). De organisatoren van het eerste Internationale Plessner Congress, dat in 2000 in Freiburg plaatsvond, durfden zelfs te spreken van een Plessner Renaissance. Misschien is dat enigszins ongelukkig uitgedrukt, omdat eigenlijk alleen van een wedergeboorte gesproken kan worden in Duitsland en Nederland, de twee landen waarin hij werkzaam is geweest. Buiten deze beide landen is het werk van Plessner tijdens diens leven vrijwel onopgemerkt gebleven, zodat daar eerder gesproken moet worden van een late geboorte van een Plessner-receptie. En zelfs in Duitsland en Nederland, waar Plessner een zekere bekendheid verwierf als een van de grondleggers en belangrijkste vertegenwoordigers van de twintigsteeeuwse wijsgerige antropologie en ook als een scherpzinnig interpreet van de ideeënhistorische wortels van het nationaalsocialisme, heeft zijn werk altijd in de schaduw gestaan van zijn tijdgenoot Martin Heidegger (1889-1976). Voor het aanvankelijk uitblijven van een omvangrijke werkingsgeschiedenis van Plessners gedachtegoed zijn meerdere redenen te noemen. In de eerste plaats is er nog maar weinig vertaald van zijn omvangrijke oeuvre, waarvan een substantieel deel tussen 1980 en 1985 door Suhrkamp is uitgebracht onder de titel Gesammelte Schriften in 10 Bänden . [i] Bovendien zijn, met uitzondering van de Nederlandse, de meeste van deze vertalingen (in het Italiaans, Nederlands, Engels, Spaans, Frans, Pools en Russisch) van recente datum, en dan gaat het voornamelijk om artikelen en andere kleine geschriften. [ii] Zijn omvangrijke filosofische hoofdwerk, Die Stufen des Organischen und der Mensch (1928), is tot op heden onvertaald gebleven (hoewel er al enige tijd een Engelse vertaling in de maak is). Dat zijn omvangrijke oeuvre tot dusver te weinig aandacht heeft gekregen, komt ook doordat Plessner na de machtsovername door Hitler als Halbjude zijn universitaire lesbevoegdheid in Duitsland verloor en van 1933 tot 1952 – met uitzondering van de jaren tussen 1943 en 1945, waarin hij als onderduiker op verschillende adressen in Utrecht en Amsterdam verbleef – werkzaam was in Groningen, eerst als buitengewoon hoogleraar sociologie en later als hoogleraar filosofie. Deze bijzondere omstandigheden hebben ertoe bijgedragen dat hij aanvankelijk nauwelijks school heeft gemaakt. En voor zover Plessner zelf deel uitmaakte van een filosofische 'school' – die van de wijsgerige antropologie[iii] – werd de praktische samenwerking met de twee belangrijkste mederepresentanten, Max Scheler (1874-1928) en Arnold Gehlen (1904-1976), verhinderd door respectievelijk een verstoorde persoonlijke verhouding en een tegengestelde politieke ideologie. Met dat laatste hangt wellicht de derde reden samen voor de vertraagde receptie van Plessners werk. Zijn bereidheid om zijn eigen denken altijd weer kritisch te blijven bezien, viel op een weinig vruchtbare bodem in een eeuw die bijzonder vatbaar was voor totalitaire verleiding. Waar tijdgenoten als Heidegger en Gehlen de totalitaire ideologie van het nationaalsocialisme omarmden, belichaamt Plessners werk een radicale scepsis ten aanzien van iedere totalitaire ideologie. Een dergelijke scepsis heeft ook aan het begin van de eenentwintigste eeuw nog niets aan betekenis verloren. In dat licht bezien komt de historische biografie van Carola Dietze als geroepen. Plessners persoonlijkheid, biografie en werk zijn namelijk nauw met elkaar verbonden. Het duidelijkst komt dat tot uitdrukking in zijn politiek gemotiveerde geschriften. Zijn pleidooi voor een open pluralistische samenleving in Grenzen der Gemeinschaft: Eine Kritik des sozialen Radikalismus (1924) vormt een reactie op de overspannen utopische gemeenschapsidealen die in de Weimar-republiek zowel door rechts – de national-völkische beweging – als links – de communisten – werden uitgedragen. En in het in Groningen geschreven en in Zürich gepubliceerde Das Schicksal deutschen Geistes im Ausgang seiner bürgerlichen Epoche (1935, in 1959 in een uitgebreidere editie heruitgegeven onder de titel Die Verspätete Nation: Über die politische Verführbarkeit bürgerlichen Geistes ) analyseert hij de religieuze, sociale en filosofische wortels van het nationaalsocialisme, de beweging die hem veroordeelde tot het bestaan van politiek vluchteling. Toch lijkt Plessners buitenstaanderspositie niet alleen ingegeven te zijn door politieke omstandigheden. Ook in Die Stufen des Organischen und der Mensch uit 1928 treedt het motief van de buitenstaander al op de voorgrond. 'Excentrische positionaliteit', het kernbegrip van zijn wijsgerige antropologie, en de daarmee verbonden antropologische grondwetten waarin de 'natuurlijke kunstmatigheid', 'bemiddelde onmiddellijkheid' en 'utopische positie' van de menselijke levensvorm tot uitdrukking komen, laten zich ook lezen als een pregnante uitdrukking van de vervreemding en ontworteling die zo kenmerkend is voor de moderne samenleving zoals die in het twintigste-eeuwse Europa gestalte kreeg. Waar veel van zijn tijdgenoten verlangden naar een nieuwe geborgenheid, daar staat bij Plessner zowel de persoonlijkheid als het werk in het teken van een radicale acceptatie van de 'constitutieve thuisloosheid' van de menselijke levensvorm.[iv] In dat perspectief bezien is het een gelukkige keuze van Carola Dietze geweest om de invloed die Plessners emigratie en remigratie hebben gehad op zijn denken, tot rode draad in haar biografie te maken. Dat onderscheidt Dietze's biografie – een met de Hedwig-Hintze-Preis van het Deutschen Historikerverband bekroonde bewerking van haar Göttingse dissertatie uit 2005 – van de beide andere recent verschenen biografieën over Plessner: Kersten Schüßlers in 2000 verschenen intellectuele biografie[v] en Christoph Dejungs literaire biografie uit 2003 die gekleurd is door de persoonlijke omgang met zijn leermeester.[vi] Waar Schüßler zich grotendeels beperkt tot Plessners intellectuele ontwikkeling tot 1933, bestrijkt Dietze ook de biografisch en historisch cruciale periode daarna. Dietze's biografie onderscheidt zich verder van deze eerdere biografieën door uitvoerig wetenschappelijk verantwoord bronnenonderzoek. Door ruimhartig te citeren uit de o.a. uit de Keulse, Groningse en Göttingse universiteitsarchieven opgedoken briefwisselingen en rapporten biedt Dietze's historische biografie niet alleen een fascinerend blik in de moeizame carrière van Plessner, maar ook in de geschiedenis van de genoemde universiteiten voor, tijdens en na de Tweede Wereldoorlog en – meer in het algemeen – van de academische cultuur in Duitsland en Nederland in die jaren. Voor wie niet bekend is met Plessners filosofie, is het nadeel van Dietze's historische benadering dat de filosofie enigszins fragmentarisch wordt behandeld. Om deze lezer tegemoet te komen, zal ik in het navolgende beknopt een systematisch overzicht geven van Plessners filosofie. Maar voor ik dat doe, zal ik zijn leven kort situeren in het landschap van de twintigste-eeuwse filosofie. Helmuth Plessner: leven en werk in vogelvlucht Helmuth Plessner werd in 1892 als zoon van welgestelde ouders geboren in Wiesbaden (Duitsland). Zijn vader was arts in een van de vele kuuroorden die deze stad rijk is. Hoewel vrucht van een joods geslacht, was hij, zoals veel joden in het toenmalige Duitsland, volledig geassimileerd in de Duitse samenleving en bekeerd tot het protestantisme. Helmuths moeder was eveneens, en van huis uit, protestant. Helmuth studeerde medicijnen in Freiburg en vervolgens zoölogie en filosofie in Heidelberg. Daar kwam hij in aanraking met vooraanstaande Duitse wetenschappers als Windelband, Weber en Troeltsch. In 1914 ging hij naar Göttingen om zich bij Husserl te verdiepen in de fenomenologie en raakte hij gefascineerd door de filosofie van Kant en Dilthey.[vii] Na in 1918 in Erlangen te zijn gepromoveerd, schreef hij bij Max Scheler in Keulen zijn Habilitationsschrift, dat hem het recht opleverde om aan de universiteit te doceren. In 1926 werd hij aan de filosofische faculteit van de Keulse universiteit buitengewoon hoogleraar. Intussen had hij in 1923 zijn boek Die Einheit der Sinne gepubliceerd en werkte hij, deels geïnspireerd door Max Scheler, aan zijn eerste grote ontwerp van een natuurfilosofie en wijsgerige antropologie. Zijn ruim driehonderdvijftig pagina's dikke Die Stufen des Organischen und der Mensch verscheen vijf jaar later, een jaar na Heideggers baanbrekende en invloedrijke boek Sein und Zeit (1927). Ook Scheler publiceerde in 1928 met Die Stellung des Menschen im Kosmos een schets van de wijsgerige antropologie.[viii] Dat Plessners wijsgerige antropologie maar weinig belangstelling genoot van vakgenoten, hing niet alleen samen met het feit dat de werken van Heidegger en Scheler alle aandacht naar zich toetrokken, maar ook met de ongelukkige omstandigheid dat Plessner in april 1933, juist op het moment dat hij als enige kandidaat was voorgedragen om Scheler als hoogleraar in Keulen op te volgen, werd getroffen door het doceerverbod voor joden en halfjoden dat door de nieuwe machtshebbers was uitgevaardigd. Op uitnodiging van zijn vriend F.J.J. Buitendijk emigreerde hij naar Nederland, waar hij tot zijn benoeming in Göttingen in 1952 zou blijven wonen en werken. In zijn Nederlandse periode publiceerde hij behalve het eerdergenoemde Das Schicksal deutschen Geistes im Ausgang seiner bürgerlichen Epoche (1935) ook het boek Lachen und Weinen: Eine Untersuchung der Grenzen menschlichen Verhaltens (1941), waarin hij één aspect van zijn filosofische antropologie – lachen en huilen als grenservaringen van menselijke expressie – op een toegankelijke wijze uitwerkte. Daarnaast publiceerde hij talloze artikelen over uiteenlopende filosofische en sociologische onderwerpen. [ix] Na de oorlog besloot Plessner naar Duitsland terug te keren. Zoals Carola Dietze tot in detail beschrijft, gebeurde dat niet zonder gemengde gevoelens en ondervond Plessner daarbij ook de tegenwerking van vroegere collega's die met het nationaalsocialisme hadden gecollaboreerd of zich op z'n best stil hadden gehouden in het Derde Rijk. Na de oorlog konden de meesten van hen hun carrière aan de Duitse universiteiten zonder al te veel problemen voortzetten en velen zaten niet te wachten op terugkerende politieke vluchtelingen, zeker niet wanneer zij van joods bloed waren.[x] Uiteindelijk werd Plessner in 1952 aan de universiteit van Göttingen benoemd tot hoogleraar sociologie. Dat hij daartoe een geheel nieuw sociologisch instituut moest oprichten, heeft er ongetwijfeld mede toe bijgedragen dat hij in de tien jaren die hem nog restten tot zijn emeritaat geen grote nieuwe filosofische werken meer heeft geschreven. Daarbij zal ook meegespeeld hebben dat hij in deze periode diverse bestuurlijke posities bekleedde, zoals die van faculteitsdecaan, rector magnificus van de Göttingse universiteit en voorzitter van de Duitse Vereniging voor Sociologie. Ook leverde hij op uitnodiging van Adorno en Horkheimer een bijdrage aan het onderzoek op het Institut für Sozialforschung (de zogenaamde Frankfurter Schule). Na zijn emeritaat in 1962 was Plessner een jaar lang gasthoogleraar aan de New York School for Social Research, en bekleedde hij van 1965 tot 1972 zijn laatste academische positie als hoogleraar filosofie in Zürich. De laatste jaren van zijn leven woonde hij weer in Göttingen, waar hij in 1985 op tweeënnegentigjarige leeftijd overleed.[xi] Wanneer je het leven van Plessner zo in vogelvlucht overziet, valt op dat hij door de politieke omstandigheden als emigrant en remigrant telkens weer gedwongen was zijn leven opnieuw te beginnen. Meerdere keren moest hij de levensjaren die hem ontstolen waren, proberen 'in te halen'. In die zin leidde hij een Nachgeholtes Leben , zoals de Duitse titel van Dietze's biografie het treffend formuleert. Dat er ook grenzen zijn aan een dergelijk 'ingehaald leven', blijkt uit het feit dat Plessner nooit is toegekomen aan de antropologische uitwerking van de Die Stufen des Organischen und der Mensch , een voornemen waaraan hij in zijn brieven regelmatig refereert. Excentrische positionaliteit De natuurfilosofie die Plessner heeft ontwikkeld in Die Stufen des Organischen und der Mensch, vormt de kern van zijn gehele oeuvre met inbegrip van de politieke geschriften. In het afsluitende zevende hoofdstuk van dit hoofdwerk, dat gewijd is aan de mens, staat de voor de menselijke levensvorm kenmerkende 'excentrische positionaliteit' centraal. Voor een goed begrip van deze notie dienen we deze te plaatsen in het kader van het thema van de menselijke eindigheid, dat als geen ander de moderne filosofie bepaalt. Natuurlijk is het besef van de eindigheid van de mens niet exclusief voor de moderne tijd; ook in het middeleeuwse denken speelde het al een belangrijke rol. De filosoof Odo Marquard – een van de bezorgers van Plessners Gesammelte Schriften en sterk door hem beïnvloed – heeft echter laten zien dat het begrip eindigheid in de moderne filosofie een wezenlijk andere betekenis heeft gekregen. Oorspronkelijk werd het eindige – in tegenstelling tot een transcendente God die eigen oorzaak is (causa sui) – begrepen als datgene wat geschapen is en dus niet uit zichzelf voortkomt, maar in de moderne geseculariseerde cultuur wordt het eindige immanent bepaald als datgene wat begrensd is in ruimte en tijd.[xii] In hun reflectie op het menselijk bestaan vertrekken Plessner en Heidegger beiden vanuit deze notie van eindigheid. Maar waar Heidegger in Sein und Zeit eindigheid in tijd als uitgangspunt neemt, waardoor deze eindigheid primair wordt begrepen als sterfelijkheid en het menselijk zijn (Dasein) als een zijn-tendode (Sein-zum-Tode), dat wil zeggen als besefte sterfelijkheid, daar gaat Plessner in Die Stufen des Organischen und der Mensch uit van eindigheid in de ruimte, waardoor in zijn geval eindigheid primair wordt opgevat als positionaliteit en de menselijke existentie als excentrisch, dat wil zeggen als besefte positionaliteit. Dit verschil is cruciaal. Doordat Heidegger in zijn analyse de ervaring van tijdelijkheid als uitgangspunt neemt, abstraheert hij grotendeels van de (inherent ruimtelijke) lichamelijkheid van de mens. Als gevolg hiervan zet hij zich sterk af tegen een dingmatige bepaling van de mens en geeft daarmee eerder blijk van affiniteit met de idealistische dan met de materialistische traditie. [xiii] Dit in tegenstelling tot Plessner die juist de ruimtelijke dimensie benadrukt en een centrale rol toekent aan (de verhouding tot) het fysieke lichaam. In samenhang hiermee speelt in Plessners antropologie de biologische dimensie een cruciale rol. Een groot deel van zijn transcendentaal-fenomenologische analyse is gericht op het afbakenen van de mens van andere – levende en levenloze – lichamen. Daarbij richt hij zich primair op het 'materiële apriori', dat wil zeggen de lichamelijke mogelijkheidsvoorwaarden van de verschillende stadia van het leven. Uitgangspunt van Plessners analyse is dat het levende lichaam zich van het levenloze onderscheidt, doordat het levende lichaam in tegenstelling tot het levenloze niet alleen contouren bezit, maar ook gekenmerkt wordt door een grens en dus door grensverkeer. Dit inzicht spoort met recent biologisch onderzoek waaruit blijkt dat bolvormige membranen die zijn ontstaan door zelforganisatie van vetmoleculen, een semi-permeabele grens creëren tussen binnen en buiten en daarmee een cruciale rol spelen in het ontstaan van leven.[xiv] Wat een levend lichaam volgens Plessner nu bij uitstek kenmerkt, is een specifieke relatie tot deze grens. Deze verhouding tot de grens die het lichaam van de buitenwereld scheidt, noemt Plessner positionaliteit. De positionaliteit van levende wezens wordt gekenmerkt door bi-aspectiviteit (Doppelaspektivität): levende wezens zijn gericht op beide zijden van de hen constituerende grens, zowel naar binnen als naar buiten.[xv] Met deze opvatting van bi-aspectiviteit keert Plessner zich expliciet tegen het cartesiaanse dualisme van geest en lichaam, waarbij beide polen ontologisch worden 'gefundamentaliseerd' tot respectievelijk res cogitans en res extensa. Voor Plessner zijn lichaam en geest geen afzonderlijke ontologische domeinen, maar vormen zij twee ervaringsdimensies van het ene (als psychofysische eenheid begrepen) menselijke organisme. Het verschil tussen plant, dier en mens is vervolgens afhankelijk van de manier waarop de positionaliteit is georganiseerd. Bij de open organisatievorm van de plant is het organisme nog niet in een relatie tot zijn positionaliteit geplaatst. Binnen en buiten hebben hier geen centrum. De plant wordt dus gekenmerkt door een grens waar aan weerskanten niemand of niets is, subject noch object.[xvi] Een relatie tot de eigen positionaliteit treedt pas op bij de gesloten ofwel centrische organisatievorm van het dier. Bij het dier wordt het grensverkeer bemiddeld door een centrum dat fysiek te lokaliseren is in het zenuwstelsel, en dat zich in de psychische ervaring voordoet als een zich bewust zijn van de omgeving. Het dier onderscheidt zich dus van de plant doordat het niet alleen een lichaam heeft, maar ook in zijn lichaam is . De mens onderscheidt zich op zijn beurt weer van het dier doordat hij ook nog een specifieke relatie met dit centrum onderhoudt. Bij de mens is daarom sprake van een tweede bemiddeling: hij heeft weet van het centrum van ervaring en is als zodanig excentrisch . Hij leeft en beleeft niet alleen, maar beleeft bovendien zijn beleven . Voor excentrische wezens zoals de mens geldt dat zij niet zijn waar ze iets beleven en dat ze niet iets beleven waar ze zijn. In dit benadrukken van het gedecentreerde karakter van de menselijke subjectiviteit loopt Plessner vooruit op het (post)structuralistische subjectbegrip, zoals we dat bijvoorbeeld kennen van Lacan . [xvii] We kunnen de uit de excentrische positionaliteit voortkomende gebrokenheid van de menselijke levensvorm in termen van het lichaam als volgt uitdrukken: de mens is een lichaam (zoals ook een plant dat is), hij is in het lichaam (als innerlijk beleven, zoals ook een dier dat kent) en hij is tegelijkertijd ook altijd buiten zijn lichaam, als het gezichtspunt van waaruit hij beide is.[xviii] Vanwege deze drievoudige gebrokenheid leeft de mens in drie werelden: een buitenwereld (Aussenwelt), een binnenwereld (Innenwelt) en een gedeelde wereld van geest of cultuur (Mitwelt). Vanwege de bi-aspectiviteit die levende wezens eigen is, ervaart de mens elk van die drie werelden niet alleen vanuit een buitenperspectief, maar ook vanuit een binnenperspectief. Zo is ons lichaam (als deel van de buitenwereld) niet alleen een fysiek lichaam (Körper), dat wil zeggen een ding onder dingen dat een specifieke plaats inneemt in een objectief ruimtetijdcontinuüm, maar ook een doorleefd lichaam (Leib) dat als centrum van ons waarnemen en handelen functioneert. De binnenwereld op haar beurt is niet alleen ziel (Seele), de bron van onze psychische ervaringen, maar ook beleving (Erlebnis), speelbal van psychische processen. En voor de wereld van de cultuur geldt dat we niet alleen een ik (Ich) vormen – dat een bijdrage levert aan de schepping van deze wereld – maar ook een wij (Wir) in zoverre we door die wereld worden gedragen en gevormd. Drie antropologische wetten In Plessners wijsgerige antropologie zijn cultuur en technologie onlosmakelijk verbonden met excentrische positionaliteit: 'Als excentrisch wezen is de mens niet in balans, plaatsloos, tijdloos in het niets staand, constitutief thuisloos [konstitutiv heimatlos] en moet hij "iets worden" en zich een evenwicht scheppen.'[xix] De mens kenmerkt zich dus door natuurlijke kunstmatigheid , aldus de eerste van de drie antropologische wetten die Plessner in het laatste hoofdstuk van Die Stufen afleidt uit de notie van excentrische positionaliteit: De mens wil ontsnappen aan de ondraaglijke excentriciteit van zijn wezen, hij wil de halfheid van zijn eigen levensvorm compenseren. […] Excentriciteit en behoefte aan compensatie zijn twee zijden van dezelfde medaille. Behoeftigheid mag daarbij niet psychologisch of subjectief worden opgevat; ze ligt immers logischerwijs ten grondslag aan iedere psychologische behoefte, drift, tendens of wil. In die fundamentele behoeftigheid of naaktheid ligt de beweeggrond voor het specifiek menselijke, dat wil zeggen het gericht zijn op het nog niet werkelijke (Irrealis) en het toepassen van kunstmatige middelen, de uiteindelijke reden voor het werktuig en datgene wat het dient: de cultuur.[xx] Met andere woorden: de mens is door zijn constitutieve thuisloosheid nooit af, maar moet zich altijd nog verwerkelijken en daartoe is hij aangewezen op techniek en cultuur. Deze kunstmatige middelen zijn niet alleen – en niet in de eerste plaats – instrumenten om te overleven, maar een ontische noodzakelijkheid (ontische Notwendigkeit). Ook Plessners tweede antropologische wet – de Wet van de bemiddelde onmiddellijkheid (ook wel aangeduid als indirecte directheid) – is afgeleid uit de excentrische positionaliteit van de menselijke levensvorm. De relatie tussen organisme en positieveld wordt door het organisme bemiddeld. Maar waar het dier zijn omgeving frontaal en direct beleeft, daar is de mens zich van deze bemiddeling bewust en dient hij haar te voltrekken. In die zin is de mens ertoe veroordeeld acteur te zijn, hij kan slechts zichzelf zijn door in zijn omgang met de wereld en zijn medemensen uiteenlopende rollen te spelen. De mens kan zich niet werkelijk bloot geven aan zijn medemensen en zichzelf, omdat achter zijn maskers de radicale bodemloosheid van zijn bestaan schuilgaat. Dat de mens om zichzelf te kunnen zijn technische en culturele middelen schept, betekent niet dat hij deze volledig zou beheersen. Hoewel de mens schepper is van techniek en cultuur, hebben de technische en culturele middelen op hun beurt een eigen 'agenda'. Ook dat is eigen aan de menselijke eindigheid: Even wezenlijk voor de technische hulpmiddelen […] is hun eigen gewicht, hun objectiviteit, die aan hen verschijnt als datgene wat slechts gevonden en ontdekt, en niet gemaakt kan worden. Alles wat de sfeer van de cultuur betreft, vertoont gebondenheid aan zijn menselijke schepper, maar is tegelijkertijd (en in dezelfde mate) van hem onafhankelijk.[xxi] Technologische en culturele handelingen brengen allerlei vormen van onbedoelde neveneffecten met zich mee. Deze stellen strikte grenzen aan voorspelbaarheid en controleerbaarheid van de natuur en de sociale wereld, en daarmee ook aan het menselijk vermogen het eigen lot te bepalen. Niet alleen de wetenschappelijke en technologische hoop om natuur en samenleving te beheersen, maar ook de religieuze en seculiere hoop om in genade het ultieme heil te ontvangen dan wel in de toekomst zelf te realiseren, is een illusie. Deze opvatting komt tot uitdrukking in Plessners derde antropologische wet, die van de utopische positie van de mens. Het is volgens Plessner eigen aan de mens te dromen van datgene wat hij op grond van zijn excentrische positionaliteit per definitie moet ontberen: 'Geborgenheid, verzoening met het noodlot, begrip van de werkelijkheid, een thuis.'[xxii] Juist omdat de mens principieel thuisloos is, zal hij altijd religieuze en politieke dromen blijven koesteren over een thuis, maar deze dromen zijn ook veroordeeld om voor altijd illusies te blijven. In werkelijkheid verkeren pogingen om een paradijs te vinden of te creëren vaak in het tegendeel. Dat zou ons evenwel niet hoeven te verbazen, aangezien onmenselijkheid onlosmakelijk verbonden is met de menselijke excentriciteit. Of om Plessners eigen woorden in zijn essay Unmenschlichkeit te gebruiken: 'Onmenselijkheid is aan geen enkel tijdvak gebonden en geen historische grootheid, maar een met de mens gegeven mogelijkheid om zichzelf en zijn gelijken te negeren.'[xxiii] Besluit In de historische biografie van Carola Dietze komt Plessners oeuvre naar voren als een fascinerend tijdsdocument, waarin het filosofische thema van de constitutieve thuisloosheid van de mens versmolten is met Plessners levenservaringen als politiek vluchteling.[xxiv] Plessners werk is echter meer dan een tijdsdocument, want het bezit nog onverminderd filosofische en politieke relevantie. De hernieuwde belangstelling voor Plessners werk in Duitsland en Nederland en de ontluikende receptie daarbuiten getuigen van de blijvende actualiteit van dit oeuvre. In het bijzonder zijn wijsgerig-antropologische bezinning op de excentrische positionaliteit blijkt onverminderd vruchtbaar. Om te beginnen is Plessners nadruk op de lichamelijke dimensie van de menselijke levensvorm een voorbode van de huidige – fenomenologische, hermeneutische en feministische – kritiek op de rationalistisch-instrumentele benadering van het menselijk bestaan, van cultuur en technologie en van de als alternatief ontwikkelde, fenomenologisch geïnspireerde theorieën over belichaamde cognitie ( embodied cognition ). Waar de vertegenwoordigers van belichaamde cognitietheorieën als Francisco Varela en Evan Thompson [xxv] daarbij, in aansluiting bij de fenomenologie van Merleau-Ponty, de nadruk leggen op de belichaamde intentionaliteit, daar ontsluit Plessners notie van de biaspectiviteit de mogelijkheid zich ook rekenschap te geven van het menselijk vermogen om het eigen lichaam te objectiveren en tot voorwerp van wetenschappelijk onderzoek te maken. [xxvi] Daarmee opent Plessner een vruchtbare positie binnen de naturalisering van het wereldbeeld die de actuele levenswetenschappen kenmerkt. Plessner aanvaardt volmondig de naturalisering van het wereldbeeld, anders dan zijn tegenpool Max Scheler die, in zijn verzet tegen de naturalisering van het wereldbeeld, in zijn antropologie tegenover de Natuur een Geist poneert en daarmee terugvalt op het 'gretig transcendentisme' van de traditionele metafysica.[xxvii] Maar tegelijkertijd kritiseert Plessner het 'gretig reductionisme' van de (neo)darwinisten, waarin de mens uiteindelijk niet veel meer is dan een geestloze machine of zombie, of op z'n best een 'vochtige robot' in de woorden van de Amerikaanse filosoof Dennett.[xxviii] De mens als centrisch-excentrisch dubbelwezen is zoals Plessner hem beschrijft immers niet het autonome morele subject waarvoor Descartes, Kant en Scheler hem hielden, en ook niet louter de speelbal van zijn natuurlijke aandriften, maar een wezen dat vanuit zijn excentrische positie op die aandriften kan reflecteren, zich ertoe kan verhouden en ze binnen bepaalde grenzen kan sturen, zonder overigens de illusie te koesteren dat hij ze volledig kan beheersen.[xxix] In het inzicht in de fundamentele centrisch-excentrische gebrokenheid, en in de radicale scepsis die daaruit voortvloeit ten aanzien iedere totalitaire poging om een utopische heilstaat te realiseren, ligt ook de onverminderde politieke actualiteit van Plessners gedachtegoed. Plessners filosofie is een oproep om steeds 'aan deze zijde van de utopie' te blijven, om de titel van een bundeling van zijn cultuursociologische opstellen te citeren.[xxx] Dat zou ook een verklaring kunnen vormen voor de huidige groeiende belangstelling voor zijn wijsgerige antropologie juist in voorheen communistische landen als Rusland, Wit-Rusland, Polen, Kroatië en meer recent ook China.[xxxi] Maar ook in de context van de opkomst van het groeiende populisme en het debat over de toekomst van de Europese Unie hebben Plessners analyses nog niets aan betekenis verloren. De met de excentrische positionaliteit verbonden notie van de natuurlijke kunstmatigheid is in de afgelopen decennia ook bijzonder vruchtbaar gebleken voor disciplines als de techniekfilosofie. Deze notie van natuurlijke kunstmatigheid maakt duidelijk dat werktuigen, machines en automaten geen vreemde machten zijn, maar veeleer begrepen moeten worden als supplementen die eigen zijn aan de menselijke levensvorm. In die zin zijn wij altijd al cyborgs geweest en is het nostalgisch terugverlangen naar een paradijselijke natuurtoestand al even illusoir als de hoop op een paradijselijke toekomst. Als wezens die 'kunstmatig van nature' zijn is het onmogelijk voor ons om niet technisch te zijn, maar de tweede en de derde antropologische grondwet nopen ons ertoe de ogen niet te sluiten voor het feit dat de stormachtige ontwikkelingen in de bio- en neurotechnologieën ook fundamentele risico's en onzekerheden met zich meebrengen.[xxxii] Daarom zijn de volgende zinnen woorden uit Plessners rede 'Die Aufgabe der philosophischen Anthropologie' nu niet minder relevant dan toen hij ze in 1936 neerschreef. In de vertaling van Marten de Vries: Kant wilde het weten inperken om plaats te maken voor het geloof. […] Ook nu gaat het weer om de noodzaak theoretische aanmatiging af te wijzen. Maar deze [noodzaak] richt zich niet op het metafysische, maar op de mens die zichzelf met zijn enorm toegenomen mogelijkheden door de vooruitgang van wetenschap en techniek aan grote gevaren blootstelt. Daarom is het noodzakelijk paal en perk te stellen aan de alsmaar nietsontziender wordende aanmatiging van politici, economen en artsen ten aanzien van sterilisatie, eugenetica, rassenpolitiek, mensenteelt, kortom het vermogen van de mens om zijn eigen lot te bepalen. […] Hier manifesteert zich het echte filosofische doel van de wijsgerige antropologie: de drang om het menselijk kunnen als gevolg van grenzeloze ontsluiting van het kennen in te perken ter wille van zijn (menselijke) ondoorgrondelijkheid en onzekerheid tegenover het brongebied van zijn toekomst, en weer plaats te maken voor geloof in de mens. — Oorspronkelijke uitgave: Carola Dietze – Nachgeholtes Leben: Helmuth Plessner 1892-1985. Eine Biographie. (Wallstein Verlag 2006). Carola Dietze, Helmuth Plessner, leven en werk. Met een inleiding van Jos de Mul. http://www.lemniscaat.nl/HelmuthPlessner website Carola Dietze: http://www.ghi-dc.org/ website Jos de Mul: http://www.demul.nl/nl/ Bibliografie Voor wie zich verder wil verdiepen in de teksten van Plessner en de internationale secundaire literatuur over zijn werk vanaf 1990, biedt de website van de Helmuth Plessner Gesellschaft een goed startpunt: www.helmuth-plessner.de Ik volsta hier met het vermelden van de teksten van Plessner die in het Nederlands zijn vertaald, alsmede enkele Nederlandstalige publicaties over zijn werk. Naar het Nederlands vertaalde en door Plessner in het Nederlands geschreven teksten Over het Object en de Beteekenis der Sociologie. Openbare Les gegeven bij den aanvang sijner Colleges (18.10.1938) en de opening van het Sociologisch Instituut te Groningen, afgedrukt in: Publicaties van het Sociologisch Instituut te Groningen, Groningen 1938. De huidige Verhouding tusschen Oorlog en Vrede. Rede uitgesproken (28-10-1939) bij de Aanvaarding van het Ambt van Bijzonder Hoogleraar vanwege de Stichting Sociologisch Instituut te Groningen aan de Rijksuniversiteit te Groningen. Publicaties van het Sociologisch Instituut te Groningen, Groningen 1939. Is er vooruitgang in de wijsbegeerte? Rede uitgesproken bij de Aanvaarding van het Ambt van Hoogleeraar aan de Universiteit te Groningen op Zaterdag 15 Juni 1946. Groningen/Batavia: Wolters 1946. 'Het Spel der phantasie en het kader der kennis', in: Scripta Academica Groningana I, Groningen/Batavia, 1947, p. 109–124. Debat over Duitsland. Amsterdam, 1947. 'Levensphilosophie en phaenomenologie', in: Philosophia: Beknopt handboek tot de geschiedenis van het wijsgeerig denken 2 (1949), p. 314–336 [Gesammelte Schriften IX, 192–223]. 'Het probleem der generaties', in: Sociologisch Jaarboek, Leiden, 1949, p. 3–23. 'Sociologie en anthropologie', in: Mens en Maatschappij 25 (1950), p. 276–289. 'Nederland en de wijsbegeerte'. Afscheidscollege aan de Rijksuniversiteit te Groningen 1951, in: De Gids 115 (1952), p. 45–56. 'De zaak Schlüter', in: De Nieuwe Stern 10 (1955), p. 463–465. Lachen en Wenen: Een onderzoek naar de grenzen van het menselijk gedrag vert. door J. M. G. van Helmond, Utrecht/Antwerpen 1965. , Hoe de mens bestaan kan: Inleiding in de wijsgerige antropologie (Conditio humana), vert. door Hein Ruijgers, Alphen aan den Rijn, 1978. Filosofische wegwijzer: correspondentie van F.J.J. Buytendijk met Helmuth Plessner. Bezorgd door Henk Struyker Boudier. Zeist, 1993. Enkele Nederlandstalige publicaties over Plessner Corbey, Raymond. De mens een dier? Scheler, Plessner en de crisis van het traditionele mensbeeld. Proefschrift Katholieke Universiteit Nijmegen, 1988. Corbey, Raymond. 'De mens blijft verborgen. Helmuth Plessner laveerde tussen Kant en Darwin'. De academische boekengids no.79 (2010): p. 9-11. Kockelkoren, Petran. De natuur van de goede verstaander. Proefschrift. Technische Universiteit Enschede, 1992. Nauta, Lolle. 'Een natie van achterblijvers. Plessners interpretatie van het nationaalsocialisme'. Krisis, jaargang 7, no.4 (2006): p. 6 – 16. Oosten, Jetske van. Ruimte in dubbelperspectief: Helmuth Plessner, Constant Nieuwenhuys en de betekenis van utopische architectuur. Doctoraalscriptie. Faculteit der Wijsbegeerte, Erasmus Universiteit Rotterdam, 2004. Redeker, Hans. Helmuth Plessner of de belichaamde filosofie. Delft, 1995. Weiland, Jan Sperna. 'Helmuth Plessner.'Kritisch Denkerslexicon, april (1989). Verbeek, Peter–Paul. De grens van de mens: Over techniek, ethiek en menselijke natuur. Rotterdam, 2011. NOTEN [i] H. Plessner, Gesammelte Schriften in 10 Bänden. Onder redactie van Günther Dux, Odo Marquard en Elisabeth Ströker en met medewerking van Richard W. Schmidt, Angelika Wetterer en Michael-Joachim Zemlin. Frankfurt a. M., 1980-1985 (sinds 2003 ook verkrijgbaar in een pocketeditie). Overigens bevatten deze verzamelde schriften niet alle werken van Plessner. Een selectie van niet in de Gesammelte Schriften opgenomen teksten is nadien uitgegeven door Salvatore Giammusso en Hans-Ulrich Lessing onder de titel H. Plessner, Politik–Anthropologie–Philosophie: Aufsätze und Vorträge, in de reeks Übergänge. München, 2001. Een evenmin in het verzameld werk opgenomen collegetekst, waarin Plessner zijn wijsgerige antropologie in een brede filosofische context presenteert, is door Hans-Ulrich Lessing uitgegeven onder de titel: H. Plessner, Elemente der Metaphysik: Eine Vorlesung aus dem Wintersemester 1931/32 . Berlin, 2002. [ii] Zie voor een overzicht van de vertalingen en secundaire literatuur de website van de Helmuth Plessner Gesellschaft: www.helmuth-plessner.de. [iii] 'Wijsgerige antropologie' moet hier niet begrepen worden als een subdiscipline van de filosofie, maar als de naam van een specifieke denkrichting binnen deze subdiscipline die zich onderscheidt doordat zij bij de wijsgerige bezinning op de mens vertrekt vanuit een algemene theorie van biologisch leven. Voor een uitvoerige geschiedenis van dit paradigma, zie Joachim Fischer, Philosophische Anthropologie: Eine Denkrichtung des 20. Jahrhunderts Freiburg/München, 2008. [iv] Helmuth Plessner, Die Stufen des Organischen und der Mensch: Einleitung in die philosophische Anthropologie. Gesammelte Schriften IV, Frankfurt, 385. [v] Kersten Schüßler, Helmuth Plessner: Eine intellektuelle Biographie. Berlin, 2000. [vi] Christoph Dejung, Helmuth Plessner: Ein deutscher Philosoph zwischen Kaiserreich und Bonner Republik. Zürich, 2003. [vii] Zie over de invloed van Kants transcendentaalfilosofie en Husserls fenomenologie op de levensfilosofie van Dilthey en Plessner: Jos de Mul, The Tragedy of Finitude: Dilthey's Hermeneutics of Life. New Haven, 43, 316v, 369, en Jos de Mul, 'Understanding nature: Dilthey, Plessner and Biohermeneutics', in: G. D'Anna, H. Johach, E.S. Nelson (Hrsg.), Dilthey, Anthropologie, und Geschichte. Würzburg: Königshausen & Neumann, 2013, 459-478. [viii] Zie hiervoor hoofdstuk 2 van deze biografie. [ix] Zie hiervoor hoofdstuk 3. [x] Zie hiervoor met name hoofdstuk 4 en de paragrafen 5.2 en 5.3. [xi] Zie hiervoor verder hoofdstuk 5. [xii] Odo Marquard, Abschied Vom Prinzipiellen: Philosophische Studien. Stuttgart, 1981, p. 120. [xiii] Walter Schulz, 'Über den Philosophiegeschichtlichen Ort Martin Heideggers.' Philosophische Rundschau (1953-1954): p. 65-93, p. 211-32. [xiv] Pier Luigi Luisi, The Emergence of Life: From Chemical Origins to Synthetic Biology. Cambridge, 2006. [xv] Helmuth Plessner, Die Stufen des Organischen und der Mensch, a.w., p. 138 e.v. [xvi] Idem, p. 282 e.v. [xvii] Zie Thomas Ebke und Matthias Schloßberger (Hrsg.), Dezentrierungen: Zu Konfrontation von Philosophischer Antrhropologie, Strukturalismus und Poststrukturalismus. Internationales Jahrbuch für Philosophische Anthropologie. Band 3. Herausgegeben von Bruno Accarino, Jos de Mul und Hans-Peter Krüger. Berlin, 2012, p. 364 [xviii] Helmuth Plessner, Die Stufen des Organischen und der Mensch, a.w., p. 365. [xix] Idem, p. 385. [xx] Idem, p. 396. [xxi] Idem, p. 397. [xxii] Idem, p. 420. [xxiii] Helmuth Plessner, 'Unmenschlichkeit'. In: Helmuth Plessner, Mit anderen Augen: Aspekte einer philosophischen Anthropologie, Stuttgart, 1982, p. 205. [xxiv] Zie hiervoor met name de epiloog. [xxv] Francisco J. Valera, Evan Thompson, and Eleanor Rosch, The Embodied Mind: Cognitive Science and Human Experience. Cambridge, 1991; Evan Thompson, Mind in Life: Biology, Phenomenology, and the Sciences of Mind. Cambridge, 2007. [xxvi] Raymond Corbey, 'De mens blijft verborgen: Helmuth Plessner laveerde tussen Kant en Darwin'. De academische boekengids (2010), nr. 79, p. 9-11. Zie ook: Jos de Mul, Kunstmatig van nature: Onderweg naar Homo sapiens 3.0. Rotterdam, 2014, p. 63-76. [xxvii] Corbey, Raymond, De mens een dier? Scheler, Plessner en de crisis van het traditionele mensbeeld. Proefschrift Katholieke Universiteit. Nijmegen, 1988. [xxviii] Florentijn van Rootselaar, 'Mens en robot verschillen niet zoveel', interview met Daniel Dennett, Trouw, 14 januari 2014. [xxix] Jos de Mul, Kunstmatig van nature: Onderweg naar Homo sapiens 3.0, p. 63-76. [xxx] Helmuth Plessner, Diesseits der Utopie: Ausgewählte Beiträge zur Kultursoziologie. Düsseldorf/ Köln, 1966. [xxxi] Zie hierover ook p. XXX (p. 536 Duitse editie). [xxxii] Voor een uitvoeriger bespreking van Plessners naturalisme, zie Jos de Mul, 'Philosophical Anthropology 2.0: Reading Plessner in the age of converging technologies', in: Jos de Mul (ed.), Plessner's Philosophical Anthropology: Perspectives and Prospects. Amsterdam University Press, 2014. Translating The Arab-Jewish Tradition: From Al-Andalus To Palestine/Land Of Israel This essay investigates the vision of two Jewish scholars of a shared Arab-Jewish history at the beginning of the twentieth century. The first part of the essay focuses on Abraham Shalom Yahuda's re-examination of the Andalusian legacy in regard of the process of Jewish modernisation with respect to the symbolic and the actual return to the East. The second part of the essay centers on the work of Yosef Meyouhas (1863-1942), Yahuda's contemporary and life-long friend who translated a collection of Biblical stories from the Arab-Palestinian oral tradition, examining the significance of this work vis-à-vis the mainstream Zionist approach.[1] A Dispute in Early Twentieth-Century Jerusalem On a winter's evening late in 1920, in an auditorium close to Jerusalem's Damascus Gate ("bab al-'amud"), Professor Abraham Shalom Yahuda (1877-1951) gave a lecture attended by an audience of Muslim, Christian and Jewish Palestinian intellectuals and public figures.[2] Its subject matter was the glory days of Arabic culture in al-Andalus. The event was organized and hosted by the Jerusalem City Council in honour of the newly appointed British High Commissioner Herbert Samuel (1870-1963). In his opening address, Mayor Raghib al-Nashashibi (1881-1951) introduced the speaker as a Jerusalemite, son of one of the most respected Jewish families in the city.[3] In his lecture, delivered in literary Arabic, Abraham Shalom Yahuda, since 1914 Professor of Jewish History and Literature and Arabic Culture at the University of Madrid portrayed the golden era of Muslim Spain describing the great accomplishments of Muslims and Jews during this period in the fields of science, literature, philosophy, medicine and art and emphasizing the fruitful relations between them. This event was an important moment in the life of this scholar of Semitic culture, one in which his long-standing scientific and political projects merged. From his early days in Jerusalem, and later on in Germany as a student in Heidelberg and as a lecturer at the Berlin "Hochschule für die Wissenschaft des Judentums" (1904-1914), Yahuda had focused on the Andalusian legacy, emphasising the historical and philological aspects of the Judeo-Muslim symbiosis during that period and its symbolic significance for the modernization and revitalization of Jewish and Hebrew culture. This issue was at the heart of Yahuda's long-standing debate with Jewish scholars regarding the different options for Jewish modernization. Towards the end of his lecture, Yahuda addressed the Arab Palestinians in the audience directly. Speaking from the heart, albeit in a slightly pompous tone, he called on them to revive the legacy of al-Andalus: If the opportunity exists today for the Arabs to return to their ancient Enlightenment, it has been made possible only by virtue of the empires that fought for the rights of suppressed peoples. If the Arabs revive their glorious past through the good will of these empires, especially that of Great Britain, which is willing to help them as much as possible, they have to return to their essence of generosity and allow the other suppressed peoples, including the People of Israel, to benefit from the national rights granted by the British Government. Only when the spirit of tolerance and freedom that prevailed in the golden age of Arab thought in al-Andalus […] will return to prevail today, in a way that will enable all peoples, without religious or ethnic prejudice, to work together for the revival of enlightenment in the Eastern nations, each people according to its unique character and traditions, can an allencompassing Eastern enlightenment be reborn that will include all Eastern nations and peoples. [4] Thus, Yahuda chose to end his lecture with a political statement regarding the future of Palestine in this new imperial era. Well aware of the importance of his words in such dramatic times, Yahuda proposed a symbolic return to al-Andalus as a potential political and cultural platform for Jews and Arabs in post-Ottoman Palestine. While it is hard not to see an affinity with the British Empire in his words, we should however note the unique context in which this lecture took place: a few months after the official beginning of British Mandatory rule in Palestine, at an occasion dedicated to the newly appointed High Commissioner Herbert Samuel and in his presence.[5] However, the event also had a more specific historical context, as it took place on the same night that the third Arab National Congress opened in Haifa. The lecture was organized by Raghib al-Nashashibi in honour of Herbert Samuel, and Nashashibi invited Yahuda to give the main lecture. As the historian Safa Khulusi has suggested, this clash was probably not coincidental, but rather was part of the internal political struggle within the Arab Palestinian community.[6] During the end of the Ottoman period, and more intensively throughout the British Mandate, the Palestinian political leadership was deeply divided between a few notable families. The rivalry between the two leading Jerusalemite families—the Nashashibis and the Husseinis—split the local leadership into two main camps: the national camp, under Haj Amin al-Husseini, and the opposition camp, led by Raghib alNashashibi. Both families drew supporters from other elite families and refused to cooperate with each other, resulting in a deep political divide in Palestinian society.[7] This split, which dominated the Palestinian political arena throughout the Mandatory period, had its origins in the early days of British rule, when Raghib alNashashibi was appointed Mayor of Jerusalem after the British Military Commissioner removed Musa Kazim al-Husseini (1853-1934) from office.[8] The three-day Arab congress in Haifa was organized by members of the alHusseini family and led by Kazim al-Husseini. Just a few months after the French army destroyed the short-lived constitutional Arab Kingdom of Syria under King Faysal (1885-1933), and amid the ruins of the first modern Arab state in Bilad al-Sham (Greater Syria) that projected equal citizenship to all, the participants in the Haifa congress sought to establish a new strategy towards British rule and towards the Balfour Declaration and the notion of a homeland for the Jewish people. Khulusi argues that the event in Jerusalem was organized by Nashashibi with the support of British officials as an attempt to weaken the effect of the Arab congress.[9] There are no solid indications that this was the case, but it is difficult to avoid noticing the link between the two events and the hidden political agendas that they embodied. The congress in Haifa represented a more critical approach towards the British authorities, while the event in Jerusalem was attended and supported by the British High Commissioner. Yahuda had arrived in Palestine just a few weeks before the event and most likely had no involvement in the organizing aspects or in the internal political dispute that surrounded it. I will argue that, even in this complex political context, the fact that Yahuda decided to talk about the glory days of Arab culture and chose to deliver his lecture in Arabic and to address the Arab Palestinian intellectuals in the audience, was a cultural and a political statement for a different political approach. In contrast to the Balfour Declaration and its social and political implications for the Zionists vis-à-vis the Palestinians, Yahuda's lecture called upon the Arabs to revive their position as a majority, as they were in al-Andalus. Instead of minimizing and negating the Arab Palestinians' place in the new political structure, he asked them to take a leading role in shaping and determining the future of both Jews and Arabs in Palestine. The event sparked a heated debate in the local Arabic newspapers after the famous Iraqi poet Ma'ruf al-Rusafi (1875–1945) published a poem about it. Rusafi, who served as an instructor at a local teacher training college, was in the audience. Inspired by Yahuda's lecture, he composed a poem in Arabic addressed to Herbert Samuel, in which he called for a return to the spirit of al-Andalus and for a revival of the historical connections between Jews and Arabs, while also emphasising the strong racial and cultural affinity between the two peoples: And reminded us of what we knew so well. He celebrated Arab achievement in the West And recalled the glories of the Abbassids in the East. ``` Yahuda's speech made us all pensive […] ``` ``` We are not, as we have been falsely accused, Enemies of the Jews, overtly or in secret. The two people are but cousins. In their language is the proof But we fear expulsion from the homeland And being ruled by force of arms.[10] ``` The poem was published in several local Arabic newspapers and immediately received a very critical response from Arab poets and intellectuals.[11] The Lebanese-born Palestinian poet Wadi' al Bustani (1886-1954), who served in the British military administration as an interpreter, published a poem in reply to Rusafi: ``` Is it Yahuda's speech or wonders of magic? Is it Rusafi's words or poetic lies? By thy soul, I know not and maybe I do; What pacing is it between Rusafi and the bridge? […] Yea, he who crossed the River Jordan was our cousin But we are suspicious of him who now comes by sea. O Samuel! Are you really our old Samau'al? And has England been subjugated by Banu Fihr? Shall we believe in Balfour instead of Muhammad, Jesus, Moses?[12] ``` Bustani emphasized the differences between the Jews inthe Islamic tradition, whom Rusafi portrayed as cousins, and the new Jews who came to Palestine, by sea, with nationalist aspirations. He used the similarities between the name of the Jewish High Commissioner—Samuel—and the Jewish poet and warrior Samuel ibn Adiya (Samau'al ibn Adiya) who lived in Arabia in the first half of the sixth century. Ibn Adiya is famous in the Arabic-Islamic tradition for his loyalty, as indicated by the well-known saying "more faithful than Samuel". Bustani used the contrast between the mythical figure who for years symbolized strong connections between Jews and Arabs and the Jewish British pro-Zionist commissioner to demonstrate the differentiation between the Jew in the Islamic world and the Zionist Jew. Hasan Sidqi al-Dajani (1890-1938), a Jerusalemite literary and political figure and the editor of the Al-Quds al-Sharif newspaper, published an article on the event as well.13 Like Bustani, he took a sceptical approach to Yahuda's lecture and his politica motives. While complimenting Yahuda for his knowledgeable description of the cultural heritage of Muslim Spain, Dajani was suspicious of Yahuda's motives in praising the glorious Arabic past in al Andalus. How can a Zionist speaker (as he labelled Yahuda), he wrote, encourage the Arabs to revive their glorious past and dominance, while the Zionists try to dispossess them of their homeland? The lecture, he continued, tried to flatter the Arabs but only rubbed salt in their wounds, and would not change their attitude towards the attempts of the Zionists to expel them from their land. In an article published in his defence, Rusafi called on his fellow Arabs to differentiate between Judaism and Zionism, and to emphasize that they do not oppose Jews or Judaism in general, but only the political project being promoted by the Zionists.[14] Although the event received positive reactions in the local Hebrew newspapers, it was mostly ignored by the Zionist leadership, and in their inner circles Yahuda was criticized for his affinity to the Arabs and to Arabic culture. At a time when national and social boundaries between Jews and Arabs in Palestine were hardening, there was little room for Yahuda's position. In Dajani's perspective, he was merely a Zionist speaker who supported the dominant trend of dispossessing the Palestinians of their land. Within Zionist leadership circles, he was criticized for promoting Jewish assimilation into Arabic culture. Instead of being the scene for a revitalized relationship between Jews and Arabs, Mandatory Palestine was the setting for the evolution of a bitter national struggle. Like so many other solutions, proposals, visions and dreams espoused during that dramatic period, Yahuda's vision for the revival of Arab-Jewish culture never materialized.[15] This small chapter in Mandatory history can of course be viewed within the political and social context in which it occurred, with an emphasis on the formation of national and cultural boundary lines between Jews and Arabs during that periodand from the perspectives of the national narratives that have dominated the political discourse since that time. Here, I will read this event differently, using a new perspective that focuses on the broader intellectual and political project in which Yahuda was involved for many years, together with other intellectuals whom we can label today as "Arab Jewish".[16] Within this framework, I will investigate the special role that the "Andalusian legacy" played in the formation of that Arab-Jewish intellectual world at the complex intersection of the social, political an historical interests in early twentieth-century Palestine. More specifically, I will examine the role of the Andalusian legacy in the Jewish return to Palestine. Combining the symbolic return to al-Andalus with the actual return to Palestine, I will investigate the different political alternatives that emerged from it. As will be shown later in the article, the connection between the return to the Andalusian heritage with the Jewish return to Palestine was not made randomly in Yahuda's lecture in Jerusalem, but rather reflects a deeper perception of the bond between them. Perhaps we should take a different starting point and note the crucial role played by the return to "al-Andalus" (or Muslim Spain) and "Palestine" as symbolic, real or imagined spaces in fin-de-siècle Jewish discourse. It would be hard to overstate the significance of these floating signifiers for the development of the modern Jewish discourse and the shaping of the political landscape in Palestine. They emerged as controversial ideas representing conflicting notions of time and space, disputing claims of ownership of narratives and territories, and marking different cultural and intellectual continuities.[17] Within this context, this essay will examine two political and cultural options that Arab-Jewish intellectuals offered for a Jewish return to Palestine based on the "Andalusian legacy". I will trace these options as part of a larger Mizrahi/ArabJewish intellectual project that emerged in the Palestine of the turn of the twentieth-century and that has been neglected in the literature surveying the period as well as in the official historical narratives. The first part of the essay will focus on Abraham Shalo Yahuda's cultural vision, re-examining his long dispute with European-Jewish scholars and political leaders regarding the process of Jewish modernisation with respect to the symbolic and actual return to the East. It will examine the dispute in two places: Europe and Palestine. While in Europe the dispute evolved around the emergence of the "Jewish question" and the development of the "Wissenschaft des Judentums" (science of Judaism), in Palestine it evolved around the "Arab Question" and the relations between Jews and Arabs. The second part of the essay will focus on the work of Josef Meyouhas (1863-1942), Yahuda's contemporary and lifelong friend who translated a collection of Biblical stories from the Arab-Palestinian oral tradition, examining the political significance of this work vis-à-vis the mainstream Zionist approach. 2. Abraham Shalom Yahuda's Andalusian Legacy: From Jerusalem to Madrid Via Berlin Abraham Shalom Yahuda was born in 1877 in Jerusalem to a Jewish family of Iraqi and German origin.[18] Arabic was spoken at home and he began his systematic training in the language at a young age. He studied under his older brother, Isaac Ezekiel Yahuda (1863-1941), author of a comprehensive collection of Arabic proverbs.[19] By the time he left for Europe, he had already published two books and several articles about the connection between Arabic literature and poetry to Jewish and Hebrew culture. In Germany he took Semitic Studies at Heidelberg and Frankfurt Universities, and he attended the first Zionist Congress in Basel in 1897. He wrote his doctoral dissertation under the supervision of the great German Orientalist Theodor Nöldek (1836-1930) at Strasbourg University, and his doctoral thesis was a German commentary on Rabenu Ba'hiya's "Hovoth HaLevavot".[20] From 1904 to 1914, Yahuda lectured at the Berlin "Hochschule für die Wissenschaft des Judentums" (Higher Institute for Jewish Studies) and from then to 1920 was Professor at the University of Madrid.[21] Yahuda travelled to Jerusalem at the end of 1920 to begin preparations for his return to Palestine, after receiving an offer of an academic position from the founding committee of the Hebrew University. But just a few months later, at the beginning of 1921, Yahuda left Jerusalem, disappointed with the Zionist political leadership and their strategy towards the Arab question, having decided to reject the offer of a professorship at the Hebrew University, and returned to Europe. He spent the following twenty years travelling in search of rare manuscripts and acquired a valuable collection of books and manuscripts, while also lecturing at different academic institutes in Germany and England. In 1942, he moved to New York and became a professor at the New School for Social Research, where he remained until his death in 1951. Growing up in Jerusalem at the end of the nineteenth century, Yahuda was exposed to the vibrant intellectual life that emerged in that period: the new Ottomanised intellectual elite, Arab intellectual circles and the al-Nahda movement; the Hebrew Haskala circles; and European scholars and researcherswho settled in Palestine. From this complex and diverse intellectual world he developed his unique approach towards the connection between East and West and between Jewish modernisation and Arab culture. In particular, this was the source for the role he sought for the Sephardic legacy within modern Jewish discourse, in contrast to the mainstream Jewish thought of his time. The connection between Arabic and Islamic traditions to the Jewish tradition was at the centre of his extensive scientific work. Yahuda was trained in Semitic Studies and published dozen of articles and books on the subject, emphasising the Islamic influence on Jewish thought and culture. He had a special affinity to the Andalusian legacy, seeing it as a scientific and cultural model. In his private letters and memoirs, he described the significant influence that the Andalusian intellectual legacy had on his intellectual life.[22] This approach was partly influenced by his affiliation with the Orientalist community in Germany, especially the scholarly circles that emphasised the connections between Islam and Judaism. Yahuda was directly and indirectly influenced by the work of other Jewish scholars and orientalists such as Abraham Geiger (1810-1874), Gustav Weil (1808-1889) and Moritz Steinschneider (1816-1907).[23] The great Islamic scholar Ignaz Goldziher (1850-1921) was the figure most influential on the young Yahuda and guided him through his first years in the academic world. In one of his earlier articles while studying in Germany, Yahuda articulated his main criticism of the trend in Jewish scientific discourse to negate the Arabic aspects of the Andalusian legacy: […] if many were the Sephardic Jews who enriched our Hebrew literature with their respected work, their poetry and prose, so were there many Sephardic Jews who enriched the Arabic literary world, whose praise will forever be sung by those who will recount its history in Spain. But these latter did not catch our researchers' attention as did the former; as for them, they di not perform their work in our field, but rather sowed in foreign fields, and for this reason they will not be recounted in our literature's history.[24] It is no coincidence that Yahuda chose the "Andalusian legacy" as the main conduit through which to articulate his criticism of Jewish scholars. From the earliest stages of the Jewish enlightenment movement in Europe, the cultural and intellectual world of Muslim Iberia had been a subject of fascination and inspiration. Concerned by the emergence of the "Jewish Question" in Europe, Jewish scholars held up the Jewish "Golde Era" in Spain as a model for a universal, rational and secular Jewish culture and as a pre-modern indication of the Jewish affinity to the Western spirit.[25] This process increased during the turn of the twentieth century as part of the development of the "Wissenschaft des Judentums" (science of Judaism) in Europe. A growing number of scientific works were published by Jewish scholars on the Jewish history, poetry and philosophy of medieval Spain. In their research, these scholars focused mainly on the Jewish and Hebrew aspects of that period, neglecting the huge role played by the Arabic and Islamic traditions. Despite the fact that many of the Jewish writings of that period were originally composed in Arabic or Judeo-Arabic, some of the scholars working on the period were not qualified in the language.[26] In his strongly articulate critique of the scientific approach that shaped the work of the "Science of Judaism" circles, Yahuda emphasised the importance of the Arabic language. In their treatment of material from "al-Andalus", he claimed, thes scholars ignored the prominent role that the Arabic language had played in that heritage. Without understanding this, on could not fully grasp the whole picture. As he explains in one of his articles: Our authors (the Jewish scholars) are prejudiced against our Arabic literary heritage from the Middle Ages. No one would dare to write about Philo without knowing Greek, or about Spinoza without Latin, or about Mendelsohn without German. But, except for a select few, nearly all who write about our medieval literature take no interest in studying the language that gave them most of their methods and ideas. Even with regard to their Arabic books, most of them are satisfied with understanding them using the Hebrew translations, which in themselves are influenced by the Arabic language and cannot be fully comprehended without knowledge of Arabic .[27] Even though Yahuda composes his critique as a scholar with scientific authority, it exceeds the limits of scientific discourse. In it, he writes of the ideological motives behind the discourse of the Jewish scholars. In a private letter sent in 1899 to his cousin, David Yellin (1863-1941), Yahuda argued that the European Jewish scholars were trying to forcibly transfer Judaism into the tradition of Western civilization, against its true nature: Truly, more than our literature needs Europe-ism it needs Easternism. I am so upset when I see these authors among us who wish to bestow upon us ideas that are foreign to the spirit of the Israeli nation, which is essentially Eastern. If these people only knew our Eastern literature and recognised our Eastern culture that developed with our prophets, then they wouldn't turn to the new, Western, Aryan European culture, so strange to our cultural spirit. Our Eastern culture was the fruit of human emotion […][28] Yahuda points out the ways Jewish scholars used scientific discourse to redesign Jewish culture as part of Western culture by disassociating it from its Eastern roots. He expressed similar concerns regarding the attitude of the Zionist leaders towards the Arabs and Arabic culture. During his first personal meeting with Theodor Herzl (1860-1904) in London in 1896, Yahuda advised him to approach the local Arab community in Palestine directly and to try to secure their support for the Zionist plan. Even at that early moment in the development of the Zionist project, Yahuda understood the major impact that the Arabs would have on Jewish plans to return to Palestine. During their second meeting, at the first Zionist Congress in Basel, Yahuda again raised the issue of the Arab leaders and urged Herzl to formulate a special strategy in this direction. In his memoirs, written many years later, Yahuda described how he was disappointed by Herzl's dismissive response to his plea; the latter argued that he was planning to turn directly to the superpowers, and that there was no need to deal directly with the Arabs.[29] Yahuda saw this event as another example of the arrogant attitude that the European Jews had towards Arabs, which had a crucial effect on the creation of the Arab-Jewish conflict in Palestine. One can identify the traces of the "Andalusian perspective" in Yahuda's political agenda for the Zionist plan for the Jewish return to Palestine. He emphasised the importance of involving the Arab majority in the process, and criticised the Zionist leaders who came from Europe for their arrogant attitude towards the Arabs. Another reflection of Yahuda's Andalusian project can be found in his scientific work. In his research we can see a logic similar to the one used by the scholars he criticised. One of his major scientific works was an edition of al-Hidaya ("The proper guidance to the religious duties of the heart") transliterated from the Arabic and published in 1912. Authored by the eleventh-century Andalusian Jewish thinker Bahaya ibn Baquda, the fame of the al-Hidaya lies in its fine quality as one of the earliest systematic works on ethics and spirituality in the Jewish tradition, as well as its strong connection with Islamic literature. The original book was written in Judeo-Arabic and was translated into Hebrew by Judah ibn Tibbon soon after its completion. In his modern edition, Yahuda returned to the original Judeo-Arabic manuscript rather than the Hebrew translation. He also added a significant introduction about the Arabic and Islamic sources used by ibn Baquda, emphasising the strong Islamic influence on this canonical Jewish text. Yahuda transliterated it into Arabic in order, as he says in the introduction, to make the work accessible also to modern Muslim scholars of the Orient.[30] In his review of the book published in 1917, Henry Malter pointed out that Yahuda's unique scholarly background played a crucial role in his work on the Hidaya: A proper understanding of Bahya's Ethics, therefore, necessarily requires the most intimate knowledge of the classic Arabic literature in its various branches, as of the so-called Adab, Kalam, Zuhd and especially the broader Hadit and Sufi literature. Thi being the case, we must consider it good fortune that our work came into the hands of an editor who, better than any one of the younger European Arabists, satisfies the requirements just described. Born and brought up in the Orient, with Arabic as his native tongue and ancient Hebrew and Muslim literature as the main sources of his education, later broadened by studies at European universities, Dr. Yahuda was exceptionally fitted for the edition of Bahya's work.[31] Malter points out the link between the Islamic aspects of Bahya's work and Yahuda's unique scholarly world, especially his personal background and connections to the Arab world. We can find the same approach in Yahuda's other works on the Arab-Jewish intellectual legacy from medieval times. In his articles on Saadia Gaon, for instance, he emphasised the influence that the Arabic environment had on the latter's work. One cannot avoid noticing the contrast between Yahuda's approach to the Andalusian legacy and that of mainstream Jewish scholars, nor the different implications they held for the revitalisation of Jewish culture. Instead of attempting to modernise Judaism through association with the West, Yahuda proposed an almost opposite course: reconnecting Judaism to the East and to the Judeo-Muslim tradition. He saw this reconnection as part of a wider Eastern enlightenment process that could be shared by Jews and Arabs alike. In his writings, Yahuda linked the return to the Arabic literature of al-Andalus with the revival of Hebrew culture and with the Jewish return to Palestine. Yahuda started to articulate this political and cultural vision in his earliest days in Europe. As he wrote to David Yellin in a letter in 1899: […] but in the land of Israel it is possible […] then, they (the European Jews) will return to their Easternism in the East, and open their hearts to Eastern and Arabic literatures. And by doing so, they will shed light on the life of our people in the past, before they changed their nature from the East and became toclose to foreign people alien to their spirit … but the people of the East left us many books and scriptures that may give us an idea of their way of life and their intellectual properties, and th vast Arabic literature will provide us with sufficient material for our needs.[32] In Yahuda's vision for Jewish modernisation by returning to the East, one can find similarities to the lecture he delivered in Jerusalem, mentioned in the beginning of this paper. Indeed, we can trace the "Andalusian perspective" through Yahuda's movement in time and space, from the turn of the twentieth century in Europe to Palestine of the early British Mandate. By doing so, we can find connections between Yahuda's proposal to the Arab Palestinians in his Jerusalem lecture to lead a joint Eastern modernisation and the model for Jewish modernisation that he proposed to the Jewish scholars in Europe. With a deep understanding of the huge potential inheren in this moment for the future of Palestine, Yahuda planned his return (from Spain!) to Jerusalem so that he could play a meaningful role in the public sphere as a man of science and in forging political and cultural connections between Jews and Arabs. This was the moment he had been waiting for, for more than 20 years, since his departure from Jerusalem for his studies in Europe. But due to political and personal considerations, the professorship promised to him by the newly established Hebrew University met with opposition from the leaders of the Zionist movement. In February 1921, just a few months after his lecture in Jerusalem, Yahuda decided to cancel his plans and to return to Europe. Many years later, Yahuda described his disappointment, both personal and political, with the Zionist leadership, and especially with Dr. Weizmann: My disapointments grew steadily, and it was during the London Conference in 1920 that I became convinced that Dr. Weizmann's policy would undermine our hopes and destroy our chances. I did not make any secret of my convictions; and on many occasions I expressed my misgivings and castigated him for his weakness in handling the elements hostile to us in the Colonial Office and for ignoring the necessity of cultivating Arab-Jewish relations, at a time when the atmosphere was propitious. This fact was enough for Dr. Weizmann to adopt a vindictive attitude towards me.[33] After his return to Europe, and during the last decades of his life, Yahuda distanced himself from the Zionist movement in Europe and in Palestine. He occasionally expressed critical views of the political developments in Palestine and of the political strategies adopted by the leaders of the Zionist movement towards the Arab question. Joseph Meyouhas's Biblical Stories from the Palestinian Oral Tradition Joseph Meyouhas (1868-1942) was one of the distinguished guests at Yahuda's lecture on that wintry night in Jerusalem. During the last years of the Ottoman era, he had held a prominent position in political circles in the city and served for some years as the representative of the Jewish community on the Jerusalem City Council.[34] A decade older than Yahuda, Meyouhas was born and raised in a similar cultural and social environment. He was a close friend and colleague of Yahuda's elder brother Isaac and of Yahuda’s cousin David Yellin (1863-1942). He was an educator, translator and public figure, a member of the local intellectual circle that had a great impact on Yahuda during his formational years in Jerusalem. The changes and modernisation processes that occurred in the second half of the nineteenth century in the Ottoman Empire, and in Palestine and Jerusalem in particular, shaped the unique intellectual atmosphere in which Meyouhas emerged. He was a prominent figure in the Hebrew revival circle in Jerusalem and took part in the formation of several key institutions at the end of the nineteenth century: the first Hebrew language committee (together with Eliezer Ben-Yehuda); the Hebrewteachers' association; the Jewish National Library; and the Jerusalem B'nai B'rith lodge. Besides his public activities within the Jewish community, Meyouhas was also involved in the growing modern scholarly interest in ancient and contemporary Palestine. Institutions such as the British Palestine Exploration Fund, the Deutscher Palastinaverein and the American Palestine Exploration Society conducted systematic studies of Palestine and published the fruits of their research in scholarly periodicals and books.[35] Together with growing circles of local scholars, Meyouhas was engaged in ethnographic research on the life and culture of the local Palestinian community. This scholarly circle, which Salim Tamari describes as "nativist ethnography", comprised mainly Muslims and Christians from the Arab Palestinian community, figures such as Dr. Tawfiq Canaan, Stephan Hanna Stephan and Khalil Totah.[36] Like these Arab Palestinian intellectuals of his generation, Meyouhas was part of the urban and intellectual transformation that took place in fin-de-siècle Jerusalem.37 He was exposed to the mixture of imperial, religious and nationalist discourses that filled the public sphere and became aware of th fluidity among them. This notion of fluidity and mobility among different national and collective affiliations shaped his politica and cultural visions. In addition to the vibrant intellectual atmosphere in Jerusalem, Meyouhas's own biography and multifaceted identity played formative roles in the development of his political and cultural activities. He was born in 1868 to a well-established Sephardic family in the Old City of Jerusalem. When he was five years old, his family moved outside the Old City walls to the nearby village of Silwan, becoming the first Jewish family in the village. His father died unexpectedly a short time afterwards, and his mother stayed in the village with her four small children. Meyouhas often described how their Muslim neighbours supported his mother during that crucial time and welcomed the family into the community. In his writings, Meyouhas frequently returned to his childhood in Silwan and emphasised the great influence it had on his subsequent life and on his political and intellectual development. He described his close relations with his Muslim neighbours and how he used to spend long hours in their houses and was exposed to their stories, songs, music and traditions unti these became an integral part of his kinship culture. His special connection to Arab Palestinian culture played a critical role in the formation of his cultural and political project, and in particular the translation of biblical tales from the Palestinian oral tradition. In this context of cultural and social fluidity it is not surprising that translation (in the wider sense of the word) was very dominant in Meyouhas's intellectual and political life.[38] In a period of intellectual activity spanning more than five decades (from the 1890s to the middle of the twentieth century), Meyouhas translated a significant corpus of texts into Hebrew from several languages, but mainly from Arabic. He gave special attention to his translation work from Arabic, emphasising its political and cultural importance for the modernisation of Jewish life and culture in Palestine. The prominent role of translation in Meyouhas's intellectual work was largely the result of direct and indirect affiliation with the Judeo-Muslim legacy from Medieval Spain. The Jewish scholars from al-Andalus were inspirational models for him, especially in terms of the prominent place of translation in their world. By adapting this intellectual model to the Palestinian translation from Arabic as a fundamental tool in the project of reviving Hebrew culture in modern Palestine. His translations of Palestinian oral culture into Hebrew were part of a wider project that emphasised the historical and cultural connections between Jews and Arab Palestinians as a platform for shared life in the future. At the end of 1927, Meyouhas published a translated collection of biblical stories from the Arab Palestinian oral tradition. The collection was published at another crucial moment in the history of Palestine: the end of the first decade of British control and a time of growing political tension between Jews and Arabs. At this juncture, national, cultural and social boundaries were being formulated in the political sphere, separating Jews from Arabs, Hebrew from Arabic, and Zionists from Palestinians. Thus, just when Meyouhas published his translation of the Palestinian biblical tales into Hebrew, it seemed that his vision for Jewish and Arab Palestinian coexistence was fading and his position in the political sphere was becoming increasingly marginalised. In this moment of marginalisation, Meyouhas published one of his most important and most politicised works of translation. Meyouhas's "Yaldei Arav" comprises 47 biblical tales from the Arab Palestinian oral tradition translated into Hebrew. The tales are divided into two parts: Torah stories (from the Pentateuch); and stories from the books of the prophets. The translated stories do not reference a specific author or an "original" source. Since there is no original with which to compare the translation, it is impossible to define a strict line separating the translation from the source. Meyouhas's special position towards the Palestinian tradition makes it even more difficult to demarcate that line, as well as the line between the translator and the author; it is hard to gauge the extent to which the text is a translation loyal to a certain Palestinian oral tradition, or is a new literary creation inspired by it. This kind of unstable relation between original and translation is in fact unexceptional in the world of translation, as for example Samah Selim argues[39], but may be unusual for a biblically-related text. The political dimension of Meyouhas's translation work is related to the fundamental role that the biblical text played in Zionist discourse at the turn of the twentieth century. The biblical text was at the heart of Zionist political claims for ownership of the land.[40] Adopting the Bible as an original historical text gave justification for the return of the people of the Bible (the Jews) to their original homeland. This process was based on the principle of concentrating almost exclusively on the biblical text as a historical authority, while separating it from the vast array of Jewish traditional texts that followed it, particularly the rabbinical corpus: the "Midrash", the "Talmud", and halakha. The positioning of the Bible as an ultimate authority was influenced by a secular Protestant understanding of the text, and was part of the modern revival—which emerged in America and Europe in the nineteenth century—of the Judeo-Christian interpretational tradition of the text and of the land.[41] At the heart of this notion was a connection between the historical ownership of the biblical text with the ownership of the Land of Israel, while eliminating the actual history of the land and of its people. While the majority of the Jews in historic Palestine accommodated this perspective, it effectively dissociated the Arab-Palestinians from the land. Beshara Doumani describes this growing Judeo-Christian fascination with the Holy Land (historically and physically) which entirely ignored the people who lived in it: […] the lack of interest in the history of the people who lived on that land. The dominant genres at the time—travel guides and historical geography—focused primarily on the relationship between the physical features of Palestine and the biblical events described in the Old and New Testaments […] The amazing ability to discover the land without discovering its people dovetailed neatly with early Zionist visions. In the minds of many Europeans, especially Zionist Jews, Palestine was "empty" before the arrival of the first wave of Jewish settlers in 1881-84.[42] In a recently-published article Lorenzo Kamel also described this phenomenon, and coined the phrase "Biblical Orientalism"[43]. Kamel shows how, in hundreds of books and travel diaries that were written about Palestine by Western authors, the local Arab population were portrayed as a "simple appendix to the ancient Biblical scenarios […] as 'shadows' of the far-off past, 'fossils' suspended in time"[44]. This precise formulation, one should not forget, has been one of the primary means used to delegitimise Arab-Palestinian claims to a homeland. Its more disturbing aspects, however, only appeared as history unfolded. This new interpretation, or "translation", of the Bible into the Zionist project contained a dual, and contradictory, perception of the Arab Palestinians, as people and as a symbolic image: 1. On the one hand, the biblical text served as a political tool to negate the Arab Palestinians' historical and national "rights" to the land 2. On the other, the Arab Palestinians (in particular the fellahin, peasants) were viewed as symbols of the "biblical Jews" and as mirror images of the Jewish new settlers in Palestine.[45] Ironically, then, the Arab Palestinians themselves were used to prove the originality and validity of the Jewish biblical myth, which helped the Zionists articulate their political rights to the land, and to justify the expansion of the Jewish settlement in Palestine. It is possible to find links between Meyouhas's translation of the Palestinian biblical stories into Hebrew—which I will analyse below—and this Judeo-Christian Zionist trend I have just described. I will not argue that they have nothing in common, but I would choose to emphasise the significant differences between them. I would like to suggest three fundamental aspects that differentiate Meyouhas's work from the Zionist trend: 1. Meyouhas's unique position as an Arab-Jew and a Palestinian native, who straddled the Jewish and Arab-Palestinian traditions. 2. The blurred distinction between translation and original text, and between Hebrew and Arabic. 3. Meyouhas accesses the biblical text by reconnecting to Judeo-Muslim traditions based on oral tradition and interpretations, while the Judeo-Christian tradition is based on the original Hebrew source. Throughout the long history of translations, loyalty to the original text stood at the centre of the translator's task. This was particularly evident in translations of religious texts (and the biblical text can be used as a paradigmatic case study), in which the question of loyalty to the original was particularly emphasised.[46] Translation work was perceived as a technical act of copying from one language to another, and was valued according to its similarity to the original. Critical theory, however, has taught us that every act of translation implies transformation and change and can never be a pure mimicry of the original source. As Walter Benjamin famously puts it: "no translation would be possible if in its ultimate essence it strove for likeness to the original"[47]. If we accept Benjamin's assumption that translation is always an act of betrayal towards the original text, we can see the political potential of Meyouhas's translation work in an era that was obsessed with returning to the "originals". The sense of betrayal has a more crucial role in the case of translating the biblical text in the context of the Zionist-Palestinian conflict. In this case, the primacy and stability of the "original" was critical in the struggle over the ownership of the land. In Meyouhas's work, the fluidity that is inherent in the act of translation becomes a source of resistance to the dominant discourse, and offers inspiration for an alternative political approach. At a time when national and cultural boundaries were separating Jews and Arab-Palestinians, and when a struggle was raging over the question of the original people of the text and the land, Meyouhas's translation work proposed a different cultural and political vision, one which sought to undermine the question of originality. Instead of focusing on the stability and authority of one original source, Meyouhas emphasised the sense of fluidity and transformation embodied in the biblical text. And in contrast to the Zionist political trend, which used the biblical text as a tool to claim exclusive Jewish ownership of the land, he suggested a different idea: if there is no single authorised source of the biblical text, but only translations, then no one can claim exclusive ownership of it or of the land. Thus Meyouhas offers an alternative path for the Jewish return to the biblical text, as part of the process of shaping the national narrative: instead of reconnecting only to the original written text, we can locate the biblical text within its vast array of interpretations and translations in the written and oral traditions, Jewish as well as Muslim. This path, in turn, necessitates that the Arab Palestinians and their history be included—in the text and in the land. 4. Conclusion In concluding this article, I want to shift the focus to some current manifestations of the return to Palestine/Land of Israel in the Israeli public discourse, and to investigate what remains of the diverse and controversial debate that took place a century ago. One example can be found in one of the most popular tourist sites in Israel: Ir David, the City of David, which is located in the heart of Silwan, an Arab Palestinian village. Hundreds of thousands of visitors attend the site every year; there were more than 400,000 visitors in 2012, including 80,000 school children. The "Ir David" foundation that manages the site supports the growing Jewish settlement in Silwan, containing 200 Jews who live in heavily-guarded homes, in separation from the village's 40,000 Palestinian residents. The foundation's internet site reveals an absolute negation of the presence of the local Palestinian village and its inhabitants. The website refers solely to "the City of David" without even once mentioning the name of the place in which it is located: Silwan. It demonstrates how Israeli space (ancient Jerusalem in this case) is imagined in relation to the biblical text, intersecting different notions of time and space. In the case of Ir David, the visitors travel in time and space to the biblical city of David 3,000 years ago.[48] The fact that the site has become such a popular place, gaining huge public support as well as financial support from the government (even though it is run by a private, right-wing NGO), indicates the extent to which the Protestant-Zionist conceptions of the Jewish return to the land are deeply embedded in Israel's contemporary political and social sphere. The absence in the current political discourse of the Mizrahi/Arab-Jewish perspective, as represented by Yahuda and Meyouhas a century ago, is significant. The lack of Meyouhas's voice is even more significant in this specific case, in light of his special connection to Silwan, the village to which he moved as a young child with his family, and in which he spent most of his childhood. It was there that he was first acquainted with the biblical stories that he later translated, and which he published at a crucial moment when he could still imagine a different future for Jews and Arabs in Palestine. However, in a more careful reading of the "Ir David" website I discovered this passage: In 1873 the City of David began a Jewish era when the Meyuchas family made it their home. The decision to move there was for business reasons, as their business was hurt when the Old City would be locked every evening and opened only in the morning. This was the first Jewish settlement on the hill for hundreds of years, which had experienced a glorious Jewish past. With the aliyah of the Yemenites ten years later, in 1882, new olim from Yemen joined the Meyuchas family, settling in caves near the village of Silwan, opposite the City of David. In 1884, due to the involvement of generous Jews, a nice village was established for the Yemenites opposite the City of David (on the Mount of Olives side), which was named the Shiloah Village. The Jewish village thrived and prospered, but was badly hurt in the 1929 pogroms. After recovering from the blow, the Jews returned to the Shiloah Village and deepened their control over it. Their incredible stubbornness didn't help them with the out- break of the "Great Arab Revolt" in 1936. Over the course of two years, Arab residents of the area conspired against their Jewish neighbours, until they permanently abandoned it in 1938.[49] Here, the narrative of Meyouhas's family is co-opted and used in the service of the new settlers in Silwan, who by doing so portray themselves as the heirs of his legacy and his property. A similar process is taking place in other areas in Israel/Palestine that in the past used to have Mizrahi/Arab-Jewish communities. Hebron is one such example: new settlers are reclaiming the historical ownership and legacy of the Arab-Jewish community that lived in the city for hundreds of years, until their tragic departure in 1929, in support of their efforts to build a Jewish settlement in the city. In the absence of historical and scholarly research about the important intellectual legacy of people like Meyouhas and Yahuda, and other Sephardi/ArabJews from the beginning of the twentieth century, there will be more such cases of their legacy being used to justify actions and ideas that they opposed a century ago. Notes [1] The essay is based upon a lecture that was held in the framework of the EUME Berliner Seminar on June, 25, 2014, and that marked the beginning of the EUME Workshop The Possibilities of Arab-Jewish Thought (June, 25-27, 2014 at the Forum Transregionale Studien). The author would like to thank Georges Khalil for his very helpful and insightful remarks to earlier drafts of the essay. [2] The lecture took place on December 13, 1920 in a large cinema hall in Jerusalem, with more than 1,000 people in attendance. [3] Raghib al-Nashashibi was born in Jerusalem to one of the most prominent Arab-Palestinian families in the city. He was appointed Mayor of Jerusalem by the British military authorities in 1920 after their dismissal of Musa Kazim alHussayni and served as mayor until 1934. [4] Parts of Yahuda's lecture were published in the Hebrew newspapers in Jerusalem. The section quoted here is from an article published in Doar Hayom two days after the event (A.A., 1920), translated by Yuval Evri. [5] On the political and social transformation in Palestine during the early British Mandate, see Abigail Jacobson, From Empire to Empire: Jerusalem between Ottoman and British Rule, Syracuse: Syracuse University Press, 2011; Salim Tamari, Mountain Against Sea: Essays on Palestinian Society and Culture, Berkeley: University of California Press, 2008; Rashid Khalidi, Palestinian Identity: the Construction of Modern National Consciousness, New York Columbia University Press, 1997. [6] Safa Khulusi, "Ma'ruf Al-Rusafi in Jerusalem", Journal of Palestine Studies 22/23, 2005, 63-68. [7] On the political rivalry between the notable Palestinian families, see Mustafa Badran, "The Palestinian Historiography of Family Leadership during the British Mandate", Journal of Levantine Studies, 4/1, 2014, 65-105; Khalidi, Palestinian Identity, 1997. [8] Husseini, who had nurtured his career in the Ottoman bureaucracy, had been Mayor of Jerusalem until he was unceremoniously removed by the British following the violence in the city that spring. He was replaced by Raghib alNashashibi. Kimmerling, Baruch and Joel S. Migdal, The Palestinian People: A History, Cambridge: Harvard University Press, 2003. [9] See Khulusi, "Ma'ruf Al-Rusafi", 2005, 65. [10] Quoted in Khulusi, "Ma'ruf Al-Rusafi", 2005, 66. [11] For more details about Rusafi's articles regarding Yahuda's lecture, see Yehoshua Ben Hanania (=Yaacob Yehoshua), Minha leabraham-sefer yovel likhbod abraham elmaleh (The First Cultural Attache in Arab Countries Before the Foundation of Israel), Jerusalem: Ahva, 1959, 186-191. [12] On Bustani's contribution to Palestinian poetry and resistance to the British role in Palestine, see Khalid A. Sulaiman, Palestine and Modern Arab Poetry, London: Zed Books, 1984, 53. [13] Al-Quds al-Sharif was a bilingual newspaper in Ottoman Turkish and Arabic founded in 1903 in Jerusalem (Khalidi, Palestinian Identity, 1997). [14] Rusafi's article was published in Maarat al-Shark, February 4, 1921. [15] The "lost" political options in Palestine at the turn of the twentieth century recently became a focus of historical and sociological research (Jacobson, From Empire to Empire, 2011; Michelle Campos, Ottoman Brotherhood, Stanford: Stanford University Press, 2011; Jonathan Gribetz, Defining Neighbors, Princeton: Princeton University Press, 2014; Moshe Behar and Zvi Ben-Dor, Modern Middle Eastern Jewish Thought: Writing on Identity, Politics, and Culture 1983-1958, Boston: Brandeis, 2013). Moshe Behar and Zvi Ben-Dor Benite, "The Possibility of Modern Middle Eastern Jewish Thought", British Journal of Middle Eastern Studies 41/1, 2014, 43-61. [16] There has been a growing amount of research on the Mizrahi/Arab-Jewish identity and Mizrahi/Arab-Jewish thought over the last two decades. See Ella Shohat, "Sephardim in Israel: Zionism from the Standpoint of Its Jewish Victims", Social Text 19/20 (Autumn, 1988), 1-35; Ammiel Alcalay, After Jews and Arabs, Minneapolis: University of Minnesota Press, 1993; Yehouda Shenhav, The Arab Jews: A Postcolonial Reading of Nationalism, Religion, and Ethnicity, Stanford: Stanford University Press, 2006; Lital Levy, "Historicizing the Concept of Arab Jews in the Mashriq", Jewish Quarterly Review 98/4, 2008, 452-469; Behar and Ben-Dor, Modern Middle Eastern Jewish Thought, 2013. [17] On conflicting representations of the Zionist return to Palestine, see RazKrakotzkin, "Exile, History and the Nationalization of Jewish Memory: Some Reflections on the Zionist Notion of History and Return", Journal of Levantin Studies 3/2, 2013, 37-70. [18] On Yahuda's biography, see Meir Plessner, "Yahuda, Abraham Shalom (1877-1951)", in Encyclopaedia Judaica, 2nd ed., vol. 21, 272; Evyn Kropf, "The Yemeni manuscripts of the Yahuda Collection at the University of Michigan: Provenance and Acquistion", Chroniques du manuscrit au Yémen 13 (janvier 2012). [19] Isaac Ezekiel Yahuda was 13 years his brother's senior and an accomplished Arabist. He translated and edited several volumes of Arabic-Hebrew proverbs and poetry. [20] His dissertation was published in German: Prolegomena zu einer erstmaligen Herausgabe des Kitab al-hidaja 'ila fara'id al-qulub [Hovot ha-levavot] von Bachja ibn Josef ibn Paquda aus dem 'Andalus, nebst einer grösseren Textbeilage, Frankfurt am Main: J. Kauffmann, 1904. [21] During this period, he associated with King Alfonso XIII, who was impressed by Yahuda's scientific work. Yahuda used this unique connection to convince the king to personally intervene in the situation of the Jews in Palestine during World War I. [22] Yahuda describes his affinity to the Andalusian heritage in his collected essays Ever ve Arav, published in New York, 1946. [23] On the German-Jewish scholarship on Islam, see Susannah Heschel, "German-Jewish Scholarship on Islam as a Tool of De-Orientalization", New German Critique 117, Fall 2012, 91-117. [24] Abraham Shalom Yahuda, "Our Rabbi Sa'adiyah Ga'on and the Arabic Environment", in Ever va-Arav: osef mehkarim u-mamrim, New York: Ogen, 1946, 70-88. [25] Ismar Schorsch describes this fascination of the Jewish-German intellectual with the Sephardic legacy as the period of "Sephardic Supremacy"; Ismar Schorsch, "The Myth of Sephardic Supremacy ", in Leo Baeck Institute Year Book 34/1, 1989, 47-66. [26] On the development of the research on Jewish poetry in medieval Spain, see Yosef Tobi, Proximity and Distance: Medieval Arabic and Hebrew Poetry, Leiden: Brill, 2004. [27] Yahuda, Ever va-Arav, 1946, 73, translated by Yuval Evri. [28] A.S. Yahuda, "Letter to David Yellin", October 1899. NLI- Personal Archives Yah. Ms. Var. 38 (L), translated by Yuval Evri. [29] Abraham Shalom Yahuda, "Herzl's Attitude towards the Arab Question", Hedha-Mizrah' 10, 1949, 10-11. [30] For more information about Yahuda's book, see Henry Malter, "Yahuda's Edition of Bahya's Duties of the Heart", Jewish Quarterly Review 7/3, 1917, 379-391. [31] Malter, "Yahuda's Editition", 1917, 380-381. [32] A.S. Yahuda, "Letter to David Yellin", October 1899, translated by Yuval Evri. [33] Abraham Shalom Yahuda, Dr. Weizmann's Errors on Trial: A Refutation of His Statements in "Trial and Error" Concerning My Activity for Zionism During My Professorship at Madrid University, New York: E.R. Yahuda, 1951, 5-6 [34] Josef Meyouhas served as the representative of the Jewish community on the Jerusalem Council from 1914-1920. [35] The Palestine Exploration Fund (PEF) was founded under the royal patronage of Queen Victoria in 1865 by a group of distinguished academics and clergymen. The original mission statement of the PEF was to promote research on the archaeology and history of biblical Palestine. [36] On the definition of nativist ethnography and on the Tawfiq Canaan circle see Tamari, Mountain Against Sea, 2008, 95-98. [37] On the intellectual circles in Jerusalem at the turn of the twentieth century, see Tamari, Mountain Against Sea, 2008, 93-113. [38] Here I draw upon the rich scholarly literature published in the last two decades on the different uses of "translation" as an analytical concept in different theoretical contexts beyond the boundaries of the literary field, such as anthropology, cultural studies and sociology. See Lawrence Venuti, The Translator's Invisibility: A History of Translation, New York: Routledge, 1995; Lawrence Venuti, ed., The Translation Studies Reader, New York: Routledge, 2004; Susan Bassnett, Translation Studies, London and New York: Routledge, 2002; Tejaswini Niranjana, Siting Translation, Berkeley: University of California Press, 1993. [39] Samah Selim, "Nation and Translation in the Middle East", The Translator 15, 2009, 1-13. For further reading on the relation between the original text and the translation, see Venuti, The Translator's Invisibility, 1995; Niranjana, Siting Translation, 1993. [40] Various aspects of the role of the biblical text in Zionist narrative and politics have been investigated in the literature. The political implication of that trend was discussed in: Raz-Krakotzkin, "Exile, History and the Nationalization of Jewish Memory, 2013; Nur Masalha, The Bible and Zionism: Invented Traditions, Archaeology and Post-Colonialism in Palestine-Israel, London: Zed Books, 2007; Gabriel Piterberg, The Returns of Zionism: Myths, Politics and Scholarship in Israel, London and New York: Verso, 2008. [41] See Raz-Krakotzkin, "Exile, History and the Nationalization of Jewish Memory", 2013. [42] Beshara B. Doumani, "Rediscovering Ottoman Palestine: Writing Palestinians in History", Journal of Palestine Studies 21/2, 1992, 5-28, 8. [43] Lorenzo Kamel, "The Impact of 'Biblical Orientalism' in Late Nineteenth and Early Twentieth Century Palestine", New Middle Eastern Studies 4, 2014, 1-15. [44] Kamel, "The Impact of 'Biblical Orientalism'", 2014, 1. [45] On the representation of the Arab Palestinians as biblical Jews, see Gil Eyal, The Disenchantment of the Orient: Expertise in Arab Affairs and the Israeli State, Stanford: Stanford University Press, 2006. [46] For discussion of the tension between loyalty and betrayal in translation work, see Walter Benjamin, "The Task of the Translator" (1923), in Walter Benjamin: Selected Writings, ed. Marcus Paul Bullock and Michael William Jennings, Cambridge: Harvard University Press, 1996, 256; Venuti, The Translator's Invisibility, 1995; Ninajana, Siting Translation, 1995. [47] Benjamin, "The Task of the Translator" (1923), 1996, 256. [48] http://www.cityofdavid.org.il/en [49] http://www.cityofdavid.org.il/en Select Bibliography A.A., Doar Hayom, 15.12.1920, 1. Alcalay, Ammiel, After Jews and Arabs, Minneapolis: University of Minnesota Press, 1993. Anidjar, Gil, Semites: Race, Religion, Literature, Stanford: Stanford University Press, 2007. Badran, Mustafa, "The Palestinian Historiography of Family Leadership During the British Mandate", Journal of Levantine Studies 4/1 (2014): 65-105. Bassnet, Susan, Translation Studies, London and New York: Routledge, 2002. Behar, Moshe and Zvi Ben-Dor, Modern Middle Eastern Jewish Thought: Writing on Identity, Politics, and Culture 1893-1958, Boston: Brandeis, 2013. Behar, Moshe and Zvi Ben-Dor Benite, "The Possibility of Modern Middle Eastern Jewish Thought", British Journal of Middle Eastern Studies 41, Issue 1, 2014. Ben Hanania, Yehoshua (=Yaacob Yehoshua), Minha leabraham-sefer yovel likhbod abraham elmaleh [The First Cultural Attache in Arab Countries Before the Foundation of Israel], Jerusalem: Ahva, 1959, 186-191. Benjamin, Walter, "The Task of the Translator", in Walter Benjamin: Selected Writings, edited by Marcus Bollock and Michael W. Jennings, Cambridge: Harvard University Press, 1996, 253-263. Campos, Michelle, Ottoman Brotherhood, Stanford: Stanford University Press, 2011. Cohen, Julia Phillips and Sarah Abrevaya Stein, "Sephardic Scholarly Worlds: Toward a Novel Geography of Modern Jewish History", Jewish Quarterly Review 100/3 (2010): 349-387. Doumani, Beshara B., "Rediscovering Ottoman Palestine: Writing Palestinians in History", Journal of Palestine Studies 21/2 (1992): 5-28. Efron, John M., "Scientific Racism and the Mystique of Sephardic Racial Superiority", Leo Baeck Institute Year Book 38/1 (1993): 75- 96. Eyal, Gil, The Disenchantment of the Orient: Expertise in Arab Affairs and the Israeli State, Stanford: Stanford University Press, 2006. Gribetz, Jonathan, Defining Neighbors, Princeton: Princeton University Press, 2014. Heschel, Susannah, "German-Jewish Scholarship on Islam as a Tool of DeOrientalization", New German Critique 117 (Fall 2012): 91-117. Jacobson, Abigail, From Empire to Empire: Jerusalem between Ottoman and British Rule, Syracuse: Syracuse University Press, 2011. Kamel, Lorenzo, "The Impact of 'Biblical Orientalism' in Late Nineteenth and Early Twentieth Century Palestine", New Middle Eastern Studies 4 (2014): 1-15. Khalidi, Rashid, Palestinian Identity: The Construction of Modern National Consciousness, New York: Columbia University Press, 1997. Khulusi, Safa, "Ma'ruf Al-Rusafi in Jerusalem", Journal of Palestine Studies 22-23 (2005): 63-68. Kimmerling, Baruch and Joel S. Migdal, The Palestinian People: A History Cambridge: Harvard University Press, 2003. , Kramer, Martin, ed., The Jewish Discovery of Islam. Tel Aviv: Tel Aviv University, 1999. Kropf, Evyn, "The Yemeni manuscripts of the Yahuda Collection at the University of Michigan: Provenance and Acquistion", Chroniques du manuscrit au Yémen 13 (janvier 2012). Levy, Lital, "Historicizing the Concept of Arab Jews in the Mashriq", Jewish Quarterly Review 98/4 (2008): 452-469. Malter, Henry, "Yahuda's Edition of Bahya's Duties of the Heart", Jewish Quarterly Review 7/3 (1917): 379-391. Masalha, Nur, The Bible and Zionism: Invented Tradition, Archaeology and PostColonialism in Israel-Palestine, London: Zed Books, 2007. Niranjana, Tejaswini, Siting Translation, Berkeley: University of California Press, 1993. Piterberg, Gabriel, The Returns of Zionism: Myths, Politics and Scholarship in Israel, London and New York: Verso, 2008. Plessner, Meir, "Yahuda, Abraham Shalom (1877-1951)", in Encyclopaedia Judaica 2nd ed., v.21, 272. Raz-Krakotzkin, Amnon, "Exile, History and the Nationalization of Jewish Memory: Some Reflections on the Zionist Notion of History and Return", Journal of Levantine Studies 3/2 (Winter 2013): 37-70. Selim, Samah, "Nation and Translation in the Middle East", The Translator 15 (2009): 1-13. Shenhav, Yehouda, The Arab Jews: A Postcolonial Reading of Nationalism, Religion, and Ethnicity, Stanford: Stanford University Press, 2006. Shohat, Ella, "Sephardim in Israel: Zionism from the Standpoint of Its Jewish Victims", Social Text 19/20 (Autumn, 1988): 1-35. Sulaiman, Khalid A., Palestine and Modern Arab Poetry, London: Zed Books, 1984. Tamari, Salim, Mountain Against Sea: Essays on Palestinian Society and Culture, Berkeley: University of California Press, 2008. Tobi, Yosef, Proximity and Distance: Medieval Arabic and Hebrew Poetry, Leiden: Brill, 2004. Venuti, Lawrence, The Translator's Invisibility: A History of Translation, New York: Routledge, 1995. Venuti, Lawrence, ed., The Translation Studies Reader, New York: Routledge, 2004. Yahuda, Abraham Shalom, "Letter to David Yellin", October 1899, NLI- Personal Archives: Yah. Ms. Var. 38 (L). Yahuda, Abraham Shalom, Ever va-Arav: osef mehkarim u-mamrim, New York: Ogen, 1946. Yahuda, Abraham Shalom, "Herzl's Attitude towards the Arab Question", Hed haMizrah' 10 (1949): 10-11. Yahuda, Abraham Shalom, Dr. Weizmann's Errors on Trial: A Refutation of his Statements in "Trial and Error" Concerning my Activity for Zionism During my Professorship at Madrid University, New York: E.R. Yahuda, 1951. Yuval Evri studied Political Science and Cultural Studies at the Hebrew University and completed his doctorate at Tel Aviv University in the Department of Sociology and Anthropology. He was a 2013-2014 fellow of Europe in the Middle East—The Middle East in Europe (EUME), a research program at the Forum Transregionale Studien, a guest researcher at Cambridge University (2010-2012) and a research fellow at the Van Leer Institute (2005-2010). Yuval Evri is a faculty member of the Mandel Leadership Institute and postdoctoral fellow at the Hebrew University of Jerusalem. Previously published (2016): Forum Transregionale Studien e.V. The full text is published open access in Essays of the Forum Transregionale Studien at www.perspectivia.net, the publication platform of the Max Weber Stiftung. It is also available in the publication section at www.forum-transregionale-studien.de. Interview Interview mit Yuval Evri (SOAS University of London) – Im Rahmen der Konferenz »Jews in Muslim Majority Countries« Herhalingsrecepten: Noach's pudding in De bastaard van Istanbul Tzadjiki, is dat nu Turks of Grieks? Ik probeer mijn buurmeisje uit te leggen dat het van het Turkse woord cacık komt en dat het waarschijnlijk eerder uit de Turkse keuken afkomstig is dan uit de Griekse, omdat het basisingrediënt, yoghurt, samen met de Turken en Mongolen uit Centraal-Azië is gekomen. Maar ze gelooft me niet. En waarom zou ze ook? Het is heel moeilijk om vast te stellen waar gerechten nu echt vandaan komen. Omdat ze een onderdeel zijn van het gewone dagelijkse leven zijn er maar weinig schriftelijke bronnen waarin iets over hun herkomst en bereiding wordt verteld. Bovendien reizen gerechten en eetgewoontes door de tijden heen, en worden ze door etnische en religieuze gemeenschappen van elkaar overgenomen. Zeker in het Middellandse Zeegebied en het Midden-Oosten zijn er veel gerechten die in verschillende culturen opduiken, al is het vaak onder een andere naam. Van dit verschijnsel maakt de Turkse schrijfster Elif Shafak in haar roman De bastaard van Istanbul op ruime schaal gebruik. Centraal staat in De bastaard van Istanbul de houding ten opzichte van de Armeense genocide van enerzijds de Turken in Turkije en anderzijds de Armeniërs in de diaspora. Elif Shafak onderbouwt dit thema door te spelen met de overeenkomst in eetcultuur. Ze gebruikt de duplicatie van eetcultuur en gerechten om de culturele verwantschap tussen Turken en Armeniërs in beeld te brengen. Verder speelt eten in deze roman ook een rol op het niveau van de structuur van het boek. De schrijfster Elif Shafak is een relatief jonge schrijfster die op dit moment heel populair is in Turkije, maar vooral ook daarbuiten. Ze heeft als dochter van een diplomate een deel van haar jeugd doorgebracht in het buitenland. Na haar middelbare school is ze teruggekeerd naar Turkije, waar ze sociologie en vrouwenstudies heeft gestudeerd. Ze heeft jarenlang een academische carrière gecombineerd met het schrijverschap.1 Een aantal jaren schreef ze columns voor de liberaal-religieuze krant Zaman. Deze krant is de laatste jaren flink in opkomst onder jonge Turkse intellectuelen die zich distantiëren van het strenge secularisme, en is gelieerd aan de 'Gülen-beweging'.2 Vanwege haar roman De Bastaard van Istanbul is tegen Shafak een rechtszaak aangespannen door de ultranationalistische advocaat Kemal Kerinçsiz. Deze heeft, zonder veel succes, meerdere prominente Turkse schrijvers aangeklaagd wegens het beledigen van de Turkse staat, waaronder ook Nobelprijswinnaar Orhan Pamuk. Shafak is uiteindelijk vrijgesproken. Het proces heeft haar veel internationale en nationale publiciteit opgeleverd. Inmiddels heeft Elif Shafak twee kinderen en richt ze zich op een breed scala van schrijfactiviteiten, variërend van literatuur tot songteksten. De bastaard van Istanbul De bastaard van Istanbul vertelt over twee families, een Turkse familie die in Istanbul leeft en een Armeense familie van Turks/Istanbulse afkomst in de diaspora, die in San Francisco woont. De Turkse familie bestaat uit een overgrootmoeder, haar schoondochter, vier dochters en één zoon, Mustafa, die in Amerika woont. Voordat deze Mustafa uit Istanbul wegging, heeft hij zijn zus Zeliha verkracht. Hieruit is een dochter geboren, Asya, die samen met alle andere vrouwen van de familie in een oude villa woont. Niemand, behalve Zeliha en haar oudste zus Banu, weten wie Asya's vader is. Asya is negentien jaar, studeert filosofie en is een vrijgevochten, cynische, seculiere jonge vrouw. Ze heeft een groep vrienden die ze dagelijks in café Kundera ontmoet. Het zijn voornamelijk nihilistische, anarchistische mannen van middelbare leeftijd met teloorgegane artistieke ambities. Met een van hen heeft Asya een buitenechtelijke relatie. Mustafa heeft zijn toevlucht gezocht in Amerika. Hij heeft daar gestudeerd en werkt er als ingenieur. Hij is getrouwd met een Amerikaanse vrouw, Rose, die eerder getrouwd is geweest met een Armeniër. Uit dit huwelijk heeft zij een dochter, Armanoush. Armanoush woont bij haar moeder en Mustafa in Arizona, maar brengt alle vakanties bij de Armeens/Amerikaanse familie van haar vader in San Francisco door. Ook dit is een grote familie, die zeer regelmatig bijeenkomt bij grootmoeder Shushan. Armanoush is een intellectuele boekenwurm, typisch een multi-etnische jongere op zoek naar haar identiteit. Is ze Amerikaans, Armeens, of ook nog een beetje Turks? Ze chat op internet met een groep anti-Turkse Armeense Amerikanen. Ze besluit om naar Istanbul te reizen en daar bij de Turkse familie van Mustafa, haar stiefvader, te gaan logeren. Ze vertelt haar moeder dat ze bij haar vader is en omgekeerd. Wanneer haar grootmoeder overlijdt, komt haar bedrog uit. Haar moeder reist met haar stiefvader naar Istanbul. Mustafa wordt daarbij geconfronteerd met zijn familie, en dus ook met zijn misstap uit het verleden. Hij wordt door zijn oudste zus min of meer gedwongen om zelfmoord te plegen om zo de schande van Zeliha's verkrachting en de geboorte van Asya uit te wissen. De Armeense kwestie Het hoofdthema van dit boek is uiteraard de Armeense kwestie. Die was, heel in het kort gezegd, het gevolg van een actie van het Comité voor Eenheid en Vooruitgang (de voorgangers van de Kemalisten van Mustafa Kemal Atatürk) dat, in het nauw gedreven tijdens de Eerste Wereldoorlog in 1915/1916, een bewuste poging heeft gedaan om de Armeense bevolkingsgroep in het Osmaanse Rijk te vernietigen.3 De latere machthebbers van de in 1923 door Atatürk opgerichte Republiek hebben steeds geprobeerd deze zwarte bladzijde uit hun geschiedenis te bagatelliseren en te ontkennen. Iedereen die het niet met deze visie eens is, wordt als een vijand van de Turkse natie gezien. Tegenwoordig is er echter ook een belangrijke groep Turkse historici die genuanceerder tegen deze zaak aankijkt. Een deel van hen werkt noodgedwongen in het buitenland, want wetenschappelijke activiteiten organiseren over dit thema is nog steeds niet mogelijk. De gewone Turkse burger staat eigenlijk tamelijk neutraal tegenover de hele kwestie. Op school zijn ze natuurlijk behoorlijk geïndoctrineerd, maar aangezien het iets is dat ten tijde van het Osmaanse Rijk is gebeurd, is het voor velen iets wat ver van hen af staat. Zij voelen zich niet schuldig voor iets waar zij, of hun familie, persoonlijk niet bij betrokken zijn. 4 Voor een uitgebreide analyse van de discussies over deze zaak is het hier niet de plaats. Voor de discussie rond de roman is het vooral van belang te beseffen dat voor de in het buitenland wonende Armeniërs de Armeense kwestie door de gruwelijke verhalen van de overgrootouders ook onder jongere generaties nog zeer levendig is. Shafak onderbouwt dit thema door een patroon van parallellen te schetsen: Asya en Armanoush zijn ongeveer even oud. Beiden zijn op zoek naar hun identiteit: Asya naar haar vader; Armanoush naar haar culturele identiteit. Beiden hebben grote families die zich met alle aspecten van hun leven bemoeien. Beiden hebben een groep vrienden waarmee ze het leven bespreken: café Kundera en de chatgroep van Armanoush. Beide families delen hun eetcultuur. Uiteindelijk zal blijken dat de twee families een stamvader delen, en dus eigenlijk één grote familie zijn: Aan tafel Veel van de interactie tussen personen in de roman vindt plaats in het kader van een maaltijd. Voedsel speelt zo een belangrijke rol op het niveau van de gebeurtenissen in het verhaal. Elif Shafak gebruikt dat om de symmetrie tussen Turkse en Armeense gebruiken met betrekking tot voedsel te laten zien. Dat doet ze ook op het concrete niveau van de gerechten. In Shafaks presentatie is het bijvoorbeeld essentieel dat er zowel in de Turkse als in de Armeense context regelmatig met de hele familie wordt gegeten: – De Turkse familie eet de avondmaaltijden altijd gezamenlijk. Op zondagochtend wordt er uitgebreid met elkaar ontbeten. Bijzondere gelegenheden zoals de verjaardag van Asya, de komst van Armanoush en later de komst van Rose en Mustafa worden met uitgebreide maaltijden gevierd. – De Armeense familie komt zeer regelmatig samen bij grootmoeder Shushan. Bij deze gelegenheden wordt er een uitgebreide maaltijd op tafel gezet, waarbij iedereen geacht wordt aan te schuiven. Ook hier viert men alles met uitgebreide maaltijden. – Zowel in de Turkse als in de Armeense familie krijgt Armanoush een bord met geschilde appels en sinaasappels voorgezet. In Amerika, bij haar Armeense familie, gebeurt dat wanneer ze na haar date 's avonds laat thuiskomt, en bij de Turkse familie in Istanbul wanneer ze nog laat achter de computer zit. – Elif Shafak laat op verschillende plaatsen in de roman blijken dat de Turkse en Armeense keuken erg op elkaar lijken. Ze doet dit door personages daar expliciet opmerkingen over te laten maken, bijvoorbeeld wanneer Armanoush in Istanbul aankomt en de kamer binnenkomt waar voor haar een feestmaal is aangericht: Vervolgens keek Armanoush naar de gerechten op tafel, met groeiende belangstelling. 'Dat ziet er verrukkelijk uit.' Ze straalde. 'Dit zijn mijn lievelingsgerechten. Ik zie dat jullie hummus hebben gemaakt, baba ghanoush, yalancı sarma… en kijk nou, jullie hebben churek gebakken!' 'Hé, spreek je Turks?!' riep tante Banu verbluft uit terwijl ze de kamer weer in kwam lopen met een stomende pan in de hand en Sultan de Vijfde nog steeds op haar hielen. Armanoush schudde haar hoofd, deels geamuseerd, deels plechtig, alsof ze het jammer vond om die hoop de grond in te boren. 'Nee, nee. Ik spreek jammer genoeg niet de Turkse taal, maar ik spreek waarschijnlijk wel de Turkse keuken.' (Shafak 185) 'Jullie hebben pilav', glimlachte Armanoush, en ze boog voorover om de gerechten te bekijken. 'Dat is turşu en ….' 'Wauw!' riepen de tantes in koor, onder de indruk van haar kennis van de Turkse keuken. Opeens zag Armanoush de laatste schaal die op tafel was gezet. 'O, ik wou dat mijn grootmoeder dit kon zien, dit is echt een verrassing, kaburga…' 'Wauw!' herhaalde het koor. Zelfs Asya keek lichtelijk geïnteresseerd op. 'Turks restaurant veel in Amerika?' informeerde tante Cevriye. 'Eerlijk gezegd ken ik deze gerechten toevallig omdat ze ook bij de Armeense keuken horen', antwoordde Armanoush langzaam. (Shafak 187) Shafak refereert zo een aantal keren expliciet aan de overeenkomst tussen de Turkse en Armeense keuken. Daarnaast verwijst ze er ook impliciet naar, zoals wanneer zij de maaltijd beschrijft die in de Armeense familie wordt gegeten. Ze geeft een beschrijving van de gerechten: Een scherpe, kruidige geur kwam vanuit de keuken en kietelde haar neusgaten, zodat ze opschrok uit haar overpeinzingen. 'En', riep Armanoush naar de meest praatgrage van haar drie tantes. 'Blijf je vanavond eten?' 'Eventjes maar, schatje', mompelde tante Varsenig. 'Ik moet zo naar het vliegveld; de tweeling komt vandaag thuis. Ik kwam alleen langs om jullie wat zelfgemaakte mantı te brengen en…' tante Varsenig straalde van trots, 'wat denk je? We hebben bastırma ontvangen uit Jerevan!' 'O, jee, ik ga geen mantı eten en ik ga zeker geen bastırma eten', zei Armanoush fronsend. 'Ik wil vanavond niet naar knoflook stinken.' 'Dat is geen probleem. Als je je tanden poetst en een muntkauwgum neemt, valt er helemaal niets te ruiken.' Dat was tante Zarouhi die binnenkwam met een schaal musakka, prachtig gegarneerd met peterselie en citroenschijfjes. (Shafak 118) Voor iemand die enigszins is ingevoerd in de Turkse keuken is het duidelijk dat het om bekende gerechten gaat, al wordt de naam soms net iets anders gespeld. Mantı is een soort ravioli met een vulling van lamsgehakt en een yoghurtsaus met basilicum of mint eroverheen. Bastırma/pastırma is gedroogd rundvlees met een kruidig laagje er omheen. Musakka is een gelaagde ovenschotel met gehakt, tomaten, aubergines en béchamelsaus.5 Aşure of 'Noach's pudding' Een speciale plaats is in De bastaard van Istanbul gereserveerd voor het gerecht aşure, ook wel 'Noach's pudding' genoemd, of anoush abour (Armeens voor 'zoete soep'). Aşure is een doorzichtige, geleiachtige pudding die gemaakt wordt in een grote ketel of pan. Voor dit gerecht gebruikt men een mengeling van noten, bonen, graanproducten en gedroogde vruchten, zoals abrikozen, granaatappelpitjes en vijgen. De ingrediënten worden van tevoren geweekt en daarna langdurig gekookt. De brei die dan ontstaat, breng je op smaak met kaneel, suiker en rozenwater. Ten slotte strooi je er geschaafde amandelen en pistachenootjes overheen. De ingrediënten verschillen van kok tot kok. Tegenwoordig zie je in Istanbul bijvoorbeeld vaak dat er kokos over de aşure wordt gestrooid. Claudia Roden vermeldt in haar The New Book of Middle Eastern Food: Ashure, Wheat or Barley with Nuts, Serves 12. An Egyptian breakfast of boiled whole wheat, with hot milk poured over and sprinkled with sugar called belila, is turned into a celebratory dish on the 10th of Moharram (the first month of the Muslim calendar), when it is embellished with flower fragrance and with nuts. Variation; The Turkish aşure, prepared on the first day of Moharram, is an extraordinary dish in the number of its ingredients. In Turkey it also commemorates Noah's salvation form the Flood. According to the legend, Noah made aşure when the Flood subsided from everything that remained of foodstuffs at het bottom of sacks. The usual ingredients today are chickpeas, haricot beans, fava beans, whole wheat, black and golden raisins, dried figs, dried apricots, dates, hazelnuts, walnuts, almonds, and pomegranate seeds. Aşure is a pudding with a creamy base of milk and sugar thickened with cornstarch and flavored with rose water and cinnamon. I have eaten it, but I have never made it myself. 6 De naam aşure Het woord aşure (Ashûre) is gerelateerd aan het Arabische woord voor 'tien'; in de islamitische wereld vooral gekoppeld aan de tiende dag van de maand Muharram. Traditioneel is dit een dag waarop wordt gevast.7 Voor de sjiieten is daar een ander belangrijk historisch moment bijgekomen toen op deze dag de Imam Huseyn in de slag bij Kerbala werd verslagen en gedood. Op `Ashura herdenken de sjiieten deze gebeurtenis met allerlei activiteiten, zoals processies, het reciteren van teksten en het opvoeren van passiespelen. 8 Aan de tiende Muharram worden veel belangrijke gebeurtenissen gekoppeld, zoals de dag dat God de spijtbetuiging van Adam heeft geaccepteerd na zijn verstoting uit het paradijs; de dag dat Noach de ark verliet; de dag waarop Mozes (Musa) de tien geboden ontving; de dag dat Job werd genezen; de dag dat Jozef met zijn vader herenigd werd; en zo nog een aantal andere belangrijke gebeurtenissen uit het Oude Testament die ook in de Koran terecht zijn gekomen.9 Het is niet duidelijk hoe het gerecht aşure verbonden is geraakt met deze dag. Ongetwijfeld heeft het te maken met het feit dat de tiende Muharram aan de ene kant een dag van bezinning en vasten is en aan de andere kant verbonden is met de legende van de ark van Noach. In De bastaard van Istanbul vertelt tante Banu in hoofdstuk zestien (Rozenwater) de legende die er in Turkije met aşure verbonden is: Dagen achtereen voeren ze rond, overal was alleen maar water. Algauw werd het voedsel schaars. Er was niet genoeg eten om een maaltijd te bereiden. Dus beval Noach: 'Breng alles wat je hebt.' En dat deden ze, mens en dier, vogel en insect, mensen van verschillende religies, ze brachten allemaal het beetje wat ze nog overhadden. Ze voegden alle ingrediënten bij elkaar en zo brouwden ze een grote pan aşure. (Shafak 354) De bastaard van Istanbul heeft achttien hoofdstukken, evenveel als het aantal levensjaren van Asya. Elk hoofdstuk heeft de naam van een ingrediënt van dit speciale dessert, aşure, als titel. Behalve het laatste hoofstuk: dat draagt de naam van het vergif dat door Banu, de oudste zuster, op het dessert is gestrooid. Mustafa weet dat, maar eet het dessert toch op en sterft eraan. Dit gif, kaliumcyanide, is verwant aan blauwzuur en staat erom bekend dat het naar bittere amandelen ruikt en smaakt, tenminste, als je de genetische aanleg hebt om het überhaupt te kunnen ruiken. Aangezien amandelen een ingrediënt van het gerecht vormen, zal het gif niet snel worden opgemerkt. Elif Shafak verbindt telkens het ingrediënt dat de titel van het hoofdstuk vormt met een gebeurtenis of een attribuut. Soms zijn deze associaties wat vergezocht, zoals in hoofdstuk tien (Amandelen), waar Asya Armanoush meeneemt naar café Kundera om haar vrienden te ontmoeten. Naast de drankjes komen er schaaltjes met amandelen op tafel. In andere hoofdstukken zijn de verbindingen tussen hoofdstuknaam en ingrediënt echter heel raak getroffen. Bijvoorbeeld in hoofdstuk twee (kikkererwten), waar wordt verteld hoe Rose, net gescheiden van haar Armeense echtgenoot, boodschappen doet in een supermarkt. Ze wil vanaf nu geen Armeens eten meer. Ze wil iets Amerikaans (Zuid-Amerikaans) eten, zoals kikkererwten. Mustafa is net in Amerika gearriveerd en verlangt naar iets echt Turks: kikkererwten. Ze komen elkaar tegen bij het schap van de kikkererwten. De kikkererwt (of kekererwt) is een van de oudst gecultiveerde gewassen en vormt een belangrijk ingrediënt in vele keukens, van de Indiase en de Midden-Oosterse tot de Spaanse, Franse en Engelse.10 In hoofdstuk twaalf (Granaatappelpitjes), maakt Elif Shafak gebruik van de symbolische betekenis die de granaatappel en zijn pitjes in het verhaal hebben. Die heeft te maken met de broche die Hovhannes, de overgrootvader van Armanoush, ooit in Istanbul voor zijn vrouw heeft gekocht. Die broche had de vorm van een opengebarsten granaatappel, en de pitjes werden gevormd door robijnen. Dat gebeurde kort voor Hovhannes, voorafgaand aan de deportaties, als Armeense intellectueel gevangen werd genomen. Hij kon zijn vrouw de broche niet meer zelf geven, maar zij vond hem bij zijn spullen. Deze granaatappelbroche vormt een rode draad in het verhaal. Hovhannes' vrouw neemt hem mee wanneer ze gedeporteerd worden en haar oudste zoon Vervant krijgt hem na haar overlijden. Vervant gaat jaren later naar Istanbul om Shushan te zoeken, het jongste zusje dat tijdens de deportaties achtergebleven was. Zij is opgevangen door een Turkse familie en uiteindelijk in een weeshuis terechtgekomen. Daar heeft Rıza Kazancı haar leren kennen en hij is met haar getrouwd. Vervant geeft haar de broche wanneer hij haar in Istanbul komt opzoeken. Shushan laat hem bij haar plotselinge vertrek uit Istanbul achter voor haar zoon Levent. Banu erft hem van haar vader Levent en besluit hem aan het einde van het boek aan Armanoush te geven. Op de kaft van de Turkse uitgave uit 2006 en de Nederlandse uitgave van De Bastaard van Istanbul uit 2007 staat een afbeelding van een opengebarsten granaatappel. Op de Nederlandse kaft van de uitgave staat de granaatappel overigens op zijn kop. In een interview in het tijdschrift Armada beschrijft Elif Shafak de symbolische waarde die de granaatappel voor haar heeft en ze beschrijft hoe er in Turkije op deze kaft werd gereageerd. Shafak is enigszins verbaasd dat alle ophef zich toespitst op de Armeens-Turkse kwestie. 'Ik snijd ook incest en huiselijk geweld aan in het boek. In Turkije zijn seksuele taboes moeilijker te doorbreken dan politieke, omdat ze dieper geworteld zijn in de cultuur.' Als voorbeeld noemt ze de afbeelding op het omslag. Daarop is een gebarsten granaatappel te zien. Uit het paarsrode vruchtvlees vloeien zaadjes. 'De granaatappel staat symbool voor zowel Armeniërs als voor diverse andere minderheden, zoals vrouwen. Ik gebruik het ook als een symbool voor het Ottomaanse Rijk. Op het moment dat de vrucht openbarst en de zaadjes eruit komen, al die nakomelingen, kun je ze niet meer terugstoppen. En al die verschillende minderheden leefden samen totdat nationalistische ideologieën daar een eind aan probeerden te maken. Het geheel symboliseert pluraliteit, maar het lijkt ook op een vagina, en daarom weigerden sommige boekhandelaren de poster op te hangen. Ze wilden niet zeggen waarom, ze zeiden alleen maar: het is verontrustend .' (Jensen 105-106) Op deze manier zijn de ingrediënten van het gerecht aşure in het boek heel tastbaar aanwezig. De auteur gaat zelfs zo ver dat zij in het vijftiende hoofdstuk (Gouden rozijnen) een compleet recept voor aşure geeft. (Shafak 317-318). Uit eigen ervaring kan ik getuigen dat het recept een flinke hoeveelheid uitstekende aşure oplevert. Bijzonder aan dit gerecht is de combinatie van noten, tarwe, rijst, en vruchten. Deze combinatie komt in de Midden-Oosterse keuken niet vaak voor. Speurwerk in kookboeken en navraag bij collega's leverde de informatie op dat dit gerecht in de Perzische keuken niet voorkomt, en ook niet in de klassiek Arabische of Joodse. Of dit als wetenschappelijk bewijs kan dienen valt te betwijfelen. Hoewel allerlei wetenschappers en kookdeskundigen zich tegenwoordig bezighouden met de Midden-Oosterse keuken in heden en verleden, blijkt dat dit soort onderzoek nog in de kinderschoenen staat, en de informatie is vaak subjectief. Koken is immers iets sterk persoonlijks, en maar weinig goede koks koken precies volgens het kookboek. Sommige bronnen vermelden dat het gerecht wel bekend zou zijn in Egypte; echter of het hier echt om hetzelfde recept gaat, valt niet vast te stellen. Vooralsnog lijkt het erop dat toch vooral de Turkse en Armeense keuken aşure delen. In Turkije is aşure een gerecht dat in flinke hoeveelheden wordt gemaakt in een grote ketel, kazan. (De familienaam Kazancı, de naam van de eerste man van grootmoeder Shushan, betekent overigens 'maker van kazans'). Dit gebeurt bij verschillende feestelijke gelegenheden. Uiteraard op de tiende Muharram, maar ook wanneer iemand na een lange reis thuiskomt, bij een sterfgeval of bij een geboorte. Bij de Armeniërs heet hetzelfde gerecht anoush abour en wordt het als dessert gegeten bij het kerst- of nieuwjaarsdiner. Zowel in de Turkse als in de Armeense cultuur wordt dit gerecht in het bijzonder verbonden met de legende van Noach. Zoals hierboven al werd verteld, zou Noach dit opmerkelijke gerecht hebben uitgevonden toen het voedsel op zijn ark opraakte. Hij vroeg iedereen om alles wat nog aan voedsel over was aan hem te geven, en daarvan kookte hij een zoete soep. In een andere versie is Noach net aan land gegaan en haalt men de ingrediënten uit de omgeving. Herhalende eetcultuur Zoals we hebben gezien gebruikt Elif Shafak in haar roman De bastaard van Istanbul de herhaling van patronen in de sterk op elkaar lijkende eetculturen van Turken en Armeniers als een soort verbindend en illustratief thema. Op het niveau van het verhaal doet ze dat door zowel aan de Turkse als aan de Armeense kant het nuttigen van uitgebreide maaltijden te beschrijven als iets dat in deze culturen heel belangrijk is. Verder laat ze zien dat de gerechten van beide keukens sterk overeenkomen. Als rode lijn in het verhaal kiest ze een gerecht dat bij uitstek in de Turkse en Armeense keuken thuis hoort, en dat binnen beide culturen met allerlei betekenissen is beladen. Zoals we hierboven hebben gezien, wordt het zowel met rouw, schuld en boete (`Ashûra, de dag van de moord op Huseyn) als met redding en vreugde (Noach's redding door God) geassocieerd. Beide aspecten spelen een rol in het verhaal. Wat is nu eigenlijk de boodschap die Shafak met haar verhaal wil overbrengen? Dan komen we weer terug bij het hoofdthema van het boek, de Armeense kwestie. In De Bastaard van Istanbul vertegenwoordigen uiteraard de Turkse en Armeense families de afzonderlijke standpunten. Armanoush, die opgroeit tussen haar Turkse stiefvader en de Armeense familie van haar echte vader, is nieuwsgierig en gaat naar Istanbul. Shafak laat door middel van haar discussies met haar schoonfamilie en door de discussies die Armanoush en Asya met hun respectievelijke vriendengroepen voeren alle standpunten over de Armeense kwestie aan de orde komen. Zo laat ze Armanoush ontdekken dat de gemiddelde Turk in Turkije eigenlijk heel neutraal staat tegenover de Armeense kwestie en geen enkele aanvechting heeft om zich te excuseren. Ook blijkt dat een Armeen wiens familie niet weg is gegaan uit Istanbul, zich bovenal inwoner van Istanbul voelt en geen enkele behoefte heeft om te emigreren. In dat opzicht zijn de standpunten veel gematigder dan Armanoush altijd heeft gedacht. Daarnaast laat Shafak ook de extremere standpunten verwoorden, bijvoorbeeld door de discussies van de bijfiguren in de roman, de familieleden van de meisjes en een aantal van de café- en chatroombezoekers. Shafak neemt in deze roman het standpunt in dat Turken en Armeniërs ondanks alles wat er gebeurd is eigenlijk nog steeds heel erg op elkaar lijken. Dat doet ze door het gebruik van herhalingsmotieven in de eetcultuur, en ook door een familiestructuur op te voeren waarbij de twee families uiteindelijk aan elkaar verwant blijken te zijn. Ondanks alles zijn de overeenkomsten groter dan de tegenstellingen. Misschien zou men zelfs kunnen zeggen dat Turken en Armeniërs vooral ook op elkaar lijken in de volhardende manier waarop van beide kanten onverzoenlijkheid wordt gepreekt. Noten http://www.elifsafak.com.tr/ (geraadpleegd 10-2015). De 'Gülen-beweging', genoemd naar geestelijk leider Fethullah Gülen, is een van oorsprong Turkse moderne islamitische beweging gericht op het verenigen van moderniteit en islam. Speerpunt in deze beweging is onderwijs en dienstbaarheid aan de medemens en samenleving. Inmiddels is de 'Gülen-beweging' mondiaal actief. Voor een kort overzicht van de aan de 'Gülen-beweging' verwante organisaties zie Ebaugh 2010. Zie voor een genuanceerd standpunt over de Armeense kwestie Zürcher 141-146. Recente publicaties zijn Üngör 2007 en Akçam 2007. Zie voor de meest gezaghebbende beschrijving van de Midden-Oosterse keuken Roden 2000 en 2007. Een aardige introductie in de Armeense keuken biedt: Adventures in Armenian cooking , http://www.armeniapedia.org/index.php?title=Adventures_in_Armenian_Cooking (geraadpleegd 10-2015). "Sunnis in Egypt customarily eat a pudding (also known as Ashura) after dinner on the Day of Ashura; it is a wheat pudding with nuts, raisins, and rose water, and it is also known in Turkish as Aşure." http://en.wikipedia.org/wiki/Day_of_Ashura (geraadpleegd 10-2015); Roden 2000, 412. Wensinck, A.J., Marçais, Ph., "Āshūrā", Encyclopaedia of Islam, Second Edition, P. Bearman, Th. Bianquis, C.E. Bosworth, E. van Donzel en W.P. Heinrichs (red.), Brill, 2010, Brill Online, Plessner, M., "al-Muharram", Encyclopaedia of Islam, Second Edition, P. Bearman, Th. Bianquis, C.E. Bosworth, E. van Donzel en W.P. Heinrichs (red.), Brill, 2010, Brill Online. Plessner, M., "al-Muharram", op.cit . Internet: http://www.sunnah.org/ibadaat/fasting/ashura.htm (geraadpleegd 10-2015); http://en.wikipedia.org/wiki/Day_of_Ashura (geraadpleegd 10-2015). Chickpea, http://en.wikipedia.org/wiki/Chickpea (geraadpleegd 10-2015). Literatuur Akçam,Taner, De Armeense Genocide, een reconstructie, Amsterdam: Nieuw Amsterdam Uitgevers, 2007. Jensen, Stine, " 'Ik heb een biseksuele pen'. Stine Jensen in gesprek met Elif Shafak in Istanbul", in Armada, nr. 44, Amsterdam: Wereldbibliotheek, 2006, 103-109. Artikel is ook online beschikbaar: http://www.stinejensen.nl/inter15.php (geraadpleegd 10-2015). Roden, Claudia, The New Book of Middle Eastern Food, New York: Knopf, 2000 (8e druk 2010). Roden, Claudia, Duizend-en-één smaken, de keukens van Marokko, Turkije en Libanon, 's Graveland: Fontaine Uitgevers, 2007. Rose, The Gülen Movement. A Sociological Analysis of a Civic Movement Rooted in Moderate Islam, Houston: Springer, 2010. Shafak, Elif, De bastaard van Istanbul, vertaald uit het Engels door Manon Smits, Breda: de Geus, 2007. Üngör, Uğur Ümit, Vervolging, Onteigening en Vernietiging. De deportatie van Ottomaanse Armeniërs tijdens de Eerste Wereldoorlog, Soesterberg: Aspekt, 2007. Zürcher, Erik Jan, Een geschiedenis van het moderne Turkije, Amsterdam: Sun, 2006.
The Business Value of Google Workspace RESEARCH BY: Wayne Kurtzman Research Director, Social and Collaboration, IDC Navigating this White Paper Click on titles or page numbers to navigate to each section. A Business Value White Paper, sponsored by Google Workspace June 2022 \| Doc. #US49146722 BUSINESS VALUE HIGHLIGHTS Click on highlights below to navigate to related content within this PDF. 412% three-year ROI 24% less time devoted to "busy work" 11 months to payback 14% higher overall productivity 36% more time for creative/innovative work 2.1% higher net productivity for all Google Workspace users 35% higher productivity for technology teams 28% higher productivity for field sales teams Executive Summary As organizations seek to refine how they will operate in more fluid and flexible hybrid work models, many are doubling down on their use of intelligent digital collaboration platforms. These tools serve to better engage employees distributed across locations — connecting them to the people, business resources, and technologies they need to drive business results. IDC interviewed organizations that have adopted Google Workspace as their primary collaboration platform to understand the solution's impact on how employees work and generate value. Study participants linked significant operational efficiencies across their organizations to deeper collaboration, ease of information sharing, and enhanced productivity tools — all of which have driven meaningful productivity gains for their employees, whether they are frontline, hybrid/remote, or office-based employees. Overall, IDC calculates that the interviewed Google customers will realize benefits worth an annual average of $120,700 per 100 daily active Google Workspace users ($44.39 million per organization) by: ⊲ Providing a collaboration solution that matches the changing way that employees work, including with hybrid and remote enablement, robust video and audio capabilities, and tight platform integrations ⊲ Enabling employees to spend more time on value-added and innovative activities by providing solutions and tools that allow them to spend less time on day-to-day activities such as meetings, emails, and searching for information ⊲ Enhancing digital experiences for employees, in terms of both day-to-day functionality and better accessibility for employees with specific needs ⊲ Generating significant operational efficiencies in the form of higher employee productivity as employees can work in a more flexible, collaborative, and engaged manner that increases their value, whether as frontline, remote, or office-based workers A Business Value White Paper, sponsored by Google Workspace Situation Overview Recent dramatic global events have shown organizations that they need to reorient how they work in the face of ongoing uncertainty. From the standpoint of the future of work, this means being prepared to navigate dynamic circumstances that affect employees, business operations, and work conditions. Not surprisingly, 45% of IT and business leaders surveyed at the onset of 2022 noted that hybrid and remote work models would be an enduring part of accepted work practices (n = 858, Source: IDC's Worldwide Future Enterprise Resiliency and Spending Survey, Wave 11, December 2021). Hybrid work models are expressly designed to weather unforeseen circumstances because they offer the opportunity for workers to seamlessly shift from fully remote to fully onsite work arrangements as needed. Hybrid work models are enabled by technologies such as intelligent digital workspaces, networking, security software, cloud computing, and automation of tasks and workflows. Combined, these technologies and new hybrid work policies let employees work securely from anywhere on any device and access the people, data, applications, and tools they need to get work done. According to IDC research, the top business concerns for 2022 focus on operational efficiency and customer satisfaction, each garnering a 51% priority rating. For organizations to drive greater efficiency and customer satisfaction, it's clear that they will need to invest in the aforementioned technologies to ensure the capacity to grow rapidly as demand arises while being nimble enough to predict where they will need to adjust work models for greater efficiency. Google Workspace For years, Google Workspace has been the default collaboration platform when existing technologies failed to enable internal or external collaboration. The need for teams and entire organizations to digitally work together continues to rapidly grow. Today, 83% of enterprises report that external partners and customers are seeking to collaborate with them, significantly increasing the importance of Google Workspace as an effective and proven platform (see IDC's Annual Collaboration Survey, 2021, IDC #US46305621, May 2021). This desire for companies to collaborate, while well intended, often downplays the challenges of successfully building collaboration experiences for partners, customers, and employees. Google Workspace has evolved as an intelligent, enterprise-level product that welcomes integrations of the products that an enterprise uses most. The result is more seamless collaboration and integrated applications within "a single pane of glass" for the user. This integrated digital connection also results in a better experience that enables time-saving capabilities for customers, partners, and suppliers as well as internal workers. A Business Value White Paper, sponsored by Google Workspace The Business Value of Google Workspace Study Demographics IDC conducted research that explored the value and benefits for organizations using Google Workspace. The project included eight interviews with Google Workspace customers that were using the platform and had experience with or knowledge about its benefits and costs. The in-depth interviews covered a variety of quantitative and qualitative questions about the impact of Google Workspace on workforce collaboration and business operations. Table 1 presents study demographics and profiles. The organizations interviewed had a base of 39,000 employees on average and annual revenue of $10.88 billion (median of 26,750 employees and $5.50 billion revenue, respectively). In general, interviewed organizations had an enterprise-level profile and provided a variety of industry experiences and needs for promoting cross-organizational collaboration and information sharing. In terms of geographical distribution, study participants were based in the United States (2), Canada, Latin America (LATAM), France (2), India, and South Korea. They represented a mix of vertical industries, namely, government (2), transportation/airline, business services, healthcare, manufacturing, retail, and telecommunications. TABLE 1 Demographics of Interviewed Organizations \| \| Average \| \|---\|---\| \| Number of employees \| 39,000 \| \| Number of IT staff \| 1,538 \| \| Number of business applications \| 593 \| \| Revenue per year \| $10.88B \| \| Countries \| \| \| Industries \| \| n = 8; Source: IDC Business Value Research, March 2022 A Business Value White Paper, sponsored by Google Workspace Choice and Use of Google Workspace Interviewed organizations described their use of Google Workspace and discussed their choice of the platform. Key drivers for selecting Google Workspace included the need to weave collaboration deeper into their overall business fabric and create a culture of greater collaboration. They also appreciated the simplicity of the Google Workspace pricing model and employee familiarity and comfort with the platform. Several organizations noted that they viewed Google Workspace as the most comprehensive collaboration solution. Interviewed customers described the Google Workspace differentiators that were part of their adoption decisions: ⊲ Change the nature of collaboration: "We chose Google Workspace because we wanted to drive collaboration improvements in our company by asking if it can drive change in the way people work with one another. ... we felt that the mindset and the strategy in Google Workspace was stronger, and that made us move toward it as a solution." ⊲ Better overall experience, employee preference: "We felt that Google Workspace gives a better collaboration experience … We found working on Google Sheets, Docs, and Drive better than what [the alternative] offered … Finally, our younger employees were more comfortable with the Google solution." ⊲ Pricing, simplicity, comprehensive nature: "After evaluating Google Workspace and another solution through day-to-day use and by hearing from both vendors, we chose Google. Pricing was one of the first reasons. Beyond that, we found that the Google collaboration tools better suit our needs … We see it as a very easy, comprehensive solution." Table 2 (next page) provides a snapshot of Google Workspace use across interviewed organizations. Most importantly, it shows that study participants use Google Workspace as their primary work and collaboration platform, with almost all employees (36,765 on average) using Google Workspace on a daily basis. Table 2 shows that these Google customers use Workspace to support both their frontline (23,862 employees on average) and desk/office-based workforces (10,715 employees on average). Their employees have both common and divergent collaboration-related needs, so organizations' ability to leverage Google Workspace extensively reflects the platform's ability to create value for all types of organizations and employees. A Business Value White Paper, sponsored by Google Workspace TABLE 2 Google Workspace Use by Interviewed Organizations \| \| Average \| \|---\|---\| \| Number of active daily users \| 36,765 \| \| Number of frontline worker users \| 23,862 \| \| Number of desk worker users \| 10,715 \| \| Number of projects per year \| 651 \| \| Number of total employee devices used \| 65,743 \| n = 8; Source: IDC Business Value Research, March 2022 Business Value and Quantified Benefits of Google Workspace Interviewed organizations described Google Workspace as having a substantial impact on how their employees work by providing an all-in-one platform for communication and collaboration. Employees gain from not only more frequent and better collaboration and communication but also unified workflows and helpful text, voice, and audio capabilities. The employees apply these benefits of Google Workspace to work more effectively and efficiently regardless of their working environment, thereby creating more value for their organizations. Interviewed Google customers spoke to these gains in their own words: ⊲ Higher across-the-board productivity: "The most significant benefit for us of using Google Workspace is productivity … People can work seamlessly from either home or office … The work we've done in the past two years would not have been possible without this technology." ⊲ Flexibility and real-time document access for all: "The biggest benefits of using Google Workspace are having the flexibility and mobility to work everywhere and anywhere ... Previously, if we needed to get a million-dollar project approved, it took 40 versions of PowerPoint, Excel, whatever, just for simulations … Now, anytime there is a document being created, everyone has access to the document and they can make real-time edits or additions." A Business Value White Paper, sponsored by Google Workspace ⊲ Collaboration and standardization: "Collaboration is the most significant benefit, meaning the frequency of interaction enabled by Google Workspace through the use of a standardized, well-integrated toolset. When everyone on a project can work on the same document in real time across widely distributed geographies, that makes for a more productive team." ⊲ Enabling team communication and ease of access: "Google Workspace makes it easy to have the whole team work on the same document and not have multiple documents to manage. Right behind that would be ease of access: there's no need to install apps or configure systems; any device with internet access can get on." IDC's analysis projects that study participants will achieve productivity gains and other efficiencies with an annual average value of $44.39 million per organization ($120,700 per 100 daily active Google Workspace users). This strong value related to productivity reflects the significant impact of Google Workspace on how the employees work and engage with each other on a day-to-day basis. For a breakdown of benefits quantified by IDC, see Appendix 2. Supporting the Changing Nature of Work The rapid pace of digital transformation challenges organizations of all types to explore accelerated technology adoption and forward-looking, cross-functional collaboration practices. A daunting array of economic, climate, and business challenges requires organizations to enable their workforces to quickly adapt to changing societal and business demands. The rapid shift to remote work and hybrid work models typifies the kinds of shifts we can expect in the future. Organizations can address these challenges through the adoption of the best available collaborative technologies. Study participants reported that Google Workspace has helped them directly address these challenges. As such, it provides a collaboration platform that will meet changing employee and business needs going forward. Interviewed organizations repeatedly cited the transformative impact of Google Workspace in terms of how their employees engage, communicate, and collaborate, regardless of industry or role. They described Google Workspace as a platform not only for the here and now but also going forward as they maintain or adopt new work practices to react to changing business conditions. Importantly, interviewed Google customers also emphasized that addressing these challenges cannot come at the expense of security or by increasing business risk, and they noted that Google Workspace provides requisite levels of security. Study participants described how Google Workspace has helped them address changing working conditions and expectations in recent years: ⊲ Platform for changing how employees work: "Google Workspace is an enabler of working from home, which is allowing us to implement a new, smart way of working. In the future, our strategy is to develop the importance of the functional community within our workspace … Google Workspace gives us a single point of focus for this kind of transformation and enablement." A Business Value White Paper, sponsored by Google Workspace ⊲ Foundation for digital transformation of the workplace without compromising on security: "One of our core business objectives was to have a stable and secure collaboration platform. Google Workspace has served as the foundation for this comprehensive digital transformation of our workplace. People can collaborate in real time from wherever they are, but we are still able to maintain the level of security we want." ⊲ Enables a forward-looking view of employee technology: "Remote workers can be easily onboarded or transitioned from office to home with Google Workspace. Also, the security policy management aligns easily with government requirements. We see Google Workspace as a dynamic environment that evolves at a rapid pace that allows us to have a forward-looking view of how we use technology." ⊲ Enables hybrid work with a consistent experience, regardless of location: "We're trying to create experiences in our buildings that attract people to come to the office when it's the right time to do so … We want to make the experience ubiquitous from a technology standpoint and don't want to introduce new technologies that are different in the office versus at home. For example, we're deploying Google Meet hardware kits across our buildings so that when people do come into the office, they're familiar with the interface … Another example is Google Jamboard for digital whiteboarding, so people in the office can whiteboard virtually with someone working from home." Refocusing Employees on Innovation and Value-Add In terms of practical impact, study participants reported that Google Workspace has improved collaboration and provided better access to information for all types of employees. In turn, this has changed how employees work and communicate and, ultimately, how they do their jobs. Most importantly, instead of spending time on inefficient communication with colleagues, such as setting up meetings, searching for information, or relying on disparate tools, employees seamlessly access information, data, and colleagues with Google Workspace. As a result, they spend more time on value-added activities such as project work and innovation and less on what has been traditionally considered busy work. Study participants noted improvements in this regard, including better response times, ease of communication for workers in disparate locations and, ultimately, better customer service. Importantly, study participants provided direct examples of how both frontline and office-based workers have benefited from using Google Workspace: ⊲ Speed and ease of access: "The speed at which we can collaborate is much better with Google Workspace. There's no need to download applications or documents; you can pull everything up on the web. Ease of access and speed are important for these workers, and Workspace delivers on that." A Business Value White Paper, sponsored by Google Workspace ⊲ Enables more efficient collaboration for on-the-move employees: "Our pilots and cabin crew members are always on the move, and they never had the capabilities to collaborate — they had to go to an airport for in-person briefings. Now with Google Workspace, they can create briefing documents through the Google Doc on their devices and then just share it through Google Drive." ⊲ Ease of communication, access to data: "Google Workspace and Google Meet allow us to communicate with each other via audio or video calls easily whether people are in the office/home or even in their car. The ease of doing this has allowed this to happen far more than it did before." ⊲ Refocus meetings on more direct, actionable topics with smaller groups: "Google Workspace has changed our culture of meetings so much. As an organization we are trying to work on being mindful and smart about how we use our time … For insight, more than two-thirds of our meetings are just with two people or three to five people, which means small group collaboration or talking about something specific." As one means of measuring the impact of Google Workspace on how employees work, IDC evaluated how they spend their time in a typical workday. Generally, organizations stand to gain from certain employees working on value-maximizing projects rather than dealing with administrative tasks or engaged in unimpactful communication. Thus they can benefit when employees have more time to devote to activities that generate value for their organizations, whether through higher revenue, increased effectiveness, or more efficient operations. As shown in Figure 1, IDC's analysis shows that use of Google Workspace has had a decidedly positive impact on how employees work; on average, they have 36% more time for creative work and spend 24% less time on routine or administrative tasks. FIGURE 1 Impact on How Employees Spend Time (% change) n = 8; Source: IDC Business Value Research, March 2022 A Business Value White Paper, sponsored by Google Workspace Providing Needed Functionality and Accessibility The value achieved by interviewed organizations stems from the features and functionality of Google Workspace. Study participants linked work efficiencies to Google Workspace features and functionality that benefited all employees. They also linked Google Workspace with enhanced accessibility capabilities that support specific categories of employees or employees with specific needs. Across the board, study participants linked enhanced collaboration to Google Workspace features and tools. In some cases, these benefits are so impactful that they fundamentally change how employees work. For example, an airline company described the powerful impact of voice documentation capabilities with Google Workspace for its ground crews: "We use Google Workspace for the people who work outside at the airports because, when it's very cold, employees can use their voice to document things rather than typing because they can't take off their gloves." Study participants also described how both hardware and software features within the Google Workspace platform have enabled their employees to work more effectively. For example, one study participant described the impact of flexibility and functionality in Google Meet and Apps Script alongside other Google Workspace features: "Google Workspace does allow for more innovation because of the many tools focused on collaboration. Apps Script is a great example: we're able to custom-create all kinds of valuable features and functions that don't exist natively in the platform. I've seen a tremendous increase in efficiency, thanks to innovative work like this that Google Workspace has facilitated." Another interviewed Google Workspace customer explained that their organization can now provide a higher-quality collaboration experience to employees across all device types: "We are using Google Meet through our mobile devices and laptops and the collaboration experience is much better." Study participants also noted the importance of features and functionalities of Google Workspace, such as closed captioning and voice documentation capabilities, for employees with accessibility needs. They spoke about how these features drive value for their organizations by creating a day-to-day operating environment in which all employees can thrive and provided specific examples: ⊲ Video and closed captioning allows deaf and hard-of-hearing employees to participate: "I have two team members who are hard of hearing or deaf, and they're able to participate in Google Meet meetings by seeing people's video and watching their lips and reading them, plus the closed captioning at the bottom allows them to participate and understand what's happening." ⊲ Importance of closed captioning in training videos: "Google Workspace provides closed captions for the training videos that we were offering because the training videos are how we grow the program. We have the School of Deaf and Blind on the Google platform, and they get functionality that helps with disabilities." A Business Value White Paper, sponsored by Google Workspace The Value of Enhanced Collaboration and Productivity Ultimately, interviewed organizations realize value with Google Workspace primarily through operational efficiencies in the form of substantial productivity gains for all teams using the platform. While every interviewed Google Workspace customer has unique workforces, they spoke broadly about how several groups of employees, which overlap in some cases, leverage the platform to their advantage: ⊲ Frontline workers benefit from the ability to communicate with colleagues and customers across all types of devices, even while they're on the go, with enhanced access to information on all types of devices. ⊲ Hybrid and remote workers gain real-time collaboration with colleagues and customers, as well as having access to the same powerful features and functionality as office-based colleagues. ⊲ Office workers benefit from having a unified and integrated platform on which to collaborate, communicate, and complete their work, including more timely communication, more streamlined document review, and more orderly project execution. Study participants reported that employees using Google Workspace are more efficient and productive, generating considerable value for their organizations through use as a day-to-day collaboration platform. Interviewed organizations noted the value of cross-functional real-time collaboration and how improved communication to and between employees led to faster decision making. They provided examples of these types of day-to-day efficiencies: ⊲ Improved communication to employees, faster operational decision making: "We got everyone to make quicker decisions for our crew members when we have a change in schedule with Google Workspace. Previously, staff would have to go to their own portal and look at their schedule and any changes. Now we push them out through Google Workspace, and they get an email or chat saying, 'Hey, your schedule's changed.'" ⊲ Contract transparency and improved help desk workflows: "One of the operational values of Google Workspace is contract transparency … With Google Workspace, instead of different agencies reaching out individually with issues, it all comes to us in that centralized hub, and we manage the ticketing." ⊲ Single consolidated platform allows for reallocation of staff time to strategic initiatives: "Before Google Workspace, we had 7.5 teams in charge of our collaboration platform and 3–4 teams in charge of tenants. Now, with Google Workspace, it's one central team, and the sum of the new team is a third of the total we had in the past. So instead of 35 people in charge of messaging, emails, tools, and collaborations, now it's 10–12." A Business Value White Paper, sponsored by Google Workspace Based on interviews, IDC identified seven discrete teams across interviewed organizations that benefit from increased productivity through use of Google Workspace, namely: ⊲ Sales teams, which benefit from enhanced collaboration and timely updates on the status of prospective customers ⊲ Field sales teams, which benefit from improved flow of information, but also specifically from more timely delivery of data and feedback that they can use during interactions with prospects ⊲ Marketing teams, which can deliver more effective and timely campaigns as a result of enhanced cross-team collaboration and have the ability to understand and incorporate more data and stakeholder views into campaign collateral ⊲ Customer support teams, which benefit from ease of sharing and improved ability to respond in a tailored but real-time manner to customers ⊲ Human resources teams, which move more quickly to support current employees and streamline sharing data and processes with new hires ⊲ Technology and IT teams, including developers and engineers, as well as teams responsible for delivering IT services to users, which benefit to a substantial extent from the ease of real-time collaboration, including real-time access to shared documentation/documents that drive their ability to deliver new software and functionality to support business operations ⊲ Business operations teams which work more effectively with improved ability to connect and share information Table 3 (next page) shows the calculated productivity impact on these teams, ranging from 6% to 35%. Further, study participants cited productivity gains for both other frontline and office workers not included in these seven teams who were separately evaluated. The results demonstrate the extent to which all these functions within organizations experienced improved abilities to communicate robustly, optimize collaboration, and share information and data quickly and easily across their own teams and with other teams via the Google Workspace platform. A Business Value White Paper, sponsored by Google Workspace TABLE 3 Higher Productivity by Team \| \| Equivalent Productivity Level Before/ Without Google Workspace \| Equivalent Productivity Level with Google Workspace \| Net Productivity Gain with Google Workspace (FTEs) \| Higher Net Productivity with Google Workspace \| Higher Overall Productivity with Google Workspace \| \|---\|---\|---\|---\|---\|---\| \| Sales teams \| 1,456 \| 1,494 \| 38 \| 2.6% \| 18% \| \| Field sales teams \| 2,785 \| 2,900 \| 115 \| 4.1% \| 28% \| \| Marketing teams \| 219 \| 226 \| 7 \| 3.1% \| 21% \| \| Customer support teams \| 9,426 \| 9,511 \| 85 \| 0.9% \| 6% \| \| Human resources teams \| 398 \| 407 \| 9 \| 2.3% \| 15% \| \| Technology teams \| 5,570 \| 5,863 \| 292 \| 5.3% \| 35% \| \| Business operations teams \| 4,689 \| 4,865 \| 176 \| 3.8% \| 25% \| \| Other frontline workers \| 10,196 \| 10,242 \| 46 \| 0.5% \| 3% \| \| Other employees \| 2,026 \| 2,035 \| 10 \| 0.5% \| 3% \| n = 8; Source: IDC Business Value Research, March 2022 IDC then translated these overall productivity gains into net values for its financial analysis. Table 4 (next page) shows the substantial 14% overall average productivity gain that study participants attributed to use of Google Workspace. For the purpose of its financial model, IDC applied a 15% margin assumption (see Appendix 1 for details), which results in an impactful 2.1% average net productivity gain across all Google Workspace users. This net productivity gain reflects a significant impact both on an organizational level, with 778 FTEs in higher productivity per organization on average and on a per-user level, with 40 hours or one week of additional net productivity per user per year. A Business Value White Paper, sponsored by Google Workspace TABLE 4 Total Impact \| \| Productivity Gain \| Per Organization (FTEs) \| Increased Productivity per Year per User \| \|---\|---\|---\|---\| \| Higher overall productivity \| 14% \| 5,183 \| 265 hours \| \| Net productivity gain — 15% assumed margin \| 2.1% \| 778 \| 40 hours \| n = 8; Source: IDC Business Value Research, March 2022 Platform Cost and Management Efficiencies Study participants also reported that Google Workspace provides a cost-effective platform, especially given the significant productivity gains related to strong functionality discussed elsewhere in this study. Specifically, interviewed Google customers cited: ⊲ Licensing/fee cost efficiencies compared with other solutions and platforms that they considered. Study participants noted the ability to discontinue use of licenses for other solutions and one interviewed organization commented: "We chose Google Workspace because the capability/price balance was better." ⊲ Freeing up staff time for innovation and project work by having a consolidated, unified collaboration platform with Google Workspace. One study participant noted: "Before Google Workspace, we had 7.5 teams in charge of our collaboration platform and 3–4 teams in charge of tenants. Now, with Google Workspace, it's one central team, and the sum of the new team is a third of the total we had in the past. So instead of 35 people in charge of messaging, emails, tools, and collaborations, now it's 10–12." On average, interviewed organizations reported efficiencies for their platform management teams of 38% (see Appendix 2 for details). ROI Summary Table 5 (next page) presents IDC's return on investment (ROI) and analysis for study participants' use of Google Workspace. As shown, IDC projects that they will achieve three-year discounted benefits worth an average of $103.77 million per organization ($282,300 per 100 Google Workspace users) through higher productivity and direct staff efficiencies. These benefits compare with total three-year discounted costs of $20.28 million per organization ($55,200 per 100 Google Workspace users). IDC projects that these levels of benefits and investment costs will result in an average three-year ROI of 412% and a break-even point in investment occurring in 11 months. A Business Value White Paper, sponsored by Google Workspace TABLE 5 Three-Year ROI Analysis \| \| Per Organization \| Per 100 Google Workspace Users \| \|---\|---\|---\| \| Benefit (discounted) \| $103.77M \| $282,300 \| \| Investment (discounted) \| $20.28M \| $55,200 \| \| Net present value (NPV) \| $83.49M \| $227,100 \| \| Return on investment (ROI) \| 412% \| 412% \| \| Payback period \| 11 months \| 11 months \| \| Discount rate \| 12% \| 12% \| n = 8; Source: IDC Business Value Research, March 2022 Challenges/Opportunities The top technology challenges for effective deployment of hybrid work models are providing appropriate IT support to remote locations and ensuring security of corporate resources. Where securing an internal network was once ample protection, the ability to work from anywhere with multiple devices requires a new type of planning. The base application set needs to remain secure as it supports widespread collaboration. Absent the basic IT and security assurances for remote and hybrid models, organizations will struggle with the complexity of supporting a distributed workforce with dynamic work practices. To customize hybrid models, organizations need to invest in technologies to ensure employees have secure and democratized access to key resources and provide effective team collaboration — both technically and culturally. This requires creating cross-functional teams so that hybrid work norms and policies enable active participation regardless of role, device, language, or location — as Google terms it, "collaboration equity." As the enterprise continues to transform to meet the world's evolving challenges, connecting people is core to thriving in a shifting landscape. Collaboration is what people do together to reach shared goals. Intuitive technologies help scale the collaboration and make it more productive and inclusive. Most importantly, collaboration must engage every worker vital to power the growth of the enterprise without sacrificing security. The need for effective, secure multilocation collaboration will only increase, powered by employee and customer expectations, richer intelligence, and more interactive, visual content supported with increased bandwidth from 5G and Wi-Fi 6. A Business Value White Paper, sponsored by Google Workspace When surveyed, 38% of LOB and IT leaders said that advanced conferencing technologies to support democratized meeting participation were one of their top three technology investments for 2021 and 2022 to ensure better communication and collaboration among all members of the workforce, 34% also cited team collaboration software, and 33% listed cloud-enabled knowledge management. Deployment of these tools provides an opportunity to not only address the challenges of maintaining operational efficiency and employee engagement but also drive innovation and ensure continuity of corporate culture. Conclusion Organizations continue to search for approaches and solutions that will enable them to operate and succeed with hybrid work models. They require intelligent digital workspaces and collaboration platforms that will ensure employee engagement across their increasingly distributed operations. More organizations recognize that they must enable all employees to thrive regardless of work location, which means working securely across all device types with ready access to the people, data, applications, and tools needed for their jobs. IDC spoke with organizations around the world about their experiences with Google Workspace as their primary collaboration platform. Study participants described the significant impact that Google Workspace has had on how their employees work by providing a unified, highly functional platform for collaboration and communication. They reported that employees of all types — whether frontline, office, or remote — gain from the ease of communicating and accessing information on the Google Workspace platform, as well as helpful text, voice, and audio capabilities. As a result, employees are significantly more effective as they collaborate more closely, address customer needs more completely, and devote more time to innovative and business-driven work. For interviewed Google Workspace customers, productivity gains across their employee bases result in a strong return on their investment, which IDC projects to be 412% over three years. Appendix 1 Methodology IDC's standard Business Value/ROI methodology was utilized for this project. This methodology is based on gathering data from organizations currently using Google Workspace as the foundation for the model. Based on interviews with organizations using Google Workspace, IDC performed a three-step process to calculate the ROI and payback period. A Business Value White Paper, sponsored by Google Workspace 1. Gathered quantitative benefit information during the interviews using a before-and-after assessment of the impact of using Google Workspace. In this study, the benefits included employee productivity gains, staff time savings, and reduced costs. 2. Created a complete investment (three-year total cost analysis) profile based on the interviews. Investments go beyond the initial and annual costs of using Google Workspace and can include additional costs related to migrations, planning, consulting, and staff or user training. 3. Calculated the ROI and payback period. IDC conducted a depreciated cash flow analysis of the benefits and investments for the organizations' use of Google Workspace over a three-year period. ROI is the ratio of the net present value (NPV) and the discounted investment. The payback period is the point at which cumulative benefits equal the initial investment. IDC bases the payback period and ROI calculations on a number of assumptions, which are summarized as follows: ⊲ Time values are multiplied by burdened salary (salary + 28% for benefits and overhead) to quantify efficiency and manager productivity savings. For purposes of this analysis, based on the geographic locations of the interviewed organizations, IDC has used assumptions of an average fully loaded salary of $100,000 per year for IT staff members and an average fully loaded salary of $70,000 per year for non-IT staff members. IDC assumes that employees work 1,880 hours per year (47 weeks x 40 hours). ⊲ The net present value of the three-year savings is calculated by subtracting the amount that would have been realized by investing the original sum in an instrument yielding a 12% return to allow for the missed opportunity cost. This accounts for both the assumed cost of money and the assumed rate of return. ⊲ IDC applies a net margin assumption (15%) for most user productivity gains attributed to interviewed organizations' use of Google Workspace, resulting in the net productivity calculations applied to IDC's model. ⊲ Because IT solutions require a deployment period, the full benefits of Google Workspace are not available during deployment. To capture this reality, IDC prorates the benefits on a monthly basis and then subtracts the deployment time from the first-year savings. Appendix 2 Specific Business Value Findings Table 6 (next page) provides details about the quantifiable benefits achieved by interviewed organizations through their use of Google Workspace. A Business Value White Paper, sponsored by Google Workspace TABLE 6 Average Annual Benefits per Organization \| Category of Value \| Average Quantitative Benefit \| Applied 15% Operating Margin Assumption \| \|---\|---\|---\| \| Sales team productivity gains \| 2.6% net productivity gain, 38 FTEs, $70,000 salary \| Yes \| \| Marketing team productivity gains \| 3.1% net productivity gain, 7 FTEs, $70,000 salary \| Yes \| \| Customer support team productivity gains \| 0.9% net productivity gain, 85 FTEs, $70,000 salary \| Yes \| \| Human resources team productivity gains \| 2.3% net productivity gain, 9 FTEs, $70,000 salary \| Yes \| \| Technology team productivity gains \| 5.3% net productivity gain, 292 FTEs, $70,000 salary \| Yes \| \| Business operations team productivity gains \| 3.8% net productivity gain, 176 FTEs, $70,000 salary \| Yes \| \| Field sales team productivity gains \| 4.1% net productivity gain, 115 FTEs, $70,000 salary \| Yes \| \| Other frontline worker productivity gains \| 0.5% net productivity gain, 38 FTEs, $70,000 salary \| Yes \| \| Other employee productivity gains \| 0.5% net productivity gain, 10 FTEs, $70,000 salary \| Yes \| \| Platform management team efficiencies \| 38% efficiency, 2.8 FTEs, $100,000 salary \| No \| \| Total annual benefits, use of Google Workspace \| $44.39M per organization \| \| n = 8; Source: IDC Business Value Research, March 2022 Note: All numbers in this document may not be exact due to rounding. A Business Value White Paper, sponsored by Google Workspace About the Analysts Wayne Kurtzman Research Director, Social and Collaboration, IDC Wayne Kurtzman is Research Director for the IDC Social, Communities, and Collaboration practice. He is an experienced technologist, practitioner, and analyst of enterprise social media, collaboration, and analytics programs. Prior to joining IDC, Wayne led emerging technology programs for global B2B and B2C companies, leveraging community collaboration and social media to drive employee and customer experience, new efficiencies, and new revenue streams. He has developed global community, social, and analytics practices as well as award-winning knowledge management and advocacy programs. More about Wayne Kurtzman Amy Loomis, Ph.D. Research Director, Future of Work, IDC Amy Loomis is Research Director for IDC's worldwide Future of Work market research service. In this role, Amy covers the growing influence of technologies such as artificial intelligence, data analytics, robotics, augmented and virtual reality, and intelligent process automation in changing the nature of work. Her research looks at how these technologies influence workers' skills and behaviors, organizational culture, worker experience, and how the workspace itself is enabling the future enterprise. More about Amy Loomis, PH.D. Matthew Marden Research Vice President, Business Value Strategy Practice, IDC Matthew Marden is responsible for carrying out custom business value research engagements and consulting projects for clients in a number of technology areas with a focus on determining the return on investment (ROI) of their use of enterprise technologies. Matthew's research often analyzes how organizations are leveraging investment in digital technology solutions and initiatives to create value through efficiencies and business enablement. More about Matthew Marden A Business Value White Paper, sponsored by Google Workspace Message from the Sponsor People-first collaboration tools for all the ways work is changing. Google Workspace brings email, chat, files, meetings and your favorite apps into a people-first experience powered by Google AI so that you can safely connect, create, and collaborate. The tools to adapt, evolve, and meet the future head on. Google Workspace gives you flexible tools that enable agility, interoperability, customization, and seamless work at scale — across companies, software, devices, and distances. * Tightly integrated tools for virtual, in-person, and hybrid collaboration * Support for apps you already use, whether from Google, third parties, or built in-house * Simple and intuitive mobile apps * Easy offline access built-in Secure by design. Technical leaders can rest easy knowing Google Workspace is built with the security, reliability, and cloud infrastructure necessary to keep information, identities, applications, and devices safe — and it all operates on the cleanest cloud in the industry. Google Workspace also supports encryption at-rest and in-transit, as well as automatic protection against sophisticated phishing attacks and emerging malware threats. Learn more about Google Workspace Business Value White Paper, sponsored by Google Workspace This publication was produced by IDC Custom Solutions. As a premier global provider of market intelligence, advisory services, and events for the information technology, telecommunications, and consumer technology markets, IDCʼs Custom Solutions group helps clients plan, market, sell and succeed in the global marketplace. We create actionable market intelligence and influential content marketing programs that yield measurable results. © 2022 IDC Research, Inc. IDC materials are licensed for external use, and in no way does the use or publication of IDC research indicate IDC's endorsement of the sponsor's or licensee's products or strategies.
ranger: A Fast Implementation of Random Forests for High Dimensional Data in C++ and R Marvin N. Wright Universit¨at zu L¨ubeck Andreas Ziegler Universit¨at zu L¨ubeck, University of KwaZulu-Natal Abstract We introduce the C++ application and R package ranger. The software is a fast implementation of random forests for high dimensional data. Ensembles of classiﬁcation, regression and survival trees are supported. We describe the implementation, provide examples, validate the package with a reference implementation, and compare runtime and memory usage with other implementations. The new software proves to scale best with the number of features, samples, trees, and features tried for splitting. Finally, we show that ranger is the fastest and most memory eﬃcient implementation of random forests to analyze data on the scale of a genome-wide association study. Keywords: C++, classiﬁcation, machine learning, R, random forests, Rcpp, recursive partitioning, survival analysis. 1. Introduction Random Forests (Breiman 2001, RF) are widely used in applications, such as gene expression analysis, protein-protein interactions, identiﬁcation of biological sequences, genome-wide association studies, credit scoring or image processing (Bosch et al. 2007; Kruppa et al. 2013; Qi 2012). Random forests have been described in several review articles, and a recent one with links to other review papers has been provided by Ziegler and K¨onig (2014). All of the available RF implementations have their own strengths and weaknesses. The original implementation by Breiman and Cutler (2004) was written in Fortran 77 and has to be recompiled whenever the data or any parameter is changed. The R implementation randomForest by Liaw and Wiener (2002) is feature-rich and widely used. However, it has not been optimized for the use with high dimensional data (Schwarz et al. 2010). This also applies to other implementations, such as Willows (Zhang et al. 2009) which has been optimized for large sample size but not for a large number of features, also termed independent variables. The R package party (Hothorn et al. 2006) oﬀers a general framework for recursive partitioning, includes an RF implementation, but it shares the weaknesses of randomForest and Willows. The package randomForestSRC supports classiﬁcation, regression and survival (Ishwaran and Kogalur 2015), and we study this package in greater detail below (Section 5). With bigrf (Lim et al. 2014) RF on very large datasets can be grown by the use of disk caching and multithreading, but only classiﬁcation forests are implemented. The commercial implementation of RF is RandomForests (Salford Systems 2013), which is based on the original Fortran code by Breiman with a license for commercial use. Here, licensing costs and closed source code limit the usability. A recent implementation available in R is the Rborist package (Seligman 2015). This package is studied in greater detail in Section 5. Finally, an RF implementation optimized for analyzing high dimensional data is Random Jungle (Schwarz et al. 2010; Kruppa et al. 2014b). This package is only available as C++ application with library dependencies, and it is not portable to R or another statistical programming language. We therefore implemented a new software package "RANdom forest GEneRator" (ranger), which is also available as R package under the same name. Our primary aim was to develop a platform independent and modular framework for the analysis of high dimensional data with RF. Second, the package should be simple to use and available in R with a computational performance not worse than Random Jungle 2.1 (Kruppa et al. 2014b). Here, we describe the new implementation, explain its usage and provide examples. Furthermore, we validate the implementation with the randomForest R package and compare runtime and memory usage with existing software. 2. Implementation The core of ranger is implemented in C++ and uses standard libraries only. A standalone C++ version can therefore easily be installed on any up-to-date platform. In the implementation, we made extensive use of C++11 features. For example, parallel processing is available on all platforms with the thread library, and the random library is used for random number generation. The R package Rcpp (Eddelbuettel and Fran¸cois 2011) was employed to make the new implementation available as R package, reducing the installation to a single command and simplifying its usage, see Section 3 for details. All data can be kept in R, and ﬁles do not have to be handled externally. Most of the features of the randomForest package are available, and new ones were added. For example, in addition to classiﬁcation and regression trees, survival trees are now supported. Furthermore, class probabilities for multi-class classiﬁcation problems can be estimated as described by Kruppa et al. (2014a,b). To improve the analysis of data from genome-wide association studies (GWAS), objects from the R package GenABEL (Aulchenko et al. 2007) can be directly loaded and analyzed in place. Genotypes are stored in a memory eﬃcient binary format, as inspired by Aulchenko et al. (2007); see Section 5 for the eﬀect on memory usage. Genetic data can be mixed with dichotomous, categorical and continuous data, e.g., to analyze clinical variables together with genotypes from a GWAS. For other data formats, the user can choose between modes optimized for runtime or memory eﬃciency. Implemented split criteria are the decrease of node impurity for classiﬁcation and regression RF, and the log-rank test (Ishwaran et al. 2008) for survival RF. Node impurity is measured with the Gini index for classiﬁcation trees and with the estimated response variance for regression trees. For probability estimation, trees are grown as regression trees; for a description of the concept, see Malley et al. (2012). Variable importance can be determined with the decrease of node impurity or with permutation. The permutation importance can be obtained unnormalized, as recommended by Nicodemus et al. (2010), or scaled by their standard errors (Breiman 2001). The prediction error is obtained from the out-of-bag data as the missclassiﬁcation frequency, the mean square error, or as one minus the C index (Harrell et al. 1982) for classiﬁcation, regression, and survival, respectively. We optimized ranger for high dimensional data by extensive runtime and memory proﬁling. For diﬀerent types of input data, we identiﬁed bottlenecks and optimized the relevant algorithms. The most crucial part is the node splitting, where all values of all mtry candidate features need to be evaluated as splitting candidates. Two diﬀerent splitting algorithms are used: The ﬁrst one sorts the feature values beforehand and accesses them by their index. In the second algorithm, the raw values are retrieved and sorted while splitting. In the runtimeoptimized mode, the ﬁrst version is used in large nodes and the second one in small nodes. In the memory eﬃcient mode, only the second algorithm is used. For GWAS data, the features are coded with the minor allele count, i.e., 0, 1 or 2. The splitting candidate values are therefore equivalent to their indices, and the ﬁrst method can be used without sorting. Another bottleneck for many features and high mtry values was drawing the mtry candidate splitting features in each node. Here, major improvements were achieved by using the algorithm by Knuth (1985, p. 137) for sampling without replacement. Memory eﬃciency has been generally achieved by avoiding copies of the original data, saving node information in simple data structures and freeing memory early, where possible. ranger is open source software released under the GNU GPL-3 license. The implementation is modular, new tree types, splitting criteria, or other features can be easily added by us, or they may be contributed by other developers. 3. Usage and examples The ranger R package has two major functions: ranger() and predict(). ranger() is used to grow a forest, and predict() predicts responses for new datasets. The usage of both is as one would expect in R: Models are described with the formula interface, and datasets are saved as a data.frame. As a ﬁrst example, a classiﬁcation RF is grown with default settings on the iris dataset (R Core Team 2014): ``` R> library("ranger") R> ranger(Species ~ ., data = iris) ``` This will result in the output ``` Ranger result Call: ranger(Species ~ ., data = iris) ``` In practice, it is important to check if all settings are set as expected. For large datasets, we recommend starting with a dry run with very few trees, probably even using a subset of the data only. If the RF model is correctly set up, all options are set and the output formally is as expected, the real analysis might be run. In the next example, to obtain permutation variable importance measures, we need to set the corresponding option: ``` R> rf <- ranger(Species ~ ., data = iris, importance = "permutation") R> importance(rf) Sepal.Length Sepal.Width Petal.Length Petal.Width 0.037522031 0.008655531 0.340307358 0.241499411 ``` Next, we divide the dataset in training data and test data ``` R> train.idx <- sample(x = 150, size = 100) R> iris.train <- iris[train.idx, ] R> iris.test <- iris[-train.idx, ] ``` grow a RF on the training data and store the RF: ``` R> rf <- ranger(Species ~ ., data = iris.train, write.forest = TRUE) ``` To predict the species of the test data with the grown RF and to compare the predictions with the real classes, we use the code: ``` R> pred <- predict(rf, data = iris.test) R> table(iris.test$Species, predictions(pred)) ``` For regression RF and survival RF, the interface is similar. The tree type is determined by the type of the dependent variable. For factors, classiﬁcation trees are grown within an RF, for numeric values regression trees and for survival objects survival trees are used in the RF. If, for example, a dichotomous endpoint is saved as 0/1 in numeric format, it needs to be converted to a factor for classiﬁcation RF. For survival forests, the Surv() function of the survival package (Therneau and Grambsch 2000) is used to create a survival object, e.g., by ``` R> library("survival") R> rf <- ranger(Surv(time, status) ~ ., data = veteran) ``` Next, we plot the estimated survival function for the ﬁrst individual (not shown) ``` R> plot(timepoints(rf), predictions(rf)[1,]) ``` Finally, we use GenABEL to read Plink (Purcell et al. 2007) ﬁles into R and grow an RF directly with this genetic data ``` R> library("GenABEL") R> convert.snp.ped("data.ped", "data.map", "data.raw") R> dat.gwaa <- load.gwaa.data("data.pheno", "data.raw") R> phdata(dat.gwaa)$trait <- factor(phdata(dat.gwaa)$trait) R> ranger(trait ~ ., data = dat.gwaa) ``` To use the C++ version, ranger has to be compiled, or an executable binary version needs to be installed; for instructions, see the included README ﬁle. The interface is diﬀerent from that in R, and datasets have to be available as ASCII ﬁles. The equivalent for the ﬁrst classiﬁcation example would be ``` > ranger --verbose --file data.dat --depvarname Species --treetype 1 ``` The command line output is similar to the R version. Further results are written to the ﬁles ranger_out.confusion and ranger_out.importance. For prediction, the estimated RF has to be saved to a ﬁle and loaded again: ``` > ranger --verbose --file data_train.dat --depvarname Species --treetype 1 --write > ranger --verbose --file data_test.dat --predict ranger_out.forest ``` The predictions are written to a ﬁle called ranger_out.prediction. Computational speed and memory usage are equal in the R and C++ versions. The extreme memory eﬃcient storage of GWAS data described in Section 2 is, however, only available in the R version. We generally advise to use the R version. 4. Validation To evaluate the validity of the new implementation, the out-of-bag prediction error and variable importance results were compared with the R package randomForest. Identical settings were used for both packages. First, data was simulated for a dichotomous endpoint with 2000 samples and 50 features. A logit model was used to simulate an eﬀect for 5 features and no eﬀect for the other 45 features. We generated 200 of these datasets and grew a forest with 5000 trees with both packages on each dataset. We then compared the out-of-bag prediction errors of the packages for each dataset. The results are shown in Figure 1 in a scatter plot and Bland-Altman plot. No systematic diﬀerence between the two packages could be observed. We repeated the simulation for regression forests with similar results; see Figure 5 for details. To compare variable importance, data was again simulated for a dichotomous endpoint with a logit model, 5 eﬀect features and 45 noise features. Here, we grew 10,000 random forests A 0.20 0.19 0.18 0.17 0.16 G 0.15 0.16 0.17 0.18 0.19 0.20 Prediction error (randomForest) Figure 1: Validation of ranger from the simulation study for classiﬁcation forests. Correlation of out-of-bag prediction error from ranger and the randomForest package as a scatter plot (A) and a Bland-Altman plot (B). In B, the solid line represents the mean diﬀerence and the dashed lines ± 1.96 SD of the diﬀerence. with 500 trees each with the node impurity as split criterion and computed both the Gini importance and the permutation importance. The simulation results are provided for both importance measures and the variables with non-zero eﬀect in Figure 2. The Gini importance and the permutation importance results are very similar for both packages. Again, we repeated the simulation for regression forests, and results were similar; see Figure 6 for details. 5. Runtime and memory usage To assess the performance of the available packages for random forests in a high-dimensional setting, we compared the runtime with simulated data. First, the R packages randomForest (Liaw and Wiener 2002), randomForestSRC (Ishwaran and Kogalur 2015) and Rborist (Seligman 2015), the C++ application Random Jungle (Schwarz et al. 2010; Kruppa et al. 2014b), and the R version of the new implementation ranger were run with small simulated datasets, a varying number of features p, sample size n, number of features tried for splitting (mtry) and a varying number of trees grown in the RF. In each case, the other three parameters were kept ﬁxed to 500 trees, 1000 samples, 1000 features and mtry = √ p. The datasets mimic genetic data, consisting in p single nucleotide polymorphisms (SNPs) measured on n subjects. Each SNP is coded with the minor allele count, i.e., 0, 1 or 2. All analyses were run for dichotomous endpoints (classiﬁcation) and continuous endpoints (regression). For classiﬁcation, trees were grown until purity, and for regression the growing was stopped at a node size of 25. The simulations were repeated 20 times, and in each run all packages were used with the same data and options. For comparison, in this analysis, all benchmarks were run using a single core, and no GWAS optimized modes were used. Importance measures were disabled and recommendations for large datasets were followed. In ranger and randomForest the formula interface was not used as suggested by the help ﬁles. All other settings were set to the same values across all implementations. G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G GG G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G G GG G GG G GG G G G G G G G G G G G G G GG G G G G G G G G G G G G G G G G G G G G G G G G G Package randomForest ranger Figure 3 shows the runtimes of the 5 RF packages with varying number of trees, features, samples and features tried at each split (mtry) for classiﬁcation random forests. In all simulated scenarios but for high mtry values, randomForestSRC was faster than randomForest. The Rborist package performed similar to randomForest, except for high mtry values. Here, Rborist was slower. Random Jungle, in turn, was faster than randomForestSRC in all cases. In all simulated scenarios, ranger outperformed the other four packages. Runtime diﬀerences increased with the number of trees, the number of features and the sample size. All packages scaled linearly with the number of trees. When the number of features was increased, randomForest and Rborist scaled linearly, while the other packages scaled sublinearly. For the sample size, all packages scaled superlinearly. Only ranger scaled almost linearly. Finally, for increasing mtry values, the scaling was diﬀerent. For 1% mtry, randomForest and Rborist were slower than for 10%, with a linear increase for larger values. The packages performed with widely diﬀering slopes: randomForest and Rborist computed slower than randomForestSRC for small mtry values and faster for large mtry values. Random Jungle was faster than both packages for small mtry values and approximately equal to Rborist for 100% mtry, while ranger outperformed the other packages for all mtry values. Generally, although in some cases runtimes scaled in the same dimension, the diﬀerences increased considerably for larger numbers of trees, features or samples. If two or more parameters were increased simultaneously, diﬀerences added up (results not shown). For regression results, see Figure 7. Runtimes were generally lower than for classiﬁcation. In all cases except for high mtry values, Rborist was slowest, randomForest, randomForestSRC and Random Jungle about equal and ranger fastest. For high mtry values, Rborist scaled better than the other packages, but ranger was again fastest in all simulated scenarios. To illustrate the impact of runtime diﬀerences on real-world applications of RF to genetic data, we performed a second simulation study. Data was simulated as in the previous study but with 10,000 subjects and 150,000 features. This is a realistic scenario for GWAS. RF were grown with 1000 trees, and mtry was set to 5000 features. The analyses were repeated for mtry values of 15,000 and 135,000 features. In addition, the maximal memory usage during runtime of the packages was recorded (Table 1). Since the randomForest package does not support multithreading by itself, two multicore approaches were compared. First, a simple mclapply() and combine() approach, called randomForest (MC), see Appendix B for example code. Second, the package bigrf was used. In all simulations randomForestSRC, Random Jungle and ranger were run using 12 CPU cores. For randomForest (MC), the memory usage increased with a higher number of cores, limiting the number of cores to 3 for mtry = 5,000 and to 2 for mtry = 15,000 and mtry = 135,000. Rborist and bigrf were tried with 1 and 12 cores and bigrf with and without disk caching. If possible, packages were run with data in matrix format. In Random Jungle the sparse mode for GWAS data was used, ranger was run once in standard mode, with the option save.memory enabled and in GWAS mode. Table 1: Runtime and memory usage for the analysis of a simulated dataset mimicking a genome-wide association study (GWAS) with randomForest, randomForest (MC), bigRF, randomForestSRC, Random Jungle, Rborist and the new software ranger in standard, memory optimized and GWAS mode. NA values indicate unsuccessful analyses: Rborist and bigrf without disk caching failed because of memory shortage for all mtry values and number of CPU cores. With disk caching, we stopped bigrf after 16 days of computation. The Rborist and bigrf without disk caching were unable to handle the dataset. Memory usage steadily grew in the tree growing process. After several hours the system ﬁnally terminated the process because of too high memory usage, and no runtime could be measured. With disk caching, we stopped bigrf after 16 days of computation. All other packages successfully completed the analysis. For all values of mtry, randomForest used about 39 Gigabyte of system memory, and it took more than 100 hours to ﬁnish. With the mclapply() and combine() approach, runtime was reduced, but memory usage increased. Interestingly, super-linear parallel scaling was achieved in all cases. Random Jungle and randomForestSRC achieved a considerable speedup, with very low memory usage of Random Jungle and high memory usage of randomForestSRC. Finally, ranger was fastest in all three modes. With the save.memory option, memory usage was reduced but runtime increased, and with the GWAS mode, runtime and memory usage were both lowest of all compared packages. In the previous benchmarks, high dimensional data was analyzed. To compare the implementations for low dimensional data, we performed a simulation study with datasets containing 100,000 samples and 100 features. Since performance of most packages varies with the number of unique values per features, we performed all benchmarks for dichotomous and continuous features. We grew 1000 classiﬁcation trees per random forest with each package. All packages but randomForest, were run using 12 CPU cores. All tuning parameters were set to the same values as in the previous benchmarks. Random Jungle was run in non-GWAS mode, bigrf with and without disk caching and ranger in standard mode. Again, maximal memory usage during runtime was measured (Table 2). Table 2: Runtime and memory usage for the analysis of a simulated dataset with 100,000 samples and 100 features with randomForest, randomForest (MC), bigRF in memory and disk caching mode, randomForestSRC, Random Jungle, Rborist and the new software ranger. In each run, 1000 classiﬁcation trees were grown. Runtime and memory usage varied widely between packages and between dichotomous and continuous features in some cases. For this kind of dataset randomForest (MC) could be run with 12 cores and it achieved a considerable speedup compared to randomForest, while the memory usage was only slightly higher. The in-memory bigrf version was faster than randomForest but slower than randomForest (MC), while the disk caching version was comparatively slow. Memory usage was only slightly reduced with disk caching. The randomForestSRC package was slower than randomForest (MC) and the memory usage approximately equal. RandomJungle was very fast for dichotomous features but slow for continuous features, with low memory usage for both. In contrast, Rborist was very fast and memory eﬃcient for dichotomous and continuous features. Finally, ranger was the fastest implementation for dichotomous features, but was outperformed by Rborist for continuous features. Memory usage was lower in ranger than in randomForest or bigrf, but higher than in Rborist or Random Jungle. The results from Tables 1 and 2 show that ranger is the fastest implementation for features with few unique values in case of high and low dimensional data. However, Rborist is faster for continuous features and low dimensional data with large sample sizes. To ﬁnd the fastest implementation in all cases, we compared Rborist and ranger for continuous features with varying samples sizes and numbers of features. Figure 4 shows the results of comparisons for 441 combinations of sample sizes between 10 and 100,000 and 10 to 1000 features. For each combination, a blue rectangle was drawn if ranger was faster or a grey rectangle if Rborist was faster. For sample sizes below 25,000 ranger was faster for all numbers of features, but for larger sample sizes a threshold was observed: Rborist was faster for few features and slower for many features. With increasing sample size the threshold increased approximately linearly. We observed that ranger scaled slightly better with the number of CPU cores used, and thus for other values the threshold can vary. The present simulation studies show that there is not one best random forest implementation for analyzing all kinds of large datasets. Most packages are optimized for speciﬁc properties of the features in the dataset. For example, Random Jungle is evidently optimized for GWAS data and Rborist for low dimensional data with very large sample sizes. To optimize runtime in applications, Rborist could be used for low dimensional data with large sample sizes (n > 25,000) and ranger in all other cases. If memory is sparse, the save.memory option in ranger should be set, and if GWAS data is analyzed, ranger should be run in the optimized GWAS mode to take advantage of best runtime and memory usage at the same time. It should be noted that not all packages lead to the same results in all cases. For example, in classiﬁcation trees, Rborist grows until the decrease of impurity in a node is below a threshold, while randomForest grows until purity. As a result, with the default settings, Rborist grows smaller trees than randomForest. 6. Conclusions We introduced the C++ application ranger and its corresponding R package. Out-of-bag prediction errors and variable importance measures obtained from ranger and a standard implementation were very similar, thereby demonstrating the validity of our implementation. In simulation studies we demonstrated the computational and memory eﬃciency of ranger. The runtime scaled best for the number of features, samples, trees and the mtry value, and we are not aware of any faster RF implementation for high dimensional data with many features. The number of trees required for the analysis depends on several factors, such as the size of the dataset and the aim of the study. However, runtime and memory usage might also have aﬀected the choice of the number of trees and other parameters. With faster implementations available, these computational challenges can be tackled. Computational details. A 64-bit linux platform with two Intel Xeon 2.7 GHz CPUs, 8 cores each, 128 GByte RAM and R 3.1.2 (R Core Team 2014) was used for all computations. For all analyses, the computing node was used exclusively for that task. The runtime of ranger 0.2.5, Random Jungle 2.1.0 (Kruppa et al. 2014b), randomForest 4.6-10 (Liaw and Wiener 2002), randomForestSRC 1.6.1 (Ishwaran and Kogalur 2015), Rborist 0.1-0 (Seligman 2015) and bigrf 0.1-11 (Lim et al. 2014) was compared using microbenchmark 1.4-2 (Mersmann 2014). For visualization, ggplot2 1.0.0 (Wickham 2009) was used. Figure 4 was created using BatchJobs 1.5 (Bischl et al. 2015). For Tables 1 and 2 all packages were run in separate sessions. Memory usage was measured using the Linux command smem. For the R packages, the garbage collector was called with the function gc() after data preprocessing. To obtain the reported memory usages in Tables 1 and 2, the memory usage after the gc() call was subtracted from the maximum usage during RF analysis. Acknowledgments This work was supported in part by the European Union (HEALTH-2011-278913) and by the DFG Cluster of Excellence "Inﬂammation at Interfaces". The authors are grateful to the editor and two anonymous referees for helpful comments and to Inke R. K¨onig and Silke Szymczak for valuable discussions. References Aulchenko YS, Ripke S, Isaacs A, Van Duijn CM (2007). "GenABEL: An R Library for Genome-wide Association Analysis." Bioinformatics, 23(10), 1294–1296. Bischl B, Lang M, Mersmann O, Rahnenf¨uhrer J, Weihs C (2015). "BatchJobs and BatchExperiments: Abstraction Mechanisms for Using R in Batch Environments." Journal of Statistical Software, 64(11), 1–25. URL http://www.jstatsoft.org/v64/i11/. Bosch A, Zisserman A, Muoz X (2007). "Image Classiﬁcation Using Random Forests and Ferns." In ICCV 2007. IEEE 11th International Conference on Computer Vision, pp. 1–8. IEEE Computer Society, Washington, DC, USA. Breiman L (2001). "Random Forests." Machine Learning, 45(1), 5–32. Breiman L, Cutler A (2004). Random Forests. Version 5.1, URL http://www.stat. berkeley.edu/~breiman/RandomForests/cc_software.htm. Eddelbuettel D, Fran¸cois R (2011). "Rcpp: Seamless R and C++ Integration." Journal of Statistical Software, 40(8), 1–18. URL http://www.jstatsoft.org/v40/i08/. Harrell FE, CaliﬀRM, Pryor DB, Lee KL, Rosati RA (1982). "Evaluating the Yield of Medical Tests." JAMA: The Journal of the American Medical Association, 247(18), 2543–2546. Hothorn T, Hornik K, Zeileis A (2006). "Unbiased Recursive Partitioning: A Conditional Inference Framework." Journal of Computational and Graphical Statistics, 15(3), 651–674. Ishwaran H, Kogalur U (2015). randomForestSRC: Random Forests for Survival, Regression and Classiﬁcation. R package version 1.6.1, URL http://CRAN.R-project.org/ package=randomForestSRC. Ishwaran H, Kogalur U, Blackstone E, Lauer M (2008). "Random Survival Forests." Annals of Applied Statistics, 2(3), 841–860. Knuth DE (1985). The Art of Computer Programming, volume 2. Addison-Wesley, Reading. ISBN 978-0-201-03822-4. Kruppa J, Liu Y, Biau G, Kohler M, K¨onig IR, Malley JD, Ziegler A (2014a). "Probability Estimation with Machine Learning Methods for Dichotomous and Multicategory Outcome: Theory." Biometrical Journal, 56, 534–563. Kruppa J, Liu Y, Diener HC, Holste T, Weimar C, K¨onig IR, Ziegler A (2014b). "Probability Estimation with Machine Learning Methods for Dichotomous and Multicategory Outcome: Applications." Biometrical Journal, 56, 564–583. Kruppa J, Schwarz A, Arminger G, Ziegler A (2013). "Consumer Credit Risk: Individual Probability Estimates Using Machine Learning." Expert Systems with Applications, 40(13), 5125–5131. Liaw A, Wiener M (2002). "Classiﬁcation and Regression by randomForest." R News, 2(3), 18–22. Lim A, Breiman L, Cutler A (2014). bigrf: Big Random Forests: Classiﬁcation and Regression Forests for Large Data Sets. R package version 0.1-11, URL http://CRAN.R-project.org/ package=bigrf. Malley J, Kruppa J, Dasgupta A, Malley K, Ziegler A (2012). "Probability Machines: Consistent Probability Estimation Using Nonparametric Learning Machines." Methods of Information in Medicine, 51(1), 74. Mersmann O (2014). microbenchmark: Accurate Timing Functions. R package version 1.4-2, URL http://CRAN.R-project.org/package=microbenchmark. Nicodemus KK, Malley JD, Strobl C, Ziegler A (2010). "The Behaviour of Random Forest Permutation-based Variable Importance Measures Under Predictor Correlation." BMC Bioinformatics, 11(1), 110. Purcell S, Neale B, Todd-Brown K, Thomas L, Ferreira MA, Bender D, Maller J, Sklar P, De Bakker PI, Daly MJ, et al. (2007). "PLINK: A Tool Set for Whole-genome Association and Population-based Linkage Analyses." The American Journal of Human Genetics, 81(3), 559–575. Qi Y (2012). "Random Forest for Bioinformatics." In C Zhang, Y Ma (eds.), Ensemble Machine Learning, pp. 307–323. Springer-Verlag, New York. ISBN 978-1-4419-9325-0. R Core Team (2014). R: A Language and Environment for Statistical Computing. R Foundation for Statistical Computing, Vienna, Austria. URL http://www.R-project.org/. Salford Systems (2013). Salford Predictive Modeler Users Guide. Version 7.0, URL http://www.salford-systems.com. Schwarz DF, K¨onig IR, Ziegler A (2010). "On Safari to Random Jungle: A Fast Implementation of Random Forests for High-dimensional Data." Bioinformatics, 26(14), 1752–1758. Seligman M (2015). Rborist: Extensible, Parallelizable Implementation of the Random Forest Algorithm. R package version 0.1-0, URL http://CRAN.R-project.org/package= Rborist. Therneau TM, Grambsch PM (2000). Modeling Survival Data: Extending the Cox Model. Springer-Verlag, New York. ISBN 978-0-387-98784-2. Wickham H (2009). ggplot2: Elegant Graphics for Data Analysis. Springer-Verlag, New York. ISBN 978-0-387-98140-6. Zhang H, Wang M, Chen X (2009). "Willows: A Memory Eﬃcient Tree and Forest Construction Package." BMC Bioinformatics, 10(1), 130. Ziegler A, K¨onig IR (2014). "Mining Data with Random Forests: Current Options for Realworld Applications." Wiley Interdisciplinary Reviews: Data Mining and Knowledge Discovery, 4(1), 55–63. A. Additional ﬁgures 0.150 8e−04 Figure 6: Validation of ranger from the simulation study for regression forests. Boxplots (median, quartiles, and largest non outliers) are displayed for ranger and the randomForest R package. Left: Gini importance for the 5 variables simulated with non-zero eﬀect. Right: permutation importance for the same variables in the same data. B. Multicore randomForest code ``` mcrf <- function(y, x, ntree, ncore, ...) { ntrees <- rep(ntree%/%ncore, ncore) + c(rep(0, ncore-ntree%%ncore), rep(1, ntree%%ncore)) rfs <- mclapply(ntrees, function(n) { randomForest(x = x, y = y, ntree = n, ...) }, mc.cores = ncore) do.call(combine, rfs) } ``` Aﬃliation: ``` Andreas Ziegler Institut f¨ur Medizinische Biometrie und Statistik and Zentrum f¨ur Klinische Studien Universit¨at zu L¨ubeck Universit¨atsklinikum Schleswig-Holstein, Campus L¨ubeck Ratzeburger Allee 160 23562 L¨ubeck, Germany and School of Mathematics, Statistics and Computer Science University of KwaZulu-Natal Durban, South Africa Telephone: +49/451/500-2780 Fax: +49/451/500-2999 E-mail: email@example.com ```
Sunridge Court \| Contents Key facts What to expect from this guide We understand that looking into care homes can be overwhelming as there is a lot of information to take in. At Jewish Care, we want to make this process as easy as possible for you. This guide gives you all the important information you need to know about our care home, Sunridge Court, to help you make the right decision for you. If you want to speak to someone to help you, please call us on 020 8922 2222 or email email@example.com Key facts About Sunridge Court Sunridge Court is located in Golders Green and has an excellent reputation in the local community. Our objective has always been that we care for our residents as we would like our own family members to be cared for. In achieving this we create a warm and homely atmosphere where nothing is too much trouble. Our home is part of the wider Jewish community, working alongside many local synagogues and day centres ensuring that our residents have their spiritual and cultural needs met at all times. Our care home is regulated To help us make sure we provide a good quality service, the Care Quality Commission (CQC) monitor, inspect and regulate the care home on an ongoing basis. They publish their findings, including a rating to help people choose their care. You can read the CQC's full report about our care home by visiting jewishcare.org/sunridge The latest overall CQC rating for Sunridge Court is Good All care homes that are regulated by the CQC have a Registered Manager, who is qualified and able to effectively manage the care home. Our Registered Manager for Sunridge Court is Grace Ramalho The Registered Provider is the organisation that is responsible for overseeing the running of the care home. The Registered Provider for Sunridge Court is Jewish Care The needs the care home caters for Sunridge Court offers personal care for older people.. What is 'personal care'? Personal care is for people who require help with daily activities such as washing, getting dressed, eating and drinking, getting around and interacting with others. Before you move into the care home, we will thoroughly assess your care and support needs to determine the category and level of care you require. This may be reviewed if your needs change over time. Defining 'permanent' and 'short stay' care There are two types of residency in our care homes; permanent and short stay. Most of the care home residents across Jewish Care are permanent, which means they live in the care home on a long-term basis. Some residents choose to stay in our care homes for a temporary period, which is called short stay care (also known as respite care). This can be for any number of reasons, such as helping family carers to have a break from caring. The availability of short stay care is limited across our care homes. Short stay care at Sunridge Court We have a dedicated bedroom for short stays at Sunridge Court. If you are interested, please contact us to see if we have any availability at this time. What is the layout of the care home? Your room is one of 45 single bedrooms across the care home. The bedrooms are spread over two purpose-built floors and one extension. The home operates as one whole unit. The care home has an open-plan living area which residents use to chat and develop friendships. There is a large, bright dining room and sun lounge overlooking the beautifully landscaped gardens to be enjoyed throughout the year. Making you feel at home We know it is important to have your own personal space where you can relax and enjoy some alone time if you wish to. All our bedrooms are single rooms, meaning we will never ask you to share your room with another resident (so you can maintain your privacy). Your bedroom comes unfurnished so you are free to personalise your own space as you wish. Your bedroom also has an en-suite wet room with a toilet, sink and shower. Television You are welcome to bring a television for your room, where there is a plug socket and aerial already in place. If you are a short stay resident, we will provide a television in your room for you. Telephone You can also bring a landline telephone to connect in your room. You will need to arrange the line rental directly with BT and you will be responsible for paying the phone bill. Internet connection in your bedroom directly with the broadband supplier of your choice. You can use the free Wi-Fi available in the communal areas of the building. You are welcome to arrange your own internet Things to do in the care home We want to help you continue to take part in your favourite hobbies as well as help you to discover new ones. In our care home there is a large variety of activities and entertainment that you can enjoy. We have an amazing Engagement and Wellbeing Team who organise an exciting and varied activities programme for you to choose from. There is something for everyone and we encourage you to take part in as many activities as you wish. We also encourage you to suggest new activities you would like to do, so we can make sure that living in the care home is as stimulating and enjoyable as it can be to enhance your wellbeing. Sample activities timetable Here is an idea of some of the activities and entertainment taking place over the course of a week. Monday: Art session, bingo, reading group Tuesday: Bingo, movies, speaker Wednesday: Holistic therapy, discussion group Thursday: Classical music, cookery session, yoga Friday: Morning exercise, gardening Saturday: Shabbat service Sunday: Live musical entertainment The actual activities on offer may change over time and will vary from week to week. There are also many more activities in the programme, which you will be able to choose from each week. Our staff Our professional staff are dedicated to giving you support and care, so you can continue to live a full and meaningful life. They work hard to make sure your needs and choices are met, and they take great pride in their work. Our team are also on hand to help you settle in, making sure you have an easy and smooth move. We are proud of the diversity of our staff and our good staff-to-resident ratio. Staffing levels There are always care staff in the care home, both day and night. During the day there are usually eight residential care workers, overseen by a team of assistant managers. During the night there are usually four residential care workers, overseen by one assistant manager. These staffing levels apply during the week and on weekends, when the care home is fully occupied. The staffing levels may be lower when the care home is not at full occupancy. The care staff are overseen by a Registered Manager who works during the day with occasional night visits. The Registered Manager is on call when they are not in the care home. Staff training and qualifications Our staff receive ongoing in-house training to reflect current research and guidelines on good practice, as well as training in the Jewish way of life. Our staff are all trained to a minimum of NVQ 2 in Health and Social Care with many of our long serving staff having more extensive qualifications in care and management. Technology that supports our staff Our staff are assisted by technology to help them deliver a comprehensive and effective service. Managing your care All our care homes at Jewish Care use electronic care planning. This is a modern system that provides many benefits to you and the quality of care you receive. You will see the care staff using handheld devices to access and update your care plan and your records in real time. Sunridge Court \| Our staff Your care plan is a record of your medication, preferences, needs and the care provided to you. This includes any information that helps us to provide you with high quality care and support, such as your food preferences, your hobbies and your daily routine. Having electronic care planning means that your records are updated straight away. This means staff spend less time doing paperwork, providing them more time to give you care and support. It also means the management team have a quicker and clearer overview of your day-to-day care and that handovers between shift staff happen more quickly and accurately. This ensures the continuity of your care when shift changes occur and that the quality of your care can be easily monitored without delay. Your call system and sensors To help us ensure your safety, your bedroom is fitted with a 24-hour call system with the option of sensors if needed. These are programmed to alert staff if you were to need urgent help whilst in your room. Funding your care Funding, fees and other costs We understand that the process of paying for residential care can be complicated. We are here to help if you have any questions about how your care can be funded. We can explain the funding, guide you through the process of making a funding application, and offer you support. Please note that we do not offer financial advice. Call us on 020 8922 2222 or email firstname.lastname@example.org What funding do we accept? There are three main ways a place can be funded at our care home; self-funding, local authority funding and NHS Continuing Care funding. Self-funding This means you pay the full amount without any funding from your local authority or NHS. You are considered to be a self-funding resident if you have assets above £23,250. Local authority funding Your local authority can be approached to fund your placement. Anyone who has under £23,250 in savings or assets e.g. in banks, building societies, Sunridge Court \| Funding, fees and other costs property or shares is eligible for local authority funding. If your assets exceed that sum then you will be a self-funder. However, if you are funded by the local authority, during the first 12 weeks of a placement the value of your home will not be taken into account (whilst it remains unsold). This is known as 'The 12 Week Property Disregard.' This provides that the local authority will pay the fees for 12 weeks of care in a residential home, when a person is in care and owns a property in which no dependant is living. If you are funded by the local authority, the 12 Week Property Disregard is designed to give you breathing space to prepare your property for sale or decide whether you want to sell. Your local authority will pay your care home fees for these 12 weeks, or until your property sells (if sooner). Family contribution Often, your local authority will not cover the full cost of your care, so there will be a shortfall between the amount they pay and the full cost of care. Your family will be asked to contribute towards this shortfall, and this is known as a 'family contribution'. Please note, we will never approach a resident's spouse for a 'family contribution'. For further information, please contact the Living with Jewish Care Team on 020 8922 2222 or email email@example.com NHS Continuing Care funding NHS Continuing Care funding is the name given to a package of care that is arranged and funded solely by the NHS. This is for people who do not need to be in hospital but have complex and ongoing healthcare needs. Fees 1 April 2022 – 31 March 2023 Here are the weekly fees associated with living in the care home: Personal care is £1,399.44 per week If there is short stay care available: Short stay personal care is £1,549.44 per week Care home fees are for guidance only and are determined by the type of care provided, the home and the level of facilities within each home. The services included in the fees n Care according to your personalised care plan. If you have additional care needs there may be additional fees to meet these. We will assess your needs and discuss with you any additional fees involved n Kosher food, drink and snacks, including special diets n Bedroom accommodation with housekeeping n Full use of communal areas n Joining in with the activities programme. You may be asked to make a financial contribution to the cost of some special activities or excursions n Assistance with washing, bathing, medication and other personal daily activities n Laundry service by machine washing. Excludes dry cleaning n Regular on-site GP surgeries and consultations n Assistance with booking special escort services, such as for medical appointments outside of the care home. You are responsible for paying charges made by escort services n Liaison with your health professionals. However, you are responsible for paying any charges made by these professionals Services available for an additional fee The following items and services are not included in the fees, but we can still arrange for them to be provided. We will always tell you how much they cost before you agree to pay for them. You can find our price guide for optional extra items and services on our website, in your user guide when you move into the care home, or at the care home's reception. n Personal items (e.g. clothes, toiletries and newspapers) n Hairdressing n Chiropody n Medication, equipment and prescription charges n Private car hire and taxi service n Telephone line installation and service charges n Television and subscriptions (unless you are a short stay resident) n Staff assistance and escorts for medical appointments and your private outings outside of the care home n Special equipment not available in the home, such as bespoke recliner chairs, wheelchairs and medical aids n Staff employed directly by you or your family n Additional staffing costs to provide one to one care, or other additional care over and above the standard level of care n Meals and refreshments for visiting family and friends n You may be asked to make a financial contribution to the cost of some special activities or excursions Deposit 1 April 2022 – 31 March 2023 We ask all permanent self-funding residents to pay a security deposit of four week's fees. Residents who are not self-funding are not required to pay a deposit. How much is the deposit? For personal care the deposit is £6,080.90 Why do we charge a deposit? The deposit helps us to cover any damages and excessive wear and tear to the room. It also covers any unpaid fees or other instances where our terms and conditions have not been met. Jewish Care holds the deposit in its main bank account and is secured by our reserves policy. When is the deposit refunded? The deposit is refunded without interest when you leave the care home. It is also refunded if you are a self-funder and your funding changes to local authority or NHS funding. Jewish Care aims to refund the deposit within six to eight weeks of your room being vacated or your funding changing. We will tell you in advance if it is going to take longer. Jewish Care may deduct any amount that is outstanding to be paid. Deposit for short stay residents If you are a self-funding short stay resident, we do not ask you to pay a security deposit. Instead, you will be asked to pay a £100 holding deposit to secure your booking. When you move into the care home, we will deduct the deposit amount from your fees. If you choose to cancel your booking, we will refund the deposit if you cancel at least 28 days before your admission date. What are the next steps? You should now have a good overview about living at Sunridge Court. Important additional information about Sunridge Court will be provided before you make your decision and may be found on our website. You can take a look at our standard terms and conditions for care home residents by visiting jewishcare.org/terms-conditions Get in touch The Living with Jewish Care Team is here to support you with your next steps. Please contact us if you want to: n Ask a question n Explore your options n Look around the care home n Make an application They will have a conversation with you to check that this is the best route to meet your needs and to see if there is anything else we can support you with. Call us on 020 8922 2222 or email us at firstname.lastname@example.org Notes Notes 03/22 Supporting you with your Care Home enquiry Choosing a Care Home doesn't need to be stressful. Our helpful, understanding and supportive advisors offer free advice on anything from funding to finding just the right Jewish Care home for you. Call us on020 8922 2222 or email email@example.com We will then assess your situation and help answer any questions you may have about you or your loved one's needs, along with advice on how to fund your care You can then book one or more visits to our homes that might be right for you or your loved one If you would like to proceed, our Care Home Assessor will then carry out a full care assessment, they will also help support you with completing the application forms, and guide you through the next steps At any stage in the process we are there to help you and answer any concerns or questions you have Jewish Care, Amélie House, Maurice and Vivienne Wohl Campus, 221 Golders Green Road, London NW11 9DQ Charity Registration Number 802559 \| Registered in England Number 2447900 Registered address: as above
EFFECT OF WHEEL IMPACT LOADING ON SHATTERED RIMS Daniel Stone Cameron Lonsdale Chief Metallurgist Transportation Technology Center, Inc. 55500 DOT Road Pueblo, CO, USA 81001 Technical Manager-Railway Products Standard Steel 500 North Walnut Street Burnham, PA, USA 17009 Ph: 719-584-0704 Fax: 719-584-0791 E-mail: email@example.com Ph: 717-242-4298 Fax: 717-248-2580 E-mail: firstname.lastname@example.org Semih Kalay Assistant Vice President-Research and Development Transportation Technology Center, Inc. 55500 DOT Road Pueblo, CO, USA 81001 Ph: 719-584-0717 Fax: 719-584-0580 E-mail: email@example.com SUMMARY This paper reviews proposed formation mechanisms for shattered rim defects in railway wheels and describes past research efforts that were conducted to better understand such defects. It appears that impact loading, among other factors, is a major factor in the initiation of shattered rim defects in wheels. Association of American Railroads (AAR) MD-115 form failure data and AAR 1999 Car Repair Billing (CRB) data are discussed to provide information on the service frequency of shattered rim defects. Railroad wheel impact data, generated from wheel tread defects and recorded by wayside impact detectors in service is presented and is used to estimate shattered rim crack fatigue life. Key Words: Shattered Rim Defects, Wheel Impact, Wheel Tread, Wayside Impact Detectors INTRODUCTION Shattered Rim Defects in Railway Wheels Shattered rims, which rarely occur in North American railway service, are still an important safety concern for railroads. Such defects can lead to train derailments at high speed, and therefore are worthy of further study to better understand the mechanisms and the conditions under which they initiate. Once shattered rims initiate in the wheel rim, propagation occurs rapidly under normal wheel loading. To initiate cracking, however, a large load, such as an impact, may be required. 1 Shattered rim fatigue cracks historically have initiated at voids and porosity in cast wheels and at aluminum oxide inclusions in forged wheels. Initiation depth is typically 12 to 20 millimeters (1/2 to 3/4 inches) below the wheel tread surface, and propagation occurs roughly parallel to the wheel tread surface. Shattered rims are often noted when cracking exits the front rim face. Complete fracture of a section of the wheel rim can also occur. An examination of shattered rim fracture surfaces normally reveals obvious fatigue crack "beach marks," also referred to as a "clamshell pattern." If service damage is not too extensive, the crack initiation site is often clearly visible as Figure 1 shows. Recent attention has centered upon the size of discontinuity that will be sufficient to initiate a shattered rim, and to the types of stresses that are responsible for the cracks. 2,3,4,5 This paper focuses primarily on the role of wheel/rail impacts caused by shells/spalls, slid flats, built up tread and out-of-round wheels on shattered rim initiation. AAR MD-115 DATA The AAR wheel failure database, consisting of MD-115 failed wheel reports submitted from field railroad locations, can be used to determine the occurrence of shattered rims in North America. Figure 2 shows the number of shattered rims reported on AAR MD-115 forms in 1999 as a function of percent remaining in rim thickness. Note that the failure distribution for shattered rims is bimodal, with most failures occurring when the wheels have greater rim thickness and thus are newer. This suggests that most shattered rims are infant mortality failures that occur primarily due to a void or inclusion of the critical size necessary to cause initiation. However, an important additional related factor is the phenomenon of "bonus metal" being supplied on new wheels. Although the AAR minimum rim thickness for new wheels is a fixed measurement, added rim thickness metal may be present on new wheels. Thus, if the percentage of remaining rim thickness on shattered rim wheels is calculated using the AAR minimum value instead of a larger "actual" value, higher percent remaining rim thickness values will result. This skews results somewhat showing failures occurring in "new" wheels. Also noted in Figure 2 is a second peak of shattered rim failures that occurred when the percent remaining rim thickness was much less, thus later in wheel life. Recent research work, described later, has suggested that these late-life failures may be due to impact-related cracks forming in wheels and not being removed by subsequent tread re-profiling operations. 6 When wheels are returned to railroad service, the already initiated cracks propagate to form shattered rims. A graph of Standard Steel's 1999 MD-115 report wheel failure data showing the number of shattered rims versus percent remaining rim thickness has a similar appearance to the graph shown in Figure 2. However, there are no Standard Steel shattered rim failures seen at low percent remaining rim thickness values, and the distribution is not bimodal. AAR CAR REPAIR BILLING DATA AAR's car repair billing data (CRB) is also useful in examining the frequency of the shattered rim problem. CRB data consist of those freight car repairs made between railroads as "foreign repairs" or by railroads on privately owned cars. In general, repairs made by private car shops are not included in CRB data and similarly, railroad homeline "system" repairs are not included. It is estimated that only 40% of the total number of North American wheel change-outs are included in CRB data. Shattered rims totaled 301 wheels in 1999; and 511,299 CRB wheel removals occurred. This means that shattered rims accounted for only 0.059% of all removals during 1999. Shattered rims are identified in the CRB data as why made code 71 repairs. However, it is believed that some number of why made code 68 (cracked rims) repairs (531 total in 1999) are actually shattered rims due to misidentification in the field. The cracked rim category will contain other defects that are not shattered rims. Thus, the actual number of CRB shattered rims is likely somewhat higher, although still a small percentage of total wheel removals. Other issues related to 1999 AAR CRB data are reviewed in a recent paper presented by the Railway Wheel Manufacturers' Engineering Committee (RWMEC). 7 A review of 1999 CRB wheel removal data by job code was conducted for 289 why made code 71 wheels. The data shows that for the shattered rim wheels, 179 were heat-treated wheels and 110 were the no longer produced untreated wheels. Further, 230 of them were curved plate while 59 were straight plate. These data show that straight plate wheels, though a diminished portion of the total wheel population due to accelerated removal efforts, comprise approximately 20% of shattered rim wheels. Since the AAR estimates that approximately 5% of all wheels currently in service are straight plate, these wheels appear to fail more frequently for shattered rims and cracked rims. Similarly, untreated wheels are shown to make up around 40% of both cracked rims and shattered rims whereas their AAR estimated population is only 15% of all wheels in service. Both straight plate and untreated wheels have been in service for many years and are nearing the end of their useful wear life. An analysis of 1999 AAR CRB data by car type was conducted for shattered rims (see Figure 3). It is interesting to note that covered hoppers have more wheels removed for shattered rims, which may be attributed to the cars being moved with their hand brakes applied. The trends are not so clear for other types of cars and definitive conclusions are hampered by the following factors: * CRB repairs tend to include a greater percentage of private car repairs (tank cars, articulated cars, flatcars) than railroad-owned cars. * The mileage traveled per car (fatigue cycles) can be very different depending on the type of service, particularly for intermodal flatcars, articulated container cars, and unit-train coal cars. Covered hoppers and tank cars that represent the largest numbers of cars in the fleet are typically low mileage cars. * CRB repairs tend to include fewer system hopper and coal gondola repairs since these repairs are often made by home railroads and thus are not reported to the AAR. * Although some cracked rims are likely misreported as shattered rims, other causes (such as brake system problems) can contribute to the incidence of cracked rim wheel defects. * Certain types of low-mileage cars are known to have a greater percentage of older, inferior straight plate wheels. Figure 4 shows graphical 1999 CRB data for the number of shattered rim wheels removed versus the year the wheels were manufactured. Note that there is a large peak of removals that grew from 1986 to 1992. This is probably associated with the discontinuation of periodic air brake testing, which resulted in an increase of wheel flats. The implementation of an improved repair track air brake test in 1992 and periodic single car air brake testing in 1992 has resulted in a continued reduction. Additionally, this peak may be associated with the extensive car building boom in the early 1990's that would result in a greater population of wheels being put into service. The graph also has a second peak in the early 1980's, and this suggests that these wheels are nearing the end of their useful wear life. CRB data was then analyzed to see if the frequency versus percent remaining rim thickness trend shown for AAR MD-115 data was consistent. AAR minimum rim thickness was assumed for the initial rim thickness value, and rim thickness at removal was obtained from the database. Figures 5 and 6 show the results for shattered rims in one- and twowear wheels, respectively. Note that the one-wear wheels in Figure 5 do not show as strong a bimodal distribution as either the MD-115 data or the two-wear wheel data in Figure 6. The reason for this difference remains unexplained. Figure 4. Number of 1999 CRB Shattered Rim Wheels vs. Year Manufactured WAYSIDE IMPACT DETECTOR DATA Use of wayside impact load detectors by North American railroads has resulted in the removal of high impact wheels that damage bearings, lading, rail, other mechanical components, and the wheels themselves. Current AAR rules allow wheels to be removed for "why made code 67 (out-of-round)," if a wheel impact load detector reading greater than 40,800 kg (90,000 pounds) is noted, and if verified out-ofround "runout" exceeds 1.8 mm (0.070 inches). 8 Such defects are the responsibility of the car owner. However, slid flats, built up tread and shells/spalls can also lead to high impact loads being imposed upon the wheel tread. Table 1 shows 1999 AAR CRB data for wheel defects that can cause tread impacts. Shelling/spalling defects have increased dramatically in recent years and thus the number of wheels that have experienced high impact loads has similarly increased. Table 1. 1999 CRB Wheel Removal Data for Wheels that Cause High-Impact Loads \| 67 = out-of-round \| 2,554 \| \|---\|---\| \| 75 = shelling \| 80,298 \| \| 76 = tread built-up \| 9,131 \| \| 78 = tread slid flat \| 27,018 \| The Canadian National (CN) Railway has seen that out-of-round wheels with "healed" shells, where tread metal flows over and smoothes tread craters, can lead to impacts as high as 90,300 kg (199,000 pounds). 9 They also note that wheel impacts over 45,400 kg (100,000 pounds) are 10 times more common in winter than in summer. CN found that 87% of their wheel impact readings (for 32,040,106 total wheels examined) were less than 17,700 kg (39,000 pounds). The highest impact wheels, with 68,000 kg (150,000 pounds) impact and above, made up only 0.0007% of the total. However, as noted by the authors, 0.0007% still represents a significant number of wheels. Since the CN impact detectors evaluated 32,040,106 wheels, 0.0007% wheels with the highest impact translates to approximately 225 wheels. Further, it was noted that approximately 0.038% (more than 12,000 wheels) of the total CN wheels had impacts greater than 45,350 kg (100,000 pounds). Approximately 3.5% of the wheels (more than 1.1 million wheels) had impacts greater than 22,700 kg (50,000 pounds). All of these wheels experienced stresses well above loads associated with the normal static wheel load 16,200 kg (35,750 pounds) for a 129,700 kg (286,000 pounds) gross rail load car. Early experience with wheel impact load detectors showed that a large percentage of high impact wheels were not condemnable under AAR rules, 10 although such detectors were effective at finding high impact wheels. More recent testing at TTC's Facility for Accelerated Service Testing using condemnable and non-condemnable service worn wheels and wheels with manufactured defects produced additional data. Sizes of tread defect and train speed were found to be very important. 11 Larger flat spots and higher speeds led to higher impact loads. PAST SHATTERED RIM RESEARCH AND ALLOWABLE DEFECT SIZE Recent technical papers have suggested that the critical defect size necessary to initiate a shattered rim is 1 mm (0.04 inch) in diameter. 2,3 Marais of Spoornet applied a local strain approach to the problem of shattered rim growth in cast wheels. 2 Spoornet's field experience has been that shattered rims have been caused by 1-mm (0.04 inch) voids and a tightening of ultrasonic requirements is said to have eliminated their occurrence. Lunden calculated the size of a "safe" crack length in the wheel rim to be 1 mm (0.04 inch) in diameter. 3 His crack growth analysis was based upon use of stress intensity factors and took into account crack surface friction and wheel/rail friction. Lixian et al. 4 proposed a crack initiation process for shattered rims in forged wheels and use of the Murikami criterion 12 for crack initiation calculations. In their initiation model, the wheel rim crack first forms at the inclusion/matrix interface of a ball-shaped aluminum oxide inclusion. DYNAMOMETER RESEARCH Researchers at the technical facility of a major cast wheel manufacturer have been successful in creating "shattered rim like" defects on a laboratory dynamometer. 6 Shattered rims have been generated at very low-mileage levels, less than 24,000 km, (15,000 miles) for applied rolling wheel loads above 63,500 kg (140,000 pounds). In one test case, 16,300 kg (36,000 pound) wheel loading was applied for 64,000 km (40,000 miles) and was followed by 49,900 kg (110,000 pound loading) for 9,600 km (6,000 miles). Since an internal flaw was discovered at 9,600 km (6,000 miles) using ultrasonic testing, wheel loading was then returned to the 16,300 kg (36,000 pound) level for 10,700 km (6,700 miles) until failure occurred. Although the applied load was not a dynamic one as would be experienced by a wheel with a flat spot in actual railroad service, the results suggest that higher load levels can influence shattered rim initiation. IMPACTS AND SHATTERED RIM LIFE A 914-mm (36 inch) diameter freight car wheel (H36) has a circumference of approximately 2.87 m at the tread surface. Therefore, a point on the wheel tread experiences approximately 350 cycles per km traveled. Using the data from the dynamometer experiments, 6 we note that shattered rim failure for three data points occurred at an approximate average of 16,000 km (10,000 miles or 5,620,000 cycles) for an applied dynamometer loading of 150,000 pounds (68,000 kg). In another paper analyzing the crack growth rate of shattered rims, two calculations were made. 1 The first calculation used the rolling contact shear stress at 12 mm below the surface, and the second used an alternating stress equal to the endurance limit based on the Murikami criteria. 12 The results gave a first approximation of the growth rates of a shattered rim crack. The alternating shear stress gave a life of 24,000,000 cycles or 69,000 km (42,700 miles). The calculation assuming an alternating stress equal to the Murikami endurance limit gave a life of only 11 cycles to grow a 10-cm (3.5 in.) crack that is clearly incorrect for crack propagation. Therefore, it would appear that wheel impacts may be the major contributor to crack initiation while normal rolling load stresses can produce crack propagation. IMPACT FATIGUE - INITIATION AND GROWTH A recent paper by Yu et al. reviewed the effects of impact fatigue on metallic materials. 13 Impact fatigue strength, crack initiation and propagation under conditions of impact fatigue were discussed. The authors stated that crack growth rates are usually higher for impact fatigue than non-impact fatigue and that the loading time for impact fatigue is much shorter than for ordinary fatigue (0.1 to 1%). Fracture of materials under repeated impacts is said to have similar fatiguefracture characteristics to non-impact fatigue, but stress concentrations cause impact fatigue life to decrease significantly. A graph in the paper suggests that impact fatigue endurance limit stress amplitude is approximately 1/3 lower than that for ordinary fatigue at hardness values (approximately 320 Brinell) similar to hardness values used for wheel steel. 13 The crack initiation life of notched specimens is less for impact fatigue than it is for ordinary fatigue, but the reverse is true for smooth specimens. The authors also state that impact fatigue life increases with longer loading time for notched specimens and that impactfatigue initiation is longer for stress ratio R=0 than it is for stress ratio R=-1 (completely reversed stress) at the same maximum stress level. With regard to fatigue crack growth, Yu et al. state that for a greater stress range ∆σ there is a higher impact fatigue growth rate. 13 In the area of fatigue growth associated with the higher ∆K region, a longer loading time speeds up the impact fatigue crack growth rate. This implies that impacts with greater magnitude and greater size will be more damaging (in terms of remaining life reduction) for a wheel nearing brittle fracture at the end of the fatigue growth process. A larger defect will spend more time delivering the wheel/rail impact force than a smaller defect that causes a quick "spike." The paper also reported that the transition from "tough" to brittle fracture takes place at lower values of ∆K (hence earlier in the fatigue growth process) for impact fatigue than for non-impact fatigue in a Fe3Si steel. 13 This transition means that the steel's impact fatigue strength is lower, the fatigue crack growth rate increases for impact conditions, and the tendency to fracture in a brittle manner is greater. In this earlier stage of the fatigue crack growth process, increasing the loading rate and decreasing the temperature increases the brittle fracture trend. For wheels, this means that higher speeds, greater impacts, and colder temperatures provide the worst conditions with respect to impact fatigue crack growth. IMPACTS AND ENDURANCE LIMIT The question now becomes how to account for the more damaging effects of impact loading on the wheel rim, particularly when a stress concentration such as a void or inclusion is present within the volume. Clearly the presence of a stress concentration in a wheel rim is more similar to a notched impact fatigue specimen than a smooth one. The modified Murikami equation 14 allows for calculation of the fatigue endurance limit for steels with internal three-dimensional defects and is shown below: where, σ w is the fatigue endurance limit, Hv is the Vickers hardness, area is the cross sectional area of the inclusion in µm 2 , R is the stress ratio, and α = 0.226 x Hv x 10 -4 . As a first approximation, we can reduce the "ordinary fatigue" endurance limit by a factor of 1/3 to estimate the effect of impact fatigue on endurance limit reduction. This will also allow for estimation of the effect of impact loads on allowable discontinuity size. Table 2 shows the results. Table 2. Endurance Limit and Defect Size \| Diameter inches \| Diameter mm \| Ordinary Fatigue Strength, MPa \| Impact Fatigue Strength, MPa \| \|---\|---\|---\|---\| \| 1/8 \| 3.18 \| 159 \| 106 \| \| 0.088 \| 2.24 \| 169 \| 113 \| \| 1/16 \| 1.59 \| 179 \| 119 \| \| 0.039 \| 1 \| 194 \| 129 \| \| 1/32 \| 0.79 \| 201 \| 134 \| \| 1/64 \| 0.4 \| 226 \| 150 \| This simple treatment does not take into account the difference in material response between static loading and dynamic, high strain rate loading, but again will serve as a first approximation. We also note that the Murikami equation was designed for tensile loading, not shear loading as would be found below the tread surface in rolling contact fatigue. CONCLUDING REMARKS !!!! It appears that impact loading is the major factor in the initiation of shattered rim defects in wheels. !!!! The high strain rate effect of impact loads probably reduces the endurance limit. It is not known if a simple reduction factor can be applied to the Murikami criteria to account for impact. !!!! As the inclusion or void increases sufficiently to a large size, the necessity of a impact load for crack initiation diminishes. !!!! Once formed, the normal rolling contact stresses are sufficient to produce crack propagation. ACKNOWLEDGEMENTS Thanks to Mr. Richard Sullivan, Chairman of the Railway Wheel Manufacturers' Engineering Committee (RWMEC) for his help with the AAR CRB data presented in this paper. REFERENCES 1. D. H. Stone, "Wheel Shattered Rims-An Interpretive Review," Wheels and Axles, Cost Effective Engineering, ImechE Seminar Publication 2000-20, (London, 2000) pp. 75-84. 2. J. Marais, "Wheel Failures on Heavy Haul Freight Wheels Due to Subsurface Defects," Proceedings of the 12 th International Wheelset Congress, Quingdao, China, 1998, pp. 306-314. 3. R. Lunden, "Cracks in Railway Wheels Under Rolling Contact Load," Proceedings of the 10 th International Wheelset Congress, Australia, 1992, pp. 163-168. 4. Xing Lixian, Zhang Yingzhi and Lin Jizhong, "Study on Rim Fatigue Crack and Prevention," Proceedings of the 12 th International Wheelset Congress, Quingdao, China, 1998, pp. 53-58. 5. D. H. Stone and G. E. Dahlman, "The Effect of Discontinuity Size on the Initiation of Shattered Rim Defects," Rail Transportation 2000, RTD-Volume 19, ASME (New York, 2000) pp. 7-14. 6. Shannon Berge, "Shattered Rim Fracture Research, " Proceedings of the 2000 Brenco Rail Conference, October, 2000. 7. Richard Sullivan, Cameron Lonsdale and John Coughlin, "1999 AAR Car Repair Billing Wheel Removal Analysis," Proceedings of the 2000 Railway Wheel Manufacturers' Engineering Committee Technical Conference, pp. 38-46 8. 2001 Field Manual of the Interchange Rules, AAR, (Washington, 2001) p. 277. 9. E. Clegg and W. G. Blevins, "Wheel Impact Load Detector Experience on CN," American Railway Engineering Association Bulletin, October 1996, pp. 499-523. 10. S. Kalay and A. Tajaddini, "Condemning Wheels Due to Impact Loads: Preliminary Survey – Six Railroads Experience," AAR Report R-754, February, 1990. 11. S. Kalay, A. Tajaddini, A. Reinschmidt, and A. Guins, "Development of Performance-Based Wheel Removal Criteria for North American Railroads," Proceedings of the 11 th International Wheelset Congress, Paris, France, June 18-22, 1995, pp. 227-233. 12. Y. Murikami and H. Usuki, "Quantitative Evaluation of Effects of Non-metallic Inclusions of Fatigue Strength of High Strength Steels. II: Fatigue Limit Evaluation Based on Statistics for Extreme Values of Inclusion Size," Int. J. Fatigue, September, 1989, pp. 299-307. 13. J. Yu, P. K. Liaw, and M. Huang, "The Impact Fatigue Fracture of Metallic Materials," Journal of Metals, April, 1999, pp. 15-18. 14. Y. Murikami and M. Endo, "Effects of Defects, Inclusions and Inhomogeneities on Fatigue Strength," Int. J. Fatigue, Vol. 16, April, 1994, pp. 163-182.
Crown Holdings - Water Security 2021 W0. Introduction W0.1 (W0.1) Give a general description of and introduction to your organization. Crown Holdings, Inc., through its affiliated companies, is a leading supplier of beverage packaging, food packaging, aerosol packaging, metal closures, specialty packaging and transit packaging products to consumer companies around the world. Crown is the leader in metal packaging technology. With operations in 47 countries employing over 33,000 people and net sales of $11.6 billion, Crown operations are divided in four divisions; America, Europe, Asia Pacific and Transit Packaging. W0.2 (W0.2) State the start and end date of the year for which you are reporting data. \| \| Start date \| \|---\|---\| \| Reporting year \| January 1 2020 \| W0.3 CDP Page of 20 1 (W0.3) Select the countries/areas for which you will be supplying data. Australia Barbados Belgium Brazil Bulgaria Cambodia Canada China Côte d'Ivoire Denmark Finland France Germany Ghana Greece Hungary India Indonesia Ireland Italy Jamaica Jordan Madagascar Malaysia Mexico Morocco Myanmar Netherlands New Zealand Poland Portugal Republic of Korea Russian Federation Saudi Arabia Singapore Slovakia Spain Sweden Switzerland Thailand Trinidad and Tobago Tunisia Turkey United Arab Emirates United Kingdom of Great Britain and Northern Ireland United States of America Viet Nam W0.4 (W0.4) Select the currency used for all financial information disclosed throughout your response. USD W0.5 (W0.5) Select the option that best describes the reporting boundary for companies, entities, or groups for which water impacts on your business are being reported. Companies, entities or groups over which financial control is exercised W0.6 (W0.6) Within this boundary, are there any geographies, facilities, water aspects, or other exclusions from your disclosure? Yes W0.6a CDP Page of 20 2 \| Exclusion \| Please explain \| \|---\|---\| \| Out of Crown's 273 global sites, 37 are part of the Transit Packaging division that have small offices and warehouses where water is not used or consumed for production purposes. \| The Transit Packaging division have small sales offices that do not have significant amounts of water use to report, the amount is considered negligible and some do not use water at all. \| W1. Current state W1.1 (W1.1) Rate the importance (current and future) of water quality and water quantity to the success of your business. \| \| Direct use importance rating \| Indirect use importance rating \| \|---\|---\|---\| \| Sufficient amounts of good quality freshwater available for use \| Vital \| Important \| \| Sufficient amounts of recycled, brackish and/or produced water available for use \| Neutral \| Neutral \| W1.2 (W1.2) Across all your operations, what proportion of the following water aspects are regularly measured and monitored? \| \| % of sites/facilities/operations \| Please explain \| \|---\|---\|---\| \| Water withdrawals – total volumes \| 100% \| 100% of Crown's total volume withdrawn is monitored by meters and/or billing. \| \| Water withdrawals – volumes by source \| 100% \| 100% of Crown's total volume withdrawn is monitored and identified by municipal, superficial or groundwater by metering and/or billing. \| \| Entrained water associated with your metals & mining sector activities - total volumes [only metals and mining sector] \| <Not Applicable> \| <Not Applicable> \| \| Produced water associated with your oil & gas sector activities - total volumes [only oil and gas sector] \| <Not Applicable> \| <Not Applicable> \| \| Water withdrawals quality \| 100% \| For sites that use water in their operation, the water entering is monitored and the data is kept within operational controls. As far as specific parameters tested for, the water used in the washers requires a specific standard of hardness and conductivity, free acid, pH and temperature. The water at most locations is tested once per shift, or three times a day. With that, the quality of the water that goes into the process is always monitored and has to be within the specifications for quality control purposes. \| \| Water discharges – total volumes \| 100% \| All Crown's plants that require a wastewater treatment system have records of wastewater quality discharged, according to local compliance requirements and local regulation. Other plants that discharge directly to municipal waste water treatment facilities comply with the municipal discharge requirements. \| \| Water discharges – volumes by destination \| 100% \| The facilities that discharge into rivers have their volumes in 100% compliance with their permits. Crown has 16 sites that discharge water into rivers (only 1 site discharges in the ocean) according to requirements of local permits. 6% of plants discharge to rivers (and ocean) and 94% discharge to municipal waste water treatment plants. Data regarding wastewater volumes and discharge destination is tracked and recorded at the plant level and controlled at regional and corporate level. \| \| Water discharges – volumes by treatment method \| 100% \| Crown's wastewater is treated according to the type of manufacturing processes. 25% of plants treat wastewater using an on-site wastewater treatment system, 58% send wastewater to municipal wastewater treatment plants, 18% do not use water in production and only discharge to the sewage system. \| \| Water discharge quality – by standard effluent parameters \| 100% \| All plants manage discharge parameters required by the local regulations, according to the type of wastewater treatment used and discharge location. Plants that treat wastewater on-site monitor at minimum BOD and COD parameters, in addition to parameters required locally. \| \| Water discharge quality – temperature \| 100% \| By nature of our manufacturing process, our facilities do not yield high temperature water upon discharge. Wastewater discharge temperatures comply with local regulation. \| \| Water consumption – total volume \| 100% \| All of Crown sites keep track of their total water inputs. Municipal, groundwater, rain and surface water are monitored. \| \| Water recycled/reused \| 1-25 \| Crown production processes recirculate water in the washing and rinsing processes, where water is reused within the stages of the washer. Water reuse is capped at 25% in order to maintain sanitation standards. \| W1.2b CDP Page of 20 3 (W1.2b) What are the total volumes of water withdrawn, discharged, and consumed across all your operations, and how do these volumes compare to the previous reporting year? \| \| Volume (megaliters/year) \| Comparison with previous reporting year \| Please explain \| \|---\|---\|---\|---\| \| Total withdrawals \| 9499.55 \| Lower \| For the fiscal year of 2019, the total withdrawal was 9,671.473 megalitres. NOTE - The 2019 data has been adjusted after reporting to CDP due to improvements on the data collection and its accuracy. \| \| Total discharges \| 7292.94 \| Lower \| For the fiscal year of 2019, the total discharge was 7,447.034 megalitres. \| \| Total consumption \| 2206.61 \| Lower \| For the fiscal year of 2019, the total consumption was 2,224.439 megalitres. \| W1.2d (W1.2d) Indicate whether water is withdrawn from areas with water stress and provide the proportion. \| \| Withdrawals are from areas with water stress \| % withdrawn from areas with water stress \| Comparison with previous reporting year \| Identification tool \| \|---\|---\|---\|---\|---\| \| Row 1 \| Yes \| 26-50 \| Lower \| WRI Aqueduct \| W1.2h (W1.2h) Provide total water withdrawal data by source. \| \| Relevance \| Volume (megaliters/year) \| Comparison with previous reporting year \| \|---\|---\|---\|---\| \| Fresh surface water, including rainwater, water from wetlands, rivers, and lakes \| Relevant \| 778.44 \| Lower \| \| Brackish surface water/Seawater \| Not relevant \| <Not Applicable> \| <Not Applicable> \| \| Groundwater – renewable \| Relevant \| 2007.88 \| Lower \| \| Groundwater – non-renewable \| Not relevant \| <Not Applicable> \| <Not Applicable> \| \| Produced/Entrained water \| Not relevant \| <Not Applicable> \| <Not Applicable> \| \| Third party sources \| Relevant \| 9499.55 \| Lower \| W1.2i (W1.2i) Provide total water discharge data by destination. \| \| Relevance \| Volume (megaliters/year) \| Comparison with previous reporting year \| \|---\|---\|---\|---\| \| Fresh surface water \| Relevant \| 1139.49 \| Much lower \| \| Brackish surface water/seawater \| Relevant \| 74.7 \| Higher \| \| Groundwater \| Not relevant \| <Not Applicable> \| <Not Applicable> \| \| Third-party destinations \| Relevant \| 6078.76 \| Higher \| W1.2j CDP Page of 20 4 \| Tertiary treatment \| Relevant \| 6214.68 \| About the same \| 61-70 \| \|---\|---\|---\|---\|---\| \| Secondary treatment \| Please select \| <Not Applicable> \| <Not Applicable> \| <Not Applicable> \| \| Primary treatment only \| Relevant \| 96.36 \| Lower \| 1-10 \| \| Discharge to the natural environment without treatment \| Please select \| <Not Applicable> \| <Not Applicable> \| <Not Applicable> \| \| Discharge to a third party without treatment \| Relevant \| 794.85 \| Lower \| 11-20 \| \| Other \| Relevant \| 154.34 \| Much lower \| 1-10 \| W1.4 (W1.4) Do you engage with your value chain on water-related issues? Yes, our customers or other value chain partners W1.4c (W1.4c) What is your organization's rationale and strategy for prioritizing engagements with customers or other partners in its value chain? Crown prioritizes regulatory and customer engagement and requests and then focuses on partners in our value chain. W2. Business impacts W2.1 (W2.1) Has your organization experienced any detrimental water-related impacts? No W2.2 (W2.2) In the reporting year, was your organization subject to any fines, enforcement orders, and/or other penalties for water-related regulatory violations? No W3. Procedures W3.3 (W3.3) Does your organization undertake a water-related risk assessment? Yes, water-related risks are assessed W3.3a CDP Page of 20 5 (W3.3a) Select the options that best describe your procedures for identifying and assessing water-related risks. Direct operations Coverage Full Risk assessment procedure Water risks are assessed as part of other company-wide risk assessment system Frequency of assessment Annually How far into the future are risks considered? Up to 1 year Type of tools and methods used Tools on the market International methodologies Databases Other Tools and methods used WRI Aqueduct IPCC Climate Change Projections Regional government databases Internal company methods External consultants National-specific tools or standards Comment Crown assesses water risk in house, doing both desktop assessment utilizing information from publicly available sources, such as WRI's Water Aqueduct and visiting our operations and utilizing local data provided by our plants. Additionally, Crown assesses water vulnerability and feasibility before installing a new greenfield site. Supply chain Coverage Full Risk assessment procedure Water risks are assessed in an environmental risk assessment Frequency of assessment Every two years How far into the future are risks considered? 3 to 6 years Type of tools and methods used Other Tools and methods used Internal company methods External consultants National-specific tools or standards Comment Material risks are determined in the risk assessment with suppliers that represent 80% of our purchase spend. Most of our suppliers are certified to ISO 14001. Most of their plants have a comprehensive Environmental, Health and Safety (EHS) management system, and all of their manufacturing sites are certified to the ISO 14001 Environmental Management Standard. Most suppliers also focus on driving operational excellence in all we do, which includes maximizing the performance of our assets and using resources wisely. Other stages of the value chain Coverage None Risk assessment procedure <Not Applicable> Frequency of assessment <Not Applicable> How far into the future are risks considered? <Not Applicable> Type of tools and methods used <Not Applicable> Tools and methods used <Not Applicable> Comment W3.3b CDP Page of 20 6 \| \| Relevance & inclusion \| \|---\|---\| \| Water availability at a basin/catchment level \| Relevant, always included \| \| Water quality at a basin/catchment level \| Relevant, always included \| \| Stakeholder conflicts concerning water resources at a basin/catchment level \| Please select \| \| Implications of water on your key commodities/raw materials \| Please select \| \| Water-related regulatory frameworks \| Relevant, always included \| \| Status of ecosystems and habitats \| Relevant, always included \| \| Access to fully-functioning, safely managed WASH services for all employees \| Relevant, always included \| \| Other contextual issues, please specify \| Please select \| W3.3c (W3.3c) Which of the following stakeholders are considered in your organization's water-related risk assessments? \| \| Relevance & inclusion \| \|---\|---\| \| Customers \| Relevant, always included \| \| Employees \| Relevant, always included \| \| Investors \| Not relevant, included \| \| Local communities \| Relevant, always included \| \| NGOs \| Relevant, always included \| \| Other water users at a basin/catchment level \| Relevant, always included \| \| Regulators \| Relevant, always included \| \| River basin management authorities \| Relevant, always included \| \| Statutory special interest groups at a local level \| Relevant, sometimes included \| \| Suppliers \| Relevant, always included \| \| Water utilities at a local level \| Relevant, always included \| \| Other stakeholder, please specify \| Please select \| W3.3d (W3.3d) Describe your organization's process for identifying, assessing, and responding to water-related risks within your direct operations and other stages of your value chain. Crown assesses water related risk through undertaking a desktop assessment of various water quality and availability parameters, using WRI's Water Aqueduct and WWF's Risk Filter to identify scarcity levels, and engaging with the above stakeholders to take into consideration their influence and potential collaboration with Crown's plants locally. W4. Risks and opportunities W4.1 (W4.1) Have you identified any inherent water-related risks with the potential to have a substantive financial or strategic impact on your business? No W4.1a (W4.1a) How does your organization define substantive financial or strategic impact on your business? Those are risks that have the potential to impact Crown's ability to operate in the short and medium-term, considering water availability, scarcity, quality, access, regulatory impositions and cost. However, alternatives are available and no substantive strategic or financial impact is imposed in the business. Page of 20 7 CDP (W4.2b) Why does your organization not consider itself exposed to water risks in its direct operations with the potential to have a substantive financial or strategic impact? W4.2c (W4.2c) Why does your organization not consider itself exposed to water risks in its value chain (beyond direct operations) with the potential to have a substantive financial or strategic impact? W4.3 (W4.3) Have you identified any water-related opportunities with the potential to have a substantive financial or strategic impact on your business? Yes, we have identified opportunities, and some/all are being realized W4.3a CDP Page of 20 8 Type of opportunity Efficiency Primary water-related opportunity Other, please specify (Decrease water consumption) Company-specific description & strategy to realize opportunity Crown has set a goal to reduce its water use by 20% by 2025. The company main levers to achieve this goal include the below actions, which are undertaken globally: Measure, monitor and report water consumption company-wide - Identify and eliminate losses and leaks - Install flowmeters to measure and report water consumption and enhance water conservation - Increase wastewater systems' efficiency - Identify and incentivize water re-use opportunities - Identify, benchmark and replicate water use efficiency best practices - Pilot and replicate new and hybrid technologies towards Minimal to Zero Liquid Discharge Here are examples of how our plants implement water efficiency locally: -A full maintenance calendar is set up for the year, that includes piping, tanks and utilities area, site and equipment. -Adjustments in the water nozzles regarding angles and pressure. -Oil - water separator - washers have a coalescer on their washers. -Fixing leaks in pipes and washer tanks. Estimated timeframe for realization Current - up to 1 year Magnitude of potential financial impact Low-medium Are you able to provide a potential financial impact figure? No, we do not have this figure Potential financial impact figure (currency) <Not Applicable> Potential financial impact figure – minimum (currency) <Not Applicable> Potential financial impact figure – maximum (currency) <Not Applicable> Explanation of financial impact Type of opportunity Efficiency Primary water-related opportunity Improved water efficiency in operations Company-specific description & strategy to realize opportunity 25k savings. Estimated timeframe for realization Current - up to 1 year Magnitude of potential financial impact Low-medium Are you able to provide a potential financial impact figure? Yes, a single figure estimate Potential financial impact figure (currency) 25000 Potential financial impact figure – minimum (currency) <Not Applicable> Potential financial impact figure – maximum (currency) <Not Applicable> Explanation of financial impact Jordan plant focused on washer improvements, replacing nozzles and installing new shutoff valves. Employees were also encouraged to activate the manufacturing line's standby mode when not in use. Other changes included installing new pumps for wastewater treatment and variable frequency drives in the facility's cooling towers to reduce energy and water usage. These multiple changes allowed for a reduction in water consumption by more than 2.5 million gallons in 2020, which is especially crucial in this water-scarce region. W6. Governance W6.1 (W6.1) Does your organization have a water policy? Yes, we have a documented water policy that is publicly available W6.1a CDP Page of 20 9 (W6.1a) Select the options that best describe the scope and content of your water policy. \| \| Scope \| Content \| \|---\|---\|---\| \| Row 1 \| Company- wide \| Description of business dependency on water Description of business impact on water Description of water-related performance standards for direct operations Description of water-related standards for procurement Reference to international standards and widely-recognized water initiatives Company water targets and goals Commitment to align with public policy initiatives, such as the SDGs Commitments beyond regulatory compliance Commitment to water-related innovation Commitment to stakeholder awareness and education Commitment to water stewardship and/or collective action Commitment to safely managed Water, Sanitation and Hygiene (WASH) in the workplace Commitment to safely managed Water, Sanitation and Hygiene (WASH) in local communities Acknowledgement of the human right to water and sanitation Recognition of environmental linkages, for example, due to climate change \| W6.2 (W6.2) Is there board level oversight of water-related issues within your organization? Yes W6.2a (W6.2a) Identify the position(s) (do not include any names) of the individual(s) on the board with responsibility for water-related issues. Position of Please explain individual Board-level committee Crown's Board of Directs Nominating and Corporate Governance Committee has responsibilities in its charter to: Periodically review and assess the Company's environmental, social, and governance programs, policies, and practices and make recommendations to the Board in furtherance of the sustainable growth of the Company's businesses. W6.2b (W6.2b) Provide further details on the board's oversight of water-related issues. W6.3 (W6.3) Provide the highest management-level position(s) or committee(s) with responsibility for water-related issues (do not include the names of individuals). Name of the position(s) and/or committee(s) Other, please specify (Corporate Sustainability Committee, chaired by the Vice-President of Global Sustainability and with the Chief Operating Officer as a committee member.) Responsibility Both assessing and managing water-related risks and opportunities Frequency of reporting to the board on water-related issues Half-yearly Please explain W6.4 CDP \| \| Provide incentives for management of water-related issues \| \|---\|---\| \| Row 1 \| Yes \| W6.4a (W6.4a) What incentives are provided to C-suite employees or board members for the management of water-related issues (do not include the names of individuals)? \| \| Role(s) entitled to incentive \| Performance indicator \| Please explain \| \|---\|---\|---\|---\| \| Monetary reward \| Please select \| Please select \| \| \| Non-monetary reward \| Chief Operating Officer (COO) \| Reduction of water withdrawals Reduction in consumption volumes Improvements in efficiency - direct operations Improvements in efficiency - product-use Improvements in waste water quality - direct operations Increased access to workplace WASH Implementation of water-related community project \| \| W6.5 (W6.5) Do you engage in activities that could either directly or indirectly influence public policy on water through any of the following? No W6.6 (W6.6) Did your organization include information about its response to water-related risks in its most recent mainstream financial report? Yes (you may attach the report - this is optional) Crown_2020_crown_annual_report.pdf The information can be found on pages 29 and 33. W7. Business strategy W7.1 (W7.1) Are water-related issues integrated into any aspects of your long-term strategic business plan, and if so how? \| \| Are water- related issues integrated? \| Long-term time horizon (years) \| \|---\|---\|---\| \| Long-term business objectives \| Yes, water- related issues are integrated \| 5-10 \| \| Strategy for achieving long- term objectives \| Yes, water- related issues are integrated \| 5-10 \| \| Financial planning \| Yes, water- related issues are integrated \| 5-10 \| W7.2 CDP (W7.2) What is the trend in your organization's water-related capital expenditure (CAPEX) and operating expenditure (OPEX) for the reporting year, and the anticipated trend for the next reporting year? Row 1 Water-related CAPEX (+/- % change) 4.5 Anticipated forward trend for CAPEX (+/- % change) 2.5 Water-related OPEX (+/- % change) -2 Anticipated forward trend for OPEX (+/- % change) -4 Please explain The percent spend on water-related CAPEX has been increasing each year, while the percent of water-related operating expenditure has been declining. As our organization has a 2025 goal to reduce water usage by 20%, we anticipate this trend to decrease water-related operating expenditure to continue and will be investing even more of our Sustainability CAPEX spend for water projects next year. This year, the Sustainability CAPEX funding allocation was over twice the quantity spent last year. W7.3 (W7.3) Does your organization use climate-related scenario analysis to inform its business strategy? W7.4 (W7.4) Does your company use an internal price on water? Row 1 Does your company use an internal price on water? No, but we are currently exploring water valuation practices Please explain W8. Targets W8.1 (W8.1) Describe your approach to setting and monitoring water-related targets and/or goals. W8.1a CDP CDP (W8.1a) Provide details of your water targets that are monitored at the corporate level, and the progress made. Target reference number Target 1 Category of target Water withdrawals Level Company-wide Primary motivation Reduced environmental impact Description of target Crown is committed to reduce its water usage with a 2019 baseline in 20% by 2025. Quantitative metric Baseline year 2019 Start year 2020 Target year 2025 % of target achieved 2 Please explain Crown has experienced significant growth and has built and is in the process of building new production sites. Even so, last year, we reduced our overall water consumption by 2%. Target reference number Target 2 Category of target Water pollution reduction Level Company-wide Primary motivation Reduced environmental impact Description of target Maintain a 100% track record of meeting local wastewater standards, measured annually. Quantitative metric Other, please specify (Meet the local wastewater standard and make sure they are recorded.) Baseline year 2019 Start year 2020 Target year 2025 % of target achieved Please explain Last year Crown had no penalties due to non- compliance with water quality discharge. Target reference number Target 3 Category of target Water, Sanitation and Hygiene (WASH) services in the workplace Level Company-wide Primary motivation Corporate social responsibility Description of target Ensure all employees have continued access to safe water, sanitation and hygiene. Quantitative metric Proportion of employees using safely managed sanitation services, including a hand-washing facility with soap and water Baseline year 2019 Start year 2020 Target year 2025 % of target achieved Please explain Crown is committed to ensuring all employees have continued access to safe water, sanitation and hygiene to ensure continued access to WASH for all employees. W8.1b (W8.1b) Provide details of your water goal(s) that are monitored at the corporate level and the progress made. Goal Watershed remediation and habitat restoration, ecosystem preservation Level Company-wide Motivation Increase freshwater availability for users/natural environment within the basin Description of goal By 2030 have 100% of the water consumed replenished back to high scarcity risk watersheds. Baseline year 2019 Start year 2020 End year 2030 Progress Crown is currently engaging with partners and through others including nature-based solutions for water replenishment, we aim to have our first project implemented by the end of this year. W9. Verification W9.1 (W9.1) Do you verify any other water information reported in your CDP disclosure (not already covered by W5.1a)? Yes Crown Holdings CDP Verification Report.pdf W9.1a (W9.1a) Which data points within your CDP disclosure have been verified, and which standards were used? \| Disclosure module \| Data verified \| Verification standard \| \|---\|---\|---\| \| W1 Current state \| Water discharge by destination \| Other, please specify (Data is verified by a Third Part Auditor.) \| \| W1 Current state \| Water discharge by quality \| Other, please specify (Data is verified by a Third part Auditor.) \| \| W1 Current state \| Water withdrawal by source: GROUNDWATER MUNICIPAL SURFACE RAIN \| Other, please specify \| W10. Sign off W-FI (W-FI) Use this field to provide any additional information or context that you feel is relevant to your organization's response. Please note that this field is optional and is not scored. CDP CDP (W10.1) Provide details for the person that has signed off (approved) your CDP water response. \| \| Job title \| \|---\|---\| \| Row 1 \| Chief Executive Officer \| W10.2 (W10.2) Please indicate whether your organization agrees for CDP to transfer your publicly disclosed data on your impact and risk response strategies to the CEO Water Mandate's Water Action Hub [applies only to W2.1a (response to impacts), W4.2 and W4.2a (response to risks)]. No SW. Supply chain module SW0.1 (SW0.1) What is your organization's annual revenue for the reporting period? SW0.2 (SW0.2) Do you have an ISIN for your organization that you are willing to share with CDP? Yes SW0.2a (SW0.2a) Please share your ISIN in the table below. \| \| ISIN country code \| \|---\|---\| \| Row 1 \| US \| SW1.1 (SW1.1) Could any of your facilities reported in W5.1 have an impact on a requesting CDP supply chain member? SW1.2 (SW1.2) Are you able to provide geolocation data for your facilities? \| \| Are you able to provide geolocation data for your facilities? \| \|---\|---\| \| Row 1 \| Yes, for all facilities \| SW1.2a (SW1.2a) Please provide all available geolocation data for your facilities. \| Identifier \| Latitude \| Longitude \| Comment \| \|---\|---\|---\|---\| \| Agoncillo, SPAIN \| 42.4341 \| -2.27774 \| 42° 26' 2.688'' N 2° 16' 39.864'' W \| \| Alcochete, PORTUGAL \| 38.712 \| -8.91788 \| 38° 42' 43.344'' N 8° 55' 4.368'' W \| \| Alsip, USA \| 41.6826 \| -87.7568 \| 41° 40' 9.9012'' N 87° 45' 50.5236'' W \| \| Alsip Technical Center, USA \| 41.6811 \| -87.7588 \| 41° 40' 51.996'' N 87° 45' 31.68'' W \| \| Andalucia, SPAIN \| 37.2404 \| -5.13347 \| 37° 14' 25.296'' N 5° 8' 0.492'' W \| \| Aprilia, ITALY \| 41.5975 \| 12.6441 \| 41° 35' 50.964'' N 12° 38' 38.724'' E \| \| Asturias, SPAIN \| 43.4261 \| -5.83903 \| 43° 25' 33.852'' N 5° 50' 20.508'' W \| \| Athy, IRELAND \| 52.992 \| -6.98698 \| 52° 59' 31.092'' N 6° 59' 13.128'' W \| \| Bangi, MALAYSIA \| 2.92733 \| 101.768 \| 2° 55' 38.388'' N 101° 46' 5.304'' E \| Identifier Bangpoo, THAILAND Barbados, BARBADOS Batesville, USA Latitude 13.56906 13.125633 34.344717 Longitude 100.6453 -59.456055 -89.921965 Comment 13° 34' 8.616'' N 100° 38' 43.08'' E 13° 7' 32.2818'' N 59° 27' 21.7974'' W 34° 20' 40.9812'' N 89° 55' 19.074'' W Battipaglia, ITALY 40.59166 15.00819 40° 35' 29.976'' N 15° 0' 29.484'' E \| Bogota, COLOMBIA \| 4.965246 \| -73.961133 \| 4° 57' 54.8886'' S 73° 57' 40.0788'' W \| \|---\|---\|---\|---\| \| Botcherby, UK \| 54.8884 \| -2.90527 \| 54° 53' 18.384'' N 2° 54' 18.972'' W \| \| Braunstone, UK \| 52.6305 \| 1.197 \| 52° 37' 49.98'' N 1° 11' 49.2'' W \| \| Cabreuva, BRAZIL \| -23.2504 \| -47.0764 \| 23° 15' 1.2666'' N 47° 4' 34.9968'' W \| \| Calerno, ITALY \| 44.7454 \| 10.4918 \| 44° 44' 43.6014'' N 10° 29' 30.4866'' E \| \| Calgary, CANADA \| 50.9872 \| -113.971 \| 50° 59' 13.7502'' N 113° 58' 13.9506'' W \| \| Cambodia, CAMBODIA \| 11.5236 \| 104.837 \| 11° 31' 24.816'' N 104° 50' 13.6608'' E \| \| Carlisle, UK \| 54.8899 \| -2.93525 \| 54° 53' 23.532'' N 2° 56' 6.9'' W \| \| Carnaud Maroc, MOROCCO \| 33.5883 \| -7.61138 \| 33° 32' 41.4954'' N 7° 39' 41.0898'' W \| \| Carpentras, FRANCE \| 44.04 \| 5.044 \| 44° 2' 24.1440'' N 5° 2' 38.4000'' E \| \| Chatillon, FRANCE \| 47.869 \| 4.57223 \| 47° 52' 8.5476'' N 4° 34' 20.028'' E \| \| Cheraw, USA \| 34.6844 \| -79.8911 \| 34° 41' 4.0014'' N 79° 53' 28.1358'' W \| \| Closures Seville, SPAIN \| 37.2943 \| -5.99631 \| 37° 17' 39.6168'' N 5° 59' 46.7088'' W \| \| Concarneau Kersale, FRANCE \| 47.8834 \| -3.9203 \| 47° 53' 0.2112'' N 3° 55' 13.1016'' E \| \| Concarneau Villeneuve, FRANCE \| 47.8945 \| -3.91539 \| 47° 53' 40.2246'' N 3° 54' 55.4076'' W \| \| Connellsville, USA \| 39.9953 \| -79.5904 \| 39° 59' 43.26'' N 79° 35' 25.3242'' W \| \| Conroe, USA \| 30.344 \| -95.472 \| 30° 20' 38.5434" N 96° 28' 19.3692" E \| \| Crawfordsville, USA \| 40.097 \| -86.9423 \| 40° 5' 49.3728'' N 86° 56' 32.2722'' W \| \| Crown Closures Machinery, USA \| 39.7259 \| 82.6276 \| 39° 43' 33.3258'' N 82° 37' 39.2838'' W \| \| Custines, FRANCE \| 48.7849 \| 6.13801 \| 48° 47' 5.532'' N 6° 8' 16.836'' E \| \| Da Nang, VIETNAM \| 10.7836 \| 106.951 \| 10° 47' 1.032'' N 106° 57' 2.5164'' E \| \| Dammam, SAUDI ARABIA \| 26.4393 \| 50.0945 \| 26° 26' 21.408'' N 50° 5' 40.056'' E \| \| Dayton, USA \| 39.6847 \| -84.2224 \| 39° 41' 4.9518'' N 84° 13' 20.8014'' W \| \| Decatur, USA \| 39.9348 \| -89.0761 \| 39° 56' 1.2552'' N 89° 4' 33.8268'' W \| \| Dong Nai, VIETNAM \| 10.7836 \| 106.951 \| 10° 47' 1.032'' N 106° 57' 2.5164'' E \| \| Dubai, UNITED ARAB EMIRATES \| 25.0457 \| 55.1329 \| 25° 2' 44.358'' N 55° 7' 58.548'' E \| \| Ensenada, MEXICO \| 31.8747 \| -116.609 \| 31° 52' 28.9662'' N 116° 36' 33.2922'' W \| \| Estancia, BRAZIL \| -11.123 \| -37.3821 \| 11° 7' 22.9332'' S 37° 22' 55.5018'' W \| \| Extremadura, SPAIN \| 38.9332 \| -6.34199 \| 38° 55' 59.52'' N 6° 20' 31.164'' W \| \| Monterrey Cans , MEXICO \| 25.7368 \| -100.317 \| 25° 44' 12.5232'' N 100° 18' 59.6766'' W \| \| Faribault, USA \| 44.2909 \| -93.2934 \| 44° 17' 27.42" N 93° 17' 36.3114" W \| \| Galicia, SPAIN \| 42.5182 \| -8.67446 \| 42° 31' 5.52'' N 8° 40' 28.056'' W \| \| Ghana, GHANA \| 5.58053 \| -0.22168 \| 5° 34' 49.908'' N 0° 13' 18.048'' W \| \| Goleniow, POLAND \| 53.5684 \| 14.8355 \| 53° 34' 6.132'' N 14° 50' 7.908'' E \| \| Guadalajara, MEXICO \| 20.5912 \| -103.28 \| 20° 36' 0.9468'' N 103° 16' 39.6582'' W \| \| H-V Industries, USA \| 40.136 \| -74.9789 \| 40° 8' 9.5238'' N 74° 58' 44.2128'' W \| \| Had Yai Foodcan, THAILAND \| 6.95806 \| 100.556 \| 6° 57' 29.016'' N 100° 33' 22.824'' E \| \| Hadyai, THAILAND \| 7.05633 \| 100.51 \| 7° 3' 22.788'' N 100° 30' 36.9432'' E \| \| Hangzhou, CHINA \| 30.326 \| 120.362 \| 30° 19' 33.4482'' N 120° 21' 42.3246'' E \| \| Hanoi, VIETNAM \| 20.867 \| 105.866 \| 20° 52' 1.1136'' N 105° 51' 57.7548'' E \| \| Hanover, USA \| 39.8323 \| -76.9749 \| 39° 49' 56.1108'' N 76° 58' 29.7366'' W \| \| Heshan, CHINA \| 22.6348 \| 120.849 \| 22° 38' 5.391" N 120° 50' 56.9394" E \| \| Hoorn, NETHERLANDS \| 52.6399 \| 5.10253 \| 52° 38' 23.748'' N 5° 6' 9.108'' E \| \| Indonesia, INDONESIA \| -6.2969 \| 107.294 \| 6° 17' 48.84'' S 107° 17' 37.536'' E \| \| Izmit, TURKEY \| 40.7185 \| 30.0574 \| 40° 43' 6.7398'' N 30° 3' 26.679'' E \| \| Jamaica, JAMAICA \| 18.0019 \| -76.8298 \| 18° 0' 6.8364'' N 76° 49' 47.4276'' W \| \| Jeddah, SAUDI ARABIA \| 21.4 \| 39.239 \| 21° 23' 59.892'' N 39° 14' 20.292'' E \| \| Jordan, JORDAN \| 31.9641 \| 35.903 \| 31° 57' 50.7384'' N 35° 54' 10.71'' E \| \| Kankakee, USA \| 41.1489 \| -87.8493 \| 41° 8' 56.0364'' N 87° 50' 57.4692'' W \| \| Karacabey, TURKEY \| 40.2098 \| 28.3608 \| 40° 12' 35.2836'' N 28° 21' 39.042'' E \| \| Kechnec, SLOVAKIA \| 48.5494 \| 21.2645 \| 48° 32' 57.768'' N 21° 15' 52.02'' E \| \| Khmer Beverage Cans Limited, CAMBODIA \| 11.5288 \| 104.849 \| 11° 31' 43.7376'' N 104° 50' 55.4814'' E \| \| Korinthos, GREECE \| 37.9401 \| 22.9513 \| 37° 56' 24.2514'' N 22° 57' 4.68'' E \| \| Kornye, HUNGARY \| 47.5848 \| 18.3328 \| 47° 35' 5.424'' N 18° 19' 58.116'' E \| \| La Rioja, SPAIN \| 42.2246 \| -1.89435 \| 42° 13' 28.704'' N 1° 53' 39.66'' W \| \| La Villa (Mexico City), MEXICO \| 19.4668 \| -99.1137 \| 19° 28' 0.6132'' N 99° 6' 49.3236'' W \| \| Lacrosse, USA \| 43.8379 \| -91.235 \| 43° 50' 16.4544'' N 91° 14' 6.1548'' W \| \| Laon, FRANCE \| 49.5832 \| 3.64546 \| 49° 34' 59.4798'' N 3° 38' 43.6518'' E \| \| Carnaud Metalbox, UK \| 53.8412 \| -1.76032 \| 53° 50' 28.2294" N 1° 45' 37.1628" \| \| Madagascar, MADAGASCAR \| -18.1535 \| 49.4137 \| 18° 9' 12.7152'' S 49° 24' 49.2804'' E \| \| Manaus Ends, BRAZIL \| -3.11905 \| -59.9688 \| 3° 7' 8.5974'' S 59° 58' 7.5138 '' W \| \| Mankato, USA \| 44.1832 \| -93.9908 \| 44° 10' 59.361'' N 93° 59' 26.9628'' W \| \| Mansfield, UK \| 53.1491 \| -1.14765 \| 53° 8' 56.94'' N 1° 8' 51.54'' W \| \| Maroc, MOROCCO \| 30.4168 \| -9.57836 \| 30° 25' 0.5586'' N 9° 34' 42.1104'' W \| \| Massillon, USA \| 40.7898 \| -81.5046 \| 40° 47' 23.2368'' N 81° 30' 16.5774'' W \| \| Midwest Decorating, USA \| 41.7646 \| -88.2274 \| 41° 45' 52.5276'' N 88° 13' 38.6544'' W \| CDP Identifier Mill Park, USA Monterrey End, MEXICO Murcia, SPAIN Latitude 39.729156 25.696284 38.026233 Longitude -82.668428 -100.316577 -1.267771 Comment 39° 43' 44.9616" N 82° 40' 6.3408 W 25° 41' 46.6254'' N 100° 9' 17.1504'' W 38° 1' 34.4424'' N 1° 16' 3.975'' W Myanmar, MYANMAR 16.947772 96.199005 16° 56' 51.9828'' N 96° 11' 56.4174'' E \| Nakhon Pathom, THAILAND \| 13.647167 \| 100.573187 \| 13° 38' 49.8048'' N 100° 34' 23.4732'' E \| \|---\|---\|---\|---\| \| Nantes, FRANCE \| 48.9904 \| 1.70985 \| 48° 59' 25.4904'' N 1° 42' 35.4528'' E \| \| Nichols, USA \| 42.0562 \| -76.3205 \| 42° 3' 22.428'' N 76° 19' 13.836'' W \| \| Nocera Superiore, ITALY \| 40.7477 \| 14.5983 \| 40° 44' 51.8496'' N 14° 35' 54.0132'' E \| \| SIVESA Nogales, MEXICO \| 18.8194 \| -97.1601 \| 18° 49' 10.0158'' N 97° 9' 36.4356'' W \| \| Nong Khae, THAILAND \| 14.3863 \| 100.904 \| 14° 23' 10.8492'' N 100° 54' 13.1214'' E \| \| Olympia, USA \| 47.0378 \| -122.847 \| 47° 2' 16.116'' N 122° 50' 49.02'' W \| \| Omaha, USA \| 41.2176 \| -96.0238 \| 41° 13' 3.3168'' N 96° 1' 25.6476'' W \| \| Oshkosh, USA \| 44.0621 \| -88.5381 \| 44° 3' 43.5816'' N 88° 32' 17.2068'' W \| \| Osmaniye, TURKEY \| 37.0077 \| 36.0924 \| 37° 0' 27.8172'' N 36° 5' 32.6832'' E \| \| Outreau, FRANCE \| 49.5832 \| 3.64546 \| 49° 34' 59.4798'' N 3° 38' 43.6518'' E \| \| Owatonna, USA \| 44.0824 \| -93.2623 \| 44° 4' 56.604'' N 93° 15' 44.3016'' W \| \| Parma, ITALY \| 44.8439 \| 10.3661 \| 44° 50' 58.0194'' N 10° 21' 57.888'' E \| \| Parma Beverage, ITALY \| 44.8439 \| 10.3676 \| 44° 50' 38.1948'' N 10° 22' 3.234'' E \| \| Patras, GREECE \| 38.1295 \| 21.6366 \| 38° 7' 46.344'' N 21° 38' 11.904'' E \| \| Perigueux, FRANCE \| 45.1859 \| 0.703596 \| 45° 11' 9.369'' N 0° 42' 12.9456'' E \| \| Novotitarivskaia, RUSSIA \| 45.2366 \| 38.9712 \| 45° 14' 11.7846" N 38° 58' 16.359" E \| \| Ponta Grossa, BRAZIL \| -25.1894 \| -50.0954 \| 25° 11' 21.8364'' S 50° 6' 25.92'' W \| \| Pruszcz, POLAND \| 54.2459 \| 18.6199 \| 18° 37' 11.8194'' E \| \| Saigon, VIETNAM \| 10.8461 \| 106.778 \| 17° 43' 59.2968'' S 50° 52' 6.1284'' W \| \| Samrong, THAILAND \| 13.6472 \| 100.573 \| 13° 38' 49.8048'' N 100° 34' 23.4732'' E \| \| Seattle, USA \| 47.4401 \| -122.257 \| 47° 26' 24.36'' N 122° 15' 26.388'' W \| \| Seesen, GERMANY \| 51.894 \| 10.1777 \| 51° 53' 38.493'' N 10° 10' 39.828'' E \| \| Sevilla, SPAIN \| 37.2839 \| -5.99169 \| 37° 17' 2.1552'' N 5° 59' 30.0726'' W \| \| Siem Abidjan, IVORY COAST \| 5.29521 \| -3.97997 \| 5° 17' 42.7518'' N 3° 58' 47.8884'' W \| \| Sihanoukville, CAMBODIA \| 10.6208 \| 103.506 \| 10° 37' 14.9232'' N 103° 30' 21.9564'' E \| \| SISA, MEXICO \| 17.8936 \| -95.0372 \| 17° 53' 37.1178'' N 95° 2' 14.0316'' W \| \| SIVESA - Orizaba, MEXICO \| 18.841 \| -97.111 \| 18° 50' 27.6252'' N 97° 6' 39.5856'' W \| \| SMP Huiyang, CHINA \| 23.1527 \| 114.524 \| 23° 9' 9.8496'' N 114° 31' 26.2344'' E \| \| SMP KunShan, CHINA \| 33.1402 \| 119.789 \| 33° 8' 24.6156'' N 119° 47' 20.13'' E \| \| Leicester Studio \| 52.6312 \| -1.19486 \| 18° 9' 12.7152'' S 49° 24' 49.2804'' E \| \| SMP Shanghai, CHINA \| 31.2112 \| 121.564 \| 31° 12' 40.284'' N 121° 33' 48.78'' E \| \| Singapore, SINGAPORE \| 1.32049 \| 103.682 \| 1° 19' 13.764'' N 103° 40' 56.3772'' E \| \| SMP Tianjin, CHINA \| 39.3434 \| 117.362 \| 39° 20' 36.0852'' N 117° 21' 41.9364'' E \| \| SMP Vietnam, VIETNAM \| 11.3999 \| 106.73 \| 11° 23' 59.532'' N 106° 43' 48.18'' E \| \| SMP Zhejiang, CHINA \| 30.5804 \| 120.614 \| 30° 34' 49.44'' N 120° 36' 50.112'' E \| \| SMP Shanghai \| 31.2112 \| 121.564 \| 31° 12' 40.284'' N 121° 33' 48.78'' E \| \| Spartanburg, USA \| 34.9737 \| -81.9331 \| 34° 58' 25.3812'' N 81° 55' 59.2968'' W \| \| Spilamberto, ITALY \| 44.5412 \| 11.0219 \| 44° 32' 28.2192'' N 11° 1' 18.7788'' E \| \| Suffolk, USA \| 36.7689 \| -76.5404 \| 36° 46' 8.04'' N 76° 32' 25.476'' W \| \| Sugarland (Fort Bend), USA \| 29.6384 \| -95.612 \| 29° 38' 18.1098'' N 95° 36' 43.3146'' W \| \| Sutton, UK \| 53.1182 \| -1.25157 \| 53° 7' 5.4336'' N 53° 7' 5.4336'' N \| \| Teresina, BRAZIL \| -4.90479 \| -42.8656 \| 42° 51' 56.2926'' W \| \| Thessaloniki, GREECE \| 40.6902 \| 22.8073 \| 40° 41' 24.7416'' N 22° 48' 26.154'' E \| \| Timashevsk, RUSSIA \| 45.634 \| 38.9406 \| 45° 38' 2.3814'' N 38° 56' 26.124'' E \| \| Toledo, USA \| 41.7122 \| -83.5208 \| 41° 42' 43.956'' N 83° 31' 14.88'' W \| \| Toluca, MEXICO \| 18.841 \| -97.111 \| 18° 50" 27.6252" N 97° 6' 39.5856" W \| \| Trinidad Litho, TRINIDAD AND TOBAGO \| 10.6485 \| -61.4725 \| 10° 38' 54.7074'' N 61° 28' 21.0894'' W \| \| Tuas, SINGAPORE \| 1.33364 \| 103.651 \| 1° 20' 1.1142'' N 103° 39' 3.3264'' E \| \| Tunisia, TUNISIA \| 36.7848 \| 10.0734 \| 36° 47' 5.2008'' N 10° 4' 24.1824'' E \| \| Tyneside Printers, UK \| 55.0106 \| -1.64524 \| 55° 0' 38.1456'' N 1° 38' 42.8676'' W \| \| Valencia, SPAIN \| 39.6562 \| -0.2244 \| 39° 39' 22.4208'' N 0° 13' 27.84'' W \| \| VICHISA, MEXICO \| 28.2727 \| -105.486 \| 28° 16' 21.558'' N 105° 29' 9.2328'' W \| \| Weiding, GERMANY \| 48.2368 \| 12.5778 \| 48° 14' 12.3426'' N 12° 34' 40.0542'' E \| \| Weirton , USA \| 40.3875 \| -80.6213 \| 40° 23' 14.892'' N 80° 37' 16.644'' W \| \| Weston, CANADA \| 43.7689 \| -79.5457 \| 43° 46' 8.1948'' N 79° 32' 44.3472'' W \| \| Winchester, USA \| 39.2114 \| -78.1482 \| 39° 12' 41.04'' N 78° 8' 53.52'' W \| \| Wantage \| 51.5996 \| -1.44268 \| 51° 35' 58.527" N 1° 26' 33.6474" W \| \| Wisbech, UK \| 52.6567 \| 0.156128 \| 52° 39' 24.0588'' N 0° 9' 22.0608'' E \| \| Wissota Tools, USA \| 44.8967 \| -91.4132 \| 44° 53' 48.12'' N 91° 24' 47.592'' W \| \| Worland, USA \| 44.0244 \| -107.963 \| 44° 1' 27.804'' N 107° 57' 46.512'' W \| \| Ziyang, CHINA \| 30.1303 \| 104.609 \| 30° 7' 44.043'' N 104° 37' 39.489'' E \| \| Angleboard, USA - Baypoint \| 38.0353 \| -121.958 \| 38° 2' 7.188'' N 121° 57' 32.832'' W \| \| Angleboard, USA - Benton \| 34.5543 \| -92.5948 \| 34° 33' 15.4476'' N 92° 35' 41.3448'' W Closed \| \| Angleboard, USA - Darlington 1 \| 34.2953 \| -79.9282 \| 34° 17' 42.972'' N 79° 55' 41.628'' W \| \| Angleboard, USA - Darlington 2 \| 34.297 \| -79.9293 \| 34° 17' 49.38'' N 79° 55' 45.516'' W \| CDP Identifier Angleboard - Elizabethtown, USA Angleboard - Elkhart, USA Angleboard - Loveland, USA Latitude 40.15747 41.70213 39.22237 Longitude -76.65417 -86.0053 -84.28805 Comment 40° 9' 26.892'' N 76° 39' 15.012'' W 41° 42' 7.668'' N 86° 0' 19.08'' W 39° 13' 20.532'' N 84° 17' 16.98'' W Angleboard - Monroe, USA 32.505216 -92.054526 32° 30' 19.512'' N 92° 3' 17.712'' W \| Angleboard - Newark, USA \| 40.71865 \| -74.21952 \| 40° 43' 7.14'' N 74° 13' 10.272'' W \| \|---\|---\|---\|---\| \| Angleboard - Phoenix, USA \| 33.4425 \| -112.197 \| 33° 26' 33.1836'' N 112° 11' 50.9784'' W \| \| Angleboard - Salisbury, USA \| 35.6802 \| -80.5002 \| 35° 40' 48.684'' N 80° 30' 0.684'' W \| \| Angleboard Paper, Kankakee, USA \| 41.112 \| -87.867 \| 41° 6' 43.236'' N 87° 52' 1.056'' W \| \| Angleboard Plastics, Kankakee, USA \| 41.1206 \| -87.8676 \| 41° 7' 14.196'' N 87° 52' 3.504'' W \| \| BATES, Noerresundby, DENMARK \| 57.0594 \| 9.94309 \| 57° 3' 33.912'' N 9° 56' 35.124'' E \| \| Brighton, MI (Main Building), USA \| 42.4996 \| -83.6963 \| 42° 29' 58.668'' N 83° 41' 46.536'' W \| \| CAREAS Caretex, Chonburi, THAILAND \| 13.0911 \| 100.883 \| 13° 5' 27.996'' N 100° 52' 58.8396'' E \| \| Celcor, Cambridge, CANADA \| 43.4345 \| -80.3129 \| 43° 26' 4.344'' N 80° 18' 46.476'' W \| \| Cincinnati, OH (Building A), USA \| 39.3084 \| -84.4719 \| 39° 18' 30.24'' N 84° 28' 18.984'' W \| \| Cleveland, Brooklyn Heights, USA \| 41.427 \| -81.6781 \| 41° 25' 37.272'' N 81° 40' 41.232'' W \| \| CROPPS, Gorey, IRELAND \| 51.7457 \| -8.79961 \| 51° 44' 44.664'' N 8° 47' 58.596'' W \| \| PET Plant, Derrimut, Australia \| -37.8088 \| 144.781 \| 37° 48' 31.716'' S 144° 46' 50.919'' E \| \| DHPTHA Signode Thailand, THAILAND \| 12.9786 \| 101.109 \| 101° 6' 33.3396'' E \| \| DINCN Dinslaken, GERMANY \| 51.5587 \| 6.74592 \| 51° 33' 31.14'' N 6° 44' 45.312'' E \| \| Down River - Benton (Airlane Dr), Benton, USA \| 34.5611 \| -92.6051 \| 34° 33' 40.104'' N 92° 36' 18.324'' W \| \| Down River - Chicago, Dixmoor, USA \| 41.6338 \| -87.6776 \| 41° 38' 1.608'' N 87° 40' 39.36'' W \| \| Down River - Hazleton, USA \| 40.9656 \| -76.0201 \| 40° 57' 56.124'' N 76° 1' 12.216'' W \| \| Down River - Macon, USA \| 32.8033 \| -83.5546 \| 32° 48' 11.736'' N 83° 33' 16.74'' W \| \| Down River - Stockton, USA \| 38.0045 \| -121.213 \| 38° 0' 16.2'' N 121° 12' 45.504'' W \| \| Down River - Woodland, USA \| 45.9125 \| -122.755 \| 45° 54' 44.964'' N 122° 45' 18'' W \| \| Fleetwood Signode East, Imperial, USA \| 40.4433 \| -80.3004 \| 40° 26' 35.736'' N 80° 18' 1.62'' W \| \| Galewrap, Douglasville, USA \| 33.7712 \| -84.7177 \| 33° 46' 16.356'' N 84° 43' 3.576'' W \| \| GERNZ Signode New Zealand, Auckland, NEW ZEALAND \| -36.9868 \| 174.789 \| 36° 59' 12.66'' S 174° 47' 19.32'' E \| \| GLBPLS Kosice, SLOVAKIA \| 48.7171 \| 21.2598 \| 48° 43' 1.596'' N 21° 15' 35.208'' E \| \| Glenview, IL, USA \| 42.087 \| -87.8704 \| 42° 5' 13.128'' N 87° 52' 13.404'' W \| \| GUNSW Sandared, SWEDEN \| 57.7087 \| 12.7937 \| 57° 42' 31.248'' N 12° 47' 37.176'' E \| \| GUNSW Ystad, SWEDEN \| 55.4477 \| 13.8501 \| 55° 26' 51.756'' N 13° 51' 0.36'' E \| \| GUNTR Fontaine les Luxeuil, France \| 47.8601 \| 6.35175 \| 47° 51' 36.216'' N 6° 21' 6.3'' E \| \| GUNUK Dudley, Kingswinford, UK \| 53.2225 \| -1.41958 \| 53° 13' 20.892'' N 1° 25' 10.488'' W \| \| HALFN Masku, FINLAND \| 60.5496 \| 22.1285 \| 60° 32' 58.56'' N 22° 7' 42.672'' E \| \| HBLITZ Kardjali 1, BULGARIA \| 41.6391 \| 25.3886 \| 41° 38' 20.8068'' N 25° 23' 18.852'' E \| \| HLDAB Burseryd, SWEDEN \| 57.2014 \| 13.2847 \| 57° 12' 5.1840'' N 13° 17' 4.7760'' E \| \| INDMHT Manual Hand Tool Operations, Bangalore, INDIA \| 12.8528 \| 77.442 \| 12° 51' 10.1880'' N 77° 26' 31.1280'' E \| \| Insulated Transport Products, La Grange, USA \| 33.018 \| -84.9976 \| 33° 1' 4.7280'' N 84° 59' 51.2160'' W \| \| INTSTP Heerlen, NETHERLANDS \| 50.8461 \| 5.99831 \| 50° 50' 45.8160'' N 5° 59' 53.9160'' E \| \| ITWQIN Signode China, Qingdao City, \| 36.0919 \| 120.328 \| 36° 5' 30.948'' N 120° 19' 41.016'' E \| \| JKSWED Hjo, SWEDEN \| 58.312 \| 14.2869 \| 58° 18' 43.2000'' N 14° 17' 12.9120'' E \| \| Kurri Kurri Steel Plant, AUSTRALIA \| -32.8069 \| 151.471 \| 32° 48' 24.9048'' S 151° 28' 16.917'' E \| \| LCMRDN Soenderborg, DENMARK \| 54.9188 \| 9.82079 \| 54° 55' 7.6800'' N 9° 49' 14.8440'' E \| \| LITEC Tournus, FRANCE \| 46.5517 \| 4.9105 \| 46° 33' 6.2706'' N 4° 54' 37.7856'' E \| \| Lock N Pop, Carrollton, USA \| 33.6069 \| -85.1008 \| 33° 36' 24.8040'' N 85° 6' 2.9160'' W \| \| Loveshaw, South Canaan, USA \| 41.5082 \| -75.4121 \| 41° 30' 29.5560'' N 75° 24' 43.7040'' W \| \| LUXKOR Izmir 1, Izmir, Turkey \| 38.4885 \| 27.0998 \| 38° 29' 18.7440'' N 27° 5' 59.1720'' E \| \| LVSHUK Andover, Andover, UK \| 51.2163 \| -1.51799 \| 51° 12' 58.8594'' N 1° 31' 4.7604'' W \| \| MEZGER Nurnberg, Nurnberg, GERMANY \| 49.416 \| 11.1625 \| 49° 24' 57.6360'' N 11° 9' 45.0360'' E \| \| MIMAFB Virton, Virton, BELGIUM \| 49.5504 \| 5.57713 \| 49° 33' 1.3284'' N 5° 34' 37.6782'' E \| \| MMAIR Kilkenny, Kilkenny, IRELAND \| 52.6537 \| -7.24796 \| 52° 39' 13.4640'' N 7° 14' 52.6560'' W \| \| MODELO Flejes Modelo, Toluca, MEXICO \| 19.2895 \| -99.5666 \| 19° 17' 22.1388'' N 99° 33' 59.8464'' W \| \| MODELO Signode Mexico, Cienega de Flores, MEXICO \| 25.9551 \| -100.166 \| 25° 57' 18.2952'' N 100° 9' 55.8648'' W \| \| Monroe Packaging, West Monroe, MEXICO \| 32.5116 \| -92.2845 \| 32° 30' 41.7960'' N 92° 17' 4.0560'' W \| \| Multiwall - Danville, Danville, USA \| 36.6653 \| -79.3709 \| 36° 39' 54.9720'' N 79° 22' 15.1680'' W \| \| Multiwall - East Providence (22 Patton Rd), East Providence, USA \| 41.8543 \| -71.3471 \| 41° 51' 15.6240'' N 71° 20' 49.3944'' W \| \| Multiwall - East Providence (Taylor Dr), East Providence, USA \| 41.856 \| -71.3495 \| 41° 51' 21.7440'' N 71° 20' 58.3440'' W \| \| Multiwall - Greer, USA \| 34.9158 \| -82.2413 \| 34° 54' 57.0600'' N 82° 14' 28.8240'' W \| \| Multiwall - Martinsville (Beaver Creek), Martinsville, USA \| 36.7237 \| -79.8817 \| 36° 43' 25.1688'' N 79° 52' 54.996'' W \| \| Multiwall - Martinsville (Stultz Rd), Martinsville, USA \| 36.7026 \| -79.8775 \| 36° 42' 9.1800'' N 79° 52' 39.1080'' W \| \| Multiwall (National Packaging) - East Providence (Pawtucket Ave), East Providence, USA \| 41.8549 \| -71.3627 \| 41° 51' 17.6760'' N 71° 21' 45.7200'' W \| \| NORDIC Manneville sur Risle, Manneville sur Risle, FRANCE \| 49.3511 \| 0.55597 \| 49° 21' 3.8520'' N 0° 33' 21.4920'' E \| \| Orange, TX, USA \| 30.2033 \| -93.8685 \| 30° 12' 11.7360'' N 93° 52' 6.7440'' W \| \| ORGAPK Dietikon 1, Dietikon, SWITZERLAND \| 47.4178 \| 8.39503 \| 47° 25' 4.1520'' N 8° 23' 42.1080'' E \| \| ORGAPK Dietikon 2, Dietikon, SWITZERLAND \| 47.4179 \| 8.39835 \| 47° 25' 4.4400'' N 8° 23' 54.0600'' E \| \| ORGAPK, Merenschwand, SWITZERLAND \| 47.2607 \| 8.38755 \| 47° 15' 38.6640'' N 8° 23' 15.1800'' E \| \| PKGBP Hilden 1, Hilde, GERMANY \| 51.1758 \| 6.91067 \| 51° 10' 32.8440'' N 6° 54' 38.4120'' E \| \| Plastic Packaging Systems - Colorado, Denver, USA \| 39.7874 \| -104.939 \| 39° 47' 14.7984'' N 104° 56' 21.9582'' W \| \| Plastic Packaging Systems - NC (fka Blue Ridge), Eden, USA \| 36.5145 \| -79.718 \| 36° 30' 52.3440'' N 79° 43' 4.7280'' W \| CDP \| Identifier \| Latitude \| Longitude \| \|---\|---\|---\| \| PRIME Prime Bulk Packaging, Bangalore, INDIA \| 12.9845 \| 77.5996 \| \| SAMJUN Signode Korea, Pohang, SOUTH KOREA \| 35.9999 \| 129.366 \| \| San Antonio, TX, USA \| 29.5519 \| -98.3662 \| \| SCYBL Castelsarrasin, FRANCE \| 44.044 \| 1.11225 \| \| Shippers Fordyce, Fordyce, ARIZONA \| 33.8073 \| -92.4237 \| \| Shippers Sheridan, Sheridan, USA \| 34.3009 \| -92.3905 \| \| SIGBRS Signode Brasileira Ltda, Cabreuva, BRAZIL \| -23.2431 \| -47.0498 \| \| SIGCOL Signode Colombia, Malambo, COLOMBIA \| 10.8852 \| -74.7646 \| \| SIGKEN Signode Kenya, Nairobi, AFRICA \| -1.37189 \| 36.9182 \| \| Signode - Bridgeview, Bridgeview, USA \| 41.7612 \| -87.8124 \| \| Signode - Florence, Florence, USA \| 38.9793 \| -84.608 \| \| Signode - Latta, Latta, USA \| 34.3231 \| -79.4397 \| \| Signode Canada, Markham, CANADA \| 43.8368 \| -79.3237 \| \| Signode Packaging Espana, S.L.U., Barcelona, SPAIN \| 41.3458 \| 2.08631 \| \| SINDIA Dahej, Dahej, INDIA \| 9.91401 \| 78.1304 \| \| SINDIA Rudrapur, Pantnagar, INDIA \| 12.8223 \| 77.6943 \| \| SINDIA Wintek-BLR, Bangalore, INDIA \| 12.8988 \| 77.5764 \| \| SMB Goldkronach, Goldkronach, GERMANY \| 50.0134 \| 11.6715 \| \| SMP Weischlitz, Weischlitz , GERMANY \| 50.4486 \| 12.0535 \| \| STPIND Stopak, Bangalore, INDIA \| 12.8159 \| 77.6794 \| \| VACNET Neunen, Neunen, NETHERLANDS \| 51.4461 \| 5.55911 \| \| VACNET Zwijndrecht, Zwijndrecht, NETHERLANDS \| 51.8155 \| 4.63434 \| \| Multiwall - Gary, Gary, USA \| 41.6114 \| -87.364 \| \| PKGFN Liljendal, Liljendal, FINLAND \| 60.5732 \| 26.0611 \| \| SINDIA Rudraram, Telangana, INDIA \| 17.5558 \| 78.1832 \| \| SINDIA Silvassa, Dadra and Nagar Haveli, INDIA \| 20.1809 \| 73.0169 \| \| STMEXI Syn-Tex Bag, Amatlan de los Reyes, MEXICO \| 18.8727 \| -96.8583 \| \| VACNET Best, Best, NETHERLANDS \| 51.5013 \| 5.4134 \| \| Ayer, USA, WH - Closed \| 42.5529 \| -71.5664 \| \| Lacrosse, USA, WH -Urbancrest \| 39.9031 \| -83.0883 \| \| Lancaster, USA, WH - Urbancrest \| 39.9031 \| -83.0883 \| \| Belcamp, USA, WH \| 39.4681 \| -76.2329 \| \| Cheraw, USA, WH \| 39.4681 \| -76.2329 \| \| Lawrence, USA, WH - Closed \| 42.7306 \| -71.2119 \| \| Singapore SF, SINGAPORE, Harbour Front \| 1.26452 \| 103.819 \| \| Singapore SF, SINGAPORE, Keppel 05 (closed) \| 1.2744 \| 103.843 \| \| Singapore SF, SINGAPORE, Keppel 19 (closed) \| 1.2744 \| 103.843 \| \| Dubuque, USA \| 39.7251 \| -82.6284 \| \| Bowling Green, USA, Technical Center \| 37.0093 \| -86.3889 \| \| Rio Verde, BRAZIL \| -17.7331 \| -50.8684 \| \| TCP, THAILAND \| 14.3895 \| 100.922 \| \| Pittsburgh, USA, WH \| 38.0261 \| -121.889 \| SW2.1 (SW2.1) Please propose any mutually beneficial water-related projects you could collaborate on with specific CDP supply chain members. SW2.2 (SW2.2) Have any water projects been implemented due to CDP supply chain member engagement? No SW3.1 CDP CDP (SW3.1) Provide any available water intensity values for your organization's products or services. Product name 12 oz Aluminium Beverage Can (normalized) Water intensity value Numerator: Water aspect Water withdrawn Denominator One thousand 12 oz normalized cans. Comment 21.9 gallons of water consumed per 1000 normalized 12 oz cans. Submit your response In which language are you submitting your response? English Please confirm how your response should be handled by CDP \| \| I am submitting to \| Public or Non-Public Submission \| Are you ready to submit the additional Supply Chain questions? \| \|---\|---\|---\|---\| \| I am submitting my response \| Investors Customers \| Public \| Yes, I will submit the Supply Chain questions now \| Please confirm below I have read and accept the applicable Terms
AN ASYMPTOTICALLY SUPERLINEARLY CONVERGENT SEMISMOOTH NEWTON AUGMENTED LAGRANGIAN METHOD FOR LINEAR PROGRAMMING \ast XUDONG LI \dagger , DEFENG SUN \ddagger , AND KIM-CHUAN TOH \S Abstract. Powerful interior-point methods (IPM) based commercial solvers, such as Gurobi and Mosek, have been hugely successful in solving large-scale linear programming (LP) problems. The high efficiency of these solvers depends critically on the sparsity of the problem data and advanced matrix factorization techniques. For a large scale LP problem with data matrix A that is dense (possibly structured) or whose corresponding normal matrix AA T has a dense Cholesky factor (even with reordering), these solvers may require excessive computational cost and/or extremely heavy memory usage in each interior-point iteration. Unfortunately, the natural remedy, i.e., the use of iterative methods based IPM solvers, although it can avoid the explicit computation of the coefficient matrix and its factorization, is often not practically viable due to the inherent extreme ill-conditioning of the large scale normal equation arising in each interior-point iteration. While recent progress has been made to alleviate the ill-conditioning issue via sophisticated preconditioning techniques, the difficulty remains a challenging one. To provide a better alternative choice for solving large scale LPs with dense data or requiring expensive factorization of its normal equation, we propose a semismooth Newton based inexact proximal augmented Lagrangian ( Snipal ) method. Different from classical IPMs, in each iteration of Snipal , iterative methods can efficiently be used to solve simpler yet better conditioned semismooth Newton linear systems. Moreover, Snipal not only enjoys a fast asymptotic superlinear convergence but is also proven to enjoy a finite termination property. Numerical comparisons with Gurobi have demonstrated encouraging potential of Snipal for handling large-scale LP problems where the constraint matrix A has a dense representation or AA T has a dense factorization even with an appropriate reordering. For a few large LP instances arising from correlation clustering, our algorithm can be up to 20--100 times faster than the barrier method implemented in Gurobi for solving the problems to the accuracy of 10 - 8 in the relative KKT residual. However, when tested on some large sparse LP problems available in the public domain, our algorithm is not yet practically competitive against the barrier method in Gurobi, especially when the latter can compute the Schur complement matrix and its sparse Cholesky factorization in each iteration cheaply. Key words. linear programming, semismooth Newton method, augmented Lagrangian method AMS subject classifications. 90C05, 90C06, 90C25, 65F10 DOI. 10.1137/19M1251795 1. Introduction. It is well known that primal-dual interior-point methods (IPMs) as implemented in highly optimized commercial solvers, such as Gurobi and Mosek, are powerful methods for solving large scale linear programming (LP) problems with conducive sparsity. However, the large scale normal (also called Schur complement) \ast Received by the editors March 22, 2019; accepted for publication (in revised form) June 11, 2020; published electronically September 8, 2020. https://doi.org/10.1137/19M1251795 Funding: The first author's research is supported by the National Natural Science Foundation of China (11901107), the Young Elite Scientists Sponsorship Program by CAST (2019QNRC001), and the Shanghai Sailing Program (19YF1402600). The second author's research is partially supported by The Hong Kong Polytechnic University under the 2017 Postdoctoral Fellowships Scheme. The third author's research is partially supported by the Academic Research Fund of the Ministry of Singapore under grant R146-000-257-112. \dagger School of Data Science, Fudan University, Shanghai, China; Shanghai Center for Mathematical Sciences, Fudan University, Shanghai, China (firstname.lastname@example.org). \ddagger Department of Applied Mathematics, The Hong Kong Polytechnic University, Hung Hom, Hong Kong (email@example.com). \S Department of Mathematics, and Institute of Operations Research and Analytics, National University of Singapore, Singapore (firstname.lastname@example.org). equation arising in each interior-point iteration is generally highly ill-conditioned when the barrier parameter is small, and typically it is necessary to employ a direct method, such as the sparse Cholesky factorization, to solve the equation stably and accurately. Various attempts, for example, in [3, 10, 15, 24, 34], have been made in using an iterative solver, such as the preconditioned conjugate-gradient (PCG) method, to solve the normal equation when it is too expensive to compute the coefficient matrix or the sparse Cholesky factorization because of excessive computing time or memory usage due to fill-ins. For more details on the numerical performance of iterative methods based IPMs for solving large scale LP, we refer readers to [15] and the references therein. However, the extreme ill-conditioning of the normal equation (and also of the augmented equation) makes it extremely costly for an iterative method to solve the equation either because it takes an excessive number of steps to converge or because constructing an effective preconditioner is prohibitively expensive. For a long time since their inceptions, iterative methods based IPMs have not been proven convincingly to be more efficient in general than the highly powerful solvers, such as Gurobi and Mosek, on various large scale LP test instances. Fortunately, recently promising progress has been made in the work of Schork and Gondzio [45], where the authors proposed effective basis matrix preconditioners for iterative methods based IPMs, which have been demonstrated to be competitive against the powerful commercial solver Gurobi on some large scale LPs in MIPLIB [33]. However, we should note that as the construction of the basis matrix preconditioners in [45] requires the explicit storage of a subset of columns of the constraint matrix A, the approach may not be applicable to the case when A is not explicitly given but defined via a linear map. In contrast, the algorithm designed in this paper is still applicable under the latter scenario. While this paper was in the final review, the preprint [4] appeared, where the authors proposed a potentially cheaper preconditioning approach, compared to those in [45], for regularized interior point methods for linear and convex quadratic programming (QP). But the numerical performance of the new approach in [4] is not compared against Gurobi. For later discussion, here we give an example where A is defined by a linear map: A \in \BbbR n 2 \rightarrow \BbbR p 2 such that Ax = vec(B mat(x) D T ), where B, D \in \BbbR p \times n are given matrices, mat(x) denotes the operation of converting a vector x \in \BbbR n 2 into an n \times n matrix, and vec(X) denotes the operation of converting a matrix X \in \BbbR p \times p into a p 2 -dimensional vector. It is easy to see that the matrix representation of A is the Kronecker product D \otimes B, and it could be extremely costly to store D \otimes B explicitly when B, D are large dimensional dense matrices. The goal of this paper is to design a semismooth Newton inexact proximal augmented Lagrangian ( Snipal ) method for solving large scale LP problems, which has the following key properties: (a) the Snipal method can achieve fast local linear convergence; (b) the semismooth Newton equation arising in each iteration can fully exploit the solution sparsity in addition to data sparsity; (c) the semismooth Newton equation is typically much better conditioned than its counterparts in IPMs, even when the iterates approach optimality. The latter two properties thus make it cost effective for one to use an iterative method, such as the PCG method, to solve the aforementioned linear system when it is large. It is these three key properties that give the competitive advantage of our Snipal method over the highly developed IPMs for solving certain classes of large scale LP problems which we will describe shortly. Consider the following primal and dual LP problems: where A \in \BbbR m \times n , b \in \BbbR m , c \in \BbbR n are given data. The set K = \{ x \in \BbbR n \| l \leq x \leq u\} is a simple polyhedral set, where l, u are given vectors. We allow the components of l and u to be - \infty and \infty , respectively. In particular, K can model the nonnegative orthant \BbbR n + . In the above, \delta K ( \cdot ) denotes the indicator function over the set K such that \delta K(x) = 0 if x \in K and \delta K(x) = \infty otherwise. The Fenchel conjugate of \delta K is denoted by \delta \ast K . We note that while we focus on the indicator function \delta K ( \cdot ) in (P), the algorithm and theoretical results we have developed in this paper are also applicable when \delta K is replaced by a closed convex polyhedral function p : \BbbR n \rightarrow ( - \infty , \infty ]. We make the following assumption on the problems (P) and (D). Assumption 1. The solution set of (P) and (D) is nonempty and A has full row rank (hence m \leq n). Our Snipal method is designed for the dual LP but the primal variable is also generated in each iteration. In order for the fast local convergence property to kickin early, we warm-start the Snipal method by an alternating direction method of multipliers (ADMM), which is also applied to the dual LP. We should mention that our goal is not to use Snipal as a general purpose solver for LP but to complement the excellent general solvers (Gurobi and Mosek) when the latter are too expensive or have difficulties in solving very large scale problems due to memory limitation. In particular, we are interested in solving large scale LP problems having one of the following characteristics. 1. The number of variables n in (P) is significantly larger than the number of linear constraints m. We note that such a property is not restrictive since for a primal problem with a huge number of inequality constraints Ax \leq b and m \gg n, we can treat the dual problem (D) as the primal LP, and the required property is satisfied. 2. The constraint matrix A is large and dense but it has an economical representation such as being the Kronecker product of two matrices, or A is sparse but AA T has a dense factorization even with an appropriate reordering. For such an LP problem, it may not be possible to solve it by using the standard interior-point methods implemented in Gurobi or Mosek since A cannot be stored explicitly. Instead, one would need to use a Krylov subspace iterative method to solve the underlying large and dense linear system of equations arising in each iteration of an IPM or Snipal . In [50], Wright proposed an algorithm for solving the primal problem (P) for the special case where K = \BbbR n + . The proposed method is in fact the proximal method of multipliers applied to (P) while keeping the nonnegative constraint in the QP subproblem. More specifically, suppose that the iterate at the kth iteration is (x k , y k ) and the penalty parameter is \gamma k = \sigma - 1 k . Then the QP subproblem is given by min\{ 1 2 \langle ( \sigma k A \ast A + \sigma - 1 k I n ) x, x \rangle + \langle x, c - A \ast y k - \sigma - 1 k x k - \sigma k A \ast b \rangle \| x \geq 0 \} . In [50], a successive over-relaxation (SOR) method is used to solve the QP subproblem. But it is unclear how this subproblem can be solved efficiently when n is large. In contrast, in this paper, we propose a Snipal method that is applied to the dual problem (D) and the associated subproblems are solved efficiently by a semismooth Newton method having at least local superlinear convegence or even quadratic convergence. In the pioneering work of De Leone and Mangasarian [30], an augmented Lagrangian method is applied to an equivalent reformulation of (D), and the QP subproblem of the form min\{ - b T y + \ sigma 2 \\| A \ast y + z - c + \sigma - 1 x k \\| 2 \| y \in \BbbR m , z \geq 0 \} in each iteration is solved by a projected SOR method. Interestingly, in a later paper [32], based on the results obtained in [31], Mangasarian designed a generalized Newton method to first solve a penalty problem of the form min\{ - \epsilon b T y + 1 2 \\| \Pi \BbbR n + ( A \ast y - c ) \\| 2 \} and then use its solution to indirectly solve (P) for K = \BbbR n + , under the condition that the positive parameter \epsilon must be below a certain unknown threshold and a strong uniqueness condition holds. Soon after, [19] observed that the restriction on the parameter in [32] can be avoided by modifying the procedure in [32] via the augmented Lagrangian method but the corresponding subproblem in each iteration must be solved exactly. As the generalized Newton system is likely to be singular, in both [32] and [19], the system is modified by adding a scalar multiple of the identity matrix to the generalized Hessian. Such a perturbation, however, would destroy the fast local convergence property of the generalized Newton method. We also note that to obtain the minimum norm solution of the primal problem (P), [26] proposed a generalized Newton method for solving min\{ 1 2 \\| \Pi \BbbR n + ( A \ast y - rc ) \\| 2 - \langle b, y \rangle \} with the positive parameter r being sufficiently large. Although [26] contains no computational results, the authors obtained the global convergence and finite termination properties of the proposed method under the assumption that the Newton linear systems involved are solved exactly and a certain regularity condition on the nonsingularity of generalized Jacobians holds. More recently, [52] designed an ALM for the primal problem (P) for which a bound-constrained convex QP subproblem must be solved in each iteration. In the paper, this subproblem is solved by a randomized coordinate descent (RCD) method with an active set implementation. There are several drawbacks to this approach. First, solving the QP subproblem can be time consuming since the convergence of the RCD is generally quite slow. Second, the RCD approach is less effective in fully exploiting any specific structure of the matrix A (for example, when A is defined by the Kronecker product of two given matrices) to speed up the computation of the QP subproblem. Finally, it also does not exploit the sparsity structure present in the Hessian of the underlying QP subproblem to speed up the computation. Here, we employ an inexact proximal augmented Lagrangian (PAL) method to (D) to simultaneously solve (P) and (D). Our entire algorithmic design is dictated by the focus on computational efficiency and generality. From this perspective, now we elaborate on the key differences between our paper and [19]. First, without any reformulation, our algorithm is directly applicable to problems with a more general set K instead of just \BbbR n + as in [ 32 ] and [ 19 ]. Second, we use the inexact PAL framework, which ensures that in each iteration, an unconstrained minimization subproblem involving the variable y is strongly convex and hence the semismooth Newton method we employ to solve this subproblem can attain local quadratic convergence. Third, the flexibility of allowing the PAL subproblems to be solved inexactly can lead to substantial computational savings, especially during the initial phase of the algorithm. Fourth, for computational efficiency, we warm-start our inexact PAL method by using a first-order method. Finally, as solving the semismooth Newton linear systems is the most critical component of the entire algorithm, we have devoted a substantial part of the paper to proposing novel numerical strategies to solve the linear systems efficiently. Numerical comparisons of our Snipal with the barrier method in Gurobi have demonstrated the encouraging potential of our method for handling large-scale LP problems where the constraint matrix A has a dense representation or AA T has a dense factorization even with an appropriate reordering. For a few large LP instances arising from correlation clustering, our algorithm can be up to 20--100 times faster than the barrier method implemented in Gurobi for solving the problems to the accuracy of 10 - 8 in the relative KKT residual. However, when tested on some large sparse LP problems available in the MIPLIB2010 [33], our algorithm is not yet practically competitive against the barrier method in Gurobi, especially when the latter can compute the Schur complement matrix and its sparse Cholesky factorization in each iteration cheaply. The remaining part of the paper is organized as follows. In the next section, we introduce a preconditioned proximal point algorithm (PPA) and establish its global and local (asymptotic) superlinear convergence. In section 3, we develop a Snipal for solving the dual LP (D) and derive its connection to the preconditioned PPA. Section 4 is devoted to developing numerical techniques for solving the linear system of equations in the semismooth Newton method employed to solve the subproblem in each proximal augmented Lagrangian iteration. We describe how to employ an ADMM to warm-start the proximal augmented Lagrangian method in section 5. In section 6, we evaluate the numerical performance of our algorithm (called Snipal ) against the barrier method in Gurobi on various classes of large scale LPs, including some large sparse LPs available in the public domain. We conclude the paper in the final section. Notation. We use \scrX and \scrY to denote finite dimensional real Euclidean spaces each endowed with an inner product \langle \cdot , \cdot \rangle and its induced norm \\| \cdot \\| . For any self-adjoint positive semidefi nite linear operator \scrM : \scrX \rightarrow \scrX , we define \langle x, x \prime \rangle \scrM := \langle x, \scrM x \prime \rangle and \\| x\\| \scrM := \\langle x, \scrM x\rangle for all x, x \prime \in \scrX . The largest eigenvalue of \scrM is denoted by \lambda max(\scrM ). A similar notation is used when \scrM is replaced by a matrix M. Let D be a given subset of \scrX . We write the weighted distance of x \in \scrX to D by dist\scrM (x, D) := infx\prime \in D \\| x - x \prime \\| \scrM . If \scrM is the identity operator, we just omit it from the notation so that dist(\cdot , D) is the Euclidean distance function. If D is closed, the Euclidean projector over D is defined by \Pi D(x) := argmin\{ \\| x - d\\| \| d \in D\} . Let F : \scrX \rightrightarrows \scrY be a multivalued mapping. We define the graph of F to be the set gphF := \{ (x, y) \in \scrX \times \scrY \| y \in F (x)\} . The range of a multifunction is defined by Range(F ) := \{ y \| \exists x with y \in F (x)\} . 2. A preconditioned proximal point algorithm. In this section, we present a preconditioned PPA and study its convergence properties. In particular, following the classical framework developed in [41, 42], we prove the global convergence of the preconditioned PPA. Under a mild error bound condition, global linear rate convergence is also derived. In fact, by choosing the parameter ck in the algorithm to be sufficiently large, the linear rate can be as fast as we please. We further show in section 3.1 that our main algorithm, Snipal , is in fact an application of the preconditioned PPA. Hence, Snipal 's convergence properties can be obtained as a direct application of the general theory developed here. Let \scrX and \scrY be finite dimensional Hilbert spaces and \scrT : \scrX \rightarrow \scrX be a maximal monotone operator. Throughout this section, we assume that \Omega := \scrT - 1 (0) is nonempty. We further note from [43, Excerise 12.8] that \Omega is a closed set. The preconditioned PPA generates for any start point z 0 \in \scrX a sequence \{ z k \} \subseteq \scrX by the following approximate rule: Here \{ ck\} and \{ \scrM k\} are some sequences of positive real numbers and self-adjoint positive definite linear operators over \scrX . If \scrM k \equiv \scrI for all k \geq 0, the updating scheme (2.1) recovers the classical PPA considered in [41]. Since \scrM k + ck\scrT is a strongly monotone operator, we know from [43, Proposition 12.54] that \scrP k is single-valued and is globally Lipschitz continuous. Here, we further assume that \{ ck\} bounded away from zero and with some nonnegative summarable sequence \{ \nu k\} and constants +\infty > \lambda \infty \geq \lambda min > 0. The same condition on \scrM k is also used in [36] and can be easily satisfied. For example, it holds obviously if we set \lambda \infty \scrI \succeq \scrM k \succeq \lambda min\scrI and \scrM k \succeq \scrM k+1 for all k \geq 0. Note that if \scrT is a linear operator, one may rewrite \scrP k as \scrP k = (\scrI +ck\scrM - 1 k \scrT ) - 1 . We show in the next lemma that this expression in fact holds even for a general maximal monotone operator \scrT . Therefore, we can regard the self-adjoint positive definite linear operator \scrM k as a preconditioner for the maximal monotone operator \scrT . Based on this observation, we name the algorithm described in (2.1) as the preconditioned PPA. Lemma 2.1. Given a constant \alpha > 0, a self-adjoint positive definite linear operator \scrM , and a maximal monotone operator \scrT on \scrX , it holds that Range(\scrI + \alpha \scrM - 1 \scrT ) = \scrX and (\scrI + \alpha \scrM - 1 \scrT ) - 1 is a single-valued mapping. In addition, Proof. By [2, Proposition 20.24], we know that \scrM - 1 \scrT is maximally monotone. Hence, Range(\scrI + \alpha \scrM - 1 \scrT ) = \scrX and (\scrI + \alpha \scrM - 1 \scrT ) - 1 is a single-valued mapping from \scrX to itself. Now, for any givenz\in \scrX , suppose thatz 1 = (\scrI +\alpha \scrM -1 \scrT) -1 (z ). Then, it holds that Since (\scrM + \alpha \scrT ) - 1 is a single-valued operator [43, Proposition 12.54], we know that i.e., (\scrI + \alpha \scrM - 1 \scrT ) - 1 z = (\scrM + \alpha \scrT ) - 1 \scrM z for all z \in \scrX . Thus we have proved the desired equation. In the literature, the updating scheme (2.1) is closely related to the so-called variable metric PPAs; for examples, see [6, 8, 7, 9, 13, 36, 37]. Among these papers, [6, 13, 37] focus only on the case of optimization, i.e., the maximal monotone operator \scrT is the subdifferential mapping of a convex function. In addition, they emphasize more on the combination of the PPA with the quasi Newton method. In [8] and the subsequent papers [7, 9], the authors deal with a general maximal monotone operator \scrT and study the following scheme in the exact setting: The global convergence of the scheme (2.3) requires a rather restrictive assumption on \scrM k [8, Hypothesis (H2)], although \scrM k is not required to be self-adjoint. In fact, the authors essentially assumed that the deviation of \scrM k from the identity operator should be small, and the verification of the assumption can be quite difficult. As far as we are aware of, [36] may be the most related work to ours. In [36], the authors consider a variable metric hybrid inexact proximal point method whose updating rule consists of an inexact proximal step and a projection step. Moreover, some specially designed stopping criteria for the inexact solution of the proximal subproblem are also used. However, due to the extra projection step, the connection between their algorithm and the proximal method of multipliers [42] is no longer available. Therefore, the results derived in [36] cannot be directly used to analyze the convergence properties of Snipal proposed in this paper, which is a variant of the proximal method of multipliers. We should also mention that in [17], Eckstein discussed nonlinear PPAs using Bregman functions, and the preconditioned PPA (1) may be viewed as a special instance if \scrM k is fixed for all k. However, the algorithms and convergence results in [17] are not applicable to our setting, where the linear operator \scrM k can change across iterations. More recently, the updating scheme (2.1) was also studied in [47, 48], where the authors presented various convergence results under the assumption that \scrP k(z k ) can be evaluated exactly for all k \geq 0. As one can observe later, this exact evaluation assumption is not suitable for our case. Since the scheme (2.1) under the classical setting of [41, 42] fits our context best, we conduct a comprehensive analysis of its convergence properties, which, to our best knowledge, are currently not available in the literature. For all k \geq 0, define the mapping \scrQ k := \scrI - \scrP k. Clearly, if 0 \in \scrT (z), we have that \scrP k(z) = z and \scrQ k(z) = 0 for all k \geq 0. Similar to [41, Proposition 1], we summarize the properties of \scrP k and \scrQ k in the following proposition. Proposition 2.2. It holds for all k \geq 0 that Proof. The proof can be obtained via simple calculations and is similar to the proof of [41, Proposition 1]. We omit the details here. We list the following two general criteria for the approximate calculation of \scrP k(z k ), which are analogous to those proposed in [41]: Theorem 2.3. Suppose that \Omega = \scrT - 1 (0) \not = \emptyset . Let \{ z k \} be any sequence generated by the mPPA (2.1) under criterion (A). Then \{ z k \} is bounded and. In addition, \{ z k \} converges to a point z \infty such that 0 \in \scrT (z \infty ). Proof. Let \= z \in \scrX be a point satisfying 0 \in \scrT (\= z). It is readily shown that \= z = \scrP k(\= z). We have Since (1 + \nu k)\scrM k \succeq \scrM k+1, we know that Let \Pi \Omega (z) denote the projection of z onto \Omega . By noting that 0 \in \scrT (\Pi \Omega (z k )), we get from the above inequality (by setting \= z = \Pi \Omega (z k )) that Since we know from [35, Lemma 2.2.2], (2.5), and (2.6) that (2.7) The boundedness of \{ z k \} thus follows directly from the fact that \scrM k \succeq \lambda min\scrI for all k \geq 0. Therefore, \{ z k \} has at least one cluster point z \infty . From Proposition 2.2, we know that for all k \geq 0 Therefore, limk\rightarrow \infty \\| \scrQ k(z k )\\| 2 \scrM k = 0. It follows that because the number ck is bounded away from zero and \scrM k \succeq \lambda min\scrI for all k \geq 0. Since we further have limk\rightarrow \infty \\| z k - z k +1 \\| = 0. Since z \infty is a cluster point of z k and z \infty is also a cluster point of \scrP k(z k ). From Proposition 2.2(a), we have that for any w \in \scrT (z) which, together with (2.9), implies From the maximality of \scrT , we know that 0 \in \scrT (z \infty ). Hence, we can replace \= z in (2.7) by z \infty . Therefore, That is limk\rightarrow \infty z k = z \infty . Next, we study the convergence rate of the preconditioned PPA. The following error bound assumption associated with \scrT is critical to the study of the convergence rate of the preconditioned PPA. Assumption 2. For any r > 0, there exists \kappa > 0 such that In Rockafellar's classic work [41], the asymptotic Q-superlinear convergence of PPA is established under the assumption that \scrT - 1 is Lipschitz continuous at zero. Note that the Lipschitz continuity assumption on \scrT - 1 is rather restrictive, since it implicitly implies that \scrT - 1 (0) is a singleton. In [29], Luque extended Rockafellar's work by considering the following relaxed condition over \scrT : there exist \gamma > 0 and \epsilon > 0 such that. We show in the following lemma that this condition in fact implies Assumption 2. Thus, our Assumption 2 is quite mild and weaker than condition (2.11). Lemma 2.4. Let F be a multifunction from \scrX to \scrY with F - 1 (0) \not = \emptyset . If F satisfies condition (2.11), then Assumption 2 holds for F , i.e., for any r > 0, there exists \kappa > 0 such that Proof. Since F satisfies condition (2.11), there exist \varepsilon > 0 and \kappa 0 \geq 0 such that if x \in \scrX satisfies dist(0, F (x)) < \varepsilon , then For any r > 0 and x satisfying dist(x, F - 1 (0)) \leq r, if dist(0, F (x)) < \epsilon , then dist(x, F - 1 (0)) \leq \kappa 0dist(0, F (x)); otherwise if dist(0, F (x)) \geq \epsilon , then i.e., dist(x, F - 1 (0)) \leq r \epsilon dist (0 , F ( x )). Therefore, the desired inequality holds for \kappa = max\{ \kappa 0, r \epsilon \} . Remark 1. In fact, condition (2.11) is exactly the local upper Lipschitz continuity of \scrT - 1 at the origin, which was introduced by Robinson in [38]. Later, Robinson established in [39] the celebrated result that every polyhedral multifunction is locally upper Lipschitz continuous, i.e., satisfies condition (2.11). Thus from Lemma 2.4, we know that any polyhedral multifunction F with F - 1 (0) \not = \emptyset satisfies Assumption 2. We note that Assumption 2 is also employed and studied in [53]. Since the nonnegative sequences \{ \nu k\} and \{ \epsilon k\} in condition (2.2) and the stopping criterion (A), respectively, are summable, we know that 0 < \Pi \infty k=0 (1 + \nu k ) < + \infty and we can choose r to be a positive number satisfying r > \sum \infty k=0 \epsilon k (1 + \nu k ). Assume that \scrT satisfies Assumption 2; then associated with r, there exists a positive constant \kappa such that (2.10) holds. With these preparations, we prove in the following theorem the asymptotic Q-superlinear (R-superlinear) convergence of the weighted (unweighted) distance between the sequence generated by the preconditioned PPA and \Omega . Theorem 2.5. Suppose that \Omega \not = \emptyset and the initial point z 0 satisfies sum Let \{ z k \} be the infinite sequence generated by the preconditioned PPA under criteria (A) and (B) with \{ ck\} nondecreasing (ck \uparrow c\infty \leq \infty ). Then for all k \geq 0, it holds that with \lambda \infty given in (2.2). In addition, one has that for all k \geq 0, Proof. From (2.4) in Theorem 2.3, we know that for all k \geq 0, dist\scrM k (z k , \Omega ) \leq \Pi \infty k=0 (1 + \nu k )dist \scrM 0 ( z 0 , \Omega ) + \sum \infty k=0 \epsilon k (1 + \nu k ) \leq r, and consequently, From Proposition 2.2(a), we have which, together with Assumption 2, implies that for all k \geq 0 It further implies that for all k \geq 0, Now taking \= z = \Pi \Omega (z k ), we deduce from (2.8) that for all k \geq 0, Therefore, it holds that. Under stopping criterion (B), we further have for all k \geq 0, Thus, Now where the last inequality follows from (2.15). By using the above inequality in the previous one, we get Therefore, from the last inequality and (2.16), it holds that for all k \geq 0, where \mu k = (1 + \nu k)(1 - \delta k) - 1 (\delta k + (1 + \delta k)\kappa \lambda max(\scrM k)/\c 2 k + \kappa 2 \lambda 2 max ( \scrM k ) ) . That is, (2.12) holds for all k \geq 0. Since for all k \geq 0, \scrM k \succeq \lambda min\scrI , (2.13) and (2.14) can be obtained through simple calculations. Remark 2. In the theorem, the assumption on the initial point z 0 is inspired by the similar one assumed in [53, Lemma 4.1]. Suppose that \{ \delta k\} in criterion (B) is nonincreasing and \nu k \equiv 0 for all k \geq 0. Since \{ ck\} is nondecreasing and \lambda max(\scrM k) is nonincreasing, we know that \{ \mu k\} is nonincrasing. Therefore, if one chooses c0 large enough such that \mu 0 < 1, then we have \mu k \leq \mu 0 < 1 for all k \geq 0. The inequality (2.12) thus implies the global Q-linear convergence of \{ dist\scrM k (z k , \Omega ) \} . In addition, (2.14) implies that for all k \geq 0, i.e., \{ dist(z k , \Omega ) \} converges globally R-linearly. 3. A semismooth Newton proximal augmented Lagragian method. Note that we can equivalently rewrite problem (D) in the following minimization form: Associated with this unconstrained formulation, we write the augmented Lagrangian function following the framework developed in [43, Examples 11.46 and 11.57]. To do so, we first identify (D) with the problem of minimizing g(y) = \widetilde g(y, 0) over \BbbR m for Obviously, \widetilde g is jointly convex in (y, \xi ). Now, we are able to write down the Lagrangian function l : \BbbR m \times \BbbR n through partial dualization as follows: Copyright©by SIAM. Unauthorized reproduction of this article is prohibited. Thus, the KKT conditions associated with (P) and (D) are given by Given \sigma > 0, the augmented Lagrangian function corresponding to (D) can be obtained by We propose to solve (D) via an inexact proximal augmented Lagrangian method. Our algorithm is named the semismooth Newton inexact proximal augmented Lagrangian ( Snipal ) method because we will design a semismooth Newton method to solve the underlying augmented Lagrangian subproblems. Its template is given as follows. Algorithm 3.1. Snipal : Semismooth Newton inexact proximal augmented Lagrangian. Let \sigma 0, \sigma \infty > 0 be given parameters, \{ \tau k\} \infty k=0 be a given nonincreasing sequence such that \tau k > 0 for all k \geq 0. Choose (x 0 , y 0 ) \in \BbbR n \times \BbbR m . For k = 1, . . . , perform the following steps in each iteration. Step 1. Compute via the semismooth Newton method. Note that unlike the case in the classic proximal method of multipliers in [42] with \tau k \equiv 1 for all k, we allow an adaptive choice of the parameter \tau k in the proximal term \tau k 2\sigma k \\| y - y k \\| 2 in the inner subproblem (3.2) of the Snipal algorithm. Here, the proximal term is added to guarantee the existence of the optimal solution to the inner subproblem (3.2) and to ensure the positive definiteness of the coefficient matrix of the underlying semismooth Newton linear system. Moreover, our numerical experience with Snipal indicates that having the additional flexibility of choosing the parameter \tau k can help to improve the practical performance of the algorithm. We emphasize here that comparing to [42], our modifications focus more on the computational and implementational aspects. While the introduction of the parameters \{ \tau k\} brings us more flexibility and some promising numerical advantages, it also makes the convergence analysis of the algorithm more challenging. Fortunately, we are able to rigorously characterize the connection between our Snipal Algorithm and the preconditioned PPA studied in section 2. As one will see in the subsequent text, this connection allows us to conduct a comprehensive convergence analysis for the Snipal Algorithm. From the convergence analysis, we also note that \tau k 2\sigma k \\| y - y k \\| 2 can be replaced by a more general proximal term, i.e., 1 2\sigma k \\| y - y k \\| 2 Tk with a symmetric positive definite matrix T k . 3.1. Global convergence properties of SNIPAL. In this section, we present a comprehensive analysis for the convergence properties of Snipal . The global convergence and global linear-rate convergence of Snipal are presented as an application of the theory of the preconditioned PPA. To establish the connection between Snipal and the preconditioned PPA, we first introduce some notation. To this end, for k = 0, 1, . . . and any given (\= y, \= x) \in \BbbR m \times \BbbR n , define the function Corresponding to the closed proper convex-concave function l, we can define the maximal monotone operator \scrT l [40, Corollary 37.5.2], by whose corresponding inverse operator is given by Since K is a polyhedral set, \partial \delta K is known to be a polyhedral multifunction (see, e.g., [27, p. 108]). As the sum of two polyhedral multifunctions is also polyhedral, \scrT l is also polyhedral. Define, for k = 0, 1, . . . , The optimal solution of problem (3.3), i.e., Pk(\= y, \= x), can be obtained via the following lemma. Lemma 3.1. For all k \geq 0, it holds that. In Snipal , at the kth iteration, denote. From the property of the proximal mapping, we know that \psi k is continuously differentiable and As a generalization of Proposition 8 in [42], the following proposition about the weighted distance between (y k +1 , x k +1 ) generated by Snipal and Pk(y k , x k ) is important for designing the stopping criteria for the subproblem (3.2) and establishing the connection between Snipal and the preconditioned PPA. Proposition 3.2. Let Pk, \Lambda k, and \psi k be defined in (3.3), (3.5), and (3.7), respectively. Let (y k +1 , x k +1 ) be generated by the Snipal algorithm at iteration k + 1. It holds that Proof. Since \nabla \psi k(y k +1 ) = \nabla yL\sigma k (y k +1 , x k ) + \tau k\sigma - 1 k ( y k +1 - y k ) , we have which, by [42, Proposition 7], implies (\nabla \psi k(y k +1 )+\sigma - 1 k \tau k ( y k - y k +1 ) , \sigma - 1 k ( x k - x k +1 )) \in \scrT l(y k +1 , x k +1 ). Thus, and \sigma k(\nabla \psi k(y k +1 ), 0) + \Lambda k(y k , x k ) \in (\Lambda k + \sigma k\scrT l)(y k +1 , x k +1 ), or equivalently, Then, by Lemma 3.1 and Proposition 2.2, we know that This completes the proof for the proposition. Based on Proposition 3.2, we propose the following stopping criteria for the approximate computation of y k +1 in Step 1 of Snipal : For the convergence of Snipal , we also need the following assumption on \tau k. Assumption 3. The positive sequence \{ \tau k\} is nonincreasing and bounded away from zero, i.e., \tau k \downarrow \tau \infty > 0 for some positive constant \tau \infty . Under Assumption 3, we have that for all k \geq 0, We now present the global convergence result for Snipal in the following theorem. Similar to the case in [42], it is in fact a direct application of Theorem 2.3. Theorem 3.3 (global convergence of Snipal ). Suppose that Assumptions 1 and 3 hold. Let \{ (y k , x k )\} be the sequence generated by the Snipal algorithm with the stopping criterion (A \prime ). Then \{ (y k , x k )\} is bounded. In addition, \{ x k \} converges to an optimal solution of (P) and \{ y k \} converges to an optimal solution of (D), respectively. Since \scrT l is a polyhedral multifunction, we know from Lemma 2.4 and Remark 1 that \scrT l satisfies Assumption 2. Let r be a positive number satisfying r > \sum \infty i=0 \epsilon k with \epsilon k being the summable sequence in (A'). Then, there exists \kappa > 0 associated with r such that for any (y, x) \in \BbbR m \times \BbbR n satisfying dist((y, x), \scrT - 1 l (0)) \leq r, As an application of Theorem 2.5, we are now ready to show the asymptotic superlinear convergence of Snipal in the following theorem. Theorem 3.4 (asymptotic superlinear convergence of Snipal ). Suppose that Assumptions 1 and 3 hold and the initial z 0 := (y 0 , x 0 ) satisfies dist\Lambda 0 (z 0 , \scrT - 1 l (0)) \leq r - \sum \infty i=0 \epsilon k . Let \kappa be the modulus given in (3.9) and \{ z k := ( y k , x k ) \} be the infinite sequence generated by the preconditioned PPA under criteria (A \prime ) and (B \prime ). Then, for all k \geq 0, it holds that where \mu k = (1 - \delta k ) - 1 \Bigl( \delta k + (1 + \delta k )\kappa \gamma k /\sqrt{} \sigma 2 k + \kappa 2 \gamma 2 k \Bigr) with \gamma k := max(\tau k , 1) with \gamma \infty = max(\tau \infty , 1). Remark 3. Suppose that \{ \delta k\} in criterion (B \prime ) is nonincreasing. We know from Remark 2 that if one chooses \sigma 0 large enough such that \mu 0 < 1, then \mu k \leq \mu 0 < 1 for all k \geq 0. Thus, from (3.10), we have the global linear convergence of \{ dist\Lambda k (z k , \scrT - 1 l (0))\} and \{ dist(z k , \scrT - 1 l (0))\} . 3.2. Semismooth Newton method for subproblems (3.2). In this subsection, we discuss how the subproblem (3.2) in Snipal can be solved efficiently. As is mentioned in the name of Snipal , we propose to solve (3.2) via an inexact semismooth Newton method, which converges at least locally superlinearly. In fact, the local convergence rate can even be quadratic. For given (\~ x, \~ y) \in \BbbR n \times \BbbR m and \tau , \sigma > 0, define the function \psi : \BbbR m \rightarrow \BbbR as, and we aim to solve Note that \psi is strongly convex and continuously differentiable over \BbbR m with. Hence, we know that for any given \alpha \geq infy \psi (y), the level set \scrL \alpha := \{ y \in \BbbR m \| \psi (y) \leq \alpha \} is a nonempty closed and bounded convex set. In addition, problem (3.11) has a unique optimal solution which we denote as \= y. As an unconstrained optimization problem, the optimality condition for (3.11) is given by and \= y is the unique solution to this nonsmooth equation. Since \Pi K is a Lipschitz continuous piecewise affine function, we have that \nabla \psi is strongly semismooth. Hence, we can solve the nonsmooth equation (3.12) via a semismooth Newton method. For this purpose, we define the following operator: where \partial \Pi K(\~ x+\sigma (A \ast y - c)) is the Clarke subdifferential [14] of the Lipschitz continuous mapping \Pi K(\cdot ) at \~ x + \sigma (A \ast y - c). Note that from [25, Example 2.5], we have that where \partial 2 \psi (y) denotes the generalized Hessian of \psi at y. However, we caution the reader that it is unclear whether \^ \partial 2 \psi (y) = \partial 2 \psi (y). Given any y \in \BbbR m , define with U \in \partial \Pi K(\~ x + \sigma (A \ast y - c)). Then, we know that H \in \^ \partial 2 \psi (y) and H is symmetric positive definite. After these preparations, we are ready to present the following semismooth Newton method for solving the nonsmooth equation (3.12) and we can expect a fast local superlinear convergence. Algorithm 3.2 . Ssn : A semismooth Newton method for solving (3.12) ( Ssn (\~ x, \~ y, \sigma , \tau )). Given \tau > 0, \sigma > 0, choose parameters \= \eta \in (0, 1), \gamma \in (0, 1] and \mu \in (0, 1/2), \delta \in (0, 1) and set y 0 = \~ y. Iterate the following steps for j = 0, 1, . . . . Step 1. Choose Uj \in \partial \Pi K (\~ x + \sigma (A \ast y j - c)). Set Hj := \tau \sigma - 1 Im + \sigma AUjA \ast . Solve the linear system exactly or by a Krylov iterative method to find d j such that \\| Hjd j +\nabla \psi (y j )\\| \leq min(\= \eta , \\| \nabla \psi (y j )\\| 1+ \gamma ). Step 2. (Line search) Set \alpha j = \delta m j , where mj is the first nonnegative integer m for which Step 3. Set y j +1 = y j + \alpha jd j . The convergence results of the Ssn algorithm are stated in the following theorem. Theorem 3.5. Let \{ y j \} be the infinite sequence generated by the Ssn algorithm. It holds that \{ y j \} converges to the unique optimal solution \= y of (3.11) and \\| y j +1 - \= y\\| = \scrO (\\| y j - \= y\\| 1+ \gamma ). Proof. We know from [54, Proposition 3.3] that d j is always a descent direction. Then, the strong convexity of \psi and [54, Theorem 3.4] imply that \{ y j \} converges to the unique optimal solution \= y of (3.11). By (3.13), we have that the symmetric positive definite matrix Hj \in \^ \partial 2 \psi (y j ) satisfies the property that Hj \succeq \tau \sigma - 1 Im for all j. The desired results thus can be obtained by following the proof of [54, Theorem 3.5]. We omit the details here. 3.3. Finite termination property of SNIPAL. In our numerical experience with SNIPAL, we observe that it nearly possesses a certain finite convergence property for solving (P) and (D) when \sigma k and 1/\tau k are sufficiently large. We note that most available theoretical results corresponding to the finite termination property of PPAs require each subproblem involved to be solved exactly, e.g., see [41, 42] and [29]. Hence, all these results cannot be directly adopted to support our numerical findings. In this section, we aim to investigate the finite termination property of Snipal by showing that it is possible to obtain a solution pair of (P) and (D) without requiring the exact solutions of each and every subproblem involved in the algorithm. Our analysis is based on an interesting property called the ``staircase property"" associated with subdifferential mappings of convex closed polyhedral functions. Let Clearly, f is a convex closed polyhedral function. From [18, section 6] and earlier work in [16, 29], we know that its subdifferential mapping enjoys the following staircase property, i.e., there exists \delta > 0 such that. Based on the staircase property of \partial f, we present the finite convergence property of Snipal in the following theorem. Theorem 3.6. Suppose that Assumptions 1 and 3 hold and let \{ (y l , x l )\} be the infinite sequence generated by Snipal with the stopping criterion (A \prime ). For any given k \geq 0, suppose that \= y k +1 is an exact solution to the following optimization problem: Then, the following results hold. (a) The point \= x k +1 := \Pi K \bigl( x k - \sigma k(c - A \ast \= y k +1 )\bigr) is the unique solution to the following proximal problem: (b) There exists a positive scalar \= \sigma independent of k such that for all \sigma k \geq \= \sigma , \= x k +1 also solves the problem (P). Proof. (a) Observe that the dual of (3.16) is exactly (3.17), and the KKT conditions associated with (3.16) and (3.17) are given as follows: . Since \= y k +1 is a solution of the problem (3.16), it holds from the optimality condition associated with (3.16) that A\Pi K(x k - \sigma k(c - A \ast \= y k +1 )) = b. Thus, (\= x k +1 , \= y k +1 ) satisfy (3.18). Therefore, \= x k +1 solves (3.17). The uniqueness of \= x k +1 follows directly from the strong convexity of (3.17). (b) By Theorem 3.3, we know that x l \rightarrow x \ast as l \rightarrow \infty for some x \ast \in \partial f - 1 (0). Therefore, there exists a constant M > 0 (independent of k) such that From the optimality of \= x k +1 and the definition of f, we have that It also holds from the nonexpansive property of the proximal mapping that \\| \= x k +1 x \ast \\| \leq \\| x k - x \ast \\| , which, together with (3.19), further implies that Therefore, there exists \= \sigma > 0 (independent of k) such that for all \sigma k \geq \= \sigma and k \geq 0, where \delta > 0 is the constant given in (3.15). Thus, by using the staircase property (3.15), we know that That is, \= x k +1 solves the problem (P). (c) Next, consider the case when x k is a solution of (P). From the minimization property of x k , it is clear that the unique solution of (3.17) must be \= x k +1 = x k . Thus, x k = \Pi K \bigl( x k - \sigma k(c - A \ast \= y k +1 )\bigr) and Ax k = b. Note that it can be equivalently rewritten as i.e., (x k , \= y k +1 ) satisfy the KKT conditions for (P) and (D) in (3.1). Thus, \= y k +1 solves (D). Remark 4. We now remark on the significance of the above theorem. Essentially, it says that when \sigma k is sufficiently large with \sigma k \geq \= \sigma , then \= x k +1 solves (P), and it holds that \= y k +2 = argmin L\sigma k+1 (y; \= x k +1 ) solves (D). From the fact that the Ssn method used to solve (3.12) has the finite termination property [21, 46], we know that y k +1 computed in Step 1 of Snipal is in fact the exact solution of the subproblem min \psi k(y) when the corresponding linear system is solved exactly. In addition, when \sigma k is sufficiently large and \tau k is small enough, we have that and consequently, y k +1 can be regarded as a highly accurate solution to the problem min L\sigma k (y; x k ). In this sense, Theorem 3.6 explains the finite termination phenomenon in the practical performance of Snipal . 4. Solving the linear systems arising from the semismooth Newton method. Note that the most expensive operation in the Ssn algorithm is the computation of the search direction d \in \BbbR m through solving the linear system (3.14). To ensure the efficiency of Ssn and consequently that of Snipal , in this section, we shall , discuss efficient approaches for solving (3.14) in the Ssn Algorithm. Given c, \~ x \in \BbbR n \~ y \in \BbbR m , the parameters \tau , \sigma > 0, and the current iterate of Ssn \^ y \in \BbbR m , let where Rp = b - A\Pi K(w(\^ y)) with w(\^ y) := \~ x + \sigma (A \ast \^ y - c). At each Ssn iteration, we need to solve a linear system of the form where H = \tau \sigma - 1 Im + \sigma AUA \ast with U \in \partial \Pi K(w(\^ y)). Define the index set \scrJ = \{ i \| li < [w(\^ y)]i < ui, i = 1, . . . , n\} and p = \| \scrJ \| , i.e., the cardinality of \scrJ . In the implementation, we always construct the generalized Jacobian matrix U \in \partial \Pi K(w(\^ y)) as a diagonal matrix in the following manner: Without loss of generality, we can partition A \equiv [A\scrJ , A\scrN ] with A\scrJ \in \BbbR m \times p , A\scrN \in \BbbR m \times ( n - p ) , and hence where \rho := \tau \sigma - 2 . To solve the linear system (4.1) efficiently, we need to consider various scenarios. In the discussion below, we use \ttn \ttn \ttz \ttd \tte \ttn (M ) to denote the density of the nonzero elements of a given matrix M . (a) First, we consider the case where p \geq m and the sparse Cholesky factorization of A\scrJ A \ast \scrJ can be computed at a moderate cost. In this case, the main cost of solving the linear system is in forming the matrix A\scrJ A \ast \scrJ at the cost of O ( m 2 p \ttn \ttn \ttz \ttd \tte \ttn ( A \scrJ )) and computing the sparse Cholesky factorization of A\scrJ A \ast \scrJ + \rho I m . Observe that the index set \scrJ generally changes from one SSN iteration to the next. However, when the SSN method is converging, the index set \scrJ may only change slightly from the current iteration to the next. In this case, one can update the inverse of H via a low-rank update by using the Sherman--Morrison--Woodbury formula [23, p. 65]. When it is expensive to compute and factorize H, one would naturally use a PCG method or the MINRES (minimim residual) method to solve (4.1). Note that in our implementation, we used the diagonal preconditioner for simplicity. For more elaborate numerical implementation in the future, one could explore more sophisticated preconditioners such as incomplete Cholesky factorizations or those proposed in [10, 45]. Observe that the condition number of H is given by \kappa (H) = (\omega 2 max + \rho ) / ( \omega 2 min + \rho ) if p \geq m, where \omega max, \omega min are the largest and smallest singular value of A\scrJ , respectively. Note that when A is not explicitly given as a matrix, one can compute the matrixvector product Hv as follows: Hv = \sigma \rho v + \sigma A(e\scrJ \circ (A \ast v)), where e\scrJ \in \BbbR n is a 0-1 vector whose nonzero entries are located at the index set \scrJ , and ``\circ "" denotes the elementwise product. (b) Next we consider the case where p < m. In this case, it is more economical to solve (4.1) by using the Sherman--Morrison--Woodbury formula to get where P\scrJ = A\scrJ G - 1 A \ast \scrJ , G = \rho I p + A \ast \scrJ A \scrJ \in \BbbR p \times p . Thus to compute \Delta y , one needs only to solve a smaller p \times p linear system of equations Gv = A \ast \scrJ g . Observe that when \rho is close to zero, \Delta y is approximately the orthogonal projection of \tau - 1 \sigma g onto the null space of A \ast \scrJ . When it is too expensive to compute and factorize G, one can use a Krylov iterative method to solve the p \times p linear system of equations: To solve (4.3), one can compute the sparse Cholesky factorization of the symmetric positive definite matrix G \in \BbbR p \times p if the task can be done at a reasonable cost. In this case, the main cost involved in (4.3) is in computing A \ast \scrJ A \scrJ at the cost of O(p 2 m \ttn \ttn \ttz \ttd \tte \ttn (A\scrJ )) operations and the sparse Cholesky factorization of G = \rho I p + A \ast \scrJ A \scrJ . To estimate the convergence rate of the Krylov iterative method, it is important for us to analyze the conditioning of the above linear system, as is done in the next theorem. Theorem 4.1. Let B \in \BbbR m \times p with p < m. Consider linear system Gv = B \ast g, where G = B \ast B + \rho I p and g \in \BbbR m . Then the effective condition number for solving the system by the MINRES method with zero initial point is given by where \omega max is the largest singular value and \omega min > 0 is the smallest positive singular value of B, respectively. Proof. Consider the following full SVD of B: where \^ \Sigma is the diagonal matrix consisting of the positive singular values of B. Let \BbbP 0 k be the set of polynomials pk with degree at most k and pk(0) = 1. Then for pk \in \BbbP 0 k , we have that Since the kth iteration of the MINRES method computes an approximate solution xk such that its residual \xi = \= pk(G)B \ast g satisfies the condition that we see that the convergence rate of the MINRES method is determined by the best approximation of the zero function by the polynomials in P 0 k over the interval [\omega 2 min + \rho , \omega 2 max + \rho ]. More specifically, by [44, Theorem 6.4], we have that min pk\in \BbbP 0 k \\| p k ( z ) \\| [ \omega 2 min + \rho , \omega 2 max + \rho ] \leq 2\kappa - k . Hence the convergence rate of the MINRES method is determined by \kappa . After (4.4) is solved via the MINRES method, one can compute the residual vector associated with system (4.3) without much difficulty. Indeed, let the computed solution of (4.3) be given as follows: , where Gv = A \ast \scrJ g - \xi with \xi being the residual vector obtained from the MINRES iteration. Now the residual vector associated with (4.3) is given by where the last equation follows directly from the fact that \scrH A\scrJ = \sigma A\scrJ G. Based on the computed \eta , one can check the termination condition for solving the linear system in (3.14). Now, we are ready to bound the condition numbers of the Newton linear systems involved in Snipal . As can be observed from the above discussions, for both cases (a) and (b), the effective condition number of the linear system involved is upper bounded by where \omega max is the largest singular value of A\scrJ and \rho = \tau \sigma - 2 . Since A\scrJ is a submatrix of A, it holds that \omega max \leq \\| A\\| 2. Hence, for any linear system involved in the kth iteration of Snipal , we can provide an upper bound for the condition number as follows: \| From our assumptions on Snipal , we note that \sigma k \leq \sigma \infty and \tau k \geq \tau \infty > 0 for all k \geq 0. Hence, for all the linear systems involved in Snipal , there exists a uniform upper bound for the corresponding condition number: \| As long as \sigma \infty < +\infty , we have shown that all these linear systems have bounded condition numbers. This differs significantly from the setting in interior-point based algorithms where the condition numbers of the corresponding normal equations are asymptotically unbounded as the barrier parameter tends to 0. The competitive advantage of Snipal can be partially explained from the above observation. Meanwhile, in the kth iteration of Sinpal , to get a smaller upper bound based on (4.5), one should choose a small \sigma k but large \tau k. However, the convergence rate of Snipal developed in Theorem 2.5 requires the opposite choice, i.e., a large \sigma k and \tau k should be moderate. The preceding discussion thus reveals the trade-off between the convergence rate of the ALM and the condition numbers of the Newton linear systems. Clearly, in the implementation of Snipal , the parameters \{ \sigma k\} and \{ \tau k\} should be chosen to balance the progress of the outer and inner algorithms, i.e., the ALM and the semismooth Newton method. 5. Warm-start algorithm for SNIPAL. As is mentioned in the introduction, to achieve high performance, it is desirable to use a simple first-order algorithm to warm-start Snipal so that its local linear convergence behavior can be observed earlier. For this purpose, we present an ADMM algorithm for solving (D). We note that a similar strategy has also been employed for solving large scale semidefinite programming and quadratic semidefinite programming problems [51, 28]. We begin by rewriting (D) into the following equivalent form: . Given \sigma > 0, the augmented Lagrangian function associated with (5.1) can be written as for all (x, y, z) \in \BbbR n \times \BbbR m \times \BbbR n . The template of the classical ADMM for solving (5.1) is given as follows. Algorithm 5.1. ADMM . An ADMM method for solving (5.1). Given (x 0 , y 0 ) \in \BbbR n \times \BbbR m and \gamma > 0, perform the following steps for k = 1, . . . , Step 1. Compute Step 2. Step 3. Computex k+1 =x k +\gamma \sigma ( z k+1 +A \ast y k+1 - c). The convergence of the above classical ADMM for solving the two-block optimization problem (5.1) with the steplength \gamma \in (0, (1 + \surd 5)/2) can be readily obtained from the vast literature on ADMM. Here, we adopt a newly developed result from [12] stating that the above ADMM is in fact an inexact proximal ALM. This new interpretation allows us to choose the steplength \gamma in the larger interval (0, 2), which usually leads a better numerical performance when \gamma is chosen to be 1.9 instead of 1.618. We summarize the convergence results in the following theorem. A detailed proof can be found in [12]. Theorem 5.1. Suppose that Assumption 1 holds and \gamma \in (0, 2). Let \{ (x k , y k , z k )\} be the sequence generated by the ADMM algorithm. Then, \{ x k \} converges to an optimal solution of (P) and \{ (y k , z k )\} converges to an optimal solution of (5.1), respectively. Remark 5. In the above algorithm, one can also handle (5.3) by adding an appropriate proximal term or by using an iterative method (with appropriate preconditioning techniques) to solve the corresponding linear system. The convergence of the resulting proximal or inexact ADMM with steplength \gamma \in (0, 2) has also been discussed in [12]. For simplicity, we only discussed the exact version here. 6. Numerical experiments. In this section, we evaluate the performance of Snipal against the powerful commercial solver Gurobi (version 8.0.1) on various LP data sets. Our goal is to compare the performance of our algorithm against the barrier method implemented in Gurobi in terms of its speed and ability to solve the tested instances to the relatively high accuracy of 10 - 6 or 10 - 8 in the relative KKT residual. That is, for a given computed solution (x, y, z), we stop the algorithm when - - - where \ttT \tto \ttl is a given accuracy tolerance. We should note that it is possible to solve an LP by using the primal or dual simplex methods in Gurobi, and those methods could sometimes be more efficient than the barrier method in solving large scale LPs. However, as our Snipal algorithm is akin to a barrier method, in that each of its semismooth Newton iteration also requires the solution of a linear system having the form of normal equations just as in the case of the barrier method, we thus restrict the comparison of our algorithm only to the barrier method in Gurobi. To purely use the barrier method in Gurobi, we also turn off its crossover capability from the barrier method to simplex methods. We should note that sometimes the presolve phrase in Gurobi is too time consuming and does not lead to any reduction in the problem size. In that case, we turn off the presolve phase in Gurobi to get the actual performance of its barrier method. All the numerical experiments in this paper were run in MATLAB on a Dell laptop with Intel Core i7-6820HQ CPU @2.70GHz and 16GB of RAM. As Gurobi is extremely powerful in exploiting multithread computing, we set the number of threads allowed for Gurobi to be two so that its overall CPU utilization rate is roughly the same as that observed for running Snipal in MATLAB when setting the maximum number of computational threads to be two. In our experiments, unless otherwise stated, we adopt the following numerical strategies for solving the Newton linear system (4.1) in each iteration. (a) If p \geq m/2, solve (4.1) as follows. For the case when m \leq 30000 and the density of the nonzero elements of H is less than 30\%, solve (4.1) via sparse Cholesky factorization; otherwise solve (4.1) by the MINRES iterative solver with diagonal preconditioning. (b) If p < m/2, solve (4.1) via the Sherman--Morrison--Woodbury update (4.3) as follows. For the case when p \leq 30000 and the density of the nonzero elements of G is less than 30\%, solve (4.4) via sparse Cholesky factorization; otherwise solve (4.4) by the MINRES iterative solver with diagonal preconditioning. 6.1. Randomly generated sparse LP in [32]. Here we test large synthetic LP problems generated as in [32]. In particular, the matrix A is generated as follows: In this case, we turn off the presolve phase in Gurobi as this phase is too time consuming for these randomly generated problems and it also does not lead to any reduction in the problem sizes. As we can observe from Table 1, Snipal is able to outperform Gurobi by a factor of about 1.5--2.3 in computational time in most cases. Note that for the column ``iter (itssn)"" in Table 1, we report the number of Snipal iterations and the total number of semismooth Newton linear systems solved in Algorithm 2. For the columns ``time (RAM)"" and ``Gurobi time (RAM),"" we report the wall-clock time and the memory consumed by Snipal and Gurobi, respectively. 6.2. Transportation problem. In this problem, s suppliers of a1, . . . , as units of certain goods must be transported to meet the demands b1, . . . , bt of t customers. Let the cost of transporting one unit of goods from supplier i to customer j be cij. Then, the objective is to find a transportation plan denoted by xij to solve the following LP: Table 1 Numerical results for random sparse LPs with \ttT \tto \ttl = 10 - 8 . \| m \| n \| d \| Snipal iter (itssn) \| Snipal time (s) (RAM) \| Gurobi barrier iter \| Gurobi time (s) (RAM) \| \|---\|---\|---\|---\|---\|---\|---\| \| 2000 \| 100000 \| 0.025 0.050 \| 4 (18) 4 (18) \| 3.5 (0.8GB) 6.8 (0.8GB) \| 7 7 \| 5.2 (1.0GB) 10.5 (1.3GB) \| \| 5000 \| 100000 \| 0.025 0.050 \| 4 (15) 4 (15) \| 15.0 (1.5GB) 31.1 (1.8GB) \| 7 7 \| 22.4 (1.7GB) 46.1 (2.6GB) \| \| 10000 \| 100000 \| 0.025 0.050 \| 5 (24) 5 (24) \| 50.6 (3.2GB) 101.5 (5.3GB) \| 8 8 \| 96.6 (3.2GB) 181.6 (6.0GB) \| \| 1000 \| 1e+06 \| 0.025 0.050 \| 5 (30) 5 (29) \| 10.3 (2.0GB) 18.9 (3.2GB) \| 7 7 \| 22.2 (4.1GB) 40.0 (6.0GB) \| \| 2000 \| 1e+06 \| 0.025 0.050 \| 6 (32) 5 (28) \| 27.2 (3.2GB) 53.1 (5.2GB) \| 7 6 \| 52.2 (6.1GB) 92.7 (9.6GB) \| \| 5000 \| 1e+06 \| 0.025 \| 5 (26) \| 91.8 (4.5GB) \| 7 \| 184.1 (10.0GB) \| \| 10000 \| 1e+06 \| 0.010 \| 7 (40) \| 84.6 (4.3GB) \| 7 \| 194.4 (8.5GB) \| In the above problem, we assume that \sum s i=1 a i = \sum t j=1 b j . Note that this assumption is needed for the LP to be feasible. We can write the transportation LP compactly as follows: where e \in \BbbR s , and \^ e \in \BbbR t are vectors of all ones, and vec(X) is the st-dimensional column vector obtained from X by concatenating its columns sequentially. In Table 2, we report the results for some randomly generated transportation instances. For each pair of given s, t, we generate a random transportation instance as follows: Note that we turn off the presolve phase in Gurobi as this phase is too time consuming (about 20--30\% of the total time) and there is no benefit in cutting down the computation time per iteration. We can observe that for this class of problems, Snipal is able to outperform the highly powerful barrier method in Gurobi by a factor of about 1--3 in terms of computation times. Moreover, our solver Snipal consumed less peak memory than Gurobi. For the largest instance where the primal LP has 12,000 linear constraints and 27 millions variables, our solver is at least five times faster than the barrier method in Guorbi, and it only needs 5.4GB of RAM whereas Gurobi required 12.8GB. 6.3. Generalized transportation problem. The generalized transportation problem was introduced by Fergusan and Dantzig [20] in their study of an aircraft routing problem. Eisemann and Lourie [22] applied it to the machine loading problem. In that problem, there are m types of machines that can produce n types of products such that machine i would take hij hours at the cost of cij to produce one unit of product j. It is assumed that machine i is available for at most ai hours, and the demand for product j is bj. The problem is to determine xij, the amount of product Table 2 Numerical results for transportation LPs with \ttT \tto \ttl = 10 - 8 . \| s \| t \| Snipal iter (itssn) \| Snipal time (s) (RAM) \| G urobi bar rier iter \| \|---\|---\|---\|---\|---\| \| 2000 2000 2000 \| 3000 4000 6000 \| 5 (17) 5 (18) 5 (18) \| 18.3 (1.8GB) 22.0 (2.1GB) 34.2 (3.4GB) \| 8 8 8 \| Table 3 Numerical results for generalized transportation LPs with \ttT \tto \ttl = 10 - 8 . \| s \| t \| Snipal iter (itssn) \| Snipal time (s) (RAM) \| G urobi bar rier iter \| Gurobi time (s) (RAM) \| \|---\|---\|---\|---\|---\|---\| \| 2000 2000 2000 \| 3000 4000 6000 \| 5 (19) 5 (18) 5 (18) \| 22.4 (1.6GB) 27.1 (2.5GB) 40.6 (3.6GB) \| 7 8 8 \| 19.4 (2.9GB) 32.7 (5.5GB) 61.0 (8.0GB) \| \| 3000 3000 3000 \| 4500 6000 9000 \| 5 (18) 5 (18) 5 (19) \| 48.4 (3.4GB) 63.5 (4.0GB) 85.3 (5.8GB) \| 8 8 7 \| 59.7 (6.0GB) 90.0 (12.9GB) 258.0 (13.1GB) \| j to be produced on machine i during the planning period so that the total cost is minimized, namely, In addition to assuming, similar to the transportation problem in the previous subsection, that \sum s i=1 a i = \sum t j=1 b j , we also apply the normalization \sum s i=1 \sum t j=1 h ij = st. Table 3 presents the results for randomly generated generalized transportation LPs where a, b, c are generated as in the last subsection. The weight matrix H = (hij) is generated by setting \ttH = \ttr \tta \ttn \ttd (\tts ,\ttt ); \ttH = (\tts \ttt /\tts \ttu \ttm (\tts \ttu \ttm (\ttH )))\ttH . We can observe that Snipal can be up to 3 times faster than the barrier method in Gurobi when the problems are large. 6.4. Covering and packing LPs. Given a nonnegative matrix A \in \BbbR m \times n and cost vector c \in \BbbR n + , the covering and packing LPs [5, Section 10.1] are defined by It is easy to see that by adding a slack variable, the above problems can be converted into the standard form expressed in (P). In our numerical experiments in Table 4, we generate A and c randomly as follows: Table 4 presents the numerical performance of Snipal versus Gurobi on some randomly generated large scale covering and packing LPs. As we can observe, Snipal is Table 4 Numerical results for covering and packing LPs with \ttT \tto \ttl = 10 - 8 . \| Type \| m \| n \| den \| Snipal iter (itssn) \| Snipal time (s) \| Gurobi barrier iter \| Gurobi time (s) \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| C \| 1e3 \| 5e5 \| 0.2 \| 22 (148) \| 49.8 \| 14 \| 62.1 \| \| C \| 2e3 \| 5e5 \| 0.1 \| 25 (151) \| 103.3 \| 16 \| 90.6 \| \| C \| 2e3 \| 1e6 \| 0.05 \| 24 (160) \| 90.4 \| 17 \| 102.0 \| \| C \| 3e3 \| 5e6 \| 0.02 \| 24 (148) \| 190.5 \| 22 \| 560.5 \| \| P \| 1e3 \| 5e5 \| 0.2 \| 28 (160) \| 49.3 \| 12 \| 53.3 \| \| P \| 2e3 \| 5e5 \| 0.1 \| 29 (160) \| 97.0 \| 12 \| 68.2 \| \| P P \| 2e3 3e3 \| 1e6 5e6 \| 0.05 0.02 \| 30 (173) 26 (228) \| 75.1 259.8 \| 15 20 \| 91.4 500.2 \| competitive against the barrier method in Gurobi for solving these large scale LPs, and the former can be up to 2.9 times faster than the barrier method in Gurobi. 6.5. LPs arising from correlation clustering. A correlation clustering problem [1] is defined over an undirected graph G = (V, E) with p nodes and edge weights ce \in \BbbR (for each e \in E) that is interpreted as a confidence measure of the similarity or dissimilarity of the edge's end nodes. In general, for e = (u, v) \in E, ce is given a negative value if u, v are dissimilar and a positive value if u, v are similar. For the goal of finding a clustering that minimizes the disagreements, the problem can be formulated as an integer programming problem as follows. Suppose that we are given a clustering \BbbS = \{ S1, . . . , SN \} , where each St \subset V , t = 1, . . . , N, denotes a cluster. For each edge e = (u, v) \in E, set ye = 0 if u, v \in St for some t, and set ye = 1 otherwise. Observe that 1 - ye is 1 if u, v are in the same cluster and 0 if u, v are in different clusters. Now define the constants Then the cost of disagreements for the clustering \BbbS is given by \sum e\in E m e (1 - y e ) + \sum e\in E p e y e . A version of the correlation clustering problem is to find a valid assignment (i.e., it satisfies the triangle inequalities) of ye for all e \in E to minimize the disagreements' cost. We consider the relaxation of this integer program to get the following LP [11]: In the above formulation, we assumed that the edge set E is a subset of \{ (i, j) \| 1 \leq i < j \leq p\} . Let M be the number of all possible triangles in E. Define \scrT : \BbbR \| E \| \rightarrow \BbbR M to be the linear map that maps y to all the M terms - yij - yjk + yik in the triangle inequalities. We can express the above LP in the dual form as follows, and the corresponding primal LP is given by Table 5 Numerical results for correlation clustering LPs with \ttT \tto \ttl = 10 - 8. \| Data \| p \| \| E \| \| 2 \| E \| + M \| Snipal iter (itssn \| itminres) \| Snipal t ime (s) \| Gurobi barrier iter \| Gurobi time (s) \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| planted(5) \| 200 \| 19900 \| 1353200 \| 5 (70 \| 110.0) \| 38.1 \| 37 \| 690.9 \| \| \| \| \| \| planted(10) \| 200 \| 19900 \| 1353200 \| 6 (91 \| 146.5) \| 36.8 \| 49 \| 1146.6 \| \| \| \| \| \| planted(5) \| 300 \| 44850 \| 4544800 \| 5 (86 \| 109.2) \| 170.2 \| 37 \| 8350.7 \| \| \| \| \| \| planted(10) \| 300 \| 44850 \| 4544800 \| 7 (127 \| 186.3) \| 158 \| 82 \| 18615.8 \| \| \| \| \| \| stocks \| 200 \| 19900 \| 1353200 \| 5 (57 \| 147.7) \| 57.8 \| 53 \| 1009.2 \| \| \| \| \| \| stocks \| 300 \| 44850 \| 4544800 \| 5 (75 \| 191.1) \| 276.9 \| 60 \| 13797 \| \| \| \| \| Observe that the primal LP has \| E\| equality constraints and a large number of 2\| E\| +M variables. In Table 5, we evaluate the performance of our algorithm on correlation clustering LPs on data that were used in [49]. Note that for this class of LPs, we solve the linear system (4.1) by the MINRES iterative solver with diagonal preconditioning. One can observe that for the LP problem (6.3), our solver Snipal is much more efficient than the barrier method in Gurobi, and the former can be up to 117 times faster for the largest problem. The main reason why Snipal is able to outperform the barrier method in Gurobi lies in the fact that the former is able to make use of an iterative solver to solve the moderately well conditioned linear system involving the matrix (4.2) rather efficiently in each semismooth Newton iteration, whereas for the latter, it has to rely on sparse Cholesky factorization to solve the associated normal equation and for this class of problems, computing the sparse Cholesky factorization is expensive. Under the column ``itminres"" in Table 5, we report the average number of MINRES iterations needed to solve a single linear system of the form in (4.2). As one can observe, the average number of MINRES iterations is small compared to the dimension of the linear system for all the tested instances. 6.6. LPs from MIPLIB2010. In this subsection, we evaluate the potential of Snipal as a tool for solving general LPs with the characteristic that the number of linear constraints is much smaller than the dimension of the variables. For this purpose, we consider the root-node LP relaxations of some mixed-integer programming problems in the library MIPLIB2010 [33]. The large number of semismooth Newton iterations needed by Snipal to solve the LPs can be attributed to the fact that for most of the LP instances tested here, the local superlinear convergent property of the semismooth Newton method in solving the subproblems of the SPALM generally does not kick-in before a large number of initial iterations has been taken. From this limited set of tested LPs, we may conclude that substantial numerical work must be done to improve the practical performance of Snipal before it is competitive enough to solve general large scale sparse LPs. Table 6 reports the performance of Snipal against the barrier method in Gurobi for solving the LPs from the two sources mentioned in the last paragraph to the accuracy level of 10 - 6 . Note that we first use Gurobi's presolve function to preprocess the LPs. Then the preprocessed instances are used for comparison with Gurobi's presolve capability turned off. As one can observe, the barrier method in Gurobi performed much better than Snipal , with the former typically requiring less than 50 iterations to solve the LPs while the latter typically needs hundreds of semismooth Newton iterations except for a few problems such as \ttd \tta \ttt \ttt \tttwo \ttfive \ttsix , \ttn \tte \tto \tts -\ttx \ttx \ttx \ttx , etc. Overall, the barrier method in Gurobi can be 10--50 times faster than Snipal on many of the tested instances, with the exception of \ttn \tts \tttwo \ttone \ttthree \ttseven \tteight \ttfive \ttnine . SNIPAL FOR LP Table 6 Numerical results for some LPs from MIPLIB2010 with \ttT \tto \ttl = 10 - 6 . 7. Conclusion. In this paper, we proposed a method called Snipal targeted at solving large scale LP problems where the dimension n of the decision variables is much larger than the number m of equality constraints. Snipal is an inexact proximal augmented Lagrangian method where the inner subproblems are solved via an efficient semismooth Newton method. By connecting the inexact proximal augmented Lagrangian method with the preconditioned proximal point algorithm, we are able to show the global and local asymptotic superlinear convergence of Snipal . Our analysis also reveals that Snipal can enjoy a certain finite termination property. To achieve high performance, we further study various efficient approaches for solving the large linear systems in the semismooth Newton method. Our findings indicate that the linear systems involved in Snipal can have uniformly bounded condition numbers with respect to the parameter sequences \{ \sigma k\} and \{ \tau k\} when they are chosen such that sup\{ \sigma k\} < \infty and inf\{ \tau k\} > 0. This is in contrast to those involved in an interior point algorithm which has unbounded condition numbers with respect to the barrier parameter sequence that must be driven to zero. Building upon all the aforementioned desirable properties, our Snipal algorithm has demonstrated a clear computational advantage in solving some classes of large-scale LP problems in the numerical experiments when tested against the barrier method in the powerful commercial LP solver Gurobi. However, when tested on some large sparse LPs available in the public domain, Snipal is not yet competitive against the barrier method in Gurobi on most of the test instances. Thus much work remains to be done to improve the practical efficiency of Snipal and we leave it as a future research project. . Appendix. Here we show that the dual of (3.2) with \tau = 0 is given by (3.17) Consider the augmented Lagrangian function where l(y; x) = - b T y - \langle x, c - A \ast y\rangle - \delta K(x) for any (y, x) \in \BbbR m \times \BbbR n . The interchange of infy and maxx follows from the growth properties in x of the ``minimaximand"" in question [40, Theorem 37.3]. See also the proof of [42, Proposition 6]. REFERENCES [1] N. Bansal, A. Blum, and S. Chawla , Correlation clustering, Proceedings of the IEEE Symposium on Foundations of Computer Science, 2002. [3] L. Bergamaschi, J. Gondzio, and G. Zilli , Preconditioning indefinite systems in interior point methods for optimization, Comput. Optim. Appl., 28 (2004), pp. 149--171. [2] H. H. Bauschke and P. L. Combettes , Convex Analysis and Monotone Operator Theory in Hilbert Spaces, Springer, New York, 2011. [4] L. Bergamaschi, J. Gondzio, A. Mart \' {\i}nez, J. W. Pearson, and S. 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Preprint THE STATUS OF KNIGHTHOOD APPOINTMENTS MADE BY DEPOSED ROYAL FAMILIES Shutaro Takeda* ABSTRACT Legal debates on the deposed sovereigns' rights have emerged since 20th century. Among them, the right to appoint knights by heads of deposed royal families is one of the focal points. The author begins with a comprehensive review of legal debates on the subject. Six principles on the appointment are extracted from the review. Then, a new interpretation is proposed, wherein the legitimacy to confer honours and the legitimacy of the orders of knighthood themselves have to be considered separately. Under this method of interpretation, the criterion to judge the legitimacy of an appointment of knight is both the jus honorum of the head of the family and the order of knighthood itself being legitimate. Keywords: knighthood; international law; Canon Law; order of knighthood; sovereign; royal family; jus honorum; fons honorum; jure sanguinis Introduction Throughout the 19th and 20th centuries, monarchy was abolished in a number of European countries. As a result, the political order of European countries transitioned from monarchy to the republican system of government. International law became the pillar of the democratised world.1 As a result, since the 20th century, academic research on the "descending" source of sovereignty, namely, monarchy, wound down. At the same time, efforts began to focus on the "ascending" source of sovereignty, namely democracy.2 In the political realm, debates on the rights of deposed sovereigns were emerging rapidly in the last decades of the 20th Century.3 It is the author's standing that this was directly related to the fact that the academic community had focused less on monarchy and its rights. In other words, the root of many political debates on royal prerogatives might be attributed to the lack of academic research on this subject. Among the debates on royal prerogatives, one of the most notable focal points is the right to appoint new knights to dynastic orders of knighthood.4 The abolition of monarchy in European countries created confusion regarding the legitimacy of several orders of knighthood that had * Prof. Shutaro Takeda PhD FRSA is an Assistant Professor at Graduate School of Advanced Integrated Studies in Human Survivability, Kyoto University, Japan, and a Fellow of the Royal Society of Arts, UK. e-mail: firstname.lastname@example.org 1 H. Bull, 'International Law and International Order,' International Organization 1972-3, pp. 583-88. 2 S. Dellavalle, 'On Sovereignty, Legitimacy, and Solidarity Or: How Can a Solidaristic Idea of Legitimate Sovereignty Be Justified?,' Theoretical Inquiries in Law 2015-2, pp. 367-98. 3 L. Glanville, Sovereignty and the responsibility to protect: a new history, Chicago: University of Chicago Press 2013, pp. 132-170. 4 H.E. Cardinale, Orders of Knighthood, Awards and the Holy See, Buckinghamshire: Van Duren Publishers Limited 1984, pp. 217-235. © 2018 by the author(s). Distributed under aCreative Commons CC BY Creative Commons CC BY license. license. originally belonged to the monarchs, which led to the formation of the International Commission for Orders of Chivalry at the 5th Congress of Genealogy and Heraldry in 1960.5 Since its formation, the International Commission for Orders of Chivalry has periodically published its judgments on the legitimacy of the order of knighthood around the world. However, as N. Cox pointed out6, the criteria it followed in delivering its judgments are self-regulatory. This poses a significant problem when considering the fact that some countries in Europe have passed bills that forbids the appointment of new knights by deposed sovereigns, including the Italian Republic.7 Since the subject of conferment of knighthood by deposed sovereigns may fall under international law,8 it is the author's standing that legal studies alone can offer a solution to the differences that arise between the applicability of national law and the prerogative of royal families to confer honours. To this end, the purpose of this paper is twofold. First, the paper aims to review and summarise legal principles on the conferment of knighthood. Second, it aims to present a new clarification of the legitimacy of dynastic orders based on the principles, with the aim of easing the conflicts between national law and dynastic royal prerogatives. The author wishes this preprint would work as a platform for academic discussions. I. Legal Principles on the Orders of Knighthood This section presents a comprehensive review of the known customs governing the orders of knighthood. In particular, customs that saw good agreements among scholars and/or jurists are explicitly labeled as "Principles" in the following section. The legitimacy of the appointment of new knights has been explored under international law by a number of previous studies on the Sovereign Order of Malta (or the Sovereign Military Hospitaller Order of Saint John of Jerusalem, of Rhodes and of Malta) because of its unique status as a sovereign recognised by the international community. It has to be noted that the nature of dynastic orders of knighthood is different from that of the Sovereign Order of Malta. The status of the Sovereign Order of Malta, which is widely recognised as an international person, falls explicitly under international law, while many jurists do not assume the same for the dynastic orders of knighthood. Although knighthood appointments made by deposed royal families in exile have in a few instances been recognised by governments, some argue that these are only bilateral arrangements and as such it is not a subject of international law. Nevertheless, many of the legal discussions on the matter prove to be relevant and are applicable to the discussions on dynastic orders of knighthood. Therefore, the author referred to studies on the Sovereign Order of Malta by Hoegen Dijkhof as a foundation for this review. To examine the conventions and legal interpretations of Canon Law, the author studied the works of Cardinale and Duren in detail. On the interpretation of international law, the author referred to the works of Cox. Finally, the author also examined a series of judgments delivered in the Italian Republic between 1952 and 1964 on the legitimacy of the royal prerogatives of Prince Francesco Mario9 and its interpretations by E. Furno, which proved to be relevant to the subject. 5 P.F.d. Uberti et al., Register of Orders of Chicalry, Bologna: International Commission for Orders of Chivalry 2016, p.5. 6 N. Cox, 'The sovereign authority for the creation of Orders of Chivalry,' Journal of the Heraldry Society of Southern Africa 2009-2, pp. 317-29. 7 Lagge 3 marzo 1951, n. 178 . 8 E. Furno, 'Qrdini equestri non nazionali. - Art. 7 Legge 3 marzo 1951, n. 178,' Rivista Penale 19611, pp. 46-70. 9 Francesco Mario v. Italy, No. 40/51 R.G. No. 485/52 (United Court Bari 1952). I.1 The Foundation and the Possession of the Orders of Knighthood Under international law, sovereigns hold the supreme power over its cities and provinces.10,11 This secular right is called sovereignty, or jus majestatis.12 J. Althusius understood the right as follows:13 [Jus majestatis] is the means by which the members, in order to establish good order and the supplying of provisions throughout the territory of the realm, are associated and bound to each other as one people in one body under one head. Members under sovereigns hold jus honorum, a right to hold a public office or to be conferred honors with unilateral appointments by the sovereign.14,15 Jus honorum is also interpreted as the exclusive right of sovereigns to appoint members to public positions or to confer an honor upon them.16 In this sense, jus honorum is the right 'to grant and confirm coats of arms, to bestow titles drawn from places over which their ancestors had exercised their sovereign powers, and also the right to found, re-establish, reform and exercise the Grand Magistracy of the Orders of Knighthood conferred by their family.'17 To legitimise orders of knighthood, jus majestatis and jus honorum are required. As a result, the orders of knighthood must be founded or sponsored by a sovereign power (Principle 1).18,19 Here, the expression "founded or sponsored" is used because in the past, there have been orders of knighthood that had been founded by private persons, then received the recognitions from sovereign powers to gain its legitimacy, including the Knights Templar.20 However, it should be noted that as observed by the International Commission for Orders of Chivalry,21 private persons' rights to create orders of knighthood have long since fallen into disuse, and orders of knighthood have been exclusively founded by sovereign powers in the last few centuries. 10 M.R. Ossewaarde, 'Three rival versions of political enquiry: Althusius and the concept of sphere sovereignty,' The monist 2007-1, pp. 106-25. 11 M. Vatter, 'Republicanism or Modern Natural Right? The Question of the Origins of Modern Representative Democracy and the Political Thought of Giuseppe Duso,' CR: The New Centennial Review 2010-2, pp. 99-120. 12 M.S. Weinert, Democratic Sovereignty: Authority, Legitimacy, and State in a Globalizing Age, London: Routledge 2007, p. 68. 13 Ibid. 14 H.T. Martínez, 'Ius sufragii y ius honorum,' Revista Chilena de Derecho 1993, pp. 345-52. 15 S.P. Sinha, 'The Anthropocentric Theory of International Law as a Basis for Human Rights,' Case W. Res. J. Int'l L. 1978, p. 469. 16 A. De Becker, 'The Legal Status of Public Employees or Public Servants: Comparing the Regulatory Frameworks in the United Kingdom, France, Belgium, and the Netherlands,' Comp. Lab. L. & Pol'y J. 2010, p. 949. 17 Ibid, supra note 9. 18 Cardinale 1984, supra note 4, p. 173. 19 Ibid, supra note 5. 20 Ibid, supra note 18. 21 Ibid, supra note 5. Orders of knighthood founded by a sovereign belong to his/her royal family (Principle 2).22,23 Orders of knighthood founded or sponsored by sovereigns are recognised as the monarchs' 'truly personal, executive prerogatives.'24 In other words, they are 'the exclusive property of a Sovereign, and they remain such even if he goes into exile, and are transmissible to his legitimate successor and Head of the Family.'25 Only when the sovereign explicitly yields the rights to the crown, would the order of knighthood become the property of the state (Principle 3).26 Here, the orders of knighthood that belong to a family are called "dynastic order" of the "family order" to distinguish themselves from state-owned orders. Only so long as the order of knighthood is the property of the state, the order is governed by the state and its rights considered the patrimony of the state.27 I.2 Orders of Knighthood and the Canon Law The origin of the orders of knighthood lies within the Catholic Church.28 The Holy See, the ecclesiastical jurisdiction of the Catholic Church, initiated its involvement in the field of chivalry with the first Papal Bull granting indulgences to Crusaders. It had since created, recognised, merged, and abolished numerous orders of knighthood. 29 To this date, many orders of knighthood are still Catholic-founded, and thus, abide by Canon Law.30 The Catholic Church is a member of the international community, and has been influential in shaping international law.31 The pope is the sovereign of the Vatican City State,32 an independent state created in 1929 through the Lateran treaties, recognised under international law.33 The position of Canon Law under international law in this respect is summarised by Rene Metz as follows:34 In the person of the pope who represents it, the Holy See enjoys a twofold sovereignty: territorial sovereignty as representing the Vatican City State, and personal authority as representing the Catholic and Universal Church. ... The pope and the Holy See represent the universal Catholic Church. And the Catholic Church in its universality has the character of a supra-national institution. There is nothing, therefore, to prevent the recognition of international personality in it, which confers a real sovereignty upon it. even though one of another order 22 Cardinale 1984, supra note 4, p. 119. 23 The Ministry of Justice. 2009. Review of the Executive Royal Prerogative Powers: Final Report. London. 24 Ibid. 25 Ibid, supra note 22. 26 P.B.v. Duren, The Pontifical, Religious and Secularised Catholic-founded Orders and their relationshop to the Apostolic See, Buckinghamshire: Colin Smythe 1995, p. 218. 27 Ibid. 28 L. Gautier, La Chevalerie, Paris: Victor Palme 1884, pp. 1-30. 29 J.H. Lawrence-Archer, The Orders of Chivalry. From the Orifinal Statues of the Various Knighthood, and other Sources of Information, London: W. H. Allen and Co. 1887, pp. 323-333. 30 Duren 1995, supra note 26, pp. 220-221. 31 E.H. Boyle & S. Golden & W. Liao, 'The Catholic Church and International Law,' Annual Review of Law and Social Science 2017, pp. 395-411. 32 Art. 1-2, Fundamental Law of Vatican City State 2000. 33 J.L. Kunz, 'The Status of the Holy See in International Law,' American Journal of International Law 1952-2, pp. 308-14. 34 R. Metz, L'Eglise a ses lois (Le Droit canon). Paris: Arth. Fayard, 1959, pp. 131-133. than territorial sovereignty. This way of looking upon the Catholic Church is fully in line with the development of modern international law. ... International personality is attributed to [supra-national institutions], so that, while not possessing territorial sovereignty, these bodies are able to conclude agreements with states whose sovereignty is of a territorial order. The classic institution of this kind is the United Nations Organization, and there are many others – NATO, UNESCO and so forth. It is in this category of new juridical institutions of a supra-national character that most contemporary writers place the Holy See. The Holy See has a juridical personality under international law. The Catholic Church is a supra-national institution and is a subject of international law.35 In some cases, the Catholic Church is even recognised for its independence and sovereignty, as in the case of the Constitution of the Italian Republic.36 The theological disciplines of the Catholic Church are expressed using the juridical method of Canon Law.37 Under Canon Law, orders of knighthood that are explicitly recognised by the Holy See hold an official status in the Catholic Church as private associations. This is based on Canons 298, 299 1-3, and 301, which read as follows:38 Can. 298 §1. In the Church there are associations distinct from institutes of consecrated life and societies of apostolic life; in these associations the Christian faithful, whether clerics, lay persons, or clerics and lay persons together, strive in a common endeavor to foster a more perfect life, to promote public worship or Christian doctrine, or to exercise other works of the apostolate such as initiatives of evangelization, works of piety or charity, and those which animate the temporal order with a Christian spirit. Can. 299 §1. By means of a private agreement made among themselves, the Christian faithful are free to establish associations to pursue the purposes mentioned in can. 298, §1, without prejudice to the prescript of can. 301, §1. §2. Even if ecclesiastical authority praises or commends them, associations of this type are called private associations. §3. No private association of the Christian faithful is recognized in the Church unless competent authority reviews its statutes. Can. 301 §1. It is for the competent ecclesiastical authority alone to erect associations of the Christian faithful which propose to hand on Christian doctrine in the name of the Church or to promote public worship, or which intend other purposes whose pursuit is of its nature reserved to the same ecclesiastical authority. Canon 298 recognises the right of association of the Christian faithful and provides the criteria to be relied on in examining an association's request for recognition. In Canon 299, it is explicitly stated that without recognition from a competent ecclesiastical authority, an association will remain without official status, thereby remaining a de facto association. Only upon recognition by the competent ecclesiastical authority, is an association given official status in the Catholic Church as a private association with its corresponding juridical status. Finally, Canon 300 presents the distinction between a public association and a private association. It states that an association erected by a competent ecclesiastical authority is public and an 35 H.F. Cumbo, 'The Holy See and International Law,' The International Law Quarterly 1948-4, pp. 603-620. 36 Art. 7, Costituzione della Repubblica Italiana. 37 J.P. Beal & J.A. Coriden & T.J. Green, New commentary on the code of canon law, Mahwah: Paulist Press 2000, pp. 1-10. 38 Idem, pp. 401-404. association recognised by a competent ecclesiastical authority is private.39 Based on these legal bases, an order of knighthood explicitly recognised by the Holy See, usually by means of Papal Bulls, is considered a private association in the Catholic Church. Due to the Holy See's status as an independent juridical person under international law, this recognition and status of orders of knighthood cannot be suppressed by other states. 40 As a result, dynastic orders of knighthood once explicitly recognised by the Holy See has a status under international law, which cannot be suppressed by other states (Principle 4).41,42 This continues, unless the Holy See itself explicitly retracts its recognition on them. Here, note that only dynastic orders of knighthood may have a status in the Catholic Church, because orders that belong to the crown or to the state are considered secular, and therefore lose their Catholic character.43 It also has to be noted that since 1920s the Holy See hasn't given explicit recognitions to any orders of chivalry other than pontifical orders and two Catholic orders, the Sovereign Order of Malta and the Order of the Holy Sepulchre. I.3 Appointment of New Knights to the Orders of Knighthood As reviewed in Section I.1, jus honorum is required to appoint a new knight. A person or body that holds jus honorum is called fons honorum, and every order of knighthood must have a fons honorum to appoint new knights into the order (Principle 5).44,45 Jus honorum is the right to appoint knights, where fons honorum is a person or body that has such a right and accordingly appoints knights. In monarchies, sovereigns exclusively hold jus honorum, and thus they themselves are the fons honorum.46 Jus honorum of the sovereigns are jure sanguinis, or rights by blood. Regardless of whether they are regnant or not, heads of royal families enjoy jus honorum indefinitely as long as the succession is made according to each family's dynastic law (Principle 6).47,48,49,50,51 This essential principle requires a detailed review. Legal debates on the deposed sovereigns' jus honorum emerged in the 20th century in Europe, when monarchy was abolished in many countries. One of the first judgments delivered under 39 Ibid. 40 Ibid, supra note 22. 41 Ibid, supra note 37. 42 Ibid, supra note 30. 43 Ibid, supra note 26. 44 H.J. Hoegen Dijkhof, The Legitimacy Of Orders Of St. John A historical and legal analysis and case study of a para-religious phenomenon, Amsterdam: Leiden University 2006, p. 411. 45 D.C.R. Butculescu, 'Prolegomena to the Study of Heraldic Insignia: from the Medieval Coat of Arms (XIV-XVI Century) to the Heraldic Insignia of Institutions and Societies in Contemporary Law. Evolution, Legal Regime, Effects, Legal Protection, Prohibitions', Diversity and Interdisciplinarity in Business Law 2017, pp. 11-18. 46 N. Cox, 'The Office of the Chief Herald of Ireland and Continuity of Legal Authority,' Dublin ULJ 2007, pp. 84. 47 S.P.K.y. Baca, 'Resolution of Monarchical Successions Under International Law: Succession of HRH Prince Ranier to the Chiefship of The Royal House of the Two Sicilies,' The Augustan 1975-76, pp. 132. 48 Ibid, supra note 8. 49 Ibid, supra note 9. 50 Ibid, supra note 22. 51 Hoegen Dijkhof 2006, supra note 44, pp. 296-297. the contemporary legal system on this subject was given in the Italian Republic in 1952, by Pretura Unificata di Bari (United Court of Bari) on Case 485/52. This was a criminal case where Umberto Zambrini, a resident of Bari, Italy, was prosecuted for the crime of "Usurpation of Titles and Honours" (Article 498 of the Italian Penal Code), for publicly presenting himself as Count of Sant'Ilarico. During the trial, the defendant claimed that the title of nobility was legitimately conferred by the Prince of Emmanuel, Francesco Mario Paternò Castello di Carcaci. After an investigation, the court ruled that Francesco Mario was indeed a direct descendant of a branch of the House of Aragon.52 Based on the investigation, Judge Giovanni de Gioca delivered the following judgment on March 13, 1952:53 By a brevet of Kings James I, ... the claim to this throne made by the Paternò is legitimate which confirms him indeed a member of a branch of the House of Aragon and are its last representatives. ... [Therefore, Francesco Mario] have retained many of his rights jure sanguinis. Among those rights are the fons honorum, or the faculty to ennoble, to grant and confirm coats of arms, to bestow titles, drawn from places over which their ancestors had exercised their sovereign powers, and also the right to found, re-establish, reform and exercise the Grand Magistracy of the Orders of Knighthood conferred by their family, which may be handed down from father to son as an irrepressible birthright, which indeed is found among the inherited rights of Prince Francesco Mario as also confirmed in 1860 by Francis II di Borbone, King of the Two Sicilies. This judgment clearly rules that a head of a deposed royal family retains its jus honorum as jure sanguinis. Further, the judgment indicates that he or she can confer nobility or appoint new knights to dynastic orders of knighthood as well. The consequent judgment on Francesco Mario at Tribunale di Pistoia followed the same principles. 54 E. Furno summarised the judgments on jus honorum under international law as follows: Scholars and jurists have agreed that royal prerogatives personally belong to the Sovereign; and that outside of the "debellatio" that is the total or spontaneous abdication, the deposed Sovereign, even without [some of royal prerogatives], preserves the "jus honorum" as well as the "jus majestias"55 There are quite a few judgements, both civil and criminal, some very recent, which all generally accept the traditional principles given above. Principally, the special prerogatives of "jus majestatis" and "jus honorum" are based on "nobilta nativa" and "jure sanguinis," and the question of the such prerogatives are subject of international law with all logical consequences: a sovereign in exile can legitimately confer noble titles and the honors that fall within its heraldic heritage as the head of family, with or without a predication.56 Here, the questions of nobilta nativa (innate nobility) and jure sanguinis, that is the questions on the legitimacy of the succession, are ought to be resolved under international law through 52 Ibid. 53 Ibid, supra note 9. 54 Ibid, supra note 51. 55 Furno 1961, supra note 8, p. 47. 56 Idem, p. 56. the correct application of each family's dynastic laws.57 Therefore, by applying these principles to the appointment of new knights to orders of knighthood, Cardinale concluded as follows:58 A Sovereign in exile and his legitimate successor and Head of the Family ... may bestow honours in full legitimacy, provided the Order has not become extinct. ... No authority can deprive them of the right to confer honors, since this prerogative belongs to them as a lawful personal property iure sanguinis (by right of blood), and both its possession and exercise are inviolable. This is the essential principle on the appointment of new knights to orders of knighthood, which was expressed in form of Principle 6. II. The Conflict between National Laws and Family Rights to Appoint Knights: The Application of the Principles One of the focal points in the legal debates on this subject has been the legitimacy of the right to appoint new knights to dynastic orders of knighthood when the deposed royal family in question is explicitly prohibited from doing so under national law. Since the conferment of knighthood by deposed royal families is a subject of international law,59 it may be the discussions based on the international law alone that can offer a solution to the conflict.60 In this section, the author will propose a new mode of interpretation of international law based on the principles reviewed in the previous section, to indicate that the conflict between national laws and the right to appoint new knights to dynastic orders of knighthood can be resolved. II.1 The Two Positions on the Family Right to Appoint Knights to Orders of Knighthood Several countries in Europe today do not recognise the dynastic orders of knighthood of their deposed royal families in their national laws. In some cases, including the Italian Republic,61 they even have legislations that explicitly prohibit deposed royal families from appointing new knights to the dynastic orders of knighthood. These national laws seem to be directly in conflict with the Principle 6. There have been two major positions in the legal debates on this matter. The first position is that the family right to appoint new knights to extant dynastic orders of knighthood cannot be deprived by any authority (Position A). This position was most prominently expressed by the International Commission for Orders of Chicalry as '[Jus honorum] is therefore considered ultra vires of any republican State to interfere, by legislation or administrative practice, with the Princely Dynastic Family or House Orders.'62 Cardinale and Duren also hold this view.63,64 The second position is that the family rights to dynastic orders of knighthood are rights in rem under international law, and as such, they exist within the legal system which created them, lex 57 Ibid, supra note 47. 58 Ibid, supra note 22. 59 Furno 1961, supra note 8, p. 47. 60 C. Joerges, 'On the legitimacy of Europeanising private law: considerations on a justice-making law for the EU multi-level system,' Electron J Comp Law 2003-7, p.3. 61 Ibid, supra note 7. 62 International Commission for Orders of Chivalry 2016, supra note 5, p. 19. 63 Ibid, supra note 22. 64 Ibid, supra note 26. creatus, unless the order in question is recognised by other states (Position B). Cox explained this position as follows:65 Any property may be sequestrated, seized or abolished by legitimate authority – provided that this is done in accordance with the proper legal procedures. ... Orders of chivalry are governed by the appropriate lex creatus. Claims to Orders and the rights they confer must be directed to the granting jurisdiction where the claim will be decided by the lex creatus. Unless the Order is recognised by another state, the purported abolition must be accepted as valid. II.2 A New Clarification on the Family Right to Appoint Knights These two positions have been considered as conflicting with each other and being mutually exclusive. However, the author will show that by introducing a new and simple clarification on the issue, based on Principles 1 to 6, it can be understood that these two positions are actually compatible. The necessary clarification is that the legitimacy of jus honorum as the head of the family and the legitimacy of their dynastic orders of knighthood themselves have to be considered separate (Clarification). In accordance with Position A, the jus honorum of the heads of royal families, regardless of whether they are regnant or not, cannot be interfered with by any state's national laws. On the other hand, Principles 1-6, on careful observation, indicate that jus honorum is not related to the legitimacy of dynastic orders itself. Therefore, Position B, which contends that dynastic orders of knighthood only exist within the legal systems which either created them or recognised them, does not conflict with the Position A. By sorting out the legal debates based on the Clarification, Positions A and B can be found compatible and can also be satisfied at the same time. For instance, the argument by Cardinale to the effect that heads of deposed royal families may bestow honours in full legitimacy when the order in question has been solemnly recognised by the Holy See, 'they cannot however found new Dynastic Orders.' 66 This seemingly contradicting statement can be logically understood with the Clarification. When an order of knighthood is once recognised by the Holy See, based on Principle 6, the said order holds a status in the Catholic Church. Therefore, even if the rights of lex creatus are lost, the order of knighthood will continue to be extant under international law. On the other hand, if the head of a deposed royal family establishes a new order of chivalry by jus honorum, the said order in question may neither be able to obtain the rights from lex creatus nor obtain a solemn recognition from the Holy See.67 Thus, they cannot establish new orders of knighthood with a legitimate status under international law. II.3 The Criterion of Legitimacy of Appointment of Knights to Orders of Knighthood As demonstrated above, this Clarification can be made useful while debating the legitimacy of the appointment of new knights to orders of knighthood by the heads of deposed royal families. The only criterion necessary to find an appointment of a new knight valid under international law is that both the order of knighthood and jus honorum of the head of the family must be legitimate under Principles 1 to 6 (Criterion). Take, for example, the validity of appointments by the House of Savoy to illustrate this criterion. The Italian Republic passed a bill titled "Establishment of the Order of Merit of the Italian 65 N. Cox, 'The principles of international law governing the Sovereign authority for the creation and administration of Orders of Chivalry,' Féil-Scríbhinn Liam Mhic Alasdair – Essays Presented to Liam Mac Alasdair, FGSI 2009, pp. 15-25. 66 Ibid, supra note 22. 67 Ibid, supra note 65. Republic and Disciplines on the Conferment and Use of Honours" in 1951, which prohibits the House of Savoy from appointing knights in the following manner:68 Except [in case it is authorized by decree of the President of the Republic], it is forbidden to confer honors, decorations and distinctions of knighthood, with any form and name, by bodies, associations or individuals. (Art. 8) The Order of the Most Holy Annunciation and the related honors are suppressed. The Order of the Crown of Italy is suppressed and the conferment of the honors of the Order of Saints Maurice and Lazarus is ceased. (Art. 9) In the past, there have been two seemingly conflicting positions taken toward this national law. The first position was that the legislation was made in historical error to assume the Order of the Most Holy Annunciation and the Order of Saints Maurice and Lazarus to belong to the crown, and that the House of Savoy continues to enjoy the right to appoint new knights to these orders.69,70 This position is in agreement with Position A. The second position was that the purported abolition of the orders was valid in the Italian Republic regardless of the historical error, and that it must be accepted as valid, in line with Position B.71 However, by applying the Clarification and the Criterion, this debate can also be sorted out. Article 8 addresses the jus honorum of the House of Savoy. This article seems to deny the jus honorum of the House of Savoy, which directly contradicts judgment No. 485/52. However, a careful observation makes it apparent that the article only "forbids (vietato)" the exercise of jus honorum, and does not try to deprive the right itself. As such, the jus honorum of the House of Savoy is still legitimate under Principle 6, and no conflicts exist between the national law and the family rights in that context. Article 9 declares the three orders that are to be abolished. Out of the three, the Order of the Crown of Italy is deemed to belong to the state under Principles 2 and 3, while on the other hand the Order of the Most Holy Annunciation and the Order of Saints Maurice and Lazarus are deemed belonging to the House of Savoy under Principles 1 and 2. Therefore, under Principles 5 and 6, based on the Papal Bull by Gregory XIII that recognised the grandmastership of the orders 'forever to the Duke of Savoy and his royal successors,'72 these two orders of knighthood hold a status in the Catholic Church, and thus, they hold a status under international law, regardless of the legislation. As a result, based on the Principles, while the Order of the Crown of Italy is abolished by losing the rights of lex creatus, the Order of the Most Holy Annunciation and the Order of Saints Maurice and Lazarus are extant and legitimate under international law. These logical conclusions satisfy both Positions A and B. As a result, based on the Criterion, it can be concluded that the appointment of new knights by the House of Savoy to the Order of the Most Holy Annunciation and the Order of Saints Maurice and Lazarus is valid. III. Conclusions In this paper, the author comprehensively reviewed the legal debates on the right to appoint new knights to dynastic orders of knighthood by heads of deposed royal families to extract principles on this subject. The author proposed a new clarification on the conflict of laws, to the effect that the legitimacy of jus honorum as the head of family and the legitimacy of their dynastic 68 Art. 498, Codice Penale. 69 Cardinale 1984, supra note 4, pp. 135-139. 70 Duren 1995, supra note 26, pp. 306-319. 71 Ibid, supra note 65. 72 Gregory XIII, Pro commissa nobis, Vatican: The Holy See 1572. orders of knighthood themselves should be considered separate. This clarification led to the establishment of a simple criterion to judge the validity of the appointment of a new knight. The principles and the criterion identified in this paper are as follows: Principle 1: Orders of knighthood must be founded or sponsored by a sovereign power. Principle 2: Orders of knighthood founded by a sovereign belong to his/her royal family. Principle 3: Only when the sovereign explicitly yields the rights to the crown, would the order of knighthood become the property of the state. Principle 4: Dynastic orders of knighthood once explicitly recognised by the Holy See have a status under international law which cannot be suppressed by other states. Principle 5: Every order of knighthood must have a fons honorum, or a holder of jus honorum, to appoint new knights into the order. Principle 6: Regardless of whether they are regnant or not, heads of royal families enjoy jus honorum indefinitely as long as the succession is made according to each family's dynastic laws. Criterion: An appointment of a new knight into the order of knighthood is valid when both the jus honorum of the head of the family and the order of knighthood itself are deemed legitimate under Principles 1 to 6. The usefulness of the identified principles and the criterion was demonstrated through a brief case study of the House of Savoy. Therefore, the author concludes that these principles and the criterion proposed in this paper are beneficial in filling the gap between the national law and the dynastic royal prerogatives. Finally, the author acknowledges a few limitations in the principles identified in this paper. First, because of the scarcity of academic studies in this topic, despite the best effort, the author worries that some might find the arguments presented in this paper not sufficient. The author wishes the Post-Publication Open Peer Review provided on this journal would supplement this limitation. Secondly, these principles cannot offer definitive perspectives on the legitimacy of a dynastic order of knighthood without papal recognition when the order is not recognised by lex creatus. According to the position that the order exists only within the legal system which created them without recognition from other states, it is reasonable to find the order to be non-extant. However, under the theory that deposed sovereigns outside of the status of debellatio, that is, without a spontaneous abduction, constitutes a state, it may be possible to conclude that such orders of knighthood can still be considered extant.73,74 The author hopes that these points can be resolved through future research. References 73 J.C. Hall, 'International Law: Power of Government-in-Exile to Enact Valid Legislation,' Michigan Law Review 1954-5, pp. 753-56. 74 S. Talmon, 'Who is a legitimate government in exile? Towards normative criteria for governmental legitimacy in international law,' The Reality of International Law. Essays in Honour of Ian Brownlie 1999, pp. 499-537. (Baca 1975) Baca, Stephen P. Kerr y. 1975. 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DreamSurah Al Mulk - Timestamps from Day 01 to Day 13 Dream Surah Al Mulk - Timestamps from Day 01 to Day 13 This page intentionally left blank. Click on the Day you would like to read, and it will navigate to the content. Table of Contents **************** ى َ ۡ َ َ َ َ ْ َ ا ۡ َ َ ِ َ َ ۡ ِ ِ َ ى َ \| \| Week 01 \| \| \|---\|---\|---\| \| Days \| \| Description \| \| Day 01 \| \| a. Surah Al Mulk – Ustadh explained Ayah 01 @10:40 قَ ۡ َ ٌكُ ى َ َ ٌوَ وَ لۡ ۡ يَ ذ َّٱٌٌكٌَ رَ ىبَ َ ١ٌر يدِ ٌٌ ء ش ٌَ ٌٌع ٌَ ه ٌٌٌك م لٱٌٌٌِهدِ ِبٌيل ِ ت \| \| b. Ustadh explained Ayah 02 @21:30 + @32:40 َ ۡ َ ۡ َ َ ٗ َ َ َ ۡ ۡ ُّ ۡ َ ۡ َ َ ىَ َۡ َ َ ۡ َ ۡ َ َ َ ذ ٢ٌروفغلٱٌٌزيز علٱٌٌٌوهوٌالٌ معٌٌن سحأٌٌمكيأٌٌمكولبلِ ٌِ ٌةويلٱٌۡوٌٌتٌ وملٌٱٌٌقلخٌيل ِ َّٱ ِ \| \| \| \| c. Ustadh explained Ayah 03 @30:10 + @39:25 ٌٌٌىى رَ َ تٌٌلٌۡ هَ ٌصٌَ َ َ ۡ رۡ ٱفٌَ ى فَ َ ٌحِنَٰمۡرذ لۡ خَ ٌٌىى رَ َ تٌٌامذ اٌقٗ ابَ ىوَ ى مَ سَ ٌٌعَ بۡ سَ ٌقٌَ لَ خَ ذ ٣ ٌرو ط ف ٌنمِ ل ٱۡ ٌٌعٌِ جِ ٌتٌ و تٌٌنمِ لٱٌ ٌقٌ ٌٌفِ ٌ طِ ٌٌتٌ ٌيل ِ َّٱ ِ َ َ َ َ َ َ Ustadh explained the difference between ٌٌقلخ and ٌلعج َ َ َ َ َ َ ٌٌقلخ = to create and ٌٌل عج \| \| \| \| d. Ayah 03 – to be continued in next class inshaAllah. \| \| \| َ َ َ َ َ َ َ َ \| Day 02 \| a. Surah Al Mulk – Ayah 03 continued… \| \|---\|---\| \| \| b. Ustadh explained the following with examples... @8:30 َ َ لدب - Substitute - َ َ ٌك لاٌلدب - Complete Substitute - I saw your younger brother Ahmad. ْ َ َ َ ضعلۡاٌلدب - Partial Substitute - The students attended, 5 of them. َ َ َ طلغلاٌلدب - False Substitute – I ate your lunch, uhhh my lunch. (False substitute doesn’t happen in Quran) َ ْ َ َ لامِتشلااٌلدب – He talked about Ramadan, the fasting rules. \| \| \| c. Ustadh review Ism Mawsool and Silatul Mawsool. @13:35 \| \| \| ٌىى رٌَ َ d. Ayah 03 continued… Sarf practice of ت @20:35 \| \| \| e. Ustadh explained Ayah 04 @30:40 ر َ َ َ ٗ َ َ َ ۡ َ ۡ َ ۡ َ َ ۡ َ ذَ َ َ َ ۡ ۡ ذ ٤ٌيسِ حٌٌوهوٌٌائسِ اخٌٌصلٌۡٱٌٌٌكلِإِ ٌٌبِلقنيٌٌٌيِ تركٌٌصلٱۡ ٌٌٌعِ جِ رٱٌٌمث \| \| \| f. Q & A @54:25 \| َ َ ٗ َ َ ٗ َ َ ۡ ۡ ُّ ِ ۡ َ َ ِ ۡ َ ى ذ َ َ ۡ َ ٗ َ َ ۡ َ ۡ َ َ َ ۡ َّ َ a. Ustadh explained the following @6:40 + 17:00 Light Fi'l Mudari- ٌٌ ح ر ف \ ٌ ٌح ر و ف ة ٌال م ض ف ٌن اصِ ب ة ٌال م ض ارِع Lightest Fi'l Mudari- ٌٌ ح ر ف \ ٌ ٌ ح ر و ٌ فٌ ج از م از م ةٌٌ ٌال م ض ار ع b. Ustadh mentioned few English and Urdu dictionaries that students can have. the following @13:40 * Lexicon * ejtaal.net – search by root word * Urdu Dictionary – Mufradat Al Quran, it's a translation of Iman Raghib Asfahani's Arabic version. * Mutaradifat Al Quran – by Abdur Rahman Kilaani * Al Munjid * Balagha in English Language - Words like loaded Pistols ْ ْ ٗ c. Ustadh explained ٌ ل ب ل و ك م from Ayah 02 + Q & A @20:07 ِ َ ۡ ۡ َ َ ْ َ ْ ْ ِ e. Ustadh explained ٌ ل ق د from Ayah 05 @47:25 َ ذ َ َ َ ۡ ٗ ذ َ َ ۡ َ َ َ ْ َ ْ ْ َ ْ ذ ذ َ َ ْ ُ َ َ َ َ ُ َ ذ َ ذ ِ ْ ُ َ َ ذ َ ْ ُ أ ْ f. Ayah 05 to be continued in the next class. ُّ ٓ ذ ذ ۡ َ َ ْ ْ َ ذ َ ۡ َ ِ َ َ َ َ ِ ۡ َ \| Day 04 \| a. Q & A َ • Ustadh reviewed ةلآٌمسا • Ustadh reviewed two ways to make a partly flexible word fully flexible and whenever it becomes fully flexible it becomes a Superlative. (Ustadh explained this earlier on Sarf Day 74 @15:50) َ 1. add لا 2. make it a فاض م. Comparatives are partly flexible, to make them fully flexible, 1. add لا ْ َ َ ْ َ َ ْ and 2. make it a فاض م. Ex: ٌيمِ ِكالاٌٌۡمِ كحأٌِب \| \|---\|---\| \| \| ْ َ ىَ َ َ ........اهنٌلعجو b. Surah Al Mulk - Ayah 05 continued from @17:55 \| \| \| َ ْ َ ْ َ ........اندتعأو c. Ustadh explained Ayah 05 from @32:50 \| \| \| d. Ustadh explained Ayah 06 + Q & A @34:50 َ ۡ َ ۡ َ َ ذَ َ َ َ ۡ ُ َ ْ َ َ َ ذ َ ٦ٌي صِ ملٱٌٌسٌ ئ ِبوٌ ٌمنهجٌبٌ اذعٌمٌ هِ ِبرِبٌاٌورفكٌٌنٌ يل ِ َِّلو \| \| \| e. Ustadh explained Ayah 07 @49:20 تَ ٌهٌَ وَ ٌٌاقٗ شَ ٌٌاهَ َ لٌْ سَ ٌٌاهَ يِفٌٌْ لۡ أٌٓ اٌذَ ٧ٌر وف ِ يهِ اٌوع مِ اٌوق ِإ \| \| \| f. Ustadh said to listen to Deeper Look series on Surah Al Mulk. @59:00 \| ٓ َ ۡ َ َ َ َ ٗ ِ ْ َ َ َ َ َ ۡ َ ۡ َ ۡ َ َ َ َ َ \| \| Week 02 \| \| \|---\|---\|---\| \| Days \| \| \| \| Day 05 \| \| \| \| \| \| to scheme / to plot ْ َ ْ َ َ َ ٌٌاديكٌٌٌٌٌدٌيٌكِ يٌٌٌٌٌٌٌدك َ \| َ َ َ ِ ۡ َ ْ َ ْ َ َ ى َ َ Surah Al Mulk - Timestamps from Day 01 to Day 13 ِ ُ ُ َ َ َ ذ َ ذ َ ذ َ َ ذ َ َ َ َ َ َ َ * The ancient Arabs allowed one ت to be removed when there are two ت in a Fi'l and still the meaning remains to be the same. This happens in ٌ ت ع ل م family and in ٌ ت س اء ل family. َ ذ َ َ ذ َ َ ْ َ َ ْ ْ * In ٌ اِق َت َ َ ب family the extra ت is not removed, it gets fused with the letter which is similar to it. In the following example the ٌ ت and the ٌ ذ are pronounced close to each other so both the letters get fused. َ َ َ َ ٌٌٌٌ ذ ٌٌ ك ر ٌذٌِا may become difficult for the Arbas to pronounce so when they blendٌٌتٌٌandٌٌٌذٌٌ it becomes ٌٌ َ ك َ ر ٌد ذ ٌ ا - this a different Sarf concept. c. Ustadh answered a question aboutJumlah Haliyyah@27:30 d. Ayah 08continued… @27:30 + 34:40 (Broken Plural) gate keepers = ٌةٌ خ ز ن ٌgate keeper = ٌ خ از ن ( اسمٌف اع ل ) َ َ َ ِ ٌٌ َ e. Ustadh explained Distant Faai'l - ٌ م ن ف صِ لٌف اعِل @40:15 َ * The ف اعِل which is not right after the ٌفعل is called Distant Faai'l -ٌ م ن ف صِ لٌف اعِل ْ َ ْ َ ْ َ * In grammar: You are allowed to use the Masculine ٌفعل for the Feminine ف اعِل → Example: ٌ م ر ي مٌٌ ْ ِِن ٌ ْ َ ل س أ / ٌ ِنِ ْ ٌم ر ي م ٌ ل س أ ٌ (both are correct) @44:10 * In Balagha: the gender conflict can be meaningful. (Find the PDF on Gender Conflict in the Study Material list) ُ ْ ُ َ Example: ٌ ه م ٌاۡل ْ َ ي ُ ِن َ ات ٌ ْ ج َ اء َ ت ٌ/ ٌ ٌ ه م ٌاۡل ْ َ ي ُ ِن َ ات ٌ َ ج َ اء ٌ(both are correct) * ٌٌ خ ز ن ت ه اٌٌ ه م ٌ ل س أ -The masculine ٌٌفعل has being used because ٌٌ ه م creates a distance between the ٌفعل and the ف اع ل َ َ ۡ ۡ ِ f. Labelling the إ ع ر اب of Ayah 08 @52:00 ِ g. Q & A @55:53 h. Ustadh said that he will only explain few words from ayaat 9 to 12 in the next class and rest of it the students should do it. @1:02:15 a. Q & A Ustadh explained Jumalah Haaliyyah. @2:10 Different kinds of Jumlah Haaliyyah in English 1. I ate ice cream while walking. 2. I ate ice cream walking. 3. I ate ice cream while I was walking. 4. I ate ice cream as I walked. 5. I ate ice cream and I was walking. Different kinds of Jumlah Haaliyyah in Arabic 1. He read while he was sitting. ٌٌ ٌ ق ر أ ٌ و ه و ٌج الِس .1 2. He read sitting. 3. He read while sitting. 4. He read while he was sitting. 5. He read while sitting. b. Ustadh reviewed ٌ ت م ي ي @8:12 c. Ustadh explained Ayah 09 @16:00 ِ ِ ّل َ ۡ ذ ذ ٌ ق ال واٌ ٌب ل َ ى ٌ ٌ ق دٌٌ ٌج ا ء ن اٌ ٌن ذ ير ٌف ك ذ ب ن اٌو ق ل ن اٌٌم اٌ ٌ ن ز لٌٌٱٌ ل ٌم نٌ ٌ َ ش َ ۡ ءٌ ٌ إ نٌ ٌ نت م أٌ ٌإ ِا ل ٌ ٌ فٌ ٌ ض ل َ ى لٌ ٌ ك ب ي ٩ َ َ َ َ َ 2 . ٌ ق ر أ ٌج الِس ا َ 3 . ٌ ق ر أ ٌ َي َ ْ لِس 4 . ٌ ق ر أٌ ٌ و ه و ٌَي َ ْ لِس َ َ ٌ َ 5. ٌ يقرأي َ ْ ل س ۡ َ َ َ َ ۡ َ ر َ ٌ ق د = already \| ف ك ذ ب ن ا = to deny \| ٌ ن ز ل = to send down ذ d. َ َ ۡ Ustadh explained م ا and ٌ إِن @22:15 There is another variation of م ا meaning as but this ذ م ا ٌ ي ن اف ةٌ إ إِن ن - ٌ إ ن is stronger than which is is ٌ إِن - it has the same not the ٌ ٌ م ا إِن. ٌ ۡ إ ن / of ٌ Sharth ٌ ( ٌَش ط ) this is م ا َ ْ = nothing / but e. Q & A@23:00 a. Q & A from Ayaat 01 to 09 of Surah Al Mulk. b. Ustadh explainedAyah 10@14:00 ١ ٌ و ق ال واٌٌٌ ل وٌك ن اٌ ٌ ن س ۡ م َ عٌ ٌ ٌ و أٌ ٌ ن ع ق لٌم اٌٌك ن اٌٌ ٌ ِ فٌ ٌ ص ۡ ح َ ى ٌ ص ب أٌٱٌ لس ي لس ع ي * Ustadh explainedInstruments of Condition - ْ ات ٌالَّش ط َ د و أ ْ َ * Ustadh explained if only / had…..only = ٌ ل و @25:00 The word of Regret / ُك ِم ةٌاۡل رسٌ = ٌ ل و ْ Had I studied I would have been successful =ٌٌٌ جِح ْ تٌ َ َ د َ ر َ س ْ ت ٌنل ٌ ْ ل َ و Or if only I studied I would have been successful Had I eaten I would have been happy =ٌٌ تٌ ْ س َ ع دٌ َ ت ٌلٌ ْ ك َ ل أ ٌ ْ ل َ و َ َ َ c. Ustadh explainedAyah 11@32:25 َ ۡ ۡ َ ِ َ ٗ ۡ ُ ِ ِ to get introduced= َ َ ى to recognize= ٌٌٌٌت ع ر ف ٌ َ ع to acknowledge / to admit = ٌٌٌ ٌ ا ع ت ف ْ َ to introduce ٌٌٌٌ = ف ٌٌٌٌ d. Ustadh said to get used to the following terms… @35:47 draw attention= ٌٌٌٌا ن ل صبٌ َ ع ٌا إ ل غ ر اء صبٌ َ ع ى ٌا ل غ ر اء condemning= ٌٌٌ ُ ل م (there's few more) =..... ٌٌٌٌ ٌا ن ل صبٌ َ ع ن praising= ٌٌٌ ِ دح َ َ ع ر ف ٌا ع ر ع ى ٌالم َ َ ع ا ن ل صبٌ ل صبٌ ا َ ْ * Unusual نصب adds an emotional element, it adds warning. get away from me dude= ٌٌٌٌٌ د ا ٌ ب ع distance= ٌٌٌٌ ب ع د watch outttttt a cammellllll!! = َ ٌٌٌٌٌ ةٌ ٌ ن اقٌ e. Ustadh explained ٌٌف س ح ق ا @42:58 َ * َع مِل is the thing that has the effect. َ ْ َ ْ ْ * The ج ار is a َع مِل on the ٌَم َ ْ ر و ر because the ج ار has an effect on the ٌَم َ ْ ر و ر , so the ج ار would be the َع مِل and the ٌَم َ ْ ر و ر would be the م ع م و ل . ( َع مِل = The worker and ٌم ع م و لٌٌٌ = the one worked on) َ ْ ْ * The thing that starts is the َع مِل and the thing that's gets effected is the م ع م و ل , all the Nahw is a bunch of َع مِل and a bunch of م ع م و ل . َ َ ْ ْ َ ْ َ َ * The فِع ل is the ٌَع مِل on its ف اعِل , on its ٌم ف ع و ل and on its ٌِم ط ع ل ِقٌبٌ الٌفِع ل َ َ * The ٌ م ض اف is the َع مِل on the ٌم ض افٌٌِإِِل َ ْ ه * The ٌح رفٌن صب is the َع مِل on its اسم . َ َ * The م ب ت د أٌ is the َع مِل on its ٌٌخ رب ْ َ * َ is an on its and on its َ ٌ َك نٌ َع مِل اسم ٌخ رب ْ ْ * ٌ إِن is an َع مِل on its ٌفِع لٌٌم ض ارعٌَم َ ْ ز و م َ َ ْ َ * ٌ ٌَش َ ْ طٌٌ is an َع مِل on its ٌٌ ٌ ج وٌاب ٌالَّش ذ ْ طٌ because if the ٌَش َ ْ ط is ٌَم َ ْ ز و م then the ٌج و اب ٌال ش ذ ْ ط is also ٌ م َ ْ ز و م ْ ُ camel= ٌٌٌٌ اق ن اق ةٌ ُّ ِ Week 03 َ ذ َ \| Days \| Description \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| Day 08 \| a. Ustadh explained Ayah 12 ر َ رۡ َ رَ ۡ ذ َ ۡ َ ۡ ذَ َ ۡ َ ۡ َ َ ذ ذ ١٢ٌيِبكٌٌرجأوٌٌةٌرفِ غمٌمهلٌبٌ يغلٱٌِبٌمهبرٌٌنٌ و شيٌَ نٌ يل ِ َّٱٌٌنِإ ِ ْ ْ َ • Ustadh explained ةيجِ وت = the way of looking at something /point of view. َ • Ustadh explained Complex برخ @9:00 Ustadh is late. Ustadh, his laptop is getting old. The main subject matter started off with Ustadh then the laptop became the main subject matter. When you see the subject became something else, it’s like saying the Mubtada became something else. The focus is on Ustadh and then with Ustadh in mind, I want you to think about the laptop, because his laptop is getting old, Ustadh was made the Mubtada even though the actual subject was the laptop. This is grammatically Complex Mubtada. (Listen to Ustadh for complete explanation.) \| \| \| \| \| \| \| b. Ustadh explained Ayah 13 @19:44 صُّ اذَ يِلعَ ذ ٌٌۦٓ ٌِهِبٌْ هَ جۡ ٌِوأٌمٌۡ لَ وۡ قَ ٌْ ُّ ِأوَ ١٣ ٌِرود لٱٌٌتٌِ ِبٌ مٌ ٌۥهٌ نِإ اٌور ٌٱٌ ك اٌوس ِ ر َ َ َ ْ ُّ ذَ ٌسِ رمٌٌٌوهفٌٌٌٌاراسِِإٌٌٌٌسِ ريٌٌٌسٌ ِأ رَ َ َ َ ْ ُّ َ ذ ٌسرمٌٌٌوهفٌٌٌٌاراسِِإٌٌٌٌسريٌٌٌسٌ ِ ٌِأ ٌٌٌٌٌٌٌٌسُ َ ذ َ اٌٌ \| ٌٌٌرْ سْ َ ْ نعَ ْ ْلذ انوَ ُ ذ ِأٌٌٌ \| ٌٌٌرْ سْ ْ مْ َ ْ َ ِ رتٌل اٌٌ \| ٌٌٌس ِ رتٌل رتٌل اٌٌه ٌه ٌٌٌٌس ِ ِأٌٌ \| ٌٌٌس ِ ِأٌٌه نمِ ٌر ل اأ ِ ِ ِ ِ رَ ْ ْ ذ َ ٌسرمٌٌٌهنمِ ٌف ر ظلاو \| \| \| c. Ustadh explained Ayah 14 @22:10 َۡ ذ َ َ َ َ َ ۡ َ َ ۡ َ َ ١٤ٌيِبلٌۡٱٌفٌ يطِ للٱٌٌوهوٌقٌ لخٌنٌ مٌمٌ لعيٌٌلاأ \| \| \| \| \| \| \| d. Q & A @34:00 \| \| \| \| \| \| \| َۡ ذ e. Ustadh explained ٌيِبلٱۡ ٌٌٌف يطِ للٱ from Ayah 13 @43:20 \| \| \| \| \| \| \| f. Ustadh explained Ayah 15 @47:40 ُّ ۡ َ ۡ ُ ْ َ َ َ َ ْ ۡ َ ٗ َ َ َ ۡ َ َ َ َ ذ َ ١٥ٌرو شنلٱٌٌِهلِوِإٌٌَۦ ِهٌِقز ِرٌٌنمِ ٌاٌوكُوٌاهِبِكانمٌٌفٌِ ٌٌاٌو شمٌٱفٌٌلٌ اولذٌٌض رلۡ ٱأٌمٌ كلٌٌلعجٌٌيل ِ َّٱٌ وٌه \| \| \| \| \| ِ ۡ ِ ُّ ٤ ۡ ْ ِ ِ ْ ْ ۡ ُ َ َ َ ِ ِ َ ْ ِ ذ ذ ذ ْ ِ ۡ ْ َ َ َ َ َ َ ۡ َ َ َ َ ۡ ۡ ۡ َ ۡ ۡ َ ْ ْ ْ َ َ َ ذ g. Q & A @52:12 Question about ٌ ۡل ۡ َ بِيٌٱٌٌ ٱلل طِيف being Ism Mubalagha Answer - They can be but Ism Mubalagha, generally its Sifah. h. Ustadh continued to explain Ayah 15 @58:30 a. Q & A Ustadh answered e-mail questions from Surah Mulk Ayah 15 @4:45 * Ustadh answered this question, "Is the Complex خ رب , basically two Mubtadas? @7:49 (Listen to Ustadh for the answer.) َ ٗ ْ َ b. In Surah Mulk Ayah 15 Is ٌٌ ه و to ٌٌ ذ ل وال Mubtada and ٌٌ ٱم ش واٌ ف to ٌ ٱلن ش ور Khabar? @11:25 Answer – A Khabar cannot/ will not begin with a Harf Atf, a Khabar can be continued with a Harf Atf. (Listen to Ustadh for the answer.) c. Ustadh explained Ayah 16 @26:00 (Ustadh explained this ayah again on Day 10 at the beginning of the class.) َ ذ ٓ َ َ َ َ َ َ َ َ َ َ َ َ The ٌ إِذ ا ٌof Shock ٌٌٌة إِذ اٌال م ف اج أ - ٌٌٌ @32:45 ٌ -إِذ ا W hen usually it is ة م ف اج أ , then it doesn't come with Jumlah Fi'liyyah, إِذ ا ٌ only comes with Jumlah Ismiyyah, so ٌ َ ِه , here is not a special ٌ ٌ َ ِه , it is suppose to look like this because إِذ ا ٌ demands it. d. Ustadh explained Ayah 17 @34:50 ١٧ ٌ ر سِلٌ ٌ عليك مٌ ٌ ح اصِ ب اٌ ٌ ف س ت علم ونٌ ك ي فٌ ٌِن ذِير to send down = ٌٌٌ إِر س ي االٌٌٌٌٌ a storm of stones = ٌِفٌٱٌِلس ءٌ ٌن أٌ سِل ي ر ذ م َ ا ٌ ر س ل أ ا ح اص ب e. Ustadh explained Ayah 18 @40:38 ۡ ۡ َ ۡ َ َ َ * Ustadh explained ٌ ن ك ي = to reject ِ ِ f. Ustadh explained Ayah 19 @49:00 ءٌٌ ٌ ل مٌٌ ٌ ٌ م يرو اٌ ٌ ٌ إِلٌٱٌِ ۡ لط ذ يٌ ٌ ف و ق ه مٌ ٌ ص ََٰٓ ف ذى تٌٌ ٌو ي ق بِض ۡ ن َ اٌٌم اٌ ٌي م ه ن سِك ه ن ٌ ٌإِال ٌٌٱٌلر ح م َ ى ن اٌ ٌ ۥ إِن هٌ ُبِك لٌ ٌ َش َ ۡ ١٩ ٌِ ٌ ب صِ ي * Ustadh reviewed that فِعل is temporary and اِسم is permanent. ٌٌ ص ف ت ََٰٓ ت is ٌف اعِلٌاِسم → to spread = ٌص اف to hold back / to hold in place = ٌ اَك to have a full view = ٌٌ ٌٌٌإِم ْ س from ب ص ي سِك ٌ س ك ٌٌٌي م س ل م أ family. g. Q & A@57:37 Ustadh checked on Quran.com to have a look at the translation of Ayah 16. مأ ذى ذ ذ ۡ َ َ ٌ َ َ نٌم أٌٌم أٌٌمِنت ٌ و أٌ a. Ustadh explained Ayah 16 again. ۡ َ مِنت م ء أٌم نٌٌ ٌِفٌٌٱٌِلس ذ م َ ا ءٌٌن أٌٌ ٌ َ َي َ ۡ سِفٌ ٌ مٌٌٱٌ َ ۡرضأل ٌ ٌف َ اٌ ٌ َ ِهٌ ٌ ت م ور ١٦ بِك إِذ * Ustadh explained ٌ مِنأ َ َ ُ ٌ َ مِنأ is both ٌٌال َ زِم and م ت َ ع َ د ُ ِى , ٌ َ مِنأ can mean both "to be safe", and it can also mean "to feel safe from". In English we are adding a preposition "from", and in Arabic we are not adding any preposition, in Arabic you can say, ٌ هٌ َ مِنأ =ٌ he felt safe from him / he was safe from him So, the preposition "from" is not in Arabic because we need that preposition in English. Ustadh said this earlier that a ٌ فِعل ٌٌ is married to a ٌح رف similarly in English a verb is married to a preposition, like "safe" and"from" , you can't say he was safe him , you need that preposition “from”. َ َ ٌ ج اء ك ٌ =ٌٌhe came to you → but there is no ٌإِل ٌin Arabic, its just ٌ ج اء ك , becauseٌ ٌ َ ج َ اء َ ك is married to the preposition "to", we use it in translation. When ٌ َ ج َ اء َ ك comes with ب.. it means "to bring". َ َ َ ٌِبِهٌٌ ج اء =he brought it . Notice that "brought" is not in need of a preposition however, ٌ ج اء is in need of a ٌح رف , so this can happen from English to Arabic and Arabic to English. ٌ هٌ = he was safe from him ("from" is not there in the Arabic) مِنأ * Ustadh explained ٌب دلٌاال ش تمال (The Substitution one for the other ) @5:56 * Ustadh explained "Lest" @6:50 Lest = so that you do not / because you were going to be… b. Q & A@9:00 * Ustadh reviewed numbers. @15:48 َ c. Ustadh gave complete إ ع ر اب of Ayaat 16, 17 and 18 @ 30:00 ِ d. Ustadh explained Ayah 20 @33:50 َ َ ۡ َ ذ ۡ * Ustadh reads translation for Ayah 20 from Quran.com ٌ م ن أٌه َ ى ذ اٌَّل ِي ٱٌٌ ٌ ه وٌ ٌج ند ٌ ٌ ل ك مٌي نص ك مٌٌم ِنٌ ٌِد ونٌٌٱٌلر ِنَٰمۡحاٌ ٌِإِنٌٱٌ ل ك َ ى فِر ونٌ ٌإِال ٌٌ ٌِفٌ ٌ غ ر ور ٢٠ e. Ustadh explained Ayah 21 @43:50 ۡ َ ۡ ۡ َ َ َ ْ َ َ َ َ ِ َٰٓ ۡ َ َ ى ۡ ۡ ذ ۡ ًّ ۡ f. Ustadh explained Ayah 22 @53:55 ٌَع َ َ ى ٌ ٌ صِ ر َ ى طٌ ٌ م س ت قِيم ٢٢ فمن أٌ ٌ ِي م شٌم كِب اٌٌ ٌَع ٌٌ ٌِو ج هِهٌ ۦٌ ٌ ه د ٌ ه د ى أٌم ن أٌ ٌ ِي م شٌس وِي اٌ ب to fall ( ٌ ٌٌ ك ب ٌٌٌٌٌي ك ب ٌٌٌٌٌإ ك ب اب اٌٌٌٌف ه ٌٌ ك ب ك ب ك ب اب اٌٌٌٌف ه و أٌم ك ب g. Q & A@1:04:50 a. Ustadh explained Ayah 23 ۡ َ ۡ َ ٌ عٌٌ وٌٱٌ ب ص َ ى ر أل ٌٌ وٌٱٌ ف أل ِ ٌ ٌد ة اٌ ٌ ٗ ق لِيلٌم اٌٌ ٌ ت ش ك ر ون ٢٣ The focus was only on - ٢ٌ ٌٌ - ٌٌ ) ل ك ٌ مٌٱٌ لس ذ م ۡ رشكتشكر ونٌم b. Q & A @12:45 * Ustadh skipped Ayah 24 ٤ ٌ ق لٌ ٌ ه وٌ ل ِ ي ٱٌ ٌ ك م ذ ر أٌ ٌ فٌٌٌٱٌ ِۡ رض ل ۡ َ ٌٌ ِِإَ و ل َ ۡ هٌ ٌ ت ۡ ش َ ون ٢ ف م ل م ع س َ أ و ٌ م Family @1:01:36 ك ٌ ق لٌ ٌ ه وٌٱٌ َّل ِيٌٌ نش أ أٌ ج ذ َ ۡ ٌ لٌ لق ِ يل َ أ َ َّ c. Ustadh explained Ayah 25 @15:40 ٢٥ ٌ ويق ول ونٌٌ ٌم ت َ ى ٌه َ ى ذ اٌٌٱٌ ل و ع و ع دٌإِنٌ ٌ ك نت مٌ ٌ ص َ ى دِقِي The focus was only on - ٌ ٱل و ع دٌٌه َ ى ذ اٌٌم ت َ ى d. Differentiate between 1.Tamyeez 2. Haal 3. Mafool Mutlaq 1.Tamyeez– make the vague specific. (Singluar, Nasb, Common) Usually a Masdar. Ex: I am more than you…. (Tamyeez) Tamyeez is also used for numbers, its also used in vague verbs. ۡ ذ اٌٌ ۡ Example: You decreased in your win count. You decreased in your lucky wins. You decreased in your flukes. 2. Haal – describes the state if the Doer, detail and Khabar. (It is mostly an Ism Faa'il, Mafool and in especial cases a Masdar , Sifah and Ism Mubalaghah.) Haal is common and it matches in gender and in number of the ٌص احب اۡل ال (the thing its Haaling) َ 3. Mafool Mutlaq – It is to add intensity to the act + it adds a "how" to the act. ٌ ق ل يل = م ف ع و لٌم ط ل قٌن ائ ب / ٌص فةٌم ف ع و لٌم ط ل ق َ َ ْ َ ِ َ ْ َ * Ustadh skipped Ayah 26 ٦ ۡ ذ ۡ ۡ ِ ٓ ذ َ ِ ُّ e. Ustadh explained Ayah 27 @30:48 ٢٧ ٌ ٓ َ ٌ َ ْ َ َ َ ى ذ َ ْ وهٌٱٌ ِينٌٌ ٌ ك ف ر واٌٌ ٌ و قِيلٌه ذ اٌٌَّل ِي ٱٌك نت مٌ ِۦ بِهٌ ٌ تدع ون The focus was only on - ٌ ك ف ٌ ك ف ر واٌٌٌ ٱَّل ِينٌٌ ٌ تٌ ٌ و ج َّل ووج وهٌٌ تٌ َ ٌ ٓ سِيٌٌٌ سِيٌ ٌ ف ز ل َ ة to make miserable= ٌ ز ل ف ة ٌٌٌ @38:25 ٌ س يٌ ٌ ٌ تٌ = ٌٌٌ to make miserable ٌٌ ( ٌٌ ٌٌ س اءٌٌٌ ٌ ي س و ءٌٌٌ ٌٌٌ س و ء / ٌٌٌ ٌ س و ء ) ِ ۡ َ ْ َ f. Q & A @45:23 g. Ustadh explained Ayah 28 and Ayah 29 @49:08 ذ َ ۡ َ َ ۡ َ ٩ ٌ ق لٌ ٌ ر ء ي ت م أٌ ٌ إِنٌ ٌ َ ِه ل ك ِن أٌٌٱٌ ّلل ٌو م نٌٌ ٌ َ ِم عٌ ٌ و أٌٌ ٌر ِحِ َ ن اٌف م نٌ ٌ َي ِيٌٱٌ ل ك َ ى فِرِينٌٌ ٌ مِنٌ ٌ ع ذ ابٌ ٌ ِلِ م أ ٢٨ ٌ ق لٌ ٌ ه وٌٌٱٌ لر ح م َ ى نٌء ام ن اٌ ٌ ۦ ب هٌٌ ٌ و ع ل ي هٌٌ ٌ ت و ك ذ ۡ ن اٌ ٌ ف س ت ع ل م ونٌ ٌ م نٌ ٌ ه وٌ ٌ فٌ ٌ ض ل َ ى لٌ ٌ م ب ي ٢ ۡ َ ۡ ۡ ذ َ ذ ِ َ َ َ ُ َ َ ۡ ۡ َ َ ِ ) to protect = ٌ ج ٌ ج ار أٌ ٌ ْ ي يٌٌٌٌ ٌ إ ج ار ة ٌ ٌٌ ( جٌوٌر - Root - Family - ٌ س ل م أ h. Ustadh explained Ayah 30 @51:50 ٣٠ ٌ ك مٌغ و ر اٌ ٌف م نٌتِيك م ي أٌٌ ٌ بِم ا ءٌ ٌ م عِي to become ٌٌٌٌ = َ ٌٌٌ ب ح َ ص ٌ ۡ ب َ ٌ ص ح أٌٌ م ا ؤ ( أٌٌ ص Khabr of ٌٌ حب ٌ ي ٌ ۡ إِنٌ ص ٌ ق لٌ ٌرءتٌرءيتم أٌ is Nasb ) أ َ ٗ ۡ َ َ ٌ ف ةٌٌ لز ٌو ه ر أٌ ل م اٌ ف َ َ َ َ ذ \| ذ pure =ٌٌٌيٌِ عِ م َ ٗ ۡ sunken / absorb =ٌٌٌاروغ \| \|---\| \| i. Q & A @56:45 \| \| j. Homework – Ustadh said to collect difficult Sarf words and write its Maadi, Mudari, Masdar and its basic meaning. @59:30 \| \| k. Ustadh shared his idea about meeting the Dream Program students around the word. @59:30 (Listen to Ustadh for more details.) \| َ َ َ َ \| \| Week 04 \| \| \|---\|---\|---\| \| Days \| \| Description \| \| \| \| a. Q & A about Sarf of Surah Al Mulk • Ustadh explained Maf’ool Mutlaq again with examples. Haal and ْ َ َ َ َ Sahibul Haal - لالاٌۡ بحِ اص وٌلاحٌ @7:55 • Ustadh explained Badal Ishtimaal for Ayah 16 @21:48 \| \| \| \| b. Ustadh explained Sarf Approach @25:40 1. Only do Sarf of applicable vocabulary Skip: a. Easy words b. Tangible words and Names (tree, rock etc.) 2. Discover what family the word came from a. Try to use Arabic sources other than aratools.com (furqan.co) َ َ • On the top click مجِ اعم then type the root letters. َ َ b. بٌ رعلاٌناس ِل most likely the answer will be in the first few lines. 3. Make sure you understand exactly what form of the word is being used in the Ayah. 4. Are there other forms of the word that could have been used? * \| ْ * For brief dictionary → مفردضات ٌألف اظٌالق ر آن َ َ d. Ustadh gave Sarf of the word ٌ ق دِي ر َ َ ْ ْ ْ * Ism Sifah serving as Ism Mubalaghah َ ِ ْ e. Homework Assignment: Know the Sarf of hard words (irregular Sarf) Sarf Sagheer and Sarf Kabeer from the list uploaded under Study Material Section on Bayyinah TV website. @46:15 + @55:30 f. For Sarf search – http://tasrif.reserso.net @50:00 g. Dictionaries suggested by Ustadh @53:55 َ َ * Lane's Lexicon to compare it with ٌلِس انٌالع رب * ٌلِس انٌالع رب to find the Sarf / to compare English work with Arabic work. َ * Hans Wehr mixes classical Arabic and Modern Arabic whereas Lane's Lexicon is Classical Arabic. (We need Classical Arabic) a. Q & A about Nahw and Sarf of Surah Al Mulk َ َ * Ustadh used www.studyquran.co.net to search for ٌ َغ ر * Question about م ب ت د أ and خ ربٌ of Ayah 01 of Surah Al Mulk. ْ َ @28:00 * If we have two small families (as an option) how do we know which one fits the Ayah. @30:08 Answer – Ustadh answers the above question & guides about tafseer. َ َ ْ b. Ustadh explained how to find Sarf families of ٌم ن اكِب ٌand ٌ ن ذِي ر @32:35 َ ْ َ * Ustadh explained how to find Sarf of ٌم ن اكِب ٌ@39:09 َ َ َ َ c. Ustadh talks about transcription of all the Dream Program videos. (Listen to Ustadh for all the details) @43:20 d. Ustadh said that the amount of grammar we have done already the students can master the Arabic reader by themselves if they give 30 minutes daily. * Ustadh recommends to read EMSA – Elementary Modern Standard Arabic (The Orange Book). * Ustadh said to start from page 101 and he said to do all the exercises, this will lead to reading Spoken Arabic fluently. e. Ustadh said that we will start Advance Nahw and we will have exam every Monday. @57:38 ****************
Chinese NGOs "Going Global": Current Situation, Challenges and Policy Recommendations Global Environmental Institute November 2016 Global Environmental Institute Chinese NGOs"Going Global": Current Situation, Challenges and Policy Recommendations Authors: Lin Ji and Jingwei Zhang Editors: Rong Zhu, Kendall Bitonte, Joyce Tang Translators: Jingwei Zhang and Xiangnan Wei November 2016 About GEI The Global Environmental Institute (GEI) is a leading Chinese non-governmental organization (NGO) established in Beijing in 2004. GEI's mission is to design and implement market-based models to solve environmental problems and realize sustainable development in China and overseas. GEI provides policy suggestions to governments and promotes best environmental practices on investment, trade, energy and climate change, biodiversity protection and capacity building. Since its establishment, GEI has been engaging in research and demonstration projects in more than 20 provinces, cities, and municipalities in China as well as in Southeast Asian and African countries. Through its Investment, Trade, and Environment program, GEI is dedicated to encouraging and supporting the Chinese government to formulate foreign investment and trade-related environmental policies that regulate and guide the environmental conduct of enterprises investing overseas; build up the environmental governance capacity of host countries, including the development of appropriate environmental policies that regulate environmental conduct of investors; and improve the capability of Chinese enterprises to comply with environmental policies and regulations, better manage investment risks and fulfill their environmental and social responsibilities. GEI has successively pushed forward and participated in the development of A Guide on Sustainable Overseas Silviculture by Chinese Enterprises and A Guide on Sustainable Overseas Forest Management and Utilization by Chinese Enterprises issued by the State Forestry Administration and the Ministry of Commerce (MOC) in 2007 and 2009 respectively, as well as the Guidelines for Environmental Protection in Foreign Investment and Cooperation released by MOC and the Ministry of Environmental Protection in 2013. GEI has also carried out demonstration projects, conducted research and led local capacity building activities on sustainable investment in Laos, Myanmar, Mozambique, Congo (DRC) and other Southeast Asian and African countries. Acknowledgements We would like to give special thanks to the Ford Foundation for its unwavering support for the research and report production. We are very grateful of Ms. Zongmin Li for her contribution in the research framework design and coordination when she was program officer at the Ford Foundation, and also for her feedbacks and suggestions to the report even after she left her post. We would also like to thank Mme. Jiaman Jin, Executive Director of GEI, Ms. Katherine Wilhelm and Ms. Ping Li, Program Officers from the Ford Foundation, as well as Mr. Peng Ren, GEI Overseas Investment, Trade and the Environment Program Manager for their guidance throughout the research project; and our Program Officers Lin Ji, Jingwei Zhang, Rong Zhu, Kendall Bitonte, Joyce Tang and intern Ke Li for their contributions. Disclaimer The opinions expressed in this report are those of the authors only. They do not necessarily represent the opinions or position of the Ford Foundation or any other institutions mentioned or referenced. Preface In recent years, Chinese NGOs have emerged as potential key actors in international affairs, foreign diplomacy and multilateral cooperation. There are growing calls for Chinese NGOs to "go global", especially for those focusing on environmental and social development areas. On one hand, as China has started to play key roles in global production, consumption, trade and investment, the international society increasingly looks toward Chinese NGOs' participation, opinions and voices in global and regional issue areas around the environment, climate change, and sustainable development, including responsible investment, green finance, green supply chains, carbon emission reduction, among others. In investment host countries, local communities and NGOs are also in need of communications with Chinese NGOs in order to understand relevant policies in China, promote better environmental and social governance in their countries, and help guide and regulate companies' environmental and social conducts. On the other hand, with China's proposal of the "Belt and Road" Initiative and the deepening of South-South Cooperation, the government and enterprises have started to realize the important roles of NGOs in bridging information gaps and fostering mutual understanding between stakeholders. Also, the challenges we are facing on the environment, climate change and sustainable development are transboundary. Chinese NGOs that are concerned with these topics are also being pushed by these transboundary challenges to consider expanding their work overseas, in order to realize their organizations' long-term missions and visions. It is against such backdrop and external needs that the Global Environmental Institute (GEI) started the NGO "Going Out" research in 2016. By conducting literature review, online survey and field interviews, we sought to understand the current situation of Chinese NGOs to expand their work outside their own borders, their willingness to "go out", as well as the challenges they face at present. We also compared China with other countries in terms of relevant policies, methods and practices, providing policy recommendations, cooperation best practices and mechanisms as references to the government, enterprises and Chinese NGOs especially those working on environmental and social development issues. As one of the first Chinese environmental NGOs to carry out overseas projects, GEI has brought over our experiences and thoughts into the research. While our research uniquely focuses on environmental and social development NGOs, we are hoping that this research will provide value to this field and stimulate further in-depth research, policy facilitation, capacity building and field projects. We would like to give special thanks to the Ford Foundation for its unwavering support for the research and report production. We are very grateful of Ms. Zongmin Li for her contribution in the research framework design and coordination when she was program officer at the Ford Foundation, and also for her feedbacks and suggestions to the report even after she left her post. We would also like to thank Mme. Jiaman Jin, Executive Director of GEI, Ms. Katherine Wilhelm and Ms. Ping Li, Program Officers from the Ford Foundation, as well as Mr. Peng Ren, GEI Overseas Investment, Trade and the Environment Program Manager for their guidance throughout the research project; and Mr. Jianping Zhang, Ms. Xiaojing Mao, Ms. Yiyi Fan from the Institute of International Development Cooperation at the Ministry of Commerce, Professor Guosheng Deng from the Institute for Philanthropy at Tsinghua University, Mr. Taidong Zhou from the Development Research Center of the State Council, Mr. Xiaoyun Li from the China Agricultural University College of Humanities and Development Studies, and Mr. Cheng Wen from Shanshui Conservation Centre for their valuable advice; and our Program Officers Lin Ji, Jingwei Zhang, Rong Zhu ,Kendall Bitonte and Joyce Tang for their contributions. Executive Summary During the process of this NGO "Going Out" research, GEI reviewed over 40 pieces of academic literature and other documents to gather information and understand the current situation of Chinese overseas investment, foreign aid and NGO "Going Out". In April 2016, GEI distributed an online survey through WeChat, Weibo, GEI's official website, China Development Brief and other social media and platforms, targeting environmental and social development NGOs for data collection (See Appendix II). The survey received a total of 32 responses, covering 30 effective organizations. GEI then interviewed 7 environmental and social development NGOs to better understand their willingness and current situation of "going out", the challenges they are facing, as well as their future prospects in "going out". GEI also invited 10 experts from government research institutions, university, enterprises and NGO to engage in early-stage research framework design and later-stage comments on draft report. Through two roundtable discussions, GEI and about 20 domestic and international NGOs and foundations discussed and shared perspectives on Chinese NGO "going out". This report is an outcome of all resources gathered from these research activities. Since China officially initiated the "going global" strategy in 2001, Chinese enterprises have significantly accelerated their pace in investing overseas. According to statistics from the Ministry of Commerce, as of 2015 China's foreign investment has increased rapidly for 13 consecutive years with a record high of 145.67 billion US dollars, an average annual growth rate of 35.9% and an increase of 54 times from 2002. By the end of 2015, around 22,000 Chinese investors had opened 30,800 enterprises across 188 countries and regions in the world. A milestone in the development of China's foreign investment, 2015 marked the year when China became the second largest country in the world in terms of foreign investment flows and for the first time the foreign investment flows exceeded inward investment to China, which helps China become a net capital exporter. The "Belt and Road Initiative" proposed by China in recent years was another strategy to help with Chinese companies "going out". The initiative stressed the communication between China and other developing countries, fostering their economic cooperation and providing new opportunities for continued Chinese overseas investment. 1 Global Environmental Institution. Environmental and Social Challenges of China's Going Global. Beijing: China Environmental Science Press. 2013 57. 2 Ibid. 3 Data source: The State Council Information Office of the People's Republic of China. China's Foreign Aid (2011), China's Foreign Aid (2014). With China's gaining of international status, its foreign activities including overseas investment have caught close attention by the international society. Improving comprehensive strength and demonstrating a powerful country's responsibility become important topics in China's international relations and diplomacy development. For one thing, China needs to improve its communication with other countries and break its closed image from old times. Also it needs to strengthen the mutual benefit relation with other countries in order to eliminate false public opinions including "China Threat" and "New Colonialism". On the other hand, the negative impacts in host countries from Chinese overseas investment need to be effectively managed. It is especially urgent to foster environmental friendly investment and sustainable and inclusive growth in the "Belt and Road" development where most investments are focused on largescale infrastructure construction and energy development. Against such background, Chinese government and NGOs need to catch up with the pace of Chinese enterprises to go out and improve mutual trust and collaboration with other countries in foreign aid. There is also need for communication and cooperation at the civil level in order to find effective solutions for transboundary problems such as environmental and social problems. Chinese government has already taken steps to "go out" by making China's foreign aid closely intertwined with the "go global" strategy since 20011. From 2000 to 2011, China's financial expenditure on foreign aid topped 107.819 billion RMB, 20 billion more than even the total expenditure on foreign aid in the 50 years before 20002. From 2010 to 2012, China's foreign aid stood at 89.34 billion RMB, roughly 35% of the total amount expended in the 60 years between 1950 and 20093. Aside from the large increase in financial expenditure in official foreign aid, some Chinese NGOs have also started to carry out foreign aid activities in Southeast Asian and African countries, fostering civil society communications and enriching civil diplomacy. Chinese NGOs that carry out foreign aid projects include: * Humanitarian Assistance in Emergency Situations: Chinese NGOs providing humanitarian assistance in emergency situations are mainly foundations and their subsidiary professional rescue teams. They carry out rescue missions, provide disaster risk assessment, solicit and deliver goods and materials to disaster impacted areas, arrange for relief for disaster victims and contribute in post-disaster reconstruction. In the devastating Nepal earthquake in 2015, Chinese NGOs that engaged in humanitarian assistance included the One Foundation, the Amity Foundation, China Foundation for Poverty Alleviation and its rescue team, China Social Welfare Foundation and its Blue Leopard rescue team, and Blue Sky Rescue team among others. * Aid in Education: Only two NGOs carry out education activities overseas, namely the China Foundation for Poverty Alleviation and the China Youth Development Foundation. Their primary activities include school construction and scholarship/ financial aid distribution. * Aid in Health Care: The main organizations carrying out health care activities overseas are the Red Cross Society of China and China Foundation for Peace and Development. In specific, the China Foundation for Peace and Development carried out a series of "Tour of Sight" activities in Myanmar, Mongolia, and other countries, offering free cataract operation programs and sending local medical staff from host countries to China for training and providing relevant equipment for eye surgical operations. However, unlike enterprises and the government, China's NGOs were lagged far behind in "going global". Statistics from Ministry of Civil Affairs show that by the end of 2014, there were 529 international and foreign-related NGOs in China, only accounting for 0.09% of all 606,000 NGOs in the country. Specifically on NGOs in the field of environment and development, very few NGOs have paid enough attention to the possible environmental and social impact created by China's foreign investment and only 3 NGOs have conducted related research and/or launched related projects. Whereas there is no comprehensive data showing the number of NGOs in the field of environmental development in China, the number of NGOs dealing with various environmental issues has reached 3,539 by the end of 2008. So the NGOs that paid attention to the environmental and social impact by China's foreign investment and those who actually "went global" to conduct field studies and develop projects accounted for less than one thousandth of the total. Why have so few NGOs "gone global"? On the one hand, as literature shows, the NGOs lack the driving force to "go global". They focus on domestic areas and issues and are yet to widen their scope overseas. NGOs also face other challenges such as incapability to operate overseas projects, inadequate financial support, and policy bottleneck of material donation, taxation and foreign exchange management during the process of "going global". To be more specific: * Policy constraints — Some policies and legal regulations constrain NGOs from developing overseas projects. These policies and regulations were developed when China was still a donation-receiving country and to a large extent the scope of application of these regulations remains the same. There are no such criteria regarding how China's NGOs should make overseas donation and carry out overseas projects. Take the Law of the People's Republic of China on Donations for Public Welfare for instance, the law stipulated customs procedures for inward donations to China and the conditions for tariff relief but it didn't mention the issues concerning outward donation made by domestic institutions. Because there are no regulations to follow, the related government departments often pass the buck to each other and take conflicting approaches to solve the same problem. * Insufficient financial support — Foundations, the government, enterprises and individuals are the main sources of funds for NGOs. Currently, only 1% of all 52 foundations in China pay attention to international affairs. The 52 foundations include both grant-making foundations and operational foundations so it is reasonable to assume that not all 52 foundations would provide financial support for operational NGOs to develop overseas and international projects. Enterprises and individuals were also comparatively reluctant to donate for NGOs to carry out overseas projects. Take China Foundation for Poverty Alleviation for instance, as the biggest publicoffering operational foundation, it received 4.39 million RMB for international projects in 2014, accounting for 0.7% of all the donations received in that year. Also, infrastructure and material donation account for nearly 90% of government donation and it is usually engineering company, manufacturer and subordinate units of the government that handle the donations. There has not been operational channels or mechanisms for NGOs to get involved. * Incapability to operate overseas project — A survey conducted by GEI shows that among the 20 NGOs that aspire to "go global", 14 of them chose inadequate 'financial support' as the challenge for "going global", 13 chose 'lack of human resources' and 8 chose 'insufficient experience'. 'Scarce information' and 'Overseas resources' are also among the challenges but only 3 and 5 NGOs chose these options respectively. The post-survey visits found that many NGOs in China have taken the first step in "going global" by engaging themselves in international advocacy or attending international conferences. By doing so, they also obtained opportunities to exchange information and communicate with overseas counterparts. However, most of the NGOs still lack the human resources and experiences to operate overseas projects because they failed to attract international talents and never tried hard to "go global". No overseas practice has put them in a disadvantaged position in international competition. The report selected the following four case studies to illustrate NGOs' role in bilateral and multilateral cooperation and its revelation for NGOs, the government and enterprises. The cooperation modes include cooperation between NGOs and enterprises (foreign investment), cooperation between the government, enterprise and NGOs (foreign investment) and cooperation between NGOs and the government (foreign aid): * GEI's Clean Energy Demonstration project in Myanmar provided practical references for government on foreign aid material categories and specifications, while also piloting sustainable operations of community development projects in aid-receiving countries. The project helped ensure that the material donations can effectively benefit local communities over the long term. * GEI and State Power Investment Corporation collaborated on Myitsone Dam Stakeholder Communication and Community Development Project, in which GEI provided a communication platform between the company and local government, business associations, NGOs and communities after the project was called for a moratorium. GEI also provided economic development recommendations for the relocated communities that were impacted by the dam. * The Tanintharyi Nature Reserve Project, by Myanmar's Ministry of Environmental Conservation and Forestry, Total Oil Company and Wildlife Conservation Society (WCS), is one of the rare Public-Private Partnerships seen in Southeast Asia. In this project, the oil company provides finance for the Myanmar government to establish and manage a protected area around its oil pipeline as a way to compensate for the potential negative impact of the pipeline on local biodiversity. WCS was hired by the Ministry of Environmental Conservation and Forestry to provide technical assistance on conservation methods and community land-use planning. * Plan International (US) and ExxonMobil's Global Women in Management: Advancing Women's Economic Opportunities (GWIM) program is a training program for NGO and community women leaders from around the world (including host countries with ExxonMobil operation) to help improve women's economic opportunities in their own countries. As of 2016 when the program enters into its 11th year, the program has engaged over 720 women leaders. Experiences from home and abroad tell us that the NGOs, by cooperating with foreign investment enterprises, can help them better connect with local communities and by building an information exchange platform to promote communication between different stakeholders, the NGOs can inject impetus in the communities to engage in environmental protection and development projects. As a result, the enterprises' social responsibilities will be promoted and so will their image and reputation, and eventually sustainable development and multi-win for local economy, environment and the society will be achieved. The NGOs' strong coordination and liaison capabilities, extensive network with local partners, abilities to reach out to local communities in recipient countries as well as its unofficial nature can provide insight into the realities and needs of the recipient country and the insightful information can be used by the government for making foreign aid strategic planning. The NGOs can also assist in conducting the initial research and design before the launch of the project, carrying out and managing the project, and evaluating and promoting the project. All these activities can ensure the project benefit the communities in the recipient country and bring about sustainable environmental and social benefits so as to achieve the goal of the foreign aid. To facilitate the process of "going out" for those NGOs that are willing to, the report made the following recommendations to the governmental departments, research institutions, NGOs, enterprises and foundations: * Introduce policies to help solve the legitimacy issue of NGOs working overseas, such as establishing clear management guidelines on NGOs creating foreign representing organizations, opening foreign account, and sending donations overseas. * Introduce relevant policies to standardize the procedures and regulations concerning NGOs developing overseas projects, introduce favorable policies to guide and encourage NGOs to "go global", and mitigate the difficulties caused by foreign exchange and taxation during the process of "going global". * Amend the Law of the People's Republic of China on Donations for Public Welfare to also include regulations, procedures and incentives for Chinese NGOs making donations overseas. * Introduce policies to encourage the cooperation between oversea investment companies and NGOs. Chinese embassies can offer support to connect Chinese enterprises and NGOs with host country stakeholders for collaboration. * Government-organized NGOs (GONGOs) such as the China Foundation for Poverty Alleviation and China Youth Development Foundation should consider re-orient from operational foundations to grant-making foundations, so that they can support other operational NGOs through grants and experience sharing. * Use incentive policies and innovative mechanisms such as Public-Private Partnerships to encourage and guide domestic foundations and enterprises to devote resources in foreign aid and other international charity causes. * Establish a new foreign aid system and set up a professional national foreign aid administration agency in charge of overall planning of foreign strategy, foreign aid strategy and the use of foreign aid funds. Resolve the existing problems and dedicate more resources to making foreign aid more effective. The new system should engage NGOs in the project design, implementation, evaluation and other stages of foreign aid projects. * Revise the traditional form of foreign aid that focuses mostly on engineering projects and material donations, creating new concepts and innovative forms of foreign aid with NGO participation. Special funds mechanisms could also be used to support NGOs to carry out community work overseas. * Build a network for the NGOs that have already "gone global" to communicate, share knowledge and information, coordinate and cooperate in different countries and fields. Conduct learning and experience sharing activities between the NGOs that have "gone global" and those wishes to "go global" and help the latter to know more about the field experience, promote potential project collaboration, and draw more attention to overseas issues and overseas project. * Build a platform for China and host countries to learn from each other, share experience and cooperate. Push forward potential project collaboration and enhance the knowledge of the NGOs from both sides on each other's languages, culture and resources. * The government, NGOs and foundations from home and abroad can help build capacities for those willing to develop overseas projects. The content may cover related policies and regulations on developing overseas projects, as well as management, operation, dos and don'ts and evaluation of overseas projects. Table of Contents 01 Lack of Capacity to Operate Overseas Project 05 01 Research Background, Objectives and Methods ■ Research Background ■ Research Objective and Methods Research Background Since China officially initiated the "going global" strategy in 2001, Chinese enterprises have significantly accelerated their pace in investing overseas. According to statistics from the Ministry of Commerce, as of 2015 China's foreign investment has increased rapidly for 13 consecutive years with a record high of 145.67 billion US dollars, an average annual growth rate of 35.9% and an increase of 54 times from 2002. By the end of 2015, around 22,000 Chinese investors had opened 30,800 enterprises across 188 countries and regions in the world. A milestone in the development of China's foreign investment, 2015 marked the year when China became the second largest country in the world in terms of foreign investment flows and for the first time the foreign investment flows exceeded inward investment to China, which helps China become a net capital exporter. Enterprises' "going out" to invest overseas has brought rapid economic growth in China, making China the largest developing country and an emerging economic body. With China's gaining of international status, its foreign activities including overseas investment have caught close attention by the international society. Improving comprehensive strength and demonstrating a powerful country's responsibility become important topics in China's international relations and diplomacy development. For one thing, China needs to improve its communication with other countries and break its closed image from old times. Also it needs to strengthen the mutual benefit relation with other countries in order to eliminate false public opinions including "China Threat" and "New Colonialism". On the other hand, the negative impacts in host countries from Chinese overseas investment need to be effectively managed to realize environmental friendly investment and sustainable, inclusive growth. Against such background, Chinese government and NGOs need to catch up with the pace of Chinese enterprises to go out and improve mutual trust and collaboration with other countries in foreign aid. There is also need for communication and cooperation at the civil level in order to find effective solutions for transboundary problems such as environmental and social problems. Chinese government has already taken steps to "go out" by making China's foreign aid closely intertwined with the "go global" strategy since 2001. From 2000 to 2011, China's financial expenditure on foreign aid topped 107.819 billion RMB, 20 billion more than even the total expenditure on foreign aid in the 50 years before 2000. From 2010 to 2012, China's foreign aid stood at 89.34 billion RMB, roughly 35% of the total amount expended in the 60 years between 1950 and 2009. Aside from the large increase in financial expenditure in official foreign aid, some Chinese NGOs have also started to carry out foreign aid activities in Southeast Asian and African countries, fostering civil society communications and enriching civil diplomacy. The foreign aid activities by NGOs cover areas of humanitarian assistance, education and health care. However, unlike enterprises and the government, the development of China's NGOs started relatively late and kept a rather slow pace, hence they were lagged far behind in "going global". The "Belt and Road Initiative" proposed by China in recent years was another strategy to help with Chinese companies "going out". The initiative stressed the communication between China and other developing countries, fostering their economic cooperation and providing new opportunities for continued Chinese overseas investment. These new investment will be especially directed to large-scale infrastructure construction and energy development projects which are likely to have big environmental and social impacts. To ensure environmental friendly, sustainable and inclusive growth, the international society would like to hear Chinese NGO's voices; host country NGOs and communities are eager to communicate with Chinese NGOs; and Chinese NGOs and government are also in need of help from Chinese NGOs. In short, there is great and pressing demand for Chinese environmental and development NGOs to "go out". Research Objective and Methods The NGOs concerned in this research, and hence "NGOs" referred in this paper, are operational non-governmental and non-profit organizations that do not have an official background. They can be registered as a non-enterprise unit, commercial unit or foundation that is operational, or non-registered, but it should not be quasi-official entities such as social groups, business associations, grant-making foundations, research institutions, or government think tanks. The initial objective of the research is to "conduct an assessment of NGO's roles in Chinese overseas investment in natural resources and related sectors". The aim is to explore and promote the cooperation between Chinese environmental and social development NGOs and foreign investment companies in order to improve the sustainable development of Chinese foreign investment as well as the inclusive growth in host countries. Through literature search, it was found that there was not many studies around the topic of Chinese NGO "going out", and almost none on the "going out" of environmental and social development NGOs. GEI's survey result showed that not many environmental and social development NGOs have directed their attention on foreign and international affairs including foreign investment. Some organizations may be willing to carry out oversea projects in the future, but currently very few NGOs have actually "gone out". In order to explore in depth Chinese NGOs engagement in foreign and international affairs, expand their roles and better help the "going out" of NGOs that are willing to carry out projects overseas, the research is also aimed to understand their willingness, current situation and challenges in "going out", as well as their visions and plans facing new opportunities such as the "Belt and Road Initiative" and the deepening of South-South Cooperation. Based on these understanding, the research also gathers relevant information from other countries for comparison. It also selected four domestic and foreign case studies to show different collaborative models, including NGO-enterprise (foreign investment), governmententerprise-NGOS (foreign investment), NGO-government (foreign aid). The cases are also meant to serve as references for NGOs' potential roles in order to inspire Chinese NGOs, enterprises and the government on future collaboration. Considering the current situation, challenges, case studies and opportunities all together, this report will finally provide recommendations to government agencies, research institutions, NGOs, enterprises, foundations and other stakeholders, in order to facilitate the "going out" of Chinese NGOs, especially those working in environmental and social development areas. 02 Environmental and Development NGOs "Going Out" There are not many studies around the topic of Chinese NGO "going out", and almost none on the "going out" of environmental and social development NGOs. To develop a basic understanding of these Chinese environmental and social development NGOs and their conditions of "going out", GEI conducted an online survey in April, 2016. The survey was published through WeChat, Weibo, GEI's official website, China Development Brief and other social media and platforms, targeting environmental and social development NGOs for data collection (See Appendix I). The survey received a total of 32 responses, covering 30 effective organizations. There were 23 non-governmental, nonprofit organizations, among which are 14 environmental and social development NGOs (organizations that are concerned with environment and animal protection, rural community development). All of these 14 organizations expressed willingness to go abroad to carry out projects in the future. 8 of the 14 organizations have staff who have gone abroad to participate in international conferences and meetings, while only 3 have carried out projects overseas, including GEI, Social Resources Institute, and Green Watershed. Table 1: Environmental and Social Development NGOs that have Carried out Projects Overseas 9 Others: Labour Rights, Education, Elderly and Children, Disabilities, Capacity Building, Research, Support and Consultation 14 Environmental and Social Development: Environemtanl Conservation and Animal Protection, Rural Community Development 2 Foreign Organizations 28 Domestic Organizations 23 Domestic Non- Profit, Non- Governmental Organizations 3 Domestic For- Profit Organizations 2 Government Research Institute 2 Figure 1: GEI NGO "Going Out" Survey Result Summary \| Organization \| Foreign Project Location \| \|---\|---\| \| Global Environmental Institute \| Southeast Asia (Myanmar, Laos, Cambodia); Africa (Mozambique, Cameroon, Uganda, DRC) \| \| Social Resources Institute \| Africa (Mozambique) \| \| Green Watershed \| Thailand, Myanmar \| Acknowledging the limited representativeness of the survey due to the small sample size, the difficulty in getting responses and the results still proved that very few Chinese environmental and social development NGOs have directed their attention on foreign and international affairs, including overseas investments. While some organizations have expressed willingness to go overseas to carry out projects, very few have conducted projects abroad before. GEI conducted interviews with 7 environmental and social development NGOs, in order to understand their willingness and plans to "go out" and engage in international affairs. It was found that except for the three organizations that have gone out for research and field projects, other organizations' engagement is only to the extent of attending international meetings. While aware of relevant environmental and social issues in foreign countries, they have yet to establish clear plans or strategies of "going out". In fact, on the international stage, in recent years Chinese NGOs are increasingly considered as important forces in China's engagement in international affairs and civil society diplomacy, and calls for Chinese NGO "going out" are increasingly heard. In interviews, it was also found that in reality NGOs face many challenges during the process. This situation is not unique to NGOs working on environmental and social development issues, but for other types of NGOs as well. Table 2: Organizations Interviewed by GEI \| Beijing \| Global Environmental Institute \| \|---\|---\| \| \| Social Resources Institute \| \| \| Greenovation Hub \| \| Shanghai \| Shanghai Rendu Ocean NGO Development Center \| \| \| Green Initiatives \| \| Kunming, Yunnan Province \| Green Watershed \| 03 Chinese NGOs Current Engagement in Foreign and International Affairs ■ Few Chinese NGOs in International Affairs ■ Few Chinese NGOs Have Gone Abroad for Research and Field Projects ■ Limited Participation of Chinese NGOs in the "Belt and Road" Initiative and South-South Cooperation The lag of environmental and social development NGOs in "going out" should be put in the context of the current development stage of all Chinese NGOs and their status in "going out". Through literature review and consultation with experts from government research institutions, university, enterprises and NGOs, this section provides an overview of the extent to which Chinese NGOs engage in foreign and international affairs. Main findings include: 1) Few Chinese NGOs are working in the realm of international affairs; 2) Few Chinese NGOs have gone abroad to carry out research and field projects; 3) There is limited NGO participation in the "Belt and Road" initiative and South-South Cooperation. Few Chinese NGOs are Working in International Affairs In China, not many grassroots NGOs have started to pay attention to international affairs. First, Chinese NGOs have a much later start in the work compared to their international counterparts, and they have grown at a relatively slow pace. It was not until China joined the World Trade Organization (WTO) in 2001 that NGOs entered a period of rapid development. Most of the NGOs put their focus on domestic issues, and only several quasi-official social groups have organized foreign exchange activities and platforms with the purpose of promoting civil society communication with foreign countries, however, with limited operational project capacity. Figure 2: Research Target Group vs. Ministry of Civil Affairs Statistics Reserach Target Ministry of Civil Affairs Statistics NGOs registered as Commercial Units or non- registered Domestic Non- Enterprise Units registered at the Ministry of Civil Affairs International NGOs registered in China (including Social Groups, Foundations and Non- Enterprise Unit) Domestic Social Groups and Foundations registered at the Ministry of Civil Affairs There are also data demonstrating that few Chinese NGOs are working within the realm of international affairs. According to statistics from the Ministry of Civil Affairs, by the end of 2014 there was a total number of 606,000 social organizations registered in China. It is reported that only 529, or 0.09% of these social organizations are concerned with international and foreign affairs. In 2011, the total number of social organizations and the percentage of them concerning international and foreign affairs were 462,000 and 0.12% respectively. While the total number of social organizations increased by 31%, the number concerning international and foreign affairs did not follow the upward trend and in reality, had declined. It is also noticed that a majority of the social organizations concerning international and foreign affairs are social groups, which include associations, societies, unions and many other official entities. It is of notice that the Statistics Bulletin from the Ministry of Civil Affairs did not give a definition of the "organizations concerning international and foreign affairs". It is deemed probable that international NGOs registered in China are also accounted for, but they are not included in the targeted subjects of this research. Therefore, the data from the Statistics Bulletin are only used as ratio references rather than proof for exact numbers. Few Chinese NGOs Have Gone Abroad for Research and Field Projects Currently, while many Chinese NGOs have had the opportunity to go abroad to attend meetings and conferences in their respective areas, only a few of have gone abroad to carry out research and field projects. From GEI's survey and interviews, it was found that many environmental and social NGOs demonstrate interest in international affairs based on their invitation and participation in international conferences and meetings. Through these international platforms, these organizations have had the opportunity to communicate with international organizations, understand international practices in their relevant fields, gradually observe and explore China's roles in these fields and connect it back to their own work. However, many of these organizations are heavily focused on domestic issues in their pre-determined mission, vision and development strategies, and their staffs are limited in capacity to work on foreign and international projects. They have not expanded their scope of work overseas, and lack the knowledge of finance channels or policy requirements for carrying out research and field projects overseas. The literature review has provided the following issue areas on which Chinese NGOs have carried out overseas field projects: Humanitarian Assistance in Emergency Situations: Chinese NGOs providing humanitarian assistance in emergency situations are mainly foundations and their subsidiary professional rescue teams. They carry out rescue missions, provide disaster risk assessment, solicit and deliver goods and materials to disaster impacted areas, arrange for relief for disaster victims and contribute in post-disaster reconstruction. In the devastating Nepal earthquake in 2015, Chinese NGOs engaging in humanitarian assistance included the One Foundation, the Amity Foundation, China Foundation for Poverty Alleviation and its rescue team, China Social Welfare Foundation and its Blue Leopard rescue team, and Blue Sky Rescue team among others. Education: Compared to the short-term nature of humanitarian assistance, education is a rather long-term work. Only two NGOs carry out education activities overseas, namely the China Foundation for Poverty Alleviation and the China Youth Development Foundation. Their primary activities include school construction and scholarship/ financial aid distribution. Health Care: The main organizations carrying out health care activities overseas are the Red Cross Society of China and China Foundation for Peace and Development. In specific, the China Foundation for Peace and Development carried out a series of "Tour of Sight" activities in Myanmar, Mongolia, and other countries, offering free cataract operation programs and sending local medical staff from host countries to China for training and providing relevant equipment for eye surgical operations. International Exchange and Academic Research: China Soong Ching Ling Foundation, China Foundation for Peace and Development, Huamin Charity Foundation and China Development Research Foundation have hosted conferences and forums overseas, established research centers in cooperation with foreign universities, opened exchange camps and other projects between China and other countries. These activities have helped facilitate dialogues and multi-disciplinary research between China and the international society. Environment and Development: Chinese NGOs working on overseas environment and development issues usually have the focus on the environmental impacts of Chinese overseas investments. Several environmental organizations have had trips overseas for field research, but GEI, Social Resources Institute, Green Watershed are the only ones to have ever carried out research and field projects overseas. While it seems that many Chinese NGOs have started to carry out overseas projects, it should be noted that a majority of these NGOs are government-organized (GONGOs). Some grassroots NGOs have participated in humanitarian assistance in emergency situations, but almost none of the NGOs working in the environment and development field have developed overseas programs. Limited Participation of Chinese NGOs in the "Belt and Road" Initiative and South-South Cooperation As China's "Going Global" strategy has successfully pushed for the increase of foreign direct investment which resulted in rapid economic growth for the country, the leadership is also putting more importance in fulfilling its international responsibilities. It is actively promoting a global society, especially in facilitating the cooperative development with other developing countries. In recent years, China proposed two actions with the above-mentioned purposes, the "Belt and Road Initiative" construction and the deepening of South-South Cooperation. In fact, these two actions also create new opportunities for Chinese NGOs to engage in foreign and international affairs. As members of the third sector, NGOs can supplement the government and private sector in the traditional forms of foreign economic cooperation and aid. In specific, they can help with community-level communication and understanding around topics of environment, social development and culture. In this way, they can help ensure the sustainability and inclusiveness of foreign economic cooperation, and the on-the-ground effectiveness of foreign aid. Currently there is little room for Chinese NGOs to participate in topics and discussions about the "Belt and Road" Initiative and South-South Cooperation. One account of such engagement was when some NGOs were invited by the International Department, Central Committee of Communist Party of China to discuss issues of public diplomacy around the BangladeshChina-India-Myanmar (BCIM) Economic Corridor. Another example was the recently held Asian Infrastructure Investment Bank's annual meeting, which also invited NGOs to engage in discussions. However, other than these two occasions, Chinese NGOs have not had much opportunity to engage with the government on issue discussion, policy formation, and the actual project work of the "Belt and Road" Initiative and South-South Cooperation. A more commonly seen situation is that Chinese NGOs would hold conferences around the topics of the "Belt and Road Initiative" and South-South Cooperation, inviting government agencies and research institutions to participate in these conferences. Lacking proper channels for engagement, it seems that NGOs work around the two strategies are stunted within the initial steps. Research Report: Chinese NGOs "Going Global" 04 Main Challenges ■ Lack of Policy Support ■ Lack of Domestic Financial Support ■ Lack of Capacity to Operate Overseas Project Based on the current conditions, Chinese NGO engagement in foreign and international affairs is at a nascent stage, both in terms of their attention and project implementation. For most of these organizations, their lack of motivation to "go out" is an important barrier. As mentioned before, the fact that few Chinese NGOs are paying attention to foreign and international affairs is related to the relatively late and slow development of Chinese NGO sector. Chinese NGOs have yet to develop an internal-oriented vision for their work. A majority of them are putting heavy focus on domestic issues, and have yet to expand their concerns overseas. Additionally, from interviews of this research, it is understood that main challenges NGOs are facing at present include lack of oversea project implementation capacity, lack of legitimate financial support, as well as lack of policy support for material donations overseas, foreign exchange, taxation and etc. Figure 3: NGO "Going Out" Necessary Conditions and Qualifications Necessary Conditions Qualifications Internal Motivation International Value and Vision Capacity Building Language, Human Resources and Project Implementation External Support Policy and Finance Lack of Policy Support There is a Lack of Communication Channels and Mechanisms between NGO and the Government. So far in China, as the NGO sector has not been engaged in government's foreign aid work, NGOs do not have opportunity to help complement the government's foreign aid work to be more effective. In one aspect, the handful of Chinese NGOs have accumulated much local information in foreign countries through carrying out research and projects overseas. However, they find it difficult to communicate with the government on their findings and analyses based on such information, therefore cannot provide timely suggestions and references for official foreign aid and policies. On the other hand, official foreign aid programs do not provide financial support to Chinese NGOs or civil societies for this type of work, making it more difficult to realize the complementary role of the civil society. Without adequate channel or mechanism for communication between the government and the NGOs, effective partnerships that foster complementary roles cannot be realized. The Current Forms of Foreign Aid Limits NGO Participation. China's foreign aid is usually carried out through the form of engineering projects, by engineering companies and equipment suppliers. In 2015, the Ministry of Commerce released a Measures for the Administration of Qualifications of the Enterprises Undertaking Foreign Aid Projects (For Trial Implementation). The document specified the qualifications of engineering companies or equipment supply companies who may apply for the bid of foreign aid projects, whereas NGOs are not included in the potential bidding entities. There is also no financial support allotted for research, evaluation and the general publicity of the foreign aid projects that are critical to improving the effectiveness and the impacts on local livelihood. For comparison, US NGOs have been awarded legal qualifications to carry out foreign aid projects ever since the World War II. In 1961, the US amended its Foreign Assistance Act which led to rapid growth of US NGOs participating in foreign aid. In 1981, the US Congress passed the Public Law 113–97, requiring the US Agency for International Development (USAID) to set aside 12% to 16% of its annual budge on financing NGOs. Again in 1985, the Congress passed Public Law 99-83, requiring the government to use at least 15% of the foreign aid funds for NGOs. There is a Lack of Policy on Oversea Donations and NGO's Activities Overseas. NGOs engaging in activities on foreign affairs are facing some policy barriers. Take the Law of the People's Republic of China on Donations for Public Welfare for instance, the law stipulated customs procedures for inward donations to China and the conditions for tariff relief but it didn't mention the issues concerning outward donation made by domestic institutions. Because there are no regulations to follow, the related government departments often pass the buck to each other and take conflicting approaches to solve the same problem. In terms of monetary donations, while our foreign exchange policies approve the outflow of donations, they impose tax and require duty paid proofs for donations over 30,000 USD. Finally, there is no policy around tax breaks for material donations from China to overseas entities. As there has been few practices, the Customs agencies may use a lack of precedent as excuse for not approving tax-exempt export. Also, the China Charity Law was passed on March 16, 2016 and formally implemented on September 1, 2016. While it is the first law in China that is about the philanthropy sector which provides first legal reference for the whole charity sector, the Law does not offer provisions for international charity work, and there is little policy concerning overseas activities of NGOs. Therefore, there is still no legal reference for Chinese NGOs "going out" they want to open branch offices, implement projects or conduct research. Lack of Domestic Financial Support Domestic Foundations, Public and Private Donations From GEI's questionnaire survey and interviews, it is found that most foreign projects and activities of Chinese NGOs are funded by foreign resources, with little financial support from domestic sources. Various data sources also prove that very little domestic financial resources are devoted to NGO work on foreign and international affairs. For example, according to statistics from the China Foundation Center, up until June 22, 2016, there is a total of 4,979 foundations in China, and only 52 of them, 1.04%, are concerned with international affairs. It is of notice that the data from China Foundation Center included both operational and grant-making foundations. Therefore the actual number of grant-making foundations that are concerned with international affairs may be fewer than 52, meaning that fewer than 52 foundations may provide finance to support other operational NGOs to carry out oversea projects. Personal and corporate donations to the civil society are also rarely focused on international issues. Even for the largest social organization in China, China Foundation for Poverty Alleviation, in 2014 its international programs received 4,390,000 RMB in donation, which accounts for only 0.716% of its total annual received donation. In contrast, civil society in many developed countries form a major force working on international issues. US civil society, for example, is a main contributor of the US foreign aid. Data in 2010 showed that US foreign aid from its civil society reached 39 billion USD, exceeding official foreign aid by 30.35 billion USD. In fact, based on seven years of reports from a US non-profit think tank, the Hudson Institute, US foreign aid from the civil society has exceeded its official foreign aid since 2005, with the only exception in 2009 when civil society contribution and official aid were equal. Official Development Aid There is also limited official source of finance for Chinese NGOs to work on foreign affairs. In China's Foreign Aid (2014) released by the Information Office of the State Council, it is reported that China appropriated a total of 89.34 billion RMB for foreign assistance from 2010 to 2012, including 32.32 billion RMB of grants, 7.26 billion RMB of interestfree loan and 49.76 billion RMB of concessional loan. Looking at the fields in which the aids are used, almost 90% of the foreign aid was used for infrastructure construction and goods and material donations. Other fields, including agriculture, human resource development and humanitarian assistance in emergency situations, are also almost entirely carried out by the government and GONGOs with little project in cooperation with local NGOs. However, many developed countries would devote much of their official development funds to the civil society. Based on OECD report Aid at a Glance: Flows of Official Development Assistance To and Through Civil Society Organizations in 2013, Development Assistance Committee member countries provided an average of 11.6% official development aid fund either directly to social organizations or through funding projects implemented by NGOs. Among the member countries, Ireland reached the highest with 40%, US 23%, Britain 19%, and Australia 12%. As a more specific example, the "Partnership Principle" in Australia's foreign aid project implementation can serve as a reference for China's foreign aid system and its cooperation with Chinese NGOs. The "Partnership Principle" requires the cooperation with international organizations, NGOs, and the private sector in implementing official foreign aid projects. It emphasizes the importance of other organizations' roles in foreign aid projects, as they can help serve to fill the skills, knowledge, networks, perspectives and resources the government is lacking. Such cooperation can make the aid projects more flexible, helping reduce fragmentation, management cost, and the burden on aid-receiving countries. Under the guidance of the "Partnership Principle", the Australian Agency for International Development has shifted its role from a project developer and contract manager which hires enterprises to implement projects, to a project financer and a partnership manager which minimizes the management to the micro-level. From 2005 to 2010, Australian foreign aid projects reduced its use of contractors from 41% to 22%, and its budget for NGOs increased from 8% to 12%-13%. Lack of Capacity to Operate Overseas Project A survey conducted by GEI shows that of 20 NGOs that aspire to "go global", 14 of them chose 'inadequate financial support' as the challenge for "going global", 13 chose 'lack of human resources' and 8 chose 'insufficient experience' 'Scarce information' and 'overseas resources' are also among the challenges but only 3 and 5 NGOs chose them respectively. The post-survey visits found that many NGOs in China have taken the first step in "going global" by engaging themselves in international advocacy or attending international conferences. By doing so, they also obtained opportunities to exchange information and communicate with overseas counterparts. However, most of the NGOs are still in short of human resources and experiences to operate overseas projects because they failed to attract international talents and never tried hard to "go global". No overseas practice has put them in a disadvantaged position in international competition. 05 Case Studies of NGO-Government and NGO-Private Sector Cooperation CASE STUDY 1: GEI's Clean Energy Technology Project Provides Demonstration for South-South Cooperation CASE STUDY 2: GEI Works With China Power Investment Group on Myitsone Hydropower Project Suspension CASE STUDY 3: The Tanintharyi Nature Reserve Project - An Environmental Project Involving Private, Public and NGO Partnership CASE STUDY 4: Global Women in Management Program - A Collaboration between Plan International USA and ExxonMobil Based on the above analyses, because of the external policy and financial barriers and the subjective lack of motivation and capacity, Chinese NGOs have not realized their potential roles in engaging in international affairs. A more in-depth reason behind these challenges is that Chinese government and enterprises have not given NGOs and the charity industry enough recognition. Even NGOs themselves are still exploring their values, identities and potential roles they can play. Therefore, in order to improve the mutual recognition and trust between Chinese government, enterprises and NGOs and to foster Chinese NGOs involvement in international affairs, it is important to facilitate the cooperation among these three sectors. This section provides four case studies including domestic and foreign examples of NGO-government and NGO-private sector collaborations. These case studies are not only for government and enterprises to understand NGOs' potential added value, but also for NGOs to learn the various possible collaboration mechanisms they may develop with the government and enterprises. CASE STUDY 1: GEI's Clean Energy Technology Project Provides Demonstration for South-South Cooperation The GEI project, "Myanmar Forest Protection Demonstration Project based on Clean Energy Technology Application," operates in Thanbayarkhon (TBK) village, Bagu Province in Myanmar with the goals to supply power and clean water to villagers, to raise awareness of forest protection, to supply training and knowledge on clean energy sources, and to raise sources of revenue for the village. The project is co-funded by China Green Carbon Foundation and Blue Moon Fund, and is led together by GEI and Myanmar's Spring Foundation. By November 2015, the project team successfully donated 193 clean stoves and 180 solar home lights to the TBK village, while also leveraging a 1.1 Kw PV DC pump at USD 7,200 donated by Yingli Energy (Beijing) Co., Ltd. All of these materials were manufactured in China. In fact, these clean energy materials were chosen specifically based on GEI's findings from a series of investigations and research at the earlier stages of the project. Starting in 2012, GEI and the project team paid field visits at the local village, engaged in discussions with local NGOs, and invited experts in Myanmar and China for exchange visits in both countries. After all these efforts, it was determined that the clean stoves, solar lights and solar pumps are best suitable donations to address three primary concerns of the project: forest protection, pollution and carbon emission reduction, and improved livelihood. The biomass cook-stoves can ameliorate 1/3 of the village's demand on wood fuel, thereby not interrupting many livelihoods despite the ban on wood harvesting to prevent deforestation in in a nearby protected forest reserve. The dissemination of the cook stoves would also help reduce CO2 emissions from the traditional wood-burning stoves, while releasing much healthier air into the surrounding living quarters. Livelihoods are immediately improved by the solar light and pump as the villagers previously lacked sufficient household lighting with sole reliance on candlelight, and had no access to clean water that is now pumped out to be available. 5 In addition to the technology donation, the project team implemented several projects focused on sustainable finance solutions in order to raise revenue for the village. To this end they helped organize a Village Committee and instituted a Community Development Fund. The villagers were also trained on how to use the donated equipment properly. In addition, in an effort to promote economic development, the project team helped villagers to set up a seeding center to cultivate various tropical fruits. The positive impacts of this project is not just limited to the TBK village, but serves as a successful case of South-South Cooperation to be applied elsewhere. During the project implementation, there were many on-the-ground visits to the village to monitor and assess the project. After the project, GEI Executive Director Madame JIN Jiaman, along with the Chinese Counselor to Myanmar and important figures in Myanmar Environmental and Forestry Protection comprised a delegation that assessed the project and received favorable evaluation outcomes. After the final assessment that found the success of the project, China National Development and Reform Commission (NDRC) Department of Climate Change Director, Mr. Xie Ji, and Myanmar Environmental and Forestry Protection Department of Forestry Director, Dr. Nyi Nyi Kyaw, signed the "Supplementary Agreement to South-South Cooperation Donation" in the office of Myanmar Environmental and Forestry Protection. The signing of the agreement guaranteed that more villages in Myanmar would receive Chinese clean energy technology in the future, following the example of GEI's work in the TBK village. In fact, based on GEI's work, the NDRC understood that clean stoves and solar lights are very much in need in Myanmar villages, thus added them to the list of donations as part of material aid to Myanmar. The way the technology donations were selected, leveraged and eventually installed by GEI offered a model of how to conduct purchasing, transportation, customs liquidation and installation of Chinese technology abroad. As a Chinese NGO, GEI was a critical liaison among the Chinese enterprise, Myanmar NGOs, and local residents. With GEI as mediator, each party's needs and requirements were able to be efficiently and effectively discussed and resolved. CASE STUDY 2: GEI Works With China Power Investment Group on Myitsone Hydropower Project Suspension GEI's work on the Myitsone hydropower project with the China Power Investment Group highlights another example of Chinese NGO working on issues of foreign investment and its environmental and social issues, providing opportunity for future cooperation with the private sector. The Myistone project is a hydropower dam development project at the confluence of the Mali and N'mai rivers and the source of the Irawaddy River in Myanmar. Jointly funded by China Power Investment Group, Myanmar First Ministry of Electric Power and Myanmar Asia World Company, the project officially started its construction on December 21, 2009 and was planned to be completed in 2017 to become the 15th largest hydropower station in the world. At a time of democratic reform in Myanmar, there was much controversy among the public due to the project's enormous flooding area, environmental impacts, and the uneven share of electricity output between the two countries. On September 30, 2011, the President of Myanmar, Thein Sein, announced the suspension of the Myitsone project, claiming that the project "will destroy the natural scenery of Myitsone, the livelihood of local communities and the rubber plantations and crops invested by civilians". This decision ignited extensive attentions and discussions. At the time, GEI had some project experiences in Myanmar, conducting training sessions on the use of environmental policy tools such as Payment for Ecosystem Services and Environmental Impact Assessment for Myanmar officials from the Ministry of Environmental Conservation and Forestry as well as business association members. With strong interest in environmental management and investment development during Myanmar's democratic reform, GEI had been involved in leading discussions about the impact of the Myitsone dam on villager's life since the dam's controversial halt in 2011. In fact, on January 18, 2012 GEI held a closed-door meeting on the Myitsone hydropower project in Yangon, Myanmar. The meeting invited relevant officials from the Chinese government and Myanmar government, academic representatives and members of NGOs for an open and thorough discussion on the suspended Myitsone project. The meeting provided a forum for officials from both governments as well as stakeholders from other sectors to exchange their respective views on the suspension of the project, while also extended the conversation to include more in-depth discussions on the promotion of environmental policies in Myanmar. After the closed-door meeting, GEI remained dedicated to monitoring the impact of the Myitsone Dam. Several meetings were held in the following years in both Beijing and Myanmar on Chinese overseas investments and their environmental and social management, with China Power Investment Group and other stakeholders invited to talk about the Myitsone project. China Power Investment Group expressed interest for further cooperation with GEI on community development and environmental management if the dam set to re-open. In 2015, GEI, together with China Power Investment Group, investigated the dam's impacts on relocated village life. Through a community discussion, the relocated villagers shared their perspectives on the Myitsone dam, the impact of 2011 halt to the dam construction and the potential impacts of the dam on their way of life. Following the community discussion, GEI officers also traveled to villagers' homes to gain first-hand knowledge of the villager's daily life, visited masters of traditional weaving and a small-shop owner, and held an individual interview with the director of the Agriculture Bureau of Myitkyina to better understand the agricultural production of the village and Myitkyina. This case of GEI's collaboration with the China Power Investment Group demonstrated that oversea investment companies are in need to cooperate with NGOs to engage local communities, implement community development and environmental management projects, and prevent environmental and social risks in investment activities. NGOs can help establish unofficial communication platform between companies and local government, business association, NGO and communities. The above two studies showcased collaboration of Chinese NGO with government and enterprise in foreign aid and oversea investment. Of course, such collaboration has a lot of space for improvement, but similar practices are rarely seen in China. The next two case studies will introduce international practices involving cooperation of international NGOs with government and enterprises. We hope that these cases will offer encouragement for Chinese NGOs to build capacity and make attempts on different cooperation mechanisms. They are also meant to help Chinese government and enterprises to better understand potential NGOs roles in public affairs. CASE STUDY 3: The Tanintharyi Nature Reserve Project - An Environmental Project Involving Private, Public and NGO Partnership The Tanintharyi Nature Reserve Project (TNRP) is one of the few examples of conservation activities in Southeast Asia in the form of public-private partnership. Three private gas pipeline companies involved are Total-operated Motamma Gas Transportation Company (MGTC), Tanintharyi Pipeline Company (TPC), and Andaman Transportation Limited (ATL). Initiated by MGTC, these companies fund Myanmar Forest Department (FD) to support the creation and management of a protected area as compensation for impacts on biodiversity along the pipeline. The international NGO, Wildlife Conservation Society (WCS) Myanmar Program, serves as a technical advisor for project implementation. The scope of the TNRP project includes supporting the planning, establishment and operation of a protected area between the Dawei and Tanintharyi rivers and the Myanmar/Thailand border, including the MGTC/TPC pipeline corridor. Funding is derived from the operation of the MGTC and TPC pipelines. According to a project assessment report, the initial idea for a project of this kind started back in 1996 during the pipeline construction after MGTC completed its Environmental Impact Assessment. The Managing Director of Total E & P Myanmar and the project's EIA ecological assessment leader proposed several mitigation actions from the EIA, in order to conserve the forest and biodiversity in the nearby region and offer compensation for the environmental and social impacts of the pipeline. In 2001, a final TNRP project proposal was completed with contributions from both MGTC and TPC. The project officially started in 2005 and is proposed to continue for the lifetime of the pipelines (expected through 2028). Agreements between the companies and Myanmar Forest Department have been signed in four-year terms, with budgets of USD 1.2 million each for the first two phases (2005-2008 and 2009-2012), and USD 1.8 million for the third phase (2013-2016). Known to offer a notable expertise in the conservation area, WCS was contracted by the Myanmar Forest Department to play the role of Technical Advisor to the project. Areas of support provided by WCS to date have included: training on patrol methods and the use of the SMART patrol software, development of the conceptual model and logical framework for phase 3, advice on village land-use planning, camera trapping, and general project management. Additionally, WCS has developed Terms of Reference that provides details of proposed approaches, staff and daily rates for a consultancy documenting the lessons applied from the Tanintharyi Nature Reserve Project which serves as a conservation model in Myanmar. The model of the project is a simple financial compensation system in which the financial cost is considered a part of the companies' standard social responsibility program. According to interviews with officials from the three companies, including the then Total Myanmar Managing Director, it was believed that the investment in the project would help the companies manage reputational risks while the pipeline development continued as a source of controversy. Some believe that the project may also help the companies to control risks of soil erosion and flood that may otherwise impact regular pipeline operations. For the government, in addition to the increased income to the Ministry of Forestry, it was hoped that the project would serve as incentive for other developers to reduce their impacts and follow such model as a system of Payment for Ecosystem Services (PES). Figure 4: TNRP Stakeholder Relationships Enterprises MGTC TPC ATL (Pipeline Operation) Myanmar Forest Department Establishment Management Finance Financial Compensation CSR Technical Support Wildlife Conservation Society Government Taninthayi Nature Reserve Project (TNRP) NGO In addition to the inclusion of the three sectors which is not commonly seen in Southeast Asia and China, this case is exemplary in that the private companies actively sought ways to reduce its environmental and social impact, whether for reputational or operational reasons. The engagement of WCS signifies that with adequate capacity and expertise, NGOs are competent to supplement work that is not usually within the realm of the private and the public sectors. Innovative cooperation could provide benefits to all stakeholders. CASE STUDY 4: Global Women in Management Program - A Collaboration between Plan International USA and ExxonMobil The Global Women in Management: Advancing Women's Economic Opportunities (GWIM) has been in operation since 2005 as an education program operated by Plan International USA and supported by ExxonMobil. The program offers annual workshops bringing together around 20-30 women leaders and entrepreneurs from diverse countries to share, examine and adapt best practices of women's economic empowerment efforts. During the past 11 years, the program has engaged more than 720 women leaders and worked with them to advance women's economic opportunities by strengthening leadership potential, project management skills, and technical abilities of women in local civil society organizations. Plan International USA is part of the Plan International Federation, a global organization that works alongside communities in 50 developing countries to end the cycle of poverty for children and their families. Plan works at the community level to develop customized solutions and ensure long-term sustainability. It designs community-owned programs for generations to come that range from clean water and healthcare programs to education projects to child protection initiatives. Exxon Mobil Corporation, the largest publicly traded international oil and gas company, uses technology and innovation to help meet the world's growing energy needs. ExxonMobil engages in a range of philanthropic activities that advance education, with a focus on math and science in the U.S., promote women as catalysts for economic development, and malaria eradication. In 2013, together with its employees and retirees, ExxonMobil, its divisions and affiliates, and the ExxonMobil Foundation provided USD 269 million in contributions worldwide. The collaborative support for the Global Women in Management program began with ExxonMobil's search for NGO partners to join its "Educating Women & Girls" Initiative, which was launched in June 2005 as an extension to its longstanding support for education. Seeking a partner with feasible ongoing programs suitable to the initiative, ExxonMobil reached out to around 40 to 50 NGOs in the US and investigated the kinds of projects these NGOs carried out and how these projects were implemented. The Centre for Development and Population Activities (CEDPA) caught the attention of the ExxonMobil team due to its international recognition and its more than 30 years of experience in improving lives of women and girls in developing countries. In fact, CEDPA has been leading Global Women in Management workshops (GWIM) since 1978. After a full review, ExxonMobil decided to offer a $175,000 investment for CEDPA to extended the program for another year. Then in 2009, ExxonMobil adapted its Educating Women & Girls Initiative as many other international enterprises started to make investments in women's economic empowerment causes. Specifically, ExxonMobil had done so by adding specific elements to the original CEDPA women leader trainings. As such, the Global Women in Management: Advancing Women's Economic Opportunities program started to take shape. The final stage of the project's development was in 2012, when CEDPA joined its talents and projects with Plan International USA. This partnership improved CEDPA's renowned programs including the GWIM. Currently, the GWIM remains an official program of Plan International USA. As of 2015, the GWIM program had successfully engaged 720 NGO women leaders from 26 countries and regions in its trainings and residential workshops. The process for selection and workshop operation is as follows. First, each year, country branches of ExxonMobil nominate women leaders from NGOs in their respective operating country to participate in GWIM's residential workshop; the country branches also take this opportunity to build better relations with local NGOs. In countries where ExxonMobil does not have an operation, such as Myanmar, a reference system is used that alumni from past workshops would recommend people they think fit directly to the PIU's program management office. Once nominations are submitted to ExxonMobil Headquarters, it will work with Plan International USA to make the final selection of workshop participants. The selected participants are then gathered together in a selected city for a one month workshop, and engage in various activities ranging from "[building] their personal leadership skills" to "[strengthening] their competencies in program and financial management, monitoring and evaluation, fundraising, advocacy, and strategic communications. Furthermore, participants have special opportunities to go on field trips and attend sessions with experts from different sectors and regions who are working to improve lending, political, legal and socio-cultural environments for women's economic participation. The women leaders also learn successful approaches to support women's economic advancement through meeting with implementing and donor organizations. According to an evaluation report for the program, graduates of the program have gone on to take leadership positions including chairwomen, treasurers, and representatives of religious, community and volunteer groups. Some participants also are reported to have founded their own local NGOs. With increasing success of the GWIM program, especially in terms of its broadened and deepened impacts, the collaborative relationship between Plan International and ExxonMobil has proven to be sustainable. Moreover, the annual program support from ExxonMobil to Plan International has increased from the initial $175,000 USD to $1.6 million USD, almost a ten-fold increase. This generous funding gives Plan International financial latitude to add nuanced elements to enhance the program. For example, in addition to the main activity of one-month training, Plan International also facilitates yearly coaching and alumni mentorship programs that connect current and past participants. This global network of women leaders functions to let the program alumnae learn from and support each other. Finally, small funds are now made available to assist entrepreneurial women in their start-up programs and social enterprises. Not only does Plan International receive ExxonMobil's funding to implement these programs, it also utilizes ExxonMobil's other resources to promote the program and the organization itself. Specifically, ExxonMobil has regular contracts with public relations companies for its own branding, and so these PR companies also help promote the GWIM program when Plan International should require. Importantly, ExxonMobil respects Plan International's ownership of the program, which is evidenced in the specific wording of program publicity. For example, ExxonMobil's statements have read "Plan International USA's GWIM program, supported by ExxonMobil." ExxonMobil and Plan International opt for indirect promotion by just displaying their logos rather than spelling their names in promotional material. Through interviews with several program alumni in Myanmar we discovered that Exxon Mobil is not directly involved in the program implementation. As there is no operation of ExxonMobil in Myanmar, the program is also not entirely related to its local operational benefit but is part of its philanthropy strategy. The company certainly enjoys some reputational benefits from its investment in this program. As mentioned earlier, participants in the GWIM workshops are nominated by ExxonMobil's branches operating in different countries and regions. As such, through this program, the local branches can take the opportunity to get to know local NGOs in the nomination decision process and establish good relationships with them. In fact, Sue Richiedei, the Program Manager of the GWIM program, recalled in her interview that one of ExxonMobil's managers in Mexico said that this CSR activity brought pride to the company's local employees and enhanced their loyalty to the company. The company is also able to develop more on-the-ground contacts through this initiative. Once a leader has participated in the workshop, she can contact the CSR office of ExxonMobil's local branch to develop community projects in cooperation with ExxonMobil. All in all, these projects can help ExxonMobil build better images in local communities. Importantly, while there is no quantitative measure of ExxonMobil's return on investment from the GWIM program, it is found that the number of women engaged and the amount of investment made in the program will help improve both ExxonMobil and Plan International's images. In comparison to global corporations like ExxonMobil, Chinese overseas investment companies are lagging behind in their development of social responsibility and philanthropy work, and they need to learn broader philanthropy concepts and strategies from global corporations. In addition to community development and environmental protection work in investment host countries, enterprises can also invest more corporate resources to support NGOs in other charity causes that will help the companies build good images and reputation. These case studies also illustrated the need for NGOs to have international philanthropy values, and accumulate international experiences and capacity. 06 Policy Recommendations ■ Provide Policy Incentives and Legal References for NGOs to "Go Out" ■ Encourage Multi-Channel Financial Support for NGO "Going Out" ■ Build Capacity on Overseas Project Development and Implementation The above cases demonstrated that Chinese NGOs can play complementary roles in working with enterprises. It is especially true for Chinese enterprises that have made overseas investments, established overseas operations, and aim to become global corporations, as they have pressing need to become environmentally and socially responsible, improve communication with local communities and build trustworthy brand images. NGOs are in advantageous positions to help establish an exchange platform to promote communication between different stakeholders, including Chinese enterprises, financial institutions, and host-country local communities, residents, NGOs, and other stakeholders. Such mechanism or platform can enhance information disclosure and transparency of Chinese enterprises' investment and trade activities overseas. Regular interactions with local communities would also help enterprises better understand local needs and prevent negative impacts on local communities that may incite oppositions to their investments. Chinese NGOs can also help enterprises design community development plans for the project's impacted communities, and develop corporate social responsibility plans appropriate for the local context. As a result, the enterprises' social responsibilities will be promoted and so will their image and reputation, and eventually sustainable development and multi-win for local economy, environment and the society will be achieved. In terms of foreign aid, NGOs' strong coordination and liaison capabilities, extensive network with local partners, abilities to reach out to local communities in recipient countries as well as its unofficial nature can provide insight of the realities and needs of the recipient country. Such insightful information can be used by the government to make foreign aid strategic planning, and therefore resolve issues of arbitrariness and opaqueness. The NGOs can also assist in conducting the initial research and design before the launch of the project, carrying out and managing the project, and evaluating and promoting the project. All these activities can ensure the project benefit the communities in the recipient country and bring about sustainable environmental and social benefits so as to achieve the goal of the foreign aid. Based on the need and opportunities for Chinese NGOs "going out" to engage in foreign investment and aid, the report recommends the governmental departments, research institutions, NGOs, enterprises and foundations to take action on policies, finance and capacity building in order to help Chinese NGOs tackle the challenges and facilitate more NGOs to go out. Provide Policy Incentives and Legal References for NGOs to "Go Out" It is recommended that the government introduce policies to help ease the process of NGOs "going out", including conducting oversea projects, creating foreign branches, sending donations overseas, among others. On August 21, 2016, the General Office of the CPC Central Committee and the General Office of the State Council distributed a Recommendations on Revising Social Organization Management Regulations and Promoting Social Organization Healthy an Orderly Growth. Chapter 7 of the Recommendation is specifically written for the regulation on the foreign-related activities of social organizations. It raised the need to "guide social organizations to develop foreign exchanges, participate in non-governmental international activities, take part in the formulation of international standards and rules, play complementary roles in foreign economic, cultural, technology, sports, environmental protection and other issue-related communications, and form a platform for civil diplomacy." Also in Chapter 7, it also proposes to "establish international social organizations," and lists approval requirements for social organizations establishing oversea branches. Based on this recent improvement, the report recommends the government to introduce relevant policies to standardize the procedures and regulations concerning NGOs developing overseas projects, introduce favorable policies to guide and encourage NGOs to "go global", and mitigate the operational difficulties caused by foreign exchange and taxation during the process of "going global". In legal aspects, the report recommends amending the Law of the People's Republic of China on Donations for Public Welfare to include regulations, procedures and incentives for Chinese NGOs making donations overseas. Additionally, policies can be Introduced to encourage the cooperation between oversea investment companies and NGOs. Chinese embassies can offer support to connect Chinese enterprises and NGOs with host country stakeholders for collaboration. Encourage Multi-Channel Financial Support for NGO "Going Out" To encourage increasing financial support from domestic foundations, the report suggests Government-organized NGOs (GONGOs), such as the China Foundation for Poverty Alleviation and China Youth Development Foundation, to consider reorient from operational foundations to grant-making foundations, so that they can support other operational NGOs through grants and experience sharing. The government could also use incentive policies and innovative mechanisms such as PublicPrivate Partnerships to encourage and guide domestic foundations and enterprises to devote resources in foreign aid and other international charity causes. In official foreign aid, the current system with the Ministry of Commerce as the main foreign aid authority has generated a set of debates. Some advocate for separate management of business and foreign aid; some argue the responsibility should be transferred to the Ministry of Foreign Affairs; and some suggest more effective inter-ministry coordination mechanisms. The report recommends to establish a new foreign aid system and set up a professional national foreign aid administration agency in charge of overall planning of foreign strategy, foreign aid strategy and the use of foreign aid funds.The report also recommends to revise the traditional form of foreign aid that focuses mostly on engineering projects and material donations, creating new concepts and innovative forms of foreign aid with NGO participation. Special funds mechanisms could also be used to support NGOs to carry out community work and participate in project design, implementation, evaluation and other stages of foreign aid projects, enhancing the understanding of local context and improving civil communications. On September 9, 2016, the Ministry of Commerce published the consultation draft of a Measures for South-South Cooperation Foreign Aid Fund Project Application and Implementation Management (For Trial Implementation), and was open for public comments and suggestions. The document provides specifications for international organizations and social organizations to apply for South-South Cooperation Foreign Aid Fund Projects to ensure project qualities and improve aid effectiveness. It bridged the gap in the previous official foreign aid project bidding process which was only open for companies to apply. By providing policy reference for NGOs to "go out" and help with foreign aid projects, the document affirmed the roles of social organizations in managing project quality and improving effectiveness in foreign aid pojects. Build Capacity on Overseas Project Development and Implementation In order to improve the overseas project capacity of Chinese NGOs, the report recommends building a network for the NGOs that have already "gone global" to communicate, share knowledge and information, coordinate and cooperate in different countries and fields. We also recommend conducting learning and experience sharing activities between the NGOs that have "gone global" and those wishes to "go global" and help the latter to know more about the field experience, promote potential project collaboration, and draw more attention to overseas issues and overseas project. It is also helpful to build a platform for China and host countries to learn from each other, share experience and cooperate. Push forward potential project collaboration and enhance the knowledge of the NGOs from both sides on each other's languages, culture and resources. Additionally, the government, NGOs and foundations from home and abroad can help build capacities for those willing to develop overseas projects. The content may cover related policies and regulations on developing overseas projects, as well as management, operation, dos and don'ts and evaluation of overseas projects. Specifically in terms of human resources development for NGOs, one of the most remarkable projects recent is the first international volunteer program of the China Foundation for Poverty Alleviation in October, 2016. The program recruits Chinese volunteers with relevant professional experiences and technical skills to participate in foreign aid and development projects in countries like Myanmar and Nepal. On one hand, the program encourages Chinese youths to participate in international charity and build broader international philanthropy values during the process. On the other, it also helps build capacity of these youths to gain international charity experiences. As these young people gather experiences and knowledge of the culture, communities, and local NGOs of the aid receiving countries, they are also becoming important resources for Chinese NGOs willing to go abroad. Global Environmental Institute 07 References and Appendices ``` References Appendix I: Literature Review Appendix II: GEI's "NGO Going Out" Survey Appendix III: The Belt and Road Initiative and South-South Cooperation Appendix IV: NGO "Going Out" Policies and Laws Appendix V: NGO "Going Out" Suggested Readings ``` References [1] China Foundation Center. "Data Center." Accessed June 22, 2016. http://data.foundationcenter.org.cn/foundation. html [2] Deng, Guosheng & Yang Wang. "The Necessity and Policy Recommendations of Chinese NGO's 'Going Abroad'." Education and Research (2015): 28-34. [3] Global Environmental Institute, Environmental and Social Challenges of China's Going Global. 2013. Beijing: China Environment Press, 2013. [4] House of Commons, International Development Committee. Department for International Development: Departmental Report 2004. Eighth Report of Session 2003-04. London: The Stationery Office Limited. November 25, 2004. Accessed August 22, 2016. https://books.google.com/books?id=moAszvr1gBEC&printsec=frontcover&s ource=gbs_ge_summary_r&cad=0#v=onepage&q&f=false [5] Huang, Haoming. "Strategies for the Internationalization of Chinese NGOs". China Development Brief (Winter 2013 Quarterly). Accessed June 22, 2016. http://chinadevelopmentbrief.cn/articles/huang-haomings-strategies-forthe-internationalization-of-chinese-ngos/ [6] Information Office of the State Council. "China's Foreign Aid (2014)". Accessed June 30, 2016. http://www.gov. cn/zhengce/2014-07/10/content_2715467.htm [7] Lu, Bo. "China's Foundation Going Global: Trend, Current Condition, and Prospective." Charity Blue Book (2015): 166-184. [8] Ministry of Commerce. "Measures for the Administration of Qualifications of the Enterprises Undertaking Foreign Aid Projects (For Trial Implementation)". October 29, 2015. Accessed June 22, 2016. http://www.mofcom.gov.cn/ article/b/c/201510/20151001151458.shtml [9] Ministry of Commerce. "2015 China's Outward Foreign Direct Investment Statistics Bulletin". September 22, 2016. Accessed Nov 1, 2016. http://hzs.mofcom.gov.cn/article/aa/201609/20160901399201.shtml [10] Ministry of Civil Affairs. "2014 Social Service Development Statistics Bulletin." Accessed June 30, 2016. http:// www.mca.gov.cn/article/sj/tjgb/201506/201506008324399.shtml [11] Ministry of Civil Affairs. "2011 Social Service Development Statistics Bulletin." Accessed June 30, 2016. http:// www.mca.gov.cn/article/sj/tjgb/201506/201506008324399.shtml [12] OECD. "Aid for CSOs: Statistics based on DAC Members' reporting to the Creditor Reporting System database." December 2015. Accessed June 22, 2016. https://www.oecd.org/dac/peer-reviews/Aid%20for%20CSOs%20 in%202013%20_%20Dec%202015.pdf [13] Order of the President of the PRC, No. 43. "Charity Law of the People's Republic of China". March 19, 2016. Accessed June 22, 2016. http://www.npc.gov.cn/npc/dbdhhy/12_4/2016-03/21/content_1985714.htm [14] People's Republic of China Premiere's Order NO. 19. "Law on Donations for Public Welfare". June 28. 1999. Accessed June 22, 2016. http://www.gqb.gov.cn/node2/node3/node5/node9/userobject7ai1270.html [15] Plan International USA, Lasting Impact: Evaluating Ten Years of Advancing Women's Leadership. 2015. Accessed July 8, 2016. https://www.planusa.org/stuff/contentmgr/files/1/4c47d560f519a584a7a21b498e2492e6/download/ gwim-evaluation-highlights-publication---final.pdf [16] Pollard E. H. B., Soe Win Hlaing and J. D. Pilgrim, Review of the Tanintharyi Nature Reserve Project as a conservation model in Myanmar. London: The Biodiversity Consultancy Ltd., 2014. [17] Sun, Tongquan & Taidong Zhou. A Comparative Study on Regulatory Systems of Foreign Aid. China: Social Sciences Academic Press, 2015. [18] Sun, Jing. The Development History and Lessons Learned from Chinese NGOs since China's Established. Shandong Normal University Paper (Social Sciences Section). 2011(56): 106-111. [19] USAID. "Corporations". Accessed August 23, 2016. https://www.usaid.gov/partnership-opportunities/corporate [20] Wang, Zhile. "How do Chinese Enterprises Become Global Corporations." Financial Times, December 18, 2015. Accessed August 5, 2016. http://www.ftchinese.com/story/001065348?page=1 [21] Zhu, Jiangang. Interpreting the Charity Law: the transformation in Charity and in Country Governance. Chinese Philanthropists. April, 2016. Appendix I: Literature Review 1. Environmental and social development issues concerning Chinese Enterprises' pursuit in "Going global" a) UNDP China, Chinese Academy of International Trade and Cooperation of Ministry of Commerce, Research Center of State-owned Assets Supervision and Administration Commission of the State Council. Report on the Sustainable Development of Chinese Enterprises Overseas 2015. 2015 The report surveyed 250 Chinese enterprises that have been operating overseas. It reviewed the "going global" process in four dimensions, i.e. economic, environmental, social and corporate governance, to find out good practices. The Report reflected on the challenges during Chinese enterprises' pursuit of sustainable development overseas. It also examined the policies and laws that support Chinese enterprises' overseas sustainable development and the Environmental Impact Assessment conducted by financial agencies. The report brought forward to Chinese enterprises several priority areas for sustainable development, including "mechanisms for stakeholder communication and involvement", "social capital investment" and "community risk management". The report recommended in conclusion that in order to act in line with international practice and improve the international level of sustainable development, Chinese enterprises should improve the communication and interaction with local stakeholders and non-governmental organizations and promote transparent management. b) Global Environmental Institution. Environmental and Social Challenges of China's Going Global. China Environmental Science Press. 2013 This report examined the history, status quo and development trend of China's decade-long foreign direct investment (FDI) and five-year-long commodity import and export since the "going global" strategy was launched. It also examined the development path and current situation of China's foreign aid. With its special focus on four key areas of China's FDI and the trade of 20 different types of commodities, the report explored the environment of which high-biodiversity areas were most likely to be affected by the trade of these commodities. The report also scrutinized China's environmental management policies in foreign investment and trade, and identified challenges facing environmental protection and sustainable use of resources. The report put forward strategies and suggestions to Chinese enterprise on how to respond to these challenges by referring to some good practice cases in addressing overseas environmental and social challenges. 2. China's Foreign Aid a) Sun Tongquan and Zhou Taidong. A Comparative Study of Regulatory System of Foreign Aid. Beijing: Social Sciences Academic Press (China), 2015. This book compared the regulatory system and the development path of Mainland China's foreign aid with those of Australia, South Korea, the United States, the United Kingdom and Chinese Taipei. It presented CSOs' involvement in foreign aid and relevant policies and laws. Based on the comparisons, the book put forward a series of suggestions about laws and regulations of foreign aid, including supporting civil society organizations in foreign aid, improving China's soft-power diplomacy and civil diplomacy, proactively participating in the drafting and stipulating international "soft laws". b) Brian Tomlinson. Working with Civil Society in Foreign Aid: Possibilities for South-South Cooperation? AidWatch Canada. 2013 The study reviewed the experience of official development assistance (ODA), summarized the role of civil society organizations (CSOs)in traditional donors of OECD and Development Assistance Committee (DAC), selected a number of South-South aid providers as case studies for open policy discussions, and summarized the best practices of cooperation between official development assistance and CSOs. The report makes recommendations to SouthSouth cooperation aid providers: clarifying the participation of CSOs in official policies of South-South cooperation; creating an enabling environment for CSOs to participate in South-South cooperation; strengthening knowledge and capabilities of CSOs in partner countries and donor countries; building mutual trust between CSOs and other sectors; creating space for policy dialogue and mutual learning between CSOs and aid providers. 3. China's Civil Society Organizations "Going Global" a) Deng Guosheng, Wang Yang. The Inevitability of China's Civil Society Organizations and Policy Recommendations. Teaching and Research, 2015 (9). China's CSOs play a rather limited role in international governance system, showing no considerable influence and right of discourse. This report analyzed the inevitability for China's CSOs to "go global", the current situation and the challenges they face. The inevitability includes: 1) It's a requirement for actively participating in global governance system; 2) It's a requirement for optimizing the national foreign aid system and improving the effectiveness of the aid; 3) It's a requirement for assisting overseas Chinese enterprises in fulfilling their social responsibilities. The current situation shows that quite few CSOs in China has "gone global" and for most of those who have, they usually have no overseas office, no full-time staff, no constant project and no stable fund. The challenges faced by China's CSOs in their attempt to "go global", as the report shows, include the ineptness of these organizations in "going global", inadequate support from the government and low social recognition. In reference to the good practices and experiences from the US and Japan, the report proposed the following suggestions: increase government's capital funds to support CSOs to "go global"; improve related laws and policies; build various kinds of platforms to support the "going global" attempt; build CSOs' capability to "go global"; and create a positive social atmosphere for "going global". b) Social Resources Institute. Explore Amidst the Fog — A Study on the Status Quo of Chinese Enterprises' Responsible Agricultural Investment Overseas Advocated by NGOs. April 2015. The report aims to engage more NGOs in advocating Chinese enterprises to make responsible investment in overseas agriculture sector. Take agriculture as the starting point, the report shows the characteristics of the NGOs that participated in the advocacy and the tactics and way of working they take. These findings can serve as good experiences for local NGOs. The report also examined the reasons that the advocacy initiative was shunned by some NGOs and explored ways on how to make them respond more actively. The summary of the report: There is great potential to increase local NGOs' participation in the advocacy; Most of the action-oriented NGOs are still at learning and exploration stage; There is no foundation for cooperation between the government, enterprises and NGOs. These is no statistics in the report on the number of projects implemented by China's "going global" NGOs but it did mention that Global Environmental Institution is the only Chinese NGO that has carried out overseas projects. Based on these findings, the report put forward the following recommendations: It's essential to meet different demands from different NGOs in order to increase their participation and engagement in the advocacy and it is of high importance to build an effective communication mechanism between NGOs, enterprises and the government. c) China Foundation for Poverty Alleviation. A Handbook on China's Grassroots Organizations Going Global. 2015 The handbook, an instrumental action guideline, provided guidance for China's CSOs aspiring to carry out overseas charity projects on the initial stage in "going global". The handbook started with recounting of the challenges during the process of "going global" and went on to highlight the importance of completing all five components of feasibility analysis, building rapport, daily operation, fund raising and project establishment. It also provided case studies from home and abroad as references. d) Lu Bo. 2004-2014 Chinese Foundations "Going Global": Trend, Status Quo and Prospect. Annual Report On China's Philanthropy Development The report showed the overall situation of China's foundations in their efforts to "go global". Out of 37 foundations that have "gone global", 27 have made overseas financial donations mostly towards post-disaster emergency relief; five have resident overseas personnel; 18 have launched overseas projects mainly in the areas of international exchange, academic research, poverty alleviation, medical service and education; and two have opened overseas branches. Four foundations have built themselves into recognized brand names in the process of "going global". They either upgraded and expanded their already-highly-recognized domestic brand or developed and ran new overseas projects. However, by the time when the report was released, no foundation has been able to "go global" in all five aspects of fund, personnel, project, organization and brand. Appendix II: GEI's "NGO Going Out" Survey (Conducted only in Chinese) 民间组织"走出去"调查问卷亲爱的小伙伴您好！全球环境研究所(GEI)诚邀您填写中国民间组织"走出去"问卷调查。 GEI正在进行一项针对中国本土民间组织"走出去"的调查研究，希望了解我国有多少民间组织参与国际事务、分别在哪些领域、基于什么样的原因、以及在海外实践中面临什么样的挑战。您的参与可以帮助我们共同对民间组织"走出去"的现状有最新的了解。如果您在中国本土民间组织工作，希望您能抽出5分钟时间填写此问卷。此问卷将在4月30日截止。调查结束后，我们将通过邮件向您反馈调查结果。因后续研究需要我们也可能与您作更进一步的沟通了解。感谢您的支持和配合！我们会在填写问卷的小伙伴中抽取10名赠送精美礼品，敬请期待！机构工作领域（可多选）* □劳工□环保与动保□农村社区发展□救灾□教育□健康与防艾□性别与性少数□老人与儿童□残障 □社会创新与社会企业□能力建设、研究、支持、咨询□民族、宗教、文化、艺术□企业社会责任□社工 □其他注册类型* □社会团体□ 民办非企业□工商注册□ 基金会□ 政府研究部门 □其他机构名称* 总部所在地* 是否在中国大陆设有分办公室 □是□否注册地点 * 机构员工是否赴海外（大陆以外地区）参加过国际性会议 * - 是 ○否如果是，平均一年几比赴海外参加国际性会议 □ 1-2次 □ 3-5次 □ 5次以上机构是否在大陆以外地区实施过项目 * - 是 ○否如果是，所在国家为未来机构是否有意愿在海外实施项目 * - 是○否如果是，是否会涉及以下话题（可多选） □ 森林□ 海外投资 □矿业 □农业 □能源□生物多样性□企业社会责任 □ 社区□ 政策研究 □ 其他海外实施项目遇到的挑战？/拓展海外项目最大的困难？ * □ 当地国资源□ 人力资源 □机构经验□资金支持□信息渠道 □ 其他联系电话 * 邮件地址 * 北京北京市 -选择- 提交全球环境研究所-GEI创建由「灵析」提供技术支持 Appendix III: The Belt and Road Initiative and South-South Cooperation In 2016, China enters the fifteenth year of its implementation of the "Going Global" strategy. During the past fifteen years, the number of Chinese foreign direct investment companies has increased to around 30,000, and the amount of outward foreign direct investment reached 145.67 billion USD in 2014, a 45-time increase from the 2002 level. Thanks to the "Going Global" strategy, China's economy has seen rapid growth, allowing China to become the second largest economic power in the world. As China gained strength in economic and political clout, it is taking initiatives to foster a new paradigm of cooperative development with other countries, especially developing countries, in order to enhance its comprehensive strength and national image. The Belt and Road Initiative and South-South Cooperation are two such endeavors China has been taking in recent years to achieve a leading role in the globalized development and cooperation. "Belt and Road" Initiative The "Belt and Road" Initiative (BRI) is a strategy to advocate for economic, political and cultural cooperation amongst countries mainly in the Asia-Pacific region, and to further encourage Chinese enterprises going out. The initiative combines the two ideas to construct a Silk Road Economic Belt and a 21st Century Maritime Silk Road both proposed by President Xi Jinping in 2013, and was formally consolidated and written into the 2013 Report on the Work of the Government. It makes construction of a trans-boundary economic belt the primary foreign economic development strategy of China, and plans to bring infrastructure and related economic benefits to western China and the other countries along the belt. By advocating for economic, political and cultural cooperation amongst participating countries, China seeks to demonstrate its responsibility to promote mutual benefits and global economic development. The newly established Asian Infrastructure Investment Bank (AIIB) and the Silk Road Fund share the goal with the BRI to help guide and facilitate Chinese enterprises carrying out investment and trade activities along the economic belt. The AIIB, first proposed by China in October 2013, is a multilateral development bank dedicated to lending for infrastructure projects in the Asia-Pacific region. Among the 37 regional and 20 non-regional member countries, China gave an initial subscription of 29.78 billion USD in authorized capital stock out of the total 100 billion USD to support infrastructure construction and regional economic development. The Silk Road Fund was a 40 billion USD state-owned investment fund announced and established in 2014. Instead of lending directly to infrastructure projects, its mission is to provide financing support for increased investment, trade and economic cooperation in countries along the BRI. South-South Cooperation South-South Cooperation is the cooperation amongst developing countries in technology and economic development, in order to decrease their dependence on developed countries for aid, be better included in the world economic order, and create a shift in the international balance of power. In general, it includes communication and collaborations in the areas of infrastructure construction, energy and environment, small- and medium-enterprise development, human resources development, health and educations, among others. Along with other developing countries and their growing importance on the global stage, China is actively supporting and promoting South-South Cooperation by making it a critical part of its foreign policies. In fact, China has been active in providing assistance to other developing and least developed countries through direct economic aids, infrastructure construction and other assistance in the areas of food safety, health, education, agriculture and trade cooperation and many others. More recently, in September 2015, President Xi Jinping made two announcements that China would set up a China South-South Climate Cooperation Fund of 3.1 billion USD to help developing countries tackle climate change, as well as another South-South Cooperation aid fund with initial spending of 2 billion USD to help developing countries implement the post-2015 Development Agenda. Roles of the government and enterprises The construction of the Belt and Road and the deepening of South-South Cooperation are high-level strategies of China, and the Chinese government is the main proponent for the design and development of these strategies. A steering group officially named the Leading Group for Advancing the Development of One Belt One Road was formed to manage oversight of the BRI development. It reports directly to the State Council of the People's Republic of China, and is led by Vice-Premier Zhang Gaoli with four other political heavyweights as deputy leaders. One level down the leadership level, a coordinating office for the Leading Group was created within the NDRC to help with implementation. The government is also leading many responsibilities for coordinating and implementing foreign aid assistance as part of its South-South Cooperation efforts. To be specific, the Ministry of Commerce (MOFCOM) is the main authority and administrator for China's foreign aid. It established a Foreign Aid Department that is responsible for the creation of foreign aid policies, regulations, master plans and annual work plans, the approval of foreign aid projects, and the management for the whole implementation process of these projects. Additionally, three other institutions are established under the MOFCOM: the International Economic Cooperation Bureau is responsible for set of equipment and technology assistance; the China International Centre for Economic & Technical Exchanges is responsible for material aid, and the Academy for International Business Officials is responsible for human resources trainings. The other important ministries working on foreign aid are the Ministry of Finance and the Ministry of Foreign Affairs. An inter-ministry mechanism is established for the coordination among these ministries on the issue of foreign aid. Chinese enterprises take the implementing roles to help realize these two initiatives. For one thing, Chinese enterprises help achieve the goals of the BRI by sharing and investing their material and technical capacities overseas. Large stateowned enterprises mostly take over the mega infrastructure and energy projects such as railway, road way, port city, power plant and pipeline constructions in Pakistan along the China–Pakistan Economic Corridor (CPEC). Small- and mediumsized companies would follow to bring along trade and other economic activities to the corridor. Similar to their contribution to the Belt and Road Initiative, the enterprises are also becoming increasingly involved in foreign aid to other developing nations in South-South Cooperation by contracting infrastructure and engineering projects, and providing equipment sets, material and direct economic donations. Appendix IV: NGO "Going Out" Policies and Laws 1. Ministry of Commerce. "Measures for the Administration of Qualifications of the Enterprises Undertaking Foreign Aid Projects (For Trial Implementation)". October 29, 2015. 2. Order of the President of the PRC, No. 43. "Charity Law of the People's Republic of China". March 19, 2016. 3. People's Republic of China Premiere's Order NO. 19. "Law on Donations for Public Welfare". June 28. 1999. 4. "People's Republic of China's Law on the Management of Activities of Overseas Non-Governmental Organizations within Mainland China". 2016-4-28. 5. General Office of the CPC Central Committee and the General Office of the State Council. "Recommendations on Revising Social Organization Management Regulations and Promoting Social Organization Healthy an Orderly Growth". 2016-8-21. 6. Ministry of Commerce. "Measures for South-South Cooperation Foreign Aid Fund Project Application and Implementation Management (For Trial Implementation)". 2016-09-09. Appendix V: NGO "Going Out" Suggested Readings 1. Social Resources Institute. Exploring in the 'mist': Study on Present Situation of the NGO Promoting Agricultural Investment Responsible of Chinese Corporations Overseas. April, 2015. 2. China Foundation for Poverty Alleviation. Guidelines for Chinese NGO "Going Out". 2015. 3. China Development Brief. Going Out: A CDB Special Issue on China's Own Overseas NGOs. 2015.
Chapter 4 BALANCING WORK AND FAMILY LIFE: HELPING PARENTS INTO PAID EMPLOYMENT Summary This chapter looks at the work/family balance from a labour market viewpoint, complementing other OECD work on "family-friendly" social policies and early childhood education and care. The main policy concern addressed is that of encouraging a higher participation by mothers in paid employment. This is important to maintain their labour market skills, to ensure adequate resources for families and women living by themselves, and to make further progress towards gender equity. In addition, the skills of mothers will be increasingly needed in the labour market as the population of working age in most OECD countries begins to shrink. The chapter notes the probable relevance of the work/family relationship to fertility – the low fertility rates seen in most OECD countries will exacerbate shortfalls in labour supply if they continue. The first part of the analysis documents changes in parental employment patterns. It shows that employment rates of mothers have increased rapidly over recent years, closing the gap with those of fathers. However, the increase has been concentrated on better-educated women, while rates of less-well-educated women have stagnated. A section on preferences for part-time employment shows its considerable attraction for mothers in many countries, despite the comparatively low levels of earnings and training it generally brings. Measured in terms of the earnings of men and women, the incentive for women to engage in paid employment has increased somewhat in recent years. However, a considerable gender wage gap remains. Many writers have linked this to the continuing imbalance in unpaid work and child-care carried out inside households, which the chapter documents using newly-available data from time-use surveys. The policy analysis in the second part of the chapter concentrates on two main areas: tax-benefit policies; and what are commonly known as work/family reconciliation policies – policies for child-care and for maternity and child-care leave. In addition, there is a section on voluntary family-friendly arrangements in firms, a topic which has been relatively underdeveloped at the international level. The general approach is to develop summary indicators for each policy area. These are brought together at the end of the chapter and compared with the employment rates observed in different OECD countries. The international perspective leads to a number of findings of policy relevance. In countries with relatively welldeveloped systems of work/family reconciliation policies, women tend to have higher employment rates in their thirties (when their employment is most likely to be affected by child-rearing and child-care). This applies both to maternity leave and to formal child-care policies for very young children. Introduction This chapter examines the work/family balance from a deliberately restricted viewpoint – that of its impact on the numbers of parents, particularly mothers, in paid employment. This is not, of course, the only point of view that can be taken. Other relevant work is undertaken in the OECD work programmes on "Family-Friendly Social Policies" and "Early Childhood Education and Care" (see www.oecd.org/els/social/ffsp and www.oecd.org/els/education/ecec). Increasing the employment rates of mothers is important for many reasons. The skills of women are increasingly needed in paid employment to face the challenge posed by the likely long-term shrinkage in the population of working age. Higher employment rates of mothers will help to ensure adequate resources for families, including lone-parent families, most of which are headed by women. Unless mothers maintain contact with the labour market their skills will tend to atrophy. In addition, an increase in the proportion of women in employment is necessary to respond to the increasing demand for the independence and fulfilment that paid employment can bring to women, and to make further progress towards gender equity. Getting the work/family balance right is, in turn, a vital for increasing the employment rates of mothers. Mothers cannot be expected to enter paid employment in sufficiently large numbers unless there are appropriate financial incentives to encourage them to do so, and unless parents can ensure adequate care for their children. Many parents wish to look after their children for some time themselves after child-birth. This needs to be accommodated in ways which strengthen family life and the sharing of household tasks and child-care activities between family members, and yet encourage and equip parents to move back into productive and fulfilling careers in paid employment when they are ready to do so. The challenge is to achieve more flexibility in career patterns in ways which both build human capital and encourage longer and deeper involvement by women in paid employment. The work/family balance is also important for longer-term trends in population and labour supply. The likely shrinking of the population of working age in most OECD countries will become all the stronger and more difficult to arrest, if birth rates continue at their currently low levels. Fertility rates, measured according to conventional indicators of current trends, are below replacement level in all OECD countries. In some they are barely half that level. With the exception of only a very small number of countries, the trend has been for successive cohorts of women entering the labour force to have higher employment rates, but fewer children. While the reasons for this are still not clearly understood, it is plausible that improvements in the work/family balance could help to increase both current employment rates and fertility rates. A large number of government policies affect the work/family balance. However, this chapter will concentrate on examining two key areas: i) the impact of taxbenefit policies at average levels of earnings; and ii) what are commonly known as work/family reconciliation policies – policies for child-care and leave for parents to look after their own children. They will be examined primarily from the point of view of their impact on the labour supply of parents. The contribution of firms to the work-family balance is often forgotten, and yet is vital. It is at the level of the firm that the details of the reconciliation are worked out. In the worst cases, firms may discriminate against family members, or even deny them their rights under legislation. Long hours of work, which have become part of the culture of many companies, deny parents, particularly fathers, the opportunity of sharing in the upbringing of their children and work against gender equity. On the other hand, many firms have introduced so-called "family-friendly arrangements", going beyond existing legislation, which are designed to help employees with family responsibilities balance the different parts of their lives. The chapter looks at what is known about the incidence of these practices, and the extent to which firms' voluntary arrangements might complement those in national legislation. A full evaluation even of this restricted range of policies, and of their interactions both with each other and with other policies, is not possible in the current state of knowledge and data. The main approach followed is to develop a set of summary indicators for the various policies mentioned above, and compare them with the actual levels of parental employment. In line with this, the information is presented according to country groupings. These follow the main geographical regions of the OECD: North America; Asia; Europe; and Oceania (Australia and New Zealand). Within OECD Europe, there are a number of sub-groups, drawing on the work of Fouquet et al. (1999), whose classification is based on the form of the social protection regime; the importance given to the family as a social institution; and the work patterns of women. Their groups comprise the "Nordic" countries of Denmark, Finland, Iceland, Norway and Sweden; the "Southern Europe" group of Greece, Italy, Portugal and Spain; the "Central" group of Austria, Germany and the Netherlands; and Ireland and the United Kingdom. In addition, the tables group together the Czech Republic, Hungary, Poland and the Slovak Republic; and the remaining three European Union countries: Belgium, France and Luxembourg. The first section of the chapter documents the current state of parental employment in different OECD countries, noting the preferences expressed by families for different employment patterns and the changing balance of unpaid work within families. The next two sections discuss the impact of tax-benefit policies, and work/family reconciliation policies, respectively. This is followed by a discussion of the contribution of firms to the work/family balance. The comparison of policy indicators and national outcomes in Section V is followed by the Conclusions. Box 4.1 documents the relationship between employment rates and fertility rates outlined above. Main findings The main empirical findings are as follows: G Employment rates of women, and of mothers with young children, have increased in almost all countries over the past ten years. They remain highest in Box 4.1. Trends in fertility and trends in employment The trend towards higher female employment rates has occurred at a time when fertility rates have been falling in most OECD countries. According to Lesthaeghe and Willems (1999), many economic theories of fertility link the two trends together. One school notes that increases in the employment rates and relative earnings of women have increased the opportunity costs of child-bearing. Another argues that high and rising consumption aspirations encourage both members of couple families to remain in full-time paid employment. The two theories are not inconsistent and both can be used to explain the delay in first births and lower fertility. In addition, owing to the lower stability of unions, potential mothers are facing an increased risk of becoming single parents, with the economic and social disadvantages this often brings. However, Murphy (1993) has argued that the causality may lie partly in the other direction – efficient modern contraceptive technology allows most women to avoid unwanted or unexpected pregnancies and engage more fully in the labour market. Other schools connect both changes in fertility and changes in employment to an increased emphasis on individual autonomy. Finally, some writers have pointed to the importance of cultural differences between countries, as reflected in their family employment patterns. Fertility levels in OECD countries have remained high mainly in countries where a major proportion of births occur outside marriage. These also tend to be countries where the employment levels of women are relatively high [Coleman (1999); Chesnais (1996); McDonald (2000); Esping-Andersen (1997); OECD (1999a)]. Chart 4.1. Trends in employment and trends in fertility, selected OECD countries Chart 4.1. Trends in employment and trends in fertility, selected OECD countries Chart 4.1. Trends in employment and trends in fertility, selected OECD countries Completed fertility rate a) Data for Australia, Ireland, New Zealand and the United Kingdom are based upon cohorts aged 25-34 and 35-44; data for Finland concern those aged 30-34 and 35-44; data for Italy concern those aged 30-39 and data for Switzerland refer to cohorts aged 25-39. a) Data for Australia, Ireland, New Zealand and the United Kingdom are based upon cohorts aged 25-34 and 35-44; data for Finland concern those aged 30-34 and 35-44; data for Italy concern those aged 30-39 and data for Switzerland refer to cohorts aged 25-39. a) Data for Australia, Ireland, New Zealand and the United Kingdom are based upon cohorts aged 25-34 and 35-44; data for Finland concern those aged 30-34 and 35-44; data for Italy concern those aged 30-39 and data for Switzerland refer to cohorts aged 25-39. b) The data shown cover the 1945 to 1963 cohorts, except for Austria, 1959-1963; Belgium, 1948-1962; Denmark, 1948-1963; Greece, 1950-1963; Ireland, 1949-1962; Italy, 1945-1961; Japan, 1945-1962; Luxembourg, 1948-1963; New Zealand, 1951-1962; Sweden 1952-1963; Switzerland, 1956-1963 and the United Kingdom, 1951-1963. b) The data shown cover the 1945 to 1963 cohorts, except for Austria, 1959-1963; Belgium, 1948-1962; Denmark, 1948-1963; Greece, 1950-1963; Ireland, 1949-1962; Italy, 1945-1961; Japan, 1945-1962; Luxembourg, 1948-1963; New Zealand, 1951-1962; Sweden 1952-1963; Switzerland, 1956-1963 and the United Kingdom, 1951-1963. b) The data shown cover the 1945 to 1963 cohorts, except for Austria, 1959-1963; Belgium, 1948-1962; Denmark, 1948-1963; Greece, 1950-1963; Ireland, 1949-1962; Italy, 1945-1961; Japan, 1945-1962; Luxembourg, 1948-1963; New Zealand, 1951-1962; Sweden 1952-1963; Switzerland, 1956-1963 and the United Kingdom, 1951-1963. Sources: European Demographic Observatory; Statistics Canada for the CFR data; and OECD employment database. Box 4.1. Trends in fertility and trends in employment (cont.) Trends in fertility can be measured by the completed fertility rate (CFR), the average number of births born to a "cohort" of women, who were themselves born in the same year. Indicators of the level of fertility at a moment in time, such as the total fertility rate (the sum of the age-specific fertility rates for a single year) are strongly affected by the timing of births. This makes them an unreliable indication of trends in fertility. The CFR can be calculated precisely only for women who have reached the end of their child-bearing years. Strictly speaking this implies that precise estimates are only available for women born at least 50 years ago. However, a relatively small proportion of births occur after age 35, and very few after age 40, so that reasonably precise estimates of the CFR can currently be made for cohorts of women born up to 1960-1963. Chart 4.1 compares the pattern of change in the CFR with the employment rate of women. Each arrow shows the change from the 1945 cohort to the 1963 cohort, unless otherwise stated. The horizontal axis shows estimates of the CFR supplied by the European Demographic Observatory and Statistics Canada. The vertical axis shows an estimate of the employment rate of the cohort in their thirties, when the impact of child-bearing on female employment tends to be at its peak [OECD (1988)]. The general pattern is a movement upwards and to the left – falling fertility and rising employment rates. This is particularly marked for the Southern European countries and Ireland. Sweden and Finland show relative stability – a small fall in the CFR, and a slight decline in the employment rate. Examination of data for the full set of cohorts between 1945 and 1962 shows that Luxembourg and the United States are the only countries where recent cohorts have achieved both an increase in completed fertility rates and an increase in employment rates compared with earlier cohorts. Comparing changes in the CFR and the employment rate between the 1950 and 1962 cohorts (the longest period for which consistent data are available for 15 countries) reveals that countries with larger increases in the employment rate tend to have larger falls in fertility (the correlation is -0.6). Among the main outliers are Japan, with a strong decline in fertility and little increase in the employment rate (Italy presents a similar pattern over a shorter time period) and the Netherlands, where the strong increase in the employment rate has been accompanied by a relatively small fall in completed fertility. According to Lesthaeghe (2000), recent developments in the number and timing of births suggest that completed fertility has been continuing to decline at a moderate pace throughout Europe and Oceania, with the exception of a slight and "probably temporary" recovery in Denmark, and sharp falls in Sweden, Ireland, the Czech Republic, Hungary, Poland and the Slovak Republic. the Nordic countries; they are comparatively low in some of the Southern European countries, Korea, Mexico and Turkey. G With the exception of the United States and Luxembourg, rises in female employment rates have occurred at the same time as declines in the completed fertility rate. There has been a tendency for countries with larger increases in female employment rates to show larger declines in the completed fertility rate. G In the European Union, around half of mothers with a child aged under 6 in employment work part-time. Most, but not all, of those not working would like to move into employment during the next few years, but many would choose to work part-time (of relatively long hours). Families with children under 6 considering themselves "well-off" work longer total hours than those who are "just managing", but both types would prefer to reduce their paid hours, to a similar level. G The proportion of smaller households – single people under 60, childless couples, and lone-parent families – has tended to increase in most OECD countries over the past fifteen years. The proportion of households with two or more children has fallen. In some countries this reflects a substantial increase in the proportion of women choosing to remain childless. G Employment rates of mothers with a child under 6, while still well below those of fathers, are rising rapidly – the gap is closing at the rate of one percentage point per year, on average. Employment rates of well-educated mothers are far higher than those of less-well educated mothers in almost all countries, and the gap is tending to rise everywhere. G Child-care and other unpaid household work are still unequally shared among partners, even when mothers are employed on a full-time basis in the labour market. There is some evidence of increasing involvement of fathers in child-care and other household tasks. However, this may be offset, in some countries, by the increase in the proportion of lone-parent families, mainly headed by women. G Most OECD countries have moved towards systems of separate taxation of earnings of couples, partly in order to reduce disincentives to work for partners in couple families. However, part of this change has been offset by tax reliefs and benefits granted on a family basis. G Increases in formal care arrangements in almost all countries have led to a little over a quarter of children under three being in formal child-care, on average for OECD countries, though there is considerable variation between them. The coverage for children between three years old and the mandatory school age averages three-quarters, with much less variation between countries. G Increases in entitlement to maternity and child-care leave have occurred in almost all countries, with the maximum leave now available exceeding one year in at least eighteen countries. There are, however, large variations between countries, as regards the duration of benefits, and the degree of remuneration of maternity leave. Paternity leave and child-care leave reserved for fathers have been introduced in a number of countries in the past decade. However, with some notable exceptions, such as public sector arrangements offering full earnings replacement, fathers' take-up rates remain low. G Many firms have introduced "family-friendly" arrangements to supplement legal provisions, though few have introduced a very large range of such arrangements. Employers in countries with the highest legal provision are least likely to provide such arrangements. However, the reverse is not true – voluntary arrangements by employers do not compensate for low levels of legal provision. In all countries, the likelihood of a family-friendly work environment increases with the size of the firm and the skills level of the employee, and is greater in the public sector. G There is a positive relationship across countries between indicators of policies designed to improve the work/family reconciliation, on the one hand, and women's employment rates, on the other. I. Parental employment patterns A. Trends in paid employment Changes in parental and, particularly, mothers' employment patterns over the past decade have occurred against the background of considerable changes in family structure (Table 4.A.1). 1 The numbers of couple families with three or more children, and often two or more children, have decreased. In some countries, there has been a rapid increase in the numbers of couple families with no children, reflecting an increase in the proportion of women who choose to remain childless [Coleman (1999)]. In three of the Southern European countries (Portugal is the exception), the data reflect the growing numbers of women who have only one child. Virtually all countries have seen a growth in lone-parent families, though the rise in the Southern European countries has been small. In addition, there has been a large increase in the proportion of people under 60 living on their own. Table 4.1 shows the employment rates of parents, in particular mothers, in couple families and lone-parent families. 2 It is restricted to families with children under 6, for a number of reasons. While not all mothers with a child under 6 will wish, or indeed be able to take up paid employment, it is important that there is a sufficiently high employment rate for this group, because of the danger of loss of contact with the labour market, and decline in human capital. While not shown in the table, for several countries, the employment rates of mothers with a child under 6 are close to, or even higher than those with a child over 6. This is because women with children under 6 tend to be younger, and younger cohorts tend to have higher employment rates. While the employment rate of mothers is much lower than that of fathers (54%, on average for the countries shown, as compared with well over 90% for fathers), the gap has been closing quite rapidly, at around one percentage point per year over the past decade. The increase is accounted for by gains in the high and medium educational groups. While the employment rate of mothers in the highest education group has now reached 70%, that in the lowest group has tended to stagnate at under 40%. 3 The employment rate of lone-parents (the vast majority of whom are women) is slightly higher, on average, than mothers in couple families. However, it shows considerably more variation, with particularly low figures in Ireland, Portugal, the Netherlands and the United Kingdom. Table 4.2 shows trends in two family types: couple families with at least one child under 6 years old, and lone parents with a child under 6. The proportion of couple families of the "single breadwinner" type can be seen to have fallen considerably between 1989 and 1999 (roughly the same change can be seen for couple families with children aged 6 or over). The main reason for this decline stems from increases in the proportion of families with two full-time earners, though many countries have also seen considerable increases in the proportion of families with a full-time earner and a part-time worker. In line with the results reported in Table 4.1, there has been comparatively little change for families where neither partner has more than a comparatively low level of education. However, even for this group, the single breadwinner family represented less than half of all couple families with a child under 6 in 1999. Changes for lone-parents have been relatively small, though over half of lone parents with a child under 6 were in paid employment (often full-time) in 1999. Table 4.1. Employment rates in families a with child(ren) aged under 6, 1989 and 1999 Percentages Employment rates in couple families \| Mothers by education levelb \| Mothers \| \|---\|---\| \| High Medium Low \| \| \| 80.7 72.9 48.4 77.3 65.5 46.7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82.6 69.8 45.7 80.8 63.1 43.3 . . . . . . . . . . . . 69.4 41.0 33.4 59.1 34.2 32.0 69.4 52.8 26.1 . . . . . . 92.5 85.8 63.7 90.3 74.8 56.3 59.6 40.7 26.8 53.4 33.7 23.3 . . . . . . . . . . . . 62.3 47.5 23.8 46.1 29.4 13.1 70.3 60.3 32.2 58.9 46.0 39.2 72.6 65.7 54.5 62.4 50.1 28.7 56.7 48.7 37.2 71.0 62.8 40.8 . . . . . . 84.7 70.2 42.6 73.0 65.0 38.9 72.2 54.9 29.0 . . . . . . 55.3 44.5 42.1 42.6 35.1 34.5 . . . . . . . . . . . . \| 70.0 64.3 60.6 55.7 33.3 35.9 57.7 53.8 . . . . . . . . 48.4 41.4 44.9 40.7 70.2 59.1 41.5 29.5 49.5 47.5 45.5 25.8 61.3 45.3 65.7 51.4 49.4 62.3 32.5 71.8 57.8 56.8 52.2 46.1 35.9 48.0 44.1 \| . . Data not available. b) "High" means tertiary level, "Medium" is secondary level, "Low" is under secondary level. a) The information is restricted to families with no-one over 60. Children are defined as being under 20 and adults as 20 and over. Multi-family-households were excluded. c) For households with or without child(ren). e) Data by education level refer to all mothers of children under 6. d) Mothers aged 25-54, children under 7. Data refer to February of the year. f) Mothers aged 25-54. Sources: Secretariat calculations on the basis of data supplied by EUROSTAT and national authorities. g) Data refer to households with children aged under 5. Table 4.2. Trends in employment patterns in key family types, all education levels Percentages Couple families with a child under 6 \| Proportion with man full-time, woman part-time \| Proportion with man full-time, woman not working \| \|---\|---\| \| 1984 1989 1994 1999 \| 1984 1989 1994 1999 \| \| 15.6 18.3 19.2 18.6 4.5 4.9 3.2 4.2 3.7 4.7 6.3 9.5 . . 3.5 5.3 5.9 . . 3.3 4.0 6.9 3.6 5.3 9.6 11.4 22.5 30.7 33.1 38.4 . . . . 21.6 30.7 . . 19.4 21.6 26.3 15.1 . . 37.9 47.8 10.9 18.7 22.2 27.7 11.9 16.1 16.7 19.7 8.4 10.4 13.0 16.6 . . . . 4.6 5.9 \| 44.3 38.8 33.5 35.2 61.0 55.7 52.6 47.3 57.9 53.7 51.7 47.5 . . 35.1 30.1 25.9 . . 63.2 53.4 52.1 67.0 56.6 43.1 41.8 54.8 44.5 33.8 29.4 . . . . 30.7 30.1 . . 44.4 47.1 41.6 67.4 . . 41.5 31.5 43.4 37.1 31.1 19.0 44.2 35.8 36.5 35.1 64.5 63.2 54.4 51.6 . . . . 43.2 39.8 \| Lone-parent families (women) with a child under 6 \| \| Proportion with woman working part-time \| \|---\|---\| \| 1999 \| 1984 1989 1994 1999 \| \| 48.9 50.9 58.7 75.7 50.2 15.5 12.5 43.5 24.0 6.0 22.1 34.9 52.3 27.8 \| 10.3 9.5 10.3 16.8 8.0 4.9 3.8 8.4 5.3 6.4 12.2 10.8 . . 4.4 8.0 5.7 . . 4.7 8.9 11.4 4.0 4.1 6.2 18.6 12.6 16.4 16.8 21.7 . . . . 22.7 31.2 . . 20.3 20.3 23.9 9.9 . . 21.9 31.5 16.1 9.9 15.9 24.4 11.0 11.8 13.8 14.1 11.5 2.4 6.7 19.7 . . . . 9.4 5.6 \| . . Data not available. b) 1987 instead of 1984. a) 1986 instead of 1984. c) 1997 instead of 1999. e) 1985 instead of 1984. d) 1995 instead of 1994. Sources: Secretariat calculations on data from the European Labour Force Survey, and national data. A number of surveys have sought to measure the preferences of families for different employment patterns. With appropriate caution, the results can be useful for assessing the way in which families would most like to arrange their work/family balance. A recent, and particularly detailed source of this type of information is provided by the Employment Options of the Future (EOF) survey carried out in European Union Member States 4 in 1998 (see Annex 4.B for details). Table 4.3, containing Secretariat calculations based on the survey micro-data, shows current and preferred employment patterns for couple families with a child under 6. While there are considerable differences between countries, in every case, if preferences were to be realised, there would be a move away from the single earner family, towards the dual earner type. On average, the incidence of dual-full-time-earner families and fulltime-plus-part-time families would both increase by around a half. However, there are still a number of countries where Table 4.3. Actual and preferred employment patterns by full-time and part-time working a Couple families with child under 6 Percentages a) EU and Norway, 1998. Sources: Secretariat calculations on the basis of microdata from the Employment Options of the Future survey. See Annex 4.B for details. 10% or more couples said they preferred the "male breadwinner model". It is noticeable that preferences for increased part-time working tend to be relatively low in Sweden and the Southern European countries. While Sweden pioneered the movement of women into employment, often through part-time employment, there is now a substantial interest among mothers in moving from part-time employment to full-time employment, as shown by more detailed flows data, not presented in Table 4.3. In most of the Southern European countries, part-time employment is still relatively under-developed, and may not be seen as a viable option by some women. For Canada, Marshall (2001) finds that voluntary part-time workers represent 73% of part-time employment, and that part-time workers report considerably more satisfaction with the balance between work and home than do full-time workers. As well as asking about preferences at the current point in time, the EOF asked about the preferred employment patterns of couples, currently with a child under 6, in five years' time. On this basis, European Foundation (2000) finds a considerable interest in increased part-time working among mothers over the medium-term. For the European Union as a whole, if preferences were realised, the proportion of mothers working would rise to around 85% but all but 2% of the increase would be due to parttime working. 5 The main interest is in part-time working of relatively long hours – in the 20-25 hours a week range [Atkinson (2000)]. The EOF also suggests that many couples with children under 6 would prefer shorter working hours (Table 4.4). Respondents in such families were asked to state the hours that they would currently like to work themselves, and the hours that they would like their partners to work, if they had a free choice, but taking into account the need to earn a living. At the same time, they were asked to give an appreciation of the financial state of their household, by selecting one of three categories: "welloff", "just managing" and "having difficulties". 6 The number responding that they were having difficulties was only 6%, on average, for the countries shown. Hours of work for "well-off" couples tend to be longer than those of couples saying that they are "just managing". However, both would like to reduce their hours and their preferred hours tend to be similar: well-off couples would prefer to reduce their hours more than those who are just-managing. 7 In addition, couples in countries where average hours are longer tend to prefer larger reductions in hours. 8 B. Relative earnings of mothers Expected earnings are an important determinant of the decision to return to work. Women's average earnings are lower than men's in all OECD countries, sometimes by a large amount, as shown in Chart 4.2, though the difference has been tending to decline slightly in most countries. 9 The largest gap is for Japan and Korea, the smallest for France, Belgium and Denmark (on the basis of the 1995 figures). The gap between the earnings of fathers and mothers of young children tends to be wider that the overall male/female gap, for a number of reasons. First, mothers are more likely to work in part-time jobs, where wages tend to be lower. Second, fathers of young children tend to work longer hours than other men, and earn higher wages. Third, some employers may discriminate against mothers on the grounds that they expect them to have lower commitment to their jobs, as discussed further below. Indeed, in some Anglo-Saxon countries, the wages of mothers with children are found to be lower than those of other women working in similar jobs [Harkness and Waldfogel (1999); Joshi et al. (1999); Waldfogel (1993, 1998 a , 1998 b )]. However, Datta Gupta and Smith (2000) find this does not apply in Denmark (they suggest the reason is that generous maternity/parental benefits are taken by virtually all Danish mothers, resulting in potential discrimination against mothers being transferred to women in general). C. Child-care and unpaid work time of women and men A number of writers have linked the differences between mothers' and fathers' employment rates and earnings to the balance of the time spent in household and caring activities. Traditionally, the fact that mothers tend to spend more time than fathers in child-care and unpaid household work was explained in terms of their assumed comparative advantages in the two spheres [Becker (1965); Gronau (1973)]. Recent models of the allocation of resources within households draw on bargaining theories, some assuming that partners co-operate, others that they compete [see Persson and Jonung (1997); Merz and Ehling (1999)]. In these models, individual (potential) earnings can be a determinant of the intra-household allocation of time. The differences between the earnings of men and women, stemming partly from discrimination against women, may thus be seen as perpetuating unequal gender divisions of household and caring activities [Joshi (1998); Bauer (1998); Beblo (1999)]. Lower labour market wages by women lead to lower incentives for women to engage in paid employment, which in turn lead to relatively high levels of unpaid work, and lower wages [Hersh and Stratton (1994)]. In addition, Lommerud and Vagstad (2000) argue that employers' expectations that mothers will invest relatively heavily in their child-care role result in mothers, and potential mothers, having to meet tougher promotion standards than fathers, again tending to confirm the traditional pattern of specialisation. Table 4.5 presents evidence about the distribution of paid and unpaid work by men and women in couple households with children under 5, 10 drawn from time-budget surveys harmonised by a team of researchers co-ordinated by Essex University, United Kingdom [see Fisher (2000a and 2000b) for a description]. The figures for women are disaggregated according to the employment status of the woman (housewife; or in paid employment, part-time or full-time). Those for men relate to all men in couple households. Child-care is defined strictly, comprising: feeding children; dressing them; changing them; bathing them; and giving them medication; while unpaid work is defined Table 4.4. Average hours worked and preferred hours, according to perceived financial situation of household, a EU and Norway, 1998 b Total hours in couple families aged 20-50 years with a child under 6 a) The information about preferred hours is derived from questions about a "free choice" of hours by the respondent and his/her partner, "taking into account the need to earn your living". The financial perceptions are responses to the question, "Taking into account the income that the members of your household receive from different sources, would you say that your household is financially well off, that you just manage or that you have difficulties?" c) The proportion of respondents indicating "difficulties" is not shown. It was under 10% in all countries except France, Greece, Portugal and Spain. b) More precisely, the respondent to the survey was aged between 20 and 50. Source: Secretariat calculations on the basis of microdata from the Employment Options of the Future survey. See Annex 4.B for details. a) Defined as the difference between median male earnings and median female earnings, as a proportion of male median earnings, except for Portugal and Hungary where the mean is used. Earnings are defined on an hourly basis, except for some countries where the comparison is restricted to full-time workers. Source: OECD earnings database. a) Defined as the difference between median male earnings and median female earnings, as a proportion of male median earnings, except for Portugal and Hungary where the mean is used. Earnings are defined on an hourly basis, except for some countries where the comparison is restricted to full-time workers. Source: OECD earnings database. a) Defined as the difference between median male earnings and median female earnings, as a proportion of male median earnings, except for Portugal and Hungary where the mean is used. Earnings are defined on an hourly basis, except for some countries where the comparison is restricted to full-time workers. Source: OECD earnings database. relatively broadly (Annex 4.B provides further details). 11 Paid work includes working in a family enterprise (which explains why "housewives" report some paid work) and is averaged over the year, including weekends and paid leave (this explains why the figures may appear low). The figures in Table 4.5 suggest the following, for the countries shown: G On average, the total of paid and unpaid work is highest for women in full-time work, at around 10 hours per day, one hour more than the average for men as a whole. The lightest burden, in this sense, is borne by housewives. Women working part-time have an average total of around nine and a half hours. G Full-time working mothers spend just over twice as much time on average as fathers on child-care (housewives spend over three times as much). G Full-time working mothers spend about twice as much time on other unpaid work as fathers (housewives spend around two and a half times as much). The evidence from countries with surveys repeated on a reasonably consistent basis (Australia, Canada and the United Kingdom) suggests that the amount of time men spent in child-care and other unpaid household work increased relative to that of full-time employed women in Australia and Canada between the mid-eighties and the end of the nineties. In addition, the time men Table 4.5. Time spent on child care and unpaid work by women and men in couple families with a child under 5 Average time per day . . Data not available. b) The data relate to all families with children. a) For 1992-94, the data for the United States relate to all parents, including single parents. Source: Data provided by Dr. Kimberly Fisher, Essex University (see Annex 4.B for details). spent in child-care has tended to increase in all the countries. 12 However, these figures apply only to men in couple families, and exaggerate the increase in the amount of child-care carried out by men. An increasing proportion of children are in lone-parent families headed by women. They often see little of their fathers [Dex (1999)]. While international comparisons of time budget data need to be made with considerable caution, it appears that Canadian and Swedish men contribute the most to unpaid household work, though still performing less than their spouses (Table 4.5). At the other end of the scale unpaid household work is shared relatively unequally in Italy, where housewives perform the largest amount of household work and Italian fathers the least among the countries shown. 13 II. Tax-benefit policies section describes relevant trends in taxation over the past thirty years and draws on information recently published by the OECD to illustrate the combined effects of taxes and benefits on employment incentives for partners in couple families. Over the past thirty years, there has been a clear trend towards compulsory, separate taxation of couples, sometimes passing through a stage where the choice is left up to couples (Table 4.6). Countries with separate taxation as early as 1970 included Canada, Japan, Greece, Australia and New Zealand. By 1990, separate taxation had moved strongly into the Nordic countries, and into a number of other regions of Europe. By 1999, the only countries with joint taxation, or where couples with average earnings were likely to opt for joint taxation, were the United States, Portugal, Poland, Ireland, Germany, Switzerland, France, Luxembourg and (for all but very small incomes) Turkey. While earnings are an important part of the incentive for mothers to work, their influence is mediated by tax/benefit policies. As pointed out by O'Donoghue and Sutherland (1999), Callan et al. (1999) and Dingeldey (1998), the choice of tax unit may be a key factor (Box 4.2). Other things being equal, individual, as opposed to family-based taxation provides greater incentives for partners of already-employed people to work. However, various forms of tax relief and benefits for families with children may counteract this. This However, the type of taxation system is only part of the story. The effects of family-based tax reliefs and benefits can be of considerable importance for the incentives for partners to work. The second panel of Table 4.6 shows the change in net income when a couple family changes employment patterns, taking into account the combined effects of taxes and a number of benefits, including family benefits. 14 It should be noted that the figures do not include the accumulation of rights to unemployment benefits, which tend to be more valuable in countries with Box 4.2. The impact of different taxation systems on work incentives in couple families Taxation of dual-earner couple families may take various forms: separate, joint, or quotient, but the basic question is whether or not the income is calculated on the basis of the sum of the two earned incomes or on the basis of the two incomes separately. The two approaches may be summarised as follows [see the Annex to O'Donoghue and Sutherland (1999)], where YM is the earned income of the man, YF is the earned income of the woman and the function, T, embodies the tax schedule: Separate taxation: Tax = T (YM) + T (YF) Quotient taxation: Tax = Q x T [(YM + YF + other family income)/Q], where Q is the quotient. If Q = 2, the taxation system is usually referred to as "income splitting". If it is set to 1, it is referred to as "joint" or aggregate taxation. Quotient taxation, as applied for example, in France, may take into account the incomes of family members other than the couple. However, when this is not the case, such systems are equivalent to each other, in the sense that the tax schedules can be set so that the tax rates at any given levels of earned incomes are the same. Whatever form of joint taxation is used, there is, in principle, a reduced incentive for the partner with lower earnings (or lower potential earnings) to increase earnings, as his or her (usually her) earnings will face higher marginal tax rates under a progressive taxation system. On the other hand, as pointed out for example by the United Kingdom House of Lords (1985), quoted by O'Donoghue and Sutherland (1999), it is only by using a system of joint taxation that it is possible to achieve equality of taxation between two couples with the same total earned income, but a different distribution of that income. Owing to this dilemma, a number of countries, at different times, have offered couples the choice between different forms of taxation (though in practice the choice is often reduced by the fact that, for a couple in given circumstances, one or other form of taxation results in a lower total tax bill). In addition, the separate taxation systems of some countries contain a number of family-based measures, which may result in greater equity between couples with different earnings patterns. Table 4.6. Developments in personal income tax systems, 1970-1999, and relative incomes of two-earner couples with different employment patterns, 1997 . . Data not available. a) According to O'Donoghue and Sutherland (1999), while the systems in Greece, Italy, Austria and the Netherlands are best classified as separate taxation systems, they have a significant number of family-based tax measures. It should also be noted that several countries with separate taxation nevertheless give a small amount of extra tax relief in respect of a wife who is non-working, or working very little. See country chapters in OECD (2000a) from which the information below has been taken. APW: Average production worker. b) 100/0 refers to a situation where one member of the couple works full-time and the other couple does not work at all; 100/40 implies that one member works full time hours and the other 40% of full-time hours, and so on. France: The system is a "quotient" system, which includes earnings from children. Norway: Germany: Although spouses have the option of being assessed separately, according to Dingeldey (1998), there is never any financial advantage in doing so. Poland: In most cases the individual, but in some cases (spouse has no earned income or low income) optional taxation as a couple is more favourable. Spain: According to Dingeldey (1998), although Spanish couples can opt for joint taxation, this is only advantageous for couples with a very low primary income and a minimal second income. "Splitting" system used, so joint taxation will normally be more advantageous. Turkey: Independent assessment unless one of them earns more than TL2.25bn, in which case it is joint. TL2.5bn is roughly US$8 600. United States: Married couples generally benefit if they opt for a joint return. United Kingdom: Married couple tax relief abolished in 2000. Sources: OECD (1993) and OECD (1999d). individualised benefit systems, such as the Nordic countries, than in those with family-based systems, such as Australia. They also do not include child-care and maternity/child-care leave benefits, discussed in the next section. The base case is that of a couple family with one earner, working full-time at OECD average production worker (APW) earnings [see OECD (2000a) for details]. The second column of figures shows the relative net income when the first person continues to work full-time, but the second works part-time, earning 40% of the wage of an APW. The third shows the relative net income when both partners are working full-time at the APW level. If there were no tax/benefit system, or if the system resulted in the same average effective tax rate (including the effects of benefits) on the earnings of the second member of the couple as on those of the first, the figures in the second two columns would be 140 and 200, respectively. The incentive for the household to increase total hours of work through part-time working by the second member of the couple can thus be said to be high, in this restricted sense, when the number for part-time working in the second column of Table 4.6 is around 140. The same applies to full-time working when the number in the third column is near to 200. There are several countries where the number in the second column is close to or above 140: Canada, the United States, Japan, the United Kingdom and Australia. The figures for most European countries are lower. For full-time working, few countries are close to the 200 mark and many European countries are well below. The figures also demonstrate that the type of taxation system is not necessarily determinant of the level of incentives in the sense used here – the average figures for countries where there is separate taxation are similar to those where it is joint. III. Work/family reconciliation policies National work/family reconciliation policies are taken to include policies for child-care and for various types of child-care leave, including maternity, paternity and parental leave benefits. This section provides summary indicators for their incidence in different countries, referring to detailed information in Adema (forthcoming). They are examined mainly from the point of view of their effects on the labour market attachment of parents and on gender equity. A. Child-care arrangements Table 4.7 provides information on the extent of child-care arrangements for two groups of young children: those under 3 years old, and those 3 years old and over but under the age of 6 (or the age when compulsory schooling begins). It is concerned primarily with formal child-care arrangements, including: G Group-care in child-care centres (nurseries, kindergarten, play-schools), sometimes organised within the educational system. G Residential care, including specialist services such as care for disabled children. G Childminders, based in their own home, looking after one or more children. G Care provided by a carer who is not a family-member but frequently lives in with the family. Information on the extent to which the child-care is publicly funded is to be found in Adema (forthcoming). Countries which have a high level of public funding generally spend the bulk of it on the first two types of child-care. However, most governments provide special arrangements for children considered to be at risk of abuse or neglect, and for children in lone-parent families, low-income families and families with special workcommitments. Many governments intervene in arrangements for child-care in other ways. For example, Austria and France require home-based childminders to be registered. In France, the Allocation de garde d'enfant à domicile (AGED) provides support to parents who arrange child-care at home, by covering most of the employers' charges that would otherwise be paid and allowing tax deduction of part of the costs. Of the countries for which data are available, the highest proportions of children under 3 in formal child-care (40% or more) are found in Canada, in three of the Nordic countries (Denmark, Sweden and Norway), in the Slovak Republic, in the United States and in New Zealand. Very much lower proportions are found in the Southern and Central European countries. For the older group, the coverage is much higher, reaching 90% or more in several countries. It is also more uniform across countries. While facilities for pre-school children over three years old tend to be financed mainly out of public expenditure, there is more diversity in the financing of formal child-care for the under-threes [Adema (forthcoming)]. Child-care centres for this age group are mainly publicly financed (though not necessarily publicly operated) in all of the Nordic countries, as well as a number of other European countries. The non-European countries, as well as Ireland, the United Kingdom, the Netherlands and Switzerland, rely mainly on commercial private sector provision of formal child-care services for children under 3. Child-care may also be provided or supported by private sector enterprises (see Section IV). Part of the Table 4.7. Summary indicators of formal child-care coverage and maternity leave . . Data not available. b) Where benefits are paid on a flat-rate basis, they have been converted to a percentage by using data on the average female wage in manufacturing. See Gauthier and Bortnik (2001). a) The data include both public and private provision, and cover the four types of formal child-care arrangements defined in the text. They do not cover primary schools, which are particularly important sources of child care for children 4 years of age and over in Ireland, and for 5 year-olds in Australia, the Netherlands, New Zealand, and the United Kingdom. Under "aged under 3", for Canada, the under 5 years are covered; for the Slovak Republic, the age range is 0-2; for the United Kingdom, 0-4. c) Korea is in the process of revising the law to extend maternity leave from 8.5 to 13 weeks. e) Proportion of children aged under 5 in paid child-care. d) Provisional data. f) England only. Sources for formal child-care data: Data were provided by national authorities except for Canada: Jenson and Thompson (1999); Belgium, Finland, Spain, Sweden: Kamerman (2000a); France: Drees (2000); Germany, the Netherlands, Sweden and the United Kingdom: Rostgaard and Fridberg (1998). Sources for maternity/child-care leave data: Gauthier and Bortnik (2001), except for Mexico, Hungary, the Czech Republic, Poland and Turkey: Kamerman (2000b), and national sources for Korea. reason for the lower provision of formal child-care for the under-threes is the greater costs involved in caring for very young children. In countries relying mainly on public expenditure, a higher proportion of children under 3 tends to be covered by formal child-care arrangements. However, the difference is not necessarily very large. Calculations based on the information in Adema (forthcoming) suggest that the average proportion of children covered in countries relying mainly on public expenditure is only slightly higher than in those countries relying mainly on private expenditure (some countries with mainly private funding have a high rate of coverage, such as Canada and the United States). The main issues in assessing the relative merits of public and private provision of child-care from the point of view of the household are therefore not merely availability, but also cost and quality. In countries relying on private provision, private costs can be high. For example, in the United States, where parental fees constitute 76% of child-care financing [Kamerman (2000a)], low-income families devote about 25% of their family income to child-care [United States Congress (1998)]. Standards of private care may require special attention, for example in the case of private networks of childminders based in their own homes. 15 Finally, a number of countries, including Denmark, Finland, France and Norway, have schemes to provide subsidies to parents looking after their own children at home. The benefit rates may decline with the hours of public child-care use (as in Norway), or be conditional on parents not using public child-care facilities at all (Denmark, Finland). These schemes are closely linked, conceptually, with the paid parental leave schemes that have been developed in many countries. However, they do not necessarily carry any rights to return to a job. Their employment effects are discussed below. B. Maternity, paternity, parental and child-care leave While maternity leave, with employment protection, has been widespread in OECD countries for many years, paternity leave and parental leave are more recent developments. Parental leave has often been defined [as in OECD (1995)] as being leave in addition to maternity/ paternity leave to allow parents to take care of an infant or young child. This is the sense in which it is used in some national programmes for "parental leave", such as that in the United Kingdom. However, in some countries, childcare leave systems are now a mixture of individual and family entitlements, and paternity and parental leave are incorporated into "child-care leave" arrangements for the family as a whole. This ambiguity should be borne in mind in interpreting the information provided below. In what follows, the term "maternity/child-care leave" is used to encompass all of the various types of leave just mentioned. It should also be noted that entitlement to maternity and childcare leave is often conditional on previous work experience on a continuous and full-time basis as an employee over a certain period (usually for a year). Exceptions include the Scandinavian countries (where most women are covered), the Netherlands (where some temporary and part-time workers are covered) and Germany (where mothers in education and unemployment are covered). In the Southern European countries, entitlement often depends on having a contract for permanent employment. The most extensive statutory programmes are seen in the Nordic countries (for information on extra-statutory arrangements provided by firms, see Section IV). In almost all countries (the United States, Australia, and New Zealand are exceptions) part or all of the various kinds of maternity/child-care leave is remunerated, often at 100% (Table 4.7). 16 Paid maternity leave equivalent to 13 weeks of pay or more had been instituted before the end of the 1970s in Finland, Norway, Sweden, Italy, Austria, Germany and France [Gauthier and Bortnik (2001)]. By the end of the 1990s, this level was exceeded in 16 countries. 17 In addition, the total duration of maternity/child-care leave (paid or unpaid) is now a year or more in at least 20 OECD countries. Other recent changes include the extension of some forms of leave to part-time employees (for example, in Ireland). In addition, greater flexibility is being introduced into parental leave arrangements. Following the precedent set some time ago by Sweden, a number of other countries now provide for some flexibility in working hours of parents, including Austria, Denmark, Finland, and the Netherlands. As noted in OECD (1999b, Chapter 1), transitions from part-time to full-time work have been relatively common in Sweden, partly as a result. Germany facilitates the re-entry of mothers to work by means of employer subsidies for retraining programmes, child-care provision and wages. Specific paternity leave entitlements are still relatively uncommon, and often of short duration. They vary from three days or less in Greece, Portugal, Spain, the Netherlands, Belgium and France to ten days in Sweden, fourteen days in Denmark, Iceland and Norway and eighteen days in Finland. They are usually paid at the full rate (although at a flat rate in the private sector in Denmark and 80% of usual earnings in Sweden). However, in addition, fathers are increasingly eligible for paid leave under maternity/child-care leave provisions, sometimes with a "father quota" available on a "use-it-or-lose-it" basis [Adema (forthcoming)]. Until recently, fathers took up little of the paternity/ child-care leave available to them. For example, in 1995 only 5% of fathers in the European Union took paternity leave [European Commission (1998a)]. When child-care leave can be taken by either parent, fathers have tended to take comparatively little of it [Bruning and Plantenga (1999)]. However, particularly in the Nordic countries, the situation has been changing somewhat. Paternity leave take-up rates have reached 58% in Denmark (100% in the public sector where the scheme is fully paid), 64% in Sweden and 80% in Norway [European Commission (1998b); Ellingsaeter (1998)]. In addition, in some of the Nordic countries, substantial proportions of fathers are now taking up at least part of the child-care leave that is now reserved for them. Recent take-up rates of child-care leave by fathers include 10% for Denmark, almost 80% for Norway [OECD (1999c)] and 36% for Sweden [Sundstrom and Duvander (2000)]. 18 However, the amount of leave taken is generally unknown – as is the proportion of time the fathers on leave spend looking after their children. Parental leave arrangements with specific "father quotas" also exist in Austria 19 and Denmark. In the Netherlands, fathers of young children are entitled to reduced hours and, according to a 1994 survey, 13% of fathers switched temporarily to a 4-day week when their children were small [European Commission (1998a)]. According to various studies employers' attitudes are often quoted by fathers as an important reason for their low take-up rates [European Commission (1998a); Sundstrom and Duvander (2000)]: employers may regard fathers taking parental leave as relatively uncommitted to their jobs [Albrecht et al. (1999)]. However, mothers' attitudes may also be important. A number of authors have concluded that the father's decision whether or not to become heavily engaged in child-care depends, first, on whether or not the mother wishes it [Bjoonsberg (1998); Giovannini (1998); Sundstrom and Duvander (2000)]. In Sweden, more educated and younger men with welleducated wives and one or two children are most likely to take childcare leave [Sundstrom and Duvander (2000)]. In the Netherlands, fathers taking up part-time parental leave are generally well-educated and often work in the public sector. C. The choice between child-care, child-care leave and parental care for children Greater access to formal child-care facilities, whether provided directly or subsidised by public authorities, can be expected to raise participation rates of mothers. Indeed, some studies find significant positive effects. Gustafsson and Stafford (1992) find that subsidising child-care has a positive impact on female labour supply in Sweden. Powell (1998) concludes that the cost of child-care has a negative impact on the probability of Canadian mothers' working full-time. Kimmel (1998), for the United States, finds that the cost of child-care has a considerable negative impact on the employment behaviour of mothers. However, others find inconclusive results. These include Michalopoulos et al. (1992), for the United States, who find that the primary benefit of more generous subsidies is to allow users of high quality care to purchase slightly higher quality market care; and Dobbelsteen et al. (2000), for the Netherlands, who find that the cost of child-care has no effect on the labour force participation of the mother and surmise that subsidies for child-care may mainly serve to change the type of child-care used from informal to formal. Maternity leave policies with employment protection can also be expected to raise mother's employment rates. Indeed, the main reason given by employers who offer extended periods of maternity leave is precisely to increase retention rates of mothers (see Section IV). Concern has been expressed that long periods of maternity leave (or child-care leave, which is generally taken by the mother) may lead to detachment from the labour market, and lower employment rates and earnings for mothers in the longer term [OECD (1995); Blau and Ehrenberg (1997); Moss and Deven (1999)]. However, few studies have attempted to determine at what point maternity and child-care leave policies might have this effect. In the Nordic countries long parental leave entitlements, paid at almost a full rate, do not seem to have had a negative impact on women's labour market opportunities compared with other OECD countries, where leaves are shorter in duration and sometimes unpaid. Ruhm (1998), comparing data from 16 OECD countries, concludes that short spells of maternity leave are associated with higher female employment rates but finds no consistent results regarding longer periods of leave. 20 The special features of the programmes, and the way they are funded, by the state or by private employers, may matter more than their duration. The take-up of the schemes is likely to vary, and may be quite low among highly-skilled women (as suggested by the evidence on employer-provided career break schemes noted in Section IV). Finally, schemes to pay parents to look after their own children at home, without any guarantee of employment or re-employment, may encourage labour market detachment if they continue over a long period of time. For example, Ilmakunnas (1997), for Finland, reports a high rate of take-up of the "home-care allowance" available to parents who do not use public child-care services, and finds that most of these parents choose to look after their children themselves, leading to a substantial reduction in female employment rates. Afsa (1999) and Fagnani (1998) report similar results for France. 21 IV. Firms' contribution to the reconciliation between work and family life Firms play a crucial role in the work/family reconciliation. Whatever government policies are put in place, the detailed aspects of the reconciliation are worked out at the level of the workplace. National policies will be much less effective if firms implement them unwillingly – perhaps denying some or all of their employees their full legal rights. Here, relatively low-skilled, or easilyreplaced employees might be most vulnerable [Kiser (1996)]. On the other hand, in some countries, either for business reasons, or because of their values, many firms not only comply fully with national legislation, but complement it through "family-friendly" arrangements. The main questions addressed in this section are: G What types of firm are most likely to offer voluntary family-friendly arrangements and what types of employees are most likely to be offered them and to make use of them? G How does the pattern of family-friendly arrangements in firms link with public provision to support the work/family reconciliation? A. Defining family-friendly arrangements by firms Family-friendly arrangements in firms are taken to be practices, facilitating the reconciliation of work and family life, which firms introduce to complement statutory requirements, e.g. by allowing extra leave for family reasons. Only employees can decide whether or not any particular arrangement is actually family-friendly. Employers may tend to make a rather generous estimate of the range of family-friendly arrangements they have put in place, in order to be seen in a better light. In addition, firms with family-friendly arrangements may be simultaneously "family-unfriendly", in the sense of imposing working arrangements which make it difficult to reconcile work and family life. Family-friendly arrangements can be divided into four main types: leave from work for family reasons; changes to work arrangements for family reasons; practical help with child-care and eldercare; and the provision of training and information [see Evans (2001, Table 1) for a detailed list]. Leave from work for family reasons includes provisions for extra-statutory maternity, paternity and parental leave, career breaks, leave to care for elderly relatives, and emergency leave to deal with a sick child or problems with child-care. Changes in work arrangements for family reasons include reductions in working hours (for example from full-time to part-time working), term-time only working contracts, work at home for family reasons, and appropriate flexi-time arrangements. All these types of arrangements can be of considerable assistance in easing the work/family reconciliation, especially where national legislation is comparatively restricted and public child-care is not well developed. Extra-statutory family leave is often vital when children are ill and not able to benefit from the usual child-care arrangements, or when child-care arrangements break down. Flexibility in working hours is of vital importance to deal with the emergencies of everyday family life. Finally, modern communications technology, including the mobile telephone and the Internet, allows easier and faster communications between off-site employees and their enterprises. This may allow more work to be shifted back to the home, potentially aiding the work/family reconciliation, though there are dangers that it may also lead to work invading family life [Check (1996); Wallis (1996)]. B. Family-friendly arrangements in firms in Australia, Japan, the United Kingdom and the United States The most extensive information on family-friendly arrangements in firms is currently available for Australia, Japan, the United Kingdom and the United States. 22 By comparison with most European countries, these four countries have traditionally had relatively low levels of public child-care provision and of statutory maternity, paternity and parental leave. A good deal of responsibility for the work/family reconciliation has thus fallen to firms, and there has been substantial interest in the way they have responded. Analysis of the national surveys, described in Annex 4.B, shows a number of common features. Employer surveys show that family-friendly arrangements are most common in the public sector. This is to be expected: the public sector both employs a relatively high proportion of women and is less subject to market pressures. Family-friendly arrangements are also more likely to be reported by large firms, especially in the case of Japan [Sato (2000); Tachibanaki (2001)]. However, when attention is focussed on changes in working arrangements, the differences may be quite small, especially since smaller firms may be more willing to allow informal arrangements [WFU/DEWRSB (1999) for Australia; Dex and Scheibl (2000) for the United Kingdom]. Family-friendly arrangements tend to be more common in firms with higher proportions of professional and technical workers. For Australia, Whitehouse and Zetlin (1999) also find that family-friendly arrangements are more common where there is a written Equal Employment Opportunities statement, and when there is a structured hierarchical management system. For Japan, Tachibanaki (2001) finds positive correlations between measures of equal opportunity policies and measures of family-friendly arrangements. In addition, firms which report moves to inculcate a more family-friendly culture are likely to have a relatively high proportion of female managers. For the United States, Osterman (1995) finds a link between family-friendly arrangements and a "high commitment" style of management, in which senior managers adopt a strategy of team working and job-rotation, and delegate relatively high levels of responsibility to lower-level staff [OECD (1999b, Chapter 4)]. Regarding the type of family-friendly arrangements on offer and the benefits they bring, employers in these four countries are more likely to mention changes in working hours, such as part-time working and flexi-time, than extra family leave benefits or help with child-care. It is very rare for employers to provide benefits from each of the four categories mentioned above. The most commonly cited reasons for introducing these arrangements (according to UK surveys) are better retention rates of valued staff with family responsibilities, and improvements in staff morale [Forth et al. (1997); Cully et al. (1999)]. DTI (2000) reports econometric evidence that mothers entitled to extra-statutory leave or pay are more likely to return to work after child-birth, even after controlling for a range of other factors. The same is true of mothers entitled to parttime working. The same study reports a range of case study evidence for the United Kingdom indicating that familyfriendly working practices can result in a net reduction in absences from work and increase employee commitment. For the United States, Dex and Scheibl (1999) review a number of econometric studies showing positive effects on productivity, turnover, quit rates, and work performance measures. However, family-friendly arrangements also have costs, notably covering for absences. While subjective evidence from employers with family-friendly arrangements suggests the net benefits are positive, there seems to be little objective evidence to support the contention that introducing family-friendly arrangements tends to improve the financial situation of firms. One reason for this may be that they are often associated with other working practices (such as "high-commitment" practices) which have stronger, beneficial effects [Osterman (1995)]. The employee-based data paint a similar picture. Flexible working hours, followed by various types of short-duration family leave schemes (such as sick-child leave) tend to be mentioned most often – work-place crèches and career breaks much more rarely. Higherskilled employees are more likely to report that they have access to a range of family-friendly working arrangements, as are employees in larger firms and in the public sector. Detailed analysis of Australian and Canadian data shows that such flexible hours arrangements are appreciated by employees. Job satisfaction is increased, and stress reduced, when employees with family responsibilities are able to work no more hours than they desire to work and have some control over their starting and stopping times [Whitehouse and Zetlin (1999); Gottlieb et al. (1998)]. However, employee data from the United Kingdom show that some forms of family-friendly arrangements are seldom used even when they are available. In particular, career breaks are a fairly common entitlement for "fast-track" women employees, but are hardly ever taken up [Forth et al. (1997)]. Hakim (2001) argues that this group of employees is unlikely to be attracted by arrangements which might slow their career progression. There is little evidence of significant growth over time in family-friendly arrangements for any of these four countries. This may be partly because of the lack of consistent data. However, what evidence is available tends to be mixed. For the United States, a comparison of the 1992 and 1997 rounds of the National Study of the Changing Workforce shows little overall change in child-care benefits [Bond et al. (1998)]. Waldfogel (forthcoming) reports a similar finding on the basis of successive US Employee Benefits Surveys. Nevertheless, Golden (2000) reports a substantial increase in "flexi-time" over the same period. For Australia, affirmative action reports cited by WFU/ DEWRSB (1999) suggest some increase in the provision of paid maternity leave and in the provision of permanent part-time work for employees with family responsibilities. In Australia and the United States, however, these changes have not stopped employees from becoming less content, overall, with the reconciliation between their work and family lives [WFU/DEWRSB (1999); Bond et al. (1998)]. For the United States, at least, it is plausible that one reason is the substantially longer working hours and increased work pressure reported by employees in general [Bond et al. (1998)]. Comparisons of the incidence of flexi-time and voluntary part-time working are shown in Table 4.8, which includes figures for the European Union, discussed below. Out of the four countries, flexi-time working appears to be relatively common in the United States and Australia. While precise comparisons are difficult, it appears that voluntary part-time working plays a stronger role in Australia, Japan and the United Kingdom than in the United States, where part-time working is itself less common (Table E, Statistical Annex). Finally, few firms appear to have workplace crèche arrangements in any of these countries. C. Family-friendly arrangements in firms in the European Union For the European Union, two surveys carried out by the European Foundation for the Improvement of Living and Working Conditions (EFILWC), the Second European Survey on Working Conditions (SESWC) and the Employment Options of the Future survey (EOF), provide information on extra-statutory family leave, provision for child-care, flexi-time working and voluntary part-time working. In addition, the European Labour Force Survey Table 4.8. Indicators of family-friendly and relevant flexible working arrangements in enterprises, 1995-1996 . . Data not available. b) Rough estimate based on partial information. a) For Europe, voluntary part-time includes only those women who did not say they worked part-time because of education, sickness/disability or because they could not find a full-time job, but did say they did not want to work full-time. The definition for the other countries is somewhat broader. c) Western Länder of Germany only for the first 5 columns. Sources: The data for Europe in the first five columns are Secretariat calculations on the basis of the Second European Survey on Working Conditions; those in the last column are Secretariat calculations on the basis of the Employment Options of the Future survey. For other countries, data on family-friendly working arrangements have been taken from the sources noted in the text; data on flexi-time working are taken from Lipsett and Reesor (1997) for Canada, Bond et al. (1998) for the United States, Tachibanaki (2001) for Japan and WFU/DEWRSB (1999) for Australia; data on voluntary part-time working are based on a number of sources, as detailed in Evans (2001, para. 55). provides information about working at home – another way in which working arrangements may be changed for family reasons. Details of the questions used and background information about the surveys are to be found in Annex 4.B. The first four columns of data in Table 4.8 show the proportion of women employees with a child under 15 in the family who reported that extra-statutory family leave, or child-care arrangements were available in the companies where they worked. 23 Owing to the strong associations between the three different leave measures, it seems legitimate to summarise the information along just two dimensions, as shown in Chart 4.3. Overall, the highest figures are seen for Austria and western Germany, followed by three of the Southern European countries. The Nordic countries, Ireland and the United Kingdom are at the bottom. The Netherlands and Portugal stand out for having particularly high levels of firm-provided day-care relative to the amount of extra-statutory leave that their firms provide. The high figures for the Netherlands reflect its system of partnership between parents, firms and the government, in which firms are encouraged to buy places in privately-run child-care centres, which they then provide to employees at reduced rates [Dobbelsteen et al. (2000)]. Table 4.8 also shows information for flexi-time working and voluntary part-time working. 24 Flexi-time shows much less national variation than for extrastatutory leave, and the highest figures are seen outside Europe, in the United States and Australia. The highest figures for voluntary part-time working, as a proportion of total female employment, are seen in Japan, the Netherlands and the United Kingdom, in each case at Chart 4.3. Extra-statutory employer-provided family-friendly practices, European Union, 1995/96 a Chart 4.3. Extra-statutory employer-provided family-friendly practices, European Union, 1995/96 a Chart 4.3. Extra-statutory employer-provided family-friendly practices, European Union, 1995/96 a Average % of women employees reporting extra family leave % of women employees reporting provision or subsidies for child day care Average % of women employees reporting extra family leave % of women employees reporting provision or subsidies for child day care Average % of women employees reporting extra family leave % of women employees reporting provision or subsidies for child day care 90 % a) Figures in the lower bars are the average, for the country concerned, of the proportions reporting extra-statutory sick child leave, maternity leave and parental leave. The terms, "western" and "eastern" Germany, refer to the western and eastern Länder. Source: Secretariat calculations using the Second European Survey on Working Conditions, referring to women employees with a child under 15 in the household. a) Figures in the lower bars are the average, for the country concerned, of the proportions reporting extra-statutory sick child leave, maternity leave and parental leave. The terms, "western" and "eastern" Germany, refer to the western and eastern Länder. Source: Secretariat calculations using the Second European Survey on Working Conditions, referring to women employees with a child under 15 in the household. a) Figures in the lower bars are the average, for the country concerned, of the proportions reporting extra-statutory sick child leave, maternity leave and parental leave. The terms, "western" and "eastern" Germany, refer to the western and eastern Länder. Source: Secretariat calculations using the Second European Survey on Working Conditions, referring to women employees with a child under 15 in the household. 30% or more. The Nordic countries and the Southern European countries have comparatively low figures. D. Firms' voluntary provision of maternity leave and national legislation The final form of family-friendly working arrangement mentioned above is working at home for family reasons. Despite the considerable discussion of its potential, there is as yet little evidence that working at home is common, or growing quickly. In 1992, according to the European Labour Force Survey, only 4.9% of employed men and women in the European Union said they carried out their employment in their homes on a regular basis. In 1997, the figure had fallen to just over 4.4%. This sub-section explores the relationship between extra-statutory maternity leave and the arrangements provided for under national legislation. 25 Chart 4.4 shows the pattern of voluntary provision of extra maternity leave by firms, derived from the SESWC, against an index of national maternity leave for the same year. There is no simple relationship. The lowest values for firm provision are seen when national provision is highest. The highest figures for firm-based maternity leave, and the highest spread of values, are seen when national provision is towards its median level. The Nordic countries are all to the right of the chart, with high national provision and low firm-based provision. The Central European countries tend to be at the top of the chart, with high values for firm-based provision, and above-average values for national provision. Ireland and the United Kingdom are to the left, with fairly low values for both measures. As neither Australia nor the vast majority of the States of the United States have statutory, paid maternity leave, they would both be at the extreme left of the chart, with a zero value for the index. However, for Australia, 42% of female employees in workplaces with 20 or more employees and with permanent status reported being granted paid maternity leave by their firms in 1995 [Morehead et al. (1997)]. For the United States, the index would again be zero because of the absence of any statutory requirement for paid maternity leave. In addition, the period of maternity leave itself is only statutory for roughly 46% of the employed population of the United States – those employees in private-sector firms with 50 or more employees who have fulfilled certain employment conditions [Waldfogel (1999)]. However, according to Bond et al. (1998), 94% of employees in both large and small firms report that women at their places of employment are able to take time off work, without endangering their jobs, to recuperate from childbirth. It thus seems likely that many employers of small firms go beyond their legal obligation as regards time off from work. However, even for larger firms, this leave is paid in only 2% of cases. Chart 4.4. Comparison of indicators of firms' provision of extra-statutory Chart 4.4. Comparison of indicators of firms' provision of extra-statutory Chart 4.4. Comparison of indicators of firms' provision of extra-statutory Index of national provision Sources: The index of national provision is the product of the number of weeks of maternity leave and the rate of pay during those weeks, taken from Table 4.9. The proportion of employees reporting extra-statutory provision by firms refers to women employees with a child under 15 in the household and is taken from the Employment Options of the Future survey. Sources: The index of national provision is the product of the number of weeks of maternity leave and the rate of pay during those weeks, taken from Table 4.9. The proportion of employees reporting extra-statutory provision by firms refers to women employees with a child under 15 in the household and is taken from the Employment Options of the Future survey. Sources: The index of national provision is the product of the number of weeks of maternity leave and the rate of pay during those weeks, taken from Table 4.9. The proportion of employees reporting extra-statutory provision by firms refers to women employees with a child under 15 in the household and is taken from the Employment Options of the Future survey. V. Summary of the international patterns Tables 4.7 and 4.8 above contain a number of indicators of work/family reconciliation policies. Table 4.9 brings them together with the employment rate of women aged 30-34, for the 19 countries for which the indicators are reasonably complete. They are scaled to have mean zero and standard deviation unity, in order to equalise the degree of variation and put them on a common scale. As shown in the bottom line of the table, the strongest crosscountry correlations of the individual indicators with the employment rate of women aged 30-34 are for the proportion of children under three in formal child-care, and the maternity pay indicator calculated as the product of the number of weeks of maternity leave and the average pay during those weeks. There is little or no correlation with the total number of weeks of maternity/child-care leave, nor with the proportion of voluntary part-time employment. The correlation with extra-statutory leave by firms is negative, as might be expected in so far as its correlation with the maternity leave index is negative (Chart 4.4). The table also includes a composite index, which is the sum of the indicators for the coverage of the underthrees in formal child-care, maternity leave, flexi-time, voluntary part-time and one half of the extra-statutory leave by firms indicator (the factor of one half is included to acknowledge the fact that extra-statutory provision by firms is generally of considerably less importance than national provision). The exclusion of the other indicators is justified not merely by their low correlation with the employment rate but also by the fact that the coverage of the over-threes in formal child-care leaves out a good deal of provision through the educational system; and that the Table 4.9. Summary indicators of work/family reconciliation policies and relevant flexible work arrangements All indicators scaled so as to have mean zero and standard deviation unity, across the countries included a . . Data not available. b) Calculated as the product of the duration of maternity leave and the earnings replacement rate. a) This is designed to put the indicators onto a common scale. A value of zero implies that the country concerned is at the average value for the countries in the table. c) Average of data for the three kinds of leave shown in Table 4.8. Source: Tables 4.7 and 4.8. d) Calculated as the sum of the indicators in columns (1), (3), (6) and (7), plus half of that in column (5). take-up rate of the total period of maternity/child-care leave is unknown. 26 The composite index has a fairly high correlation, of just under 0.7, with the employment rate. This suggests the importance of work/family reconciliation measures of this type and also the importance of taking account of a range of such policies – this correlation is higher than that with any of the individual indicators. The North American countries and the Nordic countries generally tend to have relatively high values of the composite index. The lowest values are found in Japan, the Southern European countries and Ireland. Countries with similar values of the composite index may, of course, have quite different strategies for reconciling work and family life. For example, while the Netherlands has a similar value to Denmark, the Netherlands has much higher scores for flexible hours working (including voluntary part-time working) but lower scores for child-care coverage and maternity leave. Conclusions This chapter has concentrated on examining the work/family balance from the point of view of its relationship to the number of parents, particularly mothers, in paid employment, while noting its likely relationship with fertility. The approach has been to compare the employment rates of women and mothers with indicators of policy measures designed to provide incentives for parents to work and to ease the work/family reconciliation. This narrow perspective has meant that a number of vital areas have had to be left to one side. These include questions of maintaining family income resources, dealt with under the OECD programme on "Family-Friendly Social Policies", and child development, which comes under the programme on "Early Childhood Education and Care" (see www.oecd.org/els/social/ffsp and www.oecd.org/els/ education/ecec respectively). The international perspective leads to a number of findings of policy relevance. The first is that, in countries with relatively well-developed systems of work/family reconciliation policies, women tend to have higher employment rates in their thirties (when their employment is most likely to be affected by child-rearing and child-care). Both formal child-care coverage of young children and paid maternity leave policies appear important from this perspective. The direction of causality is not, of course, clear. It may be that in countries where women are more present in employment, they are better able to press for higher benefits. However, it seems unlikely that the causality runs entirely in this direction. From a historical perspective, many countries with high levels of female employment – notably the Nordic countries – were among the first to introduce work/family reconciliation policies as part of a deliberate policy to facilitate higher levels of female employment [Gauthier (1996)]. This may add weight to calls for the extension of such arrangements in countries where they are currently relatively underdeveloped and where the employment rates of women are low. A second finding relates to the historical and current relationship between employment rates and fertility rates. Viewed over time, employment and child-rearing appear to be substitutes. In almost all OECD countries successive cohorts of women entering child-bearing and working ages have had higher employment rates, but lower fertility rates. In addition, for recent cohorts, larger increases in employment have been associated with larger decreases in fertility. However, the current experience of a number of OECD countries, particularly the United States and the Nordic countries, shows that high levels of female employment rates need not be incompatible with relatively high fertility rates – paradoxically, there is currently a positive correlation between female employment rates and fertility rates across OECD countries. A third finding relates to the crucial contribution to the work/family reconciliation made by firms. A number of studies have shown the importance of appropriate kinds of flexibility for the work/family balance, in terms of emergency leave for family reasons, flexible working hours and voluntary part-time working. The evidence presented above shows that firms in countries with the highest levels of national provision tend to rely almost entirely on that provision, adding relatively little to it. On the other hand, in other countries, where national provision has traditionally been relatively low, there is little sign that firms have filled the gap. Research suggests that, in some situations, firms can reap benefits by paying more attention to the work/family (or work/life) balance of their employees, particularly in the areas of reduction of stress, improvement of morale, better retention of women employees and stronger employee commitment to the organisation. Surveys also suggest that many firms are unaware of these potential benefits. Governments should thus be able to play a role by sponsoring research to show where benefits are most likely to be obtained, as well as by offering technical advice on how to introduce family-friendly arrangements successfully. The analysis has also pointed up a number of issues common to a large number of countries. From the point of view of the main policy issue addressed in this chapter, one crucial finding is the polarisation of mothers' employment. Mothers with medium and high levels of education are closing the gap between their employment rates and those of fathers at the rate of one percentage point a year, on average. However, in many countries, the employment rates of less-well-educated mothers are lagging behind. One reason for this may be the lower benefits that they can expect from the labour market. However, in addition, while they will be treated on an equal basis by public systems for child-care and family leave, they are less likely to be accorded family-friendly benefits (such as career-breaks, extra family leave and flexible working arrangements) by firms, and may be less well-placed to combine work and family life. There is a danger that many lower-educated mothers may become detached from the labour market and be unable to make a successful entry, or re-entry, later in life. They may, thus, be unable to provide for themselves adequately in the case of family breakdown and may also suffer social isolation. Policy action may be needed to stimulate continued attachment to the labour market, possibly on a part-time basis, and to ensure appropriate training opportunities. Part-time working is the preferred form of employment among many mothers of young children in a large number of OECD countries, as well as being favoured by a much smaller, though apparently growing, number of fathers. Part-time working generally offers lower earnings and career prospects than full-time working, and in most countries transitions from part-time working to full-time working are rare. However, Sweden is an exception to this last statement, through its programme for allowing mothers to move to part-time working temporarily when their children are small. A number of other countries have also introduced schemes for allowing temporary transitions from full-time to part-time working over recent years (including Germany and the Netherlands). These policies need to be carefully evaluated to see if this extra flexibility leads eventually to an increase in the proportion of women working full-time. The chapter has also added to findings that show that the gender balance in household duties and caring for children remains unequal in all OECD countries. Women continue to play a much greater role than men, and this is undoubtedly one of the reasons for continuing inequalities in employment and earnings patterns. While it is true that there has been some movement towards symmetry within couple families, this is offset, to a greater or lesser extent, by the fact that the bulk of the growing number of loneparent families are headed by women. Efforts to introduce paternity leave schemes, and parental leave schemes in which part of the leave is available only to fathers have met with some success, calling for careful monitoring to see what kinds of policies might be most effective. Further progress may require addressing the attitudes of firms, which are often cited by fathers as limiting their involvement with their families. Overall, the results presented above suggest that efforts to improve the work/family reconciliation may well produce positive benefits in terms of women's employment rates. The key is to allow for greater flexibility in employment patterns in such a way as to encourage longer and deeper involvement by women in paid employment. This may also be one way to work towards greater gender equity in the labour market. Given that women continue to invest more of their time in child-care and household activities, at ages which are traditionally of key importance for building up a career, it is vital to work for greater flexibility over the life course, loosening the link between age and career progression, and valuing a wider range of employment patterns for both women and men. NOTES 1. In this chapter, a relatively narrow definition of family has been chosen in order to facilitate analyses of the work/family balance from the labour market viewpoint, and provide a better basis of comparison between countries. Families in multi-family households and families with a member over 60 have been excluded. A child is defined as being under 20, and an adult as aged 20 or over (the age limit of 18 is used for the United States). A couple is defined as two adults, with or without children, living together in the same household, whether or not linked by marriage. (The United States is an exception. Only married couples are included, so that two non-married people living together would be considered to be part of a multi-family household and excluded.) A lone parent family is defined as an adult living together with a child. 2. It should be noted that the standard employment definition, used in Table 4.1, counts many people on maternity/child-care leave as employed. Excluding them would reduce the employment rates considerably for some countries. For example, for Finland, if the data excluded the mothers on maternity leave during the reference week, the 1998 employment rates would fall to 69.0% for all parents in couple families, 47.7% for all mothers in couple families, 58.7% for the lone parents and 48.2% for all mothers with a child under 6. For Sweden, the 2000 figure for the employment rate of mothers aged 25-54 with a child under 7 would fall to 65.7%. 3. One reason for the lower employment rates of less-welleducated mothers is no doubt their lower potential earnings in paid employment. Marshall (1999) finds that those who do not return are more likely to have been working part-time before child-birth and less likely to have been in a unionised or professional job, and tend to have shorter tenure. A quick return is linked to self-employment and the absence of maternity leave. 4. The survey also included Norway. 5. Eighteen per cent of the couples said they would prefer both partners to work part-time. For a further discussion of preferences for part-time working, see OECD (1999b) and Evans et al. (2000). 6. The precise question used was: "Taking into account all of the income that the members of your household receive from different sources, would you say that your household is financially well off, that you just manage or that you have difficulties?" 7. Households in Spain saying they are "just managing" are the only exception. 8. The cross-country correlation between the number of hours worked by the "well-off" and the preferred reduction in hours is around 0.8. 9. It must be noted that these comparisons do not take account of the differences in the types of job done by men and women. 10. The choice of age 5 as the age cut-off was dictated by the data source. 11. The ratio of the time spent by men and women on child-care has been found to remain roughly the same whether child-care activities are strictly or broadly defined [Klevmarken and Stafford (1997), for Finland and Sweden; Barrère-Maurisson et al. (2000), for France; Silver (2000), for Canada]. 12. The figures for men refer to men in all types of couple families. Some evidence relating specifically to men with wives in full-time paid employment suggests that the balance is less equal than shown here [Beblo (1999); Hersch and Stratton (1994); Fisher (2000a and 2000b); Silver (2000)]. 13. However, according to a 1991 Eurobarometer survey covering a wider range of countries, Portuguese men contribute the least to household work in the European Union, around 70% saying it represented none of their time. Spanish women reported spending 7 times as much time as men caring for children and doing (unpaid) household work [European Commission (1998a)]. 14. In principle, the figures also include the effects of housing benefits, employment-conditional benefits, and social assistance benefits, though these are rarely relevant at the levels of household income considered. It should be noted that they refer to national arrangements and that regional or provincial systems may be different. 15. For example, the Quality Improvement and Accreditation System in Australia requires private commercial and community-based service centres to evaluate and, if need be, to improve their service delivery, against 52 principles of good quality care. A quality assurance system for Family Day Care (a network of individuals providing child-care in their own homes for other people's children) is now being developed and preliminary work for the development of a system for outside school hours care is underway. 16. In some countries the entitlement to pay during maternity/ child-care leave depends upon work history and social insurance contributions, and so not all mothers are covered. 17. This is derived as the product of the first two columns of data on maternity/child-care leave in Table 4.7. 18. In Sweden, the introduction of the "daddy month" in 1995 was associated both with an increase in the overall take-up of leave by fathers and with a decrease in the average length of the leave taken, from 34 days in 1995 to 27 days in 1999. 19. If only the mother takes parental leave in Austria, cash benefits are paid for 18 months; if the father also takes some leave, payments are made for 24 months. 20. Ruhm (1998) also finds some evidence that long periods of absence from work may result in lower earnings. 21. More precisely, Afsa (1999) reports that, when the Allocation parentale d'éducation (a benefit to parents of children under three with previous work experience who opt for staying at home) became available to parents with only two children (before 1995 it was available only to those with three), there was a significant drop in employment rates as a result. 22. Survey data for Canada are soon to be published, and information from small-scale surveys for Ireland are to be found in Coughlan (2000). 23. As explained in Annex 4.B, the sample was restricted to this group of employees on the grounds that women without responsibility for a child, and men, are less likely to be aware of family-friendly arrangements. The results thus only apply to firms with employees of this type. 24. The figures for flexi-time working are shown for all employees to allow comparison with available figures for Australia and the United States. It should be noted that the question used in the SESWC did not investigate the extent to which the hours flexibility had been introduced to suit the employee – the figures thus include a certain proportion of cases where the flexibility in hours was designed to suit the employer. 25. Maternity leave is chosen for this comparison because it is widespread and well-established. Schemes for child sick leave and paternity leave are less widespread and are relatively new policy developments in many countries. Employer schemes for child day-care are designed to complement not only public schemes but also other, private-based schemes. 26. Including the total leave indicator would give higher results for countries like Austria and Germany which have relatively well-developed programmes of parental leave. Annex 4.A Supplementary table 158– OECD Employment Outlook Balancing Work and Family Life: Helping Parents into Paid Employment –159 © OECD 2001 Annex 4.B Data sources Data on preferences for different working arrangements The source of the data on preferences was the Employment Options of the Future (EOF) survey, sponsored by the European Foundation for the Improvement of Living and Working Conditions in Dublin (for the 15 EU member states) and by the Norwegian Royal Ministry of Labour and Government Administration (for Norway). Carried out in the Summer of 1998 by Infratest Burke Sozialforschung and a consortium of field research institutes, it covered 30 000 people aged between 16 and 64 who were either working or said they intended to take up work during the following five years. It was primarily designed to find out who wants to work and who does not, and to investigate preferences for different working arrangements both at the time of the survey and five years later. Details of the survey can be found in Atkinson (2000). Data from time budget surveys Time budget surveys seek to measure the time allocated by individuals to different activities such as paid market work, unpaid household work, caring activities, education and leisure time. Most time budget surveys ask individuals to compile a diary of their daily activity twice a week: on a weekday and on a weekend day. The diary may contain a set of pre-coded activities and a time sheet or it may ask respondents general questions about what they did and from when to when [Merz and Ehling (1999); Klevmarken and Stafford (1997)]. The data used here are drawn from a number of time budget surveys harmonised and made more comparable by a team of researchers at Essex University and elsewhere [see Fisher (2000a and 2000b) for a description]. They cover 12 OECD countries. The data relate to the time use of individuals in households of a given type. The full set of data available includes couple households and lone-parent households, distinguished by the presence and age of children (below and above five years). For female partners, a further distinction is made between full-time workers, part-time workers and non-workers. The following activities are considered: paid market work; child-care strictly defined, which includes feeding the children, dressing them, changing them, bathing them and giving medication; and other unpaid household work. Paid work includes all paid work and related activities, including time spent on the main job, on any second job, working at home, and time spent travelling to and from work. Other unpaid work includes: cooking/food preparation; cleaning dishes; laundry/ironing; house cleaning; odd jobs; gardening; care of pets or domestic animals; shopping; paying household bills; and domestic travel (i.e. travel for family reason, which includes taking the children to school and back). Cross-country comparisons can only be made with considerable caution. Generally, cross-country differences in the time spent by parents caring for their children may reflect not only differences in policies across countries, such as the availability of public and private care services, but also differences in fertility rates (the data take no account of the number of children in the household), as well as differences in the time budget questionnaires. Some surveys code multiple activities that may take place at the same time, such as cooking and taking care of children. However, most surveys ask respondents to enter what they consider to be the "main activity". This often leads to underrecording of child-related activities, such as playing with children or watching them play. Data on family-friendly arrangements in firms General considerations Data on family-friendly arrangements provided by firms can come from employers or employees. Data from employers tend to be more suitable for linking the type of family-friendly benefits provided with the characteristics of firms. They can also include valuable insights into the reasons why employers introduce (or abandon) family-friendly arrangements, and on the costs and benefits they perceive flowing from them. However, there are some difficulties. Employer-based data are likely to refer to formal policies (particularly in large firms) and leave out informal arrangements, which may be of considerable importance [Dex and Scheibl (2000)]. The policies that are mentioned may be unfamiliar to some employees, because of insufficient notification. In addition, they may be available to only part of the workforce, and may be subject to the agreement of the supervisors. The basic information will tend to refer to provision – though some firms may also have information on use. A further reason for caution is that some working arrangements, introduced by firms to suit their production needs, may be labelled as family-friendly simply in order to show the employers in a better light [Simkin and Hillage (1992)]. Of course, this is not to deny that there are situations where both firms and families can gain from flexible work arrangements, such as some types of voluntary part-time work. However, a priori, there is no reason to suppose that flexibility introduced to meet a firm's needs will coincide with the flexibility that best suits family needs. Surveys of employees generally have the advantage of providing detailed information about the characteristics both of employees who know of their entitlement to family-friendly arrangements, and of those who use them. They can also illustrate the attitudes of employees and their perceived needs. However, there is the difficulty that, unless the survey instructions are particularly clear, employees may not know whether they should provide information about just the policies that concern them personally, or about ones which are used by, or available to, other employees in the company. For example, a man asked if extra-statutory maternity leave is available will respond that it is not, if he is thinking about his personal case, but may respond that it is, if he is thinking about the employees in the company in general. Survey data for Australia, Japan, the United Kingdom and the United States For Australia and the United Kingdom, information can be drawn from national workplace surveys. For Australia, this is the 1995 Australian Workplace Industrial Relations Survey (AWIRS95), reported in Morehead et al. (1997), and for the United Kingdom, the 1998 Workplace Employment Relations Survey (WERS98), reported in Cully et al. (1998 and 1999). For the United Kingdom, there is also a special suite of officiallysponsored surveys on family-friendly arrangements, reported in Forth et al. (1997). The surveys just mentioned cover both employer and employees. Japan's information comes from a special employer survey [Sato (2000)]. Finally, for the United States, a number of employer surveys, including the Survey of American Establishments [Osterman (1995)], and the two rounds of the employee-based National Study of the Changing Workforce (NSCW), conducted in 1992 and 1997 [Bond et al. (1998)], contain information on family-friendly arrangements. The Second European Survey on Working Conditions This survey, described in European Foundation (1997), was conducted in the fifteen countries of the European Union between 27 November 1995 and 19 January 1996, in close collaboration with Eurostat and National Statistical Institutes. The survey was designed to monitor working conditions as perceived by respondents. The multi-stage random sampling design was designed to be representative of the employed population. All people aged 15 and over were included in the sampled population, with the exception of retired people, unemployed people and housewives. The target number of interviews was 1 000 cases per country, with the exceptions of 500 for Luxembourg, 1 000 for the former western Germany and 1 000 for the former eastern Germany. The figures achieved were close to these targets, giving a total of just under 16 000 interviews for Europe as a whole. The samples were found to over-represent "services" and "public administration", while under-representing "agriculture", and some industry sub-sectors. Questions on family-friendly arrangements The precise questions used to investigate the incidence of family-friendly policies by enterprises were as follows: Q30. Over and above any statutory requirements, does your company/employer additionally provide for? (yes, no, not applicable, don't know) – Sick child leave that is, amount of time you can stay at home to take care of a sick child – Maternity leave that is, the amount of time a woman can stay at home before and (after) the birth of a child – Parental leave that is, the amount of time a mother or a father can stay at home to take care of a very young child – Child day care that is, your company/employer provides or subsidises day care for your child. The caveats mentioned in the Introduction relating to employee-based data on family-friendly policies apply to these data. In particular, there is the ambiguity as to whether the data refer to working arrangements to which the employees concerned are personally entitled, or to ones which exist in their establishments. However, as well as the category, "don't know", the survey designers included a category, "non-applicable" in order to assess the possible effect of this ambiguity. Analysis of the data suggested that, for simple international comparisons, it was best to restrict the sample to women employees with a child under 15 in the household [Evans (2001)]. As the United Kingdom was included in this European survey, it was possible to make some consistency checks between the levels of family-friendly arrangements indicated here and the levels indicated by the United Kingdom surveys of employees. The results are broadly consistent. The European results for child day care and sick child leave are roughly in line with the figures for personal entitlement for time off work for family reasons and the various measures of entitlement to help with child-care obtained from the UK surveys. The European figure for parental leave reported by women employees is, fortuitously, exactly the same as that obtained from WERS98. It is not possible to make comparisons of extra-statutory maternity leave. Data on relevant flexible working arrangements Non-EU sources of data are noted in the tables. For the European Union, the sources were the Second European Survey on Working Conditions (SESWC) for data on flexi-time working, and the Employment Options of the Future (EOF) survey for data on voluntary part-time working. Both surveys are described above. The SESWC question designed to obtain information on flexi-time is: Q20. For each of the following statements please answer Yes or No: … You have fixed starting and finishing times every day. Flexi-time working was taken to occur when a negative response was given to this question. This seems likely to be an over-estimate, as the figure might include people on variable amounts of overtime, or subject to on-call working. However, the figure obtained in this way for the United Kingdom was found to be the same as that for flexi-time working given by the WERS98 employee questionnaire. 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OPTIMIZATION OF VALUE MEASUREMENT METHODS Kabir Bindawa Abdullahi Umaru Musa Yar'adua University Katsina Email: firstname.lastname@example.org Abstract This paper addresses the issues of methodological problems and limitations regarding measuring values. A short scan review of values measurement methods from psychological and ethnobotanical approaches was made to enumerate some of those shortcomings. A new methodological approach, named Kab's Value Survey (KVS) was proposed and compared with other well adopted methods based on some important criteria to assess its suitability, uniqueness and novelty. The results of the comparisons shows that KVS for its considerations to the theoretical explanations distinguishes itself over other methods of value measurement in the sense that the methodological approach employed is more broad in scope and applications, simple, specific and reliable in terms of instruments for data collection, psychometric data analysis, and of course data presentation. The method however solved some of the criticized limitations that exist in other well adopted methods of values measurement from psychological and ethnobotanical perspectives. Keywords: Values, Actions, Value-actions, Measurement, Methodology © 2019 by the author(s). Distributed under aCreative Commons CC BY Creative Commons CC BY license. license. Introduction When we think of our values, we reflect what actions, activities, attitudes and behaviors are important to us in our lives. Each of us holds and is influenced by numerous values with varying degrees of importance; the more important a value is to a person, the more likely he or she is to act in ways that promote the attainment of that value (Kluckhohn, 1951; Rokeach, 1973; Schwartz, 1992, 2006, 2012). Values are critical motivators of behaviors and attitudes which subsequently predicts actions (Schwartz, 2012; Parks-Leduc, 2015). Our attitudes are shaped and influenced behavioral intention, which in term shape actions (Fishbein and Ajzen, 1975). Over time, repeated habituations and engagement of value-actions is likely to strengthen values (Flouri, 1999; Sheldon, 2000; Goldberg, 2003; Hüther, 2006; Banerjee, 2008; Holmes, 2011). Values are abstract, desirable goals. Their importance is stable over time and across situations (Schwartz, 2012; Roccas, et al. 2017). Values are cognitive representations of basic motivations and are structured according to their compatibilities and conflicts (Schwartz 1992). Values are one important, especially central component of our self and personality, distinct from attitudes, beliefs, norms, and traits. The growing body of literature on personal values has yielded both conceptual and methodological developments. Both are reflected in the growing number of instruments developed to measure personal values. The psychometric characteristics of any specific instrument have methodological implications (Roccas, et al. 2017). Although there are other methods long existed, but among the first theoretically developed and most used psychometric instruments for values measurement was the Schwartz Value Survey (Schwartz, 1992, 2006, 2012). The Schwartz Value Survey (SVS) reports value priorities of participants explicitly, by asking them to conduct a self-reference assessment based on points-scale. Recently, about 16 different methods were compiled to measure value priorities. Each method differs from one another in the style of questions, number of items, response scale, and abstractness (Roccas, et al. 2017). The impacts among the instruments vary significantly, but all address the same problems of value priorities. SVS was reported to have been translated in 46 Languages worldwide (Rudnev, 2011). Despite the significance of these methods especially in psychological and sociological researches, they are however been challenged with some limitations (Hood, 2003; Lee, et al. 2005; Linderman and Verkasalo, 2005; Roccas, et al. 2017). Researchers have made enormous attempts to optimize these methods by addressing the limitations the previous instruments have, but up till now, the most recently developed psychometric methods such as short and broad Schwartz value Survey (SB SVS) of Sekerdej and Roccas (2016), Ten Item Value Inventory (TIVI) by Sandy et al. (2016), Twenty Item Value Inventory (TwIVI) by Sandy et al. (2016), and Animated Values Instrument (AVI) by Collins et al. (2017) have failed to address some of the limitations. The central focus of these interested researchers was to optimize the instrument of data collection for low number of questions, fewer items and simple instruction, comprehensive description and style of questioning (Roccas et al. 2017). In another direction, the peoples' values for material object within an ethnos for the natural biodiversity constitute an important aspect of ethnobotany/ethno-medicine and ethnozoology. In particular, the scientific rigor of quantitative ethnobotany emerged by the development of relative cultural importance (RCI) indices that produce numerical scales or values that can provide data amenable to hypothesis testing, statistical validation, and comparative analysis (Hoffman and Gallaher, 2007; Mathur and Sundaramoorthy, 2013). In literature, there are about 30 different use-value methods that simply counts the number of different uses reported for each plant to assign importance of species in a community, degree of decline of use of popular plants, importance of a species for an informant, frequency citation and occurrence of plants, comparison of importance of plant groups, combined studies of cultural, practical and economic values to quantity the average number of informant know how for each species (Mathur and Sundaramoorthy, 2013). Despite the long use and application of use-value indexes, even among the most recently developed methods such as Use Value Index (UV) by Camou-Guerrero at al. (2008) and Quality Use Value (QUV) by Thomas et al. (2009) are however criticized with some limitations (Hoffman and Gallaher, 2007; Mathur and Sundaramoorthy, 2013). Both the psychometric and ethnobotanical approaches, although psychometric methods are more theoretically based and advanced than ethnobotanical, ignored the most essential but covert aspect of values theories such as the issue of value-action gab, variety in methods of data collection and data analysis, shift from conventional ranking and rating approach to a more universal and more measurable approach of importance measurement, methodological broadness in scope and applications. Therefore, any future work is akin to the solution of these problems. Now, our solution is to rethink logically and reflect the theoretical explanations. In this paper, I proposed a new optimized methodological approach that logically and theoretically takes account of these unsolved limitations. This paper is organized into sections, subsections and sub-subsections. The first section is an introduction. The second section is a short scan review of some commonly used methods for value measurement, their limitations and a theoretical reflection to address the existing limitations in the methods of values measurement. The third section presented the methodological items of the new proposed method of values measurement. The fourth section is a methodological and simulation comparison between the new proposed method and some other methods. The last, fifth section is the conclusion. Literature Review This section is a short scan review of some commonly used methods of values measurement from psychological and ethnobotanical approaches and evaluated their limitations. The review also glanced at the methods and their limitations for correspondence with the theoretical and logical facts about values. I was able to sort and highlight some limitations common among most existing methods of value measurement and sought solutions from theoretical explanations. Psychological Approach of Value Measurement The research literature is rife with measures of values, attesting to the importance that the values construct has gained in the last decades. The instruments developed to measure basic values correspond to the definition of values as desirable goals that serve as guiding principles (Roccas, et al. 2017). A comprehensive report presented by Roccas, et al. (2017) in his report presented a comprehensive up-to-date list of 16 methods and instruments used for psychometric value measurement. He categorized them into panels based on the reference authors: Panel A was the seminal Rokeach Value Survey (RVS, Rokeach, 1973). Panel B was the lists of instruments developed by Schwartz over time. Panel C was the instruments developed by other researchers who draw on Schwartz's theory and are designed to measure the same value system. Finally, Panel D was the lists of measures that do not draw on Schwartz's model, but correspond to the same definition of values. Because of the space constraint, I shall not go to present the description of these methods individually, but all the methods address the following issues: Data collection instrument. Questionnaire is a typically used method of data collection. Most questionnaires have the following feature: The methods measure the abstract or concrete nature of values. The number of items is determined by the number of values and its specific items considered. Depending on the method, it ranges from 10-105 items. Rating ranking and pairwise comparison approaches are employed to measure the respondents' judgment. In rating approach, value questionnaires asks participants to consider each item independently of how they view the other items, and rate its importance on an established scale points labeled as 7 (for supreme importance), 6 (for very important), 5, 4 (unlabeled), 3 (for important), 2, 1 (unlabeled), 0 (for not important), -1 (for opposed to my values). In ranking approach, respondents ask to compare the given items to each other and to hierarchically order them by importance relative to one another. In respondent is to compare between two items which one most important to him (Roccas, et al. 2017). Instrument for data analysis. In psychometric analysis means of scores for each value items express the result of value priorities (Schwartz, 1992; Linderman and Verkasalo, 2005). Correlation method is the most used method of statistical analysis of the calculated results of values priorities. (Oishi, et al. 1998; Schwartz, et al. 2001; Linderman and Verkasalo, 2005). Limitations of psychometric instruments for personal value measurement Previous literatures emphasized their critics regarding the disadvantages the use of ranking scale, and may be the rating scale, the level of abstraction, the length and broadness of instruments and its questionnaire items, the response format and response scale, the crosscultural validation of the measurement instruments, the ordinality of the response scores and limit of data analysis, the difficulties of answering the questionnaire question (Hood 2003; Lee et al. 2005; Linderman and Verkasalo, 2005; Roccas, et al. 2017). However, the recent methodologies have addressed most of these limitations (Roccas, et al. 2017). I further added some the limitations that were not noticed and considered. These are: Response scale. Although rating scale is the most adopted almost all the methods. The assumption that equal gaps of importance between one attributes of importance to the other would ensure a fixed distribution for all respondents (Roccas, 2017). But understanding the strength and magnitude between each of the gabs may have relation with the age, experience, gender, socialization, and location etc of the individual respondent. However, the most important aspect of individual variations arrest at this point. Therefore, rating scale is insufficient at address this issue. Rating scale provide only abstract meaning about the abstract variations that from one rated point to the others. Result's meaningfulness. The mean scores has sense in term of variation but psychologically or ethnoecologically not meaningful. The results are in some cases ambiguous. It is ambiguous in sense that the method may fail to provide consistent and valid result. For instance, if scale points 2, 1 and -1 are the only responded points in SVS method by 20, 50, and 90 respondents respectively, the mean score would be equal to zero, that means no values score at all, while it is invalid to accept. Value-action gab. The methods did not consider and address the issue of value-actions gab, but only the instrumental state of values (abstract concept) is considered. The space that occurs when the values (personal and cultural) or attitudes of an individual do not correlate to his or her action is what the issue of value-action gab addressed. The theory of reasoned action states that behavioral intention is dependent on attitudes surrounding that behavior and social norms (Fishbein and Ajzen, 1975). Individual or group variations. Although theories explained that values are stable cross culturally over time (Schwartz 2012; Roccas, et al. 2017), but individual or group differences in the choice or selection of values (which might change over time) is an important source statistical variation. It may be because of the inefficiency of the methods to provide value score per respondent prevented the evaluation of this difference. Data collection methods. Questionnaire is the only method adopted for data collection. Thus cannot allow for experimentation and interview approaches. Mainly rating scale data is welcomed. Reliability of the expected data. The data generated is less reliable, because the response of the respondents may be an imagination or representation of values. Simplicity and time efficiency. Rating a question requires more time and reasoning as the response did not form a component of behavioral reflexes. Methodological broadness in scope and applications. The value for material objects is neglected. For instance, values for our biodiversity, a specific objects. This limited the methodological applications in other field of studies such as ethnobotany and others. Ethnobotanical Approach of Value Measurement One of the first studies that compiled a good number of methods that were developed to measuring the importance of species was Hoffman and Gallaher (2007). He recorded 24 different methods. Recently, Mathur and Sundaramoorthy (2013) reported a more comprehensive up-todate list of ethnobotanical methods. His finding recorded about 30 different use value methods as being comprehended from literatures (Mathur and Sundaramoorthy, 2013). The major objectives associated with such types of studies carries importance of species in a community, degree of decline of use of popular plants, importance of a species for an informant, frequency citation and occurrence of plants, comparison of importance of plant groups, combined studies of cultural, practical and economic values to quantity the average number of informant know how for each species (Hoffman and Gallaher, 2007; Mathur and Sundaramoorthy, 2013). Space constraint will not allow presenting the description of these methods individually, but most of the methods address the following basic variables or parameters: Frequency of mentioned or use citations of a particular plant species, number of informants who cited a species important or useful, number of species, use categories, scaling (ranking and rating) of nominal or ordinal data of interest. Limitations of ethnobotanical methods of value measurement Hoffman and Gallaher (2007) and Mathur and Sundaramoorthy (2013) reported a good work that tries to enumerate some points of limitations that exist with the use of ethnobotanical indice. This two researchers independently reported that the methods failed to distinguish relative degree of importance for different use. Because the data are recorded per-respondent or informant, intra-cultural variability cannot be assessed. The methods are subjective, most are developed by a combine and split of other methods, ignore the dynamics of cultural importance, such as: distinctions between current and historical uses, frequency of use and relative degree of importance. Despite these critics, the methods still commonly used (Begossi, et al. 2002; Case, et al. 2005; Frei, et al. 1998; Voeks and Leony, 2004). In addition to what these two independent researchers have reported I then re-clarify and added the following observations as further limitations: Methods of derivations. By clarifying what Hoffman and Gallaher (2007) have reported, the way some of the methods were developed or derived resulted to an increasing number of new methods. The researchers are cycling around some common variables. I viewed them in the following styles: 1) Modified-drive methods: In this case, a change or additions in of dependent or independent variables result to a new method. 2) Merged-drive methods: In this case, two or more methods are merged together with or without changing, addition or deletion in their dependent or independent variables to develop another new method. 3) Split-drive methods: In this case, one or more methods are split into unit variables which are either reorganized or modify their dependent or independent variables into a new method. Consideration for other aspect of material values. Most of the methods emphasized on use-value of a natural plant biodiversity. In conceptual sense of ethnobotany, usage is not the only concern of ethnobotanist, but other aspects such as exploitation, consumption, marketing, processing value of natural plant biodiversity are interesting and important. Result's meaningfulness. The calculated results are theoretically meaningless, but it only shows variations that exist. However, most of the methods cannot provide result per respondent. This represents another limitation that could prevent other forms of statistical analysis. Result ambiguity. A species with the highest frequency of citations or use categories is considered most significant even if it is less frequently utilized over the others, or the use is historical not current. Therefore, frequency of use citations or use categories is conceived as an index of importance of that material value. Theoretical reflections for solution to the limitations of value measurement methods Literatures such as Fishbein and Ajzen (1975); Holmes (2011); Schwartz (2006, 2012); Parks-Leduc (2015) explained that our values are guiding forces that shapes and serve as a predictors of our actions (activities). Suppose that in a culturally dynamic population of individuals, a set of value-actions (activities) were allowed without restriction and limitation to be practiced. We can establish the following facts about these value-actions (activities): Choice or selection of value-actions. Some individuals may chose to practice them (i.e recognize them valuably important or significant), while others may not practice. This freedom of self-direction forms among the basic features of human values (Schwartz, 2006, 2012; Holmes, 2012). Degree of importance. The practitioners of such value-actions (activities) may practice with different degree (frequency) of importance or significance relative to others. This depends on their practical preferences for each value-action (activity). Studies and reports by Flouri (1999); Sheldon (2000); Goldberg (2003); Banerjee (2008) Hüther (2006); and Holmes (2011) reported that repeated habituations and engagement of value-actions is likely to strengthen values. The ordering of values by importance relative of others is recognized as one of the basic features of value priorities (Schwartz, 2006, 2012). Therefore, frequency of practice of particular value-actions (activity) relative to others indicates a relative degree of importance and strength of that particular valuable action (activity). Preferences for value items and actions. The practitioners of such value-actions (activities) may choose to practice all, or select among others. This depends on their selective preferences for each valuable action (activity). The self-directional features of values direct our choice or selection of actions and events (Schwartz, 2006, 2012). Bilsky, Janik & Schwartz, (2011); Davidov, et al., (2008); Schwartz, (2006) reported that existence of value across different cultural population and entities determine its universality. Therefore, frequency (number) of practiced items or categories is an important index of value diversity within the value domain or it distribution across different cultures or categories in consideration. Population intensity and value dynamics. Over time, some among the practitioners may decline to practice, and some among the non-practitioners may accept to practice. Our values therefore not only change at different point of our lives, but also day-to-day (Holmes, 2011). Moreover, population changes (increase or decline) over time may likely to diminish or promote the intensity and representation of such value-actions within the population. Practitioners from different populations may have the same frequency of practice for a particular valuable activity, but the frequency of practitioners with respect to the population (practitioners' intensity) may significantly differ. Although studies by Bilsky, Janik & Schwartz (2011); Davidov et al. (2008); Schwartz (2006) shows that values are cross-culturally the same, but variation exist between groups. The point address here is not the inter-cultural variations, but the intensity of value and its priority level in a population, which is expected to change with time and population growth. Therefore, frequency of practitioners for a particular value-actions and events in a population is an important factor that determines a population value practices. In general sense, method of values measurement can therefore be expressed as the measure of the relative degree of importance or significance (express by frequency factor) attached to particular value-actions (activities) of an individual(s) in a given population over a period of time. And its distribution in different categories determines its universality. From these facts, important parameters and variables were extracted which will be discussed in the subsequent section. New proposed Methodology: Kab's Value Survey This new proposed method, named Kab's Value survey (KVS), discussed the problems of data collection instruments, data analysis, result interpretation and result presentation. Instruments for data collection This proposed methodology demonstrated three approaches for data collection. Depending on the time and need for the research design, a rapid appraisal approach of data collection can be used by taking lower categories of habituations. For instance, only daylightly or daynightly and weekly practiced actions of the respondents can be chosen. See table 1 and 2. In this method, three approaches of data collection are proposed. These are: Questionnaire Approach. In this questionnaire (sample example is presented in table 1 and 2), the respondent(s) will be ask to select a frequency factor (a factor of habituation) that he/she has been engaging himself/herself in a particular set value-actions (activities) that justify the significance he/she gives to a particular value type in question. In narrower cases, other field of studies such as ethnobiology may be interested for the material value (worthiness) of a particular object(s). In this approach, the action-state of a specific value types are considered as a predictors and confirmers of values. This style of questioning has a lot of advantages over the rating or ranking the respondents' judgments about the abstract nature of value: First advantage, value-action gab is considered and bridged, because the action-state of values is considered and measured. Secondly, data is more reliable because the question asks the actual behavioral actions (practice) of the respondents not an imagination or representation of values. Thirdly, response to the questions requires less time, because the respondent(s) might have developed some behavioral reflex about the questions. Table 1: Sample of questionnaire for some expected specific actions related to a value type \| Respond only to value types that relates to you as a GUIDING PRINCIPLE in your LIFE \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| Statement of impression \| Value type \| Behavioral actions \| Year \| Day \| Week \| Daylight OR Day-night \| \| Because of the value I have for my \| Health \| I go for routine medical check-up every ….. I take regular exercise every ….. I observe proper hygiene every ….. I do regular sanitation every ….. I abstain from drug abuse every ….. I avoid harmful products every ….. \| \| \| \| \| \| Because of the value I have for the \| Biodiversity \| I care for the biodiversity every ….. I conserve* it every ….. I manage** it every ….. \| \| \| \| \| \| Because of the value I have for the \| Security \| I employ/adopt guards every ….. I become vigilant every ….. I share intelligence every ….. \| \| \| \| \| Conserving it signifies that I do not exploit any threatened species. Managing it signifies that I regenerate it, wisely exploit it while avoid illegal cutting and pouching of plants and animals respectively. Table 2: Sample of questionnaire for values for a specific material object. \| Respond only to statements that relate to you \| \| \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Statement of impression \| Value type \| Behavioral actions \| Year \| Day \| Week \| Daylight OR Day-night \| Daylight & Day-night \| 1-2 times \| 2-3 times \| \| Because of the medicinal importance and significance of \| Balanite plant, I use/give its parts for management of \| Pile every ….. Malaria every ….. Measles every ….. Typhoid every ….. Infections every ….. \| \| \| \| \| \| \| \| \| Because of the nutritional importance of \| Maringa, I use it as food in \| Soups every ….. Drinks every ….. Snacks every ….. \| \| \| \| \| \| \| \| \| Because of the market values of \| Mobile phones, we \| Produce them every ….. Wholesale them every … Retail them every ….. \| \| \| \| \| \| \| \| Experimental Approach. In this approach, the concepts are the same as other approaches here explained. The only difference is that, it employs a visual observations and recordings the behavioral actions (activities) of every of individuals in the study area or subjects. This design could be time intensive and visually critical. The data in this case is very reliable because live actions about values are recorded. Depending on the time and need for the research design, a rapid appraisal approach of experimentation can be used by taking lower categories of habituations. For instance choosing only daylightly or daynightly and weekly observations. Interview Approach. This approach is also similar in concepts to the other approaches here explained. Only that in this case, verbal and may be face-to-face oral interview could be made with the potential respondent(s). The related conservation would asks the respondent(s) to list and for each listed items to state the frequency, for the actions or activities he/she engaged himself/herself for the significance he/she give to a particular value types in question. Important variables or parameters Note that, in all these approaches for data collection, the ethical requirements must be fulfilled. Furthermore, each approach should consider the following variable or parameters: Actions (Activities). Actions are the action-state driven by our values. Each value transcends specific action, but it is recognized by sets of specific value-actions (activities) (Schwartz, 2006, 2012; Holmes, 2011). Table 3 below presented some examples of a specific value and its possible or expected sets of value-actions (activities). Table 3: Some examples of value types and their possible behavioral actions From table 3, we can understand that by attaching an importance to a specific value type initiates the development of an attitudes and behaviors that stimulates the onsets of several behavioral actions (activities). For instance, recognizing the significance of our health stimulates us for routine medical check-up, dietary control, exercise regularly, hygiene, sanitations, drugs administrations, avoid consuming harmful products, abstain from drug abuse every and etc. The average score of each value action express the absolute value score. Frequency of action (activity). Frequency by a certain factor, of individual's practice or action for a particular value items in question is to be questioned, recorded or ask in the course of questionnaire, experimentation, or interview respectively. Frequency of actions can be recorded by a symmetric or asymmetric factor. To establish an event's frequency factor that is universal, simple to the understanding of common people, three approaches can be considered. For consistent reference and result comparisons, one style of event's factor should be chosen and adopted. Calendar Approach: This approach employs the use of calendar attributes (events), specifically the repeated habituation of value-action every year, month, week, daylight, daynight, day and night. This attributes of calendar are considered as the main event's frequency factors The approach of using this events remain fix and serve as a reference guide or point upon which all other event's frequency factors are linked and composed. By logical sense, we assume that any value-action that is habitually repeated every day and night reserve the highest degree of importance upon which other events' frequency factors are related. The least relative order of importance is the yearly habituation of value-actions. Table 4 presented some examples. Clock Approach: In this case, factor by clock events are used. It can be symmetric or asymmetric in factor. In choosing this approach, one should note that with the exception of biological actions, almost all forms of human action (activities) are rarely repeated continuously on every clock time bases. Table 5 presented some examples. Researcher-design Approach: This approach constitutes other validated and liable event factor that the researcher designed that corresponds to the need of the research design. Table 4: Calendar Approach of event's frequency factor design RERN = Resultant event's rank number. Table 5: Clock Approach of event's frequency factor design RERN = Resultant event's rank number. Established categories or parameters or strata. The issue of values universality necessitates for the consideration of an established categories or parameters. Universality is in sense that how uniform values are across different cultures, ethnicities, ages, social status, etc. These variables are denoted by 'NC' letters. Activists. Activists refer the active respondents or informants of a target population who are engaged in a particular activity. Population activists, (denoted by Na letters) refer to the sum of the active events activists for a particular value action in a given population (See equation 1). Events activists (denoted by na letters) refers to a member of a population activists who are involved in an action (activity) at a given event of a particular value item. (See equation 1). Where: Na : total number of population activists na : total number of particular event activists Methods of Data Analysis In this subsection of the paper, emphasis is on development of primary approach (psychological or ethnoecological analysis) that integrates and associates the generated data into a theoretically meaningful value. In addition to that, a possibility of further secondary analysis (statistical analysis) of the primary results is highlighted. Psychological or ethnoecological analysis. It is rarely difficult to find any statistical tool that can summarize all these bulk of discrete or continues data at a time into a meaningful conclusion. Therefore, psychological or ethnoecological analysis are important basic and primary approach for simplifying the logical data and variable into a psychological or ethnoecologically meaningful result. Any primary approach must satisfy the requirements of the data types and theoretical considerations for a valid and reliable result. Pre-analysis of psychometric data. This involve sorting and organizing the disorganized data into logical variables and relationship Organization and scaling of data. The generated data from the respondents (whether an interval, ratio, ordinal, or nominal data), which has been organized by factor of event’s frequency(ies), need to be scaled in a proper order. Ranking or rating scale can be used, but each has its own characteristic advantages and limitations. It should be noted that data ranking or rating is quite different from that of rating or ranking a questions of a questionnaire. Data rating or ranking in this case usually produce the same magnitude if same order and features/command are used. The systematic order of scaling (ranking) in ascending manner must begin from the event (the description of factor) with the least (lowest) frequency to the maximum (highest) frequency. The numerical value assigned to each event is called event's rank number (ERN), which is express by equation 2. Depending on the number of items or groups established, a symmetrical or asymmetrical scale is produced for odd or even number of items or categories respectively. Other variables that may be considered Resultant Event's Rank Number: In an incidence where the researcher considered more than one event's frequency factors at a time, the resultant event's rank number (ERN) of the multiple scales is the sum of fractional ranks of event's factor (FREF) subtracted by 1. FREF are sub-factors within the reference (calendar) event's frequency factor that are organized in a series of respective fractions. The number of digits of resultant ERN tells the number of event's frequency factors composed. Table 4 and 5 presented some examples. Where: = a count of series from zero (y = 0, 1, 2, ……..) = Resultant event's rank number = Event's rank number = Event's rank number of first (the main and reference) order event's frequency = Event's rank number of second order event's frequency = Event's rank number of third order event's frequency = Event's rank number of last order event's frequency Note that, the scaling for within the sub-categories of any specific order of event's frequency except for the first order must be within a range greater than zero (0) and equals to nine (9). For example, these symmetric ranges can be adopted, depending on the number of subcategories wish to consider: (1, 2, 3, 4, 5, 6, 7, 8, 9); (1, 3, 5, 7, 9); (3, 6, 9); (2, 4, 6, 8); or (4, 8). It should be however also note that the scale of the first order event's frequency is always fixed for any research design in which 1, 2, 3, 4, and 5 must be always assign to any event that occurs every year, every month, every week, every daylight or every day-night, and every day and night respectively. Frequency of Population Activists: Frequency of Population Activist (denoted by FPA letters) refers to the fraction of active population activists number (Na) to the total number of population samples (Np). Frequency of population activists is express by equation (3). Where: Na: total number of population activists Np: total number of population sample Relative Frequency of Event Activists: Relative Frequency of Event Activists (denoted by RFEA letters) refers to the fraction of a particular event activists number (na) relative to the total number of all other events' activists (Na) inclusive. Relative frequency of event activists is express by equation (4). Where: na: total number of particular event activists Na: total number of population activists Formula for calculating Value priority Score. Two formulae were developed for psychometric data analysis for individual or population value priorities and value universality. These are Action-value index or Activity-value index (AVI): In section 3, the method of values measurement is seen as the measure of the relative degree of importance or significance (by frequency factor) attached to particular value-actions (activities) of an individual(s) in a given population over a period of time. In this logical and theoretically driven definition, we have these important variables: (1) frequency of value-actions (activities), which is organized and scale ranked as ERN, as previously explained, (2) relative frequency of event's activists, (3) population intensity of activists (equivalent to frequency of population activists). The logical interaction of the variable is given by equation 5. The average mean scores of value items is regarded as average value-action index, AAVI. Both the AVI and AAVI express value priority. Per single respondent: Per population: Per individual and per population: Where: nvi= Number of value items RERN = Resultant event's rank number na = Total number of event activists Na: Total number of population activists Np: Total number of population sample 5 = is the maximum event's rank number (ie. of every day and night frequency of valueactions Action-value diversity index or Activity-value diversity index (AVDI): Action-value diversity index (AVDI) refers to the measure of the universality of values as its existence in different aspect of established categories. It can be express by the equation 6. Where: NC = number of established categories Statistical analysis: The results obtained from the psychometric analysis can be statistically analyzed for the existing variation within individuals in a population (in such case per respondent value score is require), or between the comparing categories, or groups or entities. These outcomes serve as a benchmark upon which all generalizations can be made about the subject in question (values). There are diverse statistical models for data analysis, but the choice depending on what purpose is the analysis, data type, variables, and others. Result interpretation. Interpretation of the result enables the researcher to make either psychologically or ethnobiologically or statistically meaningful conclusions, justification and recommendations. For making a generalization in sciences, any approach is insufficient except drawn from statistical results. I attempted here to provide symmetric ranges for the primarily analyzed result of action-value index and action-value diversity index for drawing a simple conclusion about values. See table 6. Table 6: Result ranges and interpretations Result presentation. The results of primary and secondary analysis can be presented by any possible methods tabular, graphic and others. But it is important to note that, best presentation of result appeals visually and logically the existing variations among parameters. Comparisons and Discussions The new proposed method is compared with other methods methodologically and by simulation comparison. Methodological comparisons In this subsection, the new proposal of this article was compared with other methods from psychological and ethnobotanical approaches based on some important criteria. Table 7 and 8 presented comparisons between KVS and a well known most used method of values measurement in psychology (SVS method) and also with about 30 well adopted methods of value measurement in ethnobotany. The criteria for the comparisons made consideration to some parameters that reflects the theoretical discussions about values. The result of comparison shows that KVS method has some distinguishing advantages over SVS and all the ethnobotanical methods in terms of simplicity (for the questions, for the scale descriptors, for the understanding of common people), selectivity (to a variety of data collection instruments, to the responses), specificity (to which dimension is the result, to which respondent, to which value-action is practice), broadness (in scope and applications) of the measurement instruments for data collection, primary data analysis, and of course data presentation. The approach employed in KVS method made a reasonable consideration to the theoretical explanations about values to address the criticized limitations that exist in all the well known and adopted methods of values measurement such as SVS and others. Table 7: Comparisons between KVS and SVS methods Ambiguous in sense that the method may fail to provide consistent and valid result. For instance, if scale points 2, 1 and -1 are the only responded points in SVS method by 20, 50, and 90 respondents respectively, the mean score would be equal to zero, that means no values score at all, while it is invalid to accept. (1) Value-action gab (Fishbein and Ajzen 1975), (2) Repeated habituations and engagement in value-actions as a strengthening factor of values (Flouri 1999; Sheldon 2000; Goldberg 2003; Hüther 2006; Banerjee 2008; and Holmes 2011), (3) Actions as driven forces and end-state of values (Holmes 2012; Schwartz 2006, 2012), (4) Value dynamics: that values changes in all our day-to-day lives (Holmes 2012) Table 8: Comparisons between KVS and other ethnobotanical value methods Table 8: Cont….. Such as exploitation value, processing value, regeneration value, market value, and other material values related to natural plant biodiversity. *A species with the highest frequency of citations or use categories is considered most significant even if it is less frequently utilized over the others, or the use is historical not current. Simulation Analysis In this subsection, a simulated comparison between KVS and SVS method is presented by example 1, and example 2 is provided to show how multiple frequency factors can be solved into a one logical and meaningful result. Example 1: Suppose we establish a mutual correspondence between KVS and SVS as shown in table 9. If table 10 is a sample of observations or respondents' responses from a study comprised a population sample of 1,500 individuals from a random sampling. We were then asked to calculate the value priorities of that particular value items A-1 to A-4. Following the two methods in comparison, the result shows that 0.20 and 1.40 are the average value priority score of value A from KVS and SVS respectively. From logical and theoretical points of views, we can reject that the result of item A-2 cannot be zero. When we think of how psychologically meaningful the results from KVS is, we can say that for every one hundred randomly selected individuals in the population, there is a mean importance for that value A by practice almost every year (reference by 1/5 = 0.20), and this signifies that there is low values (taken a reference from table 6) for that value type A in the population. This result and its interpretation make sense psychologically. In other hand, we can only say that the result from SVS, the value type A is either recognized important or unlabelled, it only shows a value, but what sense out of it ?, we cannot explain. Table 9: Establishing correspondence between KVS and SVS response scales \| Every day & night \| Every day/night \| Every week \| Every month \| Every year \| Nc \| Nc \| \|---\|---\|---\|---\|---\|---\|---\| \| 5 \| 4 \| 3 \| 2 \| 1 \| \| * \| \| Assume a mutual correspondence between \| \| \| \| \| \| \| \| 7 \| 6 \| 5, 4 \| 3 \| 2, 1 \| 0 \| -1 \| \| Supreme important \| Very important \| Unlabelled \| Important \| Unlabelled \| Not important \| Oppose to my values \| *Nc = Not considered in the scale. Table 10: Result comparison from KVS and SVS methods \| SVS \| 7 \| 6 \| 4.5 \| 3 \| 2.5 \| 0 \| -1 \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| KVS \| 5 \| 4 \| 3 \| 2 \| 1 \| Nc \| Nc \| \| \| \| Value type/ Items \| Number of respondents that responded (na) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Np \| KVS \| \| A-1 \| 55 \| 200 \| 0 \| 400 \| 0 \| 200 \| 645 \| 1500 \| 0.25 \| \| A-2 \| 0 \| 0 \| 0 \| 0 \| 100 \| 1150 \| 250 \| 1500 \| 0.01 \| \| A-3 \| 30 \| 70 \| 80 \| 250 \| 200 \| 620 \| 250 \| 1500 \| 0.18 \| \| A-4 \| 100 \| 200 \| 300 \| 200 \| 200 \| 400 \| 100 \| 1500 \| 0.37 \| \| Average Value Priority Score \| \| \| \| \| \| \| \| \| 0.20 \| Np = Population sample; na = number of respondents for each items; Nc = Not considered; KVS = Kab's Value Survey; SVS = Schwartz's Value Survey. Example 2: Suppose a table 11 is a sample of observations or respondents' responses from a study comprised a population sample of 600 individuals from a random sampling. We were then asked to calculate the value priorities of that set of values A to G. Results in table 11 show that all the values A-G are worthy important for the survival of that population. A visible variation in value priorities from one value to the others take sequence as: This signifies that value C has the highest value and extremely important in the population with E the least, but highly significance. If, for instance, by making this piece of discussion about the result, a meaningful comparisons and conclusion can be made. In this case, by considering more variables in data collection and data analysis could minimize errors due to respondents' biasness and maximize precisions and result validity. Table 11: Solving a sample problem using from KVS method \| \| Kab’s Value Survey (KVS) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| 5 (Every D & N) \| \| \| 4 (Every DL or DN) \| \| \| 3 (Every W) \| \| \| 2 (Every M) \| \| \| 1 (Every Y) \| \| \| \| \| 3-4 times \| 2-3 time \| 1-2 times \| 3-4 times \| 2-3 time \| 1-2 times \| 3-4 times \| 2-3 time \| 1-2 times \| 3-4 times \| 2-3 time \| 1-2 times \| 3-4 times \| 2-3 time \| 1-2 times \| \| RERN \| 4.9 \| 4.6 \| 4.3 \| 3.9 \| 3.6 \| 3.3 \| 2.9 \| 2.6 \| 2.3 \| 1.9 \| 1.6 \| 1.3 \| 0.9 \| 0.6 \| 0.3 \| \| Value/ Action \| Number of respondents that responded (na) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| A \| 121 \| 99 \| 108 \| 65 \| 45 \| 23 \| 10 \| 9 \| 12 \| 5 \| 1 \| 5 \| 0 \| 0 \| 0 \| \| B \| 87 \| 65 \| 0 \| 23 \| 22 \| 45 \| 67 \| 66 \| 13 \| 12 \| 22 \| 12 \| 9 \| 9 \| 0 \| \| C \| 150 \| 101 \| 106 \| 56 \| 76 \| 55 \| 9 \| 8 \| 9 \| 5 \| 9 \| 6 \| 0 \| 0 \| 0 \| \| D \| 12 \| 65 \| 34 \| 22 \| 45 \| 12 \| 66 \| 23 \| 66 \| 12 \| 0 \| 12 \| 6 \| 21 \| 9 \| \| E \| 0 \| 6 \| 3 \| 23 \| 22 \| 11 \| 34 \| 44 \| 33 \| 6 \| 2 \| 9 \| 0 \| 6 \| 5 \| \| F \| 13 \| 31 \| 23 \| 56 \| 21 \| 45 \| 65 \| 31 \| 35 \| 84 \| 54 \| 77 \| 8 \| 3 \| 5 \| \| G \| 91 \| 55 \| 62 \| 45 \| 56 \| 12 \| 34 \| 45 \| 35 \| 34 \| 8 \| 10 \| 1 \| 8 \| 9 \| RERN = Resultant Event’s rank number; D = Day; N = Night; DL = Daylight; DN = Day-night; W = Week; M = Month; Y = Year; Np = 600 = Population sample; na = number of respondents for each items; AVI = Action-value Index; VPS = Values priority score. Conclusion Based on the results of methodological and simulation comparisons, it can be concluded that Kab's Value Survey (KVS) for its considerations to the theoretical explanations distinguishes itself over other methods of value measurement in the sense that the methodology employed is more broad in its scope and applications; more simple, and specific in terms of response scale, instruments for data collection, data analysis, and of course data presentation; more meaningful in terms of result interpretations; more reliable in terms of data and result precisions (because of multiple frequency factors and the response scale considered); more statistically sound (because result is interpreted as probability). The method however solved the criticized limitations that exist in the well known and adopted methods of values measurement from psychological and ethnobotanical perspectives. 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research-article 630902 research-article2016 DAS0010.1177/0957926516630902Discourse & SocietyMacgilchrist Fissures in the discourse-scape: Critique, rationality and validity in post-foundational approaches to CDS Felicitas Macgilchrist Georg Eckert Institute for International Textbook Research, Germany; University of Göttingen, Germany Abstract This article explores one challenge facing critical discourse studies (CDS) in today's mediatised world: the ontological and epistemological assumptions which prompt studies to analyse the construction of social orders (such as right-wing, racist or neoliberal orders) rather than the fissures and dislocations of these social orders. The former foregrounds stability, and the latter foregrounds instability. In this article, I first sketch postfoundational thinking, arguing that this thinking brings breakdown, disruption and instability to the centre of attention. Although postfoundational thought is most prominently associated with a particular set of thinkers (Nancy, Lefort, Laclau and Rancière), I also include approaches often omitted from current discussions (Lather, Haraway, Malabou and Sedgwick). Second, I consider three central concepts in CDS from a postfoundational perspective: critique, rationality and validity. Critique is conceptualised as a generative criticality which addresses unequal power relations through (fine-grained) analysis of hope-giving, reparative discourse which is oriented to well-being. Rationality is positioned as mobile, contingent, political and positioned, rather than universal and non-subjective. Validity is separated from understandings of objectivity and bias and associated instead with surprise and transgressive validities. Finally, two brief examples illustrate how postfoundational approaches to discourse have engaged with reframing social movements and democracy and rethinking what counts as the economy. Keywords Critical discourse analysis, democracy, economics, media discourse, positive discourse analysis, postfoundationalism, poststructuralism, social movements Corresponding author: Felicitas Macgilchrist, Georg Eckert Institute for International Textbook Research, Celler Str. 3, D-38114 Braunschweig, Germany. Email: email@example.com Discourse & Society 2016, Vol. 27(3) 262–277 © The Author(s) 2016 Reprints and permissions: sagepub.co.uk/journalsPermissions.nav DOI: 10.1177/0957926516630902 das.sagepub.com Introduction As I write, in 2015, a YouTube video is doing the rounds in which the leader of a political party in the United Kingdom repeatedly answers a series of entirely different questions from a journalist with one single phrase, over and over again. 1 The single soundbite should have reached the public; the whole clip should not have. In 2014, public debate ensued over the ways in which 'tech giants' such as Facebook are playing an increasing role in shaping news values, with opaque algorithms selecting what counts as newsworthy for users. The public debate on algorithmic selection and filtering – some say censorship – alongside the National Security Agency affair demonstrated a robust public awareness of the technologies and practices associated with knowledge production (Bell, 2014; Tufekci, 2014). In 2013, the #BlackLivesMatter hashtag drew people to the streets and coordinated disparate actions; tweets and retweets rebutted the stories circulated by official sources and commercial news media (Stephen, 2015). Each of these examples illustrate how, in our increasingly mediatised world, discursive dynamics are changing. The constructedness, dissonance and ideology of knowledge claims are arguably more immediately and reflexively visible to more people than they used to be (Latour, 2004). What kind of intervention can a 'postfoundational' approach to critical discourse studies (CDS) make at this juncture? How does such an approach speak to the theoretical and conceptual challenges facing CDS today? This article responds to these questions in three steps. First, I outline my understanding of postfoundationalism. Second, I sketch what a postfoundational approach can mean for the concepts of critique, rationality and validity within CDS. Finally, I describe two examples of postfoundational analyses of discourse which explore settings beyond the more immediately visible news and social media: the linking of social movements and democracy in educational media and the rich language of economic diversity in community economies. Each of these steps will, given the length of this article, be fairly condensed. In the past, there has been a somewhat tense relationship between CDS and the postfoundational approach to discourse theory often called the Essex School. Despite ontological–epistemological differences and differing levels of granularity in their analyses, however, both share an orientation to critical inquiry; both aim to show 'the contingency of [complex] contexts, and a sense that discourse, its contexts of production and reception, and the human subjects producing and consuming text/talk, could be, and can be, different, with significantly differing results' (Richardson et al., 2013: xviii). It is in this sense of productive integration that I would like to position the following intervention. By turning to postfoundational thinking, this article picks up two trends in contemporary CDS: first, recent articles turning to particular aspects of postfoundational thinking (without necessarily using that term) to ground their ethical or empirical concerns (e.g. O'Halloran, 2014; Stibbe, 2014); second, a decade of studies oriented to 'positive discourse analysis', that is, to the analysis of resistance or solidarity discourses and moments of hope. As Bartlett (2012: 7) has argued, however, these studies are sometimes in danger of celebrating particular texts without contextualising them, that is, in danger of forgetting that 'deconstructive and constructive activity are both required' (Martin, 2004: 183, original emphasis). I will suggest here that postfoundational thought not only brings the fissured, fragmented, multivocal dynamics of contemporary discourse into the foreground, but can also provide a (theoretical and practical) vocabulary for integrating 'generative' critique more firmly into the overall project of CDS. Postfoundational thinking To briefly sketch the contours of postfoundational thinking, I focus here on two aspects which I have found particularly useful, contingency and breakdown, before considering the relationship between postfoundationalism and poststructuralism. Contingency As the name implies, postfoundational thinking questions the solidity and pervasiveness of 'foundations'. It operates on the assumption that 'metaphysical figures of foundation' (Marchart, 2007: 2) such as God, rationality, truth, universality, essence, objectivity, structure, capitalism, individualism or consensus are contingent. With 'the false hope of a firm foundation gone' (Goodman, 1978: 7), these groundings are seen as situated, political and contestable: the site of permanent political contestation (Butler and Scott, 1992). This is not, I should emphasise, an anti-foundationalism which entirely erases all foundations. The task is to attend to the 'construction of foundations presupposed as self-evident' (Spivak, 1993: 153) and 'to interrogate what the theoretical move that establishes foundations authorizes, and what precisely it excludes or forecloses' (Butler, 1992: 7, original emphasis). Interrogating the ontological status of foundational notions does not mean that the ground is completely absent and that anything goes. Instead, if there is no universal foundation beyond power, nor any final socially or historically necessary ground, then the ground that is generally accepted at any given social, cultural, historical time and place must be defended (through material-discursive practices) and can be dislocated. Claims to ground society can be investigated for the exclusionary moves they make. New grounds can be laid, and analysts can trace the emergence of new groundings. In this sense, a postfoundational perspective grapples with a productive tension. It sees what Lefort (1988) calls 'the dissolution of the markers of certainty' (p. 19) and thus the fissures in what had seemed to be a certain and fixed ground. At the same time, it sees a ground as necessary in order to communicate and act at all and thus the possibility (necessity) of constructing 'contingent foundations' (Butler, 1992). This in turn means resignifying, recontextualising, reframing concepts in ways that previously seemed illegitimate. For examples of how this has been done with 'democracy' and 'economy', see 'Postfoundational analyses of discourse', later. Breakdown and dissonance Postfoundational writing emphasises disagreement, negativity, antagonism, conflict or agonism in the constitution of the social rather than harmony, consensus-seeking or mutual understanding (e.g. Mouffe, 2005; Rancière, 1999; Žižek, 2000). 2 Donna Haraway draws on the notion of 'breakdown' to describe those moments when there is a 'glitch in the system' and things cannot be taken for granted anymore (Haraway, 2000: 115; cf. Haraway, 1991: 214). 'Breakdown provokes a space of possibility precisely because things don't work smoothly anymore' (Haraway, 2000: 115). With a similar orientation to possibility, Eagleton (2011), writing about the relevance of Marx today, notes that it is 'at the points where the logic of the present comes unstuck, runs into impasse and incoherence, that Marx, surprisingly enough, finds the outline of a transfigured future' (p. 77). The image of the future 'is the failure of the present' (Eagleton, 2011: 77). Malabou (2008) suggests plasticity as a new paradigm which can deal better with discontinuities than concepts of the trace or différance could. Plasticity refers, for Malabou, not only to flexibility (brain flexibility or neoliberal flexibility), but also to the destructive power of plastic explosives. Laclau (1990) explores the contradictory effects of dislocation. It not only threatens established ways of being, it also gives rise to new identities and practices. He considers the well-known dislocatory effects of emerging capitalism on workers: the destruction of traditional communities, brutal factory conditions, low wages and insecure work. At the same time, workers responded to these conditions by breaking machines, organising unions and going on strike. They developed new skills and practices. Dislocation thus gives rise 'not only to negative consequences but also to new possibilities of historical action' (Laclau, 1990: 39). In moments of dislocation, new discourse emerges as a possible response to the crisis. (We could think here of Greece in early 2015 or France in late 2015.) Dislocation becomes the space of possibility for (progressive or repressive) change. Although many theorists discuss dislocation and rupture primarily in terms of grand and rare social changes, Rancière (2011: 10) argues that far more mundane and quotidian interruptions to the consensus also open spaces for experimentation. In today's globalised, mediatised and networked world, media usage data suggest that despite fears of users disappearing into filter bubbles where we only engage with opinions similar to our own, users are regularly accessing multiple, contradictory media sources (Holcomb et al., 2013). Social protest, disrupting any pretence of general consensus, is becoming visible across the globe. A postfoundational perspective on moments of dislocation, when things no longer work smoothly, invites CDS to (also) explore more directly those aspects of discourse which breach or fissure the dominant discourse leading to doubt about prevailing certainties. Where previously CDS has primarily focused on the stability of social orders, this perspective focuses on instability. It invites us to ask what is happening at those moments of breakdown, and how a given specific dislocation ties in to broader (social, political and cultural) issues. A postfoundational perspective thus adds a particular conceptual apparatus to the emerging body of work in CDS on disruption (see e.g. Jabbar, 2013; Krzyżanowski, 2010). Postfoundational and/or poststructural Several of the texts cited above are commonly referred to as poststructuralist (but see Angermüller, 2015). Why refer to postfoundational rather than poststructural thinking? Poststructuralism clearly refers to more than simply a troubling of structures and includes a more general orientation to deconstruction, the linguistic turn and the destabilisation of meaning. However, its labelling as the post of 'structuralism' foregrounds the critique of structures and systems underlying human society or culture. It also orients in time to refer primarily to writers after structuralism. The term 'postfoundational' draws attention to the post of 'foundations' as noted above, and it recuperates traditions of contingency and dissonance from a range of earlier (pre-structuralist) writers. Marchart (2007, 2010), in his theorising of postfoundational political thought, foregrounds a range of White, primarily French, males writing in the late 20th century (Nancy, Rancière, Laclau, Lefort, Badiou). To this, we can add several feminist thinkers (Butler, Haraway, Mouffe, Lather), postcolonial scholars (Said, Spivak, Dhawan) and other writers not usually referred to as poststructuralist. For Cassirer's (1944) philosophy of culture, for instance, contradiction gives rise to human existence (p. 11). Although loath to relinquish the possibility of harmony in dissonance (p. 228), Cassirer finds it difficult to refute 'the thesis of the discontinuity and radical heterogeneity of human culture' (p. 222), a vocabulary which resonates strongly with more recent postfoundational writing. Similarly, Whitehead's ([1929] 1985) process-relational philosophy from the 1920s has been taken up as postfoundational in more recent speculative philosophy. Arguably, new materialism is the most controversial postfoundational thinking today, with its aim of destabilising the apparent commonsensical 'thereness' of matter. It thinks materiality in different ways, emphasising, for example, the agency of material-discursive practices; the vitality of matter; or bioethical, political, environmental and economic issues raised when humans are perceived to be 'thoroughly immersed within materiality's productive contingencies' (Coole and Frost, 2010: 7). One way of taking the postfoundational project forward in CDS will be to grapple more closely than is possible in this article with particular texts or concepts within what I am broadly referring to as postfoundational thinking. One goal would be to see what (if any) novel insights arise from their epistemological and ontological premises in specific critical analyses of the socio-political dynamics of discourse. Reconceptualising classic concepts in CDS Several classic concepts in CDS can be reconceptualised through a postfoundational lens. Reisigl (2011) has engaged concisely with poststructuralist critiques of the concepts of 'truth', 'manipulation' and 'power' (p. 486). I have considered 'emancipation' and 'empowerment' elsewhere (Macgilchrist, 2013b). Thus, my attention here turns to three further concerns in CDS: 'critique', 'rationality' and 'validity'. Critique Summarising the debates in CDS about 'critique' in the early 2000s, Weiss and Wodak (2003) suggest that across CDS, 'critical' refers first to a radical critique of present social relations, of power hierarchies and imbalances; second, to a critique of other academic approaches which claim that their analyses are non-political, that is, which ignore or refuse to consider the connections between language and power; and third, to a critique of the way this avowedly non-political academic work actively participates in maintaining existing power relations (pp. 38–40). This categorisation resonates with Van Dijk's (1996) clear position, which has strongly influenced the understanding of criticality in the field, that CDS 'should describe and explain how power abuse is enacted, reproduced or legitimised by the text and talk of dominant groups or institutions' (p. 84). In Haraway's (2000) discussion of 'breakdown' noted earlier, it is linked to a 'generative criticality' and 'generative doubt' (p. 114). This is not the type of criticality which focuses primarily on power abuse or on exposing the flaws, absences and power imbalances in argumentation. Instead, it refers to a criticality which opens up and produces new meanings. 'We need', writes Haraway (1988), 'the power of modern critical theories of how meanings and bodies get made, not in order to deny meanings and bodies, but in order to build meanings and bodies that have a chance for life' (p. 580). Instead of the 'death of the subject', the point for Haraway is that new 'nonisomorphic subjects' are opened up that were previously not imaginable (p. 586). Latour (2004) suggests that today '[t]he critic is not the one who debunks, but the one who assembles' (p. 245). Similarly, Sedgwick (2003) is interested in moving from 'paranoid' critical practices of exposure and demystification to 'reparative' critical practices of hope, pleasure and queer reading. Responding to critique from 'positive discourse analysis', scholars have emphasised that 'critique' in CDS is not (and was never) limited to 'negative critique' alone. Fairclough (2009), for instance, has described critical analysis as oriented both to analysing how unequal power relations are established and reproduced, and also to analysing 'the many ways in which the dominant logic and dynamic are tested, challenged and disrupted by people, and to identifying possibilities which these suggest for overcoming obstacles to addressing "wrongs" and improving well-being' (p. 163f). In addition, the discourse-historical approach (DHA) includes 'future-related, prospective critique' which aims to improve communication by, for example, developing guidelines for gender neutral language or reducing language barriers in institutions (Reisigl and Wodak, 2009). DHA has oriented to both the maintenance and the dismantling of the status quo (Wodak et al., 1999: 8). This has significant implications for how CDS positions its critique. In 2004, Latour asked whether critique had run out of steam. Ten years and multiple techno-mediasocial-political transformations later, the question seems even more pressing. Sedgwick (2003) asks, 'How television-starved would someone have to be to find it shocking that ideologies contradict themselves, that simulacra don't have originals, or that gender representations are artificial?' (p. 141). By investigating how people, texts and practices are dislocating apparently dominant discourse, and shaping change, a generative critique assembles participants who are already actively and productively critical, who are shaping new language and new worlds. Bartlett (2012), for instance, traces bottom-up transformations to institutional discourse by Amerindian communities and individuals in Guyana. Stibbe (2014) refers to discourse (e.g. haiku) which reminds readers of the lively, budded, earthy natural world and the need for ethical care of our environment. Analysing in this way entails seeking out examples of transformative discourse in order to critique the dominant and to build other worlds. Bartlett and Stibbe's texts are not, however, entirely 'positive' analyses. Instead, they embody the shifting and heterogeneous critical practices which move between negative (for want of a better word) and generative stances. In this sense, today's critic has a different role than she had in the 1970s or 1990s. The critic today 'is not the one who lifts the rugs from under the feet of the naive believers, but the one who offers the participants arenas in which to gather' (Latour, 2004: 245). Nevertheless, generative or reparative critical practices remain subordinate in the leading CDS approaches. The goal – visible in the structure of the Fairclough quote above and in recent publications – remains to first analyse dominant power structures, and then to investigate challenges to dominance. The latter half remains marginal. Undeniably, it is important to produce strong critiques of today's dominant social relations, abusive or exclusionary practices and dynamics of undesirable social change. I am not suggesting these be replaced by generative critique alone. Nor am I suggesting that every critical discourse analysis adds an obligatory page (or two minutes) of generative suggestions. What I am suggesting is that CDS become (more) open to generative approaches to critique, that these analyses are understood not as a positive appendix to CDS but as integral to the overall project of critically analysing discourse, and that postfoundational writing offers a theoretical vocabulary for doing this. I will also suggest that the emphasis on dominance may be related to the strong influence of critical theory in CDS, the attendant universal status of particular foundational notions and in turn an underlying foundationalism in much of contemporary CDS. To this end, the next section explores the potentially foundational notion of rationality. Rationality An open question in CDS, asked by both critics and advocates, is how scholars justify taking a particular political, ethical or moral stance. At the risk of drastically oversimplifying their complex and sophisticated arguments, I turn now to the use of 'rationality' in two recent CDS texts on criticality. I will suggest that postfoundational thinking enables us to tweak the understanding of rationality, to make it easier – not more difficult – to take a particular stance. 3 In Critical Discourse Studies, Zhang et al. (2011) consider the practice of criticality in Anglophone and Chinese writings. They argue that criticality, understood as 'mak[ing] rational and moral judgements', is a universal human ability (Zhang et al., 2011: 104). From Habermas, they take 'the universal evidence that human speakers always raise validity claims in situated discourse' and that under certain conditions, one of which is that only rational arguments count, these claims can be criticised (Zhang et al., 2011: 103). Forchtner (2011) elaborates how the DHA's political and moral stance can be theoretically justified through its roots in the Frankfurt School of Critical Theory, in particular, Habermas' work (p. 2). Forchtner (2011) writes that the 'DHA bases its critique on a foundational notion of emancipation' (p. 2). In my reading of the text, 'emancipation' is not, however, presented as a foundational notion. It is presented as a contested term, open in how it can be filled with specific content, that is, which political or moral stance the analyst will take. Later, while exploring how this stance can be justified, Forchtner does introduce a foundational-universal notion: 'rationality'. Central to the theoretical justification of the DHA's moral stance is Habermas' understanding of 'rationality not in terms of the capacity of a monologically working mind, i.e. self-reflection, but as a property of intersubjectivity where validity claims can be raised and refuted freely' (Forchtner, 2011: 6). Rationality is dialogical. On the one hand, heavily metaphorical texts which can seem particularly coherent and suggestive are 'tendentially non-rational' (Forchtner, 2011: 10) since they make a transparent exchange of arguments difficult. 'Rational' texts, on the other hand, raise 'validity claims which can be critically questioned in an open, inclusive way' (Forchtner, 2011: 10). Through engaging more explicitly with Habermas' work, Forchtner (2011) argues, the DHA can ground its political stance 'rationally, i.e. not only in terms of subjective preferences' (p. 11). Similarly, the value of Habermas over critical rationalism is that the former provides a foundation for critique through a 'justification of rationality' which reconstructs the 'universal intuitive knowledge shared by every competent speaker', whereas the latter 'rests ultimately in a subjective and irrational act of faith in reason' (Forchtner and Tominc, 2012: 35). Subjectivity appears as less rational than rationality. 4 Yet (and I write this from a position of great sympathy for DHA and Habermasian thought), rationality as a universal, non-subjective notion is one of the central concepts that has been heavily critiqued as shaping the hidden violences of a secular, liberal humanism as modernity and the Enlightenment marched across the world. The intersubjectivity noted above seems to remain 'a simple reciprocal capability of taking into account the other's reasoning' (validity claims) rather than, for instance, an assumption of uncertainty and undecidability (Žižek, 1993: 75f). It thus remains within the logic of a universal rationality which is entangled with colonial discourse (the Other as non-rational) and the status of women (as the irrational Other of rational Man). 'Rationalists crown the victors by calling them "rational" and deprecate the losers by branding them "irrational"' (Latour, 1989: 105). The universal concept of rationality has been deconstructed as intimately entangled in the particular power relations it wishes to critique (Gergen, 1999; Latour, 1993; Quijano, 2010). There are two issues here, relevant to both Zhang et al. and Forchtner. First, the particular foundational notion of rationality can be linked to exclusionary traditions. Second, the universality of foundationality itself suggests the necessity of final certainties and removes foundations from power relations. But, a reader may ask, how else to adopt a standpoint for critique? Much has been written about this question from a postfoundational perspective (e.g. Butler, 2001). Here, I wish to point briefly to Haraway (1988), who writes heavily metaphorical texts and who aims to simultaneously have an account of the radical historical contingency of knowledge claims and meaning-making as well as 'a no-nonsense commitment to faithful accounts of a "real" world' (p. 579). She sees this as paradoxical, contradictory and necessary. Haraway (1988) reframes 'rationality' as emerging from positioned knowledge practices: 'politics and ethics ground struggles for and contests over what may count as rational knowledge' (p. 587). Rationality cannot be a grounding for taking on a political stance since a political stance is already necessary to argue that something is rational. In this sense, rational knowledge becomes an engaged, positioned, power-sensitive interpretation (Haraway, 1988: 590). Rationality is subjective in the sense that the subject is multiply positioned, situated and embedded in technoscientific, cultural, social, political and ethical spaces. The central point in my reading here is that postfoundational thought does not, as critics sometimes suggest, advocate irrationality. Instead, it reframes how rationality can be understood: it is no longer a universal, uncontestable concept, but a particular, political, contingent – and still useful – concept. In this sense, there comes a point when the standpoint for my critique cannot be further grounded in theory. Rorty (1989) can be useful here (although not always), when he writes that 'there is no answer to the question "Why not be cruel?" – no noncircular theoretical backup for the belief that cruelty is horrible' (p. xv). What we can do, instead of seeking theoretical backup, is to describe and redescribe our 'matters of concern' (Latour, 2004), mustering more and more allies in our arguments (as I am attempting to do in this article), without appealing to a grounding outside politics and ethics. Gibson-Graham (1996) introduces the key coordinates orienting critical practices regarding economic experimentation as collective actions [which] are taken to transform difficult or dire (or merely distasteful) situations by enhancing well-being, instituting different (class) relations of surplus appropriation and distribution, promoting community and environmental sustainability, recognizing and building on economic interdependence, and adopting an ethic of care of the other. (p. xxxvii) Without recourse to a grounding universal position, this extract develops a vocabulary for describing a stance and critique which goes beyond the 'sappy, aestheticizing, defensive, anti-intellectual, or reactionary' vocabulary which has long been associated with generative moves and may have kept analysts from embracing a generative criticality (Sedgwick, 2003: 150). Validity My third concept, 'validity', picks up methodological developments as digital corpora have become more widespread. I suggest that a postfoundational vocabulary could prove useful to highlight or account for the value of corpus analysis for CDS, precisely because it does not involve negating the validity of other, more qualitative, case-based CDS approaches. Most writing on corpus analysis in CDS includes a justification in terms of 'improv[ing] the objectivity' of empirical analysis (Baker, 2012: 247); 'reduc[ing] researcher bias' (Mautner, 2009: 123); and producing more robust, representative and valid findings (cf. Macgilchrist, 2013a). Responding to a similar understanding of validity, other approaches in CDS still engage (somewhat apologetically) with the classic post-positivist critiques that CDS 'cherry-picks' its texts, extracts or arguments in a 'biased', unprincipled way, thus inhibiting the validity of analyses. There is a long discussion in CDS of analysis being 'biased – and proud of it' (Van Dijk, 2001: 96). Since, as Wodak (2014, personal communication) pointed out in response to an earlier version of this article, the notion of 'bias' does imply the possibility of someone somewhere analysing from an unbiased position, I will speak here about 'standpoint' instead to emphasise that we are always already operating from particular situated, mobile, complex, contradictory locations. For postfoundational thinkers, the traditional understanding of 'validity' (as objective, neutral, less biased, etc.) is nothing to agonise over. This understanding of validity is one of those foundational figures which are contingent, political and contestable and which have come to dominate a particular understanding of science or research. Drawing on the comment by Butler noted earlier, the question is: What does this concept of 'validity' authorise, and what does it exclude or foreclose? 'Validity' can be the power to delineate between 'science' and 'not-science'. It polices the boundaries and enacts an exclusionary function (Lather, 1993, 2014). The postfoundational move here is to reframe central concepts such as 'objectivity' and 'validity'. Haraway is perhaps most well known for her resignification of 'objectivity' as always already being from a partial perspective. Following Haraway's (1988) logic, corpus analysis is fascinating for CDS in a digital world because, among other things, it 'makes room for surprises and ironies at the heart of all knowledge production' (p. 594). In relation to validity, attention turns to more relational, socially situated or performative ways of deciding what makes 'good' research. Are the findings, for instance, useful or surprising? Does the research participate in collective action for change? For Lather (2014), for instance, validity is a relational practice, not a set of epistemic concepts. She delineates a set of 'transgressive' validities: ironic validity, paralogic validity, rhizomatic validity and voluptuous validity (see Lather, 1993). My point here is not to advocate any one of these validities, but to suggest more generally that postfoundational work offers an alternative to the practice in CDS of attempting to minimise the effect of a political standpoint on analysis. Instead of combating accusations that a political standpoint has been adopted, a postfoundational approach agrees wholeheartedly with the accusers and sees precisely this as a valid way of doing research. Postfoundational analyses of discourse This section very briefly sketches two analyses of discourse from a postfoundational perspective, pointing, in particular, to their style of generative critique. Both also aim to pay close attention – in different ways – to 'text and talk' in a way which has been the hallmark of powerful CDS. History teaching and radical democracy The first example explores shifting accounts of social movements and radical democracy in school history textbooks (Macgilchrist, 2015; Macgilchrist and Van Praet, 2013). The backdrop to this analysis is the observation that since the 1960s, high-school textbooks in Germany have associated the worker and soldier council movement of 1918–1919 with violence and 'anti-democratic thinking'; the councils are generally presented in a negative light through association with a Soviet threat. Alternative interpretations of these councils as, for instance, 'socialist democracy' have not been included. There is generally, as in most other countries today, not much teaching of social movement history in mainstream history curricula. In this ethnographic and discourse analytical case study of the production of a particular history textbook in Germany, we observed a breakdown in the normally smooth production process. In one meeting, the textbook authors argue quite vehemently with one another about how to represent the council movement. They describe the councils as aiming for a 'different kind of democracy' (Macgilchrist, 2015: 202). Comparing the draft manuscript discussed at the meeting with the published textbook itself, the councils are subtly 'de-dramatised'. For example, instead of 'a worker and soldier council, led by USPD [Independent Social Democratic Party of Germany] and Spartakus leaders', the published book writes only 'a worker and solider council'; instead of the manuscript's 'Soviet style socialism', the publication writes 'council system socialism'; instead of 'sailors and marines mutinied' (manuscript), 'the sailors decided to disobey' (publication). The actions are dissociated from their traditional description as Soviet, violent and anti-democratic and revalorised as moderate and thoughtful (Macgilchrist and Van Praet, 2013: 641). The analysis linked this very specific text and talk to broader contemporary shifts towards more diverse understandings of democracy, including the rethinking of the 'idea of communism' in flamboyant cultural theory, the recent proliferation of historians' writing about forms of radical democracy and a number of popular academic books on various kinds of socialism. In this sense, the analysis assembles various disparate contemporary discourse movements which are imagining democracy as participatory, social and conflictual in times when the 'democracy' of 'the West' is an increasingly unstable value. Economic discourse and postcapitalism The work of J.K. Gibson-Graham has critiqued capitalist dominance by 'documenting the radical heterogeneity of both capitalist and noncapitalist economic practices and proposing a "more-than-capitalist" economy' (Gibson-Graham, 2014: 81; cf. GibsonGraham, 2006; Gibson-Graham et al., 2013). This Marxist, feminist, postfoundational critique of much discourse on capitalism (including Marxist discourse) suggests that by representing capitalism as unified, singular and total, this discourse participates in making transformation seem impossible – or only possible through total systemic change. The 'fantasy of wholeness' in discourse on capitalism 'operates to obscure diversity and disunity in the economy and society alike' (Gibson-Graham, 1996: 260). Overall, Gibson-Graham (1996) aims to help create the discursive conditions under which socialist or other noncapitalist construction becomes a 'realistic' present activity rather than a ludicrous or utopian future goal. To achieve this I must smash Capitalism and see it in a thousand pieces. I must make its unity a fantasy, visible as a denial of diversity and change. (p. 263f) After a short section smashing the dominant discourse into pieces, Gibson-Graham spent a longer section making visible the diversity, change and disunity which breaks up today's apparently unified capitalist economy: housework and family care, slave labour, in-kind payments (e.g. lunch for helping the neighbour to repair his roof), voluntary labour and reciprocal labour (e.g. swapping grocery shopping for driving lessons). Community economies take centre stage, for example cooperatively owned enterprises organised around solidarity principles, including flat pay scales; trade networks designed to support the livelihoods of producers and sustainable environmental practices such as solar power initiatives in Australia; and individuals combining paid and unpaid labour to survive well in terms of material, occupational, social, community and physical wellbeing. These forms of labour question the impression that capitalism is inescapable today. This kind of inventory is 'a first step toward imagining and enacting economic heterotopias – community economies in which well-being is produced directly' (GibsonGraham, 2014: 81). Gibson-Graham's (2006) work also constructed a rich 'language of economic diversity' (p. 53), including movements, experiments, transformations, diverse economy, meshwork, ethical economic experiments, new enactments of the economy, community economies, emerging materialities, community economy assemblages and solidarity economy. In this sense, Gibson-Graham's analysis reframes 'economy'. It assembles participants who are already actively and productively shaping new economic language and worlds by imagining and enacting a vast array of diverse economic activities oriented to key (political, ethical, environmental, social) concerns of community economies. Concluding thoughts I have pointed in this article to contingency and breakdown as two premises of postfoundationalism which enable a rethinking of key concepts in CDS: critique, rationality and validity. Two brief examples illustrated how postfoundational analysis has spoken to issues such as revalorising social movements and radical democracy and reframing economics. This kind of analysis could, of course, be enabled by a range of theories. And the discourse may be only a tiny fissure in a fairly hegemonic configuration. The purchase of postfoundational thinking, in my reading, is that it can (1) orient analysis more immediately to generative, ambivalent, reparative critical practices; (2) free analysis from the foundationalism arguably associated with critical theory's justification for taking a particular moral or political stance, thus enabling analysts to simply (although it is no simple matter) state the coordinates of their standpoints; and (3) move CDS on from post-positivist debates about objectivity and bias, in order to embrace surprise, irony and transgressive validities. The need to attend to how dominant discourse is being challenged and new worlds are being created has been voiced within CDS. Undeniably, social exclusions and discriminations continue to be widespread. At the same time, new demands are being made on discourse studies: protest movements and new political practices are dislocating longheld common sense about how politics work; more people are simultaneously accessing multiple, contradictory news stories, making the constructedness and ideology of particular knowledge claims more immediately visible. At this juncture, postfoundational thought offers one (conceptually rich) way in which the breakdowns, dislocations and (progressive) social change in which people across the globe are engaging today can explicitly formulate critique of present power imbalances and inequality through 'considering hope-giving, on-the-ground practices' which are 'oriented to equality and heterogeneous well-being' (Haraway, 1997: 95). 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) disclosed receipt of the following financial support for the research, authorship, and/ or publication of this article: Research time to write this article was made available through Leibniz Competition funding of the project "Memory practices: Enacting and contesting the curriculum in contemporary classrooms" (2012–2016). Notes 1. The YouTube clip is available at: https://www.youtube.com/watch?v=jlTggc0uBA8 (accessed 30 April 2015). 2. Rendering postfoundational thinking perhaps, for some observers, a particularly 'Western', 'global North' or 'minority world' approach to discourse (Xu, 2014). 3. Note that when I refer to rationality here, I am referring to the presupposition of rationality undergirding an analysis, not rationality or rationalisation as an object of analysis (for the latter, see e.g. Krzyżanowski, 2014; Van Leeuwen, 2007). 4. 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Weiss G and Wodak R (eds) (2003) Critical Discourse Analysis: Theory and Interdisciplinarity. Basingstoke: Palgrave Macmillan. Whitehead AN ([1929] 1985) Process and Reality. New York: Free Press. Wodak R, de Cillia R, Reisigl M, et al. (1999) The Discursive Construction of National Identity. Edinburgh: Edinburgh University Press. Xu S (2014) Chinese Discourse Studies. Basingstoke: Palgrave Macmillan. Zhang H, Chilton P, He Y, et al. (2011) Critique across cultures: Some questions for CDA. Critical Discourse Studies 8(2): 95–107. Žižek S (1993) Tarrying with the Negative. Durham, NC: Duke University Press. Žižek S (2000) The Ticklish Subject: The Absent Centre of Political Ontology. London: Verso. Author biography Felicitas Macgilchrist is Head of the Textbooks as Media Department at the Georg Eckert Institute for International Textbook Research, Braunschweig, and Professor of Media Research at the University of Göttingen. Current research focuses on media discourse, the politics of memory practices and the discourse of educational technology. Publications include Journalism and the Political (John Benjamins, 2011); Diskursforschung: Ein interdisziplinäres Handbuch (Discourse Studies: An Interdisciplinary Handbook, Transcript, 2014); and articles on discourse, ethnography and media theory.
Joint experimental and theoretical approaches in coordination chemistry: from the trans effects to Single Molecule Magnets Frédéric Guégan To cite this version: Frédéric Guégan. Joint experimental and theoretical approaches in coordination chemistry: from the trans effects to Single Molecule Magnets. Coordination chemistry. Université de Lyon, 2016. English. NNT : 2016LYSE1267 . tel-01475448 HAL Id: tel-01475448 https://theses.hal.science/tel-01475448v1 Submitted on 23 Feb 2017 HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. 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THÈSE DE DOCTORAT DE L'UNIVERSITÉ DE LYON opérée au sein de l'Université Claude Bernard Lyon 1 École Doctorale de Chimie de Lyon ED206 Chimie, Procédés, Environnement Spécialité de doctorat : chimie Thèse soutenue le 14/12/2016, par : Frédéric Guégan JOINT EXPERIMENTAL AND THEORETICAL APPROACHES IN COORDINATION CHEMISTRY: "from the trans effects to Single Molecule Magnets" Devant le jury composé de : De Proft Frank, Professeur, Vrije Universiteit Brussel Rapporteur Winpenny Richard, Professeur, University of Manchester Rapporteur Albela Belen, Maître de conférences HDR, ENS de Lyon Examinateur Costuas Karine, Directrice de Recherches, Université Rennes 1 Examinateur Joubert Laurent, Professeur, Université de Rouen Examinateur Larionova Joulia, Professeure, Université de Montpellier Présidente de jury Luneau Dominique, Professeur, Université de Lyon Directeur de thèse Morell Christophe, Professeur, Université de Lyon Co-directeur de thèse UNIVERSITE CLAUDE BERNARD-LYON 1 Président de l’Université M. le Professeur Frédéric FLEURY Président du Conseil Académique M. Le Professeur Hamda BEN HADID Vice-président du Conseil d’Administration M. le Professeur Didier REVEL Vice-président du Conseil Formation et Vie Universitaire M. le Professeur Philippe CHEVALIER Vice-président de la Commission Recherche M. Fabrice VALLEE Directrice Générale des Services Mme Dominique MARCHAND COMPOSANTES SANTE Faculté de Médecine Lyon Est – Claude Bernard Directeur : M. le Professeur G. RODE Faculté de Médecine et de Maëeutique Lyon Sud Directeur : Mme la Professeure C. BURILLON – Charles Mérieux Faculté d’Odontologie Directeur : M. le Professeur D. BOURGEOIS Institut des Sciences Pharmaceutiques et Biologiques Directeur : Mme la Professeure C. VINCIGUERRA Institut des Sciences et Techniques de la Réadaptation Directeur : M. X. PERROT Département de formation et Centre de Recherche en Biologie Humaine Directeur : Mme la Professeure A-M. SCHOTT COMPOSANTES ET DEPARTEMENTS DE SCIENCES ET TECHNOLOGIE Faculté des Sciences et Technologie Directeur : M. F. DE MARCHI Département Biologie Directeur : M. le Professeur F. THEVENARD Département Chimie Biochimie Directeur : Mme C. FELIX Département GEP Directeur : M. Hassan HAMMOURI Département Informatique Directeur : M. le Professeur S. AKKOUCHÉ Département Mathématiques Directeur : M. le Professeur G. TOMANOV Département Mécanique Directeur : M. le Professeur H. BEN HADID Département Physique Directeur : M. le Professeur J-C PLENET UFR Sciences et Techniques des Activités Physiques et Sportives Directeur : M. Y.VANPOULLE Observatoire des Sciences de l’Univers de Lyon Directeur : M. B. GUIDERDONI Polytech Lyon Directeur : M. le Professeur E.PERRIN Ecole Supérieure de Chimie Physique Electronique Directeur : M. G. PIGNAULT Institut Universitaire de Technologie de Lyon 1 Directeur : M. le Professeur C. VITON Ecole Supérieure du Professorat et de l’Education Directeur : M. le Professeur A. MOUGNIOTTE Institut de Science Financière et d’Assurances Directeur : M. N. LEBOISNE Dans la vie, rien n'est à craindre, tout est à comprendre. Marie Curie On ne fait jamais attention à ce qu'a été fait ; on ne voit que ce qu'il reste à faire. Idem Remerciements Certains chapitres sont plus compliqués à rédiger que d’autres, et les remerciements sont indéniablement une partie ardue dans une rédaction de thèse. Il s’agit en effet de remercier toutes les personnes qui ont rendu cette thèse possible, donc de n’oublier personne, et de manière relativement personnalisée et originale, c’est à dire si possible sans répétition. Enfonçons des portes ouvertes : la tâche est complexe, d’autant plus qu’il n’existe à ma connaissance (et à celle des rédacteurs du Petit Larousse) pas de synonyme pour le verbe "remercier". Je vais donc commencer ces remerciements en m’excusant par avance pour les éventuels oublis, forcément involontaires, et pour les répétitions, hélas nécessaires. Je souhaite tout d’abord exprimer ma plus profonde reconnaissance$^{(i)}$ à mes directeurs de thèse, Dominique et Christophe, pour leur présence et leur aide au cours de ces trois années de thèse, mais aussi au cours des différents stages que j’ai pu effectuer avec l’un ou l’autre. Vous avez toujours su vous rendre disponibles pour mes questions, et votre curiosité a été un moteur important dans ma thèse. Je pense que je n’arriverais jamais à vous remercier suffisamment pour la liberté que vous m’avez donné dans le choix des orientations de ma thèse, me permettant d’expérimenter librement (et n’intervenant que pour me rappeler de ne pas me disperser). J’ai énormément appris au cours de ces trois années à vos côtés. Je tiens aussi à adresser mes remerciements les plus sincères à Frank de Proft et Richard Winpenny, pour avoir accepté de rapporter mon manuscrit de thèse, ainsi qu’à Belen Albela, Karine Costuas, Joulia Larionova et Laurent Joubert d’avoir bien voulu faire partie de mon jury de thèse. Cette thèse s’est effectuée entre deux laboratoires, le LMI et l’ISA. Je tiens donc à adresser ma gratitude à leurs directeurs respectifs, Arnaud Brioude et Nathalie Schildknecht, pour m’avoir accueilli dans leurs services. J’aimerais au passage étendre ces remerciements à ceux qui sont trop souvent oubliés mais qui font que les laboratoires tiennent debout d’un jour sur l’autre, à savoir toutes les secrétaires, gestionnaires et personnels techniques, qui ont pendant ces trois années fait preuve de beaucoup de patience face à mes questions éplorées (en particulier face au monstre administratif qu’est l’Université). Poussant l’analyse un peu plus loin, on est en droit de se dire que, dans un laboratoire, on peut y trouver des collègues. Cette propriété est effectivement vraie, et ils ont joué un rôle de premier plan dans ces trois années. Je ne sais pas comment les remercier pour leur présence au quotidien, leur patience sans borne face à mes jeux de mots vaseux ou mon humeur en montagnes russes, ainsi que pour la bonne ambiance qu’ils ont su installer. $^{(i)}$Notez le contournement de la difficulté sus-mentionnée ! J'ai une pensée presque émue quand je pense à la quantité de café\footnote{Et aussi de bières, mais il faut sans doute moins le mentionner dans une thèse...} qu'on a du descendre en trois ans. Même si la frontière entre collègues et amis est plus que poreuse, j'aimerais faire une mention spéciale à ceux-ci. Mille mercis pour votre soutien au jour le jour, et pour tout ce qu'on a pu traverser ensemble (et vous êtes toujours là !). Je vais aussi éviter de faire une liste ici, qui serait longue et très probablement incomplète, mais sachez que je pense à vous tous en écrivant cela, et ce même si on ne se voit pas forcément autant qu'avant (pensée particulière pour les amis bretons, hélas éloignés suite à mon exil lyonnais). Je voudrais au passage en profiter pour remercier aussi mes colocs successifs de m'avoir supporté pendant un certain nombre d'années successives, et d'avoir rendu la vie en dehors du boulot plus agréable. Un grand merci donc à Julien, Anh Thy, Aisling, Alexis, François et Vincent.\footnote{Ne sois pas impatient Mathias, ton tour vient après !} J'aimerais aussi profiter de cette partie pour remercier ma famille, et tout particulièrement mes parents d'avoir toujours cru en moi et de m'avoir toujours poussé, non pas à aller plus loin ou viser plus haut, mais à faire ce que j'aime et à essayer de bien le faire. Si j'en suis là aujourd'hui c'est grâce à vous, et je ne l'oublierai jamais. Enfin, je voudrais profiter de ces quelques dernières lignes pour remercier celui qui me supporte depuis tant d'années (5 ans, déjà ?), et dont la présence ensoleille mes journées. Mathias, cette thèse est un peu la tienne. ## Contents Introduction 15 1 Elements of quantum chemistry 17 1.1 Solving the Schrödinger equation 17 1.2 Wavefunction based theories 18 1.2.1 Hartree-Fock method 18 The Slater determinant 18 The Hartree-Fock approximation 18 Restricted and Unrestricted Hartree-Fock 19 1.2.2 Post-Hartree Fock methods 19 The correlation energy 19 Working on the wavefunction: the full CI development 20 Truncating the CI development 21 Perturbative approach: Møller-Plesset approach 22 Multi-Reference methods 24 1.3 Density Functional theory 27 1.3.1 Why resorting to density? 27 1.3.2 The Hohenberg-Kohn theorems 28 1.3.3 The Kohn-Sham ansatz 29 1.3.4 The Jacob’s ladder and the limits of the model 30 1.3.5 A few words on TDDFT 31 1.4 Conceptual DFT, or DFT for Chemical Reactivity 32 1.5 Basis sets and relativistic corrections 34 1.5.1 Basis sets 34 1.5.2 Relativistic corrections 34 1.6 Long story short... 35 2 Elements of coordination chemistry and molecular magnetism 37 2.1 From Werner’s work to the ligand field theory 37 2.1.1 First studies of octahedral complexes 37 2.1.2 Crystal field theory 38 2.1.3 Ligand field theory 40 2.1.4 The metal-ligands interaction and the Kloppman-Salem model 41 2.2 Molecular magnetism 42 2.2.1 Diamagnetism, paramagnetism and related properties 42 2.2.2 The van Vleck equation 43 2.2.3 Magnetism of coordination complexes: basic principles 44 Isotropic case 44 Anisotropic case 47 2.2.4 Single Molecule Magnets 49 2.2.5 Characterising magnetic anisotropy locally .......................... 52 Angular-resolved magnetometry ........................................... 53 Polarised Neutron Diffraction (PND) .................................... 55 2.3 Long story short .................................................................. 57 3 Revisiting the metal-ligand interactions through conceptual DFT .... 59 3.1 State specific Dual Descriptor ......................................... 59 3.2 DD and MEP: complementary tools for the study of ambiphilic ligands .. 63 3.2.1 Theoretical model ..................................................... 63 Molecular Electrostatic Potential .................................... 63 Condensed Grand-canonical Dual Descriptor ....................... 64 Computational details .................................................... 65 3.2.2 Results and discussion .............................................. 65 3.2.3 Conclusion .............................................................. 73 3.3 A new approach of the trans effects in octahedral complexes ........ 73 3.3.1 Theoretical model ..................................................... 74 Theoretical tools ........................................................... 74 Methodology and computational details ............................. 75 3.3.2 Results and discussion .............................................. 76 Comparing cis and trans positions ................................... 76 Comparing trans orienting ligands ................................... 80 Towards a quantitative scale? .......................................... 83 3.3.3 Conclusion .............................................................. 85 3.4 Long story short ............................................................ 86 4 Amino-acid based copper complexes: from reactivity to molecular magnetism. ................................................................. 87 4.1 Introduction ...................................................................... 87 4.2 Syntheses and structures .................................................. 88 4.2.1 Syntheses and structures of the ligands ......................... 88 4.2.2 Coordination properties .............................................. 90 4.2.3 Complexations ........................................................... 91 Trimuclear complexes 4.1 and 4.2 .................................... 92 Polymeric complexes 4.3 and 4.4 ..................................... 93 Structure in solution ...................................................... 94 4.3 Reactivity studies ............................................................ 97 4.3.1 First approach with B3LYP ........................................ 97 4.3.2 Refining with ωB97xD ............................................... 103 Summary ................................................................. 105 4.4 Magnetic properties ........................................................ 107 4.4.1 Coordination polymers 4.3 and 4.4 ............................. 107 4.4.2 Trimuclear complexes .............................................. 108 Foreword ................................................................. 108 Experimental data ....................................................... 108 Theoretical modelling .................................................. 109 4.5 Conclusion ................................................................. 115 D Complementary magnetic data ........................................ 197 D.1 AC magnetometry of the [LnTp$_2$NO$_3$] complexes .............. 197 D.1.1 Field dependence of the AC susceptibility ............... 197 D.1.2 Cole-Cole plots ........................................... 198 D.2 AC magnetometry of the [LnTp$_2$Acac] complexes ............. 198 D.2.1 Arrhenius plot for (5,6) .................................. 198 D.2.2 Cole-Cole plots ........................................... 198 E Programs ............................................................ 201 E.1 Uncertainties .................................................. 201 E.2 Conversion ..................................................... 204 F Publications ......................................................... 213 Introduction La chimie de coordination est un domaine de recherche diversifié et fertile. De nombreuses et originales propriétés (magnétisme, luminescence, réactivité) peuvent en effet naître de l’interaction entre cations métalliques et ligands, et peuvent en outre être finement contrôlées par une ingénierie chimique appropriée. Plusieurs modèles ont été successivement étudiés et appliqués avec succès pour décrire les propriétés des composés de coordination; par exemple, la théorie du champ cristallin et son successeur, la théorie du champ des ligands. Ces modèles sont très précieux pour le chimiste, dans la mesure où ils offrent un cadre théorique robuste pour comprendre, interpréter et rationaliser les observations expérimentales, comme par exemple les variations dans les propriétés optiques d’une série de complexes. En général, ils possèdent une solide base théorique et ont dans le même temps l’avantage d’être relativement généraux et souples dans leur formulation. Néanmoins, ces modèles sont tous intrinsèquement limités et peuvent être trop simplifiés pour pouvoir réellement s’appliquer à des cas concrets. Par exemple, la théorie du champ cristallin est bien formulée pour des complexes présentant de hautes symétries, tandis que les composés étudiés peuvent être assez peu – voire pas du tout – symétriques. Dans de tels cas, il est utile de revenir aux bases théoriques de ces modèles. Grâce à l’intense développement informatique de ces dernières années, les domaines d’application de la chimie quantique se sont considérablement élargis. De plus en plus de systèmes peuvent être étudiés par des calculs de haut niveau, les limites de taille étant sans cesse repoussées. En parallèle de ce développement technique, le développement d’interfaces plus ergonomiques de nombreux programmes de chimie quantique permet un élargissement de leur public vers les non-spécialistes (pour peu qu’ils soient tout de même familiers avec la chimie quantique). Il est donc de plus en plus aisé de vérifier et de compléter nos modèles. De fait, il nous apparaît fort probable que la pratique expérimentale s’appuie de plus en plus sur la théorie au cours des années à venir. Un dialogue toujours plus fourni entre les deux domaines ne saurait être que fructueux, laissant envisager la possibilité à terme que les expérimentateurs eux-mêmes effectuent des calculs de chimie quantique sur les systèmes qui les intéressent, et vice-versa. Le présent travail s’insère dans cette idée de "construire des ponts" entre expérience et modélisation. La partie expérimentale de cette thèse a été effectuée dans l’équipe de Chimie Inorganique Moléculaire et Précurseurs du Laboratoire des Multimatériaux et Interfaces (LMI), et la partie théorique au sein de l’équipe Chimiométrie et Chimie Théorique de l’Institut des Sciences Analytiques de Lyon (ISA). Au cours de cette thèse, nous nous sommes principalement intéressés à la description et la compréhension de propriétés magnétiques, de luminescence et de réactivité de complexes de coordination. Le chapitre 1 présente les fondamentaux de la chimie quantique et computationnelle. Y sont développés les outils utilisés dans le reste du manuscrit, à savoir les théories de Hartree-Fock, post Hartree-Fock et de la Fonctionnelle de la Densité. Une mention toute particulière est réservée à la DFT conceptuelle, qui a été intensivement utilisée au cours de ce travail. Dans le chapitre 2, nous donnons un certain nombre d’éléments de théorie relatifs à la chimie de coordination et ses modèles. Une part importante de ce chapitre est dédiée au magnétisme moléculaire qui, s’il ne se résume pas à la chimie de coordination, a une importance majeure dans le développement de cette dernière et aussi dans le présent travail. Le chapitre 3 revisite les interactions métal-ligands en chimie de coordination par la DFT conceptuelle. Le travail est triple : dans un premier temps, nous proposons une nouvelle approche computationnelle du Descripteur Dual, basée sur un formalisme de théorie des perturbations indépendantes du temps. Dans un second temps, à travers une courte étude des propriétés de coordination des ligands nous illustrons la puissance prédictive de ce descripteur. Enfin, il est utilisé dans un dernier temps pour caractériser et rationaliser l’effet trans dans les complexes de coordination octaédriques. Pour la première fois, nous proposons une échelle purement théorique des ligands trans-orienteurs. Ces deux études ont été réalisés en collaboration avec Vincent Tognetti et Laurent Joubert (Université de Rouen). Dans le chapitre 4, nous nous intéressons aux propriétés physico-chimiques de complexes de cuivre(II) et de bases de Schiff dérivant d’acides aminés chiraux, en particulier au magnétisme. L’un des but de cette étude est en effet de déterminer si la chiralité de nos ligands a un impact sur les propriétés magnétiques des complexes formés. Dans ce chapitre, nous présenterons donc les synthèses et les propriétés magnétiques et de réactivité de ces derniers, que nous rationaliserons par des études DFT et post Hartree-Fock (DDCI, NEVPT2). Les calculs DDCI ont été réalisés en collaboration avec Marie-Bernadette Lepetit (Institut Néel, Grenoble). Enfin, le chapitre 5 présente les synthèses et caractérisations magnétiques de deux familles de complexes de coordination mononucléaires de lanthanide. Pour la plupart, ces composés présentent un comportement de molécule-aimant induit par le champ. La dynamique de l’aimantation de ces complexes a pu être rationalisée grâce à une étude de leurs propriétés de luminescence et des calculs ab initio, les résultats demeurant cependant préliminaires dans le cas de la seconde famille de composés. Les mesures de luminescence ont été réalisés en collaboration avec Olivier Maury et François Riobé (ENS Lyon), et les calculs ab initio en collaboration avec Julie Jung et Boris le Guennic (Université de Rennes 1). Chapter 1 Elements of quantum chemistry The aim of quantum chemistry is to describe chemical systems, i.e. molecules or solids, through the equations of quantum mechanics. To this extent, many different formulations and methods were developed. The goal of this chapter is to present them. Here, we decided to focus on the concepts, rather than going deep into the algebraic details. The main idea is to provide, for the non-specialist, the flavour of these methods, leaving the mathematical details to the dedicated textbooks. With this idea in mind, it seemed rather logical for us to leave aside all the methods that were not employed in this thesis. Presenting them all would indeed be quite a Promethean task, and we may refer the curious reader to the hereafter cited textbooks. 1.1 Solving the Schrödinger equation First of all, let us restrict the scope to molecular systems, in which we will consider nuclei as classical particles. The central problem in quantum chemistry is thus to solve the stationary Schrödinger equation: \[ \mathcal{H}\|\Psi\rangle = E\|\Psi\rangle \] (1.1) for a given molecule with M nuclei A and N electrons i.$^1$,$^2$ The wavefunction $ \Psi $ contains all the information on the system. Here, we will be considering the chemical properties only at a fixed geometry, and we will assume the motions of electrons and nuclei can be separated (Born-Oppenheimer approximation).$^3$ In such a case, the total energy is distributed into two components, one related to the nuclei exclusively, and one related to the electrons. We will only focus on the latter, which is expressed as: \[ \mathcal{H}_{el} = \sum_{A=1}^{M} \sum_{i=1}^{N} -\frac{Z_A}{\|R_A - r_i\|} + \sum_{i=1}^{N} -\frac{1}{2} \nabla_r^2 + \sum_{i=1}^{N} \sum_{j>i}^{N} \frac{1}{\|r_i - r_j\|} \] (1.2) \[ = V_{en} + T_e + V_{ee} \] (1.3) with $ V_{en} $ the electron-nuclei attraction, $ T_e $ the kinetic energy of the electrons and $ V_{ee} $ the electron-electron repulsion energy.$^4$ Obviously, the two first operators are monoelectronic, i.e. the contribution from each electron can be treated separately from that of the others. Considering only these two terms, the Schrödinger equation could be analytical solved. Often, they are gathered into a monoelectronic operator $ h(i) $. $ V_{ee} $ on the other hand is a two-electrons operator, and the contribution of a specific electron $ i $ cannot be decorrelated from the contribution of the other electrons $\mathbf{j}^{(i)}$. Because of this latter term, in the general case the Schrödinger equation cannot be analytical solved. In order to describe correctly molecules, we thus need to devise efficient approximations. They can be developed in two different frameworks, which are presented in the following. The first one is based on a wavefunction formalism: the Hartree-Fock approximation and its corrections, the so-called post Hartree-Fock methods. The second one is based on the electron density: the Density Functional Theory. Noteworthy, this approach is formally exact if applied to a non-degenerate ground state. However, as we will show its exact formulation is inapplicable, and approximations are also called. ### 1.2 Wavefunction based theories #### 1.2.1 Hartree-Fock method The Slater determinant Before getting into the details of the Hartree-Fock formalism, we may say a few words about the wavefunction itself. The electrons are indiscernible particles, which furthermore obey the Pauli principle of exclusion, due to their fermionic nature. These two properties imply that the wavefunction must change its sign upon the exchange of two electrons: $\Psi$ is said to be antisymmetric. If we assume we can develop the wavefunction over a basis of monoelectronic orbitals $\phi_i$, a convenient form of $\Psi$ is given by the Slater determinant: $$\Psi = \frac{1}{\sqrt{N!}} \begin{vmatrix} \phi_1(\mathbf{x}_1) & \phi_2(\mathbf{x}_1) & \ldots & \phi_N(\mathbf{x}_1) \\ \phi_1(\mathbf{x}_2) & \phi_2(\mathbf{x}_2) & \ldots & \phi_N(\mathbf{x}_2) \\ \vdots & \vdots & \ddots & \vdots \\ \phi_1(\mathbf{x}_N) & \phi_2(\mathbf{x}_N) & \ldots & \phi_N(\mathbf{x}_N) \end{vmatrix}, \tag{1.4}$$ where $\mathbf{x}_i$ represents the position $\mathbf{r}_i$ and spin ($\gamma=\alpha$ or $\beta$) of electron $i$. For the sake of simplicity, in the following we will use the common and simplified notation $\Psi = \|\phi_1\phi_2\ldots\phi_N\rangle$. The Hartree-Fock approximation The Hartree-Fock approximation states that the wavefunction $\Psi$ can indeed be written as a single Slater determinant. Fundamentally, this implies that the fully coupled problem in equation (1.3) has been simplified to a mean field approach. The electron-electron repulsion can thus be explicited for each electron, feeling the influence of the N-1 remaining electrons. The energy of the system can then be written as: $$E = \langle \Psi \| H_{el} \| \Psi \rangle = \sum_{i=1}^{N} \langle \phi_1 \ldots \phi_i \ldots \phi_N \| h(i) \| \phi_1 \ldots \phi_i \ldots \phi_N \rangle$$ $$+ \sum_{i=1}^{N} \sum_{j>i}^{N} \langle \phi_1 \ldots \phi_i \ldots \phi_j \ldots \phi_N \| \frac{1}{\|\mathbf{r}_i - \mathbf{r}_j\|} \| \phi_1 \ldots \phi_i \ldots \phi_j \ldots \phi_N \rangle$$ $$- \sum_{i=1}^{N} \sum_{j>i}^{N} \langle \phi_1 \ldots \phi_i \ldots \phi_j \ldots \phi_N \| \frac{1}{\|\mathbf{r}_i - \mathbf{r}_j\|} \| \phi_1 \ldots \phi_j \ldots \phi_i \ldots \phi_N \rangle$$ \footnote{Actually, we retrieve a N-body in interaction scheme.} \begin{equation} = \sum_{i=1}^{N} \langle \phi_i \| h(i) \| \phi_i \rangle + \sum_{i=1}^{N} \sum_{j>i}^{N} \langle \phi_i \phi_j \| \frac{1}{\|\mathbf{r}_i - \mathbf{r}_j\|} \| \phi_i \phi_j \rangle - \langle \phi_i \phi_j \| \frac{1}{\|\mathbf{r}_i - \mathbf{r}_j\|} \| \phi_j \phi_i \rangle \end{equation} \begin{equation} = \sum_{i=1}^{N} h_i + \sum_{i=1}^{N} \sum_{j>i}^{N} \langle \phi_i \| J_j(i) \| \phi_i \rangle - \langle \phi_i \| K_j(i) \| \phi_i \rangle \end{equation} In equation (1.7), the first term in the double sum is called the Coulomb term. It translates the repulsion between one electron in the orbital $\phi_i$ and another electron in $\phi_j$. The second term has no classical counterpart. It translates the energetic stabilisation when the electrons in orbitals $\phi_i$ and $\phi_j$ are exchanged, hence its name exchange energy. To solve the Schrödinger equation within this scheme, one thus needs to minimise $E$ (variational principle). An additional condition to this minimisation is the fact that the orbitals $\phi_i$ must be orthonormal.$^5$ This leads to the minimisation of the following Lagrangian: \begin{equation} \mathcal{L} = \langle \Psi \| \mathcal{H}_{el} \| \Psi \rangle - \sum_{i=1}^{N} \sum_{j=1}^{N} \epsilon_{ij} (\langle \phi_i \| \phi_j \rangle - \delta_{ij}). \end{equation} Each $\epsilon_{ij}$ has the dimension of an energy, and their sum over $j$ yields the energy of the orbital $\phi_i$. Practically, the Lagrangian is minimised using a Self-Consistent Field (SCF) procedure: from a set of guess orbitals, the value of $\mathcal{L}$ is computed. The orbitals are then modified in order to diminish $\mathcal{L}$, and the calculation develops until convergence is detected. Restricted and Unrestricted Hartree-Fock The Hartree-Fock formalism thus permits the calculation of the ground state wavefunction and energy, under the approximation that the former can be written as a single Slater determinant. Actually, two formulations are found: Restricted (RHF) and Unrestricted (UHF) Hartree-Fock calculations. In the former case, the orbitals occupation can only be 2 or 0. If we separate the spin and spatial component of the orbitals $\phi = \zeta(\mathbf{r}) \chi(\gamma)$, this implies that the spatial parts $\zeta(\mathbf{r})$ are set to be equal for two electrons with spin $\alpha$ and $\beta$. Note this is what one usually assumes when drawing a molecular orbital diagram (two electrons per orbital at most). In the UHF description on the other hand, one allows the spatial parts for spin $\alpha$ and $\beta$ to be different, and orbitals occupations can only be 1 or 0. Such a formalism is needed if one wants to describe open-shell structures (radicals, transition metal ions). It is also necessary in order to describe correctly homolytic bond cleavage.$^7$ Yet, as underlined in the latter reference, even though UHF yields in that case an improvement over RHF, it may still be quite inaccurate. This is the consequence of the underlying simplifications in the Hartree-Fock formulations: the mean-field and mono-determinental approximations. We will show in the following section how the descriptions can be improved, starting from a RHF or UHF calculation. ### 1.2.2 Post-Hartree Fock methods The correlation energy In the previous section, we mentioned that the Hartree-Fock formalism implicitly describes the electron-electron repulsion by a mean-field approach. Hence, in such calculations the actual correlation – which we will precisely define later – between the electrons is mistreated. Usually, one defines the correlation energy$^7$ as \[ E_{corr} = E_{exact} - E_{HF}. \] (1.9) The goal of the post Hartree-Fock approaches reduces more or less to the computation of an accurate enough $E_{corr}$. Working on the wavefunction: the full CI development Formally, the mean-field approximation that is used throughout the Hartree-Fock model is not coming from a simplification of the Hamiltonian, but rather from the arbitrary form of the wavefunction. The Slater determinant of equation (1.4) is indeed an antisymmetric function, but any linear combination of such determinants would also be an antisymmetric function. Actually, provided that there exists an infinite basis of orbitals $\phi_i$, the exact wavefunction $\Psi$ should be a linear combination of all the possible Slater determinants constructed on this basis.$^5,^9$ Let’s consider the following Slater determinant, solution of the Hartree-Fock equations: \[ \|\Psi_{HF}\rangle = \|\phi_1\phi_2\ldots\phi_a\phi_b\phi_c\ldots\phi_N\ldots\phi_r\phi_s\phi_t\ldots\rangle \] (1.10) with an infinite number of orbitals. $\phi_a$, $\phi_b$ and $\phi_c$ represent occupied orbitals, and $\phi_r$, $\phi_s$, $\phi_t$ virtual (unoccupied) ones. We can construct an infinity of orthogonal determinants by promoting L ($L \leq N$) electrons from the occupied orbitals to the virtual ones: \[ \|\Psi_a^r\rangle = \|\phi_1\phi_2\ldots\phi_r\phi_b\phi_c\ldots\phi_N\ldots\phi_a\phi_s\phi_t\ldots\rangle \] (1.11) \[ \|\Psi_{ab}^{rs}\rangle = \|\phi_1\phi_2\ldots\phi_r\phi_s\phi_c\ldots\phi_N\ldots\phi_a\phi_b\phi_t\ldots\rangle \] (1.12) \[ \|\Psi_{abc}^{rst}\rangle = \|\phi_1\phi_2\ldots\phi_r\phi_s\phi_t\ldots\phi_N\ldots\phi_a\phi_b\phi_c\ldots\rangle ... \] (1.13) Doing so, we actually build all the possible determinants with the given orbital basis. They are called n-excited determinants. Hence, we can write the wavefunction as \[ \|\Psi\rangle = c_0\|\Psi_{HF}\rangle + \sum_{a=1}^{N} \sum_{r=N+1}^{\infty} c_a^r\|\Psi_a^r\rangle + \sum_{a=1}^{N} \sum_{\substack{r=N+1 \\ b>a}}^{\infty} c_{ab}^{rs}\|\Psi_{ab}^{rs}\rangle + \ldots \] (1.14) Conceptually, equation (1.14) develops the wavefunction upon all the possible electronic configurations. Though these determinants are mutually orthogonal, they are going to be coupled by the Hamiltonian, and as such each determinant is likely to interact with the others, directly or not. This development is called "Full Configuration Interaction" (full-CI).$^{(ii)}$ $^{(ii)}$ Actually, the Brillouin’s theorem states that the interaction of $\|\Psi_{HF}\rangle$ with the mono-excited $\|\Psi_a^r\rangle$ is null. Furthermore, the Slater rules imply that there is no interaction through $\mathcal{H}$ between determinants differing by more than 2 orbitals. Thus, the CI matrix can be written as the block matrix: \[ \begin{pmatrix} \langle\Psi_{HF}\|\mathcal{H}\|\Psi_{HF}\rangle & 0 & \langle\Psi_{HF}\|\mathcal{H}\|D\rangle & 0 & 0 & \ldots \\ \langle S\|\mathcal{H}\|S\rangle & \langle S\|\mathcal{H}\|D\rangle & \langle S\|\mathcal{H}\|T\rangle & 0 & \ldots \\ \langle D\|\mathcal{H}\|D\rangle & \langle D\|\mathcal{H}\|T\rangle & \langle D\|\mathcal{H}\|Q\rangle & \ldots \\ \langle T\|\mathcal{H}\|T\rangle & \langle T\|\mathcal{H}\|Q\rangle & \ldots \\ \langle Q\|\mathcal{H}\|Q\rangle & \ldots \\ \end{pmatrix} \] (1.15) where $\|S\rangle$, $\|D\rangle$, $\|T\rangle$, $\|Q\rangle$ represent the subsets of simple, double, triple and quadruple excitations, respectively. Stating the obvious, it is rather cumbersome to deal with an infinite number of basis functions. In a full-CI calculation, one will often restrict to a finite number of orbitals $N' \gg N$. The calculated energy will thus be an upper bond of the exact energy, and one can arbitrarily set the precision of the calculation by adjusting $N'$. Yet, the cost of the calculation becomes quickly prohibitive, since the number of Slater determinants increases quickly with $N'$, and thus with $N$: $$\binom{N'}{N} = \frac{N'!}{N!(N'-N)!}. \quad (1.16)$$ Full-CI calculations are said to scale exponentially with the number of orbitals, and will thus be limited to very simple systems, with a low number of atoms. These may not be the most interesting systems to study. Further levels of simplifications are still needed if one wants to take the effects of correlation into account. Truncating the CI development A first simplification that comes to mind is simply to truncate the development of equation (1.14). There are indeed physical arguments for this simplification. First of all, the more electrons are promoted to virtual orbitals, the higher in energy will be the resulting configuration. Furthermore, from the form of the full-CI matrix (cf. equation (1.15)) it appears that only the doubly excited determinants couple directly with the Hartree-Fock determinants. Truncating at the second order would then give: $$\|\Psi\rangle = c_0 \|\Psi_{HF}\rangle + \sum_{a=1}^{N} \sum_{r=N+1}^{N'} c_a^r \|\Psi_a^r\rangle + \sum_{\substack{a=1 \\ b>a}}^{N} \sum_{\substack{r=N+1 \\ s>r}}^{N'} c_{ab}^{rs} \|\Psi_{ab}^{rs}\rangle \quad (1.17)$$ $$E_{corr} = c_0 \sum_{\substack{a=1 \\ b>a}}^{N} \sum_{\substack{r=N+1 \\ s>r}}^{N'} c_{ab}^{rs} \langle \Psi_{HF} \| H \| \Psi_{ab}^{rs} \rangle. \quad (1.18)$$ This approach is called CISD\textsuperscript{10}: Configuration Interaction of Single and Double excitations. In a similar way, one can define a CIS and CID development. The truncation alleviates a large part of the computational effort, but this simplification has a down side. First of all, even though only the doubly excited determinants are directly coupled to the Hartree-Fock one, they are all interacting indirectly. Neglecting this interaction will change the coefficients $c_a^r$ and $c_{ab}^{rs}$, and as such the calculated correlation energy.\textsuperscript{7} More importantly, the truncated CI development is not size-extensive. This means the energy of N independent molecules will indeed be different to N times the energy of an isolated one. This is due to the truncation to a given order, which does not necessarily allow excitations on all the molecules at the same time.\textsuperscript{8} For instance, for a system of two identical molecules, at the second order the only possible determinants are the following: - $\|0, 0\rangle$ for the ground configuration ($0$ indicating the non-excited determinant for one molecule) - $\|0, S\rangle$ and $\|S, 0\rangle$ for the mono-excitation ($S$ indicating singly excited determinants) - $\|S, S\rangle$, $\|0, D\rangle$ and $\|D, 0\rangle$ for the di-excitations ($D$ representing the doubly excited determinants). No cross-double excitations $\|D, D\rangle$ are possible since they correspond formally to a quadruple excitation (four electrons in four orbitals). A possible solution comes from an alternative formulation in the framework of the second quantization theory: the coupled cluster formulation.\textsuperscript{11} Let’s define two operators: \begin{align} T_1 \|\Psi_{HF}\rangle &= \sum_{a=1}^{N} \sum_{r=N+1}^{N'} c_a^r \|\Psi_a^r\rangle \\ T_2 \|\Psi_{HF}\rangle &= \sum_{a=1}^{N} \sum_{\substack{r=N+1 \\ b>a}}^{N'} c_{ab}^{rs} \|\Psi_{ab}^{rs}\rangle. \end{align} $T_1$ is a creation/annihilation operator: it annihilates an electron in $\Psi_{HF}$, in the orbital $a$, and creates an electron in the orbital $r$. Similarly $T_2$ annihilates two electrons in $\Psi_{HF}$, in the orbitals $a$ and $b$, and creates two electrons in the orbitals $r$ and $s$. The CISD wavefunction can thus be written as $$\|\Psi_{CISD}\rangle = (1 + T_1 + T_2) \|\Psi_{HF}\rangle.$$ Basing on these two operators only, we can define another wavefunction: the CCSD (Coupled Cluster restricted to the Single and Double excitations) wavefunction $$\|\Psi_{CCSD}\rangle = e^{(T_1 + T_2)} \|\Psi_{HF}\rangle.$$ The interest of this formulation is more obvious if we expand the exponential as a series: \begin{align} \|\Psi_{CCSD}\rangle &= \left(1 + (T_1 + T_2) + \frac{1}{2} (T_1 + T_2)^2 + \ldots\right) \|\Psi_{HF}\rangle \\ &= \left(1 + (T_1 + T_2) + \frac{1}{2} (T_1^2 + 2T_2T_1 + T_2^2) + \ldots\right) \|\Psi_{HF}\rangle \end{align} using the commutation properties of the two operators $T_1$ and $T_2$. Indeed, from this development it appears that we are able to access the single and double excitations, but also some of the triples and quadruples, from the $T_2T_1$ and $T_2^2$ terms. Furthermore, CCSD is size-extensive. Yet, it is still a very expensive and heavy formalism, with a $N^{76}$ scaling,\textsuperscript{12} hence restricted to small-size systems. For instance, on a small complex of 17 heavy atoms and 21 hydrogens, the initialisation step of a CCSD calculation in Gaussian 09 (with triple-zeta quality bases) is requiring more than 16 Go of disk space! Very likely, this approach will not be accessible for the kind of molecules we will be interested in in this thesis. Perturbative approach: Møller-Plesset approach The aim of Møller-Plesset (MP) approach\textsuperscript{8,13} is to correct the Hartree-Fock wavefunction and energy basing on the framework of Rayleigh-Schrödinger perturbations. The ingenious idea is to treat the $r_{ij}^{-1}$ potential as a perturbation of the Hartree-Fock mean field one. Let’s start from the so-called Fock operator $$\mathcal{H}_0 = \sum_{i=0}^{N} \mathcal{F}(i) = \sum_{i=1}^{N} \left(h(i) + \sum_{j=1}^{N} J_j(i) - K_j(i)\right).$$ As one must note, the eigenvalues $E_0^k$ of this operator are not the Hartree-Fock energies, but rather the sum of the orbitals energies (for the given state k). This is due to the second sum (over the bielectronic operators), whose indices are not limited to $j > i$. The genuine Hamiltonian of the system, as defined in equation (1.3), can be written as $$\mathcal{H}_{el} = \mathcal{H}_0 + \mathcal{V}$$ \hspace{1cm} (1.26) with $$\mathcal{V} = \sum_{i=1}^{N} \sum_{j>i}^{N} \frac{1}{r_{ij}} - \sum_{i=1}^{N} \sum_{j=1}^{N} J_j(i) - K_j(i).$$ \hspace{1cm} (1.27) Assuming the correction on energies due to the application of $\mathcal{V}$ will be small, we can indeed apply the time-independent perturbation theory. We will call $E_k^{(i)}$ the ith correction of the energy of state k, $\Psi_k^{(i)}$ the corresponding wavefunctions correction, and $E^0$ and $\Psi^0$ the ground eigenvalue and eigenvector. At the first order, we have: $$E_0^{(1)} = \langle \Psi^0 \| \mathcal{V} \| \Psi^0 \rangle$$ \hspace{1cm} (1.28) $$= \langle \Psi^0 \| \sum_{i=1}^{N} \sum_{j>i}^{N} \frac{1}{r_{ij}} \| \Psi^0 \rangle - \langle \Psi^0 \| \sum_{i=1}^{N} \sum_{j=1}^{N} J_j(i) - K_j(i) \| \Psi^0 \rangle$$ \hspace{1cm} (1.29) $$= \frac{1}{2} \langle \Psi^0 \| \sum_{i=1}^{N} \sum_{j>i}^{N} J_j(i) - K_j(i) \| \Psi^0 \rangle - \langle \Psi^0 \| \sum_{i=1}^{N} \sum_{j=1}^{N} J_j(i) - K_j(i) \| \Psi^0 \rangle$$ \hspace{1cm} (1.30) $$E_0^{(1)} = -\frac{1}{2} \langle \Psi^0 \| \sum_{i=1}^{N} \sum_{j>i}^{N} J_j(i) - K_j(i) \| \Psi^0 \rangle$$ \hspace{1cm} (1.31) and: $$\Psi_0^{(1)} = \sum_{k}^{N'} \frac{\langle \Psi^0 \| \mathcal{V} \| \Psi_k^{(0)} \rangle}{E^0 - E_k^{(0)}} \| \Psi_k^{(0)} \rangle.$$ \hspace{1cm} (1.32) The first order correction thus allows to retrieve the Hartree-Fock energy. At the second order in energy, the result is more interesting: $$E_0^{(2)} = \sum_{l \neq k}^{N'} \frac{\langle \Psi^0 \| \mathcal{V} \| \Psi_k^{(0)} \rangle \langle \Psi_k^{(0)} \| \mathcal{V} \| \Psi^0 \rangle}{E^0 - E_k^{(0)}}.$$ \hspace{1cm} (1.33) Indeed, we may identify the $\| \Psi_k^{(0)} \rangle$ determinants to the n-excited determinants in equations (2.11) to (2.13). Furthermore, because of the Brillouin’s theorem we know only the doubly excited determinants will couple with the ground state wavefunction. As such, we may write: $$E_0^{(2)} = \sum_{a,b>a \\ r,s>r}^{N,N'} \frac{\langle \Psi^0 \| \mathcal{V} \| \Psi_{ab}^{rs} \rangle \langle \Psi_{ab}^{rs} \| \mathcal{V} \| \Psi^0 \rangle}{\epsilon_a + \epsilon_b - \epsilon_r - \epsilon_s}.$$ \hspace{1cm} (1.34) At the second order of perturbation, the correlation energy will thus simply be: $$E_{corr} \approx E^0 + E_0^{(1)} + E_0^{(2)} - E_{HF} = E_0^{(2)}.$$ \hspace{1cm} (1.35) A major interest of the MP2 (second order Møller-Plesset) approach is its relatively low complexity: it evolves as $N^{15}$, along with a fairly good representation in energy. The higher order formulations (MP3, MP4...) are rarely used, since they do not bring a marked improvement with respect to their cost ($N^{16}$ and $N^{17}$, respectively). Actually, MP2 itself presents a quite marked drawback: it does not comply with the Ritz (variational) principle, hence the computed energy has no lower bound. This can likely be problematic during a calculation... Multi-Reference methods Static correlation. So far, we have presented the improvements that can be brought to the Hartree-Fock description, starting from a single Slater determinant. The different approximations we presented allow to retrieve a part of the correlation energy that stems from the dynamic interaction of electrons, hence its name dynamical correlation. Another kind of correlation can also be encountered, called static correlation. For an easy grasp of the concept, let’s consider the case of a $d^1$ metal ion in an octahedral ligand field, for instance $[\text{V(NH}_3)_6]^{4+}$. As we will see in the next chapter, the ligand field induces a splitting of the $d$ metal atomic orbitals (AO), such that the three non-bonding $d_{xz}$, $d_{xy}$ and $d_{yz}$ metal AO are degenerate. The unpaired electron of V$^{4+}$ could thus be placed in any of the three $d_{xz}$, $d_{xy}$ and $d_{yz}$ orbitals, as represented on Figure 1.2.1. ![Figure 1.2.1](image) Figure 1.2.1: Ground electronic configurations associated to the localisation of a single electron in a $d$ metal AO, in the case of an octahedral field. In such cases, quantum mechanics suggests the actual wavefunction will be a linear combination of each "limit" configuration (a), (b) and (c) (with coefficients that should roughly be of the same order of magnitude). In the Hartree-Fock formulation on the other hand, we would expect to converge to one of the three determinants. We would thus miss a correlation effect that is not linked to the dynamic interaction of electrons, but rather to the fact that some systems may be described by several "limit forms". This is the effect of static correlation, which will be encountered for any system that cannot be properly described by a single determinant. As one may infer already, this correlation effect is likely to be significant in the case of coordination complexes. In order to retrieve it, we should optimise not only the coefficients of each orbital in the Hartree-Fock determinant, but also all the orbitals themselves (through the coefficients of the atomic orbitals that compose them). This is what one achieves with the multi-reference methods. Obviously, the double optimisation of both the determinants and the orbital is a complex problem, and simplifications can be made. Complete Active Space SCF (CASSCF). A first simplification can be achieved using physical arguments. If the chemical and physical properties of molecules are essentially due to the electrons, one can furthermore state they are primarily related to the valence electrons, with a very small impact of the fine structure of core electrons$^{(iii)}$. This suggests that corrections due to the multi-reference nature of the wavefunction are going to be predominant only on the valence electrons, i.e. those located near the Fermi level in the Hartree-Fock reference determinant. In the same spirit, the correction due to the virtual orbitals is likely to be relevant only for the few ones located near the HOMO - LUMO gap. Actually, chemists often use this approximation - as we did in Figure 1.2.1. In a CASSCF calculation,$^{8,14,15}$ we thus restrict the construction of the CI determinants to a subset of $M$ orbitals near the Fermi level, populated by $N$ electrons. This subset is called the active space, in opposition to the remaining orbitals that are called inactive$^{(iv)}$. Such a calculation is generally called a CAS$(N,M)$. Starting from a reference Hartree-Fock determinants, all the possible electronic configurations of $N$ electrons in $M$ orbitals are built, and then optimised. For instance, the case of Figure 1.2.1 corresponds to a CAS(1,3): the unpaired electron can be located in any of the three metal AO. As one can see, the main degree of freedom in the CAS formulation is the choice of the active space. For instance, in the previous CAS(1,3) example, no ligand to metal charge transfer can be reproduced, since the ligands electrons and orbitals are not introduced in the active space. In order to take this effect into account, one would need to incorporate the latter in the active space. Nevertheless, one cannot extend the active space to all the orbitals, because of the factorial scaling of the method. As a result, one often has to go through a trial and error approach. Among the possible criteria, one may follow the final occupation of the orbitals. As a rule of thumb, all the orbitals with an occupation above 1.98 or below 0.02 can be removed from the active space - they even should be removed to avoid instabilities.$^{16}$ State Averaged CASSCF (SA-CASSCF). With the CASSCF methodology, it is then possible to compute the wavefunction for any state, ground or excited, associated to a given spin multiplicity. If we consider the case of the $d^1$ ion of Figure 1.2.1, obviously all states are going to be spin doublets. If, on the other hand, we consider a Dy$^{3+}$ ion ($4f^9$ electronic configuration), then several spin multiplicities are possible: sextet, quartet and doublet. In a state-averaged calculation, the wavefunction is not optimised to describe a unique state, but rather to reproduce a set of states, usually with the same multiplicities. This is a quite powerful formulation, since a large number of electronic states can be described with a reduced number of orbitals. In a SA-CASSCF calculation, one obtains what are called "spin-free" wavefunctions. The expression is rather plain: the considered configurations are irrespective of the actual spin projection. For instance, in the case of a Dy$^{3+}$ ion, 9 electrons are to be placed in 14 different spin-orbitals. This leads to evaluate 2002 different determinants, but they can be gathered in doublets, quartets and sextets. In the end, there are only 735 different $^{(iii)}$Note that this is completely wrong for Mossbauer shifts, for instance. $^{(iv)}$Sometimes a distinction is made between the occupied inactive orbitals and the empty ones, which are then called "virtual". configurations to compute: 21 sextets, 224 quadruplets and 490 doublets$^{(v)}$.$^{17}$ As can be inferred from the choice of the example, these kind of calculations are going to be very useful to reproduce the properties of lanthanide complexes, whose wavefunctions are going to be highly non-monodeterminantal and thus will present a large static correlation. Adding the dynamic correlation As we said, in a (SA-)CASSCF calculation the static correlation is taken into account, but not the dynamic correlation. It could be desirable to also take those effects into account; for instance, in Chapter 4 we will deal with Cu(II) complexes, for which both dynamical and static correlations are important. They can be incorporated in a perturbative manner, retrieving a formulation that is similar to the Møller-Plesset one, but based on a CASSCF (or SA-CASSCF) wavefunction. Usually, the perturbation development is truncated at the second order: this is the so-called (SA-)CASPT2 approach.$^{18,19}$ Experience shows that, for most of the lanthanide ions, the correction due to dynamic correlation is very small and can safely be neglected. Actually, only Yb(III) and Ce(III) ions seem to need the PT2 correction in order to reproduce correctly experimental trends.$^{20}$ These two lanthanide ions are also known to have a singular redox behaviour: the $4f$ and $6s,5d$ orbitals are close in energy, and they may also be close to the ligands orbitals.$^{21}$ As such, electronic configurations with electron transfers from (or to) the $4f$ shell to the $6s$, $5p$ or ligands orbitals may have a large weight in the wavefunction for Yb(III) and Ce(III) than for the other lanthanides. Since these orbitals have a larger extent in space than the $4f$, the electron-electron interaction may to be stronger in these "excited" configurations. Hence, this may explain why Ce(III) and Yb(III) call for the inclusion of dynamical correlation, more than any other lanthanide. Another second-order formulation exists, called N-Electron Valence Perturbation Theory (NEVPT2). It is very close to CASPT2, but is based on a different zeroth order Hamiltonian: the so-called Dyall Hamiltonian.$^{22}$ This Hamiltonian is constructed in such a way that it is equal to the CASSCF Hamiltonian in the active space, and to the zeroth order Møller-Plesset one in the inactive and virtual spaces. Without going into much details, this formulation offers several advantages over CASPT2, noticeably a strict size-consistency and the absence of the so-called intruder states$^{(vi)}$. Dynamic correlation can also be incorporated by the means of a CI development on the basis of the CASSCF wavefunctions. As one may infer, the complexity of such calculations is higher than that of a Hartree-Fock based CI. Yet, many approximations have been proposed that allow a practical implementation of such methods. Noticeably, it can be shown that most of the excitations included in the CI development are irrespective of the spin state.$^{24,25}$ Said otherwise, if one is interested only in the energy difference between, let’s say, the singlets and the triplets states - for instance while evaluating a magnetic coupling between two copper(II) ions -, most of the matrix elements of equation (1.15) do not need to be evaluated, because they will be shared by all the states. The only excitations that actually need to be calculated are the $1h$, $1p$, $1h1p$, $2h$, $2p$, $2h1p$ and $1h2p$, following the usual terminology, as shown in Figure 1.2.2. This leads to a tremendous alleviation of the computation task, and such calculation become feasible for relatively large systems. This approach is called "Difference Dedicated CI", DDCI, also called DDCI-3 (3 refers to the number of degree of freedom, \textit{i.e.} the maximum order of the allowed excitations).$^{26}$ Further simplifications are also implemented, $^{(v)}$And one can verify that $21 \times 6 + 224 \times 4 + 490 \times 2 = 2002$. $^{(vi)}$Which are singly and doubly excited states that display a quasidegenerate energy with the reference states.$^{23}$ named DDCI-2 (only single and double excitations) and DDCI-1 (only single excitations). ### 1.3 Density Functional theory #### 1.3.1 Why resorting to density? In the previous section, we were interested in solving the Schrödinger equation in terms of wavefunctions and energy. For the ground state, the problem reduces to the minimisation of $E[\Psi]$ with respect to $\Psi$, i.e. the minimisation of a functional of $\Psi$. The solution $E$ is uniquely determined by the form of the functional, which is itself uniquely determined by the Hamiltonian.$^{27}$ In Density Functional Theory (DFT), the energy is expressed as a functional of the electron density, which can be written as $$\rho(\mathbf{r}) = N \int \ldots \int \|\Psi(\mathbf{r}_1, \mathbf{s}_1, \mathbf{r}_2, \mathbf{s}_2 \ldots \mathbf{r}_N, \mathbf{s}_N)\|^2 d\mathbf{s}_1 d\mathbf{r}_2 d\mathbf{s}_2 \ldots d\mathbf{r}_N d\mathbf{s}_N \quad (1.36)$$ rather than the wavefunctions.$^1$ The goal is multiple: first, the electron density is a quantum observable, and direct comparisons can be made with experiments - for instance using X-Ray diffraction or Polarised Neutron Diffraction.$^{28}$ Furthermore, the wavefunction is a complicated function of $4N$ variables for a molecule of $N$ electrons (3 spatial coordinates per electron, plus the spin momentum), in general complex. On the other hand, the electron density is a real function of 3 coordinates only (4 with the inclusion of spin). Direct interpretations based on the electron density may thus be considered, while they remain rather unlikely basing on wavefunctions. In the following, we will present the two founding theorems of DFT, which prove it is possible to express the energy as a functional of electron density. We will also show how DFT is implemented in practice, and the associated limitations with each formulation. ### 1.3.2 The Hohenberg-Kohn theorems The first Hohenberg-Kohn theorem$^{29-31}$ provides the proof that energy can be written as a unique functional of the electron density, which is a necessary condition to be fulfilled if we want to reformulate the Schrödinger equation in a framework of electron density. More precisely, it states: HK-Theorem 1. The external potential $v(\mathbf{r})$ is determined, within a trivial additive constant, by the electron density $\rho(\mathbf{r})$. Since in equation (1.3) the only system-dependant term is the external (nuclei-electrons) potential, as a consequence from this theorem we find that the Hamiltonian is uniquely determined by the electron density. The energy of the system is then directly determined by $\rho(\mathbf{r})$. The proof of this theorem is very simple and elegant, and we thus felt it could be presented here. Proof. Let’s consider two chemical systems $S_1$ and $S_2$, which only differ by their external potential (hence their structure), $v_1(\mathbf{r})$ and $v_2(\mathbf{r})$. They are thus described by two different Hamiltonians $H_1$ and $H_2$. The ground state (non-degenerate) solutions of the Schrödinger equations for these two systems are $(E_1, \Psi_1)$ and $(E_2, \Psi_2)$. We will assume $S_1$ and $S_2$ are described by the same electron density. If we use $\Psi_1$ as a trial function for $H_2$, by the variational principle it comes that \[ E_2 < \langle \Psi_1 \| H_2 \| \Psi_1 \rangle \tag{1.37} \] and similarly \[ E_1 < \langle \Psi_2 \| H_1 \| \Psi_2 \rangle. \tag{1.38} \] We can re-write equations (1.37): \[ E_2 < \langle \Psi_1 \| H_1 \| \Psi_1 \rangle + \langle \Psi_1 \| H_2 - H_1 \| \Psi_1 \rangle \tag{1.39} \] \[ E_2 < E_1 + \int \rho(\mathbf{r}) (V_2(\mathbf{r}) - V_1(\mathbf{r})) \, d\mathbf{r} \tag{1.40} \] and (1.38): \[ E_1 < E_2 - \int \rho(\mathbf{r}) (V_2(\mathbf{r}) - V_1(\mathbf{r})) \, d\mathbf{r} \tag{1.41} \] which directly lead to: \[ E_1 + E_2 < E_2 + E_1. \tag{1.42} \] This is clearly impossible, hence $S_1$ and $S_2$ cannot be described by the same electron density if $v_1(\mathbf{r}) \neq v_2(\mathbf{r})$ (up to a trivial additive constant). $\square$ The electron density is thus uniquely determined by the external potential, i.e. by the structure of the molecule and the eventual external fields. In practice, the first Hohenberg-Kohn theorem is not sufficient because of its non constructive form: it proves $E$ is a unique functional of $\rho(\mathbf{r})$, but we do not know how to compute it. The second theorem provides a variational principle for DFT: HK-Theorem 2. For any trial electron density $\tilde{\rho}(\mathbf{r})$ that verifies $$\tilde{\rho}(\mathbf{r}) \geq 0 \quad \int \tilde{\rho}(\mathbf{r}) d\mathbf{r} = N$$ we have $$E_0 \leq E[\tilde{\rho}(\mathbf{r})] \tag{1.43}$$ where $E_0$ is the ground state energy and $E[\tilde{\rho}(\mathbf{r})]$ is the energy density functional, applied to $\tilde{\rho}(\mathbf{r})$. This implies that DFT is rigorously formulated only for a non degenerate ground state, and that SCF procedures can be applied in order to determine the true ground state density and energy, starting from any well-conditioned guess. ### 1.3.3 The Kohn-Sham ansatz Yet, a strong caveat exists: DFT is formally an exact theory, provided that we know the exact form of the energy functional. In the same way that we can separate the kinetic, electron-electron and electron-nuclei contribution to the Hamiltonian, we can write $$E[\rho] = T[\rho] + V_{ee}[\rho] + \int \rho(\mathbf{r})v(\mathbf{r})d\mathbf{r} \tag{1.44}$$ $$= F_{HK}[\rho] + \int \rho(\mathbf{r})v(\mathbf{r})d\mathbf{r} \tag{1.45}$$ with $T[\rho]$ the kinetic energy functional, $V_{ee}[\rho]$ the electron-electron repulsion functional and $F_{HK}[\rho]$ the Hohenberg Kohn functional. Since only the external potential is system dependant, $F_{HK}[\rho]$ is also called universal functional. In order to solve the Schrödinger equation in that case, we thus need to determine the analytical form of the universal functional. The problem is two-fold: we do not know the form of the kinetic part in an electron density representation, and the electron-electron term is also unknown. This last term can be rewritten: $$V_{ee}[\rho(\mathbf{r})] = \frac{1}{2} \int \int \frac{\rho(\mathbf{r}_1)\rho(\mathbf{r}_2)}{\|\mathbf{r}_1 - \mathbf{r}_2\|} d\mathbf{r}_1 d\mathbf{r}_2 + E_{nc}[\rho(\mathbf{r})] = J[\rho] + E_{nc}[\rho] \tag{1.46}$$ where $J[\rho]$ represents a classical Coulomb interaction, and $E_{nc}[\rho]$ all the non-classical contributions to $V_{ee}$ (exchange and dynamic correlation). There are, overall, two terms whose analytical forms are not known. The brilliant idea of Kohn and Sham\textsuperscript{32} was to express them as corrections applied to a much simpler system. In their so-called ansatz\textsuperscript{(vii)}, they considered a fictitious system of $N$ non-interacting \textsuperscript{(vii)}German word that can be approximately translated as "start, initialisation". It consists of an educated guess to solve a given problem, often being the solution of a simplified equation. electrons, evolving in an external potential $V_S$ such that $E_S = E$ and $\rho_S(\mathbf{r}) = \rho(\mathbf{r})$. The system is also such that its electron density can be decomposed over a set of spin-orbitals: $$\rho(\mathbf{r}) = \sum_{i=1}^{2N} \|\phi_i(\mathbf{r})\|^2.$$ \hspace{1cm} (1.47) The expression of the kinetic energy of such a system is fairly simple: $$T_S[\rho] = -\frac{1}{2} \sum_{i=1}^{2N} \langle \phi_i \| \nabla^2 \| \phi_i \rangle$$ \hspace{1cm} (1.48) and the energy of the fictitious system is simply $$E_S[\rho_S] = E[\rho] = T_S[\rho] + \int \rho(\mathbf{r}) V_S(\mathbf{r}) d\mathbf{r}.$$ \hspace{1cm} (1.49) We may then rewrite equations (2.44) and (2.49) as $$E[\rho] = T_S[\rho] + T[\rho] - T_S[\rho] + J[\rho] + E_{nc}[\rho] + \int \rho(\mathbf{r}) v(\mathbf{r}) d\mathbf{r}$$ \hspace{1cm} (1.50) $$= T_S[\rho] + J[\rho] + \int \rho(\mathbf{r}) v(\mathbf{r}) d\mathbf{r} + E_{xc}[\rho].$$ \hspace{1cm} (1.51) Every terms in equation (1.51) are known but $E_{xc}[\rho]$, which is called the exchange-correlation functional. This term, generally small compared to the other contributions, translates the deviation from the fictitious systems, i.e. it conveys informations about the correlation and the exchange between the electrons. The Kohn Sham ansatz might seem to be a simple trick on the equations, but it actually permits the numerical calculation of most contributions to the energy, transforming the problem of solving the Schrödinger equation into finding an appropriate exchange-correlation functional. An important part of research in computational chemistry is dedicated to this task. The next section summarises briefly the different kind of functionals that were proposed, and their relative efficiencies. ### 1.3.4 The Jacob’s ladder and the limits of the model As we said, thanks to the Kohn-Sham ansatz the resolution of the Schrödinger equation is reduced to the determination of an accurate exchange-correlation functional. Several different forms of functionals were proposed over time, and are usually classified along what Perdew called the "Jacob's ladder of DFT", represented on Figure 1.3.1.$^{33}$ The lowest rung of the ladder corresponds to the Local Density Approximation functionals, which are well formulated for a uniform (or slowly varying) electron gaz. They are more efficient for describing solids with a rather high delocalisation of the electron density (conductors), rather than molecules which may present strong local variations of the density - noticeably around the nuclei. As a result, they are more or less unused in the modelisation of molecular systems. The second rung corresponds to the Generalised Gradient Approximation functionals. Their analytical form involve the electron density and its first derivative, or rather a reduced gradient $\nabla \rho(\mathbf{r}) / \rho(\mathbf{r})$ (which prevents any risk of divergence in a gradient expansion). These functionals can yield a very efficient description of molecular systems, noticeably they permit a fairly efficient reproduction of vibrational spectra. On the third rung, one finds the meta-GGA, which are based on the electron density, its gradient and its Laplacian. Though in principle more efficient than the GGA, they are not as much employed as the latter. This may be due to the small improvement over computational effort ratio these functional give, as compared to the GGA.\textsuperscript{34} Hybrid functionals, on the fourth rung of the ladder, are on the contrary very popular functionals. They incorporate a certain percentage of Hartree-Fock exchange, along with a GGA exchange/correlation. They tend to be very efficient to describe reaction mechanisms and optical spectra. Finally, the last rung corresponds to the double hybrids, which incorporate Hartree-Fock exchange and MP2 correlation. They are not much used for the moment, mostly because of the rather prohibitive cost of the calculations. Nevertheless, we must say that the picture is not as rigid as suggested by the Jacob’s ladder, and really depends on the studied systems. Most of functionals are indeed benchmarked to reproduce the properties of some molecular sets (for instance small copper coordination complexes), and there may be cases where GGA work generally better than hybrid functionals. As a closing remark, DFT is a very efficient theoretical framework, provided that the studied system can be represented efficiently with a single determinant, \textit{i.e.} if static correlation is negligible. Its algorithmic complexity is close to that of a Hartree-Fock calculation ($N^{1.5}$ to $N^{1.4}$), with much better results. Actually, DFT calculations yield comparable results to post–Hartree Fock calculations, even very close to CCSD(T). It will be intensively used in this manuscript, noticeably for reactivity studies. \subsection{A few words on TDDFT} So far, we discussed the possibility to solve the Schrödinger equation for the ground state only. This is the consequence of the variational principle employed in the first Hohenberg-Kohn theorem. Actually, it also possible to access the low excited states in a density-based formalism, called Time Dependent DFT. As suggested by the name, the excited states are evaluated in a framework of time-dependent perturbations of the ground density. We will not discussed it into details, but rather provide a qualitative framework of understanding, highly inspired by C. J. Cramer.\textsuperscript{8} Let us consider a molecule whose ground-state density and energy are known. It is placed in an oscillating electrical field \begin{equation} E = r \cos(\omega t) \end{equation} with $r$ the position operator\textsuperscript{(viii)} and $\omega$ the frequency of the field. As underlined by Cramer, the polarisability of the molecule is well approximated by \begin{equation} \langle \alpha \rangle = \sum_{i \neq 0}^{P} \frac{\|\langle \Psi_0 \| r \| \Psi_i \rangle\|^2}{\omega - (E_i - E_0)} \end{equation} where the indices $i = \{1, \ldots, P\}$ are attributed to the different excited states. It is rather plain from this formula that the polarisability diverges when $\omega$ equals any excitation energy. Using a Green’s function approach, it is then possible to determine directly the poles of $\langle \alpha \rangle$ without having to compute all the excited states energies and densities, hence it is possible to determine the excitation energies. It is furthermore possible to access the excited electron densities, thanks to the Runge-Gross theorem.\textsuperscript{35} It can be seen as an extension of the first Hohenberg-Kohn theorem, and proves that at any time $t$ during a time-dependent perturbation there is a unique mapping between the external potential and the electron density. Said otherwise, provided we know the form of the perturbation, we can access the electron density at any time, and it will be linked – via perturbation theory – to the ground and excited states densities. ### 1.4 Conceptual DFT, or DFT for Chemical Reactivity Thanks to Hohenberg-Kohn and Runge-Gross theorems, we know that there is a unique mapping between the electron density at a given time and the wavefunction. This has a direct implication which we did not develop much up to now: the electron density contains as much information on the system as the wavefunction does. In the following, we will restrict ourselves to the ground state. By construction, $\rho(r)$ contains all the measurable information on it, thus implying that the ground state properties can be entirely described using electron density.\textsuperscript{30} This is the cornerstone of Conceptual DFT.\textsuperscript{36,37} In CDFT, one is indeed interested in describing the properties of a given system using electron density-based descriptors, defined in first principles. The first reported one is the chemical potential $\mu$. Already present in Hohenberg and Kohn original paper,\textsuperscript{29} it is defined as the first derivative of energy with respect to the number of electrons in the system: \begin{equation} \mu = \left( \frac{\partial E}{\partial N} \right)_{v(r)}. \end{equation} Physically, this descriptor translates the stabilisation or destabilisation a molecule endures when the number of electrons is varying at a constant geometry, i.e. the tendency to give away or hold back electron density. $\mu$ is then closely related to the concept of electronegativity, and using a very simple line of argument Parr showed that $\mu$ is actually the opposite of $\chi$.\textsuperscript{30,38} \textsuperscript{(viii)}Note this form of $E$ seems less arbitrary once it is recognised that an electrical field has the same symmetry properties as the position operator. The consequences were enormous: for the first time since the concept was introduced in chemistry, it was possible to unequivocally define electronegativity, noteworthy for molecules or fragments of molecules, and not only for atoms and ions. Furthermore, it appears $\mu$ is negative for stable systems, and as such $E$ is a decreasing function of $N$. If we take the second order derivative with respect to $N$, we introduce another descriptor $\eta$ that is linked to the concavity of the energy. $\eta$ translates the variations of the energy stabilisation consequent to a change in the number of electrons: the bigger $\eta$, the more quickly $\mu$ varies with $N$. This descriptor is actually defining hardness in the sense of Pearson’s Hards and Soft Acids and Bases theory.\textsuperscript{39} Indeed, high values of $\eta$ are going to be associated to systems unlikely to vary much their number of electrons (sharp evolution of $\mu$ with $N$), thus species that will not interact in a covalent but rather ionic way (no sharing of electron density), as hard species do. Low $\eta$ values on the other hand will characterise systems that may accept a rather large variation of their number of electrons, thus soft species. These two descriptors (and all the successive $N$-derivatives of $E$) are global descriptors, in the sense that they apply to the whole molecule. Taking derivatives with respect to the other natural variable, $v(\mathbf{r})$, allows to introduce locality - and even non-locality at high orders. The first derivative is simply the electron density, \[ \left( \frac{\delta E[\rho]}{\delta v(\mathbf{r})} \right)_N = \rho(\mathbf{r}) \] where $\delta$ indicate functional derivatives. Taking then the $N$ derivative of $\rho(\mathbf{r})$ introduces \[ f(\mathbf{r}) = \left( \frac{\partial \rho(\mathbf{r})}{\partial N} \right)_{v(\mathbf{r})} = \left( \frac{\delta \mu}{\delta v(\mathbf{r})} \right)_N \] which translates the variations of electron density upon an electron uptake or release. In a frontier orbital framework (FMO), this descriptor will thus be related to the HOMO and LUMO orbitals densities, hence explaining the name of Fukui fonction.\textsuperscript{40} The second-order $N$ derivative of $\rho(\mathbf{r})$ is even more interesting: \[ \Delta f(\mathbf{r}) = \left( \frac{\partial^2 \rho(\mathbf{r})}{\partial N^2} \right)_{v(\mathbf{r})} \] called the Dual Descriptor (DD), conveys similar information on the reactivity as the Fukui function, without presenting its principal flaw.\textsuperscript{41} It is indeed well-defined, while the left $f^-(\mathbf{r})$ and right $f^+(\mathbf{r})$ derivatives associated to $f(\mathbf{r})$ are not identical. Actually, it can be shown that the DD approximates to the difference of both Fukui functions, and in a FMO framework \[ \Delta f(\mathbf{r}) \approx f^+(\mathbf{r}) - f^-(\mathbf{r}) \approx \rho_{LUMO}(\mathbf{r}) - \rho_{HOMO}(\mathbf{r}). \] From this last expression, it becomes rather plain that the DD is a reactivity and selectivity descriptor: regions associated to a negative value of the DD are prone to cede electron density, \textit{i.e.} are nucleophilic, while positive values are associated to electrophilicity. In Chapter 4, we will propose a new formulation for this descriptor, and extensively use it to rationalise the chemical properties of ligands and complexes. 1.5 Basis sets and relativistic corrections 1.5.1 Basis sets In the previous sections, we detailed the theoretical formulation of different methods of quantum chemistry, setting aside the practical details of the calculations. As we have seen, bases of orbitals are used in the computations, and they are generally devised to reproduce atomic orbitals, whose combination will yield molecular orbitals. They usually consist in sets of functions, which are called basis sets. There are of two types: the Slater-type orbitals (STO), and Gaussian-type orbitals (GTO).\textsuperscript{8,9} The STO decay exponentially with the distance to the nucleus, and yield a very efficient representation of the electron density behaviour in the vicinity of nuclei (cusp). GTO, on the other hand, do not present this cusp because of their Gaussian form. However, linear combination of Gaussian functions can approximate efficiently this cusp. They also offer the advantage that products and convolution products of Gaussian functions are Gaussian functions, hence they permit a strong speed-up in computations compared to STO. In this work, we used either STO – calculations with the Amsterdam Density Functional program – and GTO basis sets – calculations with Gaussian09 and ORCA –. These basis sets were split-valence ones, which means the valence electrons are modelled with more functions than the core ones. 6-311++G(2d) is an example of such basis sets: the core electrons are represented by 6 primitive Gaussian functions, while the valence electrons are represented by 3 different bases of functions. The first one is a linear combination of 3 primitive Gaussian functions, while the second and third are unique primitive. The "++" label indicates that additional functions are incorporated to all atoms to model more efficiently the density far away from the nucleus, and are called diffuse functions. The suffix "(2d)" indicates that two $d$-type polarisation functions are also added to non-H atoms, in order to allow the atomic orbitals to distort, in a way that recalls the hybridisation theory. A further step in the previous idea can be taken: for elements with a large $N$, core electrons are not going to have a large influence on most of the physical properties, and they may be modelled at a relatively low level without impacting the accuracy. Eventually, they may not be treated explicitly and be replaced by a local potential acting on the valence electrons: this is the pseudo-potential approach. In this work, we used principally the Stuttgart-Dresden (SDD) pseudopotential for heavy atoms (metal cations).\textsuperscript{9} 1.5.2 Relativistic corrections Scalar relativistic corrections. We will end this chapter by underlining an implicit hypothesis was used throughout these sections. Here, we assumed the electrons were quasi-classical particles, in the sense that no relativistic effect was explicitly taken into account. When dealing with heavy elements, like late transition metals and lanthanides, this is far from being true. One thus needs to reformulate the Schrödinger equation in a relativistic frame. Generally, this is achieved using the Dirac equation \begin{equation} \mathcal{H}_D \Psi = E_D \Psi \end{equation} with \begin{equation} \mathcal{H}_D = \begin{pmatrix} \mathcal{E}_{UU} + c^2 & \mathcal{O}_{UL} \\ \mathcal{O}_{UL} & \mathcal{E}_{LL} - c^2 \end{pmatrix} \end{equation} where the matrix elements are $2 \times 2$ matrices themselves.\textsuperscript{42} This approach is not without problems, since the Dirac Hamiltonian presents two continua of states, above $+c^2$ and below $-c^2$. This means that bound states are found only between these two limit values, which are the only states that may interest us. The solutions of the Dirac equation are 4-dimension vectors, which can be separated in two 2-dimensions vectors $\psi$ and $\chi$, respectively called the large and small components and associated to the $2 \times 2$ matrices in $\mathcal{H}_D$. The only solutions that interest us are the large components, being the only solutions related to the bound states. Two formulations were proposed to obtain them only. The first one is the Zeroth Order Regular Approximation (ZORA).\textsuperscript{43} Without going too deep into the algebra, it is based on a series expansion of the large-component terms of $\mathcal{H}_D$, truncated at the zeroth order. It already contains the so-called "scalar relativistic corrections" to the Schrödinger equation, and proved to yield a relatively efficient description of atoms and molecules. The second correction is the Douglas-Kroll-Hess approximation.\textsuperscript{44} In that case, the Hamiltonian is not simplified but block-diagonalised, in order to decouple the large and small components. To do so, a series of unitary transformations are applied on $\mathcal{H}_D$, which progressively remove the non-diagonal terms. Formally, the derivation is exact if the expansion is infinite, but it was shown that the approximation is already efficient at low orders. In the following, we will mostly be using the second-order DKH approximation for lanthanide ions, and we will not directly evaluate relativistic effects for transition metals. In that latter case, the use of small-core pseudopotential actually provides an already efficient description, thus eluding the need to explicitly compute relativistic corrections.\textsuperscript{45} Spin-orbit coupling Aside from the scalar corrections, relativistic effects also have an impact on the kinetic momenta of atoms and molecules. Noticeably, in general spin and orbit moments are no longer decoupled: this is the so called spin-orbit coupling, which can be represented by the following Hamiltonian:\textsuperscript{4,46} \begin{equation} \mathcal{H}_{so} = \lambda \hat{L} \cdot \hat{S} \end{equation} with $\hat{L}$ and $\hat{S}$ the spin and orbit moment operators. While it may be safely ignored for light transition elements, this effect becomes very strong for lanthanide ions. For instance, a Dy$^{3+}$ ion with a $4f^9$ valence electronic configuration cannot be simply described as a ground $S = 5/2$ spin state, because $S$ is no longer an appropriate quantum number.\textsuperscript{21} The correct quantum number becomes the total momentum $\|L - S\| \leq J \leq L + S$, and in that case the ground state is finally $^6H_{15/2}$, thus with $J = 15/2$. In order to model correctly the properties of lanthanide ions (and late transition metals), one thus needs to take this effect into account during the calculations. Here, we will principally consider it for the lanthanide ions. It will thus be computed on top of the DKH/SA-CASSCF (PT2) calculations through the Restricted Active Space State Interaction Spin-Orbit (RASSI-SO) procedure, which evaluates the spin-orbit coupling between all the calculated states.\textsuperscript{47,48} ### 1.6 Long story short... In the following, we will use the different levels of theory according to the studied system, trying to use the most adequate framework whenever possible. More specifically, when we will be dealing with reactivity, we will principally use tools from DFT and conceptual DFT, because of both their simplicity and conceptual strength. Nevertheless, because of the single-determinant nature of DFT methods, whenever ground state degeneracy will be found we will have to use post-Hartree Fock methods. An example will be provided in Chapter 3. When dealing with magnetic properties, because of the needed accuracy (around the tenth of cm$^{-1}$ in the case of the weakly coupled trinuclear complex of Chapter 4), we will focus solely on post-Hartree Fock methods. In the case of the lanthanide complexes of Chapter 5, as previously said we will principally use SA-CASSCF-based methods, while for the complexes of Chapter 4 DDCI and NEVPT2 methods appear to be the most appropriate. Chapter 2 Elements of coordination chemistry and molecular magnetism To the beginner, chemistry is often seen as a world of bright colours. Many of them are due to transition metal complexes, like the well-known royal blue $[Cu(NH_3)_4]^{2+}$ complex. A coordination complex, or coordination compound, is made of one or several metal cations, bonded to inorganic or organic ions or molecules called ligands.$^{49}$ As we will recall in the following sections, properties of coordination compounds are intimately related to their molecular and electronic structures. A special mention will be given to molecular magnetism, whose scope is not restricted to coordination chemistry but which flourished within it. 2.1 From Werner’s work to the ligand field theory 2.1.1 First studies of octahedral complexes The middle and end of the nineteenth century have witnessed the development of what could be called "structural chemistry", whose aim was to describe the molecular structure of compounds. Chemists indeed realised that different compounds could be described by the same total formula, although their properties were completely different. Among them, two classes of compounds were found: organic molecules on one hand, and complexes on the other. Thanks to the work of, noticeably, Van’t Hoff and Le Bel,$^{50}$ the problem could be partially solved for organic molecules by supposing saturated carbon atoms tend to be tetrahedral. This permitted noteworthy to understand why some molecules, with the same "scalar" properties - melting point, et caetera - could show either a positive or negative deviation of polarised light: at molecular formula, different backbones of atoms in space will be associated to different compounds. Using the same line of arguments, others tried to solve the problem for coordination compounds – with great difficulty, as suggested by the adjective "complex" –. Alfred Werner studied intensively cobalt(III) complexes. With a fantastic intuition, he supposed the metal cation in these structures had a central role, being used as a scaffold by the ligands.$^{51}$ Extending the idea of Le Bel and Van’t Hoff, he supposed it would similarly be located on the center of a regular polyhedron – here, an octahedron – and the ligands would be located on the vertices. Isomerism would then be due to differences in the sequence of ligands on the vertices. For this theory, which has been proved afterwards by X-ray diffraction experiments, Alfred Werner received the Nobel Prize for Chemistry in 2.1.2 Crystal field theory Werner’s theory permitted to link differences in properties to differences in geometry for coordination complexes, but it did not allow to understand why, fundamentally, the properties were different. Neither could it explain why the octahedral$^{(i)}$ symmetry was obtained. Explanation was provided with the advent of quantum chemistry. The first model to be proposed was the Crystal Field theory, hereafter abbreviated CF.$^{53,54}$ The idea is the following: the energy levels of the complex, which will ultimately determine the properties, can be deduced from those of the free ion, undergoing a perturbation due to the ligands. This perturbation was initially described as a Stark effect: ligands act essentially in an electrostatic manner, lifting the degeneracy of the metal energy levels, but also of its $d$ or $f$ AOs. ![Figure 2.1.1: Schematic representation of an octahedral complex. The metal cation is represented by the blue sphere, while the red spheres represent the ligands.](image) Let us consider the example of an octahedral complex, pictured on Figure 2.1.1. In the case of a transition metal, the relevant valence orbitals to consider are the $d$ metal AOs: $d_{xy}, d_{yz}, d_{xz}, d_{x^2-y^2}$ and $d_{z^2}$. These AOs will shift in energy because of the electrostatic field induced by the ligands. On a first crude approximation, the field can be considered isotropic; as a consequence, all AOs are equally destabilised ("spherical field" situation on Scheme 2.1.1). If we now set the ligands on their actual positions in the complex, the $d_{x^2-y^2}$ and $d_{z^2}$ AOs are further destabilised. They indeed point directly towards the ligands, and thus electrons in these AOs will strongly interact with the ligands field. On the other hand, the $d_{xy}, d_{yz}$ and $d_{xz}$ AOs present nodes on the ligands positions. They will not be destabilised, and if the ligands field is set to have the same magnitude as the isotropic one, they will even be slightly stabilised, because of a barycentre rule. The same construction can be applied to lanthanide (and actinide) ions. In that case, the relevant valence AOs are the $4f$ (and $5f$) orbitals. They are represented on Figure 2.1.2, and the expected energy splitting in an octahedral field is given on Scheme 2.1.2. The peculiar energy splittings obtained in the CF model permit to account for many properties of coordination complexes, depending on their symmetry. Noteworthy, using only symmetry arguments one can already find out that the $d$ orbitals will be splitted in two subsets in an octahedral field: the irreducible representations (RI) of the quadratic $^{(i)}$Actually, we know now that other symmetries can be obtained, such as tetrahedral, square-based pyramidal... Scheme 2.1.1: Energy diagram focusing on the $d$ metal AO in an octahedral field. $\Delta_o$ represents the total energy splitting between the lowest and highest AOs. Figure 2.1.2: Schematic representation of the $f$ orbitals, from top left to bottom right: $f_{z^3}$, $f_{z(x^2-y^2)}$ and $f_{xyz}$. The $f_{z^3}$ and $f_{y^3}$ can be deduced from the $f_{z^3}$ AO by an appropriate rotation of the frame. The same is true for the $f_{y(x^2-z^2)}$ and $f_{x(y^2-z^2)}$, from the $f_{z(x^2-y^2)}$. Scheme 2.1.2: Energy diagram focusing on the $f$ metal AO in an octahedral field. operators $x^2 - y^2$, $z^2$, $xy$, $xz$ and $yz$ operators in the $O_h$ point group are, respectively, $E_g$ (twice-degenerate) and $T_{2g}$ (three-times degenerate).\textsuperscript{55} They should thus be found at different energies, even though we may not precise which set of orbitals will be destabilised. Similarly, in the same point group the third-order operators (related to the $f$ orbitals) are represented by the $T_{1u}$ (three-times degenerate), $T_{2u}$ (three-times degenerate) and $A_{2u}$ RI.\textsuperscript{56} This point highlights the importance of symmetry. The properties of the complexes will be linked to their energy patterns, which are directly due to the symmetry of the complexes. This is actually Curie’s principle: “When some causes induce some effects, the symmetry elements of the causes are necessarily found in the effects.”\textsuperscript{(ii)} One of the great successes of this model is that it explains why many transition metal complexes are coloured: electronic transitions can occur within the $d$ AOs, and fall in the visible range. It also permits to understand why, for instance, some Fe(II) complexes are magnetic and some others not: depending on the splitting between the lowest and highest orbitals, the six $d$ electrons of Fe(II) will tend to pair in the three lowest orbitals (low spin state) or on the contrary to locate in all the accessible AOs (high spin state). \subsection{Ligand field theory} Yet, the CF model involves parameters that cannot be derived from a purely theoretical point of view, and as such raises many questions. Noticeably, how can we quantify the energy splitting? And why are some complexes more coloured than others? These two questions can actually be answered if we now consider covalent effects in the metal-ligand interaction.\textsuperscript{58} This is what is achieved by the successor of the crystal field theory, the so-called ligand field theory, which is built in the framework of the Molecular Orbitals (MO) theory. The basic idea in that case is to draw the whole MO diagram of the complexes, thus involving explicitly the ligands in the construction. Interestingly, the splitting pattern of the $d$ orbitals is very similar in the two models. As such, and since it can be found in any advanced inorganic chemistry textbook,\textsuperscript{51,54} we will not develop it here, but we may emphasise two points. First, thanks to this approach it is now possible to quantify the energy splitting but also to understand why some complexes present more intense electronic transitions than others. In the CF model, the only possible transitions are $d \rightarrow d$ electron transitions. Using symmetry argument, we can indeed see that these transitions are forbidden: the representation product corresponding to the dipole transition moment (DTM) does not contain the all-symmetric representation $\Gamma_0$.\textsuperscript{59,60} \begin{equation} (\Gamma_{DTM} = \Gamma_d \otimes \Gamma_r \otimes \Gamma_d) \not\supseteq \Gamma_0. \end{equation} For instance, if we consider a $d^1$ ion in an octahedral field, the ground state will have a $T_{2g}$ symmetry. Formally, d-d excitations will consist in the promotion of the electron from a $t_{2g}$ orbital to a $e_g$ orbital, which implies d-d excited states will have an $E_g$ symmetry. The dipole moment, on the other hand, transforms as the translation operators, and in the $O_h$ point group it is thus represented by the $T_{1u}$ irreducible representation. The symmetry representation of the transition dipole moment will thus be the product $\Gamma = T_{2g} \otimes T_{1u} \otimes E_g$. From the character table of the $O_h$ point group: \textsuperscript{(ii)}“Lorsque certains causes produisent certains effets, les éléments de symétrie des causes doivent se retrouver dans les effets produits.”\textsuperscript{57}. it comes rather directly that $\Gamma$ does not contain the all-symmetric representation (denoted $A_{1g}$ in $O_h$). The number of occurrence of $A_{1g}$ in $\Gamma$ is indeed $$a(A_{1g}) = \frac{1}{48} \left( 1 \times 18 + 0 + 0 + 0 + 2 \times 6 - 18 \times 1 + 0 + 0 - 2 \times 3 + 0 \right) = 0.$$ By taking the ligands orbitals explicitly in the ligand field model, we allow a mixing of the $d$ metal AOs and the $\sigma$, $p$ or $\pi$ type ligands orbitals. As such, the representation product in equation (2.1) is modified and may now involve $\Gamma_6$; the selection rule is lifted. Furthermore, using the same symmetry arguments, it appears that other transitions are now feasible, from or to ligands orbitals, to or from metal orbitals. One speaks of Ligand to Metal or Metal to Ligand Charge Transfer (LMCT/MLCT). The selection rule in these cases is even less strictly observed, and the corresponding transitions are even more intense (extinction coefficient $\epsilon \sim 10^2 - 10^6$ L.mol$^{-1}$.cm$^{-1}$, compared to the $\epsilon \sim 10^0 - 10^2$ L.mol$^{-1}$.cm$^{-1}$ of d-d transitions).\footnote{We indeed remind that, in this model, the energy of interaction between two molecules is expressed in separated contributions, depending on their electrostatic (charge-charge, solvent shell reorganisation) or covalent (orbital overlap) nature.} Second, these charge transfer effects can actually be more generally described as electron density transfers from one part of the complex to another. Through this subtlety, we can generalise the previous concepts in non-MO frameworks. ### 2.1.4 The metal-ligands interaction and the Klopman-Salem model Actually, this whole section can be generalised in a non-MO framework. The CF model can indeed be seen as a focus on the electrostatic contribution to the total metal-ligands interactions. The ligand field theory on the other hand retrieves the covalent – or density relaxation – contribution to the interaction. Conceptually, we fall back onto an extended Klopman-Salem model for the coordination complexes.\footnote{We indeed remind that, in this model, the energy of interaction between two molecules is expressed in separated contributions, depending on their electrostatic (charge-charge, solvent shell reorganisation) or covalent (orbital overlap) nature.} Generally, transition metals will tend to interact in a covalent way with ligands, i.e. they tend to act as soft acids (in the sense of the Parr-Pearson HSAB theory).\footnote{We indeed remind that, in this model, the energy of interaction between two molecules is expressed in separated contributions, depending on their electrostatic (charge-charge, solvent shell reorganisation) or covalent (orbital overlap) nature.} This of course becomes less true when their oxidation degree is high, high charges leading the electrostatic interaction to prevail. Similarly, lanthanide ions will tend to act as hard acids, interacting principally in an electrostatic manner with the ligands.\footnote{We indeed remind that, in this model, the energy of interaction between two molecules is expressed in separated contributions, depending on their electrostatic (charge-charge, solvent shell reorganisation) or covalent (orbital overlap) nature.} This is due to the small spatial extent of the $4f$ orbitals, which explains why lanthanide cations present very similar reactivities – they all almost act as $3+$ point charges – . In the following chapters, we will principally use these lines of arguments (rather than CF or ligand field analyses). Noticeably, Chapter 4 is dedicated to revisiting coordination chemistry through conceptual DFT. 2.2 Molecular magnetism 2.2.1 Diamagnetism, paramagnetism and related properties Every substance reacts to the application of a magnetic field $\vec{H}$ by an induced magnetic moment $\vec{m}$. This reaction can essentially be of two kinds: either the sample repels the magnetic field lines, hence $\vec{m}$ opposes — at least partially — $\vec{H}$, or it concentrates them, hence $\vec{m}$ and $\vec{H}$ point in the same direction.\textsuperscript{63} The first situation is referred to as diamagnetism. It is a microscopic analogue of the Lenz’ law of electrodynamics, due to the electron motion. The electronic cloud around a nucleus can indeed be seen as a current loop (orbital momentum of the electrons), which will react to the application of the magnetic field through an additional current $i$ that opposes the perturbation. It is a general property of matter, in the sense that the only condition for a sample to present diamagnetism is to bear electrons. The second situation is referred to as paramagnetism. It is only encountered in open-shell structures such as radicals, transition metals and rare earth ions, and is due to the non zero angular momentum of electrons. It is possible to define a quantity that links the induced magnetisation to the applied magnetic field:\textsuperscript{64} \begin{equation} \bar{\chi} = \frac{d\vec{m}}{d\vec{H}} = \begin{pmatrix} \chi_{xx} & \chi_{xy} & \chi_{xz} \\ \chi_{xy} & \chi_{yy} & \chi_{yz} \\ \chi_{xz} & \chi_{yz} & \chi_{zz} \end{pmatrix} \tag{2.3} \end{equation} called the magnetic susceptibility. Formally, it is a second-rank tensor, which we assume to be symmetric. It is always possible to diagonalise such tensor\textsuperscript{(iv)} \begin{equation} \bar{\chi} = \begin{pmatrix} \chi_u & 0 & 0 \\ 0 & \chi_v & 0 \\ 0 & 0 & \chi_w \end{pmatrix} \tag{2.4} \end{equation} where the eigenvectors $\vec{u}$, $\vec{v}$ and $\vec{w}$ are called the magnetic axes. If the three components of the diagonal tensor are equal, then the magnetic susceptibility is simply a scalar, and the magnetism is said to be isotropic. In the following, we will assume this is the case, else stated otherwise. We will also assume the magnetic field is small, in which case the magnetisation evolves linearly with field: \begin{equation} \vec{m} = \chi \vec{H}. \tag{2.5} \end{equation} Generally, $\chi$ is the sum of a diamagnetic ($\chi^D < 0$) and paramagnetic ($\chi^P > 0$) term \begin{equation} \chi = \chi^D + \chi^P. \tag{2.6} \end{equation} Often, the paramagnetic susceptibility is much stronger than the diamagnetic one, which furthermore tends to be temperature independent. It can also be quite correctly reproduced from tabulated data, the so-called Pascal tables.\textsuperscript{65} Since we are interested in the paramagnetic component of susceptibility, we can simply withdraw from the measured susceptibility the diamagnetic (tabulated) component, $\chi^P = \chi - \chi^D$. For the sake of simplicity, in the following we will use the term "susceptibility" in the sense of paramagnetic susceptibility. \textsuperscript{(iv)}Provided naturally that its determinant is not zero, which will be the case here. 2.2.2 The van Vleck equation As we said, the paramagnetic susceptibility is the consequence of the interaction of the angular momentum of unpaired electrons with a magnetic field. We also know from quantum mechanics that to each energy level $E_i$ of the system will be associated a specific total angular momentum $J_i$, hence a specific magnetisation $m_i$. It can be expressed as $$m_i = -\frac{\partial E_i}{\partial H} \tag{2.7}$$ with $E_i$ the energy of level $i$. Overall, the molar magnetisation will be the resultant of the levels contribution, weighted by their population: $$M = N_A \frac{\sum_i m_i \exp \left( \frac{-E_i}{k_B T} \right)}{\sum_i \exp \left( \frac{-E_i}{k_B T} \right)}. \tag{2.8}$$ Van Vleck suggested an approximation of this formula, based on a series expansion of the energy with respect to $H$: $$E_i = \sum_{k=0}^{\infty} E_i^{(k)} H^k = E_i^{(0)} + E_i^{(1)} H + E_i^{(2)} H^2 + \ldots \tag{2.9}$$ The levels magnetisation is thus straightforwardly $$m_i = \sum_{k=1}^{\infty} -k E_i^{(k)} H^{k-1} = -E_i^{(1)} - 2E_i^{(2)} H + \ldots \tag{2.10}$$ If the field is small enough, the energy expansion can be safely truncated at the first order. Furthermore, the exponential can be expanded as a Taylor series: $$\exp \left( \frac{-E_i}{k_B T} \right) \approx \exp \left( \frac{-E_i^{(0)}}{k_B T} \right) \left( 1 - \frac{E_i^{(1)} H}{k_B T} \right). \tag{2.11}$$ Hence we have $$M = N_A \frac{\sum_i -E_i^{(1)} \exp \left( \frac{-E_i^{(0)}}{k_B T} \right) \left( 1 - \frac{E_i^{(1)} H}{k_B T} \right)}{\sum_i \exp \left( \frac{-E_i^{(0)}}{k_B T} \right) \left( 1 - \frac{E_i^{(1)} H}{k_B T} \right)}. \tag{2.12}$$ If the magnetisation is zero when the field is turned off, we get: $$\sum_i -E_i^{(1)} \exp \left( \frac{-E_i^{(0)}}{k_B T} \right) = 0 \tag{2.13}$$ thus $$M = \frac{N_A H \sum_i (E_i^{(1)})^2 \exp \left( \frac{-E_i^{(0)}}{k_B T} \right)}{k_B T \sum_i \exp \left( \frac{-E_i^{(0)}}{k_B T} \right)}. \tag{2.14}$$ (v) Note that this corresponds to an expansion in Zeeman’s $k$th order effects. Equation 2.14 is called the Van Vleck equation (truncated at the first order). As one can already infer, it provides a direct link between the measured magnetisation and the quantum levels of the system under study. It is thus possible to deduce an energy diagram from magnetic measurements, or on the contrary to compute magnetisation from an energy diagram. In the following subsection, we will show how this can be achieved for the transition metals and lanthanide complexes that will be presented in this manuscript. It is largely inspired from Olivier Kahn’s (land marking) book, and the reader is referred to it for any further details.$^{54}$ ### 2.2.3 Magnetism of coordination complexes: basic principles As we briefly evoked in the previous section, the Hamiltonian that describes the interaction of a given system with a magnetic field is the Zeeman Hamiltonian: \[ \mathcal{H}_{ZE} = \mu_B \sum_{i=1}^{N} \left( \vec{L}_i + g_e \vec{S}_i \right) \cdot \vec{H} \] (2.15) with $ \vec{L}_i $ and $ \vec{S}_i $ the orbital and spin momenta of electron $ i $, and $ g_e $ the gyromagnetic factor of the free electron. Provided that the zero-energy spectrum is known, one simply needs to compute the Zeeman Hamiltonian energy spectrum in order to determine the magnetic properties of the system. #### Isotropic case Let us first consider the case of molecules with a unique magnetic centre and with $ \vec{L}_i = \vec{0} $, and no higher-order anisotropy. The Zeeman Hamiltonian in that case reduces to the projection of the total spin along the magnetic field. This actually will be the case for Cu(II) (isotropic $ S = 1/2 $ ion) and Gd(III) (isotropic $ S = 7/2 $ ion). Provided that $ \vec{H} $ is constant, the energy spectrum of $ \mathcal{H}_{ZE} $ is thus simply the energy spectrum of the $ \hat{S}_z $ operator, $ E_{ZE} = M_S \mu_B H $. It is quite simple to show that, in such cases, \[ \chi = \frac{N_A g^2 \mu_B^2}{3k_B T} S(S+1) = \frac{\mathcal{C}}{T}. \] (2.16) This is the Curie Law (with $ \mathcal{C} $ the Curie constant). Lets us now consider the (more interesting) case of a heterodinuclear complex, involving two species A and B such that $ S_A \neq S_B $. We will assume these two magnetic centres are isotropically coupled (Heisenberg coupling). As such, the zero-field energies are now given by the following Hamiltonian: \[ \mathcal{H}_{HDVV} = -J \hat{S}_A \cdot \hat{S}_B \] (2.17) where $ J $ is called the magnetic coupling between A and B. Note that $ J > 0 $ is associated to a ferromagnetic coupling, and $ J < 0 $ to an antiferromagnetic coupling.$^{(vi)}$ The determination the energy spectrum of $ \mathcal{H}_{HDVV} $ was proposed by Heisenberg, Dirac and Van Vleck. Let us consider the total spin $ \hat{S} = \hat{S}_A + \hat{S}_B $. From the law of composition of kinetic momenta and commutation rules, it follows that \[ \|S_A - S_B\| \leq S \leq S_A + S_B \] (2.18) $^{(vi)}$If $ S_A \neq S_B $, the antiferromagnetic case can also be described as ferrimagnetic. \[ \hat{S}^2 = \hat{S}_A^2 + \hat{S}_B^2 + 2\hat{S}_A \hat{S}_B. \] (2.19) From equation (2.19), one easily gets that \[ \mathcal{H}_{HDVV} = -\frac{J}{2} \left( \hat{S}^2 - \hat{S}_A^2 - \hat{S}_B^2 \right) \] (2.20) which involve the quadratic spin operators whose eigenvalues are known. The energies can then simply be written as: \[ E(S) = -\frac{J}{2} (S(S+1) - S_A(S_A+1) - S_B(S_B+1)) \] (2.21) \[ = -\frac{J}{2} S(S+1) + constant. \] (2.22) For the sake of simplicity, we will set the constant to zero (shifting the energies). The resulting spectra are displayed on Scheme 2.2.1. ![Scheme 2.2.1: Energy spectrum of the Heisenberg-Dirac-Van Vleck Hamiltonian, for the antiferromagnetic (left) and ferromagnetic (right) cases.](image) The resulting states will be further split by the application of a field, because of the Zeeman effect. If we use the same notation as in equation (2.14), we have \[ E_i = -\frac{J}{2} S_i(S_i+1) + \mu_B g M_{S_i} \] (2.23) \[ E_i^{(0)} = -\frac{J}{2} S_i(S_i+1), \quad E_i^{(1)} = \mu_B g M_{S_i} \] (2.24) for any state $i$ associated to the spin $S_i$. For instance, if we set $S_A = S_B = 1/2$, as could be found for instance in a dinuclear Cu(II) complex, two states can be constructed: - $S = 0$, singlet state, with $E^{(0)}(S = 0) = 0$ and $E^{(1)}(S = 0) = 0$; - $S = 1$, triplet state, with $E^{(0)}(S = 1) = -J$ and $E^{(1)}(S = 1) = -\mu_B g, 0, \mu_B g$. The Van Vleck formula reduces in that case to \[ \chi = \frac{M}{H} = \frac{N_A}{k_B T} \frac{0 + (-\mu_B g)^2 \exp (+J/k_B T) + 0 + (\mu_B g)^2 \exp (+J/k_B T)}{1 + 3 \exp (+J/k_B T)} \] (2.25) Thus, the thermal variation of $\chi$ (or even better, $\chi T$) provides direct information on $J$: it is possible to gain information on the coupling between these two spins by the simple measurement of susceptibility versus temperature. This is unfortunately not always the case. In Chapter 5, we will study an asymmetric trinuclear complex of Cu(II), where all the spins are supposed to be coupled. A schematic representation of such complexes is given on Figure 2.2.1. If we label A, B, and C the three copper centres, the zero-field Hamiltonian now writes $$\mathcal{H}_{\text{Cu}_3} = -J_{AB}\hat{S}_A \cdot \hat{S}_B - J_{AC}\hat{S}_A \cdot \hat{S}_C - J_{BC}\hat{S}_B \cdot \hat{S}_C.$$ The solutions in that case are less straightforward. We are interested here in the coupling of three $S = 1/2$ spins. The solutions are thus going to be quartet ($S = 3/2$) and doublet ($S = 1/2$) states. ![Figure 2.2.1: Schematic representation of an asymmetric Cu(II) trinuclear complex.](image) Only one quartet state can actually be built, by aligning all the spins. We will label that state $\|\uparrow\uparrow\uparrow\rangle$, where the direction of the arrows indicates the spin projection (up or down) for, respectively, spin A, B or C. The energy of this state is thus simply given by the expectation value of the Hamiltonian $$E(3/2) = \langle \uparrow\uparrow\uparrow \| \mathcal{H}_{\text{Cu}_3} \| \uparrow\uparrow\uparrow \rangle = - J_{AB} \langle \uparrow\uparrow\uparrow \| \hat{S}_A \cdot \hat{S}_B \| \uparrow\uparrow\uparrow \rangle$$ $$- J_{AC} \langle \uparrow\uparrow\uparrow \| \hat{S}_A \cdot \hat{S}_C \| \uparrow\uparrow\uparrow \rangle$$ $$- J_{BC} \langle \uparrow\uparrow\uparrow \| \hat{S}_B \cdot \hat{S}_C \| \uparrow\uparrow\uparrow \rangle.$$ The Heisenberg-Dirac-Van Vleck approach of equation (3.19) can, as previously, be unfolded and yields: $$E(3/2) = - \frac{J_{AB} + J_{AC} + J_{BC}}{4}.$$ The doublet states may be more difficult to picture. Three doublet configurations can indeed be constructed by flipping one spin in $\|\uparrow\uparrow\uparrow\rangle$: $\|\downarrow\uparrow\uparrow\rangle$, $\|\uparrow\downarrow\uparrow\rangle$ and $\|\uparrow\uparrow\downarrow\rangle$, and the expected doublet states are going to be linear combinations of these "limit forms". They will be eigenvectors of the Hamiltonian, i.e. they are such that $\mathcal{H}_{\text{Cu}_3}$ is diagonal in their basis. Overall, the problem reduces then to the diagonalisation of $\mathcal{H}_{\text{Cu}_3}$ in the subspace of doublet configurations. In the $\{\| \downarrow\uparrow\uparrow \rangle, \| \uparrow\downarrow\uparrow \rangle, \| \uparrow\uparrow\downarrow \rangle \}$ basis, the matrix elements of $\mathcal{H}_{\text{Cu}_3}$ are $$\begin{pmatrix} (J_{AB} + J_{AC} - J_{BC})/4 & -J_{AB}/2 & -J_{AC}/2 \\ -J_{AB}/2 & (J_{AB} + J_{BC} - J_{AC})/4 & -J_{BC}/2 \\ -J_{AC}/2 & -J_{BC}/2 & (J_{AC} + J_{BC} - J_{AB})/4 \end{pmatrix}$$ where we used equation (2.19) and\textsuperscript{vii} \begin{equation} \hat{S}^2 = \hat{S}_A^+ \hat{S}_A^- + \hat{S}_A^+ \hat{S}_B^- + \hat{S}_A^- \hat{S}_B^+ + \hat{S}_B^+ \hat{S}_B^- - \hat{S}_{Az} - \hat{S}_{Bz} + \hat{S}_{Az}^2 + \hat{S}_{Bz}^2 + 2 \hat{S}_{Az} \hat{S}_{Bz}. \end{equation} The problem is thus to solve $ \det(\mathcal{H}_{\text{Cu}_3} - E \mathbb{I}_3) = 0 $ (where $ \mathbb{I}_3 $ represents the identity matrix). This leads to a third degree polynomial, which can be factorised once it is recalled that one of the energies (root of the polynomial) is necessarily equal to the energy of the quartet, $ E(1/2)_1 = E(3/2) $ ($ M_S = \pm 1/2 $ component of the quartet). After a bit of calculation, the two other roots are found: \begin{equation} E(1/2)_{2,3} = \frac{J_{AB} + J_{AC} + J_{BC}}{4} \\ \pm \sqrt{\frac{(J_{AB} - J_{BC})^2 + (J_{BC} - J_{AC})^2 + (J_{AC} - J_{AB})^2}{8}}. \end{equation} It is then here also possible to express susceptibility from the coupling constants, but the reciprocal is not true. This is rather logical: in Van Vleck’s formula, the relevant parameters are not the absolute energies of each state but rather their relative energies. Here, we want to relate two energy differences (three-state system) to three independent coupling constants, which is not possible. Anisotropic case Let us now consider the possibility, for the system, to show some magnetic anisotropy. By magnetic anisotropy, we mean the possibility to display different values of the magnetisation for a same magnitude of the field, depending only on the orientation of the latter. This is a direct consequence of the spin-orbit coupling. In the simplest case, the orbital momentum is negligible in the ground state, but not in the excited ones. This will generally be the case for transition metal octahedral complexes. Ground and excited states may then be coupled through the spin-orbit Hamiltonian of equation (1.61), with $ L $ and $ S $ being the total spin and orbital moment. This leads to two phenomena: first, the gyromagnetic factor becomes anisotropic ($ g_u \neq g_u \neq g_v $). Furthermore, if the spin is larger than 1/2, one may observe an energy splitting between substates with a different absolute value of $ M_S $: this is the so-called Zero Field Splitting (ZFS). Phenomenologically, the ZFS Hamiltonian can be written as \begin{equation} \mathcal{H}_{ZFS} = \hat{S} \bar{D} \hat{S} \end{equation} where $ \bar{D} $ is a traceless and symmetric tensor,\textsuperscript{viii} called the ZFS or anisotropy tensor. Equation (2.35) can also be found written as \begin{equation} \mathcal{H}_{ZFS} = D \left[ \hat{S}_z^2 - \frac{S(S+1)}{3} \right] + E \left( S_x^2 + S_y^2 \right) \end{equation} \textsuperscript{vii}We remind that the $ \hat{S}^+ $ and $ \hat{S}^- $ operator verify \begin{align} \hat{S}^+ \| \uparrow \rangle &= \| 0 \rangle, & \hat{S}^- \| \uparrow \rangle &= \| \downarrow \rangle \\ \hat{S}^+ \| \downarrow \rangle &= \| \uparrow \rangle, & \hat{S}^- \| \downarrow \rangle &= \| 0 \rangle \end{align} \textsuperscript{viii}Traceless since, overall, the sum of the levels energy should remain unchanged. where the D and E parameters are related to the eigenvalues of $\bar{D}$ by the following equations \begin{align} D &= \frac{3D_z}{2} \\ E &= \frac{\|D_x - D_y\|}{2} \end{align} (assuming $x$, $y$ and $z$ are the principal axes for both $\bar{D}$ and $\bar{g}$). They are called, respectively, axial and rhombic anisotropy parameter. This form of anisotropy will principally be encountered for transition metals ions, with spins larger than 1/2. As such, it will not be considered in the following, since we will focus in this thesis on the magnetic properties of Cu(II) ($S = 1/2$) and lanthanide complexes only. In this latter case, the orbital momentum in the ground state is non negligible, and may thus be coupled by the spin-orbit coupling to the spin momentum.\footnote{Note that this may also be true for transition metal complexes, noticeably those of Co(II).} Furthermore, previously we implicitly assumed that the spin-orbit coupling was only acting as a small perturbation on the eigenstates of the (spin) Hamiltonian. This implied that the spin quantum number $S$ remained an adapted quantum number – in the sense that it still permitted to describe the state of the system –. This is no longer the case if the spin-orbit interaction is large enough, compared to the other terms in the Hamiltonian. In the case of the lanthanide ions, the magnitude of the spin-orbit interaction becomes comparable to the magnitude of the other terms of the free ion Hamiltonian ($10^3$ cm$^{-1}$ compared to $10^4$ cm$^{-1}$, respectively)\textsuperscript{70}. Spin is thus no longer a relevant quantum number, and since the degeneracy of the ground state is lifted according to the value of the total angular momentum $$\hat{J} = \hat{L} + \hat{S}$$ $J$ will be the new relevant quantum number. We can infer from this formula that magnetic anisotropy will be caused by the orbital momentum $\hat{L}$, provided naturally that it is itself anisotropic. This is likely to happen, thanks to the coordination of ligands around the lanthanide cation. The crystal field splitting (presented in the previous section), lifting the degeneracy of the orbitals depending on their relative orientation with respect to the coordination sphere, may indeed preferentially stabilise orbitals pointing along (a) specific direction(s) in space. As a result, the different orientations in space become non-equivalent – we lose the spherical symmetry of the free ion –, and so do the different components of $\hat{L}$, and thus of $\hat{J}$. As we will see in the following section, this anisotropy can be very large. Actually, it is often much larger than transition metals anisotropy. In summary, we have seen so far that, introducing more and more term to the Hamiltonian of a metal free ion, we may describe more and more precisely its magnetic properties. Noteworthy, the approach that was unfolded at the beginning of this section remains valid in the anisotropic case – one may still invoke Van Vleck’s formula –, even though much more difficult to handle. We also see the tremendous importance of the coordination symmetry and geometry, since they will act on the energy splitting and thus on the exponentials of Van Vleck’s formula, but also on the anisotropy itself. In a way, controlling coordination should permit to control anisotropy. 2.2.4 Single Molecule Magnets The latter point has actually been a central issue of coordination chemistry in the last twenty five years. Indeed, at the beginning of the 1990s was discovered the first Single Molecule Magnet (SMM), $[\text{Mn}_{12}\text{O}_{12}(\text{CH}_3\text{COO})_{16}(\text{H}_2\text{O})_4]$ (simplified as $\text{Mn}_{12}$). This complex was first synthesised in 1980, but its intriguing magnetic properties were characterised and explained only thirteen years later.\cite{71,72} In 1993, it was indeed discovered that this complex could retain its magnetisation in the absence of any external magnetic field, and for very long times at low temperatures – about 2 months at 2 K –. In other words, this complex acts, at least at low temperatures, as a molecular equivalent of the magnets. The word molecular is very important: the slow relaxation is not due to an extended (solid state) order, but solely to its uniaxial magnetic anisotropy. The picture is actually quite simple: because of this uniaxial anisotropy, the magnetic moment will preferentially orient along the easy axis, and will tend to avoid the hard axes directions (hence their name). They should be found at $90^\circ$ from the easy axis,\footnote{Being the eigenvectors of a symmetrical real tensor, the magnetic axes are necessarily orthogonal.} which means the continuous reversal of magnetisation – "upside down" – will be quite severely hampered: relaxation of magnetisation will thus be slowed down. Scheme 2.2.2: Schematic representation of the reversal of magnetisation in the isotropic (left) and uniaxal anisotropic (right) cases. The magnetisation vector is represented by the cyan arrow, and the blue volume represents the susceptibility tensor ellipsoid. $w$ is taken as the easy axis. Actually, in the case of the $\text{Mn}_{12}$ complex it could be shown that the temperature dependence of the magnetisation dynamics obeys an Arrhenius law \[ \nu_{rel} = \nu_0 \exp \left( -\frac{\Delta E}{k_B T} \right) \] with \[ \Delta E = \|D\|S^2 = 66K \] and $ S = 10 $ (ferrimagnetic coupling of the Mn(IV) and Mn(III) ions).$^{(xi)}$ Physically, this expression means the relaxation from the $ M_S = +10 $ substate towards the $ M_S = -10 $ substate proceeds via a thermal activation to the $ M_S = 0 $ substate, as pictured on Scheme 2.2.3.$^{(xii)}$ ![Scheme 2.2.3: Schematic representation of the relaxation of magnetisation in Mn$_{12}$.](image) As one may note, the energy barrier $ \Delta E $ involves both the uniaxal anisotropy parameter and the total spin. The higher these parameters (in absolute value), the slower the relaxation. In order to obtain more efficient SMMs, because of the apparent quadratic evolution of $ S $ chemists tried at first to develop systems with giant spins. Indeed, more efficient SMMs means higher working temperatures, but also higher magnetic moments. Unfortunately, even though very large $ S $ values could be obtained – such as $ S = 83/2 $$^{73} $ –, no improvement was observed on the relaxation rates. Actually, it could be shown that the diagonal terms of the ZFS Hamiltonian actually evolve as $ S^{-2} $, thus making $ \Delta E $ globally independent of $ S $.$^{74}$ Furthermore, the reason for the slow relaxation of Mn$_{12}$ is its high anisotropy, which is itself due to a rather efficient addition of the local anisotropies of the Mn(III) and Mn(IV) ions. The fact that the single ion anisotropies add instead of subtract is due the high symmetry – tetragonal – which force the easy axes of each ion to lie approximately along the $ S_4 $ axis. In order to optimise the SMM behaviour, it is thus better to control $^{(xi)}$One may note the form of the energy term, which is directly linked to the ZFS Hamiltonian of equation (2.35). $^{(xii)}$Indeed, relaxation of magnetisation means that the system is able to reverse its magnetic moment, hence to exchange the population of the $ M_S = \pm 10 $ substates. strictly the way local anisotropies interact, and this calls for rather small assemblies of very anisotropic ions.\textsuperscript{75} The discovery of the first Single Ion Magnet in the early 2000’s can be seen as a wonderful support to this idea. In 2004, Ishikawa indeed showed that two mononuclear lanthanide complexes, $[\text{TbPc}_2]^-$ and $[\text{DyPc}_2]^-$ (with $\text{Pc} = \text{phthalocyanate}$), displayed a slow relaxation of magnetisation at quite high temperatures (between 10 K and 40 K).\textsuperscript{76} This was solely due to the magnetic anisotropy of the complexes, which overall contains only a single paramagnetic centre. This discovery lead to a huge research effort on lanthanide-based single molecule magnets, and noteworthy on mononuclear Ln-based SMM.\textsuperscript{77,78} The lanthanide ions appear indeed very promising in the seek for more efficient SMM. As we mentioned earlier, because of the strong spin-orbit coupling they may indeed present strong single-ion anisotropies, and for the last half of them (Tb - Yb) they also present high magnetic moments\textsuperscript{(xiii)}. Furthermore, since the crystal field controls the final anisotropy, in turn it should be possible to control anisotropy through an appropriate tuning of the coordination sphere. This was summarised in 2008 by Rinehart and Long,\textsuperscript{79} who offered guidelines to design lanthanide-based SMMs, basing on the mutual adaptation of the $4f$ electron density in the substates with the highest $\|M_J\|$ value and the ligand field. It appears that lanthanide cations can be separated into two classes, showing either a prolate or oblate deformation of the $4f$ electron density in these substates (as compared to the ideal spherical distribution of the free ion). Ligand fields displaying a marked negative charge density encapsulating these "deformation ellipsoids" are thus expected to stabilise them, hence inducing or reinforcing an energy barrier between the different $M_J$ substates. Yet, we will see in Chapter 6 that this model, though quite elegant, is too simplified. Relaxation of magnetisation is indeed a very complicated phenomenon, involving mechanisms that are not restricted to the level of the isolated molecule.\textsuperscript{80} Let us consider the case of a SMM in its crystalline state, assuming that intermolecular magnetic interactions are negligible. Relaxation of magnetisation in that case can occur through four different mechanisms,\textsuperscript{(xiv)} First, the two degenerate ground states with opposite magnetisation may not be completely uninteracting. Provided that these two states may "communicate", quantum tunnelling of magnetisation can occur, through the fast inversion between these two substates. "Communication" between the states may be induced for instance by hyperfine coupling between the electronic and nuclear spin, which indirectly couples the two components of the ground doublet. The resulting relaxation rate is independent of temperature, but is on the other hand strongly dependent on the magnetic field magnitude. Indeed, provided that a magnetic field is applied on the system, the degeneracy in the ground state is lifted and thus the quantum tunnelling should be suppressed. Overall, the rate of magnetic relaxation due to quantum tunnelling writes $$\nu_{QTM} = \frac{1}{a + bH^2}$$ with $a$ and $b$ two constants. Second, the molecule is not suspended in a vacuum, but embedded within a crystal lattice. This implies every molecule feels an electric (Madelung) field created by all the point charges in the crystal. The quantum state of each molecule is thus dependent on this electric field, and because of the spin-orbit coupling this means the magnetic properties \textsuperscript{(xiii)}For a more than half-filled shell, we remind that $J = L + S$, while for a less than half-filled shell one gets $J = \|L - S\|$. \textsuperscript{(xiv)}The curious reader is referred to Stevens’ publication for more details.\textsuperscript{81} are likely going to be impacted by any variation of the Madelung field. Since we study molecules at a non-zero temperature, vibration modes are expected to be populated, which in turn means all the point charges that contribute to the Madelung field may be moving. The Madelung potential is then expected to be time dependent, and its variations in time induce the so-called spin-phonon coupling, i.e. the coupling of magnetic properties and vibrations. The interplay between the vibration modes and magnetic states thus allows magnetisation to relax, through three different mechanisms. First, the direct relaxation, which consists in the absorption of a vibration quantum $\hbar \omega$ exactly equal to the energy gap between two states. It is a field and temperature dependent mechanism: $$\nu_{direct} = (cH^2 + dH^4) T.$$ \hspace{1cm} (2.43) Second, the Orbach relaxation, which can be seen as double direct mechanism: the system absorbs a first quantum $\hbar \omega$ to reach an intermediate state $\|\psi_{int}\rangle$, and then releases another quantum $\hbar \omega_2$ in order to reach the final state. It is temperature dependent but field independent: $$\nu_{Orbach} = \nu_0 \exp \left( -\frac{\Delta E}{k_B T} \right)$$ \hspace{1cm} (2.44) with $\Delta E = \|\hbar (\omega - \omega_2)\|$. One may note the mono-exponential – Arrhenius-like – form, reminiscent of equation (2.40). Finally, the Raman relaxation, which can be seen as an Orbach mechanism involving a "virtual" intermediate state (excitation energies are much larger than the energy span of the ground configuration). The relaxation rate for this mechanism is strongly temperature dependant: $$\nu_{Raman} = eT^n$$ \hspace{1cm} (2.45) with $n$ being an integer, and $e$ being possibly field independent. Overall, the magnetisation dynamics for an isolated yet crystallised SMM is thus expected to be the resultant of these different contributions, being noted furthermore that each mechanism can intervene several times – for instance, two Orbach relaxations with different energy barriers can be found. In turn, SMM are very complex systems whose properties are still very hard to control, if it is only possible. Indeed, single ion anisotropies seem now quite easy to control, but we still do not know how to ensure the highly anisotropic molecules will behave as SMMs in the solid state. As we will show in Chapter 6, playing solely on the energy barriers in the system may not be the most appropriate way to design SMM, since "under barrier" phenomena (i.e., Raman and direct relaxations) may completely control the relaxation rate. ### 2.2.5 Characterising magnetic anisotropy locally So far, we did not mention how magnetic anisotropy can be measured and quantified from the experimental point of view. Many different experimental techniques are available, and the curious reader is referred to the Molecular Magnetism Website\textsuperscript{82} (\url{www.molmag.de}) for more details and informations. In the following paragraphs, we will present two techniques that were used during this thesis: angular-resolved magnetometry and polarised neutron diffraction. Angular-resolved magnetometry Scheme 2.2.4 represents a simplified magnetometry experiment: a sample (red rectangle) is placed in the middle of a superconducting circuit, which consists in three successive coils. The coiling orientation is alternating when going from top to bottom. Initially, the cavity is empty and a vertical static magnetic field is applied. Since the magnetic flux is not evolving with time, no voltage appears across the circuit (Lenz’ law). If now we introduce a sample in the cavity, then the magnetic flux is perturbed. Yet, if the sample is static no electric signal will be measured, since the magnetic flux is not varying in time. If on the other hand we move the sample or if we set the magnetic field to be alternating, then a voltage is expected across the circuit, which can be linked to the vertical component of the magnetic moment of the sample. Because of the setup, the voltage versus position is expected to show a "cardinal sine"-like shape, with a maximum in 0 and minima in $ \pm L $ (if the sample is paramagnetic). In "classical" SQUID$^{(xv)}$ magnetometry, one usually measures the magnetic moment of a sample with respect to field magnitude, temperature, AC field frequency or even light irradiation, on a powder sample. This means that the measured magnetic moment is averaged over all possible orientations of the molecules. Direct information on the magnetic anisotropy cannot be obtained at this point. ![Schematic representation of a magnetometer](image) Scheme 2.2.4: Schematic representation of a magnetometer In angular resolved magnetometry,$^{83,84}$ the same kind of measurements are performed but on a single crystal, whose orientation is precisely known and can be controlled (additional parameter). In the apparatus we used, the single crystals were fixed on a rotating sample holder, aligning the rotation axis with a lattice direction. The measurement of the magnetisation against the rotation angle and temperature or magnetic field magnitude thus provides information on the magnetic properties at the level of the crystal lattice. If we write the susceptibility tensor according to equation (2.3), then the measured magnetic moment will be expressed as:$^{85}$ \[ m_{meas} = \frac{1}{N} \sum_{i \in Lattice \ positions}^{N} \left( \bar{\chi}_i \cdot \vec{H} \right) \cdot \frac{\vec{H}}{\|\|\vec{H}\|\|}. \] (2.46) If the crystal lattice contains no symmetry equivalent positions, then sum of equation (2.46) reduces to a single term. Hence, measuring the magnetisation as a function of angle for three non collinear rotation axes should, in principle, permit to extract every $^{(xv)}$SQUID: Superconduction QUantum Interference Device. This device translates the magnetic flux produced by the studied sample into a current – using Lenz’ induction law –, which is itself translated into a voltage directly linked to the magnetic moment of the sample. component of the susceptibility tensor, and thus access experimentally the molecular magnetic anisotropy. This is also true if only inversion-related positions are found in the lattice: applying an inversion symmetry operation should not lead magnetic moments to oppose the magnetic field (unstable equilibrium). The susceptibility tensor is indeed invariant under space inversion: \[ i \left( \bar{\chi} \right) = \begin{pmatrix} -1 & 0 & 0 \\ 0 & -1 & 0 \\ 0 & 0 & -1 \end{pmatrix} \cdot \begin{pmatrix} \chi_{xx} & \chi_{xy} & \chi_{xz} \\ \chi_{xy} & \chi_{yy} & \chi_{yz} \\ \chi_{xz} & \chi_{yz} & \chi_{zz} \end{pmatrix} \cdot \begin{pmatrix} -1 & 0 & 0 \\ 0 & -1 & 0 \\ 0 & 0 & -1 \end{pmatrix} \] \[ = (-1)^2 \mathbb{I}_3 \cdot \bar{\chi} \cdot \mathbb{I}_3 = \bar{\chi}. \] Molecules related by an inversion symmetry are thus expected to yield the same magnetisation, and one can express the magnetic moment of a unit cell as being $N$ times the magnetic moment of a molecule, with $N$ the number of equivalent positions. As such, angular-resolved magnetometry allows the unambiguous determination of the molecular magnetic anisotropy in triclinic crystal cells. This is unfortunately untrue if other symmetry operations are found in the unit cell. For instance, in a monoclinic $P2/m$ cell there are four symmetry related positions: - (x,y,z): asymmetric unit position - (-x,y,-z): equivalent of the former through the 2-fold axis - (x,-y,z): equivalent of (x,y,z) through the mirror plane - (-x,-y,-z): equivalent of (x,y,z) through both operations. It is rather plain to see that the two last positions can be deduced from the two first ones via an inversion operation, hence they may safely be discarded. Equation (2.46) in that case reduces to \[ m_{meas} = \frac{2}{4} \times \left[ \left( \bar{\chi} \cdot \vec{H} \right) + \left( C_2(\bar{\chi}) \cdot \vec{H} \right) \right] \cdot \frac{\vec{H}}{\|\|\vec{H}\|\|} \] where $C_2$ is the 2-fold rotation operator. After a bit of calculations, the term within the bracket in equation (2.49) is found to be equal to \[ \left( \bar{\chi} \cdot \vec{H} \right) + \left( C_2(\bar{\chi}) \cdot \vec{H} \right) = 2 \begin{pmatrix} \chi_{xx} H_x + \chi_{xz} H_z \\ \chi_{yy} H_y \\ \chi_{xz} H_x + \chi_{zz} H_z \end{pmatrix} \quad \text{with} \quad \vec{H} = \begin{pmatrix} H_x \\ H_y \\ H_z \end{pmatrix}. \] It is thus clear that an angular-resolved measurement on a monoclinic single-crystal cannot provide a complete information on the molecular susceptibility tensor: the off-diagonal terms involving $y$ are absent from equation (2.50). The same reasoning can be applied on any higher order symmetry, thus implying that angular-resolved magnetometry itself cannot allow a complete determination of the molecular magnetic anisotropy for crystal cells with at least a monoclinic symmetry. Still, the diagonal and some off-diagonal terms are still present in equation (2.50). This means that, depending on the orientation of the magnetic field, it should be possible to see through the value of $m_{meas}$ an effect of the anisotropy. For instance, we have plotted on Figure 2.2.3 the angular dependence of $m_{meas}$ for a rotation along the $\vec{b}$ axis, with the $\vec{c}$ axis initially set along the magnetic field, and for different relative values of the $\chi_{ij}$ terms (more specifically, for $0 \leq \chi_{zz} \leq 0.75\chi_{xx}$, and also for $\chi_{zz} = 0.2\chi_{xx}$ and $-0.75\chi_{xx} \leq \chi_{xz} \leq 0.75\chi_{xx}$). The effect of anisotropy on these curves is plain, thus showing angular-resolved SQUID measurements may be of interest even in the case of a monoclinic cell. Noteworthy, the effect of the off-diagonal components can be retrieved from the shift of the curve extrema. ![Figure 2.2.3: $m_{meas} = f(\theta)$ plots for a rotation along the $\vec{b}$ axis of a monoclinic cell, according to equation (2.50). Upper part: evolution of $m_{meas}$ depending on the relative values of $\chi_{xx}$ and $\chi_{zz}$, fixing $\chi_{zx} = 0$. Colour scheme: from blue to violet, fixed $\chi_{xx}$ and variable $\chi_{zz}$ (from $0.2\chi_{xx}$ to $0.75\chi_{xx}$). Lower part: evolution of $m_{meas}$ with $\chi_{zz} = 0.2\chi_{xx}$, with $\chi_{zx}$ varying from $-0.75\chi_{xx}$ (green) to $+0.75\chi_{xx}$ (orange).](image) Polarised Neutron Diffraction (PND) We have seen in the previous paragraphs that angular-resolved magnetometry does not allow to retrieve a complete information on the magnetic anisotropy at the molecular level. This is because SQUID magnetometry is not exactly a local probe, in the sense that it yields information on the unit cell rather than on the isolated complex. Polarised Neutron Diffraction, on the other hand, allows an unambiguous determination of the magnetic susceptibility tensor at the single molecule level. Neutrons are massive and chargeless fermionic particles, and some of their properties are gathered in Table 2.1.\footnote{If we neglect the gravitational potential energy, we may write the total energy of a neutron as being equal to its kinetic energy, $E = 1/2m_n p^2$. Placed in a temperature controlled bath (for instance a pool of water), a neutron will tend to equal its energy to $k_B T$. Using de Broglie’s equation, we get: $$\lambda = \frac{h}{p} = \frac{h}{\sqrt{2k_B T m_n}}.$$} Because of their zero electric charge, they may penetrate deeply into matter without interaction. Their large mass also permits to thermalise them, which thus allows to attribute them a specific wavelength thanks to de Broglie’s equation\footnote{Of course, if we consider an ensemble of neutrons we need to consider a more accurate model; neutrons...}. Table 2.1: Some physical characteristics of the neutron. \| Masse \| $m_n = 1.675 \times 10^{-24}$ g \| \|-------\|---------------------------------\| \| Charge\| $q_n = 0$ C \| \| Spin \| $S = 1/2$ \| This means neutrons can be used, exactly as X-Rays, to perform diffraction experiments on single crystals. Thermal and "hot" neutrons (thermalised at room temperature and around 1000 °C, respectively) indeed present wavelengths in the order of 1 Å, thus are adapted to the study of molecular compounds. The interaction of neutrons with crystalline matter is two-fold.\textsuperscript{86} First, neutrons may interact with nuclei at very short distances, through the strong nuclear interaction. The resulting nuclear structure factor can be written as\textsuperscript{(xvii)} $$F_N(Q) = \sum_j^{\text{maille}} b_j \exp(iQ \cdot r_j) \quad (2.52)$$ with $Q$ the scattering vector and $b_j$ the scattering length of atom $j$, located at $r_j$. The similarity with the equations of X-Ray diffraction is rather striking. Being also fermionic particles, neutrons may furthermore interact with the magnetic moments in the lattice. The corresponding magnetic form factor writes $$F_M(Q) = \sum_j^{\text{maille}} \bar{\chi}_j \cdot H f_{j,M}(Q) \exp(iQ \cdot r_j) \quad (2.53)$$ where $\bar{\chi}_j$ represents the magnetic susceptibility tensor of atom $j$, and $f_{j,M}(Q)$ its normalised magnetic scattering factor\textsuperscript{(xviii)}. Interestingly, the scattered amplitudes stemming from these two form factors are of the same order of magnitude. Nuclear and magnetic diffusion are thus of a comparable intensity. If we assume the neutron beam is polarised along the $z$ direction, then the diffracted intensity can be written as $$I^\pm \propto \|F_N\|^2 + \|F_M^\perp\|^2 + P^\pm \left( F_N F_{M,z}^{\star} + F_N^ F_{M,Z}^\perp \right) \quad (2.54)$$ where $\star$ indicates a complex conjugate, and $P^\pm$ the real polarisation of the neutron beam for the up (+) and down (-) orientations. As one can infer from equations (2.54) and (2.53), comparison of the scattered intensities for a upwards and downwards beam polarisation should, in principle, yield information on the atomic susceptibility tensors.\textsuperscript{87,88} In a PND experiment, one measures the diffracted intensities for each Bragg peak, successively with a up and down beam polarisation, under a static magnetic field whose orientation with respect to the lattice axes is known. Practically, the sample is placed at the end of a rod, in a cryostat, and a vertical magnetic field is applied to it. The crystal is then rotated thanks to the rod, and for each angular position "up" and "down" diffracted \textsuperscript{xvi} Being fermions, the mean wavelength should be given by a similar formula, involving furthermore a Fermi-Dirac statistics weighing. \textsuperscript{xvii} Assuming the neutron wavelength is much larger than the strong interaction length, which in will be the case here: $\lambda \sim \text{Å}$, compared to $10^{-4}$ Å for the interaction length. \textsuperscript{xviii} Note that, actually, the magnetic scattering amplitude will be related only to the component of $F_M(Q)$ that will be perpendicular to the scattering vector $Q$. Furthermore, equation (2.53) is only valid for small magnetic fields, such that magnetisation evolves linearly with field. intensities are collected using either a bidimensional detector or a single detector placed in the diffracted beam direction. This operation is performed for three different orientations of the crystal (for instance, first $\vec{a}$ vertical, then $\vec{b}$, then $\vec{c}$). ![Scheme 2.2.5: Schematic representation of PND diffractometer. Labels: M, monochromator; F, flipper; S, sample; B, magnetic field orientation; C, 2D detector.](image) In the end, one obtains a set of $\{h, k, l, R_{hkl}\}$ values with $$R_{hkl} = \frac{I^+}{I^-} = \frac{\|F_N\|^2 + \|F_M^\perp\|^2 + P^+ \left( F_N F_{M,z}^{\perp} + F_N^ F_{M,z}^\perp \right)}{\|F_N\|^2 + \|F_M^\perp\|^2 + P^- \left( F_N F_{M,z}^{\perp} + F_N^ F_{M,z}^\perp \right)} \quad (2.55)$$ being called the flipping ratio. The deviation of this ratio from unity is a marker of magnetic scattering, and its values can be used in a least-square refinement to determine the $\chi_{ij}$ terms for each atom of the lattice, basing on equation (2.53). Generally, and it will be the case in Chapter 6, the magnetic moment is due essentially to the central metal cation of a complex. As such, one focuses on the susceptibility tensor of the latter, considering all the other atoms as being magnetically innocent\textsuperscript{(xix)} ($\chi_{ij} = 0$). ### 2.3 Long story short In conclusion, we have seen through this Chapter how, by the interplay of ligands and metal cations (either transition metals or lanthanides), coordination may lead to a fine tuning in their electronic structures, eventually giving the resulting complexes original physical and chemical properties. As we have seen, ligands are more than mere point charges – as they are modelled in the crystal field model –, and depending on their nature the properties of the corresponding complexes may vary significantly. In the following Chapter, we propose to revisit these ligands effects using a conceptual-DFT based approach. More specifically, we will see how the Dual Descriptor and the Molecular Electrostatic Potential permit to retrieve efficiently their coordination properties, \textit{i.e.} binding geometries and charge transfer character. Following this line of argument, we then propose to study and rationalise the \textit{trans} effects of octahedral complexes. This effect, which consists in the differential reactivity or stability of a metal-ligand bond depending on the ligand on the \textit{trans} position, is indeed rather ubiquitous in coordination chemistry and yet remained for a long time misunderstood. \textsuperscript{(xix)}Note that, when the magnetic properties are isotropic or the field high, one can also use PND to determine spin density maps. In that case, it is possible to determine spin delocalisation or polarisation on ligands. In Chapter 4, we will consider both the reactivity and magnetic properties of some Cu(II) complexes. As we will show, here also they can be understood in the simple terms of electron density donation, back-donation and electrostatic interactions. Finally, in Chapter 5 we will be interested in the magnetic properties of some lanthanide complexes showing a SMM behaviour. We will show how, using local and global measurements we were able to understand the physical mechanisms behind the slow relaxation of magnetisation they display. Chapter 3 Revisiting the metal-ligand interactions through conceptual DFT In this chapter, we wish to study some coordination complexes from the viewpoint of conceptual DFT. In a first time, we present an original approach of the dual descriptor, based on time independent perturbation theory. Then, through a rather simple study, we show how conceptual DFT can help to understand the chemical properties of ligands. Finally, we show on a rather large set of complexes how conceptual DFT allows to rationalise a phenomenon that remained largely misunderstood for almost a century: the trans effect. 3.1 State specific Dual Descriptor In Chapter 2, we introduced the Dual Descriptor (DD) $\Delta f(\mathbf{r})$ according to its first derivation\textsuperscript{(41)} $$\Delta f(\mathbf{r}) = \left( \frac{\partial^2 \rho(\mathbf{r})}{\partial N^2} \right)_{v(\mathbf{r})}. \quad (3.1)$$ Evaluation of the derivative in this equation can be cumbersome, and people generally use a finite difference approximation to evaluate it: $$\Delta f(\mathbf{r}) \approx \frac{\rho_{N+1}(\mathbf{r}) - \rho_N(\mathbf{r})}{(N + 1) - N} - \frac{\rho_N(\mathbf{r}) - \rho_{N-1}(\mathbf{r})}{N - (N - 1)} = \rho_{N+1}(\mathbf{r}) + \rho_{N-1}(\mathbf{r}) - 2\rho_N(\mathbf{r}) \quad (3.2)$$ with $\rho_{N+i}(\mathbf{r})$ representing the electron density of the molecule with an addition of $i$ electrons\textsuperscript{(i)}. Noteworthy, this derivation is formally exact at 0 K. Though helpful, this formulation has strong limitations. Noticeably, addition of one electron formally changes the spin state of the molecule. In the case of organometallic species, it is not plain which spin state to consider. Furthermore, the anionic state could be unbound, thus hampering the calculation. An alternative formulation was proposed in 2013 by C. Morell and V. Tognetti, using electron density differences between the ground and the excited states.\textsuperscript{89} The key idea \textsuperscript{(i)}If we assume furthermore that addition or subtraction of electrons leave the orbital diagram unchanged (frozen orbital hypothesis), we retrieve equation 1.58: $$\Delta f(\mathbf{r}) \approx \rho_{LUMO}(\mathbf{r}) - \rho_{HOMO}(\mathbf{r}). \quad (2.58)$$ was to describe the early stages of a chemical event as a perturbation from the state where molecules are infinitely remote from each other, thus involving the ground and excited states of the isolated molecules to build the real electron density. The electron density variation between this situation and the starting point (isolated molecules) should thus be equal to the DD. Therefore, one can write: \[ \Delta f(\mathbf{r}) = \sum_{i=1}^{\infty} \omega_i (\rho_i(\mathbf{r}) - \rho_0(\mathbf{r})) \] (3.3) with $ \rho_i(\mathbf{r}) $ the electron density in the $ i $th excited state, and $ \omega_i $ being a weighting parameter. Unfortunately, no mathematical formula is accessible for the weighting parameter. In this formulation, $ \Delta f(\mathbf{r}) $ is coined "generalised Dual Descriptor", and the electron density differences are referred to as "state specific Dual Descriptors". Conceptually, it makes sense that the higher in energy the excited state, the less it contributes to the ground state reactivity. One would then expect a form that involves a strong convergence with the excited state energy, as found for instance in the molecular polarisability formula.$^8$ Returning to perturbation theory, we can actually convince ourselves that $ \omega_i $ indeed converge with the excitation energies. Let us consider two molecules, initially separated by an infinite distance. At time $ t = 0 $, they are separated by a distance $ R $, large compared to their mean radius. They thus start to interact with one another, as pictured on Figure 3.1.1. ![Figure 3.1.1: Schematic representation of the two molecules in interaction.](image) Because of the large distance, the interaction can be considered to be only electrostatic$^{(ii)}$. Molecule (1), acting as a collection of point charges, induces an electric field in space, noticeably on molecule (2). The reverse is also true. Calling $ V(\mathbf{r}) $ the potential from which the field derives, using the same notations as in Chapter 2 we may express the Hamiltonian of the electrostatic interaction of (2) with the field of (1) \[ H_{int} = - \int_{\mathbb{R}^3} \rho(\mathbf{r})V(\mathbf{r})d^3\mathbf{r} + \sum_{nuclei} Z_i V(\mathbf{r}_i) \] (3.4) in complete analogy with classical electrostatics.$^90$ A simple form of perturbation would thus be such that $ H_{int} $ is modulated by a factor $ \lambda^{(iii)} $$^4$ \[ H_{pert} = \lambda H_{int}. \] (3.5) Let the solutions of the unperturbed Schrödinger equation be: \[ H\|n\rangle = E_n\|n\rangle. \] --- $^{(ii)}$Note that other forms of perturbations could be considered, for instance basing on dispersion effects. $^{(iii)}$Physically, this factor may represent the magnitude of the potential; $ \lambda \ll 1 $ means a small perturbation. Assuming the perturbation is small $(\lambda << 1)$, the wavefunction correction at the first order can be expanded on the basis of the unperturbed $\|n\rangle$ states. If the system is in the non-degenerate ground state $\|0\rangle$, the perturbed wavefunction $\|\Psi\rangle$ writes: \[ \|\Psi\rangle = c_0 \left( \|0\rangle + \sum_{k \neq 0} \frac{\langle k\|H_{pert}\|0\rangle}{E_k - E_0} \|k\rangle \right) \] (3.7) with $c_0$ a normalisation constant. It is rather simple to show that \[ c_0 = \pm \sqrt{\frac{1}{1 + \sum_{k \neq 0} \frac{\|\langle k\|H_{pert}\|0\rangle\|^2}{(E_k - E_0)^2}}} \] (3.8) the actual sign of $c_0$ being meaningless (phase factor). From equation (3.7), it is rather plain that the perturbation induced by an incoming ligand indeed involves the unperturbed excited states, and is weighted by the excitation energies as expected. As such, we may also expect the electron density perturbation will be weighted by the excitation energies. The perturbed electron density actually writes: \[ \rho_{pert}(r_1) = N \int \Psi^* \Psi ds_1 dx_2 \ldots dx_N \] \[ = c_0^2 \left( \rho_0(r_1) + 2 \sum_{k \neq 0} \frac{\langle k\|H_{pert}\|0\rangle}{E_k - E_0} \rho_0^k(r_1) \right) \] \[ + c_0^2 \left( \sum_{k \neq 0} \sum_{l \neq 0} \frac{\langle k\|H_{pert}\|0\rangle \langle l\|H_{pert}\|0\rangle}{(E_k - E_0)(E_l - E_0)} \rho_k^l(r_1) \right) \] (3.9) with $\rho_0(r_1)$ the unperturbed ground electron density, and $\rho_k^l(r_1)$ the transition density between states $k$ and $l$ (note that $k = l$ corresponds to the electron density of state $k$). The variation of electron density from the unperturbed state to the perturbed state is then \[ \Delta \rho(r) = \rho_{pert}(r) - \rho_0(r) \] \[ = \rho_0(r) \left( c_0^2 - 1 \right) + c_0^2 \left( \sum_{k \neq 0} \frac{\|\langle k\|H_{pert}\|0\rangle\|^2}{(E_k - E_0)^2} \rho_k(r) \right) \] \[ + c_0^2 \left( 2 \sum_{k \neq 0} \frac{\langle k\|H_{pert}\|0\rangle}{E_k - E_0} \rho_0^k(r) + \sum_{k \neq 0} \sum_{l \neq 0} \frac{\langle k\|H_{pert}\|0\rangle \langle l\|H_{pert}\|0\rangle}{(E_k - E_0)(E_l - E_0)} \rho_k^l(r) \right) \] (3.10) where we have explicitly separated the $k = l$ situation (and dropped the irrelevant 1 index on the position operator). Since we are primarily concerned with the electron density evolution in the ground state, we may at first neglect the other $(k \neq l)$ terms, because they are related to "connections" between the different excited states. Using equation (3.8), we can then write \[ \Delta \rho(r) = c_0^2 \left( \sum_{k \neq 0} \frac{\|\langle k\|H_{pert}\|0\rangle\|^2}{(E_k - E_0)^2} (\rho_k(r) - \rho_0(r)) + 2 \sum_{k \neq 0} \frac{\langle k\|H_{pert}\|0\rangle}{E_k - E_0} \rho_0^k(r) \right). \] (3.11) This electron density variation is expected to convey the same meaning as the DD: it translates the electron density variations upon the perturbative approach of a molecule. As we can notice, we do not retrieve a direct mapping with the state-specific formulation, because of the second term (transition densities). It is tempting to state that these terms are negligible, but no clear argument can be put forward to confirm this. However, we can still note the explicit convergence of both terms of equation (3.11) with the excitation energy, thus suggesting the reactivity is primarily controlled by the very first excited states. Of course, this argument needs to be tempered by the impossibility to unambiguously relate the weighting parameters $\omega_i$ of the state-specific equation (3.3) to the excitation energies, and also by the presence of the matrix terms $\langle k \| \mathcal{H}_{\text{pert}} \| 0 \rangle$ in both terms of equation (3.11). These indeed suggest that higher excited states may contribute significantly to the ground state reactivity, provided that they are efficiently connected to it by the perturbation. This is actually in perfect line with published data: sometimes, one needs to consider the second or third state-specific DD in order to describe correctly the reactivity of molecules. Noteworthy, this also correlates to an older study of Pearson, who tried to link optical properties to reactivity: he eventually had to come to the conclusion that some molecules do not show a marked reactivity despite a low lying excited state, and assumed this was due to the nature of the excited state (non-reactive).\footnote{Or implicitly, placing point charges in space in order to create a field.} ![Figure 3.1.2: Computed isosurfaces of DD for H$_2$ (top) and benzene (bottom), calculated using the frontier MO densities (left), the first excited state density (middle) or an average of the ground electron densities under an electrostatic field of 0.1 a.u. (right). Method: B3LYP/6-311+G. Colour scheme: $\Delta f(\mathbf{r}) < 0$, red; $\Delta f(\mathbf{r}) > 0$, blue.] A new computational approach of the DD.* More interestingly, the previous development suggests a new way to compute the DD. In order to explicit the weight of each excitation in equation (3.3), we indeed identified the DD to the electron density variation upon the application of an electrostatic field. Actually, many quantum chemistry software offer the possibility to take into account such a field explicitly\footnote{Or implicitly, placing point charges in space in order to create a field.}. It is then possible to compare directly the electron densities with and without an external field, and as such to access the DD. In fact, this quantity will not be exactly equivalent to the one we may obtain using the finite difference scheme or the state-specific formulation. In these cases indeed, no asumption is made on the geometry of approach of the incoming reagent. This means we should consider any possible orientation of the electrostatic field in order to have a complete and precise picture of the DD. Such calculations might not be used in practice, but a lot of information may already be obtained if we consider three non-coplanar directions of the field and, for each direction, 2 possible orientations – for instance, $ \pm x, \pm y, \pm z $. Two examples are provided on Figure 3.1.2, where we represent the DD according to the Frontier MO approximation – cf. formula (1.58) –, the first state-specific DD, and the electron density variation upon the application of an electrostatic field, for a molecule of dihydrogen and a molecule of benzene. The three approaches deliver similar responses, with a marked nucleophilicity due to the $ \sigma $ bond for $ H_2 $ and to the $ \pi $ electron cloud for benzene. Slight distortions are observed when comparing the "usual" DD formulations and the electrostatic response, and may likely be due to the limited number of electrostatic field orientations we considered here. NOTE: in total line with Pearson’s argument, we are linking reactivity and molecular polarisability. Most probably, the previous development may be written in terms of local polarisability.$^{92}$ This will receive our attention in a very close future. ### 3.2 Dual Descriptor and Molecular Electrostatic Potential: complementary tools for the study of ambiphilic ligands In Chapter 3, we presented the basic concepts of the metal-ligand interactions in coordination complexes. Noticeably, we discussed the fact that all the concepts that are usually introduced in a MO theory framework can actually be generalised in an extended Klopman-Salem model.$^{61,62}$ We propose to develop these arguments in this part. Our first study concerns the modelling of the coordination properties of ligands. In the simplest scheme, metal cations are perfect Lewis acids, displaying a total deficit of electrons, and ligands are perfect Lewis bases that coordinates in order to counteract the metal acidity.$^{51,54}$ Stating the obvious, this means metal cations in complexes will display a rather marked electrophilicity and ligands a strong nucleophilicity, or marked charges if the species are hard. Nevertheless, it is also known that ligands may display some electrophilicity, and metal cations can also display a donor character.$^{93}$ Coordination is thus the resultant of different charge transfers and electrostatic interactions, and if we want to model it correctly we need to use adapted descriptors for these different phenomena. The DD seems particularly fit to describe the charge transfer phenomena. Electrostatic effects, on the other hand, can be efficiently accounted for by the Molecular Electrostatic Potential (MEP).$^{94,95}$ In the following subsection, we will explain how we may extract quantitative information from these two descriptors. #### 3.2.1 Theoretical model Molecular Electrostatic Potential MEP is defined as the electrostatic potential created at any point $ r_i $ by the electron density and nuclei distribution, \[ MEP(r_i) = \sum_M \frac{Z_M}{\|R_M - r_i\|} + \int_{\mathbb{R}^3} \frac{\rho(r)}{\|r - r_i\|} d^3r, \] (3.12) and can be seen as a measure of the stabilisation or destabilisation a point charge would feel if placed at any point $ \mathbf{r}_i $. Regions with $ MEP < 0 $ are attractive for positive charges, while regions with $ MEP > 0 $ are repulsive. Noteworthy, if the system has a zero total charge we expect to observe both kind of regions in space. On the other hand, if the ligand is charged there may be only one type of regions – for instance, only $ MEP > 0 $ if it is cationic. Condensed Grand-canonical Dual Descriptor Here, we decided to study a set of small molecules which are known to be efficient ligands or not, and to see if the combination of the DD and the MEP allowed us to rationalise their coordination chemistry straightforwardly. We gathered them in sets of similar reactivity (expected or known), in Table 3.1. Since we are comparing systems with different number of electrons, it is not possible to compare directly the DD values. This is because the DD is formulated in the canonical ensemble$^{(v)}$. A similar quantity can be defined in the grand-canonical ensemble$^{(vi)}$$^{36,37}$ \[ \Delta s(\mathbf{r}) = \left( \frac{\partial^2 \rho(\mathbf{r})}{\partial \mu^2} \right)_{v(\mathbf{r})} = \frac{\Delta f(\mathbf{r})}{\eta^2} - \frac{\gamma}{\eta^3} f(\mathbf{r}) \] (3.13) where $ \gamma $ is the hyperhardness ($ N $-derivative of the chemical hardness) and $ f(\mathbf{r}) $ the Fukui function. Since the ratio $ \gamma/\eta^3 $ is generally small (at least $ \gamma/\eta^3 $ is smaller than $ 1/\eta^2 $), we can safely neglect the last term of equation (3.13). The grand-canonical DD (GCDD) thus approximates to the DD scaled by the square of the chemical hardness, which we will compute as the energy difference $ E_{LUMO} - E_{HOMO} $. The GC-DD, as the DD, should integrate to 0 over all space, which means the system should display both nucleophilic and electrophilic basins. In order to get a quantitative information, and at the same time to ease the interpretation, it is desirable to be able to condense the GC-DD in each nucleophilic and electrophilic basin. Vincent Tognetti recently developed a program that allows such a condensation, named Domains$^{96}$. Briefly, this program follows the nodal planes of a given real function of $ \mathbb{R}^3 $, thus defining domains into which the function can be integrated. From this condensation scheme, it is possible to obtain the integrated value over a domain, the mean value (integrated value divided by the volume), the volume of the domain, and the location of the barycentre and of each domain. Table 3.1: Series of ligands. \| Series \| Ligands \| \|--------\|------------------\| \| 1 \| H$_2$, ethene \| \| 2 \| F$_2$, Cl$_2$, Br$_2$, I$_2$ \| \| 3 \| O$_2$, O$_2^-$, O$_2^{2-}$ \| \| 4 \| NO$^+$, CO, CN$^-$ \| \| 5 \| NO$^-$ \| \| 6 \| SCN$^-$ \| \| 7 \| Acac, Hfac \| $^{(v)}$I.e., for fixed N and E. $^{(vi)}$With a fixed chemical potential but a varying number of electrons. $^{(vii)}$In the Gaussian Cube format. 3.2. DD and MEP: complementary tools for the study of ambiphilic ligands Computational details Structures of ligands in Table 3.1 were fully optimised at the DFT level of theory (B3LYP). Calculations were carried out using 6-31G(d) basis sets, except for - the thiocyanate ion SCN$^-$, modelled using the 6-31+G(d) basis set; - the dihalogens, modelled using the DGDZVP basis set. In the latter case, the DGDZVP basis set was used to ensure the internal consistency of the method (same basis set and functional for the whole series). The ten first excited states were calculated at the TD-B3LYP level, and the GC-DD was – unless stated otherwise – evaluated using the first excited state. All calculations were performed with Gaussian 09, using default parameters, unless mentioned.$^{97}$ 3.2.2 Results and discussion Series 1: H$_2$ and ethene. Ethene and dihydrogen usually present a similar reactivity as ligands, coordinating in a $\eta^2$ mode with their main bond. The computed DD and MEP surfaces are presented on Figure 3.2.1, and it is plain to see that we retrieve the expected chemical behaviour. Both ligands indeed present a nucleophilic development in the middle of their main bond (H-H or C=C), where they are supposed to coordinate. MEP indicates the same coordination mode, since (negative) minima are found on the same positions. In the case of ethene, the minimum value is one order of magnitude larger than that of H$_2$, which suggest ethene may be a more efficient ligand than hydrogen – which is actually experimentally observed. Furthermore, electrophilic developments are seen in the vicinity of the nucleophilic contribution, and as such one could expect these two ligands to give rise to MLCT. Such back-bonding effects have actually been observed in some ethylene complexes, such as tris-ethylene nickel(0).$^{98}$ They are also consistent with the difficulty to ascertain the oxidation degree of some dihydrogen complexes,$^{99}$ and the propensity of H$_2$ to give rise to oxidative addition – for instance in Vaska’s complex [IrCl(CO)(PPh$_3$)$_2$].$^{100}$ ![Figure 3.2.1: Up: DD isosurfaces for H$_2$ (left) and ethene (right). Isovalues: $±4.10^3$ (green, positive; red, negative). Down: MEP maps on density isosurfaces ($10^{-3}$ a.u.), values ranging from $+3.00 \times 10^{-2}$ (blue) to $-3.00 \times 10^{-2}$ (red) in the case of ethene, $1.00 \times 10^{-3}$ to $-1.00 \times 10^{-3}$ (same colours) for H$_2$. Calculations at the (TD)-B3LYP/6-31G(d) level.](image-url) Table 3.2: Condensed GC-DD values for the dihalogens. \| Molecule \| Nucl. cont. (a.u.) \| Elec. cont. (a.u.) \| \|----------\|-------------------\|--------------------\| \| F$_2$ \| -9.17 \| 9.17 \| \| Cl$_2$ \| -21.27 \| 21.32 \| \| Br$_2$ \| -31.39 \| 31.49 \| \| I$_2$ \| -48.06 \| 48.12 \| Series 2: dihalogens. Dihalogens were gathered in the same series for rather obvious reasons. As Rogachev and Hoffmann pointed out, despite having accessible lone pairs they do not tend to coordinate efficiently. Actually, they tend to oxidatively add to any complex, and only a few iodine complexes could be isolated so far. We represented on Figure 3.2.2 the first state-specific GC-DD and MEP maps for series 2. Note that in these cases the two first excited states are exactly degenerate ($\pi^* \rightarrow \sigma^$ excitations in a MO framework), and the corresponding state-specific DD are exactly alike but rotated along the molecular axis. For the sake of simplicity, we only display here one of them. All dihalogens present very similar features, as could be expected. They all display electrophilicity along the molecular axis, and nucleophilic contributions on each side of the bond, where we would expect to find the lone pairs in a Lewis scheme. These features are in good agreement with the known data on iodine complexes. It is indeed displaying a donor (nucleophilic) character when coordinating in a bent "side-on" geometry, and an acceptor character when coordinating in a linear fashion. This is also corroborated by the MEP: negative MEP values are indeed only found on the sides of the halogen atoms, where the coordination is mostly expected (donor character). The maximal values of the MEP are found along the molecular axes, forming so-called $\sigma$ holes. In both cases (GC-DD and MEP), the values are significantly increasing when moving from fluorine to iodine. Noticeably, it is plain from the graphical representation that the negative MEP areas are larger in the case of the heavy halogens, thus suggesting they may more efficiently stabilise cations than the lighter ones. This is also retrieved at the GC-DD level: integrated values, displayed in Table 3.2, are larger the heavier the halogen. Figure 3.2.2: Up: DD isosurfaces for F$_2$, Cl$_2$, Br$_2$ and I$_2$ (from left to right). Isovalues: $\pm 4.10^3$. Down: MEP maps on density isosurfaces ($10^{-3}$ a.u.), values ranging from $+1.00 \times 10^{-2}$ to $-1.00 \times 10^{-2}$. Same colour scheme as in Figure 3.2.1. Calculations at the (TD)-B3LYP/DGDZVP level. We are thus able to retrieve the coordination properties of iodine, and we may also guess why such a little number of acceptor I$_2$ complexes are found: linear coordination indeed leads the metal cations to approach iodine via its $\sigma$ hole. From the viewpoint of electrostatics, this interaction is destabilising, and will only be feasible if the covalent interactions (bonding and back-bonding) are stronger. The rarity of dihalogen based complexes seems nevertheless unaccounted by our model. This is not a pitfall, but merely a question of viewpoint. As we noted previously, most of the time dihalogens simply oxidise coordination compounds (through oxidative addition).\textsuperscript{103} They indeed display high redox potential\textsuperscript{107} (standard values of $+2.866$ V/ECS, $+1.358$ V/ECS, $+1.087$ V/ECS and $+0.536$ V/ECS down the series), and from these numerical values the differentiation between iodine and the other halogens is rather plain. Here, we decided to focus on the coordination properties, and thus we implicitly assumed electron density perturbations – compared to the case of isolated ligands – would be small. Stating the obvious, an oxidative addition is \textit{not} a small perturbation, and it is not surprising that we actually miss the point. Series 3: from dioxo to peroxo.* $O_2$ and its related anions, namely superoxo $O_2^{-}$ and peroxo $O_2^{2-}$, are of utmost importance in bioinorganic chemistry. They indeed take part in respiratory mechanisms, but also in oxidation cycles.\textsuperscript{108,109} Figure 3.2.3 presents the DD and MEP isosurfaces for these three molecules. As one can see, the features are very different. In the case of dioxo, the DD displays nucleophilicity mainly away from the O-O bond, but also slightly along the molecular axis. On the other hand, electrophilicity is found on the sides of the molecule, pointing out of the molecular axis with some angle. Interestingly, the GC-DD has a perfect cylindrical symmetry, as would be expected. These features can be understood rather straightforwardly in the framework of MO theory (see the MO diagram below). The nucleophilic contribution indeed displays a shape that is reminiscent of (occupied) bonding $2\pi$ and $2\sigma$ orbitals, whereas the electrophilic part resembles antibonding (semi-occupied) $2\pi^$ and (vacant) $2\sigma^$ orbitals. In any case, dioxygen seems likely to coordinate via its main bond, in a way that resembles the coordination of $H_2$. However, unlike dihydrogen the MEP values on this site are quite positive ($9.10^{-3}$ a.u.), suggesting that cations may not approach this position. The only negative MEP values are actually found on the sides of O atoms, roughly at the same position as the electrophilic lobes of the DD (red arrow on Figure 3.2.3). This means that dioxygen will likely tend to approach cations by its electrophilic areas. As such, we would expect dioxygen to behave like an acceptor ligand when coordinating in a bent side-on geometry to cations, and like a donor when coordinating by the main bond. However, even in this latter geometry dioxygen may present an acceptor character, since electrophilic basins surround the coordinating nucleophilic area. These findings are in quite good agreement with known data on dioxygen coordination. To our best knowledge indeed, dioxygen always reduces upon coordination, either to superoxo or peroxo. For instance, in the oxygenated form of haemoglobin,\textsuperscript{110} the Fe(II)-porphyrin complex is transformed to what is best described as a Fe(III)-superoxo complex. In the catechol-oxidase complex,\textsuperscript{108} the two Cu(I) centres oxidise to Cu(II) upon chelation of dioxygen, which thus may be described as a peroxo ligand. \begin{figure}[h] \centering \includegraphics[width=\textwidth]{MO_diagram_dioxygen.png} \caption{MO diagram for dioxygen in its ground triplet state.} \end{figure} Actually, the DD features of peroxo are very reminiscent of those of the dihalogens. This could be quite expected since O$_2^{2-}$ and F$_2$ are isoelectronic, and in the framework of the MO theory their wavefunction are expect to be very similar. Similar coordination properties can be expected: acceptor character when coordinating in a linear fashion, donor when coordinating in a bent geometry. In terms of MEP, since peroxo is a dianion we would rather expect to observe only negative values on the isodensity surface. This is indeed the case, which means that any geometry of approach of a cation would virtually be stabilising. The maximal stabilisation is expected when approaching peroxo by the middle of the O-O bond, since a ring of minimum MEP is observed on this region. This in total compliance with the known geometry of coordination of peroxo in the aforementioned oxidase complex: upon coordination to the two Cu(I) centres, dioxygens reduces to peroxo, which remains fixed to the Cu(II) ions since the geometry that O$_2$ adopted is also stabilising for peroxo. Furthermore, our calculations suggests an explanation of the mechanism behind the reactivity of this oxidase complex. It is indeed known to oxidise phenols, which means the complex tends to accumulate more electrons. This could be achieved by taking advantage of the electrophilic basins of peroxo, which in the enzymatic pocket are pointing outside the coordination area (thus very likely in contact with the environment). In the case of superoxo, things are slightly more complex. Indeed, it is expected to display a degenerate ground state\textsuperscript{(viii)}. This is actually obvious if we look at the MO diagram of \textsuperscript{(viii)}Which we completely yet unintentionally overlooked in the publication relative to this work. An O$_2$, displayed on Scheme 3.2.1: an additional spin down electron could be placed either in the $2\pi^_y$ or $2\pi^_z$ MO, and both configurations will have the same energy. Thus, superoxo cannot be properly modelled using DFT. Here, we modelled superoxo using SA-CASSCF calculations, as implemented in ORCA 3.0.\textsuperscript{111} From the MO diagram, we restricted the active space to the $2\pi$ and $2\pi^$ orbitals, thus leading to CAS(7,4) calculations. The starting set of MO was provided by a ROPBE calculation\textsuperscript{(ix)}. Since the degeneracy of the ground state is two, we averaged the CASSCF calculation over the two lowest doublet roots. In this case, it seemed convenient to use our newly proposed formulation of the DD. We thus performed a set of SA-CASCCF calculations with and without a dipolar electrostatic field, set along 3 orthogonal directions, with two opposite orientations each\textsuperscript{(x)}. As one can see from Figure 3.2.3, the aspect of the DD for superoxo is very close to that of dioxygen. In the framework of MO theory, this is rather logical: the MO diagrams are very similar. In terms of MEP, here also only negative values are observed, which is logical since superoxo is an anion. Absolute minima are found on each side of the bond, in a way that recalls the features of peroxo. Note that on Figure 3.2.3, the MEP representation is given only for one of the two CASSCF roots, hence explaining why the cylindrical symmetry is not apparent\textsuperscript{(xi)}. Overall, superoxo is expected to coordinate easily to cations (electrostatic stabilisation), and to display both donor and acceptor behaviour depending on the coordination geometry. Series 4: nitrosium, carbonyl and cyanide.* NO$^+$, CO and CN$^-$ are isoelectronic species, and it is well established now they show similar coordination properties. Noticeably, they are known to provide roughly the same crystal field splitting, which indicates they tend to have the same donor and acceptor properties.\textsuperscript{51,54} This is actually plain from the aspect of the DD, represented on Figure 3.2.4. In all cases indeed, the same shapes are obtained\textsuperscript{(xii)}. Nucleophilic domains are observed along the molecular axes, pointing outwards from the molecules. They are larger on the most electropositive atom (C in carbonyl and cyanide, N in nitrosium), which is generally the coordinating atom. Interestingly, these domains point exactly towards the local minima of the MEP (along the molecular axis). This suggests these species would coordinate in a linear fashion, which is actually observed. The development of electrophilic domains in the vicinity of this coordination area furthermore suggests they would tend to display rather strong back-bonding. This is also experimentally observed, these ligands being characterised by very strong ligand fields. Actually, we may even retrieve the tendency described in the spectrochemical series: nitrosium is indeed expected to display a smaller ligand field that carbonyl and cyanide. \textsuperscript{(ix)}It is generally advised to use the output of any correlated method as input for the CASSCF calculation, thus explaining the choice of a DFT method.\textsuperscript{16} \textsuperscript{(x)}Dipolar electrostatic fields are unfortunately not yet implemented in ORCA. We thus modelled them using two opposite point charges (magnitude 1 u.a.) placed at 4 Å and 4.5Å of the molecule. For each direction, a second calculation was performed by permutting the point charges. \textsuperscript{(xi)}A weird bug of ORCA lead the program to exit without printing the CASSCF density matrix, and thus the MEP calculations first involve the reconstruction of the latter from the MOs. The program thus computes the electron density for one of the two roots only, and there seems to be no way to get the MEP for the SA-CASSCF density matrix... \textsuperscript{(xii)}Note that, as what was observed for dihalogens, the two first excitations for these molecules are in each case degenerate, and lead exactly to same DD representation, simply rotated along the molecular axis. For the sake of simplicity, we simply represent here the first state-specific DD. Condensation of the GCDD yields the values listed in Table 3.3, which agree with the expected tendency. Table 3.3: Condensed GC-DD values for series 4. \| Molecule \| Nucl. cont. (a.u.) \| Elec. cont. (a.u.) \| \|----------\|-------------------\|-------------------\| \| CN⁻ \| -5.07 \| 5.06 \| \| CO \| -4.38 \| 4.37 \| \| NO⁺ \| -3.18 \| 3.17 \| ![Figure 3.2.4: DD isosurfaces (top) and MEP maps (bottom) for series 4. Same colour scheme and isovalues for the DD isosurfaces as Figure 3.2.3. MEP ranges: $-2.10^{-2}$ to $2.10^{-2}$ a.u. in the case of carbonyl, 0.25 to 0.30 a.u. for nitrosium and $-0.24$ to $-0.23$ a.u. for cyanide. Calculations at the (TD)-B3LYP/6-31G(d) level.](image) Our calculations thus reproduce quite well the general behaviour of the series, but they also account for the slight differences between the different ligands. For instance, nitrosium and carbonyl tend to form isolated complexes, while cyanide is known to yield bridged entities, like the Prussian blue analogues.\textsuperscript{112} This is probably due to the fact that MEP is negative on every point of the isodensity surface of cyanide, thus enabling coordination \textit{via} the N atom of cyanide. Furthermore, the DD features also permit to rationalise the strong magnetic couplings that can be observed in these Prussian blue analogues: because of the marked back-bonding ability of cyanide, an efficient interaction can be engaged between the two bridged cations.\textsuperscript{64} We can also understand why the vast majority of cyanide and carbonyl complexes tend to be linear, while nitrosyl complexes display a much wider range of geometries. In the two former cases, there is an interplay between covalent and electrostatic control, which both suggest linear coordination should be favored. In the latter case of NO⁺, on any point of the isodensity surface the MEP is positive, thus repulsive for cations. This means coordination of NO⁺ will only be controlled by covalent interactions, and thus will depend a lot on the relative philicity of the metal cation: when the metal centre will be rich in electrons, NO⁺ will tend to act as an acceptor ligand and coordinate in a bent fashion,\textsuperscript{51} while electron-deficient metal centres will lead NO⁺ to coordinate in a linear fashion, acting principally as an electron donor.\textsuperscript{113} Series 5: nitrosyl. In the previous section, we discussed a few results for NO⁺, which is one of the limit forms that one usually writes to describe the behaviour of a one-electron donor nitrosyl ligand. Nitrosyl is indeed known to be a non-innocent ligand, whose oxidation state is never plain: it always balances between NO⁺ and NO⁻.\textsuperscript{114,115} Usually, nitrosyl is introduced in the reaction medium in its neutral state NO$^-$, and thus it may be relevant to study the DD and MEP feature of this species. They are represented on Figure 3.2.5. In that case, we also had to use SA-CASSCF calculations since the ground state of NO$^-$ is twice degenerate. This is rather plain to see from the MO diagram, displayed on Scheme 3.2.2. Here also, we limited the active space to the $2\pi$ and $2\pi^$ orbitals, thus employing SA-CAS(5,4) calculations. We also averaged over the first two doublet roots, and used the same electrostatic formulation as for superoxo. As one can see from Figure 3.2.5, we retrieve a shape that is reminiscent of what was observed for series 4$^{(xiii)}$. As already underlined in the case of superoxo, this is rather logical in the framework of MO theory: the first excitations in both cases involve the same kind of orbitals. We thus retrieve a nucleophilic contribution along the molecular axis, which is more pronounced on the N atoms. This is in a very good agreement with experimental data, nitrosyl coordinating systematically by the nitrogen atom.$^{(xiv)}$ We also retrieve a marked electrophilicity in the vicinity of the coordination area, which is also consistent with the strong acceptor behaviour nitrosyl displays when coordinating. ![Scheme 3.2.2: Part of the MO diagram of NO$^-$.](image) Figure 3.2.5:* DD isosurfaces (left) and MEP maps (right) for NO$^-$. Same colour scheme and isovalues for the DD as in Figure 3.2.4. MEP ranges: $-0.012$ a.u. to $+0.012$ a.u. Calculations at the SA-CAS(5,4)/6-31G(d) level. $^{(xiii)}$Note that, since we decided to average over the two ground CASSCF roots, we actually observe a perfect cylindrical symmetry. $^{(xiv)}$O-coordination is also found, but only in metastable states, and upon light irradiation of a N-bonded complex. observed\textsuperscript{(xxv)}. From the shape of the DD, we can expect nitrosyl to display a much more donor character when coordinating in a linear fashion. This is actually the case, nitrosyl being found linearly coordinated to electrophilic metal cations (electron deficient), while bent coordinations are encountered in more electron-rich complexes. Series 6: thiocyanate. Thiocyanate is an ubiquitous ligand in coordination chemistry, thanks to its ambidenticity. It is indeed known to coordinate hard species by its N atom, and in a linear geometry, while it coordinates soft metals by its S atom, usually in a bent geometry.\textsuperscript{116} The MEP and DD are displayed on Figure 3.2.6. As one can see, the nitrogen atom shows essentially a nucleophilic behaviour, while the sulfur atom displays both electrophilic and nucleophilic contributions. The largest contributions are found on the sulfur, which complies with our expectations: in a HSAB framework, sulfur should appear more reactive than the N atom (which is hard). Furthermore, from the shape of the nucleophilic basin on the S atom we would expect a bent coordination of thiocyanate, as observed. On the other hand, the MEP suggests linear N-coordination, since the absolute minimum on the isodensity surface is observed along the molecular axis. Once again, this is in good agreement with experimental data. ![Figure 3.2.6: DD isosurfaces (left) and MEP map (right) for SCN$^-$. Same colour scheme and DD isovalue as Figure 3.2.5. MEP ranges: $-0.2$ a.u. to $-0.15$ a.u. Calculations at the (TD)-B3LYP/6-31+G(d) level.](image) Acetylacetonate and hexafluoroacetylacetonate. Acetylacetonate (acac) and its hexafluorinated analogue (hfac) are two widely used ligands in coordination chemistry. Noticeably, they are often used for their "Lewis acidity enhancement" properties: when coordinated to a metal cation, they tend to exacerbate its electrophilicity (hfac being more effective than acac).\textsuperscript{117} This means they both need to be both good electron donors and acceptors. This is retrieved at the DD level, as can be seen from Figure 3.2.7. In both cases indeed, nucleophilic domains are observed on the (coordinating) oxygen atoms, pointing inside the conjugated plane. They are reminiscent of oxygen lone-pairs, as expected, and are found in the same region as the MEP minima (-0.28 a.u. for acac, -0.23 a.u. for hfac). This is in very good agreement with experimental expectations: acac and hfac are expected to coordinate metal cations by their O atoms, in the molecular plane. As one may notice, electrophilic developments can be found perpendicular to the nucleophilic domains on oxygen atoms. Their shape is reminiscent of a $\pi^$ orbital, as could be expected, and suggest both ligands should display a marked tendency towards back-bonding. This is indeed expected from their Lewis acidity enhancement activity. From our calculations, the difference between the hydrogenated and fluorinated form is not obvious. The value of the minimum of the MEP is smaller for hfac, as could be expected \textsuperscript{(xxv)}The same bug as previously applies here: MEP representation here holds for one of the two CASSCF roots, thus explaining the non-cylindrical symmetry. from the strong electron-withdrawing behaviour of trifluoromethyl group. Comparatively, one would then expect acac to show a coordination that is more driven by electrostatics than what hfac does. Furthermore, if we look more into details, we can see that the electrophilic and nucleophilic developments of hfac are very comparable, while in the case of acac the nucleophilic contributions are more extended in space than the electrophilic ones. Likely, this will make hfac a more electron withdrawing ligand than acac (relatively to the donor character), as experimentally observed. ### 3.2.3 Conclusion In this section, we have seen that both the DD and the MEP allow, at the price of very simple calculations on ligands, to retrieve their coordination properties. In most cases, MEP and DD suggest the same coordination geometry. However, there are cases where both descriptors are complementary but not equivalent. For instance, in the case of dioxo we have seen that electrostatic effects lead $O_2$ to coordinate as a strongly acceptor ligand, because the nucleophilic areas are located in rather electropositive regions. This permitted us to explain the impossibility to isolate genuine dioxygen complexes so far: they all reduce to superoxo or peroxo. More generally, the DD permits to retrieve very simply the electronic behaviour of the ligands, but the scope is not limited to this. As we will show in the next section, the DD may indeed be a valuable tool in the rationalisation of the chemical properties of coordination compounds, for instance allowing us to rationalise the trans effects in octahedral complexes. Note:* as already evoked in this section, this work has been published in Phys. Chem. Chem. Phys. 2014, 16, 15558-15569. ### 3.3 A new approach of the trans effects in octahedral complexes In this section, we propose to show how the DD permits to rationalise and understand the chemical properties of some coordination complexes. More specifically, we will interest ourselves on the trans effects in octahedral complexes. Trans effects are characterised by the modulation of a coordination bond in a complex under the influence of the ligand on the opposite position in the coordination sphere (hence the label trans). They are mostly observed in square-planar and octahedral complexes, and can be divided into two distinct phenomena: the Kinetic Trans Effect and the Static Trans Effect. In the first case, the modulation impacts the substitution kinetics of a ligand: the more trans-orienting a ligand is, the faster the ligand on the opposite coordination will be replaced. In the second case, the effect is purely static, and it is the metal-ligand bond lengths that are perturbed: the more trans-orienting a ligand is, the longer the opposite bond is. These effects are widely used in inorganic chemistry, being used in complexes with marked catalytic activities and selectivity for instance, but also acting in natural metalloproteins or anti-cancer drugs. As such, understanding the origins of both STE and KTE is of paramount importance. Many experimental and theoretical studies were devoted to this task, and it is only quite recently that KTE was firmly rationalised in the case of square planar complexes. It could be shown indeed, on a rather representative set of square-planar complexes, that two main mechanisms were acting beneath their KTE. First of all, as was long presumed by coordination chemists, electron donation effects have an important role: if the ligand on the trans position is an efficient electron donor, it may lead the opposite coordination site to be quite saturated with electrons. This leads to a marked Pauli repulsion between the electron density on the metal cation and the electron density from the ligand, which thus interacts more weakly with the metal and should be more easily replaced. In addition to this Pauli repulsion effect, the trans orienting ligands can furthermore ease the metathesis on the opposite coordination position by their back-bonding properties. They can indeed withdraw electron density on the metal cation on the positions where an incoming ligand would attack, and as such they tend to stabilise the transition states of metathesis. This can be understood quite straightforwardly in a MO theory framework, as pictured on Scheme 3.3.1. ![Scheme 3.3.1](image) Scheme 3.3.1: Schematic representation of the Pauli repulsion (left) and back-bonding (right) mechanisms beneath the KTE in square-planar complexes. We thus wondered whether the same lines of argument could hold in the case of the octahedral complexes; we felt there were no reasons they would not. As we can see, the two effects acting beneath the KTE of square-planar complexes involve the same kind of mechanisms as those we were discussing in the previous part: electron density reshuffles (readaptations). This suggests we could tentatively probe them using the DD. ### 3.3.1 Theoretical model #### Theoretical tools Here again, we employed the state-specific formalism in order to compute the DD, which we scaled using the square of the chemical hardness in order to obtain the Grand Canonical DD. We also employed Domains condensation scheme, in order to extract quantitative information on the trans effects. We also used another tool, which was not developed in the framework of conceptual DFT: the Extended Transition State - Natural Orbitals for Chemical Valence (ETSNOCV).\textsuperscript{141–143} When two isolated molecules are allowed to interact, the electron density of the total system can be written as a sum of the electron densities of each separated fragment plus a deformation term. The NOCV are the eigenvectors $\Psi_i$ of this deformation density matrix ($\Delta \rho(\mathbf{r})$). Mathematically, this translates as $$\Delta \rho(\mathbf{r}) = \sum_m \nu_m \left[ -\Psi_{-m}(\mathbf{r})^2 + \Psi_m(\mathbf{r})^2 \right]$$ \hspace{1cm} (3.14) where it appears clearly that the NOCVs are paired. Without getting too involved with the mathematics behind the NOCV, we can briefly state they permit to decompose the electron density reorganisation between the two fragments into well-defined orbital contributions with a given number of transferred electrons $\nu_m$. Thus, it is possible for instance to distinguish between $\sigma$ and $\pi$ donation effects, and to quantitatively evaluate the effect of each, thus enabling comparisons.\textsuperscript{144} Furthermore, thanks to the Extended Transition State formalism, it is possible to associate with each NOCV pair a given energetic stabilisation, thus helping the comparisons.\textsuperscript{145} Methodology and computational details Here, we want to probe both STE and KTE in the case of octahedral complexes. In terms of reactivity, it is assumed that most of octahedral complexes undergo dissociative metatheses: first the replaced ligand leaves the coordination sphere, and then it can be replaced by another one – see Scheme 3.3.2 –\textsuperscript{51,54} From the viewpoint of steric hindrance, this seems to make sense: the metal cation at the centre of an octahedron is much more shielded from its environment than it is in a square planar complex. ![Scheme 3.3.2](image) Scheme 3.3.2: Schematic representation of the dissociative mechanism of metathesis in an octahedral complex. In turn, this means the unsaturated [ML$_4$T] entity might be the relevant species to study if we want to characterise the reactivity of an octahedral coordination complex. Furthermore, we can see that studying this species would allow us to gain some insight on the STE too: looking at the electronic properties of this unsaturated compound could give us information on the way it may accommodate a supplementary ligand on its vacancy. We used a two-fold approach. First, we tried to characterise the trans effects by comparing, in the same complex, the cis and trans positions of coordination (relative to the most trans-orienting ligand), or by comparing the trans positions in two similar complexes. We thus chose a set of complexes that were known to display a marked STE or KTE, associated to a ligand that could also be found on the cis position with respect to the most trans-orienting ligand. They are given in Table 3.4. Table 3.4: List of the studied complexes. \| Label \| Formula \| Specificity \| \|-------\|---------\|-------------\| \| 4.1 \| $[Co(NH_3)_2(NO_2)_3(CH_3)]^-$ \| STE, $d^6$, $\sigma$ donors \| \| 4.2 \| $[NbO(NCS)_5]^2^-$ \| STE, $d^5$, $\sigma$ and $\pi$ donors \| \| 4.3 \| $[RhL(PMe_3)_2(Cl)_3]$ \| STE, $d^6$, $\sigma$ and $\pi$ donors \| \| 4.4-H$_2$O \| $[Rh(NH_3)_4(H_2O)_2]^{3+}$ \| KTE, $d^6$, $\sigma$ donors \| \| 4.4-Cl \| $[Rh(NH_3)_4(Cl)(H_2O)]^{2+}$ \| KTE, $d^6$, $\sigma$ and $\pi$ donors \| \| 4.5-OH \| $[Co(en)_2(OH)(H_2O)]^{2+}$ \| KTE, $d^6$, $\sigma$ and $\pi$ donors \| \| 4.5-SO$_3$ \| $[Co(en)_2(SO_3)(H_2O)]^+$ \| KTE, $d^6$, $\pi$ acceptors \| We optimised their structure without symmetry restraint, at the B3LYP/6-311G(d) + SDD(metal) level, using Gaussian 09$^{(xvi)}$. Then, we removed either the ligand on the trans or cis position (with respect to the studied trans-orienting ligand), and we computed the GCDD of the resulting fragments. We also evaluated the NOCV associated to the coordination of the removed ligand to the corresponding fragments, using ADF2013 (B3LYP/TZV/Small Core).$^{146}$ Second, we built two families of "theoretical" complexes having the same structures and only differing by one ligand T. We optimised their structures, then removed the ligand trans to T and computed the GC-DD of the corresponding unsaturated fragment. Using Domains, we condensed the GC-DD and tried to build a semi-quantitative scale of the trans-orienting ligands. Note that here we used the latest implementation of Domains, in which the user may define a radial threshold in order to suppress contributions from areas that are too close to nuclei (and thus supposedly not involved into reactivity). In the following, we employed the following thresholds: 0.2 a.u. for the DD (all points of the DD below 0.2 a.u. in absolute value were discarded) and 0.5 bohr as a radius threshold (all points closer than 0.5 bohr from any nucleus are discarded). ### 3.3.2 Results and discussion #### Comparing cis and trans positions Complex 4.1. Complex 4.1, $[Co(NH_3)_2(NO_2)_3(CH_3)]^-$, is known to display a marked STE due to the methyl ligand.$^{147}$ The Co(III)-NO$_2^-$ bond is indeed 0.10 Å longer when trans to the CH$_3^-$ ligand. We thus here built two [ML$_5$] fragments by removing either the trans (4.1-trans) or cis (4.1-cis) nitrito (with respect to methyl), and calculated the GC-DD for these two fragments. As one can see from Figure 3.3.1, the GC-DD for the two species are quite similar. They noteworthy comprise a nucleophilic part recalling a non-bonding metal $d$ orbital, and an electrophilic part that develops towards the coordination vacancy. This electrophilic feature could be expected: since we removed a ligand, thus very likely a nucleophile, we would expect the resulting fragment to display a marked electrophilicity, at least on the former position of the ligand. The electrophilic domain $D_{Co}^+$ looks much larger on the cis position than on the trans one. This is completely confirmed by the condensation with Domains, see Table 3.5. The integrated value of the GC-DD is approximately 7 times smaller for 4.1-trans compared to 4.1-cis, and since the volume of the corresponding basins are much more comparable $^{(xvi)}$In the case of the S and P atoms, we employed the 6-311+G(d) basis set, since it is known diffuse functions are called if one wants to correctly model these atoms. (30% smaller for 4.1-trans), as a result the mean value of the GC-DD is also much smaller for 4.1-trans. Table 3.5: Numerical values from the condensation of the electrophilic domains of the GC-DD, for fragments 4.1-cis and 4.1-trans. $\Delta s(D^+_{Co})$ is the integrated GC-DD value over domain $D^+_{Co}$, $\Delta s(D^+_{Co})$ the mean GC-DD value and $V(D^+_{Co})$ the volume of the domain. All values in a.u. \| Complex \| 4.1-cis \| 4.1-trans \| \|---------\|---------\|-----------\| \| $\Delta s(D^+_{Co})$ \| 145.6 \| 21.4 \| \| $V(D^+_{Co})$ \| 24.1 \| 17.6 \| \| $\Delta s(D^+_{Co})$ \| 6.0 \| 1.2 \| These results mean that 4.1-cis displays much more electrophilicity on the vacant coordination position, which means it binds much more to a nucleophile than 4.1-trans. We would thus expect the cobalt - nitrito bond to be much stronger on the cis position than on the trans one: we retrieve a STE. We also retrieve a similar information at the NOCV level. We represent on Figure 3.3.2 the deformation densities for the main ($\pm 1$) NOCV pairs associated to the coordination of a nitrito ligand to the previous fragments. As one can see, in both cases the incoming NO$_2^-$ ligand loses electron density, which relocates between the nitrito and the cobalt atom: a cobalt-nitrite bond is formed. Other electron density movements are seen on the rest of complex, which can be understood as the withdrawal of an excess electron density that was transferred by the remaining ligands in the [ML$_5$] fragments, in order to counteract the vacancy. Graphically, the relocation basin between nitrite and cobalt is smaller trans to the methyl, which would suggest a smaller electron density delocalisation. Actually, the NOCV pair in that case is associated to a total movement of 0.57 electrons and an energy stabilisation of 31.3 kcal.mol$^{-1}$, whereas in the case of the cis nitrito 0.66 electrons are exchanged, leading to a stabilisation of 40.1 kcal.mol$^{-1}$. We thus retrieve a less stabilising interaction trans to the methyl, and the formed bond is expected to be weaker since it involves less electrons: we retrieve the expected STE. Complex 4.2. Complex 4.2, [NbO(NCS)$_5$]$^{2-}$, is also known to show a marked STE due to the oxido ligand: the thiocyanate ligand trans to O$^{2-}$ is indeed located 0.18 Å further Figure 3.3.2: Deformation densities for the first NOCV pair associated to the coordination of a nitrito ligand to \textbf{4.1-cis} (left) and \textbf{4.1-trans} (right), at a $\pm 4 \times 10^{-3}$ a.u. isovalue. Electron density relocation (depletion, respectively) areas are depicted in green (red). Figure 3.3.3: GC-DD isosurfaces for \textbf{4.2-cis} (left) and \textbf{4.2-trans} (right), at a $\pm 0.4$ a.u. isovalue. Colour scheme: red, negative values; green, positive values. from the niobium atom than the \textit{cis} ones.\footnote{Note that, formally, the Nb(V) ion has a $d^0$ electronic configuration.} As for complex \textbf{4.1}, we thus built to fragments by removing one SCN$^-$ ligand, either \textit{trans} to the oxide (\textbf{4.2-trans}) or \textit{cis} (\textbf{4.2-cis}). We represent on Figure 3.3.3 the GC-DD for these two fragments. Once again, the DD contributions on the metal are very similar. Noticeably, the electrophilic domains on the niobium are reminiscent of a non-bonding $d_{xy}$ metal AO, which can be understood quite easily in the framework of ligand field theory (this is the LUMO, thus likely associated to an electrophilic behaviour). In the case of \textbf{4.2-cis}, these electrophilic domains are well designed to host a $\pi$ donor ligand, and thus they may stabilise efficiently a N-bonding thiocyanate. On the other hand, in the case of \textbf{4.2-trans} such a stabilisation is not expected: the electrophilic developments are orthogonal to the eventual thiocyanate-niobium bond. As such, we do not expect the thiocyanate \textit{trans} to O$^{2-}$ to actually interact in a covalent way with the rest of the complex. This could be expected from our former study, since we know N-coordination is driven mostly by electrostatic effects. In turn, this means the \textit{trans} thiocyanate is expected to be less strongly bound the niobium than the \textit{cis} ones. Actually, from the shape of the GC-DD in \textbf{4.2-cis}, we can furthermore see that the trans SCN$^-$ mostly acts as an isolated (uncoordinated) thiocyanate. Unfortunately, we cannot use the condensation scheme in that case to quantify the differences between the cis and trans positions. Nevertheless, we do still retrieve a STE. We also retrieve it at the NOCV level. Coordination of a thiocyanate to 4.2-cis or 4.2-trans indeed yields two main NOCV pairs, which correspond to the formation of a $\sigma$ and $\pi$ bond, as shown on Figure 3.3.4. The $\sigma$ bond formation leads to the exchange of 0.47 electrons in the case of 4.2-cis and a stabilisation of 30.4 kcal.mol$^{-1}$, while only 0.34 electrons are exchanged in the case of 4.2-trans and -18.0 kcal.mol$^{-1}$ are gained. The $\pi$ bond formation on the other hand leads to an exchange of 0.47 electrons in the case of 4.2-cis and a stabilisation of 12.7 kcal.mol$^{-1}$, while 0.52 electrons are exchanged in the case of 4.2-trans and 8.1 kcal.mol$^{-1}$ are gained. Overall, roughly the same number of electrons are exchanged in the formation of the $\pi$ bonds, but the formation of the cis bond is energetically favoured. In the case of the $\sigma$ bond, the difference between the cis and trans coordination is even more marked (both in electron numbers and energy stabilisation). We thus retrieve a weaker coordination trans to oxido than cis. Complex 4.3. Complex 4.3, [RhL(PMe$_3$)$_2$(Cl)$_3$] (with L = dimethylaminocarbene), is known to present a quite marked STE: the Rh(III)-Cl bond is 0.08 Å longer when trans to the carbene. Following the same approach as previously, we built two fragments by removing either the trans (4.3-trans) or cis (4.3-cis) chloride (with respect to the carbene). As one can see from Figure 3.3.5, the shape of the GC-DD around the metal cation is very similar to what we observed for complex 4.1. Noticeably, we retrieve the $d$-AO shaped electrophilic contribution developing towards the coordination vacancy. Here also, the volume of this domain seems bigger on the cis position. This is confirmed by Domains, since the volume of the cis basin is about 50% larger than the trans one. As we can see from Table 3.6, once again we retrieve much larger numerical values (either integrated or averaged) for the GC-DD on the cis position, which suggests that coordination trans to the carbene is less effective: we retrieve a STE. This also the case if we look at the NOCV associated to the coordination of a chloride to 4.3-trans or 4.3-cis – see Figure 3.3.6 –. In both cases, a main NOCV pair is observed, associated to an exchange of 0.76 electrons and a stabilisation of 46.7 kcal.mol$^{-1}$ in the case of 4.3-cis, and an exchange of 0.65 electrons and a stabilisation of 37.4 kcal.mol$^{-1}$ in the case of 4.3-trans. We thus retrieve a weaker coordination on the trans position with respect to carbene, as expected. Table 3.6: Numerical values from the condensation of the electrophilic domains of the GC-DD, for fragments 4.3-cis and 4.3-trans. $\Delta s(D^+_{Rh})$ is the integrated GC-DD value over domain $D^+_{Rh}$, $\Delta s(D^+_{Rh})$ the mean GC-DD value and $V(D^+_{Rh})$ the volume of the domain. All values in a.u. \| Complex \| 4.3-cis \| 4.3-trans \| \|---------\|---------\|-----------\| \| $\Delta s(D^+_{Rh})$ \| 47.3 \| 19.8 \| \| $V(D^+_{Rh})$ \| 30.7 \| 20.3 \| \| $\Delta s(D^+_{Rh})$ \| 1.5 \| 1.0 \| Comparing trans orienting ligands In the three previous examples, we have compared cis and trans positions in the same complex, in order to highlight both STE and KTE. Now, we propose to focus only on one position in two related complexes, which will only differ by the ligand on the trans position. In principle, this should permit to compare different trans orienting ligands. Complexes 4.4. Complexes (4.4), namely trans-[Rh(NH$_3$)$_4$(H$_2$O)X]$^{n+}$ with (X,n) = (H$_2$O,3) or (Cl$^-$,2), display a marked KTE.\textsuperscript{149} Water substitution indeed proceeds 5000 times faster when X = Cl$^-$. According to our methodology, we thus built two [ML$_5$] fragments by removing the water ligand in both complexes (respectively, fragments [ML$_5$]-4.4-H$_2$O and [ML$_5$]-4.4-Cl). As one can see from Figure 3.3.7, the GC-DD for these two fragments is once again similar to what we observed for complex 4.1. In this case, it is not plain whether [ML$_5$]-4.4-H$_2$O or [ML$_5$]-4.4-Cl display the larger electrophilic domain on the trans position. Condensation is thus very helpful in this case. Condensed values, recapped in Table 3.7, indicate clearly that electrophilicity is more pronounced for X = H$_2$O: the integrated value of GC-DD are approximately doubled compared to X = Cl$^-$, and since the volumes are not that different the average value of the GC-DD is also considerably larger for [ML$_5$]-4.4-H$_2$O. Overall, we expect a much stronger coordination of water on that position when X = H$_2$O, and thus a much slower substitution kinetics: we retrieve the expected KTE. This is also confirmed at the NOCV level, as sketched on Figure 3.3.8. Coordination of water to both fragment give rise to a main NOCV pair, with a basin of electron density relocation between the O and Rh atoms (formation of a bond). When X = H$_2$O, 0.48 electrons are transferred, which induces a stabilisation of 31.0 kcal.mol$^{-1}$. On the other hand, when X = Cl$^-$ 0.36 electrons only are transferred, and the stabilisation is only of 16.7 kcal.mol$^{-1}$. The water molecule in 4.4-H$_2$O is thus way more stabilised than it is in 4.4-Cl. Its replacement should thus be much slower, as observed. Table 3.7: Numerical values from the condensation of the electrophilic domains of the GC-DD, for fragments $[\text{ML}_5]-\text{4.4-H}_2\text{O}$ and $[\text{ML}_5]-\text{4.4-Cl}$. $\Delta s(D^+_{Rh})$ is the integrated GC-DD value over domain $D^+_{Rh}$, $\overline{\Delta s}(D^+_{Rh})$ the mean GC-DD value and $V(D^+_{Rh})$ the volume of the domain. All values in a.u. \| Complex \| $[\text{ML}_5]-\text{4.4-H}_2\text{O}$ \| $[\text{ML}_5]-\text{4.4-Cl}$ \| \|------------------\|----------------------------------------\|-------------------------------\| \| $\Delta s(D^+_{Rh})$ \| 43.9 \| 21.9 \| \| $V(D^+_{Rh})$ \| 25.2 \| 19.2 \| \| $\overline{\Delta s}(D^+_{Rh})$ \| 1.7 \| 1.1 \| Figure 3.3.8: Deformation densities for the first NOCV pair associated to the coordination of an aqua ligand to $[\text{ML}_5]-\text{4.4-H}_2\text{O}$ (left) and $[\text{ML}_5]-\text{4.4-Cl}$ (right), at a $\pm 4 \times 10^{-3}$ a.u. isovalue. Electron density relocation (depletion, respectively) areas are depicted in green (red). Complexes 4.5. In the case of complexes 4.5, $[\text{Co(en)}_2(X)(\text{H}_2\text{O})]^{n+}$ with $(X,n) = (\text{OH}^-, 2)$ and $(\text{SO}_3^{2-}, 1)$, a strong KTE could also be evidenced experimentally.\textsuperscript{150,151} In this case, water substitution occurs 2000 times faster if $X = \text{SO}_3^{2-}$. Unfolding the same approach as previously, we thus constructed two fragments by removing the water molecule, yielding respectively $[\text{ML}_5]-\text{4.5-OH}$ and $[\text{ML}_5]-\text{4.5-SO}_3$. The GC-DD surfaces for both fragments are represented on Figure 3.3.9. Once again, the features are quite similar to what we observed for other complexes. As one may notice however, the features are more distorted in the case of $[\text{ML}_5]-\text{4.5-SO}_3$. This could be rather expected, since sulfite is also known to be $\pi$-acceptor ligand (and thus the shape of the DD should in principle be modified). As one may notice, the electrophilic Figure 3.3.9: GC-DD isosurfaces for $[\text{ML}_5]-\text{4.5-OH}$ (left) and $[\text{ML}_5]-\text{4.5-SO}_3$ (right), at a $\pm 0.4$ a.u. isovalue. Colour scheme: red, negative values; green, positive values. Electrophilic $D^+_{Co}$ domains are highlighted by an asterisk. Figure 3.3.10: Deformation densities for the first NOCV pair associated to the coordination of an aqua ligand to [ML$_5$]-4.5-OH (left) and [ML$_5$]-4.5-SO$_3$ (right), at a $\pm 4 \times 10^{-3}$ a.u. isovalue. Electron density relocation (depletion, respectively) areas are depicted in green (red). The basin trans to SO$_3^{2-}$ is much smaller than trans to HO$^-$, which suggests electrophilicity in [ML$_5$]-4.5-SO$_3$ will be weaker compared to [ML$_5$]-4.5-OH. This is indeed the case if we look at the condensed values in Table 3.8. The integrated value of the electrophilic domain of the GC-DD is indeed 3.5 times larger trans to hydroxo, and since the volume of this domains is only twice larger than the volume of the basin trans to sulfito, the average GC-DD values are also markedly larger for hydroxo. As a result, we would expect a much stronger coordination for water when trans to hydroxo, as observed. Table 3.8: Numerical values from the condensation of the electrophilic domains of the GC-DD, for fragments [ML$_5$]-4.5-OH and [ML$_5$]-4.5-SO$_3$. $\Delta s(D_{Co}^+)$ is the integrated GC-DD value over domain $D_{Co}^+$, $\Delta s(D_{Co}^+)$ the mean GC-DD value and $V(D_{Co}^+)$ the volume of the domain. All values in a.u. \| Complex \| [ML$_5$]-4.5-OH \| [ML$_5$]-4.5-SO$_3$ \| \|------------------\|-----------------\|---------------------\| \| $\Delta s(D_{Co}^+)$ \| 73.7 \| 20.0 \| \| $V(D_{Co}^+)$ \| 33.6 \| 13.4 \| \| $\Delta s(D_{Co}^+)$ \| 2.2 \| 1.5 \| In this case too, NOCVs for the coordination of the removed ligand are in good agreement with the GC-DD, as exemplified on Figure 3.3.10. For the two complexes, one main NOCV pair is observed, and is predictably associated to a relocation of electron density between the metal cation and the water ligand (formation of a bond). The relocation basin is much smaller in the case of sulfito, which suggests a much weaker coordination. This is retrieved in the number of transferred electrons – 0.33 electrons if X = HO$^-$, 0.22 electrons if X = SO$_3^{2-}$ – as well as in the energy stabilisation – 15.6 kcal.mol$^{-1}$ against 6.3 kcal.mol$^{-1}$, respectively. We thus retrieve unambiguously a trans effect. Towards a quantitative scale? From the different previous examples, it appears that our computational strategy allows to characterise the trans effects. Noticeably, in the last paragraphs we have seen that we could rather reliably compare different trans-orienting ligands using the GC-DD, in a quantitative fashion using the domains condensation. Interestingly, it appears from these examples that the trans effects are mostly related to a modulation of the "electron density demand" on the studied coordination positions, since the weakest electrophilicities were systematically found on the positions where STE or KTE were expected. This is actually in perfect line with the conclusions of both Chval and De Proft. Indeed, Chval and coworkers proposed that the trans effect would be due to a "competition between the ligands [...] for the opportunity to donate their electron density to the central" metal cation, while de Proft and coworkers\textsuperscript{140} suggested that a very efficient donation from the \textit{trans} ligand would translate into an accumulation of electron density on the studied position and thus an enhanced Pauli repulsion. It is rather clear that both effects would translated into a decrease of the electrophilicity. The following step is then to check whether we could use the same kind of theoretical framework to provide the first theoretically-based scale of the \textit{trans}-orienting ligands. In many inorganic textbooks, one can indeed read that all ligands exert an influence on the other ones in the coordination sphere, and that the resulting \textit{trans} effects are piloted by the strongest \textit{trans}-orienting ligand. Summarising a large number of experiments, the following scale is generally assumed: \[ \text{CO} \approx \text{CH}_3^- \approx \text{NO}_2^- > \text{Cl}^- > \text{Pyridine} > \text{NH}_3 > \text{H}_2\text{O} \] where the comparison operator $>$ means "stronger \textit{trans}-orienting ligand than". Note that this scale is obtained over a large set of very different experiments, which may be hardly comparable (different solvents, temperatures...). As such, many exceptions are known, and the scale may furthermore vary substantially depending on the metal cation. We thus decided to study two families of complexes, \textbf{4.4-X} [Rh(NH$_3$)$_4$(H$_2$O)X]$^{m+}$ and \textbf{4.6-X} [Ru(NH$_3$)$_5$X]$^{m+}$\textsuperscript{152}, with X belonging to the previous series. Note that the first series derive from complexes 4.4, hence their label \textbf{4.4-X}. The shape of the DD for these complexes is exactly similar to what we previously observed, and as such we did not display them here. Result of the condensation of the GC-DD for complexes \textbf{4.4-X} and \textbf{4.6-X} are gathered in Tables 3.9 and 3.10, respectively.\textsuperscript{(xviii)} \textbf{Table 3.9:} GC-DD condensation for the [ML$_5$] fragments deriving from complexes \textbf{4.4-X}. All values in a.u. \| X = \| $\Delta s(D^+_{\text{Rh}})$ \| $V(D^+_{\text{Rh}})$ \| $\Delta s(D^+_{\text{Rh}})$ \| \|-----------\|-----------------------------\|---------------------\|-----------------------------\| \| CH$_3^-$ \| 9.5 \| 10.7 \| 0.88 \| \| CO \| 14.1 \| 15.8 \| 0.89 \| \| NO$_2^-$ \| 1.6 \| 4.5 \| 0.36 \| \| Pyridine \| 36.4 \| 24.9 \| 1.47 \| \| NH$_3$ \| 18.5 \| 17.9 \| 1.03 \| \| Cl$^-$ \| 21.9 \| 19.2 \| 1.14 \| \| H$_2$O \| 43.9 \| 25.2 \| 1.74 \| As one can remark from these tables, the ranges of both the volumes and the integrated GC-DD values are quite large. On the other hand, the averaged values of the GC-DD are in a much narrower range (from 0.36 to 1.74), and are all close to unity. They thus seem more adapted to build a quantitative scale of the \textit{trans}-orienting ligands. Furthermore, the chemical meaning of these values are rather simple to understand, since they have the same unit as the GC-DD: they are a measure of the mean electrophilicity in the vicinity of the metal cation. Thus, using the averaged values, we obtain the two following ranking (from the lowest GC-DD value to the highest): \[ \text{NO}_2^- < \text{CH}_3^- \approx \text{CO} < \text{NH}_3 < \text{Cl}^- < \text{Pyridine} < \text{H}_2\text{O} \] \textsuperscript{(xviii)}Note that [Ru(NH$_3$)$_6$]$^{2+}$ was not considered. The reason is rather simple: because of its perfect octahedral symmetry, no differentiation is expected between \textit{trans} and \textit{cis} positions: as such, it is not expected to display any \textit{trans} effect. Table 3.10: GC-DD condensation for the $[\text{ML}_5]$ fragments deriving from complexes 4.6-X. All values in a.u. \| X = \| $\Delta s(D^+_{\text{Rh}})$ \| $V(D^+_{\text{Rh}})$ \| $\Delta s(D^+_{\text{Rh}})$ \| \|---------\|-----------------------------\|----------------------\|-----------------------------\| \| CH$_3^-$\| 22.4 \| 28.9 \| 0.77 \| \| CO \| 18.3 \| 21.5 \| 0.85 \| \| NO$_2^-$\| 21.0 \| 35.2 \| 0.60 \| \| Pyridine\| 29.4 \| 26.1 \| 1.13 \| \| Cl$^-$ \| 36.3 \| 26.4 \| 1.37 \| \| H$_2$O \| 43.2 \| 30.6 \| 1.41 \| for complexes 4.4-X, and $$\text{NO}_2^- < \text{CH}_3^- < \text{CO} < \text{Pyridine} < \text{Cl}^- < \text{H}_2\text{O}$$ for complexes 4.6-X. These rankings are in a rather good agreement with the experimental series, especially regarding the strongest trans-orienting ligands. Carbonyl, methyl and nitrito are indeed well placed in the series, displaying markedly small values of the GC-DD. On the other hand, weak trans-orienting ligands seem less well ordered. The discrepancies with the experimental series are most probably stemming from the diversity of experimental conditions in which substitution rates or structural parameters are obtained: it may be quite hard to compare a metathesis reaction in water, which is a very polar solvent, to another one occurring in THF... Furthermore, we are comparing different complexes, and differences in the values were to be expected. It should also be reminded that our approach is quite crude, in the sense that we do not allow the $[\text{ML}_5]$ species to relax, neither that we looked at a complete reaction path. Most probably, an absolute scale of the trans-orienting ligands, using our theoretical approach, cannot be built. Anyhow, we are able to provide a semi-quantitative scale, which could be used as a general (though imperfect) guide. ### 3.3.3 Conclusion In this section, we showed how tools from conceptual DFT and related paradigms could be used to rationalise the chemical properties of coordination complexes, noteworthy allowing to understand the physical mechanisms acting beneath the trans effects in octahedral complexes. As what was observed for square-planar complexes, trans effects in octahedral complexes primarily come from the differential ability of ligands to donate their electron density to the metal cation, leading certain coordination positions to be quite saturated with electron density and thus less "demanding" for a ligand. Monitoring the electrophilicity, we were able to characterise, and more importantly, to quantify the trans effects in a rather large set of coordination complexes. Finally, using a local condensation scheme, we managed to build semi-quantitative scales of the trans-orienting ligands which happen to reproduce quite correctly the experimental trends, even though the model we used may not be the most precise. NOTE: this work has been published in Phys. Chem. Chem. Phys. 2016, 18, 982–990. 3.4 Long story short Throughout these two studies, we aimed to examine the efficiency and adequacy of conceptual DFT in the understanding an rationalisation of the properties of coordination compounds. Starting from a very simple study on ligands, we saw that using two well designed tools, namely the electrostatic potential and dual descriptor, we were able to retrieve quite correctly the coordination geometries they would adopt, but also to gain information about their electronic properties once coordinated. Furthermore, in some cases we were able to understand experimental facts, such as the scarcity of dioxygen complexes. The DD also proved to be a valuable tool in the study of the trans effects of octahedral complexes. Indeed, it appeared that these effects are essentially due to a modulation of the electrophilicity of the metal cation under the influence of the ligand on the trans position. We believe the scope is much wider, and that conceptual DFT is a framework of choice for the rationalisation of the properties of coordination complexes. Noticeably, we have seen in the first study a few problems arose when the ground state of the studied molecules are degenerate. In the framework of FMO theory, such cases may be problematic. In the framework of DFT, they are even unreachable, since the fundamental hypothesis beneath the Hohenberg-Kohn theorems are no longer holding. This is not true for conceptual DFT, since we base our interpretations on electron density, no matter its origin. Actually, this last point suggests we could imagine to perform conceptual DFT calculations basing solely on experimental data: using X-ray diffraction, it is indeed possible to obtain electron density maps, which could be used for C-DFT calculations... Chapter 4 Amino-acid based copper complexes: from reactivity to molecular magnetism. 4.1 Introduction Polynuclear metal complexes have attracted a large interest in research because of the fascinating physical properties they may present, among which one may find catalytic activity and magnetism.\textsuperscript{153} For instance, as we have seen in Chapter 3, the biological properties of some enzymes are due to the presence of a polynuclear complex in their active site.\textsuperscript{108,109} One may cite as an example the catechol oxidase, whose dinuclear copper complex is used to oxidise di-phenols into orthoquinones. Laccase\textsuperscript{154} is another interesting copper-based example: its trinuclear complex indeed permits the activation of O$_2$, proceeding through what is called a "native intermediate", which is an antiferromagnetically coupled trinuclear copper(II) centre. This intermediate is of paramount importance in the process, and many trinuclear Cu(II) complexes were synthesised as prototypes of this enzyme. Furthermore, such antiferromagnetically coupled trinuclear Cu(II) complexes may also be good candidate for spin frustration.\textsuperscript{155,156} Indeed, there is no possible way to arrange a triangular system of three $S = 1/2$ spins in such a way that all pairs of spins will be antiferromagnetically coupled – see Scheme 4.1.1 –. Such frustrated systems are very interesting, because they present a degenerate ground state\textsuperscript{(i)}. As such, they could be employed as molecular qubits, \textit{i.e.} \begin{scheme} \centering \includegraphics[width=\textwidth]{frustrated_trinuclear_CuII_complex.png} \caption{Schematic representation of frustrated trinuclear Cu(II) complex, and the corresponding energy diagram.} \end{scheme} \textsuperscript{(i)}The reader may retrieve this degeneracy from equation (2.34), setting all the coupling constants to the same value $J$. molecule-based quantum bits of information.\textsuperscript{(ii)} Note that SMMs are also proposed to be efficient candidates for this purpose. In 2008, our team reported the synthesis of a trinuclear Cu(II) complex based on an amino-acid derived ligand, $L_0^{2-}$, along with a bridging $\mu_3$–OH$^-$ ligand.\textsuperscript{158} This complex displayed an unambiguous antiferromagnetic coupling, but because of its low symmetry no frustration was actually observed. High level calculations (DDCI-2 and approximate DDCI-3), performed by Dr. Boris Le Guennic and Prof. Vincent Robert, indeed showed the doublet states were not degenerate. Nevertheless, the complex presented another interesting feature: the lowest doublet and quartet states were indeed found to be degenerate, a rather unexpected characteristic. Furthermore, this could only be deduced at the highest level of theory – at the DDCI2 level, the computed coupling was indeed still ferromagnetic – \begin{figure}[h] \centering \includegraphics[width=0.5\textwidth]{ligands.png} \caption{Studied amino-acids derived ligands. R = H, $L_0^{2-}$; R = Me, $L_1^{2-}$; R = $i$Pr, $L_2^{2-}$; R = $i$Bu, $L_3^{2-}$.} \end{figure} These very interesting results stimulated a further study on the subject. Noteworthy, the subtlety of the observed magnetic properties of the previous complex suggests a slight modification of the ligand may result in a marked effect. Interestingly, the synthetic procedure that permitted to isolate $L_0^{2-}$ can be easily modified, and parent ligands using different amino-acids (alanine, valine and leucine, \textit{vide infra}) had already been obtained during the PhD theses of Sarah Petit and Amel Messai.\textsuperscript{159,160} We thus evaluated the coordination ability of these ligands, and studied the magnetic properties of the obtained complexes. The results are presented in the following sections. \section{Syntheses and structures} \subsection{Syntheses and structures of the ligands} In this study, we proposed to study the effect of subtle modifications on ligand $L_0^{2-}$. We thus tried to obtain these complexes using more branched versions of $L_0^{2-}$, replacing the starting amino-acid (glycine) by an alkylated one: alanine (R = methyl on Figure 4.1.1), valine (R = isopropyl) and leucine (R = isobutyl). Note that these amino-acids are chiral, and thus each ligand can be prepared in its enantiopure (D, L) or racemic (DL) forms. As we have just said, the corresponding ligands had already been synthesised by Sarah Petit and Amel Messai, through a very simple procedure: acetylacetone is simply added to an aqueous solution of the corresponding amino acid with potassium hydroxide, and the mixture is left to react for a few hours at room temperature. Though being very efficient in the case of glycine and alanine – yields between 80 \% and 90 \% –, the method proves less successful in the case of valine (62 \%), and does not afford at all the expected \textsuperscript{(ii)}Actually, there are more requirements to be fulfilled, which are called the "Loss-DiVincenzo criteria": the states need to be well-defined (which is the case), should be easily prepared, show low decoherence, be easily characterised and easy to manipulate.\textsuperscript{157} compound with leucine if room temperature is too low. Furthermore, the crude product of reaction with this procedure tend to incorporate a lot of water, as evidenced by its characteristic IR signal, which is quite hard to remove.\textsuperscript{(iii)} This led us to employ a slightly modified synthetic procedure: water is replaced by methanol, and the reaction is conducted at reflux instead of room temperature. With this method, yields are much better (98\% - 99\%) and the synthesised potassium salts are found pure (see Appendix A.1 for the experimental details).\textsuperscript{(iv)} Quite interestingly, our different characterisation techniques point to slightly different structures than the presumed one for $L_0H^-$. Indeed, IR and NMR spectra suggest our different $L_nH^-$ ($n = 0 - 3$) species are better described as being enaminones (bearing both ketone and enamine motifs), rather than imino-enol, both in the solid state (IR) and in water solution (NMR in D$_2$O). Unfortunately, no crystallisation procedure afforded large enough crystals to directly confirm this through X-Ray diffraction. We thus modelled $^{D}L_1H^-$ at the DFT level, using the hybrid B3LYP functional\textsuperscript{161} and Pople’s basis set 6-311++G(d),\textsuperscript{162} and using water as an implicit solvent (PCM), with Gaussian 09.\textsuperscript{97} In the first optimisation, the starting geometry corresponded to Figure 4.1.1. Then, we displaced the proton that was located on the nitrogen atom to the ketone oxygen, and optimised once more the geometry. Moreover, we also considered another conformation of the carbon backbone of this ligand. Indeed, the drawn formula on Figure 4.1.1 is such that the two successive unsaturated bonds are in a relative \textit{cis} conformation, but it is known that such systems may also present a \textit{trans} configuration (which would consist here in turning the ketone oxygen upwards).\textsuperscript{50} We then performed two supplementary geometry optimisations, starting from the corresponding \textit{trans} guess configurations. \begin{table}[h] \centering \caption{Relative energies (in kcal/mol) of the different optimised geometries of ligand $^{D}L_1H^-$, at the B3LYP/6-311++G(d)/PCM(H$_2$O) level.} \begin{tabular}{l c c} \hline & NH & OH \\ \hline \textit{cis} & 0.00 & +13.98 \\ \textit{trans} & +4.23 & +26.66 \\ \hline \end{tabular} \end{table} Overall, we obtained four different geometries, that we label \textit{cis}-NH, \textit{cis}-OH, \textit{trans}-NH and \textit{trans}-OH, respectively.\textsuperscript{(v)} Frequency calculations were performed in each case to ensure they correspond to genuine energy minima, and were also used to compute the free energies corresponding to these four geometries. They are listed in Table 4.1. As one may remark, the minimum value is found for the \textit{cis}-NH form, in good agreement with our characterisations. Noticeably, even though the energy differences between the all the conformers seem rather small, they are nonetheless significant. For instance, if we presume conversion between \textit{cis}-NH and \textit{trans}-NH may happen\textsuperscript{(vi)} at room temperature, the ratio between the two forms should be given by the corresponding Boltzmann population factor. In that case, this factor leads to a partition into 99.92\% of \textit{cis}-NH and 0.08\% of \textit{trans}-NH: we can safely neglect all conformations but \textit{cis}-NH in the liquid state. \textsuperscript{(iii)}Water could still be evidenced by IR after 2 weeks of desiccation in vacuum. \textsuperscript{(iv)}In addition, chirality of ligands $^{D}L_1H^-$ and $^{I}L_1H^-$ was confirmed by circular dichroism measurements on methanol solutions. \textsuperscript{(v)}Note that we did not consider the iminone form (both ketone and imine motifs), since $^1$H NMR unambiguously points to a $sp^2$ hybridation of the central carbon of the acetylacetone backbone (only one H is observed). \textsuperscript{(vi)}\textit{I.e.}, that the energy barrier for this process is small enough – which our calculations does not confirm or infirm –. is furthermore confirmed by the consistency of the experimental and calculated $^1$H NMR chemical shifts and coupling constant for this conformation (using the GIAO formalism as implemented in Gaussian), as shown in Appendix A.1. ### 4.2.2 Coordination properties In summary, we isolated 9 different ligands (as potassium salts): - $^D$L$_1$HK, $^L$L$_1$HK, $^{DL}$L$_1$HK, starting from the corresponding alanines, - $^D$L$_2$HK, $^L$L$_2$HK, $^{DL}$L$_2$HK, starting from the corresponding valines, - $^D$L$_3$HK, $^L$L$_3$HK, $^{DL}$L$_3$HK, starting from the corresponding leucines, and looked for their coordination properties towards transition metals. As we have seen in the previous chapter, DFT calculations can provide appreciable information for this. Since we know the glycine analogue coordinates when deprotonated, in a geometry that is close to the one of cis-NH, we here considered a deprotonated form of this latter structure, by simply removing the hydrogen atom from the amine group. We then computed the DD without geometry optimisation, using the state-specific formalism,\textsuperscript{89} focusing on the first excited state and using the same level of theory as previously. We also performed the same calculation for the non-deprotonated form, and in both cases we also evaluated the MEP.\textsuperscript{94} We represent on Figure 4.2.1 the result of these calculations. First, at the DD level we notice similarities between the two compounds. We indeed observe a marked electrophilicity on the imine and ketone groups, together with a non negligible nucleophilicity on the central carbon. This latter characteristic is more pronounced in the deprotonated form, indicating a relocation of charge density on this carbon. We retrieve a similar characteristic in the case of the nitrogen atom, that becomes much more nucleophilic upon the H abstraction – which is quite logical. On the other hand, the ketone oxygen show the reverse tendency: it appears to be much more nucleophilic in the protonated form that in the deprotonated one. This can be understood rather simply: since the DD integrates to zero over space, an increase of nucleophilicity on one site must be accompanied either by an increase of electrophilicity or a reduction of nucleophilicity elsewhere in the molecule. As we do not observe an increase in electrophilicity through deprotonation – which is rather logical, since we increased the charge of the system –, we understand why the nucleophilicity of the ketone oxygen is decreasing. At the MEP level, we observe an interesting feature: in the protonated form, the negative charge tends to locate on the carboxylate group, and also on the ketone oxygen, as evidenced by the large negative values on these sites. In the deprotonated form, we retrieve these negative charges, but they are somehow masked by the much larger one on the nitrogen atom, which bears the lowest MEP values. If we summarise, these two species involve a hard negative charge on the carboxylate – low MEP values and no significant DD contribution –, which may be quite fitted to stabilise lanthanide cations.\textsuperscript{21} On the other hand, they also present softer sites, which display both low values of the MEP, non negligible nucleophilic DD contributions with electrophilic contributions in their vicinity. They are thus quite fitted to stabilise transition metal cations.\textsuperscript{63} Figure 4.2.1: Up: DD isosurfaces for $^D\text{L}_1\text{H}^-$ (left) and $^D\text{L}_1^{2-}$ (right), as computed at the B3LYP/6-311++G(d)/PCM(H$_2$O) level. Isovalue: $\pm 4 \times 10^{-3}$. Positive values are depicted in green, and negative values in orange. Down: MEP projection on density isosurfaces ($\rho(\mathbf{r}) = 4 \times 10^{-3}$ a.u.) for $^D\text{L}_1\text{H}^-$ (left) and $^D\text{L}_1^{2-}$ (right), at the same level of theory. Colour gradient: red, lowest MEP values; green: highest MEP values. ### 4.2.3 Complexations We then tried to coordinate different metal cations, using a similar synthetic procedure as the one previously employed for the trimuclear Cu(II) complex of L$_0^{2-}$: a simple mixture of methanolic solutions of the ligand and the metal salts, in a 1:1 ratio, in the presence of a weak base (here triethylamine). The following metal cations were scrutinised: Cu$^{2+}$, Cr$^{3+}$, Co$^{2+}$, Mn$^{2+}$, VO$^{2+}$, Ni$^{2+}$ and Zn$^{2+}$. For all these ions, a marked change of colour is observed without addition of base. For instance, addition of an acid green CuCl$_2 \cdot 2$H$_2$O solution to a pale yellow solution of $^D\text{L}_1\text{HK}$ leads to a dark green mixture. In the case of Zn$^{2+}$, the resulting solution shows a slightly more intense yellow colour. Upon addition of triethylamine, a further colour change is observed; for instance, the previous dark green solution turns to a deep and dark blue. In the case of Zn$^{2+}$, a colour change is also observed, the resulting solution turning to a much stronger yellow. Such colour changes suggest coordination takes place, in two steps. First, in the absence of base we already observe a coordination, which likely involves the conjugated enaminone part of our ligands (more intense colour of the Zn(II) complex). Second, upon addition of base it is very likely that we deprotonate the ligand, thus changing drastically the electronic structure of the resulting complex and as such its absorption properties. Nevertheless, crystallisation of these complexes proved nearly impossible. Indeed, we never managed to isolate any crystalline material in the case of Cr$^{3+}$, Co$^{2+}$, Mn$^{2+}$, VO$^{2+}$, \footnote{Note that a trinuclear complex of Cu(II) was already obtained by Sarah Petit, basing on the alanine derivative, but was not thoroughly studied because of a lack of time.} Ni$^{2+}$ and Zn$^{2+}$. In the case of Cu(II), depending on the counter-ion and the experimental conditions, we managed to characterise four crystal structures, which are presented hereafter. Trinuclear complexes 4.1 and 4.2 Reaction of $^D$L$_1$HK and $^L$L$_1$HK with CuCl$_2 \cdot 2$H$_2$O affords compounds 4.1 and 4.2 as single crystals, suitable for X-Ray diffraction. Both compounds crystallise in the non enantiogenic $P2_12_12_1$ space group, and the found formulas are K$_2$[Cu$_3$(µ$_2$–$^D$L$_1$)$_3$(µ$_3$–OH)]$_2 \cdot 5$H$_2$O for 4.1 and K$_2$[Cu$_3$(µ$_2$–$^L$L$_1$)$_3$(µ$_3$–OH)]$_2 \cdot 5$H$_2$O for 4.2. The crystallographic parameters are listed in Table B.1. In both crystal structures, two independent trinuclear complexes are found within the unit cell, along with two K$^+$ ions and five crystallised water molecules. Interestingly, 4.1 and 4.2 are not exactly enantiomorphic, since the lattice parameters are slightly different from one structure to the other. Also, the obtained crystal structures do not match the one that was isolated by Sarah Petit (which incorporated four water molecules). We represent on Figure 4.2.2 the molecular structure of one complex of the asymmetric unit of 4.2. It is highly reminiscent of the one that was obtained with L$_0^{2-}$, showing a half-cubane-like Cu$_3$O$_4$ core. As one may note from Tables B.2 and B.3, the complexes are quite asymmetric, all coordination bonds showing slightly different properties (distances and angles). Nevertheless, they all present similar global aspects, and the observed variations in angle or bond length remain rather small. We may then discuss the coordination geometries basing on one complex only. ![Figure 4.2.2: Representation of one of the complexes in the asymmetric unit of 4.2. H atoms were omitted for the sake of clarity.](image) It is plain from Figure 4.2.2 that the Cu(II) ions are penta-coordinated, with a O$_4$N environment. The local geometry can be described as a distorted square-based pyramid, as evidenced by the Addison parameters (ranging from 0.09 to 0.22).\footnote{We remind that the Addison parameter, defined as $\tau = \Delta\theta/60$ with $\Delta\theta$ the difference between the two largest angles in the coordination sphere, characterises the geometry of penta-coordinate complexes: perfect square-based geometry corresponds to $\tau = 0$, while trigonal bipyramid corresponds to $\tau = 1$.\textsuperscript{163}} The basal plane of this pyramid is constituted by a L$_1^{2-}$ ligand, in addition to the bridging hydroxyde. Axial coordination is ensured by the ketone oxygen of the neighbouring ligand, and the measured bond lengths are much longer than those measured in the basal plane (around 2.5 Å, to be compared to the 1.9 Å on the basal plane). Interestingly, the basal planes of the three Cu(II) ions within a trimuclear complex are almost perpendicular (calculated angle between the mean planes of $81^\circ$ to $87^\circ$). This was actually already observed in the case of $\text{L}_0^{2-}$, and was partially responsible for the very weak antiferromagnetic coupling. If we indeed consider the crystal field diagram of Cu(II) in a square-based pyramid geometry, we indeed expect the unpaired electrons to locate in the $d_{x^2-y^2}$-based orbitals, which will be quasi-orthogonal here. As such, the overlap between these magnetic orbitals is expected to be weak, and according to Kahn’s argument so must be the antiferromagnetic coupling.$^{64}$ We may then expect a very weak antiferromagnetic coupling for 4.1 and 4.2. Noteworthy, bridging through the ketone oxygens is not expected to convey any efficient magnetic coupling, as the axial coordination bonds are long and the Cu-O-Cu angles close to $90^\circ$. Polymeric complexes 4.3 and 4.4 Surprisingly, reacting $\text{L}_1\text{HK}$ with another Cu(II) salt, namely CuSO$_4$·5H$_2$O, permitted to isolate another complex: $[\text{Cu}(\mu_3-\text{L}_1)]_\infty$ (4.3). The same reaction with $\text{L}_3\text{HK}$ yielded a similar compound, $[\text{Cu}(\mu_3-\text{L}_3)]_\infty$ (4.4). The two complexes are monodimensional coordination polymers, the monomeric unit being simply composed of one Cu(II) ion and one ligand – see Figure 4.2.3. We may actually understand why we do not retrieve the former trimuclear complexes: they were anionic complexes, and as such needed positive counter ions (K$^+$ ions from the ligand salt in this case, but triethylammonium ions were also present) in order to crystallise. Here, we employed a sulfate salt of Cu(II), and ammonium or alkaline sulfates are not expected to be soluble in methanol: we thus precipitated all the counter-ions (massive white precipitate as a side product), which prevented the formation of the trimuclear complex. ![Figure 4.2.3: Structure of the $[\text{Cu}(\mu_3-\text{L}_1)]$ polymer 4.3, seen along the $\vec{c}$ axis (left), and detail on the asymmetric unit numbering scheme (right).](image) The crystallographic parameters of both 4.3 and 4.4 are gathered in Table B.4. The structures of both complexes are very similar (nearly isostructural). In both cases, the Cu(II) ions are located in the coordinating pocket of one ligand, and the coordination sphere is completed by the carboxylate oxygens of two neighbouring ligands. This leads to a slightly distorted square-based pyramid geometry around Cu(II), as shown by the low values of the Addison parameter (0.10 and 0.06, respectively). Interestingly, unlike what could be observed in the case of the trimuclear complexes, the basal planes of neighbour Cu(II) ions in the polymer are far from being orthogonal (calculated angle between the mean planes of $68^\circ$ for 4.3, $71^\circ$ for 4.4). A marked antiferromagnetic coupling could be expected. We depict on Figure 4.2.4 the two successions of bonds that could serve as support for a magnetic coupling. We remind that, in order to promote a strong antiferromagnetic coupling, one needs to have a strong overlap of the magnetic orbitals, which can be achieved if the path is short (monoatomic bridge) and the successive coordination bonds not orthogonal. Here, quite obviously the cyan path will not lead to a strong antiferromagnetic coupling, as it is long (and the two coordination bonds are quasi orthogonal). On the other hand, the green paths fulfils both criteria (the angle between the two successive coordination bonds is 128.4(1)° in both structures, and the associated dihedral angle is 113.0(1)° in 4.3 and 111.0(1) in 4.4). As such, we may expect complexes 4.3 and 4.4 to present a strong antiferromagnetic coupling and, because of their polymeric nature, a 1D magnetic order at low temperature. Structure in solution So far, we have presented and discussed the crystal structures we could evidence using our different ligands and Cu(II) salts. Actually, these complexes were not the only compounds in the reaction mixture. Each time, an off-white (from white to pale blue) powder could also be isolated, and sometimes beautiful blue crystals could also be found. These were shown to be [Cu(Acac)$_2$] complexes (with Acac = acetylacetonate) by X-Ray diffraction. The observation of this Acac complex suggests our ligands hydrolysed in the reaction medium. Indeed, we remind our syntheses are akin to Schiff base condensations$^{50}$ (condensation of an amine on a carbonyl group, with the release of water), and these reactions are known to be reversible. Nevertheless, our ligands are rather original since they can be synthesised in water – while Schiff base usually decompose in water –. They thus seem to be quite water-resistant, at least as potassium salts. We may then wonder if it is not coordination (or deprotonation) that triggers the hydrolysis. This could explain why we did not manage to isolate most of the complexes. We thus decided to model the hydrolysis reaction at the DFT level, in order to determine its feasibility. But prior to that study, we need to know the structure of our complexes in solution. We first looked at the absorption spectra of both 4.1, 4.2, 4.3 and 4.4 in methanol. Surprisingly, 4.3 and 4.4 dissolved quickly and easily – a rather unexpected feature for coordination polymers –. More surprising is the strong similarity of the spectra, irrespectively of the trimuclear or polymeric structure. For instance, we report on Figure 4.2.5 the absorption spectra for 4.2 and 4.3. An almost perfect superimposition is seen, with in both cases a large absorption band around 645 nm ($\epsilon = 84(1)$ L.mol$^{-1}$.cm$^{-1}$ for 4.2), as well as a strong absorption in the UV region. Such a strong similarity suggests the absorbing species in the two solutions are the same, which is rather unexpected. Actually, UV spectra for all crude reaction mixtures are similar, regardless of the Cu(II) salt or the ligand. Very likely, all our complexes have the same general structure in solution. The effect of the solvent on the absorption spectra of 4.2 and 4.3 was also studied, and only small shifts were observed. For instance, the maximum of absorption of 4.3 moves from 645 nm in methanol to 634 nm in pyridine and 612 nm in chloroform. The fact that the absorption features remain nearly unchanged upon change in the solvent indicates the latter is not involved in the first coordination sphere of our complexes.\textsuperscript{ix} Furthermore, the good solubility of our complexes in chloroform suggests they are neutral in solution. In order to gain more insight on the molecular structure, we then turned ourselves to EPR measurements on methanolic solutions. In good agreement with the UV measurements, the X-band spectra for \textbf{4.2} and \textbf{4.3} are very similar, as shown on Figure 4.2.6. One may also notice the major difference between the solution and solid spectra, which suggest completely different geometries should be considered.\textsuperscript{x} Actually, similar results were obtained for the glycine analogue, and also for the alanine derivative synthesised by Sarah Petit. At that time, interpretation of the spectra proved tricky. Indeed, the four first peaks of the EPR spectra (2600 G - 3200 G) can be attributed to a hyperfine splitting pattern of a $g_Z = 2.26$ peak, with the $I = 3/2$ nuclear spin of one copper atom ($A(Cu) = 169G$). Only one copper atom thus seems to be seen, which was unexpected because of the solid state structure. Two hypotheses were then presented to account for this: either the complexes display a perfect $C_3$ symmetry in solution, thus rendering all three Cu(II) ions \textsuperscript{ix}And the weak solvatochromism, in addition to the low $\epsilon$ value for the visible range absorption, suggest the observed transition is of the $d-d$ type. \textsuperscript{x}In the case of \textbf{4.3}, no solid state spectra could be recorded, because of a lack of signal. As we will show in section 4.4, this is due to a strong antiferromagnetic coupling. equivalents, or a mononuclear complex is formed in solution. The latter hypothesis is the most probable, considering the results of the UV measurements (how could a $\mu_3$-hydroxo complex form from the polymer structures?). In the second region of the spectra (3200 G - 3500 G), a more complicated pattern is seen, which was formerly interpreted as being the result of two $g_X = 2.06$ and $g_Y = 2.01$ signals split by a superhyperfine coupling with the nuclear $I = 1$ spin of nitrogen. We may invoke the same interpretation here, noteworthy since the field separation between successive peaks is almost constant (\textit{ca.} 17(2) G), and is thus consistent with a unique superhyperfine coupling. One may also note the good agreement with the previously deduced superhyperfine coupling constant (\textit{ca.} 16 G). Overall, EPR measurements point to a mononuclear Cu(II) complex, involving a single coordinating nitrogen atom, and thus most presumably a single tri-coordinating ligand. Other ligands must be found in the coordination sphere, as Cu(II) ions usually display coordination numbers of four, five or six. We can presume they are water molecules, since it is the only common compound in all our syntheses (the Cu(II) salts being hydrated).\footnote{And in the case of the coordination polymers, we may assume that the needed water molecules are withdrawn from the atmosphere or from the solvents, which may indeed incorporate a non negligible proportion of water.} The corresponding formula is thus expected to be $[\text{CuL}_4(\text{H}_2\text{O})_{m}]$. We then tried to perform geometry optimisations at the DFT level, in order to determine the exact geometry. We first employed B3LYP as functional and D95V basis sets\textsuperscript{164} for all elements but Cu, which was modelled using a Los-Alamos pseudo-potential and the corresponding double-zeta basis set (LANL2DZ). Optimisations with one to four water molecules were undertaken, using an implicit solvent model (methanol, PCM) and in every cases in the final geometry only one water molecule remains coordinated, in a distorted square-planar geometry. The remaining water molecules arrange around the complex, forming H-bonds with the coordinated water but also with the different functional groups of the ligand. Noteworthy, when four water molecules are involved, we observe a H-bond between one uncoordinated water molecule and the central (malonic-like) carbon of the ligand (this water molecule being itself H-bonded to another one). This latter feature is rather simply understood from our previous DD calculations, as this carbon is expected to be quite nucleophilic in L$_1^{2-}$, but is nevertheless very interesting. It indeed suggests the backbone of our ligand is able to interact with water molecules, which a necessary condition to be fulfilled if we look for an hydrolysis pathway. Confidence in this structural model is furthermore given from the rather good reproduction of the EPR parameters: $g_1 = 2.04$, $g_2 = 2.05$, $g_3 = 2.16$, $A(Cu) = 225G$ and $A(N) = 19G$, as computed at the B3LYP/def2-TZVPP/DKH level,\textsuperscript{165} using an implicit solvent correction (COSMO) for methanol (ORCA 3.0).\textsuperscript{166} We then turned to a much higher level of theory, optimising our structures with the dispersion-corrected $\omega$B97xD functional,\textsuperscript{167} and using 6-311++G(d) for all elements, plus Stuttgart-Dresden pseudopotentials on the copper atom,\textsuperscript{168} with the same implicit solvent correction as previously. Such a high level may indeed be needed, as H-bonds are seen (and may not be properly described using B3LYP). Interestingly, in that case the optimised geometries show a square-based pyramid geometry around the Cu(II) ion, with a weakly axially coordinated water molecule (\textit{ca.} 2.32 Å away from Cu, compared to 2.03 Å in the basal plane). The B3LYP and $\omega$B97xD geometries are thus quite different, though we may state that somehow an agreement exists between both descriptions, as the axial coordination seems rather weak. Furthermore, we retrieve the same kind of H-bonding between an uncoordinated water molecule and the "malonic" central carbon atom of the ligand, this water molecule being here also stabilised by another water molecule (but, in that case, coordinated to the Cu(II) ion). ![Figure 4.2.7: Solution structure of the Cu(II) complex of $^{\text{D}}\text{L}_1^{-2}$, with four explicit water molecules.](image) Actually, from the computed EPR properties, we may indeed see that the structural discrepancies do not seem to have a dramatic effect; we indeed find $g_1 = 2.04$, $g_2 = 2.06$, $g_3 = 2.17$, $A(Cu) = 206G$ and $A(N) = 18G$, using the same level of theory as previously. We may then assume that our lower level description is already rather good, though naturally fine effects (and eventually geometrical effects) could be missed. ### 4.3 Reactivity studies As such, we decided to first model the hydrolysis reaction using the lower level of theory, in order to obtain a first, rough estimate of the Potential Energy Surface for our system. The basic idea here was to ease the search of Transition States, which is a rather complicated task already at our lower level of theory, and which becomes incredibly complex with $\omega$B97xD (which presents here slow and problematic SCF and geometry convergences). We present hereafter the results. #### 4.3.1 First approach with B3LYP REMINDER: all calculations were performed at the B3LYP/D95V/LanL2DZ level of theory, with inclusion of an implicit solvent (methanol, PCM + keywords "Dis, Rep, Cav"\footnote{"Dis" computes and includes the total solute-solvent dispersion interaction energy,\textsuperscript{169} "Rep" includes the solute-solvent repulsion dispersion energy and "Cav" includes the solute cavitation energy.}) for a more accurate energetic representation of the solvent cavity). In every cases, transition state structures were optimised, and the PES were computed using the Intrinsic Reaction Path (IRC)\textsuperscript{170} as implemented in Gaussian09. Systematically, the reagent and product structures determined from these IRC calculations were fully optimised. First step: protonation of the ligand. In the previously optimised structure, a H-bond could be seen between one water molecule and the central carbon of our ligand. This particular structure suggested the first step in our hydrolysis mechanism would likely be the protonation of this carbon. Among the products of this first step, we indeed expect to find an hydroxide ion, which is a much better nucleophile than water, and which may attack the enamine carbon, as pictured on Scheme 4.3.1. Quite surprisingly, in our calculation these two processes occur almost simultaneously, the protonation of the carbon being quickly followed by the nucleophilic attack of hydroxide on the enamine carbon. The structures of the starting reagent (R1), transition state (TS1) and product (P1) are given on Figure 4.3.1. As one may note, the TS structure actually corresponds to the addition of $\text{OH}^-$, the protonation occurring just before TS1 (thus yielding a rather unusual shape of the IRC curve). Interestingly, we retrieve a six-centre intermediate for the reaction, with an additional water molecule, which are depicted on Scheme 4.3.2. This supplementary $\text{H}_2\text{O}$ actually helps the proton transfer, and stabilises the hydroxide group on a reactive position, thus permitting the following nucleophilic attack. Product P1 is less stable than R1 (+31 kcal/mol), and despite the additional water molecule, the free energy activation barrier is high: +40 kcal/mol. Such a high barrier mechanism is hardly feasible at room temperature, whereas our reaction occurs spontaneously in such conditions. Nevertheless, we may expect a large stabilisation of the TS with the inclusion of dispersion, as it involves many water molecules. In turn, we should observe a decrease in the energy barrier, which may render this reaction feasible. Second step: prototropy. As such, we kept on studying the reaction pathway with our low level method. Product P1, which serves as a starting point for the second elementary step, has a rather remarkable structural feature. The proton on the alcohol group (that was formerly added to the ligand backbone) is indeed pointing towards the imino nitrogen atom. From a chemical point of view, we know that our reactions must, at some point, lead to the addition of two protons on this nitrogen atom, in order to retrieve the starting deprotonated amino-acid. We thus looked if a direct 1,3 protonation from the hydroxyl to the imine was possible. As shown on Figure 4.3.2, we indeed manage to optimise a TS structure for such a 1,3 proton transfer, displaying a four centres core. The deduced IRC curve here shows a more usual aspect, and product P2 has the same free energy as P1 (computed difference of only 0.02 kcal/mol). The energy barrier for this process is much lower than previously, ca. 17.4 kcal/mol, and thus quite feasible at room temperature. Figure 4.3.1: Structures of the reagent, transition state and product for the first reaction step, and corresponding IRC curve. The six centres intermediate sub-structure is highlighted in green. Figure 4.3.2: Structures of the reagent, transition state and product for the second reaction step, and corresponding IRC curve. The four centres intermediate sub-structure is highlighted in green. Third step: another prototropy. In order to complete our reaction, as we said we need to add another proton on the nitrogen. It is rather plain in the structure of product P2 that no acidic proton is found in the vicinity of the N atom. However, a water molecule is found near the deprotonated alcohol group, and the latter seems to interact with one of its proton (distance of 1.48 Å). We thus wondered if the alkoxy group could be protonated once again and be used to transfer an additional proton on the nitrogen. A TS structure could here also be optimised (though it proved a bit more difficult to find), and is represented on Figure 4.3.3. As one can remark, we retrieve here also a six-centres core, the water molecule being used once again as a proton channel. Interestingly, we thus deprotonate the central carbon of the ligand, rather than the water molecule. The free energy barrier for this process is 9.5 kcal/mol, and noticeably product P3 is more stable than reagent R3 (-12 kcal/mol), but still less stable than the starting reagent (+20 kcal/mol).\footnote{Note that, on Figure 4.3.3, the IRC coordinate axis is inverted. This is not a mistake, but is due to the fact that there is no way to precise in which direction the reaction should be unfolded, and as such the program somehow picks the direction at random.} \begin{figure}[h] \centering \includegraphics[width=\textwidth]{image.png} \caption{Structures of the reagent, transition state and product for the third reaction step, and corresponding IRC curve. The six centres intermediate sub-structure is highlighted in green.} \end{figure} Fourth step: intramolecular metathesis. From product P3, there is no simple way to transfer a proton to the nitrogen: any approach of an acidic proton is prevented by the presence of the first transferred H atom on this group, which is quite rigidly oriented because of the coordination with copper. We thus looked for a reaction path that would decoordinate this nitrogen and make the second protonation more probable. Starting from the geometry of P3, a possibility would rely on an intramolecular metathesis: in the vicinity of this coordination position, we indeed also have an alcohol group, which can coordinate too. We thus searched a TS for this metathesis (depicted on Scheme 4.3.3), and found one. Its geometry is depicted on Figure 4.3.4. \begin{scheme}[h] \centering \includegraphics[width=0.5\textwidth]{image.png} \caption{Simplified representation of the searched fourth reaction path.} \end{scheme} Here again, the free energy barrier is quite low (24.2 kcal/mol), and the P4 product is found to be less stable than P3 (+13.6 kcal/mol).\textsuperscript{(xiv)} \begin{figure}[h] \centering \includegraphics[width=\textwidth]{image.png} \caption{Structures of the reagent, transition state and product for the fourth reaction step, and corresponding IRC curve. The six centres intermediate sub-structure is highlighted in green.} \end{figure} Final step: prototropy and rearrangement. From product P4, we can then quite straightforwardly see how to proceed in order to transfer a second proton on the nitrogen atom: the alcohol group is indeed now well positioned to interact with the amine group, and the proton transfer should be quite easy. We thus looked for a reaction path that would allow to perform directly this proton transfer (with a four-centre structure). We represent on Figure 4.3.5 the obtained R5, TS5 and P5 geometries. In this case also, the energy barrier is not high (25.5 kcal/mol), and more importantly the reaction in that case is found to be exothermic (-33 kcal/mol). Actually, product P5 has a slightly lower free energy than the initial reagent (-2 kcal/mol).\textsuperscript{(xv)} Furthermore, we can see that this product corresponds to the expected products of hydrolysis: we indeed retrieve the starting amino acid (in the carboxylate form) and the acetylacetonate moiety, coordinating the Cu(II) ion. Long story short. We represent on Scheme 4.3.4 the total free energy profile for our reaction. The weak exothermicity suggests the degradation should indeed take place in a sensible manner, as it is thermodynamically slightly favoured. Actually, the thermodynamic stabilisation of degradation is largely underestimated in this approach, as the aminoacid complexes of copper (and the potassium salts, also) are sparingly soluble in methanol. \textsuperscript{(xiv)}In that case, the IRC curve seem to show an opposite tendency, but it only displays the electronic energy and not the free energy (with thermodynamic corrections). \textsuperscript{(xv)}Note that here, optimisation after the IRC calculation proves to be very important. Following the reaction coordinate defining our TS does not indeed allow to retrieve product P5, since the C-N bond is not fully broken yet (distance of 1.72 Å). On the point of view of kinetics, the first energy barrier is of course too high to allow the reaction to actually take place in solution. The other energy barriers on the other hand are acceptable, being sufficiently high to prevent the reaction to occur too quickly at room temperature, in good agreement with experimental evidences: the complexes do not decompose at once, but slowly and during the recrystallisation process. We thus turned ourselves to the higher level modelling, namely at the $\omega$B97xD/6-311++G(d) + SDD level. The results are presented hereafter. Scheme 4.3.4: Complete energy profile for the hydrolysis reaction of $[\text{Cu}^{\text{II}}\text{L}_1(\text{H}_2\text{O})]$ in methanol, with four explicit water molecules, at the B3LYP/D95V/LanL2DZ level. 4.3.2 Refining with $\omega$B97xD. First step: protonation of the ligand. In this case too, the optimised structure in solution presents a marked H-bond between a water molecule and the central carbon atom, and thus we searched a transition state corresponding to this protonation. Starting from TS1 structure, we are unable to locate a transition state. However, we manage to optimise one, which interestingly corresponds only to the protonation (and not to a protonation + nucleophilic attack on the hydroxide). We represent the optimised geometry on Figure 4.3.6, as well as the reagent (R1$\omega$) and product (P1$\omega$) structures. ![Figure 4.3.6](image) Figure 4.3.6: Structures of the reagent, transition state and product for the first reaction step, calculated at the $\omega$B97xD/6-311++G(d)/SDD level. The six centres intermediate sub-structure is highlighted in green. As one can notice, TS1$\omega$ involves a six-centres structure, and the overall proton transfer is achieved between the coordinated water molecule and the carbon (the initially H-bonded water molecule serving only as a proton channel). The free energy barrier for this process is only 22.7 kcal/mol, and P1$\omega$ is found 13.0 kcal/mol above the initial reagent. Note that in this case, IRC calculations proved to be very tricky, and inevitably crash after a few points on both directions. We thus directly optimised the reagent and product structures, and as such cannot provide IRC curves. Second step: second prototropy and nucleophilic attack. In the previous reaction path, protonation of the central carbon was immediately followed by a nucleophilic attack of OH$^-$ on the imino carbon. Here, the reaction does not follow immediately, and the product of the first step is not in an appropriate geometry to allow this: the hydroxide ligand is indeed in trans position with respect to the nitrogen, and a water molecule is located on the axial coordination position (thus blocking any hydroxide displacement). Nevertheless, a proton transfer between this water molecule and the coordinated hydroxide ![Figure 4.3.7](image) Figure 4.3.7: Structures of the reagent, transition state and product for the second reaction step, calculated at the $\omega$B97xD/6-311++G(d)/SDD level. The five centres intermediate sub-structure is highlighted in green. could possibly allow the nucleophilic attack, and thus we looked for the corresponding transition state TS2ω. We represent on Figure 4.3.7 the geometries for this TS and the corresponding product and reagent structures. In that case too, IRC calculations proved unsuccessful, and we had to fully optimise the geometries. As one may note, here again we observe a two-steps phenomenon, with a first proton transfer between the coordinated hydroxide and the water molecule, followed by the nucleophilic attack of the resulting OH⁻ on the enamine group. The activation energy for this process is also rather low, e.g. 20.8 kcal/mol, and after optimisation product P2ω is found lying 11.0 kcal/mol below P1ω. Third step: nitrogen protonation. Basing on our previous results, we would expect the next step to consist in a proton transfer from the hydroxyl group towards the nitrogen atom, though we apparently do not retrieve the former H-bond between hydroxyl and nitrogen. Nevertheless, scanning the N-H distance$^{(xvi)}$ permitted to isolate a TS for this prototropy. In this case, IRC calculations were quite complicated, crashing within a few steps, and we thus had to directly optimise both reagent (R3ω) and product (P3ω) geometries. The corresponding structures are provided on Figure 4.3.8. As one can notice, we retrieve a four-centres intermediate species, as was observed at the B3LYP level. Here also, the activation energy is rather modest, ca. 22.6 kcal/mol, and product P3ω is found 0.7 kcal/mol above reagent R3ω and 2.9 kcal/mol above the initial reagent R1ω. However, a striking difference with the B3LYP calculations must be noted: in the geometry of P3ω, no water molecule is found in the vicinity of the "deprotonated hydroxyl group". As such, we cannot follow the same reaction scheme from this point, as the following step in B3LYP was a proton transfer from a water molecule to this oxygen – a proton that was afterwards transferred to the nitrogen atom, leading to the breaking of the C-N bond. ![Figure 4.3.8](image) Figure 4.3.8: Structures of the reagent, transition state and product for the third reaction step, calculated at the ωB97xD/6-311++G(d)/SDD level. The four centres intermediate sub-structure is highlighted in green. Fourth step: second nitrogen protonation. Nevertheless, as careful inspection of the molecular structure of P3ω reveals the presence of an acidic proton in the vicinity of the protonated imino group. Indeed, because of the different reactions, the ligand backbone started to fold, and one of the protons on the initially protonated carbon is now pointing toward the nitrogen atom, and is found a 2.66 Å from it, as pictured on Figure 4.3.9. We thus considered the possibility of a direct proton transfer from the carbon atom to the nitrogen, and first performed a relaxed geometry scan on the N-H distance. The result of this scan is provided on Figure 4.3.10. $^{(xvi)}$Using the relaxed scan in Gaussian 09. A cusp is clearly observed on this curve, at a N-H distance of 2.55 Å, suggesting that a transition state may be found on the potential energy surface close to this point. We can notice that the relative energy of this point is rather high (ca. 38.0 kcal/mol), but it does not imply the potential energy barrier will be large. Indeed, it is only a rough estimate of the electronic energy of the TS, and does not take into account thermodynamic corrections. We thus tried to optimise a TS structure starting from this point, but the only structure we found for the moment does not permit to retrieve product P3ω as a starting reagent. As one can see on Figure 4.3.11, in this TS the C-N bond is indeed already broken, and the H atom is found lying exactly in between the central carbon atom and the nitrogen. Actually, this TS corresponds to an intermolecular prototropy between the two expected products of reaction (acetylacetonate and alanine), rather than the expected intramolecular prototropy. We are thus still working on this TS structure, but as one can note from Figure 4.3.10 protonation of the nitrogen is accompanied by a large electronic energy stabilisation (ca. 20.0 kcal/mol). The corresponding reaction will thus very likely be thermodynamically favoured. Actually, a free geometry optimisation starting from the minimum of the scan curve – represented on Figure 4.3.12 – yields a total stabilisation of 28.2 kcal/mol with respect to P3ω, and thus of 25.3 kcal/mol with respect to R1ω. The overall reaction is then indeed strongly favoured from the viewpoint of thermodynamics. Summary We report on Scheme 4.3.5 the resulting energy profile for our reaction at the ωB97xD/6-311++G(d)/SDD level. The overall exothermicity suggests the hydrolysis reaction should indeed take place, and provided that the last energy barrier is not too high, the reaction should also be quite favoured from the viewpoint of kinetics. As expected, dispersion interactions have a major impact on our reaction: energy barriers are systematically lower compared to the ones we obtained with B3LYP, but the reaction path is also quite different. For instance, the first reaction step in B3LYP (protonation of the central carbon and hydroxylation of the enamine carbon) can be decomposed into two steps with $\omega$B97xD. The last step also seems to be slightly different, because the starting reagent geometries in $\omega$B97xD and B3LYP do not match. Nevertheless, both computational methods point to the same final hydrolysis products, and also to the overall feasibility of the process. In our experiments, we thus very likely witness a competition between two processes: on one hand, the evaporation of the solvent and the crystallisation of the desired complexes, and on the other hand the degradation of the mononuclear complexes in solution because of water. Performing the synthesis in rigorously anhydrous conditions should allow to isolate only the desired compounds. Corresponding experiments are planned in the near future. ### 4.4 Magnetic properties As we mentioned in the introduction of this chapter, we synthesised complexes 4.1 and 4.2 noteworthy since they may display interesting magnetic properties, among which is spin frustration. We thus performed static magnetic measurements on these compounds, which we present in the following subsections. Nevertheless, in the course of our syntheses, we also isolated coordination polymers 4.3 and 4.4, and we also studied their magnetic properties. #### 4.4.1 Coordination polymers 4.3 and 4.4 Let us then first consider coordination polymers 4.3 and 4.4. As we formerly saw, their structures are very similar, and noteworthy they present very close bridging patterns, which seem fitted to promote a strong antiferromagnetic coupling. As such, we said we could expect these complexes to present a 1D order, behaving as monodimensional antiferromagnets.$^{64}$ We present on Figure 4.4.1 the thermal evolution of susceptibility for these two compounds. Both curves present very similar aspects, with a slow increase from room temperature to intermediate temperatures, a local maximum at 80(5) K for 4.3 and 100(5) K for 4.4, and a marked increase at very low temperature. The two first features are rather characteristic of antiferromagnetic 1D chains, the presence of an antiferromagnetic coupling being furthermore confirmed by the continuous decrease of $\chi_mT$ with temperature for both complexes. The low temperature divergence, on the other hand, is not an expected feature of 1D antiferromagnetic chains. It may be due to a paramagnetic impurity or border effects, as seen in the case of $[\text{Cu(C}_2\text{O}_4)]\cdot1/3\text{H}_2\text{O}$.$^{171}$ In any case, fittings with a spin 1/2 chain model proved unsuccessful here. Anyway, from the location of the maxima of the two curves, we may get an estimate of the coupling parameter, as we expect to have $$\frac{k_B T_{\text{max}}}{\|J\|} = 0.641.$$ (4.1) Here, this leads to $\|J\| = 87(5)$ cm$^{-1}$ for 4.3 and 108(5) cm$^{-1}$ for 4.4: we indeed observe a rather strong antiferromagnetic coupling. Note that the difference in magnetic coupling between both compounds is very marked, despite the similarity of the structures. Actually, from Table B.5 we can see that the bridging pattern in both structure is nearly identical; for instance, the angle between successive Cu(II) ions through the bridging O atom is 128.4(1)$^\circ$ in both cases. However, the coordination sphere around Cu(II) varies slightly from one complex to the other, as evidenced for instance by the Addison parameter (0.10 for 4.3, 0.06 for 4.4), and is a probable cause for the observed difference in the magnetic coupling. We thus retrieve the line of arguments of O. Kahn: subtle changes in the geometry, especially on the bridging part of our complexes, can lead to marked differences in the magnetic behaviour. ### 4.4.2 Trinuclear complexes #### Foreword As we have seen previously, in the crystal structures of both 4.1 and 4.2 there are two crystallographically independent complexes. The magnetic study of both complexes is thus expected to be a quite complicated task, and for the sake of simplicity we decided to focus on 4.2 only. The study of 4.1 will be undertaken in the near future. #### Experimental data Let us now focus on trinuclear complex 4.2. We present on Figure 4.4.2 the temperature dependence of its susceptibility and field dependence at 2 K of its magnetisation. From the $\chi_m T = f(T)$ curve, it is rather plain to see that a weak antiferromagnetic coupling is acting: the $\chi_m T$ product is indeed almost constant between 300 K and 100 K, and drops abruptly below 50 K, to reach 0.31 cm$^3$.K.mol$^{-1}$ at 2 K. The room temperature value, 1.20 cm$^3$.K.mol$^{-1}$, is in the expected range for 3 uncoupled $S = 1/2$ spins with a Landé factor $g \geq 2$, here equal to ca. 2.06. On the other hand, the 2 K value is too low for a single $S = 1/2$ spin (expected value of 0.375 cm$^3$.K.mol$^{-1}$).\textsuperscript{64} Interestingly, such a low 2 K value was not observed in the case of the glycine derivative (0.42 cm$^3$.K.mol$^{-1}$), and we may wonder if it is a sign of anisotropic or antisymmetric (Dzyaloshinski-Moriya) couplings, themselves being signs of frustration or of the relaxation of a frustration.\textsuperscript{156(xvii)} We then tried to fit the magnetic data assuming a unique magnetic coupling between all our three Cu(II) ions (using the Van Vleck formula and equations (2.29) and (2.34), setting all couplings equal to $J$). Doing so, we managed to model quite correctly the \textsuperscript{(xvii)} Yet, such couplings might also have been observed for the glycine derivative, since it is chiral (though the ligand is not). experimental data with an antiferromagnetic coupling $J = -9.1(5)$ cm$^{-1}$ and a Landé constant $g = 2.51(1)$. This last value is rather high for a Cu(II) based complex – one expecting a value much closer to 2.003 – and suggests this fitting is only a mathematical artefact. If we let $g$ take different values in the doublet ($g_D$) and quartet ($g_Q$) states, thus rewriting the Van Vleck equation as $$\chi T = \frac{N_A \mu_B^2}{4k_B} \frac{g_D^2 + 5g_Q^2}{1 + \exp \left( \frac{3J}{2k_B T} \right)} \exp \left( \frac{3J}{2k_B T} \right),$$ we obtain a better agreement with the experimental data and more "physical" values: $g_D = 1.96(3)$, $g_Q = 2.11(1)$, $J = -7.4(2)$ cm$^{-1}$. We can remark that the coupling is here also rather weak. Nevertheless, we know from X-Ray diffraction that our complexes are rather unsymmetrical, and as such the physical meaning of these fittings is rather dubious. Unfortunately, as we showed in Chapter 2 we cannot deduce from our experimental data three different magnetic couplings, as the Van Vleck equation for an asymmetric triangular complex bases only on two energy differences. Theoretical modelling We thus decided to study 4.2 with the tools of theoretical chemistry, in the same spirit as what was previously done in the case of the glycine derivative. Here, we are interested in modelling the lowest energy states of our trinuclear complexes, and more specifically we will focus on the first quadruplet and the two first doublet states. To do so, many different methods have been used in the literature, but three of them appear to be most frequently used: Broken-Symmetry DFT (BS-DFT), DDCI and CASPT2/NEVPT2 calculations. A few words on BS-DFT. As suggested by the name, BS-DFT$^{172-174}$ is based on Density Functional Theory, and is thus a relatively "cheap" method (from a computational point of view). The basic idea beneath it is very simple: one first evaluates the ground state energy for a given spin multiplicity, for instance in our case the quartet state of one of the trimuclear complexes, and computes the associated wavefunction. Then, one spin (for instance on any of our Cu atom) is flipped and the energy of this new (doublet) "state" is computed, without any orbital relaxation nor SCF cycle. The energy difference between the high spin state and this spin-flip state is directly related to the magnetic coupling. Formally, this flipping is equivalent to the reversal of one spin in the MO diagram \textit{ceteris paribus}, and as such the obtained wavefunction is not an eigenfunction of the spin operator $S^2$: it does not respect the symmetry of the Hamiltonian, hence the label BS. BS-DFT calculations have already been successfully applied in the case of trinuclear complexes,\textsuperscript{175–177} noticeably of Cu(II), and we wondered whether they could be used in our case. We got in touch with Dr. Jean-Marie Mouesca (CEA Grenoble), a specialist of BS-DFT calculations, and quickly realised our complexes cannot be efficiently described with this approach. There indeed exists a strong \textit{caveat} in BS-DFT calculations: not only the magnetic orbitals symmetry is broken, but also is the symmetry of the bridge orbitals.\textsuperscript{178} This may result in a potentially non negligible overlap of the magnetic orbitals through the bridge, which should be orthogonal for the calculations to make sense. In our case, the bridging ligand is very small (monoatomic connexion), and thus a strong overlap is likely to occur, preventing the use of BS-DFT. \textbf{Multireference modelling.} We then turned ourselves to wavefunction based-methods, and we first considered DDCI calculations,\textsuperscript{24,26} which we performed in collaboration with Dr. Marie-Bernadette Lepetit (Institut Néel, Grenoble). As we mentioned in Chapter 2, DDCI calculations are based on a CI expansion of CASSCF wavefunctions for different spin multiplicities, in which most of the excitations are not explicitly treated as they are redundant in the different spin states. Overall, three classes of excitations only are considered in DDCI calculations: - mono-excitations: LMCT, \textit{i.e.} excitations from the inactive space to the active space (labelled $1h$), MLCT (from the active space to virtual orbitals, labelled $1p$), and direct inactive to virtual excitations ($1p - 1h$); - di-excitations: double excitations from the inactive space towards the active space ($2h$), or from the active space towards the virtual orbitals ($2p$); - tri-excitations: coupling of $1p - 1h$ excitations with LMCT ($1p - 2h$) or MLCT ($2p - 1h$); and further simplifications also exist: DDCI-1 (which only incorporates the mono-exitations) and DDCI-2 (which incorporates mono- and di-excitations). Here, as was previously done in the case of the glycine derivative, we considered the successive levels of approximation. This comes from two reasons: first, this allows to get information on the different mechanisms acting beneath the magnetic couplings in our trinuclear complexes.\textsuperscript{179} Second, our complexes are huge systems, and the highest level calculations could simply be unaffordable because of the high computational cost.\textsuperscript{(xviii)} For this reason, we also considered NEVPT2 calculations,\textsuperscript{22} which are known to be much less computationally demanding, and proved to be rather efficient in the modelling of magnetic couplings. They indeed involve formally similar excitations as the DDCI-3 calculation, however it is known that they tend to miss higher order effects which are included in the DDCI procedure, and thus may underestimate the magnetic couplings.\textsuperscript{25,180} In any case, we did not model the whole crystal asymmetric unit at once, but considered each complex separately. For both of them, the same chain of calculations was applied: first, we converged the unrestricted Hartree-Fock wavefunction for the quartet state. This UHF wavefunction was used as an input for a restricted-open shell calculation, which was itself used as a starting point for a CASSCF calculation. Here, our active space will consist in the three highest orbitals, occupied by three electrons (the 3 $d_{x^2-y^2}$ orbitals \textsuperscript{(xviii)}Actually, several crashes on the laboratory cluster led us to this conclusion... one would expect in a crystal-field approach). Finally, the CASSCF wfunction was used as a starting point either for a DDCI-n or SA-CASSCF/NEVPT2 calculation.\textsuperscript{(xix)} All computations were made using ORCA 3.0, and both DDCI-n and NEVPT2 calculations were performed at the CINES. All elements were modelled using a triple-zeta quality basis set with polarisation (TZVP),\textsuperscript{165} and core electrons of the Cu atoms were replaced by Stuttgart-Dresden pseudopotentials (ECP10MDF).\textsuperscript{168} In the case of the DDCI-n and NEVPT2 calculations, RI approximation was employed and, correspondingly, the auxiliary TZV/C basis set was used. In order to give an idea of the complexity of the system, we may simply say that we deal here with 1006 basis functions... Let us first focus on the CASSCF results. We represent on Figure 4.4.3 the optimised active orbitals for one complex. As one can note, the MOs all involve the three Cu(II) ions, as well as the central hydroxo bridge. The metal contributions are very reminiscent of $d_{x^2-y^2}$ AOs, as expected from crystal field theory; we may thus expect our different descriptions to bear some physical meaning. \begin{figure}[h] \centering \includegraphics[width=\textwidth]{image.png} \caption{Representation of the active space for one complex in the asymmetric unit of \textbf{4.2}, as computed at the CASSCF level. The same orientation is given for the three MOs, and for the sake of clarity all heavy atoms but Cu are depicted in gray.} \end{figure} At the SA-CASSCF level of theory, a total ferromagnetic coupling is seen, as evidenced by the stabilisation of the quartet state over the doublets. Nevertheless, the energy splitting is very small: 9.6 cm$^{-1}$ between the quartet and the first doublet (8.3 cm$^{-1}$ for the second complex in the asymmetric unit), 12.8 cm$^{-1}$ between the quartet and the second doublet (respectively 13.1 cm$^{-1}$). As such, already at the SA-CASSCF level we are able to reproduce the low magnitude of the magnetic exchange, if not its sign. At the RI-DDCI-1 level, the calculations converge without any difficulty, since the number of Configuration State Functions (excitations) is low, e.g. 8594. Nevertheless, the correction on the energies differences is quite moderate, not to say negligible: only -0.7 cm$^{-1}$ for the first doublet, and -0.5 cm$^{-1}$ for the second. This tends to suggest that, in our case, single excitations do not contribute significantly to the antiferromagnetic exchange. Interestingly, the energy differences are quite close to those obtained in the case of the glycine analogue (+7.0 cm$^{-1}$ and +14.0 cm$^{-1}$, respectively), which suggests that maybe the same line of argument already held for this compound. At the RI-DDCI-2 level, things are much more complex, as the number of CSF explodes: 3824070 CSF per complex! Several tests were performed at the CINES, but even one \textsuperscript{(xix)}Note that we employed state-specific orbitals for the NEVPT2 calculations. hundred and twenty hours of computation on one hundred and sixty eight cores (20160 CPU hours!) did not allow the first iteration to finish. Among all these CSF, some may not be relevant for our system: excitations from C-H bonds for instance should not contribute significantly to the magnetic coupling. We may thus consider suppressing some excitations from our CI space, in order to alleviate the computational effort. However, selecting them by hand would be a tremendous task (as there are 1006 orbitals to consider). Furthermore, ORCA does not permit to do this for the moment, as it only allows to select excitations within a MO energy window. Still, using this energy window selection we may already simplify a bit our CI space: MOs 5 to 37 (occupied) and 953 to 1005 (virtual) indeed involve only non-coordinating atoms. We could thus select only MOs 37 to 953 in the CI procedure (saving eighty-nine MOs), the correction from the four first MOs being most presumably negligible.\footnote{Indeed, the corrections to the energy difference at the DDCI-2 level evolve as $1/\Delta E \Delta E'$, where $\Delta E$ and $\Delta E'$ are the $2h$ or $2p$ excitation energies. In the case of the four lowest MOs, these energy difference should be very high, thus rendering the correction very small.} Doing so, the number of CSF reduces slightly (moving to 3635542), which is seemingly not enough for the calculation to proceed. We could crop a little more the CI space, but we would not be able then to evaluate the relevance of the computed energies. As such, DDCI calculations for our system seem to be out of reach for the moment. At the RI-NEVPT2 level on the other hand, no convergence problem is seen. The correction on the energy differences is much more marked than what was seen at the DDCI-1 level: the first doublet is now only 2.8 cm$^{-1}$ above the quartet state, and the second one is found at +8.1 cm$^{-1}$. Overall, the second-order corrections thus enhance the antiferromagnetic character of the coupling, as was observed in the case of the glycine analogue. More information can be gained from a comparison of the energy corrections in the quartet (Q1) and doublet (D1 and D2) states. The results are summed up in Table 4.2. \textbf{Table 4.2:} Detail of the NEVPT2 energy corrections for doublets states D1 ($\Delta_1$) and D2 ($\Delta_2$), with respect to the quartet state corrections (values in cm$^{-1}$), based on a CAS(3,3) reference wavefunction. Notation: $V_{ab}^{rs,[0]}$, excitation from two inactive orbitals $a,b$ towards two virtuals orbitals $r,s$; $V_{ai}^{rs,[-1]}$, inactive-virtual and active-virtual excitation; $V_{ab}^{is,[1]}$, inactive-active and inactive-virtual excitation; $V_{ij}^{rj,[2]}$, double inactive-active excitation; $V_{ij}^{rs,[-2]}$, double active-virtual excitation; $V_{ai}^{rj,[0]}$, inactive-virtual and active-active excitation; $V_{ij}^{rj,[-1]}$, active-virtual and active-active excitation; $V_{ai}^{ik, [+1]}$, inactive-active and active-active excitation. The DDCI equivalent notation is also given. \| Excitations \| "DDCI equivalent" \| $\Delta_1$ \| $\Delta_2$ \| \|-------------\|-------------------\|------------\|------------\| \| $V_{ab}^{rs,[0]}$ \| $2h - 2p$ \| -0.4 \| -0.3 \| \| $V_{ai}^{rs,[-1]}$ \| $1h - 2p$ \| 2.0 \| 1.3 \| \| $V_{ab}^{is,[+1]}$ \| $2h - 1p$ \| -3.5 \| -2.8 \| \| $V_{ij}^{rj,[+2]}$ \| $2h$ \| -3.3 \| -3.4 \| \| $V_{ij}^{rs,[-2]}$ \| $2p$ \| -1.2 \| -1.2 \| \| $V_{ai}^{rj,[0]}$ \| $1h - 1p$ \| 0.0 \| 2.2 \| \| $V_{ij}^{rk,[-1]}$ \| $1p$ \| -0.5 \| -0.4 \| \| $V_{ai}^{ik, [+1]}$ \| $1h$ \| -0.1 \| -0.1 \| First of all, we may note the similar and low impact of the double inactive-virtual excitations $V_{ab}^{rs,[0]}$ on the energy differences. In the DDCI scheme, these excitations are not explicitly computed as they are expected to be provide the same energy variation on every spin state, thus simply shifting the energy levels without changing their relative separations.\textsuperscript{180} Here, the value is not exactly zero as we employ different sets of orbitals for each state (canonical orbitals for the NEVPT2 calculations). Second, we may note that for both D1 and D2 the essentials of the antiferromagnetic contribution stem from three excitations, which are akin to the DDCI $2h$, $2p$ and $2h-1p$ excitations. Interestingly, in the case of dinuclear Cu(II) complexes it has been observed that $2h$ and $2p$ contributions are antiferromagnetic but weaker than the other ones.\textsuperscript{25} This is obviously not the case here. Another interesting thing is the opposite sign of the $2h-1p$ and $1h-2p$ contributions, which is in good agreement with previously published studies.\textsuperscript{180} Finally, as one can note for doublet D1 the $V_{ai}^{rj,[0]}$, $V_{ij}^{rk,[-1]}$ and $V_{aj}^{ik, [+1]}$ excitations only have a small stabilising effect. This is very interesting, since these excitations correspond to the ones that are evaluated at the DDCI-1 level, where a very weak stabilisation of the doublets was observed. On the other hand, for doublet D2 the $V_{ai}^{rj,[0]}$ ("$1h-1p$") component is more marked, with a positive value (ferromagnetic action). This was not expected, as at the DDCI-1 level the overall correction for both doublet states is very similar. Nevertheless, we need to remind that these two types of calculations are not based on the same reference wavefunction, and as such direct comparison is tricky. Furthermore, we know higher order effects are neglected in the NEVPT2 formulation, which are not in the DDCI calculations, and as such the weights of the ionic determinants in D2 are possibly underestimated. According to Malrieu,\textsuperscript{25} this mechanically reduces the antiferromagnetic (stabilising) contributions in this state, and thus may yield a total ferromagnetic behaviour. In his 2002 publication, he offers a possibility to overcome this difficulty: "enlarging the CAS to include in this way part of the higher order effects". We thus enlarged the active space, including the three lowest doubly occupied MOs (CAS(9,6)SCF). At the SA-CASSCF level, the energy differences remain exactly the same, which is rather logical from the composition of the CAS wavefunctions. They indeed merely develop on the determinants where these MOs are doubly occupied, as such they behave mostly as "inactive" orbitals. At the NEVTP2 level on the other hand, results are more interesting. Both doublets are indeed found at lower energies: +2.3 cm$^{-1}$ for D1; +7.6 cm$^{-1}$ for D2. Furthermore, we can observe in Table 4.3 that all components but $V_{ai}^{rj,[0]}$ remain rather unchanged, for both doublets. Most of the stabilisation thus stems from these $1h-1p$ like contributions, which tends to suggest that indeed the weights of the ionic determinants in D2 were underestimated, but also in D1. We then wondered how we could further increase the active space, without making the computational effort too high. According to Malrieu, higher order effects are especially missed when the ligands are polarisable.\textsuperscript{(xxi)} Incidentally, this statement hints a way to rationally enlarge the active space: as we already mentioned in Chapter 3, polarisability and reactivity are close concepts, and we know reactivity can be described at first order using the frontier MOs.\textsuperscript{40} Here, we could thus include in the active space orbitals corresponding to the frontier MOs of L$_1^{2-}$. Actually, in the previous CAS(9,6) calculation, the three additional (nearly inactive) orbitals involved only two of the ligands, two of these MOs corresponding to the expected $\pi$-like HOMO, and the third one being a combination of a $\pi$ contribution on the enaminone part of a ligand and a $\sigma^$ contribution on its carboxylate group. In this configuration, the highest inactive orbital proved to be the expected third ligand-based HOMO, and thus \textsuperscript{(xxi)}From the DD computation on ligand L$_1^{2-}$, we may indeed expect the latter to be quite polarisable. Table 4.3: Detail of the NEVPT2 energy corrections for doublets states D1 and D2, with respect to the quartet state corrections (values in cm$^{-1}$), based on a CAS(9,6) reference wavefunction. Same notations as in Table 4.2. \| Excitations \| "DDCI equivalent" \| $\Delta_1$ \| $\Delta_2$ \| \|-------------\|-------------------\|------------\|------------\| \| $V_{ab}^{rs,[0]}$ \| $2h - 2p$ \| -0.4 \| -0.3 \| \| $V_{ai}^{rs,[-1]}$ \| $1h - 2p$ \| 1.9 \| 1.3 \| \| $V_{ab}^{rs,[+1]}$ \| $2h - 1p$ \| -3.3 \| -2.7 \| \| $V_{ij}^{rs,[+2]}$ \| $2h$ \| -3.3 \| -3.3 \| \| $V_{ij}^{rs,[-2]}$ \| $2p$ \| -1.2 \| -1.2 \| \| $V_{ai}^{rj,[0]}$ \| $1h - 1p$ \| -0.6 \| 1.5 \| \| $V_{ij}^{rk,[-1]}$ \| $1p$ \| -0.5 \| -0.4 \| \| $V_{aj}^{rk,[+1]}$ \| $1h$ \| -0.1 \| 0.0 \| Table 4.4: Detail of the NEVPT2 energy corrections for doublets states D1 and D2, with respect to the quartet state corrections (values in cm$^{-1}$), based on a CAS(11,7) reference wavefunction for the second trinuclear complex. Same notations as in Table 4.2. \| Excitations \| "DDCI equivalent" \| $\Delta_1$ \| $\Delta_2$ \| \|-------------\|-------------------\|------------\|------------\| \| $V_{ab}^{rs,[0]}$ \| $2h - 2p$ \| -0.5 \| -0.4 \| \| $V_{ai}^{rs,[-1]}$ \| $1h - 2p$ \| 2.8 \| 1.4 \| \| $V_{ab}^{rs,[+1]}$ \| $2h - 1p$ \| -4.6 \| -2.9 \| \| $V_{ij}^{rs,[+2]}$ \| $2h$ \| -3.6 \| -3.5 \| \| $V_{ij}^{rs,[-2]}$ \| $2p$ \| -1.2 \| -1.2 \| \| $V_{ai}^{rj,[0]}$ \| $1h - 1p$ \| -2.8 \| 0.9 \| \| $V_{ij}^{rk,[-1]}$ \| $1p$ \| -0.7 \| -0.5 \| \| $V_{aj}^{rk,[+1]}$ \| $1h$ \| -0.3 \| 0.2 \| was included in the active space of a supplementary SA-CAS(11,7)/NEVPT2 calculation. As a result, the lowest doublet state shows a further stabilisation, being found only +2.0 cm$^{-1}$ above the ground quartet state. D2 on the other hand is found at the same energy, and overall the contributions from each excitation class remain rather constant. Interestingly, for the other complex in the unit cell an antiferromagnetic behaviour is already retrieved at the SA-CAS(11,7)/NEVPT2 level: doublet D1 is found to be the ground state, Q1 is found 2.6 cm$^{-1}$ above the latter and doublet D2 is found at +9.3 cm$^{-1}$. Such a difference of behaviour is remarkable because of the strong similarities these two complexes presented at the SA-CASSCF level. This is quite in line with Kahn’s findings: subtle structural effects lead to marked changes in the magnetic properties. We report in Table 4.4 the different relative NEVPT2 corrections for doublets D1 and D2. As one may note, the total correction is principally piloted by the same contributions as those involved for the first trinuclear complex. We may however notice that values for D1 are markedly more negative, which results in the observed antiferromagnetic character. Nevertheless, these results are not sufficient to reproduce the $\chi T = f(T)$ curves, as an overall slightly ferromagnetic behaviour is observed. Further extension of the active spaces to include the ligands-based LUMOs (CAS(11,10)) were attempted but proved for the moment rather unsuccessful, convergence of the CASSCF wavefunctions being very problematic in these case (close to zero occupations). Nevertheless, we seem to be on the right direction, with a global tendency towards antiferromagnetism. Further efforts will then be devoted to converge the CAS(11,10) calculation (with inclusion of the LUMOs) in the very close future. Note also that the ill reproduction of the experimental curves may also be due to orientations effects. The two trimuclear complexes in the lattice indeed display different relative orientations, and their magnetic moments may thus somehow cancel out. However, this would imply an Ising (non Heisenberg)-like behaviour of spins, which is quite unexpected: we indeed do not expect any magnetic anisotropy in this system, and as such the molecular magnetic moments should, at all times, align with the magnetic field. 4.5 Conclusion Through this study, we have seen how computational chemistry could be used as a strong support to experiments. First, DFT calculations were successfully employed to determine unambiguously the structural formula of our ligands in solution. Then, we employed the same kind of approach as in Chapter 3 to rationalise their coordination properties. We thus employed these ligands to synthesise coordination complexes with various transition metal cations, and in the case of Cu(II) we were able to characterise four crystal structures (two coordination polymers and two trimuclear complexes). We were also able in that case to elicit the structures in solution, through a series of spectroscopic characterisations and DFT calculations. We also tentatively rationalised the reactivity of these species, using DFT calculations at two different levels of theory. We could show that there may be a competition between the crystallisation of our complexes and their degradation by water. Indeed, a reaction mechanism for hydrolysis could be computed, and in both cases the hydrolysis products are more stable than the starting reagents, thus rendering the reaction thermodynamically favourable. Inclusion of dispersion in our theoretical model proved critical here, lowering considerably the energy barriers for the different elementary steps of reaction – and in some cases, modifying the steps themselves –. For the moment, the last transition state structure could not be optimised, but calculations are still undertaken to correct this. Finally, we studied the magnetic properties of the crystalline compounds, and in the case of the trimuclear complexes employed high level $ab$ $initio$ calculations to gain a better understanding on these systems. They indeed display a weak antiferromagnetism, and we wondered whether magnetic frustration could be observed. In agreement with the previously published results on the glycine-based analogue, the lower levels of theory do not permit to retrieve the experimental magnetic properties: almost no variation is observed between the SA-CASSCF and DDCI-1 levels, which both yield a ferromagnetic coupling. The DDCI-2 level of theory is merely unaffordable in our case, the system being way too large. This lead us to consider a different theoretical approach, based on perturbation theory, namely NEVPT2 calculations. They indeed formally contain all the excitations involved in the DDCI-3 formalism, but at a reduced computational cost, and could thus be employed here. At this level of theory, a much better description is obtained, especially when the active space is enlarged to include ligands polarisation effects: at the CAS(11,7)/NEVPT2 level, we indeed retrieve a very small energy gap between the first doublet and the ground quadruplet for one of our complexes, while for the second one an antiferromagnetic behaviour is even seen. Though these results do not allow, for the moment, to reproduce correctly the magnetic properties of our complexes, they are very encouraging and suggest a further enlargement of the active space might be sufficient to get a sound description of our system. These calculations are currently considered, but marked convergence issues hamper their realisation for the moment. In a concluding remark, these results seem to comfort the fact that NEVPT2 calculations are adapted to the modelling of weak magnetic couplings, as previously stated. This is very interesting, since in the past years NEVPT2 calculations were quite overlooked on this topic, DDCI methods being generally preferred – but being not always applicable, because of the size of the systems under study –. We thus hope our study may encourage others to use such calculations. Chapter 5 Lanthanide-based mononuclear complexes: experimental and theoretical studies of single molecule magnets In Chapter 3, we introduced the basics of molecular magnetism, and noticeably we presented Single Molecule Magnets. These compounds have attracted a large interest in research due to the slow relaxation of magnetisation they present at the single molecule scale, which is up to date not completely mastered. Indeed, though the different mechanisms behind magnetic relaxation are known, we still do not know how to finely control them. In this context, we propose here to study the magnetisation dynamics of some very simple lanthanide complexes. The first section deals with a thorough study of the $[LnTp_2NO_3]$ family, which present a rather exceptional dynamics. The second section, more preliminary, shows how we may rather straightforwardly extend this family of complexes through adequate modifications in the synthetic process. The first results on the "new" complexes suggest more efficient and/or more exotic SMMs are at reach. 5.1 Study of $[LnTp_2NO_3]$, a family of mononuclear complexes 5.1.1 Syntheses and crystal structures The $[LnTp_2NO_3]$ complexes ($Ln = Dy$ (5.1), $Ho$ (5.2), $Er$ (5.3), $Yb$ (5.4) and $Y$ (5.5)) were obtained through a very simple synthetic procedure: a simple mixture of two methanolic solutions of a rare earth nitrate $Ln(NO_3)_3 \cdot xH_2O$ ($x = 5$ or 6) and KTp (potassium hydrotrispyrazolylborate)$^{181}$ affords the complexes at relatively high yields (see Appendix A.2.2 for the synthetic details). Their crystal structures are presented on Figure 5.1.1. They all crystallise in the monoclinic $P2_1/c$ space group, and their single crystals always present the same shape (elongated platelet). Crystallographic data is gathered in Table B.8 in Appendix B.4. The asymmetric unit consists of a mononuclear complex, with two N,N,N-bound tridentate Tp$^-$ ligands and one O,O-bound bidentate nitrate ligand, coordinated to the central Ln(III) ion. The coordination polyhedron around the Ln(III) ion is highly unsymmetrical (see Table B.6 for more details). It may be described as a distorted square antiprism, with a strong distortion stemming from the biting angle between the nitrate and the Ln(III). This yields a final $C_1$ symmetry. Noteworthy, no $\pi$-stacking nor H-bond are seen in the packing and the lanthanide ions are quite remote from each other. For instance, the shortest Yb(III)-Yb(III) distance is 8.4864(2) Å. Complexes within the unit cell may thus likely be considered isolated. ![Figure 5.1.1: ORTEP drawing of the [LnTp$_2$NO$_3$] complexes 5.1 to 5.5, ellipsoids drawn at 50% probability. Example: [YbTp$_2$NO$_3$] 5.4.](image) Quite interestingly, we did not manage to obtain the same complexes with other lanthanide ions. Attempts with any lanthanide between La and Gd proved unsuccessful, while in the case of Tb we only managed to obtain a few milligrams of [TbTp$_2$NO$_3$] in a single occasion, which furthermore degraded over a recrystallisation attempt. In another occasion, we managed to isolate transient [LnTp$_2$NO$_3$(H$_2$O)] species (Ln = Tb, Gd, La), which also degraded over time and recrystallisation. The crystal structures of the [LnTp$_2$NO$_3$(H$_2$O)] complexes are presented on Figure 5.1.2, and the XRD parameters are displayed in Table B.8. These complexes crystallise in the triclinic $P\bar{1}$ space group, the asymmetric unit consisting of a single complex. ![Figure 5.1.2: Molecular structure of the [LnTp$_2$NO$_3$(H$_2$O)] complexes (Ln=Tb, Gd, La). Example: Tb.](image) The [LnTp$_2$NO$_3$(H$_2$O)] molecular structure is quite reminiscent of that of the [LnTp$_2$NO$_3$] complexes, but with the addition of a coordinating water molecule. In Chapter 3, we claimed that lanthanide ions all presented a similar reactivity, behaving mostly as +3 point charges. Actually, it would be more accurate to state that they act almost as +3 diffuse charges. Indeed, it is known that the ionic radii of the Ln$^{3+}$ ions are strongly decreasing from La$^{3+}$ (1.16 Å in 8-coordination) to Yb$^{3+}$ (0.985 Å): this is the so-called lanthanide contraction.\footnote{To the expected diminution in ionic radius – ionic radii decreasing as one moves to right in the periodic table, for instance $r(\text{Ti}^{2+}) = 0.86$ Å > $r(\text{Zn}^{2+}) = 0.74$ Å – adds a relativistic effects, that over-expresses the reduction.} This contraction leads the early lanthanides to prefer higher coordinences, which permit to stack more ligands in the coordination sphere in order to shield their positive charge. \begin{figure}[h] \centering \includegraphics[width=0.8\textwidth]{electrostatic_potential_map.png} \caption{Electrostatic potential maps for [YTp$_2$NO$_3$], projected on a sphere of 1 Å (top) and 2.4 Å (bottom) of radius, as calculated at the PBE-DKH/TZVP level in ORCA. Colour scale is indicated next to each Figure (in atomic units). Images were build using Gnuplot, and for the sake of simplicity and clarity only the backbone of the ligands was represented in blue lines.} \end{figure} We thought this simple effect could lead the [LnTp$_2$NO$_3$(H$_2$O)] structure to be much more stable for the early lanthanide than the 8-coordinated one. We thus ran a very simple DFT calculation\footnote{PBE-DKH/TZV with a geometry optimisation, using ORCA.} on [YTp$_2$NO$_3$] in order to get a better insight on this. On Figure 5.1.3, we represent the computed molecular electrostatic potential, projected onto a sphere centred around the yttrium cation, with a radius of 1.0 Å and 2.4 Å. From these two images, it is rather clear that the potential on any point of these surfaces is positive, thus electro-attractive. A maximum of potential appears between the coordination position of the nitrate and one Tp$^-$ ligand, and a negative charge or a properly oriented dipole would be quite stabilised on this position. Interestingly, it roughly corresponds to the position the additional water molecule occupies in the [LnTp$_2$NO$_3$(H$_2$O)] complexes, but in the case of the yttrium derivative the coordination sphere is such that this position is obstructed by the Tp$^-$ and nitrate ligands. If now we increase the ionic radius of the lanthanide, the coordination sphere should relax in such a way that the potential hole may become accessible for a supplementary ligand, thus explaining why we rather obtain the $[\text{LnTp}_2\text{NO}_3(\text{H}_2\text{O})]$ structure for the early lanthanides.\footnote{As for the degradation of these complexes, it is maybe due to an hydrolysis of the Tp$^-$ ligands. The water molecule in the $[\text{LnTp}_2\text{NO}_3(\text{H}_2\text{O})]$ structure is indeed quite well located to interact with the borohydride.} 5.1.2 Probing the lanthanide contraction The lanthanide contraction thus seems to have a direct impact on the synthesis of our complexes, and we thought it may be interesting to try to probe it, more or less quantitatively.\footnote{At a global level, this can be achieved quite straightforwardly. Indeed, it rather obvious that there exists a linear relationship between the volume of the crystal lattice and the cube of the ionic radii of the lanthanide (see Figure B.4.2 in Appendix): the larger the radius, the larger the volume.} Raman spectroscopy should, in principle, allow such a study. Quite surprisingly, we only found one literature reference that looked explicitly for the impact of the lanthanide contraction on the Raman spectra,\footnote{We thank Prof. C. Reber for providing us with this reference.} and this further motivated this study. In collaboration with the group of Prof. C. Reber at the University of Montréal, we measured the Raman spectra of complexes \textbf{5.1} to \textbf{5.5}, at both room temperature and 80 K, in the solid state, using a 785 nm laser excitation. The room temperature spectra in the 200 cm$^{-1}$ - 1800 cm$^{-1}$ region are provided on Figure 5.1.4. ![Figure 5.1.4: Room temperature Raman spectra for complexes \textbf{5.1} to \textbf{5.5}. Colour scheme is provided in caption. Excitation ad 785 nm, 10% of laser intensity, 4 accumulations and 10 seconds of exposition.] As one may remark, the spectra are very similar from one complex to another, which could be expected. However, if we zoom we can see that the maxima of several transitions shift depending on the lanthanide. This is the case, for instance, of the transition around 1025 cm$^{-1}$ on Figure 5.1.5. We have thus plotted the Raman shifts of these peaks with respect to the ionic radii of the lanthanide in 8-coordinence,\footnote{The ionic radii of the lanthanides are taken from the data provided by Shannon [182].} and a quite general trend appears, as exemplified on Figure 5.1.6. In all cases, an almost linear relationship is observed. It not clear whether the Raman shift should actually display a linear dependence with the ionic radius of the lanthanide, but the decreasing tendency is quite easy to understand. A larger ionic radius indeed means a smaller charge density (at constant charge), and in turn this means the electrostatic interaction with the ligands is expected to be significantly smaller the higher the radius. Raman peaks are thus expected to shift to the left when moving from Yb to Dy, which is observed. The fact that shifts are not observed for all vibrations is also quite simple to understand: molecular vibrations involving atoms that are far away from the lanthanide (C-H vibrations of the cycles, for instance) should not be much perturbed by its replacement. In turn, large shifts will likely indicate that the vibration involves atoms in the first coordination sphere of the lanthanide. In order to confirm this idea, and also to ease the attribution of the peaks, we performed a DFT modelling of the Raman spectrum of 5.5\textsuperscript{(v)} at the B3LYP-DKH level, choosing 6-311++G(d) as a basis set for all elements\textsuperscript{184} but Y, which was modelled using the def2-TZVP basis set (ORCA). Note that this calculation, though seemingly simple, took about 982 hours to complete on the laboratory cluster (on a 12 cores node)! We present on Figure 5.1.7 the calculated Raman spectrum. As one may notice, a certain degree of agreement between the calculated and experimental curves is obtained, noticeably in the low frequencies region.\textsuperscript{(vi)} On the other hand, larger discrepancies are seen in the intermediate region (1000 - 1500 cm$^{-1}$) of the spectrum, the computed peaks being shifted by up to 80 cm$^{-1}$ with respect to the experimental ones. Actually, we could expect such an energy mismatch\textsuperscript{(vii)} here, as the experimental Raman spectra were recorded on powder samples, whereas the calculations are performed on an isolated molecule in a \textsuperscript{(v)}Being a lighter element, and displaying a closed shell, [YTp$_2$NO$_3$] seemed a much simpler system to study than any other complex in the family. \textsuperscript{(vi)}Here, we will not discuss the relative intensities of the peaks, since it is strongly dependent on both the chosen FWHM and the apparatus sensitivity. \textsuperscript{(vii)}Even on simple systems, more or less marked mismatches are observed.\textsuperscript{184–186} vacuum. We thus miss all the crystal state effects: collective vibrations, electrostatic and dispersion embedding... Nevertheless, despite the energy shift we may expect the "isolated molecule in a vacuum" description to provide relevant information on the vibrations of 5.5 in the solid state, thus helping us to assign the different vibration peaks. Let us focus on the four peaks of Figure 5.1.6. To the first vibration mode, observed at 353 cm$^{-1}$, corresponds a series of intermediate to weak computed vibrations, between 271 cm$^{-1}$ and 339 cm$^{-1}$. These different peaks all correspond to out-of-plane vibrations of the pyrazole groups of the Tp ligands, as exemplified on Figure 5.1.8. To the second vibration mode, centred around 745 cm$^{-1}$, correspond three principal vibrations, computed at 770 cm$^{-1}$, 778 cm$^{-1}$ and 783 cm$^{-1}$. The first one corresponds to a scissoring movement of the nitrate ligand, in good agreement with published data.\textsuperscript{187} The second and third ones, on the other hand, are mainly associated to a rocking movement of the hydride. The third vibration mode, around 1025 cm$^{-1}$, may be associated to a series of vibrations at 1071 cm$^{-1}$, 1082 cm$^{-1}$, 1086 cm$^{-1}$, 1087 cm$^{-1}$ and 1092 cm$^{-1}$, respectively. The four first modes correspond to streching vibrations of the pyrazole rings, characterised by a strong modulation of the coordination bonds Y - N. The last mode, on the other hand, is associated to a symmetric streching of the nitrate ligand, also in good agreement with previously published data.\textsuperscript{188,189} Finally, to the 1214 cm$^{-1}$ experimental peak corresponds four vibrations at ca. 1216 cm$^{-1}$, 1220 cm$^{-1}$, 1232 cm$^{-1}$ and 1248 cm$^{-1}$. The two first modes are associated to a wagging movement of two pyrazole of each Tp$^-$ ligand, while the two last modes are associated to the associated twisting vibration. In summary, the four shifting vibration modes of Figure 5.1.6 seem in any case to involve Figure 5.1.7: Experimental (blue) and calculated (orange) Raman shifts for 5.5, at the B3LYP/6-311++G(d)/def2-TZVP level. For the sake of clarity, the full width at half maximum was set to 1.0 cm$^{-1}$ for the calculated curve. coordination atoms. This correlates very well with our expectations, and gives support to our discussion: there indeed is a non negligible impact of the lanthanide contraction on the Raman spectra of the [LnTp$_2$NO$_3$] complexes. 5.1.3 Luminescence of the [LnTp$_2$NO$_3$] complexes. At first, we synthesised complexes 5.1 to 5.5 for their magnetic properties. However, they also display interesting visible and near-IR luminescence, which can furthermore help to understand the magnetic properties we observed.\textsuperscript{190–198} It is indeed known that lanthanide ions may display a metal-centred luminescence.\textsuperscript{199} Thanks to the efficient shielding of the $4f$ AOs, non-radiative de-excitations are indeed severely reduced and internal $4f \rightarrow 4f$ transitions can be observed. In collaboration with Dr. Olivier Maury and Dr. François Riobé (ENS Lyon), we thus studied the luminescence properties of complexes 5.1 to 5.4 – note that we did not consider the yttrium derivative here, since it is not a lanthanide element and as such may not present any $4f \rightarrow 4f$ transition –. Under a 300 nm excitation\textsuperscript{(viii)}, only the Dy and Yb derivatives 5.1 and 5.4 did display luminescence. We represent on Figure 5.1.9 and 5.1.10 the room temperature and 77 K luminescence spectra for these two complexes. The room temperature spectrum of 5.1 displays two principal series of transitions, at \textit{circa} 475 nm and 575 nm. They correspond to the expected $^4F_{9/2} \rightarrow ^6H_{15/2}$ and $^4F_{9/2} \rightarrow ^6H_{13/2}$ transitions of the Dy$^{3+}$ ion, respectively.\textsuperscript{199} A better resolution is observed at 77 K, yet it is not possible to fully resolve the different transitions. The $^6H_{15/2}$ and $^6H_{13/2}$ states are indeed expected to be splitted in, at most, 8 and 7 Kramers doublets (KD) by the ligand field. One could thus expect to distinguish up to 8 and 7 peaks, respectively, for the two \textsuperscript{(viii)}This corresponds roughly to the wavelength domain where ligands are absorbing. Direct excitation of the lanthanide is indeed expected to be quite inefficient, and it is assumed that generally luminescence occurs \textit{via} an energy transfer from the ligands to the lanthanide – the so-called antenna effect–. transitions. Here, we may only observe 3 peaks and 5 shoulders in the first massive, and 6 peaks in the second one. In the first case, one may try to isolate the 8 peaks through a deconvolution of the spectrum into Gaussian functions. Unfortunately, this procedure is not working here. This could be due to the fact that the emitting $^4F_{9/2}$ state is also expected to be splitted into several (here 5) KD, and it is not clear whether luminescence should originate only from the lowest energy KD. It is indeed known that Kasha’s rule\textsuperscript{200} may not be strictly observed in the case of lanthanide luminescence, and thus assigning the peaks and shoulders in the luminescence spectrum is a fairly complicated task.\textsuperscript{192,193,196} Such a breaking in Kasha’s rule may actually be acting in the case of \textbf{5.4}. The two room temperature peaks, observed at 985 cm$^{-1}$ and 1030 cm$^{-1}$ respectively, indeed resolve into 7 well-defined peaks and a large one – the corresponding wavelengths and wavenumbers are given in Table 5.1 –. However, we would only expect to observe 4 peaks, since they correspond to the $^2F_{5/2} \rightarrow ^2F_{7/2}$ transition, and the ground $^2F_{7/2}$ state should not resolve into more than 4 KD. The fact that the luminescence spectrum does not change when \textbf{5.4} is in solution in CH$_2$Cl$_2$ ensures the doubling does not originate from the existence of two different emitters in the solid state\textsuperscript{(ix)}. The uniqueness of the emitting species is \textsuperscript{(ix)}This hypothesis was proposed since in the $P2_1/c$ space group two non equivalent positions are found in the lattice. As such, even if the molecular structure for these two positions are exactly the same, they also confirmed by the luminescence decay measurements, which fit nicely with a unique monoexponential function $\tau = y_0 + A_0 \exp(-t/\tau_{\text{Yb}})$ with $\tau_{\text{Yb}} = 10(1) \mu s$. Altogether, these facts suggest that we actually observe a luminescent deexcitation from two KD of the excited $^2F_{5/2}$ state towards the 4 KD of the ground $^2F_{7/2}$ state. This hypothesis is supported by the fact that successive transitions are separated by the same energy splitting, of ca. 85(12) cm$^{-1}$. The observed spectrum thus very likely consists of two series of 4 transitions that are simply shifted by 85 cm$^{-1}$. The consistency of the obtained energy diagrams for the ground state, considering either one series or the other, seems to confirm this idea. Ab initio* calculations at the SA-CASPT2$^{(x)}$ level also provide a rather good agreement with this hypothesis, yielding a similar energy diagram and an energy splitting in the $^2F_{5/2}$ state of 71 cm$^{-1}$. Table 5.1: Wavelength and associated transition energies corresponding to the luminescence peaks of 5.4. \| $\lambda$ (nm) \| $\tilde{\nu}$ (cm$^{-1}$) \| \|----------------\|---------------------------\| \| 972.0(5) \| 10288(5) \| \| 979.0(5) \| 10215(5) \| \| 987.0(5) \| 10132(5) \| \| 996(2) \| 10040(20) \| \| 1006.0(5) \| 9940(5) \| \| 1015.0(5) \| 9852(5) \| \| 1022.0(5) \| 9785(5) \| \| 1031.0(5) \| 9699(5) \| ![Figure 5.1.11](image) Figure 5.1.11: Left: luminescence spectra of 5.4 under a 300 nm excitation, at 77K in the solid state (blue) and in a frozen CH$_2$Cl$_2$ solution (red). Right: deduced energy diagrams considering the first (red) or second (green) series of peaks, and calculated (black) at the SA-CASPT2 level. Actually, we can devise an experiment that would confirm or infirm our hypothesis. The relative luminescence intensities between the two series of transitions should indeed obey a Maxwell-Boltzmann distribution, $$\frac{I_2}{I_1} = \exp \left( -\frac{\Delta E_{5/2}}{k_B T} \right)$$ are bathed in potentially different Madelung fields and as such may present slightly different physical properties. $^{(x)}$See below for the computational details. with $I_i$ the intensity of a given transition from the $i$th KD of state $^6F_{5/2}$, and $\Delta E_{5/2}$ the energy difference between the two emitting KD of this state. This could be checked in a survey of the temperature dependence of the luminescence. Unfortunately, the equipment at the moment does not afford such a study – the 77 K spectra were indeed recorded on a powder sample immersed in liquid nitrogen –. It is nevertheless planned in future, a cryostat being installed on the spectrometer at the ENS Lyon.\footnote{This new installation actually raised many questions, noticeably whether it is possible to actually control the temperature of the illuminated sample. First measurements tend to show that, when turning the irradiation on, samples may heat by as much as 25 K!} Anyhow, as can be seen from the energy diagrams in Figure 5.1.11, large energy gaps are expected between the different KD of the $^2F_{7/2}$ state. They may constitute energy barriers for the reversal of magnetisation, thus turning \textbf{5.4} into a potential candidate for a SMM behaviour. ### 5.1.4 Static magnetic properties We thus studied the magnetic properties of complexes \textbf{5.1} to \textbf{5.4}; once again, \textbf{5.5} was not considered since it is expected to be diamagnetic (closed shell). #### Powder measurements ![Figure 5.1.12: $\chi_mT = f(T)$ curves for complexes \textbf{5.1} to \textbf{5.4}, measured on powder samples under a 1000 Oe static field.] The temperature dependence of the $\chi_mT$ product for these complexes is displayed on Figure 5.1.12. In every cases, the $\chi_mT$ product decreases with temperature, and rather slowly at high temperatures. The lanthanide-lanthanide distances in the crystal lattice being quite large – above 8 Å –, we may presume this thermal evolution is primarily controlled by the progressive depopulation of the CF levels. We indeed remind that magnetic coupling in lanthanide complexes is almost always dipolar (weak to negligible orbital overlap), and that such a magnetic coupling decays strongly with distance. Yet, it may be actually acting in the case of the Ho(III) derivative \textbf{5.2}, since the 2 K value of $\chi_mT$ is much smaller (of about 75%) than the room temperature one, and the thermal variations are more pronounced for this complex. Nevertheless, this could also be due to the presence of a non magnetic state lying close in energy to the ground one – if it is not even the ground state –. We believe this last hypothesis to be more probable. Indeed, complexes 5.1 and 5.2 have comparable room temperature $\chi_mT$ values and as such should present similar single-ion magnetisation. They should then display similar dipolar magnetic couplings, whereas they are not expected to present similar CF patterns – Ho(III) being a non Kramers ion, while Dy(III), Er(III) and Yb(III) are –. The room temperature $\chi_mT$ values for all these complexes depart slightly to the ones we would expect in the free ion model.\textsuperscript{64} The discrepancies are very likely related to the inadequacy of this free ion model. For instance, as we have seen from the luminescence measurement, the 4 KD of the ground $^2F_{7/2}$ state of 5.4 are split by more than 500 cm$^{-1}$. As such, we cannot state that the thermal energy at room temperature (207 cm$^{-1}$ at 298 K) is much larger than the CF splitting for this complex, which would be a necessary condition to the application of the free ion model. \begin{table}[h] \centering \caption{$\chi_mT$ values for complexes 5.1 to 5.4, at 2 K and 300 K, in cm$^3$.K.mol$^{-1}$.} \begin{tabular}{l c c c} Complex & $\chi_mT$ at 2 K & $\chi_mT$ at 300 K & Free ion value \\ 5.1 & 8.63 & 13.16 & 14.17 \\ 5.2 & 3.17 & 12.7 & 14.07 \\ 5.3 & 7.74 & 11.38 & 11.48 \\ 5.4 & 1.41 & 2.82 & 2.57 \\ \end{tabular} \end{table} Field dependence of magnetisation at 2 K is presented on Figure 5.1.13. Here also, a strong similarity is observed between the Dy(III), Er(III) and Yb(III) derivatives. They all display a monotonous increase and a saturation at high fields – above 2 T – to markedly low values: 4.77 $\mu_B$ for 5.1, 4.78 $\mu_B$ for 5.3 and 2.06 $\mu_B$ for 5.4.\textsuperscript{(xii)} Such low saturation values are usually observed when the complexes display a marked anisotropy\textsuperscript{201}. This suggests complexes 5.1, 5.3 and 5.4 could behave as SMMs, and as we will see in the following paragraphs they indeed do. \begin{figure}[h] \centering \includegraphics[width=\textwidth]{magnetisation.png} \caption{Magnetisation versus field curves for complexes 5.1 to 5.4, measured on powder samples at 2 K.} \end{figure} \textsuperscript{(xii)}In the free ion model, we would indeed expect saturation values of 10 $\mu_B$ for 5.1 and 5.2, 9 $\mu_B$ for 5.3 and 4 $\mu_B$ for 5.4.\textsuperscript{64} In contrast, the Ho(III) derivative does present not a marked saturation, even at 5 T. In the low field region, a remarkable feature is observed: the increase of magnetisation is not monotonous, an inflexion point being found around 0.4 T. Such a sigmoidal aspect of the curve is often observed when the studied compound presents two states that are very close in energy, such that the Zeeman splitting can invert their order in the energy diagram. Altogether, the static magnetic data on 5.2 tend to suggest that a low, non magnetic state should be found in its energy diagram. Magnetic relaxation at low temperature is thus expected to be quite fast for this complex, which should not display any SMM behaviour. This is actually what is observed, as we will show in the following paragraphs. Single crystal measurements Magnetic measurements on powder samples for complexes 5.1, 5.3 and 5.4 suggest they may display rather large anisotropies. As we have seen in Chapter, because of the monoclinic structure of these compounds, only Polarised Neutron Diffraction may allow to characterise their magnetic anisotropy at the molecular level. We thus decided to study the [LnTp$_2$NO$_3$] complexes using Polarised Neutron Diffraction experiments. Nevertheless, we saw in Chapter 2 that the magnetic susceptibility tensor approach is only applicable when magnetisation evolves linearly with field. The field dependence of the single crystal magnetisation thus needs to be known prior to any PND experiment, because we will need to apply the highest possible field in order to measure the least ambiguous flipping ratios, yet with a linearity constraint.\textsuperscript{87,88} Angular resolved magnetometry. As such, we first performed angular resolved magnetometry measurements on complex 5.4, in collaboration with Dr. Jean-François Jacquot (CEA Grenoble). The shape of the studied single crystal is given on Figure 5.1.14, orientations being deduced from an X-Ray diffraction experiment. ![Figure 5.1.14](image) Figure 5.1.14: Shape of the studied single crystal of 5.4, with the crystallographic axes highlighted. Since both $\vec{b}$ and $\vec{c}$ axes can be easily related to a geometric feature of the crystal ($\vec{b}$ is found along the longest direction, $\vec{c}$ is parallel to the second longest direction), we decided to set them as rotation axes. We thus glued the sample by first setting the rotation axis along the $\vec{c}$ direction and with $\vec{b}$ vertical, and then by setting $\vec{b}$ as the rotation axis and $\vec{c}$ vertical. We report on Figure 5.1.15 the measured magnetisation at 2 K for these two experiments. It is rather plain to see that a marked anisotropy is found in both cases. In the first experiment, a minimum is found at $20^\circ$ (value of 0.40 $\mu_B$ at 2.0 T), and accordingly a maximum is found $90^\circ$ further (value of 2.39 $\mu_B$ at 2.0 T). This suggests a crystal hard axis of magnetisation is found near $\vec{b}$, while a crystal easy axis if found in the vicinity of the reciprocal $\vec{a}^$ axis. This is confirmed by the second experiment, where a maximum value (of 2.22 $\mu_B$ at 2.0 T) is observed at a $80^\circ$ angle, thus near the $\vec{a}^$ axis, while a minimum (of 0.68 $\mu_B$ at 2.0 T) is seen near the $\vec{c}$ axis (at $170^\circ$). The discrepancies between the maximal values of magnetisation in both experiments furthermore suggest that the crystal easy axis is not located precisely along the $\vec{a}^$ axis, but that it rather has components along each lattice vector. Note also that a part of the difference may stem from the uncertainty on the starting position of the crystal, since it might have slightly moved when the glue was drying. We can actually try to evaluate that shift: at a $90^\circ$ angle, for the same field magnitude we would expect to measure the same magnetisation in both experiments, since it corresponds to a situation where the field is parallel to $\vec{a}^$. At 2.0 T, we indeed get 2.27 $\mu_B$ for the first experiment, and 2.20 $\mu_B$ for the second one, thus suggesting the considered field orientations are quite precise. Note: the curves for the second experiment seem to present a slight asymmetry, which is unexpected. This is due to a weariness of the rotating sample holder, that impacted the first angles on each measurements (and which ended in a breakdown of the apparatus at the end of the collection). As such, we have a limited confidence in the first portion ($\theta < 20^\circ$) of the curves for the second measurement, because of the uncertainty on the actual angle value. Nevertheless, the remaining data points can be trusted. Additional measurements are planned in the close future. ![Figure 5.1.15](image) Figure 5.1.15: Magnetisation at 2 K for [YbTp$_2$NO$_3$] 5.4, for static fields between 0.0 T (brown) and 2.0 T (light magenta). Left panel: rotation along the crystal $\vec{c}$ axis, $\vec{b}$ initially set vertical. Right panel: rotation along the $\vec{b}$ axis, $\vec{c}$ initially set vertical. ![Figure 5.1.16](image) Figure 5.1.16: Field dependence of the magnetisation of 5.4 at 2 K along the easy and hard axes projections determined in the first (●) and second (○) angular-resolved magnetometry measurement. Solid lines are a guide for the eye. Polarised Neutron Diffraction. Anyhow, a marked crystal magnetic anisotropy is observed, which suggest a strong molecular magnetic anisotropy could also be found. We thus studied complex 5.4 by the means of PND on the 5c1 and 6T2 lines at the Laboratoire Léon Brillouin (Saclay), in collaboration with Dr Béatrice Gillon. As we already said in Chapter 2, these experiments are performed by rotating the single crystal along a particular axis where the magnetic field is applied. Three collections, for three non coplanar directions of the field are required in order to reconstruct the magnetic susceptibility tensors.\textsuperscript{87,88} Here, because of the particular shape of the crystals three field directions seemed to impose: along $\vec{a}^$, $\vec{b}$ and $\vec{c}^{(xiii)}$. We thus set a single crystal of 5.4 with these orientations, in an aluminium sample holder filled with quartz wool (which does not interact with the neutron beam, and permits to prevent any reorientation of the sample in the magnetic field), and collected the diffracted intensities at 2 K, for alternating up and down polarisation of the neutron beam. The magnitudes of the applied magnetic fields were deduced from the single crystal SQUID measurements (see Figure 5.1.16). They are recapped in Table 5.3, along with their real orientation in the lattice. Here, we must mention the rather exceptional character of these measurements. The sample we studied was indeed rather large from the viewpoint of standard crystallography – about $1.5 \text{ mm}^3$ –, but rather small in the frame of PND, which calls for samples larger than $3 \text{ mm}^3$. Because of this, data treatment proved challenging, since many diffraction peaks were hidden by the powder diffraction of aluminium (from the sample holder). We furthermore had to perform the collections several times, in order to obtain a better statistics on the diffraction peaks. When the field was applied along the hard axes, the flipping ratios were actually so small that we had to switch to the thermal line 6T2 – with a much higher neutron flux – in order to extract significant signal from our experiments. Overall, 139 inequivalent Bragg peaks with $\|1 - R\| > 2\sigma$ could be extracted and used for the refinement of the magnetic susceptibility tensor. Note that we employed the room temperature X-Ray structure to perform the data treatment. In principle, we should have solved the structure at 2 K prior to the PND experiment, but major delays at the LLB hampered this experiment – which was planned – to happen. However, indexation of the diffraction peaks with the room temperature lattice cell parameters proved successful, which suggest no phase transition occurs in the 300 K - 2 K temperature range and that the cell parameters, overall, do not evolve much with temperature. Table 5.3: Field magnitude, orientations and number of relevant reflections used in the PND experiments. Orientations are given in the so-called CCSL reference frame ($\vec{a}^/a^, \vec{b}/b, \vec{c}/c$). \| $\lambda$ (Å) \| Field (T) \| Orientation \| Type of axis \| No. of equiv. reflns. \| \|---------------\|-----------\|----------------------\|--------------\|-----------------------\| \| 0.84 \| 0.67 \| (-0.973 ; -0.009 ; 0.232) \| easy \| 29 \| \| 1.40 \| 1.70 \| (-0.051 ; -0.992 ; -0.116) \| hard \| 67 \| \| 1.40 \| 1.50 \| (0.095 ; 0.074 ; 0.993) \| mean \| 43 \| We then refined the magnetic susceptibility tensor of the Yb atoms stepwise, in the CCSL reference frame ($\vec{i} = \vec{a}^/a^, \vec{j} = \vec{b}/b, \vec{k} = \vec{c}/c$).\textsuperscript{202} First, we evaluated the diagonal term $\chi_{ii}$ corresponding to each collection; for example, in the first experiment we set the field roughly along the $\vec{a}^$ axis, and as such this collection should permits us to access $\chi_{ii}$. \textsuperscript{(xiii)}They are indeed all associated to a specific feature of the crystal, respectively being perpendicular to the largest face, parallel to the longest axis and parallel to the second longest axis. Table 5.4: Eigenvalues (in $\mu_B/T$) and components of the corresponding eigenvectors of the local susceptibility tensor in the orthonormal $(\vec{i}, \vec{j}, \vec{k})$ basis. \| Eigenvalues ($\mu_B/T$) \| $\vec{i}$ component \| $\vec{j}$ component \| $\vec{k}$ component \| \|-------------------------\|---------------------\|---------------------\|---------------------\| \| 2.454(1) \| 0.895 \| -0.414 \| -0.166 \| \| 0.2992(2) \| -0.133 \| 0.107 \| -0.985 \| \| 0.007(2) \| 0.425 \| 0.904 \| 0.040 \| Then, we treated doublets of collections in order to refine the corresponding off-diagonal terms – for instance, the first and second experiments in order to refine $\chi_{ij}$. Finally, all the collections were merged and the total tensor was refined, which yields in the CCSL frame: $$\bar{\chi} = \begin{pmatrix} 1.97(10) & -0.91(5) & -0.33(6) \\ & 0.43(1) & 0.14(3) \\ & & 0.36(2) \end{pmatrix}. \quad (5.2)$$ This tensor can be easily diagonalised, yielding the magnetic axes directions and the corresponding eigenvalues, as listed in Table 5.4. It is rather plain to see that we indeed observe a strong single-ion anisotropy on the Yb(III) ion. It is principally uniaxial, although a non negligible (12%) transverse component is observed. From the components in the CCSL frame, we can see that indeed the easy axis is located near the reciprocal $\vec{a}^$ axis, while the hard axes are closer to the $\vec{b}$ and $\vec{c}$ axes. As one may notice, the eigenvalues in Table 5.4 are given with error bars. Contrarily to the diagonalisation procedure, evaluating the uncertainty on the eigenvalues of a $3 \times 3$ symmetric and real matrix is a quite tedious task. Since no general procedure was found\textsuperscript{(xiv)}, we developed a small Fortran program – expectedly called Uncertainties – to compute the error bars. The source code can be found in Appendix. Very simply, this program discretises the problem: for each component $\chi_{ab} \pm \Delta \chi_{ab}$ of the non-diagonalised tensor, we build a (user-defined) number of values comprised between $\chi_{ab} - \Delta \chi_{ab}$ and $\chi_{ab} + \Delta \chi_{ab}$, and for each of these values we diagonalise the matrix. This is done for each of the 6 tensor components, independently but keeping the symmetry condition $\chi_{ab} = \chi_{ba}$. The program thus computes the eigenvalues for all of the possible matrices, and isolates their extrema. It also computes the variance, which we used as an error bar\textsuperscript{(xv)}. We can also try to represent this tensor in the form of an ellipsoid (as what is generally done for the thermal displacements of atoms in XRD). This is achieved on Figure 5.1.17. The anisotropy is rather plain from this figure. As one may notice, the easy axis follows a direction that is roughly perpendicular to the Yb-NO$_3$ direction. The overall tensor seems to be "sandwiched" between the two Tp$^-$ ligands, but no further correlation with structural features can be found. Susceptibility tensor could also be calculated at the CASPT2/RASSI-SO level,\textsuperscript{47,48} and is represented on the same figure. As one may notice, differences are observed between the two models, but the general tendency remains similar. Noticeably, the easy axes point in quite similar directions. The discrepancies on the hard axes may be due to the actual computational conditions: the calculations are performed on an isolated complex in a vacuum, while the measurements are performed on molecules within a crystal. \textsuperscript{(xiv)}And the mathematicians we contacted ensured us there were none. They suggested to discretise the problem, and also stressed that error bars on the orientations (eigenvectors) would probably be out of reach, since small variations in the eigenvalues can lead to marked changes in orientation. \textsuperscript{(xv)}Extremal eigenvalues are indeed found quite different from the average ones, but they appear to have a negligible weight. Comparing PND and single-crystal SQUID measurements. As we have just seen, the susceptibility tensor we deduced from PND experiments agrees qualitatively well with the computed one, and also with the single crystal SQUID measurements. Actually, we can even push the comparison further. We should indeed be able to evaluate the magnetisation for any orientation of a magnetic field, starting from the PND or $ab$ initio susceptibility tensor. This means we can try to reproduce the single crystal SQUID curves of Figure 5.1.15, through the evaluation of \[ m = \frac{\vec{H}(\theta) \cdot \bar{\chi} \cdot \vec{H}(\theta)}{\|\vec{H}(\theta)\|} \] (5.3) with $ \theta $ the rotation axis$^{(xvi)}$. In the first experiment, we measured magnetisation while rotating the crystal around the $c$ axis, with $b$ initially vertical. This means the magnetic field in this experiment can be written, in the CCSL frame, \[ \vec{H}_{exp1} = \begin{pmatrix} H & \sin \theta \\ H & \cos \theta \\ 0 \end{pmatrix} \] (5.4) with $ \theta $ the rotation angle. Similarly, in the second experiment the field writes \[ \vec{H}_{exp1} = \begin{pmatrix} H & \sin \theta \\ 0 \\ H & \cos \theta \end{pmatrix}. \] (5.5) We thus developed another program, called Conversion, to compute the magnetisation for a list of user-defined orientations of the magnetic field, basing either on a PND or $ab$ initio susceptibility tensor. The source code can be found in Appendix. In the current implementation, field orientations can be given either in the CCSL or crystal frame. In the case of a PND susceptibility tensor, the tensor must be expressed in the CCSL frame – which is the default in the refinement procedure we used –. In the case of $ab$ initio data, the tensor is given in the calculation frame, and the change of basis is performed using the positions of three non-coplanar atoms in the lattice and calculation frame. The different equivalent positions in the lattice must also be given, in a matrix form, in order to evaluate the average magnetisation over one unit cell. $^{(xvi)}$The first scalar product yields the magnetisation vector, and the second yields the projection of magnetisation along the field direction, which is what we actually measure in such SQUID experiment. We represent on Figure 5.1.18 the outcome of this program. As one can see, the qualitative agreement is retrieved, though deviations are observed. In the first experiment, the maximum in the experimental curve is observed at $115^\circ$, while PND and \textit{ab initio} deduced curve present a maximum at $101^\circ$ and $86^\circ$, respectively. In the case of the second experiment, the maximum is found at $80^\circ$ from the experimental curves, and at $90^\circ$ in both PND and \textit{ab initio} deduced curves. Several factors may be involved in these deviations. First of all, as we already noticed, there is a slight mismatch between the expected and actual orientations of the crystal in the SQUID experiments, because of the experimental setup. Furthermore, we also noticed a slight disagreement between PND and \textit{ab initio} susceptibility tensor, which is most likely due to the simplifications in the CASPT2 calculations. Finally, we also employed some simplifications in the PND approach, which yield a certain uncertainty. Noticeably, we used the room-temperature structure to perform the susceptibility tensor refinement. Small deviations could likely be expected, and as we already noticed small deviations in the tensor component can result in marked differences in the orientations of the eigenvectors. Nevertheless, the agreement is quite correct, noticeably on the second experiment. Our different approaches are thus rather self-consistent, and noteworthy we may trust the \textit{ab initio} model to be quite correct. \textbf{NOTE:} for the moment, we only managed to study 5.4 by the means of PND. This is partly due to the proposals procedure, which yields incompressible delays, but it is also the consequence of the numerous experiments we had to perform on our Yb(III) sample. Nonetheless, studies of 5.1 and 5.3 are planned in the close future. ### 5.1.5 AC magnetic properties As we have seen, the Yb(III) derivative 5.4 displays a marked magnetic anisotropy, and powder measurements on 5.1 and 5.3 suggest they may also do. From the luminescence measurements, we also saw a strong energy splitting between the Kramers Doublets (KD) of 5.4 in the ground state – \textit{circa} 150 cm$^{-1}$ –. Together, these characteristics suggest this complex – if not the whole [LnTp$_2$NO$_3$] family – may present a slow dynamics of magnetisation at low temperature, at least under a static magnetic field. We thus performed AC squid measurements on powder samples for all complexes, under a static field of 0 Oe and 2000 Oe. No signal is observed in zero field, while at 2000 Oe a non zero out-of-phase magnetic moment is measured for \textbf{5.1}, \textbf{5.3} and \textbf{5.4}, as shown on Figure 5.1.19. Quite expectedly, nothing is observed in the case of the Ho(III) derivative, as suggested by the static measurements. On the other hand, the observation of a non zero AC component for both Dy(III), Er(III) and Yb(III) derivatives is quite unexpected. In the framework of Rinehart and Long’s model,\textsuperscript{79} these ions are indeed expected to display markedly different magnetic behaviours, since their $4f$ electron density is not expected to interact in a similar fashion with the ligand field. More precisely, Er(III) and Yb(III) ions show a prolate deformation of their $4f$ electron density in the $M_J = \pm J$ substate, while Dy(III) shows an oblate deformation. \begin{figure}[h] \centering \includegraphics[width=\textwidth]{ac_susceptibility.png} \caption{AC susceptibility curves for complexes \textbf{5.1} (upper left), \textbf{5.2} (upper right) and \textbf{5.4} (bottom), under a static field of 0.2 T and in the frequency range [1 Hz; 1400 Hz] (brown to gray).} \end{figure} At first, this observation was very surprising\textsuperscript{(xvii)}, but soon Sessoli and coworkers reported a similar behaviour in the [Ln(trensal)] family of complexes\textsuperscript{203} (with trensal = 2,2',2''tris(salicylideneiminato) triethylamine). More specifically, they observed a similar slow dynamics of magnetisation for the Er and Dy derivatives at low temperature, and using a combination of spectroscopies they were able to rationalise it. In that case indeed, magnetisation dynamics is not solely governed by a "single-ion" energy barrier mechanism, but also by other direct and Raman spin-phonon relaxations (see Chapter 2 for a reminder on these mechanisms), and as such Rinehart and Long model does not apply.\textsuperscript{80,81} Following this inspiring example, we studied in more details the magnetisation dynamics of our complexes. On Figure 5.1.20, we represent the Arrhenius plots $ln \nu = f(T)$, deduced from the maxima of the $\chi_m'' = f(T; \nu)$ curves. A marked deviation from linearity is seen in these plots, suggesting that the dynamics is not solely governed by energy-barrier (Arrhenius-like) mechanisms. Frequently, these deviations are assigned to quantum tunnelling of magnetisation (QTM), and one uses the linear portion of the curve to determine \textsuperscript{(xvii)}The first magnetic measurements on these complexes were performed in 2013, and no literature example was then published. Figure 5.1.20: Arrhenius plots $ln \nu = f(1/T)$ for complexes 5.1 (upper left), 5.3 (upper right) and 5.4 (bottom), as deduced from the maxima of the out-of-phase susceptibility at 2000 Oe. The solid red lines are a guide for the eye. the energy barrier.\textsuperscript{204–206} Here, since we applied a static magnetic field of a rather high magnitude (2000 Oe), we would not expect to observe any remaining QTM, and as such it is quite unlikely that such an approach would yield meaningful energy barriers. In fact, doing so we obtain in this case energy barriers of 25.8(6) K for 5.1, 40.0(5) K for 5.3 and 30(1) K for 5.4. This last value does not correlate at all with the CF splitting we deduced from luminescence (which was around 100 cm$^{-1}$), and the other two values do not correlate either with the calculated ones (see Tables 5.6 and 5.7 below). As such we have little to no confidence in these energy barriers. We thus decided to analyse the experimental data using a more complete description, involving also Raman and direct relaxation mechanism.\textsuperscript{203} To do so, we fitted the $\nu = f(T)$ curves using $$\nu = aT + bT^n + \nu_0 \exp \left(-\frac{\Delta E}{k_B T}\right). \tag{5.6}$$ Yet, as one can remark this last equation involves a rather large number of parameters compared to the number of data points. In order to avoid any overparametrisation, we then fixed some of them. First of all, in the case of the Yb(III) derivative 5.4 we know the possible values for $\Delta E$, thanks to the luminescence spectrum, and as such we may keep this parameter fixed. In the case of the Er(III) and Dy(III) derivative, we do not have these experimental values, but we may also employ the \textit{ab initio} energy barriers to do so. Doing so, we obtained the following equations as best fits: $$\nu_{Dy} = 38(2)T + 2.99(5) \times 10^{-2}T^7, \tag{5.7}$$ \[ \nu_{\text{Br}} = 11(2)T + 6.97(7) \times 10^{-4}T^9, \] \[ \nu_{\text{Yb}} = 13(2)T + 6.36(5) \times 10^{-3}T^9. \] Let us interpret these results. First of all, it is rather striking that no energy-barrier mechanism is involved here. To the best of our knowledge, this is the third time such an unexpected magnetic behaviour is reported.$^{190,191}$ Furthermore, we also remark that the Raman exponent is equal to 7 for $5.1$, and 9 for $5.3$ and $5.4$. We may wonder if we actually retrieve the expected differentiation between Dy(III) on one hand and Er(III) and Yb(III) on the other hand. Moreover, these values also bear much information on the magnetisation dynamics. Indeed, when $n = 7$ the magnetic relaxation occurs between two states $\|a\rangle$ and $\|b\rangle$ that are not related by Kramers conjugation – for instance, $\|a\rangle = \|+5/2\rangle$ and $\|b\rangle = \|-3/2\rangle$. On the other hand, when $n = 9$ the two quantum states involved in the relaxation of magnetisation are Kramers conjugate.$^{81}$ At this stage, it thus seems the magnetic relaxation of $5.1$ is fundamentally different from the one of $5.3$ and $5.4$. NOTE:* an additional support to our model for the dynamics of magnetisation comes from the field dependence of the out-of-phase susceptibility. The corresponding curves are given in Appendix. In short, for complexes $5.3$ and $5.4$ no marked variation is observed at high frequencies, as could be expected from a $T^9$ Raman relaxation (field-independent). On the other hand, at lower frequencies small shifts can be observed, also in good agreement with our model: the direct relaxation is preponderant at lower temperature (thus lower frequencies), and it is field dependent. In the case of $5.1$, variations are observed both at low and high frequencies, here again in good agreement with our model: at low frequency, the direct contribution dominates, and it is field dependent. At higher frequencies, the rate of relaxation is governed by the $T^7$ Raman contribution, which is also field dependent. We also gain support from the study of the $\chi''_m = f(\chi'_m)$ curves at constant temperature – the so-called Cole-Cole plots.$^{207}$ When the relaxation of magnetisation occurs through a unique mechanism, these curves are indeed expected to be perfect semi-circles. When several mechanisms are involved, because of the distribution of relaxation rates these curves distort. If the different relaxation rates are very different, we may expect the Cole-Cole plot to consist in juxtaposed and separated semi-circles, while in the case of comparable rates the different semi-circles would be fused and the overall curve would present a distorted semi-circular shape. In this latter case, one may characterise the distortion via a phenomenological parameter $\alpha$, which tends to zero for a single relaxation process, and to one when the distribution of relaxation rates is wide.$^{208}$ Here, in the case of the Yb(III) derivative $5.4$ we obtain slightly distorted semi-circles, which can be fitted by a Cole-Cole equation with $\alpha$ values ranging from 0.25(3) at 2 K to 0.13(4) at 4 K. These values are in good agreement with our expectation: at lower temperature, both direct and Raman mechanisms contribute significantly to the relaxation rate (89 % and 11 % respectively, at 2 K), thus yielding a marked deviation of $\alpha$ from 0. When increasing the temperature, the contribution of the Raman process becomes largely predominant (96% at 4 K, for instance), and the systems tends to ideality, with $\alpha$ tending to 0. On the other hand, in the case of $5.1$ and $5.3$ the curves present a more complex shape. In both cases, at low $\chi'_m$ values (\textit{i.e}, high frequencies) we observe a semi-circular shape, while for the higher $\chi'_m$ values (lower frequencies) additional points are seen, which seem to belong to a second semi-circle (though more data points would be needed to ascertain this). This correlates nicely with the characteristic of the direct and Raman relaxation processes of these two complexes. Indeed, for both $5.1$ and $5.3$ the Raman process is less involved at low temperature (5% and 2% at 2K, respectively), and the transition between the two relaxation processes is more abrupt than what it is the case of 5.4. As such, the two processes are quite separated, which translates into two peculiar Cole-Cole plots. ### 5.1.6 Ab initio modelling Here again, theoretical support is very valuable. We thus modelled complexes 5.1, 5.3 and 5.4 at the SA-CASSCF/RASSI-SO level, using basis sets from the ANO-RCC library, and with the following contractions: - [8s7p4d3f2g1h] for Dy, Er, Yb; - [4s3p2d] for the coordinating atoms (N, O); - [3s2p1d] for the non-coordinating C, N, O, B atoms; - [2s] for the H atoms. In all cases, the active spaces consisted of the 7 $4f$ orbitals. In the case of 5.1, we computed 21 sextets, 224 quadruplets and 300 doublets$^{(xviii)}$ at the SA-CASSCF level.$^{15}$ Among all these roots, 21, 128 and 107 of them were, respectively, included in the state-interaction procedure. Similarly, for 5.3 35 quadruplets and 112 doublets were computed at the SA-CASSCF level, and were all included in the RASSI-SO calculation. Finally, for 5.4 7 doublets were optimised at the MS-CASPT2$^{18}$ level, and allowed to interact in the RASSI-SO procedure. We performed the calculations using Molcas 8.0,$^{210}$ in collaboration with Dr. Boris Le Guennic and Dr. Julie Jung (Université Rennes 1). For these three complexes, the accuracy of the model was checked by comparison between computed and experimental data. As we have already seen, in the case of 5.4 the calculation provides a nice agreement with the single crystal SQUID data and the luminescence spectrum. The agreement with the powder magnetic measurements can also be obtained quite directly (the Single_Aniso routine of MOLCAS$^{211}$ indeed permits to compute susceptibility and magnetisation at different fields and temperatures). As one can see from Figure 5.1.21, it is quite correct for the three complexes, though the calculations seem to overestimate the $\chi_mT$ value for 5.1 at low temperature. Nevertheless, magnetisation seems quite correctly reproduced, which suggest the theoretical models can be trusted. In Table 5.5, 5.6 and 5.7, we give the $\|M_J\rangle$ decomposition of the wavefunctions of the KD in the respective ground states of complexes 5.1, 5.3 and 5.4. Though quite tedious to read, these tables yield valuable information. It is indeed rather plain that both 5.3 and 5.4 present a high degree of mixing in all their KD$^{(xix)}$, while 5.1 presents a ground KD with a relatively low extent of mixing. These marked mixing are a likely cause for the strong QTM$^{212}$ – we indeed remind that, though we did not consider any QTM contribution in the analysis of the magnetisation dynamics under 2000 Oe, we still do not observe any out-of-phase peak in the AC susceptibility at zero constant field, thus implying a strong QTM is acting here. Single_Aniso also permits to compute the Transition Dipole Moments (TDM), which give information about the feasibility of the transitions between the different substates in the energy diagram. Here, these TDM may allow us to understand the QTM and direct $^{(xviii)}$490 doublets should be included,$^{209}$ but the current implementation of MOLCAS restricts the number of roots to 300. $^{(xix)}$I.e., the wavefunction of a given KD involves different $\|M_J\rangle$ basis vectors. Figure 5.1.21: Comparison between the calculated (solid lines) and experimental (bullets) $M = f(B)$ (left) and $\chi_m T = f(T)$ curves (right). Colour scheme: 5.1, green; 5.3, red; 5.4, blue. Table 5.5: Decomposition of the wavefunctions corresponding to the 8 KD of the ground $^6H_{15/2}$ state of 5.1, on the basis of the $\|M_J\rangle$ vectors, and relative energies (in cm$^{-1}$). Convention: n in $\Psi_n^+$ indexes the KD (the higher in energy, the larger n), and + indicates that only substates associated to a positive magnetic moment are represented (the conjugated substates are deduced by changing the sign of $M_J$). To ease the reading, only the norms of the (complex) coefficients are displayed, and values above 0.5 are highlighted (bold font). \| Rel. E \| $\Psi_1^+$ \| $\Psi_2^+$ \| $\Psi_3^+$ \| $\Psi_4^+$ \| $\Psi_5^+$ \| $\Psi_6^+$ \| $\Psi_7^+$ \| $\Psi_8^+$ \| \|--------\|------------\|------------\|------------\|------------\|------------\|------------\|------------\|------------\| \| 0 \| 87 \| 124 \| 134 \| 162 \| 183 \| 241 \| 546 \| \| $+15/2$\| 0.96 \| 0.15 \| 0.07 \| 0.01 \| 0.11 \| 0.01 \| 0.01 \| 0.00 \| \| $+13/2$\| 0.03 \| 0.04 \| 0.20 \| 0.35 \| 0.32 \| 0.10 \| 0.22 \| 0.07 \| \| $+11/2$\| 0.21 \| 0.23 \| 0.36 \| 0.22 \| 0.37 \| 0.24 \| 0.11 \| 0.03 \| \| $+9/2$ \| 0.06 \| 0.08 \| 0.26 \| 0.45 \| 0.23 \| 0.14 \| 0.30 \| 0.21 \| \| $+7/2$ \| 0.10 \| 0.34 \| 0.14 \| 0.24 \| 0.19 \| 0.25 \| 0.18 \| 0.10 \| \| $+5/2$ \| 0.01 \| 0.11 \| 0.33 \| 0.33 \| 0.37 \| 0.19 \| 0.28 \| 0.40 \| \| $+3/2$ \| 0.07 \| 0.28 \| 0.19 \| 0.06 \| 0.43 \| 0.42 \| 0.23 \| 0.20 \| \| $+1/2$ \| 0.01 \| 0.03 \| 0.26 \| 0.19 \| 0.13 \| 0.23 \| 0.14 \| 0.55 \| \| $-1/2$ \| 0.05 \| 0.30 \| 0.07 \| 0.08 \| 0.13 \| 0.56 \| 0.08 \| 0.24 \| \| $-3/2$ \| 0.00 \| 0.04 \| 0.31 \| 0.09 \| 0.08 \| 0.13 \| 0.22 \| 0.49 \| \| $-5/2$ \| 0.04 \| 0.34 \| 0.07 \| 0.17 \| 0.14 \| 0.34 \| 0.24 \| 0.15 \| \| $-7/2$ \| 0.01 \| 0.12 \| 0.42 \| 0.43 \| 0.25 \| 0.12 \| 0.34 \| 0.30 \| \| $-9/2$ \| 0.03 \| 0.50 \| 0.06 \| 0.28 \| 0.17 \| 0.20 \| 0.34 \| 0.06 \| \| $-11/2$\| 0.00 \| 0.12 \| 0.26 \| 0.29 \| 0.30 \| 0.13 \| 0.48 \| 0.14 \| \| $-13/2$\| 0.02 \| 0.48 \| 0.42 \| 0.17 \| 0.32 \| 0.24 \| 0.27 \| 0.01 \| \| $-15/2$\| 0.00 \| 0.01 \| 0.02 \| 0.10 \| 0.07 \| 0.03 \| 0.11 \| 0.02 \| processes, but not the Raman ones (since they involve virtual states which cannot be computed explicitly). Analysis of these TDM can also be a fairly tedious task (in the case of Er and Dy, 60 values should be considered), but we may summarise quite simply the results. First of all, for all three complexes we can observe a non negligible TDM within all the KD, noticeably in the ground ones. As a result, a strong QTM is expected for these three complexes, as observed. If this QTM is suppressed (application of an external field), then other relaxations should be sought. The rule of thumb in these cases is to find the shortest path, associated to the highest TDM values. As one can imagine, in the cases of Er and Dy the matter may be quite complicated, and indeed it is. For the sake of simplicity, on Schemes 5.1.1, 5.1.2 Table 5.6: Decomposition of the wavefunctions corresponding to the 8 KD of the ground $^4I_{15/2}$ state of 5.3, on the basis of the $\|M_J\rangle$ vectors, and relative energies (in cm$^{-1}$). Convention: n in $\Psi_n^+$ indexes the KD (the higher in energy, the larger n), and + indicates that only substates associated to a positive magnetic moment are represented (the conjugated substates are deduced by changing the sign of $M_J$). To ease the reading, only the norms of the (complex) coefficients are displayed, and values above 0.5 are highlighted (bold font). \| Rel. E \| $\Psi_1^+$ \| $\Psi_2^+$ \| $\Psi_3^+$ \| $\Psi_4^+$ \| $\Psi_5^+$ \| $\Psi_6^+$ \| $\Psi_7^+$ \| $\Psi_8^+$ \| \|--------\|------------\|------------\|------------\|------------\|------------\|------------\|------------\|------------\| \| \| 0 \| 49 \| 83 \| 153 \| 189 \| 236 \| 283 \| 312 \| \| $\|+15/2\rangle$ \| 0.80 \| 0.24 \| 0.14 \| 0.10 \| 0.10 \| 0.01 \| 0.28 \| 0.00 \| \| $\|+13/2\rangle$ \| 0.19 \| 0.49 \| 0.49 \| 0.15 \| 0.14 \| 0.04 \| 0.43 \| 0.02 \| \| $\|+11/2\rangle$ \| 0.43 \| 0.21 \| 0.53 \| 0.15 \| 0.02 \| 0.03 \| 0.33 \| 0.04 \| \| $\|+9/2\rangle$ \| 0.20 \| 0.31 \| 0.45 \| 0.38 \| 0.21 \| 0.04 \| 0.22 \| 0.14 \| \| $\|+7/2\rangle$ \| 0.27 \| 0.37 \| 0.30 \| 0.21 \| 0.30 \| 0.06 \| 0.17 \| 0.06 \| \| $\|+5/2\rangle$ \| 0.10 \| 0.44 \| 0.23 \| 0.23 \| 0.26 \| 0.13 \| 0.48 \| 0.20 \| \| $\|+3/2\rangle$ \| 0.03 \| 0.24 \| 0.29 \| 0.51 \| 0.07 \| 0.27 \| 0.34 \| 0.11 \| \| $\|+1/2\rangle$ \| 0.03 \| 0.07 \| 0.12 \| 0.24 \| 0.33 \| 0.46 \| 0.28 \| 0.28 \| \| $\|-1/2\rangle$ \| 0.03 \| 0.12 \| 0.03 \| 0.47 \| 0.26 \| 0.25 \| 0.15 \| 0.24 \| \| $\|-3/2\rangle$ \| 0.03 \| 0.13 \| 0.03 \| 0.24 \| 0.24 \| 0.25 \| 0.11 \| 0.43 \| \| $\|-5/2\rangle$ \| 0.05 \| 0.23 \| 0.02 \| 0.25 \| 0.12 \| 0.38 \| 0.20 \| 0.13 \| \| $\|-7/2\rangle$ \| 0.02 \| 0.13 \| 0.02 \| 0.15 \| 0.52 \| 0.33 \| 0.09 \| 0.34 \| \| $\|-9/2\rangle$ \| 0.03 \| 0.21 \| 0.05 \| 0.10 \| 0.33 \| 0.41 \| 0.17 \| 0.20 \| \| $\|-11/2\rangle$ \| 0.00 \| 0.06 \| 0.10 \| 0.07 \| 0.16 \| 0.23 \| 0.07 \| 0.50 \| \| $\|-13/2\rangle$ \| 0.02 \| 0.16 \| 0.11 \| 0.05 \| 0.26 \| 0.20 \| 0.05 \| 0.33 \| \| $\|-15/2\rangle$ \| 0.00 \| 0.05 \| 0.00 \| 0.04 \| 0.22 \| 0.23 \| 0.05 \| 0.26 \| Table 5.7: Decomposition of the wavefunctions corresponding to the 4 KD of the ground $^2F_{7/2}$ state of 5.4, on the basis of the $\|M_J\rangle$ vectors, and relative energies (in cm$^{-1}$). Convention: n in $\Psi_n^+$ indexes the KD (the higher in energy, the larger n), and + indicates that only substates associated to a positive magnetic moment are represented (the conjugated substates are deduced by changing the sign of $M_J$). To ease the reading, only the norms of the (complex) coefficients are displayed, and values above 0.5 are highlighted (bold font). \| Rel \| $\Psi_1^+$ \| $\Psi_2^+$ \| $\Psi_3^+$ \| $\Psi_4^+$ \| \|-----\|------------\|------------\|------------\|------------\| \| \| 0 \| 110 \| 396 \| 527 \| \| $\|+7/2\rangle$ \| 0.53 \| 0.00 \| 0.04 \| 0.00 \| \| $\|+5/2\rangle$ \| 0.73 \| 0.15 \| 0.17 \| 0.13 \| \| $\|+3/2\rangle$ \| 0.36 \| 0.12 \| 0.34 \| 0.39 \| \| $\|+1/2\rangle$ \| 0.11 \| 0.04 \| 0.12 \| 0.57 \| \| $\|-1/2\rangle$ \| 0.04 \| 0.12 \| 0.45 \| 0.65 \| \| $\|-3/2\rangle$ \| 0.16 \| 0.18 \| 0.68 \| 0.27 \| \| $\|-5/2\rangle$ \| 0.14 \| 0.57 \| 0.22 \| 0.10 \| \| $\|-7/2\rangle$ \| 0.08 \| 0.77 \| 0.35 \| 0.05 \| and 5.1.3 we represented the energy diagram for the ground states of 5.1, 5.3 and 5.4, and we symbolised the different TDM values using a colour code: in gray, we depict the lowest quartile, in blue the second, in green the third and in red the highest one. From these three schemes, it appears that many different pathways are eligible. It is then quite hard to pinpoint exactly which states are involved in the direct relaxation mechanisms, but nonetheless these mechanisms are quite feasible. Finally, we may also gain information on the Raman relaxation process. In the case of the Yb(III) and Er(III) derivatives, we indeed observe a $T^9$ dynamics, which according to Stevens is expected when the relaxation takes place within a KD.\textsuperscript{81} Said otherwise, for these two complexes the relaxation process would be associated to a horizontal transition in Schemes 5.1.2 and 5.1.3 (passing through a virtual state). If we assume our magnetic system is at equilibrium with the thermal bath, we may then postulate that the relaxation occurs within the ground KDs. In the case of the Dy(III) derivative on the other hand, a $T^7$ dynamics is observed, which is expected when the relaxation process links two substates that are not forming a KD. This means that, in Scheme 5.1.1, the (rate limiting) process would be associated to a diagonal or vertical transition. Using the same assumption as previously, we may postulate that the starting state for this transition will belong to the ground KD. We may even try to push this development further, wondering whether there is a link between the strong mixing in all the KD of the ground states of the Yb(III) and Er(III) derivatives and the efficient "horizontal magnetic relaxation" they present. Indeed, one usually considers mixing "increases the communication" within the two components of a KD, eventually leading to a more efficient QTM. Here, we may wonder if the same line of argument holds for other relaxation processes. It could indeed account for the fact that the Dy(III) derivative does not show such "horizontal relaxation" processes, because of the low extent of mixing in its ground KD. Nevertheless, three experimental evidences are not sufficient to build such a model, and in order to confirm or infirm this hypothesis we would need to gather more data... \begin{figure}[h] \centering \includegraphics[width=\textwidth]{energy_diagram.png} \caption{Energy diagram and TDM of \textbf{5.1}, as computed at the SA-CASSCF/RASSI-SO level.} \end{figure} \subsection{Long story short} In short, we have synthesised and characterised a new family of lanthanide mononuclear complexes, [LnTp$_2$NO$_3$], which present interesting magnetic properties. Indeed, though they do not present a genuine SMM behaviour, they display a slow dynamics of magnetisation under the application of a static magnetic field, which is quite unexpected in the framework of Rinehart and Long's model. Using a combination of experimental and Scheme 5.1.2: Energy diagram and TDM of 5.3, as computed at the SA-CASSCF/RASSI-SO level. Scheme 5.1.3: Energy diagram and TDM of 5.4, as computed at the SA-CASPT2/RASSI-SO level. theoretical characterisations, we have been able to show this is due to the fact that the dynamics of magnetisation for these complexes is not governed by any Arrhenius-like behaviour, but is rather entirely controlled by Raman and direct mechanism. To the best of our knowledge, such a peculiar magnetisation dynamics was only reported twice, and not for a family of complexes, thus making these compounds rather original. Furthermore, we have also been able to tentatively rationalise this exotic magnetic behaviour. In both cases, ab initio calculations reveal a marked propensity towards QTM as well as many possible direct relaxation pathways. On the other hand, the temperature dependence of the Raman mechanism indicates a fundamental difference between the Dy(III) derivative and the Er(III) and Yb(III) derivatives. In the first case, the relaxation mechanism links two states that are not conjugated by Kramers theorem, while in the latter case a horizontal relaxation is likely involved. Interestingly, this differentiation can be tentatively correlated to the extent of mixing in the wavefunctions of the ground KD: it is strong in the cases of the Er(III) and Yb(III) derivatives, suggesting an efficient "communication" can be observed between the two components of the ground KDs, whereas almost no mixing is observed in the case of the Dy(III) derivative, indicating a much less efficient "interplay" within the ground KD. Notwithstanding, we remind that caution must be taken with these interpretations, as they are based on a rather limited set of experimental evidences. Nevertheless, and quite surprisingly, they would lead to retrieve a connection with Rinehart and Long’s model. Indeed, the lower mixing in 5.1 could be interpreted as the fact that the ligand field of our complexes suits more the oblate Dy(III) ion than the prolate Er(III) and Yb(III) ions, at least in their ground KD. Because of the potentially strong importance of such a model, we wanted to gather more experimental evidences, and we thus considered a closely related family of mononuclear complexes$^{(xx)}$, which we present hereafter. ### 5.2 The [LnTp$_2$Acac]: towards more efficient SMM? As we have just seen, the [LnTp$_2$NO$_3$] complexes present very interesting magnetic properties, which are likely related to their structure. As chemists, we then wondered whether we could finely tune these properties by an appropriate modification on the ligands. Similar complexes structures were already reported in the literature,$^{213,214}$ and noticeably we found an interesting family of complexes whose properties were left unexplored: the [LnTp$_2$(Acac)] family. Formally, they can be seen as [LnTp$_2$NO$_3$] complexes where the nitrate ligand has been substituted by an acetylacetonate. These complexes seemed easy to synthesise, and also to functionalise, the acetylacetonate moiety presenting several functionalisable carbons. We thus decided to synthesise these complexes and to study their luminescent and magnetic properties. We remind here that the results are preliminary, noticeably because of a series of breakdowns on the different apparatuses we used (magnetometer, spectrometer). #### 5.2.1 Syntheses and crystal structures. The details of the synthetic procedures are given in Appendix A.2.3, and are adapted from the previously published methods. They are both quite reminiscent of the one used to obtain the [LnTp$_2$NO$_3$] complexes: a solution of the lanthanide salt – here, a chloride $^{(xx)}$Hoping their magnetic properties would be similar to those of the [LnTp$_2$NO$_3$] complexes, as their structures are rather resemblant. is added to a solution of the ligands, leading to a precipitate that is recrystallised either in a CH$_2$Cl$_2$/heptane or CHCl$_3$/heptane mixture.\textsuperscript{214} Different crystal structures are obtained, depending on the solvent and the lanthanide ion. They can be separated into three families. Complexes 5.6 to 5.12. The first family of complexes crystallises in the monoclinic $P2_1/c$ space group, and they were obtained for Ln = Ce \textbf{5.6}, Pr \textbf{5.7}, Nd \textbf{5.8}, Sm \textbf{5.9}, Gd \textbf{5.10}, Tb \textbf{5.11}, Dy \textbf{5.12}. All these complexes are isostructural, and correspond to the published one for Ce(III).\textsuperscript{215} They were crystallised using either dichloromethane or chloroform as solvent. The asymmetric unit consists of a single [LnTp$_2$Acac] complex and is depicted on Figure 5.2.1, and the crystallographic parameters are gathered in Table B.9. The coordination geometry here also can be viewed as distorted square-base antiprism, though it has been shown previously that it is more accurately described as a bicapped trigonal prism. ![Figure 5.2.1: ORTEP drawing of the [LnTp$_2$Acac] complexes 5.6 to 5.12 (ellipsoids drawn at 50% probability). Example of [DyTp$_2$Acac] 5.12.](image) Complexes 5.13 to 5.16. This second family of complexes is not isomorphic, but they are all crystallising in a primitive monoclinic space group and the unit cell contains a co-crystallised solvent molecule. \textbf{5.13}, \textbf{5.14} and \textbf{5.15} are isostructural ($P2_1/c$), and were obtained using chloroform as solvent. The formula of the asymmetric unit for these three complexes is [LnTp$_2$Acac] · CHCl$_3$. Complex \textbf{5.16} crystallises in the monoclinic $P2_1/n$ space group, and its asymmetric unit is composed of a [LnTp$_2$Acac] complex plus a crystallised CH$_2$Cl$_2$ molecule. Noteworthy, the solvents molecules in these four structures are not disordered, and in the case of \textbf{5.13} to \textbf{5.15}, a 2D-lamellar structuration is actually observed (see Appendix B.5.1). Noteworthy, these structures were not reported previously. Complexes 5.17 to 5.19. The third family of complexes is also not isomorphic, but they are all crystallising in the triclinic $P\bar{1}$ space group. The asymmetric units of \textbf{5.17} and \textbf{5.18} contain two independent [HoTp$_2$Acac] and [YbTp$_2$Acac] complexes respectively, while in the case of \textbf{5.19} only one [YbTp$_2$Acac] complex and a crystallised chloroform molecule are found. Note that the structure of \textbf{5.19} was also not reported previously. Overall, the molecular structures of all these complexes are rather similar. Yet, because of the marked differences in their crystal packing, we may not directly compare their physical properties in the solid state. For instance, if we recall the magnetic properties of our previous $[\text{LnTp}_2\text{NO}_3]$ complexes, we saw that the slow dynamics at low temperature was not governed by single-molecule properties but entirely by vibrations (either molecular or collective). In such case, a modification of the environment of the complexes will very likely impact the observed property, since many vibration modes will be perturbed. As such, we will focus in the following on the first family of complexes only. In contrast with the $[\text{LnTp}_2\text{NO}_3]$ family, here the structures are found only for the lighter lanthanide ions.\footnote{Note that we also retrieve the effect of the lanthanide contraction in the lattice cell volumes, as exemplified in Figure B.5.2} In agreement with our former approach, we studied their luminescent and magnetic properties. Because of a lack of time, we have not yet studied them at the CASSCF level. This study is planned in a close future. ### 5.2.2 Luminescence spectra. We first studied the luminescence properties of complexes 5.6 to 5.12, at both room and liquid nitrogen temperatures. To the exception of the Ce(III) 5.6 and Gd(III) 5.10 derivatives, they present moderate to strong luminescence peaks in the 400 nm - 1200 nm range. Complex 5.7, $[\text{PrTp}_2\text{Acac}]$. We report on Figure 5.2.2 the luminescence spectra of 5.7. As one can see, a signal is already observed at room temperature, but presents a very low resolution. A large background noise is also observed, which to date remains unexplained.\footnote{Note that the large bump between 400 nm and 450 nm corresponds to the residual ligand fluorescence. This band is not usually observed, since the lanthanide luminescence is much more intense. Here, the Pr(III) signal is weak enough to permit its observation.} At low temperature, the resolution is slightly better, though the background contribution remains rather intense. In order to increase the signal over noise ratio, we thus focused on parts of the spectral range and performed several acquisitions with very long collection times (up to half an hour for a 30 nm window). ![Figure 5.2.2: Visible luminescence spectra of 5.7 under a 300 nm irradiation, at room temperature (red curve) and 77 K (blue).](image) This allows us to identify four $4f \rightarrow 4f$ transitions:\footnote{Note that the large bump between 400 nm and 450 nm corresponds to the residual ligand fluorescence. This band is not usually observed, since the lanthanide luminescence is much more intense. Here, the Pr(III) signal is weak enough to permit its observation.} $^3P_0 \rightarrow ^3H_4$ around 490 nm, $^3P_0 \rightarrow ^3H_5$ around 545 nm, $^3P_0 \rightarrow ^3H_6$ around 615 nm and $^3P_0 \rightarrow ^3F_2$ around 650 nm. As one may note, these are all fluorescent transitions ($\Delta S = 0$). Noteworthy, an additional peak seemed to be observed at 575 nm at room temperature, but is not seen at 77 K and does not correspond to any expected transition of the Pr(III) ion. We may then suppose it also was a part of the unexplained background noise. A new campaign of measurement is planned in the close future in order to ascertain this fact, but a spectrometer breakdown delays it for the moment... Complex 5.8, [NdTp$_2$Acac]. We present on Figure 5.2.3 the near-IR luminescence spectrum of 5.8. A broad band is observed at room temperature around 1073 nm, which resolves into three peaks at 77 K, at 1062 nm, 1073 nm and 1090 nm respectively. According to literature, they correspond to the expected $^4F_{3/2} \rightarrow ^4I_{11/2}$ transition of Nd(III).\textsuperscript{199} Two interesting things may be noted here. First, we only observe 3 separated peaks on the spectrum, while we could expect to observe at least – assuming Kasha’s rule is obeyed – 6 transitions. Most probably, these transitions are simply not observable with our experimental conditions, being too weak – although we also employed very long measurements here –. Second, we do not either observe the $^4F_{3/2} \rightarrow ^4I_{9/2}$ transition, which would be expected around 900 nm. As such, our luminescence study does not allow us to gain any information on the ground $^4I_{9/2}$ state. ![Near-IR luminescence spectra of 5.8 under a 300 nm irradiation, at room temperature (red curve) and 77 K (blue).](image) Figure 5.2.3: Near-IR luminescence spectra of 5.8 under a 300 nm irradiation, at room temperature (red curve) and 77 K (blue). Complex 5.9, [SmTp$_2$Acac]. On the other hand, the luminescence spectra of the samarium derivative 5.9 are rich in information. They are depicted on Figure 5.2.4. As one can see, three series of peaks are observed at room temperature, respectively around 565 nm, 603 nm and 648 nm, corresponding to the expected $^4G_{5/2} \rightarrow ^4H_{5/2}$, $^4H_{7/2}$ and $^4H_{9/2}$ transitions.\textsuperscript{199} A fourth one around 705 nm ($^4G_{5/2} \rightarrow ^4H_{11/2}$) can also be guessed, but it shows a very low intensity and as such was not represented here. At 77 K, the three series are nicely resolved, yielding massifs of three, four and five peaks respectively. The corresponding wavelengths and wavenumbers are given in Table 5.8. These numbers of peaks are exactly the one we would expect to observe, since they correspond to the degeneracy of the $^4H_J$ states. If we then assume Kasha’s rule is obeyed, we can tentatively draw the energy diagram for the three first $^4H_J$ states of 5.9. This is achieved on Figure 5.2.8. Note that in the case of the second series of transitions (towards the $^4H_{7/2}$ state), the second luminescence peak seems to be split in two components at 77 K, and as such there is a larger uncertainty on the position of the corresponding KD in the diagram. Two phenomenon may cause this apparent splitting: the lifting of Kasha’s rule, Table 5.8: Wavelengths, absolute and relative wavenumbers associated to the luminescence peaks of 5.9 at 77 K, measured under an irradiation at 300 nm. The relative values are calculated with respect to the highest energy peaks of each transition. \| Transition \| $\lambda$ (nm) \| $\bar{\nu}$ (cm$^{-1}$) \| $\bar{\nu}_{rel}$ (cm$^{-1}$) \| \|------------\|----------------\|--------------------------\|-------------------------------\| \| $^4G_{5/2} \rightarrow ^4H_{5/2}$ \| 562.0(5) \| 17794(16) \| 0 \| \| \| 567.0(5) \| 17637(16) \| +157(32) \| \| \| 575.0(5) \| 17391(15) \| +403(31) \| \| $^4G_{5/2} \rightarrow ^4H_{7/2}$ \| 597.0(5) \| 16750(14) \| 0 \| \| \| 604(1) \| 16556(28) \| +194(42) \| \| \| 607.0(5) \| 16474(14) \| +276(28) \| \| \| 610.0(5) \| 16393(14) \| +357(28) \| \| $^4G_{5/2} \rightarrow ^4H_{9/2}$ \| 644.5(5) \| 15516(12) \| 0 \| \| \| 647.5(5) \| 15444(12) \| +72(24) \| \| \| 651.5(5) \| 15349(12) \| +167(24) \| \| \| 655.5(5) \| 15256(12) \| +260(24) \| \| \| 659.0(5) \| 15175(12) \| +341(24) \| or vibronic effects. We may postulate the second hypothesis is the right one, since we do not observe any peak below the minimum wavelength (560 nm) for this transition\textsuperscript{xxiii}. In any case, we can see that we obtain a nicely resolved energy diagram for the ground state, and we can observe a rather strong CF splitting: +403(31) cm$^{-1}$ between the first and last KD. As such, this complex might be a good candidate for the observation of a SMM behaviour, provided it is magnetically anisotropic – and setting aside the problem of the very weak paramagnetism of Sm(III) –.\textsuperscript{64} ![Figure 5.2.4](image) Figure 5.2.4: Visible luminescence spectra of 5.9 under a 300 nm irradiation, at room temperature (red curve) and 77 K (blue). Complex 5.11, [TbTp$_2$Acac]. We present on Figure 5.2.5 the luminescence spectra of 5.11 at room and liquid nitrogen temperatures. The observed pattern is very characteristic of Tb(III), with four series of peaks centred around 490 nm, 545 nm, 585 nm and \textsuperscript{xxiii}Which would be the case if luminescence from excited KD of the $^4G_{5/2}$ state were active: deexcitation towards the lowest energy KD of the ground state would occur at a higher energy than expected if the emitting state is not the lowest energy KD, thus at lower wavelengths. 620 nm, respectively corresponding to the $^5D_4 \rightarrow ^7F_6$, $^7F_5$, $^7F_4$ and $^7F_3$ transitions.\textsuperscript{199} Interestingly, resolution does not increase much when cooling to 77 K, but luminescence become stronger – though it already was very strong at room temperature –. Anyway, luminescence of the Tb(III) ion does not generally convey much information on the coordination geometry or the crystal field: one says that Tb(III) luminescent transitions are "insensitive" of the coordination sphere. Changes in the coordination sphere will indeed impact principally the overall luminescence efficiency (the so-called quantum yield) and the lifetimes of the emitting state, through modifications of the non-radiative deexcitation mechanisms, but not much the emission wavelengths. \begin{figure}[h] \centering \includegraphics[width=\textwidth]{image.png} \caption{Visible luminescence spectra of \textbf{5.11} under a 300 nm irradiation, at room temperature (red curve) and 77 K (blue).} \end{figure} Complex 5.12, [DyTp$_2$Acac]. On the other hand, the luminescence of the Dy(III) ion can be quite markedly modulated by the crystal field. We represent on Figure 5.2.6 the measured spectra for \textbf{5.12} at room and liquid nitrogen temperatures. \begin{figure}[h] \centering \includegraphics[width=\textwidth]{image.png} \caption{Left: visible luminescence spectra of \textbf{5.12} under a 350 nm irradiation, at room temperature. Right: zoom on the first series of peaks, measured at 77 K.} \end{figure} As one can remark, the room temperature spectrum recalls the one we obtained for [DyTp$_2$NO$_3$], though striking differences are observed. We indeed retrieve two principal transitions at 480 nm and 575 nm, corresponding to the expected $^4F_{9/2} \rightarrow ^6H_{15/2}$ and $^4F_{9/2} \rightarrow ^6H_{13/2}$ deexcitations, and a third one around 650 nm, corresponding to the $^4F_{9/2} \rightarrow ^6H_{11/2}$ emission.\textsuperscript{199} At 77 K, we observe a marked increase in resolution for these transitions. More specifically, if we focus on the first series we may observe twelve clear luminescence peaks, indicating that Kasha’s rule is most probably not obeyed in this case. Yet, we do not observe a doubling of the number of luminescence peaks, and as such we cannot propose an unambiguous and direct attribution of each transition, as we did in the case of [YbTp$_2$NO$_3$]. Nevertheless, and unlike in the case of [DyTp$_2$NO$_3$], we may presume that among these twelve peaks we may find the eight expected transitions of the $^4F_{9/2} \rightarrow ^6H_{15/2}$ deexcitation, plus four so-called hot bands.\textsuperscript{(xxiv)} As such, it could still be possible to deduce the energy diagram of 5.12 in the ground state, provided that we could determine which peaks in the emission spectrum correspond to hot bands. \begin{figure}[h] \centering \includegraphics[width=\textwidth]{excitation_spectrum.png} \caption{Left: excitation spectrum of 5.12, measured at 576 nm and 77 K. Right: superimposition of the excitation (black curve) and luminescence (red curve) spectra at 77 K. The blue dashed line indicates the (0,0) transition in both spectra, the asterisks denote the hot-bands in the luminescence spectrum and the empty circles the hot-bands in the excitation spectrum.} \end{figure} To do so, we measured the excitation spectrum of 5.12 at 77 K, at 576 nm. We remind that such a measurement consists in varying the wavelength of the exciting (incident) beam on the sample and studying how this impacts the luminescence intensity at a fixed $\lambda$. Here, we chose the wavelength to correspond to the emission maximum at room temperature, which itself corresponds to the $^4F_{9/2} \rightarrow ^6H_{13/2}$ transition of Dy(III). As such, any maximum in the spectrum will be associated to an absorption transition from the ground state of our complex towards an excited state that is located above (or equal to) the emitting $^4F_{9/2}$ state of Dy(III) – thus, to a ligand- or Dy(III)-centred excited state –. From the curve in Figure 5.2.7, three series of fine transitions can be observed, approximately centred around 21500 cm$^{-1}$, 22500 cm$^{-1}$ and 23500 cm$^{-1}$ respectively.\textsuperscript{(xxv)} These peaks all correspond to $4f - 4f$ absorptions, and can be respectively assigned to $^6H_{15/2} \rightarrow ^4F_{9/2}$, $^6H_{15/2} \rightarrow ^4I_{15/2}$ and $^6H_{15/2} \rightarrow ^4G_{11/2}$ transitions.\textsuperscript{21,199} The first of these transitions is of particular interest for us, as its reciprocal ($^4F_{9/2} \rightarrow ^6H_{15/2}$) is also observed in the luminescence spectrum. Both massifs of peaks should thus \textsuperscript{(xxiv)}The term "hot band" underlines the fact that these supplementary transitions are permitted by the non-negligible thermal population of the excited states. \textsuperscript{(xxv)}Actually, a fourth one may be guess above 25000cm$^{-1}$ as well, likely corresponding to the $^6H_{15/2} \rightarrow ^4H_{21/2}$ absorption of Dy(III). partly overlap, ideally on a single peak corresponding to the transition between the lowest KDs of both states (highest energy emission and lowest energy absorption). As one can observe on the right side of Figure 5.2.7, several peaks actually overlap, complicating the assignment of each band. Let us denote the transitions by $(n,m)$ where $n$ and $m$ respectively label the KDs in the $^6H_{15/2}$ and $^4F_{9/2}$ states (0 standing for the lowest energy KD). In the excitation spectrum, five intense bands are observed at 21150(9), 21213(9), 21321(9), 21431(9) and 21505(9) cm$^{-1}$ respectively, and five much weaker transitions are observed at 20816(9), 20868(9), 20929(9), 21017(9) and 21088(9) cm$^{-1}$. Since $^4F_{9/2}$ is expected to be split in five KD because of the low symmetry of our complex, and as the lowest KD of $^6H_{15/2}$ will most probably display the largest statistical population at 77 K, we may presume that the five intense bands actually correspond to the $(0,m)$ transitions with $0 \leq m \leq 4$, and the following ones to $(n,m)$ transitions with $n \neq 0$. With this assumption, the band at 21150(9) cm$^{-1}$ can be attributed to the $(0,0)$ transition, and any absorption (\textit{resp.} emission) band at lower (higher) energy will thus be associated to a hot band. If we now focus on the luminescence spectrum, we can see that two peaks are found above the $(0,0)$ transition, at 21317(9) and 21209(9) cm$^{-1}$ respectively, and correspond to the second and third intense excitation bands. They may thus be respectively attributed to the $(0,2)$ and $(0,1)$ (hot bands) transitions. The fourth luminescence peak, found at 21088(9) cm$^{-1}$, is associated to the first weak excitation band, and thus corresponds to a $(1,m)$ transition. Since its intensity is also weak in the luminescence spectrum, we may presume that the emitting KD is weakly statistically populated at 77 K, suggesting that $m = 1$. The fifth luminescence peak, found at 21013(9) cm$^{-1}$, also corresponds to a weak excitation band and thus can be associated to a $(1,m)$ transition. The observed luminescence intensity being non negligible, we may postulate in that case that $m = 0$. Actually, knowing the position of the $(0,0)$, $(0,1)$ and $(1,1)$, we could already deduce the energy of the $(1,0)$ luminescent transition: \[ E(1,1) - E(1,0) = E(0,1) - E(0,0) \] which yields $E(1,0) = 21025(27)$ cm$^{-1}$, in very good agreement with our assignment. Furthermore, one may note that in both the excitation and luminescence spectra this transition presents a shoulder around 20998(9) cm$^{-1}$, which very likely corresponds to a hot-band. The sixth luminescence band, found at 20934(9) cm$^{-1}$, is associated to a rather strong intensity and very likely corresponds to a $(n,0)$ transition, and we may state that $n = 2$ here. As one may note, we also retrieve an excitation band at this energy, which is rather unexpected: the $(2,0)$ absorption band should indeed be very weak, as the third KD of $^6H_{15/2}$ should display a very small statistical population at 77 K. Here, this is most probably the very strong luminescence intensity that permits to observe such weak transitions. At 20860(9) cm$^{-1}$, we find a shoulder in the luminescence spectrum, which very likely corresponds to a hot-band (thus, a $(n,1)$ transition). We may thus presume it actually consists in the $(3,1)$ excitation band, and that the following intense peak at 20807(9) cm$^{-1}$ is the corresponding $(3,0)$ transition. As one may note, the energy gap between these two bands (\textit{ca.} 56 cm$^{-1}$) is very close to the one between the $(0,1)$ and $(0,0)$ transition (\textit{ca.} 63 cm$^{-1}$), supporting this hypothesis. The next four intense bands at 20751(8), 20614(8), 20542(8) and 20483(8) cm$^{-1}$ are also very likely associated to $(n,0)$ transitions, and we may attribute them to the $(4,0)$, $(5,0)$, $(6,0)$ and $(7,0)$ excitations respectively. As one may note, we furthermore observe a shoulder at 20670(8) cm$^{-1}$ (on the second peak), which very likely corresponds to an additional hot-band. It is indeed found 56 cm$^{-1}$ above the second transition, thus suggesting it may be the (5,1) transition. We summarised the luminescence data in Table 5.9 and drew the energy diagram in Figure 5.2.8. As one may note, the energy splitting in the ground $^6H_{15/2}$ state is very marked, with a total energy span of 663(17) cm$^{-1}$. Furthermore, we also notice a strong energy splitting between the two first KD, which indicates 5.12 might be a good candidate for the observation of a SMM behaviour. As we will see in the following, it is indeed the case. Table 5.9: Absolute and relative luminescence energies associated to the $^6H_{15/2} \rightarrow ^4F_{9/2}$ transition of 5.12 at 77 K, measured under an irradiation at 350 nm. The relative values are calculated with respect to the (0,0) transition, and the values in bold font highlight the energy splitting in the ground state. \| E (cm$^{-1}$) \| $E_{rel}$ (cm$^{-1}$) \| Attribution \| \|---------------\|-----------------------\|-------------\| \| 21317(9) \| -171(18) \| (0,2) \| \| 21209(9) \| -63(18) \| (0,1) \| \| 21146(9) \| 0 \| (0,0) \| \| 21088(9) \| 58(18) \| (1,1) \| \| 21013(9) \| 133(18) \| (1,0) \| \| 20986(9) \| 160(18) \| (2,1) \| \| 20934(9) \| 212(18) \| (2,0) \| \| 20863(9) \| 283(18) \| (3,1) \| \| 20807(9) \| 339(18) \| (3,0) \| \| 20751(8) \| 395(17) \| (4,0) \| \| 20670(8) \| 476(17) \| (5,1) \| \| 20614(8) \| 532(17) \| (5,0) \| \| 20542(8) \| 604(17) \| (6,0) \| \| 20483(8) \| 663(17) \| (7,0) \| Figure 5.2.8: Detail of the relative energy diagrams of 5.9 and 5.12, deduced from the 77 K spectra. 5.2.3 Static magnetic properties We thus studied the magnetic properties of these complexes, and first focused on the static responses. The thermal dependence of the $\chi_m T$ product is presented on Figure 5.2.9. As one can remark, to the exception of the Gd(III) derivative we retrieve a thermal evolution for these complexes that is similar to the one we observed for the $[\text{LnTp}_2\text{NO}_3]$ complexes, with a monotonous decrease with temperature.\footnote{Note that, in the case of the Sm(III) derivative 5.9, the paramagnetic moment is too low to be measured above 30 K.} In the case of 5.10, the $\chi_m T$ product is nearly constant between 300 K and 6 K – with a value of 7.63 cm$^3$.K.mol$^{-1}$ –, and then presents an abrupt decrease between 6 K and 2 K, to a final value of 5.23 cm$^3$.K.mol$^{-1}$. These features are very classical of an isolated Gd(III) ion,\footnote{Note that, in the case of the Sm(III) derivative 5.9, the paramagnetic moment is too low to be measured above 30 K.} and suggests strongly that no significant intermolecular magnetic coupling is acting. As such, we may postulate the thermal variations of the $\chi_m T$ product for all these complexes are due to crystal field effects only. ![Figure 5.2.9: Left: $\chi_m T = f(T)$ curves for complexes 5.6 to 5.12, measured under a static field of 0.2 T on powder samples. Right: focus on the low temperature-low susceptibility area. Colour scheme: 5.6, yellow; 5.7, cyan; 5.8, pink; 5.9, brown; 5.10, violet; 5.11, green; 5.12, orange.] Table 5.10: Measured and expected $\chi_m T$ values at 300 K for complexes 5.6 to 5.12, in cm$^3$.K.mol$^{-1}$. Note that, for the Sm(III) derivative, the 300 K was not accessible and thus the 30 K value is given instead. \| Complex \| $\chi_m T$ (300 K) \| Free ion value \| \|---------\|-------------------\|----------------\| \| 5.6 \| 0.92 \| 0.80 \| \| 5.7 \| 1.36 \| 1.60 \| \| 5.8 \| 1.87 \| 1.64 \| \| 5.9 \| 0.11 (30 K) \| 0.09 \| \| 5.10 \| 7.63 \| 7.88 \| \| 5.11 \| 13.16 \| 11.82 \| \| 5.12 \| 12.93 \| 14.17 \| The observed room temperature values are in rather good agreement with the expected ones in the free ion model, as highlighted in Table 5.11. The discrepancies may here also be due to the inadequacy of the free ion model, since we know from the interpretation of the luminescence spectra of 5.9 and 5.12 that the crystal field splitting may be much larger than the thermal energy. Figure 5.2.10: Left: magnetisation versus field curves for complexes 5.6 to 5.12, measured at 2K on powder samples. Right: focus on the signal of 5.9. Same colour scheme as Figure 5.2.9. Table 5.11: Measured and expected (in the free ion model) magnetisation values at 2 K and 5 T for complexes 5.6 to 5.12, in $\mu_B$. \| Complex \| $m$ \| Free ion value \| \|---------\|-------\|----------------\| \| 5.6 \| 0.81 \| 2.14 \| \| 5.7 \| 0.66 \| 3.20 \| \| 5.8 \| 1.10 \| 3.27 \| \| 5.9 \| 0.08 \| 0.71 \| \| 5.10 \| 5.46 \| 7.00 \| \| 5.11 \| 5.32 \| 9.00 \| \| 5.12 \| 4.51 \| 10.00 \| On Figure 5.2.10, we represent the field dependence of magnetisation at 2 K for complexes 5.7 to 5.12. As one may notice, the Gd(III) derivative 5.10 does not seem to present a marked saturation of its magnetisation, as expected. It indeed usually behaves like an ideal and isotropic $S = 7/2$ spin, and thus presents a slow saturation of its magnetisation with field. The Sm(III) derivative 5.9 does also not present a clear saturation of its magnetisation, which is not surprising either. The fact that the $^4H_{7/2}$ excited state of Sm(III) is very close in energy to the ground $^4H_{5/2}$ state indeed often leads Sm(III) complexes to present an original magnetic behaviour compared to other lanthanide ions. Here, we know from the luminescence measurements that the lowest KD of the excited $^4H_{7/2}$ state of Sm(III) lies only 641(30) cm$^{-1}$ above the highest KD of the ground $^4H_{5/2}$ state, an energy difference that is of the order of magnitude of the CF splitting in the ground state (403(31) cm$^{-1}$). Very high fields are then required in order to reach the saturation of magnetisation. For the other complexes, magnetisation is nearly saturated at 5 T, and it is plain from Table 5.11 that the final values are far from the ideal ones. As we previously said, this is the likely sign of magnetic anisotropy, and since we saw that the CF splitting may be quite large for these complexes – at least, we now this is the case of the Sm(III) and Dy(III) derivative – they may present a slow relaxation of magnetisation at low temperature. 5.2.4 AC magnetic properties We thus studied the susceptibility dynamics of all these complexes, to the exception of the Gd(III) derivative. Indeed, as we formerly said Gd(III) is not expected to present any single-ion anisotropy because of its zero orbital momentum. As such, we would not expect 5.10 to present any SMM behaviour. Complex 5.6, [CeTp$_2$Acac]. In the case of the Ce(III) derivative 5.6, we did not observe any out-of-phase signal in the absence of a static magnetic field, neither did we observe any modification of the in-phase signal. Hence, 5.6 does not display any genuine SMM behaviour. We may presume this is, once again, the consequence of a strong QTM. However, if we turn a static field on, a lag in the magnetic response starts to appear. Noteworthy, this complex is, to our best knowledge, the second mononuclear Ce(III) complex to present such a property, and only three other Ce(III)-based SMMs or field-induced SMM were reported so far in the literature.\textsuperscript{216-218} We present on Figure 5.2.11 the $\chi''_m = f(T; \nu)$ curves measured under a static field of 500 Oe. We retrieve the same kind of aspect as what we observed for the [LnTp$_2$NO$_3$] complexes, though striking differences are seen. First of all, the signal over noise ratio is much lower here than previously. This is the consequence of the overall weaker magnetism of complex 5.6, as evidence by the low values of susceptibility (maximum around 0.04 cm$^3$.mol$^{-1}$ for the out-of-phase component). Additional measurements are called, but unfortunately\textsuperscript{(xxvii)} the magnetometer also broke down, delaying these measurements until further notice. Second, we may also notice that the high frequency curves display an interesting characteristic at low temperature: $\chi''_m$ does not decrease to zero, but rather seems to saturate at a positive value. Usually, this is associated to a remnant QTM effect,\textsuperscript{219} which would here not be completely suppressed at 500 Oe. The dynamics of magnetisation of 5.6 may thus, at least at low temperature, be partially controlled by QTM. At higher temperatures, other phenomena are likely involved, and the temperature-frequency dependence of the maxima of the $\chi''_m = f(T; \nu)$ curves may yield valuable information. We represent on the right side of Figure 5.2.11 the $\nu = f(T)$ curves for 5.6, in a log-log scale. It is plain from this Figure that there is an almost linear dependency of $ln \ \nu$ with respect to $ln \ T$, which would be in good agreement with either direct or Raman mechanisms. A marked deviation from linearity in the corresponding Arrhenius plot furthermore suggests that barrierless mechanisms may be acting (see Appendix D.2.1). We thus tried to fit the $\nu = f(T)$ data using these different mechanisms, in a stepwise approach. First, we used the higher temperature points in the Arrhenius plot $ln \ \nu = f(1/T)$ in order to determine the eventual energy barrier, using a linear fitting. This yielded $\Delta E = 33(2)$ K. Then, we tried to fit the $ln \ \nu = f(ln \ T)$ curves using a linear approach too, in order to determine the eventual Raman exponent n. Letting n be a real number, we obtain $n = 6.7(2)$, thus suggesting a $T^7$ Raman mechanism should be involved. Then, we tried to fit the whole data set using a combination of this $T^7$ Raman mechanism, an Orbach relaxation with $\Delta E = 33$ K (fixed, thus we will not obtain an error bar on this parameter), a direct relaxation mechanism ($cT$) and a remnant QTM contribution ($d$): $$\nu = aT^7 + \nu_0 \ \exp \left(-\frac{\Delta E}{k_B T}\right) + cT + d.$$ (5.11) As a result of this fitting procedure, we obtain $$\nu = 0.9(1) \times 10^{-2} \ T^7 + 0.8(1) \times 10^6 \ \exp \left(-\frac{33}{T}\right) + 13(2),$$ (5.12) \textsuperscript{(xxvii)}Well, we may definitively say we are quite unlucky with machines... and we can see from Figure 5.2.11 that the agreement with the experimental data is very good.\textsuperscript{xxviii} Noteworthy, no direct contribution seems to be involved here. Furthermore, we find here a $T^7$ Raman contribution, which is a very interesting result. Indeed, we already observed such a Raman mechanism in the case of [DyTp$_2$NO$_3$], whose structure is akin to the one of 5.6. In this latter case, the predominance of this $T^7$ mechanism could be linked to the quasi-null mixing in the ground KD (leading to a negligible Kramers conjugation with any other state in the energy diagram), which itself may be related to the adequacy of the ligand field with respect to the 4$f$ electron density deformation in this KD. We thus retrieved the same line of arguments as in Rinehart and Long’s model, but applied to the Raman mechanisms. Here, since 5.6 and 5.1 have similar structures, we may presume their ligand fields would show a certain extent of similarity. Moreover, we also know that Dy(III) and Ce(III) ions are expected to present similar magnetic properties in the framework of Rinehart and Long’s model\textsuperscript{xxix}. Thus, using our findings on 5.1 we could already propose that, provided that the magnetisation dynamics of 5.6 occurs – at least partially – \textit{via} a Raman mechanism, this latter would present the observed $T^7$ temperature dependence. It thus seems that Rinehart and Long’s model, which was initially formulated to rationalise energy-barrier dependent dynamics of magnetisation, can be extended to the rationalisation of Raman relaxation mechanisms. Nevertheless, we do not know the generality of such findings: can this extended model be applied on any complex, or is it only working here because of the specificities of our complexes? The answer to such a question requires a huge work, but we may already try to see if this model applies on the other [LnTp$_2$Acac] complexes. Complex 5.7, [PrTp$_2$Acac]. In the case of complex 5.7, no out-of-phase signal is seen in the absence or presence of a static field. Furthermore, the in-phase susceptibility does not either present any frequency dependence, thus suggesting that 5.7 does not present any SMM or field-induced SMM behaviour. This is maybe not surprising: Pr(III) is indeed a non-Kramers ion, as is Ho(III). As such, it may not present a two-fold degenerate ground state, which is a necessary requirement for the observation of a SMM behaviour. Actually, \textsuperscript{xxviii}Unfortunately, due to the low signal over noise ratio, we cannot exploit the $\chi_m'' = f(\chi_m')$ (Cole-Cole) plots in order to add a supplementary confirmation. Complementary measurements are thus truly needed here. \textsuperscript{xxix}They indeed present an oblate deformation of their electron density in the $M_J = \pm J$ KD. if we look more carefully to the static magnetic properties, we can notice a drop in the $\chi_m T$ product at very low temperature, similar to what we observed in the case of the Ho(III) complex 5.2. Most probably, 5.7 presents a non magnetic state low lying state, which leads to a very fast magnetic relaxation at low temperature. Complex 5.8, [NdTp$_2$Acac]. In the case of 5.8, we also observe a non-zero out-of-phase signal under an applied static field. Noteworthy, only three other Nd(III) based SMM or field-induced SMM were reported up to date, and they are all polynuclear complexes.\textsuperscript{217,220,221} Complex 5.8 is thus, as 5.6, a rather original and unusual compound. Here, we first set the field at 2000 Oe, which yielded us the curves represented on Figure 5.2.12.\textsuperscript{(xxx)} As one can see, we retrieve the same kind of aspect as previously for the out-of-phase component, with two noticeable facts. First, the signal over noise ratio is much better here, because of the much larger magnetic moment of 5.8. Furthermore, we can also remark that $\chi''_m$ tends to zero at low temperature for the highest frequencies, thus suggesting any remnant QTM process can be safely neglected here. Actually, this is not much surprising, since the applied field is rather high (and we know QTM is strongly decreasing with magnetic field). On the other hand, the $ln \nu = f(ln T)$ plot on the right side of Figure 5.2.12 strongly suggests Raman or direct mechanisms are involved in the dynamics of magnetisation of 5.8, since a marked linearity is observed. Deviations from linearity in the Arrhenius ($ln \nu = f(1/T)$) plot are furthermore seen, which supports the action of barrierless processes. We thus unfold the same procedure as for complex 5.6: first, we tried to fit the high temperature points of the Arrhenius plot using a linear function, which yields an apparent energy barrier of 35.0(5) K. Then, we also performed a linear fitting on the $ln \nu = f(ln T)$ curve, which yields a slope of around 8.50(8), hence suggesting a $T^9$ Raman mechanism should be involved here. Then, we tried to fit either the $ln \nu = f(ln T)$ and $ln \nu = f(1/T)$ curves using $$\nu = \nu_0 \exp \left(-\frac{35.0}{T}\right) + aT^9 + bT$$ \textsuperscript{(xxx)}We planned measurements at different static fields, and also at zero field, but the SQUID broke down before we could perform them... (with a fixed energy barrier). In this case, the fitting procedure proved quite tricky, and we had to try several starting sets of parameters to find a good agreement with both curves. Eventually, we obtained: \[ \nu = 9.5(3) \times 10^{-4} \ T^9 + 0.16(4)T. \] (5.14) As one can see, we do not retrieve an Arrhenius contribution in this case, as what was observed for the [LnTp$_2$NO$_3$] complexes. Nevertheless, we observe a two-process magnetisation dynamics, which agrees qualitatively well with the shape of the Cole-Cole $\chi''_m = f(\chi'_m)$ curves in Appendix D.2.2. We indeed retrieve a semi-circular shape, and the quality of the data at higher temperature allows to fit the curves with a Cole-Cole equation, with $\alpha$ ranging from 0.03(2) at 4 K to 0.14(2) at 3.2 K. These values are in the range of those we obtained for the [LnTp$_2$NO$_3$], and meet our expectations: at higher temperatures, the $T^9$ Raman relaxation dominates, leading $\alpha$ to tend to zero, while at lower temperature both phenomena are active and thus the range of relaxation rates is larger (hence $\alpha$ is greater). Interestingly, the temperature dependence of the Raman relaxation ($T^9$) implies the magnetic relaxation occurs within two states that are conjugated by Kramers theorem. As such, as previously we may presume this is due to a marked mixing in the different KD of the ground $^4I_{9/2}$ state of Nd(III), and noteworthy in the states that are involved in the relaxation of magnetisation. Such an extended mixing implies the ligand field in 5.8 does not suit any of the pure $M_J$ substates perfectly, in contrast to what we deduced for 5.6. This can actually be once again understood in the framework of Rinehart and Long’s model. Indeed, if we consider the $4f$ electron density distortions in the different $M_J$ substates of Ce(III) and Nd(III) (as evaluated for perfectly isolated ions), we can notice a marked difference between these two ions. In the case of Ce(III), the $4f$ electron density is markedly prolate when $M_J = \pm 1/2$, and becomes markedly oblate when $M_J = \pm 5/2$ ($M_J = \pm 3/2$ being an intermediate case). If we presume the ligand field in 5.6 will suit oblate $4f$ electron density deformations, we could then expect the ground KD to be a nearly pure $\|\pm 5/2\rangle$ state. In the case of Nd(III), in all the $M_J$ substates the $4f$ electron density deformation is intermediate between prolate and oblate. Since the ligand field for this complex should be same as the one of 5.6, it is not expected to be adequate for any of these substates, and in turn we expect to observe a high degree of mixing in every KD, which should lead an eventual Raman process to display a $T^9$ temperature dependence, as observed. Complex 5.9, [SmTp$_2$Acac]. We then turned to complex 5.9, which despite its weak magnetism may be an interesting – if not exotic – compound to study. Indeed, a literature survey revealed only one Sm(III)-based SMM has been reported so far, and it appears this compound is a polynuclear Mn(III)-Sm(III) complex, whose SMM behaviour may not be exclusively due to the lanthanide cation.SmSMM In zero field, a frequency dependence of the in-phase susceptibility can be evidenced, as shown on Figure 5.2.13. Here, we focused only on a limited temperature and frequency range, because of the very low magnetic moment of the sample (below $10^{-8}$ emu, which is near the sensitivity limit of a MPMS Squid). We indeed had to perform long measurements (averaging over 5 values, long collection), and despite these drastic conditions we could not measure any significant out-of-phase signal. Nonetheless, complex 5.9 is very likely a SMM, and we would need additional measurements on a high-sensitivity magnetometer in order to confirm this. Noteworthy, the application of a static magnetic field (of 500 Oe) in this case seems to deteriorate the signal. Most probably, this comes from the fact that a part of the inphase signal moves to the out-of-phase component, thanks to the suppression of QTM, and as such the in-phase component becomes smaller – thus harder to measure – while the out-of-phase component remains too small to be characterised... Complex 5.11, [TbTp$_2$Acac]. In the case of complex 5.11, no out-of-phase component is observed either under a zero or 2000 Oe dc field. Furthermore, no frequency dependence of the in-phase susceptibility can be evidenced, thus suggesting 5.11 does not present a SMM or field-induced SMM behaviour. This may not be surprising since Tb(III) is, as Pr(III) or Ho(III), a non Kramers ion, thus expected to display a completely different magnetism with respect to Kramers ions. Complex 5.12, [DyTp$_2$Acac]. Finally, we also studied the AC response of 5.12, both under a static field and in zero field. We represent the result of these measurements on Figure 5.2.14. It is plain to see that a frequency dependent out-of-phase signal is measured in both cases, thus suggesting 5.12 behaves as a genuine SMM. The zero field curves do not display any visible maximum, which we assume to be lying below 2 K. Interestingly, we can notice that the frequency dependence of these curves is not monotonous: at constant temperature, between 1 Hz and 400 Hz the $\chi''_m$ values are increasing, and above 400 Hz they start to decrease – to reach, at 1200 Hz, values that are close to those measured at 100 Hz. Obviously, here we cannot employ the same methodology as previously to analyse the dynamics of magnetisation$^{(xxx)}$. Fortunately, an analytical expression exists for the out-of-phase component, at constant temperature, as a function of the frequency of the field $(\nu)$ and the relaxation time $(\tau)$:$^{222}$ \[ \chi''_m = (\chi_T - \chi_S) \frac{(2\pi\nu\tau)^{1-\alpha} \cos(\pi\alpha/2)}{1 + 2(2\pi\nu\tau)^{1-\alpha} \sin(\pi\alpha/2) + (2\pi\nu\tau)^{2-2\alpha}} \] (5.15) where $\chi_T$ is the limit value of susceptibility for $\nu \to 0$, $\chi_S$ the limit value for $\nu \to +\infty$, and $\alpha$ the Cole-Cole distortion parameter. Using this equation to fit the $\chi''_m = f(\nu)$ curves for all the temperatures thus permitted us to obtain the rate/temperature data for 5.12 at 0 Oe, which we represent on Figure 5.2.15. Expectedly, the corresponding frequencies are high (above 2000 Hz), thus explaining why we were not able to observe any maximum. We can also notice on the Arrhenius plot a clear saturation of the relaxation rate at low temperature, in good agreement with the expected prevalence of QTM. Interestingly, QTM does not seem to be the only active mechanism in this regime, since a clear temperature dependence is seen. Additional support comes from the $\alpha$ values, which range between 0.13(4) at 2 K and 0.11(2) at 8 K, thus suggesting a (narrow) distribution of relaxation rates is present. The Cole-Cole plots seem to confirm this, the curves showing in all cases a rather semi-circular shape (see Appendix D.2.2). We then tried to model the dynamics of magnetisation using a combination of QTM, Raman and Arrhenius mechanisms, using the same approach as previously. Linear fitting of the high temperature region of the Arrhenius plots yielded an apparent energy barrier of 4.3(6) K. This value does not correspond at all to the energy spectrum we deduced from luminescence, and bears little meaning, thus suggesting no Arrhenius contribution is actually involved here. On the other hand, no linearity is seen is the $ln \ \nu = f(ln \ T)$ plot, which does not permit us to propose any $n$ value for an eventual Raman contribution. From Figure 5.2.15, it appears that the temperature dependence of $^{(xxx)}$It is indeed rather difficult to analyse the temperature/frequency dependence of maxima that do not exist... the relaxation rate is slow, suggesting a low $n$ value. Fitting of the data with $$\nu = \nu_0 + aT^n + bT$$ \hspace{1cm} (5.16) setting $n$ as a real parameter yields $n = 2.7(1)$. This very low value is quite surprising. Indeed, as we have seen previously, Raman processes usually display a $T^9$ or $T^7$ temperature dependence, with some accounts of $T^5$ dynamics when the phonon energy is much larger than the energy difference between the magnetic states.\textsuperscript{81} A $T^3$ Raman dynamics is thus rather unexpected, but it is generally assumed that $n$ values between 1 and 6 are acceptable, and may reflect deviations from the Debye phonon model.\textsuperscript{223} Here, fixing $n = 3$ leads to a rather nice reproduction of the experimental data, and we finally obtain a QTM frequency of 1972(4) Hz. If now we consider the 500 Oe data, the dynamics of magnetisation is even more interesting. First, as one may see from Figure 5.2.14, the temperature range in which the AC signal is observed is much larger than previously, with an out-of-phase response up to 16 K. Furthermore, several mechanisms are likely involved here, since at high frequencies a marked increase of $\chi''_m$ is seen at low temperatures, in addition to the maxima at higher temperatures. This becomes plain if we look at the Cole-Cole plots, depicted on Figure 5.2.16. At low temperature, we indeed retrieve a semi-circular shape, plus additional points at the lowest frequencies (right side of curves), as we observed for [DyTp$_2$NO$_3$]. As temperature increases, the semi-circles get buried and the "tail" points shift to the left, seemingly forming a new semi-circle. This becomes more obvious above 8 K, where the first semi-circles are completely suppressed, while the second fully develop.\textsuperscript{219} We thus seem to observe a transition between a low temperature process (or mixture of processes) and a high temperature one. This becomes more obvious on Figure 5.2.17, where we represent explicitly the temperature dependence of the Cole-Cole plots. We indeed observe a first relaxation process at very low temperatures and high frequencies, which is progressively replaced by a second relaxation process, that is much slower (lower frequency) at low temperature. In three dimensions (T, $\chi'_m$, $\chi''_m$), this results in a "mountain" landscape, the summits being associated with these two processes. Quite likely, the low temperature process is – at least partially – driven by a remnant QTM. We indeed remind that QTM in zero field was found to be rather strong (1908 Hz), and if we assume – as was observed for other mononuclear Dy(III) SMM – that the QTM rate of relaxation varies as $\nu_{0Oe}/(1+bH^2)$ with $b \sim 10^{-5}$ Oe$^{-2}$, then at 500 Oe the remnant QTM should still be non negligible (around 1500 Hz).\textsuperscript{191,203} On the other hand, the high temperature process may be driven by Arrhenius, Raman or direct processes. Nevertheless, fitting of the $\nu = f(T)$ curves in the whole temperature Figure 5.2.17: Top: 3D plot of the temperature dependence of the Cole-Cole curves for 5.12, measured under a static field of 500 Oe. Bottom: corresponding top view. High values of $\chi''_m$ are depicted in red, intermediate values in yellow, and low values in blue. range case may be a quite complicated task, because of the admixture of relaxation mechanisms. We may still try to focus on the highest temperature region (13.2 K to 16.0 K), where the Cole-Cole plots seem to present little to no distortion, suggesting the first mechanism is definitively turned off. Fitting of the Cole-Cole plots proves possible in that temperature region, and the corresponding $\alpha$ values range, respectively, between $0.05(2)$ to $0.01(1)$. First of all, the possibility to fit the data confirms the admixture of the low and high temperature regimes is not encountered any more. Furthermore, the low $\alpha$ values point to a unique relaxation process in this temperature region. $\ln \nu = f(1/T)$ and $\ln \nu = f(\ln T)$ plots both present a marked linearity in this temperature range. In the first case, we obtain an energy barrier of $117(5)$ K, whereas in the second case we obtain a slope of $n = 8.8(3)$, thus implying a $T^9$ Raman mechanism could be active in that case. Interestingly, the deduced energy barrier does not match exactly the one we obtained using luminescence ($87(5)$ cm$^{-1}$, to be compared to the expected $133(18)$ cm$^{-1}$). We may thus consider that the high temperature regime is principally driven by $T^9$ Raman mechanism, though we cannot unambiguously opt for one mechanism or the other basing solely on experimental evidences... ### 5.2.5 Ab initio modelling In order to clarify this, we thus tried to unfold the same computational methodology as for the [LnTp$_2$NO$_3$] complexes, i.e. SA-CASSCF+RASSI-SO calculations with nine electrons spanning the seven $4f$ orbitals of Dy(III). We employed the same ANO basis sets and contractions, and used the same number of roots (21 sextets, 224 quartets and 300 doublets) in the RASSI-SO calculation. However, in that case the reproduction of the magnetic properties is rather poor, and we do not retrieve the same crystal field splitting of the ground $^6H_{15/2}$ state of Dy(III). Actually, we did not manage either to reproduce the magnetic properties of 5.8 and 5.9, as exemplified on Figure 5.2.18. It thus seems that our approach, though quite standard, fails to correctly reproduce the physical behaviour of these [LnTp$_2$Acac] complexes. For the moment, we do not know the exact reason of these difficulties, but they seem quite systematic over the family, and might be related to the specificity of the [LnTp$_2$Acac] complexes. We discussed this problem with Dr. B. Le Guennic, and we are currently performing a series of calculations in order to identify the cause of these problems. Possibly, this is related to the definition of the active space. In our calculations, the only degrees of freedom are indeed the occupations (and composition) of the $4f$ orbitals, assuming that the ligands can be efficiently represented by a unique set of orbitals and occupations in all the CASSCF states we are computing. This may actually not be a good approximation, as the electronic structure of our ligands may vary from one state to another, in order to stabilise the different CASSCF roots. Here, we may presume that Acac will tend to present this kind of behaviour, as it is a rather polarisable ligand (with an extended $\pi$-conjugated system). As such, we should include some ligands orbitals in our active space (both occupied and virtual) in order to permit such polarisation effects. These calculations are currently performed. ### 5.2.6 Long story short In short, basing on the interesting properties of the [LnTp$_2$NO$_3$] complexes, we synthesised and studied a similar family of lanthanide complexes, [LnTp$_2$Acac]. Though virtually any Ln(III) ion can be used to obtain these complexes, we observed a non negligible polymorphism for the heavier ones, which forced us to restrict the study to the lighter lanthanides (Ce - Dy). To the exception of the Ce(III) and Gd(III) derivatives, these complexes present moderate to strong luminescence upon excitation at 300 nm, in the near IR range – Nd(III) derivative 5.8 – or in the visible range. In the case of the Sm(III) 5.9 and Dy(III) 5.12 derivatives, a very high resolution can be obtained on the $4f \rightarrow 4f$ transitions, allowing to draw their energy diagrams in the ground state on an experimental basis. Note that one often has to use deconvolution procedure to achieve this, which is not the case here. From the viewpoint of magnetism, these complexes proved also very interesting. In the case of the Ce(III) and Nd(III) derivatives, we were indeed able to evidence a field-induced SMM behaviour, which up to date was only reported once for mononuclear complexes based on these lanthanide ions. More interestingly, we could tentatively rationalise the observed temperature dependence of the relaxation rate using the same line of arguments as in Rinehart and Long’s model. In the case of the Ce(III) complex, the slow relaxation is indeed partially piloted by a $T^7$ Raman relaxation, as was also observed for [DyTp$_2$NO$_3$]. In that latter case, we could show this $T^7$ process stemmed from the adequacy of the ligand field towards the oblate electron density deformation in the ground $M_J = \pm 15/2$ KD. In the case of Ce(III), the $M_J = \pm 5/2$ KD also presents a similar oblate deformation of the $4f$ electron density, and since the [LnTp$_2$Acac] and [LnTp$_2$NO$_3$] structures are rather alike, we may expect the same line of argument to hold. In the case of Nd(III) on the other hand, a $T^9$ dynamics is observed, consistent with the fact that no $M_J$ substate presents a clear oblate deformation of the $4f$ electron density (no $M_J$ is specifically strongly stabilised, and large extents of mixing can be expected). We also seem to observe a slow relaxation in the case of the Sm(III) derivative, even in the absence of a static magnetic field. However, in this latter case the signal is too low to draw any conclusion, and we would need to measure the AC response of this sample again. In the case of the Dy(III) derivative, a genuine SMM behaviour is observed. In zero field, the slow relaxation is piloted by a fast QTM, in addition to a phonon-bottleneck limited direct process. Turning on a static field drastically changes the AC response, two regimes of relaxation being evidenced. The first regime is observed at very low temperatures, and most presumably corresponds to the zero-field processes. The second regime is observed at much higher temperatures, and its nature is less clear. A strong temperature dependence is indeed observed, originating from a single process that can be analysed as stemming either from an Arrhenius or Raman ($T^9$) mechanism. Using the same line of argument as previously, we might suppose the dynamics of magnetisation is actually piloted by the Arrhenius mechanism, since we would rather expect a $T^7$ Raman contribution. Nevertheless, a non negligible mismatch is observed between the deduced energy barriers from luminescence spectroscopy and fitting of the magnetic data, and we thus strongly need the support of theoretical calculations. ### 5.3 Conclusion In this section, we showed how a combination of experimental – magnetism, luminescence, X-ray diffraction – and theoretical studies allowed to rationalise the physical properties of two related series of lanthanide coordination complexes, [LnTp$_2$NO$_3$] and [LnTp$_2$Acac]. In both cases, field-induced or genuine SMM behaviours could be evidenced, even though quite unexpected in the framework of Rinehart and Long’s model, since they involve lanthanide ions with very different $4f$ electron density deformations in their KD. We could show that, as already reported, these unexpected slow magnetisation dynamics are the consequence of the presence of barrierless relaxation processes, noticeably Raman and direct mechanisms, which were not considered in the former model. Nevertheless, our findings seem to suggest one of these mechanisms – the Raman relaxation – could be rationalised using a similar line of argument as in this model. More explicitly, a $T^9$ Raman dynamics could be expected when the ligand field is not well adapted to the $4f$ electron density deformation in any $\pm M_J$ substate, because this induces a strong mixing in all the possible KD – thus all relaxation pathways connect Kramers conjugated states. On the other hand, if the ligand field is adapted to the $4f$ electron density deformation in one of the $\pm M_J$ substate – ideally, the $M_J = \pm J$ one, as it leads to the highest magnetic moment – we may expect a $T^7$ Raman dynamics, since the ground KD will be a pure $M_J$ substate. Of course, we would need to complete this study in order to confirm or infirm this hypothesis. Further theoretical modelling of the [LnTp$_2$Acac] complexes is planned in the close future, as well as complementary measurements$^{(\text{xxxii})}$. We would also need to study supplementary complexes, in order to accumulate evidence for (or against) our model. Here, we may use the high tunability of the acetylacetone ligand. We could indeed employ different $\beta$-diketonate ligands in order to enlarge the family of [LnTp$_2$L] complexes, with L a bis-oxygenated ligand. Actually, a first attempt of synthesis involving 1,5-diphenylacetylacetone proved successful, thus comforting us in this approach. $^{(\text{xxxii})}$Though we principally wait for the apparatuses to be fixed, which may take some times unfortunately... Throughout this thesis, our work focused on the description and rationalisation of the properties of coordination complexes, by combining experiments and quantum calculations, with the underlying goal of installing a fruitful dialogue between both approaches. To do so, we first employed tools from the framework of conceptual Density Functional Theory in order to rationalise the coordination properties of ligands, thus revisiting the ligand field theories in the words of Parr and Pearson (i.e. philicities and chemical hardness). The success of this first survey led us to study the trans effects in octahedral complexes within the same framework. With a very simple theoretical model, we managed to characterise and rationalise these effects using a very similar line of arguments. Briefly speaking, we could show that trans effect is simply the translation of a reduction in the electrophilicity of the trans position, which itself very likely originates from the ability of certain ligands to efficiently donate their electron density to the metal cation. A rule of thumb thus appeared, in good agreement with experiment: the more donor, the more trans-orienting. More interestingly, using a real space partition of the Dual Descriptor, we could quantify this electrophilicity modulation and, for the first time, contemplate the possibility to build a purely theoretical scale of the trans-orienting ligands. Though only semi-quantitative, as a consequence of the different approximations lying within our theoretical approach, this scale proved nevertheless to correlate nicely with experimental data. We then turned ourselves to the syntheses and characterisation of transition metal complexes of amino-acids based Schiff base analogues. Though syntheses of the ligands proved very simple, isolation of the corresponding complexes was very challenging, and for all transition metal ions we used but Cu(II), was impossible. In that latter case, only two trinuclear complexes and two 1D coordination polymers could be isolated, and in all cases side compounds were found, suggesting hydrolysis took place. To explain this, resorting to both experimental and computational studies proved very valuable. This indeed allowed to determine the solution structure of the free ligands and their Cu(II) complexes, which in turn allowed to initiate a survey of the reactivity of the latter towards water. To do so, we employed a two-steps approach: first finding the reaction mechanism at a relatively low level of theory (in this case, B3LYP plus double-zeta basis sets and pseudopotentials on Cu), and use this first path as an input for a higher level calculation ($\omega$B97xD, triple zeta basis sets with diffuse and polarisation functions, and pseudopotentials on Cu). At the lower level, we managed to find a reaction mechanism that indeed leads to the formation of the starting amino-acid and acetylacetone moieties, but its first step is too energetically expensive to take place. At the higher level of theory, this first step decomposes into two elementary processes, with much lower energy barriers, thus rendering the process rather feasible. Nevertheless, we did not manage yet to retrieve the full reaction path at the higher level of theory – after nearly two years of work –, and more calculations are called in order to confirm our results. It could also be interesting to perform the same kind of survey for the other transition metal cations we employed. We also studied the magnetic properties of the four aforementioned crystalline compounds. In the case of the coordination polymers, a strong antiferromagnetism is seen, whereas in the case of the trimuclear complexes a weak antiferromagnetic coupling is observed. Because of the triangular geometry of these complexes, we wondered whether this antiferromagnetic coupling would result in a frustrated magnetism or, as was already observed in the case of the glycine-based analogue, in a much more exotic situation with quasi degenerate quartet and doublet states. We thus tried to model these complexes using very high level \textit{ab initio} calculations. In agreement with what was observed in the case of the glycine derivative, only the highest level calculations seem to properly model our system. At the SA-CASSCF or DCCI-1 level of theory, a total ferromagnetic picture is indeed obtained, and a tendency towards antiferromagnetism is only observed at the NEVPT2 level – the DDCI-2 and DDCI-3 approaches being out of reach because of the size of our system. Interestingly, in agreement with Malrieu’s conclusion we seem to tend to a more accurate description by a systematic enlargement of the active space in the NEVPT2 calculations, and using the outcome from our first study we proposed a rational way to perform these enlargements. Unfortunately, convergence becomes more and more problematic as the active space size increases, but we have good hope that this approach will eventually succeed. In a third time, we turned ourselves to lanthanide-based mononuclear Single Molecule Magnets. In the first family of complexes we studied, based on late lanthanide ions, a rather unexpected similar field-induced slow dynamics of magnetisation could be evidenced for Dy(III), Er(III) and Yb(III) ions. Using a combination of magnetic and luminescence measurements, in addition to SA-CASSCF(PT2)/RASSI-SO calculations, we managed to identify the cause of this apparent similarity: the slow dynamics, in these three cases, is not governed by any energy-barrier dependent mechanism, but by Raman and direct processes, and as such Rinehart and Long’s model does not hold. Nevertheless, we managed to rationalise the temperature dependence of the Raman processes using the very same lines of argument as those involved in this model, thus suggesting it could be extended. Unfortunately, we did not manage to isolate the same kind of complexes with earlier lanthanides in order to confirm it. Using very simple DFT calculations, we could show that most probably this is due to the lanthanide contraction, which renders the structure unstable for larger (earlier) ions. Incidentally, we could prove by Raman spectroscopy that, indeed, the lanthanide contraction has a sensible impact on our complexes. We thus turned ourselves to a closely related family of complexes, changing the nitrate for a 2,4 pentanedionate ligand. Though already reported in the literature, these complexes were not fully characterised, and noteworthy their magnetic and luminescence properties were not studied. We synthesised the complexes for all the lanthanide ions we had at our disposition, and focused in this preliminary study on the earlier elements (La-Nd, Sm, Gd-Dy) which are isostructural. Most of these complexes displayed a field-induced SMM behaviour, and in the case of the Dy(III) derivative the slow dynamics of magnetisation could still be observed under a zero static field. Evidences tend to suggest the same is true for the Sm(III) derivative, but the signal was too low to be unambiguously assigned. Interestingly, the field-induced SMM behaviour of the Nd(III) and Ce(III) derivative is also partly piloted by Raman relaxation, and could be rationalised using the same line of arguments as previously. More interestingly, the Dy(III) derivative displays a complex dynamics under a static field, with two distinct regimes of relaxation. Interestingly, the nature of both the low temperature and high temperature regimes remains elusive, and further measurements and ab initio calculations are needed in order to fully rationalise this slow dynamics of magnetisation. Conclusion générale Au travers de cette thèse, nous nous sommes attachés à décrire et rationaliser les propriétés de complexes de coordination par l'emploi simultané de la chimie expérimentale et théorique, avec pour but sous-jacent d'instaurer un dialogue fructueux entre les deux approches. Pour ce faire, nous avons dans un premier temps employé les outils de la théorie de la fonctionnelle de la densité conceptuelle afin de rationaliser les propriétés de coordination des ligands, revisitant de fait les théories de type "champ de ligand" dans une approche de type Parr-Pearson (i.e., en termes de philicités et dureté chimique). Le succès de cette première étude nous a ensuite amené à analyser les effets trans dans les complexes octaédriques par le même genre d'approche. A partir d'un modèle théorique très simple, nous avons alors pu caractériser et rationaliser ces effets par des raisonnements très similaires. En bref, nous avons pu montrer que ces effets trans traduisent simplement une réduction de l'électrophilie au niveau de la position de coordination trans, originant elle-même de la faculté qu'ont certains ligands de pouvoir efficacement "donner" de la densité électronique au cation métallique. Une règle générale s'est alors dessinée, en bon accord avec les données expérimentales : plus un ligand est donneur de densité électronique, et plus il est trans orienteur. De manière plus intéressante, nous avons pu quantifier cette modulation de l'électrophilie grâce à une partition du descripteur dual par domaines, et pour la première fois pu envisager la constitution d'une échelle purement théorique des ligands trans-orienteurs. Malgré son caractère semi-quantitatif, conséquence directe des nombreuses simplifications induites par notre approche théorique, cette échelle concorde néanmoins efficacement aux données expérimentales. Nous nous sommes ensuite intéressé à la synthèse et à la caractérisation de complexes d'éléments de transition et de ligands de type "base de Schiff" dérivant d'acides aminés. Bien qu'il se soit révélé très simple d'isoler les ligands, la synthèse des complexes a en revanche été une tâche particulièrement ardue. En effet, de tous les éléments de transition employés, seul le Cu(II) nous a permis d'isoler quatre solides cristallins (deux polymères de coordination monodimensionnels, et deux complexes trinucléaires), et des co-produits d'hydrolyse ont systématiquement été observés. Dans ce cas, l'utilisation jointe de méthodes expérimentales et computationnelles s'est avérée payante. En effet, nous avons pu de ce fait déterminer la structure adoptée en solution par les ligands libres mais aussi par les complexes de cuivre, ce qui nous a ensuite laisser envisager la possibilité d'étudier la réactivité de ces derniers vis-à-vis de l'eau. Pour ce faire, nous avons employé une stratégie en deux étapes : dans un premier temps, chercher le mécanisme de la réaction d'hydrolyse en solution à un relativement bas niveau de théorie (ici, B3LYP et des bases de qualité double-zéta, les électrons de cœur du cuivre étant représentés par un pseudopotentiel), puis utiliser le chemin ainsi déduit comme point de départ d'une série de calculs de plus haut niveau (ici, ωB97xD, bases triple-zéta avec inclusion de polarisation et de fonctions diffuses, et pseudopotentiel sur le cuivre). Au plus bas niveau, nous avons effectivement pu déterminer un chemin réactionnel menant à la formation des réactifs initiaux – acide aminé et acétylacetonate –, mais le coût énergétique de la première étape est trop haut pour être envisageable en pratique. Au plus haut niveau, cette première étape se décompose en deux processus élémentaires, auxquels sont associés de bien plus faibles barrières d’énergie et donc bien plus envisageables en pratique. Néanmoins, nous n’avons pas pu retrouver l’entièreté du chemin réactionnel à ce niveau de théorie – malgré deux ans de travail –, et des calculs supplémentaires sont donc nécessaires avant de pouvoir confirmer définitivement la validité de ces résultats. Il serait aussi intéressant de pratiquer le même genre d’étude dans le cas des autres éléments de transition employés expérimentalement. Quoiqu’il en soit, nous avons aussi étudié les propriétés magnétiques des quatre solides cristallins précédemment mentionnés. Dans le cas des polymères de coordination, un antiferromagnétisme marqué est observé, comme attendu, tandis que dans le cas des complexes trimucléaires un faible couplage antiferromagnétique semble agir. Du fait leur géométrie triangulaire, nous nous sommes demandés si ce couplage antiferromagnétique se pouvait se traduire par de la frustration magnétique, ou si – de manière similaire à ce qui avait été vu dans le cas d’un complexe analogue dérivé de la glycine – un magnétisme plus exotique encore n’était pas à l’œuvre, avec deux états quadruplet et doublet quasi dégénérés. Nous avons donc cherché à modéliser ces complexes par des calculs ab initio de très haut niveau. En accord avec les résultats précédemment obtenus dans le cas de l’analogue à base de glycine, seuls les plus hauts niveaux de théorie semblent fournir une description correct de nos complexes. En effet, au niveau SA-CASSCF comme DDCI-1, un comportement ferromagnétique est obtenu, et seuls les calculs NEVPT2 montrent une tendance vers l’antiferromagnétisme – les calculs de type DDCI-2 et DDCI-3 étant interdits par la trop grosse taille de notre système –. De manière intéressante, en accord avec les conclusions de Malrieu nos calculs semblent montrer une meilleure description au fur et à mesure de l’élargissement de l’espace actif. Par ailleurs, les résultats de notre première étude nous ont permis de suggérer une méthode rationnelle pour réaliser ces élargissements, mais des problèmes de convergence nous ont pour le moment empêché de confirmer pleinement ces hypothèses. Nous avons néanmoins bon espoir que ces résultats soient confirmés dans un futur proche. Dans un troisième temps, nous nous sommes intéressés à d’autres composés au magnétisme original : les molécules aimants mononucléaires à base d’ion lanthanides. Au sein de la première famille de complexes que nous avons étudié, basés sur les lanthanides tardifs, nous avons pu mettre en évidence une similaire lente dynamique de l’aimantation pour les composés de Dy(III), Er(III) et Yb(III). Par la combinaison de mesures magnétiques, de luminescence et de calculs SA-CASSCF(PT2)/RASSI-SO, nous avons pu mettre en évidence la cause de cette apparente similarité : dans ces trois cas, la dynamique de l’aimantation à basse température n’est pas gouvernée par des mécanismes de type Arrhénius, mais plutôt par des mécanismes Raman et direct. De fait, le modèle de Rinehart et Long (qui n’incorpore pas ces mécanismes) ne s’applique a priori plus. Néanmoins, nous avons pu rationaliser la dépendance en température des mécanismes Raman en invoquant le même genre d’arguments que ceux utilisés dans ce modèle, suggérant ainsi qu’il pourrait possiblement être étendu. Malheureusement, il n’a pas été possible d’isoler le même genre de complexes avec d’autres ions lanthanides (du début de la série), et donc de confirmer ou d’informer directement notre hypothèse. Un simple calcul DFT nous a permis de suggérer que cette impossibilité est une conséquence de la contraction des lanthanides, la structure cherchée devenant instable pour les trop gros ions lanthanides. Incidemment, nous avons aussi pu mettre en évidence l’impact de la contraction des lanthanides sur nos complexes par spectroscopie Raman. Nous nous sommes donc tournés vers une seconde famille de complexes, apparentée à la précédente (le ligand nitrate étant remplacé par un acetylacetonate). Bien que déjà décrits dans la littérature au cours des années 1980, ces complexes n’avaient pas été étudiés en détail, et en particulier leurs propriétés magnétique ou de luminescence n’avaient pas été caractérisées. Nous avons donc synthétisé les complexes correspondant à l’ensemble des ions lanthanides à notre disposition, et nous nous sommes tout particulièrement intéressés aux lanthanides du début de la série (La-Nd, Sm, Gd-Dy) pour cette étude préliminaire, puisque les complexes ainsi isolés sont isostructuraux. La plupart de ces complexes ont présenté un comportement de molécule-aimant induit par le champ, et dans le cas du dérivé de dysprosium une dynamique lente de l’aimantation a même pu être mise en évidence en l’absence de champ. Les premières mesures sur l’anologue de samarium suggèrent qu’il présente aussi un véritable comportement SMM, mais le signal s’est avéré trop faible pour être traité en détail. De manière intéressante, la dynamique lente de l’aimantation sous champ des complexes de Nd(III) et Ce(III) s’avère partiellement pilotée par un mécanisme Raman, dont la dépendance en température peut se rationaliser par les mêmes arguments que précédemment. De façon plus intéressante encore, la dynamique de l’aimantation du dérivé de Dy(III) sous champ est très complexe, impliquant deux régimes distincts de relaxation. La nature de ces deux régimes reste assez mystérieuse, et des mesures complémentaires, ainsi que des calculs ab initio sont donc nécessaires. Appendix A Syntheses Mass spectra were performed at the "Centre commun de spectrométrie de masse de l'Université Claude Bernard - Lyon 1". NMR spectra were recorded at the "Centre Commun de RMN de l'Université Claude Bernard - Lyon 1", on a AVS 300 Bruker apparatus (300 MHz). A.1 Schiff bases deriving from $\alpha$ amino acids A.1.1 Ligands syntheses \[ \begin{align} \text{MeOH} & \xrightarrow{\text{reflux}} \\ \text{H}_2\text{N} & \quad \text{NH} \\ \text{O}^\Theta & \quad \text{O}^\Theta \\ \text{K}^\Theta & \quad \text{K}^\Theta \end{align} \] Figure A.1.1: Reaction scheme corresponding to the synthesis of $^1\text{L}_1\text{HK}$. The same procedure was used for all the $\alpha$ amino-acids listed in Chapter 4. The procedure is adapted from S. Petit, and was used for alanine, leucine and valine (D, L and DL): 1.114 g (12.5 mmol) of L-alanine are suspended in 12.5mL of a 1 M solution of KOH in methanol (1 equivalent), at room temperature. After 30 minutes of stirring, the solid partly dissolves and yields a fine suspension. 1.252 g (1 equivalent) of 2,4-pentanedione are dissolved in 5 mL of methanol and added dropwise to the mixture. The solution quickly becomes yellow. It is then refluxed overnight (typical experiment, 17 hours), yielding a yellow-orange clear solution (no traces of solid remaining). The reaction mixture is allowed to cool down, and the solvent is removed under reduced pressure (rotary evaporator). The resulting yellow solid is washed with petroleum ether, then extracted with methanol and filtered. Methanol is removed under reduced pressure, yielding 2.561 g of $^1\text{L}_1\text{HK}$ as a white-yellow solid. Yield: 98%. NMR spectroscopy of $^1\text{L}_1\text{HK}$ and $^1\text{L}_2\text{HK}$ (in D$_2$O): $^1\text{L}_1\text{HK}$: $\delta = 1.33$ ppm (d, J=7.16 Hz, 3H - f), $\delta = 1.85$ ppm (s, 3H - a or c), $\delta = 1.90$ ppm (s, 3H - c or a), $\delta = 4.02$ ppm (q, J=7.16 Hz, 1H - e), $\delta = 5.07$ ppm (s, 1H - b). Table A.1: ESI mass spectrometry (in MeOH) and IR (powder sample). \| Ligand \| IR: $\bar{\nu}_{\text{C=O}}$ \| $\bar{\nu}_{\text{C-N}}$ \| ESI (u) \| \|--------\|-----------------\|-----------------\|---------\| \| $^L$L$_1$HK \| 1595 cm$^{-1}$ \| 1515 cm$^{-1}$ \| +172.1, $[^L$L$_1$H$_3]^+$ \| \| \| \| 1537 cm$^{-1}$ \| −170.0, $[^L$L$_1$H]$^-$ \| $^D$L$_1$HK \| 1593 cm$^{-1}$ \| 1515 cm$^{-1}$ \| +172.1, $[^D$L$_1$H$_3]^+$ \| \| \| \| 1538 cm$^{-1}$ \| −170.0, $[^D$L$_1$H]$^-$ \| $^{DL}$L$_1$HK \| 1598 cm$^{-1}$ \| 1515 cm$^{-1}$ \| +172.1, $[^{DL}$L$_1$H$_3]^+$ \| \| \| \| 1535 cm$^{-1}$ \| −170.0, $[^{DL}$L$_1$H]$^-$ \| $^L$L$_2$HK \| 1599 cm$^{-1}$ \| 1511 cm$^{-1}$ \| +200.1, $[^L$L$_2$H$_3]^+$ \| \| \| \| 1537 cm$^{-1}$ \| −198.1, $[^L$L$_2$H]$^-$ \| $^D$L$_2$HK \| 1598 cm$^{-1}$ \| 1514 cm$^{-1}$ \| +200.1, $[^D$L$_2$H$_3]^+$ \| \| \| \| 1535 cm$^{-1}$ \| −198.1, $[^D$L$_2$H]$^-$ \| $^{DL}$L$_2$HK \| 1597 cm$^{-1}$ \| 1517 cm$^{-1}$ \| +200.1, $[^{DL}$L$_2$H$_3]^+$ \| \| \| \| 1541 cm$^{-1}$ \| −198.1, $[^{DL}$L$_2$H]$^-$ \| $^L$L$_3$HK \| 1595 cm$^{-1}$ \| 1516 cm$^{-1}$ \| +214.1, $[^L$L$_3$H$_3]^+$ \| \| \| \| 1546 cm$^{-1}$ \| −212.3, $[^L$L$_3$H]$^-$ \| $^D$L$_3$HK \| 1597 cm$^{-1}$ \| 1516 cm$^{-1}$ \| +214.1, $[^D$L$_3$H$_3]^+$ \| \| \| \| 1545 cm$^{-1}$ \| −212.3, $[^D$L$_3$H]$^-$ \| $^{DL}$L$_3$HK \| 1597 cm$^{-1}$ \| 1518 cm$^{-1}$ \| +214.1, $[^{DL}$L$_3$H$_3]^+$ \| \| \| \| 1538 cm$^{-1}$ \| −212.3, $[^{DL}$L$_3$H]$^-$ $^D$L$_2$HK: $\delta = 0.76$ ppm (d, J=6.78 Hz, 1H - f$^$), $\delta = 0.84$ ppm (t, J=5.93 Hz, 6H - g$^$), $\delta = 1.81$ ppm (s, 3H - a or c), $\delta = 1.88$ ppm (s, 3H - c or a), $\delta = 3.81$ ppm (qd, J=4.14 Hz, 1H - e$^$), $\delta = 5.07$ ppm (s, 1H - b). Calculated: $\delta = 1.27$ ppm (J=6.10 Hz, f), $\delta = 1.86$ ppm (c), $\delta = 1.90$ ppm (a), $\delta = 3.88$ ppm (J=6.10 Hz, e), $\delta = 4.85$ ppm (b). For $^{DL}$L$_2$H$^-$, on an optimised structure with an implicit solvent (H$_2$O, PCM), at the B3LYP/6-311++G(d) level, using the GIAO method. Chemical shifts are relative to TMS, computed at the same level of theory. A.1.2 Complexations The procedure is derived from S. Petit, and was applied for the D, L and DL enantiomers of ligands $L_1$HK, $L_2$HK and $L_3$HK.\textsuperscript{159} 87 mg (0.5 mmol) of CuCl$_2 \cdot 2$H$_2$O (or 125 mg of CuSO$_4 \cdot 5$H$_2$O) are dissolved in 5 mL of methanol, and added dropwise to a solution of 105 mg (1 equivalent) of $^L$L$_1$HK in 5 mL of methanol. The resulting solution is of a deep emerald green colour, which changes to dark blue upon addition of 0.15 mL (2 equivalents) of triethylamine. After filtration, this solution is left to slowly evaporate. Within a few weeks, the reaction mixture is almost dry and, in the cases of L$_1$HK and L$_2$HK ligands, several crystals are seen as well as an off-white powder. The two solids are easily separated using sonication in heptane, affording single crystals amenable for X-ray diffraction. Powder X-ray diffraction:* Comparison between the calculated and experimental powder X-ray diffractograms reveal the uniqueness of the obtained crystalline phases. ### A.2 Hydrotris-pyrazolylborohydride based lanthanide complexes #### A.2.1 KTp synthesis ![Reaction scheme corresponding to the synthesis of KTp.](image) Figure A.2.1: Reaction scheme corresponding to the synthesis of KTp. The procedure is adapted from S. Trofimenko:$^{181}$ 1.079 g (0.02 mol) of KBH$_4$ and 5.438 g (0.08 mol, 4 equivalents) of pyrazole are mixed together in a 100 mL round bottomed flask, and placed in an oil bath. The flask is connected to an air condenser, itself connected to a safety flask and a 2 L measuring cylinder filled with water and inverted in a reservoir of water (apparatus for collection of gas over water). The mixture is stirred and the temperature is increased progressively to 190 °C, with 30 min. plateaux at 105 °C and 125 °C. After 4 to 6 hours, a total volume of 1340 mL of H$_2$ is collected (3 equivalents). The slurry, consisting of KTp in molten pyrazole, is then cooled down to room temperature. 20 mL of toluene are added, and the mixture is stirred and heated until the solid pyrazole has completely dissolved (around 90 °C). The resulting fine suspension is filtered, washed with 2×20 mL of toluene, 2×20 mL of heptane, 2×10 mL of pentane and let to dry in air. The procedure affords 3.117 g of KTp as a white, crystalline solid. Yield: 62%. ESI mass spectrometry (in MeOH): \| m/Z (u) \| Intensity (%) \| Ion \| \|---------\|---------------\|-----------\| \| -213.2 \| 100 \| [Tp]$^-$ \| \| -449.2 \| 60 \| [NaTp$_2$]$^-$ \| \| -685.0 \| 20 \| [Na$_2$Tp$_3$]$^-$ \| NB: no signal is observed in the positive m/Z area. $^1$H NMR in CD$_3$OD, 300 MHz: $\delta = 6.15$ ppm (t, 3H); $\delta = 7.15$ ppm (d, 2H); $\delta = 7.50$ ppm (d, 3H). NB: The hydride H is not seen, as underlined by Trofimenko. A.2.2 [LnTp$_2$NO$_3$] complexes The following method has been employed for $Ln = Dy, Ho, Er, Yb$ and $Y$. 234 mg of Yb(NO$_3$)$_3 \cdot 6$H$_2$O (0.5 mmol) were dissolved in 10 mL of methanol, and added dropwise to a solution of 252 mg of KTp (2 equivalents) in 10 mL of methanol. Precipitation occurs during the addition. The resulting suspension is stirred for 5 to 10 minutes at room temperature, then evaporated to dryness (rotary evaporator). The solid is then extracted with 2 $\times$ 10 mL of dichloromethane, or 2 $\times$ 15 mL of chloroform, and the remaining solid is washed with an additional aliquot of the same solvent. The solution is then layered with heptane (2 to 5 mL) and left to slow evaporation. Single crystals are obtained within 5 to 10 days. ESI mass spectrometry (in CH$_2$Cl$_2$): each time a single peak is observed, corresponding to a [LnTp$_2$]$^+$ ion: +589.1 u (Dy), +591.3 u (Ho), +592.4 u (Er), +600.1 u (Yb), +515.3 u (Y). Nothing is observed in the negative m/Z region. Powder X-ray diffraction: Comparison between the calculated and experimental powder X-ray diffractograms reveal the uniqueness of the obtained crystalline phases. A.2.3 [LnTp$_2$Acac] complexes The following methods have been employed for $Ln = La - Nd, Sm - Er, Yb$ and $Y$. Non-aqueous way. 252 mg of KTp (1 mmol), 0.5 mL of a 1 M solution of KOH in methanol (0.5 equivalent) and 0.05 mL of 2,4-pentanedione (AcacH, 0.5 equivalent) are mixed in 10 mL of methanol. 187 mg of DyCl$_3 \cdot 6$H$_2$O (0.5 equivalents), dissolved in 10 mL of methanol, are added dropwise to the previous solution. Precipitation occurs during the addition, and the resulting suspension is stirred at room temperature for 10 additional minutes. Afterwards, the solvent is removed under reduced pressure (rotary evaporator). Then, the solid is extracted in 3 $\times$ 10 mL of CH$_2$Cl$_2$, and the solution is layered with heptane (5 mL). It is then left to slowly evaporate. Single crystals are obtained within one week, possibly after recrystallisation (La, Sm). Aqueous way. Adapted from J. Moss\textsuperscript{215}. 252 mg of KTp (1 mmol), 0.05 mL of AcacH (0.5 equivalents) and 0.5 mL of a 1 M solution of KOH in water are mixed in 10 mL of water. 187 mg of DyCl$_3 \cdot 6$H$_2$O (0.5 equivalents), dissolved in 10 mL of water, are added to the previous solution. Precipitation occurs immediately, and the resulting suspension is stirred for 10 minutes. 20 mL of dichloromethane is then added, and the mixture is vigorously stirred for 10 minutes. The resulting two liquid phases are separated, and the organic layer is dried with Na$_2$SO$_4$. It is then filtered, layered with heptane (5 mL) and left to slowly evaporate. Single crystals are obtained within one week. ESI mass spectrometry (in CH$_2$Cl$_2$): nothing is seen in the negative nor positive m/Z region. Powder X-ray diffraction: Comparison between the calculated and experimental powder X-ray diffractograms reveal the uniqueness of the obtained crystalline phases. Appendix B Crystal structures B.1 Single crystal X-ray diffraction: details Single crystal X-ray diffractions were performed at the LMI. Diffracted intensities were collected on a 4-circles XCalibur apparatus (Oxford Diffraction), at room temperature, under a Mo Kα radiation ($\lambda = 0.7107$ Å). Data reduction and absorption corrections were computed using CrysAlis. Unless otherwise stated, structure solutions were calculated by the charge flipping method, using Superflip (as implemented in the software suite Crystals). In a few cases, the structure solutions were found by direct methods, using SIR97. In both cases, missing H atoms were found by difference Fourier density mapping. All but H atoms were then anisotropically refined by least squares on F, using Crystals. When relevant, disordered solvent effects were taken into account using the SQUEEZE option of the PLATON program. All the figures were drawn using VESTA 3.3.2. B.2 Trinuclear copper(II) complexes 4.1 and 4.2 ![Figure B.2.1](image) Figure B.2.1: Structure of the two $[\text{Cu}_3(\mu_2-\text{L}_1)_3(\mu_3-\text{OH})]^{-}$ complexes found within the asymmetric unit of structure 4.1. The relative orientations are different. Notice relative to tables B.2 and B.3: - geometrical parameters and their error bars were computed using Mercury; Figure B.2.2: Structure of the two $[\text{Cu}_3(\mu_2-\text{DL})_3(\mu_3-\text{OH})]^-$ complexes found within the asymmetric unit of structure 4.2. The relative orientations are different. Table B.1: Cell and refinement parameters for the single crystal X-Ray diffraction study of $\text{K}_2[\text{Cu}_3(\mu_2-\text{L})_3(\mu_3-\text{OH})]_2 \cdot 5\,\text{H}_2\text{O}$ (4.1) and $\text{K}_2[\text{Cu}_3(\mu_2-\text{D})_3(\mu_3-\text{OH})]_2 \cdot 5\,\text{H}_2\text{O}$ (4.2). $N_{IR}/N_{R.R}$: number of independent reflections versus number of refined reflections. \| Complex \| 4.1 \| 4.2 \| \|---------\|-----\|-----\| \| Formula \| $\text{C}_{48}\text{H}_{78}\text{Cu}_6\text{K}_2\text{N}_6\text{O}_{25}$ \| $\text{C}_{48}\text{H}_{78}\text{Cu}_6\text{K}_2\text{N}_6\text{O}_{25}$ \| \| FW (g.mol$^{-1}$) \| 1598.64 \| 1598.64 \| \| $a$ ($\text{\AA}$) \| 23.715(1) \| 14.3538(6) \| \| $b$ ($\text{\AA}$) \| 20.8777(8) \| 23.7444(7) \| \| $c$ ($\text{\AA}$) \| 13.1738(6) \| 20.8813(7) \| \| $\alpha$, $\beta$, $\gamma$ (°) \| 90 \| 90 \| \| $V$ ($\text{\AA}^3$) \| 7017.6(5) \| 7116.8(4) \| \| $Z$ \| 4 \| 4 \| \| Space group \| $P2_12_12_1$ \| $P2_12_12_1$ \| \| $\mu$ (cm$^{-1}$) \| 1.978 \| 1.951 \| \| $F_{000}$ \| 3280 \| 3280 \| \| $N_{IR}/N_{R.R}$ \| 16350/8360 \| 16444/9033 \| \| N. parameters \| 785 \| 785 \| \| Flack \| 0.03(3) \| 0.05(2) \| \| $R(F, I > 3\sigma(I))$ \| 8.06% \| 6.77% \| \| $R_w(F, I > 3\sigma(I))$ \| 7.85% \| 4.42% \| \| $GooF$ \| 1.0004 \| 0.9069 \| - when relevant, these parameters are given for each trinuclear complex within the asymmetric unit (the three first values corresponding to one complex, the three last to the second complex); - d(Cu-X) are the distances between a given copper atom and its neighbours. O$_{\text{ket},s}$ labels the closest ketone-like O atom, O$_{\text{ket},l}$ the bridging ketone-like O atom from the other ligand, O$_{\text{COO}}$ the coordinating O atom from the carboxylate group, and O$_{\text{OH}}$ the O atom from the bridging hydroxide; - $\overline{\text{XCuX}}$ and $\overline{\text{CuXCu}}$ are the associated coordination angle, X being defined similarly to the previous case; - d($\overline{\text{Cu-O}_{\text{OH}}}$) represents the calculated distance between the hydroxide and the mean plane defined by the three copper atoms of a given trinuclear complex. Table B.2: Selected distances (in Å) related to the coordination sphere of the Cu atoms in complexes 4.1 and 4.2. \| Parameter \| Complexes 4.1 \| Complexes 4.2 \| Average for 4.1 \| Average for 4.2 \| \|-----------\|---------------\|---------------\|-----------------\|-----------------\| \| d(Cu-N) \| \| \| \| \| \| \| 1.927(9) \| 1.924(6) \| 1.90(3) \| 1.91(1) \| \| \| 1.893(9) \| 1.910(6) \| \| \| \| \| 1.880(9) \| 1.903(7) \| \| \| \| \| 1.929(9) \| 1.931(6) \| 1.91(2) \| 1.91(2) \| \| \| 1.92(1) \| 1.908(6) \| \| \| \| \| 1.89(1) \| 1.889(7) \| \| \| \| d(Cu-O\textsubscript{ket,s}) \| \| \| \| \| \| \| 1.904(7) \| 1.906(6) \| 1.898(7) \| 1.904(6) \| \| \| 1.900(9) \| 1.903(5) \| \| \| \| \| 1.891(6) \| 1.902(4) \| \| \| \| \| 1.921(9) \| 1.922(6) \| 1.91(2) \| 1.91(1) \| \| \| 1.920(9) \| 1.918(5) \| \| \| \| \| 1.897(6) \| 1.90(1) \| \| \| \| d(Cu-O\textsubscript{ket,l}) \| \| \| \| \| \| \| 2.501(9) \| 2.562(4) \| 2.47(3) \| 2.48(4) \| \| \| 2.463(7) \| 2.477(5) \| \| \| \| \| 2.451(8) \| 2.464(6) \| \| \| \| \| 2.545(9) \| 2.556(4) \| 2.5(1) \| 2.50(9) \| \| \| 2.54(1) \| 2.535(7) \| \| \| \| \| 2.389(7) \| 2.418(5) \| \| \| \| d(Cu-O\textsubscript{COO}) \| \| \| \| \| \| \| 1.93(1) \| 1.950(5) \| 1.92(1) \| 1.93(2) \| \| \| 1.926(7) \| 1.941(6) \| \| \| \| \| 1.921(9) \| 1.916(6) \| \| \| \| \| 1.963(9) \| 1.964(5) \| 1.95(3) \| 1.93(3) \| \| \| 1.963(9) \| 1.916(4) \| \| \| \| \| 1.926(9) \| 1.913(6) \| \| \| \| d(Cu-O\textsubscript{OH}) \| \| \| \| \| \| \| 3.213(2) \| 3.219(1) \| 3.15(6) \| 3.13(6) \| \| \| 3.131(2) \| 3.138(1) \| \| \| \| \| 3.117(2) \| 3.130(1) \| \| \| \| \| 3.183(2) \| 3.185(1) \| 3.16(2) \| 3.16(2) \| \| \| 3.159(2) \| 3.163(1) \| \| \| \| \| 3.131(2) \| 3.138(1) \| \| \| \| d(\overline{\text{Cu-O\textsubscript{OH}}}) \| \| \| 0.73(3) \| 0.72(2) \| \| \| 0.751 \| 0.727 \| \| \| \| \| 0.700 \| 0.706 \| \| \| B.3 Copper(II) coordination polymers Table B.3: Selected angles (in °) related to the coordination sphere of the Cu atoms in complexes 4.1 and 4.2. \| Parameter \| Complexes 4.1 \| Complexes 4.2 \| Average for 4.1 \| Average for 4.2 \| \|-----------\|---------------\|---------------\|-----------------\|-----------------\| \| $\text{CuO}_\text{OH}\text{Cu}$ \| 108.9(3) 107.3(3) 106.9(3) \| 110.0(2) 106.2(2) 105.2(2) \| 108(1) \| 107(3) \| \| \| 109.1(4) 105.6(3) 104.4(3) \| 109.3(2) 107.5(2) 107.0(2) \| 106(3) \| 108(2) \| \| $\text{CuO}_\text{ket}\text{Cu}$ \| 92.0(3) 91.4(4) 87.9(4) \| 91.5(4) 90.9(2) 90.9(2) \| 108(1) \| 107(3) \| \| \| 92.1(3) 91.6(3) 91.1(3) \| 91.6(2) 90.9(2) 89.0(3) \| 91.6(5) \| 90(2) \| Figure B.3.1: Structure of the $[\text{Cu}(\mu_2-\text{L}_1)]$ polymer 4.3, seen along the $c$ axis (left), and detail on the asymmetric unit numbering scheme (right). Figure B.3.2: Structure of the $[\text{Cu}(\mu_2-\text{L}_1)]$ polymer 4.4, seen along the $c$ axis (left), and detail on the asymmetric unit numbering scheme (right). Table B.4: Cell and refinement parameters for the single crystal X-Ray diffraction study of $[\text{Cu}(\mu_2-\text{L}_1)]$ (4.3) and $[\text{Cu}(\mu_2-\text{D}_1)]$ (4.4). $N_{IR}/N_{R,R}$: number of independent reflections versus number of refined reflections. \| Complex \| 4.3 \| 4.4 \| \|---------\|-----\|-----\| \| Formula \| $C_8H_{11}Cu_1N_1O_3$ \| $C_{11}H_{17}Cu_1N_1O_3$ \| \| FW (g.mol$^{-1}$) \| 232.73 \| 274.81 \| \| $a$ ($\AA$) \| 5.0016(3) \| 4.9606(4) \| \| $b$ ($\AA$) \| 12.7365(9) \| 8.9692(9) \| \| $c$ ($\AA$) \| 14.7029(8) \| 27.702(2) \| \| $\alpha, \beta, \gamma$ ($^{\circ}$) \| 90 \| 90 \| \| $V$ ($\AA^3$) \| 936.6(1) \| 1234.5(2) \| \| $Z$ \| 4 \| 4 \| \| Space group \| $P2_12_12_1$ \| $P2_12_12_1$ \| \| $\mu$ (cm$^{-1}$) \| 2.304 \| 1.764 \| \| F$_{000}$ \| 476 \| 572 \| \| $N_{IR}/N_{R,R}$ \| 2180/1797 \| 2826/2227 \| \| N. parameters \| 119 \| 146 \| \| Flack \| 0.04(2) \| -0.01(3) \| \| $R(F, I > 3\sigma(I))$ \| 2.98% \| 4.24% \| \| $R_w(F, I > 3\sigma(I))$ \| 3.93% \| 4.50% \| \| $GooF$ \| 0.9809 \| 0.9455 \| Table B.5: Selected geometrical parameters relative to the environment of the copper(II) ions in structures 4.3 and 4.4. Distances are given in Å and angles in $^\circ$. Addison parameter $\tau$ is dimensionless. \| \| Polymer 4.3 \| Polymer 4.4 \| \|---\|-------------\|-------------\| \| d(Cu-O$_2$) \| 1.990(2) \| 1.977(3) \| \| d(Cu-O$_3^-$) \| 1.996(2) \| 1.982(3) \| \| d(Cu-O$_1$) \| 1.896(3) \| 1.888(3) \| \| d(Cu-N) \| 1.921(3) \| 1.908(3) \| \| d(Cu-O$_3^-$) \| 2.512(3) \| 2.564(3) \| \| $\widehat{NCuO}_1$ \| 95.2(1) \| 95.1(2) \| \| $\widehat{NCuO}_2$ \| 83.5(1) \| 83.7(2) \| \| $\widehat{NCuO}_2$ \| 170.8(1) \| 168.2(2) \| \| $\widehat{O_2'CuO_2}$ \| 83.5(1) \| 83.7(2) \| \| $\widehat{CuO_2Cu}$ \| 128.4(1) \| 128.4(1) \| \| $\tau$ \| 0.10 \| 0.06 \| \| Geometry \| SBP \| SBP \| B.4 [LnTp$_2$NO$_3$] crystal structures Figure B.4.1: ORTEP drawing of the [LnTp$_2$NO$_3$] complexes 5.1 to 5.5, ellipsoids drawn at 50% probability. Example: [YbTp$_2$NO$_3$] (5.4). Table B.6: Geometrical parameters related to the first coordination sphere of lanthanide ions for the [LnTp$_2$NO$_3$] complexes. \| Parameter \| [DyTp$_2$NO$_3$] \| [HoTp$_2$NO$_3$] \| [ErTp$_2$NO$_3$] \| [YbTp$_2$NO$_3$] \| [YTp$_2$NO$_3$] \| \|-----------\|-----------------\|-----------------\|-----------------\|-----------------\|-----------------\| \| Ln-N$_{pyr}$ (Å) \| 2.448(4) \| 2.394(2) \| 2.383(2) \| 2.353(2) \| 2.399(2) \| \| \| 2.472(4) \| 2.470(2) \| 2.465(2) \| 2.437(2) \| 2.475(2) \| \| \| 2.404(4) \| 2.429(2) \| 2.411(2) \| 2.408(2) \| 2.456(2) \| \| \| 2.460(4) \| 2.442(2) \| 2.442(2) \| 2.391(2) \| 2.436(2) \| \| \| 2.445(4) \| 2.442(2) \| 2.452(2) \| 2.414(2) \| 2.449(2) \| \| \| 2.496(4) \| 2.483(2) \| 2.479(2) \| 2.452(2) \| 2.488(2) \| \| Ln-O (Å) \| 2.399(3) \| 2.393(2) \| 2.394(2) \| 2.355(2) \| 2.386(2) \| \| \| 2.460(3) \| 2.446(2) \| 2.428(2) \| 2.421(2) \| 2.446(2) \| \| $\overline{\text{N}Ln\text{N}}$ (°) \| 70.9(1) \| 70.7(3) \| 71.25(9) \| 71.22(7) \| 70.86(7) \| \| \| 71.0(1) \| 70.8(3) \| 71.92(8) \| 71.44(7) \| 70.89(8) \| \| \| 76.4(1) \| 77.7(3) \| 77.20(9) \| 77.40(7) \| 76.98(7) \| \| \| 77.7(1) \| 77.4(3) \| 78.21(8) \| 78.70(8) \| 77.75(8) \| \| \| 80.0(1) \| 80.5(3) \| 80.59(9) \| 81.11(7) \| 80.34(7) \| \| \| 80.3(1) \| 80.8(3) \| 81.10(8) \| 81.39(8) \| 80.54(8) \| \| $\overline{\text{OLnO}}$ (°) \| 52.5(1) \| 52.83(7) \| 52.9(3) \| 53.34(7) \| 52.85(7) \| \| Complex \| 5.1 \| 5.2 \| 5.3 \| 5.4 \| 5.5 \| \|---------\|-----\|-----\|-----\|-----\|-----\| \| Formula \| $C_{18}H_{20}B_2Dy_1N_{13}O_3$ \| $C_{18}H_{20}B_2H_0N_{13}O_3$ \| $C_{18}H_{20}B_2Er_1N_{13}O_3$ \| $C_{18}H_{20}B_2Yb_1N_{13}O_3$ \| $C_{18}H_{20}B_2Y_1N_{13}O_3$ \| \| FW (g/mol) \| 650.56 \| 652.99 \| 655.32 \| 661.10 \| 570.97 \| \| $a$ (Å) \| 15.7332(5) \| 15.7363(4) \| 15.7592(7) \| 15.7662(4) \| 15.7452(7) \| \| $b$ (Å) \| 9.1641(2) \| 9.1408(2) \| 9.1332(3) \| 9.1066(2) \| 9.1536(3) \| \| $c$ (Å) \| 17.6410(5) \| 17.5834(5) \| 17.5481(7) \| 17.4455(5) \| 17.5988(7) \| \| $\alpha$, $\gamma$ ($^\circ$) \| 90 \| 90 \| 90 \| 90 \| 90 \| \| $\beta$ ($^\circ$) \| 104.811(3) \| 104.804(3) \| 104.815(4) \| 104.876(3) \| 104.785(4) \| \| $V$ (Å$^3$) \| 2459.0(2) \| 2444.6(2) \| 2441.8(2) \| 2420.8(2) \| 2452.4(2) \| \| $Z$ \| 4 \| 4 \| 4 \| 4 \| 4 \| \| Space group \| P2$_1$/c \| P2$_1$/c \| P2$_1$/c \| P2$_1$/c \| P2$_1$/c \| \| $\mu$ (cm$^{-1}$) \| 3.088 \| 3.288 \| 3.487 \| 3.914 \| 2.428 \| \| $F_{000}$ \| 1276 \| 1280 \| 1284 \| 1292 \| 1168 \| \| $N_{I.R.}/N_{R.R}$ \| 5699/4124 \| 5717/4299 \| 5700/4263 \| 5924/5046 \| 5722/3972 \| \| N. parameters \| 334 \| 334 \| 334 \| 334 \| 334 \| \| $R$ ($F_i$, $I > 3\sigma(I)$) \| 2.90% \| 2.50% \| 3.65% \| 2.21% \| 3.27% \| \| $R_{w}$ ($F_i$, $I > 3\sigma(I)$) \| 3.75% \| 1.95% \| 0.97% \| 2.57% \| 3.94% \| \| GoodF \| 0.9518 \| 1.2088 \| 0.9132 \| 1.0746 \| 1.0864 \| Figure B.4.2: Correlation diagram between the volume of the lattice cell of complexes 5.1 to 5.5 and the cube of the ionic radii of the corresponding lanthanides (from\textsuperscript{182}). The blue line is the best linear fit ($R^2 = 0.969$). Table B.8: Cell and refinement parameters for the single crystal X-Ray diffraction study of [TbTp$_2$NO$_3$] and the [LnTp$_2$(NO$_3$)(H$_2$O)] complexes (Ln = Tb, Gd, La). N$_{R}$/N$_{R,R}$: number of independent reflections versus number of refined reflections. \| Complex \| [TbTp$_2$NO$_3$] \| [TbTp$_2$NO$_3$(H$_2$O)] \| [GdTp$_2$NO$_3$(H$_2$O)] \| [LaTp$_2$NO$_3$(H$_2$O)] \| \|---------\|------------------\|--------------------------\|--------------------------\|--------------------------\| \| Formula \| C$_{18}$H$_{20}$B$_5$N$_{13}$O$_3$ Tb$_1$ \| C$_{18}$H$_{22}$B$_5$N$_{13}$O$_4$ Tb$_1$ \| C$_{18}$H$_{22}$B$_5$N$_{13}$O$_4$ Gd$_1$ \| C$_{18}$H$_{22}$B$_5$N$_{13}$O$_4$ La$_1$ \| \| FW (g.mol$^{-1}$) \| 649.99 \| 665.00 \| 663.33 \| 649.99 \| \| $a$ (Å) \| 15.7188(4) \| 9.5445(2) \| 9.5256(5) \| 9.6079(2) \| \| $b$ (Å) \| 9.17912(18) \| 10.8289(3) \| 10.7902(6) \| 10.8615(2) \| \| $c$ (Å) \| 17.6930(4) \| 13.6140(4) \| 13.5149(8) \| 13.5233(3) \| \| $\alpha$ ($^\circ$) \| 90 \| 82.789(2) \| 82.173(5) \| 83.038(2) \| \| $\beta$ ($^\circ$) \| 104.789(2) \| 74.425(2) \| 75.005(5) \| 75.745(2) \| \| $\gamma$ ($^\circ$) \| 90 \| 76.153(2) \| 75.597(5) \| 73.308(2) \| \| V (Å$^3$) \| 2468.27(10) \| 1313.22(6) \| 1295.79(14) \| 1325.95(5) \| \| $Z$ \| 4 \| 2 \| 2 \| 2 \| \| Space group \| $P2_1/c$ \| $P\bar{1}$ \| $P\bar{1}$ \| $P\bar{1}$ \| \| $\mu$ (cm$^{-1}$) \| 2.915 \| 2.744 \| 2.611 \| 1.662 \| \| F$_{000}$ \| 1272 \| 656 \| 654 \| 640 \| \| N$_{R}$/N$_{R,R}$ \| 6272/4896 \| 6346/5266 \| 5984/4807 \| 6771/5949 \| \| N. parameters \| 334 \| 343 \| 343 \| 343 \| \| $R$ ($F_i$, $I > 3\sigma(I)$) \| 2.79 % \| 3.04% \| 3.75% \| 2.43% \| \| $R_{w}$ ($F_i$, $I > 3\sigma(I)$) \| 4.71 % \| 3.60% \| 4.40% \| 3.00% \| \| GoodF \| 0.9615 \| 1.0560 \| 1.1024 \| 1.0113 \| ### B.5 [LnTp$_2$Acac] crystal structures #### B.5.1 Monoclinic structures Without solvent \| Complex \| 5.6 \| 5.7 \| 5.8 \| 5.9 \| 5.10 \| 5.11 \| 5.12 \| \|---------\|-----\|-----\|-----\|-----\|------\|------\|------\| \| Formula \| [CeTp$_2$Acac] \| [PrTp$_2$Acac] \| [NdTp$_2$Acac] \| [SmTp$_2$Acac] \| [GdTp$_2$Acac] \| [TbTp$_2$Acac] \| [DyTp$_2$Acac] \| \| FW (g.mol$^{-1}$) \| 665.29 \| 665.27 \| 669.41 \| 675.57 \| 682.42 \| 684.09 \| 687.67 \| \| $a$ (Å) \| 15.2122(4) \| 15.2225(5) \| 15.2069(5) \| 15.213(5) \| 15.2308(6) \| 15.2241(6) \| 15.2071(5) \| \| $b$ (Å) \| 12.9770(3) \| 12.9576(5) \| 12.9203(3) \| 12.883(5) \| 12.8653(4) \| 12.8245(4) \| 12.8077(4) \| \| $c$ (Å) \| 14.9591(3) \| 14.9516(5) \| 14.9381(4) \| 14.917(5) \| 14.8994(5) \| 14.8898(5) \| 14.8944(5) \| \| $\alpha$, $\gamma$ ($^\circ$) \| 90 \| 90 \| 90 \| 90 \| 90 \| 90 \| 90 \| \| $\beta$ ($^\circ$) \| 102.044(2) \| 102.040(3) \| 102.065(3) \| 102.037(5) \| 102.084(3) \| 102.026(4) \| 102.117(3) \| \| $V$ (Å$^3$) \| 2888.1(1) \| 2884.3(1) \| 2870.19(8) \| 2859.3(2) \| 2854.8(2) \| 2843.1(2) \| 2836.3(2) \| \| $Z$ \| 4 \| 4 \| 4 \| 4 \| 4 \| 4 \| 4 \| \| Space group \| P2$_1$/c \| P2$_1$/c \| P2$_1$/c \| P2$_1$/c \| P2$_1$/c \| P2$_1$/c \| P2$_1$/c \| \|-------------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\| \| $\mu$ (cm$^{-1}$) \| 1.620 \| 1.733 \| 1.853 \| 2.098 \| 2.367 \| 2.532 \| 2.679 \| \| $F_{000}$ \| 1332 \| 1336 \| 1340 \| 1348 \| 1356 \| 1360 \| 1364 \| \| N.$R_R$/N.$R_R$ \| 7515/5635 \| 6795/4988 \| 6848/5245 \| 7412/5602 \| 6817/5175 \| 6653/4528 \| 7034/5007 \| \| N. parameters \| 361 \| 361 \| 361 \| 361 \| 361 \| 361 \| 361 \| \| $R$ ($F_c$; $I > 3\sigma(I)$) \| 2.80% \| 2.72% \| 2.74% \| 2.53% \| 3.49% \| 3.11% \| 5.09% \| \| $R_{w}$ ($F_c$; $I > 3\sigma(I)$) \| 4.01% \| 3.35% \| 3.97% \| 2.94% \| 4.24% \| 4.11% \| 4.73% \| \| Good$F$ \| 1.0176 \| 1.0597 \| 1.0534 \| 1.0628 \| 1.1037 \| 1.0871 \| 1.1815 \| Figure B.5.1: ORTEP drawing of the [LnTp$_2$Acac] complexes 5.6 to 5.12 (ellipsoids drawn at 50% probability). Example of [DyTp$_2$Acac] (5.12). Figure B.5.2: Correlation diagram between the volume of the lattice cell of complexes 5.6 to 5.12 and the cube of the ionic radii of the corresponding lanthanides (from $^{182}$). The blue line is the best linear fit ($R^2 = 0.974$). ### Table B.10: Cell and refinement parameters for the single crystal X-Ray diffraction study of the monoclinic $[\text{LnTp}_2\text{Acac}] \cdot$ solvent structures 5.13 to 5.16. $N_{R,R}/N_{R,R}$: number of independent reflections versus number of refined reflections. \| Complex \| Formula \| [PrTp$_2$Acac] $\cdot$ CHCl$_3$ \| [EuTp$_2$Acac] $\cdot$ CHCl$_3$ \| [DyTp$_2$Acac] $\cdot$ CHCl$_3$ \| [YbTp$_2$Acac] $\cdot$ CHCl$_3$ \| \|---------\|---------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\| \| \| FW (g.mol$^{-1}$) \| 784.64 \| 796.51 \| 807.05 \| 772.60 \| \| \| $a$ (Å) \| 17.1592(5) \| 17.148(5) \| 17.120(5) \| 8.359(5) \| \| \| $b$ (Å) \| 12.8563(4) \| 12.780(5) \| 12.738(5) \| 30.327(5) \| \| \| $c$ (Å) \| 15.0007(4) \| 14.949(5) \| 14.893(5) \| 12.734(5) \| \| \| $\alpha$, $\gamma$ ($^\circ$) \| 90 \| 90 \| 90 \| 90 \| \| \| $\beta$ ($^\circ$) \| 91.486(2) \| 91.433(5) \| 91.224(5) \| 96.578(5) \| \| \| $V$ (Å$^3$) \| 3308.10(9) \| 3275(2) \| 3247(2) \| 3207(2) \| \| \| $Z$ \| 4 \| 4 \| 4 \| 4 \| \| \| Space group \| P2$_1$/c \| P2$_1$/c \| P2$_1$/c \| P2$_1$/n \| \| \| $\mu$ (cm$^{-1}$) \| 1.758 \| 2.203 \| 2.592 \| 2.540 \| \| \| $F_{000}$ \| 1568 \| 1584 \| 1596 \| 1532 \| \| \| $N_{R,R} / N_{R,R}$ \| 7830/5818 \| 7766/5760 \| 7752/5683 \| 7907/6014 \| \| \| N. parameters \| 397 \| 397 \| 397 \| 388 \| \| \| $R$ ($F_i > 3\sigma(I)$) \| 3.06% \| 3.72% \| 3.00% \| 2.92% \| \| \| $R_{int}$ ($F_i > 3\sigma(I)$) \| 3.63% \| 4.47% \| 3.71% \| 3.30% \| \| \| Goof \| 1.0750 \| 1.0811 \| 1.1176 \| 1.1048 \| Figure B.5.3: 2D-lamellar structure of complexes (5.13) to (5.15). B.5.2 Triclinic structures Table B.11: Cell and refinement parameters for the single crystal X-Ray diffraction study of the monoclinic [LnTp$_2$Acac]·solvent structures 5.17 to 5.19. $N_{IR}/N_{R,R}$: number of independent reflections versus number of refined reflections. \| Complex \| 5.17 \| 5.18 \| 5.19 \| \|---------\|------\|------\|------\| \| Formula \| [HoTp$_2$Acac]$_2$ \| [YbTp$_2$Acac]$_2$ \| [YbTp$_2$Acac]·CHCl$_3$ \| \| FW (g.mol$^{-1}$) \| 1380.20 \| 1396.42 \| 1507.77 \| \| $a$ ($\AA$) \| 11.791(5) \| 12.7547(3) \| 11.9386(9) \| \| $b$ ($\AA$) \| 15.927(5) \| 14.8810(3) \| 15.900(2) \| \| $c$ ($\AA$) \| 18.436(5) \| 16.1033(4) \| 18.462(2) \| \| $\alpha$ ($^\circ$) \| 68.046(5) \| 99.060(2) \| 112.053(7) \| \| $\beta$ ($^\circ$) \| 74.238(5) \| 104.945(2) \| 105.816(6) \| \| $\gamma$ ($^\circ$) \| 89.952(5) \| 92.950(2) \| 90.315(1) \| \| $V$ ($\AA^3$) \| 3071(2) \| 2902.6(1) \| 3102.1(4) \| \| $Z$ \| 2 \| 2 \| 2 \| \| Space group \| P1 \| P1 \| P1 \| \| $\mu$ (cm$^{-1}$) \| 2.618 \| 3.265 \| 3.149 \| \| $F_{000}$ \| 1368 \| 1380 \| 1484 \| \| $N_{I.R} / N_{R,R}$ \| 15743/10857 \| 14126/10785 \| 14266/8082 \| \| N. parameters \| 721 \| 721 \| 337 \| \| $R$ ($F$, I > 3$\sigma$(I)) \| 3.90% \| 2.48% \| 6.49% \| \| $Rw$ ($F$, I > 3$\sigma$(I)) \| 4.03% \| 3.29% \| 7.10% \| \| $GooF$ \| 1.1162 \| 1.0310 \| 1.0730 \| Note: Due to the low number of reflections, thermal displacements for complex 5.19 were only refined isotropically. Appendix C Powder X-Ray diffractogramms C.1 $[LnTp_2NO_3]$ complexes Figure C.1.1: Powder X-Ray diffractogramm of complex 5.1 under a Cu K$\alpha$ radiation (blue line). The red line is the expected pattern from the single-crystal X-Ray diffraction experiment. Figure C.1.2: Powder X-Ray diffractogramm of complex 5.2 under a Cu K$\alpha$ radiation (blue line). The red line is the expected pattern from the single-crystal X-Ray diffraction experiment. Figure C.1.3: Powder X-Ray diffractogramm of complex 5.3 under a Cu K$\alpha$ radiation (blue line). The red line is the expected pattern from the single-crystal X-Ray diffraction experiment. Figure C.1.4: Powder X-Ray diffractogramm of complex 5.4 under a Cu K$\alpha$ radiation (blue line). The red line is the expected pattern from the single-crystal X-Ray diffraction experiment. C.2 [LnTp$_2$Acac] complexes C.2.1 Monoclinic structures Figure C.2.1: Powder X-Ray diffractogramm of complex 5.6 under a Cu K$\alpha$ radiation (blue line). The red line is the expected pattern from the single-crystal X-Ray diffraction experiment. Figure C.2.2: Powder X-Ray diffractogramm of complex 5.7 under a Cu K$\alpha$ radiation (blue line). The red line is the expected pattern from the single-crystal X-Ray diffraction experiment. Figure C.2.3: Powder X-Ray diffractogramm of complex 5.8 under a Cu K$\alpha$ radiation (blue line). The red line is the expected pattern from the single-crystal X-Ray diffraction experiment. Figure C.2.4: Powder X-Ray diffractogramm of complex 5.9 under a Cu K$\alpha$ radiation (blue line). The red line is the expected pattern from the single-crystal X-Ray diffraction experiment. Figure C.2.5: Powder X-Ray diffractogramm of complex 5.12 under a Cu K$\alpha$ radiation (blue line). The red line is the expected pattern from the single-crystal X-Ray diffraction experiment. Appendix D Complementary magnetic data D.1 AC magnetometry of the [LnTp$_2$NO$_3$] complexes D.1.1 Field dependence of the AC susceptibility Figure D.1.1: $\chi''_m = f(B; T)$ plots for complexes (5.1) (top), (5.3) (middle) and (5.4) (bottom), at three different frequencies. D.1.2 Cole-Cole plots Figure D.1.2: Cole-Cole ($\chi''_m = \chi'_m$) plots for complexes (5.1) (top left), (5.3) (top right) and (5.4) (bottom), under a static field of 2000 Oe and between 2K and 6K. D.2 AC magnetometry of the [LnTp$_2$Acac] complexes D.2.1 Arrhenius plot for (5.6) Figure D.2.1: Arrhenius plot $ln\nu = f(1/T)$, for complex (5.6), under a static field of 500Oe. The solid line is a guide for the eye. D.2.2 Cole-Cole plots Figure D.2.2: Cole-Cole ($\chi_m'' = \chi_{m\text{re}}'$) plots for complexes (5.8) (left) and (5.12) (right), under static fields of respectively 2000 Oe and 0 Oe. Program Uncertainties implicit none double precision, dimension(3,3) :: chi, chitodiag, chidiag, minchi double precision, dimension(3,3) :: delta, tmp, step double precision, dimension(3) :: eigen, supeigen, mineigen, vartmpi, var integer :: num, a, b, c, d, e, f integer, dimension(3,3) :: inc integer :: time1, time2, yoy double precision, dimension(:, :, allocatable) :: eigenval1, eigenval2, eigenval3 character(LEN=80) :: entree, filename write(6,) 'File containing the tensor ? (format: )' write(6,) 'x11 Dx11, step1' write(6,) 'x12 Dx12, step12' write(6,) 'x13 Dx13, step13' write(6,) 'x22 Dx22, step22' write(6,) 'x23 Dx23, step23' write(6,) 'x33 Dx33, step33' write(6,) 'without .dat extension' read(5,) entree CALL CPU_TIME(time1) ! First we get the data filename = TRIM(entree)//'.dat', OPEN(unit=12, file=TRIM(filename), action='read') read(unit=12, fmt=) chi(1,1), delta(1,1), inc(1,1) read(unit=12, fmt=) chi(1,2), delta(1,2), inc(1,2) read(unit=12, fmt=) chi(1,3), delta(1,3), inc(1,3) read(unit=12, fmt=) chi(2,2), delta(2,2), inc(2,2) read(unit=12, fmt=) chi(2,3), delta(2,3), inc(2,3) read(unit=12, fmt=) chi(3,3), delta(3,3), inc(3,3) ! we set the matrices (real, symmetric) inc(2,1)=inc(1,2) inc(3,1)=inc(1,3) inc(3,2)=inc(2,3) delta(2,1)=delta(1,2) delta(3,1)=delta(1,3) delta(3,2)=delta(2,3) chi(2,1)=chi(1,2) chi(3,1)=chi(1,3) chi(3,2)=chi(2,3) ! then we compute the step in chi for the computation of the eigenvalues do i=1,3 do j=1,3 step(i,j)=delta(i,j)/inc(i,j) end do end do ! we then compute the tensor for each component set to its minimum value do i=1,3 do j=1,3 minchi(i,j)=chi(i,j)-delta(i,j) end do end do ! The following 3 lines be commented if the calculation is huge (scales as increment^6), ! since the arrays eigenvalK will contain all the computed eigenvalues num=(inc(1,1)+1)(inc(1,2)+1)(inc(1,3)+1)(inc(2,2)+1)(inc(2,3)+1)(inc(3,3)+1) allocate(eigenval1(num),eigenval2(num),eigenval3(num)) k=1 ! we set the testing values first as the eigenvalues of the starting tensor do i=1,3 do j=1,3 tmp(i,j)=chi(i,j) end do end do call DSYEVC3(tmp,eigen) do i=1,3 mineigen(i)=eigen(i) supeigen(i)=eigen(i) end do ! and we start the loop scanning the 6 components do a=0,inc(1,1) do b=0,inc(1,2) do c=0,inc(1,3) do d=0,inc(2,2) do e=0,inc(2,3) do f=0,inc(3,3) tmp(1,1)=minchi(1,1)+step(1,1)a tmp(1,2)=minchi(1,2)+step(1,2)b tmp(1,3)=minchi(1,3)+step(1,3)c tmp(2,2)=minchi(2,2)+step(2,2)d tmp(2,3)=minchi(2,3)+step(2,3)e tmp(3,3)=minchi(3,3)+step(3,3)f tmp(2,1)=tmp(1,2) tmp(3,1)=tmp(1,3) tmp(3,2)=tmp(2,3) ! we just build the working matrix, that will be diagonalised call DSYEVC3(tmp,eigen) do i=1,3 if(eigen(i).GT.supeigen(i)) then supeigen(i)=eigen(i) else if(eigen(i).LT.mineigen(i)) then mineigen(i)=eigen(i) end if end do ! and we tested the components, to check whether they are smaller ! or bigger than the previous min or max ! if so, we store them as new extrema. That way, we do not ! actually have to store the data ! The next 4 lines actually store the data (debugging option), ! and they may be commented for big calculations eigenval1(k)=eigen(1) eigenval2(k)=eigen(2) eigenval3(k)=eigen(3) k=k+1 end do end do end do end do end do end do write(6,) 'Maximum value for each component' write(6,) supeigen(1), supeigen(2), supeigen(3) write(6,) 'Minimum value for each component' write(6,) mineigen(1), mineigen(2), mineigen(3) write(6,) 'Starting eigenvalues' call DSYEVC3(chi,eigen) write(6,) eigen(1), eigen(2), eigen(3) ! Same thing as before: if there is a huge number of ! points to compute, these lines may be commented write(6,) ' ' write(6,) 'Maximal values read from the whole data set' write(6,) MAXVAL(eigenval1), MAXVAL(eigenval2), MAXVAL(eigenval3) write(6,) 'Minimal values read from the whole data set' write(6,) MINVAL(eigenval1), MINVAL(eigenval2), MINVAL(eigenval3) filename = TRIM(entree)//'.out', OPEN(unit=13,file=TRIM(filename),action='write') do j=1,3 vartmp1(j)=0 var(j)=0 end do do i=1,num write(13,) eigenval1(i),eigenval2(i),eigenval3(i) vartmp1(1)=(eigenval1(i)-eigen(1))(eigenval1(i)-eigen(1)) vartmp1(2)=(eigenval2(i)-eigen(2))(eigenval2(i)-eigen(2)) vartmp1(3)=(eigenval3(i)-eigen(3))(eigenval3(i)-eigen(3)) do j=1,3 var(j)=var(j)+(1.0/(num1.0))vartmp1(j) end do end do Close(13) write(6,) 'Variance' write(6,"(ES12.5E3)") var(1),var(2),var(3) CALL CPU_TIME(time2) yoy=time2-time1 write(6,) 'Calculation completed in ',yoy,' s' end program Uncertainties The DSYEVC3 subroutine (diagonalisation of matrices) can be found in "J. Kopp, Int. J. Mod. Phys. C 19 (2008), 523-548". E.2 Conversion PROGRAM CalcM implicit none character(LEN=80) :: choice, input, orient, output, filename character(LEN=80) :: sortiel, sortie2, sym real(8), parameter :: pi = 3.14159265358979d0 character(len=80) :: formdat integer :: N, M, P real(8), dimension(:, :), allocatable :: fields real(8), dimension(3, 3) :: chi, Mccsclri, Mmoical, Mrimol real(8), dimension(3, 3) :: Mriccsl, Mcalmol, Mmolcri real(8), dimension(:, :), allocatable :: moments, synop real(8), dimension(:, ), allocatable :: meanmom real(8), dimension(3) :: fieldi, momveci, fieldcry, mat1, mat2 real(8) :: momi real(8) :: time1, time2, time3, tottime integer :: i, j CHARACTER(LEN=80) :: at0cry, at1cry, at2cry, at3cry, at0cal, at1cal, CHARACTER(LEN=80) :: at2cal, at3cal ! atoms labels in the .inp file real(8), dimension(3) :: Ybcry, X1cry, X2cry, X3cry ! central and other atoms positions in the lattice cell real(8), dimension(3) :: Ybcal, X1cal, X2cal, X3cal ! same, in the calculation frame real(8), dimension(3, 3) :: chical ! susceptibility tensor real(8), dimension(3) :: viccs1, v2ccs1, v3ccs1 ! CCSL basis vectors write(6,) '**********************************************' write(6,) 'CalcM' write(6,) 'Frederic Guegan' write(6,) 'march, 2016' write(6,) 'u' write(6,) 'Program for the calculation of single crystal magnetisation from PND' write(6,) 'or Ab initio data' write(6,) 'u' write(6,) '*********************************************' write(6,) 'u' write(6,) 'Which kind of data would you like to use: PND(p) or Ab Initio(a)?' read(5,) choice write(6,) 'Name of the input file (without .inp extension)?' read(5,) input write(6,) 'Name of orientations file (without .dat extension)?' read(5,) orient write(6,) 'Name of the output file (without .out extension)?' read(5,) output write(6,) 'Name of the symmetry file (without extension .sym)?' read(5,) sym CALL CPU_TIME(time1) ! Now we read the symmetry file filename = TRIM(sym) // '.sym' open(unit=10, file=TRIM(filename), action='read') read(unit=10, fmt=) M allocate(symp(M, 9)) ! we set the size of the array containing the symmetry operations do i=1,M read(unit=10, fmt=) symp(i,1), symp(i,2), symp(i,3), symp(i,4)& & ,symp(i,5), symp(i,6), symp(i,7), symp(i,8), symp(i,9) end do ! we read the symmetry matrices close(10) The \texttt{DSYEVCS} subroutine (diagonalisation of matrices) can be found in "J. Kopp, \textit{Int. J. Mod. Phys. B}, 10, 1996, 1073-1080". We get the orientation data filename = TRIM(orient) // '.dat' open(unit=12, file=TRIM(filename), action='read') read(unit=12, fmt=) N allocate(fields(N, 4)) ! we define the number of orientations to consider P=NM allocate(moments(P, 3)) ! and the total number of computed values allocate(meanmom(N)) ! and the number of mean magnetisation (for the whole symmetries) do i=1,N read(unit=12,fmt=) fields(i,1),fields(i,2),fields(i,3),fields(i,4) end do ! Here we read the orientations of fields and stocked them in the array 'fields' close(12) ! Now we get the information contained within the input file. filename = TRIM(input)//'.inp' open(unit=11,file=TRIM(filename),action='read') read(unit=11,fmt=) at0cry,Ybcry(1),Ybcry(2),Ybcry(3) read(unit=11,fmt=) at1cry,Xicry(1),Xicry(2),Xicry(3) read(unit=11,fmt=) at2cry,X2cry(1),X2cry(2),X2cry(3) read(unit=11,fmt=) at3cry,X3cry(1),X3cry(2),X3cry(3) ! Atoms positions in the lattice read(unit=11,fmt=) at0cal,Ybcal(1),Ybcal(2),Ybcal(3) read(unit=11,fmt=) atical,Xical(1),Xical(2),Xical(3) read(unit=11,fmt=) at2cal,X2cal(1),X2cal(2),X2cal(3) read(unit=11,fmt=) at3cal,X3cal(1),X3cal(2),X3cal(3) ! Same in the calculation frame read(unit=11,fmt=) chical(1,1),chical(1,2),chical(1,3),chical(2,1)& &chical(2,2),chical(2,3),chical(3,1),chical(3,2),chical(3,3) ! susceptibility tensor read(unit=11,fmt=) v1ccsl(1),v1ccsl(2),v1ccsl(3) read(unit=11,fmt=) v2ccsl(1),v2ccsl(2),v2ccsl(3) read(unit=11,fmt=) v3ccsl(1),v3ccsl(2),v3ccsl(3) ! CCSL vectors in the lattice cell CLOSE(11) ! We prepare the matrices do i=1,3 Mriccscl(i,1)=v1ccsl(i) Mriccscl(i,2)=v2ccsl(i) Mriccscl(i,3)=v3ccsl(i) end do ! Mriccscl is OK do i=1,3 Mrcrimol(i,1)=Xicry(i)-Ybcry(i) Mrcrimol(i,2)=X2cry(i)-Ybcry(i) Mrcrimol(i,3)=X3cry(i)-Ybcry(i) end do ! Mrcrimol is OK do i=1,3 Mcalmol(i,1)=Xical(i)-Ybcal(i) Mcalmol(i,2)=X2cal(i)-Ybcal(i) Mcalmol(i,3)=X3cal(i)-Ybcal(i) end do ! Mcalmol is OK call inverse(Mcalmol,Mmolcal,3) call inverse(Mrcrimol,Mmolcri,3) call inverse(Mriccscl,Mccslcri,3) ! and we inversed the three previous matrices ! Nota: they may not be all used, but we may assume their computation ! is not a tremendously demanding task if(choice.EQ.'p') then call PND(P,N,M,fields,chical,Mriccscl,moments,symop,meanmom) else if(choice.EQ.'a') then call Abinit(P,N,M,fields,chical,Mccslcri,Mrcrimol,Mmolcal,moments,symop,meanmom) else write(6,) 'Unrecognised data label. Please check.' end if sortie1 = TRIM(output)//'1.out' OPEN(unit=13,file=TRIM(sortie1),action='write',status='new') write(13,) '*********************************************************************' write(13,) 'CalcM' write(13,) 'Frederic Guegan' write(13,) 'march_2016' write(13,) 'Program the calculation of single crystal magnetisation from PND' write (13,) 'Loabinitio_data' write (13,) '!' write (13,) '**********************************************************************' write (13,) 'Implemented by:' write (13,) '!' write (13,) 'Frederic Guegan, University of Lyon1' write (13,) 'frederic.guegan(at)univ-lyon1.fr' write (13,) '!' write (13,) 'Team Crystallography and Molecular Engineering (Prof. D. Luneau),' write (13,) 'Multimaterials and Interfaces Laboratory (LMI, UMR CNRS -UCBL-5615)' write (13,) '!' write (13,) 'Team Chemometrics and Theoretical Chemistry (Prof. C. Morell),' write (13,) 'Lyon Institute for Analytical Sciences (ISA, UMR CNRS -UCBL-ENS-5280)' write (13,) '!' write (13,) '*********************************************************************' write (13,) 'This program is freely distributed and modifiable by anyone.' write (13,) 'I do not guarantee the exactitude of the calculations (though' write (13,) 'I did my best). Please feel free to contact me if you find any' write (13,) 'error in the code!' write (13,) '**********************************************************************' write (13,) '!' write (13,) '!' write (13,) 'Type of data:' if(choice.EQ.'p') then write(13,) 'PND experiment' else if(choice.EQ.'a') then write(13,) 'Ab initio data' end if write(13,) '!' write(13,) 'Printing the matrices used for the transformation:' write(13,) 'Mcalmol:' do i=1,3 write(13,) Mcalmol(i,1),Mcalmol(i,2),Mcalmol(i,3) end do write(13,) '!' write(13,) 'Mmolcal:' do i=1,3 write(13,) Mmolcal(i,1),Mmolcal(i,2),Mmolcal(i,3) end do write(13,) '!' write(13,) 'Mcriccs1:' do i=1,3 write(13,) Mriccs1(i,1),Mriccs1(i,2),Mriccs1(i,3) end do write(13,) '!' write(13,) 'Mccslcri:' do i=1,3 write(13,) Mccslcri(i,1),Mccslcri(i,2),Mccslcri(i,3) end do write(13,) '!' write(13,) 'Mcrimol:' do i=1,3 write(13,) Mcrimol(i,1),Mcrimol(i,2),Mcrimol(i,3) end do write(13,) '!' write(13,) 'Mmolcri' do i=1,3 write(13,) Mmolcri(i,1),Mmolcri(i,2),Mmolcri(i,3) end do write(13,) '!' write(13,) '!' write(13,) 'Results for all symmetries' write(13,) '!' write(13,) 'Theta Mcalc Hnorm' do i=1,P write(13,) ' ',moments(i,1),' ',moments(i,2),' ',moments(i,3) end do call CPU_TIME(time2) tottime=time2-time1 write(13,) ' ' write(13,) 'Total time of execution(s):',tottime close(13) sortie2 = TRIM(output)//'2.out' OPEN(unit=14,file=TRIM(sortie2),action='write',status='new') write(14,) '**********************************************************************' write(14,) 'CalcM' write(14,) 'Frederic Guegan,' write(14,) 'march_2016' write(14,) ' ' write(14,) 'Program for the calculation of single crystal magnetisation from PND' write(14,) 'or ab initio data' write(14,) ' ' write(14,) '*********************************************************************' write(14,) 'Implemented by:' write(14,) ' ' write(14,) 'Frederic Guegan, University of Lyon 1' write(14,) 'frederic.guegan(at)univ-lyon1.fr' write(14,) ' ' write(14,) 'Team Crystallography and Molecular Engineering (Prof. D. Luneau)' write(14,) 'Multimaterials and Interfaces Laboratory (LMI, UMR CNRS -UCBL 5615)' write(14,) ' ' write(14,) 'Team Chemometrics and Theoretical Chemistry (Prof. C. Morell)' write(14,) 'Lyon Institute for Analytical Sciences (ISA, UMR CNRS -UCBL ENS 5280)' write(14,) ' ' write(14,) '*********************************************************************' write(14,) 'This program is freely distributed and modifiable by anyone.' write(14,) 'I do not guarantee the exactitude of the calculations (though' write(14,) 'I did my best). Please feel free to contact me if you find any' write(14,) 'error in the code!' write(14,) '**********************************************************************' write(14,) ' ' write(14,) 'Type of data:' if(choice.EQ.'p') then write(14,) 'PND experiment' else if(choice.EQ.'a') then write(14,) 'Ab initio data' end if write(14,) ' ' write(14,) 'Printing the matrices used for the transformation:' write(14,) 'Mcalmol:' do i=1,3 write(14,) Mcalmol(i,1),Mcalmol(i,2),Mcalmol(i,3) end do write(14,) ' ' write(14,) 'Mmolcal:' do i=1,3 write(14,) Mmolcal(i,1),Mmolcal(i,2),Mmolcal(i,3) end do write(14,) ' ' write(14,) 'Mcriccsl:' do i=1,3 write(14,) Mcriccsl(i,1),Mcriccsl(i,2),Mcriccsl(i,3) end do write(14,) ' ' write(14,) 'Mccslcri:' do i=1,3 write(14,) Mccslcri(i,1),Mccslcri(i,2),Mccslcri(i,3) end do fieldi(3)=fields(i,4) ! we first assign to fieldi the direction of the field at point i do k=1,3 l=k+3 t=k+6 Opsym(1,k) = symop(j,k) Opsym(2,k) = symop(j,l) Opsym(3,k) = symop(j,t) end do do l=1,3 do t=1,3 t0psym(l,t)=Opsym(t,l) end do end do write (6,) t0psym(1,1),t0psym(1,2),t0psym(1,3) write (6,) t0psym(2,1),t0psym(2,2),t0psym(2,3) write (6,) t0psym(3,1),t0psym(3,2),t0psym(3,3) tmp=MATMUL(chi,Opsym) ! we begin the symmetry transformation of chi chisym=MATMUL(t0psym,tmp) momveci=MATMUL(chisym,fieldi) moni=momveci(1)fieldi(1)+momveci(2)fieldi(2)+momveci(3)fieldi(3) ! scalar product of vec(m) and vec(H) k=i+(j-1)N moments(k,1)=fields(i,1) moments(k,2)=moni moments(k,3)=sqrt(fieldi(1)fieldi(1)+fieldi(2)fieldi(2)+& &fieldi(3)fieldi(3)) meanmom(i)=meanmom(i)+moni/(M1.0) end do else if(formdat.EQ.'no') then do j=1,M do i=1,N fieldcry(i)=fields(i,2) fieldcry(2)=fields(i,3) fieldcry(3)=fields(i,4) fieldi=MATMUL(Mcriccs1,fieldcry) do k=1,3 l=k+3 m=k+6 Opsym(1,k) = symop(j,k) Opsym(2,k) = symop(j,l) Opsym(3,k) = symop(j,m) end do do l=1,3 do m=1,3 t0psym(l,m)=Opsym(m,l) end do end do tmp=MATMUL(chi,Opsym) ! we begin the symmetry transformation of chi chisym=MATMUL(t0psym,tmp) momveci=MATMUL(chisym,fieldi) moni=momveci(1)fieldi(1)+momveci(2)fieldi(2)+momveci(3)fieldi(3) ! scalar product of vec(m) and vec(H) k=i+(j-1)N moments(k,1)=fields(i,1) moments(k,2)=moni moments(k,3)=sqrt(fieldi(1)fieldi(1)+fieldi(2)fieldi(2)+& &fieldi(3)fieldi(3)) meanmom(i)=meanmom(i)+moni/(M1.0) end do end do else write(6,) 'Unrecognised format identifier, please check.' end if end subroutine PND subroutine Abinit(P,N,M,fields,chi,Mmolcri,Mcralm,Mcrccsl,moments,symop,meanmom) ! Subroutine for the calculation of the magnetisation induced by a field applied along ! a given direction, from ab initio calculated susceptibility tensor and in the linear ! approximation : m = XH. ! Arguments: N, number of field orientations ; fields, array of the field orientations; ! chi, susceptibility tensor ; Mcrccsl, matrix of the CCSL vectors in the lattice basis; ! Mmolcri, inverse of the matrix of three vectors (based on 4 non collinear atoms) in the ! lattice cell ; ! Mcralm, inverse of the same matrix but in the basis of the calculation (orthonormal frame). ! Output of subroutine : array of calculated moments versus theta, and norm of the ! magnetic field (control, should be 1). implicit none character(len=80) :: formdat integer :: N,P,M real(8), dimension(N,4) :: fields real(8), dimension(3,3) :: chi,Mcrccsl,tMcrccsl,Mcralm,Mmolcri real(8), dimension(3,3) :: mat1,mat2,mat3,mat4 real(8), dimension(3,3) :: chiccs1,Opsym,tOpsym,chisym,tmp real(8), dimension(P,3) :: moments real(8), dimension(N) :: meanmom real(8), dimension(M,9) :: symop real(8), dimension(3) :: fieldi,momveci,fieldcry real(8) :: momi,norm integer :: i,j,l,t,k write(6,) '********************************************************************************************' write(6,) 'Abinit' write(6,) 'Frederic_Guegan' write(6,) 'march_2016' write(6,) ' ' write(6,) 'Evaluation of the single crystal magnetisation from Ab initio calculations' write(6,) ' ' write(6,) '*********************************************************************************************' write(6,) 'Format of the orient.dat file (CCSL:yes, crystal:no)' read(5,) formdat if(formdat.EQ.'yes') then do i=1,N meanmom(i)=0 end do mat1=MATMUL(Mcralm,Mmolcri) ! matrix from the calculated frame to the crystal one do i=1,3 do j=1,3 mat2(i,j)=mat1(j,i) end do end do ! mat2 = t(mat1) do i=1,3 do j=1,3 tMcrccsl(i,j)=Mcrccsl(j,i) end do end do ! we transpose Mccslcri mat3=MATMUL(mat2,chi) mat4=MATMUL(mat3,mat1) mat1=MATMUL(mat4,Mcrccsl) chiccs1=MATMUL(tMcrccsl,mat1) norm=chiccs1(1,1)(chiccs1(2,2)chiccs1(3,3)-chiccs1(3,2)chiccs1(2,3))-& chiccs1(1,2)(chiccs1(2,1)chiccs1(3,3)-chiccs1(3,1)chiccs1(2,3))+& chiccs1(1,3)(chiccs1(2,1)chiccs1(3,2)-chiccs1(3,1)chiccs1(2,2)) write(6,) norm do j=1,M do i=1,N fieldi(1)=fields(i,2) fieldi(2)=fields(i,3) fieldi(3)=fields(i,4) end do ! we first assign to fieldi the direction of the field at point i do k=1,3 l=k+3 t=k+6 Opsym(1,k) = symop(j,k) Opsym(2,k) = symop(j,l) Opsym(3,k) = symop(j,t) ! we built the matrix for each symm operation (loop in j) end do do l=1,3 do t=1,3 tOpsym(l,t)=Opsym(t,l) end do end do ! we transpose the symmetry matrix end do tmp=MATMUL(chiccs1,Opsym) ! we begin the symmetry transformation of chi chisym=MATMUL(tOpsym,tmp) momveci=MATMUL(chisym,fieldi) ! evaluation of the magnetisation in the CCSL lattice momi=momveci(1)fieldi(1)+momveci(2)fieldi(2)+momveci(3)fieldi(3) ! scalar product of vec(m) and vec(H) : magnetisation along the field direction k=1+(j-1)N moments(k,1)=fields(i,1) moments(k,2)=momi moments(k,3)=sqrt(fieldi(1)fieldi(1)+fieldi(2)fieldi(2)+& &fieldi(3)fieldi(3)) meanmom(i)=meanmom(i)+momi/(M1.0) end do end do else if (formdat.EQ. ’no’) then do i=1,N ! we do the same thing as previously, but we also change the frame for the field (cry -> CCSL) meanmom(i)=0 end do mat1=MATMUL(Mcalmol,Mmolcri) ! matrix from the calculated frame to the crystal one do i=1,3 do j=1,3 mat2(i,j)=mat1(j,i) end do end do ! mat2 = t(mat1) do i=1,3 do j=1,3 tMcriccs1(i,j)=Mcriccs1(j,i) end do end do ! we transpose Mccs1cri mat3=MATMUL(mat2,chi) mat4=MATMUL(mat3,mat1) mat1=MATMUL(mat4,Mcricsl) chiccs1=MATMUL(tMcriccs1,mat1) norm=chiccs1(1,1)(chiccs1(2,2)chiccs1(3,3)-chiccs1(3,2)chiccs1(2,3))-& &chiccs1(1,2)(chiccs1(2,1)chiccs1(3,3)-chiccs1(3,1)chiccs1(2,3))+& &chiccs1(1,3)(chiccs1(2,1)chiccs1(3,2)-chiccs1(3,1)chiccs1(2,2)) write(6,) norm do j=1,M do i=1,N fieldcry(i)=fields(i,2) fieldcry(2)=fields(i,3) fieldcry(3)=fields(i,4) end do end do ! we first assign to fieldi the direction of the field at point i fieldi=MATMUL(Mcriccs1,fieldcry) do k=1,3 l=k+3 m=k+6 Opsym(1,k) = symop(j,k) Opsym(2,k) = symop(j,l) Opsym(3,k) = symop(j,m) end do do l=1,3 do m=1,3 tOpsym(l,m)=Opsym(m,l) end do end do ! we transpose the symmetry matrix end do tmp=MATMUL(chiccs1,Opsym) ! we begin the symmetry transformation of chi chisym=MATMUL(tDpsym,tmp) momveci=MATMUL(chisym,fieldi) ! evaluation of the magnetisation in the CCSL lattice momi=momveci(1)fieldi(1)+momveci(2)fieldi(2)+momveci(3)fieldi(3) ! scalar product of vec(m) and vec(H) : magnetisation along the field direction k=i+(j-1)N moments(k,1)=fields(i,1) moments(k,2)=momi moments(k,3)=sqrt(fieldi(1)fieldi(1)+fieldi(2)fieldi(2)+& &fieldi(3)fieldi(3)) meanmom(i)=meanmom(i)+momi/(M1.0) end do end do else write(6,) 'Unrecognised format identifier, please check.' end if end subroutine Abinit The inverse subroutine (inversion of matrices) was implemented by Alexander Godunov (Old Dominion University, USA), and can be found on his webpage (http://ww2.odu.edu/~agodunov/computing.html). Appendix F Publications Dual descriptor and molecular electrostatic potential: complementary tools for the study of the coordination chemistry of ambiphilic ligands Frédéric Guégan, Pierre Mignon, Vincent Tognetti, Laurent Joubert and Christophe Morell* In this paper, we show that the ambiphilic properties of some organic ligands in organometallic complexes may be retrieved readily from simple calculations in the framework of conceptual density functional theory (C-DFT): namely, the dual descriptor (DD) and the molecular electrostatic potential (MEP) of the ligands afford a rather straightforward interpretation of experimental trends such as the bonding geometry and the electronic properties of complexes in terms of $\sigma$-, $\pi$- and back-bonding. The studied ligands were chosen to be representative of the wide variety organometallic chemistry offers, ranging from neutral to charged systems and from diatomic to polyatomic molecules. The present approach is general since all relevant parameters are retrieved from the electron density, obtained either from a DFT or post-Hartree–Fock calculation. It is believed to be helpful for organometallic chemists, since it allows a deep understanding and may be used as a predictive tool of the coordinating properties of ligands. 1 Introduction The interplay between metallic cation(s) and organic ligand(s) is the cornerstone of organometallic chemistry.\textsuperscript{1} According to the simplest scheme, the metallic cations are perfect Lewis acids and the ligands, perfect Lewis bases.\textsuperscript{2} However, these ideal cases are certainly not the most interesting from the theoretical and practical point of view. Indeed, most of the time, ligands can also be electrophilic and metals may display a nucleophilic character. This results in non-obvious situations where electron transfers may occur either from ligands to metals and the other way around (as involved for instance in the Dewar–Chatt–Duncanson model\textsuperscript{3}). As a consequence, charge transfers are likely to occur, and, in the end, coordination bonds are intermediate between purely ionic and purely covalent. The limits of the so-called Klopmann–Salem model,\textsuperscript{4,5} stating that reactions usually imply either a charge or an orbital control, are in these cases reached. Hence, to get a complete picture of the chemical behaviour of organometallic compounds one has to rely upon two descriptors, one of them characterizing the charge transfer while the other should describe the electrostatic interactions. Within the canonical ensemble, such descriptors can be deduced from a survey of the variations of the total energy when the molecule reacts with another compound. To do so, we can perform a second order Taylor expansion of the variations of the total molecular energy with respect to the variation of the external potential $\delta v(\mathbf{r})$ and the number of electrons $dN$: $$dE[v(\mathbf{r}); N] = \mu dN + \frac{\eta}{2} dN^2 + dE_{NN} + \int \rho(\mathbf{r}) \delta v(\mathbf{r}) d^3\mathbf{r}$$ $$+ dN \int f(\mathbf{r}) \delta v(\mathbf{r}) d^3\mathbf{r} + \frac{1}{2} \int \int \chi(\mathbf{r}, \mathbf{r}') \delta v(\mathbf{r}) \delta v(\mathbf{r}') d^3\mathbf{r} d^3\mathbf{r}'$$ (1) with $E_{NN}$ the nuclei–nuclei repulsion energy, $\mu$ the electronic chemical potential, $\eta$ the molecular hardness, $f(\mathbf{r})$ the Fukui function and $\chi(\mathbf{r}, \mathbf{r}')$ the non-local linear response kernel (whose evaluation is rather cumbersome and will not be considered in this study). The two first contributions on the right-hand side of eqn (1) are global properties which describe the general response of the molecule as a whole. Conversely, the other terms are essentially local and bear information on the possible regioselectivity of the process, which is the main target of our study. These local terms can be merged into two groups, the first contribution being $$dE_1 = dE_{NN} + \int \rho(\mathbf{r}) \delta v(\mathbf{r}) d^3\mathbf{r}$$ $$= \int \left( - \sum_M Z_M \delta_D(\mathbf{r} - \mathbf{R}_M) + \rho(\mathbf{r}) \right) \delta v(\mathbf{r}) d^3\mathbf{r}$$ (2) (3) \textsuperscript{a} Laboratoire des Sciences Analytiques, UMR CNRS 5280, Université Claude Bernard Lyon, 1 69622 Villeurbanne Cedex, France. E-mail: email@example.com, firstname.lastname@example.org \textsuperscript{b} Normandy University, COBRA UMR 6014 & FR 3038, Université de Rouen, INSA Rouen, CNRS, 1 rue Tesnière 76821 Mont St Aignan, Cedex, France for a system composed of $ M $ atoms of atomic charge $ Z_M $, located at $ R_M $ positions (and $ \delta_D $ being the Dirac distribution). It is plain to see that this term will essentially contain the electrostatic contributions to the energy variation, plus an exchange and correlation contribution. However, knowing that electrostatic effects are usually more long-ranged than exchange and correlation effects for a charged species, if we assume that our reaction implies ions which are quite remote from each other (early stages of the reaction) the incoming reactant can be treated to a first approximation as a point charge, placed at $ R_{pc} $. The variations of the external potential will thus be approximated by \[ \delta v(r) = -\frac{\delta q}{\|r - R_{pc}\|} \] Putting eqn (4) in eqn (3) yields \[ dE_1 = \delta q \left( \sum_M Z_M \int \frac{\delta_D(r - R_M)}{\|r - R_{pc}\|} d^3 r - \int \frac{\rho(r)}{\|r - R_{pc}\|} d^3 r \right) \] \[ = \delta q \left( \sum_M \frac{Z_M}{\|R_M - R_{pc}\|} - \int \frac{\rho(r)}{\|r - R_{pc}\|} d^3 r \right) = \delta q \cdot \text{MEP}(R_{pc}) \] where MEP is the molecular electrostatic potential. As a result, this first local term seems to be fit for the description of chemical properties driven by charge interactions. On the other hand, the second term of eqn (1) \[ dE_2 = dN \int f(r) \delta v(r) d^3 r \] involves the Fukui function, which is defined as \[ f(r) = \left( \frac{\partial \rho(r)}{\partial N} \right)_{v(r)} \] Actually, because of the discontinuity of the energy derivatives with respect to the number of electrons, one should rather consider the left ($ dN < 0 $) and right ($ dN > 0 $) derivatives, respectively corresponding to the $ f^+(r) $ and $ f^-(r) $ Fukui functions. From their definitions, it is obvious that $ f^+(r) $ allows one to find the electrophilic regions, which are likely to gain electrons ($ dN > 0 $), and $ f^-(r) $ is more fit for looking for the nucleophilic regions (which are prone to lose electron density). This suggests that $ dE_2 $ would be rather adapted to describe chemical properties that are driven by “orbital” interactions or more properly by charge density interactions (between nucleophilic and electrophilic regions). As a result, the two local contributions $ dE_1 $ and $ dE_2 $ should be complementary to study amphiphilic ligands, in the spirit of an extended Klopman–Salem model (where one considers both electrostatic and “orbital” contribution). A further step can be taken by replacing the two Fukui functions by a single descriptor, the dual descriptor (DD): \[ \Delta f(r) = \left( \frac{\partial^2 \rho(r)}{\partial N^2} \right)_{v(r)} \] It has indeed been shown that this descriptor also conveys information about the charge density interaction. More specifically, one has $ \Delta f(r) > 0 $ wherever the molecule is likely to receive electron density (electrophilic regions) and $ \Delta f(r) < 0 $ wherever the density is likely to escape (nucleophilic regions). As a consequence, the combination of the MEP and the DD seems to be adapted to study the coordination chemistry of organometallic complexes. A further simplification of the problem can still be made, considering that usually experimentalists focus on the ligand properties rather than on the metal properties. This is likely due to the fact that changing the metal results in dramatic changes in chemical behaviour, while the synthetic variations of the ligand, such as pendant arms or donor–acceptor substituent, lead to more subtle adjustments. The problem at hand is therefore reduced to a proper description of the ligand properties. They must be characterized at both a global and a local level, that is to say being able to ascertain whether the ligand is rather nucleophilic, electrophilic or both, and its regioselectivity or regiospecificity. So, in line with recently published studies,$^{7-10}$ we propose to use a combination of the DD and the MEP to explain the coordination abilities of amphiphilic or potentially amphiphilic ligands towards metallic cations. To do so, the needed equations are recalled in Section 2, where the details of the computation of the two descriptors are also given. An emphasis is made on the decomposition of the dual descriptor, which allows one to quantify and to build a scale of electrophilicity/nucleophilicity for the studied ligands. In Section 3, different examples are shown and analysed, with a special emphasis on the rationalisation of the experimental trends. Noticeably, amphiphilic behaviours are explicitly rationalised in terms of electron density (“orbital”) and charge interactions. Finally, the paper ends with some concluding remarks. ## 2 Theoretical and computational details ### State specific and usual dual descriptor As discussed in the introduction, calculation of both the MEP and the DD for different ligands should allow us to map quite efficiently their reactivity. Most of computational software now include direct calculations of molecular electrostatic properties (up to the hexapole moment). However it is not necessarily the case for the dual descriptor. Furthermore, eqn (9) is not readily applicable and thus needs to be developed. Usually, two layers of approximations are used:$^{11}$ - Finite difference approximation: one usually approximates the derivative in eqn (9) by the finite variations of the density upon addition or subtraction of electron. This yields \[ \Delta f(r) \approx \left( \frac{\rho_{N+1}(r) - \rho_N(r)}{(N + 1) - (N)} - \frac{\rho_N(r) - \rho_{N-1}(r)}{(N) - (N - 1)} \right) \] \[ = \rho_{N+1}(r) + \rho_{N-1}(r) - 2\rho_N(r) \] where $ \rho_{N\pm1}(r) $ represents the electron density of the system under addition or subtraction of one electron, at constant geometry. - Frozen orbital hypothesis: if the orbitals remain unchanged upon addition and subtraction of one electron, the only non-zero contribution in the previous difference arises from the frontier orbitals. By identification of the two fractions in eqn (10), one gets \[ \Delta f(r) \approx \rho_{LU}(r) - \rho_{HO}(r) \] (11) with $ \rho_{LU}(r) $ and $ \rho_{HO}(r) $ being the densities of the LUMO and HOMO obtained in a SCF calculation on the system with N electrons. Some problems arise with these formulations. First, regardless of the frozen orbital hypothesis, eqn (11) suffers from severe limitations: when considering a highly correlated system, canonical orbitals do not convey any relevant information, or when either the LUMO or HOMO shows some degeneracy, this equation becomes quite meaningless. Moreover, when the studied compounds are already negatively charged, the addition of one electron (as done in eqn (10)) might also not be plain. The possible self-ionisation would be missed because of the restricted size of the basis set (the additional electron being localised on an unphysical state). These formulations are also not well formulated for open-shell systems, where the resulting spin state after addition or subtraction of one electron is not obvious. A powerful formulation was recently proposed by some of the authors, and seems well suited for this kind of study: the state specific dual descriptor.$^{12}$ In this formulation, the dual descriptor is calculated as the variations in electron density between the excited states and the ground state: \[ \Delta f_{(i)}(r) = \rho_{(i)}(r) - \rho_{(0)}(r) \] (12) with $ \rho_{(i)}(r) $ the density of the excited state $ i $ ($ i = 0 $ meaning ground state). The physical meaning of this development is quite simple: as two reagents approach one another, they exert a mutual perturbation on their densities, through a variation of the external potential. As a result, the perturbed density of a molecule in this reacting configuration is markedly different from the ground state density of the isolated molecule. Assuming that no geometric relaxation occurs – i.e., the variation of the external potential is only due to the approach of the other reagent – this perturbation can be developed on the basis of all the excited states of the isolated molecule. In other words, the approach of a reagent changes the external potential in such a way that excited states can be stabilised, hence yielding a more accurate representation of the properties of the reacting molecule than what the isolated ground state configuration would. Ideally one should sum up the $ \Delta f_{(i)} $ contributions of all the excited states into the so-called extended DD, with a weighting as all the states will not contribute in the same way to the reactivity. The fact is that this weighting remains unknown, but one can assume reasonably that the higher in energy a state is, the less it will contribute to the reactivity in the ground state, as exemplified by the sum-over-states formula giving the molecular polarisability.$^{13}$ As a rule of thumb, one might quite often rely upon the very first excited states (first or second) and resume the extended DD to the corresponding state-specific DD.$^{14}$ Description by domains and quantification Since the DD sums to 0 over the molecule (by construction of the DD), both electrophilic and nucleophilic sites should be present on a given reagent, and there is no reason for an atom to show only one of the two behaviours. In fact, it will be shown hereafter that atoms quite generally exhibit both contributions. However, caution must be taken if one wants to compare the electrophilic and nucleophilic contributions between different ligands. The “crude” numerical values can indeed only be compared between systems with the same number of electrons. One can relieve this condition by moving from the canonical to the grand canonical ensemble;$^{15}$ upon the Legendre transform $ E \rightarrow \Omega = E - \mu N $ (with $ \mu $ the electronic chemical potential) one can define a grand-canonical dual descriptor: \[ \left( \frac{\partial^2 \rho(r)}{\partial \mu^2} \right)_{v(r)} = \frac{\Delta f(r)}{\eta^2} - \frac{\gamma}{\eta^3} f(r) \] (13) with $ \eta $ and $ \gamma $ being respectively the chemical hardness and hyperhardness, and $ f(r) $ being the Fukui function. The last term of eqn (13) can quite reasonably be neglected, since the ratio $ \gamma/\eta^3 $ is generally quite small, even though hyperhardness is not necessarily close to zero, unlike what is generally assumed.$^{16}$ Hence, in the following we will restrict to the computation of the first term $ \Delta f(r)/\eta^2 $, $ \Delta f(r) $ being computed through the first state specific (canonical) dual descriptor. Another step must be taken if one wants to compare the chemical properties of different ligands. The grand canonical DD is indeed a local function. Yet, usually reactivity in chemistry is discussed in terms of reactive sites, thus using a “coarse-grained” description of the reaction. One must then translate local properties into atomic or fragment contributions. This approach is called condensation, the most widespread being the one developed by Yang and Mortier,$^{17}$ based on atomic charges $ q(A) $ (whatever their definition). For instance, the condensed values of the Fukui functions are \[ f^\pm(A) = \mp [q_N(A) - q_{N\pm 1}(A)] \] (14) with $ q_{N\pm 1}(A) $ the charge of an atom $ A $ when an electron is added to or withdrawn from the molecule through a vertical process (no geometrical rearrangement). The extension to the state-specific dual descriptor is quite straightforward: \[ \Delta f_i(A) = q_{GS}(A) - q_{ES_i}(A) \] (15) where $ q_{GS}(A) $ is the charge of $ A $ in the ground state and $ q_{ES_i}(A) $ the charge in the $ i $th excited-state. Albeit very useful, such a scheme presents some severe drawbacks. Consider for instance a neutral diatomic molecule $ A_2 $. By symmetry, $ q_{N\pm 1}(A) = \mp \frac{1}{2} $, which yields \[ \forall A \quad f^\pm(A) = \frac{1}{2}, \quad \Delta f(A) = 0. \] (16) In other words, such a scheme is unable to distinguish between $ \text{H}_2 $, $ \text{O}_2 $, $ \text{N}_2 $ and $ \text{F}_2 $ for instance, whereas their reactivity strongly differs as it will be shown in the next section. We recently devised a new approach that is able to discriminate between such molecules. The real space is divided into non-overlapping domains $ D_i $ of constant sign for the DD. In practice, from a DD Cartesian grid (cube file), a given grid point is said to belong to the interior of one and only one domain if the DD takes the same sign at every neighbouring point. Refinements were also implemented in order to assure the robustness of this assignment and the stability of such a grid-based algorithm. Once these domains are obtained, the corresponding condensed values are defined by $$\Delta f(D_i) = \int_{D_i} \Delta f(\mathbf{r}) d^3\mathbf{r}$$ \hspace{1cm} (17) These integrals are computed numerically on the Cartesian grid. In order to assess the accuracy of such a procedure, one should monitor that $$\sum_i \Delta f(D_i) \approx 0$$ \hspace{1cm} (18) As an even more coarse-grained representation, the following descriptors can also be evaluated: $$\Delta f_D^+ = \sum_{i/\Delta f(D_i) > 0} \Delta f(D_i)$$ \hspace{1cm} (19) $$\Delta f_D^- = \sum_{i/\Delta f(D_i) < 0} \Delta f(D_i)$$ \hspace{1cm} (20) which measure the overall predominant electrophilic and nucleophilic propensities. Note that the DD normalisation implies that $\Delta f_D^+ = -\Delta f_D^-$. It is also worth adding that from this partition, other domain properties could be evaluated such as populations, barycentres, and moments. Their computation and their use will be described in a forthcoming paper. Computational details All ligand structures presented in Table 1 were fully optimised without symmetry restriction at the DFT level of theory. All calculations were carried out using the hybrid B3LYP functional and the 6-31G* gaussian basis set except for the thiocyanate anion and the dihalogens. The SCN$^-$ anion was optimised using the 6-31+G* basis set, as previous studies stressed the need to use diffuse functions to properly model sulfur atoms.\textsuperscript{18,19} Dihalogens were optimised using the full-electron, double-zeta with polarisation functions DGDZVP basis set,\textsuperscript{20} to ensure consistency of the results and since iodine is unavailable in the 6-31G* basis set. Frequency calculations were performed at the same level of theory to check for no imaginary value. Then, the first ten excited states were computed in the framework of time dependent DFT (TD-B3LYP). Subsequently, the DD was computed according to eqn (12), using the density of the first excited states. Grand canonical DDs (approximated by their first state-specific components) were represented as isosurfaces, and MEP obtained from the ground state calculations were mapped on density isosurfaces ($1 \times 10^{-3}$ a.u.), using GaussView 5.\textsuperscript{21} Chemical hardness was simply computed as the energy difference $\eta \approx E_{LUMO} - E_{HOMO}$. When relevant, condensations of the DD were computed according to the former scheme (eqn (19) and (20)) in order to relieve ambiguities or add a supplementary level of explanation to the discussion. All calculations were carried out using the Gaussian09 code and utilities.\textsuperscript{22} Condensations were made using a home made program. ### 3 Discussion Various systems were studied here, merged as shown in the series listed in Table 1. The groups were assembled according to the similarities of the ligand reactivity – as H$_2$ and ethene for instance – or according to the number of electrons – as for series (4). Results are discussed hereafter. #### Series (1): H$_2$ and ethene Ethene and dihydrogen usually show a similar reactivity as ligands, since they both interact by their main bond, coordinating in a $\eta^2$ mode\textsuperscript{1} (\textit{cf}. Scheme 1(a)). Therefore, it seemed rather logical to compare their features at the DD and MEP level, represented in Fig. 1. As formerly said, one can see that both nucleophilic and electrophilic parts are observed on the same atoms. The nucleophilic area is indeed located on both sides of the bond (H–H or C=C), indicating a coordination promoted by these bonds. MEP surfaces indicate the same coordination mode, since negative potential surfaces (stabilising for a cation) are found on the sides of the main bonds. In the case of H$_2$, the minimal value is small (\textit{ca.} $-3 \times 10^{-3}$ a.u.) and the attractive domain quite narrow, which suggests quite a weak bonding. In the case of ethene, the minimal value for the potential is one order of magnitude larger (\textit{ca.} $3 \times 10^{-2}$ a.u.) and the attractive domains are larger in space, hence implying a stronger bonding capability for ethene as compared to H$_2$. This is consistent with the known geometries and relative stability of hydrogen and ethene complexes, for instance [W(PPr$_3$)$_3$(CO)$_3$(H$_2$)] and Zeise’s salt\textsuperscript{1} [PtCl$_3$(C$_2$H$_4$)]\textsuperscript{23}. Furthermore, electrophilic systems are found, pointing outward from the molecule, essentially $\pi^$ or $\sigma^$-like (in the framework of MO theory\textsuperscript{23}). They develop in the neighbourhood of the coordinating site, suggesting quite an efficient backbonding. This is in perfect line with experimental results on ethylene-based complexes, such as tris-ethylene nickel(0)\textsuperscript{24} where quite an efficient back-bonding is seen. The reactivity of H$_2$ is also well reproduced, as seen for instance in the oxidative addition of H$_2$ on Vaska’s complex\textsuperscript{25} [IrCl(CO)(PPh$_3$)$_2$], or the relative difficulty to ascertain the \| Series number \| Ligands \| \|---------------\|---------\| \| 1 \| H$_2$, CH$_2$CH$_2$ \| \| 2 \| F$_2$, Cl$_2$, Br$_2$, I$_2$ \| \| 3 \| O$_2$, O$_2^-$, O$_2^{2-}$ \| \| 4 \| NO$^+$, CO, CN$^-$ \| \| 5 \| NO$^-$ \| \| 6 \| SCN$^-$ \| \| \| Acetylacetone, hexafluoro-acetylacetone \| ![Scheme 1](image.png) Scheme 1 Schematic representation of (a) the $\eta^2$ coordination mode of ethene (left) and H$_2$ (right); (b) the reaction of [(dpp-nacnac$^{CH_3}$)Rh(phdi)] with iodine; (c) the reaction of dioxo with the haem moiety in haemoglobin; (d) coordination of peroxo in the [Cu(TMPA)$_2$(O$_2$)]$^{2+}$; (e) coordination of peroxo in the catechol oxidase complex. Fig. 1 Up: DD isosurfaces for H$_2$ and ethylene (from left to right). Isovalues: $\pm 4 \times 10^{-3}$ a.u., green: $\Delta r > 0$, red: $\Delta r < 0$. Down: MEP maps on density isosurfaces, same order. Isodensity: $1 \times 10^{-2}$ a.u., values ranging from $3.00 \times 10^{-2}$ (blue) to $-3.00 \times 10^{-2}$ a.u. (red) in the case of ethene, $1.00 \times 10^{-3}$ to $-1.00 \times 10^{-3}$ for H$_2$. The oxidation state of the hydrogens in H$_2$ based complexes, between di-hydrido and neutral dihydrogen.\textsuperscript{26} Series (2): dihalogens Isosurfaces in the case of the dihalogens from F$_2$ to I$_2$ are represented in Fig. 2. Here, caution must be taken when using the term ligand. Indeed, as Rogachev and Hoffmann already stressed previously\textsuperscript{27} (and references therein), despite the lone pairs that should turn dihalogens into very good ligands, only a few transition metal complexes involving iodine are known,\textsuperscript{28–31} and to the best of our knowledge, none involving other halogens. Nevertheless, it seemed rather logical to investigate not only iodine, but also lighter parent compounds, and to check if any disparity could be found. The general trends are globally the same for the first two excited states (they are degenerated, and give the same results). All compounds show electrophilicity along the molecular axis, essentially $\sigma^$-like (in the framework of MO theory), while nucleophilic areas point on both sides of the bond where one would expect to find lone pairs. These features are consistent with the aforementioned study, where iodine is considered to be essentially electrophilic while coordinating in a linear fashion, and nucleophilic when coordinating on a “bent-side on” mode. The MEP is also in quite a good agreement, developing negative contribution on the sides of the molecules where the nucleophilic lobes are located, and positive (repulsive) contributions along the molecular axes. These electrophilic and positive MEP areas represent general features of halogen compounds, the so-called $\sigma$-holes.\textsuperscript{32} The bent-side on coordination seems therefore plausible, and is more probable for the heavier halogens since both the minimal values and extents of the attractive MEP domains are larger (from ca. $-3 \times 10^{-3}$ a.u. for F$_2$ to $-7 \times 10^{-3}$ a.u. for I$_2$ and Br$_2$). The larger proclivity of the heaviest halogens towards coordination is also stressed by the increase in the spatial extent of the nucleophilic parts of the DD as one moves from fluorine to iodine. It is likewise found in the condensed values of the DD, as shown in Table 2. As a remark, it is worth noticing that the condensation scheme respects the condition of a zero integral of the DD (eqn (18)). It is plain to see that nucleophilic contributions are increasing when moving from fluorine to iodine, suggesting a more efficient coordination for heavier dihalogens. Both this tendency and the topological features of the DD account for the coordination geometry of iodine\textsuperscript{31} in [Rh(CF$_3$CO$_2$)$_4$(I$_2$)], and two more factors might play a role in the non-existence of other donor dihalogen complexes. First, the weak electrostatic stabilisation (for chlorine and fluorine) can be insufficient to allow a cation approach. Furthermore, dihalogens are quite strong Fig. 2 DD isosurfaces (up) and MEP maps on density isosurfaces (down) for the dihalogens from $F_2$ (indices A, B and C) to $I_2$ (index D). DD isovalues: $\pm 4 \times 10^{-3}$ a.u., MEP ranges: $[-1.00 \times 10^{-2}; 1.00 \times 10^{-2}]$ a.u.; same color scheme as Fig. 1. Table 2 Condensed grand canonical dual descriptor for the dihalogens, sorted by positive or negative contribution \| Molecule \| $\Delta f_{\text{DD}}/\eta^2$ (a.u.) \| $\Delta f_{\text{DD}}/\eta^2$ (a.u.) \| \|----------\|-------------------------------------\|-------------------------------------\| \| $F_2$ \| 9.17 \| $-9.17$ \| \| $Cl_2$ \| 21.27 \| $-21.32$ \| \| $Br_2$ \| 31.39 \| $-31.49$ \| \| $I_2$ \| 48.06 \| $-48.12$ \| oxidants, hence suggesting that the complexes they might form would not be stable and would undergo oxidative addition with the cleavage of the halogen–halogen bond. This tendency would be exacerbated for the first dihalogens, which show the highest redox potentials (we recall here the standard potentials: $E^\circ(F_2/F^-) = 2.866$ V/ECS, $E^\circ(Cl_2/Cl^-) = 1.358$ V/ECS, $E^\circ(Br_2/Br^-) = 1.087$ V/ECS versus $E^\circ(I_2/I^-) = 0.536$ V/ECS).$^{33}$ This hypothesis is supported by the reactivity of [(dpp-naacac$^{C14}$)$_2$Rh(phdi)] towards dihalogens.$^{29}$ Indeed, addition of chlorine or bromine to this complex leads to an oxidation of the metal center and a cleavage of the halogen–halogen bond, while addition of iodine does not. In this case, a linear-acceptor iodine ligand is found, which is consistent with the description obtained by the DD. The supposed mechanism is depicted in Scheme 1(b). Actually, two other linear-acceptor iodine based complexes are known:$^{28,30}$ [Pt(dmpe)$_2$(I$_2$)] and [Pt(C$_6$H$_5$(CH$_2$NMMe$_2$)$_2$)(I$_2$)]. This small number of examples seems to agree well with the previous discussion about the redox activity and both the smaller developments of the DD for lighter halogens, and another feature may explain the relative rarity of complexes based on acceptor iodine. It is indeed plain to see that the linear coordination is electrostatically disfavoured, since the MEP displays along the molecular axis of the dihalogens its largest value, ca. 0.022, 0.038, 0.049, and 0.052 a.u. from $F_2$ to $I_2$. As a result, one can see that coordination abilities of dihalogens are quite similar according to the DD and the MEP analyses. Both show a tendency towards donation in a bent-side on geometry, which is expected to be favoured only for the heavier dihalogens. An acceptor ability in a linear coordination geometry is also found, which is expected to be also quite effective for the heavier halogens since they display a smaller gap between their HOMO and LUMO than the lighter ones (ca. $\eta = 6.98$ eV for fluorine, 3.05 eV for iodine) with both higher values of the electrophilic grand canonical dual descriptor. Still, these calculations seem to fail to reproduce the rarity of dihalogen-based complexes. In fact, the question is whether this rarity comes from poor coordination abilities or from other causes. As already discussed, the oxidative potential of dihalogens is quite a likely cause of the very few occurrences of dihalogen based complexes. This is the subject of a reactivity study; yet an implicit assumption is that we only consider coordination properties, meaning small perturbations of the electron densities, and not reactivity. With respect to this, our description is correct, and in fact the missing trends can be quite easily found since reactivity can be attained through a proper (yet slightly different) interpretation of the DD. For instance, the positive regions of the DD indicate acceptor regions in terms of coordination, but also the regions that would induce an electrophilic attack. The difference between the two approaches lies in the considered phenomenon: a slight electron delocalisation (from the metal to the ligand here) or a complete electron transfer (oxidative addition). Series (3): from dioxo to peroxo Isosurfaces for dioxo, superoxo and peroxo ions are represented in Fig. 3. These ligands are not supposed to show the same reactivity, but they form an electrochemical series that intervenes quite often in bioinorganic chemistry$^{34}$ (cell respiration, oxidation cycles). The differences between all these ligands are striking. The nucleophilicity of dioxo (Fig. 3(a),(A)) is essentially located along two orthogonal directions, either along the molecular axis or perpendicular to it. The main development is found in the interatomic plane, which would suggest a chelate mode of coordination, but since the MEP value in this area is positive – it corresponds to the maximum value of ca. $9 \times 10^{-3}$ a.u. – this coordination mode is rather disfavoured. In fact, slightly negative values of the MEP are found on the sides of each oxygen atom (ca. $-2 \times 10^{-3}$ a.u.), forming circular potential domains... at the same places one finds electrophilic parts of the DD. This suggests that dioxygen would essentially bind in a bent side-on way, acting as an acceptor ligand, as depicted on the left side of Scheme 1(c). Still, coordination by the central nucleophilic area could be encountered when covalent interactions are stronger than electrostatic interactions. In such a case dioxo is also expected to be quite a good acceptor ligand. It develops indeed large electrophilic lobes in the vicinity of the coordination area. Eventually, in these two geometries the acceptor tendency could lead to a certain reactivity, as what was formerly discussed for dihalogens. These results seem to be in a rather good agreement with the known reactivity of dioxo towards complexes; to the best of our knowledge, no dioxygen complex has been yet unambiguously characterised. Indeed, $ \text{O}_2 $ undergoes in all cases one or several electron back-transfer, e.g. in the haemoglobin complex$^{35} $ where a side-on superoxo is found as sketched in Scheme 1(c), or in the oxidative addition of $ \text{O}_2 $ to iridium complexes$^{36} $ where usually a chelate peroxo is finally formed. These results are also quite easily understandable in the framework of MO theory. The nucleophilic parts on the molecular axis arise from $ \sigma^+ $ contributions, while the central one stems from the bonding $ \pi $ system, which would be stabilised by the approach of an electron-acceptor species. The electrophilic parts are due to the anti-bonding $ \pi^ $ system, which in contrast would be stabilised by an interaction with an electron-giving species. Superoxide (Fig. 3(b),(B)) shows also a balanced trend since both nucleophilic and electrophilic sites show similar developments. In terms of MO theory, they seem to arise essentially from orthogonal $ \pi^* $ contributions. This suggests that superoxo would be a fairly good donor ligand, with a possibility to show chelation, and some slight ability for back-bonding due to the development of electrophilic areas in the vicinity of the bonding region. MEP in this case shows only negative values, due to the negative charge of the ligand. Hence, electrostatic interaction is in any case stabilising, but it still makes sense to check for the local minima in order to have a better idea of the regioselectivity of a cation approach. The MEP surface in this case was then represented between its minimal and maximal values. It is plain to see that two potential wells are defined above and below the O–O bond, but not in a circular shape ($ ca. -0.28 $ a.u.). It is worth noticing that the nucleophilic parts of the DD are also located below and above the O–O bond. Both descriptors thus strongly support the hypothesis of a chelating, donor superoxo. Little back-bonding is expected in this geometry, as the only reachable electrophilic parts are the ones located in the middle of the O–O bond. Yet, as formerly said the electrostatic interaction is stabilising at any point on the isodensity surface. Situations where stabilisation due to orbital interaction would take precedence over electrostatic interaction are therefore possible. For instance, the displacement of a ligand could increase the back-bonding or the $ \sigma $-bonding while decreasing the electrostatic stabilisation. Depending on the balance between both effects, this displacement will be favoured or not. As a result, geometries involving a cation not exactly located in the potential well, but rather on one of its sides could be encountered. This is also in good agreement with the known reactivity of superoxo; for instance, as already discussed in the haemoglobin complex $ \text{O}_2^- $ binds in a bent-side on form to Fe(II) (yielding a strong $ \sigma $-donation). In the case of peroxo (Fig. 3(c),(C)) finally, the DD representation is very close to what was seen for fluorine. This was expected since they are isoelectronic. The same kind of reactivity is therefore expected at the DD level: chelate or bent donor, or linear and acceptor ligand. Since peroxo is a dianion, here also one expects to observe only negative values of the potential, hence suggesting one to use the same representation (between min and max values). Again, the minimal values are found within the bond area, but this time the potential domain is circular (continuum of minimal values, $ ca. -0.54 $ a.u.). The chelate mode of coordination is then strongly supported, even if any cation approach is favoured with respect to the MEP. (negative values). In this bonding mode, little back-bonding might occur thanks to the central electrophilic developments of the DD, in the middle of the O–O bond. In that case indeed, the O–O bond length is quite long (ca. 1.62 Å) and the MEP is strongly negative, hence permitting a close approach of a cation and a subsequent strong interaction with this electrophilic part. All these tendencies are also in good agreement with the known reactivity of peroxo as a ligand. For instance, in the catechol–oxidase complex, dioxo first binds to two copper(i) ions and then undergoes two electron back-transfer, yielding peroxo bound to two copper(ii) in a chelate way as shown in Scheme 1(d) and (e). This complex can then oxidise organic molecules such as phenols,\textsuperscript{34} hence exploiting the relative electrophilicity of peroxo (middle-bond developments). As previously said for peroxo, here also other geometries are possible since the MEP is attracting towards cations anywhere on the surface. This allows one to understand the geometry of the $[\text{Cu(TMPA)}_2(\text{O}_2)]^{2+}$ complex, where a peroxo bridges to copper(ii) in a end-to-end, bent fashion (\textit{cf.} Scheme 1).\textsuperscript{37} In this case indeed, the chelate binding mode seems disfavoured due to steric hindrance generated by the pyridine coordinating groups. Another possible way to bind the metallic cations through the donor parts of peroxo is to bridge by a bis-monohapto mode ($\eta^1 - \eta^1$), as experimentally observed. In these cases also, the combination of both the DD and the MEP allows one to retrieve the coordination chemistry and also the reactivity of $\text{O}_2$ based complexes. Series (4): nitrosyl, carbonyl, cyanide As previously stated, the ligands in series (4) are isoelectronic and it is well established that they show similar coordination abilities. For instance, carbonyl, cyanide and nitrosyl are known to yield roughly the same kind of crystal field energy splitting, meaning that they show the same kind of donor and acceptor abilities.\textsuperscript{1} DD and MEP isosurfaces are represented in Fig. 4. DD displays similar features: nucleophilic domains are found along the molecular axes, pointing outwards from the molecule. They are more developed on the most electropositive atom, which is known to be the coordinating one (C in CO, N in NO$^+$, C in CN$^-$), and can be understood in the framework of the MO theory as arising from $\sigma$ orbitals. These nucleophilic contributions point in the direction of the minima of MEP ($-2 \times 10^{-2}$ a.u. for C in CO, $-0.24$ a.u. for C in CN$^-$, 0.24 a.u. for N in NO$^+$), strongly supporting linear coordination mode (with a donor ligand). The development of electrophilic domains in the vicinity of this coordination area (essentially $\pi^$ like) indicates a strong tendency towards back-bonding. This is consistent with the fact that these ligands are known to be strong field ligands, with the following order within the spectrochemical series:\textsuperscript{2} NO$^+ < \text{CO} \approx \text{CN}^-$. The order within this series is furthermore retrieved from the spatial extent of the DD, being larger for carbonyl and cyanide as compared to nitrosyl. This is also plain from the condensed values of the grand canonical DD, as reported in Table 3: NO$^+$ shows lower contributions (ca. $\pm 3.2$ a.u.) than CO (ca. $\pm 4.4$ a.u.) and cyanide (ca. $\pm 5.1$ a.u.). In the case of cyanide and carbonyl, the minimal values of the MEP found on the coordinating atom correspond to genuine potential wells; the interplay between charge and covalent interaction therefore suggests that the coordination will essentially imply a linear donor ligand, with a large back-bonding, as observed. In the case of cyanide, since the MEP is negative everywhere, coordination by the N atom is also plausible, even though coordination by the C atom is preferred. This accounts quite well for the observed coordination trends of cyanide, noticeably the possibility to form C$_n$N (end-to-end) bridges like in the prussian blue analogues.\textsuperscript{38} In these compounds, the large back-bonding manifests itself in the generally ![Fig. 4](image) Table 3* Condensed grand canonical dual descriptor for CO, NO$^+$ and CN$^-$, sorted by positive or negative contribution \| Molecule \| $\Delta f_{D^+}/\eta^3$ (a.u.) \| $\Delta f_{D^-}/\eta^3$ (a.u.) \| \|----------\|-------------------------------\|-------------------------------\| \| CN$^-$ \| 5.06 \| $-5.07$ \| \| CO \| 4.37 \| $-4.38$ \| \| NO$^+$ \| 3.17 \| $-3.18$ \| large magnetic coupling between the cations. In the case of carbonyl, the relative strength of charge interaction is expected to be lower than what is observed in cyanide, hence suggesting that the restriction to the linear coordination might be weaker, accounting for the possibility to obtain the bent-carbonyl complex carboxyhaemoglobin.\textsuperscript{39} This last example is further explained if one remembers that iron in the haem complex is rather nucleophilic (as illustrated by the back-transfer in oxyhaemoglobin between Fe(II) and dioxo), hence trying to increase its interaction with the electrophilic parts of the DD and therefore coordinating in a bent fashion. Finally, in the case of nitrosyl, since no negative MEP value is found, the minimal value corresponds to a repulsive potential (towards cations). As a result, charge control alone limits any coordination (effect of the positive charge). No real interplay between charge and orbital control can be found, and the reactivity must then be controlled solely by orbital interactions. This accounts quite well for the variety of behaviours that nitrosyl can show: when reacting with quite a nucleophilic metal, it will essentially behave like an acceptor in a bent “side-on” geometry,\textsuperscript{2} as in [Ir(PPPh$_3$)$_2$(CO)(NO)Cl]$^+$. In contrast, when reacting with an electrophilic metal, it would behave like a linear donor,\textsuperscript{40} as in [Fe(CN)$_5$NO]$^-$, with a large tendency to back-bonding. Nitrosyl In the previous series, we discussed a few results for NO$^+$, which is one of the limit forms that one usually writes to describe the behaviour of a one-electron donor nitrosyl ligand. NO is indeed a non-innocent ligand, and its electronic state is almost never plain:\textsuperscript{41} it always balances between NO$^+$ and NO$^-$. The cationic form might not be the best form to describe NO, especially when aiming to describe its reactivity. Indeed, the positive charge results in an electrostatic repulsion that might forbid complexation. Let us now focus on the neutral, radicalar form NO$^$. Computations of the DD and the MEP are shown in Fig. 5. Again, both electrophilic and nucleophilic contributions to the dual descriptor are spatially developed, and might be of similar importance for the reactivity. Yet, the differences with the cationic form are marked: instead of planar electrophilic and nucleophilic parts, orthogonal $\pi^$-like contributions are observed. They are mainly located on the N, suggesting a coordination by the nitrogen. This is supported by MEP analysis, showing two local minima on the sides of the N atom ($ca.$ $-12 \times 10^{-3}$ a.u.), to be compared with the local minima on the sides of the O ($ca.$ $-8 \times 10^{-3}$ a.u.). These features are localised on the same places as the nucleophilic parts of the DD, hence suggesting two possible coordination geometries: either bent and donor, with a slight tendency towards back bonding owing to electrophilic areas not far from the coordination area, or linear and strongly donor ($\pi$-donation) with a larger tendency towards back-bonding. This linear form is possible since along the molecular axis the MEP values are negative, hence stabilising for a cation (balance between the full electrostatic stabilisation and the back-bonding). The bent geometry is therefore expected when NO binds to quite a nucleophilic metal, which is consistent with the known data on nitrosyl: the bent form is associated with a 1e donor character while the linear form is associated with a 3e donor character.\textsuperscript{41} This is also seen in the Feltham–Enemark model:\textsuperscript{42} the more the {MNO} entity contains electrons, the more bent the nitrosyl would be. Yet, something might seem odd to the reader, since this analysis is in a partial contradiction with the former one on the cationic form: here, the bent geometry is associated with a donor character, while for the cationic form it is related to an acceptor ability. This is actually consistent with the known “non-innocent” character of nitrosyl as a ligand and the fundamental ambiguity that stems from the arbitrary assignment of an electronic state to it. Indeed, instead of considering an acceptor nitrosyl and a donor iridium(i) ion in [Ir(PPPh$_3$)$_2$(CO)(NO)Cl]$^+$, one might have thought of a donor nitrosyl bound to an acceptor iridium(III): the apparent problem is only a matter of electron localisation, which should not be encountered while considering entire complexes in which the electronic state of nitrosyl is not relevant (but the total number of electrons is). Thiocyanate Thiocyanate is another example of ambidentate ligands, characterised by the so-called geometry signatures:\textsuperscript{41} thiocyanate coordinates by the N atom to hard metals, in a linear geometry, or by the S atom to soft metals, in a rather bent-side on geometry.\textsuperscript{43} The MEP and DD maps are displayed in Fig. 6. One must bear in mind that a proper quantum calculation of sulfur-containing compound supposes the inclusion of diffuse and polarisation functions, thus suggesting the use of the 6-31+G* basis set in this case. From the DD analysis, it seems that the N atom is essentially nucleophilic, while the sulfur ![Fig. 5](image1.png) Fig. 5 DD isosurface (left) and MEP maps on density isosurfaces (right) for NO$^$. DD isovalue: $\pm 4 \times 10^{-2}$ a.u., MEP range: [$-1.20 \times 10^{-2}$; $1.20 \times 10^{-2}$] a.u.; same color scheme as Fig. 1. ![Fig. 6](image2.png) Fig. 6* DD isosurface (left) and MEP maps on density isosurfaces (right) for SCN$^-$. DD isovalue: $\pm 2 \times 10^{-2}$ a.u., MEP range: [$-1.99 \times 10^{-4}$; $-1.50 \times 10^{-4}$] a.u.; same color scheme as Fig. 1. atom shows both components. The nucleophilic parts can be viewed as arising from essentially $\pi^$-like orbitals (in the framework of MO theory), with a hint of $\sigma$ character for the nitrogen atom, and the largest component is found on the sulfur. This suggests that both atoms are able to act as donor ligands, with essentially no back-bonding while coordinating by the nitrogen, and in contrast a possible back-bonding when coordinating by the sulfur in a bent fashion. MEP also shows that any coordination is possible, since at the chosen isodensity all the values are negative. Yet, the minimal value is found along the SCN bond on the nitrogen ($ca. -0.20$ a.u.), and the maximal value is found along the bond but on the S atom ($ca. -0.15$ a.u.). As a result, one expects hard metals to coordinate by the N atom since they are most likely to undergo charge control, while in contrast soft metals, likely to undergo covalent control, would rather bind to the sulfur since it shows the largest nucleophilic contribution and also the possibility to yield back-bonding. In the case of N-bonding, the geometry is expected to be linear (orientation along the minimal MEP value, along the bond). The S-bonded complexes are expected to be bent because of the better back-bonding (with respect to a linear situation) and at the same time a larger electrostatic interaction. The coordination properties of thiocyanate are here very well reproduced. Acetylacetonate and hexafluoroacetylacetonate* Acetylacetonate (aacac) is widely used in coordination chemistry, acting as a donor but also quite efficient in enhancing the Lewis acidity of metallic cations, which supposes quite a good attractor behaviour; its hexafluorinated counterpart (hfac) shows the same reactivity, with a larger Lewis acidity enhancement.\textsuperscript{44} The computed MEP and DD surfaces are represented in Fig. 7. It is plain to see that both descriptors indicate a coordination by the two oxygen atoms, preferentially in the molecular plane: the nucleophilic parts of the DD consist essentially of the p-type lone pairs of the oxygens, lying in the molecular plane. On the other hand, a (negative) electrostatic potential well is located between the two oxygens, in the same position ($ca. -0.23$ a.u. for hfac, $-0.28$ a.u. for aacac), while other parts of the molecules show positive values of the MEP (which suggests that the charge is quite localised within the two oxygens). One would then expect quite a strong donor character for these ligands, as it is generally observed experimentally. But one can also see that the electrophilic part of the DD, though mostly located on the carbonyl carbons, also develops on the oxygens, perpendicular to the molecular plane. These electrophilic areas are in an appropriate place to allow quite an efficient back-bonding from metal orbitals, thus enhancing its Lewis acidity. This is also experimentally observed. The difference between the protonated and fluorinated form is not really obvious, except that hfac is expected to be a weaker ligand, since MEP minimum is smaller and the spatial extent of the DD is smaller. The MEP feature is quite easily explained if one remembers that trifluoromethyl groups are electron withdrawing, hence delocalising the anionic density over the whole molecule and not only between oxygens. A more careful look at the DD reveals that the electrophilic and nucleophilic parts are rather comparable for hfac, in contrast to the situation of aacac where the nucleophilicity is preponderant. This is likely due to the trifluoromethyl groups, which by lowering the density lead to lower the local nucleophilicity and also the local electrophilicity. As a result, hfac is expected to be a stronger electron-withdrawing ligand as compared to aacac, which is consistent with its higher “lewis acidity enhancement” properties.\textsuperscript{44} 4 Conclusion In this article, we have shown that the computation of the dual descriptor and the molecular electrostatic potential allows one to interpret the coordination chemistry of ligands in terms of acceptor/donor abilities balanced by electrostatic interactions. The variety of the chosen examples (ranging from neutral diatomic to charged polyatomic ligands) supports the generality of the proposed method, not only for geometry interpretation but also its prediction. In many cases, both descriptors provide similar information, but in some cases ambiguities could only be relieved by the combination of the two descriptions. For instance, in the case of dioxygen (coordination by the electrophilic part of the ligand thanks to the molecular potential) or thiocyanate (coordination possible on every position according to the MEP, limitation to two possibilities thanks to the DD). This tool might be useful for the community of coordination chemists, since it allows one to map unambiguously and at the price of rather simple DFT calculations the relative local nucleophilicity or electrophilicity of a ligand, hence permitting to predict the preferential coordination geometries of a given ligand. Furthermore, the effectiveness of the proposed method suggests that it could be worth checking if any complementary information would not be obtained by considering the dual potential\textsuperscript{43,46} instead of the dual descriptor. Yet, the combination of both DD and MEP already allowed... us to get an insight into the electronic properties of a ligand, enabling for instance to ascertain which geometries would allow back-bonding and which ones would not. Furthermore, the scope is not limited to these points. Previous studies indeed showed that charge-transfer excitations could be easily computed and explained based on the variations of the density upon a vertical excitation,\textsuperscript{17} which are precisely what one computes when looking for the state-specific DD.\textsuperscript{48} This means that one can access, in a single and unified framework, both reactivity and optical properties of a molecule, and at a relatively low computational cost. Acknowledgements The authors would like to thank Roald Hoffmann for his precious advice and discussions. F.G. is grateful to the Ecole Normale Superieure de Lyon for the financial support. This work has been partially supported by INSA Rouen, Rouen University, CNRS, Labex SynOrg (ANR-11-LABX-0029) and region Haute-Normandie (CRUNCh network). L. J. and V. T. thank the Centre National de la Recherche Scientifique (CNRS) for a “chaire d’excellence” at the University of Rouen, and the Centre de Ressources Informatiques de Haute-Normandie (CRIHAN) for computational resources. The research benefited from the support of Aviesan ITMO Cancer within the “Cancer Plan 2009–2013” and the application of Action 3.3. A. References 1 D. F. Shriver and P. W. Atkins, Inorg. Chem., Oxford University Press, 3rd edn, 1999. 2 J. E. Huheey, Inorganic Chemistry: Principles of Structure and Reactivity, Harper International Edition, 1972. 3 J. Chatt, L. A. Duncanson and L. M. Venanzi, J. Chem. Soc., 1955, 4456–4460. 4 G. Klopman, J. Am. Chem. Soc., 1968, 90, 223–234. 5 L. Salem, J. Am. Chem. Soc., 1968, 90, 543–552. 6 C. Morell, A. Grand and A. Toro-Labbé, J. Phys. Chem. 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Syzgantseva, V. Tognetti, A. Boulangé, P. A. Peixoto, S. Leleu, X. Franck and L. Joubert, J. Phys. Chem. A, 2014, 118, 757–764. Towards the first theoretical scale of the trans effect in octahedral complexes† Frédéric Guégan,∗a,b Vincent Tognetti,c Laurent Joubert,c Henry Chermette,a Dominique Luneaub and Christophe Morella∗a In this paper, we show that trans effects in octahedral complexes can primarily be related to differences in the ability, for a given ligand, to cede electron density to the metal cation under the influence of the ligand at the trans position. Using tools from conceptual DFT or from related paradigms, we highlight these effects on a set of representative examples and further provide the basis for a computational trans effect scale. This quantification notably retrieves the experimental trans orienting series. 1. Introduction The Kinetic Trans Effect (KTE), sometimes simply called the “trans effect”, is a well-known phenomenon in coordination chemistry since its discovery in 1926. It is characterised by the increase in the substitution kinetics of a ligand in a complex, under the influence of the ligand at the opposite coordination position (whence the label “trans”). A static analogue to this effect is also known: the Structural Trans Effect (STE), sometimes called “trans influence”. It is characterised by an increase of a metal–ligand bond length, under the influence of the ligand at the opposite coordination position. Both STE and KTE are frequently epitomised by square planar complexes, with a d8 electronic configuration of the metal cation, and octahedral complexes, with either a d6 or d0 metal electronic configuration. More rarely, they can be observed for lanthanide, actinide or even iodine complexes. These two effects are known to be a likely cause of several chemical properties, ranging from catalytic activity and selectivity to metalloprotein reactivity and anti-tumoral activity. As such, understanding the origin and mechanisms beneath both the STE and the KTE seems to be necessary. Many experimental and theoretical studies have been dedicated to this task and, to our best knowledge, have not been fully conclusive yet. All these efforts can be traced back to the 1930s when an electrostatic model was proposed, based on polarisation effects between the central metal and the ligands. However, its conclusions are generally in contradiction with the outcome of a later model by Chatt, Dewar and Duncanson (CDD). The CDD model, even though elegant, only works for the KTE observed with π-acceptor ligands and is unable to account for the generality of the trans effects. Eventually, some other authors tried to correlate metal–ligand σ or π bond strength with the trans effects using experimental evidences, such as direct measurements of UV charge transfer bands. Lately, many different theoretical studies have confirmed that both electron donations and back-donations are acting beneath the KTE of square planar complexes, the former by destabilising the complex, and the latter by stabilising the transition states of metathesis. Yet, such confirmations are still needed in the case of octahedral complexes. There is no apparent reason why the same line of argument might not be applied. Furthermore, it is plain to see that there is a common ground for all these approaches. In all cases indeed, trans effects can be understood in terms of electron density deformations. For instance, within the CDD model, trans effects are investigated by monitoring the electron transfers from the metal to the ligands. Similarly, in the electrostatic approach, the dipole moment arises from electron density distortion due to charge accumulation or depletion at given sites. In the case of the donation/back-donation scheme, the extent of electron density shared between the ligand and the metal, as compared to the case of isolated species, could be the relevant parameter to follow. Conceptual DFT (C-DFT) is an elegant framework for characterizing such effects. It expresses the chemical properties of a given system through a set of quantum descriptors. These are based on the response of either the energy or the electron density to external perturbations.\textsuperscript{36} Obviously, such a framework is adapted for an in-depth investigation of the physical roots of the \textit{trans} effects in octahedral complexes. Two tools are particularly well fitted to monitor the variations of the electron density, namely the Dual Descriptor (DD)\textsuperscript{37–39} and the Extended Transition State–Natural Orbitals for Chemical Valence\textsuperscript{40–42} (ETS–NOCV). The latter does not strictly belong to C-DFT, still it uses a density deformation matrix and therefore its theoretical framework is quite close to C-DFT. These two indexes combined together have proved to be very efficient to characterise, understand and rationalise the electron density evolution during a chemical process.\textsuperscript{43,44} In this work, the results of a combined DD/ETS-NOCV survey are reported. In the first part, the physical bases for both descriptors are briefly recalled (see the ESI† for more details). In the second part the methodology to unravel the STE and the KTE is presented. It is then applied on a set of representative examples. The third part is dedicated to the elaboration of a semi-quantitative scale of \textit{trans} orienting groups. The paper ends with some concluding remarks. ## 2. Theoretical background ### 2.1 State specific grand canonical dual descriptor The usual dual descriptor $\Delta f_{\text{usual}}(\mathbf{r})$\textsuperscript{45} is defined as the second derivative of the electron density $\rho(\mathbf{r})$ with respect to the number of electrons $N$, in a frozen geometry (the external potential $v(\mathbf{r})$ remaining constant). $$\Delta f_{\text{usual}}(\mathbf{r}) = \left( \frac{\partial^2 \rho(\mathbf{r})}{\partial N^2} \right)_{v(\mathbf{r})} \tag{1}$$ It allows the characterisation, in a single representation, of regions within a molecule that are prone to cede ($\Delta f(\mathbf{r}) < 0$) or receive ($\Delta f(\mathbf{r}) > 0$) electron density, the so-called nucleophilic and electrophilic regions in organic chemistry,\textsuperscript{38,46} and their use to understand the reactivity of organometallic complexes\textsuperscript{47,48} has recently been advocated. Several approximations of the DD are found in the literature, and are developed in the ESI†. Here, we use a recently devised formulation, the so-called “state-specific” approach,\textsuperscript{49–51} where the DD is identified as a sum of electron density differences between the $n$th excited and the ground states – the so-called $n$th state specific DDs. Indeed, most of the limitations of the usual approximations are avoided in this formalism; noticeably, the eventual orbital degeneracy is no longer a problem, nor the spin states of the molecules and their associated $N + 1/N - 1$ forms (see the ESI† for more details). Furthermore, the DD within this approach is expected to take into account polarisation effects,\textsuperscript{52} and as such to represent reactivity more accurately. More specifically, we focus on the first state specific DD $\Delta f_1(\mathbf{r})$, which usually provides the major contribution to reactivity: $$\Delta f_1(\mathbf{r}) = \rho_1(\mathbf{r}) - \rho_0(\mathbf{r}) \approx \Delta f_{\text{usual}}(\mathbf{r}) \tag{2}$$ Here, we are interested in comparing chemical systems with different numbers of electrons $N$. Eqn (1) and (2) hold only for a fixed $N$ value (canonical ensemble), and the Legendre transformation to the grand-canonical ensemble is needed if one wants to set $N$ as a free parameter. The result of such a transformation has already been reported\textsuperscript{50} (and the details are recapped in the ESI†), and it can be shown that one simply needs to divide the canonical DD by the square of the molecular hardness $\eta$ in order to obtain the Grand-Canonical Dual Descriptor (SS-GCDD) $\Delta s(\mathbf{r})$: $$\Delta s(\mathbf{r}) \approx \frac{\Delta f_{\text{usual}}(\mathbf{r})}{\eta^2} \approx \frac{\rho_1(\mathbf{r}) - \rho_0(\mathbf{r})}{\eta^2}. \tag{3}$$ For the sake of simplicity and concision, we will refer to the SS-GCDD as the DD in the following. ### 2.2 DD partition into reactive domains In order to extract the meaningful chemical information contained within the DD, it is relevant to partition it into domains of constant sign $D_i^\pm$, associated with a univocal and specific reactivity. More precisely, all points belonging to a given $D_i^+$ (respectively $D_i^-$) feature a positive (resp. negative) DD value and are surrounded by neighbours exhibiting the same DD sign that corresponds to a predominant electrophilic (resp. nucleophilic) behaviour. Such a real space partition can be achieved using \textsc{domains}, a recently developed code.\textsuperscript{53} In the latest version of the program, two thresholds are implemented in order to get a clearer picture of the domains. The first threshold, $\tau_r$, excludes from the domains any point in space that would be closer than $\tau_r$ to any nucleus. This allows us to withdraw the contribution of core regions, which are not expected to contribute significantly to the reactivity, or which may not be accurately described (with the use of pseudo-potentials). The second threshold, $\tau_{\text{DD}}$, allows a better separation of the domains by excluding any point in space associated with a norm of the DD that is inferior to $\tau_{\text{DD}}$ (lower boundary). This permits an efficient delimitation of the reactive sites. It is possible to integrate the DD within these domains, and thus to gain a deeper insight into the reactivity of the corresponding sites. More precisely, it is possible for each domain $D_i^\pm$ to compute its volume, $V_{D_i^\pm}$, the integrated value of the DD within this volume, $\Delta s(D_i^\pm)$, and the average value of the DD in the domain, $\overline{\Delta s}(D_i^\pm)$. This last value is expected to yield the most valuable information on the domain reactivity, since it shares the same unit as the DD. As we will show in the last part, those average values will actually be the basis for a quantification of the \textit{trans} effect. ### 2.3 Extended transition state–natural orbitals for chemical valence (ETS–NOCV) The NOCV $\Psi_i$ are the eigenvectors that diagonalise the deformation density $\Delta \rho(\mathbf{r})$ of two isolated fragments when they are allowed to interact. Mathematically this can be translated by $$\Delta \rho(\mathbf{r}) = \sum_m \nu_m \left[ -\Psi_{-m}(\mathbf{r})^2 + \Psi_{+m}(\mathbf{r})^2 \right]. \tag{4}$$ Practically, the NOCVs permit the decomposition of the electron density deformation on the basis of the orbitals of each isolated fragment. It therefore helps in monitoring the evolution of the electron density during a chemical process. For instance, it is possible to distinguish between $\sigma$ and $\pi$ bonding, and also to separate donation and back-donation effects; physics beneath the interactions is thus unveiled. In addition to this decomposition of the electron density transfers, an assessment of the associated energetic stabilisation is possible, through the framework of the extended transition state. ### 2.4 Computational details All the structures of complexes presented in this work have been fully optimized without symmetry restrictions at the B3LYP level of theory using the Gaussian09 package. Pople basis sets are used for all the coordinating atoms: 6-311+G(d) for S and P atoms, 6-311G(d) for the other ones. Metal cations are modelled with the Stuttgart–Dresden Electron Core Potentials (ECP) and the corresponding basis set (keywords SDD in Gaussian09). Frequency calculations have been performed at the same level of theory to ensure that the obtained geometries correspond to genuine minima of the potential energy hypersurface (the coordinates are reported in the ESI†). To evaluate the DDs, the first ten excited states have been computed using the Time Dependant DFT framework (TD-B3LYP), and the DD has been subsequently evaluated using eqn (2) and (3). Chemical hardness has been approximated as $\eta = \frac{E_{\text{LUMO}} - E_{\text{HOMO}}}{2}$. Condensation was performed using domains, and the same threshold values were used for all complexes: $\tau_{\text{DD}} = 0.2$ a.u. and $\tau_r = 0.5$ a.u. To ensure that computed DD are reliable, they have also been calculated using two other exchange-correlation functionals (PBE0 and M06-2X) for a few complexes. As expected the results are very similar and make the DD a trustable descriptor. In the same spirit, the adequacy of the basis sets and ECP has been confirmed by additional calculations on the cobalt complexes, at the B3LYP/6-311++G(2d,2p) [C, H, N, O]/Wachters-rf (Co) level. Apart from computation time, which increases a lot, the tendency remains the same (though the figures change, naturally), hence giving confidence in the adequacy of the computational model. The NOCV calculations have been performed using the Amsterdam Density Functional program (ADF2013), at the B3LYP/TZP-small core level of theory. Both the DD and NOCV density deformations have been represented using GaussView. ### 3. Trans effect in octahedral complexes Note: in the following, the labels trans and cis will refer to the corresponding position in a complex with respect to the strongest trans orienting ligand. #### 3.1 Methodology The aim of this study is to characterise and rationalize the trans effects in octahedral complexes. As pictured in Scheme 1, two approaches have been unfolded. First, the differences in the electronic demand between the cis and the trans positions in a given complex are compared, highlighting the trans effect induced by a specific ligand T (left side of the figure). To do so, the geometries of the full complexes are optimised, and afterwards either the cis or trans ligand L is removed. The DDs of the corresponding incomplete $[\text{ML}_4\text{T}]$ complexes are computed, as well as the NOCVs associated with the coordination of the removed ligands. As exemplified in the following, this approach permits the characterisation of the STE, where one often compares two bond lengths in the same complex (inner reference). Second, we compare the electronic demand at the trans positions in two similar $[\text{ML}_4\text{T}]$ and $[\text{ML}_4\text{T}']$ complexes, differing only by the trans orienting ligands T and T'. A similar approach to the previous was used: the first optimisation of the structure, followed by the removal of trans ligands. The DDs of the corresponding fragment complexes $[\text{ML}_4\text{T}]$ and $[\text{ML}_4\text{T}']$ are calculated, as well as the NOCVs associated with the coordination of the removed trans ligands. This approach likely allows the characterisation of the KTE, where one usually compares two complexes only differing by the trans orienting ligand. The validity of these approaches is supported by the fact that ligand substitution in octahedral complexes generally proceeds via dissociative mechanisms. $[\text{ML}_4]$ moieties therefore bear some chemical meaning as potential intermediates. In the following discussion, the two approaches are developed in order to assess the efficiency of both tools (DD and NOCV) to retrieve and rationalise the trans effects. The complexes listed in Table 1 have been chosen to be representative of the variety both trans effects offer, either in electronic configuration ($d^0$ and $d^6$ for the STE, $d^6$ for the KTE), period of the metal (4 and 5) or ligand nature ($\sigma$ or $\pi$ donor, $\pi$ acceptor). \| Label \| Formula \| Specificity \| \|-------\|---------\|-------------\| \| 1 \| $[\text{Co(NH}_3)_4(\text{NO}_2)_2(\text{CH}_3)]^{2-}$ \| STE, $d^6$, $\sigma$ donors \| \| 2 \| $[\text{NbO(SCN)}_4]^{2-}$ \| STE, $d^0$, $\sigma$, $\pi$ donors \| \| 3-H$_2$O \| $[\text{Rh(NH}_3)_4(\text{H}_2\text{O})_2]^{4+}$ \| KTE, $d^6$, $\sigma$ donors \| \| 3-Cl \| $[\text{Rh(NH}_3)_4(\text{H}_2\text{O})\text{Cl}]^{2+}$ \| KTE, $d^6$, $\sigma$, $\pi$ donors \| \| 4-OH \| $[\text{Co(en)}_2(\text{H}_2\text{O})\text{OH}]^{2+}$ \| KTE, $d^6$, $\sigma$, $\pi$ donors \| \| 4-SO$_3$ \| $[\text{Co(en)}_2(\text{H}_2\text{O})\text{SO}_3]^{2+}$ \| KTE, $d^6$, $\pi$ acceptor \| \| S3$^a$ \| $[\text{Rh(LPMes}_3)\text{Cl}_3]$ \| STE, $d^6$, $\sigma$, $\pi$ donors \| $^a$ L = dimethylaminocarbene. 3.2 Comparing cis and trans positions 3.2.1 The first example of a d⁰ STE complex: [Co(NH₃)₂(NO₂)₂(CH₃)]⁻ (1). The first chosen example, [Co(NH₃)₂(NO₂)₂(CH₃)]⁻ (1), is known to show a marked STE due to the methyl ligand. Indeed, the Co(II)–NO₂⁻ bond length is 0.10 Å longer trans to CH₃⁻ than cis. Two [ML₅] fragments have been built by removing either the trans or a cis nitrito ligand. The DDs computed for the fragments are presented in Fig. 1. The similarity between the metal contributions to the DD in both fragments is striking. They comprise a nucleophilic part reminiscent of a non-bonding metal d orbital, and an electrophilic part developing towards the coordination vacancy. The latter feature could be expected: removing a ligand, i.e. a nucleophile, will logically exacerbate the electrophilicity of the remaining [ML₅] species. This electrophilic basin looks noticeably larger in 1-cis than in 1-trans, even using an isovalue that is twice higher. The results of the condensation on these domains are summarised in Table 2. In the case of 1-trans, the integrated value is about 7 times smaller than that of 1-cis. The volume of the domain is also smaller for 1-trans, but in a much weaker proportion (roughly 30%). In the end, the mean value of the DD $\Delta s(D_{Co}^+)$ is much higher for 1-cis than for 1-trans. The trans position, being much less electrophilic than the cis one, is then expected to stabilise ligands less efficiently: the associated metal–ligand bond is expected to be longer. This is in total compliance with the experimental results. This could also be retrieved using NOCVs for the coordination of nitrite to the [ML₅] fragments. The deformation density associated with the first (and main) NOCV pair is represented in Fig. 2. In both cases the incoming ligand (NO₂⁻) loses electron density, which relocates between the ligand and the cobalt atom: a cobalt–nitrite bond is formed. Furthermore, some internal relocations are observed on the [ML₅] moiety. Those can be seen as the withdrawal of an excess of electron density that was transferred from the ligands to the metal cation to counteract the coordination vacancy. The coordination of the cis nitrito is associated with a NOCV ($\pm 1$) energetic stabilisation of 40.1 kcal mol⁻¹ and a transfer of 0.66 electrons. On the other hand, the coordination of the trans nitrito is associated with an energetic stabilisation of 31.3 kcal mol⁻¹ and a transfer of 0.57 electrons. The metal–ligand bond is then weaker at the trans position, and as such we retrieve the expected STE. 3.2.2 An example of a d⁰ STE complex: [NbO(SCN)₄]²⁻. The second example, [NbO(SCN)₄]²⁻ (2), is known to exhibit a marked STE due to the oxide ligand; the Nb(v)–SCN⁻ bond length is 0.18 Å longer trans to the oxido as compared to the cis position. One can notice formally the d⁰ electronic configuration of the metal cation. Similarly to complex 1, two [ML₅] fragments have been built by removing the trans thiocyanate (2-trans) or the cis one (2-cis), and the DD has been computed. The results are displayed in Fig. 3. The DD contributions on the metal cation are again similar. Noticeably, the electrophilic part recalls a non-bonding metal d orbital, in perfect line with the previous example. Indeed, in the framework of MO theory, these non-bonding orbitals are empty in the d⁰ case, thus likely associated with electrophilicity, and fully occupied in the d⁶ case, and associated with nucleophilicity. In the case of 2-cis, these electrophilic domains are adapted to fit a π-donor ligand, and thus may efficiently stabilise a N-bonding thiocyanate. 2-trans will not offer such a stabilisation: the electrophilic domains develop perpendicularly to the eventual thiocyanate–niobium bond. The trans thiocyanate is then expected to be much less stabilised than the cis one. Furthermore, the DD lobes on the trans thiocyanate in 2-cis are much more developed than on any other one. The aspect is indeed very typical of an isolated SCN⁻ ligand, thus suggesting that this ligand in the complex ![Fig. 1](image1.png) Fig. 1 DD isosurfaces for the [ML₅] fragments derived from complex 1. Left: 1-trans, deprived of the trans nitrito group with respect to methyl, $-0.4 \leq \Delta s(r) \leq 0.4$ a.u. Right: 1-cis, deprived of the cis nitrito with respect to methyl, $-0.2 \leq \Delta s(r) \leq 0.2$ a.u. Surfaces colours: orange, $\Delta s(r) < 0$; green, $\Delta s(r) > 0$. Colour scheme: red, O atoms; blue, N atoms; grey, C atoms; white, H atoms; lavender, Co atoms. Coordination vacancies are directed on the right side of each [ML₅] fragment, and green arrows point towards the $D_{Co}^+$ domains. Methyl ligands are highlighted. ![Fig. 2](image2.png) Fig. 2 Deformation density for the first NOCV pair, associated with the coordination of a nitrito ligand to 1-trans (left) and 1-cis (right). Isovalue: $\Delta \rho(r) = \pm 4 \times 10^{-3}$ a.u. Colour scheme: orange, $\rho(r)$ depletion; green, $\rho(r)$ accumulation. Atom colours and orientations of the fragments were chosen as in Fig. 1. The incoming ligand is located on the right side of each complex, and methyl ligands are highlighted. \| \| 1-cis \| 1-trans \| \|------------------\|---------\|---------\| \| $\Delta s(D_{Co}^+)$ \| 145.6 \| 21.4 \| \| $V(D_{Co}^+)$ \| 24.1 \| 17.6 \| \| $\Delta s(D_{Co}^-)$ \| 6.04 \| 1.22 \| Table 2 DD condensation for [ML₅] fragments deriving from complex 1. All values in atomic units behaves more like a free ligand than a coordinated one, not to say like a leaving group. Unfortunately, the same partition as previously could not be applied: only negligible values of the DD at the trans position could be obtained, since no development of the DD is observed at that position. Actually, this is not a pitfall: if no quantification is possible in that case, one is still able to characterise a trans effect. More insight is gained from the ETS-NOCV study of the coordination of thiocyanate to the [Nb(SCN)$_4$O]$^-$ fragments. The results are recapped in Fig. 4. In the case of the cis SCN$^-$, the main energetic stabilisation is associated with the formation of a $\sigma$ bond (NOCV $\pm 2$, $-30.4$ kcal mol$^{-1}$, 0.47 electrons transferred), but the highest number of transferred electrons is associated with the formation of a $\pi$ bond (NOCV $\pm 1$, $-12.7$ kcal mol$^{-1}$, 0.49 electrons). A different tendency is observed for the trans SCN$^-$: an energetic stabilisation of $-18.0$ kcal mol$^{-1}$ for the $\sigma$ bond formation (NOCV $\pm 1$), and 0.34 electrons transferred, $-8.1$ kcal mol$^{-1}$ and 0.52 electrons for the $\pi$ bond formation (NOCV $\pm 2$). Roughly the same number of electrons is transferred during the formation of the $\pi$ bonds, but the associated energetic stabilisation is much higher for cis SCN$^-$. Regarding the $\sigma$ bond formation, both the number of transferred electrons and the energetic stabilisation are higher in the case of cis SCN$^-$. Thus one expects trans thiocyanate to be much less stabilised in the complex than the cis ones, and as such to be more weakly coordinated: a STE is retrieved. ### 3.3 Comparing trans orienting ligands #### 3.3.1 An example of a KTE complex: [Rh(NH$_3$)$_4$(H$_2$O)X]$^{n+}$. The two previous examples, in addition to the 3 other examples provided in the ESI† confirmed that it is possible to highlight differences between the trans and cis positions in given complexes, and to relate these differences to a possible STE or a KTE. A further step can be taken if one compares two different trans orienting ligands, with the remains of the complex being conserved. Let us consider [Rh(NH$_3$)$_4$(H$_2$O)X]$^{n+}$, with X = H$_2$O, n = 3 (3-H$_2$O) and X = Cl$^-$, n = 2 (3-Cl). It was shown experimentally that water substitution proceeds 5000 times faster for 3-Cl than for 3-H$_2$O. In agreement with our methodology, we built two [ML$_5$] fragments based on these two complexes by removing the coordinated water molecule (ML5-3-H$_2$O and ML5-3-Cl), and computed the corresponding DD, as represented in Fig. 5. The DD features are very similar to those observed for complex 1. Noticeably, we retrieve the d AO-type nucleophilic contribution on the metal, and the electrophilic development towards the vacancy. It is not plain whether ML5-3-H$_2$O or ML5-3-Cl bears the largest contribution at first sight. Results of the condensation are gathered in Table 3, and help us to answer this question. The integrated value of the DD for ML5-3-H$_2$O is approximately twice the value for ML5-3-Cl, while the volume of the basins remains rather similar. As a consequence, the mean value of the DD is higher for ML5-3-H$_2$O: the associated vacancy exhibits a higher electrophilicity than ML5-3-Cl. The water molecule should then be more stabilised in... Table 3 DD condensation for [ML$_5$] fragments deriving from complex 3. All values in atomic units \| \| ML5-3-H$_2$O \| ML5-3-Cl \| \|------------------\|--------------\|----------\| \| $\Delta s(D_{Rh})$ \| 43.9 \| 21.9 \| \| $V(D_{Rh})$ \| 25.2 \| 19.2 \| \| $\Delta s(D_{Rh})$ \| 1.74 \| 1.14 \| 3-H$_2$O than in 3-Cl, and as such to be less easily replaced: we retrieve a KTE. This is also confirmed at the NOCV level, as sketched in Fig. 6. In both cases, a basin of electron density relocation is observed between the incoming water and the rhodium cation, indicating the formation of a $\sigma$ bond. Further reorganisation of electron density is observed on the remaining of the ligand. It can be assigned here also to a withdrawal of excess electron density that was transferred from the ligands to the metal cation, in order to counteract the coordination vacancy. The coordination of water to ML5-3-H$_2$O is associated with a transfer of 0.48 electrons, and an energetic stabilisation of 31.0 kcal mol$^{-1}$. On the other hand, coordination to ML5-3-Cl leads only to the transfer of 0.36 electrons and a stabilisation of 16.7 kcal mol$^{-1}$. The incoming water molecule is then much less stabilised in 3-Cl and one expects its replacement to proceed much quickly: the KTE is retrieved. 3.3.2 Another KTE complex: [Co(en)$_2$(H$_2$O)X]$^{n+}$. Let us now consider the case of [Co(en)$_2$(H$_2$O)X]$^{n+}$, with X = OH$^-$, $n = 2$ (4-OH) and X = SO$_3^{2-}$, $n = 1$ (4-SO$_3$) (en = ethylenediamine). This complex involves a $\pi$-acceptor ligand, and thus differences in the aspect of the DD with respect to the previous cases might be expected. It was shown experimentally that water substitution is 2000 times faster in 4-SO$_3$ than in 4-OH.$^{65,66}$ In the same spirit as previously, we built two [ML$_5$] fragments by removing the coordinated water molecule of 4-SO$_3$ (ML5-4-SO$_3$) and 4-OH (ML5-4-OH), and computed the DD. The results are presented in Fig. 7. The metal cation here also bears a nucleophilic domain with a shape reminiscent of a d-type metal AO, and an electrophilic domain developing towards the vacancy. In the case of 4-SO$_3$ the domains look quite distorted, and the electrophilic one is very small as compared to 4-OH. This apparent lower electrophilicity is retrieved in numerical values from the condensation, recapped in Table 4. The integrated value is indeed between 3 to 4 times larger for ML5-4-OH than for ML5-4-SO$_3$, and the mean value is also much larger. More electrophilicity is then seen on the vacancy when the trans ligand is hydroxo, thus suggesting the coordinated water would be much more stabilised in 4-OH than in 4-SO$_3$. This is also completely retrieved at the NOCV level, as represented in Fig. 8. During coordination of water to the [ML$_5$] fragments, a basin of electron density relocation is observed between H$_2$O and the cobalt atom, indicating as previously the formation of a $\sigma$ bond. From the graphical point of view, this relocation of electron density is much larger for 4-OH than for 4-SO$_3$. This is retrieved in the numerical values: coordination of water to 4-OH involves the relocation of 0.33 electrons and a stabilisation of 15.6 kcal mol$^{-1}$. On the other hand, only 0.22 electrons are transferred during coordination to 4-SO$_3$, Table 4 DD condensation for [ML$_5$] fragments deriving from complex 4. All values in atomic units \| \| 4-OH \| 4-SO$_3$ \| \|------------------\|--------\|----------\| \| $\Delta s(D_{Co})$ \| 73.7 \| 20.0 \| \| $V(D_{Co})$ \| 33.6 \| 13.4 \| \| $\Delta s(D_{Co})$ \| 2.19 \| 1.49 \| Fig. 6 Deformation density associated with the first NOCV pair for the coordination of H$_2$O to ML5-3-Cl (left) and ML5-3-H$_2$O (right). The same colour scheme and isovalue as Fig. 4, the incoming ligands being located on the lower side (same orientation as in Fig. 5). Fig. 7 DD isosurfaces for the [ML$_5$] fragments built from 4-OH (left) and 4-SO$_3$ (right). The same colour scheme and isovalue as in Fig. 3. Green arrows point towards the D$_{Co}^+$ domains, hydroxide and sulfite being highlighted. Fig. 8 Deformation density associated with the first NOCV pair for the coordination of H$_2$O to ML5-4-OH (left) and ML5-4-SO$_3$ (right). The same colour scheme, orientations and isovalue as Fig. 2. The incoming water molecule is located on the lower side. with a stabilisation of 6.3 kcal mol$^{-1}$. As a result, coordination of water is much weaker when \textit{trans} to a sulfito ligand, as compared to hydroxo. One would then expect an easier substitution in that case, as observed experimentally. ### 4. A quantitative scale From the previous examples, it appears that our methodology permits us to highlight the \textit{trans} effects by either differentiating the \textit{cis} and \textit{trans} positions in a given complex, or by comparing two different \textit{trans} orienting ligands. Furthermore, using our recently devised topological partition of the DD we have been able to relate these effects to differences in electrophilicity at given sites around the metal cation: systematically, lower values were observed at the position where either a STE or a KTE is expected. This is in perfect line with the conclusions of both Chval and De Proft (and co-workers).$^{31,32}$ The former interpreted the \textit{trans} effects as a “competition between the ligands [...] for the opportunity to donate their electron density to the central” metal cation. On the other hand, the latter proposed that a very efficient donation from the \textit{trans} orienting ligand would translate in an electron density accumulation at the \textit{trans} position, which in turn would induce a strong Pauli repulsion with the \textit{trans} ligand, hence destabilising it. It is obvious that both effects would translate in a smaller electrophilicity at the \textit{trans} position with respect to the strongest donor, as observed. We intend to show in this last part that this electrophilicity can be used to draw a quantitative scale of the \textit{trans} orienting ligands. This scale resembles the experimental one, which is roughly as follows (ranking from high STE to low):$^{2,3,6}$ \[ \text{CH}_3^- \approx \text{CO} \approx \text{NO}_2^- > \text{Cl}^- > \text{Pyridine} > \text{NH}_3 > \text{H}_2\text{O} \] Let us then consider complex 3 derivatives $[\text{Rh(NH}_3)_4(\text{H}_2\text{O})X]^n^+$ with X belonging to the previous series. If we apply the same methodology as in part 3.3, for every fragment $[\text{Rh(NH}_3)_4X]^n^+$ an electrophilic domain is observed on the metal cation, pointing towards the vacancy. Because the shapes of the DD are always the same, in the following we will only discuss the condensed values. They are all summed up in Table 5. As previously, the ranges of both the integrated DD values and the volume of the electrophilic domains are large. On the other hand, the mean values are rather close to unity (ranging from 0.36 to 1.74 a.u.), with a smaller dispersion. Furthermore, as we discussed in the “Theoretical backgrounds” part, these mean values are also more readily understandable than mere integrated values, having the same units as the DD. In our context, they are the best index to build a quantitative scale. Ranking the ligands from the lowest to the highest mean values $D_{\text{Rh}}^+$, one obtains: \[ \text{NO}_2^- < \text{CH}_3^- \approx \text{CO} < \text{NH}_3 < \text{Cl}^- < \text{Pyridine} < \text{H}_2\text{O} \] which is close to the experimental series. Noticeably, one retrieves that the high field ligands are associated with the lowest electrophilicity, and as such to stronger \textit{trans} effects. On the other hand the order of the weak \textit{trans} orienting ligands seems to be less correctly reproduced. This was rather expected, since the experimental series is averaged over large sets of complexes, studied under rather different conditions (temperature, solvents). This experimental series provides a rough trend, rather than a precise order, and many exceptions are known.$^6$ As such, our computed ranking might actually bear much meaning than the experimental series. Noticeably, it should be possible to isolate the contribution of each experimental parameter – temperature, pressure, solvent – to the overall \textit{trans} effect, using a purely computational framework. Such a study goes beyond the scope of this paper, and may be the subject of a following survey. In order to confirm our calculated scale, at least in the strong-field part of the series, we decided to study another series of complexes,$^{67}$ $[\text{Ru(NH}_3)_4X]^n^+$ (5) with the same X – to the exception of NH$_3$, which would be meaningless, since no differentiation would be seen due to the octahedral symmetry. The shape of the DD is also very similar to the previous examples, and we will only discuss the numerical values summarised in Table 6. The order of the ligands ranked from the lowest to the highest $D_{\text{Ru}}^+$ is: \[ \text{NO}_2^- < \text{CH}_3^- < \text{CO} < \text{Pyridine} < \text{Cl}^- < \text{H}_2\text{O} \] As one can remark, the same order as the previous is obtained for the lowest contributions, with NO$_2^-$, CH$_3^-$ and CO being strong \textit{trans} orienting ligands in both cases. On the other hand, the order of the weak \textit{trans} orienting ligands is different, being closer to the experimental trends. ### 5. Conclusions In conclusion, we showed that it is possible to retrieve the \textit{trans} effects for some octahedral complexes, using tools from... conceptual DFT or close paradigms. It seems that both effects are due to differences in the way electron density is likely to reorganise in the complex, under the influence of a specific ligand. This ligand, by decreasing the need for electron density at the trans position, weakens the associated metal–ligand bond and as such leads to an increase in the bond length or kinetics. Monitoring the electrophilicity then allows the characterisation and quantification of the trans effects, and permitted us to build a quantitative scale of the trans orienting ligands following a systematic approach. This scale, although not perfect, follows rather closely the experimental trends. This suggests that trans effects are primarily controlled by the electron density donation properties of the ligands at the trans position. The rather large diversity of the studied cases, either in transition metal series and ligand types, suggests that these findings are quite general. Both trans effects are often encountered in coordination chemistry, but failed to be precisely understood. 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Dans un premier temps, la réactivité de ces complexes en solution est rationalisée par des mesures spectroscopiques et des calculs de type DFT. Puis, les propriétés magnétiques de deux complexes trimucléaires sont présentées et analysées grâce au support de calculs ab initio de haut niveau. Enfin, dans la troisième étude nous nous intéressons à des complexes mononucléaires d’ion lanthanides présentant une dynamique lente de l’aimantation à basse température. Des mesures magnétiques, mais aussi de luminescence et de diffraction de neutrons polarisés, combinées à des calculs de type SA-CASSCF/RASSI-SO permettent de rationaliser les propriétés magnétiques ainsi observées. Mots-clés : Chimie de coordination, chimie théorique, magnétisme moléculaire, cristallographie, luminescence. Abstract: In this work, we focused on the description and rationalisation of certain properties of coordination complexes through the use of joint experiment/theory approaches. The first study is purely theoretical, and revisits the coordination properties of ligands using conceptual DFT methods. In a first time, ligands alone are studied, and the results of this study are then employed to characterise and rationalise the trans effects in octahedral complexes. The second study deals with the syntheses and characterisation of polynuclear Cu(II) complexes deriving from amino-acid based Schiff base-like ligands. In a first time, the reactivity of these complexes in solution is rationalised through the use of spectroscopies and DFT calculations. Then, the magnetic properties of two trimuclear complexes are presented and analysed thanks to high level ab initio calculations. Finally, in the third study we focus on mononuclear lanthanide-based complexes presenting a slow dynamics of magnetisation at low temperature. 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Coastal Watershed Planning and Assessment Program California Department of Fish and Game (CDFG) Stream Channel Measurement Methods for Core Attributes Introduction: The Coastal Watershed Planning and Assessment Program (CWPAP) was formed in 2003 within the California Department of Fish and Game (CDFG) by executive order. The fishery based program conducts multi-disciplinary large scale watershed assessments. All California watersheds draining directly to the Pacific Ocean are included. The central valley basins (Sacramento and San Joaquin rivers) are not included. Focus is currently placed on basins that support at risk populations of salmon and steelhead, in particular coho salmon and southern steelhead. The program's goal is to determine the extent and quality of supportive conditions for salmon and steelhead and help determine ways to improve those conditions. The program also investigates the condition and trends in the watershed delivery processes that largely determine the riparian and instream fishery conditions. This approach uses so-called land use "disturbance indicators" and attempts to provide a realistic context for riparian, channel and stream habitat conditions in the subject area. Salmonid population data are also collected and assessed since these fish are sensitive to water quantity and quality, stream/floodplain connectivity, macroinvertebrate production, stream habitat diversity and complexity including estuarine conditions, and aquatic / riparian functionality. This combination of fishery, stream habitat, channel, and watershed condition analysis is used to estimate the overall physical "health" of the watershed or region. Assessment products provide science based recommendations for fish, stream, and watershed improvement activities that will better protect and recover watershed processes and conditions for beneficial use. These recommendations are determined by the current status of the basin relative to known historic or target reference conditions and processes. The channel condition and habitat status is established by using standard assessment methods to measure core attributes. These core attributes and methods have been adopted in part from collaboration with other members of the Pacific Northwest Aquatic Monitoring Partnership and are becoming widespread as standards in the northwest of the United States (PNAMP, 2005). These methods lend themselves to form base-line information that can be useful to monitor change in the assessed watersheds. The Aquatic and Riparian Effectiveness Monitoring Program (AREMP) has adopted a suite of core attributes that are described in the literature as being important in defining physical habitat conditions and their relationship with aquatic species. The AREMP 2005 Field Protocol Manual describes the minimum number of measurements, the frequency of measurements, and the locations to make measurements to ensure consistent data collection efforts (Gallo et al 2005). The actual measurement tools and the techniques for using them are left to the discretion of each data collection program utilizing these protocols. The AREMP manual notes that collecting additional data (taking more measurements) as needed by a program to meet their specific objectives is not affected by the use of these protocols, but should be managed as separate data. CWPAP would like to join the AREMP and PIBO programs and thank the following authors and acknowledge the original citations for each method, while recognizing that numerous modification have been made (Gallo et al. 2005). Most of the fundamental stream measurement protocols used by CWPAP are found in the California Salmonid Stream Habitat Restoration Manual (Flosi et al. 1997), Parts Two and Three. They include Channel Typing (Rosgen 1996), Habitat Typing (McCain et al. 1993), and LWD/Riparian (Downie et al.) protocols. CDFG has used these protocols for many years to conduct reconnaissance surveys for diagnostic and prescriptive surveys. In 2002 – 04, CWPAP added the Generalized Random Tessellation Sample (GRTS) selection system to create larger scale fractional samples to evaluate and characterize more general conditions in the assessment basins, and augment the extant survey program. The Environmental Protection Agency EMAP lab in Corvallis, OR collaborated with CWPAP and provided us with GRTS site selections in Redwood Creek, Outlet Creek, and the SF Eel River. This also provides a potential basis for a proposed California coastal monitoring program. CWPAP also relied upon the attributes and protocols used by AREMP / PIBO Stream Channel Methods for Core Attributes, 2005 as a basis for the pilot random sample project (Gallo et al. 2003, 2005). Like AREMP, we also utilized the literature to determine core attributes and their measurements: * Harrelson et al. (1994) - Reach layout, bankfull elevation, gradient, and sinuosity. * Wolman (1954) and Lazorchak et al. (1998) - Streambed particle counts * Bauer and Burton (1993) and USFS R5 SCI Guidebook (1998) – Pool tail fines * Kershner et al. (2004) - Defining habitat units * Lisle (1987) - Residual pool depths * Hawkins et al. (2003) - Macroinvertebrates * Moore et al. (2002) and Hankin and Reeves (1988) – Large wood Contact: Scott Downie, Senior Biologist Supervisor CA Department of Fish and Game Coastal Watershed Planning and Assessment Program 1487 Sandy Prairie Court, Suite A Fortuna, CA 95540 Phone: 707.725.1070; Fax: 707.725,1025 email@example.com CWPAP Stream Measurement Methods Sample reach selection: A topographic map of each assessment study area will be supplied with a GIS layer of 50 initial Generalized Random Tessellation Sample (GRTS) Panel One candidate sample sites. The GIS layer will also display several hundred Panel Two over-sample sites. In the lab, select and evaluate Panel One survey sites in numerical order, omitting sites from the sample frame due to: 1. The site is above the established limits of anadromous salmon and steelhead, or is above established gradient / distance standards as portrayed in a GIS model; 2. The GPS point is located in a lake, wetland, marsh or on a dam or glacier; 3. The site is located on an artificial stream, culvert, or irrigation canal; 4. The site is dry during summer flow periods; 5. The site is known to be not safely accessible; i.e. it cannot be reached without putting the crew in danger. Long hikes into steep canyons do not qualify; 6. The stream is too small or cannot be physically sampled. The minimum stream size is 1 meter wide (wetted width) and 0.1 meters deep in riffles; 7. The stream is too large to physically sample and is a safety concern for crews. To qualify, the stream is too swift to safely wade across and/or too deep to gather substrate information or differentiate between habitat types; 8. Travel time (round trip) from camp is over four hours to get to and from the site; 9. Lack of current private property access permission. Use the GRTS database of all the randomly selected sample sites to replace omitted Panel One sites with Panel Two sites in descending order until the sample frame is populated with the targeted number of sample sites in the assessment study design (e.g., 50). Additional site changes will be made in like manner as needed by a field reconnaissance crew. Based on the criteria above, this crew will be responsible for field verification that a site can be surveyed based on location, condition and access. Additionally, a sample crew leader retains the authority at any time to exclude a site if he/she feels it is unsafe. During access development, reconnaissance crews contact local, residential landowners and inquire about the stream flow related to the candidate sample reach and the best way to physically access the sample site. The team must simply scout access routes when landowners cannot help. Field determination of sample reaches: In the case of a repeat survey, or a survey with a pre-determined start point, a reconnaissance crew will simply locate a sample reach's previously monumented start point, or its pre-set Transect "A" flag to identify the start point of the sample reach. If the original transect or its monument is no longer located on a velocity cross-over due to channel migration, etc., the crew will proceed upstream to the first suitable site and re-establish Transect A as described below. In the case of an initial visit to the site, the crew will use a USGS 7.5 minute topographic map and GPS receiver to determine the location of the candidate sample reach's start. Use the GPS "Go To" feature to find the selected waypoint's latitude and longitude coordinates. That waypoint will be used to determine the downstream end of the candidate sample reach site. If the GPS receiver indicates the waypoint is tangential to the stream channel, continue along the channel, watching both the distance from the site and its angle to the GPS receiver. The goal is to find the location on the stream that is the shortest distance from the GPS waypoint. This will become the "X" point and will be used to determine the candidate sample reach's most downstream transect. CWPAP GRTS surveys start and stop at velocity cross-overs (i.e., riffle crests, or pool tail crests). Thus, the candidate reach start point is the first velocity cross-over upstream of the X point. The reach end point is the first velocity cross-over that occurs upstream of the distance selected from the minimum reach sample length table (Table 1). The first encountered velocity cross-over will become Transect "A" of the candidate sample reach, and will be used as such if the reach proves to be suitable as determined by accessibility, safety, flow, and channel attributes (see list above). Reach and cross section determination and measurement: * Monument Transect A and temporarily assign it a GRTS site number; * Proceed upstream measuring the thalweg distance and inspect for suitability considering the criteria listed above; * Measure the bankfull discharge widths (BFD) at Transect A and the next four upstream velocity cross-over sites encountered; * Sum and average the BFD from the five sites; * Use the mean width and Table 1 to determine the minimum reach length; * Continue upstream along the thalweg and proceed from the minimum reach length end point distance to the first velocity cross-over; * If the reach is deemed suitable, monument this as Transect E, the upper end of the sample reach, assign the GRTS sample number to the reach, and conduct Rosgen channel typing; * Rosgen channel typing will also be conducted at Transect A, and at the velocity crossover nearest the reach mid-point (Transect C), and at velocity cross-overs nearest the mid-points between Transects A and C, and Transects C and E.; these will be transects B and D, respectively. This method provides for a total of five nearly equidistant cross section locations; * At Transect A, identify a nearby "permanent" reference point like a tributary confluence, bridge, etc., and record the distance and direction from the reference point to Transect A ; * Describe, photograph, map and GPS all transects, monuments, and reference points. Table 1. Reach sample length based on bankfull width categories \| Mean Bankfull Width \| \| \| \| \|---\|---\|---\|---\| \| Meters \| feet \| Width Category (m) \| meters \| \| < 8 \| < 26 \| 8 \| 160 \| \| 8.1 – 10 \| 26.1 – 33 \| 10 \| 200 \| \| 10.1 – 12 \| 33.1 – 39 \| 12 \| 240 \| \| 12.1 – 14 \| 39.1 – 46 \| 14 \| 280 \| \| 14.1 – 16 \| 46.1 – 52 \| 16 \| 320 \| \| 16.1 – 18 \| 52.1 – 59 \| 18 \| 360 \| \| 18.1 – 20 \| 59.1 – 65 \| 20 \| 400 \| \| 20.1 – 22 \| 65.1 – 72 \| 22 \| 440 \| \| > 22.1 \| > 72.1 \| 24 \| 480 \| The minimum reach length is defined for each width category and is equal to twenty times the mean bankfull width category expressed in meters. Monument and document reach location (AREMP, CDFG) The location of Transect A must be monumented with reference points and bench marks for long term use as a monitoring reach site. Tributary confluences and named natural topographic features are the most permanent fixtures in the stream network, and as such are the preferred reference points. Bridges, access roads, diversions, large pump installations, etc. are useful as well, but are not necessarily fixtures on the landscape. Laser or tape measurement from a natural fixture like a tributary confluence to the location of Transect A will enable crews to locate the reach in the future, even in the event of the velocity cross over migrating along the channel length. If that should be the case, repeat crews shall begin at the velocity cross-over nearest the measured distance and go through the procedures outlined above to establish and measure the reach. Refer to AREMP's 2005 Field Protocol Manual (Gallo, et al. 2005), and CDFG Documenting Salmonid Habitat Restoration Project Locations (Gerstein et al. 2005) for location techniques and recording forms. Photo documentation (AREMP, CDFG) Information about each site will be documented in photographs and on the data sheets. Photographs will be taken at Transect A of each sample site. In addition, photographs should be taken of rare or unique features in sample reach, including culverts, logjams, beaver dams, or vertebrates that are difficult to identify. Take photos that will help give those people who might never visit the area an idea of what it is like. These photos should help show the condition of the areas sampled, species captured at each site, land disturbances, etc. For photo methods and recording forms refer to CDFG Photographic Monitoring of Salmonid Habitat Restoration Projects (Gerstein et al. 2005). Core Channel Attributes for Measurement * Flow * Water Temperature * Conductivity * Gradient * Rosgen Channel Type at Velocity Cross-over o Bank Full Discharge Width o Pebble Counts o Bank Full Discharge Depth * Pool Frequency at CDFG Level Two Habitat Typing * Maximum Pool Depth* * Depth at Pool Tail Crest* * Cobble Embeddedness at Pool Tail Crest * Percent fines < 2mm at Pool Tail Crest * Stream Shade Canopy * Large Wood Debris Presence * Large Woody Debris and trees within 50' of Floodplain * Necessary to calculate maximum residual pool depth Measurement Protocols Flow (CDFG; AREMP) Unless gage information is available, discharge should be measured at Transect A if suitable for a sample. If Transect A is unsuitable for a flow measurement, sample the nearest suitable site downstream from A unless a tributary joins the stream. If so, use the nearest suitable upstream site. A good site for measuring discharge with the flow meter should have even flow (laminar flow) across the channel, have no eddies on the sides, and be free of large rocks or woody roughness elements. Check near pool tail crests and low gradient riffles for areas with undisturbed flow. Runs and glides often are good sites with laminar flow and sufficient depth for good measurement. Measurements should not be conducted in the middle of a pool. It is permissible to go outside the sample reach to get a good site, however do not go more than 70' from the beginning or end of the reach, and do not sample near a tributary junction. If a tributary joins the creek within the sample site, take the measurement below the junction. Prior to starting the measurements, move rocks or obstructions as necessary to get a clear area to measure. A flume configuration can be built by smoothing the bottom and squaring the channel sides with rocks, sand, or vertical, plastic wing deflectors if necessary. However do not move objects once you have begun taking measurements. Water Temperature Thermograph placement (AREMP / CWPAP) o Temperature data are collected from approximately June 1 through October 1 of an individual calendar year; o Thermographs must be programmed and calibrated prior to field placement; o Sample sites occur in fish-bearing tributary streams just above their confluences with larger, receiving streams; o Sample sites also occur at channel type changes (Rosgen, 1996); o Thermographs should be placed in the thalweg, in mixed flow, and located where they will remain underwater through the sample period; o Secure the thermograph with cable to a reliable anchor point and cover with rocks; o Document the site location with GPS coordinates, photos, and monument clearly with stakes and flagging except in high use areas. Water quality (AREMP) Measure conductivity and DO at the upstream end of each reach using a hand held conductivity/DO meter. Measure immediately after transects are laid out and upstream of the last transect flag to insure that the channel sediment has not been disturbed. Take the reading in flowing water, near the center of the channel. Gradient Water surface gradient will be measured from Transect A to Transect E. Channel type (Rosgen 1996 as in Flosi et al. 1998) Channel typing will be conducted at all five transects. If a channel type change or the end of anadromy is encountered within the designated sample reach, the reach should be moved either up or downstream in the direction that preserves as much of the original reach as possible. Be sure that the change meets the criteria for a new channel type before adjusting the reach end points. If a reach re-location adjustment is necessary, Transect A must be relocated to occupy the most downstream pool tail crest in the newly defined sample reach and the other transects must be relocated appropriately. Pebble counts (CDFG / AREMP) Substrate samples will be measured at five locations within the sample reach, transects AE (see above), and will normally occur during Rosgen channel typing. The first measurement should be located at the left bank full elevation pin, facing downstream, of the transect tape. Divide the bankfull width by 20 to determine the sample increment along the suspended tape (e.g., BFW of 25' = 1.25' sample increment). At each sample increment and without looking, reach down to the tip of the meter stick and pick up the first substrate that you touch with the tip of your finger. Record results on the CDFG CWPAP Pebble Count Worksheet, and/or on CDFG Rosgen channel type form. Habitat typing (CDFG: Flosi, et al. 1998) Habitat typing will be conducted using a 100% sample for the reach and will capture information for the following habitat attributes: * Pool Frequency at CDFG Level Two Habitat Typing * Maximum Pool Depth * Depth at Pool Tail Crest * Cobble Embeddedness at Pool Tail Crest * Stream Shade Canopy * Large Wood Debris within BFD Percent Surface Fines on Pool Tails (AREMP) Objective: Quantify the percentage of fine sediments < 2mm on the surface of pool tail substrate. Where to take measurements: 1. Collect measurements in the first ten pools of each reach beginning at the downstream end. Exclude beaver or man-made dam pools. 2. Sample within the wetted area of the channel. 3. Take measurements at 25, 50, and 75% of the distance across the wetted channel, following the shape of the pool tail. 4. Take measurements upstream from the pool-tail crest a distance equal to 10% of the pool's length or one meter, whichever is less. 5. Locations are estimated visually. Sampling method: 1. Assess surface fines using a 14 x 14 inch grid with 49 evenly distributed intersections. Include the top right corner of the grid and there are a total of 50 intersections. 2. Take 3 measurements per pool. a. Place the bottom edge of the grid upstream from the pool-tail crest a distance equal to 10% of the pool's length or one meter, whichever is less (Fig. 4). b. Place the center of the grid at 25, 50, and 75% of the distance across the wetted channel, making sure the grid is parallel to and following the shape of the pooltail crest. c. Exclude boulders that extend above the bankfull elevation when determining the width of a pool tail and the (25, 50, 75%) placement of the fines grid (Fig. 5). 3. Record the number of intersections that are underlain with fine sediment < 2 mm in diameter at the b-axis. Place a 2 mm wide piece of electrical tape on a ruler and use this to assess the particle size at each intersection. 4. Aquatic vegetation, organic debris, roots, or wood may be covering the substrate. First attempt to identify the particle size under each intersection. If this is not possible, then record the number of non-measurable intersections. Figure 4. Location and orientation of pool tail fines grids relative to the pool tail crest Water’s Water’s Water’s Water’s edge edge Grid 1 Grid 2 Grid 3 Grid 1 Grid 2 Grid 3 25% 2.5m 50% 5.0m Boulder Boulder 3 Boulder 1 Boulder 3 Boulder 2 1 Figure 5. Cross section of pool tail and placement of fines grid. Determine wetted channel width along the pool tail. Omit boulders (and other obstructions) that extend above bankfull elevation (boulders 1 & 3). Boulder 2 extends above the water surface, but not bankfull elevation, so it is NOT omitted. In this example wetted channel width along the pool tail is 10.0m (1.0m + 5.5m + 3.5m). Place pool fines grid at 25% (2.5m), 50% (5.0m) and 75% (7.5m) of the wetted channel width, following the shape of the pool tail. LWD/Riparian reconnaissance (CDFG: Downie, et al., in Flosi, et al. 1998) Large wood within the BFD channel, and riparian zone large wood and trees within 50' of the floodplain will be estimated by size and condition using CDFG survey methods. 75% 7.5m Bankfull Bankfull edge edge Biological Measurements Amphibians Record amphibian observations made during habitat typing in the comments section of the habitat typing form. Fish Sampling of fish within the sample reach should be coordinated with protocols adopted for the California Coastal Salmonid Monitoring Plan (CA Plan) which is in development. Appropriate fisheries parameters to collect could entail: species composition, life stage, size and condition, relative abundance (density), and percent of area (habitat units) occupied. Obtaining this could require a follow site visit. Reference List Bauer, S.B.; Burton, T.A. 1993. Monitoring Protocols to evaluate water quality effects of grazing management on Western rangeland streams. EPA 910/R-9-93-017. Seattle, WA: US Environmental Protection Agency, Water Division, Surface Water Branch, Region 10. 179 p. Buffington, J.M, et al. 2002. Controls on Size and Occurrence of Pools in Coarse-Grained Forest Rivers. University of Idaho, Department of Civil Engineering, Boise ID. 24 p. Flosi, G., S.Downie, J. Hopelain, M. Bird, R. Coey, B. Collins (1998). California Salmonid Stream Habitat Restoration Manual. Sacramento, CA, CA Department of Fish and Game. Gerstein, J.M., S.D. Kocher and W. Stockard. 2005. Documenting Salmonid Habitat Restoration Project Locations. University of California, Center for Forestry, Berkeley, CA. 22 pp. Gerstein, J.M., S.D. Kocher. 2005. Photographic Monitoring of Salmonid Habitat Restoration Projects. University of California, Center for Forestry, Berkeley, CA. 21 pp. Harrelson, C.C.; Rawlins, C.l; Potyondy, J.P. 1994. Stream channel reference sites: an illustrated guide to field techniques. Gen. Tech. Rep. RM-245. Fort Collins, CO: U.S Department of Agriculture, Forest Service, Rocky Mountain Forest and Range Experimental Station. 61 p. Hankin, D.G.; Pollock, K.H.; Webster, R.A. 2005. A New Protocol for Detection of Juvenile Coho Salmon in Small Streams in Northern California. Department of Statistics, North Carolina State University, Raleigh, NC; Department of Fisheries Biology, Humboldt State University, Arcata CA. Hawkins, C.P.; Ostermiller, J.; Vinson, M.; Stevenson, R.J.; Olsen, J. 2003. Stream algae, invertebrate, and environmental sampling associated with biological water quality assessments: filed protocols. Department of Aquatic, Watershed, and Earth Resources, Utah State University, Logan, UT 84322-5210. Kershner, J.L.; Archer, E.K.; Coles-Ritchie, M.C.; Cowley, E.R.; Henderson, R.C.; Kratz, K.; Quimby, C.M.; Turner, D.L.; Ulmer, D.L.; Vinson, M.R. 2004. Guide to effective monitoring of aquatic and riparian resources. Gen. Tech. Rep. RMRS-GTR-121. Fort Collins, CO: U.S. Department of Agriculture, Forest Service, Rock Mountain Research Station. 57 p. Lisle, T.E. 1987. Using "residual depths" to monitor pools depths independently of discharge. Res. Note PSW-394. Berkeley, CA: U.S Department of Agriculture, Forest Service, Pacific Southwest Forest and Range Experiment Station. 4 p. Moore, K.: Jones, K; Dambacher, J. 2002. Methods for Stream Habitat Surveys. Oregon Department of Fish and Wildlife, Aquatic Inventories Project, Natural Production Program, Corvallis, Orgeon. U.S. Department of Agriculture, Forest Service. 2005. Effectiveness monitoring for streams and riparian areas within the Pacific Northwest: stream channel methods for core attributes. Unpublished paper on file at: http://www.reo.gov/monitoring/watershed.htm or http://www.fs.fed.us/biology/fishecology/emp.htm. 18 p. U.S. Department of Agriculture, Forest Service. 2005. AREMP field protocol manual, 2005 field season. 2005. Unpublished paper on file at: http://www.reo.gov/monitoring/watershed.htm or http://www.fs.fed.us/biology/fishecology/emp.htm. 18 p. Wolman, M. G. 1954. A Method of Sampling Coarse Riverbed Material. Transactions of the American Geophysical Union. 35(6): 951-956.
Contents Research Methodology n For the past five years Behaviour & Attitudes has conducted a Business Confidence survey on a quarterly basis. A questionnaire has been developed for the business monitor which covers issues such as recent business results, projected employment levels, profit margins and expectations for the forthcoming year. n The quarterly survey is conducted via telephone amongst a sample of 350 business owners/managers countrywide. The sample is drawn from a 'deduped' mix of reputable business listings including Bill Moss, Data Ireland, the Irish Times and Business & Finance Top 500 companies in Ireland. n Interviewing was conducted through Behaviour & Attitudes Computer Aided Telephone Interviewing Unit (CATI) at Milltown House in Dublin. Interviews were conducted with the owner/chief executive of each selected company. Fieldwork on the project was conducted between the 21st –31st July, 2015. All interviewing was centrally supervised and quality control verification was conducted on 15% of interviews undertaken. n The table below sets out the profile of business company size in Ireland (Source: CSO and Bill Moss) compared with the achieved Behaviour & Attitudes Business Confidence Monitor sample: A sample size of 350 yields a dataset which can be deemed to be accurate to within plus or minus five percentage points. Foreword I AM DELIGHTED TO INTRODUCE THE BDO OPTIMISM INDEX FOR THE SECOND QUARTER OF 2015. THE INDEX, A CONTINUOUS SURVEY CARRIED OUT EVERY QUARTER FOR THE LAST FIVE YEARS, TRACKS BUSINESS PERFORMANCE AND THE VIEWS OF BUSINESS LEADERS ACROSS IRELAND. reporting increased business activity compared to the same period last year. 40% of our smallest Micro companies also reported a comparable increase. Michael Costello Managing Partner email@example.com + 353 1 470 0245 We survey Irish businesses on issues that are of significant importance to them; financial results, projected employment levels, profit margins, growth expectations, key business priorities and optimism for the coming year. So what did they tell us in Q2? The most significant indicator from this survey is that it shows the highest level of optimism in business activity in Ireland for 5 years. There are a number of key factors which contributed. Figures show our largest companies continue to lead the upturn, with 69% Those surveyed believe the growth trends are set to continue. Over three fifths of larger companies expect Q3 to be an improvement on the same period last year. It is not just our large enterprises predicting further growth, with more than half of all companies surveyed forecasting greater growth in Q3; the largest figure in that category since the survey began in 2010. Rising growth figures and increased future optimism may have contributed to the confidence that allowed Irish businesses to increase prices. One in five companies pushed through year on year price increases. A further 70% maintained their prices. So increased year on year growth, increased confidence and increased prices. In terms of employment, almost 50% of our larger companies increased their numbers in the last 12 months. Overall we saw a significantly greater number of companies increasing their numbers in Dublin (30%) than those outside (18%). We asked our respondents to list their business priorities. The top two priorities given among all our respondents were maintaining business growth and maintaining sales; pointing to a clear focus on driving core growth. We are not yet seeing post-recession priorities move to divergence and non-core expansion and acquisition. BDO will continue to monitor this in the coming quarters. For smaller companies, the next most important issue is increasing or maintaining profit margins. For larger companies the focus is on keeping costs down and having sufficient working capital. 'Softer' business priorities are further down the line in terms of importance with only 3% of companies rating staff happiness and welfare as a priority. Overall the report shows strong business optimism, a further increase on last quarter's 5 year high. In numerical terms, the BDO Optimism Index for Q2 2015 is 66.8, up 6% quarter on quarter. My continued thanks to those who gave their time to participate in this survey and to those at Behaviour and Attitudes that carried out the field work. I hope you find this survey useful and welcome your feedback and if you would like to contribute to future surveys, please let us know. Current business activity 1 CURRENT BUSINESS ACTIVITY FOR 2nd QTR – TRADING ANALYSIS QUESTION How has your business performed in the second quarter of this year from April to June. Were your results higher, lower or the same compared to the same period last year? (Second quarter compared with second quarter from previous year) The BDO View Overall, the news for Quarter 2 is extremely positive, with the period showing the strongest growth in activity recorded for the past five years (against Q2 in previous years). Mid to large companies were the clear winners with almost 7 in every 10 showing growth and less than a third remaining the same or declining in revenue. The situation is not quite as positive for small companies, however more than half of them also showed growth in revenue year on year. Disappointingly, our research indicates a slowdown in the acceleration of growth for Micro businesses, as many of them (one third) start to plateau. Two in every five business surveyed grew, but this is a 13% decline from last year's numbers. Comparing indigenous and export business, both have a similar number of 48% showing growth in this quarter. Projections for Q2 2015 2 BUSINESS ACTIVITY LOOKING FORWARD TO 3rd QTR 2015 QUESTION Thinking ahead - could you tell me whether the results for the next quarter (July to September 2015) will be higher, lower or the same compared with the same period last year? (Second quarter compared with second quarter from previous year) The BDO View Positive results for Q2 appear to have helped drive further optimism around results for Q3, with more than half of companies interviewed foresee higher growth in Quarter 3 for the first time in five years. Again, following the pattern of Q2 results, the optimism is greater among our larger enterprises, however each of our indices show increased level of optimism on the same period last year and the highest for five years. We also see a positive trend for both our indigenous and our export companies. Employment Levels 3 EMPLOYMENT LEVELS COMPARED TO LAST YEAR QUESTION Could you indicate whether your employment levels are higher, lower or the same compared with the first quarter of last year? (Second quarter compared with second quarter from previous year) +70+8+A +75+7+A +52+15+A +61+8+1+A +74+8+A +51+3 * . +85+5+A +60+8+A +80+8 +60+9 +78+9+A +73+9+A +73+8 +70+8 +70+3+A +68+8 11 The BDO View Overall more than one in five companies increased their employee numbers in the past 12 months, the highest level of growth for the five years of our survey. Looking at precisely who is growing, our figures reveal a significant employee number growth in the Mid to Large company range with almost 50% showing increased employment year on year. With regard to geographical split, Dublin is clearly leading this employment growth (30% grew) with a significantly reduced rate of growth (18% grew) outside. Stripped out by sector, retail, wholesale and services areas showed the greatest level of employment increase. Pricing and Profits 4 ( PRICES CHARGED – ALL BUSINESSES QUESTION Could you tell us whether prices charged are higher, lower or the same compared with the first quarter of last year? (Second quarter compared with second quarter from previous year) The BDO View One in five surveyed are now charging higher prices compared to the equivalent quarter last year. There were prices increases last year; however they were offset with other businesses reducing their prices. This year those reduction have stopped and each category of business, small through to large, Dublin and outside, and in each of the business sector groupings all show an increase in the numbers raising their prices. OPERATIONAL PROFIT – YEAR ON YEAR QUESTION Could you tell us whether operational profit is higher, lower or the same compared with the second quarter of last year? The BDO View Further good news is delivered under Operating profit. Overall, more are increasing, less are decreasing and the numbers (again) are the most positive over the five years of our survey. (Projections compared with equivalent quarter from previous year) The growth is shared quite evenly, with 20% or more in each of our size groupings showing profit growth. The same is true in Dublin and outside. Responses by location Responses by industry sector Key priorities 5 15 The BDO View The top priorities identified for firms is a clear and continued focus on sustaining sales, business growth and profit margins. It appears that looking beyond this, at opportunities and investments will play second fiddle in the short term to building on the core fundaments. Outside of these three key areas, some other highlights ensuring sufficient working capital, keeping costs to a minimum, marketing/advertising, new product development as priorities for businesses for the remainder of 2015. Micro: 1–3 employees Small: 4–9 employees Mid/Large: 10+ employees The BDO View Overall over one third of all firms surveyed are concerned about the possible impact of a British exit from the EU. More surprisingly, the level of concern doesn't change and is similar across each size grouping and geographically. Interestingly, and unexpectedly, we are not seeing any increase in concern with regard to exports as we possibly would have expected with the level of concern remaining at 39%. Overall Optimism 6 BUSINESS ENVIRONMENT – OPTIMISM FOR YEAR END Projections compared with equivalent qtr from previous year. Absolute optimism would equal 100 points. Currently it stands at 66.8 points. Preceding quarter LARGER COMPANIES MOST OPTIMISTIC. 17 The BDO View With regard to optimism for this quarter, our report shows the highest level of optimism among firms surveyed for the past five years. The value we have given this out of 100 is 66.8 All firms are more optimistic than quarter 1 and considerably more than for the same quarter last year. As is evident from other results within the survey, larger companies are the most optimistic and firms based in Dublin show the largest optimism level at 69.9. About BDO BDO is one of Ireland's leading Audit, Tax and Advisory firms, specialising in advising businesses across all sectors, ranging from the development stage through to successful international growth. What unites all our clients is their ambition, and our drive to help deliver it. Through our own professional expertise and by working directly with businesses, we have developed a unique insight into what makes a business successful. It is this insight that makes us true business advisers, rather than mere financial consultants. We operate a partner-led approach in all our client dealings which ensures our partners and directors are highly accessible to clients. Each client is appointed a client liaison partner to oversee operations and communicate with you directly. Dealing with BDO is different. Our approach is pragmatic and hands-on which ensures timely, straightforward advice. Our assignments are led by senior personnel with an in-depth understanding and knowledge of the market. This delivers high value for all our clients and practical solutions that are based on unrivalled sectoral experience and expertise. For more information please contact: Michael Costello, Managing Partner, on 01 470 0245, or firstname.lastname@example.org About Behaviour & Attitudes Behaviour & Attitudes is Ireland's largest and most experienced independently owned research company. They pride themselves on having the most experienced director team in Ireland. All projects have a Director involved. Established over 30 years ago, Behaviour and Attitudes provides a full range of market research services, ranging from CAPI, CATI, online and of course qualitative. Specialist sectors include: Media, Retail & Shopper, Technology & Telecoms, Financial, Political & Social, Polling, Automotive, Healthcare and Public Sector & Utilities. For more information please visit Behaviour & Atittudes website at: www.banda.ie or contact Luke Reaper on +353 1 205 7500. BDO MICHAEL COSTELLO, Managing Partner, email@example.com +353 1 470 0245 Behaviour & Attitudes LUKE REAPER, Deputy Managing Director, firstname.lastname@example.org +353 1 205 7500 www.banda.ie www.bdo.ie BDO DUBLIN Beaux Lane House Mercer Street Lower Dublin 2 BDO LIMERICK Four Michael Street Limerick BDO BELFAST Lindsay House 10 Callender Street Belfast BT1 5BN t: +353 1 470 0000 t: +353 61 414 455 t: +44 28 9043 9009 This publication has been carefully prepared, but it has been written in general terms and should be seen as broad guidance only. The publication cannot be relied upon to cover specific situations and you should not act, or refrain from acting, upon the information contained therein without obtaining specific professional advice. Please contact BDO to discuss these matters in the context of your particular circumstances. BDO, its partners, employees and agents do not accept or assume any liability or duty of care for any loss arising from any action taken or not taken by anyone in reliance on the information in this publication or for any decision based on it. BDO is authorised by the Institute of Chartered Accountants in Ireland to carry on investment business. BDO, a partnership established under Irish Law, is a member of BDO International Limited, a UK company limited by guarantee, and forms part of the international BDO network of independent members firms. BDO is the brand name for the BDO International network and for each of the BDO Member Firms. Contents and Data included in this document should not be replicated without prior written consent from BDO. All rights reserved. © BDO IRELAND 2015
For control of undesirable vegetation growing within certain Aquatic Sites, Forestry Sites, Pasture/Rangeland, Non-Agricultural Lands, Establishment and Maintenance of wildlife openings, release of unimproved Bermudagrass and Bahiagrass, Bare-Ground Weed Control, for use under certain Paved Areas, Industrial Non-Cropland Areas including Railroad, Utility, Pipeline and Highway Rights-Of-Way, Utility Plant Sites, Petroleum Tank Farms, Pumping Installations, Fence Rows, Storage Areas, Non-Irrigation Ditch Banks, including grazed or hayed areas within these sites, roads, and transmission lines. Equivalent to 43.3% 2-[4,5-dihydro-4-methyl-4-(1-methylethyl)-5-oxo-1H-imidazol-2-yl]3-pyridinecarboxylic acid or 4 pounds acid per gallon. KEEP OUT OF REACH OF CHILDREN CAUTION/PRECAUCION Si usted no entiende la etiqueta, busque a alguien para que se la explique a usted en detalle. (If you do not understand this label, find someone to explain it to you in detail.) See label booklet for complete First Aid, Precautionary Statements, Directions For Use, and Storage and Disposal. Manufactured For: EPA Reg. No. 83529-139 EPA Est. No. DI 05905-IA-001; MA 83411-MN-001; GH 70815-GA-001 The EPA Establishment Number is identified by the circled letters above that match the first two letters in the batch number. 7217 Lancaster Pike, Suite A Hockessin, Delaware 19707 Net Contents: 2.5 Gals. Have the product container or label with you when calling a poison control center or doctor or going for treatment. For emergency information concerning this product, call your poison control center at 1-800-222-1222. PRECAUTIONARY STATEMENTS HAZARDS TO HUMANS AND DOMESTIC ANIMALS CAUTION Harmful if swallowed. Avoid contact with skin, eyes, or clothing. Avoid breathing spray mist. PERSONAL PROTECTIVE EQUIPMENT (PPE) Mixers, loaders, applicators, and other handlers must wear: Long-sleeved shirt and long pants * Shoes plus socks * Chemical-resistant gloves for mixers and loaders, plus applicators using handheld equipment Follow manufacturer's instructions for cleaning/maintaining PPE. If no such instructions for washables exist, use detergent and hot water. Keep and wash PPE separately from other laundry. Discard clothing and other absorbent materials that have been drenched or heavily contaminated with this product's concentrate. Do not reuse them. ENGINEERING CONTROLS Pilots must use an enclosed cockpit that meet the requirements listed in the Worker Protection Standard (WPS) for agricultural pesticides [40 CFR 170.240(d)(6)]. USER SAFETY RECOMMENDATIONS Users should: * Wash thoroughly with soap and water after handling and before eating, drinking, chewing gum, using tobacco, or using the toilet. * Remove clothing/PPE immediately if pesticide gets inside. Then wash thoroughly and put on clean clothing. * Remove PPE immediately after handling this product. Wash the outside of gloves before removing. As soon as possible, wash thoroughly and change into clean clothing. ENVIRONMENTAL HAZARDS This product is toxic to plants. Drift and run-off may be hazardous to plants in water adjacent to treated areas. DO NOT apply to water except as specified in this label. Treatment of aquatic weeds may result in oxygen depletion or loss to decomposition of dead plants. DO NOT treat more than one-half the surface area of the water in a single operation and wait at least 10 - 14 days between treatments. Begin treatments along the shore and proceed outward in bands to allow aquatic organisms to move into untreated areas. DO NOT contaminate water when disposing of equipment, wash waters, or rinsate. This pesticide is toxic to vascular plants and must be used strictly in accordance with the drift precautions of the label. PHYSICAL AND CHEMICAL HAZARDS Combustible: DO NOT use or store near heat or open flame. Spray solutions of this product must be mixed, stored, and applied only in stainless steel, fiberglass, plastic, and plastic-lined steel containers. DO NOT mix, store, or apply this product or spray solutions of this product in unlined steel (except stainless steel) containers or spray tanks. DIRECTIONS FOR USE It is a violation of Federal law to use this product in any manner inconsistent with its labeling. This product can only be used in accordance with the Directions for Use on this label. DO NOT apply this product in a way that will contact workers or other persons, either directly or through drift. Only protected handlers may be in the area during application. For any requirements specific to your State or Tribe, consult the agency responsible for pesticide regulations. AGRICULTURAL USE REQUIREMENTS Use this product only in accordance with its labeling and with the Worker Protection Standard, 40 CFR Part 170. This Standard contains requirements for the protection of agricultural workers on farms, forests, nurseries, and greenhouses, and handlers of agricultural pesticides. It contains requirements for training, decontamination, notification, and emergency assistance. It also contains specific instructions and exceptions pertaining to the statements on this label about personal protective equipment (PPE) and restricted-entry interval. The requirements in this box only apply to uses of this product that are covered by the Worker Protection Standard. DO NOT enter or allow worker entry into treated areas during the restricted-entry interval (REI) of 48 hours. PPE required for early entry to treated areas that is permitted under the Worker Protection Standard and that involves contact with anything that has been treated, including plants, soil, or water, is: * Coveralls * Shoes plus socks * Chemical-resistant gloves made of any waterproof material * Protective eyewear NON-AGRICULTURAL USE REQUIREMENTS The requirements in this box apply to uses of this product that are not within the scope of the Worker Protection Standard for agricultural pesticides (40 CFR Part 170). The WPS applies when this product is used to produce agricultural plants on farms, forests, nurseries, or greenhouses. DO NOT enter or allow others to enter treated areas until sprays have dried. PRODUCT INFORMATION Weapon is an aqueous solution to be mixed with water and a surfactant and applied as a spray solution to control undesirable vegetation growing within certain aquatic sites, forestry sites, pasture/rangeland, and non-agricultural lands. Aquatic sites consist of standing and flowing water, estuarine/marine, wetland, and riparian areas. Non-agricultural lands include private, public, and military land as follows: uncultivated non-agricultural areas (including airports, highway, railroad and utility rights-of-way, and sewage disposal areas), uncultivated agricultural areas - non-crop producing (including farmyards, fuel storage areas, fence rows, non-irrigation ditch banks, and barrier strips), industrial sites - outdoor (including lumber yards, pipeline, and tank farms) and natural areas (including wildlife management areas, wildlife openings, wildlife habitats, recreation areas, campgrounds, trailheads, and trails). Weapon may also be used for the release of unimproved Bermudagrass and Bahiagrass, for bare-ground weed control, and for use under certain paved surfaces. Herbicidal Activity: Weapon will control most annual and perennial grasses and broadleaf weeds in addition to many brush and vine species with some residual control of undesirable species that germinate above the waterline. This product is readily absorbed through emergent leaves and stems and is translocated rapidly throughout the plant, with accumulation in the meristematic regions. For maximum activity, weeds must be growing robustly at the time of application, and the spray solution must include a surfactant (refer to the Adjuvants section for specific use directions). Treated plants stop growing soon after spray application. Chlorosis appears first in the newest leaves, and necrosis spreads from this point. In perennials, the herbicide is translocated into, and kills, underground or submerged storage organs, which prevents regrowth. Chlorosis and tissue necrosis may not be apparent in some plant species until 2 or more weeks after application. Complete kill of plants may not occur for several weeks. Applications of Weapon are rainfast 1 hour after treatment. RESTRICTIONS * DO NOT use on food or feed crops. * DO NOT apply this product to water within 0.5 mile upstream of an active potable water intake in flowing water (i.e., river, stream, etc.) or within 0.5 mile of an active potable water intake in a standing body of water, including a lake, pond, or reservoir. * DO NOT apply to water used for irrigation except as described in use RESTRICTIONS and PRECAUTIONS sections of this label. * DO NOT drain or flush equipment on or near desirable trees or other plants, or on areas where their roots may extend, or in locations where the treated soil may be washed or moved into contact with their roots. * DO NOT use on lawns, walks, driveways, tennis courts. * DO NOT side trim desirable vegetation with this product unless severe injury and plant death can be tolerated. Prevent drift of spray to desirable plants. * If treated vegetation is to be removed from the application site, DO NOT use the vegetative matter as mulch or compost on or around desirable species. PRECAUTIONS * Keep from contact with fertilizers, insecticides, fungicides, and seeds. * Clean application equipment after using this product by thoroughly flushing with water. * Avoiding Injury to Non-Target Plants: Untreated desirable plants can be affected by root uptake of this product from treated soil. Injury or loss of desirable plants may result if this product is applied on or near desirable plants, on areas where their roots extend, or in locations where the treated soil may be washed or moved into contact with their roots. When making applications along shorelines where desirable plants may be present, caution must be exercised to avoid spray contact with their foliage or spray application to the soil in which they are rooted. Shoreline plants that have roots that extend into the water in an area where this product has been applied will not be adversely affected by uptake of the herbicide from the water. RESISTANCE MANAGEMENT Weapon contains a Group 2 (Imazapyr) herbicide. Any weed population may contain plants naturally resistant to Group 2 herbicides. The resistant individuals may dominate the weed population if these herbicides are used repeatedly in the same fields. Appropriate resistance-management strategies must be followed. To delay herbicide resistance, take one or more of the following steps: * Rotate the use of Weapon or other Group 2 herbicides within a growing season sequence or among growing seasons with different herbicide groups that control the same weeds in a field. * Use tank mixtures with herbicides from a different group if such use is permitted; where information on resistance in target weed species is available, use the less resistance-prone partner at a rate that will control the target weed(s) equally as well as the more resistance-prone partner. Consult your local extension service or certified crop advisor if you are unsure as to which active ingredient is currently less prone to resistance. * Adopt an integrated weed-management program for herbicide use that includes scouting and uses historical information related to herbicide use and crop rotation, and that considers tillage (or other mechanical control methods), cultural (e.g., higher crop seeding rates; precision fertilizer application method and timing to favor the crop and not the weeds), biological (weed-competitive crops or varieties) and other management practices. * Scout after herbicide application to monitor weed populations for early signs of resistance development. Indicators of possible herbicide resistance include: ■ Failure to control a weed species normally controlled by the herbicide at the dose applied, especially if control is achieved on adjacent weeds; ■ A spreading patch of non-controlled plants of a particular weed species; and ■ Surviving plants mixed with controlled individuals of the same species. If resistance is suspected, prevent weed seed production in the affected area by an alternative herbicide from a different group or by a mechanical method such as hoeing or tillage. Prevent movement of resistant weed seeds to other fields by cleaning harvesting and tillage equipment when moving between fields, and planting clean seed. * If a weed pest population continues to progress after treatment with this product, discontinue use of this product, and switch to another management strategy or herbicide with a different mode of action, if available. * Contact your local extension specialist or certified crop advisors for additional pesticide resistance-management and/or integrated weed-management recommendations for specific crops and weed biotypes. * Report lack of performance to Sharda USA LLC or a representative. MANDATORY SPRAY DRIFT MANAGEMENT Aerial Applications: * DO NOT release spray at a height greater than 10 ft. above the vegetative canopy, unless a greater application height is necessary for pilot safety. * For applications prior to the emergence of crops and target weeds, applicators are required to use a coarse or coarser droplet size (ASABE S572.1). * For all other applications, applicators are required to use a medium or coarser droplet size (ASABE S572.1). * DO NOT apply when wind speeds exceed 15 mph at the application site. If wind speed is greater than 10 mph, the boom length must be 65% or less of the wingspan for fixed wing aircraft and 75% or less of the rotor diameter for helicopters. Otherwise, the boom length must be 75% or less of wingspan for fixed-wing aircraft and 90% or less of the rotor diameter for helicopters. Applicators must use 1/2 swath displacement upwind at the downwind edge of field. * Nozzles must be oriented, so the spray is directed toward the back of the aircraft. * DO NOT apply when wind speeds exceed 15 mph at the application site. * DO NOT apply during temperature inversions. Ground Boom Applications: * Users must only apply with the nozzle height advised by the manufacturer, but no more than 3 ft. above the ground or crop canopy unless making a turf, pasture, or rangeland application, in which case applicators may apply with a nozzle height no more than 4 ft. above the ground. * For applications prior to the emergence of crops and target weeds, applicators are required to use a coarse or coarser droplet size (ASABE S572.1). * For all other applications, applicators are required to use a medium or coarser droplet size (ASABE S572.1). * DO NOT apply when wind speeds exceed 15 mph at the application site. * DO NOT apply during temperature inversions. SPRAY DRIFT ADVISORIES THE APPLICATOR IS RESPONSIBLE FOR AVOIDING OFF-SITE SPRAY DRIFT. BE AWARE OF NEARBY NON-TARGET SITES AND ENVIRONMENTAL CONDITIONS. IMPORTANCE OF DROPLET SIZE An effective way to reduce spray drift is to apply large droplets. Use the largest droplets that provide target pest control. While applying larger droplets will reduce spray drift, the potential for drift will be greater if applications are made improperly or under unfavorable environmental conditions. Controlling Droplet Size - Ground Boom * Volume - Increasing the spray volume so that larger droplets are produced will reduce spray drift. Use the highest practical spray volume for the application. If a greater spray volume is needed, consider using a nozzle with a higher flow rate. * Pressure - Use the lowest spray pressure advised for the nozzle to produce the target spray volume and droplet size. * Spray Nozzle - Use a spray nozzle that is designed for the intended application. Consider using nozzles designed to reduce drift. Controlling Droplet Size - Aircraft * Adjust Nozzles - Follow nozzle manufacturer's instructions for setting up nozzles. Generally, to reduce fine droplets, nozzles must be oriented parallel with the airflow in flight. BOOM HEIGHT - Ground Boom Use the lowest boom height that is compatible with the spray nozzles that will provide uniform coverage. For ground equipment, the boom must remain level with the crop and have minimal bounce. RELEASE HEIGHT - Aircraft Higher release heights increase the potential for spray drift. SHIELDED SPRAYERS Shielding the boom or individual nozzles can reduce spray drift. Consider using shielded sprayers. Verify that the shields are not interfering with the uniform deposition of the spray on the target area. TEMPERATURE AND HUMIDITY When making applications in hot and dry conditions, use larger droplets to reduce effects of evaporation. TEMPERATURE INVERSIONS Drift potential is high during a temperature inversion. Temperature inversions are characterized by increasing temperature with altitude and are common on nights with limited cloud cover and light to no wind. The presence of an inversion can be indicated by ground fog or by the movement of smoke from a ground source or an aircraft smoke generator. Smoke that layers and moves laterally in a concentrated cloud (under low wind conditions) indicates an inversion, while smoke that moves upward and rapidly dissipates indicates good vertical air mixing. Avoid applications during temperature inversions. WIND Drift potential generally increases with wind speed. AVOID APPLICATIONS DURING GUSTY WIND CONDITIONS. Applicators need to be familiar with local wind patterns and terrain that could affect spray drift. WIND EROSION Avoid treating powdery dry or light sandy soils when conditions are favorable for wind erosion. Under these conditions, the soil surface must first be settled by rainfall or irrigation. TANK MIXTURES It is the pesticide user's responsibility to ensure that all products are registered for the intended use. Read and follow the applicable restrictions and limitations and directions for use on all product labels involved in tank mixing. Users must follow the most restrictive directions for use and precautionary statements of each product in the tank mixture. Adjuvants Post-emergence applications of Weapon require the addition of a spray adjuvant for optimum herbicide performance. Only spray adjuvants that are approved or appropriate for aquatic use can be utilized. The addition of a Chemical Producers and Distributors Associations (CPDA) certified adjuvant can increase control. A CPDA certified drift control agent may also be used. * Nonionic Surfactants: Use a nonionic surfactant at the rate 0.25% v/v or higher (see manufacturer's label) of the spray solution (0.25% v/v is equivalent to 1 qt. in 100 gals.). For best results, select a nonionic surfactant with a HLB (hydrophilic to lipophilic balance) ratio between 12 and 17 with at least 70% surfactant in the formulated product. Alcohols, fatty acids, oils, ethylene glycol or diethylene glycol must not be considered as surfactants to meet the above requirements. * Methylated Seed Oils or Vegetable Oil Concentrates: It is acceptable to use a methylated seed oil or vegetable-based seed oil concentrate at a rate of 12 - 16 fl. oz. (1.5 - 2 pts.) per acre in place of a surfactant. When using spray volumes greater than 30 gals. per acre, methylated seed oil or vegetable-based seed oil concentrates must be mixed at a rate of 1% of the total spray volume, or alternatively use a nonionic surfactant as described above. Research indicates that these oils may aid in product deposition and uptake by plants under moisture or temperature stress. * Silicone Based Surfactants: See manufacturer's label for specified rates. Silicone-based surfactants may reduce the surface tension of the spray droplet, allowing greater spreading on the leaf surface as compared to conventional nonionic surfactants. However, some silicone-based surfactants may dry too quickly, limiting herbicide uptake. * Invert Emulsions: Weapon can be applied as an invert emulsion. The spray solution results in an invert (water-in-oil) spray emulsion designed to minimize spray drift and spray run-off, resulting in more herbicide on the target foliage. The spray emulsion may be formed in a single tank (batch mixing) or injected (in-line mixing). Consult the invert chemical label for proper mixing directions. DO NOT apply more than 3 pts. or 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre in an invert emulsion. * Fertilizer/Surfactant Blends: Nitrogen based liquid fertilizers including 28%N, 32%N, 10-34-0 or ammonium sulfate, may be added at the rate of 24 - 48 fl. oz. (2 - 3 pts.) per acre in combination with the specified rate of nonionic surfactant, methylated seed oil or vegetable/seed oil concentrate. The use of fertilizers in a tank mix without a nonionic surfactant, methylated seed oil, or vegetable/seed oil concentrate is not advised. * Other: An antifoaming agent, spray pattern indicator or drift reducing agent may be applied at the product labeled rate if necessary or desired. Compatibility Before full-scale mixing of Weapon with other pesticides, emulsifiers, fertilizers, surfactants, or oils, determine the compatibility of the proposed mixture. Use proportionate quantities of each ingredient and mix in a small container. Always mix 1 product thoroughly with the diluent before adding another product. If no incompatibility is evident after 30 minutes, the mixture is compatible for spraying. To evaluate potential short-term effects of applying the mixture, test the tank mix combination on a few plants or a small area before larger-scale treatments. Wait at least 2 - 3 days for problems to become apparent. IMPORTANT: Mixing with other substances may increase the risk of mixing incompatibilities, reduced effectiveness and/or cause crop injury or loss. To the extent consistent with applicable law, any liability for loss, injury or damage resulting from a mixture not specified on this label or in manufacturer's supplemental labeling distributed for this product is specifically disclaimed by manufacturer. APPLICATION METHODS Weapon may be selectively applied by using low volume directed application techniques or may be broadcast applied using ground equipment, watercraft, or aircraft. Aerial applications to aquatic sites must be made by helicopter. In addition, Weapon may also be applied using cut stump, cut stem, and frill or girdle treatment techniques within non-agricultural lands (see NON-AGRICULTURAL LAND USE section for specific use sites), pasture/rangeland, and aquatic sites. Refer to the below AERIAL APPLICATION and GROUND APPLICATION sections for additional details. AERIAL APPLICATION All precautions must be taken to minimize or eliminate spray drift. Both helicopter and fixed wing aircraft can be used to apply Weapon, but applications to aquatic sites are restricted to helicopter only. DO NOT make applications by helicopter or fixed wing aircraft unless appropriate buffer zones can be maintained to prevent spray drift out of the target area, or when spray drift as a result of helicopter application can be tolerated. Aerial equipment designed to minimize spray drift including a helicopter equipped with a Microfoil TM boom Thru-Valve TM boom or raindrop nozzles must be used and calibrated. Except when applying with a Microfoil boom, a drift control agent may be added at the specified label rate. DO NOT side trim with Weapon unless death of treated tree can be tolerated. Uniformly apply the specified amount of Weapon in 2 - 30 gals. of water per acre. A foam reducing agent may be added at the specified label rate. Immediately after each use of this product thoroughly clean application equipment, including landing gear. Uncoated steel surfaces (except stainless steel surfaces) may result in corrosion and failure after prolonged exposure to the product. The maintenance of a paint (organic coating) may prevent corrosion. GROUND APPLICATION Foliar Applications Low Volume Foliar: Use equipment calibrated to deliver 5 - 20 gals. of spray solution per acre. To prepare the spray solution, thoroughly mix in water 0.25% - 2.5% of Weapon plus surfactant (refer to the Adjuvants section). A foam reducing agent may be applied at the label rate, if needed. For control of difficult species (see the AQUATIC WEEDS CONTROLLED and TERRESTRIAL WEEDS CONTROLLED sections for relative susceptibility of weed species), use the higher concentrations of herbicide and/or spray volumes but DO NOT apply more than the maximum rates specified in each section of this label. Excessive wetting of foliage is not necessary. For low volume foliar application, select proper nozzles to avoid over-application. Proper application is critical to ensure desirable results. Best results are achieved when the spray covers the crown and approximately 70% of the plant. The use of an even flat fan tip with a spray angle of 40 degrees or less will aid in proper deposition. Appropriate tip sizes include 4004E or 1504E. For a straight stream and cone pattern, adjustable cone nozzles including 5500 X3 or 5500 X4 may be used. Attaching a rollover valve onto a Spraying Systems Model 30 gunjet or other similar spray guns allows for the use of both a flat fan and cone tips on the same gun. Moisten, but DO NOT drench target vegetation causing spray solution to run-off. Low Volume Foliar with Backpacks: For low-growing species, spray down on the crown, covering crown and penetrating approximately 70% of the plant. For target species 4 - 8 ft. tall, swipe the sides of target vegetation by directing spray to at least 2 sides of the plant in smooth vertical motions from the crown to the bottom. Make sure to cover the crown whenever possible. For target species over 8 ft. tall, lace sides of the target vegetation by directing spray to at least 2 sides of the target in smooth zigzag motions from crown to bottom. Low Volume Foliar with Hydraulic Handgun Application Equipment: Use same technique as described above for Low Volume Foliar with Backpacks. For broadcast applications, simulate a gentle rain near the top of target vegetation, allowing spray to contact the crown and penetrate the target foliage without falling to the understory. Herbicide spray solution which contacts the understory may result in severe injury or death of plants in the understory. High Volume Foliar: For optimum performance when spraying medium to high-density vegetation, use equipment calibrated to deliver up to 100 gals. of spray solution per acre (GPA). Spray solutions exceeding 100 GPA may result in excessive spray run-off, causing increased ground cover injury, and injury to desirable species. To prepare the spray solution, thoroughly mix Weapon in water and add a surfactant (see Adjuvants section for specific instructions and rates of surfactants). A foam-reducing agent may be added at the label rate, if needed. For control of difficult species (see the AQUATIC WEEDS CONTROLLED and TERRESTRIAL WEEDS CONTROLLED sections for relative susceptibility of weed species), use the higher concentrations of herbicide and/or spray volumes, but DO NOT apply more than the maximum rates specified in each section of this label. Uniformly cover the foliage of the vegetation to be controlled but DO NOT apply to run-off. Excessive wetting of foliage is not necessary. Side Trimming DO NOT side trim with Weapon unless severe injury or death of the treated tree can be tolerated. This product is readily translocated and can result in death of the entire tree. Cut Surface Treatment Weapon may be used to control undesirable woody vegetation by applying the product solution to the cambium area of freshly cut stump surfaces or to fresh cuts on the stem of the target woody vegetation. Applications can be made at any time of the year except during periods of heavy sap flow in the Spring. DO NOT over apply solution causing run-off from the cut surface. Injury may occur to desirable woody plants if the shoots extend from the same root system or their root systems are grafted to those of the treated tree. Weapon may be mixed as either a concentrated or dilute solution for stump and cut stem treatments. The dilute solution may be used for applications to the surface of the stump or to cuts on the stem of the target woody vegetation. Concentrated solutions may be used for applications to cuts on the stem. Use of the concentrated solution permits application to fewer cuts on the stem, especially for large diameter trees. Follow the application instructions to determine proper application techniques for each type of solution. To prepare a dilute solution, mix 4 - 6 fluid ounces (0.12 - 0.19 lb. a.e) of Weapon with 1 gal. of water. If temperatures are such that freezing of the spray mixture may occur, antifreeze (ethylene glycol) may be used according to manufacturer's label to prevent freezing. The use of a surfactant or penetrating agent may improve uptake through partially callused cambiums. To prepare a concentrated solution, mix 1 qt. (32 fl. oz., 1 lb. a.e.) of Weapon with no more than 1 pint of water. Cut Stump Treatment Dilute Solutions: Spray or brush the solution onto the cambium area of the freshly cut stump surface. Ensure that the solution thoroughly wets the entire cambium area (the wood next to the bark of the stump). Cut Stem Treatment (Injection, Hack-and-Squirt) Dilute Solutions: Using standard injection equipment, apply 1 milliliter of solution at each injection site around the tree with no more than 1-inch intervals between cut edges. Ensure that the injector completely penetrates the bark at each injection site. Concentrate Solutions: Using standard injection equipment, apply 1 milliliter of solution at each injection site. Make at least 1 injection cut for every 3 inches of Diameter at Breast Height (DBH) on the target tree. For example, a 3-inch DBH tree will receive 1 injection cut and a 6-inch DBH tree will receive 2 injection cuts. On trees requiring more than 1 injection site, place the injection cuts at approximately equal intervals around the tree. Cut Stubble Weapon can be applied within 2 weeks after mechanical mowing or cutting of brush. To suppress or control resprouting, uniformly apply a spray solution of Weapon at the rate of 8 - 16 fl. oz. (0.25 - 0.5 lb. a.e.) per acre to the cut area. Weapon may be tank-mixed with picloram, or equivalent labeled product for this use, to aid in control or suppression of brush. The addition of 5% (v/v) or more of a penetrating agent can aid in uptake through the bark or exposed roots. Cut stubble applications are made to the soil and cut brush stumps. This type of application may increase ground cover injury. However, vegetation will recover. Making applications of Weapon directly to the soil can increase potential root uptake causing injury or death of desirable trees. Efficacy can be increased and root uptake by desirable vegetation can be decreased if the brush is allowed to regrow and the foliage is treated. See the Brush Control section. Frill or Girdle Treatment Using a hatchet, machete, or chain saw, make cuts through the bark and completely around the tree to expose the cambium. The cut must angle downward extending into the cambium enough to expose at least 2 growth rings. Using a spray applicator or brush, apply a 12.5 - 50% solution of Weapon into each cut until thoroughly wet. Avoid applying so much herbicide that run-off to the ground or water occurs. BASAL APPLICATION Weapon is an aqueous formulation that requires mixing with basal oil containing at least 15% emulsifier or will require the addition of an emulsifier, for application to the basal area of brush and trees to control undesirable vegetation in the following non-cropland areas: access roads, airfields, airports, along forest roads, around commercial or industrial structures or outbuildings, around farm and ranch structures and outbuildings, bare-ground, construction sites, ditch banks, dry ditches and canals, fences and fencerows, firebreaks, gravel yards, habitat restoration and management areas, highways and roadsides (including aprons, medians, guardrails and rights-of-ways), industrial plant sites, industrial areas, lumber yards, natural areas, paved areas, petroleum and other tank farms, pumping installations, pipeline, power, telephone and utility rights-of-way, power stations, railroad rights-of-way, refineries, resorts, storage areas, substations, uncropped farmstead areas, uncultivated non- agricultural areas (see NON-AGRICULTURAL LAND USE section for specific use sites), vacant lots, walkways, wastelands, and wildlife habitat areas. It is advisory to mix only the intended amount of mixture that is to be sprayed that day. Adequate agitation must be maintained with all emulsion mixtures to prevent phase separation. Prior to tank mixing with other products, herbicides, and oils, you must determine the compatibility of the proposed mixture (see the Compatibility section). Thinline Basal and Stem Application * Weapon may be applied as a thinline basal or arcing application to the stems of susceptible species including big leaf maple (Acer macrophyllum), willow (Salixspp.), and Eucalyptus (Eucalyptusspp.) with a stem ground line diameter of 3" or less. Mix 12 - 24 fl. oz. (0.38 - 0.75 lb. a.e. Imazapyr) of Weapon in 1 gal. of basal oil containing at least 15% emulsifier. Maintain uniform mixtures with frequent agitation. Direct a thin line of the spray solution to the stems beginning a few feet from the ground and descending toward the base of the tree making a zig-zag motion. DO NOT over apply causing puddling. Low Volume Basal Bark Treatments * Weapon at the rate of 4 - 6 fl. oz. (0.13 - 0.19 lb. a.e.) per gallon, may be applied for low volume basal bark treatments. Weapon at 1.5 - 2.5% is advised to be tank mixed with Relegate TM (EPA Reg. No. 228-521 or 228-552, triclopyr, butoxyethyl ester) or Garlon ® 4 (EPA Reg. No. 62719-40, triclopyr, butoxyethyl ester) or other basal products to broaden the spectrum of control. Consult the herbicide labels for rates and susceptible brush species. Mixing with basal requires compatibility tests prior to mixing large quantities. Mixing aids (including emulsifiers, etc.) and ongoing agitation are required to attain a homogenous tank mix. * Basal application must be made to the lower 12" - 18" of the target brush and go to the soil. Care must be taken to not puddle or over treat the stem. Basal application is best suited for low density brush sites, where stems do not exceed 700 stems per acre. \| Amount of Spray Solution Being Prepared \| Weapon - Alone \| \| Weapon - When Tank Mixing \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| 4 fl. oz. \| 6 fl. oz. \| 1.5% \| 2.5% \| 15% \| \| 1 Gallon \| 4 fl. oz. \| 6 fl. oz. \| 1.9 fl. oz. \| 3.2 fl. oz. \| 1.2 pts. \| \| 3 Gallons \| 12 fl. oz. \| 18 fl. oz. \| 5.75 fl. oz. \| 9.6 fl. oz. \| 1.8 qts. \| \| 4 Gallons \| 1 pt. \| 1.5 pts. \| 7.7 fl. oz. \| 12.8 fl. oz. \| 2.4 qts. \| \| 5 Gallons \| 1.25 pts. \| 1 pt. + 14 fl. oz. \| 9.6 fl. oz. \| 1 pt. \| 3 qts. \| \| 50 Gallons \| 1.5 gals. + 8 fl. oz. \| 2 gals. + 2.75 pts. \| 3 qts. \| 1.25 gals. \| 7.5 gals. \| \| 100 Gallons \| 3 gals. + 1 pt. \| 4 gals. + 2.75 qts. \| 1.5 gals. \| 2.5 gals. \| 15 gals. \| FORESTRY USE Site Preparation Treatment Weapon may be used to control labeled actively growing grasses, broadleaf weeds, vines and brambles, and woody brush and trees on forest sites in advance of regeneration for the following conifer crop species: \| Common Name \| Scientific Name \| \|---\|---\| \| Loblolly Pine \| Pinus taeda \| \| Loblolly x Pitch Hybrid \| \| \| Longleaf Pine \| Pinus palustris \| \| Shortleaf Pine \| Pinus echinata \| \| Virginia Pine \| Pinus virginiana \| \| Slash Pine \| Pinus elliottii \| \| Douglas Fir \| Pseudotsuga menziesii \| \| Coastal Redwood \| Sequoia sempervirens \| \| Incense Cedar \| Libocedrus decurrens \| \| Western Hemlock \| Tsuga heterophylla \| \| California Red Fir \| Abies magnifica \| \| California White Fir \| Abies concolor \| \| Jack Pine \| Pinus banksiana \| \| Lodgepole Pine \| Pinus contorta \| \| Pitch Pine \| Pinus rigida \| \| Ponderosa Pine \| Pinus ponderosa \| \| Sugar Pine \| Pinus lambertiana \| \| White Pine \| Pinus strobus \| \| Black Spruce \| Picea mariana \| \| Red Spruce \| Picea rubens \| \| White Spruce \| Picea glauca \| Use the specified rate of Weapon per acre applied as a broadcast foliar spray for long-term control of labeled woody plants and residual control of herbaceous weeds. Within 4 - 6 weeks of treatment, grasses and other herbaceous weeds will be controlled and may provide fuel to facilitate a site preparation burn, if desired, to control conifers or other species tolerant to the herbicide. Apply the specified rate of Weapon per acre in 5 - 30 gals. total spray solution for helicopter applications or 5 - 100 gals. total spray solution for mechanical ground spray and backpack applications. Use a minimum of 0.25% by volume nonionic surfactant. Use the higher label rates of Weapon and higher spray volumes when controlling particularly dense or multilayered canopies of hardwood stands, or difficult to control species. Tank mixes may be necessary for chemical control of conifers and other species tolerant to Weapon in certain cases. Always follow the most restrictive directions for use and precautionary statements of each product in the tank mixture. Combinations with other products labeled for forest site preparation may kill certain plants including legumes and blackberry which are desirable for wildlife habitat. Where quick initial brown out (deadening of foliage) is desired for burning, apply a tank mixture of Weapon with triclopyr or other products registered for this use at specified label rates per acre. For control of seedling pines, apply Weapon with glyphosate or other products registered for this use at specified label rates. For site preparation, rates less than the specified label rates of Weapon will provide suppression of hardwood brush and trees, and some re-sprouting may occur. Restrictions: * DO NOT plant seedlings of black spruce (Picea mariana) or white spruce (Picea glauca) on sites that have been broadcast treated with this product or into the treated zone of spot or banded applications for 3 months following application or injury may occur. * DO NOT apply more than 40 fl. oz. (1.25 lbs. a.e.) of Weapon per acre in an application. * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. * DO NOT apply more than 4 applications per year when using reduced application rates. * DO NOT make broadcast applications less than 14 days apart. Herbaceous Weed Control Use Weapon for selective weeding in the following conifers: \| Common Name \| Scientific Name \| \|---\|---\| \| Loblolly x Pitch Hybrid \| \| \| Virginia Pine \| Pinus virginiana \| \| Loblolly Pine \| Pinus taeda \| \| Longleaf Pine* \| Pinus palustris \| \| Shortleaf Pine* \| Pinus echinata \| \| Slash Pine* \| Pinus elliottii \| \| Douglas Fir* \| Pseudotsuga menziesii \| Weapon may be applied as a broadcast treatment, banded over tree rows, or as a directed spray for release of young conifers from herbaceous weeds. To prevent possibility of conifer injury, DO NOT apply Weapon when conifers are under stress from drought, diseases, animal or Winter injury, planting shock, or other stresses reducing conifer vigor. Broadcast applications may be made by helicopter, ground, or backpack sprayer. For difficult to control weeds, use the higher labeled rates. Where herbaceous weeds have overtopped conifer seedlings, a nonionic surfactant may be added to improve weed control (except for slash pine, longleaf pine, and Douglas fir), at a rate not to exceed 0.25% of spray solution volume. Some minor conifer growth inhibition may be observed when herbaceous weed control treatments are made during periods of active conifer growth. Weapon may also be applied using backpack or hand-held sprayers to control herbaceous weeds around individual conifer seedlings. Mix 0.4 - 0.6 fl. oz. (0.012 - 0.019 lb. a.e.) of Weapon and 0.2 fl. oz. nonionic surfactant per gallon of water. Direct the spray to the weeds and minimize the amount applied to conifer foliage for best conifer tolerance. Ensure that maximum labeled rates per acre listed for crop species above are not exceeded. Weapon may be tank mixed with a sulfometuron-methyl product to broaden the spectrum of weeds controlled. Always follow the most restrictive directions for use and precautionary statements of each product in the tank mixture. For loblolly pine, apply 4 - 6 fl. oz. (0.13 - 0.19 lb. a.e.) of Weapon plus a sulfometuron-methyl product at the specified label rate per acre. The application of Weapon plus a sulfometuron-methyl product at the specified label rates on other conifer species may cause growth suppression. Restrictions: * DO NOT apply more than 10 fl. oz. (0.31 lb. a.e.) of Weapon per acre in an application. * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. * DO NOT apply more than 4 applications. * DO NOT make broadcast applications less than 14 days apart. * For individual plant/spot treatment, retreat as needed, however, DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. Conifer Release Treatments Weapon may be applied as a broadcast or directed spray application for suppression of labeled brush, tree, and herbaceous weed species. Directed spray applications may be made with low-volume applications in conifer stands of all ages by targeting the unwanted vegetation and avoiding direct application to the conifer. Ensure that maximum labeled rates per acre listed for crop species below are not exceeded. Broadcast Applications of Weapon for Release of the Following Conifers from Hardwood Competition: \| Common Name \| Scientific Name \| \|---\|---\| \| Loblolly Pine3 \| Pinus taeda \| \| Loblolly x Pitch Hybrid3 \| \| \| Virginia Pine3 \| Pinus virginiana \| \| Longleaf Pine \| Pinus palustris \| \| Pitch Pine \| Pinus rigida \| \| Shortleaf Pine \| Pinus echinata \| \| Slash Pine \| Pinus elliottii \| \| White Pine1 \| Pinus strobus \| \| California Red Fir \| Abies magnifica \| \| California White Fir \| Abies concolor \| \| Lodgepole Pine2 \| Pinus contorta \| \| Douglas Fir2 \| Pseudotsuga menziesii \| Broadcast Applications of Weapon for Release of the Following Conifers from Hardwood Competition: (continued) \| Common Name \| Scientific Name \| \|---\|---\| \| Jack Pine2 \| Pinus banksiana \| \| Black Spruce2 \| Picea mariana \| \| Red Spruce2 \| Picea rubens \| 1 DO NOT make applications to white pine stands younger than 3-years-old. To minimize potential white pine injury, release treatments must not be made prior to July 15th. 2 Applications must be made after formation of final conifer resting buds in the Fall or height growth inhibition may occur. 3 Mid-rotation release: For broadcast applications below the pine canopy in established stands of loblolly pine, loblolly x pitch hybrid, and Virginia pine, use 16 - 32 fl. oz. (0.5 - 1 lb. a.e.) of Weapon per acre. For mid-rotation release of other species use rates listed above. Apply the specified rate of Weapon per acre when making broadcast applications with helicopter or ground spray equipment. Refer to mixing and application instructions for proper spray volumes. A nonionic surfactant may be added at no more than 0.25% by volume. Use the higher label rates of Weapon when controlling particularly dense stands or difficult to control species. Some minor conifer growth inhibition may be observed when release treatments are made during periods of active conifer growth. To minimize potential conifer height growth inhibition, DO NOT make broadcast applications to conifer stands, except loblolly pine, before the end of the second growing season. To minimize potential conifer height growth inhibition, broadcast release treatments may be made late in the growing season. To prevent possibility of conifer injury, DO NOT apply Weapon when conifers are under stress from drought, diseases, animal or Winter injury, or other stresses reducing conifer vigor. Weapon may be used to release loblolly pine seedlings during the first growing season following planting or for 1-year-old natural loblolly pine regeneration. For 1-yearold loblolly pine release, apply 12 - 20 fl. oz./A of Weapon (0.38 - 0.63 lb. a.e./A) after July 15 th . The use of rates below 16 fl. oz./A (0.5 lb. a.e./A) is intended for hardwood growth suppression and some hardwood resprouting should be expected. For Slash Pine and Longleaf Pine: Broadcast release treatments over-the-top of pines for the purpose of woody plant control must be made after August 15 th and only in stands 2- through 5-years-old. For applications over-the-top of slash pine and longleaf pine, DO NOT add surfactant and use lower labeled rates on sandy soils. Restrictions: * DO NOT apply Weapon when conifers are under stress from diseases, drought, animal, or winter injury, or other environmental or mechanical stresses as injury may occur. * DO NOT apply more than 32 fl. oz. (1 lb. a.e.) of Weapon per acre in an application. * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. * DO NOT apply more than 4 applications when using reduced rates. * DO NOT make broadcast applications less than 14 days apart. * For individual plant/spot treatment, retreat as needed, however, DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. For the Aerial Release to Slash Pine (Pinus elliottii) Stands over the age of 5 Years - Restrictions Weapon may be applied as an aerial application for release of slash pine stands over the age of 5 years. In addition to reading and following all directions for this product, the following restrictions are required: * Make applications in the Fall after slash pine height growth has stopped and buds have set. * DO NOT apply before September 15 th even if height growth has stopped and buds have set. * A maximum of 12 - 14 fl. oz./A (0.38 - 0.44 lb. a.e./A) of Weapon may be applied. Use the 12 fl. oz./A (0.37 lb. a.e./A) rate on sandier sites. Spot Treatment of Undesirable Hardwood Vegetation Weapon may be used as a directed foliar or cut stem application to control undesirable brush and hardwoods in the management of stands of all ages for the conifer species listed in the broadcast application section above. Refer to mixing and application instructions in the directed foliar or cut stem sections above for proper use rates, equipment, and application techniques. Ensure that the maximum labeled rates per acre listed for crop species are not exceeded. Cut stem applications may be used for spot treatment of undesirable hardwoods in Ponderosa pine stands using 12 fl. oz. (0.38 lb. a.e.) or less of Weapon per acre. Avoid direct application to desired plant species as injury may occur. Injury may occur to non-target or desirable hardwoods or conifers if they extend from the same root system or their root systems are grafted to those of the treated tree or if their roots extend into the treated zone. Restrictions: * DO NOT apply Weapon when conifers are under stress from diseases, drought, animal, or winter injury, or other environmental or mechanical stresses as injury may occur. * DO NOT apply more than 32 fl. oz. (1 lb. a.e.) of Weapon per acre in an application. * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. * DO NOT apply more than 4 applications when using reduced rates. * DO NOT make broadcast applications less than 14 days apart. * For individual plant/spot treatment, retreat as needed, however, DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. Late Rotation Vegetation Control in Western Conifer In California, the Pacific Northwest, and Inland Northwest, broadcast aerial applications of Weapon up to 24 fl. oz./A (0.75 lb. a.e./A) are permissible in conifer stands that are targeted for harvesting the year following treatment. Use minimum spray volume of 15 gals. per acre. DO NOT use this treatment if conifer injury or mortality cannot be tolerated. Bag and Spray Application for Conifer Release In Douglas fir and Ponderosa pine stands, broadcast applications of Weapon up to 16 fl. oz./A (0.5 lb. a.e./A) are permissible when the trees are covered by bags prior to the application. The bags must prevent the spray mix from contacting the conifer foliage. On sites with coarse-textured soils (e.g., decomposed granite, pumice, sandy, or rocky sites) or low levels of soil organic matter (5% or less) significant conifer growth inhibition and mortality is possible. DO NOT use this treatment on these types of sites if conifer growth inhibition and mortality cannot be tolerated. NON-AGRICULTURAL LAND USE Weapon may be used for woody and herbaceous weed control in non-agricultural lands including private, public, and military lands as follows: uncultivated non-agricultural areas (including airports, highway, railroad and utility rights-of-way, sewage disposal areas); uncultivated agricultural areas - non-crop producing (including farmyards, fuel storage areas, fence rows, non-irrigation ditch banks, barrier strips); industrial sites - outdoor (including lumberyards, pipeline and tank farms) including grazed or hayed areas on these sites. This product may be applied to terrestrial non-crops sites and unimproved turf sites that contain areas of temporary surface water caused by collection of water, in equipment ruts, or in other depressions created by management activities. It is permissible to treat intermittently flooded low lying sites, seasonally dry flood plains, and transitional areas between upland and lowland sites when no water is present. It is also permissible to treat marshes, swamps, and bogs after water has receded, as well as seasonally dry flood deltas. Applications are not applicable to treatment of commercial timber or other plants grown for sale or other commercial use or for commercial seed production or for research purposes. Brush Control Use the specified rate of Weapon with the preferred application technique for control of undesirable brush. Tank Mixes and Application Rates for Low-Volume Foliar Brush Control* \| Target Vegetation \| Weapon Rate (% by volume) \| \|---\|---\| \| Mixed hardwoods without elm, locust, or pine \| 0.5 - 0.75 \| \| Mixed hardwoods containing elm, locust, and pine \| 0.25 - 0.5 \| \| Mixed hardwoods with locust and pine but no elm \| \| \| Mixed hardwoods with locust and elm but no pine \| \| Backpack and Handheld Spray Mixing Guide Measuring Chart \| % Solution \| Weapon per Gallon of Mix (Fl. Oz.) \| Weapon per 4 Gallon Backpack (Fl. Oz.) \| \|---\|---\|---\| \| 0.25 \| 0.3 \| 1.3 \| \| 0.5 \| 0.6 \| 2.6 \| \| 1 \| 1.3 \| 5.1 \| \| 2 \| 2.6 \| 10.2 \| \| 3 \| 3.8 \| 15.4 \| \| 5 \| 6.4 \| 25.6 \| Restrictions: * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre in an application. * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. * DO NOT apply more than 4 applications per year when using reduced application rates. * DO NOT make applications less than 30 days apart. For Selective Control of Undesirable Weeds in Unimproved Bermudagrass and Bahiagrass Weapon may be used on unimproved industrial non-cropland Bermudagrass and bahiagrass turf, including roadsides, utility rights-of-way, and other non-agricultural lands. The application of Weapon on established common and coastal Bermudagrass and bahiagrass provides control of labeled broadleaf and grass weeds. Competition from these weeds is eliminated, releasing the Bermudagrass and bahiagrass. Treatment of Bermudagrass with Weapon results in a compacted growth habit and seedhead inhibition. \| 128 fluid ounces \| = \| 1 gallon \| \|---\|---\|---\| \| 16 fluid ounces \| = \| 1 pint \| \| 8 pints \| = \| 1 gallon \| \| 4 quarts \| = \| 1 gallon \| \| 2 pints \| = \| 1 quart \| Uniformly apply with properly calibrated ground equipment using at least 10 gals. of water per acre. NOTE: Temporary yellowing of grass may occur when treatment is made after growth begins. Restrictions: * DO NOT apply more than 6 fl. oz. (0.19 lb. a.e.) of Weapon per acre per application. See Dosage Rates and Timing section below for specific rates based on type of grass and timing. * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. * DO NOT make more than 12 applications per year when using reduced application rates. * DO NOT make applications less than 14 days apart. * DO NOT add surfactant in excess of the specified rate (1 fl. oz. per 25 gals. of spray solution). * DO NOT apply to grass during its first growing year. * DO NOT apply to grass that is under stress from drought, disease, insects, or other causes. Dosage Rates and Timing Bermudagrass: Apply Weapon at 3 - 6 fl. oz. per acre (0.09 - 0.19 lb. a.e./A) when the Bermudagrass is dormant. Apply Weapon at 3 - 4 fl. oz. per acre (0.09 - 0.13 lb. a.e./A) after the bermudagrass has reached full green-up. Applications made during green-up will delay green-up. Include a surfactant in the spray solution. For additional pre-emergence control of annual grasses and small seeded broadleaf weeds, add Pendulum ® Aquacap TM herbicide (EPA Reg. No. 241-416, Pendimethalin) at the rate of 25 - 50 fl. oz. per acre. Consult the Pendulum ® label for weeds controlled and for other use directions and precautions. For control of Johnsongrass in bermudagrass turf, apply Weapon at 4 fl. oz. per acre (0.13 lb. a.e./A) plus 6 fl. oz./A of Roundup ® (EPA Reg. No. 524-445, Glyphosate IPA salt), Shypho 41% SL (EPA Reg. No. 83529-19, Glyphosate IPA salt) or Razor ® (EPA Reg. No. 228-366, Glyphosate IPA salt) along with a surfactant. For additional control of broadleaves and vines, 8 - 16 fl. oz. per acre Tahoe ® 3A (EPA Reg. No. 228-520, triclopyr, TEA salt) or Garlon ® 3A (EPA Reg. No. 62719-37, triclopyr TEA salt) may be added to the above mix. Observe all precautions and restrictions on the Tahoe ® 3A, Garlon ® 3A, Shypho, and Roundup ® labels. Bahiagrass: Apply Weapon at 2 - 4 fl. oz. per acre (0.06 - 0.13 lb. a.e./A) when the bahiagrass is dormant or after the grass has initiated green-up but has not exceeded 25% green-up. Include in the spray solution a surfactant (see Adjuvants section for specific use directions for surfactants). Weeds Controlled in Unimproved Bermudagrass and Bahiagrass Grass Growth and Seedhead Suppression Weapon may be used to suppress growth and seedhead development of certain turfgrass in unimproved areas. When applied to desirable turf, this product may result in temporary turf damage and/or discoloration. Effects to the desirable turf may vary with environmental conditions. For optimum performance, application must be made prior to culm elongation. Applications may be made before or after mowing. If applied prior to mowing, allow at least 3 days of active growth before mowing. If following a mowing, allow sufficient time for the grasses to recover before applying this product or injury may be amplified. Restriction: DO NOT apply to turf under stress (drought, cold, insect damaged, etc.) or severe injury or death may occur. Apply Bermudagrass: Weapon at 3 - 4 fl. oz. (0.09 - 0.13 lb. a.e.) per acre from early green-up to prior to seed head initiation. DO NOTadd a surfactant for this application. Cool Season Unimproved Turf: Apply Weapon at 1 fl. oz. (0.03 lb. a.e.) per acre plus 0.25% nonionic surfactant. For increased suppression, Weapon may be tank-mixed with Embark ® (EPA Reg. No. 2217-768, mefluidide diethanolamine salt) (4 fl. oz. per acre, 0.12 lb. a.e. per acre). Tank-mixes may increase injury to desired turf. Consult each product label for specified turf species and other use directions and precautions. Tank mixes with 2,4-D or products containing 2,4-D may decrease the effectiveness of this product. Total Vegetation Control where Bare-Ground is Desired Weapon is an effective herbicide for pre-emergence or post-emergence control of many annual and perennial broadleaf and grass weeds where bare-ground is desired. Weapon is particularly effective on hard-to-control perennial grasses. Weapon at 12 - 48 fl. oz. per acre (0.38 - 1.5 lbs. a.e./A) can be used alone or in tank-mix with herbicides approved for use in bare-ground. The degree and duration of control are dependent on the rate of Weapon used, tank-mix partner, the volume of carrier, soil texture, rainfall, and other conditions. Consult manufacturer's labels for specific rates and weeds controlled. Always follow the more restrictive label when making an application involving tank-mixes. Applications of may be made anytime of the year. Use equipment calibrated to deliver desired gals. per acre spray volume and uniformly distribute the spray pat- tern over the treated area. Weapon Post-Emergence Applications: Always use a spray adjuvant (refer to the Adjuvants section of this label) when making a post-emergence application. For optimum performance on tough to control annual grasses, applications must be made at a total volume of 100 gals. per acre or less. For quicker burndown or brown-out of target weeds, Weapon may be tank-mixed with products including Razor ® , Shypho, or Roundup ® (EPA Reg. Nos. 228-366, 83529-19 or 524-445, Glyphosate IPA salt). Tank mixes with 2,4-D or products containing 2,4-D may reduce the performance of this product. Always follow the more restrictive label when tank-mixing. Spot Treatments: Weapon may be used as a follow-up treatment to control escapes or weed encroachment in a bare-ground situation. To prepare the spray solution, thoroughly mix in each gallon of water 0.5 - 5% of Weapon plus an adjuvant. For increased burndown, include Razor ® , Shypho, Roundup ® (EPA Reg. Nos. 228-366, 83529-19 or 524-445, Glyphosate IPA salt), or similar products. For added residual weed control or to increase the weed spectrum, add a product with any of the active ingredients in the table below. Always follow the more restrictive label when tank mixing. Restrictions: * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per application. * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. * DO NOT make more than 4 applications per year at reduced application rates. * DO NOT make applications less than 14 days apart. For Control of Undesirable Weeds Under Paved Surfaces Weapon can be used under asphalt, pond liners and other paved areas, only in industrial sites or where the pavement has a suitable barrier along the perimeter that prevents encroachment of roots of desirable plants. Weapon must be used only where the area to be treated has been prepared according to good construction practices. If rhizomes, stolons, tubers or other vegetative plant parts are present in the site, they must be removed by scalping with a grader blade to a depth sufficient to insure their complete removal. Paving must follow applications of Weapon as soon as possible. Injury or death of desirable plants may result if Weapon is applied where roots are present or where they may extend into the treated area. Roots of trees and shrubs may extend a considerable distance beyond the branch extremities (drip line). Applications must be made to the soil surface only when final grade is established. Apply Weapon in sufficient water (at least 100 gal. per acre) to ensure thorough and uniform wetting of the soil surface, including the shoulder areas. Add Weapon at a rate of 3 pts. per acre (1.10 fl. oz. per 1,000 sq. ft.) (1.5 lbs. a.e./A) to clean water in the spray tank during the filling operation. Agitate before spraying. If the soil is not moist prior to treatment, incorporation of Weapon is needed for herbicide activation. Weapon can be incorporated into the soil to a depth of 4" - 6" using a rototiller or disc. Rainfall or irrigation of 1" will also provide uniform incorporation. Restrictions: * DO NOT apply where the product may contact the roots of desirable trees or other plants. * Weapon must not to be used under pavement on residential properties including driveways or parking lots or for use in recreational areas including under bike or jogging paths, golf cart paths, or tennis courts, or where landscape plantings could be anticipated. * DO NOT move soil following application of this product. * DO NOT allow treated soil to wash or move into untreated areas. * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per application. * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. * DO NOT make more than one application per year. Spot Treatments and Crack-and-Crevice Treatments Use Weapon as an initial or follow up treatment to control weed escapes or weed encroachment in bare-ground situations, including cracks and crevices in paved surfaces including parking lots, runways, and roadways. Grass Pasture and Rangeland For Spot Treatment Weed Control: For the control of undesirable vegetation in grass pasture and rangeland, Weapon may be applied as a spot treatment at a rate of 1 - 24 fl. oz. (0.03 - 0.75 lb. a.e.) of Weapon per acre using any of the ground application methods as described in this label. Spot applications may not exceed more than 1/10 of the area to be grazed or cut for hay in grass pasture and rangeland. See appropriate sections of this label for specific use directions for the application method and vegetation control desired. Restrictions: * DO NOT treat more than 1/10 of the area to be cut for hay or grazed. * DO NOT apply more than 24 fl. oz. (0.75 lb. a.e.) of Weapon per acre per application. * DO NOT apply more than 24 fl. oz. (0.75 lb. a.e.) of Weapon per acre per year. * DO NOT apply more than 4 applications per year at reduced rates. * DO NOT make applications less than 14 days apart. Grazing and Haying Restrictions: * DO NOT cut forage grass for hay for 7 days after application of this product. * There are no grazing restrictions following application of this product. Rangeland Use Instructions Weapon may be applied to rangeland for the control of undesirable vegetation to achieve 1 or more of the following vegetation management objectives: * Control of undesirable (noxious, invasive, and non-native) plant species. * Control of undesirable vegetation for wildlife habitat improvement. * Control of undesirable vegetation to aid in the establishment of desirable rangeland plant species. * Release of existing desirable rangeland plant communities from the competitive pressure of undesirable plant species. * Control of undesirable vegetation to aid in the establishment of desirable vegetation following a fire. * Control of vegetation to reduce wildfire fuel. To ensure the protection of threatened and endangered plants, when applying Weapon to rangeland: * Federal agencies must follow NEPA regulations to ensure protection of threatened and endangered plants. * Other organizations or individuals must operate under a habitat conservation plan if threatened or endangered plants are known to be present on the land to be treated. * State agencies must work with the Fish and Wildlife Service or the Service's designated State conservation agency to ensure protection of threatened and endangered plants. See appropriate sections of this label for specific use directions for the desired rangeland vegetation management control desired. Weapon must only be applied to a given rangeland acre as specific weed problems arise. Long-term control of undesirable weeds ultimately depends on the successful use of the land management practices that promote the sustainability and growth of desirable rangeland plant species. Rotational Crop Guideline Rotational crops may be planted 12 months after applying Weapon at the specified pasture and rangeland rate. Twelve months after an application of Weapon, and before planting any crop, a successful field bioassay must be completed. The field bioassay consists of a test strip of the intended rotational crop planted in the previously treated area in the grass pasture and rangeland and grown to maturity. The test strip must include low areas and knolls and include variations in soil type and pH within the treated area. If no crop injury is evident in the test strip, the intended rotational crop may be planted the following year. Use of Weapon in accordance with label directions is expected to result in normal growth of rotational crops in most situations; however, various agronomic factors and environmental factors make it impossible to eliminate all risks associated with the use of this product and, therefore, rotational crop injury is always possible. TERRESTRIAL WEED CONTROL In terrestrial sites, Weapon will provide pre-emergence or post-emergence control with residual control of the following target vegetation species at the rates listed. Residual control refers to control of newly germinating seedlings in both annuals and perennials. Annual weeds may be controlled by pre-emergence or post-emergence applications of Weapon. For established biennials and perennials, post-emergence applications of Weapon are advised. The rates shown below pertain to broadcast applications and indicate the relative sensitivity of these weeds. The relative sensitivity must be referenced when preparing low volume spray solutions (refer to the Low Volume Foliar section under GROUND APPLICATIONS). Low volume applications may provide control of the target species with less product per acre than is shown for the broadcast treatments. This product must be used only in accordance with the specific use directions on this label. The relative sensitivity of the species listed below can also be used to determine the relative risk of causing non-target plant injury if any of the below listed species are considered to be desirable within the area to be treated. Resistant Biotypes: Naturally occurring biotypes (a plant within a given species that has a slightly different, but distinct genetic makeup from other plants of the same species) of some weeds listed on this label may not be effectively controlled. If naturally occurring resistant biotypes are present in an area, Weapon must be tank-mixed or applied sequentially with an appropriate registered herbicide having a different mode of action to ensure control. \| TERRESTRIAL WEEDS CONTROLLED \| \| \| \|---\|---\|---\| \| GRASS WEEDS \| \| \| \| Apply 1 - 1.5 pts. (0.5 - 0.75 lb. a.e.) per Acre1 \| \| \| \| Common Name \| Scientific Name \| Growth Habit2 \| \| Annual Bluegrass \| Poa annua \| A \| \| Broadleaf Signalgrass \| Brachiaria platyphylla \| A \| \| Canada Bluegrass \| Poa compressa \| P \| \| Downy Brome \| Bromus tectorum \| A \| \| Fescue \| Festuca spp. \| A/P \| \| Foxtail \| Setaria spp. \| A \| TERRESTRIAL WEEDS CONTROLLED (continued) GRASS WEEDS (continued) \| Apply 1 - 1.5 pts. (0.5 - 0.75 lb. a.e.) per Acre1 (continued) \| \| \| \|---\|---\|---\| \| Common Name \| Scientific Name \| Growth Habit2 \| \| Italian Ryegrass \| Lolium multiflorum \| A \| \| Johnsongrass4 \| Sorghum halepense \| P \| \| Kentucky Bluegrass \| Poa pratensis \| P \| \| Napier Grass* \| Pennisetum purpureum \| P \| \| Orchardgrass \| Dactylis glomerata \| P \| \| Paragrass \| Brachiaria mutica \| P \| \| Quackgrass \| Agropyron repens \| P \| \| Sandbur \| Cenchrus spp. \| A \| \| Smooth Brome \| Bromus inermis \| P \| \| Vaseygrass \| Paspalum urvillei \| P \| \| Wild Oats \| Avena fatua \| A \| \| Witchgrass \| Panicum capillare \| A \| \| Apply 1.5 - 2 pts. (0.75 - 1 lb. a.e.) per Acre1 \| \| \| \| Common Name \| Scientific Name \| Growth Habit2 \| \| Barnyardgrass \| Echinochloa crus-galli \| A \| \| Beardgrass \| Andropogon spp. \| P \| \| Bluegrass, Annual \| Poa annua \| A \| \| Bulrush* \| Scirpus validus \| P \| \| Cheat \| Bromus secalinus \| A \| \| Cogongrass \| Imperata cylindrica \| P \| \| Crabgrass \| Digitaria spp. \| A \| \| Crowfootgrass \| Dactyloctenium aegyptium \| A \| \| Fall Panicum \| Panicum dichotomiflorum \| A \| \| Goosegrass \| Eleusine indica \| A \| \| Itchgrass \| Rottboellia exaltata \| A \| \| Lovegrass4 \| Eragrostis spp. \| P \| \| Maidencane* \| Panicum hemitomon \| A \| \| Panicum, Browntop \| Panicum fasciculatum \| A \| \| Panicum, Texas \| Panicum texanum \| A \| \| Prairie Threeawn \| Aristida oligantha \| P \| \| Sandbur, Field \| Cenchrus incertus \| A \| \| Signalgrass \| Brachiaria platyphylla \| A \| \| Wild Barley \| Hordeum spp. \| A \| \| Woolly Cupgrass \| Eriochloa villosa \| A \| \| Apply 2 - 3 pts. (1 - 1.5 lbs. a.e.) per Acre1 \| \| \| \| Common Name \| Scientific Name \| Growth Habit2 \| \| Bahiagrass \| Paspalum notatum \| P \| \| Bermudagrass3,4 \| Cynodon dactylon \| P \| \| Big Bluestem \| Andropogon gerardii \| P \| TERRESTRIAL WEEDS CONTROLLED (continued) (continued) TERRESTRIAL WEEDS CONTROLLED (continued) BROADLEAF WEEDS (continued) TERRESTRIAL WEEDS CONTROLLED (continued) (continued) \| Apply 2 - 3 pts. (1 - 1.5 lbs. a.e.) per Acre1 (continued) \| \| \| \|---\|---\|---\| \| Common Name \| Scientific Name \| Growth Habit2 \| \| Little Mallow \| Malva parviflora \| B \| \| Milkweed \| Asclepias spp. \| P \| \| Primrose \| Oenothera kunthiana \| P \| \| Silverleaf Nightshade \| Solarium elaeagnifolium \| P \| \| Sowthistle \| Sonchus spp. \| A \| \| Texas Thistle \| Cirsium texanum \| P \| \| VINES AND BRAMBLES \| \| \| \| Apply 0.5 pt. (0.25 lb. a.e.) per Acre \| \| \| \| Common Name \| Scientific Name \| Growth Habit2 \| \| Field Bindweed \| Convolvulus arvensis \| P \| \| Hedge Bindweed \| Calystegia sepium \| A \| \| Apply 1 - 1.5 pts. (0.5 - 0.75 lb. a.e.) per Acre1 \| \| \| \| Common Name \| Scientific Name \| Growth Habit2 \| \| Wild Buckwheat \| Polygonum convolvulus \| P \| \| Apply 1.5 - 2 pts. (0.75 - 1 lb. a.e.) per Acre1 \| \| \| \| Common Name \| Scientific Name \| Growth Habit2 \| \| Greenbriar \| Smilax spp. \| P \| \| Honeysuckle4 \| Lonicera spp. \| P \| \| Morningglory \| Ipomoea spp. \| A/P \| \| Poison Ivy \| Rhus radicans \| P \| \| Redvine \| Brunnichia cirrhosa \| P \| \| Wild Rose4 Including: Multiflora Rose Macartney Rose \| Rosa spp. Rosa multiflora Rosa bracteata \| P P P \| \| Apply 2 - 3 pts. (1 - 1.5 lbs. a.e.) per Acre1 \| \| \| \| Common Name \| Scientific Name \| Growth Habit2 \| \| Trumpetcreeper \| Campsis radicans \| P \| \| Virginia Creeper \| Parthenocissus quinquefolia \| P \| \| Wild Grape \| Vitis spp. \| P \| \| BRUSH SPECIES \| \| \| \| Apply 1 - 2 pts. (0.5 - 1 lb. a.e.) per Acre1 \| \| \| \| Common Name \| Scientific Name \| Growth Habit2 \| \| Brazilian Peppertree \| Schinus terebinthifolius \| P \| \| Chinese Tallow Tree Popcorn Tree \| Sapium sebiferum \| P \| \| Russian Olive \| Elaeagnus angustifolia \| P \| \| Sumac \| Rhus spp. \| P \| \| Willow \| Salix spp. \| P \| TERRESTRIAL WEEDS CONTROLLED (continued) BRUSH SPECIES (continued) Apply 2 - 3 pts. (1 - 1.5 lbs. a.e.) per Acre 1 \| Common Name \| Scientific Name \| \|---\|---\| \| Alder \| Alnus spp. \| \| American Beech \| Fagus grandifolia \| \| Ash4 \| Fraxinus spp. \| \| Aspen \| Populus spp. \| \| Autumn Olive \| Elaeagnus umbellata \| \| Bald Cypress \| Taxodium distichum \| \| Bigleaf Maple \| Acer macrophyllum \| \| Birch4 \| Betula spp. \| \| Black Gum6 \| Nyssa sylvatica \| \| Black Oak \| Quercus kelloggii \| \| Boxelder \| Acer negundo \| \| Ceanothus \| Ceanothus spp. \| \| Cherry4,6 \| Prunus spp. \| \| Chinaberry \| Melia azedarach \| \| Chinquapin \| Castanopsis chrysophylla \| \| Cottonwood \| Populus trichocarpa P. deltoides \| \| Cypress \| Taxodium spp. \| \| Dogwood4 \| Cornus spp. \| \| Elm7 \| Ulmus spp. \| \| Eucalyptus \| Eucalyptus spp. \| \| Hawthorn \| Crataegus spp. \| \| Hickory4 \| Carya spp. \| \| Huckleberry \| Gaylussacia spp. \| \| Lyonia spp. Including: Fetterbush Staggerbush \| Lyonia lucida Lyonia mariana \| \| Madrone \| Arbutus menziesii \| \| Maple \| Acer spp. \| \| Melaleuca \| Melaleuca quinquenervia \| \| Mulberry4,8 \| Morus spp. \| \| Oak9 \| Quercus spp. \| \| Persimmon6 \| Diospyros virginiana \| \| Poison Oak \| Rhus diversiloba \| \| Poplar \| Populus spp. \| \| Privet \| Ligustrum vulgare \| \| Red Alder \| Alnus rubra \| \| Red Maple \| Acer rubrum \| TERRESTRIAL WEEDS CONTROLLED (continued) BRUSH SPECIES (continued) Apply 2 - 3 pts. (1 - 1.5 lbs. a.e.) per Acre 1 (continued) \| Common Name \| Scientific Name \| Growth Habit2 \| \|---\|---\|---\| \| Saltcedar \| Tamarix pentandra \| P \| \| Sassafras \| Sassafras albidum \| P \| \| Sourwood6 \| Oxydendrum arboreum \| P \| \| Sweetgum \| Liquidambar styraciflua \| P \| \| Sycamore \| Platanus occidentals \| P \| \| Tanoak4 \| Lithocarpus densiflorus \| P \| \| Titi10 \| Cyrilla racemiflora \| P \| \| Tree of Heaven \| Ailanthus altissima \| P \| \| Vaccinium spp. Including: Blueberry Sparkleberry \| Vaccinium spp. Vaccinium arboreum \| P P \| \| Water willow* \| Justicia americana \| P \| \| Yellow poplar4 \| Liriodendron tulipifera \| P \| Use not permitted in California unless otherwise directed by supplemental labeling. 1 Use higher labeled rate where heavy or well-established infestations occur. 2 Growth Habit: A = Annual, B = Biennial, P = Perennial 3 Use a minimum of 75 GPA. 4 Use higher labeled rate. 5 For best results, early post-emergence applications are required. 6 Best control with applications before formation of Fall leaf color. 7 Tank mix with glyphosate. 8 Degree of control may be species dependent. 9 For water oak (Quercus nigra), laurel oak (Quercus laurifolia), willow oak (Quercus phellos), and live oak (Quercus virginiana), use higher labeled rates. 10 Suppression only. AQUATIC WEED CONTROL Weapon may be applied for control of floating and emergent weeds (see the AQUATIC WEEDS CONTROLLED and TERRESTRIAL WEEDS CONTROLLED sections) in or near bodies of water which may be flowing, non-flowing, or transient. Weapon may be applied to specified aquatic sites that include lakes, rivers, streams, ponds, seeps, drainage ditches, canals, reservoirs, swamps, bogs, marshes, estuaries, bays, brackish water, transitional areas between terrestrial and aquatic sites, and seasonal wet areas. Refer to the RESTRICTIONS section under the PRODUCT INFORMATION section for restrictions and instructions on Aquatic Sites. Read and observe the following directions if aquatic sites are present in terrestrial non-crop areas and are part of the intended treatment area. Weapon must be applied to the emergent foliage of the target vegetation and has little to no activity on submerged aquatic weeds. Concentrations of Weapon resulting from direct application to water are not expected to be of sufficient concentration nor duration to control target vegetation. Application must be made in such a way as to maximize spray interception by the target vegetation while minimizing the amount of over spray that enters the water. This product does not control plants that have a majority of their foliage underwater or plants that are completely submerged. Product Application: Weapon must be applied with surface or helicopter application equipment in a minimum of 5 gals. of water per acre. When applying by helicopter, follow directions under the AERIAL APPLICATIONS section of this label, otherwise refer to section on GROUND APPLICATIONS when using surface equipment. When applying Weapon to moving bodies of water, applications must be made while traveling upstream to prevent concentration of this herbicide in water. DO NOT apply to bodies of water or portions of bodies of water where emergent and/or floating weeds do not exist. Large Application Areas/Oxygen Depletion: When application is to be made to target vegetation that covers a large percentage of the surface area of impounded water, treating the area in strips may avoid oxygen depletion due to decaying vegetation. Oxygen depletion may result in the suffocation of some sensitive aquatic organisms. DO NOT treat more than one half of the surface area of the water in a single operation and wait at least 10 - 14 days between treatments. Begin treatment along the shore and proceed outward in bands to allow aquatic organisms to move into untreated areas. Avoid wash-off of sprayed foliage by recreational boat backwash or spray boat for 1 hour after application. Apply Weapon at 1 - 3 pts. (16 - 48 fl. oz., 0.5 - 1.5 lbs. a.e.) per acre depending on species present and weed density. Use the higher labeled rates for heavy weed pressure. Refer to AQUATIC WEEDS CONTROLLED and TERRESTRIAL WEEDS CONTROLLED sections of this label for specific rates. Weapon may be applied as a draw down treatment in areas described above. Apply Weapon to weeds after water has been drained and allow 14 days before reintroduction of water. Rate instructions are expressed in terms of product volume for broadcast applications and as a percent solution for directed applications including spot treatments. For percent solution applications, DO NOT apply more than 3 pints (48 fl. oz., 1.5 lbs. a.e. Imazapyr) Weapon per acre per year . Restrictions: DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per year. * DO NOT apply more than 48 fl. oz. (1.5 lbs. a.e.) of Weapon per acre per application. * DO NOT apply more than 6 applications per year at reduced rates. * DO NOT make applications less than 14 days apart. * New York State: No application to aquatic sites. * Aerial Application - Aerial application to aquatic sites is restricted to helicopter only. * Irrigation Water - Application to water used for irrigation that results in residues greater than 1 part per billion (ppb) must not be used for irrigation purposes for 120 days after application or until residue levels of this product are determined by laboratory analysis or other appropriate means of analysis to be 1 ppb or less. When applications are made within 500 feet of an active irrigation intake, DO NOT irrigate for at least 24 hours following application to allow for dissipation. * Quiescent or Slow-Moving Waters - In lakes and reservoirs, DO NOT apply this product within 1 mile of an active irrigation water intake during the irrigation season. Applications less than 1 mile from an active irrigation water intake may be made during the off-season, provided that the irrigation intake will remain inactive for a minimum of 120 days after application or until residue levels of this product are determined by laboratory analysis or other appropriate means of analysis to be 1 ppb or less. * Restrictions for Potable Water Intakes - DO NOT apply this product directly to water within 0.5 mile upstream of an active potable water intake in flowing water (i.e., river, stream, etc.) or within 0.5 mile of an active potable water intake in a standing body of water including a lake, pond, or reservoir. To make aquatic applications around and within 0.5 mile of active potable water intakes, the water intake must be turned off during application and for a minimum of 48 hours after the application. These aquatic applications may be made only in the cases where there are alternative water sources or holding ponds that would permit the turning off of an active potable water intake for a minimum period of 48 hours after the applications. NOTE: Existing potable water intakes that are no longer in use, including those replaced by connections to wells or a municipal water system, are not considered to be active potable water intakes. This restriction does not apply to intermittent, inadvertent overspray of water in terrestrial use sites. * Permitting - Consult local State fish and game agency and water control authorities before applying this product to public water. Permits may be required to treat such water. * Public Waters - Application of this product to water can only be made by Federal or State agencies, including Water Management District personnel, municipal officials, and the U.S. Army Corps of Engineers, or those applicators who are licensed or certified as aquatic pest control applicators and are authorized by the State or local government. Treatment to other than non-native invasive species is limited to only those plants that have been determined to be a nuisance by a Federal or State government entity. * Private Waters - Applications may be made to private waters that are still, including ponds, lakes, and drainage ditches where there is minimal or no outflow to public waters. * Recreational Use of Water in Treatment Area - There are no restrictions on the use of water in the treatment area for recreational purposes, including swimming and fishing. * Livestock Use of Water in/from Treatment Area - There are no restrictions on livestock consumption of water from the treatment area. Mixing Guide Measuring Chart \| % Solution \| Product per Gallon of Mix (Fl. Oz.) \| \|---\|---\| \| 0.25 \| 0.3 \| \| 0.5 \| 0.6 \| \| 1 \| 1.3 \| \| 2 \| 2.6 \| \| 3 \| 3.8 \| \| 5 \| 6.4 \| \| 16 fluid ounces \| = \| 1 pint \| \|---\|---\|---\| \| 8 pints \| = \| 1 gallon \| \| 4 quarts \| = \| 1 gallon \| \| 2 pints \| = \| 1 quart \| AQUATIC WEEDS CONTROLLED \| Floating Weeds \| \| \| \|---\|---\|---\| \| Common Name \| Scientific Name \| Use Rates and Application Directions \| \| Floating Heart \| Nymphoides spp. \| 1 - 2 pts./A (0.5 - 1 lb. a.e./A) applied in 100 GPA water mix. Ensure 100% coverage of actively growing emergent foliage. \| \| Frogbit \| Limnobium spongia \| 0.5 - 1 pt./A (0.25 - 0.5 lb. a.e./A) applied in 100 GPA water mix. Ensure 100% coverage of actively growing emergent foliage. \| \| Spatterdock \| Nuphar luteum \| Apply a tank mix of 1 - 2 pts./A (0.5 - 1 lb. a.e./A) of Weapon plus 4 - 6 pts./A glyphosate in 100 GPA water for best control. Ensure 100% coverage of actively growing emergent foliage. \| \| Water Hyacinth \| Eichhornia crassipes \| 0.5 - 1 pt./A (0.25 - 0.5 lb. a.e./A) applied in 100 GPA water to actively growing foliage. \| \| Water Lettuce \| Pistia stratiotes \| 0.5 - 1 pt./A (0.25 - 0.5 lb. a.e./A) applied in 100 GPA water mix. Ensure 100% coverage of actively growing emergent foliage. \| \| Emerged Weeds \| \| \| \| Common Name \| Scientific Name \| Use Rates and Application Directions \| \| Alligatorweed \| Alternanthera philoxeroides \| 0.5 - 2 pts./A (0.25 - 1 lb. a.e./A) applied in 100 GPA water mix. Ensure 100% coverage of actively growing emergent foliage. \| \| Arrowhead, Duck Potato \| Sagittaria spp. \| 0.5 - 1 pt./A (0.25 - 0.5 lb. a.e./A) applied to 100 GPA water mix. Ensure 100% coverage of actively growing emergent foliage. \| \| Bacopa Lemon \| Bacopa spp. \| 0.5 - 1 pt./A (0.25 - 0.5 lb. a.e./A) applied in 100 GPA water mix. Ensure 100% coverage of actively growing emergent foliage. \| \| Parrot Feather \| Myriophyllum aquaticum \| Foliage must be above water for sufficient product uptake. Apply 1 - 2 pts./A (0.2 - 0.5% solution) (0.5 - 1 lb. a.e./A) of Weapon to actively growing emergent foliage. \| \| Pennywort \| Hydrocotyle spp. \| 0.5 - 1 pt./A (0.25 - 0.5 lb. a.e./A) applied in 100 GPA water mix. Ensure 100% coverage of actively growing emergent foliage. \| \| Pickerelweed \| Pontederia cordata \| 1 - 1.5 pts./A (0.5 - 0.75 lb. a.e./A) applied in 100 GPA water mix. Ensure 100% coverage of actively growing emergent foliage. \| \| Taro Wild Coco Yam Dasheen Elephant’s Ear \| Colocasia esculentum \| 2 - 3 pts./A (1 - 1.5 lbs. a.e./A) applied in 100 GPA with a high-quality sticker adjuvant. Ensure good coverage of actively growing emergent foliage. \| \| Water Chestnut \| Trappa natans \| 2 - 3 pts./A (1 - 1.5 lbs. a.e./A) applied in 100 GPA with a high-quality sticker adjuvant. Ensure good coverage of actively growing emergent foliage. \| \| Water Lily \| Nymphaea odorata \| 1 - 1.5 pts./A (0.5 - 0.75 lb. a.e./A) applied in 100 GPA water mix. Ensure 100% coverage of actively growing emergent foliage. \| \| Water Primrose \| Ludwigia uruguayensis \| 2 - 3 pts./A (1 - 1.5 lbs. a.e./A) (0.5 - 0.75% solution). Ensure 100% coverage of actively growing emergent foliage. \| \| Terrestrial/Marginal Weeds \| \| \| \| Common Name \| Scientific Name \| Use Rates and Application Directions \| \| Aquatic Nightshade, Soda Apple \| Solanum tampicense \| 1 pt./A (0.25% solution) (0.5 lb. a.e./A) applied to foliage. \| \| Bamboo Japanese \| Phyllostachys spp. \| 1.5 - 2 pts./A (0.375 - 0.5% solution) (0.75 - 1 lb. a.e./A) applied to foliage. \| \| Beach Vitex \| Vitex rotundifolia \| Spot Treatment: 2.5% solution plus 1% MSO foliar spray. 8.5% solution stem injection (hack and squirt). \| \| Brazilian Pepper Christmasberry \| Schinus terebinthifolius \| 1 - 2 pts./A (0.25 - 0.5% solution) (0.5 - 1 lb. a.e./A) applied to foliage. \| \| Cattail \| Typha spp. \| 1 - 2 pts./A (0.25 - 0.5% solution) (0.5 - 1 lb. a.e./A) applied to actively growing green foliage after full leaf elongation. Lower rates will control cattail in the North. Higher rates are needed in the South. \| \| Chinese Tallow Tree \| Sapium sebiferum \| 0.5 - 0.75 pt./A (0.25 - 0.38 lb. a.e/A) applied to foliage. \| AQUATIC WEEDS CONTROLLED (continued) (continued) \| Common Name \| Scientific Name \| Use Rates and Application Directions \| \|---\|---\|---\| \| Cogongrass \| Imperata cylindrical \| Burn foliage, till area, then Fall spray 1 qt./A (0.5% solution) (2 lbs. a.e./A) of Weapon plus MSO applied to new growth. \| \| Cordgrass, Prairie \| Spartina spp. \| 2 - 3 pts./A (0.5 - 0.75% solution) (1 - 1.5 lbs. a.e./A) applied to actively growing foliage. \| \| Cutgrass \| Zizaniopsis miliacea \| 2 - 3 pts./A (0.5 - 0.75% solution) (1 - 1.5 lbs. a.e./A) applied to actively growing foliage. \| \| Elephant Grass Napier Grass \| Pennisetum purpureum \| 1.5 pts./A (0.375% solution) (0.75 lb. a.e./A) applied to actively growing foliage. \| \| Flowering Rush \| Butomus umbellatus L. \| 1 - 1.5 pts./A (0.25 - 0.375% solution) (0.5 - 0.75 lb. a.e./A) applied to actively growing foliage. \| \| Giant Reed Wild Cane \| Arundo donax \| 2 - 3 pts./A (0.5 - 0.75% solution) (1 - 1.5 lbs. a.e./A) applied in Spring to actively growing foliage. \| \| Golden Bamboo \| Phyllostachys aurea \| 1.5 - 2 pts./A (0.375 - 0.5% solution) (0.75 - 1 lb. a.e./A) applied to foliage when plant is actively growing, before setting seedhead. More foliage will result in greater herbicide uptake, resulting in greater root kill. \| \| Junglerice \| Echinochloa colonum \| 1.5 - 2 pts./A (0.375 - 0.5% solution) (0.75 - 1 lb. a.e./A) applied to actively growing foliage. \| \| Knapweed \| Centaurea spp. \| Russian knapweed: 1 - 1.5 pts./A (0.25 - 0.375% solution) (0.5 - 0.75 lb. a.e./A) plus 1 qt./A (0.5% solution) MSO Fall applied after senescence begins. \| \| Knotweed, Japanese \| Polygonum cuspidatum Fallopia japonica \| 1.5 - 2 pts./A (0.375 - 0.5% solution) (0.75 - 1 lb. a.e./A) applied post-emergence to actively growing foliage. \| \| Melaleuca Paperbark Tree \| Melaleuca quinquenervia \| Established Stands: Apply 3 pts./A (0.75% solution) (1.5 lbs. a.e./A) of Weapon plus 6 pts./A (1.5% solution) glyphosate plus spray adjuvant. For best results use 4 qts./A (2% solution) MSO as an adjuvant. Broadcast Foliar Control: Apply aerially in a minimum of 2 passes at 10 gals./A applied cross treatment. Spot Treatment: Use 12.5% of Weapon plus 25% solution of glyphosate plus 1.25% MSO in water applied as a frill or stump treatment. \| \| Nutgrass Kili’p’opu \| Cyperus rotundus \| 1 pt./A (0.25% solution) (0.5 lb. a.e./A) Weapon plus 1 qt./A (0.5% solution) MSO applied early post-emergence. \| \| Nutsedge \| Cyperus spp. \| 1 - 1.5 pts./A (0.25 - 0.375% solution) (0.5 - 0.75 lb. a.e./A) post-emergence to foliage or pre-emergence incorporated, non-incorporated pre-emergence applications will not control. \| \| Phragmites Common Reed \| Phragmites australis \| 2 - 3 pts./A (0.5 - 0.75% solution) (1 - 1.5 lbs. a.e./A) applied to actively growing green foliage after full leaf elongation. Ensure 100% coverage. If stand has a substantial amount of old stem tissue, mow or burn, allow to regrow to approximately 5 ft. tall before retreatment. Lower rates will control phragmites in the North, higher rates are needed in the South. \| \| Poison Hemlock \| Conium maculatum \| 1 pt./A (0.25% solution) (0.5 lb. a.e./A) Weapon plus 1 qt./A (0.5% solution) MSO applied pre-emergence to early post-emergence to rosette before flowering. \| \| Purple Loosestrife \| Lythrum salicaria \| 0.5 pt./A (0.125% solution) (0.25 lb. a.e./A) applied to actively growing foliage. \| \| Reed Canarygrass \| Phalaris arundinacea \| 1.5 - 2 pts./A (0.375 - 0.5% solution) (0.75 - 1 lb. a.e./A) applied to actively growing foliage. \| \| Rose, Swamp \| Rosa palustris \| 1 - 1.5 pts./A (0.25 - 0.375% solution) (0.5 - 0.75 lb. a.e./A) applied to actively growing foliage. \| \| Russian Olive \| Elaeagnus angustifolia \| 1 - 2 pts./A (0.5% solution) (0.5 - 1 lb. a.e./A) applied to foliage. \| \| Saltcedar Tamarisk \| Tamarix spp. \| Aerial Application: 1 qt. (2 lbs. a.e.) Weapon plus 0.25% v/v NIS applied to actively growing foliage during flowering. Spot Treatment: Use 0.5% solution of Weapon plus 0.25% v/v NIS and spray to wet foliage. After application, wait at least 2 years before disturbing treated Saltcedar. Earlier disturbance can reduce overall control. \| \| Smartweed \| Polygonum spp. \| 1 pt./A (0.25% solution) (0.5 lb. a.e./A) applied early post-emergence. \| AQUATIC WEEDS CONTROLLED (continued) Terrestrial/Marginal Weeds (continued) \| Common Name \| Scientific Name \| \|---\|---\| \| Swamp Morningglory Kangkong Water Spinach \| Ipomoea aquatic \| \| Torpedo Grass \| Panicum repens \| \| White Top Hoary Cress \| Cardaria draba \| \| Willow \| Salix spp. \| *Use not permitted in California unless otherwise directed by supplemental labeling. STORAGE AND DISPOSAL DO NOT contaminate water, food, or feed by storage or disposal. PESTICIDE STORAGE: DO NOT store below 10°F. PESTICIDE DISPOSAL: Wastes resulting from the use of this product may be disposed of on site or at an approved waste disposal facility. Improper disposal of unused pesticide, spray mixture, or rinse water is a violation of Federal law. If these wastes cannot be used according to label instructions, contact your State Pesticide or Environmental Control Agency, or the Hazardous Waste representative at the nearest EPA Regional Office for guidance in proper disposal methods. CONTAINER HANDLING: Less Than or Equal to 5 Gallons. Nonrefillable container. DO NOT reuse or refill this container. Offer for recycling if available. Triple rinse container (or equivalent) promptly after emptying. Triple rinse as follows: Empty the remaining contents into application equipment or a mix tank and drain for 10 seconds after the flow begins to drip. Fill the container 1/4 full with water and recap. Shake for 10 seconds. Pour rinsate into application equipment or a mix tank or store rinsate for later use or disposal. Drain for 10 seconds after the flow begins to drip. Repeat this procedure two more times. Then offer for recycling if available or reconditioning if appropriate or puncture and dispose of in a sanitary landfill or by incineration. Greater Than 5 Gallons. Nonrefillable container. DO NOT reuse or refill this container. Offer for recycling, if available. Triple rinse container (or equivalent) promptly after emptying. Triple rinse as follows: Empty the remaining contents into application equipment or a mix tank. Fill the container 1/4 full with water. Replace and tighten closures. Tip container on its side and roll it back and forth, ensuring at least one complete revolution, for 30 seconds. Stand the container on its end and tip it back and forth several times. Turn the container over onto its other end and tip it back and forth several times. Empty the rinsate into application equipment or a mix tank or store rinsate for later use or disposal. Repeat this procedure two more times. Dispose of empty container in a sanitary landfill or by incineration. For Bulk and Mini-Bulk Containers. Refillable container. Refill this container with pesticide only. DO NOT use this container for any other purpose. Cleaning the container before final disposal is the responsibility of the person disposing of the container. Cleaning before refilling is the responsibility of the person refilling. To clean container before final disposal, empty the remaining contents from this container into application equipment or mix tank. Fill the container about 10% full with water. Agitate vigorously or recirculate water with the pump for 2 minutes. Pour or pump rinsate into application equipment or rinsate collection system. Repeat this rinsing procedure two more times. Then offer for recycling if available or puncture and dispose of in a sanitary landfill, or by incineration, or by other procedures allowed by State and local authorities. CONDITIONS OF SALE AND LIMITATION OF WARRANTY AND LIABILITY NOTICE: Read the entire Directions for Use and Conditions of Sale and Limitation of Warranty and Liability before buying or using this product. If the terms are not acceptable, return the product at once, unopened, and the purchase price will be refunded. The Directions for Use of this product must be followed carefully. It is impossible to eliminate all risks inherently associated with the use of this product. Ineffectiveness or other unintended consequences may result because of such factors as manner of use or application, weather, presence of other materials or other influencing factors in the use of the product, which are beyond the control of Sharda USA LLC or Seller. To the extent consistent with applicable law, all such risks shall be assumed by Buyer and User, and Buyer and User agree to hold Sharda USA LLC and Seller harmless for any claims relating to such factors. Sharda USA LLC warrants that this product conforms to the chemical description on the label and is reasonably fit for the purposes stated in the Directions for Use, subject to the inherent risks referred to above, when used in accordance with directions under normal use conditions. This warranty does not extend to the use of this product contrary to label instructions, or under conditions not reasonably foreseeable to or beyond the control of Seller or Sharda USA LLC and Buyer and User assume the risk of any such use. To the extent consistent with applicable law, SHARDA USA LLC MAKES NO WARRANTIES OF MERCHANTABILITY OR OF FITNESS FOR A PARTICULAR PURPOSE NOR ANY OTHER EXPRESS OR IMPLIED WARRANTY EXCEPT AS STATED ABOVE. To the extent consistent with applicable law, neither Sharda USA LLC nor Seller shall be liable for any incidental, consequential, or special damages resulting from the use or handling of this product. TO THE EXTENT CONSISTENT WITH APPLICABLE LAW, THE EXCLUSIVE REMEDY OF THE USER OR BUYER, AND THE EXCLUSIVE LIABILITY OF SHARDA USA LLC AND SELLER FOR ANY AND ALL CLAIMS, LOSSES, INJURIES OR DAMAGES (INCLUDING CLAIMS BASED ON BREACH OF WARRANTY, CONTRACT, NEGLIGENCE, TORT, STRICT LIABILITY OR OTHERWISE) RESULTING FROM THE USE OR HANDLING OF THIS PRODUCT, SHALL BE THE RETURN OF THE PURCHASE PRICE OF THE PRODUCT OR, AT THE ELECTION OF SHARDA USA LLC OR SELLER, THE REPLACEMENT OF THE PRODUCT. Sharda USA LLC and Seller offer this product, and Buyer and User accept it, subject to the foregoing Conditions of Sale and Limitation of Warranty and Liability, which may not be modified except by written agreement signed by a duly authorized representative of Sharda USA LLC. All trademarks are the property of their respective owners. 6/30/21 12:40 PM IMAZAPYR GROUP 2 HERBICIDE For control of undesirable vegetation growing within certain Aquatic Sites, Forestry Sites, Pasture/Rangeland, Non-Agricultural Lands, Establishment and Maintenance of wildlife openings, release of unimproved Bermudagrass and Bahiagrass, Bare-Ground Weed Control, for use under certain Paved Areas, Industrial Non-Cropland Areas including Railroad, Utility, Pipeline and Highway Rights-Of-Way, Utility Plant Sites, Petroleum Tank Farms, Pumping Installations, Fence Rows, Storage Areas, Non-Irrigation Ditch Banks, including grazed or hayed areas within these sites, roads, and transmission lines. KEEP OUT OF REACH OF CHILDREN CAUTION/PRECAUCION Si usted no entiende la etiqueta, busque a alguien para que se la explique a usted en detalle. (If you do not understand this label, find someone to explain it to you in detail.) See label booklet for complete Precautionary Statements and Directions For Use. FIRST AID - IF SWALLOWED: • Call a poison control center or doctor immediately for treatment advice. • Have person sip a glass of water if able to swallow. •DO NOT induce vomiting unless told to do so by a poison control center or doctor. • DO NOT give anything by mouth to an unconscious person. IF ON SKIN OR CLOTHING: • Take off contaminated clothing. • Rinse skin immediately with plenty of water for 15 - 20 minutes. • Call a poison control center or doctor for treatment advice. IF INHALED: • Move person to fresh air. • If person is not breathing, call 911 or an ambulance, then give artificial respiration, preferably by mouth-to-mouth, if possible. • Call a poison control center or doctor for further treatment advice. IF IN EYES: • Hold eye open and rinse slowly and gently with water for 15 - 20 minutes. • Remove contact lenses, if present, after the first 5 minutes, then continue rinsing eye. • Call a poison control center or doctor for treatment advice. PRECAUTIONARY STATEMENTS HAZARDS TO HUMANS AND DOMESTIC ANIMALS CAUTION Harmful if swallowed. Avoid contact with skin, eyes, or clothing. Avoid breathing spray mist. ENVIRONMENTAL HAZARDS This product is toxic to plants. Drift and run-off may be hazardous to plants in water adjacent to treated areas. DO NOT apply to water except as specified in this label. Treatment of aquatic weeds may result in oxygen depletion or loss to decomposition of dead plants. DO NOT treat more than one-half the surface area of the water in a single operation and wait at least 10 - 14 days between treatments. Begin treatments along the shore and proceed outward in bands to allow aquatic organisms to move into untreated areas. DO NOT contaminate water when disposing of equipment, wash waters, or rinsate. This pesticide is toxic to vascular plants and must be used strictly in accordance with the drift precautions of the label. PHYSICAL AND CHEMICAL HAZARDS Combustible: DO NOT use or store near heat or open flame. Spray solutions of this product must be mixed, stored, and applied only in stainless steel, fiberglass, plastic, and plastic-lined steel containers. DO NOT mix, store, or apply this product or spray solutions of this product in unlined steel (except stainless steel) containers or spray tanks. DIRECTIONS FOR USE It is a violation of Federal law to use this product in any manner inconsistent with its labeling. This product can only be used in accordance with the Directions for Use on this label. DO NOT apply this product in a way that will contact workers or other persons, either directly or through drift. Only protected handlers may be in the area during application. For any requirements specific to your State or Tribe, consult the agency responsible for pesticide regulations. DO NOT STORAGE AND DISPOSAL contaminate water, food, or feed by storage or disposal. PESTICIDE STORAGE: DO NOT store below 10°F. PESTICIDE DISPOSAL: Wastes resulting from the use of this product may be disposed of on site or at an approved waste disposal facility. Improper disposal of unused pesticide, spray mixture, or rinse water is a violation of Federal law. If these wastes cannot be used according to label instructions, contact your State Pesticide or Environmental Control Agency, or the Hazardous Waste repre sentative at the nearest EPA Regional Office for guidance in proper disposal methods. CONTAINER HANDLING: HOTLINE NUMBER - Have the product container or label with you when calling a poison control center or doctor or going for treatment. For emergency information concerning this product, call your poison control center at 1-800-222-1222. Less Than or Equal to 5 Gallons. Nonrefillable container. DO NOT reuse or refill this container. Offer for recycling if available. Triple rinse container (or equivalent) promptly after emptying. Triple rinse as follows: Empty the remaining contents into application equipment or a mix tank and drain for 10 seconds after the flow begins to drip. Fill the container 1/4 full with water and recap. Shake for 10 seconds. Pour rinsate into application equipment or a mix tank or store rinsate for later use or disposal. Drain for 10 seconds after the flow begins to drip. Repeat this procedure two more times. Then offer for recycling if available or reconditioning if appropriate or puncture and dispose of in a sanitary landfill or by incineration. Manufactured For: Sharda USA LLC, 7217 Lancaster Pike, Suite A, Hockessin, Delaware 19707 EPA Reg. No. 83529-139 EPA Est. No. DI 05905-IA-001; MA 83411-MN-001; GH 70815-GA-001 The EPA Establishment Number is identified by the circled letters above that match the first two letters in the batch number. Net Contents: 2.5 Gals. 83529-139-FPL-01Jul2021-Booklet
News for XLERPLATE ® steel customers ISSUE 17 spring 2010 ■■ Steel leaders' industry analysis ■■ Auburn Railway Station road bridge ■■ Quiz Welcome to edition 17 of XLERPLATE ® Steel in Touch. As always, we aim to bring you some of the most interesting and useful information in regard to steel, and the business of steel, in the country. XLERPLATE ® steel 'in action', as well as our industry perspective column. Make sure you check out a very interesting architectural application of steel in the 'Snake Wall' case study, as well as an insightful discussion on steel and engineering with two highly credible industry leaders. On the global scene, trading conditions for steel continue to be challenging. Locally, BlueScope has seen improved demand up to the end of the recent ﬁnancial year, driven more by restoration of depleted inventories than any signiﬁcant upturn in underlying demand. The challenging conditions are being exacerbated by the change to the raw material pricing regime from annually to quarterly, making the cost base of steel production more unpredictable. We discuss this topic later in this issue of Steel in Touch. continues to grow strongly and, in Australia, recent decisions by government may result in increased conﬁdence within the mining and resources sector. Hopefully, this will create opportunities for our industry. It is worth noting too, that whilst conditions are still depressed in other major economies, particularly the USA, key industry players are predicting that this situation will improve in 2011. We continue to remain close to our customers as we meet our competitive challenges together. Please let us know what you think of XLERPLATE ® Steel in Touch and if it can in any way become more useful to you. Continual improvement is a big item on our agenda. It is clear, however, that we have lifted from the depths of the GFC and there are some signs the market may show some improvement in the medium term. It is encouraging from the global point of view, for instance, that China Bernie Landy General Manager Industrial Markets BlueScope Steel To help us achieve this we capture the perspectives of industry players outside BlueScope Steel. We do this through case studies, where you can learn about firstname.lastname@example.org Iron ore pricing and its impact on the steel industry By Bernie Landy, General Manager Industrial Markets In what has been described as a "global iron ore price revolution", the manner in which iron ore is priced is undergoing a fundamental shift. This has profound implications for the steel industry and those industries – engineering, construction, automotive and more – where steel is a critical input material. Until recently, iron ore prices were set annually, so the steel industry (and complementary industries such as engineering and construction) had relative certainty about this major cost component. The stability of this approach allowed the focus to be primarily on delivery and adapting operations to meet customer needs. The world is now in the process of moving to a more frequent approach to iron ore pricing: from annually to quarterly. A move led by BHP Billiton and supported by the world's other leading iron ore producers; Vale and Rio Tinto. Price snapshot: Ten years ago the price of iron ore was USD$20 a tonne. In June 2010 it was USD$140 a tonne 1 . The iron ore producers argue that the annual approach to pricing is outdated, which from an economic perspective, is an argument not without foundation (together, the 'Big Three' provide about 80% of seaborne traded iron ore, making them an axis of immense inﬂuence on global trade). Major coal suppliers are following the iron ore trend and also moving to a quarterly pricing model. 1 Published Annual Benchmark price and Platts Of course, the miners are in favour of this new model because it enables prices to be negotiated more frequently and, in a demandhungry market, this creates more opportunities to increase price. QUARTERLY PRICING MODEL The quarterly pricing approach, adopted by Vale, will apply a three month 'lag' when setting prices. So the price set on 1 October for the 2nd quarter, for instance, should predominantly reﬂect the average 'spot' (or daily) prices for the months of June, July and August. The prices are therefore not expected to be set in a speculative manner (i.e. anticipating what the spot prices may evolve to during the October-December quarter). One question that has not been resolved is that even though the new pricing model bases the upcoming quarter's prices on what is essentially the past quarter's average spot price, it is unclear what role speculation on imminent changes in spot prices will play. The quarterly price is heavily inﬂuenced by the daily – or 'spot' – price. 7-8%. So whilst it takes a brave economist to tread these waters, it seems for a few years to come at least there will be no slowing of its growth. This means the issues currently impacting on the supply and demand of iron ore and coal, and the volatility of steel pricing, are likely to remain for the foreseeable future. At present, currently China – the world's biggest buyer of traded iron ore – purchases a signiﬁcant amount of its iron ore on a spot basis. Given the miners are moving to a quarterly price model, it may drive other major buyers to purchase more on the spot market if that is likely to deliver a more favourable overall cost outcome in terms of raw material feedstock sourcing. COMMODITY BOOM Off the back of the incredible development in China, the world is in the midst of a massive commodity boom (called a 'super cycle' by economists), underpinned by China's steelmaking capacity. This started in 2003/04. Will this 'super cycle' continue? Well, the answer is most likely yes, but the unknown is for how long. Factors which impact on iron ore pricing include: * the re-stocking of raw products to pre-empt demand (especially by Chinese mills) * a lack of high quality domestic Chinese iron ore * changes in sea freight charges * the manner in which ﬂuctuating prices may, or may not, bring high cost miners back into production * weather – this inﬂuences the efﬁcacy with which raw materials can be mined, transported and, in particular, loaded onto ships. It also inﬂuences the production of mills in northern China. The increase in demand for steel has led to more iron ore mines being developed, along with attendant supporting infrastructure (especially transport such as railways and ports). The development of these mines has not been able to keep up with the boom in demand, further fuelling increased prices for iron ore (the comparative 'scarcity' factor being a driver). In some positive news, however, it was reported relatively recently (20 May 2010), by Goldman Sachs JBWere steel industry analysts, that the 2nd quarter of the 2010 calendar year marked the peak of the current spot iron ore price cycle. The volatility of the pricing of raw materials, however, and the fact that the new raw material pricing model is undergoing a 'settling in' period, make it difﬁcult to accurately forecast the prices that will eventuate. China is showing no signs of slowing. Even during the recession its GDP was growing at around 2 (USD) cents per dry metric tonne unit STEEL PRODUCERS: RESPONDING AND RESPONSIBILITIES This 'revolution' has reminded steel producers, including BlueScope Steel, of the importance of being transparent and proactive to help customers manage their own costs and operations in the best possible manner. Raw materials, with iron ore and coal chief amongst them, account for 60% of the cost of steel. Therefore any changes to the pricing structure (and prices) of iron ore and coal will, logically, impact on the cost of production, and thus price, of steel. One of the major challenges for steel producers is how we can adapt to this change and ensure that steel prices remain competitive and responsive to prevailing market conditions. FRONT COVER The Falcon Street Pedestrian and Cyclist Bridge project, which uses XLERPLATE ® steel in its 193 metre long superstructure. Located in North Sydney, it is a 1,500mm deep, fully welded trapezoidal orthotropic steel box girder structure, curved both in plan and elevation. PHOTO: COURTESY OF AURECON XLERPLATE ® steel case study South Australia’s Snake Wall, which uses XLERPLATE ® steel in an innovative interpretation of local industrial history and indigenous culture Iconic steel with architectural bite Steel can be used in diverse situations, including when aesthetics are a priority. A recent, and most interesting and effective example demonstrating the potential aesthetic characteristics of steel, is South Australia's Snake Wall, which stretches 500 metres along Adelaide's Northern Expressway. which will become an architectural and cultural landmark. The Snake Wall winds its way along the northern end of the four lane expressway. "The Snake Wall project was unusual for distinct reasons," Dallas said. "This huge project required the XLERPLATE ® steel used to undergo signiﬁcant proﬁle cutting and have a ﬁnished curved proﬁle. This required a combination of rolling panels for large curves and bending panels on-site for the smaller curves." The Northern Expressway project is a joint initiative by the Federal and South Australian governments under the Australian Government's Nation Building Program. The $564 million project is the largest road construction project undertaken in the state since the 1960s. The 23 kilometre expressway includes numerous bridges and interchanges, as well as a shared pedestrian and cyclist path. In all, two hundred tonnes of XLERPLATE ® steel were used to construct the Snake Wall, Two hundred tonnes of WR350 XLERPLATE ® steel were used in the 500 metre Snake Wall, which will become an architectural and cultural landmark. Dallas said the team faced a number of engineering challenges. "Designing the supports for the steel without limiting the visual effect of semi-transparent steel, which we created with holes in the steelwork, and the continuity of the overall effect between panels was a real challenge," Dallas said. WR350 grade XLERPLATE ® steel was speciﬁcally selected for the Snake Wall because, as Rick Modzelewski, Manager ID Fabrication, of the company which fabricated the steel explained, "Its weathering capabilities, unlike normal mild steel, contain alloying elements. This causes it to weather to a uniform patina in its natural state, due to the formation of an impervious oxide, after which no further corrosion takes place." Dallas Keane is a Construction Manager with York Civil – an engineering, construction and project management company which partnered with civil contractor Fulton Hogan to construct the Northern Expressway. "We also had to ﬁnd a solution to creating the varying curved radii of the walls, without rolling each individual panel. The solution was to bend Snake Wall panels on-site, where possible, by the use of temporary anchors," he explained. FABRICATION AND PROFILING Gordon Smith, Manager of Adelaide Proﬁle Services (APS), which proﬁled and supplied the steel, said XLERPLATE ® steel was used because of the availability of the product from a local manufacturer, consistency and guaranteed supply on a tight lead time, the desired grade being available and the product's quality guarantee. APS supplied the following XLERPLATE ® steel Snake Wall components: * 190 wall panels (cut with proﬁle shapes replicating snake scales) * 380 bases for the steel wall * 380 ﬁns (tall uprights that are supports for the vertical steel plate) * 380 gussets (on the bottom part of the wall, used as a strengthening device welded to ﬁns and base). Gordon emphasised that, "Producing nearly 200 of anything is a lot! The wall is ﬁve metres high and the panels are 2.4 metres wide. The snake skin pattern runs the 500 metre length." Elements that APS and ID Welding & Fabrication worked on included: * plasma cutting (including the unique snake skin elements) * the bevelling and drilling of the ﬁns * welding the ﬁns and gussets to the bases * bolting the components together. Colour retention, an important consideration in a job like this where aesthetics are critical, across the welds was achieved by appropriate electrode selection. TEAMWORK AND TRIALLING In a project such as this, the importance of teamwork between engineers, proﬁler, fabricator, distributor and supplier was emphasised. "The integration between the designers, architects and construction team went very well," said Dallas. continued on page 6 Adelaide Proﬁle Services Plate processing proﬁle machine The capability of Adelaide steel processing company, Adelaide Proﬁle Services (APS), has taken a quantum leap in recent times with the acquisition of the APS K5000 plate processing machine. This monster proﬁle cutter is the largest of its kind in Australia and has enabled APS to win jobs across sectors that it services, such as mining, construction, defence, agriculture and engineering. "This gives it a lot of grunt per plasma head," said Gordon Smith, Manager of APS. "The machine's four oxy cutting heads also allows multiple cutting of items." In fact, if it wasn't for the APS K5000, the company wouldn't have had the capability to carry out the intricate work for the Snake Wall project. There are three main components to the processing machine: * Dual small-head – high deﬁnition plasma cutting * Multi-head oxy cutting * 24 tool turret – drilling and machining. The 24 tool turret gives APS immense ﬂexibility and breadth in what it can do with the steel it processes, including: drilling, countersinking, machining and tapping. The machine can also be used for aluminium and stainless steel plate processing. XLERPLATE ® steel was used for the immense bed on which product is proﬁled. "The bed is 30 by seven metres," said Gordon. "We chose XLERPLATE ® steel partly because of the strong relationship we have with BlueScope, but also because of the ability to order specially sized XLERPLATE ® steel. There is a lot of repetition in what we do and so the reliability of the steel in the bed is critical." The processing machine provides a cleaner cut than many other comparable machines, with its dual-head powered by 400 amps per head. The provision of drilling and full contour bevelling, and the quality of this work, helps APS provide a very strong point of difference over its competitors. The APS plate processing machine was used to give XLERPLATE ® steel unique, snakeskin-like characteristics XLERPLATE ® steel case study continued from page 5 "This led to a clear understanding of each party's goals and limitations, while creating the best outcome practicable. This was seen in the ongoing project workshops to develop the concept and the readiness of each party to understand each other's requirements," said Dallas. "The involvement of the fabrication team, including the proﬁle cutting contractor, allowed a direct input into what was a very satisfying outcome. We all worked together to ensure the program was maintained and the outcome was the 'best for project'." York Civil instigated a mock setup trial for the XLERPLATE ® steel prior to the project going ahead. This enabled the team to accurately assess what was reasonable to bend, using the natural ﬂexibility in the steel, and what required cold rolling," Dallas continued. INNOVATION WITH STEEL The innovative approach of the project was not limited to the use of the weathering XLERPLATE ® steel or its aesthetically pleasing application. Two further innovative dimensions had sustainability aspects inherent to them. Firstly, the thickness of the steel was minimised by the introduction of the support ﬁns. This meant less steel needed to be used, which also reduced the cost of the steel whilst maintaining the overall integrity of the wall. And secondly, using weathering steel means ongoing maintenance and protective treatments (including paint) are not required. Early development of the ﬁnal solution and workshopping options enabled work to be completed without excessive program pressure. The early ordering of the materials prior to ﬁnal artistic shop drawings being approved helped in material supply not becoming a critical issue. The thickness of the steel was minimised by the introduction of the support ﬁns. This meant less steel needed to be used, which also reduced the cost of the steel whilst maintaining the overall integrity of the wall. This was a project, however, that had innovation inherent at its very core due to the manner in which it integrated important cultural and social elements from the local community. Various characteristics of the project prompted the large scale sculptural response of the Snake Wall, which celebrates the entry/exit point to the northern Adelaide plains. During consultation with the local Kaurna Aboriginal community, discussions focused around land at the northern end of the Northern Expressway being known as 'snake country'; whilst to the south it was known as 'dog country'. Artist Robert Owen developed the Snake Wall installation to acknowledge Aboriginal stories of place, as well as the local fauna of the region. Steel was selected as the construction material to reference the industrial history of nearby Gawler's former steel ship building industry and machinery manufacturing. The patterning of the cut steel panels was developed from scans of the skin of a Redbellied Black Snake. It represents a lace-like tracing in an ephemeral landscape. The design and material also references masculine (steel) and feminine (lace), nature/culture, native fauna species and Aboriginal history. A native grassland will be planted in front of the Snake Wall to make it appear as if the snake is slithering its way across the landscape. At night, the wall will be ﬂood lit from behind with red LED lights, creating a striking effect. Rail, road, steel: meeting speciﬁcations in 'cold climate' Sydney Auburn Railway Station road bridge The steel of choice for the Auburn Railway Station's road bridge, an important element in Sydney's rail network upgrade, was XLERPLATE ® steel grade 350 L15. "This type of plate is frequently used in bridge construction because it provides a very consistent material and a good range of mill ordering sizes to help keep fabrication costs down," said Adua Engineering Contracts Manager, Craig Hogarth. all heat and unit ID numbers for each section of the steel and the location of the XLERPLATE ® for each girder." "The grade of material is extremely important, as is its traceability," continued Craig. "Quality control is a signiﬁcant issue for our clients and component traceability enables them to track Adua Engineering has built a strong reputation as a specialist fabricator over the 39 years it has been in operation, particularly for bridge works, for which they are an approved NSW Roads and Trafﬁc Authority (RTA) 'Steel Complex' supplier. This means Adua is 'licensed' to provide services for engineering structures at the more complex and challenging end of the scale. Adua was commissioned for the Auburn bridge job by Novo Rail, an alliance formed between RailCorp and three private sector companies – Aurecon, Laing O'Rourke and O'Donnell Grifﬁn – to deliver a substantial portfolio of infrastructure across Sydney's rail network. The range of work being delivered by Novo Rail includes the upgrade of rail signalling and power systems to accommodate the introduction of the network's new Waratah trains. Craig, originally a boilermaker by trade, has been working in the engineering, construction and steel-related industries for 30 plus years, so he's seen his fair share of steel jobs! XLERPLATE ® steel case study XLERPLATE ® steel... "is frequently used in bridge construction because it provides a very consistent material and a good range of mill ordering sizes to help keep fabrication costs down." "Approximately 230 tonnes of XLERPLATE ® steel was used in this bridge, fabricated totally from 350 L15 with the exception of the internal crossbracing angles," pointed out Craig. The XLERPLATE ® steel was supplied by OneSteel Steel & Tube and proﬁled to size at OneSteel Wetherill Park using a DXF cutting computer ﬁle, supplied by Adua for the drafting process. The steel was then assembled into webs-top and bottom ﬂanges, then fabricated into eight box girders. CUSTOMISING TO COMPLY WITH MULTIPLE CONSTRAINTS "The body plates were all specially ordered to extra long size and different widths to suit the special shape of the eight 34 metre long box girder section. These girders had very speciﬁc height constraints and had to comply with the existing rail, as well as road and height parameters. "It is unusual that both rail and road constraints need to be met simultaneously in a speciﬁc job, which placed an added onus on BlueScope Steel to supply the most appropriate steel. These constraints were speciﬁed by the Novo Rail alliance and resulted in very tailored girders being supplied. "Another reason for choosing XLERPLATE ® steel was that, apart from being able to meet both rail and road constraints, it also needed to have the strength to handle the required loads. We have built many bridges using XLERPLATE ® steel and it is suited to our bridge fabrication process," said Craig. All steel cambers and shapes were cut to size before entering the Adua workshop. The fabrication work from Adua was primarily weld preparation, joining into full lengths sub-assembly welding, assembling into specially shaped box girders, weld testing and ﬁnal stud ﬁxing. The XLERPLATE ® steel was then delivered to R.E.D. Abrasive Blasting and Protective Coatings for internal and external painting. "The mill ﬁnish of the XLERPLATE ® steel is excellent with little to no damage to the plate ﬁnish," said Craig. "This has resulted in the desired ﬁnish to the ﬁnal painted product, which is also another plus for using XLERPLATE ® steel from BlueScope." CONGRATULATIONS! Adua Engineering fabricated the steel for the Falcon Street Pedestrian and Cyclist Bridge project, which recently won the XLERPLATE ® steel-sponsored Infrastructure & Mining Award at the NSW & ACT Australian Steel Institute, Steel Design Awards. Other signiﬁcant project contributors were Aurecon, Roads and Trafﬁc Authority of NSW and Reed Constructions Australia. AUSTRALIAN-MADE: SPEED, FLEXIBILITY AND COST-SAVING "The RTA would rather we use Australian-made steel. And XLERPLATE ® steel is well suited to our needs as it offers a wide range of sizes, enabling us to be more efﬁcient in what we do. "The very quick turnaround and ﬂexibility of BlueScope also helps," continued Craig. "Using a local supplier means quick communication, which speeds the job up, whilst an overseas supplier would also have had constraints on the size of steel it could have supplied." Reasons for using XLERPLATE ® steel included..."it also had the strength to handle the required loads... having a local supplier means the communication helps speed the job up... [and it] performs well in low temperatures." Craig also made the commercially important point that, "Ordering longer than normal plates helped the project as it resulted in less joining, which reduced the need for extra butt welds. This saved time and money." Interestingly, XLERPLATE ® steel was also chosen as it complied with the engineers' requirements for a steel that performs well in low temperatures, which is what Sydney is classiﬁed as (though the jury is out on whether the residents of landlocked Auburn would agree with this at the height of summer...). Engineering, specifying and steel: industry insights State of the industry perspective Andrew Whiting (Aurecon) and Don McDonald (ASI) interviews Steel in Touch continues to bring you interviews with key industry players. This article features two more perspectives on the Australian steel and fabrication industries. of the Australian Steel Institute. Between them, Andrew and Don have 50 odd years of experience in the engineering and steel industries. LIGHT ON THE HILL FOR THE AUSTRALIAN STEEL INDUSTRY As the global economy slowly emerges from the ﬁnancial havoc of the GFC, the Australian steel industry is moving into more stable territory. Comparatively speaking, that is. Opportunities and challenges exist for both the steel industry and complementary industries such as engineering, if not in equal measure, then certainly in a fascinating, interrelated and complex balance. Andrew is a structural engineer for Aurecon, a global engineering, management and specialist technical services provider. Andrew said two of his organisation's key differentiators for the steel industry are the asset management services it provides to power stations and other industries and specialist durability and corrosion control. His roles include project delivery and business development for ports and materials handling facilities. The local steel industry has done it tough through the GFC, but Don is of the view the industry now has enough opportunities for it to face the future conﬁdently. "The industry's greatest opportunity is the bulging pipeline of work within the mining and resources sector," said Don. "The local steel industry is ideally located to many of these projects, which should help us maximise the opportunity based on the steel construction industry's proud track record in successful delivery of projects. In an attempt to identify some of the most signiﬁcant and inﬂuential issues facing the steel industry today, Steel in Touch spoke with industry leaders Andrew Whiting, Industrial Structures Service Leader with Aurecon and Don McDonald, Chief Executive Don, obviously, has a mandate to play a key role in leading the steel industry and helping position its products and services as world's best. This is especially in the context of local steel providing the best possible option for projects in Australia (and, in some cases, overseas). "We are also well placed to take advantage of the renewable energy sectors (wind and solar power), as they grow in Australia. There are many advantages in working with the local steel industry. They include: Supply surety – no shipping schedules to meet; product right the ﬁrst time Cost containment – facilitated by proactive communication based on strong, local relationships with steel suppliers; AUD stability Input quality – world-class quality steel; engineering backup; local supply Safety secured – workplace safety highest priority; low rates of injury Track record – decades of experience; stable supply chain; less risk." "The industry's greatest opportunity is the bulging pipeline of work within the mining and resources sector... we are also well placed to take advantage of the renewable energy sectors as they grow..." Another dimension is that when buying Australian made steel, purchasers know that those employees who produced the steel were paid a fair salary. This is an important characteristic of corporate social responsibility and a strong point of difference over sources of imported steel that may not take the same approach. Andrew's perspective in regard to opportunities for the local steel industry is complementary to Don's. "The greatest opportunity for the Australian steel industry is its proximity to major projects requiring large amounts of structural steel," he said. "Australia has an abundance of resources which will continue to drive investment in the future." HAZARDS TO NAVIGATE FOR THE STEEL INDUSTRY There are plenty of challenges for the Australian steel industry, with Andrew and Don each having an interesting diversity of perspectives on some of the core issues. "One of the greatest challenges facing the Australian steel industry is competing with low cost fabricated steel imported from South East Asia and China," Andrew said. "I believe the arguments by some regarding the lack of capacity and ability to fabricate large modules in Australia is a secondary issue – cost is generally the primary consideration. "Traditionally, Australian fabricators have argued that we have superior quality control in this country but that seems to be less of a differentiator these days. Whilst there continues to be the odd horror story about overseas quality, there are now many very large fabricators overseas with quality that appears to be on par with, if not better than, many of our own facilities. There needs to be a very tight inspection regime in place no matter where steelwork is fabricated." Don agrees that the steel industry needs to continue to be globally cost-competitive in an extremely cut-throat industry. He also identiﬁed labour as a key issue, "The availability of skilled labour in the steel and heavy engineering sector was an issue at the height of the boom, though it was addressed then with imported labour. SPECIFIERS AND ENGINEERS: WARNING SIGNS The issue of reliability, quality and suitability of local steel and fabrication, as opposed to imported product and services, prompted responses that touched on differing dimensions from Andrew and Don. "One of the biggest challenges for the engineering community is to ensure that the quality and integrity of steel and steel fabrication they have designed is actually delivered to site," pointed out Don. "Australian designers are used to a stable and secure source of supply from the Australian steel industry. The growth of imports in steel fabrication has brought with it some questionable quality from the imported steels, welding, surface protection and fabrication in general." Andrew, on the other hand, said that, "Designing to Australian Standards for projects using Australian steel and fabrication is relatively straightforward. This is because Australian design Standards are based on Australian steel. "Increasingly, however, major projects are being fabricated overseas using foreign steel. The incompatibility of design, material and fabrication standards can be a major headache for all concerned." "We must invest in upskilling workers and apprenticeships for the future. We need to ensure that we have the skilled personnel going forward to accommodate the opportunities that lie ahead." AUSTRALIAN MADE STEEL: TRIED, TESTED AND CONSISTENT QUALITY Andrew and Don were of similar mind in regard to the major reason for specifying Australian steel. Andrew pointed out that, "The fact that the Australian steel design Standard AS4100 is based on testing of Australian steel is the primary reason that I specify the use of Australian steel rather than imported steel. "For example, material properties for a particular steel strength grade are known (e.g. yield and ultimate tensile capacity) and design capacity charts are readily available. I can also be conﬁdent during fabrication that the steel material is compatible with welding electrodes and other technical necessities are predictable and reliable." Don added that, "Australian steel provides a tried and tested steel supply chain that has consistently delivered on quality and schedule to minimise risk for clients," whilst he also stated that, "Australian steel fabricators have invested in technology and machinery during the GFC and are now more productive than ever." The views and options expressed by the invited contributors to the 'state of the industry perspective' interview, are not necessarily those held by BlueScope Steel. Steel earns greater recognition for sustainable construction By Kerri Thurlow, Strategy & Sustainability Manager, BlueScope Steel In a major win for builders, developers, engineers, speciﬁers and designers, many grades of XLERPLATE ® steel and XLERPLATE LITE ® steel can now make a meaningful contribution to developments classiﬁed as 'sustainable'. This will create opportunities for the brands and encourage their use in building solutions, and tenders, with Green Star™ requirements. This is a signiﬁcant boon for the steel industry and the environment, as it recognises steel is part of the solution to the challenge of sustainability. practice environmental management practices by becoming a member of the Australian Steel Institute (ASI) Environmental Sustainability Charter. The aim of membership is to drive good business and environmental outcomes throughout the whole steel supply chain. This is an ongoing process for each member, with constant sustainability improvement being inherent in the membership. The new Green Star™ steel credit, part of the Green Building Council of Australia's (GBCA) Green Star™ recently revised rating system, aims to encourage environmentally responsible production, design and fabrication methods that result in efﬁcient use of steel. For steel to qualify for steel credits, it needs to be manufactured by a member of the World Steel Climate Action Program that also has ISO14001 certiﬁcation; boxes for which BlueScope Steel has the 'tick'. "The new steel credit will increase the focus on building design using best practices in materials and builders. Engineers and developers can now have conﬁdence in using BlueScope Steel products in the latest Green Star™ buildings." Full details of the revised steel credit can be viewed on the GBCA website – www.gbca.org.au – whilst the ASI or your XLERPLATE ® steel sales representative can also provide further information. EARNING GREEN STAR™ STEEL CREDIT POINTS Green Star™ credit points can now be generated in the following ways: Even though the ASI Environmental Sustainability Charter has only just been initiated, it has already had a strong take up by fabricators. This reﬂects the commercial beneﬁts of adopting charter requirements, as well as the positive environmental contribution that is made by adopting environmental management practices with tangible sustainability beneﬁts. "This is a positive result for the environment, ensuring only internationally recognised, environmentally committed steel makers and fabricators will qualify for the Green Star™ credits," said Paul O'Keefe, Chief Executive, Australian Coated and Industrial Markets, BlueScope Steel. * Using high strength XLERPLATE ® steel or XLERPLATE LITE ® steel in grade 350MPa and above and/ or cold formed sections in grade 450MPa steel or above One important dimension of the change is that it encourages fabricators to adopt best * Using steel supplied by a fabricator or steel contractor accredited to the Environmental Sustainability Charter of the ASI. Changes to Australian Pressure Vessel Standard AS 1548 The revision to the Australian Pressure Vessel Standard (AS 1548) has resulted, most signiﬁcantly, to changes of the grade designations used within the Standard. Consequently, new grades will be introduced, eventually replacing existing pressure vessel grades. The reasons for the change are: * Improved alignment between Australian and ISO/EN Standards * Provides information of effect of excessive stress relieving * Improved guidance regarding speciﬁcation of steel in design * Provides deﬁnition of ﬁne-grained steels BlueScope Steel will continue to offer pressure vessel grades in accordance with both the 1995 and 2008 versions of the Standard for some time. Initially, the new grade designations will be introduced as part of the custom range. Later in 2010 these will be introduced into the standard range of pressure vessel steel grades. * Enables increased conﬁdence in toughness of all grades supplied in accordance with the Standard. To get more information on the changes, and/ or to receive a brochure which outlines the changes in detail: * Refer to the Technical Support section at www.xlerplate.com.au * Call BlueScope Steel Direct on 1800 800 789 or get in touch with your account manager. BlueScope Steel, in conjunction with the Australian Steel Institute, will hold information sessions in each state in November. The sessions will cover technical and Standards information on pressure vessel steels. More information will be available on www.xlerplate.com.au next month. New appointments to the team at BlueScope Steel, Industrial Markets Matt Hennessy, formally Regional Manager ACT/NSW is now National Sales Manager Distribution. Matt succeeds Mark Scott who will continue to work on execution of major market growth initiatives for BlueScope Steel. Ken Liddle, formally Market Manager Automotive, has been appointed to the position of Regional Sales Manager, ACT/NSW. New account manager appointments across Australia include: Bree Traynor in NSW; Denzil Whitﬁeld in VIC/TAS; and Greg Dupont and Sara Ferguson in WA. Tony Crnojlovic, formally Sales Manager Automotive, is now Regional Sales Manager VIC/TAS. In the hotseat with Tony Nickson Job title: Manager – Steel Division Employer: Brice Metals – First for Steel. No. of years with the company: Almost ﬁve years. My role and responsibilities involve: Leading a committed team providing service, quality, range and value that is the best in the industry. We treat each customer as an individual and strive to exceed their expectations. The most important thing I've learned in business is: To be open, honest, and upfront. Deliver on your promise! My greatest working challenge: Growing a successful steel business. The secret to success is: Helping others to achieve success. I like steel because: After 25 years in the industry I still ﬁnd it interesting and every day is still different. I start my working day by: Making sure my kids are awake. My favourite pastime: Attending V8 supercar events, particularly Adelaide and Bathurst. BMW M5. My favourite car: Last time I laughed out loud was: This morning, most days. My favourite movie of all time: Flashdance; something about attractive boilermakers and steel maybe... My favourite food is: Seafood, especially Japanese. If I had $1m to blow it would be on: Me and the children. If you could have one person over for dinner, who would it be: My best friend. Favourite holiday destination ever: Seine River – France self-drive riverboat cruise, as part of the "If I had $1m to blow". Oz rock on... Quiz 1. "I will come for you at night time, I will raise you from your sleep..." What song do these lyrics come from and what is the band? 2. What INXS album did the song 'What You Need' come from? 3. Who are the two Australian rockers well known for wearing school uniforms on stage? XLERPLATE ® steel national sales team HEAD OFFICE Matt Hennessy – National Sales Manager email@example.com (02) 4275 3181 / 0410 312 113 Scott Sheedy – Account Manager firstname.lastname@example.org (03) 9586 2273 / 0418 386 964 Todd Bryers – Business Manager email@example.com (02) 4275 4138 / 0439 451 198 Troy Gent – Market Manager firstname.lastname@example.org (02) 4275 4107 / 0418 297 874 James Cummins – Market Manager email@example.com (02) 4275 3896/ 0421 850 257 John Dryden – National Technical Manager Uncoated firstname.lastname@example.org (02) 4275 4667 / 0409 321 898 Matt Quince – Technical Service Coordinator email@example.com (02) 4275 4668 / 0421 488 068 Graham Unicomb – Product Manager firstname.lastname@example.org (02) 4275 3861 / 0448 834 330 NEW SOUTH WALES AND AUSTRALIAN CAPITAL TERRITORY Ken Liddle – Regional Sales Manager email@example.com (02) 4275 4999 / 0417 598 301 Bree Traynor – Account Manager firstname.lastname@example.org (02) 4275 7111 / 0400 316 209 Lube Dimovski – Account Manager email@example.com (02) 4275 7103 / 0418 297 874 Tony Apps – Account Manager firstname.lastname@example.org (02) 4275 7103 / 0427 223 027 Gareth Hirst – Technical Account Manager email@example.com (02) 4275 7117 / 0418 963 459 Zoran Sterjovski – Customer Service Ofﬁcer firstname.lastname@example.org 1300 135 004 VICTORIA AND TASMANIA Tony Crnojlovic – Regional Sales Manager email@example.com (03) 9586 2212 / 0408 342 560 Simon Fieldsend – Account Manager firstname.lastname@example.org (03) 9586 2324 / 0418 325 836 Maria Gounis – Account Manager email@example.com (03) 9586 2298 / 0418 386 972 5. What well known Australian country singer spent her early years living on the Nullarbor, with her father, earning money hunting foxes? 6. What Victorian country town has been hosting an international jazz festival since 1990? 7. Which MP in federal parliament formerly had a (more or less) full time gig as a rock'n'roller? 4. What Melbourne band changed their name to 'The Birthday Party'? 8. What much-loved Australian rock group, whose ﬁrst album was 'Parables for Wooden Ears', broke up this year? Peter Panteli – Customer Service Ofﬁcer firstname.lastname@example.org 1300 135 004 QUEENSLAND Tony Fotea – Regional Sales Manager email@example.com (07) 3845 9351 / 0407 751 653 Jamie Cooper – Account Manager firstname.lastname@example.org (07) 3845 9394 / 0407 377 355 Rob Bauer – Account Manager email@example.com (07) 3845 9382 / 0407 544 833 Martin Frylink – Account Manager firstname.lastname@example.org (07) 3845 9350 / 0427 160 895 Keven May – Customer Service Ofﬁcer email@example.com 1300 135 004 SOUTH AUSTRALIA AND NORTHERN TERRITORY Mike Hesketh – Regional Sales Manager firstname.lastname@example.org (08) 8243 7352 / 0419 588 131 Monica Maloney – Account Manager email@example.com (08) 8243 7357 / 0488 130 493 Wayne Luke – Technical Account Manager firstname.lastname@example.org (08) 8243 7362 / 0439 894 338 Nathan Squires – Customer Service Ofﬁcer email@example.com 1300 135 004 WESTERN AUSTRALIA Elly Pilkadaris – Regional Sales Manager firstname.lastname@example.org (08) 9365 6665 / 0419 931 605 Greg Dupont – Account Manager email@example.com (08) 9365 6650 / 0400 204 893 Sara Ferguson – Account Manager firstname.lastname@example.org (08) 9365 6658 / 0457 518 631 Anthony Buffolin – Customer Service Ofﬁcer email@example.com 1300 135 004 For technical enquiries call 1800 800 789 9. What is the name of the ex-Go Betweens singer who is now an award-winning music critic for The Monthly magazine? 10. "Started out just drinking beer...I didn't know how, why or what I was doing here," are the ﬁrst lines to what classic 80s song? The XLERPLATE ® Steel in Touch newsletter has been prepared for information purposes only. BlueScope Steel makes no representation or warranty as to the completeness or accuracy of the information contained in the newsletter and you rely on it wholly at your own risk. XLERPLATE ® , XLERPLATE LITE ® and BlueScope are registered trade marks of BlueScope Steel Limited. ABN 16 000 011 058. © 2010 BlueScope Steel.
AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Draft revision of the approved consolidated afforestation and reforestation baseline and monitoring methodology AR-ACM0001 "Afforestation and reforestation of degraded land" (Version 03) I. SOURCE, DEFINITIONS AND APPLICABILITY 1. Sources This methodology is based on elements from the following methodologies: * AR-AM0003 "Afforestation and reforestation of degraded land through tree planting, assisted natural regeneration and control of animal grazing". The , whose baseline study, monitoring and verification plan and project design document were prepared by the General Directorate for Forests and Pastures and the International Bank for Reconstruction and Development as Trustee of the BioCarbon Fund; * AR-NM0032-rev "Restoration of degraded soils under grassland through afforestation and reforestation". The , whose baseline study, monitoring and verification plan and project design document were prepared by Factor CO2 Integral Services. For more information regarding the source methodologies and their consideration by the Executive Board please refer to <http://cdm.unfccc.int/goto/ARappmeth>. This methodology also refers to the latest approved versions of the following tools: * Procedures to demonstrate the eligibility of lands for afforestation and reforestation CDM pProject aActivities; * Combined tool to identify the baseline scenario and demonstrate the additionality in A/R CDM project activities; * Estimation of GHG emissions related to fossil fuel combustion in A/R project activities; * Tool for the identification of degraded or degrading lands for consideration in implementing A/TR CDM A/R project activities; * Tool for Eestimation of emissions from clearing, burning and decay of existing vegetation due to implementation of an A/R CDM project activity; * Tool for eEstimation of GHG emissions related to displacement of grazing activities in an A/R CDM project activity; * Procedure to determine when accounting of the soil organic carbon pool may be conservatively neglected in A/R CDM project activities; * Calculation of the number of sample plots for measurements within A/R CDM project activities; * Tool for testing significance of GHG emissions in A/R CDM project activities. All the above-mentioned tools are available at: <http://cdm.unfccc.int/Reference/toolsGuidclarif/>. AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 2. Selected Baseline Approach from Paragraph 22 of the CDM A/R Modalities and Procedures "Existing or historical, as applicable, changes in carbon stocks in the carbon pools within the project boundary" 3. Definitions This methodology does not use any methodology specific definitions. 4. Applicability This methodology is applicable to afforestation and reforestation CDM project activities that are implemented on degraded lands. The conditions under which the methodology is applicable are: * The A/R CDM project activity is implemented on degraded lands, which are expected to remain degraded or to continue to degrade in the absence of the project, and hence the land cannot be expected to revert to a non-degraded state without human intervention; * Encroachment of natural tree vegetation that leads to the establishment of forests according to the Host host country definition of forest for CDM purposes is not expected to occur; * Flooding irrigation is not applied in part of the project activity; * If at least a part of the project activities activity are is implemented on organic soils, drainage of these soils is not allowed and not more than 10% of their project area may be disturbed as result of soil preparation for planting; * The establishment of project shall not decrease availability of fuelwood; * Nitrogen-fixing trees used in the A/R CDM project activity account for less than 10% of the total forest crown area, so greenhouse gas emissions from denitrification can therefore be neglected. The latest version of the "Tool for the identification of degraded or degrading lands for consideration in implementing A/R CDM project activities" shall be applied for demonstrating Evidence that lands are degraded or degrading. may comprise credible information on at least one of the following: * National or international land classification data or peer-reviewed studies that categorise lands in the project boundary as degraded or degrading, or that categorise as degraded or degrading similar lands in the country in which the project is located (similar biophysical, climatic, and land-use conditions); or * Soil erosion is present and no actions aimed at decreasing it have been imposed in the recent past; or * Recent anthropogenic activities present in the project area are a known cause of on-going loss of soil and / or vegetation cover on similar lands elsewhere; or * Topsoil has been at least partly lost due to past anthropogenic influences or natural impacts—e.g. droughts, rains, floods or changes in the soil water table—and no actions are being taken to restore the topsoil; or UNFCCC/CCNUCC AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 * Loss of vegetation cover is ongoing due to past anthropogenic influences other than sustainable harvesting activities or natural impacts—e.g. droughts, rains, floods or changes in the soil water table—and no actions are being taken to restore the topsoil; or * Other evidence that transparently demonstrates that project lands are in a degraded or degrading state. * Peer-reviewed publications or official reports or other sources of credible qualitative or quantitative evidence; or * Satellite images or maps or photographs or other datasets that allow degradation processes to be identified. II. BASELINE METHODOLOGY PROCEDURE 1. Project boundary and eligibility of land The "project boundary" geographically delineates the afforestation or reforestation project activity under the control of the project participants (PPs). The A/R CDM project activity may contain more than one discrete area of land. Each discrete area of land shall have a unique geographical identification. At the time the PDD is validated, the following shall be defined: * Each discrete area of land shall have a unique geographical identification; * The project participants shall describe legal title to the land, rights of access to the sequestered carbon, current land tenure, and land use for each discrete area of land; * The project participants shall justify, that during the crediting period, each discrete area of land is expected to be subject to an afforestation or reforestation project activity under the control of the project participants. It shall be demonstrated that each discrete area of land to be included in the boundary is eligible for an A/R CDM project activity. Project participants PPs shall apply the latest version of the tool "Procedures to demonstrate the eligibility of lands for afforestation and reforestation CDM project activities" as approved by the Executive Board. The latest version of "Guidance on the application of the definition of project boundary to A/R CDM project activities" (available at: <http://cdm.unfccc.int/Reference/Guidclarif>) may be applied in identification of areas of land planned for an A/R CDM project activity. The carbon pools included in or excluded from the project boundary are shown in Table 1. Table 1: Selected carbon pools \| Carbon pools \| \| Selected \| \|---\|---\|---\| \| \| \| (Yes or No) \| \| Above-ground biomass \| Yes \| \| UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| Carbon pools \| \| Selected \| \|---\|---\|---\| \| \| \| (Yes or No) \| \| Dead wood \| Yes (alternatively No) \| \| \| Litter \| Yes (alternatively No) \| \| \| Soil organic carbon (SOC) \| Yes (alternatively No) \| \| The emissions sources included in or excluded from the project boundary are shown in Table 2. Any one of these sources can be neglected, i.e., accounted as zero, if the application of the most recent version of the "Tool for testing significance of GHG emissions in A/R CDM project activities" leads to the conclusion that the emission source is insignificant. Table 2: Emissions sources included in the project boundary \| Sources \| Gas \| Included/ \| Justification/Explanation of choice \| \|---\|---\|---\|---\| \| \| \| excluded \| \| UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| Sources \| Gas \| \| Included/ \| \|---\|---\|---\|---\| \| \| \| \| excluded \| \| Combustion of fossil fuels \| CO 2 \| Included \| \| \| \| CH 4 \| Excluded \| \| \| \| N O 2 \| Excluded \| \| \| Burning of woody biomass (i.e., excluding herbaceous biomass) \| CO 2 \| Excluded \| \| \| \| CH 4 \| Included \| \| \| \| N O 2 \| Excluded \| \| 2. Identification of the baseline scenario and demonstration of additionality PPs Project participants shall use the most recent version of the "Combined tool to identify the baseline scenario and demonstrate the additionality in A/R CDM project activities". 3. Stratification If the project activity area is not homogeneous, stratification should be carried out to improve the accuracy and precision of biomass estimates. Different stratifications may be required for the baseline and project scenarios in order to achieve optimal accuracy of the estimates of net GHG removal by sinks. For estimation of baseline net GHG removals by sinks, or estimation of actual net GHG removals by sinks, strata should be defined on the basis of parameters that are key entry variables in any method (e.g., growth models, or yield curves/tables) used to estimate changes in biomass stocks by: (i)Using procedures to stratify lands for A/R project activities under the clean development mechanism when approved by the Executive Board; or (ii)On the basis of parameters that are key variables in any method (e.g., growth models, or yield curves/tables) used to estimate changes in biomass stocks: * For baseline net GHG removals by sinks. Iit will usually be sufficient to stratify according to area of major vegetation as types because baseline removals for degraded (or degrading) land are expected to be small in comparison to project removals, it will usually be sufficient to stratify according to area of major vegetation types; * For actual net GHG removals by sinks. Tthe ex ante estimations shall be based on project area should be stratified ex ante according to the project planting/management plan—that is, by forest species, age class, and possibly management regime. The ex post stratification shall be based on the actual implementation of the project planting/management plan. The ex post stratification may be affected by natural or anthropogenic impacts if they are able to add variability to growth pattern in the project area, e.g., local firesThese strata may change during the crediting period (see Section III.2). Further subdivision of the project strata to represent spatial variation in the distribution of baseline or project biomass stocks/removals is not usually warranted, unless methods used explicitly include variables for which spatial data also exist (for example, stratification by rainfall or pruning regime AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 is not warranted when estimating biomass stocks or removals unless the estimation methods are formulated with rainfall or pruning regime as explicit variables). However, other parameters factors impacting growth (e.g., soil type, climate) may might be useful for ex post stratification if their variability in the project area is large. Note: In the equations used in this methodology, the letter i is used to represent a stratum and the letter M is used for the total number of strata: MB is the number of ex ante defined baseline strata as determined with the procedures above; MB remains fixed for the whole crediting period. MPS is the number of strata in the project scenario as determined ex ante. Ex post adjustments of the strata may be needed if unexpected disturbances occur during the crediting period (e.g., due to fire, pests or disease outbreaks), severely affecting different parts of an originally homogeneous stratum or stand, or when forest management (planting, thinning harvesting, replanting) occurs at different intensities, dates and spatial locations than originally planned. In such a situation the project area affected by the disturbance and/or variation in forest management may be delineated as a separate stratum for the purpose of monitoring the carbon stock changes. 4. Baseline Net GHG Removals by Sinks Under the applicability conditions of this methodology: * Changes in carbon stock of above-ground and below-ground biomass of non tree vegetation may be conservatively assumed to be zero for all strata in the baseline scenario; * It is expected that the baseline dead wood and litter carbon pools will not show a permanent net increase. It is therefore conservative to assume that the sum of the changes in the carbon stocks of dead wood and litter carbon pools is zero for all strata in the baseline scenario; * Changes in carbon stock in soil organic carbon (SOC) may be conservatively assumed to be zero for all strata in the baseline scenario. Therefore the baseline net GHG removals by sinks will be determined as: where: ∆ BSL C Baseline net greenhouse gas removals by sinks; t CO2-e C tree BSL, ∆ Sum of the carbon stock changes in above-ground and below-ground biomass of trees in the baseline; t CO2-e 4.1 Carbon stock changes in above-ground and below-ground tree biomass The estimation of carbon stock changes in above-ground and below-ground tree biomass in the baseline (∆CBSL,tree) will be performed as per the equations below. These equations provide for the calculations to be performed for each stratum. If there is more than one stratum in the baseline scenario, the outcome will be summed over all the strata to obtain the value for the whole project. AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 where: i tree BSL C , , ∆ Sum of the baseline annual carbon stock changes in above-ground and below- ground tree biomass for stratum i ; t CO 2 -e t i BG AG BSL C , , / , ∆ Baseline annual net carbon stock change in above-ground and below-ground biomass for stratum i, time t; t C yr -1 i 1, 2, 3, … MB strata in the baseline scenario t 1, 2, 3, …t * years elapsed since the start of the A/R CDM project activity 44/12 Ratio of molecular weight of CO2 to carbon; t CO2-e t C -1 ∆CBSL,AG/BG,i,t is estimated using one of the following methods that can be selected based on the basis of the availability of data. Method 1 (Carbon gain-loss method) 1 where: t i BG AG BSL C , , / , ∆ Baseline annual carbon stock net change in above-ground and below-ground biomass for stratum i, time t; t C yr -1 t i G C , , ∆ Annual increase in above-ground and below-ground carbon due to biomass growth of living trees in stratum i , for year t ; t C yr -1 Note : This is the “potential growth” which is greater than the “observed growth”. t i L C , , ∆ Annual decrease in above-ground and below-ground carbon stock of living trees due to biomass loss for stratum i, time t; t C yr -1 Note: Conservative assumption that t i L C , , ∆ = 0 is allowed for the baseline scenario. 2 i 1, 2, 3, … M B strata in the baseline scenario t 1, 2, 3, …t * years elapsed since the start of the A/R CDM project activity $$∑ = Α = ∆ J j j t i j tree i BSL t i G CF G C 1 , , , , , , * * (4)$$ 1 IPCC GPG-LULUCF 2003, Equation 3.2.2, Equation 3.2.4 and Equation 3.2.5. 2 This assumption implies that all baseline woody biomass is assumed to remain living and growing during the entire crediting period. This is conservative because the proportion of living biomass that will die or will be harvested is not deduced from the estimation of baseline net GHG removals by sinks and because the growth of the baseline biomass will cease (i.e., the biomass will reach saturation) at some point in time. i,t UNFCCC/CCNUCC AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 where: C t i G , , ∆ Α BSL G tree, CF j i j t Annual increase in carbon due to biomass growth of living trees in stratum i, for year t; t C yr -1 Area of baseline stratumi; ha Annual increment of total above-ground and below-ground dry biomass of living trees of species j in stratum i, for year t; t d.m. ha -1 yr -1 Carbon fraction of dry matter for speciesj; t C t -1 d.m. 1, 2, 3, … M B strata in the baseline scenario 1, 2, 3, … Jtree species in the baseline scenario 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity and where: t i j tree G , , , Annual increment of total dry biomass of living trees of species j in stratum i, for year t; t d.m. ha -1 yr -1 tijw G , , , Average annual above-ground dry biomass increment of living trees of species j in stratum i, for year t; t d.m. ha -1 yr -1 j R 1 Root-shoot ratio appropriate for biomass increment for speciesj; t d.m. t -1 d.m tijV I , , , Current annual increment in volume of species j in stratum i, for year t; m 3 ha -1 yr -1 Note: t i j V I , , , can be estimated as a constant annual average value over a period including the year t (Periodical Annual Increment). Note: tis likely to be different than age of individual trees in the yeart. j D Basic wood density for speciesj; t d.m. m -3 j BEF ,1 Biomass expansion factor for conversion of annual net increment (including bark) in stem biomass to total above-ground tree biomass increment for speciesj; t d.m. (t --1 d.m.) -1 i 1, 2, 3, … M B strata in the baseline scenario j 1, 2, 3, … Jtree species in the baseline scenario t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity If biomass increment tables are available and applicable to the species used in the project activity, these can directly be used in equation Eq. 5. Note that available data on average annual increment in the volume of species j in stratum i for year t ( t i j V I , , , ) may be expressed as a net average annual ,i j , AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 increment (i.e., the term t i L C , , ∆ is already implicitly allowed for and shall be set to zero in equation Eq. 3 in order to avoid double counting). Alternatively, if the average annual increment in volume of species j in stratum i, for year t ( t i j V I , . , ) is expressed as the gross average annual increment, then t i L C , , ∆ may be conservatively assumed as zero. Otherwise t i L C , , ∆ must be estimated based on the basis of transparent and verifiable information on the rate at which pre-project activities (or mortality) are reducing carbon stocks in existing live trees (e.g., due to harvesting for local timber consumption, or for fuelwood). Method 2 (stock change method) 3 where: 3 GPG-LULUCF Equation 3.2.3. UNFCCC/CCNUCC AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 ``` j R Root-shoot ratio appropriate for biomass stock, for species j; t C t -1 C i 1, 2, 3, … MB strata in the baseline scenario j 1, 2, 3, … J tree species in the baseline scenario t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity ``` An alternative way of estimating t i j tree AB C , , , _ is to use allometric equations: ``` where: t i j tree AB C , , , _ Carbon stock in above-ground tree biomass of species j in stratum i, at time t; t C i BSL A , Area of baseline stratum i; ha t i j nTR , , Pre-project tree stand density of species j in stratum i, at time t; trees ha -1 j CF Carbon fraction of dry matter for species j; t C t -1 d.m. ( ) H DBH f j , Allometric equation for species j linking diameter at breast height (DBH) and possibly tree height (H) to above-ground biomass of living trees; t d.m. tree -1 (Note: If using an average DBH in an allometric equation, the average must be calculated as the square root of the sum of the squares of the individual tree diameters making up the sample divided by their number - i.e., so called "quadratic mean" or "root mean square"). i 1, 2, 3, … MB strata in the baseline scenario j 1, 2, 3, … J tree species in the baseline scenario t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity ``` Note that volume tables from which t i j tree V , , , are obtained may or may not include allowance for losses due to harvesting or mortality. Such losses may be conservatively neglected when estimating baseline removals in pre-project trees. Otherwise t i L C , , ∆ must be estimated based on the basis of credible and transparent information on the rate at which pre-project activities (and mortality, if applicable) are reducing carbon stocks in existing live trees (e.g., due to harvesting for local timber consumption, or for fuelwood). 4.2 Steady state under the baseline conditions The baseline net GHG removals by sinks, if greater than zero, shall be estimated as per approach provided in section 4.1 assumed to be constant until steady state is reached under the baseline conditions. Under steady state: AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 0 = ∆ BSL C PPs Project participants may, on a project specific basis, assess when a steady state is reached during the crediting period. This shall be estimated based on the basis of transparent and verifiable information originating as appropriate from available literature, data from comparable areas, from field measurements in the planned project area, or from other sources relevant to the baseline circumstances. If no data is available, a default period of 20 years since commencement of the CDM project activity will be applied. 5. Actual net GHG removals by sinks Under the applicability conditions of this methodology: * Changes in carbon stock of above-ground and below-ground biomass of non tree vegetation may be conservatively assumed to be zero for all strata in the project scenario. The actual net greenhouse gas removals by sinks shall be estimated using the equations in this section. When applying these equations for the ex ante calculation of net anthropogenic GHG removals by sinks, PPs project participants shall provide estimates of the values of those parameters that are not available before the start of the crediting period and commencement of monitoring activities. PPs Project participants should retain a conservative approach in making these estimates. where: ACTUAL C ∆ Actual net greenhouse gas removals by sinks; t CO2-e P C ∆ Sum of the changes in above-ground and below-ground tree biomass, dead wood, litter and soil organic carbon stocks in the project scenario; t CO2-e E GHG Increase in GHG emissions as a result of the implementation of the proposed A/R CDM project activity within the project boundary; t CO2-e Note: In this methodology equation Eq. 12 is used to estimate actual net greenhouse gas removals by sinks for the period of time elapsed between project start (t = 1) and the year t = t * , t * being the year for which actual net greenhouse gas removals by sinks are estimated. The "stock change" method should be used to determine annual, or periodical values. 5.1 Estimation of changes in the carbon stocks The verifiable changes in the carbon stock in tree above-ground biomass and below-ground biomass, litter and soil organic carbon within the project boundary are estimated using the following approach: 4 4 IPCC GPG-LULUCF 2003, Equation 3.2.3. AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 where: P C ∆ Sum of the changes in carbon pools in above-ground and below-ground tree biomass, dead wood, litter and soil organic carbon stocks in the project scenario; t CO2-e t C ∆ Annual change in carbon stock in all selected carbon pools for year t; t C yr –1 E BiomassLoss Increase in CO 2 emissions from loss of existing woody biomass due to site- preparation (including burning), and/or to competition from forest (or other vegetation) planted as part of the A/R CDM project activity; t CO 2 -e t 1, 2, 3, …t * years elapsed since the start of the A/R project activity; yr 44/12 Ratio of molecular weights of CO2 and carbon; t CO2-e (t –1 C) -1 EBiomassLoss shall be estimated using the most recent version of the approved methodological tool: "Estimation of emissions from clearing, burning and decay of existing vegetation due to implementation of an A/R CDM A/R project activity". 5 ∆Ct shall be estimated using the following equation: where: ∆C t Annual change in carbon stock in all carbon pools for year t; t C yr –1 t i AG C , , ∆ Annual carbon stock change in above-ground biomass of trees for stratum i (possibly average over a monitoring period); t C yr -1, t i BG C , , ∆ Annual carbon stock change in below-ground biomass of trees for stratum i (possibly average over a monitoring period); t C yr -1, t i DW C , , ∆ Annual change in the dead wood carbon pool in stratum i, (possibly averaged over a monitoring period); t C yr -1 t i LI C , , ∆ Annual change in the litter carbon pool in stratum i, (possibly averaged over a monitoring period); t C yr –1 t i SOC C , , ∆ Annual carbon stock change in the soil organic carbon pool 6 for stratum i, time t; t C yr -1 i 1, 2, 3, … MPS strata in the project scenario t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity 5 In accordance with guidance contained in paragraph 35 of EB 42 meeting report, GHG emissions due to removal (loss) of herbaceous vegetation as a component of non-tree biomass are neglected in this methodology. Hence, all references to GHG emission from removal of non-tree vegetation (or non-tree biomass) do not include GHG emissions from removal of herbaceous vegetation. 6 Ex post the carbon stock change in the soil organic carbon pool may be estimated one time over the entire crediting period or several parts of it summing up to the entire crediting period. AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Changes in the carbon pools that are conservatively excluded from accounting shall be set equal to zero. 5.1.1 Tree Biomass The mean carbon stock in above-ground and below-ground biomass per unit area is estimated based on the basis of field measurements in permanent sample plots. Two methods are available: the Biomass Expansion Factors (BEF) method and the Allometric Equations method. BEF method Step 1: Determine based on the basis of available data, e.g., volume tables (ex ante) and measurements (ex post) of stem volume, the diameter at breast height (DBH, at typically 1.3 m above-ground level), and also preferably height (H), of all the trees above some minimum DBH in the permanent sample plots. Step 2: Estimate the stem volume of the commercial (merchantable) component of trees on the basis of based on available equations or yield tables (if locally derived equations or yield tables are not available use relevant regional, national or default data as appropriate). It is possible to combine Steps 1 and 2 if there are field instruments (e.g., a relascope) that measure the volume of each tree directly are applied. Step 3: Choose BEF, and root-shoot ratio (R) - see Section II.8 for guidance on source of data. If relevant information is available the BEF and R should be corrected for age. Step 4: Convert the stem volume of the commercial component of trees into carbon stock in aboveground biomass via basic wood density, the BEF and the carbon fraction: $$j j j t sp i j l t sp i j l tree AB CF BEF D V C ∗ ∗ ∗ = ,2 , , , , , , , , , _ (15)$$ where: t sp i j l tree AB C, , , , , _ Carbon stock in above-ground biomass of tree l of species j in plot sp in stratum i at time t; t C tree -1 t sp i j l V, , , , Merchantable Stem volume of tree l of species j in plot sp in stratum i at time t; m 3 tree -1 D j Basic wood density of speciesj; t d.m. m –3 BEF2,j Biomass expansion factor for conversion of merchantable stem biomass to above-ground tree biomass for species j; dimensionless CF j Carbon fraction of biomass for tree speciesj; t C t -1 d.m. (IPCC default value = 0.5 t C t -1 d.m.) l Sequence number of trees on plotsp i 1, 2, 3, … M PS strata in the project scenario j 1, 2, 3, … S PS tree species in the project scenario t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Step 5: Convert the carbon stock in above-ground biomass to the carbon stock in below-ground biomass via root-shoot ratio, given by: where: Step 6: Calculate carbon stock in above-ground and below-ground biomass of all trees present in plot sp in stratum i at time t (i.e., summation over all trees l by species j followed by summation over all species j present in plot sp) where: Step 7: Calculate the mean carbon stock in tree biomass for each stratum: where: t i tree C , , Carbon stock in trees in stratumi, at timet; t C t sp i tree C, , , Carbon stock in trees on plot sp of stratum i at time t; t C i sp A Total area of all sample plots in stratumi; ha AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Allometric method Step 1: As Proceed as with in Step 1 of the BEF Method. Step 2: Select or develop an appropriate allometric equation (if possible species-specific, or if not from a similar species) - see Section II.8 for additional guidance. Step 3: Estimate carbon stock in above-ground biomass for each individual tree l of species j in the sample plot located in stratum i using the selected or developed allometric equation applied to the tree dimensions resulting from determined in Step 1, and sum the carbon stocks in the sample plot: where: Step 4: Convert the carbon stock in above-ground biomass to the carbon stock in below-ground biomass via root-shoot ratio, given by: where: t sp i j tree BB C , , , , _ Carbon stock in below-ground biomass of trees of speciesjin plotspin stratumi at timet; t C t sp i j tree AB C, , , , _ Carbon stock in above-ground biomass of trees of species j in plot sp in stratum i at time t; t C j R Root-shoot ratio appropriate for biomass stock, for species j; dimensionless AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Step 5: Calculate total carbon stock in the biomass of all trees present in the sample plot sp in stratum i at time t: where: Step 6: Calculate the mean carbon stock in tree above biomass for each stratum, as per equation Eq. 18 - i.e., Step 7 of the BEF method. For both the BEF and allometric methods calculate: where: t i AG C , , ∆ Annual carbon stock change in above-ground biomass of trees for stratum i; t C yr -1 t i BG C , , ∆ Annual carbon stock change in below-ground biomass of trees for stratum i; t C yr -1 t i tree C , , Carbon stock in trees in stratumi, at timet; t C T Number of years between monitoring timet 2 andt 1 (T=t 2 –t 1 ); yr i 1, 2, 3, … M PS strata in the project scenario t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity 5.1.2 Dead wood (if selected in Table 1) For ex ante estimates, the changes in carbon stocks of dead wood shall be conservatively neglected. Dead wood included in the methodology comprises two components only—standing dead wood and lying dead wood (that is, below-ground dead wood is conservatively neglected). Considering the differences in the two components, different sampling and estimation procedures shall be used to calculate the changes in dead wood biomass of the two components. For the ex post situation, the change is estimated as follows:by dead wood AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 where: C t i DW , , ∆ Annual carbon stock change in the dead wood in stratum i, (averaged over a monitoring period); t C yr -1 C t i DW , , Carbon stock of dead wood in stratum i, at time t = 2; t C 1 , , t i DW C Carbon stock of dead wood in stratum i, at time t = 1; t C T Number of years between monitoring time t2 and t1 (T = t2 – t1); yr i 1, 2, 3, … M PS strata in the project scenario t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity The methods to be followed in the measurement of the standing dead wood and the lying dead wood biomass are outlined below. where: t i DW C , , Carbon stock of dead wood biomass in stratum i, at time t; t C t i SDW B , , Biomass of standing dead wood in stratum i, at time t; t d.m. t i LDW B , , Biomass of lying dead wood in stratumi, at timet; t d.m. DW CF Carbon fraction of dry matter in dead wood; t C t -1 d.m. i 1, 2, 3, … MPS strata in the project scenario t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity (1) Standing Dead dead Wood wood Step 1: Standing dead trees shall be measured on permanent sample plots (established for estimating tree biomass - see paragraph 5.1.1 above) using the same criteria and monitoring frequency used for measuring live trees. The decomposed portion that corresponds to the original above-ground and below-ground biomass is discounted. Step 2: The decomposition class of the dead tree and the diameter at breast height shall be recorded and the standing dead wood is categorized under the following four decomposition classes: (1) Tree with branches and twigs that resembles a live tree (except for leaves); (2) Tree with no twigs, but with persistent small and large branches; (3) Tree with large branches only; (4) Bole only, no branches. Step 3a: For tree in the decomposition class 1 Biomass biomass should be estimated using the allometric equation for live trees. in the decomposition class 1. AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Step 3b: When the bole is in decomposition classes 2, 3 or 4, it is recommended to limit the estimate of the biomass to the main trunk of the tree. Usually, there is no allometric equations applicable for such boles and their biomass is estimated based on volume assessment. The volume of dead wood is converted to biomass using the dead wood density appropriate for the decomposition class. (2) Lying Dead dead Wood wood The lying dead wood pool is highly variable, and stocks increase as the stands grow hence; If there is negligible amount of lying dead wood observed in the early stages of a stand, its monitoring could may be taken up in the first, second or subsequent monitoring periods. The presence volume of lying dead wood can be assessed from the plot following surveys. Step 1: Lying dead wood should be sampled using the line intersect method (Harmon and Sexton, 1996). 7 Two 50-meter lines are established bisecting each plot are established and the diameters of the lying dead wood (≥5 cm diameter) intersecting the lines are measured. Step 2: The dead wood is assigned to one of the three density states ds (1 (sound), 2 (intermediate), and 3 (rotten)) using the 'machete test', as recommended by IPCC Good Practice Guidance for LULUCF (2003), Section 220.127.116.11.3. Step 3: The volume of lying dead wood per unit area is calculated using the equation (Warren and Olsen, 1964) 8 as modified by van Wagner (1968) 9 separately for each density state: where: t i LDW V , , Volume of lying dead wood per unit area in stratumi, at timet; m 3 ha -1 t i n D , , Diameter of piecenof dead wood along the transect in stratumi, at timet; cm N Total number of wood pieces intersecting the transect; dimensionless L Length of the transect; m i 1, 2, 3, … M PS strata in the project scenario t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity Step 4: Volume of lying dead wood shall be converted into biomass using the following relationship. 7 Harmon, M. E. and J. Sexton. (1996) Guidelines for Measurements of Woody Detritus in Forest Ecosystems. US LTER Publication No. 20. US LTER Network Office, University of Washington, Seattle, WA, USA. 8 Warren, W.G. and Olsen, P.F. (1964) A line transect technique for assessing logging waste, Forest Science 10: 267-276. 9 Van Wagner, C. E. (1968): The line intersect method in forest fuel sampling. Forest Science 14: 20-26. AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 where: t i LDW B , , Biomass of lying dead wood in stratumiat timet; t d.m. t i LDW V , , Volume of lying dead wood in stratum i, at time t; m 3 ha -1 ds DW D , Basic wood density of dead wood in the density class ds-sound (1), intermediate (2), and rotten (3); t d.m. m -3 Note: To estimate density of each class, follow the procedure described in IPCC Good Practice Guidance for LULUCF (2003), Section 18.104.22.168.3. i A Area of stratumi; ha ds Iindex for density state: 1 (sound), 2 (intermediate) or 3 (rotten) i 1, 2, 3, … MPS strata in the project scenario t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity 5.1.3 Litter (if selected in Table 1) For ex ante estimates, the changes in carbon stocks of litter shall be conservatively neglected. For ex post estimates, four litter samples shall be collected per sample plot and well mixed into one composite sample. Samples shall be taken at the same time of the year in order to account for natural and anthropogenic influences on the litter accumulation and to eliminate seasonal effects. A sub-sample from the composite sample of litter is taken, oven dried and weighed to determine the dry weight. The dry to wet weight ratio of the sub-sample is calculated and used for estimations of the litter dry weight. To estimate the dry litter biomass in tonnes per ha hectare, the wet litter biomass for the composite sample plots is multiplied by the dry to wet weight ratio and an expansion factor for the plot size to calculate the litter biomass in tonnes per ha hectare (10,000 m 2 /(4 * area of sampling frame in m 2 )). where: sp i LI B , , Biomass of dry litter for plot sp in stratum i at monitor time t; t d.m. ha –1 sp i wet LI B , , _ Humid Wet weight (field) of the litter in plot sp of stratum i; kg m –2 LI MP Dry-to-wet weight ratio of the litter (dry weight/wet weight); dimensionless sp i a, Area of sampling frame for plotspin stratumi; m 2 i 1, 2, 3, … MPS strata in the project scenario sp Index for sample plots AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Calculate the biomass of the litter (BLI,i,t in t d.m.) for each stratum applying approach used in Eq. 18 - i.e., Step 7 of the BEF method and using litter specific data. based on the average value of the plots and the area of the stratum. The average annual change in the carbon stock of litter from the data at two monitoring intervals shall be calculated. As recommended in the Good Practice Guidance on LULUCF (Chapter 3.2, p 3.35), the dry mass of litter is converted into carbon using 0.370 t C t -1 d.m. as a default value for the carbon fraction. 10 where: t i LI C , , ∆ Annual change in the litter carbon pool in stratum i (averaged over a monitoring period); t C yr –1 t i LI B , , Biomass of litter in stratum i at time t = 2; t d.m. 1 , ,, t i LI B Biomass of litter in stratumiat timet= 1; t d.m. T Number of years between monitoring time t2 and t1 (T = t2 – t1); yr LI CF Carbon fraction of litter (default value 0.370 t C t -1 d.m.); t C t -1 d.m. i 1, 2, 3, … MPS strata in the project scenario t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity 5.1.4 Soil Organic Carbon (if selected in Table 1) For ex ante estimations, the changes in stocks of soil organic carbon may be assessed using the default method or the changes shall be conservatively neglected. For ex post estimations, the changes in stocks of soil organic carbon may be assessed using the default method or the field method as described below. 22.214.171.124 Default method A/R CDM project activities may account for changes in soil organic carbon pool using a default approach in areas of land included in their boundary which satisfy all conditions listed below: (i) The area does not include organic soils (e.g., peat-lands), or wetlands; 11 (ii) Removal of existing vegetation during site preparation for the A/R CDM project activity shall not occur on more than 10% of the area, unless it can be demonstrated that land clearance, e.g., by slash-and-burn activities, is a common practice in the region in which the project is located; 10 Smith and Heath, 2002. 11 "Wetlands", "settlements", "croplands" and "grasslands" are land uses as defined in the Good Practice Guidance for Land Use, Land-use Change and Forestry (IPCC, 2003). Any woody perennial vegetation on settlements, croplands or grasslands must be below the thresholds for forestland. UNFCCC/CCNUCC AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 (iii) Litter shall remain on site and not be removed; (iv) Ploughing/ripping/scarification associated with site preparation for planting, seeding and/or the human-induced promotion of natural seed sources, shall not exceed 10% of the project area (during each occasion); (v) If ploughing/ripping/scarification is used for site preparation, it shall follow the land contour. If a part of an area of land included in the project boundary satisfies all conditions (i)-(v) listed above, the part shall be included in accounting of the default changes in the soil organic carbon pool. The default ex ante and ex post changes in the soil organic carbon pool t SOC d C , ∆ shall be estimated using the following equation: where: C SOC d , ∆ A i C ∆ Annual change in carbon stock in soil organic matter for area of land i, for year t; t C yr -1 Area of landithat satisfies all conditions (i)- (i v) listed above; hectare (ha) -1 Default annual increase in carbon stock in soil organic carbon; t C ha yr -1 tequilibrium Time until a new equilibrium in carbon stock in soil organic matter is reached in area of land i; years The default values of C ∆ =0.5 t C ha -1 yr -1 and tequilibrium =20 years shall be used. Changes in carbon stock in soil organic matter shall not be monitored ex post. 126.96.36.199 Field method (if SOC is selected in Table 1) For ex ante estimations, the changes in stocks of soil organic carbon shall be conservatively neglected. The soil carbon pool inflows (through plant growth) and outflows (through mineralization) between two monitoring intervals shall be estimated as the difference between the carbon stock estimates of the two consecutive soil monitoring events. Due of low rate of changes in soil organic carbon, it is not required to monitor the soil organic carbon during each verification. As a minimum however, the soil carbon pool should be monitored in the beginning and the end of the first crediting period and in the end of any subsequent crediting period. As a minimum, 5 samples will be collected in each sample plot used for biomass estimation. In each sample plot, all samples shall be collected to the same depth throughout the entire crediting period. However, the depth may vary among the sample plots. Soil samples from each sample plot shall be mixed and a composite sample taken for analysis. The mass of carbon per unit volume is calculated by multiplying the carbon concentration ( t p i Sample SOC C , , , ) and bulk density (g/cm 3 ). The bulk density equals the oven dry weight of the soil core divided by the core volume after discounting the volume of coarse fraction of >2 mm. t C C SOC t p i SOC t p i Sample * , , , , , , = where: C i SOC , , C t p, Sample SOC BD, p t i , , Depth i FC t p i , , M i p t ∆C SOC where: C SOC ∆ C C T i p M FC Depth BD t p i t p i t p i * * * , , , , , , Carbon stock of soil organic carbon pool of plotpin stratum Soil organic carbon of the sample in plotpin stratum i AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 (30) , timet; t C ha -1 i, timet laboratory in g C/100 g soil Bulk density (soil mass/volume of sample) of plotp in stratum determined in laboratory; t m -3 Soil depth to which soil sample is collected for plotpin stratumi, timet 1 – (% volume of coarse fragments/100) to adjust the fraction of sample occupied by coarse fragments > 2mm at plot pin stratumi, timet; dimensionless. - Multiplier to convert units into t C ha 1 ; 10000 m 1, 2, 3, … M PS strata in the project scenario 1, 2, 3, … P i sample plots in stratumiin the project scenario 1, 2, 3, … t years elapsed since the start of the A/R CDM project activity SOC C t p i SOC t p i 1 2 , , , , , , − T Average annual change in the carbon stock of soil organic carbon pool of (31) plot pin stratumi, between monitoring periodst1 andt 2; t C ha yr Carbon stock of soil organic carbon pool of plot -1 p in stratum ha -1 Carbon stock of soil organic carbon pool of plotp in stratum ha -1 Number of years between monitoring time 1, 2, 3, … M PS strata in the project scenario 1, 2, 3, … P i sample plots in stratumiin the project scenario t 1, 2, 3, … t years elapsed since the start of the A/R CDM project activity If the soil carbon pool is monitored only in the beginning and the end of the first crediting period and in the end of any subsequent crediting period then: t p i SOC t p i SOC t p i SOC C C C , , , , , , , , , 2 1 = = untilt reaches duration of the crediting pe riod minus one year. It means that the entire change in the soil carbon pool is credited to the p rojectin the last year of the crediting period. The mean soil organic carbon accumulation shall be calculated by pooling the soil carbon estimates of samples at the monitoring interval. t2 and –1 i, time i t1 (T=t2 – , time t1); yr t t =t =t 2; t C 1; t C ; determined in i, timet ; m , ,i SOC SOC,i , , i , , t p, , i , p, t p i , p, p, , p t 2 t 1 T T , = C UNFCCC/CCNUCC 2 -1 ha where: M SOC C ∆ ∆C p i Mean average annual carbon stock change in the soil organic carbon pool in stratum i, between monitoring periodst1 andt2; t C ha -1 yr –1 Average annual change in the carbon stock of soil organic carbon pool of plot pin stratumi, between monitoring periodst1 andt 2; t C ha yr 1, 2, 3, … P i sample plots in stratum 1, 2, 3, … M -1 i in the project scenario strata in the project scenario PS t 1, 2, 3, … t years elapsed since the start of the A/R CDM project activity The average annual change in the carbon stock of soil organic carbon pool in stratum i, between monitoring periods t1 and t2 will be estimated as: ∆ i T i SOC SOC A C M C t i * , , , ∆ = (33) where: C SOC ∆ M t i , , C ∆ A i i Annual carbon stock change in the soil organic carbon pool for strat um i , time t C yr -1 Mean average annual carbon stock change in the soil organic carbon pool in stratum i, between monitoring periods t1 and t2; t C ha - 1 yr –1 Area of stratumi; ha 1, 2, 3, … M PS strata in the project scenario t 1, 2, 3, … t years elapsed since the start of the A/R CDM project activity 5.2 Estimation of GHG emissions within the project boundary The increase in GHG emissions as a result of the implementation of the proposed A/R CDM project activity within the project boundary can be estimated as: where: GHG E ET FC,t Increase in GHG emissions as a result of the implementation of the proposed A/R CDM project activity within the project boundary; t CO 2 -e CO2 emissions from fossil fuel combustion during the year t; t CO2-e SOC –1, SOC i , p T , i ,T ,i ,T AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 t; AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 t n BiomassBur E , Non-CO2 emissions due to biomass burning of existing woody vegetation as part of site preparation during the year t; t CO2-e t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity Note: In this methodology equation Eq. 33 is used to estimate the increase in GHG emissions for the period of time elapsed between project start (t =1) and the year t = t * , t * being the year for which actual net greenhouse gas removals by sinks are estimated. The monitoring of emissions by sources is only required if significant; if insignificant, evidence should be provided (e.g., as a relevant part of the monitoring of the project implementation) that the assumptions for the exclusion made in the ex ante assessment still hold in the ex post situation. 5.2.1 Estimation of GHG emissions from fossil fuel combustion GHG emissions from burning of fossil fuels ( t FC ET , ) shall be estimated using the latest version of the methodological tool: "Estimation of GHG emissions related to fossil fuel combustion in A/R project activities". Project proponents shall use the tool to estimate emissions due to combustion of fossil fuels for site preparation, thinning and logging only (excluding transportation). 5.2.21 Estimation of non-CO2 emissions due to biomass burning of existing vegetation as part of site preparation Considering the limited combustible material in degraded lands, fire is not likely to be a major source of GHG emissions in the site preparation. However, if significant, the non-CO2 emissions due to biomass burning of existing woody vegetation 12 as part of site preparation ( t n BiomassBur E , ) shall be estimated using the relevant instructions provided by the most recent version of the methodological tool "Estimation Tool for estimation of emissions from clearing, burning and decay of existing vegetation due to implementation of a A/R CDM project activity". If prescribed burning is included in the forest management cycle, the same tool should be used to account for the non-CO2 emissions arising from this practice. 6. Leakage Under applicability conditions of this methodology the following types of leakage emissions are allowed: GHG emissions due to activity displacement and GHG emissions due to increase in use of wood posts for fencing. Leakage shall be estimated as follows: LK fencing splacement ActivityDi LK LK + = splacement ActivityDi LK LK = where: -e LK Total GHG emissions due to leakage; t CO 2 splacement ActivityDi LK Leakage due to activity displacement; t CO2-e 12 GHG emissions from burning of herbaceous vegetation as per para 35, EB 42 guidance is neglected. (31) UNFCCC/CCNUCC AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Note: In this methodology the equation above is used to estimate leakage for the period of time elapsed between project start (t =1) and the year t = t * , t * being the year for which actual net greenhouse gas removals by sinks are estimated. 6.1 Estimation of leakage due to activity displacement Leakage due to activity displacement (LKActivityDisplacement) is estimated as follows: 6.1.1 Estimation of leakage due to conversion of land to grazing land Leakage due to conversion of land to grazing land (LKConversion) shall be calculated using the latest version of the A/R methodological tool "Estimation of GHG emissions related to displacement of grazing activities in A/R CDM project activity". where LKConversion is calculated as the sum of the parameter LKDisplacement,t (Leakage leakage due to the displacement of animals in year t) as provided by the tool. The summation is between project start (t =1) and the year t = t * , t * being the year for which actual net greenhouse gas removals by sinks are determined. 6.1.2 Estimation of leakage due to displacement of fuelwood collection The management practices implemented by PPs may require at least temporary displacement of fuelwood collection. 1 3 If part the fuelwood gathered outside the project boundary does not obey the most recent definition of renewable biomass as approved by the EB 1 4 then leakage due to displacement of fuelwood collection (LKfuelwood ) shall be estimated. If application of the most recent version of the "Tool for testing significance of GHG emissions in A/R CDM project activities" leads to a conclusion that LKfuelwood (as calculated using the Eq. 37) is insignificant then it can be neglected, i.e., accounted for as zero. To calculate LKfuelwood, first the volume of fuelwood gathered outside the project area will be estimated as follows: FG t Conv t AR BL t outside FG FG FG, , , − − = (33) 13 In this context, fuelwood refers both to fuelwood collection for direct use and for charcoal production. 14 See Glossary of CDM terms available at: <http://cdm.unfccc.int/Reference/Guidclarif/>. where: t outside FG , FG BL t AR FG , t Conv FG , Volume of fuelwood gathering displaced outside the project area at year t; m 3 yr -1 Average annual pre-project volume of fuelwood gathering in the project area; m 3 yr -1 Average annual volume of fuelwood collected in the project area under the proposed A/R CDM project activity; m 3 yr -1 Average annual volume of fuelwood collected during conversion of land to grazing land; m 3 yr -1 t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity Leakage due to displacement of fuelwood collection can be set as zero (LKfuelwood = 0) under the following condition: In all other cases, leakage due to displacement of fuelwood collection shall be estimated as follows (IPCCGPG-LULUCF 2003 - Eq. 3.2.8): where: LK fuelwood FG t outside, FRF D DS BEF ,2 CF DS Leakage due to displacement of fuelwood collection up to year t * ; t CO2-e Volume of fuelwood gathering displaced outside the project area at year t; m 3 yr -1 Fraction of fuelwood collected outside the project boundary that obeys the definition of renewable biomass; % Basic wood density of dominant species DS collected as fuelwood; t d.m. m -3 (see IPCC GPG-LULUCF 2003, Table 3A.1.9) Biomass expansion factor for conversion of volumes of extracted roundwood to total above-ground tree biomass for dominant species DS collected as fuelwood; dimensionless Carbon fraction of dry matter for dominant species DS collected as fuelwood; t C t - 1 d.m. t 1, 2, 3, … t * years elapsed since the start of the A/R CDM project activity 6.2 Estimation of leakage due to increased use of wood posts for fencing The management practices implemented by PPs may require fencing using wood posts. If not all the posts are obtained from sources inside the project boundary, and not all the posts collected DS UNFCCC/CCNUCC AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 outside the project boundary obey the most recent definition of renewable biomass as approved by the EB 1 5 then leakage due to increased use of wood posts for fencing (LKfencing) shall be estimated. If application of the most recent version of the "Tool for testing significance of GHG emissions in A/R CDM project activities" leads to a conclusion that LKfencing (as calculated using the equation 38) is insignificant then can be neglected, i.e. accounted for as zero. LKfencing is calculated as follows: where: If the fence or any other kind of barrier constructed as part of the management practices implemented by PPs, does not specifically require the use of wooden posts but requires use of another wooden construction then in equation 38 the term APV DBP PAR t * shall be replaced with an estimate of volume of wood collected outside the project boundary which is used annually for fencing. 7. Net Anthropogenic GHG Removals by Sinks The net anthropogenic GHG removals by sinks is the actual net GHG removals by sinks minus the baseline net GHG removals by sinks minus leakage, therefore, the following general formula can be used to calculate the net anthropogenic GHG removals by sinks of an A/R CDM project activity (CAR-CDM), in t CO2-e. 15 See Glossary of CDM terms available at: <http://cdm.unfccc.int/Reference/Guidclarif/>. UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 7.1 Calculation of tCERs and lCERs To estimate the amount of CERs that can be issued at time t * = t2 (the date of verification) for the monitoring period T = t2 –t1, this methodology uses the most recent version of the EB approved equations, 16 which produces the same estimates as the following: where: ; tCERs Number of units of temporary Certified Emission Reductions lCERs Number of units of long-term Certified Emission Reductions 2 ,t CDM AR C − Net anthropogenic greenhouse gas removals by sinks, as estimated for t * = t 2 t CO 2- e 1 ,t CDM AR C − Net anthropogenic greenhouse gas removals by sinks, as estimated for t * = t 1 ; t CO 2- e 8. Data and parameters not monitored (default or possibly measured one time) In addition to the parameters listed in the tables below, the provisions on data and parameters not monitored in the tools referred to in this methodology apply. In choosing key parameters or making important assumptions based on information that is not specific to the project circumstances, such as in use of existing published data, PPs project participants should retain a conservative approach: that is, if different values for a parameter are equally plausible, a value that does not lead to over-estimation of net anthropogenic GHG removals by sinks should be selected. \| Data / parameter: \| \| \| \|---\|---\|---\| \| Data unit: \| \| \| \| Used in equations: \| \| \| \| Description: \| \| \| \| Source of data: \| GPS coordinates and/or \| Remote remote Sensing sensing \| \| Measurement \| \| \| \| procedures (if \| \| \| \| any): \| \| \| 16See <http://cdm.unfccc.int/Reference/Guidclarif/>. UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| Data / parameter: \| Data / parameter: \| \|---\|---\| \| \| Data unit: \| \| \| Used in equations: \| \| Description: \| Description: \| \| Source of data: \| Source of data: \| \| \| Measurement \| \| \| procedures (if \| \| \| any): \| \| Any comment: \| Any comment: \| \| Data / parameter: \| \| BEF ,BEF 2 ,j 2 ,DS \| \| \|---\|---\|---\|---\| \| \| Data unit: \| Dimensionless \| \| \| \| Used in equations: \| 9, 15 \| , 3837, 38 \| \| Description: \| Description: \| Biomass expansion factor for conversion of merchantable stem biomass to above-ground tree biomass for tree species j \| \| \| Source of data: \| \| The source of data shall be chosen with priority from higher to lower preference as follows: (a) Existing local and species-specific or group of species-specific; (b) National and species-specific or group of species-specific (e.g., from national GHG inventory); (c) Species-specific or group of species-specific from neighbouring countries with similar conditions. Sometimes c) might be preferable to b); (d) Globally species-specific or group of species-specific (e.g., IPCC GPG- LULUCF 2003). \| \| 17 Use the parameter BEF2 in Table 3A.1.10 in the GPG-LULUCF. 18 Values of the BEF must be derived from the parameter BCEFS in Table 4.5 (AFOLU guidelines, IPCC 2006) according to the equation BEF = BCEFS /DV, using age-dependent wood density if available. UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| \| Measurement \| \|---\|---\| \| \| procedures (if \| \| \| any): \| \| Any comment: \| Any comment: \| \| Data / parameter: \| \|---\| \| Data unit: \| \| Used in equations: \| \| Description: \| \| Source of data: \| \| Measurement \| \| procedures (if \| \| any): \| \| Any comment: \| \| Data / parameter: \| \| \| \| \|---\|---\|---\|---\| \| \| Data unit: \| \| \| \| \| Used in equations: \| 4, 9, 11, 15, 19, \| 3837 \| \| \| Description: \| \| \| \| Source of data: \| Source of data: \| \| \| \| \| Measurement \| \| \| \| \| procedures (if \| \| \| \| \| any): \| \| \| \| Data unit: \| \|---\| \| Used in equations: \| \| Description: \| \| Source of data: \| UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| Measurement \| \|---\| \| procedures (if \| \| any): \| \| \| Data unit: \| \| \| \|---\|---\|---\|---\| \| \| Used in equations: \| 6, 9, 15 \| , 3837, 38 \| \| \| Description: \| \| \| \| Source of data: \| Source of data: \| \| \| \| \| Measurement \| \| \| \| \| procedures (if \| \| \| \| \| any): \| \| \| \| \| Any comment: \| \| \| \| Data / Parameter: \| \| \|---\|---\| \| \| Data unit: \| \| \| Used in equations: \| \| Description: \| Description: \| \| Source of data: \| \| \| \| Measurement \| \| \| procedures (if \| \| \| any): \| \| \| Data / Parameter: \| \|---\|---\| \| \| Data unit: \| \| \| Used in equations: \| \| Description: \| Description: \| UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| Source of data: \| \| Whenever available, use allometric equations that are species-specific or group of species-specific, provided the equations have been derived using a wide range of diameters and heights, based on datasets that comprise at least 20 trees. Otherwise, default equations from IPCC literature, national inventory reports or published peer-reviewed studies may be used—such as those provided in Tables 4.A.1 to 4.A.3 of the GPG-LULUCF (IPCC 2003). \| \|---\|---\|---\| \| \| Measurement \| \| \| \| procedures (if \| \| \| \| any): \| \| \| Any comment: \| Any comment: \| If default allometric equations are available for conditions that are similar to the project (same vegetation genus; same climate zone; similar forest type), then the equation may be used and considered conservative. Otherwise, it is necessary either to use conservatively assessed values, or to verify the applicability of the equation if mean predicted values are to be used. Allometric equations can be verified by: • Selecting at least 5 trees covering the range of DBH existing in the project area, and felling and weighing the above-ground biomass to determine the total (wet) weight of the stem and branch components; • Extracting and immediately weighing19 sub-samples from each of the wet stem and branch components,20 followed by oven drying at 70ºC to determine dry biomass; • Determining the total dry weight of each tree from the wet weights and the averaged ratios of wet and dry weights of the stem and branch components. If the biomass of the harvested trees is within about ±10% of the mean values predicted by the selected default allometric equation, and is not biased—or if biased is wrong on the conservative side (i.e., use of the equation results in an under- estimate rather than overestimate of project net anthropogenic removals by sinks)—then mean values from the default equation may be used. \| \| Data / \| \| FG BL \| \| \|---\|---\|---\|---\| \| parameter: \| \| \| \| \| Data unit: \| \| \| m3 yr-1 \| \| Used in \| \| 36 \| 36 \| \| equations: \| \| \| \| \| Description: \| \| \| Average pre-project annual volume of fuelwood gathering in the project area \| \| Source of \| \| Interviews and/or Participatory Rural Appraisal (PRA) \| Interviews and/or Participatory Rural Appraisal (PRA) \| \| data: \| \| \| \| \| Measurement \| \| \| Where pre-project fuelwood collection or charcoal production activities exist, it \| \| procedure \| s \| \| should be estimated. This can be done by interviewing households or implementing \| 19 Or, alternatively, seal the sub-samples immediately in plastic bags of known weight, and determine wet weights in the laboratory. 20 Use at least 3 sub-samples for branch material, and at least 5 sub-samples for stem wood. If cutting slices of stem or branch wood using a chainsaw, ensure cutting does not cause excessive heating and evaporation of water from the wood before the sub-sample is weighed. AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| \| Data / \| \| \| \|---\|---\|---\|---\| \| \| Parameter \| : \| \| \| \| Data unit: \| \| % \| \| \| Used in \| \| 38 \| \| \| equations: \| \| \| \| \| Description \| : \| Fraction of posts from renewable sources located outside the project boundary \| \| Source of data: \| Source of data: \| \| If available, published local or national estimates will be used. Otherwise a \| \| \| \| \| default value of 60% will be used. \| \| \| Measurement \| \| \| \| \| procedures (if \| \| \| \| \| any): \| \| \| \| \| Monitoring \| \| \| \| \| frequency: \| \| \| \| \| QA/QC \| \| \| \| \| procedures \| : \| \| UNFCCC/CCNUCC UNFCCC/CCNUCC AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Any comment: Project specific determination of the fraction is allowed \| \| Data / \| \|---\|---\| \| \| parameter: \| \| \| Data unit: \| \| \| Used in \| \| \| equations: \| \| Description: \| Description: \| \| Source of data: \| \| \| \| Measurement \| \| \| procedures (if \| \| \| any): \| \| Any comment: \| Any comment: \| \| Data / parameter: \| \| \|---\|---\| \| \| Data unit: \| \| \| Used in equations: \| \| \| Description: \| \| \| Source of data: \| \| \| Measurement \| \| \| procedures (if \| \| \| any): \| \| \| Any comment: \| \| Data / parameter: \| \| \| \|---\|---\|---\| \| \| Data unit: \| kg d.m.yr-1 (kg d.m.yr-1 )-1 \| \| \| Used in equations: \| \| \| \| Description: \| \| UNFCCC/CCNUCC AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Source of data: The source of data shall be chosen with priority from higher to lower preference as follows: (a) National and species-specific or group of species-specific (e.g., from national GHG inventory); (b) Species-specific or group of species-specific from neighbouring countries with similar conditions. Sometimes b) might be preferable to a); (c) Species-specific or group of species-specific from global studies. N/A Guidelines for Conservative Conservative Choice choice of Default default Values values: 1. If in the sources of data mentioned above, default data are available for conditions that are similar to the project (same vegetation genus, same climate zone, similar forest type), then mean values of default data may be used and are considered conservative; 2. Global values may be selected from Table 3A.1.8 of the GPG-LULUCF (IPCC 2003), or equivalently from Table 4.4 of the AFOLU Guidelines (IPCC 2006), by choosing a climatic zone and species that most closely matches the project circumstances; 3. Alternatively, given that many datasets of root-shoot ratios are relatively small because of the difficulty of determining this parameter, conservative selection of a value from the global study by Cairns et al. (1997) is likely to provide a reliable default value. For the purpose of estimating baseline removals by sinks, a conservative value is about one standard deviation (circa 0.04) above the mean (0.26); i.e., a value of 0.3 kg d.m. kg -1 d.m. For the purpose of estimating the project removals by sinks, use a value about one standard deviation below the mean; i.e., 0.22 kg d.m. kg -1 d.m. \| Data / parameter: \| \| \|---\|---\| \| \| Data unit: \| \| \| Used in equations: \| \| \| Description: \| \| Source of data: \| Source of data: \| \| \| Measurement \| \| \| procedures (if \| \| \| any): \| \| Any comment: \| Any comment: \| Measurement procedures (if any): Any comment: UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 2. Global values may be selected from Table 3A.1.8 of the GPG-LULUCF (IPCC 2003), or equivalently from Table 4.4 of the AFOLU Guidelines (IPCC 2006), by choosing a climatic zone and species that most closely matches the project circumstances. \| \| Data / \| \|---\|---\| \| \| parameter: \| \| \| Data unit: \| \| \| Used in equations: \| \| \| Description: \| \| Source of data: \| Source of data: \| \| \| Measurement \| \| \| procedures (if \| \| \| any): \| \| Any comment: \| Any comment: \| \| Data / \| \| \|---\|---\| \| parameter: \| \| \| Data unit: \| t C ha-1 yr-1 \| \| Used in equations: \| 29 \| \| Description: \| Default annual increase in carbon stock in soil organic carbon \| \| Source of data: \| Default \| \| Measurement \| N/A \| \| procedures (if \| \| \| any): \| \| \| Any comment: \| \| \| Data / \| \| \|---\|---\| \| parameter: \| \| \| Data unit: \| years \| \| Used in equations: \| 29 \| \| Description: \| Time until a new equilibrium in carbon stock in soil organic matter is reached \| \| Source of data: \| Default \| \| Measurement \| N/A \| \| procedures (if \| \| \| any): \| \| \| Any comment: \| \| AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 III. MONITORING METHODOLOGY All data collected as part of monitoring should be archived electronically and be kept at least for 2 years after the end of the last crediting period. 100% One hundred percent of the data should be monitored if not indicated otherwise in the tables below. All measurements should be conducted according to relevant standards. In addition, the monitoring provisions in the tools referred to in this methodology apply. 1. Monitoring of Project Implementation Information shall be provided, and recorded in the project design document (PDD), to establish that: (a) The geographic position of the project boundary is recorded for all areas of land; (i) The geographic coordinates of the project boundary (and any stratification inside the boundary) are established, recorded and archived. This can be achieved by field survey (e.g., using GPS), or by using georeferenced spatial data (e.g., maps, GIS datasets, orthorectified aerial photography or georeferenced remote sensing images). (b) Commonly accepted principles of forest inventory and management are implemented; (i) Standard operating procedures (SOPs) and quality control/quality assurance (QA/QC) procedures for forest inventory including field data collection and data management shall be applied. Use or adaptation of SOPs already applied in national forest monitoring, or available from published handbooks, or from the IPCC GPG LULUCF 2003, is recommended; (ii) Apply SOPs, especially, for actions likely to minimize soil erosion in those circumstances in which site preparation or planting involves soil disturbance capable to increase soil erosion above the baseline one value; (iii) The forest planting and management plan, together with a record of the plan as actually implemented during the project shall be available for validation or verification, as appropriate. 2. Sampling design and stratification Stratification of the project area into relatively homogeneous units can either increase the measuring precision without increasing the cost unduly, or reduce the cost without reducing measuring precision because of the lower variance within each homogeneous unit. PPs Project participants should present in the AR-CDM-PDD an ex ante stratification of the project area or justify the lack of it. The number and boundaries of the strata defined ex ante may change during the crediting period (ex post). 2.1 Updating of strata The ex post stratification shall be updated due to because of the following reasons: UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 * Unexpected disturbances occurring during the crediting period (e.g., due to fire, pests or disease outbreaks), affecting differently various parts of an originally homogeneous stratum; * Forest management activities (cleaning, planting, thinning, harvesting, coppicing, rereplanting) may be that are implemented in a way that affects the existing stratification. Established strata may be merged if reasons for their establishing have disappeared. 2.2 Sampling framework To determine the sample size and allocation among strata, this methodology uses the latest version of the tool for the "Calculation of the number of sample plots for measurements within A/R CDM project activities", approved by the CDM Executive Board. The targeted precision level for biomass estimation within each stratum is ±10% of the mean at a 95% confidence level. 3. Data and parameters monitored The following parameters should be monitored during the project activity. When applying all relevant equations provided in this methodology for the ex ante calculation of net anthropogenic GHG removals by sinks, PPs project participants shall provide transparent estimations for the parameters that are monitored during the crediting period. These estimates shall be based on measured or existing published data where possible and PPs project participants should retain a conservative approach: that is, if different values for a parameter are equally plausible, a value that does not lead to over-estimation of net anthropogenic GHG removals by sinks should be selected. \| \| Data / Parameter: \| \| \| \|---\|---\|---\|---\| \| \| Data unit: \| \| \| \| \| Used in equations: \| 18, 26, \| 21 332 \| \| \| Description: \| \| \| \| Source of data: \| Source of data: \| \| \| \| \| Measurement \| \| \| \| \| procedures (if \| \| \| \| \| any): \| \| \| \| \| Monitoring \| \| \| \| \| frequency: \| \| \| \| \| QA/QC \| \| \| \| \| procedures: \| \| \| \| \| Any comment: \| \| \| \| Data / Parameter: \| \| \| \|---\|---\|---\| \| Data unit: \| \| \| \| Used in equations: \| \| \| \| Description: \| Area of sampling frame \| for plot sp in stratum i \| \| Source of data: \| \| \| \| Measurement \| \| \| \| procedures (if \| \| \| UNFCCC/CCNUCC AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Monitoring frequency: QA/QC procedures: Any comment: Data / Parameter: Data unit: Used in equations: Description: Source of data: Measurement procedures (if any): Monitoring frequency: QA/QC procedures: Any comment: Data / Parameter: Data unit: Used in equations: Description: Source of data: Measurement procedures (if any): Monitoring frequency: QA/QC procedures: Any comment: \| Data / Parameter: \| \| BD \| \|---\|---\|---\| \| \| \| i,p,t \| \| \| Data unit: \| t m-3 \| \| \| Used in equations: \| 3029 \| \| \| Description: \| Bulk density (soil mass/volume of sample) of plot p in stratum i, time t \| \| \| Source of data: \| Determined in laboratory \| \| Measurement procedures (if any): \| Measurement \| Refer to procedure for determining C . For bulk density analysis, a \| \| \| procedures (if \| SOC Sample,i,p,t \| \| \| any): \| single core shall be taken next to one of the carbon analysis cores. The \| \| \| \| samples are oven dried and weighed for bulk density determination and the \| \| \| \| oven dry weight of the soil samples shall be used to estimate the soil organic \| \| \| \| carbon \| \| \| Monitoring \| \| \| \| frequency: \| \| f Sampling frame will be used to collect litter samples A i sp ha 18 Total area o Field m eas APV m 3 38 Average volume of wood posts Estimat ed f ro m sampling ur all sample plots in stratumi ement UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| QA/QC \| \|---\| \| procedures: \| \| Any comment: \| \| Data / Parameter: \| \| \|---\|---\| \| \| Data unit: \| \| \| Used in equations: \| \| \| Description: \| \| \| Source of data: \| \| Measurement procedures (if any): \| Measurement \| \| \| procedures (if \| \| \| any): \| \| \| Monitoring \| \| \| frequency: \| \| \| QA/QC \| \| \| procedures: \| \| \| Data unit: \| \|---\|---\| \| \| Used in equations: \| \| \| Description: \| \| \| Source of data: \| \| Measurement procedures (if any): \| Measurement \| \| \| procedures (if \| \| \| any): \| \| \| Monitoring \| \| \| frequency: \| \| \| QA/QC \| \| \| procedures: \| \| Data / Parameter: \| \| \|---\|---\| \| \| Data unit: \| \| \| Used in equations: \| \| \| Description: \| UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| \| Source of data: \| \|---\|---\| \| Measurement procedures (if any): \| Measurement \| \| \| procedures (if \| \| \| any): \| \| \| Monitoring \| \| \| frequency: \| \| \| QA/QC \| \| \| procedures: \| \| \| Any comment: \| \| Data / parameter: \| \| DBP \| \|---\|---\|---\| \| Data unit: \| \| m \| \| Used in equations: \| \| 38 \| \| Description \| : \| Average distance between wood posts \| \| Source of data: \| \| Forest management plan/measurements at 10% of the length of fences \| \| Measurement \| \| \| \| procedures (if \| \| \| \| any): \| \| \| \| Monitoring \| \| \| \| frequency: \| \| \| \| QA/QC \| \| \| \| procedures: \| \| \| 21 Harmon, M. E. and J. Sexton. (1996) Guidelines for Measurements of Woody Detritus in Forest Ecosystems. US LTER Publication No. 20. US LTER Network Office, University of Washington, Seattle, WA, USA. AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 Any comment: \| Data / parameter: \| \| \| Depth \| \|---\|---\|---\|---\| \| \| \| \| i,p,t \| \| \| Data unit: \| \| m \| \| \| Used in equations: \| \| 3029 \| \| \| Description \| : \| Soil depth to which soil sample is collected for plot p in stratum i, time t \| \| \| Source of data: \| \| Field measurement \| \| \| Measurement \| \| \| \| \| procedures (if \| \| \| \| \| any): \| \| \| \| \| Monitoring \| \| \| \| \| frequency: \| \| \| \| \| QA/QC \| \| \| \| \| procedures: \| \| \| \| \| Any comment: \| \| \| \| Data / Parameter: \| \| \| FC \| \|---\|---\|---\|---\| \| \| \| \| i,p,t \| \| \| Data unit: \| \| Dimensionless \| \| \| Used in equations: \| \| 3029 \| \| Description: \| Description \| : \| 1 – (% volume of coarse fragments/100) to adjust the fraction of sample \| \| \| \| \| occupied by coarse fragments > 2mm at plot p in stratum i, time t \| \| \| Source of data: \| \| Determined in laboratory \| \| \| Measurement \| \| The fraction of coarse fragments is to be determined by standard particle size \| \| \| procedures (if \| \| analysis performed in most soil laboratories \| \| \| any): \| \| \| \| \| Monitoring \| \| \| \| \| frequency: \| \| \| \| \| QA/QC \| \| \| \| \| procedures: \| \| \| \| \| Any comment: \| \| \| \| Data / Parameter: \| \| FG \| \|---\|---\|---\| \| \| \| AR,t \| \| \| Data unit: \| m3 yr-1 \| \| \| Used in equations: \| 36 \| \| Description: \| Description: \| Average annual volume of fuelwood collected in the project area under the \| \| \| \| proposed A/R CDM project activity \| \| \| Source of data: \| Project Management Plan or field sampling \| \| \| Measurement \| For each verification period, estimate the fuelwood collected in the project \| \| \| procedures (if \| area. Besides volume, also determine what the dominant species is that is \| \| \| any): \| collected as fuelwood. \| \| \| Monitoring \| \| \| \| frequency: \| \| \| \| QA/QC \| \| \| \| procedures: \| \| \| \| Any comment: \| \| UNFCCC/CCNUCC UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| Data / Parameter: \| \| FG \| \|---\|---\|---\| \| \| \| Conv, t \| \| \| Data unit: \| m3 yr-1 \| \| \| Used in equations: \| 36 \| \| Description: \| Description: \| Average annual volume of fuelwood collected during conversion of land to \| \| \| \| grazing land \| \| \| Source of data: \| Field sampling \| \| \| Measurement \| For each verification period, estimate the fuelwood collected during \| \| \| procedures (if \| conversion of land to grazing land. Besides volume, also determine what the \| \| \| any): \| dominant species is that is collected as fuelwood. \| \| \| Monitoring \| \| \| \| frequency: \| \| \| \| QA/QC \| \| \| \| procedures: \| \| \| \| Any comment: \| \| \| Data / Parameter: \| \|---\| \| Data unit: \| \| Used in equations: \| \| Description: \| \| Source of data: \| \| Measurement \| \| procedures (if \| \| any): \| \| Monitoring \| \| frequency: \| \| QA/QC \| \| procedures: \| \| Any comment: \| UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| Data / Parameter: \| \| \|---\|---\| \| \| Data unit: \| \| \| Used in equations: \| \| \| Description: \| \| \| Source of data: \| \| Measurement procedures (if any): \| Measurement \| \| \| procedures (if \| \| \| any): \| \| \| Monitoring \| \| \| frequency: \| \| \| QA/QC \| \| \| procedures: \| \| \| Any comment: \| \| Data / Parameter: \| \|---\| \| Data unit: \| \| Used in equations: \| \| Description: \| \| Source of data: \| \| Measurement \| \| procedures (if \| \| any): \| \| Monitoring \| \| frequency: \| \| QA/QC \| \| procedures: \| \| Any comment: \| \| Data / Parameter: \| \| \| PAR \| \|---\|---\|---\|---\| \| \| \| \| t \| \| \| Data unit: \| \| m \| \| \| Used in equations: \| \| 38 \| \| \| Description \| : \| Perimeter of the areas to be fenced at year t \| \| \| Source of data: \| \| Project management plan or field measurements \| \| \| Measurement \| \| \| \| \| procedures (if \| \| \| \| \| any): \| \| \| \| \| Monitoring \| \| \| \| \| frequency: \| \| \| \| \| QA/QC \| \| \| \| \| procedures: \| \| \| \| \| Any comment: \| \| \| \| Data / Parameter: \| \| t and t T 2 1 \| \| \|---\|---\|---\|---\| \| Data unit: \| \| \| \| \| Used in equations: \| 7, 22, 23, 28, \| \| 3150 \| UNFCCC/CCNUCC CDM – Executive Board AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 \| Description: \| \| Years of the monitoring activity Number of years between monitoring time t 2 \| \|---\|---\|---\| \| \| \| and t (T = t – t ) 1 2 1 \| \| Source of data: \| \| \| \| \| Measurement \| \| \| \| procedures (if \| \| \| \| any): \| \| \| \| Monitoring \| \| \| \| frequency: \| \| \| \| QA/QC \| \| \| \| procedures: \| \| 4. Conservative Approach and Uncertainties To help reduce uncertainties in the accounting of emissions and removals, this methodology uses whenever possible the proven methods from the GPG-LULUCF, GPG-2000, and the IPCC's Revised 2006 Guidelines. As well, tools and guidance from the CDM Executive Board on conservative estimation of emissions and removals are also used. Despite this, potential uncertainties still arise from the choice of parameters to be used. Uncertainties arising from, for example, biomass expansion factors (BEFs) or wood density, would result in uncertainties in the estimation of both baseline net GHG removals by sinks and the actual net GHG removals by sinks—especially when global default values are used. It is recommended that PPs project participants identify key parameters that would significantly influence the accuracy of estimates. Local values that are specific to the project circumstances should then be obtained for these key parameters, whenever possible. These values should be based on: * Data from well-referenced peer-reviewed literature or other well-established published sources: 22 or * National inventory data or default data from IPCC literature that has, whenever possible and necessary, been checked for consistency against available local data specific to the project circumstances; or * In the absence of the above sources of information, expert opinion may be used to assist with data selection. Experts will often provide a range of data, as well as a most probable value for the data. The rationale for selecting a particular data value should be briefly noted in the CDM-AR-PDD. For any data provided by experts, the CDM-AR-PDD shall also record the experts name, affiliation, and principal qualification as an expert (e.g., that they are a member of a country's national forest inventory technical advisory group) as well as—plus inclusion of a 1-page summary CV for each expert consulted, included in an annex. In choosing key parameters or making important assumptions based on information that is not specific to the project circumstances, such as in use of default data, PPs project participants should select values that will lead to an accurate estimation of net GHG removals by sinks, taking into 22 Typically, citations for sources of data used should include: the report or paper title, publisher, page numbers, publication date etc (or a detailed web address). If web-based reports are cited, hardcopies should be included as Annexes in the CDM-AR-PDD if there is any likelihood such reports may not be permanently available. UNFCCC/CCNUCC AR-ACM0001 / Version 03 Sectoral Scope: 14 EB 46 account uncertainties. If uncertainty is significant, PPs project participants should choose data such that it tends to under-estimate, rather than over-estimate, net GHG removals by sinks. IV. REFERENCES AND ANY OTHER INFORMATION -.-.-.-.- History of the document \| Version \| Date \| \|---\|---\| \| 03 \| EB 46, Annex # 25 March 2009 \| \| 02 \| EB 42, para 35 26 September 2008 \| \| 01 \| EB 38, Annex 7 14 March 2008 \|
Influence and insight through social media THE TIME FOR HOSTED VOICE IS NOW Comcast Is a Complete Service Provider for Business Voice WHITE PA P E R Prepared by Zeus Kerravala ZK Research Kerravala Consulting A Division of ABOUT THE AUTHOR Zeus Kerravala is the founder and principal analyst with ZK Research. Kerravala provides tactical advice and strategic guidance to help his clients in both the current business climate and the long term. He delivers research and insight to the following constituents: end-user IT and network managers; vendors of IT hardware, software and services; and members of the financial community looking to invest in the companies that he covers. INTRODUCTION: THE TIME FOR HOSTED VOICE IS NOW Voice-over-IP (VoIP) has been growing in popularity for the past two decades. The value propo sition for VoIP is multidimensional, as it empowers workers to streamline the way they communi cate, significantly lowers costs and is considered to be the foundation for unified communications (UC). Because of the technology's strong potential, deploying VoIP should be at the top of every IT and business leader's priority list regardless of company size. However, despite the technology's relative maturity, companies have been slow to adopt VoIP. During the transition from legacy voice to VoIP, organizations must consider several factors, includ ing the following: Budgetary concerns: Traditional customer-premises equipment (CPE)–based solutions require a significant up-front investment. In the current economic environment where capital investment may be minimized, this could limit the budget that IT leaders have to deploy a col laboration solution. Longer deployment times: Premises-based solutions can have an elongated deployment period because infrastructure must be deployed, tested and optimized. Operational and management skill-set gaps: Managing communications used to be very simple. Systems were self-contained and relatively straightforward but offered no flexibility. Today's systems offer significantly more power and potential but require a new operational skill set for IT. Exhibit 1 shows that the lack of technical expertise ranks as the number-one barrier to adopting a next-generation premises voice solution. Before embarking on the transition from traditional systems to VoIP, it's important to understand how much more complex modern systems are. Legacy platforms were inefficient but relatively simple, as there were very few components: a PBX, phones, cables and a connection to the PSTN. With VoIP systems, administrators must deal with a physical server, virtual platforms, cloud resources, IP handsets, unified communications (UC) apps and a number of other factors (Exhibit 2). If the proper preparation work isn't done, the complexity can overwhelm even the savviest technical teams. Despite the challenges, ZK Research believes that the benefits of VoIP are enormous and that companies should not wait to deploy the technology. To offset the challenges of an on-premises so lution, businesses should consider a hosted solution because it offers all the benefits of a premisesbased solution without the associated deployment risks. Historically, organizations shied away from hosted services because of their perceived lack of security, features and control. Today's hosted voice services can offer the highest levels of security and manageability and are at feature parity with premises-based solutions. Also, in many ways, hosted voice is superior to on-premises solutions. 8 2 8 2 VoIP is hardware, software or a service that enables people or organizations to use the internet or a data network for the transmission of telephone calls rather than using the PSTN. What are the top barriers to making VoIP pervasive in your organization? Exhibit 1: Lack of Internal Skills Holds Back the Transition to VoIP Below are the top five reasons businesses of all sizes should consider hosted voice: 1. Faster Time to Market Traditional CPE is typically managed on a node-by-node basis. This meant that upgrades could often take months or years to complete. With hosted voice, new features or applications are avail able to all users as soon as the service provider implements it. The customer now has the luxury of introducing new services aggressively, allowing companies to respond to competitive pressures almost immediately. 2. Centralized Management Functions and Administrative Tasks One of the most difficult challenges in managing any kind of premises-based application is per forming administrative tasks. Even simple tasks such as setting up new users and making changes or updating features can take a very long time, as the updates need to be completed at the system through a cryptic command-line interface. With hosted voice, all administrative tasks can be done centrally through a management portal. The administrator can complete a certain task and push the functionality to users while having the Exhibit 2: VoIP Is Significantly More Complex than Traditional Voice OLD WAY TODAY PBX Physical servers Virtual servers Network Cloud resources IP phone Soft phone SIP Cell phone WiFi phone Peer to peer Phone Cable PSTN Apps VOICE ZK Research, 2016 confidence that it will be complete company-wide. The centralized management of administrative tasks can save companies hundreds of hours over the traditional distributed model. 3. Alignment with Mobile Strategy A mobile strategy is no longer a "nice to have." According to the ZK Research 2016 Consumer ization Survey, more than 80% of businesses now support the use of personal devices in the work place. The challenge for IT is enabling a consistent set of applications on a wide range of endpoints that vary in form factor and operating system. Adding to the complexity is the fact that IT no longer controls these devices, and users replace them every 12 to 24 months. A hosted solution is the most scalable, cost-effective way to address the unique challenges that mobility presents. The only way to meet this challenge is to push the application into the network and deliver it via a hosted service. This deployment model can deliver business voice services to any user on any device. A hosted solution is ideally suited to the dynamic and distributed nature of today's workforce and is the most scalable, cost-effective way to address the unique challenges that mobility presents. 4. Budget Efficiency Hosted voice provides superior budgetary advantages over CPE-based solutions, including the following: Lower budget barrier to entry: There is little to no up-front capital outlay for a hosted voice solution. This means companies can get started with deployment immediately instead of having to seek approval for a large expense to purchase new call and application servers. Budget planning: Hosted voice allows the company to plan its budget for the collaboration solution more accurately than with CPE-based solutions, since the subscription model provides predictable spend that is easy to calculate. Lower overall TCO than on-premises solutions: A hosted voice solution costs less to run with out the up-front capital investment. The cost of migrating a business application to a softwareas-a-service (SaaS)–based solution is typically 30% to 40% lower over a five-year period, according to ZK Research. IT resources and staffing efficiencies: By shifting the voice infrastructure to the cloud, IT can offload many repetitive maintenance tasks. This allows IT to focus on more strategic initiatives while maximizing efficiency. 5. Improved Business Continuity Disasters can strike at any time. Natural disasters, power outages or even man-made problems can impact a company without a moment's notice, making any particular location, the resources in it or the people located there unavailable. Ensuring that voice communications are continuously available to workers regardless of their location needs to be of the utmost importance. Often, voice solutions tools are used to communicate with customers and business partners, meaning any lack of availability could mean lost revenue and brand damage. Because a hosted solution is not tied to any particular location, individuals can access them over any infrastructure using any device, whether the physical location is available or not. This can greatly simplify an organization's business continuity plan. The alternative would mean having to build a redundant data center with infrastructure that must be continually maintained and tested. Addition 8 5 8 5 Business decision makers have a wide variety of options when it comes to choosing a hosted voice provider. ally, a hosted voice solution obviates the need for a dedicated, physical disaster recovery location, so that in a disaster, workers can function anywhere including from a home office. SECTION II: WHAT TO LOOK FOR IN A SOLUTION PROVIDER Business decision makers have a wide variety of options when it comes to choosing a hosted voice provider. Typically, contracts are implemented for a two- to three-year period, so it's critical that a detailed analysis is done to ensure the right provider is chosen. Companies can use the following decision criteria when selecting a hosted voice provider: Voice Features Rich set of basic voice features: Business voice requires far more features than just picking up a handset to make a call. Businesses require a broad feature set that includes options such as attendant console, music on hold, voicemail, call queues, unlimited local and long distance, and hunt groups. Advanced features: In addition to the basics, several other advanced functions can improve the productivity of users and the efficiency of the IT department. These include HD calling, video capabilities, find me/follow me and voicemail-to-email transcription. Mobile client: A robust mobile client will enable workers to use their mobile phone as a virtual extension of the office environment. The worker can perform functions such as retrieving voice mails and calling co-workers using four-digit extensions. Broad range of phones: Hosted voice providers should offer a wide range of phones to meet the needs of different workers, including low- to high-end IP phones as well as DECT handsets for areas such as lobbies and other locations where IP phones may not be appropriate. Easy-to-configure 9-1-1 capabilities: One of the challenges with VoIP services is setting up 9-1-1 emergency services. With legacy TDM voice, 9-1-1 locations are tied to handsets. With VoIP, 9-1-1 services need to be provisioned manually. Hosted voice providers should ensure this process is easy for customers to set up and maintain. Network Features Ownership of a nationwide network: This is one of the biggest differentiators between a "cloud" voice provider and a true "hosted" solution. Most cloud voice vendors use the internet for transport, meaning call quality will be impacted by the instability of internet service. Network ownership means the call will be carried on a dedicated connection, ensuring the highest levels of quality. This is of particular importance for video calls. Comcast is a multibilliondollar multimedia organization with a history of addressing the needs of business customers. Primary rate interface (PRI) services: Not all companies are ready to or want to transition to a hosted environment. Having the flexibility to run in a hybrid configuration allows customers to man age their communications needs by location. For companies that wish to maximize the investment in an IP PBX/PBX, the service provider should offer ISDN/PRI trunks to connect to the voice network. SIP trunks: Another hybrid option involves connecting an existing IP PBX to the voice network via a SIP trunk. It's important to note that with SIP trunking, some service providers offer the service over a shared internet connection, which can interfere with voice calls. SIP trunking is increasing in importance and adoption. ZK Research data shows that in 2010, fewer than 15% of organizations were using SIP trunking. Today, 59% of businesses have adopted the service. Last-mile connectivity: Although many service providers tout owning a nationwide network, they do not provide last-mile connectivity. Poor quality via the last mile can be highly disruptive to voice and video calls. Other Factors 24x7 customer support: For most businesses, the phone is the first contact point with custom ers. Any disruption can result in a dissatisfied customer, which could cause irreparable damage to the business. The service provider must offer customer support when the customer needs it. Proven success across companies of all sizes: Providing voice quality is difficult, even for service providers. Having a large base of customers that range from small businesses to large enterprises is a sign that the hosted voice provider understands the specific nuances of delivering voice. Turnkey solution: One of the main value propositions of using a hosted voice provider is offloading the complexity of deployment. Solutions from a hosted voice vendor should be turnkey in nature and include all components from the core to the handset. Financially stable organization: The voice industry continues to evolve. A hosted voice provider that has a strong financial base can make the necessary ongoing investments to ensure that customers have the latest features. SECTION III: COMCAST BUSINESS: THE COMPLETE SOLUTION PROVIDER FOR BUSINESS-CLASS VOICE Comcast is a multibillion-dollar multimedia organization with a history of addressing the needs of business customers. The company currently has more than 100,000 employees across the United States who service 23.3 million internet customers and 11.5 million voice customers. ZK Research believes that Comcast is a strong alternative to incumbent service providers and on-premises solutions. ZK RESEARCH \| The Time for Hosted Voice Is Now Comcast Business is the division of the company that provides a wide range of network and communication services to businesses of all sizes. Since 2008, the company has invested almost $5 billion in capital to build a premier infrastructure platform to offer best-in-class services to its customers. In that time, revenue for Comcast Business has grown from $256 million to more than $5 billion in 2015. Voice communications remain a vital part of any organization. Because of this, Comcast Business offers a complete portfolio of voice services supported by the largest VoIP network in the country. The Comcast Advanced Voice portfolio, which includes Comcast Business VoiceEdge TM and Comcast Business SIP and PRI Trunking, offers scalable solutions that build efficiency in any business. Comcast Business VoiceEdge Comcast's Business VoiceEdge is a hosted VoIP solution that provides customers with a virtual PBX service offering the advanced features that businesses require while reducing capital expen ditures. As a viable alternative to premises-based solutions, Business VoiceEdge empowers the company's workforce to effectively communicate at any time from anywhere using any device. Customers have a choice of two VoiceEdge seats: standard and unified communications. The bundles are priced on a per-user/per-month basis that varies based on the number of seats pur chased and whether the contract term is one or three years. ZK Research believes that Comcast is a strong alternative to incumbent service providers and on-premises solutions. The section below compares Business VoiceEdge and its network services to the evaluation criteria listed in Section II. Voice Features Rich set of basic features: Comcast VoiceEdge has all of the standard voice features re quired by businesses. Exhibit 3 shows the broad feature set of Business VoiceEdge. Advanced features: In addition to standard voice features, VoiceEdge includes the following advanced features: o HD Audio, also known as wideband audio, is a high-quality voice service that extends the audible frequency range. o Readable voicemail is a service in which voicemails are transcribed into text and emailed to the user. o Video calling enables customers to communicate with others using the visual medium right from their desktop with an experience that's as easy as making a phone call. o Be anywhere is a feature that redirects calls to a user's mobile device. Mobile client: The VoiceEdge mobile client enables workers to have full business phone func tionality on their iOS or Android device. Users can seamlessly move an active phone call from Exhibit 3: Comcast Provides a Wide Range of Voice Features Three- to six-digit extensions Do not disturb Web portal to manage calls Speed dial Business voice continuity Last number redial Three-way calling Local telephone numbers Call park and pickup Hold music Hunt group Soft phone Call waiting Remote oﬃce Call transfer International calling Toll-free numbers Auto attendant Call forwarding Shared call appearance Attendance console Comcast and ZK Research, 2016 the desk phone to a mobile device, check business voicemail, access the company directory and make outbound calls that display the business phone number. Broad range of phones: Comcast offers a broad range of Polycom IP phones that can meet the needs of any use case. Also, Panasonic DECT phones can be included in the package for use cases such as warehouses, lobbies and conference rooms. Easy-to-configure 9-1-1 capabilities: Comcast's solutions offer enhanced 9-1-1 (E9-1-1) services. This means that when a 9-1-1 emergency call is placed, the user's telephone number and location are automatically transmitted to the operator. In the event of a power failure, the IP phones will continue to function because they are powered off of the network switches. E9-1-1 is configured by Comcast, requiring no additional work for the business. On-premises phone systems must be provisioned and maintained by the network operations team. Trunking Services Comcast Business SIP and PRI Trunking provide a dedicated voice connection, allowing a business to leverage an existing PBX investment to scale according to current and future needs. PRI trunking: Comcast Business offers PRI trunks to help customers connect existing PBX systems to the Comcast private IP network. Voice services are prioritized, and two layers of SEARCH \| The Top 10 Reasons Healthcare Organizations Should Deploy New IP Network ZK Research \| Title of Report ZK RESEARCH \| The Time for Hosted Voice Is Now authentication secure network equipment so customer communications are protected. The Comcast PRI service includes the following features: o Dedicated 50-Mbps port o Dedicated voice bandwidth o Multiple trunk group configurations o Managed quality of service (QoS) o Service-level agreement (SLA) o Multiple caller ID options o Calling name delivery down to the level of the phone number o Directed inward dial (DID) and direct outward dial (DOD) o Call detail records o Direct trunk overflow The standard PRI offer includes 4,600 minutes (200 per channel) of domestic long distance, unlimited local and intraLATA calling as well as toll-free and outbound calling. SIP trunking: Comcast Business SIP Trunking is a next-generation trunking solution for voice services. It is the best way to connect an IP PBX to the phone network because it extends the IP capabilities all the way to the Comcast network. Comcast can deliver its SIP trunking service over a fiber or hybrid fiber coaxial (HFC) connection. The standard features of the Comcast Business SIP Trunking service include the following: o Dedicated 100-Mbps port o Dedicated voice bandwidth o 6 to 800 concurrent calls over fiber and 46 over coax/HFC o Multiple trunk group configurations o Managed QoS o Service-level agreement o Multiple caller ID options o Calling name delivery down to the level of the phone number o Direct inward dial (DID) and direct outward dial (DOD) o Call detail records o Call forwarding no reply The standard SIP offering includes 200 minutes per concurrent call sessions of domestic longdistance and unlimited local and intraLATA calling as well as toll-free and outbound calling. Continuity features include failure/overflow, which adds additional bandwidth to ensure that calls won't be missed in the event of an outage or if all concurrent calls are busy. Also, trunk groups can be set up with multisite load balancing for calls to route to additional channels on Comcast Business SIP Trunking is a next-generation trunking solution for voice services. 8 1 0 Comcast has a large, nationwide network leveraging 140,000 miles of fiber. other trunk groups. Another feature Comcast offers is on-demand bursting capabilities to increase call capacity to manage a 20% spike in call volume. Ownership of a Nationwide Network Comcast has a large, nationwide network leveraging 140,000 miles of fiber. The network's cur rent capacity of 25 Tbps is continually being upgraded, with plans in place to double capacity every 18 to 24 months. The network is also physically diverse, as traffic can take multiple routes, access points and even building access conduits. Comcast currently owns the largest converged network in the United States and has a voice SLA of 99.9%. The network is managed and monitored on a 24x7x365 basis in every major market, and customers are monitored from redundant network operation centers (NOCs). One proof point of the network's quality is the fact that it won the 2014 Metro Ethernet Forum's Service of the Year award. In addition to its massive nationwide network, Comcast has fiber, HFC or coaxial last-mile connectiv ity in every major market. Customers can choose bandwidth speeds from 10 Mbps to 10 Gbps. Last-mile connectivity is an integral part of the total network solution, so ensuring a reliable connection is important. Other Factors 24x7 customer support: Comcast offers the highest level of customer support. Both Enterprise Care and Customer Repair will attend to any issue related to any Comcast product. Customers are serviced from three fully redundant care centers located in Naperville, IL; Cincinnati, OH; and Denver, CO. Additionally, there are 17 regional NOCs with local technicians and engineers who have an average of 12 years of tenure. Comcast offers national maintenance support with on-site tech support. Customers can use an intuitive portal for instant network assessments to keep up with technical issues. Also, the vendor monitors services proactively and identifies and fixes 80% of Ethernet problems before the customer notices. Turnkey solution: Comcast Business offers a full turnkey solution that includes SIP trunking, PRI connections, last-mile connectivity, a rich set of voice features, IP phones and mobile phone clients. This can save organizations considerable time compared to procuring the individual components and assembling the solution. In addition, the assembling process can often take months to optimize. In con trast, Comcast's turnkey approach enables customers to buy and consume voice services immediately. Financially stable organization: Comcast is a diversified organization that has invested bil lions of dollars in its network to ensure the best customer experience. Its 2015 revenue totaled more than $74 billion, and the company now has a market capitalization of over $160 billion, 8 1 1 CONTACT firstname.lastname@example.org Cell: 301-775-7447 Office: 978-252-5314 © 2016 ZK Research: A Division of Kerravala Consulting All rights reserved. Reproduction or redistribution in any form without the express prior permission of ZK Research is expressly prohibited. For questions, comments or further information, email email@example.com. making it one of the largest service providers in the country. Because it is so highly diversified, it can withstand many of the ups and downs in the telecom industry. Businesses have many choices with respect to hosted voice services. However, the market is changing rapidly, and some service providers are positioned well while others will struggle to meet the demands of the distributed enterprises. ZK Research believes that Comcast is one of the bestpositioned service providers to deliver hosted voice services to businesses of all sizes. SECTION IV: CONCLUSION AND RECOMMENDATIONS The rapidly changing business environment is causing companies to focus on their core compe tencies. Consequently, business and IT leaders have been focused on transitioning services that do not create a competitive advantage to the cloud. Applications have rapidly been moving to a SaaS model, and because voice is largely considered an application on the network, businesses are looking to shift their communications services to a hosted model. Companies that migrate to hosted services will achieve higher levels of agility and productivity. Those that do not will see the complexity of their communications continue to grow; they will need to dedicate more operational and capital budget to it and will risk falling behind their peers. This makes evolving to a hosted voice service a top initiative for CIOs and business leaders. With this in mind, ZK Research makes the following recommendations: Embrace hosted voice services. Most organizations have partially embraced the cloud as a new way of doing business. The cloud brings unparalleled levels of elasticity to IT with new con sumption models that enable organizations to optimize utilization levels and IT budget dollars. ZK Research strongly urges all businesses to fully embrace hosted voice as a way to shift commu nication services to a cloud-like model. Make mobility part of the business decision criteria. Voice services extend past the compa ny walls today. Workers are constantly mobile and need access to business voice capabilities no matter where they are. When evaluating voice services, make mobile enablement a key compo nent of the decision process. Choose your service provider based on hosted-buying criteria. Old decision criteria for voice services, such as incumbency and market share, will not be sufficient in the hosted voice era. Evaluators of these services should align decision-making criteria with hosted services such as nationwide reach, breadth of services and network quality. 8 1 2
Fax +41 61 306 12 34 E-Mail email@example.com www.karger.com of selecting Medication Treatment, Psychotherapy (the type of psychotherapy was not defined), or No Treatment (wait and see). The scale also asked respondents to indicate whether they would prefer individual or group therapy if they selected 'Psychotherapy' as their treatment preference. The questionnaires were completed upon the patient's first presentation to the clinic and before meeting with the intake clinician. Data were analyzed using SPSS for Windows. All statistical tests were two-tailed; p values of ! 0.05 were considered statistically significant. We used logistic regression to determine the association between alexithymia and treatment preference. In all analyses, we included the potentially confounding variables of general symptom distress, previous psychiatric treatment, and site of data collection. A backward stepwise approach was used to retain only those variables with p ! 0.05 in the final model. First, we looked at the relationship between treatment preference and alexithymia ratings. These analyses revealed that patients who preferred medication treatment or no treatment at all did not differ significantly from patients who preferred psychotherapy, with regard to overall level of alexithymia or level of alexithymic factors ( table 1 ). None of the other variables in the analyses were significantly associated with treatment preference. The second set of analyses focused on the sub-sample that preferred psychotherapy (n = 104). Overall level of alexithymia differed significantly between the groups of patients who preferred individual versus group therapy. Patients who preferred group therapy had higher levels of alexithymia compared to those who preferred individual therapy, Wald = 4.5, d.f. = 1, p ! 0.04. Similar results were found for one of the alexithymia subscales. In particular, patients who preferred group therapy had significantly higher levels on the Externally Oriented Thinking subscale compared to patients who preferred individual therapy, Wald = 4.7, d.f. = 1, p ! 0.04. This study of alexithymia and treatment preferences among psychiatric outpatients has two main findings. First, we found that alexithymia did not significantly differ among the groups of patients who chose medication treatment, psychotherapy, or no treatment at all. Our finding suggests that high alexithymia is just as likely to be present among those who prefer psychotherapy as those who prefer medication treatment or those who would prefer to take the wait-and-see approach to dealing with their problems. This finding is consistent with those of Aarela et al. [8] who reported that alexithymia was not associated with the likelihood of patients following up with psychotherapeutic treatment recommendations. Similarly, Berger et al. [9] found that alexithymia was not significantly associated with men's attitudes toward psychological help-seeking. Taken together, these findings suggest that it is not appropriate to assume that alexithymic patients have reservations about entering into a psychotherapeutic treatment. Thus, psychotherapy should be considered as a viable treatment option for these patients. Clinicians generally consider psychotherapy a difficult enterprise with most alexithymic patients [1] . After all, most forms of psychotherapy require self-reflection, interest in internal events, and access to feelings – the very skills that alexithymic patients appear to lack. Thus, alexithymic patients are often viewed as difficult to treat with psychotherapy (primarily expressive forms) [2] and are frequently referred to other forms of treatment, e.g. pharmacotherapy. It is unknown whether alexithymic patients actually prefer pharmacotherapy over psychotherapy. It is becoming more evident that considering patients' preferences is important when developing a treatment plan, with evidence of direct benefit when doing so [3–5] . Patients' attitudes toward their treatment likely influence the development of the therapeutic alliance. Disappointment from not receiving a desired treatment could interrupt this central process, while a feeling of encouragement could arise in patients receiving their preferred treatment, rendering them more likely to engage in that treatment and form stronger alliances. With regard to alexithymia, we would expect to find that psychiatric patients who prefer pharmacotherapy will have higher levels of alexithymia relative to those patients who prefer psychotherapy. The present study attempted to test this hypothesis. Participants were recruited from two psychiatric outpatient clinics in Vancouver, Canada and Edmonton, Canada. Each site offers patients psychotherapy and/or pharmacotherapy. At each clinic, all consecutive new patients over the age of 17 who gave their informed consent were included. The only exclusion criterion was insufficient knowledge of the English language. The total sample included 145 patients. Information about diagnoses was not collected. However, based on clinic records, the most prevalent diagnoses were: major depression (40.7%), substancerelated disorders (9.5%), dysthymia (8.7%), and adjustment disorder (7.2%). Patients completed a questionnaire battery consisting of the Toronto Alexithymia Scale-20 [6] , the Brief Symptom Inventory18 [7] , and a Treatment Preference scale that we developed for this study. The Treatment Preference scale gave respondents the choice Published online: $ $ $ © 2009 S. Karger AG, Basel 0033–3190/09/0000–0000$26.00/0 Accessible online at: www.karger.com/pps Psychother Psychosom 175 DOI: 10.1159/000XXXXX Alexithymia and Treatment Preferences among Psychiatric Outpatients John S. Ogrodniczuk a , William E. Piper a , Anthony S. Joyce b , Allan A. Abbass c a Department of Psychiatry, University of British Columbia, Vancouver, B.C. , b Department of Psychiatry, University of Alberta, Edmonton, Alta. , and c Department of Psychiatry, Dalhousie University, Halifax, N.S. , Canada PPS175.indd 1 24.03.2009 09:52:03 $ Published online: $$ \| Total sample (n = 145) \| Medication prefer- ence subgroup (n = 35) \| No treatment preference sub- group (n = 6) \| Psychotherapy preference sub- group (n = 104) \| Individual therapy preference sub- group (n = 87) \| Group therapy preference sub- group (n = 17) \| \|---\|---\|---\|---\|---\|---\| PROOF PROOF Letter to the Editor 2 The second main finding is that patients who preferred group therapy had higher levels of alexithymia compared to those who preferred individual therapy. One possible explanation for this is that alexithymic patients may perceive group therapy as a setting that affords some opportunity to be a passive observer. They may feel that individual therapy would require their constant participation in an activity (i.e., talking about feelings) that they may not be completely comfortable with. A different explanation is that alexithymic patients may believe that sharing therapy with others provides an opportunity to learn how to work with feelings. Interestingly, some authors have discussed the powerful therapeutic opportunity that group therapy can provide to the alexithymic patient [10] . Indeed, studies have demonstrated the benefits of group therapy for alexithymic patients [11, 12] . However, others have found that highly alexithymic patients did not benefit as much as non-alexithymic patients from different forms of group therapy [13] . Thus, while alexithymic patients may be as open to receiving group therapy as non-alexithymic patients, the amount of benefit they derive from such treatment may not be as great. Although preliminary and in need of further study, the results from our study suggest that, while psychotherapy with alexithymic patients may be challenging, this type of treatment may be readily accepted by such patients. Future research should further examine the specific types of psychotherapeutic treatment preferences (e.g., cognitive, psychodynamic) among alexithymic patients, and whether honoring such preferences translates into treatment benefits. Table 1. Alexithymia scores for the different patient groups Mean (standard deviation) scores are shown. * TAS-20 = Toronto Alexithymia Scale-20: a Difficulty Identifying Feelings; b Difficulty Describing Feelings; c Externally Oriented Thinking. References 1 Taylor GJ, Bagby RM, Parker JDA: Disorders of Affect Regulation. Alexithymia in Medical and Psychiatric Illness. Cambridge, Cambridge University Press, 1997. 2 Sifneos PE: Problems of psychotherapy of patients with alexithymic characteristics and physical disease. Psychother Psychosom 1975; 26: 65–70. 3 Hill SA, Laugharne R: Decision making and information seeking preferences among psychiatric patients. J Ment Health 2006; 15: 75–84. 4 Carver CS, Scheier MF: Control theory: a useful conceptual framework for personality – social, clinical, and health psychology. Psychol Bull 1982; 92: 111–135. 5 Epstein LH: Role of behavior theory in behavioral medicine. J Consult Clin Psychol 1992; 60: 493–498. 6 Bagby RM, Parker JDA, Taylor GJ: The twenty-item Toronto Alexithymia Scale. I. Item selection and cross-validation of the factor structure. J Psychosom Res 1994; 38: 23–32. 7 Derogatis LR: The Brief Symptom Inventory-18 (BSI-18): Administration, Scoring and Procedures Manual. Minneapolis, National Computer Systems, 2000. 8 Aarela E, Saarijarvi S, Salminen JK, Toikka T: Alexithymic features do not predict compliance with psychotherapy in consultation-liaison patients. Gen Hosp Psychiatry 1997; 19: 229–233. 9 Berger JM, Levant R, McMillan KK, Kelleher W, Sellers A: Impact of gender role conflict, traditional masculinity ideology, alexithymia, and age on men's attitudes toward psychological help-seeking. Psychol Men Masculin 2005; 6: 73–78. 10 Swiller HI: Alexithymia: treatment utilizing combined individual and group psychotherapy. Int J Group Psychother 1988; 38: 47–61. 11 Grabe HJ, Frommer J, Ankerhold A, Ulrich C, Groger R, Franke GH, Barnow S, Freyberger HJ, Spitzer C: Alexithymia and outcome in psychotherapy. Psychother Psychosom 2008; 77: 189–194. 12 Beresnevaite M: Exploring the benefits of group psychotherapy in reducing alexithymia in coronary heart disease patients: a preliminary study. Psychother Psychosom 2000; 69: 117–122. 13 McCallum M, Piper WE, Ogrodniczuk JS, Joyce AS: Relationships among psychological mindedness, alexithymia and outcome in four forms of short-term psychotherapy. Psychol Psychother 2003; 76: 133– 144. Dr. John S. Ogrodniczuk Department of Psychiatry, University of British Columbia 420-5950 University Boulevard, Vancouver V6T 1Z3 (Canada) Tel. +1 604 822 8034, Fax +1 604 827 4106 E-Mail firstname.lastname@example.org PPS175.indd 2 24.03.2009 09:52:21
Magnetic field dependence of T c and temperature dependence of He2 in layered superconductors with open normal state Fermi surface SUDHANSHU S JHA and A K RAJAGOPAL* Naval Research Laboratory, Washington DC 20375-5000, USA Tala Institute of Fundamental Research, Bombay 400005, India MS received 18 August 1992 Abstract. A theoretical framework for treating the effects of magnetic field H on the pairing theory of superconductivity is considered, where the field is taken in an arbitrary direction with respect to crystal axes. This is applicable to closed, as well as open normal state Fermi surface (FS), including simple layered metals. The orbital effects of the magnetic field are treated semiclassically while retaining the full anisotropic paramagnetic contribution. Explicit calculations are presented in the limits [HI ~ [ Hc21(T) I, T ~ 0 and T-- Tc(IH[), [HI ~ 0. Effects of weak nonmagnetic impurity scattering, without vertex corrections, have also been taken into account in a phenomenological way. The final results for the case of open FS and layered materials are found to differ considerably from those of the dosed FS. For example, an important parameter h(T=0)= IH,,(0)[/[-T~IH.,(T)[/~T] T for the case of a FS open m kz-dlrectlon with the k~-bandwtdth, 4t a, very small compared to the Fermi energy, Er, is close to 0-5906, compared to 0.7273 for the closed FS, in the clean limit. Analytical results are given for the magnetic field dependence of T, and the temperature dependence of H2 for a model of layered superconductors with widely open FS. For a set of band structure parameters for YBa2 Cu3 07 used elsewhere, we find reasonable values for the upper critical field He2(0), the slope (dHc2/dT)T, o, anisotropic coherence lengths el(T= 0), i= x,y,z, and (dZc/dlnl)lHi ~0. Keywords. Upper critical magnetic field; layered superconductors, open Fermi surface. PACS Nos 74.20; 74.70; 74.60 1. Introduction A reexamination of the superconducting transition in the presence of an applied homogeneous magnetic field has become important in the context of the new high-To layered materials. In the past such investigations for type-II supercounductors were mostly limited to spherical or closed anisotropic Fermi surface associated with the three-dimensonal electronic band energy in the normal state (Werthamer 1969; Fetter and Hohenberg 1969), with the exception of a recent work by Rieck and Scharnberg (1990). Since high-To materials are layered, with highly anisotropic Fermi surface, open in the direction perpendicular to the layer planes (i.e. open in the k~-direction), the dependence of Tc on the magnetic field strength, H, the anisotropy of the upper critical field, He2, and their variation with temperature, T, are expected to be quite different from those found in the isotropic case. For the case of isotropic normal state Fermi surface, the linearized gap equation On sabbatical leave at Tata Institute of Fundamental Research, Bombay 400 005, India was solved and a condition for the transition in the (T, H) plane was obtained by Helfand and Werthamer (1966) in a semiclassical approximation, ignoring the discrete Landau-level effects, and by Rajagopal and Vasudevan (1966a, b) in a fully quantum mechanical framework. Explicit analytical results for To(H) and Hcz(T) were obtained for such a case by Gruenberg and Gunther (1968) in the semiclassical approximation. More recently, a detailed numerical analysis of the above condition in the extreme quantum limit, determining the transition in the (T, H) plane was given by Rieck et al (1990). The Ginzburg-Landau theory with anisotropic effective mass tensor has been employed by several authors (Werthamer 1969; Rieck and Scharnberg 1990; Bulaevskii et al 1988) to investigate this problem which, of course, is valid only for T ~ T c. A more general calculation for the case of a closed anisotropic Fermi surface has been done by Prohammer and Carbotte (1990) and Rieck and Scharnberg (1990). In this paper, we consider the linearized gap equation in the presence of nonmagnetic impurities and a homogeneous magnetic field for the case of layered systems with anisotropic open Fermi surface in the normal state. Our formulation of the problem is such that it can, in fact, be used for any general form of the single-particle energy dispersion and Fermi surface. Note that the self-consistent magnetic field H inside a type-H superconductor is spatially inhomogeneous. However, close to the transition, it is a good approximation to take it to be the constant applied magnetic field because of the large penetration depths. It should also be noted that in high-To materials the anisotropic superconducting coherence length is much smaller than the impurity scattering mean free path (f) in most of the experimental situations. However, a much more general formulation including strong momentum dependent magnetic and nonmagnetic impurity scattering, anisotropy of FS and pairing interaction, and more accurate calculation of the spatial dependence of the order parameter has been given by Rieck et al (1991). Because of the complexity of the problem in all its generality, the actual application of the formalism has been confined to only a few simple forms of FS and special directions of the magnetic field (Rieck and Scharnberg 1990; Rieck et al 1991). Since the change in the superconducting pair wave function is known to be small in the limit of small coherence length, ~, in comparison to the scattering mean free path E, the formulation given here, without vertex corrections, is sufficient to treat the problem of high Tc layered superconductors. Although, the Landau-level quantization effects in very high magnetic fields may be important to describe the nature of pairing explicitly (Rieck et al 1990; Tesanovic et al 1989, 1991; Rajagopal and Vasudevan 1991; Rajagopal and Ryan 1991), here we will restrict ourselves to a semiclassical approximation for calculating T~(H) and I-I 2(T ) within the usual spin-singlet pairing theory of superconductivity in layered materials (Rajagopal and Jha 1991a). This allows us to extend the analytic results of Gruenberg and Gunther (1968) to the case of anisotropic materials with closed or open Fermi surface (FS). This includes the limiting effects of the paramagnetic Zeeman term and broadening due to the nonmagnetic impurity scattering. We find that the anisotropy of H~z (0) is quite different for the case of open FS than in the usual case of closed FS with anisotropic effective mass. The variation of lH 21 (T)I with T is also much more rapid for the open FS compared to the closed FS. These arise because of an additional factor EF/t 3 >> 1, apart from the large effective mass factor mz(k~ "" 0), where 4t 3 is the width of the energy band in the kz-direction and E v is the Fermi energy. Also, the effects of impurity scattering on H z(T ) and T¢(H) are markedly different in the two cases. In the second section, we set up the linearized gap equation for our problem, in the presence of a magnetic field, and solve it in the semiclassical approximation. Explicit analytical expressions for T~(H) and H2 (T), both when T ~ T¢, with H ~0, and H .--H2, with T~0, are derived in §3. We discuss our results in §4. 2. Linearized gap equation In the presence of a magnetic field H = Curl A, where A(r) is the vector potential, the single-particle electron Hamiltonian can be described by where Vp is the periodic potential ~ = (t~x, ~y, ~.) are the usual Pauli-matrices, a4 is the (2 × 2) unit matrix and h~n is equal to ½/~BH'g, in terms of the electronic 0-tensor 9ij and the Bohr-magneton #B" Because of the last (paramagnetic) term in equation (1), the hamiltonian is a 2 x 2 matrix in the spin-space. The general single-particle Green function matrix G for the system (in the presence of interactions) is defined by its matrix elements Gp(Xl,X2)= -(T(@~(x1)@~(x2))) where x stands for (r, it). One also defines a corresponding Green function matrix G with its elements G~a(x~, x2) --(T(@(xl)d/a(x2))) =- Ga~(x2,xl). For the unperturbed Hamiltonian (1), the Green function matrix G o satisfies the equation in the Matsubara-frequency representation. Note that Go(rx, r2,/ton) = -G~(r2,rl, -/ton), where the superscript tr stands for transposition of (~,fl) indices. When a general effective interaction V(rl, r2; it.o n -- i¢om) is taken into account, there is a self-energy contribution, -~, to Go 1 . We call this modified Green function in the normal state as g, with the corresponding time-reversed counter part g. We shall assume that g is known approximately, and model it appropriately at a later stage. In the superconducting state, in addition to the single-particle Green functions G, G, there appear non-vanishing (2 × 2) matrix Green functions F and F defined by (Rajagopal and Jha 1991a) The corresponding self-energies are the gap functions A and A, with where fl = h/kB T is the inverse temperature parameter. Then the full set of self-consistent generalized Gorkov equations are given by with similar equations for C, and F', where in (4) and (5), g,--,f~, A,--,A, G,--,C,, and F~g'. These set of equations are generalizations of (25)-(27) of Rajagopal and Jha (1991a), and are sometimes written as a 4 x 4 matrix equation. These represent the possibilities of both spin-singlet and spin-triplet pairings. In this paper, we restrict ourselves only to the possibility of spin-singlet pairing for which there is only one gap function A~(rl, rz, ico.). Close to the superconducting transition, this obeys a linearlized gap equation In the first approximation, the normal state g can be replaced by Go of (2), which can be expressed in terms of the complete orthonormal set of states {qSv} associated with the operator Ko, with a set of quantum numbers collectively denoted by v: A further simplification of (6) involves using an effective short-range attractive potential in the form However, before using this form of I/", it should be noted that in the case of layered systems, (8) has to be replaced by as was discussed by Rajagopal and Jha (1991b). We will return to discuss this modification later at the end of § 3. For the present, with the condition (8), the gap function As(r1, r2, ico,) has the form A(r 1)6(r 1 -r2) with the same frequency cut-off as in (8). A(rl) then obeys the equation where Here, f~2 = £i~2i with fm = (#B/2h)ZiH)gji, (i,j = x,y,z). A nontrivial solution of (l 0) and (1 l)leads to the condition determining Tc(H ) for all H and Hca(T) for all T. To proceed further, we need to solve (7). For a magnetic field in an arbitrary direction, it is difficult to tackle this equation in the presence of a periodic potential, even for carriers in a single band but having an open Fermi-surface in the absence of the magnetic field. Of cource, for a closed Fermi surface, (7) can be solved analytically in the anisotropic effective-mass approximation. In any case, for most purposes, it suffices to treat the diamagnetic part of K 0 involving the vector potential A, in a semiclassical approximation: where go is the Green function associated with unperturbed Hamiltonian (1), with A in Ko set equal to zero. Then q5,. and G in (7) are just Bloch functions qS~k(r ) and energy hcbk, respectively, with band index b and wave vector k. With A --- ('l/2)H x r, for a single band the linearized gap equation then takes the simpler form where ~ is the unit vector along the magnetic field, H, r2= ch/elHI, and in which, C employing usual simplifying assumptions near the Fermi surface, L can be reduced to the from While obtaining the above equation, the Bloch functions are taken approximately to be plane waves. Here, N(0) is the density of states (per spin) at the Fermi surface (FS), co d = k~O/h is the energy cut-off, dSkr represents the element of solid angle at FS, and Vt - Vt et is the carrier velocity. For a given form of et and the shape of FS, if the function Pn(Q, ~) depends on j~ . 2^2 a202 + a2O 2 ;q then the resulting gap equation (13) can Q in the form ~tax~x+ y~. z~=,',,, be solved in a straightforward manner by making a simple scale transformation on Q and the reciprocal transformation on rl and r 2. This leads to a self-consistent condition for determining T,(H) and Hcg(T ). For explicit forms of the band energy hek and the orientation of the magnetic field H, the corresponding solutions will be obtained and analysed in the next section. However, before closing this section, we must mention here the modifications required in the above formulation if we would like to investigate the effects of weak nonmagnetic impurity scattering phenomenologically. In such a case, it is more convenient to perform the discrete summation over ~, = (2n + 1)rt/fl at the end of the calculation, i.e. after integration over ~, etc. For weak scattering it can be shown that this effect can be included approximately by changing i~o n to ico. + iF sign co. in the normal state Green's function 90 of(12). This essentially means that in (14), one replaces the integral over ~ as follows: co ma~ ~. co for t2 a << coa. The phenomenological where the cut-off nma x corresponds to . d, F is related to the mean free path, (d), by F = (Vv)/2(?). 3. Calculations of To(H) and Hc2(T ) We now consider two specific forms of ek near the FS, which represent situations of physical interest. For the case of a closed anisotropic FS, we take where as for a FS open in the k,-direction, we use the form The second form of the band structure is appropriate for the case of quasi-two dimensional high-To superconductors. The ensuing analysis of the solutions etc. in the above two cases will be given first, before considering, in subsection (c), the case of layered superconductors having more than one layer per unit cell. 3.1 Closed Fermi surface In this case, VkF of (14b) is given by where V~ = (2Ev/m) 1/z and m' = mxmymz. Then, Pn(Q, ~) is found to be where Introducing Rx, R 2 by scaling the vectors rl,r 2 as and we find that the gap equation (13) reduces to where n being the number density k3/3~z 2, and/4" is a unit vector along H. In this new frame, this gap equation is the same as for the spherical Fermi surface so that the general solution for arbitrary orientation of the magnetic field can then be written (Rajagopal and Vasudevan 1966a, b; Prohammer and Carbotte 1990): with the condition For H---~ I-Ic2, T-0, with ~o a >> k B T/h, f~n, we can use the standard low temperature expansion of the ~-integral involving tanh fl~/2. However, when impurity scattering is included, we follow the procedure given by (15). In that more general case, we use the following low temperature expansion in performing the summation over n, We thus obtain where 7 = 0"5772 is Euler's constant, Equivalently, this condition can be rewritten as where Equation (30) represents the superconducting transition line in the (H, T) plane. Thus at low temperatures, we have and where H (°) and H are given explicitly by (31) and (22) respectively. These lead to c2 the expected relations and We can also calculate in the Ginzburg-Landau regime the behavior of the system as H ~ 0, near T~ T~o by changing the variable q to Q = qr* in (27) and expanding the log term in powers of Q/r. In this limit, with F ~ 0, we find in agreement with Rieck and Scharnberg (1990) and Prohammer and Carbotte (1990), where with ((3)-~ 1'202. Hence, For the magnetic field in any arbitrary direction, one obtains the familiar clean limit result in this case for the ratio 3.2 Open Fermi surface The analysis in this case, with he\ given by (19), is quite different because at the Fermi surface there is now a cut-off in the integration over the polar angle 0 with respect to the k:axis, and k:integration is over the whole range -n/d to n/d. In fact, for 4t3/E r << 1, sin 0 at FS -~ 1. The relevant transformation which we employ in this case can be written as where ~ = e k - - Ef/h. For a widely open FS, with 4t 3 << El, the density of states N(0) at FS becomes Also, in this case, Vkf of (14b) is given by with where mz(0 ) is the effective mass in the k:direction at k~ ~ 0. Then Pn(Q, ~) of (14) is of the form where The above integral can be evaluated easily when Q~ = 0 or when Q~ = Qy = 0 (i.e. Q, = 0). In general, we will take which reduces to the exact expressions in the two opposite limits mentioned. Note that the form (47) is different from the logarithmic form found in the case (a) for Closed FS. Introducing R:, R2 by scaling r~, r 2, as and one finds that the solution of the resulting gap equation has the same structure as (26), with the unit vector/4" replaced by the unit vector/~a.) and r replaced by rL. However, the self-consistency condition condition has now a new form given by In the low temperature limit (T~0), with H ,,~ He2 , we obtain As before, this may be rewritten as where and where Tco, Ao, Hv are defined in the same usual way as in (31). Thus at low temperatures, with H (L) near H (m we have c2L ~ where Hc2x(O)=(mL~l/2rr(O) (mL~l/2.(O) \mx/ -- FIc2L, nc2y(O)= -- \my/ c2L' In the Ginzburg-Landau regime (T~ To, H--,0), we now find where This leads to and Note that for the magnetic field in any arbitrary direction, which differs considerably from the clean limit value of 0.7273, obtained for the closed anisotropic Fermi surface. Because of our assumption 4t 3 << E v, this coincides with the 2-D result (Rieck and Scharnberg 1990). Corrections to these results as a function of 4tale ~ can be calculated explicitly by relaxing the approximation sin 0F ~ 1 in (43), and obtaining the corresponding PH(Q, 3). 3.3 Layered superconductors Based on the pairing theory for layered systems (Rajagopal and Jha 1991a), a preliminary examination of the nature of the solution of the linearized gap equation in such materials, in the presence of a constant magnetic field perpendicular to the layers, was made earlier by us (Rajagopal and Jha 1991b). With an approximate form of interaction V(r~, r2, o9) given by (9) and the assumption for the gap function in the layer-representation (Rajagopal and Jha 1991a), where p = (x, y) is the position vector in the plane of the layers and J is the label for the conducting layer in the unit cell of the crystal, the linearized gap equation reduces to Here, As,J2 describes spin-singlet pairing of carriers in layers J~ and J2, V is the matrix-element of the interaction (9) in the layer-representation, and r2c = ch/eH.,, he jk. = h(n + ½)eH:/cms + hes(k=) - Ers is the one electron energy associated with layer J, having planar effective mass ms, hej(kz) describes the energy dispersion in the kz-direction, and hg2 n is the Zeeman energy defined earlier. For the sake of simplicity, we consider here only intralayer pairing for which A s . ~ A. 6... If we introduce the dimensionless coupling constants 2ss, = Ns ,1/2 Vj,j,,ssNs'J2 ~/fi ..... where Nj = ms/2nhZd is the density of states for the layer J, the gap equation (66) simplifies to a simultaneous linear set of equations for A s which has a nontrivial solution only if where We may now employ the semiclassical approximation for Mjj defined in (63) by taking (Gruenberg and Gunther 1968) where k,k', are 2-dimensional vectors in the (kx, kr) plane. Using the standard Poisson-Sum formula over n3, n4 sums and ignoring the oscillatory contributions, we then obtain Here, If we take hes = 2t3s(1 - cos k:d) as in (17), then the analysis given in § 2(b) is applicable to (70) so that where Vvs = (2Et~s/ms) 1/2. For the case when all the conducting layers in the unit cell are equivalent so that all the ms's and ls's are the same, with 21~ = :~22 ...... 2 and nearest neighbour interlayer coupling ).a z = 223 ..... 2,the solution of (64) for the highest T~ reduces to the condition where N is the number of conductirig layers per unit cell. For H= = 0, this gives To ° = (2eT/n)®,e - l/gN. The rest of the analysis is exactly similar to those in § 2(b) for the case of open FS. Thus except for the scaling of the coupling constant and hence To, the behavior of T~(H,) and H2.(T ) are similar to those given in §(2b). In the next section, we discuss these results. When the magnetic field is in the plane of the layers, the problem is much more complex unless the electron orbit radius in the presence of the magnetic field is less than the inter-layer separation. However, for only one layer per unit cell, the results of §(2b) should be a good approximation for general directions of H also. Near T~ T~o, this is consistent with the results derived by Lawrence and Doniach (1971) who obtained a difference equation based on a generalization of the Ginzburg-Landau approach to layered materials. In the case of materials like YBaCu207, to apply the results obtained in §(2b), we have to assume that all the three Cu-O layers are approximately equivalent with the corresponding parameter, d, in (17), taken to be L/3, where L is the unit cell dimension along the Z-axis. 4. Discussion of the results and conclusions In table 1, we have summarized the list of parameters of our calculations. The major differences arising from the shapes of the two Fermi surfaces (closed and open) are found in the densities of states, N(0), the equivalent mass-parameters m~ and m3(n ) Table 1. Model parameters and upper critical magnetic field. Anisotropic closed FS Nature of parameters (effective mass) h2( k~ k 2 + ~ k 2 +-~-= ~- E v h~(~ ~ Anisotropic open FS (layer) ~2) +~ + 2ta(1-cosk.d)-E \ 2m~ 2my 4ta<<Ee, d- <~k=<~. h 2 m~(O) = 2~3d2 ; m3(n) = m:(O)~. nh2 d (m~mr) 1/2 E/.. n Vrt. = ( 2Er /mL ) l/2, mL = [mxmym3 ] 1/3 N (0) = n/2E r = (m~m r)ll2/2nh2 d mx 1/2 m~ I/2 mx . ((°) = -- Hx ---r H r 2 = ch/elH..~[ 1 fl n = 2~PBH'g Hc2i(O)=(mL) I/2f4(0) * " <2L" ( = x, y) k rnl / Hc2z(O)= mL t3 H(O~ = 2erA2c V2t.eh 05906 • , 4t3 << Ev i I/3 (o) 1113 1113 1/2 (m)) -- H v 1/2 H Ox OO e, t~ t~ respectively, in the z-direction, and in the structure of the function, Pn(Q, 4), appearing in the kernel of the linearized gap equation, (13). For the closed, anisotropic FS, pn, given by (19), is of the logarithmic form, whereas that for the widely open FS, Pn is given by (47), with a square-root structure. These differences show up most prominently in the expressions for the upper critical field H2(T=0 ) and (dlHc2(T)l/dT)rc o. The numerical parameter h(0) defined in table 1 is often used in estimating J H2 (T = 0)} from an experimental knowledge of - T o(d [ H2 (T)1/d T)rd In the clean limit, we find that for the case of a widely open FS considered here (applicable to layered superconductors, with 4t3<<Ev), h(0)=0.5906 instead of 0.7273 for the three-dimensional closed FS. To obtain a lower extrapolated values of [H 2(0) 1, experimentalists have often used (Lan et al 1991) the dirty-limit result, 0.69, for this parameter, although coherence lengths in high-T~ superconductors are much smaller than the mean free path to justify such an assumption. For extreme layered systems, our value of 0"5906 for h(0) in the clean limit ought to be used in such extrapolations. From our calculation, we can, of course, obtain directly the value of Hc2o(0 ), for single-crystal materials like YBa2Cu303(YBCO ) where estimates of band structure parameters are more reliable. Even for YBCO, one can obtain more than one set of consistent parameters from experimental observations (Batlogg 1990; Kresin and Wolf 1990; Press and Jha 1991a, b). The observed anisotropy of the d.c. resistivity Pc/Pab in YBCO ranges from 25 to 300, with larger values at lower temperatures. Consistent with Hall measurements and other data for single crystals of YBCO, we may assume the following set of values of relevant parameters: n = 4 x 102x cm -3, (mz(O)/(mxmr)l/2)(Er/t3) = ma(n)/(mxmr) 1/2 = 27; (mxmr) 1/2 = 4.5 m, EF---0"leV, and T~o=90K. These lead to mL=(mxmrm3) 1/3~ _ 13.5m, VFab = 8"83 X 106cmsec -1, Vr3 = 1.7 x 106cmsec -1 and VrL= 5.1 x 106cmsec -1. We thus r/to) ... 216Tesla, H~2(0 ) = obtain t-/~°)'-.124-5Tesla, Hab¢O~--(mr./(mxmr)l/2) 1/2 --eL "'cL -- c2", : -(mL/m3) 1/2 nt °) ". 42 Tesla, (dn~2ab/d T)rco ~- - 4 Tesla/K and (dn~2/d T)r~ o = - 0"8 Tesla/K. Because of the broadening of the resistivity transition curve when a magnetic field is applied, it has been difficult to get reliable experimental estimates (Worthington et al 1987) of the derivatives and H2. Also, estimates based on magnetization measurements (Welp et al 1989 and 1991) differ considerably from the measurements based on resistivity. Our results fall within the range of the observations, and can be classified as good, keeping in mind our simplifying assumptions in ignoring the differences between chain and plane layers in YBCO, and strong coupling effects. In fact, if instead of the weak coupling value of Ao, given by (31), the actual experimental value of the average gap parameter for YBCO is used in (54) for determining 1-I2, etc., their values increase by factor of about 2, with (Batlog 1990) Er --- 0.25 eV. The effects of weak, nonmagnetic impurity scattering and the paramagnetic interaction are manifested in fixing the parameter a ff in the condition for determining the low-temperature transition in the (H, T) plane. As shown explicitly in (30) and (31) for the closed FS, and in (53)-(55) for the open FS, the dependence of respective aef f, on the impurity scattering parameter, F, and the paramagnetic energy hlf~n[ are quite different. For the closed FS, the parameter a(H,F) has an addition of a logarithmic term, whereas for the widely open FS, the corrections are linear in F and quadratic in ID n 1. This implies that at low temperatures, the variation of IHceeff( T) I as a function of T and that of T<(H) as a function of H differ considerably in these two cases. In the dimensionless parameter h(T), defined by, where aef f = a is given by (31) for the closed FS, and aaf = aL is given by (55) for widely open FS. Note that the numerical prefactor in this parameter is 1.1874 for the widely open FS, compared to 0.4645 for closed FS. In fact, for the open FS, aL(H,F) is well-behaved in the limit H~0 and F-+0 while a(H,F) is well known (Gruenberg and Gunther 1968) to be nonanalytic there. Also, the behavior of To(H) for H near Hc2 is governed by the coefficients a- 1/2(H, F) and a[~ "~IZ(H, F), respectively, in these two cases, via (33) and (57). The spatial coherence length in the superconductor may be estimated either from the BCS approach or from the Ginzburg-Landau theory. At T = 0, the BCS coherence lengths are given by Using the parameters for single crystal YBCO given earlier, we obtain These are consistent with the oft-quoted experimental numbers, 15/~ and 3/~ respectively. The anisotropic coherence lengths ¢i, defined in the Ginzburg-Landau scheme, are given by the relations For the case of a widely open FS (extreme layered system), near T,-~ To, we find where m L and m._(O)Erlt3 -- m3(n ) are same as in table 1, and h (°i is defined by (60). cL OL 0 ~ 0 For YBCO, the ratio of the coherence lengths is found to be ~z ( )/lab ( )'~ 1/5"2, with ¢=OL(0) "" 4 ~, for the parameters discussed earlier. In conclusion, we have presented the conditions for the superconducting transition in the (H, T) plane for an anisotropic, layered, type II superconductor with open normal state FS. We have treated the orbital effects of the magnetic field semiclassically, but we have included the effects of anisotropic paramagnetic interaction and weak nonmagnetic impurity scattering. Numerical estimates for H2(0 ) and ~(T) in YBCO are in reasonable agreement with experimental data. It may be necessary to include the effects of spin-orbit interaction and magnetic impurity scattering in a more general situation in which the high-Tc superconductors are doped with nonmagnetic ions, using the more general formulation of Rieck et al (1991). Usually these effects reduce h*(0) to values much lower than its value, 0"69, in the extreme dirty limit. However, we have shown that for the case of anisotropic widely open FS considered here, the parameter is already reduced to 0.59 in the clean limit. This is of importance in finding the extrapolated values of He2(0 ) from measurements. Although, we have presented here the analytical results for two specific forms for the single particle energies and FS's, we should emphasize that our formulation is such that it can be used for any general single particle dispersion, fie(k), if we resort to numerical evaluation of (14). We should however point out that in the above analysis, we have not considered the high field Landau level quantization effects, and, the possible inhomogeneity of the fields inside the superconductor arising from the formation of vortex lattice structures (Rieck and Scharnberg 1990; Prohammer and Carbotte 1990; Rieck et al 1991). From the work of Prohammer and Carbotte (1990), for T near Tc the corrections to the Gaussian form of the gap function, are expected to be small in the weak scattering limit treated here. For the more general case, some of these questions will be considered in a future communication. Acknowledgements One of us (AKR) is on sabbatical leave from NRL. His work is supported in part by ONR. He thanks the Theoretical Physics Group, Tata Institute of Fundamental Research, Bombay for providing him all the facilities for carrying out his work and for their warm hospitality. 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Pre- service teachers´ experiences about peer teaching using (ECRIF) and (PDP) Framework Experiencia de docentes en formación de la enseñanza entre pares utilizando los modelos (ECRIF) y (PDP) Abata Fanny Gavilanes Grecia Universidad Técnica de Cotopaxi, Ecuador Resumen La enseñanza entre pares es una estrategia que los estudiantes utilizan para aprender de sus compañeros y es útil para desarrollar habilidades en inglés. El objetivo fue describir las experiencias de futuros docentes utilizando la enseñanza entre pares con (ECRIF) y (PDP). La implementación ayudó a desarrollar habilidades de escucha utilizando estrategias previas durante y después (PDP) y Encuentro, Recuerdo, Interiorización y Fluidez (ECRIF) a cinco estudiantes que reprobaron el primer semestre de la carrera de inglés. El método fue cualitativo por utilizar el análisis temático con los datos de doce guías de reflexión escritas por los profesores en formación. Los hallazgos mostraron que los futuros docentes tuvieron beneficios y desafíos durante la enseñanza entre pares utilizando (ECRIF) y (PDP). La enseñanza entre pares les permitió adquirir experiencia en la planificación y preparación de materiales didácticos para enseñar y sentirse seguros. (ECRIF) ayudó a los estudiantes a practicar estructuras, gramática y vocabulario. (PDP) contribuyó a la comprensión auditiva. Como desafíos, los profesores en formación enfrentaron la falta de preparación en la enseñanza y la falta de interés de los estudiantes por aprender inglés. También tuvieron dificultades con el manejo del aula durante las clases virtuales. En conclusión, la enseñanza entre pares es una estrategia que ayuda a preparar a los futuros docentes para su profesión y a ser conscientes de las necesidades metodológicas y de gestión del aula. Palabras clave: comprensión auditiva, destreza comunicativa, (ECRIF) y (PDP), enseñanza entre pares. Abstract Peer teaching is a strategy that students use to learn from their peers and it is helpful to develop English skills. The objective was to describe pre-service teachers' experiences using peer teaching with (ECRIF) and (PDP) as frameworks. It helped to teach five students who failed the first semester of the English major. The implementation focused on developing listening skills using pre-listening, during listening and post-listening (PDP) and Encounter, Remember, Internalize and Fluency (ECRIF) to promote speaking skills in the English language. The method was qualitative. The researchers analyzed the data with a thematic analysis of twelve reflection guides written by the teachers-in-training. The findings showed that pre-service teachers had benefits and challenges during peer teaching using (ECRIF) and (PDP). Peer teaching allowed them to gain experience of planning and preparing teaching materials to teach and feel confident. (ECRIF) helped students practice structures, grammar and vocabulary. (PDP) contributed to listening comprehension. As challenges, the teachers-in-training had to face the lack of preparation in teaching and the lack of students' interest in learning English. They also had difficulties with classroom management during virtual classes. In conclusion, peer teaching is a strategy that helps prepare future teachers for their profession and be aware of the methodological and classroom management necessities. Key words: listening comprehension, speaking skill, (ECRIF) & (PDP), peer-teaching Introduction Learning English is the goal of students to expand their jobs and academic opportunities. Then, teachers are responsible for applying strategies that promote learning in class. Peer teaching is a strategy to help lower students learn from their higher partners. The high level students can teach linguistic content and develop English skills. Some of the students' problems are poor of vocabulary, grammar, lack of understanding to produce of the English Language. It causes failure in their progress of studies at the first levels of the English Career. In that sense, Varas and Benitez (2018); Souriyavongsa et al. (2013); Andrade (2019) showed that students had difficulties for understanding vocabulary, grammar and speaking simple topics in elemental conversations and it relies on no methodological strategies of teachers to develop listening and speaking, lack of confidence to use the language, lack of English background, and poor motivation to learn English. Based on that, some researchers suggested using Peer teaching as an instructional strategy for teaching weak students. Umar (2016) reports in his study that peer teaching is a useful strategy to teach English and prepare pre-service teachers to master their abilities to teach and have perception. Zapata (2020) points out that peer teaching proves that when learners are taught individually or in small groups, it can be effective promoting learning in the classroom. Sunggingwati (2018) stated that peer teaching is effective when partners apply appropriate material according to the student´s level and specific needs for them to learn. Consequently, peer teaching is highly recommended for students who have trouble progressing in class (Utha and Rinzin, 2019). Chin-Yu et.al. (2021) applied a peer teaching approach to assist students' English-speaking development using a control and experimental group. The result showed that students from the experimental group improved significantly speaking skills because students could participate more without being judged by others. Then, two pre-service teachers applied peer teaching using (ECRIF) and (PDP) to develop speaking and listening in students who fail the academic first semester. Some research studies report the feasibility of applying (ECRIF) and (PDP) frameworks to overcome the difficulties in listening and speaking. Muñoz (2013) states the implementation of ECRIF framework was positive in developing speaking skill due to the process of learning the language through some activities in class. It makes to involve students in class and make them feel confident during the pedagogical practice. The research of Dalkıran and Semerci (2020) shows that (ECRIF) was effective to develop speaking skills due to the process it follows to make students engage and facilitate learning. Kalaf, (2016) stated that when planning using (ECRIF) or (PDP) lessons plans, it is necessary to consider the students ´level and the connection of the topic with the didactic material to help them use the language in real situations. AlSaleem (2018) shows that (ECRIF) helped students in vocabulary learning and retention in English as a foreign language. Caiza (2021) also stated that (ECRIF) helps to promote grammar and vocabulary to start producing the language. Concerning listening, Córdoba and Rangel (2018); Movva et al. (2022) affirmed in their studies using pre-listening activities, during-listening activities and post-listening activities helps to develop students` listening understanding. Maithri and Suresh (2020) concluded that predicting as a pre-listening strategy, questioning as during listening strategy and summarizing as post-listening strategy engage student`s actively in meaningful tasks to understand meaning. Furthermore, Flores and Guido (2021) stated that the implementation of (PDP) framework contributed developing 9th graders´ listening comprehension skills while providing different activities during the stages to explore the idea or messages from the simplest to the most complex. Therefore, the objective is to describe pre-service teachers' experience with peer teaching using (ECRIF) and (PDP) frameworks in five weak students who failed the first semester of English Major at the Technical University of Cotopaxi. The study attempts to answer the following research question: What are the Pre-service teachers` experiences with peer teaching using (ECRIF) and (PDP). This research is supported by a bibliographic investigation on Peer Teaching Program (ECRIF) and (PDP) frameworks. Peer teaching refers to a pre-trained successful student who teaches content or skills to another group of students under the guidance of the teacher (Serap & Aktaş, 2016). According to Topping (2005), peer teaching is a strategy to make students learn knowledge and skills with a partner without the intervention of the teacher. Al Kharusi (2016) states that peer teaching is a learning strategy because permits strong students to exchange their knowledge to weak students and practice the content to make it part of their long memory. Al Kharusi (2016) mentions peer teaching contributes to pre-service teachers to being patient, responsible, confident and punctual in their future activities as teachers in service. Similarly, peer teaching serves to increase the teaching experience to pre-service teachers and feel more confident to teach (Azis et al., 2023). On the other hand, Utha and Rinzin (2019) assert that students feel more comfortable participating and learning when the teacher is a friend or partner. According to Shiaman Abd (2006), speaking skills is defined as an interactive process that involves, meaning, comprehension, processing information and production to communicate coherently, fluently and appropriately in a specific context using correct grammar and vocabulary. ECRIF is a framework based on Communicative Language Teaching (CLT). It organizes a non- linear process to help learners be successful in speaking skill (Tosuncuoglu, 2017). (ECRIF) is an acronym for Encounter, Clarify, Remember, Internalize and Fluency. The stages in (ECRIF) framework help students to move for a simple to a complex activity to present the new language, practice the language with control and free activities and produce the language (Dalkıran & Semerci 2020). The encounter phase is the first time a learner encounters new material or information. It is the presentation of a new language. In the ENCOUNTER phase, the learner's background knowledge is activated and what they already know is found out (Mohamed 2019). Teachers can question or brainstorm to draw learners' attention, so they can notice what kind of vocabulary or grammar they will need to move on to the next activity (Mohamed 2019) Clarify is "an internal phase that occurs inside the learner" (Khalaf, 2016 as cited in Mezied, 2017, p. 38) who can "find meaning and use of new item in context" (Bouzid, 2017, p. 58). Therefore, the students will be able to "connect the target grammar and vocabulary with correct meaning using reading or examples on the board. This can help students to learn naturally and not by explaining grammar rules or isolated vocabulary. Remember is a stage that students start practicing the linguistic content using control activities to help the learner memorize consciously structures and vocabulary to use later in speaking activities (Tosuncuoglu, 2017; Tamrabet, 2017). Internalize deals with "the process of learning something so that it can be used as the basis for production. Once language is internalized, it can then be retained and retrieved when needed for communication" (Muñoz, 2013, p. 16). According to Mezied (2017), it also involves "constant freer and less controlled practices where students can determine the suitable decisions and select from the choices depending on their information without any outside support" (p. 38). Fluency is "the ability to undertake communicative situations using language skills broadly and easily without any difficulties" (Tamrabet, 2017, p. 23). In this case, teachers have to set learning activities for students to use what they learned in a free and more personal way. So, the language needed for communication in the learning activities is naturally generated by learners by choosing which language to use or not to use. Teachers do not interrupt the activity, but they focus on students' self-correction and provide feedback when it is necessary (Muñoz, 2013). Tosuncuoglu (2017) states that in the (ECRIF) framework it is important to apply some activities such as matching activities, identifying correct and incorrect answers, ask CCQs (Concept Checking Questions), clarify contains, drilling, gap fill information gap searches, scrambled words, guessing games, reading scripts and dialogues. Remember includes; guessing games, information gaps, storytelling/ role play, short answer activities, project structured discussions and card games. Internalize stands for; guessing games. Fluency lines debates, role play, information gap, discussions. According to Hossain (2015), listening is a receptive skill that involves receiving, processing and interpreting sounds until they convey messages that have meaning for speakers. In this regard, learners need increased concentration to improve this skill, which is also useful for learning the pronunciation, intonation and stress of words and phrases that are relevant elements for English learners. For Smith (2021) PDP Framework is useful for teaching receptive skills (reading and listening), being also easy to implement and easy to understand because of its simplicity. PDP framework "enables teachers not only to plan and demonstrate the successful listening lesson, but it also keeps students active, engaged, and motivated throughout the three stages of the listening lesson: the pre, during, and post ones" (Nehar, 2009 as cited in Abdalla, 2020, p. 6). Povey, 2019 describes the three stages: the pre stage helps EFL teachers and students start organizing their thinking or perception to predict the topic. They think about some pictures or key questions to have an idea about the topic. At this stage, they need to understand the meaning of new vocabulary in the audio or text by presenting pictures. Povey (2019) mentions that some activities of this stage are: "activating schema, assessing students' background knowledge, pre-learning the new and necessary vocabulary to understand the text, and generating students' interest in the topic" (p. 1). During- stage, the learners listen to the audio material or text and complete certain interactive activities to develop understanding progressively. It goes from general ideas and specific ideas to promote understanding. And in the post-stage, learners integrate understanding and produce English by activities that promote speaking. Some of the listening strategies for PDP framework are mentioned by Acevedo et al. (2018). Pre-listening can be matching vocabulary to pictures, predicting from a headline, title, group of words, pictures, etc. During-listening can be listening, reading and drawing, answering general information (gist) questions, arranging pictures or events in order, finding the mistakes. Post-listening can be discussion questions or topics, making and telling a similar or personal story, writing summaries and talking about advantages and disadvantages. Methodology This research is qualitative because it focuses on the experiences of two pre- service teachers who implemented peer teaching using (ECRIF) and (PDP) frameworks. The researchers applied the steps of action research as a method of investigation and getting results. In the first stage, the teacher from the subject of Pre-Basic English A1.3 identifies the low levels of students by different activities during the academic period. The students had low level of vocabulary, grammar and they could not transmit their ideas easily. Their scores were low and that's why they failed the semester. So, the teacher from that subject found alternatives to help those students enhance their level of English through the peer teaching strategy. After that, the researchers found information about the way to implement peer teaching in an extra course. The proposal implementation was done by a micro curriculum (lesson plan) using (ECRIF) and (PDP) frameworks, The implementation was conducted in the English Major at the Technical University of Cotopaxi with five female students who failed the subject of Pre-Basic English A1.3 during the period Abril- August 2022. Two pre-service teachers from eight level applied the lesson plans using ECRIF and PDP activities in the peer teaching. They used the Google meet platform for 12 weeks for two hours. It was virtually because students had other classes and it was difficult to attend face-to-face. The teacher from the subject of Pre-Basic English A1.3 organized the schedule to implement the peer teaching and frameworks. She was the tutor who supervised the classes and provided feedback. The data collection was through the pre-service teachers' reflection guide that they had to write after teaching every class. The reflection guides include some questions like what did I do to make students understand? What did students do? Was it significant? How did I feel? What can I learn from it? What helped learning and what hindered learning? The data analysis followed the six steps of thematic analysis to analyze the pre-service teachers' reflection guide. First, we read the reflection guides to reflect on how to organize the information. Second, we generated codes for pre-service teachers taking one initial letter from the words and provide a number like this (PST1-PST2). Third, we elaborated a chart to copy the most relevant information with some colors to identify similitudes and differences to categorize the themes according to the pre-service ideas in the reflection guide. Fourth, we read again the information to review the information and the themes to get categories and subcategories of the information to start describing the pre-service teachers ´perception based on the themes. Ethical considerations The information was analyzed previously an oral informed consent done with the students virtually. The researcher meet via Zoom and explained the purpose of the peer teaching implementation using ECRIF and PDP. The researcher invited to be part of the research and just one pre-service teacher accepted. The second pre-service teacher just approved saying yes to use the information for academic purposes. Results and Discussion The findings from the research are presented around the pre-service teachers' experience about peer teaching using (ECRIF) and (PDP) frameworks. The findings showed pre-service teachers had benefits and challenges. Two central categories and some subcategories emerged. (See table 1) Tabla 1. Categories and Subcategories about the reflection guide To answer the research question, the researchers analyzed the pre-service teachers' reflection guide and found pre-service teachers` had benefits and challenges about a peer teaching program using (ECRIF) and (PDP). Excerpts from the pre-service teachers about benefits on Peer teaching, (ECRIF) and (PDP) Category A .1. Benefits Peer teaching Subcategory A.1.1 Teaching perception "I got more perception teaching English" (PST1). "I could improve my professional development" (PST2). "I prepared carefully my class and I learn a lot from it to teacher" (PST2). "The tutor teacher´s feedback let me improve my way of teaching" (PST1). Subcategory A.1.2 Didactic Material "I learned to prepare a satisfactory didactic material" (PST1). "I gained perception preparing activities with these frameworks" (PST2). "I review the material before presenting to my students" (PST1) Subcategory A.1.3 Qualities of a good teaching "I learned to be patient" (PST1). "I felt more confident about teaching" (PST2). "I realized I like teaching" (PST2). Pre-service teachers can determine that Peer Teaching Program was beneficial because it helped them gain more perception to improve their professional development in teaching English. The result is in line with Umar (2016); Al Kharusi (2016); Zapata (2020); reporting in the study that peer teaching is a useful strategy to prepare pre-service teachers to master their abilities to teach and have a perception for their professional life. They also learned to prepare didactic material according to student´s level and interest. It contributes to motivating them to learn and participate in classes. They also get used to and check the material before applying to classes. This result is similar to Sunggingwati (2018) who says that the main reason why participants were satisfied with the material was because pre-service teachers prepared material according to student´s level and interest, so it was easy to relate to their needs. They also learned to be patient and they realized they like teaching so they were more confident doing it. It is in line with Zapata (2020) who showed that peer teaching programs impact their self-emotional development due to their position as a teacher in the classroom. Category A.2 Benefits (ECRIF and PDP) Subcategory A.2.1. Activities "I can point out that the activities that were carried out from less to greater complexity and sequentially promote speaking" (PST1). "ECRIF framework activities help the teacher and students' performance to achieve the learning objective strategically and cyclically" (PST1). "The speaking pair activity was fruitful because the students could feel more confident" (PST1) "I wrote my own examples using the target language to make the example more personal and understandable" (PST1). The first activities used were of great help for the students to have partial knowledge of the listening" (PST2). "During class the students showed a certain shyness, but as the activities were developed, they showed confidence when participating due to the activities were presented in order to make students understand about the topic" (PST2). Activities from less to greater complexity allow the students to know what and how to do and to go from a superficial understanding to a deeper one" (PST2). According to pre-service teachers, the activities in (ECRIF) helped practice structures and vocabulary in the different stages. Some activities throughout the stages of encounter, clarify, internalize and fluency were guessing games, role plays, scramble sentences, questioning and matching. They promoted be confident to students and made them feel more comfortable to participating in class. These results are similar to the study conducted by Muñoz (2013) who states that the ECRIF framework is an innovative proposal that allows students to be involved in different activities in the classroom and be engaged during the pedagogical practice. Moreover, Caiza (2021); Dalkıran & Semerci (2020); AlSaleem (2018) supported that (ECRIF) Framework can develop grammar and vocabulary retention to promote speaking skills among teenagers and interact spontaneously with their classmates. Apart from that, (PDP) activities let students to develop understanding of the topics from the audios. The results are similar to Córdoba and Rangel (2018); Movva et al. (2022) affirmed in their studies using pre-listening activities, during listening activities and post-listening activities help develop students` listening understanding. The activities were predicting, guessing and summarizing. They help understand the context of the audio. Maithri &Suresh (2020) concluded that predicting, questioning and summarizing engage students actively in meaningful tasks to understand meaning. Furthermore, Flores and Guido (2021) stated that the implementation of (PDP) framework contributed to developing 9th graders´ listening comprehension skills while providing different activities during the stages to explore the idea or messages from the simplest to the most complex. Subcategory A.2.2. Content "Topics were understandable because they were selected according to the students' level" (PST1). "I considered that it happened because the activities of "Everyday life" were selected according to the students' level" (PST1). The listening topics were selected according to the level of my students and the students participate significantly" (PST1). Pre- service teachers selected the topics according to the students' level so, it contributed to students to understand and follow the different activities in speaking and listening to engage and work easily. Kalaf, (2016) stated that when planning using (ECRIF) or (PDP) lessons plans, it is necessary to consider the students ´level and the connection of the topic with the didactic material to help them use the language in real situations Subcategory A.2.3. Listening strategies "I think that the comprehension checking questions helped identify whether students understood the instructions" (PST2). "The collaborative work helped to know if the students understood the listening topic" (PST2). "In order to understand the listening material, I used pictures and interesting discussion questions to get the students closer to listening" (PST2). "I consider that what helped to achieve learning was the use of appropriate and striking strategies such as illustrations and interactive questions regarding listening, which allowed us to know the degree of understanding and learning" (PST2). "I repeated the audio to them as many times as necessary for them to achieve their complete understanding" (PST2). "I consider the most useful aspect that allows to develop the class effectively was the activities provided in the PDP framework due to this strategy offers a systematic order of activities to develop in a listening class" (PST2). Concerning listening strategies, Pre-service teachers considered that (PDP) framework helps students improve their understanding of audio. It was because pre-service teachers applied audio according to students 'level and planned different activities such as predicting, questioning, true or false sentences and summarizing in pre-, during and post- stages to develop listening. These activities contributed to understanding and having an idea about the meaning of general and specific information on the topic. The activities also generated ideas about the content of the audio and engaged students in class. The result is similar to Córdoba & Rangel (2018); Movva et al. (2022); who affirmed using pre-listening activities, during-listening activities and post-listening activities help develop students` listening understanding. It is also in line with Maithri & Suresh (2020); Flores and Guido (2021). Furthermore, Zuñiga & Gutiérrez (2018); Sánchez (2021) showed that dynamic assignments, questioning, videos that included pre, while, and post-intensive-extensive listening practices allowed students to understand, interpret about the topic to produce oral messages and provide suitable responses. Subcategory A.2.4. Technological Resources "Google meet and zoom with the break up rooms was another thing that enhanced the learning process" (PST1). "The use of websites helped provide students with a new way of teaching" (PST1). Technological tools such as Zoom, breakup rooms Nearpod, and websites helped pre-service teachers to teach virtually. The tools helped engage students in virtual classes 11(1): 10 -16 enero-abril 2024 and be able to promote their speaking and listening skills. The result is similar to Puteri et al. (2021) who found that students feel that learning using these interactive tools develops speaking and listening at their own pace. So, pre-service teachers saw the benefits of virtual learning because they can get the information quickly and use it in class. Excerpts from the pre-service teachers about challenges on Peer teaching Category B.1 Challenges Peer teaching Subcategory B.1.1 Pre-service teachers 'preparation "At the beginning I had prepared class material without considering the English level of students" (PST1) "Low level of English did not help to implement ECRIF and PDP framework appropriately" (PT1) "It was difficult to control the time so I spent too much time on it and I did not pay attention to the time" (PT1). "I realized that students needed more time with the activities prepared in the lesson plan" (PST2). "Provide clear instructions to students" (PT1). Pre-service teachers also had challenges during their experience of implementation. Results showed that the two pre-service teachers had problems in their teaching preparation, students´ interests, and classroom management. Those \|affected the process of teaching and learning English in virtual classes. First, the pre-service teachers had challenges in preparing material. They had prepared it without considering the student´s level. It provoked learners to feel demotivated and confused in classes. It is in line with the results of Nababan and Amalia (2021) in their results, students had problems selecting the appropriate material according to their characteristics and the amount of time to do each activity because they learned to distribute it in unreal situations. Therefore, time was complicated to manage in class because of students´ low level of English. It made pre-service teachers provide more extra time and it caused them not to have time for the rest of the activities. It is in line with Novembrin (2019), the results showed that pre-service teachers had problems controlling the time and worried about not completing all the materials planned for the class and not having control of the process of classes. Another relevant fact is how to provide clear instructions to make the class understandable so students can complete the task. Pre-service teachers provided long instructions without examples or body language to transmit understanding. It generated students feel confused and demotivated to learn. So, pre-service teachers got confused about whether or not to continue using English and they ended up using Spanish to give the instructions. It is in line with Sandholtz (2011) who found that pre-service teachers' instructions failed because pre-service teachers provided conceptual instructions without giving examples and hand movements to make students interested in class and make them understand. Then, the authors recommended helping pre-service teachers select, elaborate interesting and understandable material according to students´ level to make them participate, and engage in classes to learn the language. Subcategory B.1.2 Students' interest The lack of interest of some students for the subject makes the class not develop correctly" (PT2). "Students' participation wasn't active at all" (PST1). "To get students attention due to they get distracted easily" (PT1). "Students were not punctual and responsible for their learning. (PST2) Second, the pre-service teachers had challenges in promoting student's interest in class. They got distracted easily and did not participate voluntarily. It was the result of students' lack of interest in learning. It has caused difficulties in teaching and promoting language skills using (ECRIF) and (PDP) frameworks. Students did not pay attention. They did not come to classes punctual. They were late and were not responsible for their learning. It was in line with Novembrin (2019) who found that pre-service teachers got anxious because students did not get interested in classes. It caused them not to get the main objective planned for the class. Novembrin (2019) found that students did not take classes seriously because pre-service teachers are not considering teachers yet. Then, the author also revealed that participants need to get students' attention with interesting material to achieve the goals so, students can engage and participate in classes. Another important point was that students did not come to classes punctually, respected time, did not want to participate in class, and did not want to complete the task with responsibility. This result is different from Ipek (2021); who showed that pre-service teachers and students working together contribute to creating a positive environment for learning. Students were interested in their learning so they asked questions freely to solve their doubts. Subcategory B.1.3 Classroom Management "Make students participate in class" (PT1). "Manage the pressure students feel for the time they have to develop the speaking activities" (PT1). "To motivate them to respond even though they made mistakes" (PT1). "I felt nervous at the beginning, but when I started my class, I become more confident" (PST2) Finally, pre-service teachers had some challenges in classroom management especially in providing clear instructions, controlling students´ anxiety in speaking tasks, making students participate in class, motivating them to speak without being frustrated by errors, and controlling nervousness. It caused uncertainty in the learning process and misunderstanding among students to learn. It is in line with Novembrin (2019) whose findings showed that participants got anxious because they could not control the class, make entertaining lessons, and manage the condition of the students in the classroom, causing unconfident participants with their teaching performance. Conclusion In conclusion, peer teaching is an instructional strategy that contributes to preparing pre-service teachers for their profession. So, the study showed benefits and challenges when implementing peer teaching using (ECRIF) and (PDP) frameworks. Peer teaching permitted pre-service teachers to gain perception on planning and preparing didactic material to teach and feel confident when teaching. They believed this kind of program helps pre-service teachers have real contact when teaching and be aware of the methodological and classroom management needs. Related to the benefits of using (ECRIF) and (PDP) as a way to organize teaching in classes, pre-service teachers considered that the sequence of activities and the strategies applied in each framework helped their students learn and practice the use of language in classes. The ECRIF framework helped their students practice grammar, vocabulary, and fluency from control activities to free activities that make students produce language. PDP framework with appropriate strategies such as predicting and answering questions contributed to listening comprehension of the audio presented in class. The use of technological resources such as websites, Nearpod and Zoom contributed pre-service teachers to teaching virtually. On the other hand, there were challenges to pre-service teachers´ preparation, student´s interest and classroom management when implementing peer teaching. Pre-service teachers needed more preparation in selecting material according to students 'level and provide more clear instructions to make students work and participate in classes. They also needed to learn how to distribute and control the time provided per each activity. Furthermore, they need to learn how to motivate students to participate in class and control their anxiety when speaking. Then, it was complicated to apply the two frameworks because some students were not interested in learning the language and got distracted easily in class, so their participation was poor. It was because some students were in the teaching program as a requirement but not because they considered they needed to learn. Thus, peer teaching is useful when students are interested in learning and they want to overcome their difficulties, otherwise, they are not responsible, punctual and respectful with pre-service teachers and their learning. The limitations of the study were the selection of participants because not all of them were interested in the peer teaching program, but they participated because they needed to complete some hours of learning to move to the next level. Therefore, it is suggested to work with students who are interested to learn. This study provided further investigations about the implementation of peer teaching programs using (ECRIF) and (PDP) in face-to-face classes to have a comparison of results between virtual classes. It is also necessary to investigate how different peer teaching is with pre-service teachers and peer –partners to check the level of improvement. Cited Literature Al Kharusi. D. (2016). What Positive Impacts Does Peer teaching Have Upon The Peer Tutors at SQU? 7(27). https://files.eric. ed.gov/fulltext/EJ1115801.pdf AlSaleem, B. I. A. (2018). The Effect of ECRIF Strategy on EFL Seventh Graders' Vocabulary Learning and Retention. Arab World English Journal, 9(2), 70-91. https://dx.doi.org/10.24093/awej/ vol9no2.5 Andrade, J. I. (2019). The cooperative learning in speaking – fluency development [Master thesis, Universidad Técnica de Ambato]. https://repositorio.uta.edu. ec/handle/123456789/29853 Azis, S., Halim, A., & Aeni, N. (2023). The Implementation of Peer Teaching Technique in English Teaching at The Eight Grades of Junior High School in Pallangga Gowa. Celebes Journal of Language Studies, 3(1), 99-114. https:// doi.org/10.51629/cjls.v3i1.129 Bouzid, H. (2017). A Model for active Reflective Teaching. ELT News, 2017(1), 49-59. http://morcenet.org/ wp-content/uploads/2017/10/ELTNEWS-MAG-October-editing-2.pdf Caiza, G. (2021). The Effect of Ecrif Framework on the Development of Speaking Skill on Students. [Master's dissertation, Technical University of Ambato]. https: // repositorio.uta.edu.ec/jspui/ handle/123456789/32769Chin-Yu, C., Shao-Chen, C., Córdoba, E., Rangel, E. (2018). Promoting listening fluency in pre-intermediate EFL learners through meaningful oral tasks. Profile: Issues in Teachers' Professional Development, 20(2), 161-177. https://doi.org/10.15446/ profile.v20n2.62938 Dalkıran, B., Semerci, Ç. (2020). The Effect of ECRIF Taxonomy in Foreign Language Teaching on Academic Achievement. 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European Journal of Molecular & Clinical Medicine. 7(10). 3621-3631. https://ejmcm.com/ article_7385_d5927c76b0cef54ace- 27745859dbcb93.pdf Mohamed Salama Eissa, H. (2019). Pedagogic effectiveness of digital storytelling in improving speaking skills of Saudi EFL learners. Arab World English Journal (AWEJ) ,10(1).1-12 Movva, S., Alapati, P., Veliventi, P., Maithreyi, G. (2022). The Effec of Pre, While, and Post Listening Activities on Developing EFL Students' Listening Skills. Theory and Practice in Language Studies, 12 (8), 1500-1507. https://doi.org/10.17507/ tpls.1208.05 Muñoz, C. (2013). Ecrif in the English Classroom: Students perceptions regarding its implementation [Master's dissertation, Pontificia Universidad Católica del Ecuador]. https://www. ecrif.com/uploads/3/1/6/3/3163972/ ernesto_santos_thesis_ecrif.pdf Nababan, J. A., Amalia, L. L. (2021). EFL Pre-service Teachers' Challenges in Teaching Practice Program: A Narrative Inquiry. Advances in Social Science, Education and Humanities Research, (546), 284–289. https://doi. org/10.2991/assehr.k.210427.043 Novembrin, V. (2019). English Pre-service Teachers' Perception of Anxiety in Peer Teaching: A Case Study at Universitas Kristen Indonesia. Journal of English Teaching, 5 (3), 144-156. http://dx.doi. org/10.33541/jet.v5i3.1307 Povey, E. (2019) IPA: A Framework for Language Teaching Based on Bloom's Taxonomy. International Journal of Educational Research, 2(12), 1-13. https://www.edwardtesol.com/ uploads/2/6/5/8/26581579/264-arti- cle_soft_copy.pdf Puteri, M., Sheema. L., Zarinatun.I., Mohamed.S., Nur.N. (2021). Approaching Listening and Speaking Skills Using Online to Facilitate Interactive Learning from Students' Perspectives. Asian Journal of University Education 17(2), 203-214. Sánchez, J. (2021). Tutors' and Tutees' Behaviors, Attitudes, and Perspectives Regarding EFL Peer Tutoring in Higher Education in Mexico. Profile Issues in Teachers` Professional Development, 23(2), 167-182. https://doi. org/10.15446/profile.v23n2.87744 Sandholtz, J.H. (2011). Preservice Teachers' Conceptions of Effective and Ineffective Teaching Practices. Teacher Education Quarterly, (3)8, 27-47. https://files.eric. ed.gov/fulltext/EJ940632.pdf Serap, U., Aktaş, E. (2016). The effects of peer tutoring on university students success, speaking skills and speech self-efficacy in the effective and good speech course. Educational Research and Reviews, 11(11), 1035-1042. Shiaman A, (2006). The Effectiveness of a TaskBased Instruction program in Developing the English Language Speaking Skills of Secondary Stage Students [Tesis doctoral, Ain Shams University]. https://files.eric. ed.gov/fulltext/ED523922.pdf Smith, M. (October,13,2021). Better Listeners Make Better Readers and More Successful Students. It's Time to Bring the Science of Listening into the Home & Classroom. https:// www.the74million.org/article/ smith-better-listeners-make-betterreaders-and-more-successful-students-its-time-to-bring-the-scienceof-listening-into-the-home-classroom/ Souriyavongsa, T., Rany, S., Mohamad, J., Lai, L. (2013). Factors Causes Students Low English Language Learning: A Case Study in the National University of Laos. International Journal of English Language Education, 1 (1), 179-192. https://doi. org/10.5296/ijele.v1i1.3100 Sunggingwati, D. (2018). Cooperative learning in peer teaching: A case study in an EFL context. Indonesian Journal of Applied Linguistics, 8(1), 149-157. Tamrabet, N., Ayadi, K. (2017). The Implementation of the ECRIF Model in Enhancing Learners' Intercultural Communicative Competence [Master's dissertation, University of Oum El Bouaghi]. http://bib.univ-oeb.dz:8080/ jspui/handle/123456789/3767 Topping, K. (2005). Trends in peer learning. Educational Psychology, 25(6), 631–645. https://citeseerx.ist.psu.edu/viewdoc/ download?doi=10.1.1.335.324&rep= rep1&type=pdf Tosuncuoglu, I. (2017). ECRIF framework system. Journal of Education and Training Studies, 5(3), 130-134. http:// dx.doi.org/10.11114/jets.v5i3.2175 Umar, U. (2016). Promoting an English Students through Peer Teaching in improving Teaching Skill. GaneÇ Swara.10 (2), 10-13. http://bitly.ws/zLCA Utha, K., & Rinzin, S. (2019). Peer-learning: An Alternative Teaching Pedagogy for Highly Teacher Centered Classes. International Journal of English, Literature and Social Science (IJELS), 4(5), 1520-1529. https://dx.doi. org/10.22161/ijels.45.41 Varas, R., Benites, B. (2018). Listening and Speaking Competence in Pre-Technical English Level of students at the Livestock Science. [Master thesis, Faculty of Universidad Técnica Estatal de Quevedo-Ecuador]. http://repositorio. ucsg.edu.ec/handle/3317/10663 Zapata, S. (2020) Perceptions of Peer Tutoring at a University in Chile. Revista Internacional de Investigación en Educación, 12 (25), 21-38. https://www.redalyc.org/articulo. oa?id=281060625002
City of Plano Neighborhood Vitality & Beautification Grant Fall2018 Neighborhood Services 8/1/2018 deadline Villages of Preston Glen HOA USD$ 10,000.00 Requested Villages of Preston Glen HOA Submitted: 7/31/2018 2:17:47 PM (Pacific) Project Contact Kyle Paris firstname.lastname@example.org Tel: 972 - 922 - 3509 Additional Contacts email@example.com Additional Information 1. Applicant Title ie. Board President, Landscape Chairperson, etc. Board President 2. Secondary Contact Telephone Pre-Application Program Eligibility 1. Has your neighborhood group registered with the Neighborhood Services Department and therefore, eligible to apply? [x] Yes, my neighborhood group is registered with the Neighborhood Services Department. gfedc No. I acknowledge my neighborhood group is not eligible until registration is complete with the Neighborhood Services Department. 2. Has your group contacted the Program Coordinator to ensure the proposed project is eligible for this program? [x] Yes, I have contacted the Program Coordinator to ensure it is eligible. gfedc No, I have not ensured it is eligible. I acknowledge my group's project may not be considered or reviewed during this grant cycle. 3. Choose the appropriate neighborhood group type. gfedc Crime Watch Group gfedc Neighborhood Association gfedc Voluntary Homeowners Association 7914 Rosebriar Ln Plano, TX 75024 Vice President Bob Gross firstname.lastname@example.org Telephone 972 - 922 - 3509 Fax Web www.villagesofprestonglen.org [x] ✔ ✔ ✔ Project Scale 4. Choose grant option. gfedc Small Scale Initiative, grant valued up to $2,000 [x] Large Scale Initiative, grant valued between to $2,001 to $10,000 Requirements/Guidelines 5. Has your group thoroughly reviewed the 2018-2019 Neighborhood Vitality and Beautification Grant Program Guidelines? The 2018-2019 Program Guidelines may be found under the Resource Documents tab. [x] Yes, I have reviewed the Program Guidelines. gfedc No, I have not reviewed the Program Guidelines. I acknowledge my group's application may not meet the necessary requirements. 6. If your group's project involves screening wall repairs, landscaping, lighting, entryway signage and/or street sign toppers, have you reviewed the Additional Improvement Guidelines document? The Additional Improvement Guidelines can be found under the "Resource Documents" tab. Please review and ensure you understand additional requirements for your project type. [x] Yes, I have reviewed the additional guidelines appropriate to our proposed project. gfedc No, I have not reviewed the additional guidelines. I acknowledge my group's project may not meet the necessary requirements. gfedc Not Applicable. My group's project does not include the listed improvement types. 7. Has your neighborhood group previously applied for the Neighborhood Vitality and Beautification Grant Program? gfedc Yes [x] ✔ ✔ ✔ No 8. Has your neighborhood researched property ownership for the project location and/or element (ie. screening wall for repairs, property ownership for landscaping entryways)? For screening wall and entryway signs, please confirm ownership of wall by contacting Public Works Dept. If landscaping improvements are on city-owned property, please ensure there is a Landscape Maintenance Agreement on file with the Parks Dept. [x] Yes gfedc No. I acknowledge there may be a delay in reviewing my group's project. gfedc Not applicable. 9. Please indicate the appropriate grant cycle for this application. [x] ✔ ✔ ✔Fall 2018 Application Questions Some answers will not be presented because they are not part of the selected group of questions based on the answer to #1. Fiscal Sponsor Information 1. A Fiscal Sponsor can be used for groups that are not 501(c) or 528 and are wanting to apply for a Large Scale Initiative grant ($2,001-$10,000 match). Will your group be using a Fiscal Sponsor for this application? gfedc Yes, we are seeking a Large Scale grant and will partner with a 501(c) or 528 organization [x] Not Applicable, we are a 501(c) or 528 organization gfedc Not Applicable, we are not seeking a Large Scale grant 2. Fiscal Sponsor Contact Name: -answer not presented because of the answer to #1- 3. Fiscal Sponsor Contact Address: -answer not presented because of the answer to #1- 4. Fiscal Sponsor Contact Email: -answer not presented because of the answer to #1- 5. Fiscal Sponsor Contact Phone Number: -answer not presented because of the answer to #1- Project Description 6. Provide the nearest address or cross streets to ALL project locations.: Hedgcoxe Rd and Mulchins Way Please note below if proposed work is located on the city's right-of-way and be aware a Landscape and Irrigation Maintenance Agreement with the Parks Department is REQUIRED. 7. Brief Description of Project: Entryway revitalization - Our goal is to increase the visibility of our neighborhood sign, add wired lighting for safety/visibility, and renovate landscaping beds with TX tolerant plants. Please provide specific project information. If the submitted project is part of a larger project, please explain phases and describe the overall project, as well. The largest part of this project will be running wires from our electrical box on the West side of Mulchins Way, under the road to the East side. 8. Choose all project types included in the proposal. Choose all that apply. [x] Landscape Improvements gfedc Irrigation Improvements [x] Lighting Improvements gfedc Sign Toppers gfedc Screening Wall Improvements [x] Entryway Signage gfedc Public Facility Improvement 9. Does your project include the use of volunteers as part of the neighborhood match? Eligible volunteer work includes planting or cleaning/prepping the project location. Current volunteer rate is $25.15/hr. Please remember to take photographs of volunteer work being performed. These pictures will be requested for the Reimbursement. gfedc Yes [x] No Project Timeline and Implementation Plan 10. Project Schedule: August 2018 - October 2018 List approximate Start and End Dates. 11. Implementation Plan: 1. Identify need and budget List significant steps for project completion. 2. Conceptualize finished product 4. Finalize budget 3. Get estimates from contractors Project Impact (Selection Criteria) 12. Goal 1: Community Benefit Our project will help bring attention to the name of our neighborhood and increase overall visibility. Currently, we have two very small (2'x2') stone signs at our entry, lit up by solar lights. A new sign, along with permanent LED lighting will increase the attractiveness of our community. This project will provide a community benefit by improving health, safety and/or appearance of the neighborhood. Please describe. 13. Goal 2: Neighborhood Participation Our board agrees we need to enhance our entry, and we have been hearing it from our residents for years. We have the full support of our neighbors to enhance the aesthetic of our neighborhood. When our neighbors see what we are doing we hope they will want to be more involved with our Phase II project. This project is supported by the community and broad participation was successful. Please describe how this project will help build stronger relationships between neighbors and how well it is supported. 14. Goal 3: Neighborhood Impact/Need A project like this has been discussed by previous boards for the last 8 years. With the help of the grant program we are finally able to comfortably invest on this improvement project. The final product will show our residents that the HOA board cares about our neighborhood and that we are actively searching for ways to improve our community. This project addresses an identified need and will result in a benefit for the community. Please describe your community's need and the positive impact of your project on the neighborhood. 15. Goal 4: Feasibility This project is well-planned, cost-effective and ready to implement. Please describe the feasibility of your project. We have solid plans and estimates from contractors and landscapers. We have the funds and are ready to green light this project when we get final approval from the city. Project Budget Tables Estimated Volunteer Value $ $ $ $ Project Line Items & Funding Sources \| Grant (Reimbursement) Neighborhood Match: Neighborhood Item Description Total Request Volunteer Value Match: Cash \| \| \| \| \| \|---\|---\|---\|---\|---\| \| Landscaping \| $ 5,737 \| $ \| $ 5,737 \| $ 11,474 \| \| Electrical boring and conduit installation \| $ 2,550 \| $ \| $ 2,550 \| $ 5,100 \| \| Install electrical boxes and lighting \| $ 1,713 \| $ \| $ 3,846 \| $ 5,559 \| \| Install neighborhood signs \| $ 0 \| $ \| $ 8,451 \| $ 8,451 \| \| \| $ \| $ \| $ \| $ \| \| \| $ \| $ \| $ \| $ \| \| \| $ \| $ \| $ \| $ \| \| \| $ \| $ \| $ \| $ \| \| \| $ \| $ \| $ \| $ \| \| \| $ \| $ \| $ \| $ \| \| \| $ \| $ \| $ \| $ \| Required Documents \| Provide a complete Officer Contact List or Board of Directors List. For Crime Watch Applicants, provide a list of Crime Watch members. \| ✔✔✔✔ \| Board Contact List \| \|---\|---\|---\| \| To verify organization is active, provide the latest two (2) meeting minutes or newsletters. \| ✔✔✔✔ \| Meeting Minutes April 2018 \| \| \| \| Meeting Minutes February 2018 \| \| To verify organization is properly organized, provide the Articles of Incorporation or Bylaws. CRIME WATCH APPLICANTS ONLY: Provide the name, address, and email for the Coordinator. Provide a brief overview of Crime Watch group & activities. \| ✔✔✔✔ \| Articles of Incorporation \| \| Provide latest approved Annual Budget. \| ✔✔✔✔ \| 2018 Budget \| \| If applying for Large Scale Initiative ($2,001-$10,000), provide documentation indicating the organization is a 501(c) or 528 organization. (Most common document is a tax return.) \| \| 2017 1120H tax return \| \| To confirm the group is ready to implement, please provide the latest bank statement(s), indicating funds are available. (First page of statement will suffice.) \| ✔✔✔✔ \| Bank Statement \| \| For adequate review, please provide bids or cost estimates for the proposed project. Please ensure bids have a cost per line item. For items over $3,000, please submit the required minimum of two bids. \| ✔✔✔✔ \| Miller Construction (Sign, electrical) \| \| \| \| Lighting estimate \| \| \| \| Spartan Residential (sign) \| \| \| \| 1000 Oaks Landscaping \| \| For applicants working within the City's right-of-way, please provide documentation indicating the required Landscape and Irrigation Maintenance Agreement is filed with the Parks Department. \| \| \| \| If proposed improvements are in multiple locations, please provide a map and indicate ALL locations. \| \| \| \| Provide digital pictures of areas to be improved. \| ✔✔✔✔ \| Entry sign 1 \| \| \| \| Entry sign 2 \| \| \| \| Entry landscaping 1 \| \| \| \| Entry landscaping 2 \| \| For landscape improvements, applicants MUST provide a drawing or sketch that clearly indicates plant type and location. \| \| 1000 Oaks rendering \| * ZoomGrants™ is not responsible for the content of uploaded documents. Application ID: 119860 Become a fan of ZoomGrants™ on Facebook 2002 Problems? Contact us at email@example.com "ZoomGrants" and the ZoomGrants logo are trademarks of GrantAnalyst.com, LLC. © -2018 GrantAnalyst.com. All rights reserved. Logout\| Browser
Opposite Field #14: The Cleveland Indians' MAD MEN Timeline Written by {ga=aclayman} In his famous pitch to Kodak, the ever-charismatic Don Draper describes nostalgia as "a twinge in the heart, far more powerful than memory alone." Well, not unlike a carousel projector, sports can help crystalize those otherwise distant recollections of the past, as well—giving us context and a "feel" for the way things were; even if we weren't actually there ourselves. Case in point, have you ever been watching an episode of Mad Men and thought to yourself, "I wonder what the Cleveland Indians were up to at this exact moment in history?" If so, you're way too involved with your baseball team… and this is the article for you! The Cleveland Indians MAD MEN Timeline: 1960-1966 Beyond mere entertainment, a sports team is a collection of moments and characters that can eventually become useful mile-markers on the pothole-ridden roads of our memories. Len Barker brings hazy visions of 1981 into focus, while Jose Mesa's shadow still lurks over 1997. If you lived through the 1960s, there are certainly dozens of examples of this phenomenon back then, too—be it the trade of Rocky Colavito or the strikeout exploits of "Sudden" Sam McDowell. For those of us who missed out on this almost obnoxiously pivotal decade, however, we're left to live it out vicariously through the colorful cast of characters on Mad Men (or The Wonder Years , if you're nostalgic for the ‘90s version of ‘60s nostalgia). All we're missing is a little baseball context to these retro adventures, and Lane Pryce's ill-fated Mets pennant just isn't sufficient. So, without further ado, here is what your Cleveland Indians were doing while various Written by {ga=aclayman} Friday, June 08 2012 3:00 PM - Last Updated Sunday, June 10 2012 11:25 PM memorable events were unfolding at Sterling Cooper Draper Pryce. With the understanding that Mad Men is a fictional television show and—like nostalgia—only a loose, soap operatic approximation of the past. WARNING: SPOILERS AHEAD A young, naïve Peggy Olson arrives in the big city and becomes the new secretary at Sterling Cooper. Meanwhile, in Hollywood, Florida, the impressive Indians have stockpiled some ambitious youngsters of their own— Rocky Colavito (26), Herb Score (26), and newcomer Nor m Cash March 18, 1960 (25) among them. Tragedy strikes on March 18, however, as 40 year-old pitcher Dixie Howell collapses and dies of a heart attack during running drills. Roger Sterling takes no notice. April 12-18, 1960 Don Draper's world is turned upside down when his profile in Advertising Age brings his long lost brother back into his life. Frank "Trader" Lane throws Tribe fans into a similar state of panic when he trades away Cash, Score, AND the beloved Colavito in three separate deals just days before Opening Day. Written by {ga=aclayman} Friday, June 08 2012 3:00 PM - Last Updated Sunday, June 10 2012 11:25 PM As JFK wins his party's nomination and the former Dick Whitman dreams up campaign strategies for Dick Nixon, the Indians send pitcher Dick Stigman to the All-Star Game at Yankee Stadium. Vic Power, Harvey Kuenn, and Gary Bell also make the American League squad. Across town in Manhattan, Peggy is starting to look plump. And out in the burbs, Betty Draper is capping pigeons in the backyard. The aimless Indians have swapped managers with the Tigers (goodbye Joe Gordon, hello Jimmy Dykes), and Don Draper is looking for a client to replace Dr. Scholl's. "The day you sign a client is the day you start losing them," says Roger Sterling, right before taking Draper out for a night on the town to get over his sorrows. "When God closes a door, he opens a dress." Over this same weekend, the Indians sweep four straight from the Royals and split a Labor Day double-dip with Detroit. Mudcat Grant strikes out 10 and Tito Francona homers in a losing effort in the matinee. But Woodie Held hits his fourth homer of the weekend and Barry Latman goes the distance in the nightcap. Sterling is so stunned that he has a heart attack of his own. He survives, but the Tribe does not—doomed to a final record of 76-78. September 2-5, 1960 1961 Mad Men gives '61 a miss entirely, leaving out the heroics of former Tribe prospects Norm Cash (.361) and Roger Maris (61 HR), as well as the slightly less noteworthy remaining Tribesman Willie Kirkland, who paces the club in homeruns and ribbies. Central Catholic grad Sam McDowell also makes his Major League debut—at just 18 years of age—tossing six shutout innings in a 3-2 Tribe loss on September 15. Cleveland finishes 78-83 for the season. Opposite Field #14: The Cleveland Indians' MAD MEN Timeline Written by {ga=aclayman} Friday, June 08 2012 3:00 PM - Last Updated Sunday, June 10 2012 11:25 PM Harry Crane convinces wary clients to buy ad time during a controversial episode of the TV show The Defenders. Two nights after the show airs, the Indians blank the Red Sox in Boston on Opening Day, 4-0. Yet another Dick-- Dick Donovan—gets the complete-game win, while Woodie Held and John Romano star at the plate. Pete Campbell mourns the tragic loss of his dad, and perhaps more importantly, American Airlines as a client. May 18, 1962 Comedian Jimmy Barrett gets punchy with Don for thumbing his wife Bobbie. Meanwhile, Dick Donovan is on fire! The Tribe blasts Detroit 9-2 to hold on to first place at 19-11 on the season. In the shellacking of Colavito, Cash & the Kitties, Donovan pitches another complete game to own cause. Chuck Essegian and Willie Kirkland add bombs of their own and Tito Francona posts three hits, as the Tribe keeps rolling. August 5, 1962 In the shellacking of Colavito, Cash & the Kitties, Donovan pitches another complete game to improve to 7-0 on the year. As if that weren’t enough, he also cracks TWO homeruns to help his own cause. Chuck Essegian and Willie Kirkland add bombs of their own and Tito Francona posts three hits, as the Tribe keeps rolling. August 5, 1962 Joan is devastated by the death of Marilyn Monroe, Betty kicks Don out of the house, Freddy is pissing himself, and Peggy is rejecting Colin Hanks’ Catholic advances. Sadder still, the Indians’ Joan is devastated by the death of Marilyn Monroe, Betty kicks Don out of the house, Freddy is season has taken a wrong turn. They drop both ends of a twin bill at home to Kansas City on August 5. Barry Latman takes it on the chin in the day game, 3-2, and Pedro Ramos takes the L in the nightcap, 5-2, in front of less than 9,000 at the old Stadium. At 53-55, the Tribe is now 13 games out of first. Late September, 1962 March 1963 Don goes to L.A., and the Indians dutifully follow suit. Maybe Mudcat Grant chatted with Don and Pete at the airport. We’ll never know (except that he didn’t cuz they are fictional!). In any case, the Tribe takes 2-of-3 against the Angels, and the star of the weekend is 24 year-old outfielder Walt Bond-- a September call-up who winds up mashing 6 homers, driving in 17, and hitting .380 in just 12 games. Bond looks like a future star, and when Dr. No opens in theaters a month later, his timing seems perfect. As it turns out, though, Walt Bond has already played his final game for the Indians. Cleveland finishes the season 80-82, sixth in the AL. Pete Campbell and Kenny Cosgrove are moving up in the world, both promoted to head of accounts. Meanwhile, the Tribe has its fourth manager in as many years, as Birdie Tebbetts takes the reins. May 4, 1963 While Roger goes full minstrel at his "Derby Days Soiree," Peggy and the creative underlings are back at the office getting stoned. “I’m Peggy Olson and I want to smoke some marijuana!” Back in the burbs, Betty is drinking and smoking through the final month of her pregnancy with baby Gene (whatever happened to that kid?). And out in Los Angeles, the Tribe shuts out the Angels behind nine sterling innings from the Mudcat. July 3-4, 1963 August 28, 1963 A secretary on a tractor costs a snooty British fellow his foot. “And right when he got it in the door,” chimes Roger. Meanwhile, in a holiday double-header, the Tribe takes two from the Red Sox in Cleveland. In the first contest, light-hitting Indians shortstop Jerry Kindall ends a 14-inning marathon with an unlikely walkoff homer to secure a 4-3 win. After a brief breather, the teams take the field again, and Kindall homers again (as does John Romano), as Mudcat overcomes three hits from Yaz to get the win in a 7-5 Tribe triumph. The Indians are back to within 7.5 games of first place. They will never get any closer. Don picks up Sally's hot teacher and they listen to MLK's "I Have a Dream" speech together. Naturally, the Indians are busy playing yet another double-header-- this time, a depressing sweep at the hands of the ChiSox, 8-3 and 3-1. Only 7,777 attend the nightcap in Cleveland, as the once mighty Dick Donovan suffers his 11th loss (despite homering for old time’s sake). The Tribe is on its way to another ho-hum 79-83 finish. In the months ahead, Betty will learn Don’s secret, JFK will be killed, and the new Sterling Cooper Draper Pryce agency will be born. 1964 The Mad Men universe skips over another entire year while the Tribe stumbles along its inescapable path of mediocrity. Not to be outdone by Roger Sterling, manager Birdie Tebbetts The Mad Men universe skips over another entire year while the Tribe stumbles along its suffers a heart attack in Spring Training, returning in July merely to lead his team to another 79-83 finish. January 20, 1965 Opposite Field #14: The Cleveland Indians' MAD MEN Timeline Written by {ga=aclayman} Friday, June 08 2012 3:00 PM - Last Updated Sunday, June 10 2012 11:25 PM Betty is now hitched to Henry Francis. Don has just learned that Anna Draper has cancer. Joan is looking to make a baby with her rapist husband. Lane is hooking up with Playboy bunnies. And Rocky Colavito is back in Cleveland! Unfortunately, the Indians have to send away Tommy John, Tommie Agee, and John Romano to reacquire The Rock, who's hefty contract will pay him $55,000. April 21, 1965 Don wins a Clio award, fails to acknowledge Peggy's contributions (as usual), gets wasted for a weekend, and wakes up with a random dame who calls him Dick. In the Indians home opener, the prodigal son Colavito homers in a 6-5 Cleveland victory. Sonny Siebert gets the win when Daddy Wags Wagner hits his second homer of the game to lead off the bottom of the 10 th inning. May 25, 1965 Anna dies, Don and Peggy bond, and Sterling checks out Ali-Liston II. Down the road from SCDP in the Bronx, the Indians beat the scuffling Yankees 5-1 to move to 18-17 on the season. Fred Whitfield and Vic Davalillo homer off Jim Bouton. And Sonny Siebert and Sam McDowell (4 inning save out of the pen) combine to strikeout 12 and shutdown an aging Maris and Mantle. August 15, 1965 Joan’s knocked up (it ain’t her husband’s), Roger is losing Lucky Strike, and Don’s making confessions to Dr. Faye. On August 15, he takes his daughter Sally to see the Beatles at Shea Stadium. While they’re there, the second-place Indians are hosting the surprising first-place Twins in a battle with actual pennant implications! As you would presume, it’s another doubleheader, with the day game featuring a fantastic pitching duel between Tribe ace Luis Tiant and his former teammate turned Minnesota hurler Mudcat Grant. The Twins take it 4-3. Later that evening, Cleveland bounces back with a 6-4 win, as Jack Kralick gets the win over another ex-Indian, Dick Stigman. Weirder still, the aforementioned banjo hitting Jerry Kindall—also now a Twin—homers yet again. But Rocky, Daddy Wags, and Max Alvis do the same for the Tribe, as they climb to within eight games of the Twinkies in front of 41,000 fans at Joan's knocked up (it ain't her husband's), Roger is losing Lucky Strike, and Don's making confessions to Dr. Faye. On August 15, he takes his daughter Sally to see the Beatles at Shea Stadium. While they're there, the second-place Indians are hosting the surprising first-place Twins in a battle with actual pennant implications! As you would presume, it's another doubleheader, with the day game featuring a fantastic pitching duel between Tribe ace Luis Tiant and his former teammate turned Minnesota hurler Mudcat Grant. The Twins take it 4-3. Later that evening, Cleveland bounces back with a 6-4 win, as Jack Kralick gets the win over another ex-Indian, Dick Stigman. Weirder still, the aforementioned banjo hitting Jerry Kindall—also now a Twin—homers yet again. But Rocky, Daddy Wags, and Max Alvis do the Municipal Stadium. As is the pattern, though, they will never get any closer. Six weeks later, the Indians end the year 87-75, 15 games behind the pennant winning Twins. May 1966 A lot can happen in an offseason. Ex actress/secretary Megan is the new Mrs. Draper, and with Sam McDowell throwing his second consecutive one-hitter, and it ends with Megan seductively singing "Zou Bisou Bisou" to her uncomfortable birthday boy husband. July 2, 1966 Vernon Stauffer is the new owner of the Indians (for a cool $8 million). The month of May begins with Sam McDowell throwing his second consecutive one-hitter, and it ends with Megan seductively singing “Zou Bisou Bisou” to her uncomfortable birthday boy husband. Fat Betty makes her world television debut, and Don and Harry hangout awkwardly backstage at a Rolling Stones show. The same night, the Indians beat the Angels 5-2 behind a complete game from Sonny Siebert. That’s four straight wins for Cleveland, as their 45-29 record has them in the thick of the hunt again. They will lose 11 of their next 12. July 30, 1966 Don fixes the sink at Pete's suburban dinner party, Lane watches England win the World Cup with some blowhards from Jaguar, and the Tribe’s Gary Bell is outdueled by the Angels’ Dean Chance 2-1 in Los Angeles, leaving the Indians 13.5 games out of first place. August 25-28, 1966 Don leaves Megan at the Howard Johnsons in Plattsburgh, Roger trips balls with Jane, and little baby Albert Belle is born in Shreveport, Louisiana. Somewhere in that out-of-sequence narrative, the Indians are also swept three-straight in a weekend series with the Washington Senators. Stumbling down the stretch, Cleveland finishes 81-81, bringing the franchise’s total record during the Mad Men era to 560 wins, 565 losses—a model of bland consistency in a time of seismic shifts. Opposite Field #14: The Cleveland Indians' MAD MEN Timeline Written by {ga=aclayman} Friday, June 08 2012 3:00 PM - Last Updated Sunday, June 10 2012 11:25 PM
STATE MODEL SYLLABUS GOVERNMENT AUTONOMOUS COLLEGE, ANGUL BACHELOR OF SCIENCE DEPARTMENT OF MATHEMATICS Course structure of UG Mathematics Honours Preamble Mathematics is an indispensable tool for much of science and engineering. It provides the basic language for understanding the world and lends precision to scientific thought. The mathematics program at Universities of Odisha aims to provide a foundation for pursuing research in Mathematics as well as to provide essential quantitative skills to those interested in related fields. With the maturing of the Indian industry, there is a large demand for people with strong analytical skills and broad-based background in the mathematical sciences. HONOURS PAPERS: Core course – 14 papers Discipline Specific Elective – 4 papers (out of the 5 papers suggested) Generic Elective for non Mathematics students – 4 papers. Incase University offers 2 subjects as GE, then papers 1 and 2 will be the GE paper. Marks per paper – For practical paper: Mid term : 15 marks, End term : 60 marks, Practical- 25 marks For non practical paper: Mid term : 20 marks, End term : 80 marks Total – 100 marks Credit per paper – 6 Teaching hours per paper – Practical paper-40 hours theory classes + 20 hours Practical classes Non Practical paper-50 hours theory classes + 10 hours tutorial CORE PAPER-1 CALCULUS Objective: The main emphasis of this course is to equip the student with necessary analytic and technical skills to handle problems of mathematical nature as well as practical problems. More precisely, main target of this course is to explore the different tools for higher order derivatives, to plot the various curves and to solve the problems associated with differentiation and integration of vector functions. Expected Outcomes: After completing the course, students are expected to be able to use Leibnitz's rule to evaluate derivatives of higher order, able to study the geometry of various types of functions, evaluate the area, volume using the techniques of integrations, able to identify the difference between scalar and vector, acquired knowledge on some the basic properties of vector functions. UNIT-I Hyperbolic functions, higher order derivatives, Leibnitz rule and its applications to problems of the type e ax + b sinx ,e ax + b cosx,(ax+b) n sinx ,(ax+b) n cosx, concavity and inflection points, asymptotes, curve tracing in Cartesian coordinates, tracing in polar coordinates of standard curves, L' Hospitals rule, Application in business ,economics and life sciences. UNIT-II Riemann integration as a limit of sum, integration by parts, Reduction formulae, derivations and illustrations of reduction formulae of the type ∫sin n xdx ,∫cos n xdx,∫tan n xdx,∫sec n xdx,∫(logx) n dx ,∫sin n xcos n xdx, definite integral, integration by substitution. UNIT-III Volumes by slicing, disks and washers methods, volumes by cylindrical shells, parametric equations, parameterizing a curve, arc length, arc length of parametric curves, area of surface of revolution, techniques of sketching conics, reflection properties of conics, rotation of axes and second degree equations, classification into conics using the discriminant, polar equations of conics. UNIT-IV Triple product, introduction to vector functions, operations with vector-valued functions, limits and continuity of vector functions, differentiation and integration of vector functions, tangent and normal components of acceleration. LIST OF PRACTICALS (Using any software/ MATLAB to be performed on a Computer.) 1. Plotting the graphs of the functions e ax + b ,log(ax+b) ,1/ax+b,sin( ax+b) ,cos⁡ (ax+b) and \|ax+b\|to illustrate the effect of a and b on the graph. 2. Plotting the graphs of the polynomial of degree 4 and 5. 3. Sketching parametric curves (E.g. Trochoid, cycloid, hypocycloid). 4. Obtaining surface of revolution of curves. 5. Tracing of conics in Cartesian coordinates /polar coordinates. 6. Sketching ellipsoid, hyperboloid of one and two sheets (using Cartesian co-ordinates). BOOKS RECOMMENDED: 1. H. Anton, I. Bivens and S. Davis, Calculus, 10thEd.,John Wiley and Sons (Asia)P. Ltd., Singapore, 2002. 2. Shanti Narayan, P. K. Mittal, Differential Calculus, S. Chand, 2014. 3. Shanti Narayan, P. K. Mittal, Integral Calculus, S. Chand, 2014. BOOKS FOR REFERNCE: 1. James Stewart, Single Variable Calculus, Early Transcendentals, Cengage Learning, 2016. 2. G.B. Thomas and R.L. Finney, Calculus, 9th Ed., Pearson Education, Delhi,2005. CORE PAPER-II DISCRETE MATHEMATICS Objective: This is a preliminary course for the basic courses in mathematics and all its applications. The objective is to acquaint students with basic counting principles, set theory and logic, matrix theory and graph theory. Expected Outcomes: The acquired knowledge will help students in simple mathematical modeling. They can study advance courses in mathematical modeling, computer science, statistics, physics, chemistry etc. UNIT-I Sets, relations, Equivalence relations, partial ordering, well ordering, axiom of choice, Zorn's lemma, Functions, cardinals and ordinals, countable and uncountable sets, statements, compound statements, proofs in Mathematics, Truth tables, Algebra of propositions, logical arguments, Well-ordering property of positive integers, Division algorithm, Divisibility and Euclidean algorithm, Congruence relation between integers, modular arithmetic, Chinese remainder theorem, Fermat's little theorem. UNIT-II Principles of Mathematical Induction, pigeonhole principle, principle of inclusion and exclusion Fundamental Theorem of Arithmetic, permutation combination circular permutations binomial and multinomial theorem, Recurrence relations, generating functions, generating function from recurrence relations. UNIT-III Matrices, algebra of matrices, determinants, fundamental properties, minors and cofactors, product of determinant, adjoint and inverse of a matrix, Rank and nullity of a matrix, Systems of linear equations, row reduction and echelon forms, solution sets of linear systems, applications of linear systems, Eigen values, Eigen vectors of a matrix. UNIT-IV Graph terminology, types of graphs, sub-graphs, isomorphic graphs, Adjacency and incidence matrices, Paths, Cycles and connectivity, Eulerian and Hamiltonian paths, Planar graphs. BOOKS RECOMMENDED: 1. Edgar G. Goodaire and Michael M. Parmenter, Discrete Mathematics with Graph Theory, 3rd Ed., Pearson Education (Singapore) P. Ltd., Indian Reprint, 2005. 2. Kenneth Rosen Discrete mathematics and its applications Mc Graw Hill Education 7 th edition. 3. V Krishna Murthy, V. P. Mainra, J. L. Arora, An Introduction to Linear Algebra,Affiliated East-West Press Pvt. Ltd. BOOKS FOR REFERENCE: 1. J. L. Mott, A. Kendel and T.P. Baker: Discrete mathematics for Computer Scientists and Mathematicians, Prentice Hall of India Pvt Ltd, 2008. CORE PAPER-III REAL ANALYSIS Objective: The objective of the course is to have the knowledge on basic properties of the field of real numbers, studying Bolzano-Weierstrass Theorem , sequences and convergence of sequences, series of real numbers and its convergence etc. This is one of the core courses essential to start doing mathematics. Expected Outcome: On successful completion of this course, students will be able to handle fundamental properties of the real numbers that lead to the formal development of real analysis and understand limits and their use in sequences, series, differentiation and integration. Students will appreciate how abstract ideas and rigorous methods in mathematical analysis can be applied to important practical problems. UNIT-I Review of Algebraic and Order Properties of R, ε-neighborhood of a point in R, Bounded above sets, Bounded below sets, Bounded Sets, Unbounded sets, Suprema and Infima, The Completeness Property of R, The Archimedean Property, Density of Rational (and Irrational) numbers in R., Intervals, Interior point, , Open Sets, Closed sets, , Limit points of a set , Illustrations of Bolzano-Weierstrass theorem for sets, closure, interior and boundary of a set. UNIT-II Sequences and Subsequences, Bounded sequence, Convergent sequence, Limit of a sequence. Limit Theorems, Monotone Sequences,. Divergence Criteria, Bolzano Weierstrass Theorem for Sequences, Cauchy sequence, Cauchy's Convergence Criterion. Infinite series, convergence and divergence of infinite series, Cauchy Criterion, Tests for convergence: Comparison test, Limit Comparison test, Ratio Test, Cauchy's nth root test, Integral test, Alternating series, Leibniz test, Absolute and Conditional convergence. UNIT-III Limits of functions (epsilon-delta approach), sequential criterion for limits, divergence criteria. Limit theorems, one sided limits, Infinite limits and limits at infinity, Continuous functions, sequential criterion for continuity & discontinuity. Algebra of continuous functions, Continuous functions on an interval, Boundedness Theorem, Maximum Minimum Theorem, Bolzano's Intermediate value theorem, location of roots theorem, preservation of intervals theorem. Uniform continuity, non-uniform continuity criteria, uniform continuity theorem, Monotone and Inverse Functions. UNIT-IV Differentiability of a function at a point & in an interval, Caratheodory's theorem, chain Rule, algebra of differentiable functions, Mean value theorem, interior extremum theorem. Rolle's theorem, intermediate value property of derivatives, Darboux's theorem. Applications of mean value theorem to inequalities. BOOKS RECOMMENDED: 1. R.G. Bartle and D. R. Sherbert, Introduction to Real Analysis (3 rd Edition), John Wiley and Sons (Asia) Pvt. Ltd., Singapore,2002. 2. G. Das and S. Pattanayak, Fundamentals of Mathematical Analysis, TMH Publishing Co. BOOKS FOR REFERENCE: 1. S.C. Mallik and S. Arora-Mathematical Analysis, New Age International Publications. 2. A.Kumar, S. Kumaresan, A basic course in Real Analysis, CRC Press, 2014. 3. Brian S. Thomson, Andrew. M. Bruckner, and Judith B. Bruckner, Elementary Real Analysis, Prentice Hall,2001. 4. Gerald G. Bilodeau, Paul R. Thie, G.E. Keough, An Introduction to Analysis, Jones & Bartlett, Second Edition, 2010. CORE PAPER-IV DIFFERENTIAL EQUATIONS Objective: Differential Equations introduced by Leibnitz in 1676 models almost all Physical, Biological, Chemical systems in nature. The objective of this course is to familiarize the students with various methods of solving differential equations and to have a qualitative applications through models. The students have to solve problems to understand the methods. Expected Outcomes: A student completing the course is able to solve differential equations and is able to model problems in nature using Ordinary Differential Equations. This is also prerequisite for studying the course in Partial Differential Equations and models dealing with Partial Differential Equations. UNIT-I Differential equations and mathematical models, General, Particular, explicit, implicit and singular solutions of a differential equation. Exact differential equations and integrating factors, separable equations and equations reducible to this form, linear equations and Bernoulli's equation, special integrating factors and transformations. UNIT-II Introduction to compartmental models, Exponential decay radioactivity (case study of detecting art forgeries), lake pollution model (with case study of Lake Burley Griffin), drug assimilation into the blood (case study of dull, dizzy and dead), exponential growth of population, Density dependent growth, Limited growth with harvesting. UNIT-III General solution of homogeneous equation of second order, principle of superposition, Wronskian, its properties and applications, method of undetermined coefficients, Method of variation of parameters, Linear homogeneous and non-homogeneous equations of higher order with constant coefficients, Euler's equation. UNIT-IV Equilibrium points, Interpretation of the phase plane, predatory-pray model and its analysis, epidemic model of influenza and its analysis, battle model and its analysis. Practical / Lab work to be performed on a computer: Modeling of the following problems using Matlab / Mathematica / Maple etc. 1. Plotting of second & third order solution family of differential equations. 2. Growth & Decay model (exponential case only). 3. (a) Lake pollution model (with constant/seasonal flow and pollution concentration)/ (b) Case of single cold pill and a course of cold pills. (c) Limited growth of population (with and without harvesting). 4. (a) Predatory- prey model (basic volterra model, with density dependence, effect of DDT, two prey one predator). (b) Epidemic model of influenza (basic epidemic model, contagious for life, disease withcarriers). (c) Battle model (basic battle model, jungle warfare, long range weapons). 5. Plotting of recursive sequences. BOOKS RECOMMENDED: 1. J. Sinha Roy and S Padhy: A course of Ordinary and Partial differential equation Kalyani Publishers, New Delhi. 2. Belinda Barnes and Glenn R. Fulford, Mathematical Modeling with Case Studies, A Differential Equation Approach using Maple and Matlab, 2ndEd., Taylor and Francis group, London and New York,2009. BOOKS FOR REFERENCE: 1. Simmons G F, Differential equation, Tata Mc Graw Hill, 1991. 2. Martin Braun, Differential Equations and their Applications, Springer International, StudentEd. 3. S. L. Ross, Differential Equations, 3 rd Edition, John Wiley and Sons, India. 4. C.Y. Lin, Theory and Examples of Ordinary Differential Equations, World Scientific, 2011. CORE PAPER-V THEORY OF REAL FUNCTIONS Objective: The objective of the course is to have knowledge on limit theorems on functions, limits of functions, continuity of functions and its properties, uniform continuity, differentiability of functions, algebra of functions and Taylor's theorem and, its applications. The student how to deal with real functions and understands uniform continuity, mean value theorems. Expected Outcome: On the completion of the course, students will have working knowledge on the concepts and theorems of the elementary calculus of functions of one real variable. They will work out problems involving derivatives of function and their applications. They can use derivatives to analyze and sketch the graph of a function of one variable, can also obtain absolute value and relative extrema of functions. This knowledge is basic and students can take all other analysis courses after learning this course. UNIT-I L' Hospital's Rules, other Intermediate forms, Cauchy's mean value theorem, Taylor's theorem with Lagrange's form of remainder, Taylor's theorem with Cauchy's form of remainder, application of Taylor's theorem to convex functions, Relative extreme, Taylor's series and Maclaurin's series, expansions of exponential and trigonometric functions. UNIT-II Riemann integration; inequalities of upper and lower sums; Riemann conditions of integrability. Riemann sum and definition of Riemann integral through Riemann sums; equivalence of two definitions; Riemann integrability of monotone and continuous functions; Properties of the Riemann integral; definition and integrability of piecewise continuous and monotone functions. Intermediate Value theorem for Integrals; Fundamental theorems of Calculus. UNIT-III Improper integrals: Convergence of Beta and Gamma functions. Pointwise and uniform convergence of sequence of functions, uniform convergence, Theorems on continuity, derivability and integrability of the limit function of a sequence of functions. UNIT-IV Series of functions; Theorems on the continuity and derivability of the sum function of a series of functions; Cauchy criterion for uniform convergence and Weierstrass M-Test Limit superior and Limit inferior, Power series, radius of convergence, Cauchy Hadamard Theorem, Differentiation and integration of power series; Abel's Theorem; Weierstrass Approximation Theorem. BOOKS RECOMMENDED: 1. R.G. Bartle & D. R. Sherbert, Introduction to Real Analysis, John Wiley &Sons. 2. G. Das and S. Pattanayak, Fundamentals of mathematics analysis, TMH Publishing Co. 3. S. C. Mallik and S. Arora, Mathematical analysis, New Age International Ltd., New Delhi. BOOK FOR REFERENCES: 1. A. Kumar, S. Kumaresan, A basic course in Real Analysis, CRC Press, 2014 2. K. A. Ross, Elementary analysis: the theory of calculus, Undergraduate Texts in Mathematics, Springer (SIE), Indian reprint, 2004A.Mattuck, Introduction toAnalysis, Prentice Hall 3. Charles G. Denlinger, Elements of real analysis, Jones and Bartlett (Student Edition), 2011. CORE PAPER-VI GROUP THEORY-I Objective: Group theory is one of the building blocks of modern algebra. Objective of this course is to introduce students to basic concepts of group theory and examples of groups and their properties. This course will lead to future basic courses in advanced mathematics, such as Group theory-II and ring theory. Expected Outcomes: A student learning this course gets idea on concept and examples of groups and their properties . He understands cyclic groups, permutation groups, normal subgroups and related results. After this course he can opt for courses in ring theory, field theory, commutative algebras, linear classical groups etc. and can be apply this knowledge to problems in physics, computer science, economics and engineering. UNIT-I Symmetries of a square, Dihedral groups, definition and examples of groups including permutation groups and quaternion groups (illustration through matrices), elementary properties of groups, Subgroups and examples of subgroups, centralizer, normalizer, center of a group, UNIT-II Product of two subgroups, Properties of cyclic groups, classification of subgroups of cyclic groups, Cycle notation for permutations, properties of permutations, even and odd permutations, alternating group, UNIT-III Properties of cosets, Lagrange's theorem and consequences including Fermat's Little theorem,.. external direct product of a finite number of groups, normal subgroups, factor groups. UNIT-IV Cauchy's theorem for finite abelian groups, group homomorphisms, properties of homomorphisms, Cayley's theorem, properties of isomorphisms, first, second and third isomorphism theorems. BOOKS RECOMMENDED : 1. Joseph A. Gallian, Contemporary Abstract Algebra (4th Edition), Narosa Publishing House, New Delhi 2. John B. Fraleigh, A First Course in Abstract Algebra, 7th Ed., Pearson, 2002. BOOK FOR REFERENCES: 1. M. Artin, Abstract Algebra, 2nd Ed., Pearson, 2011. 2. Joseph 1. Rotman, An Introduction to the Theory of Groups, 4th Ed., Springer Verlag, 1995. 3. I. N. Herstein, Topics in Algebra, Wiley Eastern Limited, India, 1975. PARTIAL DIFFERENTIAL EQUATIONS AND SYSTEM OF ODEs Objective: The objective of this course is to understand basic methods for solving Partial Differential Equations of first order and second order. In the process, students will be exposed to Charpit's Method, Jacobi Method and solve wave equation, heat equation, Laplace Equation etc. They will also learn classification of Partial Differential Equations and system of ordinary differential equations. Expected Outcomes: After completing this course, a student will be able to take more courses on wave equation, heat equation, diffusion equation, gas dynamics, non linear evolution equations etc. All these courses are important in engineering and industrial applications for solving boundary value problem. UNIT-I Partial Differential Equations - Basic concepts and Definitions, Mathematical Problems. FirstOrder Equations: Classification, Construction and Geometrical Interpretation. Method of Characteristics for obtaining General Solution of Quasi Linear Equations. Canonical Forms of First-order Linear Equations. Method of Separation of Variables for solving first order partial differential equations. UNIT-II Derivation of Heat equation, Wave equation and Laplace equation. Classification of second order linear equations as hyperbolic, parabolic or elliptic. Reduction of second order Linear Equations to canonical forms. UNIT-III The Cauchy problem, Cauchy problem of an infinite string. Initial Boundary Value Problems, Semi-Infinite String with a fixed end, Semi-Infinite String with a Free end. Equations with nonhomogeneous boundary conditions, Non- Homogeneous Wave Equation. Method of separation of variables, Solving the Vibrating String Problem, Solving the Heat Conduction problem UNIT-IV Systems of linear differential equations, types of linear systems, differential operators, an operator method for linear systems with constant coefficients, Basic Theory of linear systems in normal form, homogeneous linear systems with constant coefficients: Two Equations in two unknown functions, The method of successive approximations. LIST OF PRACTICALS (USING ANY SOFTWARE) (i) Solution of Cauchy problem for first order PDE. (ii) Finding the characteristics for the first order PDE. (iii) Plot the integral surfaces of a given first order PDE with initial data. for the following associated conditions (iv) Solution of wave equation ∂ (a) u(x, 0) = ¢(x), u t { (x, 0) = (x), x R, t> 0 (b) u(x,0)=¢(X), u t { (x, 0) = (x), u(0,t)=0, x (0, ), t >0 (c) u(x, 0)=¢(x), u t { (x, 0) = (x) , u x (0,t) = 0 , x (O, ), t >0 (d) u(x, 0) = ¢(x), ut (x, 0) = (x), u(0,t) = 0, u(l,t) = 0, 0< x < l, t >0 (v) Solution of wave equation ∂ t − ∂x 2 = for the following associated conditions (a) u(x, 0) = (x), u(0,t) = a, u(l, t) = b, 0 <x <l, t >0 (b) u(x, 0) = (x), x R, 0 <t <T (c) u(x,0)= (x), u(0,t)=a, x (0, ), t 0 BOOKS RECOMMENDED : 1. TynMyint-U and LokenathDebnath, Linear Partial Differential Equations for Scientists and Engineers, 4th edition, Birkhauser, Indian reprint, 2014. 2. S.L. Ross, Differential equations, 3rd Ed., John Wiley and Sons, India, BOOK FOR REFERENCES: 1. J Sinha Roy and S Padhy: A course of Ordinary and Partial differential equation KalyaniPublishers,New Delhi, 2. Martha L Abell, James P Braselton, Differential equations with MATHEMATICA, 3rd Ed., Elsevier Academic Press, 2004. 3. Robert C. Mc Owen: Partial Differential Equations, Pearson Education Inc. 4. T Amarnath: An Elementary Course in Partial Differential Equations, Narosa Publications. CORE PAPER-VIII NUMERICAL METHODS AND SCIENTIFIC COMPUTING Use of Scientific Calculator is allowed. Objective: Calculation of error and approximation is a necessity in all real life, industrial and scientific computing. The objective of this course is to acquaint students with various numerical methods of finding solution of different type of problems, which arises in different branches of science such as locating roots of equations, finding solution of systems of linear equations and differential equations, interpolation, differentiation, evaluating integration. Expected Outcome: Students can handle physical problems to find an approximate solution. After getting trained a student can opt for advance courses in numerical analysis in higher mathematics. Use of good mathematical software will help in getting the accuracy one need from the computer and can assess the reliability of the numerical results, and determine the effect of round off error or loss of significance. UNIT-I Rate of convergence, Algorithms, Errors: Relative, Absolute, Round off, Truncation. Approximations in Scientific computing, Error propagation and amplification, conditioning, stability and accuracy, computer arithmetic mathematical software and libraries, visualisation, Numerical solution of non-linear equations: Bisection method, Regula- Falsi method, Secant method, Newton- Raphson method, Fixed-point Iteration method. UNIT-II Rate of convergence of the above methods. System of linear algebraic equations: Gaussian Elimination and Gauss Jordan methods. Gauss Jacobi method, Gauss Seidel method and their convergence analysis. Computing eigen-values and eigenvectors UNIT-III Polynomial interpolation: Existence uniqueness of interpolating polynomials. Lagrange and Newtons divided difference interpolation, Error in interpolation, Central difference & averaging operators, Gaussforward and backward difference interpolation. Hermite and Spline interpolation, piecewise polynomial interpolation. UNIT-IV Numerical Integration: Some simple quadrature rules, Newton-Cotes rules, Trapezoidal rule, Simpsons rule, Simpsons 3/8th rule, Numerical differentiation and integration, Chebyshev differentiation and FFT, Richard-son extrapolation. PRACTICAL/LAB WORK TO BE PERFORMED ON A COMPUTER: Use of computer aided software (CAS), for example Matlab / Mathematica / Maple / Maxima etc., for developing the following Numerical programs: (i) Calculate the sum 1/1 + 1/2 + 1/3 + 1/4 + ----------+ 1/ N. (ii) To find the absolute value of an integer. (iii) Enter- 100 integers into an array and sort them in an ascending' order. (iv) Any two of the following (a) Bisection Method (b) Newton Raphson Method (c) Secant Method (d) Regular Falsi Method (v) Gauss-Jacobi Method (vi) SOR Method or Gauss-Siedel Method (vii) Lagrange Interpolation or Newton Interpolation (viii) Simpson's rule. Note: For any of the CAS Matlab / Mathematica / Maple / Maxima etc., Data types-simple data types, floating data types, character data types, arithmetic operators and operator precedence, variables and constant declarations, expression, input/output, relational operators, logical operators and logical expressions, control statements and loop statements, Arrays should be introduced to the students. BOOKS RECOMMENDED : 1. M. K. Jain, S. R. K. Iyengar and R. K. Jain, Numerical Methods for Scientific and Engineering Computation, New age International Publisher, India, 2. Michael Heath: Scientific Computing : An introductory Survey. BOOK FOR REFERENCES: 1. B. Bradie, A Friendly Introduction to Numerical Analysis, Pearson Education, India, 2007. 2. Kendall E. Atkinson: An Introduction to Numerical Analysis 3. C. F. Gerald and P. O. Wheatley, App.ied Numerical Analysis, Pearson Education, India, 7 th Edition, 2008 4. S. D. Conte & S. de Boor: Elementary Numerical Analysis: An Algorithmic Approach. CORE PAPER-IX TOPOLOGY OF METRIC SPACES Objective: This is an introductory course in topology of metric spaces. The objective of this course is to impart knowledge on open sets, closed sets, continuous functions, connectedness and compactness in metric spaces. Expected Outcomes: On successful completion of the course students will learn to work with abstract topological spaces. This is a foundation course for all analysis courses in future. UNIT-I Metric spaces, sequences in metric spaces, Cauchy sequences, complete metric spaces, open and closed balls, neighborhood, open set, interior of a set, limit point of a set, closed set, diameter of a set, Cantor's theorem, UNIT-II Subspaces, Countability Axioms and Separability, Baire's Category theorem UNIT-III Continuity: Continuous mappings, Extension theorems, Real and Complex valued Continuous functions, Uniform continuity, Homeomorphism, Equivalent metrics and isometry, uniform convergence of sequences of functions. UNIT-IV Contraction mappings and applications, connectedness, Local connectedness, Bounded sets and compactness, other characterization of compactness, continuous functions on compact spaces, BOOKS RECOMMENDED : 1. Satish Shirali&Harikishan L. Vasudeva, Metric Spaces, Springer Verlag London (2006) (First Indian Reprint 2009) BOOK FOR REFERENCES: 1. S. Kumaresan, Topology of Metric Spaces, Narosa Publishing House, Second Edition 2011. CORE PAPER-X RING THEORY Objective: This is a second course in modern algebra which deals with ring theory. Some basics of ring theory like rings, subrings, ideals, ring homomorphisms and their properties and. This course is an integral part of any course on Modern algebra the ohers being Group theory and Field Theory. Expected Outcomes: After completing this course, this will help students to continue more courses in advanced Ring theory modules, Galois groups. UNIT-I Definition and examples of rings, properties of rings, subrings, integral domains and fields, characteristic of a ring, Ideals, ideal generated by a subset of a ring, factor rings, operations on ideals. UNIT-II Prime and maximal ideals. Ring homomorphisms, properties of ring homomorphisms, Isomorphism theorems I, II and III, field of quotients. UNIT-III Polynomial rings over commutative rings, division algorithm and consequences, principal ideal domains, factorization of polynomials, reducibility tests, irreducibility tests, Eisenstein criterion, Unique factorization in Z[x]. UNIT-IV Divisibility in integral domains, irreducibles, primes, unique factorization domains, Euclidean domains. BOOKS RECOMMENDED : 1. Joseph A. Gallian, Contemporary Abstract Algebra(4th Edition), Narosa Publishing House, New Delhi. 2. John B. Fraleigh, A First Course in Abstract Algebra, 7th Ed., Pearson, 2002. BOOK FOR REFERENCES: 1. M. Artin, Abstract Algebra, 2nd Ed., Pearson, 2011. 2. Joseph 1. Rotman, An Introduction to the Theory of Groups, 4th Ed., Springer Verlag, 1995. 3. I. N. Herstein, Topics in Algebra, Wiley Eastern Limited, India, 1975. CORE PAPER - XI MULTIVARIATE CALCULUS Objective: The objective of this course to introduce functions of several variable to a student after he has taken a course in one variable calculus. The course will introduce partial derivatives and several of its consequences and will introduce double and triple integrals along with line integrals which are fundamental to all streams where calculus can be used. Expected Outcomes: After reading this course a student will be able to calculate partial derivatives, directional derivatives, extreme values and can calculate double, triple and line integrals. He will have idea of basic vector calculus including green's theorem, divergence theorem.and stokes theorem. He can take courses in calculus on manifolds, Differential geometry and can help in numerical computations involving several variables. UNIT-I Functions of several variables, limit and continuity of functions of two variables. Partial differentiation, total differentiability and differentiability, sufficient condition for differentiability. Chain rule for one and two independent parameters, directional derivatives, the gradient, maximal and normal property of the gradient, tangent planes. UNIT-II Extrema of functions of two variables, method of Lagrange multipliers, constrained optimization problems. Definition of vector field, divergence and curl, Double integration over rectangular region, double integration over nonrectangular region. Double integrals in polar co-ordinates, UNIT-III Triple integrals, Triple integral over a parallelepiped and solid regions. Volume by triple integrals, cylindrical and spherical co-ordinates. Change of variables in double integrals and triple integrals. UNIT-IV Line integrals, Applications of line integrals: Mass and Work. Fundamental theorem for line integrals, conservativevector fields, independence of path. Green's theorem, surface integrals, integrals over parametrically defined surfaces. Stokes' theorem, The Divergence theorem. BOOKS RECOMMENDED : 1. M. J, Strauss, G. L. Bradley and K. J. Smith, Calculus (3rd Edition), Dorling Kindersley (India) Pvt. Ltd. (Pearson Education), Delhi, 2007. 2. S C Mallik and S Arora: Mathematical Analysis, New Age International Publications BOOK FOR REFERENCES: 1. G.B. Thomas and R.L. Finney, Calculus, 9th Ed., Pearson Education, Delhi, 2005. 2. E. Marsden, A.J. Tromba and A. Weinstein, Basic Multivariable Calculus, Springer(SIE). Indian reprint, 2005. 3. James Stewart, Multivariable Calculus, Concepts and Contexts,2 nd Ed., Brooks/Cole, Thomson Learning, USA, 2001. 4. S Ghorpade, B V Limaye, Multivariable calculus, Springer international edition CORE PAPER –XII LINEAR ALGEBRA Objective: Linear algebra is a basic course in almost all branches of science. A full course in undergraduate program will help students in finding real life applications later.. The objective of this course is to introduce a student the basics of linear algebra and some of its application Expected Outcomes: The student will use this knowledge wherever he/She goes after undergraduate program. It has applications in computer science, finance mathematics, industrial mathematics, bio mathematics and what not. UNIT-I Vector spaces, subspaces, examples, algebra of subs paces, quotient spaces, linear combination of vectors, linear span, linear independence, basis and dimension, dimension of subspaces. Linear transformations, null space, range, rank and nullity of a linear transformation. UNIT-II Matrix representation of a linear transformation, Algebra of linear transformations, Isomorphisms, Isomorphism theorems, invertibility and isomorphisms, change of coordinate matrix, Dual spaces, dual basis, double dual, transpose of a linear transformation and its matrix in the dual basis, annihilators, Basics of Fields. UNIT-III Eigenspaces of a linear operator, diagonalizability. Invariant subspaces and Cayley-Hamilton theorem, the minimal polynomial for a linear operator, Inner product spaces and norms, GramSchmidtorthogonalization process, UNIT-IV Orthogonal complements, Bessel's inequality, the adjoint of a linear operator, Least Squares Approximation, minimal solutions to systems of linear equations, Normal and self-adjoint operators, Orthogonal projections and Spectral theorem. BOOKS RECOMMENDED : 1. Stephen H. Friedberg, Arnold J. Insel, Lawrence E. Spence, Linear Algebra (4th Edition), Pearson, 2018. BOOKS FOR REFERENCE: 1. Rao A R and BhimSankaram Linear Algebra Hindustan Publishing house. 2. Gilbert Strang, Linear Algebra and its Applications, Thomson, 2007. CORE PAPER-XIII COMPLEX ANALYSIS Objectives: The objective of the courseis aimed to provide an introduction to the theories for functions of a complex variable. The concepts of analyticity and complex integration are presented. The Cauchy's theorem and its applications, the calculus of residues and its applications are discussed in detail. Expected Outcomes: Students will be able to handle certain integrals not evaluated earlier and will know a technique for counting the zeros of polynomials. This course is prerequisite to many other advance analysis courses. UNIT-I Complex Numbers and Complex plane: Basic properties, convergence, Sets in the Complex plane, Functions on the Complex plane: Continuous functions, holomorphic functions, power series, Integration along curves. UNIT-II Cauchy's Theorem and Its Applications: Goursat's theorem, Local existence of primitives and Cauchy's theorem in a disc, Evaluation of some integrals, Cauchy's integral formulas. UNIT-III Morera's theorem, Sequences of holomorphic functions, Holomorphic functions defined in terms of integrals, Schwarz reflection principle, Zeros and poles. UNIT-IV Meromorphic Functions and the Logarithm: The residue formula, Examples, Singularities and meromorphic functions, The argument principle and applications, The complex logarithm. BOOKS RECOMMENDED : 1. Elias M. Stein & Rami Shakarchi, Complex Analysis, Princeton University press, Princeton and Oxford, 2003. BOOKS FOR REFERENCE: 1. James Ward Brown and Ruel V. Churchill, Complex Variables and Applications (Eighth Edition), McGraw - Hill International Edition, 2009. 2. G. F. Simmons, Introduction to Topology and Modern Analysis, Mcgraw-Hill, Edition 2004. 3. Joseph Bak and Donald 1. Newman, Complex analysis (2ndEdition), Undergraduate Texts in Mathematics, Springer-Verlag New York, Inc., New York, 1997. CORE PAPER-XIV GROUP-THEORY-II Objective: The objective of this course is to be exposed to more advanced results in group theory after completing a basic course. The course introduces results on automorphism, commutator subgroup, group action Sylow theorems etc. Expected Outcomes: The knowledge of automorphism helps to study more on field theory. Students learn on direct products, group actions, class equations and their applications with proof of all results . This course helps to opt for more advanced courses in algebra and linear classical groups. UNIT-I Automorphism, inner automorphism, automorphism groups, automorphism groups of finite and infinite cyclic groups, applications of factor groups to automorphism groups. characteristic subgroups. UNIT-II Commutator subgroup and its properties, Properties of external direct products, the group of units modulo n as an external direct product, internal direct products, Fundamental Theorem of finite abelian groups. UNIT-III Group actions, stabilizers and kernels, permutation representation associated with a given group action, Application of group actions: Generalized Cayley's theorem, Index theorem. UNIT-IV Groups acting on themselves by conjugation, class equation and consequences, conjugacy in Sn , p groups, Sylow's theorems and consequences, Cauchy's theorem, Simplicity of An for n 5, non-simplicity tests. BOOKS RECOMMENDED : 1. John B. Fraleigh, A First Course in Abstract Algebra, Narosa Publishing House, New Delhi. 2. Joseph A. GallianContemporary Abstract Algebra (4th Edition), Narosa Publishing House, New Delhi. BOOK FOR REFERENCES: 1. M. Artin, Abstract Algebra, 2nd Ed., Pearson, 2011. 2. David S. Dummit and Richard M. Foote, Abstract Algebra, 3rd Ed., John Wiley and Sons (Asia) Pvt. Ltd., Singapore, 2004. 3. J.R. Durbin, Modern Algebra, John Wiley & Sons, New York Inc., 2000. Discipline Specific Elective Paper-1 LINEAR PROGRAMMING Objective: The objective of this course is to familiarize industrial problems to students with various methods of solving Linear Programming Problems, Transportation Problems, Assignment Problems and their applications. Also, students will know the application of linear Programming method in Game Theory. Expected Outcomes: More knowledge on this topic in higher studies will help students to deal industrial models. This is also prerequisite for studying advanced courses in Nonlinear Programming Problems, Inventory Control Problem and Queuing Theory etc. UNIT-I Introduction to linear Programming problem, Theory of simplex method, optimality and unboundedness, the simplex algorithm, simplex method in tableau format, introduction to artificial variables, two-phase method, Big-M method and their comparison. UNIT-II Duality, formulation of the dual problem, primal-dual relationships, Fundamental Theorem of Duality, economic interpretation of the dual. UNIT-III Transportation problem and its mathematical formulation, northwest-corner method least cost method and Vogel approximation method for determination of starting basic solution, algorithm for solving transportation problem. Assignment problem and its mathematical formulation, Hungarian method for solving assignment problem. UNIT-IV Game theory: formulation of two person zero sum games, solving two person zero sum games, games with mixed strategies, graphical solution procedure, linear programming solution of games. BOOKS RECOMMENDED : 1. KantiSwarup, Operations Research, Sultan Chand & Sons, New Delhi. Books. BOOKS FOR REFERENCE: 1. S. Hillier and G.J. Lieberman, Introduction to Operations Research- Concepts and Cases (9th Edition), TataMcGraw Hill, 2010. 2. Mokhtar S. Bazaraa, John J. Jarvis and Hanif D. Sherali, Linear Programming and Network Flows (2nd edition), John Wiley and Sons, India, 2004. 3. G. Hadley, Linear Programming, Narosa Publishing House, New Delhi, 2002. 4. Hamdy A. Taha, Operations Research: An Introduction (10th edition), Pearson, 2017. Discipline Specific Elective Paper-II Probability and Statistics Objective: The objective of the course is to expertise the student to the extensive role of statistics in everyday life and computation, which has made this course a core course in all branches of mathematical and engineering sciences. Expected Outcome: The students shall learn probability and statistics for various random variables, multivariate distributions, correlations and relations. He shall learn law of large numbers and shall be able to do basic numerical calculations. UNIT-I Probability: Introduction, Sample spaces, Events, probability of events, rules of probability, conditional probability, independent events, Bayes’s theorem, '. Probability distributions and probability densities: random variables, probability distributions, continuous random variables, probability density functions, Multivariate distributions, joint distribution function, joint probability density function, marginal distributions, conditional distributions, conditional density, The theory in practice, data analysis, frequency distribution, class limits, class frequencies, class boundary, class interval, class mark, skewed data, multimodality, graphical representation of the data, measures of location and variability. Population, sample, parameters UNIT-II Mathematical Expectation: Introduction, expected value of random variable, moments, Chebyshev's theorem, moment generating functions, product moments, moments of linear combinations of random variables, conditional expectations, the theory in practice, measures of location, dispersion UNIT-III Special probability distributions: Discrete Uniform distribution, binomial distribution, Negative binomial, geometric, hypergeometric, poisson, multinomial distribution, multinomial. Special probability densities; Uniform distribution, gamma, exponential, gamma, chi-square, beta distribution, normal, normal approximation to binomial, bivariate normal, Functions of random variables, distribution function technique, transformation technique-one variable, several variables, moment generating function technique, UNIT-IV Sampling distributions: population distribution, random sample, sampling distribution of mean, Central Limit theorem, Sampling distribution of the mean: finite populations, chi-square, t, F distributions, regression and correlation: Bivariate regression, regression equation, Linear regression, method of least squares. BOOKS RECOMMENDED: 1. Irwin Miller and Marylees Miller, John E. Freund's Mathematical Statistics with Applications (8 th Edition), Pearson, Asia, 2014. BOOK FOR REFERENCES: l. Robert V. Hogg, Joseph W. McKean and Allen T. Craig, Introduction to Mathematical Statistics, Pearson Education, Asia, 2007. 2.Alexander M. Mood, Franklin A. Graybill and Duane C. Boes, Introduction to the Theory of Statistics, (3rd Edition), Tata McGraw- Hill, Reprint 2007. 3. Sheldon Ross, Introduction to Probability Models (9th Edition), Academic Press, Indian Reprint, 2007. Discipline Specific Elective Paper-III DIFFERENTIAL GEOMETRY Objective: After learning methods on curve tracing and Analytic Geometry, the objective of this course is to teach Differential geometry of curves and surfaces which trains a student using tools in calculus to derive intrinsic properties of plain curves and space curves. Expected Outcome: After completing this course a student will learn on serret-Frenet formulae, relation between tangent, normal and binormals, first and second fundamental forms and ideas on various curvatures. He has scope to take more advanced courses in surface theory and geometry. UNIT-I Theory of Space Curves: Space curves, Planer curves, Curvature, torsion and Serret-Frenet formulae. Osculating circles, Osculating circles and spheres. Existence of space curves. UNIT-II Evolutes and involutes of curves. Theory of Surfaces: Parametric curves on surfaces, surfaces of revolution, helicoids, Direction coefficients. First and second Fundamental forms. UNIT-III Principal and Gaussian curvatures. Lines of curvature, Euler's theorem. Rodrigue's formula, Conjugate and Asymptotic lines. Developables: Developable associated with space curves and curves on surfaces, Minimal surfaces. UNIT-IV Geodesics: Canonical geodesic equations. Nature of geodesics on a surface of revolution. Clairaut's theorem. Normal property of geodesics. Torsion of a geodesic. Geodesic curvature. Gauss-Bonnet theorem. Surfaces of constant curvature. BOOKS RECOMMENDED : 1. T.J. Willmore, An Introduction to Differential Geometry, Dover Publications, 2012. BOOK FOR REFERENCES: 1. A. Pressley, Elementary Differential Geometry, Springer Internationl Edition, 2014. 2. O'Neill, Elementary Differential Geometry, 2nd Ed., Academic Press, 2006. 3. C.E. Weatherburn, Differential Geometry of Three Dimensions, Cambridge University Press 2003. 4. D.J. Struik, Lectures on Classical Differential Geometry, Dover Publications, 1988. Discipline Specific Elective Paper-IV NUMBER THEORY Objective: The main objective of this course is to build up the basic theory of the integers, prime numbers and their primitive roots, the theory of congruence, quadratic reciprocity law and number theoretic functions, Fermat's last theorem, to acquire knowledge in cryptography specially in RSA encryption and decryption. Expected Outcomes: Upon successful completion of this course students will able to know the basic definitions and theorems in number theory, to identify order of an integer, primitive roots, Euler's criterion, the Legendre symbol, Jacobi symbol and their properties, to understand modular arithmetic number-theoretic functions and apply them to cryptography. UNIT- I Linear Diophantine equation, prime counting function, statement of prime number theorem, Goldbach conjecture, linear congruences, complete set of residues, Chinese remainder theorem, Fermat's little theorem, Wilson's theorem. UNIT-II Number theoretic functions, sum and number of divisors, totally multiplicative'-1. functions, definition and properties of the Dirichlet product, the Mobius inversion formula, the greatest integer function, Euler's phi-function, Euler's theorem, reduced set of residues, some properties of Euler's phi-function. UNIT-III Order of an integer modulo n, primitive roots for primes, composite numbers having primitive roots, Euler's criterion, the Legendre symbol, Jacobi symbol and their properties, quadratic reciprocity, quadratic congruences with composite moduli. UNIT-IV Affine ciphers, Hill ciphers, p vgh vg gvublic key cryptography, RSA encryption and decryption, the equation x 2 + y 2 =z 2 ,Fermat's Last Theorem. BOOKS RECOMMENDED : 1. David M.Burton, Elementary Number Theory (6thEdition), TataMcGraw-Hill Edition, Indian reprint, 2007. BOOK FOR REFERENCES: 1. Thomas Koshy, Elementary Number Theory with Applications (2 nd Edition), Academic Press, 2007. 2. Neville Robinns, Beginning Number Theory (2ndEdition), Narosa Publishing House Pvt. Limited, Delhi,2007. OR Discipline Specific Elective Paper-IV PROJECT Guidelines for +3 (CBCS) Under Graduate(B.A./B.Sc.) Mathematics (Honours) Project 1. Any student registering for doing project is required to inform the HOD, Mathematics the name of his/her project supervisor(s) at the time of pre-registration. 2. By the last date of add and drop, the student must submit the "Project Registration Form'', appended as Annexure-I to this document, to the HOD, Mathematics. This form requires a project title, the signature of the student, signature(s) of the supervisor(s) and the signature of the HOD, Mathematics of the college/university. 3. The project supervisor(s) should normally be a faculty member(s) of the Department of Mathematics and the topic of the project should be relevant to Mathematical Sciences. If a student desires to have a Project Supervisor from another department of the institute, the prior approval for the same should be sought from the HOD, Mathematics. 4. A student may have at the most two Project Supervisors. If a student desires to have two supervisors, at least one of these should be from the Department of Mathematics. 5. The student(s) will be required to submit one progress report and a final report of the Project to the HOD, Mathematics. The progress report is to be submitted in the sixth week of the semester in which the project is undertaken. The hard copy and an electronic version of the final report of the project should be submitted two weeks before the end semester examination of the sixth semester. In addition the student will be required to make an oral presentation in front of a committee (Under Graduate (B.A./ B.Sc.) Mathematics (Honours) Project committee of the college in which supervisor is one of the members) constituted for this purpose by the Department of Mathematics of the college. 6. The student is expected to devote about 100 hours. The project will be evaluated by a committee of faculty members at the end of the sixth semester. The committee will be constituted by the Under Graduate (B.A./B.Sc.) Mathematics (Honours) Project committee of the college keeping in mind the areas of project they will cover. 7. In each semester the grade of a student will be awarded by the committee in consultation with his/her project supervisor(s). The project is evaluated on the basis of the following components: First Progress Reports: 20%; second/Final Report: 30%; Presentation: 30%; Viva: 20%. 8. Project progress reports should normally be no longer than 250 words and final report should not be longer than 40 A4 size pages in double spacing. Each final project report need to contain the following: (i) Abstract (ii) Table of contents (iii) Review of literature (iv) Main text(v) List of references. It may be desirable to arrange the main text as an introduction, the main body and conclusions. GUIDELINES FOR STRUCTURING CONTENTS Sequence of Contents: The following sequence for the thesis organization should be followed: (i) Preliminaries Title Page Certificate Abstract/Synopsis Acknowledgement and/ or Dedication Table of Contents List of Figures, Tables, Illustrations, Symbols, etc (wherever applicable) (ii) Text of Thesis Introduction The body of the thesis, summary and conclusions (iii) Reference Material List of References, Bibliography (iv) Appendices NOTE: 1. Synopsis/Abstract should be self-complete and contain no citations for which the thesis has to be referred. 2. The Text of the Thesis(a) Introduction: Introduction may be the first chapter or its first major division. In either case, it should contain a brief statement of the problem investigated. It should outline the scope, aim, general character of the research and the reasons for the student's interest in the problem. (b) The body of Thesis This is the substance of the dissertation inclusive of all divisions, subdivisions, tables, figures, etc. (c) Summary and conclusions If required, these are given as the last major division (chapter) of the text. A further and final subdivision titled "Scope for Further Work" may follow. (d) Reference material The list of references should appear as a consolidated list with references listed either alphabetically or sequentially as they appear in the text of the thesis. For referencing an article in a scientific journal the suggested format should contain the following information: authors, title, name of journal, volume number, page numbers and year. For referencing an article published in a book, the suggested format should contain, authors, the title of the book, editors, publisher, year, page number of the article in the book being referred to. For referencing a thesis the suggested format should contain, author, the title of thesis, where thesis was submitted or awarded, year. ANNEXURE-I Department of Mathematics Project Registration Form Name of the ଗ ାଳ college/university: Name of the student: Roll No. : e-mail : Name of the supervisor(s): Department(s): e-mail(s): Title of the Project: Signature of the Student: Signature of supervisor(s): (i) (ii) Signature of HOD, Mathematics: ସରକାରୀ ସ୍ୱ ୍ୱୟଂଶାସିତ ମହାବିିଦ୍ ୟାଳୟ ଅନ, GENERIC ELECTIVES (TWO PAPER CHOICE) Generic Elective Paper I CALCULUS AND DIFFERENTIAL EQUATIONS Objective: Calculus invented by Newton and Leibnitz is powerful analytical tool to solve mathematical problems which arise in all branches of science and engineering. The main emphasis of this course is to equip the student with necessary analytic and technical skills to handle problems of a mathematical nature as well as practical problems using calculus and differential equation. The aim should be to expose the students to basic ideas quickly without much theoretical emphasis with importance on applications. Excepted Outcomes: After completing the course, students are expected to be able to apply knowledge of calculus and differential equations in the areas of their own interest. UNIT-I Curvature, Asymptotes, Tracing of Curves (Catenary, Cycloid, Folium of Descartes), Rectification, Quadrature, Elementary ideas about Sphere, Cones, Cylinders and Conicoids. UNIT-II Reviewoflimits,continuityanddifferentiabilityoffunctionsofonevariable and their properties, Rolle's theorem, Mean value theorems, Taylor's theorem with Lagrange's theorem and Cauchy's form of remainder, Taylor's series, Maclaurin's series of sinx,cosx,e x ,log(1+x ),(1+x) m , L' Hospital's Rule, other Intermediate forms. UNIT-III Limitand Continuity of functions of several variables, Partial derivatives, Partial derivatives of higher orders, Homogeneous functions, Change of variables, Mean value theorem, Taylors theorem and Maclaurin's theorem for functions of two variables(statements &applications), Maxima and Minima of functions of two and three variables, Implicit functions, Lagrange's multipliers (Formulae & its applications), Concepts of Multiple integrals & its applications. UNIT-IV Ordinary Differential Equations of order one and degree one (variables separable, homogeneous, exact and linear). Equations of order one but higher degree. Second order linear equations with constant coefficients, homogeneous forms, Second order equations with variable coefficients, Variation of parameters. BOOKS RECOMMENDED: 1. Shanti Narayan, P. K. Mittal, Differential Calculus, S. Chand, 2014. 2. Shanti Narayan, P. K. Mittal, Integral Calculus, S. Chand, 2014. 3. S.C. Mallik and S. Arora-Mathematical Analysis, New Age International Publications. 4. J. Sinharoy and S. Padhy: A Course of Ordinary and Partial Differential Equations, Kalyani Publishers. BOOK FOR REFERENCES: 1. H.Anton,I.Bivens and S.Davis,Calculus,10 th Ed.,John Wiley and Sons (Asia) P. Ltd., Singapore, 2002. 2. Shanti Narayan and P.K. Mittal-Analytical Solid Geometry, S. Chand & Company Pvt. Ltd., New Delhi. 3. Martin Braun-Differential Equations and their Applications-Martin Braun, Springer International. 4. B. P.Acharya and D. C.Sahu: Analytical Geometry of Quadratic Surfaces, Kalyani Publishers. Generic Elective Paper II ALGEBRA Objective: This is a preliminary course for the basic courses in mathematics like, abstract algebra and linear algebra. The objective is to acquaint students with the properties of natural numbers i.e. Euclidean algorithm, congruence relation, fundamental theorem of arithmetic, etc. The basics of linear algebra i.e. vector spaces, matrices are introduced here. Expected Outcomes: The acquired knowledge will help students to study further courses in mathematics like, group theory, ring theory and field theory and linear algebra. It has applications not only in higher mathematics but also in other science subjects like computer science, statistics, physics, chemistry etc. UNIT-I Sets, relations, Equivalence relations, partial ordering, well ordering, Functions, Composition of functions, Invertible functions, One to one correspondence and cardinality of a set, statements, compound statements, proofs in Mathematics, Truth tables, Algebra of propositions, logical arguments UNIT-II Well-ordering property of positive integers, Division algorithm, Divisibility and Euclidean algorithm, Congruence relation between integers, Principles of Mathematical Induction, statement of Fundamental Theorem of Arithmetic. UNIT-III Matrices, algebra of matrices, determinants, fundamental properties, minors and cofactors, product of determinant, adjoint and inverse of a matrix, Rank and nullity of a matrix, Systems of linear equations, row reduction and echelon forms, solution sets of linear systems, applications of linear systems,. UNIT-IV Vector spaces and subspaces, examples, linear independence, linear dependence, basis, dimension, examples, Introduction to linear transformations, matrix representation of a linear transformation, Eigen values, Eigen vectors of amatrix. BOOKS RECOMMENDED: 1. Edgar G. Goodaire and Michael M. Parmenter, Discrete Mathematics with Graph Theory, 3 rd Ed., Pearson Education (Singapore) P. Ltd., Indian Reprint, 2005. 2. V Krishna Murthy, V P Mainra, J L Arora, An Introduction to Linear Algebra , Affiliated East-West Press Pvt. Ltd BOOKS FOR REFERENCE: 1. David C. Lay, Linear Algebra and its Applications,3 rd Ed., Pearson Education Asia, Indian Reprint,2007. 2. B S Vatsa and SuchiVatsa Theory of Matrices New age International third edition 2010. 3. Ward Cheney, David kincaid. Linear algebra theory and applications, Jones and Bartlett ,2010. GENERIC ELECTIVES ( FOUR PAPERS CHOICE) Generic Elective Paper I CALCULUS AND DIFFERENTIAL EQUATIONS Objective: Calculus invented by Newton and Leibnitz is powerful analytical tool to solve mathematical problems which arise in all branches of science and engineering. The main emphasis of this course is to equip the student with necessary analytic and technical skills to handle problems of a mathematical nature as well as practical problems using calculus and differential equation. The aim should be to expose the students to basic ideas quickly without much theoretical emphasis with importance on applications. Excepted Outcomes: After completing the course, students are expected to be able to apply knowledge of calculus and differential equations in the areas of their own interest. UNIT-I Curvature, Asymptotes, Tracing of Curves (Catenary, Cycloid, Folium of Descartes), Rectification, Quadrature, Elementary ideas about Sphere, Cones, Cylinders and Conicoids. UNIT-II Reviewoflimits,continuityanddifferentiabilityoffunctionsofonevariable and their properties, Rolle's theorem, Mean value theorems, Taylor's theorem with Lagrange's theorem and Cauchy's form of remainder, Taylor's series, Maclaurin's series of sinx,cosx,e x ,log(1+x ),(1+x) m , L' Hospital's Rule, other Intermediate forms. UNIT-III Limitand Continuity of functions of several variables, Partial derivatives, Partial derivatives of higher orders, Homogeneous functions, Change of variables, Mean value theorem, Taylors theorem and Maclaurin's theorem for functions of two variables(statements &applications), Maxima and Minima of functions of two and three variables, Implicit functions, Lagranges multipliers (Formulae & its applications), Concepts of Multiple integrals & its applications. UNIT-IV Ordinary Differential Equations of order one and degree one (variables separable, homogeneous, exact and linear). Equations of order one but higher degree.Second order linear equations with constant coefficients, homogeneous forms, Second order equations with variable coefficients, Variation of parameters. BOOKS RECOMMENDED: 1. Shanti Narayan, P. K. Mittal, Differential Calculus, S. Chand, 2014. 2. Shanti Narayan, P. K. Mittal, Integral Calculus, S. Chand, 2014. 3. S.C. Mallik and S. Arora-Mathematical Analysis, New Age International Publications. 4. J. Sinharoy and S. Padhy: A Course of Ordinary and Partial Differential Equations, Kalyani Publishers. BOOKS FOR REFERENCE: 1. H. Anton, I. Bivens and S.Davis, Calculus, 10 th Ed., John Wiley and Sons (Asia) P. Ltd., Singapore, 2002. 2. Shanti Narayan and P.K. Mittal-Analytical Solid Geometry, S. Chand & Company Pvt. Ltd., New Delhi. 3. Martin Braun-Differential Equations and their Applications-Martin Braun, SpringerInternational. 4. B. P.Acharya and D. C. Sahu: Analytical Geometry of Quadratic Surfaces, Kalyani Publishers. Generic Elective Paper II ALGEBRA Objective: This is a preliminary course for the basic courses in mathematics like, abstract algebra and linear algebra. The objective is to acquaint students with the properties of natural numbers i.e. Euclidean algorithm, congruence relation, fundamental theorem of arithmetic, etc. The basics of linear algebra i.e. vector spaces, matrices are introduced here. Expected Outcomes: The acquired knowledge will help students to study further courses in mathematics like, group theory, ring theory and field theory and linear algebra. It has applications not only in higher mathematics but also in other science subjects like computer science, statistics, physics, chemistry etc. UNIT-I Sets ,relations, Equivalence relations, partial ordering, well ordering, Functions, Composition of functions, Invertible functions, One to one correspondence and cardinality of a set, statements, compound statements, proofs in Mathematics, Truth tables, Algebra of propositions, logical arguments UNIT-II Well-ordering property of positive integers, Division algorithm, Divisibility and Euclidean algorithm, Congruence relation between integers, Principles of Mathematical Induction, statement of Fundamental Theorem of Arithmetic. UNIT-III Matrices, algebra of matrices , determinants, fundamental properties, minors and cofactors, product of determinant, adjoint and inverse of a matrix, Rank and nullity of a matrix, Systems of linear equations, row reduction and echelon forms, solution sets of linear systems, applications of linear systems,. UNIT-IV Vector spaces and subspaces, examples, linear independence, linear dependence, basis, dimension, examples, Introduction to linear transformations, ,matrix representation of a linear transformation, Eigen values, Eigen vectors of amatrix. BOOKS RECOMMENDED: 1 Edgar G. Goodaire and Michael M. Parmenter, Discrete Mathematics with Graph Theory, 3rd Ed., Pearson Education (Singapore) P. Ltd., Indian Reprint, 2005. 2 V Krishna Murthy, V P Mainra, J L Arora, An Introduction to Linear Algebra , Affiliated East-West Press Pvt. Ltd BOOKS FOR REFERENCE: 1. David C. Lay, Linear Algebra and its Applications, 3 rd Ed., Pearson Education Asia, Indian Reprint,2007. 2. B S Vatsa and SuchiVatsa Theory of Matrices New age International third edition2010. 3. Ward Cheney, David Kincaid. Linear algebra theory and applications, Jones and Bartlett ,2010 Generic Elective Paper III REAL ANALYSIS Objective: The objective of the course is to have the knowledge on basic properties of the field of real numbers, studying Bolzano-Weiersstrass Theorem , sequences and convergence of sequences, series of real numbers and its convergence etc. This is one of the core courses essential to start doing mathematics. Expected Outcome: On successful completion of this course, students will be able to handle fundamental properties of the real numbers that lead to the formal development of real analysis and understand limits and their use in sequences, series, differentiation and integration. Students will appreciate how abstract ideas and rigorous methods in mathematical analysis can be applied to important practical problems. UNIT-I Review of Algebraic and Order Properties of R, ε-neighborhood of a point in R, Idea of countable sets, uncountable sets and uncountability of R, Bounded above sets, Bounded below sets, Bounded Sets, Unbounded sets, Suprema and Infima, The Completeness Property of R, The Archimedean Property, Density of Rational (and Irrational) numbers in R. UNIT-II Intervals, Interior point, Open Sets, Closed sets, Limit points of a set , Illustrations of BolzanoWeierstrass theorem for sets, closure, interior and boundary of a set. Sequences, Bounded sequence, Convergent sequence, Limit of a sequence. Limit Theorems, Monotone Sequences, Monotone Convergence Theorem. Subsequences, Divergence Criteria, Monotone Subsequence Theorem (statement only). Bolzano Weierstrass Theorem for Sequences, Cauchy sequence, Cauchy's Convergence Criterion. UNIT-III Infinite series, convergence and divergence of infinite series, Cauchy Criterion, Tests for convergence: Comparison test, Limit Comparison test, Ratio Test, Cauchy's nth root test, Integral test, Alternating series, Leibniz test, Absolute and Conditional convergence. UNIT-IV Sequence and Series of functions, pointwise and uniform convergences, Mn test, M test, statement of results about uniform convergence, differentiability and integrability of function, power series and radius of convergence. BOOKS RECOMMENDED: 1. S.C. Mallikand S. Arora- Mathematical Analysis, New Age International Publications. 2. G. Das and S. Pattanayak, Fundamentals of Mathematical Analysis, TMH Publishing Co. BOOKS FOR REFERENCE: 1. R.G. Bartle and D. R. Sherbert, Introduction to Real Analysis (3 rd Edition), John Wiley and Sons (Asia) Pvt. Ltd., Singapore,2002. 2. A. Kumar, S. Kumaresan, A basic course in Real Analysis, CRC Press, 2014. 3. Brian S. Thomson, Andrew. M. Bruckner, and Judith B. Bruckner, Elementary Real Analysis, Prentice Hall,2001. 4. Gerald G. Bilodeau, Paul R. Thie, G.E. Keough, An Introduction to Analysis, Jones & Bartlett, Second Edition, 2010. Generic Elective Paper IV NUMERICAL METHODS Objective: Calculation of error and approximation is a necessity in all real life, industrial and scientific computing. The objective of this course is to acquaint students with various numerical methods of finding solution of different type of problems, which arises in different branches of science such as locating roots of equations, finding solution of nonlinear equations, systems of linear equations, differential equations, Interpolation, differentiation, evaluating integration. Expected Outcome: Students can handle physical problems to find an approximated solution. After getting trained a student can opt for advance courses in Numerical analysis in higher mathematics. Use of good mathematical software will help in getting the accuracy one need from the computer and can assess the reliability of the numerical results, and determine the effect of round off error or loss of significance. UNIT-I Algorithms, Convergence, Bisection method, False position method, Fixed point iteration method, Newton's method, Secant method. Gauss Elimination and Gauss Jordan methods, LU decomposition, Gauss-Jacobi, GaussSiedel. UNIT-II Lagrange and Newton interpolation: linear and higher order, finite difference operators. UNIT-III Numerical differentiation: forward difference, backward difference and central Difference. UNIT-IV Integration: trapezoidal rule, Simpson's rule, Euler's method, Runge-Kutta methods of orders two and four. BOOKS RECOMMENDED : 1. M.K. Jain, S.R.K. Iyengar and R.K. Jain, Numerical Methods for Scientific and Engineering Computation 5th Ed., New age International Publisher, India, 2007. , BOOKS FOR REFERENCE: 1. S. S. Sastry, Introductory method for Numerical Analysis, PHI New Delhi,2012. 2. S. D. Conte and Carl De Boor, Elementary Numerical Analysis, Mc Graw Hill, 1980. PROPOSED STRUCTURE OF THE +3 UNDER GRADUATE (B.A/B.SC) MATHEMATICS (PASS) SYLLABUS BASED ON CHOICE BASED CREDIT SYSTEM (CBCS) B.A./B.SC.(PASS)-MATHEMATICS MATHEMATICS PAPERS FOR PASS STUDENTS Discipline Specific Core – 4 papers Discipline Specific Elective – 2 papers Marks per paper –Mid term : 20 marks, End term : 80 marks Total – 100 marks Credit per paper – 6 Teaching hours per paper – 50 hours Theory classes + 10 hours tutorial Discipline Specific Core Paper I CALCULUS AND DIFFERENTIAL EQUATIONS Objective: Calculus invented by Newton and Leibnitz is powerful analytical tool to solve mathematical problems which arise in all branches of science and engineering. The main emphasis of this course is to equip the student with necessary analytic and technical skills to handle problems of a mathematical nature as well as practical problems using calculus and differential equation. The aim should be to expose the students to basic ideas quickly without much theoretical emphasis with importance on applications. Excepted Outcomes: After completing the course, students are expected to be able to apply knowledge of calculus and differential equations in the areas of their own interest. UNIT-I Curvature, Asymptotes, Tracing of Curves (Catenary, Cycloid, Folium of Descartes), Rectification, Quadrature, Elementary ideas about Sphere, Cones, Cylinders and Conicoids. UNIT-II Review of limits, continuity and differentiability of functions of one variable and their properties, Rolle's theorem, Mean value theorems, Taylor's theorem with Lagrange's theorem and Cauchy's form of remainder, Taylor's series, Maclaurin's series of sinx,cosx,e x ,log(1+x ),(1+x) m , L' Hospital's Rule, other Intermediate forms. UNIT-III Limitand Continuity of functions of several variables, Partial derivatives, Partial derivatives of higher orders, Homogeneous functions, Change of variables, Mean value theorem, Taylors theorem and Maclaurin's theorem for functions of two variables(statements &applications), Maxima and Minima of functions of two and three variables, Implicit functions, Lagranges multipliers (Formulae & its applications), Concepts of Multiple integrals & its applications. UNIT-IV Ordinary Differentia lEquations o order one and degree one (variables separable, homogeneous, exact and linear). Equations of order one but higher degree. Second order linear equations with constant coefficients, homogeneous forms, Second order equations with variable coefficients,Variationofparameters. BOOKS RECOMMENDED : 1. Shanti Narayan, P. K. Mittal, Differential Calculus, S. Chand, 2014. 2. Shanti Narayan, P. K. Mittal, Integral Calculus, S. Chand, 2014. 3. S.C. Mallik and S. Arora-Mathematical Analysis, New Age International Publications. 4. J. Sinharoy and S. Padhy: A Course of Ordinary and Partial Differential Equations, Kalyani Publishers. BOOKS FOR REFERENCE: 1. H.Anton,I.Bivensand S.Davis,Calculus,10thEd.,JohnWileyand Sons(Asia)P.Ltd., Singapore, 2002. 2. Shanti Narayan and P.K. Mittal-Analytical Solid Geometry, S. Chand & Company Pvt. Ltd., New Delhi. 3. Martin Braun-Differential Equations and their Applications-Martin Braun, Springer International. 4. B. P.Acharya and D. C. Sahu: Analytical Geometry of Quadratic Surfaces, Kalyani Publisher Discipline Specific Core Paper II ALGEBRA Objective: This is a preliminary course for the basic courses in mathematics like, abstract algebra and linear algebra. The objective is to acquaint students with the properties of natural numbers i.e. Euclidean algorithm, congruence relation, fundamental theorem of arithmetic, etc. The basics of linear algebra i.e. vector spaces, matrices are introduced here. Expected Outcomes: The acquired knowledge will help students to study further courses in mathematics like, group theory, ring theory and field theory and linear algebra. It has applications not only in higher mathematics but also in other science subjects like computer science, statistics, physics, chemistry etc. UNIT-I Sets, relations, Equivalence relations, partial ordering, well ordering, Functions, Composition of functions, Invertible functions, One to one correspondence and cardinality of a set, statements, compound statements, proofs in Mathematics, Truth tables, Algebra of propositions, logical arguments UNIT-II Well-ordering property of positive integers, Division algorithm, Divisibility and Euclidean algorithm, Congruence relation between integers, Principles of Mathematical Induction, statement of Fundamental Theorem of Arithmetic. UNIT-III Matrices, algebra of matrices , determinants, fundamental properties, minors and cofactors, product of determinant, adjoint and inverse of a matrix, Rank and nullity of a matrix, Systems of linear equations, row reduction and echelon forms, solution sets of linear systems, applications of linear systems,. UNIT-IV Vector spaces and subspaces, examples, linear independence, linear dependence, basis, dimension, examples, Introduction to linear transformations, matrix representation of a linear transformation, Eigen values, Eigen vectors of a matrix. BOOKS RECOMMENDED: 1. Edgar G. Goodaire and Michael M. Parmenter, Discrete Mathematics with Graph Theory, 3rd Ed., Pearson Education (Singapore) P. Ltd., Indian Reprint, 2005. 2. V Krishna Murthy, V P Mainra, J L Arora, An Introduction to Linear Algebra , AffiliatedEast-West Press Pvt. Ltd BOOKS FOR REFERENCE: 1. David C. Lay, Linear Algebra and its Applications, 3rdEd., Pearson Education Asia, Indian Reprint, 2007. 2. B S Vatsa and SuchiVatsa Theory of Matrices New age International third edition, 2010. 3. Ward Cheney, David Kincaid. Linear algebra theory and applications, Jones and Bartlett, 2010. Discipline Specific Core Paper III REAL ANALYSIS Objective: The objective of the course isto have the knowledge on basic properties of the field of real numbers, studying Bolzano- Weiersstrass Theorem , sequences and convergence of sequences, series of real numbers and its convergence etc. This is one of the core courses essential to start doing mathematics. Expected Outcome: On successful completion of this course, students will be able to handle fundamental properties of the real numbers that lead to the formal development of real analysis and understand limits and their use in sequences, series, differentiation and integration. Students will appreciate how abstract ideas and rigorous methods in mathematical analysis can be applied to important practical problems. UNIT-I Review of Algebraic and Order Properties of R, ε-neighborhood of a point in R, Idea of countable sets, uncountable sets and uncountability of R, Bounded above sets, Bounded below sets, Bounded Sets, Unbounded sets, Suprema and Infima, The Completeness Property of R, The Archimedean Property, Density of Rational (and Irrational) numbers in R. UNIT-II Intervals, Interior point, Open Sets, Closed sets, Limit points of a set , Illustrations of BolzanoWeierstrass theorem for sets, closure, interior and boundary of a set. Sequences, Bounded sequence, Convergent sequence, Limit of a sequence. Limit Theorems, Monotone Sequences, Monotone Convergence Theorem. Subsequences, Divergence Criteria, Monotone Subsequence Theorem (statement only). Bolzano Weierstrass Theorem for Sequences, Cauchy sequence, Cauchy's Convergence Criterion. UNIT-III Infinite series, convergence and divergence of infinite series, Cauchy Criterion, Tests for convergence: Comparison test, Limit Comparison test, Ratio Test, Cauchy's nth root test, Integral test, Alternating series, Leibniz test, Absolute and Conditional convergence. UNIT-IV Sequence and Series of functions, pointwise and uniform convergences, Mn test, M test, statement of results about uniform convergence, differentiability and integrability of function, power series and radius of convergence. BOOKS RECOMMENDED: 1. S.C. Mallikand S. Arora-Mathematical Analysis, New Age International Publications. 2. G. Das and S. Pattanayak, Fundamentals of Mathematical Analysis, TMH Publishing Co. BOOKS FOR REFERENCE: 1. R.G. Bartle and D. R. Sherbert, Introduction to Real Analysis (3 rd Edition), John Wiley and Sons (Asia) Pvt. Ltd., Singapore,2002. 2. A.Kumar, S. Kumaresan, A basic course in Real Analysis, CRC Press, 2014. 3. BrianS.Thomson,Andrew. M.Bruckner, and JudithB. Bruckner, ElementaryReal Analysis, Prentice Hall,2001. 4. Gerald G. Bilodeau , Paul R. Thie, G.E. Keough, An Introductionto Analysis, Jones & Bartlett, Second Edition, 2010. Discipline Specific Core Paper IV NUMERICAL METHODS Objective: Calculation of error and approximation is a necessity in all real life, industrial and scientific computing. The objective of this course is to acquaint students with various numerical methods of finding solution of different type of problems, which arises in different branches of science such as locating roots of equations, finding solution of nonlinear equations, systems of linear equations, differential equations, Interpolation, differentiation, evaluating integration. Expected Outcome: Students can handle physical problems to find an approximated solution. After getting trained a student can opt for advance courses in numerical analysis in higher mathematics. Use of good mathematical software will help in getting the accuracy one need from the computer and can assess the reliability of the numerical results, and determine the effect of round off error or loss of significance. UNIT-I Algorithms, Convergence, Bisection method, False position method, Fixed point iteration method, Newton's method, Secant method. Gauss Elimination and Gauss Jordan methods, LU decomposition, Gauss-Jacobi, GaussSiedel. UNIT-II Lagrange and Newton interpolation: linear and higher order, finite difference operators. UNIT-III Numerical differentiation: forward difference, backward difference and central Difference. UNIT-IV Integration: trapezoidal rule, Simpson's rule, Euler'smethod, Runge-Kutta methods of orders two and four. BOOKS RECOMMENDED : 1. M.K. Jain, S.R.K. Iyengar and R.K. Jain, Numerical Methods for Scientific and Engineering Computation, 5th Ed., New age International Publisher, India, 2007. BOOKS FOR REFERENCE: 1. S. S. Sastry, Introductory method for Numerical Analysis, PHI New Delhi, 2012. 2. S. D. Conte and Carl De Boor, Elementary Numerical Analysis, Mc Graw Hill, 1980. Discipline Specific Elective Paper –I GROUP THEORY Objective: Group theory is one of the building blocks of modern algebra. Objective of this course is to introduce students to basic concepts of group theory and examples of groups and their properties. This course will lead to future basic courses in advanced mathematics, such as Group theory-II and ring theory. Expected Outcomes: A student learning this course gets idea on concept and examples of groups and their properties. He understands cyclic groups, permutation groups, normal subgroups and related results. After this course he can opt for courses in ring theory, field theory, commutative algebras, linear classical groups etc. and can be apply this knowledge to problems in physics, computer science, economics and engineering. UNIT-I Symmetries of a square, Dihedral groups, definition and examples of groups including permutation groups and quaternion groups (illustration through matrices), elementary properties of groups, Subgroups and examples of subgroups, centralizer, normalizer, center of a group, UNIT-II Product of two subgroups, Properties of cyclic groups, classification of subgroups of cyclic groups, Cycle notation for permutations, properties of permutations, even and odd permutations, alternating group, UNIT-III Properties of cosets, Lagrange's theorem and consequences including Fermat's Little theorem,.. external direct product of a finite number of groups, normal subgroups, factor groups. UNIT-IV Cauchy's theorem for finite abelian groups, group homomorphisms, properties of homomorphisms, Cayley's theorem, properties of isomorphisms, first, second and third isomorphism theorems. BOOKS RECOMMENDED : 1. Joseph A. Gallian, Contemporary Abstract Algebra (4 th Edition), Narosa Publishing House, New Delhi, 2. John B. Fraleigh, A First Course in Abstract Algebra, 7 th Ed., Pearson, 2002. BOOK FOR REFERENCES: 1. M. Artin, Abstract Algebra, 2nd Ed., Pearson, 2011. 2. Joseph 1. Rotman, An Introduction to the Theory of Groups, 4th Ed., Springer Verlag, 1995. 3. I. N. Herstein, Topics in Algebra, Wiley Eastern Limited, India, 1975. Discipline Specific Elective Paper –II LINEAR PROGRAMMING Objective: The objective of this course is to familiarize industrial problems to students with various methods of solving Linear Programming Problems, Transportation Problems, Assignment Problems and their applications. Also, students will know the application of linear Programming method in Game Theory. Expected Outcomes: More knowledge on this topic in higher studies will help students to deal industrial models. This is also prerequisite for studying advanced courses in Nonlinear Programming Problems, Inventory Control Problem and Queuing Theory etc. UNIT-I Introduction to linear Programming problem, Theory of simplex method, optimality and unboundedness, the simplex alorithm, simplex method in tableau format, introduction to artificial variables, two-phase method, Big-M method and their comparison. UNIT-II Duality, formulation of the dual problem, primal-dual relationships, Fundamental Theorem of Duality, economic interpretation of the dual. UNIT-III Transportation problem and its mathematical formulation, northwest-corner method least cost method and Vogel approximation method for determination of starting basic solution, algorithm for solving transportation problem. Assignment problem and its mathematical formulation, Hungarian method for solving assignment problem. UNIT-IV Game theory: formulation of two person zero sum games, solving two person zero sum games, games with mixed strategies, graphical solution procedure, linear programming solution of games. BOOKS RECOMMENDED : 1. KantiSwarup, Operations Research, Sultan Chand & Sons, New Delhi. Books. BOOKS FOR REFERENCE: 1. Mokhtar S. Bazaraa, John J. Jarvis and Hanif D. Sherali, Linear Programming and Network Flows (2nd edition), John Wiley and Sons, India, 2004. 2. Hillier and G.J. Lieberman, Introduction to Operations Research- Concepts and Cases (9th Edition), TataMcGraw Hill, 2010. 3. G. Hadley, Linear Programming, Narosa Publishing House, New Delhi, 2002. SKILL ENHANCEMENT COMPULSORY COURSES (SECC) Optional for SECC II paper Skill Enhancement Compulsory Courses (Option1) COMPUTER GRAPHICS Development of computer Graphics: Raster Scan and Random Scan graphics storages, displays processors and character generators, colour display techniques, interactive input/output devices. Points, lines and curves: Scan conversion, line-drawing algorithms, circle and ellipse generation, conic-section generation, polygon filling anti aliasing. Two-dimensional viewing: Coordinate systems, linear transformations, line and polygon clipping algorithms. Books Recommended: 1. D. Hearn and M.P. Baker-Computer Graphics, 2nd Ed., PrenticeHall of India, 2004. 2. J. D. Foley, A van Dam, S.K. Feiner and J.F. Hughes-Computer Graphics: Principals and Practices, 2nd Ed., Addison-Wesley, MA, 1990. 3. D. F. Rogers-Procedural Elements in Computer Graphics, 2nd Ed., McGraw Hill Book Company, 2001. 4. D. F. Rogers and A. J. Admas-Mathematical Elements in Computer Graphics, 2nd Ed., McGraw Hill Book Company, 1990. SKILL ENHANCEMENT COURSES (Option2)- INFORMATION SECURITY Overview of Security: Protection versus security; aspects of security data integrity, data availability, privacy; security problems, user authentication, Orange Book. Security Threats: Program threats, worms, viruses, Trojan horse, trap door, stack and buffer over flow; system threats- intruders; communication threats- tapping and piracy. Security Mechanisms: Intrusion detection, auditing and logging, tripwire, system-call monitoring. Books Recommended: 1. C. Pfleeger and S. L. Pfleeger-Security in Computing, 3rd Ed., Prentice-Hall of India, 2007. 2. D. Gollmann-Computer Security, John Wiley and Sons, NY, 2002. 3. J. Piwprzyk, T. Hardjono and J. Seberry-Fundamentals of Computer Security, Springer- Verlag Berlin, 2003. 335 4. J.M. Kizza-Computer Network Security, Springer, 2007. 5. M. Merkow and J. Breithaupt-Information Security: Principles and Practices, Pearson Education, 2006. Training Programmes to be Imparted 1. There should be training programs in MATLAB/ PYTHON/ R/ MATHEMATICA software for all college teachers to acquaint the teachers on state of the art. Experts from Indian Statistical Institute Kolkata and nearby IIT's should be invited for the programs to add to quality. 2. The faculty members in colleges/universities should be trained in the followingcourses at University or any Institute of Higher Learning. a) Advanced Group Theory b) Advanced Ring Theory c) Differential Equations & Mathematical Modeling d) Mathematical Finance e) Object Oriented Programming in C++ f) Computer Graphics g) Information Security 3. Emphasis may be given for implementation of the programs as listed in thecourses with Practical. 4. College/universities should be provided with the recommended set of books inadequate numbers. 5. There should be frequent visits to colleges/universities offering crash coursesto initiate some of the new courses. Required Equipment/Technical Experts The following equipments/softwares shall be provided to colleges/universities for smooth running of practical/project: 1. There should be funding to Computer Lab with minimum of 15 computer systems for 30 students with licensed MATLAB/ PYTHON/R/MATHEMATICA software. 2. At least one computer programmer must be assigned in computer labs during practical sessions.
Ball transfer units Publication 940-711 Contents Design and construction Load Ball Housing Support Balls Threaded Bolt SKF ® ball units are a multi-directional, material handling system, manufactured from high quality materials in Birmingham England. They consist of a large load-bearing ball which sits upon many small balls encapsulated in a hemi-spherical cup. The housing can contain a seal to clean the load ball as it rotates. The design greatly reduces friction and allows heavy loads to be moved with a minimum of effort. Our ball units may be used at any orientation but deviation from the vertical may result in a reduction in the stated load ratings quoted in this catalog. SKF continually improves the product range with new innovative and creative ideas using the latest CNC machinery and production/inspection methods. Our specially designed ball unit test machine, regularly used to test production units, together with many years of research and experience, provides world-class performance. There are many possible applications for SKF ball transfer units where loads need to be moved smoothly, precisely and with minimum effort in any direction. Some typical applications include cargo and baggage handling, assembly lines, as a castor, machine loading, sliding-door systems, machine tables, etc. SKF will recommend and supply ball units, and also design and manufacture complete assemblies ready for customers to use. Technical information Fixing methods Materials There are various methods of fixing SKF ball units. A wide range of fittings enables them to be used with various materials. Fixing clips are available for most designs - See pages 32 & 33. ** see key to maximum loading, page 3 general tolerances unless stated ± 0.3mm SKF ball units are available in various materials. The material required for your ball units should be quoted when ordering (see table below). Lubrication Each unit is pre-lubricated during manufacture and normally does not require further attention. In certain instances we will advise on lubrication. Greasing or oil points can be incorporated in some units. Cleaning A suitable cleaning or release fluid should be used in dirty conditions. For washing, a suitable detergent such as paraffin; for freeing, a suitable agent such as WD40 - please consult technical support. Most designs have dirt exit holes incorporated in the bearing cup, or these can be added on request. Shock loads When calculating loads, consider the possibility of impact caused by incorrect levels. Spring loaded units will reduce wear and tear if there are regular shock impacts. Shock loading can also be reduced by fitting compressible pads. Ball units can also be made retractable by other means, such as pneumatic or hydraulic cylinders, cams or levers. They can be programmed to operate in sequence. Self levelling Can be achieved by fitting rubber pads. This reduces excessive loads on just a few units. Details on request. Temperature range Min. -22º F to max. +128º F continuous, or +212º F intermittent. Special seals may need to be fitted to suit extreme conditions. In clean conditions and without seals +308º F to +362º F are possible, using type 15 units at reduced loads. Conveying speed Maximum recommended conveying speed is 3.28 feet. Seals These help resist ingress of dirt and fine particulate matter. They can be omitted on request. Ball tables Square pitch Elongated diagonal pitch Key to dimensions A Maximum diameter B Working height of ball C Ball exposure above outer ring C 1 IS unit shoulder height D Body diameter E Distance under flange to base F Flange, base or knurl thickness G P.C.D.or centers of fixing holes H Diameter of fixing holes / slot width H 1 Diameter of countersunk H 2 Hole diameter and fixing holes I Hole centers-width J Base plate-length (major flange size) K Base plate-width (minor flange size) Technical information Quantity calculation Ordering procedure The weight of the article to be conveyed should be divided by 3. The result will give the maximum load any single ball will bear. On any accurately leveled or flexible surface, a number greater than 3 may be used. The surface hardness and condition of the article should be considered to avoid ball unit penetration. Spacing The pitch is calculated by dividing the narrowest dimension by 3.5, i.e. if the narrowest dimension is 350mm divided by 3.5 = 100mm pitch between ball centers. This ensures 3 ball units are always beneath the narrowest dimension of the load at any one time. L Overall height M Under flange to top of outer ring N Length of thread or pin O Seating or fixing hole diameter O 1 M10 nut clearance diameter P Thread size or pin diameter R Body depth or radius under flange S Base of top of body T Table top thickness W Collar or spring washer diameter X Dimension across flats Y Minimum hole depth Z Nut clearance diameter 3 We can help you select not only the most suitable ball unit for your application, we can advise you on every aspect of layout, design, manufacture and maintenance of your installation. We recommend you take advantage of this service. To order 1) It is generally only necessary to precede the product reference number (i.e. 1009, 1019 or 530-0) and the material type (i.e. type 13, 14,15 or 16), with a "BT" for ball transfer. 2) There are instances however, where more information is required. a) Where applicable the length of thread (dimension N) and the spring washer diameter (dimension W), see pages 6-7 & 10-11, also need to be indicated, e.g. 3001-13-25 and 3004-13-16.9. b) Also, if applicable, quote the special specification code. For example, NO (no oil) NS (no seal) NB (nylon ball) PB (phenolic load ball) DE (dirt exit hole) SI (solid steel inner ring). Key to maximum loading Flange fixing units 3016 – 4001 Features: General purpose. Low profile, dirt exit hole. No seals in 3016 and 3025 units. Ball unit REF. No's 1022 and 1035 with solid steel inner ring (Sl) option illustrated with no seal for improved protection from shock loading. \| ref no. fixing ball weight holes size (g) (mm) \| dimensions (mm)* \| \| \| \| \|---\|---\|---\|---\|---\| \| \| A B C D E F G H O \| type 13 type 14 ball ball up down \| type 15tyype 16 ball ball up down \| ball ball up down \| * see key to dimensions, page 3 Features: Low profile, high-load capacity. Knife edge seal on load ball. Dirt exit hole. Requires 5 mm radius on fixing hole. See "R". Flange fixing units \| ref no. fixing ball weight holes size (g) (mm) \| dimensions (mm)* \| maximum loading (lb)** \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| B C D E F G H J K L R \| type 13 ball ball up down \| type 14 ball ball up down \| type 115type 16 ball ball up down \| ball ball up down \| \| 1502 \| 12 6 42 24.5 1.7 58.7 5.1 68.1 50 36.5 5 ±0.2 ±0.2 \| \| \| \| \| 1010 / 1030 Features: Press ball unit into hole to fix, pry out to remove. Units can either be fixed or replaced quickly. Low profile, dirt exit hole. \| ref no. fixing ball weight holes size (g) (mm) \| dimensions (mm)* \| \| \| \| \|---\|---\|---\|---\|---\| \| \| A B C D E F G H O T \| type 13 ball ball up down \| type 14 ball ball up down \| type 155 ball ball up down \| \| 1010 1030 \| 73 15.4 6.3 36.8 15 4.8 N/A N/A 50 5 ±0.2 73.7 17 8 44.6 19.5 5 N/A N/A 50 5 \| \| \| \| 2002 Xtra-Tuf Features: Heavy duty construction, designed for arduous and dirty conditions. Flushing hole for cleaning, extra large dirt exit hole. 3 holes for heavy duty fixing \| ref no. fixing ball weight holes size (g) (mm) \| \| dimensions (mm)* \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| A B C D E F G H O \| type 13type 14 ball ball up down \| type 15 ball ball up down \| ttype 16 ball ball up down \| \| 2002 \| 3 39.7 635 \| 94.6 21.2 6.9 62 27.3 6.3 76.2 7 63.3 ±0.2 ±0.2 \| 496 220 \| N/A N/A \| 496 220 \| * see key to dimensions, page 3 5 Bolt fixing units 3001 Features: 3002 Features: Adjustable height, drilled hole fixing. Optional extras: additional nuts, alternative thread sizes, dirt exit hole. Large support area, greater stability, drilled hole fixing. Optional extras: alternative thread sizes, dirt exit hole. \| ref no. ball max weight size torque (g) (mm) on nut (Nm) \| dimensions (mm)* \| \| \| \| \|---\|---\|---\|---\|---\| \| \| A B C D N P \| type 13 ball ball up down \| type 14 ball ball up down \| type 15 ball ball up down \| 1003 1009 1501 Features: Large support area, greater stability, drilled hole fixing. Optional extras: alternative thread sizes, dirt exit hole. Features: Adjustable height, drilled hole fixing. Optional extras: additional nuts, alternative thread sizes, dirt exit hole. Features: Large support area, greater stability, drilled hole fixing. High load capacity, knife edge seal on main ball. Optional extras: alternative thread sizes, dirt exit hole. \| ref no. ball ball weight size torque (g) (mm) on nut (Nm) \| \| dimensions (mm)* \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| A B C D N P \| type 13 ball ball up down \| type 14 ball ball up down \| type 15 ball ball up down \| \| 1003 1009 1501 \| 25.4 15 160 25.4 15 140 25.4 15 180 \| 39.7 39.7 6.3 25.4 18, 23, 28, 33, 43 M8 39.7 32.5 6.3 _ 25, 30, 35, 40, 50 M8 39.5 35.8 6.1 _ 18, 23, 28 M8 \| 121 55 121 55 110 110 \| 55 22 55 22 55 11 \| 121 55 121 55 110 110 \| * see key to dimensions, page 3 Features: Adjustable height, drilled hole fixing. Optional extras: additional nuts, alternative thread sizes, dirt exit hole. 2005 Features: Large support area, greater stability, drilled hole fixing. Optional extras: alternative thread sizes, dirt exit hole. Bolt fixing units 4004 Features: Adjustable height, drilled hole fixing. High load capacity, dirt exit hole. Can be dismantled for cleaning. Optional extras: grease points can be fitted. Alternative thread sizes. A \| ref no. ball max weight size torque (g) (mm) on nut (Nm) \| \| dimensions (mm)* \| maximum loading (lb)** \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| A B C D N P S \| type 13 ball ball up down \| type 14 ball ball up down \| type 15 ball ball up down \| type 16 ball ball up down \| \| 2001 2005 4004 \| 39.7 20 400 39.7 20 460 50.8 25 1720 \| 55.5 47.62 11.9 _ 25, 30, 40, 50 M10 _ 55.5 54.8 11.9 49 22, 32, 42 M10 _ 89 76 22.2 _ 75 M16 53.8 5/8" whit \| 308 132 308 132 749 220 \| N/A N/A N/A N/A N/A N/A \| 308 132 308 132 551 220 \| 308 132 308 132 749 220 \| * see key to dimensions, page 3 7 Base fixing units 3005 Features: Heavy duty fixing. High profile. Drill hole fixing. Optional extras: dirt exit hole. 1005 Features: Heavy duty fixing. High profile. Drill hole fixing. Optional extras: dirt exit hole. \| ref no. ball fixing weight size holes (g) (mm) No. of holes \| \| dimensions (mm)* \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| A B C F G H I J K S \| type 13 ball ball up down \| type 14 ball ball up down \| type 15 ball ball up down \| \| 3005 1005 \| 19 4 100 25.4 4 160 \| 32.1 32.5 4.7 2.0 49.2 6.3 25.4 65 38 _ ±0.2 ±0.2 39.7 41.3 6.3 2.0 49.2 6.3 25.4 65 38 _ ±0.2 ±0.2 \| 55 22 121 55 \| 44 22 55 22 \| 55 22 121 55 \| * see key to dimensions, page 3 Features: Heavy duty fixing. High load capacity. High profile. Drill hole fixing. Optional extras: dirt exit hole. 2003 Features: Heavy duty fixing. High load capacity. High profile. Drill hole fixing. Optional extras: dirt exit hole. 4002 Features: Heavy duty fixing. High load capacity. High profile. Dirt exit hole standard. Drill hole fixing. Can be dismantled for cleaning. Optional extras: grease points can be fitted. Base fixing units \| ref no. ball fixing weight size holes (g) (mm) No. of holes \| \| dimensions (mm)* \| maximum loading (lb)** \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| A B C F G H I J K S \| type 13 ball ball up down \| type 14 ball ball up down \| type 15 ball ball up down \| ttype 16 ball ball up down \| \| 1020 2003 4002 \| 31.7 4 380 39.7 4 480 50.8 4 2100 \| 73 44.4 8 2.0 47.6 4.8 47.6 58.7 58.7 _ ±0.2 ±0.2 55.5 57 11.9 2.0 47.6 4.8 47.6 58.7 58.7 _ ±0.2 ±0.2 89 76 14.3 6.3 89 13.5 89 127 127 54 ±0.2 ±0.2 \| 275 121 308 132 749 220 \| 55 22 N/A N/A N/A N/A \| 275 121 308 132 551 220 \| 275 121 308 132 749 220 \| Base fixing units 1006 Features: High load capacity. High profile. Dirt exit hole standard. Drill hole fixing. Ball unit 1050 is similar in design to the 1006 unit. 1503 Features: High load capacity. High profile. Dirt exit hole standard. Drill hole fixing. Knife edge seal on main ball. \| ref no. ball fixing weight size holes (g) (mm) no. of holes \| \| dimensions (mm)* \| maximum loading (lb)** \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| A B C F G H I J K S \| type 13 ball ball up down \| type 14 ball ball up down \| type 15 ball ball up down \| ttype 16 ball ball up down \| \| 1006 1050 1503 \| 25.4 2 160 25.4 2 145 25.4 2 200 \| 44.5 30.5 6.3 1.0 60.3 5.0 _ 68.3 50.8 _ ±0.2 42.0 31.0 7.5 1.0 56.0 5.5 _ 69.0 51.0 _ ±0.2 42.0 35.8 6.1 1.75 58.7 5.0 _ 68.1 50 _ ±0.2 \| 121 55 66 22 110 110 \| 55 22 44 22 55 22 \| 121 55 66 22 110 110 \| 121 55 66 22 110 110 \| * see key to dimensions, page 3 3004 • 1002 tube fixing Features: Tube fixing is achieved by pushing the spring washer into a suitable size tube and turning to lock. 3 sizes available – see dimension "W". Suitable for use as a castor. Tube fixing, clamp fixing units 2004 tube fixing Features: Tube fixing is achieved by pushing the bush into the tube. Rotating the unit expands the rubber bush for an interference fit. Excellent as a castor. Note: The sectioned tube is not part of the ball unit. \| ref no. ball weight size (g) (mm) \| \| dimensions (mm)* \| maximum loading (lb)** \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| A B C N P W \| type 13 ball ball up down \| type 14 ball ball up down \| type 15 ball ball up down \| type 16 ball ball up down \| \| 30044 1002 2004 \| 19 60 25.4 120 39.7 420 \| 32.1 24.6 4.7 40 M6 16.9, 20.2 ,23.5 39.7 32.5 6.3 40 M6 16.9, 20.2, 23.5 grip range 55.5 47.6 11.9 50 M10 25.4 to 32 \| 55 22 121 55 308 132 \| 44 22 55 22 N/A N/A \| 55 22 121 55 308 132 \| 55 22 121 55 308 132 \| 3007 • 1001 • 1021 clamp fixing Features: The 3007 and 1001 can be fixed to 1mm-10mm thick materials. 1mm-27mm thick materials for the 1021. The maximum tightening torque is 15Nm for the 3007 and 1001, 20Nm for the 1021. Optional extras: dirt exit hole. \| ref no. ball weight size (g) (mm) \| \| dimensions (mm)* \| maximum loading (lb)** \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| A B C D E F N O P R T \| type 13 ball ball up down \| type 14 ball ball up down \| type 15 ball ball up down \| type 16 ball ball up down \| \| 3007 1001 1021 \| 19 160 25.4 260 31.7 360 \| 61 10 3.2 49.7 14.5 3.2 50 30 M8 25 1-10 73 14.2 6.3 49.7 18 3 50 38.1 M8 25 1-10 73.7 16.2 8 49.7 22.3 4.2 50 46.5 M10 25 1-27 \| 55 22 121 55 275 121 \| 44 22 55 22 55 22 \| 55 22 121 55 275 121 \| 55 22 121 55 275 121 \| * see key to dimensions, page 3 11 Glide units and fixing sockets This is a simple and inexpensive range of ball transfer units which have a large ball exposure. They are ideal for lighter duties and where there is a cost consideration. All units are fitted with a seal which simply and effectively removes debris by an internal plastic scraper. The direction of rotation slightly moves the ball against the seal providing a highly effective cleaning action. For normal applications steel bearings with zinc-plated housings and components are recommended. However, when used as a castor or in wet conditions stainless steel (type 15) is recommended. 1702 flange fixing Features: Low profile flange fixing, dirt exit hole standard. ** see key to maximum loading, page 3 general tolerances unless stated ± 0.3mm 1700 plug fixing Features: Plain body, dirt exit hole standard. 1703 plate fixing Features: High profile base plate fixing. Drill hole fixing. Dirt exit hole standard. 12 1701 bolt fixing Features: Drill hole nut and bolt fixing. Maximum tightening torque is 15Nm. 1704 pintle pin and circlip Features: Pintle pin and circlip fixing. 1709 grip neck fixing Features: Plastic or steel socket fixing. Glide units and fixing sockets \| ref no. fixing ball weight size (kg) (mm) \| \| dimensions (mm)* \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| A B C D E F G H J K L N P S \| type 13 \| type 114 \| type 15 \| \| 1700 1701 1702 1703 1704 1709 \| plug 25.4 0.10 bolt 25.4 0.12 flange 25.4 0.12 plate 25.4 0.12 pintle pin 25.4 0.12 & circlip grip neck 25.4 0.12 \| 30.5 _ 8.8 26.6 7.8 _ _ _ _ _ 33.5 _ - 24.7 30.5 _ 8.8 26.6 _ _ _ _ _ _ 33.5 18, 23, 28 M8 24.7 34.5 12.4 8.8 26.6 21.1 2 48 5.25 64 44 33.5 _ _ 23.1 ±0.2 30.5 _ 8.8 _ _ 2 48 5.25 64 44 35.7 _ _ 26.9 ±0.2 30.5 _ 8.8 26.6 _ _ _ _ _ _ 36.7 24 7.7 27.9 30.5 _ 8.8 26.6 _ _ _ _ _ _ 34.7 34.7 7.7 25.9 \| 110 110 110 110 110 110 \| 44 44 44 44 44 44 \| 110 110 110 110 110 110 \| Fixing sockets for glide units 1704 & 1709 \| ref. no \| for glide unit type description \| \|---\|---\| \| 1705 \| \| \| 1706 \| \| \| 1707 \| \| \| 17008 \| \| Euro units SKF Euro units have a main bearing cup of special toughened steel with a dirt exit hole and a felt or plastic seal. Min. -22º F to max. +128º F continuous, or +212º F intermittent. Special seals may need to be fitted to suit extreme conditions. Euro 0 Features: Various fixing clips available, dimensionally compatible with the 800 series, see pages 32 & 33. Felt seals are standard. Euro 1 Features: Pop rivet or screw fixing. Felt seals are standard. Euro 4 Features: Various fixing clips available, coned outer ring. Dimensionally compatible with the 800 series, see pages 32 & 33. Felt seals are standard. Euro 6 Features: Various fixing clips available. Reinforced coned outer ring and support cup for improved protection against shock loading. Dimensionally compatible with the 800 series. * see key to dimensions, page 3 ** see key to maximum loading, page 3 general tolerances unless stated ± 0.3mm In clean conditions and without seals +302º F to +362º F are possible, using Type 15 units at reduced loads. 14 Material spec: Euro units \| ref no. ball size (mm) \| \| dimensions (mm)* \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| A B D F G H M L \| type 13 wt capacity \| type 14 wt capacity \| type 15 wt capacity \| \| 515-0 5115-1 515-4 515-6 522-0 522-1 522-4 522-6 530-0 530-1 530-4 530-6 545-0 545-1 545-4 545-6 \| 15.8 15.8 15.8 15.8 22.2 22.2 22.2 22.2 30 30 30 30 44.5 44.5 44.5 44.5 \| 31 9.5 24 2.8 _ _ 6.3 21 ±0.2 ±0.065 31 9.5 24 2.8 29 3.5 6.3 21 ±0.2 ±0.065 ±0.2 31 9.5 24 2.8 _ _ 6.3 21 ±0.2 ±0.065 31 9.5 24 2.8 _ _ 6.3 21 ±0.2 ±0.065 45 9.8 36 2.8 _ _ 5.5 30 ±0.2 ±0.08 45 9.8 36 2.8 42 3.5 5.5 30 ±0.2 ±0.08 ±0.2 45 9.8 36 2.8 _ _ 5.5 30 ±0.2 ±0.08 45 9.8 36 2.8 _ _ 5.5 30 ±0.2 ±0.08 55 13.8 45 4 _ _ 8.3 37 ±0.3 ±0.08 55 13.8 45 4 51 3.5 8.3 37 ±0.3 ±0.08 ±0.2 55 13.8 45 4 _ _ 8.3 37 ±0.3 ±0.08 55 13.8 45 4 _ _ 8 37 ±0.3 ±0.08 75 19 62 4 _ _ 10 53.5 ±0.4 ±0.095 75 19 62 4 69 4.3 10 53.5 ±0.4 ±0.095 ±0.2 75 19 62 4 _ _ 10 53.5 ±0.4 ±0.095 75 19 62 4 _ _ 10 53.5 ±0.4 ±0.095 \| .094 132 .094 132 .094 132 .119 132 .291 352 .291 352 .291 352 .363 352 .612 661 .612 661 .612 661 .738 661 1.598 1344 1.598 1344 1.598 1344 1.955 1344 \| .061 22 .061 22 .061 22 .086 22 .211 44 .211 44 .211 44 .286 44 .401 55 .401 55 .401 55 .524 55 N/A N/A N/A N/A N/A N/A N/A N/A \| .094 83 .094 83 .094 83 .119 83 .291 220 .291 220 .291 220 .363 220 .612 440 .612 440 .612 440 .738 440 1.598 551 1.598 551 1.598 551 1.955 551 \| CL14 fixing clips Features: Press in to fix ball unit, pry out ball unit to remove. See pages 32 & 33 for details. To order, specify REF N°, i.e. CL14-515. General tolerance unless stated ±0.3 mm. * see key to dimensions, page 3 ** see key to maximum Loading, page 3 general tolerances unless stated ± 0.3mm Hi-tech units Double seal This is the first ball transfer design that incorporates double sealing for excluding debris from the bearings. The top cover seal removes larger particles and the inner knife edge scraper seal skims liquid, paste, fine dust, etc. off the large ball and expels it through side vents. A dirt exit hole can also be incorporated. Rust resistant units (type 15 only) All parts are of non-rusting material, impervious to the most severe industrial environment and have high impact resistance. The main bearing track is hardened and has been load and life tested. The ball unit runs equally well inverted or at an angle. 6025-0 Features: High load capacity. Dimensionally compatible with Hevi-Load 7121. \| ref no. bearing ball weight components size (g) (mm) \| dimensions (mm)* \| \| \|---\|---\|---\| \| \| A B C E F G H J N N N P S \| type 13 \| * see key to dimensions, page 3 ** see key to maximum loading, page 3 general tolerances unless stated ± 0.3mm 16 Materials Steel (type 13) or stainless (type 15) load components and bearings. Hi-Tech units have the same rated load capacities as the Ø25.4 mm Hevi-Load units (see pages 20 & 21). The Hi-tech units have glass reinforced nylon bodies so their weight is less than half that of the Ø25.4 mm Hevi-Load units. Stainless steel bearings with steel load components (type 16) are available on request. Chemical resistance High resistance to organic solvents, petrol and oil. Seek our advice if in doubt. Temperature -22º F up to +212º F 6025-1 Features: Bolt fixing high load capacity. If used for height adjustment the locknut must remain secured to the body. Maximum tightening torque is 15Nm. N Hi-tech units \| ref no. bearing ball weight components size (g) (mm) \| \| dimensions (mm)* \| \| \|---\|---\|---\|---\| \| \| \| A B C E F G H J N P S \| type 13 \| \| 00625-1-15 0625-1-13 \| stainless 25.4 274 ferrous 25.4 274 \| 50.8 53 6.7 _ _ _ _ _ 17.6, 32.6, 42.6 M10 38.3 50.8 53 6.7 _ _ _ _ _ 17.6, 32.6, 42.6 M10 38.3 \| _ 705 \| 6025-2 Features: Top flange high load capacity. Dimensionally compatible with Hevi-Load 7125. \| ref no. bearing ball weight components size (g) (mm) \| \| dimensions (mm)* \| load capacity (lb)** \| \| \|---\|---\|---\|---\|---\| \| \| \| A B C E F G H H J N P S 1 \| type 13 \| type 15 \| \| 6025-2-15 6025-2-13 \| stainless 25.4 260 ferrous 25.4 260 \| 50.8 13.0 6.7 32.0 6.3 58.0 6.7 13.2 76.0 _ _ 38.3 ±0.2 50.8 13.0 6.7 32.0 6.3 58.0 6.7 13.2 76.0 _ _ 38.3 ±0.2 \| _ 705 \| 529 _ \| * see key to dimensions, page 3 17 Hi-tech units 6025-3 Features: High load capacity. Ball height compatible with Hevi-Load 7123. \| ref no. bearing ball weight components size (g) (mm) \| \| dimensions (mm)* \| \| \|---\|---\|---\|---\| \| \| \| A B C E F G H H J N P S 1 \| type 13 \| \| 6025-3-15 6025-3-13 \| stainless 25.4 260 ferrous 25.4 260 \| 50.8 45.0 6.7 _ 6.3 58.0 6.7 13.2 76.0 _ _ 38.3 ±0.2 50.8 45.0 6.7 _ 6.3 58.0 6.7 13.2 76.0 _ _ 38.3 ±0.2 \| _ 705 \| 6025-4 Features: High load capacity. Coned flange for smoother on/off transfer. \| ref no. bearing ball weight components size (g) (mm) \| \| dimensions (mm)* \| \| \|---\|---\|---\|---\| \| \| \| A B C E F G H J N P S \| type 13 \| \| 66025-4-15 6025-4-13 \| stainless 25.4 250 ferrous 25.4 250 \| 50.8 13.0 6.7 32.0 3.0 _ _ 68.6 _ _ 38.3 50.8 13.0 6.7 32.0 3.0 _ _ 68.6 _ _ 38.3 \| _ 705 \| * see key to dimensions, page 3 6025-5 Features: Ideal for shock loading. Stainless steel springs available on request. Compatible with HeviLoad 7136, 7139, 7137, 7135. Hi-tech units \| ref no. bearing ball weight components size (g) \| \| dimensions (mm)* \| \| \| \|---\|---\|---\|---\|---\| \| \| \| A B C L O W 1 \| lb \| lb \| \| 6025-5-15A 6025-5-13A 6025-5-15B 6025-5-13B 6025-5-15C 6025-5-13C 6025-5-15D 6025-5-13DD 6025-5-15E 6025-5-13E 6025-5-15F 6025-5-13F 6025-5-15G 6025-5-13G 6025-5-15H 6025-5-13H \| stainless 25.4 330 ferrous 25.4 330 stainless 25.4 330 ferrous 25.4 330 stainless 25.4 330 ferrous 25.4 330 stainless 25.4 335 ferrous 25.4 335 stainless 25.4 470 ferrous 25.4 470 stainless 25.4 470 ferrous 25.4 470 stainless 25.4 480 ferrous 25.4 480 stainless 25.4 490 ferrous 25.4 490 \| 50.8 61.9 6.7 77.0 20.0 38.1 50.8 61.9 6.7 77.0 20.0 38.1 50.8 61.5 6.7 77.0 20.0 38.1 50.8 61.5 6.7 77.0 20.0 38.1 50.8 60.7 6.7 77.0 20.0 38.1 50.8 60.7 6.7 77.0 20.0 38.1 50.8 61.9 6.7 77.0 20.0 38.1 50.8 61.9 6.7 77.0 20.0 38.1 50.8 81.0 6.7 98.4 20.0 38.1 50.8 81.0 6.7 98.4 20.0 38.1 50.8 79.8 6.7 98.4 20.0 38.1 50.8 79.8 6.7 98.4 20.0 38.1 50.8 81.0 6.7 98.4 20.0 38.1 50.8 81.0 6.7 98.4 20.0 38.1 50.8 81.0 6.7 98.4 20.0 38.1 50.8 81.0 6.7 98.4 20.0 38.1 \| 15 15 50 50 99 99 154 154 198 198 308 308 396 396 507 507 \| 220 220 242 242 264 264 275 275 463 463 540 540 595 595 683 683 \| general spring rating tolerance unless stated ± 10% * see key to dimensions, page 3 Hevi-Load units type 0 & 1 SKF Hevi-Load units are designed and manufactured to precise standards. They offer the highest performance available in load transfer applications with load ball sizes from 12.7mm to 50.8mm diameters and a load capacity range from 77 lbs to 4400 lbs used either ball up or ball down. Hevi-Load type 0 Features: High load capacity, robust body. The HeviLoad 7121 is dimensionally compatible with the Hi-Tech 6025-0. Hevi-Load units run on the recirculating ball principal. The load ball rotates on a bed of small balls supported on a hardened steel, precision machined table. They can work at maximum capacity in temperatures from -22º F to +212º F. Drain hole or grease points can be incorporated on request. Hevi-Load type 1 Features: High load capacity, bolt fixing. Two spanner flats for fixing and removing. Drill hole fixing. Maximum tightening torques range from 15Nm for M8 to 25Nm for M24. \| ref no. ball weight size (kg) (mm) \| \| dimensions (mm)* \| \| \|---\|---\|---\|---\| \| \| \| A B C L N S P X \| type 13 \| \| †† 7101 7120 7121 7150 7170 \| 12.7 0.036 25.4 0.394 25.4 0.550 38.1 1.0 50.8 5.02 \| 20.6 19.6 3.5 _ _ 16.1 _ _ 44.5 41.4 5.6 _ _ 35.8 _ _ 50.8 44.7 6.1 _ _ 38.6 _ _ 60.3 61.5 13.0 _ _ 48.5 _ _ 101.6 98.4 14.3 _ _ 84.1 _ _ \| 77 297 705 2204 4409 \| * see key to dimensions, page 3 ** see key to maximum loading, page 3 general tolerances unless stated ± 0.3mm †† The 7101, 7110, 7106, 7104 and 7103 Hevi-Load units incorporate a conventional bearing shell. 20 No spanner flats for 7110 and 7106 HeviLoad units. Type 15 units (all stainless steel) available on request. When using stainless balls, reduce type 13 load capacity by 33.3%. All units are machined using CNC machines from one piece of steel, therefore flanges and threads are integral. Hevi-Load type 2 Features: High load capacity, top flange fixing. The Hevi-Load 7125 is dimensionally compatible with the Hi-tech 6025-2. Hevi-Load type 3 Features: High load capacity, bottom flange fixing. Drill hole fixing. The Hevi-Load 7123 is dimensionally compatible with the Hi-tech 6025-3. type 2 Hevi-Load units type 2 & 3 \| ref no. ball weight size (kg) (mm) \| \| dimensions (mm)* \| \| \|---\|---\|---\|---\| \| \| \| A B C E F G H H2 J S \| type 13 \| \| †† 7104 7124 7125 7152 7171 \| 12.7 0.082 25.4 0.463 25.4 0.746 38.1 1.24 50.8 6.14 \| 23.8 11.2 3.5 11.2 3.2 34.8 3.6 2x 44.5 19.1 ±0.2 44.5 10.3 5.6 31.3 4.7 44.5 5.6 4x 57.2 36 ±0.2 50.8 13.0 6.1 32.0 6.9 57.9 7.1 4x 76.2 38.9 ±0.2 60.5 25.4 13 35.8 12.4 57.9 7.1 4x 76.2 48.2 ±0.2 101.6 33.3 14.3 65.0 19.0 101.6 11 4x 127.0 84 ±0.2 \| 77 297 705 2204 4409 \| type 3 \| ref no. ball weight size (kg) (mm) \| \| dimensions (mm)* \| load capacity (lb)** \| \| \|---\|---\|---\|---\|---\| \| \| \| A B C E F G H H2 J S \| type 13 \| type 16 \| \| †† 7103 7122 7123 7151 7174 \| 12.7 0.086 25.4 0.459 25.4 0.735 38.1 1.3 50.8 5.52 \| 23.8 22.6 3.5 _ 3.2 34.8 3.6 2x 44.5 19.1 ±0.2 44.5 41.4 5.6 _ 4.8 44.5 5.6 4x 57.2 35.8 ±0.2 50.8 45.5 6.4 _ 6.3 57.9 7.1 4x 76.2 39.1 ±0.2 60.5 62.2 13 _ 12.7 57.9 7.1 4x 76.2 49.2 ±0.2 101.6 98.3 14.3 _ 9.6 101.6 11 4x 127.0 84.0 ±0.2 \| 77 297 705 2204 4409 \| 77 297 474 1477 2932 \| †† The 7101, 7110, 7106, 7104 and 7103 Hevi-Load units incorporate a conventional bearing shell. * see key to dimensions, page 3 ** see key to maximum loading, page 3 21 general tolerances unless stated ± 0.3mm Hevi-Load units type 5 Hevi-Load type 5 Features: High load capacity, greater shock loading protection. Screw fixing collar for Ø38.1mm and Ø50.8mm ball units only, for secure fixing in ball down applications. General spring rating tolerance ± 10% \| ref no. ball weight size (kg) (mm) \| \| dimensions (mm)* \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| A B C G H L O P W Y Z \| type 13 \| type 16 \| type 13 type 16 \| \| \| \| \| \| \| \| load for maximum deflection \| \| \| 7107‡ 7108‡ 7109‡ 7138 7132 7133 7134 7135 7136 7139 7137 7155 7158 7159 7156 7160 7157 7178 71175 7176 7177 \| 12.7 0.067 12.7 0.067 12.7 0.069 25.4 0.517 25.4 0.517 25.4 0.517 25.4 0.522 25.4 0.795 25.4 0.795 25.4 0.804 25.4 0.813 38.1 1.860 38.1 1.940 38.1 2.040 38.1 1.980 38.1 2.220 38.1 2.620 50.8 9.0 50.8 9.0 50.8 9.0 50.8 9.0 \| 20.6 32.2 3.5 _ _ 47.0 22 M8 20.6 30.2 16 20.6 31.8 3.5 _ _ 47.0 22 M8 20.6 29.8 16 20.6 32.2 3.5 _ _ 47.0 22 M8 20.6 30.2 16 44.5 61.9 5.6 _ _ 77.0 46 M10 38.1 58.7 22 44.5 61.5 5.6 _ _ 77.0 46 M10 38.1 58.3 22 44.5 60.7 5.6 _ _ 77.0 46 M10 38.1 57.5 22 44.5 61.9 5.6 _ _ 77.0 46 M10 38.1 58.7 22 50.8 81.0 6.1 _ _ 98.4 52 M10 38.1 77.8 22 50.8 79.8 6.1 _ _ 98.4 52 M10 38.1 76.6 22 50.8 81.0 6.1 _ _ 98.4 52 M10 38.1 77.8 22 50.8 81.0 6.1 _ _ 98.4 52 M10 38.1 77.8 22 60.3 115.5 13 50.8 3x 161.1 62 M16 59.4 109.9 32 ±0.2 M5 60.3 121.3 13 50.8 3x 161.1 62 M16 59.4 115.7 32 ±0.2 M5 60.3. 128.2 13 50.8 3x 161.1 62 M16 59.4 122.6 32 ±0.2 M5 60.3 127.0 13 50.8 3x 161.1 62 M16 59.4 121.4 32 ±0.2 M5 60.3 145.1 13 50.8 3x 189.7 62 M16 59.4 139.5 32 ±0.2 M5 60.3 156.4 13 50.8 3x 189.7 62 M16 59.4 150.8 32 ±0.2 M5 101.6 179.4 14.3 76 4x 200.8 103 M24 101.6 173.1 44 ±0.2 M8 101.6 177.4 14.3 76 4x 200.8 103 M24 101.6 171.1 44 ±0.2 M8 101.6 174.6 14.3 76 4x 200.8 103 M24 101.6 168.3 44 ±0.2 M8 101.6 171.5 14.3 76 4x 200.8 103 M24 101.6 165.2 44 ±0.2 M8 \| 15 33 55 15 55 99 154 198 308 396 507 496 683 1014 1245 1521 1675 1752 2204 2722 3439 \| 15 33 55 15 55 99 154 198 308 396 507 496 407 507 826 1014 1245 738 1510 1829 2050 \| 66 77 88 220 242 264 275 463 540 595 683 1388 1510 1686 1829 1929 2006 3020 3560 3927 4299 \| 66 77 88 220 242 264 275 463 540 595 683 1388 837 903 1510 1455 1642 1455 2105 2270 3351 \| * see key to dimensions, page 3 ‡ Ball units 7107, 7108 and 7109 incorporate the shell ball design. Hevi-Load type 6 Features: Compact, interference fitting, greater shock loading protection. Hevi-Load units type 6 • die lifters General spring rating tolerance ± 10% \| ref no. ball weight size (kg) (mm) \| \| dimensions (mm)* \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| A B C D F O S Y \| type 13 \| type 16 \| type 13 type 16 \| \| \| \| \| \| \| \| load for maximum deflection \| \| \| 7105 \| 12.7 0.078 \| 25.6 28.5 3.1 25.4 8 25.4 25.4 26.5 +0.15 +0.05 \| 55 \| 55 \| 88 \| 88 \| Die-lifters Features: Tolerance ring for interference fitting for ball up and ball down fitting. Greater shock loading protection. At zero deflection General spring rating tolerance ± 10% At maximum deflection \| ref no. ball weight size (kg) (mm) \| \| dimensions (mm)* \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| A B C D E F O S Y \| type 13 \| type 16 \| type 13 type 16 \| \| \| \| \| \| \| \| load for maximum deflection \| \| \| DL-24 DL-30 DL-40 DL-50 DL-70 \| 12.7 0.074 15.8 0.127 25.4 0.320 30 0.660 38.1 2.000 \| 24.5 30 1.5 23.9 9 10.5 24.1 28.5 28.6 30.5 36 1.5 29.9 12 10.5 30.1 34.5 34.6 40.5 48 1.5 39.8 12 10.5 40.1 46.5 46.6 50.5 60 1.5 49.9 15 12.3 50.1 58.5 58.6 71 80 2 70 19 19 70.2 78 78.1 \| 88 132 220 738 1102 \| 88 132 220 440 716 \| 198 242 385 1289 1587 \| 198 242 385 1025 1256 \| Tuff series heavy duty units SKF Tuff series heavy duty units are built to provide a long working life and to withstand harsh conditions. They have a solid machined body with chrome steel bearings and incorporate both dust seal and dirt exit hole (except No. 0519). They provide a higher load capacity than standard units. Solid steel housing for attachment purposes, but not shock loading. All units are machined using CNC machines from one piece of steel, therefore flanges and threads are integral. Tuff heavy duty 21 Features: Plain solid machined body. Tuff heavy duty 22 Features: Flange fixing either by using rivets or screws. Tuff heavy duty 23 Features: Bolt, drilled hole fixing. Maximum tightening torques range from 10Nm for M6 to 20Nm for M12. Tuff heavy duty 24 Features: Bottom flange fixing either by using rivets or screws. Drilled hole fixing. * see key to dimensions, page 3 ** see key to maximum loading, page 3 general tolerances unless stated ± 0.3mm 24 Also available All patterns (i.e.: 21,22,23 and 24) of ref numbers 0519, 3019 and 1019 are available with a nylon main ball (type 14) ideal for light load and reduced marking applications. Tuff series heavy duty units \| ref no. ball weight size (g) (mm) \| dimensions (mm)* \| \| \| \|---\|---\|---\|---\| \| \| A B C D E F G H J N P S \| type 13 \| type 15 \| \| 0519-21 00519-22 0519-23 0519-24 3019-21 3019-22 3019-23 3019-24 1019-21 1019-22 1019-23 1019-224 1029-21 1029-22 1029-23 1029-24 2019-21 2019-22 2019-23 2019-24 \| \| \| \| * see key to dimensions, page 3 25 Heavy duty units, series 800, 810 and 820 SKF series 800 are solid body steel ball units. 800 series type 15, stainless steel They incorporate a seal and dirt exit hole for maximum efficiency and smooth running. Our CNC production plant can produce special designs to individual customers requirements. Heavy duty 800 Features: High load capacity, low profile, robust construction. Heavy duty 810 Features: High load capacity, low profile, coned outer ring. Heavy duty 820 Features: High load capacity, solid body and robust outer ring for greater durability. Can be dismantled for cleaning. Easy fixing clips are available, ref no. CL14, for quick and effective fixing, see pages 32 and 33. When used, the working height of the ball unit dimension 'B' is increased by 0.3mm. In general ball unit sizes from Ø15.8mm to Ø44.5mm will have unhardened components typically 304 stainless steel. Ball units with Ø57.1mm, Ø76.2mm and Ø88.9mm balls have hardened bodies. \| ref no. ball weight size (kg) (mm) \| dimensions (mm)* \| \| \| \|---\|---\|---\|---\| \| \| A B C D E F L \| type 13 ball up \| type 15 ball up \| * see key to dimensions, page 3 805, 806 and 807 heavy duty ball transfers are similar to the 800 series units. These "air cargo ball transfer units" incorporate a stainless steel multi-hole drain plug or 10 x 2mm slot for improved cleaning and Heavy duty 805 Features: High load capacity, low profile, robust construction. Multi-hole drain plug provides an extra 600% debris hole area to assist in cleaning. Heavy duty 806 Features: Solid machined top for maximum protection from impacts. Unique design allows unit to be cleaned or repaired onsite. 10 x 2mm debris removal slot. Heavy duty 807 Features: Solid machined top for maximum protection from impacts. Reduced noise emissions due to design 10 x 2mm debris removal slot. Air cargo units debris removal, stainless bearings for corrosion resistance, and no seal for smoother running. \| ref no. ball weight size (kg) (mm) \| dimensions * \| \| \| \|---\|---\|---\|---\| \| \| (mm) \| \| \| \| \| A B C D E F L \| type 13 ball up \| type 15 ball up \| \| 805-30 805-45 806-30 807-30 \| 55 13.8 5.5 45 23 3.4 36.8 ±0.2 ±0.08 75 19 9 62 34.5 3.8 53.5 ±0.1 55 13.8 5.5 45 23 3.4 36.8 ±0.2 ±0.08 55 13.8 5.5 45 23 3.4 36.8 ±0.2 ±0.08 \| \| \| * see key to dimensions, page 3 27 Spring loaded units SKF spring loaded units are used in applications such as: shearing machines; presses; molding machines; tool bases; press brakes; shock loading applications. Spring loaded ball units reduce damage caused by shock loads. They also allow for dimension changes due to temperature and self-adjust to evenly distribute loads. Large top flange Features: Large top flange fixing. Low profile. ** see key to maximum loading, page 3 general tolerances unless stated ± 0.3mm 1507, 1508 and 1509 units These units incorporate a plastic scraper seal, which keeps debris outside the ball unit. Spring loaded ball unit sizes Ø31.7mm, Ø39.7mm and Ø50.8mm have dirt exit holes as standard. All other spring loaded ball units have felt or foam seals as standard. Spring loaded ball units can be used as die-lifters, inverted or at an angle. See pages 22 and 23 for details of our Hevi-Load spring loaded ball units and Dielifter ball units. Large bottom flange Features: Large bottom flange fixing. High profile. D 28 Completely stainless steel (type 15) spring loaded ball units also available upon request with reduced support loads and depress loads. Spring loaded ball units with ball sizes of Ø25.4mm also available upon request with nylon load ball and stainless bearings (type 14). The type 14 ball units are suitable for light load applications and when object surface protection is required. The 1507 and 1509 ball units have 2mm thick pressed steel flanges. Plain body Features: Plain body. Low profile. Small top flange Features: Small flange. Low profile. ref no. ball weight dimensions Spring loaded units support load(lbs) load to \| \| \| A B C D E F G H L S \| type 13 \| type 16 \| \|---\|---\|---\|---\|---\| \| 33011 \| 19 0.42 \| 66.6 11.4 3.5 36.5 51.6 7.9 50.8 3x 63 59.5 +0.0 ±0.2 7 -1.0 \| 22 \| 22 \| \| 1018 \| 25.4 0.57 \| 75 13.8 5.9 44.5 53.3 7.9 60.3 3x 67.1 61.2 +0.0 ±0.2 7 -1.0 \| 77 \| 77 \| \| 1507 \| 25.4 0.40 \| 71.3 19.3 6.7 44.5 52.9 2 60.4 2x 72.2 61.3 +0.0 ±0.2 5.1 -1.0 \| 110 \| 110 \| \| 1028 \| 31.7 1.16 \| 89 17 7.5 60 77.5 9.5 73 3x 94.6 87.1 +0.0 ±0.2 7 -1.0 \| 220 \| 220 \| \| 2010 \| 39.7 2.04 \| 101.6 17.7 8.2 69.8 90 9.5 85.7 3x 107.7 99.5 +0.0 ±0.2 9 -1.0 \| 220 \| 220 \| \| 4008 \| 50.8 5.1 \| 152.4 25.7 13.0 101.6 114 12.7 127 3x 139.7 126.7 +0.0 ±0.2 9 -1.0 \| 374 \| 374 \| \| 3012 \| 19 0.42 \| 66.6 9.5 4.7 36.5 _ 7.9 50.8 3x 65.1 55.6 +0.0 ±0.2 7 -1.0 \| 22 \| 22 \| \| 1510 \| 25.4 0.45 \| 75 12.5 6.7 44.5 _ 7.9 60.3 3x 72.9 60.4 +0.0 ±0.2 7 -1.0 \| 110 \| 110 \| \| 1032 \| 31.7 1.02 \| 89 10.4 7.7 60 _ 9.5 73 3x 95.3 84.9 +0.0 ±0.2 7 -1.0 \| 220 \| 220 \| \| 3009 \| 19 0.26 \| _ 9.5 4.7 36.5 _ _ _ _ 65.1 55.6 \| 22 \| 22 \| \| 1016 \| 25.4 0.38 \| _ 11.9 6.3 44.5 _ _ _ _ 70.6 58.7 \| 77 \| 77 \| \| 1508 \| 25.4 0.38 \| _ 12.5 6.7 44.5 _ _ _ _ 72.9 60.4 \| 110 \| 110 \| \| 1026 \| 31.7 0.86 \| _ 10.4 7.7 60 _ _ _ _ 95.3 84.9 \| 220 \| 220 \| \| 2008 \| 39.7 1.46 \| _ 12.7 9.1 69.8 _ _ _ _ 107.6 94.9 \| 220 \| 220 \| \| 4006 \| 50.8 4.2 \| _ 13 13 101.6 _ _ _ _ 139.7 126.7 \| 374 \| 374 \| \| 30010 \| 19 0.30 \| 45 11.4 3.5 36.5 51.6 7.9 _ _ 63 59.5 +0.0 -1.0 \| 22 \| 22 \| \| 1017 \| 25.4 0.44 \| 50 13.8 5.9 44.5 53.3 7.9 _ _ 67.1 61.2 +0.0 -1.0 \| 77 \| 77 \| \| 1509 \| 25.4 0.39 \| 56 19.3 6.7 44.5 52.9 2 _ _ 72.2 61.3 +0.0 -1.0 \| 110 \| 110 \| \| 1027 \| 31.7 0.99 \| 75 17 7.5 60 77.5 9.5 _ _ 94.6 87.1 +0.0 -1.0 \| 220 \| 220 \| \| 2009 \| 39.7 1.8 \| 75 17.7 8.2 69.8 90 9.5 _ _ 107.7 99.5 +0.0 -1.0 \| 220 \| 220 \| \| 4007 \| \| \| \| \| General spring rating tolerance ± 10% (mm) * Miniature ball transfer units 11MI-05-17 – 11MI-15-16 Applications: Measuring equipment. Lightweight coilhander. Guides for small linear motion (eg photo copier slides). Transfer of material in clean rooms. Type 13 denotes carbon balls and housing Type 15 denotes stainless steel balls and housing Type 17 denotes aluminum housing and stainless steel balls * see key to dimensions, page 3 Features: Supplied with circlip for loosely fixing to materials up to 6.4mm thick. Dirt exit hole. 1007 Features: Small taper on body allows for interference fixing. Do not strike the ball, use a tube on the flange diameter when fixing. Approx. size of taper is 35.8mm top and 35.4 bottom. Dirt exit hole. 1500 Features: High load capacity. Improved rubber knife edge seal wipes debris off outside the ball. Dirt exit hole. Miscellaneous units \| ref no. ball weight size (g) (mm) \| \| dimensions (mm)* \| maximum loading (lb)** \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| A B C D E O S T T \| type 13 ball ball up down \| type 14 ball ball up down \| type 15 ball ball up down \| type 16 ball ball up down \| \| 10004 1007 1500 \| 25.4 140 25.4 140 25.4 160 \| 45.2 18.4 7.9 34.9 12.7 36 _ 3.2 6.4 45.2 18.4 7.9 35.8 11.9 to suit _ _ _ 39.5 35.8 6.1 _ _ to suit 22.8 _ _ \| 121 55 121 55 110 110 \| 55 22 55 22 55 22 \| 121 55 121 55 110 110 \| 121 55 121 55 110 110 \| * see key to dimensions, page 3 31 Fixing clips SKF provides a complete range of fixing clips designed specially for use with their ball transfer units. They lock the unit securely in position without the need for special tools or machinery. Some standard clips are described here. Special designs can also be provided, please ask for details. The effectiveness and security of ball units attached by means of fixing clips can be influenced by size of fixing holes, table thickness and ball unit tolerances. Fixing clip dimensions available on request. CL11 Available in three sizes only to suit ball units with body diameters of 36mm, 45mm and 62mm. CL14 Fitting CL12 and CL14 fixing clips When fitting ball units with CL12 or CL14 fixing clips, do not strike the load ball to press the unit into position. Instead, apply an even force onto the ball unit's body using a tube or similar tool. CL12 (made to order) This clip will fit under the flange of any of our ball units that have parallel sides. If any particular size of clip is not in stock there may be a minimum order charge. Fixing hole sizes on application. On certain units it is possible to machine a recess to retain the clip in the body of the ball unit. These units must have a solid steel body, are not stock items and are only manufactured to specific orders. CL13 These are to be used with ball units with a body diameter of 24mm only. 32 Stocked for body diameter of 24mm, 36mm, 45mm and 62mm. This clip was designed for fixing ball units from the top face of a ball platform. The clip can also be used for fixing the ball unit from underneath the ball platform if clip CL11 is not suitable. Table top material thicknesses available on request. CL14 fixing clips must be placed into the seating hole first, before the ball unit is fitted. CL15 (made to order) A circlip type clip used mainly for solid machined body units. The circlip is fitted from underneath the ball unit and is available in many sizes. Ball units with circlip grooves are not stock items. The standard circlip is self color spring steel, but plated circlips can be offered where corrosion resistance is required. Fixing clips \| \| (page 11) \| (pages 14-15) \| (pages 16-19) \| (pages 20-23) \| (pages 24-25) \| (pages 26-27) \| \|---\|---\|---\|---\|---\|---\|---\| \| CL11 \| \| 522-0, 4 & 6 530-0, 4 & 6 545-0, 4 & 6 \| 6025-4 available on request \| \| \| 800-22, 810-22 800-30, 810-30 800-45, 810-45 805-30 805-45 \| \| CL12 \| 1007 \| 515-0, 4 & 6 522-0, 4 & 6 530-0, 4 & 6 545-0, 4 & 6 \| 6025-2 6025-4 \| 7104 7124 7125 7152 7171 \| 0519-22 3019-22 1019-22 1029-22 2019-22 \| 810-15 800-22, 810-22 800-30, 810-30 800-45, 810-45 800-60 805-30 805-45 \| \| CL13 \| \| 515-0, 4 & 6 \| \| \| \| 810-15 \| Tee blocks, die tables Tee blocks Single minute tool and die changing Our comprehensive range of tee blocks and spring loaded ball transfer units, set into the bed of your power press or machine tool, will allow effortless positioning of tooling but still allow rigid clamping. We supply tee blocks for both standard and non-standard tee slots the length, pitch, ball height etc. being dependent on tool weight and profile. Other sizes available on request. Tee blocks can be designed and manufactured to suit particular applications. See page 23 for our range of Die-lifter ball units. Quick change die tables For all types of molding and stamping applications. They allow quick, easy tool changing with storage close to the machine. All tables are fully guarded. Access to the machine via a lift-up gate if required. Custom designed to your specific requirements, installation is carried out by our engineers. NOTE – safety rails should be fitted where there is the possibility of loads rolling off. tee block secured by socket screw load unclamped load clamped Heavy-duty turntables Ideal for welding, industrial worktables, and many other "Lazy Susan" type applications. Units available in ductile iron and stainless steel, with lockable feature optional. All bearings in these units are greased and sealed for life. Turntables are engineered for safe, smooth, long-lasting operation. Ball transfers Three or more SKF heavy load ball transfers may be equally spaced under the work table which is mounted on the turntable upper plate. These units will then allow greater overhung loads and also greater carrying capacity. Heavy load ball transfer – turntable units Threaded heavy load ball transfers are stud mounted for easy adjustment of the overall unit height. These units also feature a recirculating ball path for high load carrying capacity. Three units or more is recommended in turntable applications. Type 13 = carbon steel unit. Type 15 = stainless steel unit. Please specify type when ordering \| part no. ball size (mm) \| \| dimensions (mm)* A B C L N S P X \| load capacity (lb) type 13 type 15 \| \|---\|---\|---\|---\| \| 7131-S736 7154-S737 \| 25.4 38.1 \| 50.8 42 6.1 102 60 35.9 1” UNF 44 60.3 60 13 135 75 47 1” UNF 44 \| 705 474 2204 1477 \| SKF selecting and spacing Fax to: 610-861-3737 Attn: Engineering Questions: Call 1-800-541-3624 Name: __________________________________________ Attn: Engineering Company name: ________________________________ Questions: Call 1-800-541-3624 Phone and fax: __________________________________ 1. Ball up or ball down? One of the most basic questions is, will the application be ball up or ball down? (select one) Ball Up Ball Down 2. How do you intend to mount or fasten the ball transfer? (select one) 3. Determine the required spacing & load rating Enter mass (lbs) of conveyed article ______________________________(lbs) Divide (lbs) by 3 ______________________________(lbs) (this safely provides the maximum load a single unit will bear) Enter smallest dimension (length or width) of the article to be conveyed ____________________________(mm) Divide (mm) by a 3.5 ____________________________(mm) (This provides the ball center distances to ensure 3 units are always in contact with the article) 4. Contamination, debris and environmental concerns Please describe the application & environment. Be sure to include potential shock loads, possible deflections, material requirements, possible contaminants, material being conveyed and environmental concerns. ________________________________________________________________________________________________________ ________________________________________________________________________________________________________ ________________________________________________________________________________________________________ ________________________________________________________________________________________________________ ________________________________________________________________________________________________________ ________________________________________________________________________________________________________ ________________________________________________________________________________________________________ 3.5 SKF USA Inc. 1530 Valley Center Parkway Bethlehem, PA 18017 800-541-3624 www.linearmotion.skf.com ® SKF is a registered trademark of SKF USA Inc. The contents of this publication are the copyright of the publisher and may not be reproduced (even extracts) unless prior written permission is granted. Every care has been taken to ensure the accuracy of the information contained in this publication but no liability can be accepted for any loss or damage whether direct, indirect or consequential arising out of use of the information contained herein.
Antoine TRAISNEL — Capture: American Pursuits and the Making of a New Animal Condition (Minneapolis: University of Minnesota Press, 2020, 354 p., ISBN 9781517909642, $27.00) What happened to animals in the nineteenth-century United States? This is the fundamental question that Antoine Traisnel takes up in Capture, as he tracks the transition between two epistemological and biopolitical regimes of apprehension—or pursuit—of the animal: that of the hunt and that of capture. While the expansion of settler capitalism and the exploitation of animals on an industrial scale led to species extinction or near-extinction, as in the exemplary case of the bison, hunting became progressively obsolete and was replaced with capture as a way to "archive and encase animals" at the moment of their disappearance, "in order to preserve and study their likeness" (2). More exactly, Traisnel contends, capture does not only record the animal for preservation: it actually produces the animal as disappearing, which facilitates its biopolitical management. "The making of [this] new animal condition," to cite the book's subtitle, thus coincided with, and was even inextricable from, "the making of the new nation" (4). Yet the book's argument is not only historical. It is also representational and ecological, as well as political, as Traisnel investigates the ways in which capture "motivated the invention of new aesthetic, literary, and medial genres and techniques"—from Audubon's life-like paintings and Poe's detective fiction to Muybridge's moving images—even as it "contributed to naturalizing the wide-scale […] erasure of animals" (6). Chapter 1 thus explores John James Audubon's ornithological project as a remnant of the regime of the hunt, "the continuation of the hunt by other means" (34), where "the act of representation [of the animal] is equal to the act of killing [it]" (50). Chapter 2 mobilizes the triptych of seeing, knowing, and killing that organizes chapter 1, as it attends to the work of another naturalist, albeit a fictional one: Dr. Obed Bat in J.F. Cooper's The Prairie (1827). A myopic man of science, Bat replaces the "perspicacious hunter" Natty Bumppo (59), while the novel traces the ways in which blind (naturalist) speculations enable another form of speculation: the perception of objects and subjects "as potential investments" (64). Blindness is not lamented, then, so much as repurposed as "the margin of loss that is built To advance these claims, the book draws exactingly on the work of Foucault, Deleuze, and Derrida, Donna Haraway, Akira Lippit, and Cary Wolfe, as well as Branka Arsić, Britt Rusert, and Kyla Schuller, among many other philosophers, theorists, and literary scholars. The more than eighty pages of endnotes at the back of the book set up a wonderful series of thoughtful conversations with Traisnel's numerous interlocutors. Yet debate is not exclusively relegated to the notes; and the five chapters that make up Capture are brimming with scholarly arguments which help to frame the close readings which form the core of the book, and at which Traisnel excels. These five chapters are themselves divided into two parts: the first (chapters 1 and 2) investigates the "last vestiges of the hunt" in the early nineteenth century, while the second (chapters 3 to 5) showcases the "new genres of capture" that emerge between the 1840s and the end of the century. Each chapter then zooms in on one author, sometimes even one text, as its case study. Livre EA 4-2022.indb 490 22/12/2022 18:03 into the venture capital model of settler colonialism" (64). Even as Cooper ridicules the new order of things embodied by the laughable naturalist, he also queries its serious biopolitical consequences, as it ushers in a new regime of "conquest and management" of animals, as well as of Native and Black populations for whom animalization often worked as an instrument of subjugation (85). If detective fiction seems particularly germane to the logic of capture, chapter 4 asks what "other genres" (120) might also allow for its deployment. To that end, Traisnel looks to Hawthorne's last published romance, The Marble Faun (1860), as a self-avowedly failed attempt to "pen an elusive creature" (121)—the young Donatello who bears a striking resemblance with Praxiteles' marble faun—while reckoning with the taxonomic work of Cuvier, as well as with emergent evolutionary discourses. In Poe's fiction the question of the animal was a spatial conundrum wherefrom the animal emerged as encrypted, and thus unmappable and illocalizable. For Hawthorne, the question of the animal is one of time, as The Marble Faun stages "the unexpected persistence of an anomalous specimen after its presumed extinction" (145). With its calculated anachronism, the genre of the romance is therefore particularly attuned to such instances of "survival from an older time" (145). Chapter 3 then moves "from the wilderness to the city" (92) and turns to Poe's "The Murders in the Rue Morgue" (1841) as a foundational probing of "biometric profiling and racial surveillance" (28), where "animality becomes weaponized by [capture's] system of control" (87). Tracking the reciprocal animalization of crime and criminalization of animality, this chapter reads Poe's detective fiction as a form of "decryption" (98) that brings to light the animal's "aporetic position": "always with us" yet "nowhere to be found" (107). This aporetic position, Traisnel argues, analogizes the "impossible ontology and legal status of the enslaved subject," simultaneously "dead and alive," "thing and person," "captive and fugitive" (106), and helps to account for the racialization of both animality and crime that Poe's story at once performs and enables us to critique. Hawthorne's "fabulous taxonomy" sets the stage for the question that animates the final chapter of the book. Because The Marble Faun seems to consign the animal to untimeliness and positions it at odds with modern time, "is it possible," Traisnel asks, "to develop a positive image" of that lost animality (152)? Eadweard Muybridge's moving images and "protocinematic experiments" (156), the object of chapter 5, provide the answer. Using a system of trip wire, Muybridge "designed the first contraption capable of recording a movement too rapid for the naked eye" (159). Effectively, the animal—here, a horse—took its own picture, a picture of something, life, that the human could not see, yet that suddenly became strangely knowable. The conclusion takes up the book's key terms, and modes, of relating to animality: seeing and knowing, and calls on its readers to imagine "a new ethics of care and knowledge" (196) predicated on distance rather than appropriation and exploitation. Doing so, Traisnel nods to his own epigraph at the start of the book: Jacques Prévert's "To Make the Portrait of a Bird" in which writing does not make the bird disappear by capturing it, so much as it works to "erase all of the bars" of the cage that it painted in the first place. Livre EA 4-2022.indb 491 22/12/2022 18:03 Capture is an impressive accomplishment and the work of a keen and astute reader of both philosophy and nineteenth-century American literature. Impeccably researched, rigorously argued, and rife with illuminating close readings, it is bound to become a landmark in the field of animal studies, and more generally for any reader interested in the invention of life and the making and unmaking of human and nonhuman subjects in the nineteenthcentury United States. — Thomas Constantinesco (Sorbonne Université) Chloé THOMAS — Les excentrés. Poètes modernistes américains (Paris : CNRS Éditions, 2021, 265 p., 25 €) L'ouvrage de Chloé Thomas constitue une introduction particulièrement bien documentée, à l'écriture souple, au ton alerte et à la clarté communicative. Le défi posé par une telle entreprise dans les limites de quelques deux cents pages était au moins triple. On sait d'une part que les synthèses de référence, autant que les enquêtes pointues, ne manquent pas dans le domaine moderniste anglo-américain, qu'il s'agisse d'ailleurs de littérature ou d'autres formes artistiques, mais ces travaux sont le plus souvent disponibles en langue anglaise uniquement. Il fallait donc traduire pour le public francophone tout un paysage critique, en plus de donner à lire et à entendre des textes représentatifs d'un mouvement si protéiforme que l'on hésite ici à juste titre entre « vague moderniste » et « modernisme vague » (10), forcé d'avoir recours à ce « concept à la fois imprécis et incontournable » (12), pris entre un étau constitué d'un côté par des singularités irréductibles et de l'autre par des manifestes s'efforçant à répétition de souder un collectif retors (43). C'est là une tâche dont Chloé Thomas s'acquitte avec beaucoup de finesse et de pédagogie ; tel est notamment l'objet de la première partie de l'ouvrage, consacrée à l'histoire et à la validité de la notion de modernité dans le champ des études poétiques américaines au xx e siècle, depuis la critique produite par ces modernistes eux-mêmes, en passant par le New Criticism, puis les relectures contradictoires des années 1970-80, et enfin les manuels conseillés aux étudiants aujourd'hui. Les pages de la section intitulée « La tradition moderniste : un héritage en dialogue » parviennent ainsi à faire dialoguer, avec un certain luxe de définition, des horizons critiques différents dont les lecteurs francophones ne seront pas nécessairement familiers, et qui trouveront là une excellente porte d'entrée. Le regard proposé opte donc pour une « histoire événementielle du modernisme » (63), loin d'une célébration des invariants de l'avant-garde éternelle. En pratique, cet historicisme est cependant partagé entre analyse diachronique et évolution synchronique du fait du choix de suivre, tout au long de l'ouvrage, la carrière de quelques grands noms ; ce déséquilibre n'en demeure pas moins moteur, et permet à diverses dissonances de se faire entendre, notamment du point de vue de la canonisation d'auteurs dont la position hiérarchique ultime dans la tradition entre en contradiction avec leur inventivité initiale supposée. La seconde difficulté résidait, comme souvent pour ce type de panorama, dans le besoin d'articuler un propos introductif général à une écoute attentive de la lettre des textes retenus. Or, non seulement cet aspect exige un exercice de traduction original (traductions fournies ici très généreusement en accompagnement des textes en langue anglaise), mais il suppose d'aborder l'épineux sujet de l'art prosodique, du vers libre, et plus largement des formes Livre EA 4-2022.indb 492 22/12/2022 18:03
Continue tracing Robert’s upbringing in the sequel titled The Farm East of Pine Village, which offers stories that stir the memories and the heart. 2018–2019 Dr. Robert T. Rhode holds the exclusive copyright. Chapter 1: The Fifth Grade This sequel to The Farm in Pine Village is also dedicated to my dear friend Eleanor Yeager Stewart, who helped me realize that the worlds of our childhood were never somewhere else but always right within us. Here is the rest of my childhood world—almost exactly the way it was! The stars were aligning in a new configuration. Robert’s classmate Dennis had crowded among the 30,000 screaming fans in the Coliseum at the Indiana State Fair on Thursday the 3rd of September to hear the Beatles live on stage. Robert was not envious because the thought that his parents would have allowed him—under any circumstances—to attend a concert by long-haired musicians from England was so remote that he could not for a moment entertain such a wild notion. Joe and Ida had (however) permitted him to buy his first 45 RPM records, one of which featured “I Want to Hold Your Hand” on one side and “I Saw Her Standing There” on the flip side. Robert played the record over and over on his parents’ Victrola. Leaving behind the steadiness of the unflappable Mrs. Winegardner’s classroom, Robert entered the topsy-turvy world of the mercurial Mrs. Leighty’s fifth grade. Mrs. Leighty was nothing if not passionate. Shorter than Mrs. Hail, Mrs. Arvin, Mrs. Moyers, and even Mrs. Winegardner, Mrs. Leighty had light hair that curled like comets away from her forehead and down the back of her head. Her eyes, from which tears could so easily spring, peered like suns behind fleeting clouds. Even more than Mrs. Moyers, Mrs. Leighty could not bear to paddle a student. She would catch a culprit disturbing the decorum of her class and have him stand beside his desk. Reaching her hands up to his shoulders, she would begin to cry. “Why do you make me discipline you?” she would ask with a meek, melancholy voice. Looking down at his feet and blushing from embarrassment, the student would mumble, “I don’t know.” “If you do that again,” Mrs. Leighty would say, tears streaming as her eyes roamed, searching his face, “I will have to punish you. Will you promise me that you will never do that again?” Still staring at his feet, he would say—almost inaudibly—“I promise.” “That’s good,” Mrs. Leighty would say, removing her hands from his shoulders, taking out a hanky, and wiping her eyes. “You may be seated.” Her method would work every time. What student could be so callous as not to be ashamed to have made such a sweet lady cry? Robert absorbed Mrs. Leighty’s enthusiasm for learning. Like her, he valued education so highly that he deplored distractions. One day after school, Robert came running down the driveway, through the white-board gate, through the side porch, and into the kitchen. “We get to make the floats!” he exclaimed to his mother, Ida. “Sit down here and tell me which states you have,” Ida said, while she stuffed “porcupines,” which were green peppers—she called them “mangoes”—filled with hamburger and other ingredients. “I picked Wisconsin!” Robert said, swinging his knee up on a bent-wood chair and leaning his elbows on the table. “You chose Wisconsin,” Ida corrected him. “You can pick a flower, but you can’t pick a state. Wisconsin is a good choice. I took summer courses at the University of Wisconsin after I earned my undergraduate degree at the Indiana State Teachers College. What’s your second state?” “We don’t have a second state,” Robert said, resting his chin in the palm of his right hand and swinging his free leg. “Mrs. Leighty said our class is so big that each person can have only one state.” “Charles had two states when he was in Mrs. Leighty’s class,” Ida said, spooning hamburger mixture into yet another hollowed-out mango. “His class was only half as large as mine,” Robert said. “Only half as numerous,” Ida corrected him again. “When your brother was in Mrs. Leighty’s class, the students were just as tall or as big as the students in your class.” Attrition and the possibility of flunking out had done nothing to reduce the numbers in Robert’s class, which had presented Mrs. Hail, Mrs. Arvin, Mrs. Moyers, Mrs. Winegardner, and now Mrs. Leighty with the head-scratching problem of what to do with a room filled with too many students. “You’ll be needing a shoebox,” Robert’s mother continued, pouring ketchup over the stuffed mangoes. “I think I have one. After supper, we’ll read about Wisconsin in the encyclopedia, and you can decide which industries to put on your float.” “We have a long time before the floats are due,” Robert said. “And there’s no time like the present to get started,” Ida said in her cautionary voice. “The early bird—” “—catches the worm!” Robert shouted. Ida’s face sank in a fake frown. “I ought to box your ears, interrupting your mother like that,” she said, holding up a fist, but bursting into a big smile. “Do the fifty boxes parade around the room?” Ida asked, returning to the task of making supper. “Mrs. Leighty said we line them up on tables and take turns talking about each one. I want my shoebox to look like a float in the Rose Bowl Parade.” “You’ll be wanting bright colors then and maybe something that can move,” Ida commented. After researching the State of Wisconsin on various occasions for the next few weeks, Robert narrowed down the choices of what he wanted to display on his shoebox miniature float for Mrs. Leighty’s class: the date when the thirtieth state was formed (May 29, 1848), a badger and a porcupine (animals not often seen in Indiana), a robin (the official bird of the state), a wood violet (the official flower), a sugar maple (the official tree), the Dells (rock formations cut by the Wisconsin River), the Port of Superior (loading ships with iron ore and coal), the Ringling Brothers Circus (Baraboo), the state’s eight thousand lakes, cranberries, and the dairy industry (especially cheese). Robert’s mother provided supplies, including the shoebox, which she suggested he cover in eye-catching red foil to represent the University of Wisconsin. She taught him to fold the foil carefully into pleats to surround the bottom of the box. “What can I do for the violet?” Robert asked, as he washed the Elmer’s glue from his sticky fingers. “I have just the thing,” Ida said, disappearing into her closet and returning with a bunch of plastic violets protruding from a small white pedestal vase. Removing the violets revealed an air freshener within the vase. Using his mother’s sharpest scissors, Robert carefully snipped purple violets, which he glued around the edge of the shoebox. “What can I do for the Dells and the lake?” Robert asked. “I have a round mirror that pops out of the compact case,” Ida replied. “You can attach it toward the front and let it be the lake. You can use a drop of Elmer’s to glue one of your plastic ducks to the mirror, and you can glue your plastic cow that has its head down so that it looks as if the cow is drinking from the water.” “What about the Dells?” Robert shouted over his shoulder as he went to get his duck and his cow. “You can cut the cliffs from corrugated cardboard stacked in layers, and they can go around the mirror. Why don’t you draw the badger and the porcupine on paper that you can glue along the sides of the float? You’re a good enough artist to draw those animals!” Ida said encouragingly. “To have enough for both sides, I’ll draw the robin and the maple tree, too,” Robert said. “Do you still have that sponge that was made to look like a wedge of cheese?” Ida asked. “Yes!” Robert exclaimed happily. “I never put it in water, so it still looks like Swiss cheese.” “We can put it on a skewer and stick it down through the cardboard cliffs,” Ida said. “That way, it can float above everything else and make a statement. Do you know what these are?” Robert was setting his plastic cow and plastic duck on the table near the shoebox. He glanced over at his mother, who was holding a strand of red wooden beads in her hands. “They’re beads,” Robert replied. “Right now, they are, but, when we take them off the string, they’re cranberries.” A huge smile lit up Robert’s face. A yellow, blue, and red plastic freighter that had bobbed in the bathwater in the 1950s completed the float; when Robert flipped it over to see how best to glue it to the float later, he noticed the company name “Renwal” on the bottom. “Instead of gluing it,” Ida suggested, “let’s tie a string around it. The string will go through a groove in the top of the box and will wrap around a spool hidden inside the box. Your father can use heavy wire to make a crank that sticks outside the box. When you turn the crank, the ship will move from one end of the box to the other.” Timothy Q. Mouse, Dumbo the Elephant, and the Ringmaster (spelled as two words “Ring Master” on the lid) from Robert’s box of Disneykins represented the circus. Robert devoted several evenings to the project of making drawings of fauna and flora and cutting cliffs from cardboard. He topped the cliffs with wooden pine trees from a toy collection he had outgrown. All too soon, the day arrived when he was to take his float to school. To look upon the wonderful products of the creativity and the industry of his classmates confirmed Robert’s belief that he was a member of a great class. Mrs. Leighty was obviously pleased. She clapped her hands as each float took its place on the tables. Before lunch, half of the students described their projects. Robert ran home for the noon meal and breathlessly told his mother how glorious the floats were and how he would have his turn to talk about Wisconsin after the lunch period. Later that day, his ship cooperated when Robert cranked it forward, and he remembered everything he wanted to say about the thirtieth state. Throughout the two hours dedicated to the floats, Robert listened attentively to his classmates’ presentations about the various states, and he felt he learned a great deal in the process. The shoeboxes remained on display for a week, so that the other teachers would have an opportunity to view the students’ artistry. The experience was exhilarating and destined to be remembered for years to come. Chapter 2: The Cows and the Clarinet “Let’s visit the Nesbitt Farm,” Robert’s father, Joe, suggested on a bright winter morning. Robert and his brother, Charles, got bundled up for the drive north into Benton County, Indiana. Joe had been talking about buying two purebred Polled Herefords, so that each boy would have one to show at the county fair and so that each could start his own line of pedigreed Herefords to help pay for college tuition years later. Mr. Nesbitt stood tall beside the door to his kitchen. He wore a pleasant smile. Stretching as far as the eye could see, Mr. Nesbitt’s flat land resembled a tan tablecloth set with blue willow ware plates, which were islands of snow with sapphire shadows. A herd of white-faced, cinnamon-colored calves that had been weaned stood facing the same direction in a fenced enclosure just beyond a clean, well-appointed barn. A child’s coloring book featuring life on the farm would have done well to depict Mr. Nesbitt as the ideal farmer. “We might be in the market for a couple of heifers,” Joe began, as he shook hands with Mr. Nesbitt. “Well, you’ve come to the right place,” Mr. Nesbitt replied agreeably. “I have plenty of heifers for you to choose from.” Mr. Nesbitt guided Joe, Charles, and Robert toward the pasture. “Are the heifers for your boys here?” Mr. Nesbitt asked. “Yes, sir,” Joe answered. “They’re in 4-H Club.” “I would have guessed that,” Mr. Nesbitt said, chuckling. “Well, these are young heifers that would make good 4-H entries.” Wearing a yellow glove, Mr. Nesbitt waved his large hand in a sweeping gesture to indicate the calves, all of which were peering at the newcomers and blinking their long-lashed eyes. In his mind, Robert had already selected one, and he hoped his choice would be one of his father’s top picks. The heifer had a happy expression, almost as if she shared Mr. Nesbitt’s jovial smile. “Could we buy her?” Robert asked his father while pointing toward the merry calf. Mr. Nesbitt said, “You have a good eye, son. She’s a blue-ribbon heifer if I ever saw one.” “With your recommendation, we can’t go wrong,” Joe said. Turning to Robert, Joe asked, “Do you have a name for her?” “I think she looks like Vicky!” Robert replied enthusiastically. “Vicky?” Mr. Nesbitt chuckled. “Well now, that’s a good name for a cow!” “We’ll be back to get her on a warm day. Do you need to mark her?” Joe wondered. “No,” Mr. Nesbitt responded. “I’ll remember which one she is. She has buttons where horns want to form. That sometimes happens with polled Herefords. I’ll take care of the buttons so she looks true to breed. Which calf does your other boy want?” Charles could not decide. Finally, he pointed at one. “Now, that’s a good heifer,” Mr. Nesbitt said. Robert felt uncertain about the choice, but he kept his opinion to himself. Skittishly hurrying to hide behind other calves and nervously changing direction, the heifer had a wary look in its eye. “Do you have a name for her?” Joe asked Charles. “No. I’ll think of one later,” Charles said. Mr. Nesbitt invited Joe, Charles, and Robert into his kitchen, so that Joe could sign the paperwork. On a table was a clarinet in a tan case. Robert stared at it as if mesmerized. For some time, he had wanted to learn to play the clarinet. When the members of the Pine Village High School Band performed in their blue uniforms with white braids, white stripes, and silver buttons, the clarinetists sat toward the front to the director’s left. Robert enjoyed watching them work the silver keys of their instruments. His cousin Connie was the first chair, and he wished he could grow up to take her place one day. “Say,” Mr. Nesbitt said, reading Robert’s mind, “you wouldn’t know of anybody in the market for a clarinet, would you? My daughter wants to sell hers.” Robert thought it was too much of a good thing to be gaining a lovely heifer, already a pet in his mind, and a clarinet—all in the same day! Robert said nothing, but Joe understood how powerfully he wanted a clarinet. One look at Robert’s not-daring-to-hope face told Joe all he needed to know. “I guess we could consider the clarinet, too,” said Robert’s father. “How much do you want for it?” “Fifty dollars,” replied Mr. Nesbitt. All the way home, Robert carried the precious clarinet in his lap. His heart was racing. He could hardly believe his good fortune. He needed no further proof that he had the greatest dad in the world! Back at home, Robert figured out how to slide the sections of the clarinet together. As he had no way of knowing how to arrange a reed on the mouthpiece, he could not play a note, but he considered the clarinet to be a glorious instrument. Learning to play the clarinet, though, was a struggle. Robert’s parents enrolled him in lessons at Mahara’s Music Center in Lafayette’s Market Square. For the first several weeks, Robert’s teacher, a young man named Mr. Baker, kept trying to help him make a note on the instrument. Robert’s breath escaped around the mouthpiece. The only sound was puff-puff-puff. Robert had that tingling in the cheeks that one gets from blowing up too many balloons. Finally, on a glorious afternoon, the clarinet emitted an enormous squawk! What a thrill!! Mr. Baker breathed a sigh of relief, and Robert smiled from ear to ear. From that day forward, Robert’s abilities rapidly progressed. That summer, Mr. Lee Davis, nicknamed “Weird Beard” because of his goatee that was similar to that of Skitch Henderson or Mitch Miller, began adding younger musicians to the high school band he directed so as to make it as large as possible for the competition at the Indiana State Fair. He accepted Robert into the ranks. Robert was going to get to wear the blue uniform with the silver buttons and white braids long before he was old enough to attend high school! All summer, the augmented band rehearsed on a parade ground that had been marked off with lime stripes on the west edge of the school playground. The competition consisted of parade shows, not football field shows. The parade strip had been measured to conform precisely to the judging area the band would encounter at the grandstand in Indianapolis. during the fair. From the moment when the front rank of the band crossed the starting line until the back rank stepped over the finish line, a stop watch counted the seconds. Going overtime would cost precious points. Mr. Davis had built an observation platform accessible by a ladder. From the platform, he looked down on the band to see if the lines were straight and to make sure that everyone was in step. Mr. Davis combined the best attributes of a disciplinarian, a musician, and a friend. He knew exactly when to crack the proverbial whip and when to sit back and laugh good-naturedly. Eager to please Mr. Davis, the band, over the weeks of practice, pounded the grass into powder. The white stripes that were formed with lime disappeared into the dust and more had to be laid down. At one point in the music, the band members had to stand in place and slowly revolve until they were crouching; then they had to spring back up and begin marching again. The 360-degree spin was practiced over and over, until everyone’s hamstrings were sore. The day for the bus trip to Indianapolis arrived. In the pre-dawn hours, band members arrived in the school parking lot. Clusters of students talked excitedly while parents milled about their cars. Robert felt that the trip to Indianapolis was a dream come true—except when he gagged on the girls’ hairspray as they tried to force their big hair under their blue band caps with the white bills. Robert disembarked as quickly as he could and stood breathing the fresh air until his lungs cleared. He made sure that the decorative braided cords around the shoulder of his uniform were in the right place. The long wait began. The line of bands wove like an anaconda among the buses parked all the way to the horizon. In those years, over a hundred bands of smaller schools competed on the day that the Pine Village band took part. Ranks and files of uniforms of every hue filled the vision. The bands crept forward and waited, crept forward and waited. Ultimately, there were no more bands in front of the Pine Village High School Band. The track passed before a towering grandstand filled with spectators. Robert took a deep breath. Mr. Davis smiled encouragement to his musicians. Suddenly, the parade show started. Robert performed the notes and steps like a machine with no need to think about what he was doing. The instant the show was finished, Mr. Davis came running. “We didn’t go over!” he shouted, tapping his stop watch. Later that day, the band learned that Pine Village was ranked in the top third, coming in ahead of far larger bands at far larger schools. Chapter 3: Palm Sunday Earlier that spring—before the exciting trip to Indianapolis for the band competition—the weather suddenly turned hot. It was the morning of the 11th of April—Palm Sunday—and Ida had an idea! Why not take advantage of the warm weather and invite Don and Mary to have a wiener roast in the yard? Don and Mary were Joe and Ida’s close friends. Don and his father had been members of the same threshing ring that included Joe and his grandfather, and Mary Ann and Ida never lacked for conversation. As Joe and Ida had no telephone, Joe drove to Don and Mary’s house to ask them to come over in the afternoon. They readily consented. It would be three more years before a phone would appear in the Rhode home. Both Ida and Joe considered phones to be expensive nuisances. Whenever they needed to receive a call, they asked (with Beulah’s permission, of course) that it be placed to the phone of Beulah Jones across the street, and Beulah dutifully walked across the highway to deliver a message that she had taken on her phone. Whenever Joe and Ida had to place a call, they asked Beulah if they could borrow her phone. The rest of the time, Robert’s parents got along just fine without a telephone. In those days, almost every town with a population of a few thousand had everything a person could want; for example, Attica, a town of 4,300 people, boasted several blocks of thriving businesses and professional offices both upstairs and down. There was no need to phone ahead to see if a store carried a certain product. If such a product could not be found in Attica, nobody needed it. Even the smaller villages had plenty of business activity from hardware stores, through blacksmith shops, through lumber yards, through elevators, through feed stores, through electrical supply shops, through grocery stores, to clothing stores. Before Don and Mary arrived with their family, Robert and Charles picked up limbs and piled them in the ash-covered, brick-lined area of the yard that was dedicated to roasting hot dogs. Soon, the boys had a tall pile of sticks. “That’s plenty!” Ida said, wiping her hands on her apron as she came through the screen door. “We wouldn’t be able to get near the fire if you would pile another twig on it.” Don and Mary’s car pulled into the half circle drive by the front gate. With her big smile, Mary flung open the passenger door, jumped out, and turned to reach a casserole dish in the middle of the seat. By the time she stood with the dish in her hands, Joe and Ida had come down the sidewalk to open the gate. Mary arched her left eyebrow and said to Ida, “You’ve been helping Joe in the fields, haven’t you? I can tell by your healthy tan.” “I could say the same about you,” Ida retorted. Mary looked shocked. “I haven’t been helping Joe!” she remonstrated. “I meant Don,” Ida said, laughing. “I know,” Mary reassured her. “I was just kidding, but I can tell you who’s going to be married this summer. Wayne Whitlow, and, no, I’m not kidding! He’s marrying Peggy Thomas.” From somewhere in the shadow cast by the brim of his cap, Don winked at Joe. “I believe they’ve already started gossiping, Joe. We may be in for a long evening.” Meanwhile, Don and Mary’s boys, Matt and Lon, had joined Charles and Robert for a game they had invented that might be described as “hide-and-seek meets Gunfight at the O.K. Corral.” Matt and Lon brought their own cap guns, and Robert and Charles had toy guns resembling a pair of pearl-handled pistols. Wearing cowboy hats, the boys formed two teams that hid far apart among the farm buildings and sought one another while hoping to be the first to fire. Anyone fired at was “dead,” fair and square. About ready to enter the eighth grade, Charles was becoming too old for the game, but he played along just to be neighborly. The temperature had soared into the eighties. By late afternoon, dark clouds were rolling overhead. “I think it’s going to rain,” Ida said, after she had stepped into the yard to get a feel for the weather. Mary said, “We probably should cook the wieners on the stove.” Joe said, “We could get the fire going in a hurry. It doesn’t take long to cook a hot dog over a fire.” Ida looked concerned. “We don’t want a wind to come up and blow the embers around. What would you do, Don?” “I think you should cook the wieners on the stove.” He glanced at Joe. “That was the right answer, wasn’t it?” “Joe, call the boys,” Ida said. Joe strode through the gate into the chicken yard and found Robert and Lon hiding near the east chicken house. “We’re ready to eat, so come in and wash your hands,” Joe said. The smiling heads of the second team popped out from concealment behind the twin oak trees. “Were you there all along?” Robert asked, with every tone of disappointment. “I knew they were hiding there,” Lon said in a stage whisper. “I was just getting ready to tell you.” “Sure you were!” Matt said. The boys filed to the bathroom sink to slip the heavy bar of lye soap over their hands. While everyone was eating, Ida said, “As bad as it looks outside, I think I ought to turn on the television to see if anybody is saying anything about the weather.” Ida excused herself from the kitchen table and walked over to the Zenith, which stood high on a green “crushed ice” Formica table with metal legs. She switched on the set just in time for everyone to hear a tornado forecast that had interrupted the regularly scheduled program. The announcer reading the bulletin said there were many reports of tornadoes in northern Indiana. Mary’s face wore a look of concentration. Then her brows arched up, she sighed, and she said, “Well, maybe we should go home—after dessert, that is.” Everyone laughed. Joe made the “black cows” with generous scoops of vanilla ice cream covered in Coke, which foamed up and dripped temptingly down the sides of the thumbprint pattern jelly jar tumblers. The evening ended too early, but, sometimes, the most memories are made when the fun is interrupted at its peak. Unfortunately, the memories of that evening included the news that came in sad doses the following day. In one of the worst outbreaks of the kind, forty-seven tornadoes had touched down in Indiana and nearby states. Hundreds of people had lost their lives. The closest destruction was around the town of Mulberry. The skies above Pine Village had looked threatening, but no funnels had formed there. Later, Mary said to Ida, “I feel bad that we were having such a good time.” Ida said, “News like that makes you want to put your arms around your family—” “—and hold them tight,” Mary completed Ida’s thought. Chapter 4: The Fair With her placid nature and good outlook, Vicky, the polled Hereford heifer, was easy to train for the 4-H show ring. Robert had merely to touch a hind hoof with the long pole made for the purpose, and she adjusted her leg to present her form in the best position. Diane, the name Charles had finally chosen for his heifer, was another story. She fought the halter, she held her head down as if she would prefer to butt anyone who came near her, and she kept spinning sideways while planning her getaway. Poor Charles! Diane stepped on his boots again and again. When the Warren County 4-H Fair in Williamsport rolled around, Diane was no calmer. Joe had to take her in tow to lead her to her stall in the north end of the coliseum building. Once she found that she was tied next to Vicky, Diane felt a little better, but she continually watched over her shoulder and mistrusted the movements of the fairgoers who strolled behind the cattle. On the day when Charles led her into the ring for judging, she bucked and reared. The farmers who volunteered to help with the beef competition had to take charge of Diane—but not before she had stepped on Charles’ toes! She earned a red ribbon for her pains. Vicky, though, peacefully joined in the fun of the contest. Each time that Robert brought her to a stop in the ring, she needed no prodding from him to place her hooves in exactly the right places. Robert could take the precious seconds when he might have been working with her feet to brush up the curried horizontal rows of fur along her thigh and across the back part of her barrel, making her appear just that much more rectangular. When the judge handed Robert not only a blue ribbon but also a reserve champion purple ribbon, he was proud as punch and happy for Vicky! At the fair, each township took a turn running the cafeteria. Adams Township had Wednesday evening, one of the busiest suppers of the week. Joe and Don finished watering their pigs just in time to wash up and ready themselves for many hours of shucking sweet corn outside the back door of the cafeteria building. Ida joined Mary in doing dishes and keeping the food line supplied. Ida assigned Charles the task of assisting the men, usually by carrying trays of buns to the grillers or by bringing pans of cooked sweet corn to the line. Ida considered Robert old enough (and responsible enough) to help out; he was assigned a gray rubber tub to collect dishes, and, like Tom Sawyer’s friends, he found collecting dishes a wonderful activity! Long before, he had learned a lesson about which he would remind himself for the rest of his life. Work can be fun, but fun can never be work. Most of the farmers shared a great sense of humor. Some contributed to the general amusement by performing as comics, although not on a stage and not for a salary. Among the happy farmers was Fred Sundqvist, Sr. Smiles emanated from his face like rays of sunlight while his eyes sparkled behind his glasses. In the 4-H cafeteria building, he was ubiquitous, bringing sunshine wherever he went. Here he was wearing his broad white apron and flipping hamburgers on the big grill. Yet here he was razzing Don and Joe about their shucking of the corn. But here he was bringing laughter to a long table full of friends, some of whom he had just met for the first time. Now here he was by the door, discussing swine culture with a foremost hog breeder. He was everywhere! And Fred even stood before little Robert. “Need a hand with those dishes?” he asked, gesturing with a thumb toward the pile of plates in Robert’s gray tub. “No, I think I can carry them,” Robert replied. “They’re not too heavy?” “No, sir.” “Are they getting heavier while I stand here asking you questions?” Robert didn’t know what to say. Fred laughed, and Robert laughed, too. While Robert was unloading his tub, he saw Fred cutting pies. “How did he get over there that fast?” Robert silently wondered. Earlier in the day, Fred had been similarly everywhere at once. During the hog judging, he could have been seen leaning on a panel beside the ring with one brown work shoe up on the bottom board. Then he had been back by the pens, persuading pigs to move peacefully down the aisle to be exhibited. Soon, he had been joking with Charlie Coffman about hamming it up at the keyboard of the organ that Charlie played on the platform of the coliseum. There was no harder worker than Fred Sundqvist, who understood that work can be fun. ... but fun can never be work. Those who had to work at having fun or being funny seldom had fun and were definitely not funny. Confronting the exigencies of daily living began with a sense of humor originating in the heart. Well acquainted with the caprice of the weather—which could make or break farm profits—farmers had to love long hours and hard work that most often took place outdoors in all kinds of weather, and they were most successful when they learned to accept loss with wit, if not a smile. While Robert picked up dishes in the 4-H cafeteria, he encountered men and women who had spent seven, eight, or nine decades on farms. No matter how self-reliant, they respected the importance of the collaboration that placed rural communities on firm foundations. They were genuinely grateful when Robert cleared a place for them at one of the tables that were arranged in long parallel lines down the length of the building. With keen glances from faces that revealed their years in sun and wind, they politely thanked him with a “much obliged, young man.” Robert felt that, in the simple act of lifting plates into a tub, he had helped make the evening more pleasant for others who had spent decades helping shape and form the good world that he was enjoying. On Thursday evening, Ida and Charles made a quick trip from the fairgrounds to Pine Village to feed Spot and the ducks while Joe and Robert took care of the family’s livestock exhibited at the fair. Joe and Robert finished early, so Robert’s father suggested that they take a look at the new farm machinery on display. They walked up and down rows of shiny tractors and various implements exuding the indefinable fragrance of new equipment. As dealers in farm machinery were enjoying a huge increase in sales over the year before, they brought plenty of exhibits to the fair. The newest tractors were more rugged in appearance with heavier gearing. Joe glanced over to the Ferris wheel. “Want to go for a ride?” he asked Robert, who had to ponder the offer. Robert was deathly afraid of heights. Once, on a trip to visit Andy and Emmajeanette, the family had scaled the limestone Observation Tower—seventy feet tall—at Washington Park in Michigan City, and Robert had just about passed out from fear when he reached the top. At the farm in Pine Village, a sugar maple in the hog lot had a tempting lateral branch about six feet off the ground, and, time and time again, Robert climbed the trunk so as to sit on the limb but lost all resolve to climb back down. Patiently, he waited for his father to appear in the chicken lot or the barnyard, and, when Robert saw him, he yelled for Joe to come rescue him. Joe had to bring a stepladder to retrieve his son; somehow, Joe never lost his temper at the repeated instances when Robert became stuck on the limb. Reluctantly and meekly, Robert said, “Yes.” Joe paid the attendant the price of the tickets, and Joe and Robert strapped themselves into one of the Ferris wheel’s seats. Up and up they went. When they were exactly at the top, the wheel stopped. After several seconds, the attendant shouted up that the ride was not getting electricity and that he would run up to the main electrical box to see if he could determine the cause. Robert was ready to panic, but his father spoke reassuringly, “There’s nothing wrong where we are. We’re safe. He’ll get the motor going again, and we’ll be on our way.” Hushed breezes passed by while the seat rocked lightly. Robert and Joe looked down on tractors that they had looked up to only a few minutes earlier. They could see the roof of the coliseum. The conversations of fairgoers seemed strangely nearby for as small as the people appeared from high atop the wheel. Robert and Joe gazed up at fluffy white clouds that were almost immobile, only now and then taking a step forward, and Robert and Joe gazed down on the life of the fairgrounds. Robert marveled that his father was calm, but Joe understood and trusted the machinery. Taking a deep breath, Robert relaxed and waited for the wheel to roll on. Shortly, the attendant returned. He shouted, “It was a breaker in one of those new circuit breaker boxes!” The motor hummed back to life. The wheel creaked and began to orbit again. Before long, Robert and his father were back on terra firma, their Ferris wheel ride enshrined in their memories. Chapter 5: The Old Barn On a warm summer’s evening, Joe brought Robert along in the 1951 GMC pickup through the barnyard and through the pasture to the edge of the cornfield. Robert opened and closed the gates for his father. Joe then began using a machete to cut cornstalks, which were still green but had well-formed ears. Robert lifted the piles of cornstalks in the back of the pickup, which had the tailgate down. The Holsteins in the pasture could foresee the treat that was coming, and they gathered near the gate that the truck would pass through when it exited the cornfield. With the stalks about three feet deep, Joe climbed back behind the steering wheel, and Robert stood by the gate. Joe drove into the pasture, and the cows strode over to mill about the back of the truck. Robert jumped onto the running board, balanced his knee on the hot metal of the rear fender, steadied himself, and climbed over the short side panel into the truck bed. “Ready?” Joe asked through the open window. “Yep,” Robert replied. The GMC crept forward, and Robert slid three cornstalks over the edge of the tailgate. No sooner had the corn fallen to the ground than the lead Holsteins were standing over it, finding the sweet green ears. Meanwhile, Robert shoved a few more cornstalks onto the ground in front, and cows of lesser status in the pecking order came around to take their turn to feast on the corn. The GMC kept inching along until all the corn had been shoved out. The herd would keep working on the corn until only traces of it remained. Next, Joe and Robert drove through town to feed the Hereford herd at the Old Barn. Joe’s farm on the east side of Pine Village was really two farms joined catty-corner. The smaller farm bordered State Route 55 and could be accessed from the farm that bordered State Route 26 by driving along dusty farm lanes, through many gates, and across the corner that joined the two farms, but driving through the town meant having to pass through only two gates. Before Joe was born, the Gady brothers ran a butcher shop just north of the intersection of the two main highways in Pine Village. Elmer Gady bought the stock and Bill Gady prepared the meat, which the Ogborns sold in their grocery. The Gadys had a large barn on their farm just south of town. Elmer always thought “big.” He shipped in western lambs that were fed in the barn, which boasted nearly 6,500 square feet under roof on the first floor alone. To accommodate more and more sheep, Elmer added wing after wing to the barn, making a large barn a huge barn. He and Bill were earning handsome profits. Elmer decided he could afford to mortgage his farm and speculate on the Board of Trade. Elmer lost his farm and the butcher shop. He became a day laborer. Bill, meanwhile, moved to Chicago to work for a big farm, but Bill fell from a streetcar and broke his back. He returned to Pine Village. He walked stooped over. Frank Ogborn’s department store and grocery hired Bill to take orders and make deliveries. The Old Barn, as Joe referred to it, was still standing, although it had not seen paint in so long that the boards were silvery gray, the roof rusty red. Just outside the barn on the east side was a stock tank that once featured a windmill to pump the water. Now the pump was electric. Joe kept a long stick, which he used to push up the curled rod on the side of the switch box that started the motor. The box was affixed high on a pole, so that cattle could not accidentally start the motor by rubbing the box. The pipe that delivered the water to the tank was rusted through in several places. By covering the end of the pipe with his left hand, Robert made a water fountain through a quarter-sized hole in the top of the pipe. He drank the clear water that came from so deep down that it was icy cold. South of Pine Village stood a large building that housed a rest home for elderly patients. Despite its size, the building was only the small remnant of what earlier generations had known as a vast spa named Mudlavia: nearly all of it long gone by the time that Robert’s family visited. Joe and Robert often stopped by Pig Gady’s room. Ernest Alvin Gady, a 1910 graduate of Pine Village High School, had acquired the nickname “Pig,” and it was just too good not to stick. Everyone knew him as Pig, and many had forgotten that his real name was Ernest. Pig was Elmer Gady’s son and had played in the Old Barn when he was a lad. For a brief time, Pig had taught lower grades, but his father’s downfall prompted him to seek independence. In 1913, when he celebrated his twentieth birthday, he decided upon the life of a transient laborer and lit out for the West. When Robert and Joe visited him, the 74-year-old Pig wore brown plaid flannel shirts and jeans. Whenever he saw Robert, his eyes lit up. “Say, what do you know?” Pig asked, grinning and slapping his knee. Then came the best part. Pig would lean forward and begin telling stories of his train-hopping days as an itinerant thresherman. The walls of Pig’s room in Mudlavia faded away, replaced in Robert’s imagination by the broad expanse of Kansas wheat fields and Kansas skies. Pig was running for his life down an alley in Burlington, Kansas. He clutched a broad-brimmed straw hat in one hand and seemed to be swatting at hornets, he was sprinting so fast! He kept glancing over his shoulder, until he was sure he had lost the Industrial Workers of the World members who were chasing him. Pig slowed to a walk, his sides aching, his heart pounding. The nest that Pig had accidentally run into was not a nest of hornets but a nest of I.W.W. men, otherwise known as Wobblies. They had made vague threats to try to force Pig to join their socialist order. Pig wanted nothing to do with the I.W.W. because he would not hide shrapnel inside wheat bundles to wreck threshing machines and bring work to a halt. “Why would anybody want to bust up a separator?” Pig wondered, shaking his head in consternation. Higher wages for workers was one thing, but sabotage was another—and sabotage was criminal! “What am I gonna do?” Pig mumbled, sauntering along. A colorful poster for the Barnum & Bailey Circus caught his eye. It was plastered to a tall fence made of rough-cut boards. With his pocketknife, Pig cut a small red rectangle from the poster. He slipped the card into the pocket of his shirt. He smiled and strode confidently along. Heading north on Third Street to find work as a thresherman, he encountered two men he thought might be Wobblies. He flashed the corner of the red rectangle and winked. One of the men produced an I.W.W. red membership card from his pocket and nodded. The Wobblies paid Pig no further notice. He strode past them and began whistling a merry tune. Pig was fortunate enough to find employment as a spike pitcher for threshing rings in eastern Kansas. “Much of the wheat out in Kansas was winter wheat,” he told Robert. “It was spiky and tough, but it sure did grow well there.” He fondly recalled the steam engines belted to the threshing machines in the barnyards, but, in western Kansas and in states farther north, he came to know threshing on a vast scale with fields of wheat shocks stretching toward the horizon and with half a dozen columns of smoke indicating the locations of various steam engines and crews under the command of custom threshermen. Pig slept beneath the stars. He slept the sleep of a young man who has done hard work, honest work. Pig’s stories often led back to 1913, and, in his mind, Robert was there, too, jumping down from the boxcar and looking for work. A custom thresherman, scrutinizing the hopeful unemployed men who had gathered near the train station in some Kansas town, chose Pig (and Robert) to pitch bundles. Pig (and Robert) climbed into a wagon and was hauled to where the work was to be done. Pig (and Robert) was doing what he loved best: lifting sheaves high above his head and expertly dropping them for the bundle loader perched atop the wagon. When Joe and Robert would leave Mudlavia after visiting with Pig, Robert left with his vision expanded. Walking past the goldfish ponds of the once lavish resort, Robert peered at the flashing orange fish beneath the rippling surface that reflected the clouds. He thought of Pig flashing the red card and grinning. To Robert, the past appeared to be separated from the present only by a rippling film. Robert thought of Pig while helping Joe load the pickup with freshly cut corn stalks for the herd of Herefords that had gathered in the pasture beside the Old Barn. Then Robert repeated the process of scattering the stalks while Joe drove the GMC slowly forward. Chapter 6: The Cousins of Willowwood Joe’s cousins Vera Fenton and her older sister, Pearl Fenton Clark, who was married to Arthur Clark, spent much of their adult lifetimes living and working in Chicago. Vera, Pearl, and Arthur were in Joe’s mother’s generation. In her youth, Pearl had been considered beautiful, and, now, as a white-haired, older woman, she was regal. Vera had a wonderful sense of humor, which living in the Windy City had refined. Vera was as elegant as Pearl was royal. Arthur typified a Chicago businessman; he was urbane and confident. When they retired, the three returned to Pine Village to live in the house that Pearl and Vera’s father had owned. The sisters’ father was Thomas Eleazer Fenton, the blacksmith who designed the special shoe that transformed the horse Dan Patch into a legendary pacer. Pearl, Vera, and Arthur lived just to the west of the blacksmith shop. In his spare time, Arthur, a skilled artist, liked to paint. His canvas depicting deer in a forest adorned a wall of the living room. With their earnings from Chicago, the three purchased Willowwood, which was a glorified cabin in the hills and woods near Kramer, only a few miles north of Williamsport, the county seat. Arthur, Pearl, and Vera repaired to Willowwood for several days at a time during the hot summer months. What Willowwood, the small house, lacked in refinement the landscape around it more than compensated in magnificence. To the north arose a high cliff of crumbly sandstone. The sunshine lit the nearly vertical escarpment a bright yellow with hints of coral pink. Between the crag and the cabin, cottonwoods fluttered their leaves like oversized coins on both sides of a tiny gully that could become a raging rivulet when it rained. Immediately adjacent to the cottonwoods was a bevy of weeping willows, for which the cabin had been named. They draped their long, lithe branches almost to the ground. Strolling among the lime and lemon leaves felt like walking through graceful streamers at a Japanese festival. Surrounding the cabin stood towering pines that kept the cottage in perpetual shade. Willowwood was close to where the school bus had parked on the 24th of September in 1963 when the fourth and fifth grades had taken a special field trip to see the beaver dam on Big Pine Creek. That day in late autumn had been gray and cold. Robert and his classmates had hiked through a forest and arrived atop a hill commanding an excellent view of the pond the beavers had created. Robert had felt a twinge of disappointment because he had expected to see beavers, resembling the animated versions in Saturday morning cartoons. There had been no beavers that day because they work at night. Even with no animals in sight, Robert had appreciated the opportunity to take a close look at what the animals had built. Constructed of mud mixed with twigs, their dam had crossed the creek and had reached a height of six feet or more. On the dry slope of the dam, hundreds of branches and numerous trunks of trees as big around as stovepipes had been piled. Robert had been impressed with the orderliness, for the branches and trees had been aligned vertically—not strewn haphazardly. In the middle of the pond, the beavers’ lodge could be seen: a mound of sticks protruding above the deep reservoir. When Robert had played in the mud near the barn after a spring storm, he had used a small shovel to dig a channel no wider than three or four inches where the water was the deepest, needing little encouragement to form a small stream headed toward the meadow. Then he had attempted to build a dam across the channel. The water kept tearing away his preliminary work. When he finally resorted to dropping a large shovelful of soil squarely over the stream and had stepped on the dirt to make it stay put, the water immediately went around one end. Beavers were experts, Robert had decided when the field trip had ended and everyone was climbing aboard the bus for the return trip to school. On a sunny June day—the exact opposite of the overcast day when Robert had studied the beaver dam—Joe and Ida took the boys to visit Arthur, Pearl, and Vera at Willowwood. The three greeted the family at the door to the little house. Ida said, “Charles and Robert, you may entertain yourselves by the cliff, and we’ll call you when it’s time to eat.” Charles and Robert were happy to be excused, although they would not have minded listening to the adults’ conversation, which was sure to roam through stories about the olden days. The boys lingered in the cool shade of the pines, examining cones that left a sticky tar on their fingers. Charles showed Robert how the cone protected the seeds. Next, they passed through the grove of willows with its spongy, sun-dappled floor. As no water was running through the rill, they found tufts of dried sedge where they could place their feet and cross the muddy streamlet. Now they stood before the cliff. They looked up, admiring its height. They wanted to climb the sheer face, but to scale more than eight or ten feet upward was impossible. They balanced like goats on small projections as high as they could go without losing their footing. Robert was amazed to find tiny snail shells, which seemed to him to be so foreign as to belong in a different part of the world. Each was perfectly formed. They were empty, and he found—quite by accident—that some of the smallest ones could be crushed with very little pressure between the thumb and forefinger. As he wanted to take them home, he tried not to flatten them into minuscule shards. When the brothers returned to the level ground, Robert searched for a chunk of sandstone that he could pocket for his collection. At home, he had a shoebox with stones lining the bottom. He had found them wherever the family went, and they reminded him of the places Joe, Ida, Charles, and he had visited. Robert crouched down to lift a triangular piece of sandstone from the sandy, pebbly soil near the rivulet. He liked the granular feel of the rock, which he put in the pocket of his tan shorts—first making certain that his shells were in the opposite pocket! Just then, Ida called for the boys to come to “dinner,” the midday meal. When the boys entered through the screen door, Arthur and Joe were discussing the Battle of Kickapoo, which had been fought on the 1st of June in 1791. The battlefield was between Williamsport and Independence. “The battle took place not too far from the falls on Kickapoo Creek,” Arthur said. Robert knew where Kickapoo Falls was. Joe had taken the boys to see it, even though the site was on private property. The somber cliff stood in a dense forest. The rocky cleft loomed up from the shadows and impressed Robert’s young imagination as ancient and elemental, as if Titans had fought there. Joe had warned the boys not to circle around to the top of the falls, as Charles had suggested. With his fear of heights, Robert had felt considerable relief. “Warrenton, which had been planned as the county seat, was near there,” Arthur added. “Is there anything left of Warrenton?” Joe asked. “Not that I know of,” Arthur said. “Doubtlessly, you are aware that another Indian battle took place in 1822,” Joe offered. “Refresh my memory,” Arthur said. “After the Battle of Tippecanoe, unrest persisted, and the government conducted what might be called ‘clean-up operations’ in Indiana, even after statehood,” Joe explained. “Groups of Kickapoo and Potawatomie Indians lost a battle in 1822. As I understand, it took place near Warrenton. That was only four years before my ancestors began felling trees for their farm south of Pine Village.” “We’re going to eat now,” Ida suggested. Ida had helped Pearl and Vera prepare chicken salad sandwiches and lemonade. Vera, who always took an interest in what the boys did, asked Charles and Robert, “Were you having fun while we were talking about battles?” “I found snail shells,” Robert said. He reached in his pocket and pulled out a handful to show Vera. “Those are lovely!” she exclaimed. “And I found a rock,” Robert said, while he carefully replaced the shells and transferred his hand to his other pocket, pulling out the sandstone. “I find the color almost pink, don’t you?” Vera said. “Yes,” Robert said, “especially when the sun shines on the rock.” “My, it’s a hot day!” Ida said. “We can better appreciate the shade of the pines on a day like this,” Pearl said. “I would rather be a little too warm than to be freezing in air conditioning,” Vera said. Robert hadn’t even noticed that it was hot out. He wondered why the adults thought it was such a hot day. Chapter 7: The Sixth Grade Charles’ teacher in the sixth grade was Mrs. Downy, but Mrs. Russell had taken her place by the time Robert was ready to begin his last year in the grade school of Pine Village. (Robert perceived the seventh and eighth grades as radically different because the students in those grades changed rooms to be taught different subjects.) Mrs. Elma Russell had been a classmate of Charles and Robert’s father. Although her stature was slight, Mrs. Russell exerted an influence that was gigantic. She was one of the teachers that shaped the yielding clay of Robert’s perceptions. Mrs. Russell’s businesslike approach brooked no nonsense. Her smile meant she was pleased with the progress of the class. She smiled throughout the weeks that Robert’s class built a medieval castle. A long table such as those in the cafeteria was placed by the east wall of the classroom, and the students were given the assignment to research and construct a castle resembling those of Europe in the Middle Ages. Mrs. Russell divided the class into teams, with each team responsible for completing one facet of the project. The team of which Robert was a member was to complete a backdrop. Wallpaper with the white side out was taped to the wall behind the table, and Robert’s team created a landscape in the appropriate scale for the cardboard castle buildings, which stood some two feet tall. The backdrop measured five feet tall by eight feet wide. While his classmates laid out baileys and built walls and battlements, crenellated towers, and a rectangular keep, Robert sketched serfs working in fields and knights on horseback. Measurements were all there was of mathematics, but other subjects were fully incorporated in the project. Students gave oral reports on the history of medieval Europe, and they wrote papers about life in the Middle Ages. As the castle took shape day by day, the class’ sense of accomplishment grew. During Robert’s time in Mrs. Russell’s class, his great uncle Marshall C. Rhode passed away. Robert’s father and his father’s first cousin Jay helped Marshall’s brother Charlie (Jay’s father) to prepare for an auction. On a cold day that threatened rain, the auctioneer’s repetitive tenor voice echoed down the valley from Marshall’s large house on the hill. While it wasn’t a castle, Marshall’s house was palatial for a farming community. It was a plain, two-story L-shaped home with fourteen rooms. Joe was standing beside Ida when she said in an undertone, “I’m going to bid on the clock.” Joe’s mouth fell open, and he stared at Ida. “What do we want with an old clock like that?” he asked. “I like it,” Ida replied. Joe closed his mouth. Ida stood determined in her boots, long blue winter coat with the big buttons, scarf tied over her hair, and pointy glasses: the picture of a farm wife in the 1960s. The bidding turned to the so-called “mantel clock.” It was an old one: a Seth Thomas built in the early 1840s. The rectangular wooden box stood some two feet tall. The top glass over the face was intact, as was the bottom reverse-painted glass depicting a bouquet of flowers. The mechanism had to be wound each day and was powered by heavy weights that the act of winding caused to be lifted along the sides of the box on the inside. Gravity pulling on the weights did the rest, and a pendulum kept everything moving. “Let’s start the bidding at fifty dollars,” cried the auctioneer. “Who will give me fifty dollars for the mantel clock?” Catching an almost invisible gesture in the crowd, one of the auctioneer’s assistants yelped. “Fifty, fifty, fifty, I have fifty, fifty, fifty,” the auctioneer began trilling. “Fifty-five, who will give me fifty-five, fifty-five, fifty-five?” Ida nodded while Joe stared resolutely forward. A cold wind blew. “Now sixty, now sixty,” the auctioneer warbled, warming to the contest. He pushed his cowboy hat back farther and leaned forward. The auctioneer’s helper yelped again. Eyes in the crowd went roaming in all directions to identify who was bidding. Ida nodded, bringing the bid to sixty-five. Joe whispered, “That’s a high price for an old clock.” “It’s not polite to whisper,” Ida calmly explained. “Now seventy, seventy, seventy,” sang the auctioneer, whose helper yelped almost immediately. Ida recognized the dealer in antiques that she was bidding against. Joe was hoping she wouldn’t nod, but she did. “Now eighty, now eighty, now eighty,” chirped the auctioneer. Within seconds, the assistant yelped again. “I believe it’s time to stop,” Joe mumbled. “I believe it’s time to bid again,” Ida said with the undaunted gallantry of a knight in the lists during a joust. Exasperated, Joe muttered, “Oh, what do we want such an old clock for?” “Try not to end on a preposition,” Ida said, nodding. “Eighty-five, eighty-five, eighty-five, I have eighty-five, who will give me ninety, ninety, ninety?” the auctioneer yodeled. All eyes were on the antiques dealer, who finally shook his head. “I have eighty-five, ninety? ninety? ninety? going once, going twice, SOLD to the little lady in the blue coat!” “Let’s put the clock in the car, and I’ll show you why I like it,” Ida said to Joe, who tagged along after her as if he were a whipped puppy. Once the clock was resting in the back seat, Ida carefully opened the glass door, reached into the bottom of the clock, and lifted a sheaf of papers. “Here’s why I like the clock,” Ida said, smiling at Joe. From 1806 until 1827, Joe’s Quaker ancestors had farmed along Caesar’s Creek, where their Quaker meetinghouse stood, and had attended “monthly meeting” in Waynesville, Ohio. In 1826 and 1827, they migrated to Indiana. The clock had been purchased only a decade and a half after the move. A family story told that Jonathan Rhode, who tried farming in Arkansas before returning to Indiana, had brought a mantel clock back to Indiana with him. The bundle of papers in the bottom of the Seth Thomas that Ida had bought for the exorbitant sum of eighty-five dollars included the handwritten tax receipts from Caesar’s Creek. “This is your family’s history right here,” Ida beamed. “Nobody knew that these papers were in the bottom of the clock.” “Well,” Joe grinned sheepishly, “I guess you knew what you were doing.” “Oh, Joe, I always know what I’m doing,” Ida said in mock indignation. At the end of the auction, a sleety drizzle began. People took the last of their prizes to their cars and trucks, and, soon, the grounds were largely deserted. The windows of the big house seemed to stare mournfully upon the emptiness. Robert was staring at a broken dressing table that nobody wanted. It had been painted white, but the paint was chipping off. The heavy mirror had splintered the back of one of the supports and was detached, lying on top of the table with its single drawer. The legs were loose and wobbly. Tiny beads of rain covered the mirror and were reflected in it. Joe read Robert’s mind. “Do you want that old table?” he asked Robert. “I could refinish it, fix it up, and use it as my desk,” Robert said with a big smile. Joe looked at Ida. She said, “If that’s what he wants to do, let him take it.” Joe lifted the dressing table and made room for it in the back of the GMC pickup. Later, with advice from Aunt Margaret, who routinely restored furniture, Robert removed all traces of the white paint, sanded all the surfaces until they were smooth as glass, stained the piece a dark walnut, tightened the legs, and glued the splintered area. The day when he hung the mirror again was a victory. Many years later, it would bring a high price at another auction. Meanwhile, Robert sat at the desk every day and dreamed of becoming a writer. That spring, a senior accomplished a dream of his. The Lafayette Journal and Courier for March the 26th in 1966 reported, “Central Catholic High School and Pine Village boys won the two top awards in the 14th Lafayette Regional Science Fair at Purdue University Saturday. Thomas Eberts, 16, a Central Catholic High School junior, won a trip to the International Science Fair at Dallas in May with his exhibit on ‘The Role of Testosterone in Red Cell Formation.’ Also winning an expense-paid trip to the International was Ted M. Willer, 17, a Pine Village junior, with his work on ‘Plasma Jet Studies of Re-entry Materials.’ In addition, Willer was named to receive a Navy Science Cruiser award. Sometime next summer, Willer will be a guest of the Navy on a tour of naval facilities, probably at Norfolk, Va.” The newspaper erred; Ted was a senior. Robert had stood in awe before Ted’s display at the local science fair. Ted went on to place third internationally. From medieval castles to space exploration, the sixth-grade year impressed itself deeply in Robert’s memory. Chapter 8: The News and the Visit While Robert was in Mrs. Russell’s class, the televised evening news on ABC, CBS, and NBC was spoken by a small fraternity of newscasters whose careers (for the most part) had started in radio. Headed by the most-watched Chet Huntley and David Brinkley (David not having worked in radio first) at NBC, the up-and-coming Walter Cronkite at CBS, and the least-watched Peter Jennings (who took over from Ron Cochran in mid-year) at ABC, the networks gave brief but effective summaries of world and national news. NBC and CBS devoted a half hour (6:30 until 7:00 on weekdays) to news, and ABC tried to compete with fifteen minutes. Chet Huntley and Walter Cronkite were recognized for their perfect command of language. In tones honed through experience in radio after World War II and sharpened by tough competition, they told of upheaval in Cuba, Pakistan, and Rhodesia. They described the suffering of refugees. They reported on President Lyndon Johnson’s repeated warnings about keeping troops in Vietnam until Communist threats were eliminated there. They covered the election of a woman named Indira Gandhi in troubled India (She would visit the United States in March.) and Leonid Brezhnev’s rise to the powerful position of General Secretary of the Soviet Union and Leader of the Communist Party in the U.S.S.R. Robert’s perceptions of the news probably were shaped by the fact that, at age 11, he was beginning to understand much of what Huntley, Cronkite, and others said. He felt increasingly weighed down by news. People older than he likely took the news in stride, for many of them had lived through such traumatic events as the Great Depression, world wars, and, more recently, the Bay of Pigs and the Cuban missile crisis. Yet, from Robert’s perspective, the news was becoming more and more unsettling. In the fall and spring of 1965 and 1966, there were massive protests against the Vietnam War. There was racial unrest. The more the rock stars sang about love, the less attainable love became. On December 9th, A Charlie Brown Christmas aired. Robert and his father were great fans of the Peanuts cartoon strip, and they and the whole family stayed glued to the TV set for the half hour of animated entertainment. Characters such as Lucy, Linus, and Snoopy moved and turned in ways that brought Charles Schulz’s two-dimensional newsprint cartoon drawings to life, and the voices sounded just right! The music was instantly memorable. When Linus stood on the stage and recited the Christmas story, it was a magical moment in television. Linus seemed to be trying to reassure a frightened, distressed, agitated nation that “tidings of great joy” were not fictional but real. Ida announced that her friend Emmajeanette and Emmajeanette’s husband, Andy, were going to visit from their home in Westville. Such good news eclipsed the evening news, and Robert eagerly looked forward to seeing Andy and Emmajeanette. When they parked their blue 1964 Chevrolet Bel Air under the sheltering arms of the giant catalpa tree, Andy hopped from the driver’s seat, strode around the front of the car, and opened the passenger door for Emmajeanette. She was wearing a long coat while Andy wore a jacket. With her half-clear glasses frames with darker tops that imitated the arch of her eyebrows and with her dark hair pulled in fashionable waves at least three inches up and around her face, Emmajeanette looked as if she had just stepped from a glossy advertisement in McCall’s. Andy wore a pure white shirt beneath his jacket. A gold Speidel Twist-O-Flex watchband gleamed on Andy’s wrist. The tall and elegant Emmajeanette, who had worked as an office secretary, always smiled; the short and wiry Andy, who had worked in the post office, was always about to smile—as soon as he knew whether anyone had caught his joke! He had a squinting yet penetrating gaze from behind his glasses, as if he were sizing up his audience. Andy meant great fun! With his hand lightly on Emmajeanette’s arm, Andy guided the love of his life through the front gate and up to the door of the house. While Emmajeanette and Ida clasped hands and exchanged fond hellos, Joe greeted Andy with “That’s a good-looking car!” “Luckily, it runs well, too!” Andy responded. “How are you, Joe?” “I’m well,” Joe answered. “I’ve been thinking of buying a Bel Air. The Dowden family here in town wants to sell a 1963.” “What color is it?” Andy inquired, turning to his wife. “I’m sorry,” he said to Emmajeanette. “I asked before you could.” Emmajeanette smiled and said nothing. “It’s white,” Joe replied. Milton L. “Milt” Dowden could hang wallpaper better than anyone! Milt’s wife, Elsie, had given Ida a recipe for sour milk drop cookies that Robert’s mother included among her favorite desserts. Joe and Ida respected—and liked—the Dowdens very much. Robert sensed that his father had already decided to buy the car. “A Chevrolet is a dependable car,” Emmajeanette offered. “Joe, what do you call a Ford at the top of a hill?” Andy wanted to know. Joe grinned and shook his head. “A miracle,” Andy said, eyes twinkling. Joe laughed. “Ninety-nine out of a hundred Fords are still on the road,” Andy stated, eyes sparkling narrowly. “Only one could still be driven to the service station.” Joe laughed even more loudly. “And I haven’t even said hello to Charles and Robert,” Andy commented, turning to the boys. “Hello, Charles and Robert!” Taking everyone in a glance, Andy said, “Remember when we were at Brookfield Zoo? Robert, you were too little to remember. Charles was pulling Robert in a little wagon, and Charles started up too fast. Robert took a tumble out the back onto the sidewalk, and Charles turned around, saw what he had done, and said, ‘Oh! Pardon me, Robert!’ Charles was ever so polite after dumping Robert on the ground. ‘Oh! Pardon me, Robert!’” Andy chuckled. Joe, Ida, and the boys followed Andy and Emmajeanette into the house. The conversation flowed effortlessly for hours. In those days, most people did not lack for topics to talk about, and they had well-developed personalities shining through their sentences. Ida stood to prepare the dinner. “May I help you?” Emmajeanette asked, as she stood and followed Ida into the kitchen. Ida handed Emmajeanette a freshly ironed apron. “Why don’t you make the rolls?” Ida suggested. “I was going to have your toffee dessert, but I ran out of chocolate and forgot to buy more. So we’re having sugar cream pie instead.” Emmajeanette’s toffee recipe, which Ida’s family called “Emmajeanette’s dessert,” was a sweet concoction featuring crushed vanilla wafers, a rich mousse-like layer of chocolate that began as uncooked separated eggs, and whipping cream on top. “I can make the toffee dessert at home,” Emmajeanette said, “and you make the best sugar cream pie I’ve ever tasted! I, for one, am delighted we’re having the pie!” After a big dinner with everything except the iced tea having been grown on the farm, Andy and Emmajeanette had to leave to make what was then considered a fairly long drive back to Westville, the town where Ida held her first teaching position after graduating from Indiana State Teachers College and where her surrogate father, the Reverend Lowell Everett Morris, had served the Methodist Church. In those years before Ida had met Joe, she and Emmajeanette had struck up a lasting friendship. Later, when Emmajeanette had married Andy, she had simply iced the friendship cake with a husband having a wonderful sense of humor. The house seemed unusually quiet without Andy and Emmajeanette, but it was a clean house! For several days before the visit, Ida had enlisted the help of Charles and Robert in scrubbing the house thoroughly. Joe needed to drive into town to place an order at the feed store, and Robert rode along. Whenever Joe’s pickup was about to pass an approaching vehicle, Joe raised his right hand and waved at the occupants of the car or truck. They waved in turn. When Joe pulled into the alley beside the feed store with its checkerboard paint scheme, Robert thought the news couldn’t be too menacing with such courteous motorists and amusing friends. Chapter 9: The Game Mrs. Russell introduced a playground game that she had known when she was a child. Children from all the grades could participate. The group was divided into two teams of perhaps twenty each. One team formed a line along the sidewalk on the south side of the gymnasium; the second team, along the sidewalk on the north side of the school building. A designated student stood in the middle of the parking lot between the two sidewalks. He or she was “it.” At a signal given by Mrs. Russell, the two teams ran toward each other, passing one another to gain the opposite sidewalk. Meanwhile, “it” was tagging as many students as possible before they could gain the safety of the sidewalk. Once students were standing with both feet on the sidewalk, they could no longer be tagged. Those that had been tagged had to remain with “it” and tag more students when the two lines ran toward—and through—each other the next time. When only one runner had not been tagged, that runner’s team was declared the winner, and that runner became “it” for the next round. Robert couldn’t play the game often enough! He loved racing pall-mall for the safety of the opposite sidewalk—all the while dodging students who were trying to tag him. From his peripheral vision, the sprinting students seemed like clashing armies in the movie Khartoum. Whenever the two teams ran, the pounding of feet echoed between the gym and the school. The game was the last that Robert would recall from his grade school years. When he would enter the seventh grade and move from classroom to classroom, there would be no more recesses on a playground. Mrs. Thrush, who taught music and art, would no longer push her upright piano into the classroom to lead the students in singing such rounds as this one that enshrined the cries of a mender of chairs, a fishmonger, a ragpicker, and a Skinner in the streets or marketplaces of Old England: Chairs to mend! old chairs to mend! Rush or cane bottom, Old chairs to mend! old chairs to mend! New mackerel! new mackerel! Old rags! any old rags! Take money for your old rags! Any hare skins or rabbit skins! ... or this one, sung by carolers at Christmas time in England as long ago as the 1500s: Hey, ho, nobody home; Meat nor drink nor money have I none, Yet will I be merry. Robert vaguely sensed the transition that was approaching. In small increments, his childhood was receding into the past. Like swans, the years were slowly slipping away. On the Fourth of July, Joe gently nosed the car into the weeds along a gravel road just south of the park in Fowler where the fireworks were displayed. Ida spread blankets on the ground, and everyone sat together as a family. Other cars came to line the road, and other families sat on blankets. Joe poured a cup of coffee from a thermos and handed the cup to Ida. Robert said, “Coffee always smells so good!” Ida asked Joe, “Are you going to let Robert taste yours?” “I don’t know. Am I?” Joe asked in return. “I think he’s old enough,” Ida replied. Joe poured a small amount into his clean cup and handed it to Robert, and Robert sipped the nutty liquid. He was hooked on coffee then and there. As darkness fell, the family watched for pink lights, which were the wands the volunteer firemen carried to light the fireworks. In the gathering haze of a hot summer’s night, the pink lights began to fan out mysteriously. Then, with the sound of the air being punched, a nearly invisible rocket slithered up and up. Suddenly, a giant flower of light bloomed overhead! Everyone oohed and ahed, comparing colors and effects to choose favorites. At their distance from the park and from their vantage point behind the show, Joe, Ida, Charles, and Robert could not always discern what the displays on the ground were intended to be, but the waterfall was always obvious and always appreciated for its dazzling white, its smoke drifting to one side, and its noise not unlike a cascade. The finale was grand enough with several bursts of brilliant color occurring in rapid succession in the night sky. That same summer, a brash Barred Rock rooster had assumed leadership of Joe’s flock. Whenever Charles or Robert entered the chicken yard, the rooster ran toward the boy, leaped in the air, thrust its legs forward, and raked the youngster’s legs with its talons while flapping its wings against his knees. “Ow! Oh, ow!” Robert exclaimed on many occasions. For some reason, the attacks of the rooster made him forget the option of escape, and he stayed rooted in one spot while the Barred Rock flapped him again and again, leaving wicked scratches in the seasons when shorts could be worn. Only Joe’s intervention could save the boy. Every time the rooster got Charles, Charles merely scowled while running away. Both boys appealed to their mother. “He’s mean!” Robert emphasized. Ida laughed. “That rooster’s becoming a nuisance,” Charles said. Ida chuckled. “You wouldn’t laugh, if he flapped you,” Robert said, brows lowered. “I wouldn’t let him!” Ida said, holding her sides and wearing the biggest grin! “You have legs! Use them! Run away from the rooster! You’re faster than he is!” “He’s mean!” Robert repeated, but he could see that he wasn’t getting anywhere with his mother. Charles had already given up and had gone to his room to work on some project. So the attacks of the rooster continued. Robert would enter the chicken yard with extreme caution. He would look left. He would look right. When he thought the coast was clear, he would begin walking through the yard to the gate that led to the barn. Suddenly, from nowhere, the rooster would come running, lurching from side to side as he raced. Robert would freeze. Whoosh! The rooster would kick, rake, scratch, and flap Robert’s legs. “Ow! Oh, ow!” Joe would appear in the barn door. He would size up the situation and would stride toward the rooster, eventually shooing it away. The rooster would strut arrogantly, its beak forward as if he had been declared the champion fighter. Then it would take a pose, lean its head back, wag its wings, and crow noisily. “He’s so mean!” Robert would say. “Don’t go near him,” Joe suggested. “Don’t think for a minute that I want to go near him!” Robert said, almost pouting. “He hides until he sees me, then he comes running at me!” “I doubt that he’s hiding from you,” Joe said. “Yes, he is!” Robert said, before he was aware that he was contradicting his father—which he had been taught never to do. “I mean, he surely seems to hide because I look for him before I come through the gate. Can’t you sell him?” “No, he’s a good rooster. Your hens earn blue ribbons at the county fair because we have good stock, and that rooster is good stock,” Joe answered. “I guess you’ll have to try to run faster to get away from him.” Almost every time that Robert entered the chicken yard, whoosh! “Ow! Oh, ow!” Robert began searching for other pathways. He hacked a meandering trail through the giant ragweed and gypsum south of the chicken houses, but the trail ended in an open stretch of some thirty feet before he could reach the gate leading to the barn. While still hidden among the weeds, he would peer out. “No sign of him,” Robert would whisper, to reassure himself. Then he would leap to his feet and make a mad dash for the gate. Whoosh! “Ow! Oh, ow!” One day, Charles said to Robert, “Look! We have to go the barn to help Dad. That means going through the chicken lot, and that means the rooster will flap you.” “He could flap you,” Robert said. “That’s what I was about to suggest,” Charles continued. “I’ll go first. You stay right behind me. When the rooster flaps me, you run around me and through the gate into the barnyard.” “Alright!” Robert agreed, smiling. Then his smile faded. “But do you really want to get flapped just so that I don’t have to be flapped?” “I’ll take the flapping this time, and you can do the same for me the next time,” Charles said. The boys entered the chicken lot and walked about half of its length. Robert stayed close to Charles. Then the rooster ran up behind Robert. Whoosh! "Ow! Oh, ow!" On another day, Ida took the egg basket on her arm. She sang softly to herself: I come to the garden alone while the dew is still on the roses, and the voice I hear falling on my ear the Son of God discloses. And (Ida paused, holding the note.) he walks with me and he talks with me, and he tells me I am his own; and the joy we share as we tarry there, none other has ever known. Repeating the song, she gathered the eggs. Just as she stepped outside the chicken house, here came the rooster! Whoosh! The egg basket, which was nearly full, went flying. After the rooster had his fill of flapping, he strutted to the side, leaned back, and crowed. The next day, while Joe was reading the newspaper and Ida was ironing, Joe turned to her and gently opened a topic of conversation: "I happened to notice that the rooster didn't crow this morning." Ida set the iron on its heel, sprinkled water from her yellow bottle onto the sheet she was preparing, and resumed Ironing. "No?" Joe hesitated, thrown off by her one-word response. "No, no crowing today. I wonder if he might be ill." "Ask Mrs. Bowen," Ida said. Joe stared at the newspaper and read the same sentence three times while he tried to second-guess why he should ask Mrs. Bowen. He cleared his throat. "If I were to ask Mrs. Bowen, what do you suppose she would tell me?" Smoothing the sheet while tiny clouds of steam rose around the iron, Ida replied, “Mrs. Bowen would tell you that Mr. Rooster is alive and well and taking good care of her flock.” Joe let the paper fall on his knee. “Do you mean to tell me that you gave Mrs. Bowen our rooster?” Ida glanced at Joe. “It was mean,” she said. “Will Mrs. Bowen still be speaking to you tomorrow?” Joe wanted to know. “Oh, I told her it was mean,” Ida explained, “and she said, ‘The meaner the better! The mean ones can fight off the skunks.’” Chapter 10: The Blacksmith and the Veterinarian Sometimes, wires get crossed, and a person carries a memory that is really two or three memories that don’t belong together. So it was with Robert, who always conflated a poem and two verses. The first was Henry Wadsworth Longfellow’s poem “The Village Blacksmith,” which begins Under a spreading chestnut tree The village smithy stands; The smith, a mighty man is he, With large and sinewy hands … The second was George Orwell’s twisted snippet of verse in Nineteen Eighty-Four, which Robert read in high school and which goes Under the spreading chestnut tree I sold you and you sold me: There lie they, and here lie we Under the spreading chestnut tree. In grade school, Mrs. Thrush had taught Robert’s class a song based on a nursery rhyme that called upon the students to use rhythmic gestures with the verses. The song was repeated but, during each repetition, a line was no longer sung and was replaced with the gestures only, until, on the final repetition, there was no singing whatsoever and only the gesturing in place of the melody. The song went Under the spreading chestnut tree Where we sit both you and me, Oh how happy we will be, Under the spreading chestnut tree. By putting the three together, Robert always remembered that one of the two people under the chestnut tree was a happy blacksmith. Whenever Robert thought of the happy blacksmith, he pictured Tony Arrigo, the blacksmith in Pine Village when Robert was growing up. If Joe needed welding, he turned to Tony, whose good nature never failed to impress Robert. In his grimy welder’s cap and his heavy apron, Tony would greet Joe, Charles, and Robert with a smile that looked all the brighter for the smudgy dust that often necessarily accumulated on Tony’s face. The blacksmith shop had belonged to Joe’s relative Thomas “Tommy” Eleazer Fenton, who had passed away in 1929. When he was in the early grades, Robert played with the lengths of filler rod lying in the dust in front of Tony’s shop. Robert poked them in the ground to make palisades around imaginary forts. Years earlier, Glen J. Brutus had driven to Rockville, Indiana, to see a 23–90 Baker steam traction engine that had been built in 1923. It was parked beside a jailhouse to act as an emergency heating plant. Glen had returned to Pine Village and had told T. S. “Windy” Stingle about the engine, which Windy had bought. The original flywheel had been replaced with a Reeves flywheel. Windy had stored the engine alongside Tony’s shop, where Windy had planned to put new tubes in the boiler. The engine had rested there for years, until Alvin Kline of Millersburg, Ohio, acquired it. Tony didn’t seem to mind having the Baker become a permanent exhibit. He was always a happy blacksmith! On a cold morning in the dead of winter, Joe drove to Doc Cullop’s home, and Doctor Richard H. Cullop, the veterinarian, followed Joe back to Joe’s barn. A cow was having trouble delivering her first calf. She was standing in the barnyard to the south of the barn. Doc was hurrying. The Holstein had been trying to deliver the calf for over two hours. Doc lifted the calf jack from his pickup and handed it to Joe. Then Doc removed his winter coat and hat, placing them in the front seat of his truck. Robert wondered why Doc had taken off his coat. Next, Doc took off his flannel shirt. He was wearing only a T-shirt. He hauled out of his truck a bucket of sudsy water and washed his hands and arms repeatedly in the steaming liquid. He dipped a new sponge in a second bucket and swabbed the area where the calf should have appeared. Robert could hardly believe his eyes as Doc then thrust his arm deep within the cow—all the way up to Doc’s shoulder. The way he struggled made Robert believe that Doc wished his arm were longer. “Its hind legs are trying to come out first,” Doc said to Joe. Doc struggled for several minutes. He had to push the hind legs back from the canal, find the front legs alongside the hind legs, and pull the front legs forward before spinning the calf into an upright position. “Let’s see what she’ll do now,” Doc said, standing back. To his experienced eye, the cow appeared to be unable to deliver the calf. “Alright,” Doc said. “We’ll have to pull it.” The hoop was lifted into place and suspended across the back end of the cow. Doc reached the small chains within the cow and attached them to the calf’s front legs. “Joe, you start,” Doc said, watching carefully. Robert’s father ratcheted the first chain. “Wait,” Doc said, reaching in. “Alright. Another!” Joe ratcheted the second chain. “Wait,” Doc said, again reaching in. “Alright. Another!” Robert’s father ratcheted the first chain. “Keep going!” Doc said. Joe ratcheted the second chain. In this way, first one leg of the calf came into view, followed by the other leg. Joe later explained to Robert that the calf’s shoulders are the widest part and can become wedged in the mother’s pelvis, unless one shoulder comes through ahead of the other shoulder. The nose of the calf was showing. “Alright, I’ll take over,” Doc said, trading places with Joe. Doc ratcheted the jack a little faster, a little faster, and a little faster. Here came the calf! “Joe, get ready to break its fall,” Doc said. Just then, the cow groaned and sank onto her front knees. “It’s alright, Joe. They sometimes do that. It’ll just be a little harder for me. That’s all,” Doc said. The cow’s back legs buckled, and the cow dropped the rest of the way to the ground. Doc touched the frozen earth with his end of the calf jack rod and ratcheted again. “I wish I could get a little more angle,” Doc said. “Joe, tug lightly on the calf’s front shoulders. That’s good!” Doc lifted the rod a little and ratcheted quickly. He lowered it again, still ratcheting. He lifted and lowered, lifted and lowered, until, quite suddenly, the calf slithered all the way out. Joe was kneeling and caught the calf’s hind quarters, guiding them gently down. “She’s a girl!” Doc said. Robert marveled at how bright the white and black fur of the calf looked. The white was as pure as new snow. Doc ensured that the calf and cow were in good condition all around before washing his hands and arms, drying off, and putting on his shirt and coat and hat. Joe, meanwhile, scattered a bale of straw around the calf as a temporary measure. “I’ve seen calves in worse positions,” Doc said, when he had loaded his truck and was ready to return to his clinic. “If they’re going to be presenting wrong, I’d prefer they be like this one. Still, it’s a job to push those hind legs and that butt back over without losing hold of the front legs, which are crisscrossed with the back ones.” While he was talking, Doc was gesturing to demonstrate the effort that he had made deep within the cow. “Getting the calf to come on around isn’t as difficult. It looks like you have a good calf there.” Robert asked, “Will that cow always have trouble having a calf?” Doc smiled. “That’s a good question,” he said. “Most likely, she’ll have easy deliveries after this one. She’s just young and a little small. That’s a nice big calf!” Doc turned toward Joe. “If she does have trouble the next time, can we make it a warm day, Joe?” Robert’s father laughed and shook his head. “I’m sorry she was due this early,” Joe said. “I usually get their dates worked out so the bitterly cold days are over before calving begins.” “I’m only razzing you,” Doc said. “Let me know if you have any more trouble.” After Doc’s truck pulled away, Joe said to Robert, “Help me encourage her to get up.” As the two of them walked toward the cow, she stood of her own accord, turned around, and began licking her calf. Within a few minutes, the calf stood on its own! “Now that the calf’s standing, I’d like to get them in the barn,” Joe said. “You stand back and encourage the cow a little if necessary.” Then Joe slowly approached the cow while talking gently to her. He bent over, putting his arms around the calf’s chest and hind quarters. In this way, he helped guide the calf ten feet to the barn door. The mother muttered but did not become belligerent. She followed along, her nose inches from her newborn. In no time, Joe had both within the stall. He and Robert put in extra straw bedding to help ward off the cold. Watching Doc at work had deepened Robert’s appreciation for expertise gained through long study and broad experience. Chapter 11: The Perm As Robert had foreseen, Joe bought the Chevrolet Bel Air from the Dowdens. To Robert’s way of thinking, everything about the car was cheap. The aqua ceiling fabric felt like plastic, and it had a pattern of tiny circular holes. After experiencing the interior of the ’57 Chevrolet, the ’63 seemed cheap inside. The seat covers were not luxurious. Even the exterior lines of the vehicle made Robert feel that Chevrolet had lowered its standards. Robert felt that he was riding in a thin horizontal cardboard box. The lack of chrome and the plain round taillights proclaimed that everything about the car had been cheapened to the lowest denominator, yet the car was dependable. It did not languish for long periods of time in Glen Bisel’s shop; rather, it ran and ran in its bland, undistinguished way. Joe’s family rode in its cheapness from place to place for many years. Ida drove the Bel Air to Bessie Eberly’s house when it was time for Bessie to give Ida a perm. While Bessie was transforming Ida’s straight hair into tight curls, Ida said, “I think we’re going to move.” Bessie fumbled her comb, she was so surprised! “Move! Where to?” Bessie managed to blurt out, fixing a concerned gaze on Ida in the mirror that both faced. “Well, that’s just it,” Ida said. “We probably will move to Lizzie Williams’ house.” “Here, in town?” Bessie questioned, her look becoming stern. “No,” Ida laughed. “Her house out east of town.” Bessie said, “You mean where the Davises lived.” “That’s right,” Ida confirmed. “I’m sure it’s a nice house, but why would you want to move there?” Bessie asked. “Because we can’t move to Uncle Marshall’s house, which is falling in—” Ida began to explain. Bessie interrupted, “—Anna and Marshall Rhode’s place?” “That’s right,” Ida said again. “That’s a nice big house, but the roof has leaked so much that Joe thinks it would cost a fortune to fix everything. He says it should be bulldozed.” “That’s a shame!” Bessie commented. “Such a big house! But why do you want to move at all?” “Oh, I see what you were asking,” Ida remarked. “Well, the town has wanted additional revenue, and, at that meeting last week, somebody suggested annexing land around the town to increase the tax base.” “Yes,” Bessie said encouragingly, once again busy with her comb. “Joe said that he doesn’t want to pay the high taxes that would be assessed on his hundred and twenty-five acres. He thinks we should move right away.” “But the town hasn’t annexed his farm, has it?” “Oh, no!” Ida exclaimed. “That probably couldn’t happen for a year or two, even if the town managed to approve it, and there’s no proof that the town would want to annex good farm land anywhere around the perimeter.” “But Joe is worried that the town might make that decision someday,” Bessie concluded. “You know something?” Ida asked. “What?” Bessie asked. “I think it will be hard for Joe to move.” “Why do you say that?” “He has lived his whole life here. He grew up in the house where Cecil Gray lives, and he has raised his family in the house where we live now, which was part of his grandfather Tom Cobb’s land. I think Joe will feel homesick.” Bessie laughed! “But Lizzie’s farm is only two miles east of here! It’s not like Joe would be moving to Canada!” Ida laughed. “You’re right, but Joe is like his mother. They have to follow a routine, and they can’t endure change. I think when Joe is out there two miles away, he’ll feel as if he were in another country.” Lizzie wanted Joe’s family to farm the old Williams place, so she sold the land to Joe. When Joe, Ida, Charles, and Robert first pulled into the driveway of what would eventually become their new home, they hardly knew what to think. Charles appeared apathetic, Joe uneasy, Ida confident, Robert thrilled! Out there on the flat land that had once been marsh, the ancient trees around the house formed an oasis in the midst of a desert of black loam stretching toward the horizon in all directions. The maples were gnarled and bent from the constant wind that could roar from west to east during blizzards. A scraggly group of Osage orange trees huddled near a rusty wire fence. Outbuildings of gray, splintery wood leaned in crazy directions. While the others explored the house, Robert walked through the tall weeds to the west until he came to a slough, wet with cattails. The scent of tadpole water arose from the sedge grass. He could see so far away, and, everywhere he looked, the sky was filled with dark gray clouds reflecting the even darker earth, which was wild and lonely. Robert pushed on through the tangled weeds catching at his feet. He came to a weathered shed where, in his father’s boyhood, Joe Williams had stored his Reeves steam engine, threshing machine, and water wagon. Robert’s great uncle Charley Cobb had worked as the Williamses’ engineer. Charley had died long before Robert was born. While Robert stood near the fallen doors of the shed, he thought how his grandmother’s brother had stood in the same place, oilcan in hand. Robert thought how closely the past pressed in upon him. Robert joined the others at the house. A long enclosed porch with a sloping floor ran the length of the structure. It was homey. Ida was saying that she would move the kitchen into a large room that could double as a family room and wall off part of the old kitchen to make a bathroom. Robert and Charles would have bedrooms to the southeast of what would be the new kitchen, and Joe and Ida would have the room to the northeast. The empty house felt forlorn. Robert found a blue glass medicine bottle from the 1800s that someone had set on a windowsill. “Could I have it?” he asked his mother. “Yes, you may have it,” she said. For Robert, the bottle came to symbolize the home east of Pine Village. Nearly two years would elapse before Joe’s family could move to Lizzie Williams’ farm. During that time, Robert would pass from classroom to classroom as a member of the seventh grade class and matriculate to the eighth grade. Every evening, he looked at the dark blue bottle and thought of the murky pools, the wild winds, the twisted tree trunks, the statuesque herons, the mysterious great horned owls, the scurrying quail, the gliding pheasants, and the cantering foxes that he felt were tugging him away from the security of the village into the unknown countryside, as if leprechauns were working an enchantment to lure him there. He pictured the move as an exciting adventure awaiting him just beyond a theatrical scrim through which, for the time being, he could see but which would not be lifted for him to see clearly for some time to come. Chapter 12: The Fly Robert was The Fly. Not the unfortunate fly in the 1958 movie with Vincent Price. Robert was a hero such as Batman and Robin, who appeared in a series that had recently aired on television. Joe’s cousin Jay had given Joe his Navy Peacoat from World War II, which Jay had outgrown, and Joe passed it along to Robert. At the auction of Flora Farden’s belongings, Robert had acquired a pair of amber dark glasses that were big and round with ivory-colored Bakelite frames. Wearing the black coat and the round glasses with the deep amber lenses, Robert was The Fly. When Robert helped his father with the evening chores, he flew over gates. Well, he had to scale the gates’ horizontal panels and hop down on the other side, but he did it really fast, as if he were flying! On the other side of the gates, Robert fought crime. Often, he did so by cracking ears of corn in two or by spreading hay in the mangers of the barn. Even though he missed games on the playground, Robert was enjoying his time in the seventh grade. He enjoyed jumping up when the bell rang and scurrying to his next class in another room. He enjoyed the lessons and the teachers and his classmates. He enjoyed having a locker instead of a desk. And he enjoyed becoming The Fly after school. For many generations, students from Rainsville had transferred to Pine Village for their final years of schooling. When Robert entered the seventh grade, a reorganizing brought Rainsville students into his class. A few of the teachers who had devoted their careers to Rainsville’s classes permanently transferred to Pine Village. One of them was the beloved Mr. Charles Lloyd Cavanaugh. He stepped from a story by Washington Irving. A thin gentleman, he parted his gray hair in the middle. His reading glasses slid down his long nose. To see him on a windy day striding between the school building and the gymnasium was to see a scholar of skin and bones barely able to keep his footing while his trousers and coat flapped as if they might lift him into the sky. Mr. Cavanaugh was named the sponsor of Robert’s class, and Mr. Cavanaugh remained the class sponsor all the way through the class’ senior year. He taught English and mathematics. While Mr. Cavanaugh was of the old school that memorized everything and seldom (if ever) erred about a fact, he occasionally lapsed into an extraordinary pronunciation. Once, Robert’s class was learning a mathematical principle when Mr. Cavanaugh thought an example might prove helpful. “Let us say you have four cassaws,” Mr. Cavanaugh said. He went on to describe a mathematical equation involving the four “cassaws.” Then he called on one of the sharpest students—probably because he wanted the class to hear the correct answer—but the student blushed and apologized, saying, “I’m sorry, but I don’t know.” Mr. Cavanaugh said, “That’s quite alright,” and he called on another student good at math. Fidgeting, the student said, “I don’t know, either.” Now Mr. Cavanaugh wondered what to do. He had hoped to demonstrate the mathematical principle so clearly that the class would see how very simple it was, but he had called on two students who should have known the answer and they had been unable to respond. Meanwhile, Alan, with knitted brows, had been staring at his desktop. Suddenly, a smile flashed across his face, and he raised his hand. “Yes, Alan,” Mr. Cavanaugh acknowledged. “Mr. Cavanaugh,” Alan began, clearing his throat, “by your word ‘cassaws,’ might you mean cashews?” “I mean those delightful nuts that can be found along with peanuts in a can of mixed nuts,” Mr. Cavanaugh replied innocently, not taking any offense at Alan’s question. The idea of taking offense at anything never could cross Mr. Cavanaugh’s wonderful mind. At that moment, the student on whom Mr. Cavanaugh had first called, raised a hand, was acknowledged, and said, “Now that I know we are dealing with cashews, I can give the answer.” And the answer was correct! Mr. Cavanaugh beamed, and he went on to say how simple the principle was, after all. From that day forward, Robert always thought of cashews as “cassaws.” Robert liked every one of his classmates—and had since first grade. He was delighted that he liked all the new classmates that came from the Rainsville School, too. Among them was his cousin Pam. They were complementary in many ways. Pam’s hair was as dark as Robert’s was blond. Her complexion was olive, but Robert’s was pale. When Robert was serious, Pam would laugh, and, when Pam was serious, Robert would laugh. They initiated a mutually pleasant academic rivalry that, six years later, would bring Robert to be the Valedictorian and Pam to be the Salutatorian—with the two separated by hardly a difference. In seventh grade, Robert relied upon Pam’s customary response to any of his ideas that she considered outrageous; “Now, Robert!” she would admonish him with her genuine smile. He continuously amused her, and, as she was so intellectual herself, she always kept him on his intellectual toes. For Mr. Cavanaugh’s English class, Robert drafted a letter to Aunt Della in Georgia: “Several events have been happening on the farm. Pigs have been coming, chickens hatched, young calves have been born, and a zillion other creatures have entered into our life. I enjoy it all except for one thing—work! It takes energy to feed a mess of squealing pigs and squawking chickens. It’s work to get clean again; although I suppose it’s worth it.” To Robert, the year felt as if a long-awaited future had arrived to pay homage to the past. The fall was distinguished by a futuristic television series named Star Trek that acknowledged its roots in Old World myth and fable. The hallmark of the spring was the CBS telecast of Hal Holbrook’s stunning performance as Mark Twain. (In the distant future, Robert would meet Hal Holbrook and would tour the eastern half of the United States as Edgar A. Poe for over two hundred performances, and Robert would spend two days with—and sketch—Gene Roddenberry, the creator of Star Trek.) Meanwhile, Joe called out, “Robert, it’s time to do the chores.” “Robert?” Robert called back. “Who’s Robert? Don’t you mean The Fly?” Chapter 13: The Celebration The snow began early, with a deep accumulation just after Halloween of 1966. Inaugurating January of 1967 was Chicago’s largest blizzard on record. While the storm missed Pine Village, additional snow fell on the farm a week and a half later. Although Robert generally liked snow, he was having too much of a good thing. He wondered what it would be like to ride a bus after the move from the town to the country. He would have wondered what it would be like to eat lunch in the school cafeteria, but Ida had decided that Charles, now a student in high school, should have lunch with his classmates and had persuaded Joe to purchase lunch tickets for both of his sons. Even though Charles and Robert were only across the road from a home-cooked meal, they ate in the cafeteria. For Robert, lunch offered an opportunity to socialize with his classmates—and he loved socializing! Mrs. Miles directed an effective cafeteria staff having four great cooks whose meals included fried chicken, chipped beef on biscuits, creamed turkey on biscuits, beef and noodles, chicken and noodles, beefaroni, ham and beans with cornbread, hot dogs with pickle relish, Coneys, hamburgers, meat loaf, tuna casserole, Salisbury steak, salmon, spaghetti Creole, chili, potato soup and crackers, vegetable beef soup, baked beans, mashed potatoes, green beans, buttered corn, buttered peas, buttered spinach, strawberry Jell-O, peach halves, seasonal fruit, beef sandwiches, grilled cheese sandwiches, ham salad sandwiches, pork sandwiches, pork fritter sandwiches, Sloppy Joes, submarine sandwiches, jellied vegetable salad, cream slaw, applesauce, bananas in red Jell-O, fruit salad, chocolate pudding, graham cracker pudding, cherry cobbler, pineapple crème, and sweet rolls. Most of the ingredients were grown nearby. Leo Synesael gave himself permission to lean against a doorsill or a stairway railing for a few seconds each day; otherwise, he kept cleaning. Leo was the school custodian. He was skinny as a rail—most likely because he seldom stopped moving! In a jiffy, he mopped up spilled milk in the cafeteria. In the wink of an eye, he dusted the floor of the gymnasium. With time to spare, he spread his magic sand over an oil leak in the parking lot and swept it all up, leaving no trace that anything had been amiss. Each year, Robert’s hometown—like hometowns across America—celebrated Lincoln’s Birthday on the 12th of February and Washington’s Birthday on the 22nd of the same month. (In 1971, the Uniform Monday Holiday Act established three-day weekends for all major holidays and annual commemorations. In many states, Presidents Day became associated with one of the weekends.) On Washington’s Birthday, grocery stores would offer sale prices on canned cherries, and items that usually cost a quarter would be reduced to twenty-two cents, in honor of the 22nd of February. The art teacher always invited the junior high and high school students to make portraits of Lincoln that were judged, with the announcement of the winner during the Republican Lincoln Day Dinner in the gymnasium. Several of the older students were blessed with artistic talent and skill, and their portraits of Lincoln were exceptional. The best of the best were displayed in the cafeteria, and Robert admired them. Robert became determined to create a portrait that could compete with those of the high school students. Choosing pastel as his medium, Robert devoted hours and hours over the course of many evenings to the formation of Lincoln’s face. Robert compared several images of Lincoln in books that he had checked out from the school library. His portrait was not a direct copy of any one of them but a compilation of features he observed in several of them. “You have captured him,” Ida said. “You can enter your picture in the competition without doubting whether your work is good enough.” His mother’s compliment reassured Robert. He was shocked through and through when the art teacher confided in him that his art had won the competition, although the fact had to be kept secret until Lincoln’s Birthday! Robert wore a suit and tie to the dinner. Blushing, he stood before the applauding audience while his portrait was proclaimed the contest winner. Back in grade school, Robert and his classmates had used crayons to color purple-dotted American flags while listening to their teachers read to them about Washington and Lincoln. For Mrs. Winegardner, the students prepared scrapbooks commemorating Indiana history, and, for Mrs. Leighty, the class’ shoebox floats celebrated the fifty states; such activities further instilled patriotism. Robert’s heart was stirred when the red, white, and blue month of Lincoln and Washington rolled around. Now in his suit and tie, he stood talking with various townspeople who stepped up to congratulate him on winning the Lincoln Art Contest when he was only in the seventh grade. On Washington’s Birthday, Spot the Fox Terrier (his formal name) decided upon a patriotic excursion of his own. While Robert was bringing home his portrait of Lincoln with the winning ribbon fluttering in the corner of the large frame, he miscalculated how far the front gate would swing, and, with no free hand to hold the gate open just enough to slip through, Robert saw the gate open all the way—and Spot dashing through and running lickety-split for town! Robert set down his painting by the gate and shouted toward his father, who was taking his boots off by the back door, “Spot’s out!” Joe and Robert jumped into the front seat of the Bel Air and took off after the dog. They soon detected him racing behind “Peanut” Neal’s house. Robert was surprised that Spot, panting excitedly, let him scoop him up so easily. Then Robert noticed the gash in his side. “Spot’s hurt!” Robert said, when, holding the terrier, he slid onto the seat of the car. “I wonder how that happened,” Joe said, as he drove straight to Doc Cullup’s house and veterinary clinic. Spot’s cut required several stitches, but the dog wasn’t fazed. His eyes remained as bright as ever, and he indicated that he was ready for another sprint while Joe handed him to Robert for the drive back home. “Hold onto him!” Joe exclaimed. “I have him,” Robert said. That evening, the family cuddled Spot even more closely than usual. He had to wear his harness to hold gauze padding against the stitched wound. Ida added a small swatch of red-white-and-blue fabric over the gauze. “I can’t imagine how he was cut in that way,” Joe said. “We were right behind him. He wasn’t out of our sight more than a couple of minutes.” Joe, Ida, Charles, and Robert considered Spot so much a part of their family that they expected the dog to speak up and tell them how it occurred, but Spot remained silent on the point. Robert set his Lincoln portrait on the top edge of his bed’s headboard, put Spot on the foot of the bed, and took a flash photo to preserve the memory. Chapter 14: The Disking and the Camp Ever since Robert had celebrated his ninth birthday, Joe had let him steer the Minneapolis-Moline Z tractor while Joe stood carefully between the seat and the fender on the right side. Now that the summer of Robert’s thirteenth birthday was approaching, Joe began showing Robert how to run the International 560 by himself. When spring planting began, Robert spent weekends helping disk ground that Joe and Charles plowed. Robert had already lifted some of the farming burden from his father’s shoulders by tending livestock and caring for chickens and ducks, but now Robert began assisting Joe in the fields during the spring months, when farmers were in a near frenzy to plant corn and soybeans while the good weather lasted. One morning, Joe deployed Robert and the 560 in a recently plowed field close to State Route 55 and near the Old Barn. Before Robert’s father strode across the land to an adjoining field where he would be plowing, Joe reminded Robert, “Don’t turn too short at the edge of the field!” Robert was pulling an ancient harrow behind the relatively new disk. The harrow was in two heavy sections of rusty iron with a two-by-four running across the front to hold the two sections side by side. A fairly wide turning radius was required, so that the two-by-four did not catch on the plow. Robert made many passes the length of the field. He enjoyed disking because he could go a little faster than was possible with plowing, and he enjoyed plowing less because leaning in the seat as one of the driver wheels ran in the furrow was less comfortable and turning to keep constant watch on the plow was more demanding. The soil that day was perfect for disking. The black loam lay smooth and fine. Robert had coined a word for well-disked ground: “chuffy,” a combination of “churned” and “fluffy.” The soil behind Robert’s disk and harrow was chuffy. Robert set his mind free to imagine stories. He was in the midst of telling himself a story about a UFO like the ones that had been seen by so many people in Michigan in 1966, when suddenly he heard a snap. Robert had been making a turn. He wisely stopped the tractor. Before he looked behind him, he knew what he would see: a broken two-by-four. Sure enough! He had turned too short, and the plow had snapped the board as it jammed up against it. Robert shut off the tractor and walked across the fields to tell his father what he had done. Joe backed off on the throttle but still could not hear Robert, so Joe switched off his tractor. He smiled and said, “Now, say that again.” “I broke the two-by-four,” Robert confessed. “You turned too short, didn’t you?” Joe commented, still smiling. “Yes,” Robert said meekly. “I was afraid that might happen,” Joe continued. “When you’re working a short field like that one, you have the tendency to try to work closer to the fence line than you would in a larger field, and, when you do that, you also have the tendency to try to make too short a turn. We’ll go to the elevator right now and have Let Crane saw a new two-by-four, so that you can keep on disking today.” It was not the first time that Robert was amazed at his father’s patience and equanimity, nor would it be the last. Later that spring, Mr. Charlie Coffman loaded the school bus bound for 4-H Camp at Shakamak, a park southeast of Terre Haute. (Teachers and others in authority were addressed with a title, such as Mister.) Besides being 4-H advisor, FFA advisor, agriculture teacher, and principal, Mr. Coffman was a bus driver. He was ever and always in a cheerful mood, and the trip to Shakamak was no exception. Charles and Robert threw their Army surplus duffel bags in the back of the bus, took their seats, and enjoyed the drive to Shakamak. Sitting in the sunny window of the bus and watching the small towns drift by, Robert felt as if he might be Charlie Brown or Linus. Compared to Tippecanoe River State Park, where the Adams Township 4-H Club occasionally repaired and where raccoons kept Robert awake all night, Shakamak seemed like a spa. On the first afternoon, Mr. John McKee, the county extension agent, pitched the softball game. His windup was something to see! Squinting and biting his lower lip, he lifted a knee high in the air while he contorted his body like a pretzel, then he tossed the ball in a graceful arc. In the outfield, Mike would comment, “Oh, honestly!” If anyone could keep from laughing long enough and could get a hit, Mr. McKee would exclaim, “Very fine! Very fine!” Mr. Coffman was all for getting in the water as soon as possible. Robert and Charles lined up with the other 4-Hers, and Mr. Coffman led them on the trail to the lake. Even though Charles and Robert had gone barefoot around the farm, their bare feet were cut by the exposed shale that formed much of the path. The next day, every step was painful. For the time being, though, it was fun to watch Mr. Coffman disporting in Lake Shakamak. He was like a smiling duck, splashing and cavorting in utter glee. Robert despised water and barely put up with the swimming. Back when he was in the third grade, Ida had enrolled him and Charles in swimming lessons at the indoor pool of the YMCA in Lafayette. At the first lesson, the children had turned right to gather around the instructor, who was standing at the shallow end. Shy, Robert had turned left, and the instructor had not seen him. The instructor had said, “Jump in,” and Robert had obeyed. Down he went in a pale green world. Breathing water instead of air had been a new experience; bubbles had gone up as he had gone down. Later, he had learned that parents, who were watching their children through a window, had pounded on the glass to get the instructor’s attention, and that the instructor had finally understood that a child had leapt into the deep end of the pool. The next thing that Robert knew was that the instructor had rescued him and was reviving him at the side of the pool. After that experience, Robert had feared the water so much that, every Friday after school, when the swimming lesson was approaching, he had felt sick to his stomach. After several weeks, Ida had given up and had canceled the lessons. Robert had gone cheerfully forward in life as a non-swimmer. So, at Shakamak, he was content to stand on the sharp shale in the shallow water and watch Mr. Coffman having fun. At the end of a pier stood a tall structure supporting several diving boards with the uppermost one seemingly among the clouds. Mr. Coffman warned against using the diving boards—especially the top one. At dinner, Alan told Robert he looked at the diving boards and decided that discretion was definitely the better part of valor. The soughing of the breezes in the oak leaves made Robert feel content, and, as a fiery sunset of scarlet, coral, and tangerine deepened into garnet and boysenberry, Robert felt that all was right with the world—except for his sore feet! Chapter 15: The New House Robert had thought that, when it came time to move, the family would simply transfer everything to the old Williams farm and that would be that! He soon learned that his parents had other plans. Throughout Robert’s year in the eighth grade, Joe and Ida undertook seemingly countless projects at the farm east of Pine Village. One rickety barn was demolished and hauled away. Then Robert and Charles accompanied Joe on a mission to eliminate another barn so deteriorated as to be hazardous to anyone who entered it. Joe had received permission from the volunteer fire department to be rid of the barn on that day. Joe and the boys made a pile of straw and small pieces of wood by an interior wall of the barn. “Go outside and wait to the north of the barn,” Joe said to Charles and Robert. While Robert and Charles obeyed their father, Joe poured kerosene on the heap of tinder and lit a match. As soon as Joe saw the flames leap up, he scurried from the barn. “Go on back!” he ordered, shooing the boys farther out into the field. “You’re too close!” The three of them stood far away from the barn and watched. ... and watched, and watched, and waited. Nothing happened. After about ten minutes, Robert sat down on the ground, which had been fall plowed, having large lumps of earth and vegetation turned up at ragged angles. Charles agreed that sitting was preferable to standing, and he, too, chose a slab of soil for a seat. Eventually, Joe followed suit. The three sat. The barn gave no sign that anything was occurring inside. A half hour elapsed. “I guess the fire went out,” Joe said, rising to his feet. He took a step toward the barn. At that very moment, there was an explosion with tongues of fire flashing heavenward from the shingled roof, and a hot wind from the blast rushed past Joe and the boys. Joe’s mouth hung open, while Charles and Robert laughed nervously. In only a little time, the structure had collapsed into itself and was a smoking mound of ashes. A few weeks later, a new Morton building of nearly the same size was under construction. It would serve as a barn to house Joe’s Herefords. Simultaneously, another new Morton structure was being completed near the house. It had three bays for vehicles and a shop along the east end. Many loads of white crushed stone were dumped and spread to make a circular driveway around a maple tree in front of the shop and garage. Workers were busy putting new shingles on the roof of the house. More workers excavated a deep hole by the new garage and shop. A large cistern was lowered into the ground, and a new well, pump, and water system appeared where none had been before. As the pages of the calendar were turned, crews connected a hot water baseboard heating system throughout the house. As the cellar was too damp for a new furnace, it was installed in the large space that would serve as both a kitchen and a family room. Meanwhile, as a member of the Tab Club, Robert ordered two books for a total of seventy cents: Lost Horizon and Flying Saucers—Serious Business. When they arrived, he read both avidly during spare minutes between houses and school. The Emerson brothers put in a wall to divide the old kitchen into a bathroom and an office hallway leading to a bedroom, and workers came to run new plumbing through the bathroom and the new kitchen. As sinks, tub, and other fixtures went in, the Emersons removed the front wrap-around porch and built a smaller porch in its place. They installed shelving in one of the closets, a long row of kitchen cabinets, and an equally long countertop. They shored up the enclosed porch across the west side of the house; it had been sagging. Then they put in new combination storm windows and screens in all the windows. During these improvements to the home, Joe was busy giving the house two coats of white paint. When they were home from school and not doing chores at the old farm, Charles and Robert were helping Joe with their paint brushes. Eventually, the time arrived when Milt Dowden could begin working. The house had been ordered from the Sears catalog in 1903, and it had pretty woodwork typical of the time period. Ever so patiently, Milt stripped the old shellac from the interior trim and doors and gave every inch of the woodwork new coats of glossy varnish. Ida had chosen various wallpapers for the rooms, and Milt, who was an expert at hanging paper, went to work as soon as crews had finished replacing all the electrical wiring, switches, and outlets. The house began to smell new. Joe tied numerous chains around a small unpainted building that was leaning directly behind the house. He connected the chains to the drawbar of his biggest tractor and slowly pulled forward. The building straightened. Joe parked the tractor, and he and Robert demolished the north end of the building and covered the back of the two-story structure with sheets of exterior plywood that they cut to fit and nailed so there were no gaps. Then the building received several coats of white paint. More months were devoted to hauling belongings to the new home. For the purpose, the good and faithful GMC pickup was sold and a new 1967 Chevrolet pickup purchased. Robert hated to see the GMC go, but the bright red and white Chevrolet would prove to be a dependable vehicle with many sensible features. Joe carefully planned the order in which to transfer things to “the Williams place,” as he still referred to his new farm. One day, a shiny white telephone appeared in the office hallway. It was the family’s first phone. The party line was shared with the Turner family that lived on the opposite side of the gravel road a mile to the west of the Williams place. Finally, an evening arrived when Joe, Ida, Charles, Robert, and Spot went to bed in the new house. Ida established a new rule: Spot was to sleep on a dog bed in the parents’ bedroom and never to occupy the bed in Robert’s room. Robert was too tired to raise any objections. That night, Robert was awakened when Spot jumped up on Robert’s bed and lay down at Robert’s feet as Spot had always done. Ever after that night, the terrier would start out on the dog bed that he pretended to accept. As soon as he heard snoring, he would quietly leave, go to Robert’s room, and jump up where he belonged. When Joe would awaken before dawn and would make a cup of instant coffee, Spot would jump down again and join Joe in the kitchen. Joe never told Ida that Spot was spending most of each night at the foot of Robert’s bed! On the first morning in their new home, Robert awakened to find the sun just peeping above the horizon, its beams lighting the new wallpaper in Robert’s room. He swung out of bed, put on his slippers, and went to the kitchen and family room. He sat cross-legged on the sofa with Spot next to him and chatted with his father. Charles was still in bed. The rays of sunlight pouring through the windows gave Robert a hope similar to that which he would feel again on Easter morning that year, as the family drove to town to attend services at the Methodist Church. His hope felt precarious, though, as if it were built upon a shaky foundation. The televised news covered assassination after assassination. The times were becoming an age of assassination. It felt to Robert as if murder were undermining law and order. On this first day in the new home, Robert remembered his Great Aunt Margaret, who had passed away in March of the preceding year; he regretted that she had not lived to see the new home. She had lingered only a few days in the hospital. As she loved Boston terriers, Robert had made a sketch of one on a card that his mother had taken to Aunt Margaret, who was allowed few visitors. Ida later reported that Aunt Margaret smiled when she saw it. Several years earlier, Aunt Margaret had leaned over Robert while he was working on a pastel picture, and she had laughed, “I don’t know how you do that! I can’t even draw a straight line.” Now, in intensive care at the hospital, Aunt Margaret was unable to speak, but she could still smile. Ida had brought home the card in her pocketbook. She returned the drawing to Robert, and he kept it in his nightstand. When Ida arose and began frying eggs on her new range, Robert felt surrounded by love and sunshine. His father and mother had provided such a pleasant new home for the family! When Charles came to the breakfast table and Joe said grace, the morning was complete. Chapter 16: The Old House The birthday gift that Joe presented to Ida in 1968 was a set of tickets for the family to laugh along with comedians Jerry Stiller and Anne Meara in the Edward C. Elliott Hall of Music at Purdue University on May the 11th. To Robert, one of the funniest moments occurred when Anne walked down the steps into the audience, sat in the lap of a gentleman wearing a mustache, and said, “Do you know there’s a wooly worm crawling across your face?” Before leaving the farm in Pine Village, Joe had sold the Holsteins—all but Buttercup, who had grown to quite an old age and had passed away shortly before the move. It took Joe, Charles, and Robert a long time to dig a hole that was large enough for her to receive a decent burial. Joe had decided not to spend the fortune required to build on the Williams place a dairy barn conforming to the federal regulations recently enacted to ensure cleanliness of milk: hence, the loss of his small Holstein herd. Robert still had his string tie topped by a Cloisonné Holstein to serve as a reminder of the family’s sweet-tempered dairy cows. Robert felt sorry to leave the old house that had sheltered his ancestors for two generations before he was born and had watched over his immediate family. He took a last look at the front porch, scene of so many conversations and so much laughter. He looked along the line of the white board fence. He took the time to say silent goodbyes to all the trees, including the giant catalpa by the road. Then he turned to see the tennis court and basketball net that the school had added a few years earlier. There, Joe, Don, Charles, Robert, Matt, and Lon had played basketball together. Joe had made his last examination inside the house and had concluded that nothing was being left behind by accident. He and Robert then slid onto the front seat of the nondescript Bel Air and drove away for the last time. Robert’s father was pensive. Joe had not slept well in the new home. He felt cut off from the town that had been his secure haven all his life. He feared he might be making unwise decisions. Ida had been right: Joe felt homesick and scared. Meanwhile, Robert turned the new leaf. He was eager to discover where the story led. During his free minutes, he roamed the Williams place, taking the keenest interest in every feature. He studied raccoon tracks in the mud around the pools that the spring rains had made in the driveway winding back to the fields. He explored the line of hedge apple trees between Joe’s farm and the McFatridge farm to the east. He walked the perimeter of his father’s 115-acre farm that took the shape of a narrow rectangle stretching almost a mile to the north, where one corner touched that of the Brutus home place. He found gelatinous masses of frog eggs and mudpuppy eggs in the deep ditches along the gravel road. Behind the original garage—a small open-ended building made of corrugated metal—Robert inspected a set of wooden wheels rotting away in the undergrowth not far from the slough that the Pekin ducks were enjoying. Suddenly, he discovered a large cocoon of a silkworm moth. It was hanging from a ragweed stalk. He saw nothing to suggest that the pupa inside was not viable. He carefully broke the stem and carried the cocoon to his room. Within a few days, one of the largest luna moths that Robert would ever see emerged from the cocoon and hung suspended until its pale green wings, measuring a full five inches across, had expanded and dried. It seemed to have captured moonlight in its coloring. The summer felt uneasy, culminating in rioting against the Vietnam War by protesters in the streets and parks of Chicago during the political convention there. Cultural changes were occurring at a fearful rate, as could be heard in the music that young people liked, seen in the pages of glossy magazines, and witnessed in the news that the television proclaimed in dark tones each evening. Robert did not feel isolated from these events by living on a farm with the gentle breezes of sunny days and the gleaming stars of summer nights; on the contrary, he often felt that he was not isolated enough! One of the rare bright spots was the television coverage of the moon landing. After that, Robert looked at the silvery disc in the night sky and wondered. In the country, Robert could not spend a merry hour on his roller skates with the key dangling by a string around his neck nor squander a happy afternoon on his green Schwinn bicycle. He mused on these facts while he and Charles awaited the bus on a chilly fall morning. The only sounds were those made by Spot foraging among fallen leaves in the fenced yard behind them; otherwise, the world lay perfectly still. Robert thought back to the brief graduation ceremony acknowledging completion of eighth grade. He was now a freshman in high school, after all. For Freshman Dress-Up Day, the senior who drew Robert’s name for the initiation, wrote, “... I realized there was a need to let you know what you will be wearing. 1. Old coveralls with ‘69’ painted in red on the front and back part of the upper leg, 2. Workshoes, and 3. T-shirt with ‘Property of Seniors’ written on back. … Consider yourself lucky.” Robert did. Several of his classmates had to wear outrageous getups. Robert helped his father farm, and he spent evenings doing homework and practicing piano and clarinet. He decided he didn’t mind becoming an adult—which was inevitable—but he missed his skates and his bike. From far away to the east came the hum of the motor and the crunch of the tires on the gravel. Glen J. Brutus was driving the school bus. In anticipation, Charles and Robert edged nearer to the road. Eventually, the bus approached but did not slow down. Just as Glen passed the boys, he put on the brakes. Charles and Robert hurried down the road to the west, where the bus had come to a halt. Glen’s smile was infectious. “I can’t get used to stopping back there,” he said to the boys, as they took seats near the front. Frosty gray fields stretched to either side of the byway. Glen had to make only a few more stops before reaching the school. Robert looked forward to his English class, for he loved to read and fancied himself a writer. Band rehearsal likewise captured his attention every bit as much as English inspired his imagination. Mr. Davis had moved away, and Mr. Tony Boots had taken over the baton of the Marching Pine Knots, who marched in sock feet on the basketball floor during the halfway point of the home games. The school was too small to host a football team, even though the town was known for having had a famous community football team in the early years of the sport. That team of yesteryear made national news. The legendary Olympic athlete Jim Thorpe carried the ball for Pine Village. In 1914, Pine Village beat an Indianapolis team by a score of 111 to 0. As the manager of the team, Claire Rhode, one of Joe’s relatives, began hiring top athletes from Purdue University, Indiana University, Notre Dame, and the colleges of Wabash and DePauw to play a few games as members of the Pine Village team, which was undefeated from 1903 until 1916. The famous Pine Village team was an independent organization that would be called a pro team today. On the 20th of December in 1971, Robert would publish a story in the Pine Village High School newspaper, which he would serve as editor. Entitled “Football Was Alive Here Then,” his article would feature his interviews with his great uncle Charles “Charlie” J. Rhode and Eli Fenters, who played for the team. The title of Robert’s article would be a quotation from Great Uncle Charlie. What must it have been like to play a game shoulder to shoulder with Jim Thorpe? Thorpe played one game for Pine Village, which defeated the Purdue All-Stars by a score of 29 to 0. An anecdote often repeated when Robert was growing up might have been based on fact. Supposedly, Thorpe complimented Eli Fenters as the best “natural quarterback” Thorpe had ever encountered. In Robert’s time in junior high and high school, where would there have been enough boys to form a football team? So the band’s halftime shows occurred noisily indoors on the basketball court. Music filled the life of the family. On the 4th of December in 1968 in the Edward C. Elliott Hall of Music at Purdue, Joe, Ida, Charles, and Robert heard the Man of La Mancha with David Atkinson, who replaced Richard Kiley on Broadway, performing along with the national touring company. The rousing themes inspired Robert. One of his defining characteristics, after all, was to entertain apparently impossible dreams. On the weekend, the family drove to Lafayette for Charles and Robert’s piano lessons. Miss Beegle had abandoned her studio at Allen’s Dance Studio and had begun teaching from her home, where she had two grand pianos side by side. While Charles had his half-hour lesson, Robert crossed the street to the public library, an impressive building with a long flight of stairs. He passed the circulation desk and entered the open stacks in back. He walked straight to the shelf containing all the books that Hoosier author Gene Stratton–Porter had written, and he selected them one by one, until he had read most of them. He always took a seat in one of the deep window sills on the north wall of the stacks and eagerly opened his book. One of his favorites was Moths of the Limberlost, a nonfiction title boasting many photographic prints that Stratton–Porter had painted by hand in spectacular color. Gracing the pages were luna moths of the same moonbeam hue that Robert had witnessed. Many other large moths in dazzling tints were fully represented. At the end of thirty minutes, Robert put the book back where it belonged, crossed the street again, and entered Miss Beegle’s lovely Victorian home for his music lesson. “We’re going for Big Macs,” Joe announced when he and Ida picked up Charles and Robert on the sidewalk in front of Miss Beegle’s porch. Joe drove over the Brown Street Bridge and into the McDonald’s parking lot. The family took a booth while Joe ordered for everyone. Soon, he came carrying a tray filled with Styrofoam boxes. Even though the new, large sandwiches caught the eye, Robert could not be sure if he preferred a simple hamburger with plenty of mustard. Next, the family bought groceries at Smitty’s. Into the cart went milk and butter because there were no more dairy cows at home. Then there came the eighteen-mile drive back to the farm. Robert liked lying down, so that he could see only the treetops. He would call out to Charles the landmarks that Robert thought the car was passing, and Charles would confirm or deny Robert’s guesses. Catching the Goose Creek Bridge was easy to infer from the sound of crossing, and naming Indian Hill was simple to do from the motion of the car slowly winding around the steep slopes, but the long stretches through the flat countryside were challenging. “Are we near the road to Otterbein?” Robert would ask. “Nowhere near it,” Charles would state matter-of-factly. Robert would wonder where he was on the road that linked the city of pianos, libraries, Big Macs, and milk cartons to the country of moths, mudpuppies, frosty fields, and shimmering stars. Chapter 17: The Spray Across the gravel road from the new house were open fields, but a small group of trees broke the level line of the horizon. Robert yearned to investigate them yet felt constrained by the sense that he might be trespassing on neighbor Agnes Moore’s farm. He thought, “If I were to ask her permission to walk among the trees, she would wonder why I asked.” Accordingly, Robert kept denying himself the opportunity to visit the copse, until a day arrived when he could no longer resist indulging his curiosity. Sneaking across the road, down through the shallow ditch, and over the freshly plowed surface of the field, Robert glanced from side to side. Neighbors could be seeing him, it seemed—when, in all likelihood, no one saw him. The nearest neighbors occupied farmhouses spread far apart along the road. Out of breath from the exertion of scurrying through plowed ground, Robert dashed through the verge of last year’s weedy growth and plunged into the darkness of the wooded area. It was as circular as if measured by a surveyor. It sloped ever so gently toward the middle and may have been a ten-acre sinkhole or, at least, a damp saucer-shaped depression formed by an underground spring. The trees were a mixture of willows and cottonwoods. A few of the latter variety boasted enormous trunks. The limbs formed only a partial shade, as they were just leafing out. The tiny wildflowers called “spring beauties” carpeted the ground among the roots. Then Robert chanced upon a circle of cardinal feathers. The red tufts fairly glowed among the willows. They may have been left by a farm cat, but they formed an exact circle with every feather perfectly placed! Robert felt a sense of awe. It was as if he were seeing a symbol intended for his eyes alone. What was its meaning? Robert quietly withdrew. Long after his moment in the woods across the road, he regarded the spot from afar and considered it an example of the Creator’s attention to detail. When disking the earth, Robert occasionally glimpsed a red fox skipping home, its fluffy tail, almost as big as its body, flying behind and its dark legs flashing like a gentleman’s tall boots during Great Britain’s Regency Era. The white of its cheeks and chin only emphasized the fox’s slight grin, amused at its own cleverness, probably. In moments, the fox vanished amid the tangle of weeds wrapped around the trunks of the venerable hedge apple trees. Once on an ominous night in the spring, Robert shook Spot’s leash, and he came running to go for a walk beyond the fenced yard. Spot and Robert set out toward the north past the security of the house, barn, and outbuildings. They took the well-beaten path that the tractors took beside the fields. The wind came in long exhalations that could be heard far off before it could be felt. The air was chilled but not frozen. As Robert’s eyes adjusted to the darkness, he saw small gray clouds scudding overhead. They appeared to be so low that he could touch them. Now and then, Spot tugged on the leash, and Robert quickened his pace to keep up with him. Spot was having the time of his life, turning his head from side to side, sampling the smorgasbord of smells low to the ground. After a time, they reached the back of the farm. Spot wanted to explore the hedgerow, so Robert followed him as Spot trotted toward the gnarled trees. Suddenly, they heard a growl. “Fox,” Robert thought. Instinctively, he grabbed Spot around his belly and lifted him to his chest. As the moon broke from behind clouds, Robert saw the ghostly white of the fox’s face staring from the underbrush. Robert backed slowly away. The fox began taking slow steps toward Robert and Spot. Just then, they heard a yipping and yelping that could only be from kits. Sure enough, four pups came tumbling out of the weeds to prance around the legs of their mother! Robert kept backing up until he was in the center of the freshly plowed field. Keeping his balance was tricky, as the clods were tilted wherever the plowshares had left them. Growling continually, the mother fox followed Robert and Spot to a distance of perhaps thirty feet from her den. Abruptly, she whipped around and ran back among the trees, her cubs leaping and tumbling about her in what they perhaps perceived as a game. Robert breathed a sigh of relief. Walking back to the house, he traversed a considerable distance before he thought it was safe to put Spot back on the ground. Soon after Robert and Spot’s encounter with the foxes, Ida got up from the easy chair in front of the television, opened the door to the enclosed porch, and walked to the outside door to let Spot back in from his time in the yard. The terrier came running into the house. So did Ida. “Joe, bring me the ketchup bottles from the box on the stairway while I grab the dog.” “The new bottles?” Joe asked. "Yes, the new ones!" Ida replied, lifting Spot from the sofa where he was rubbing himself on a blanket. She carried him into the bathroom. Joe went to the door that stood above two stair steps at the far end of the kitchen. Behind the door were triangular stairs that turned sharply to the left to meet regular stairs leading to the second floor, half of which had been finished as a spare bedroom but which was used as an unheated storage area. Whenever Joe and Ida went grocery shopping, they stashed extra purchases on the triangular stairs behind the door. Joe reached into a cardboard box and lifted out two ketchup bottles. Having no idea why Ida wanted them but trusting her judgment when she called for them, Joe carried them toward the bathroom. He knocked on the door. "You can come on in," Ida said. "I'm giving Spot a bath." No sooner had Joe opened the bathroom door than he knew what had happened. A skunk had sprayed Spot. "I guess he cornered the skunk and didn't know how skunks retaliate," Joe said, trying to catch his breath. "What does the ketchup do?" "I've always heard that, if you wash a dog in ketchup, it takes away the skunk odor," Ida said, rinsing lather from Spot's neck. "Either the skunk missed his eyes or Spot closed them in time." "I don't think the skunk missed anything," Joe said. Ida twisted off the cap and, with the flat of her free hand, began smacking the neck of the first bottle held sideways with her other hand. After only a few smacks, ketchup rolled out onto Spot's back. "Pound and pound the ketchup bottle. First a little, then a lot'll," Joe said. "When you strike the bottle on the side," Ida explained, "the ketchup comes out faster than if you hold the bottle upside down and shake it." She massaged an entire bottle of ketchup into Spot's short hair. She rinsed him off, ran the water down the drain, stopped the drain, brought up the water level again, and opened the second bottle, dispensing it and rubbing it into his fur for many minutes. After she rinsed him, she shampooed him, rinsed again, and dried him with towels. Joe had returned to the kitchen. Here came Spot on the run! He rubbed his head along the bottom of the sofa, jumped up, and rolled and rolled on the blanket. “Pee-you!” Ida said, after she disposed of the towels in the galvanized washtub on the side porch. She looked at Spot; then she looked at Joe. “I don’t think the ketchup worked well enough,” she said. “I wasn’t going to say anything,” Joe said. Ida thought for a minute. “Joe, go down to the cellar and bring up a gallon of stewed tomatoes.” Joe was happy to do as he was told because, as bad as the air outdoors smelled, the skunk odor was not as strong outside as it was inside the house. Joe lifted the cellar door, which was on an angle near the fern bed that surrounded the tank holding the oil that heated the furnace. He disappeared into the dank cellar and soon emerged again with a big glass jar cradled in his left arm. Meanwhile, Ida was washing Spot in the bathtub. As soon as she received the open bottle of stewed tomatoes that Joe handed her, she began sloshing them over the terrier. GLUG GLUG GLUG! The tomatoes rolled out. “I hope you won’t mind my asking,” Joe said, “but how will the tomatoes go down the drain afterward?” “Not easily, Joe,” Ida said. “Not easily! I’d already thought of that. I’ll scoop them out with a sieve and throw them outside.” “I knew you’d have it all thought out,” Joe said. Robert had been doing his homework in his room. He had heard the initial commotion, including his mother’s request for ketchup, and had paid no attention to it. Soon enough, though, he had begun to sense the sickening odor of skunk. He had hoped it was coming from outside. His hopes had sunk. He had heard enough of the ongoing conversation between his parents to know that Spot had been the target of a skunk. The tomatoes were not totally effective, either. Ida tried dish soap. Eventually, she released Spot from the bathroom again. Ida was carrying an armload of towels destined for the washtub. “Any luck?” Joe asked. “No,” Ida sighed. “He still stinks. He’s better than he was, but he still stinks. I can’t wash him again without hurting his skin.” She was right about the stink. For the next few weeks, Spot exuded a skunk odor that was just about intolerable, and, for a year, whenever Robert pet the dog, a little more of the skunk stench was released somehow. About a month after the spraying incident, Mrs. Bowen came to visit Ida. Mrs. Bowen’s name was Irene—a name Ida never used, preferring to call her “Mrs. Bowen” at all times. Mrs. Bowen sat on the sofa. “When did a skunk spray your dog?” Mrs. Bowen asked. Ida blushed. “Why?” Ida asked. “Can you smell it?” Mrs. Bowen smiled. “How could I miss it?” she laughed. “It smells like you’ve been raising a skunk in here.” Ida blushed a deeper shade of red. “Let me guess,” Mrs. Bowen said. “You tried to take out the smell with tomatoes.” “How did you know?” Ida asked, sinking limply into her easy chair. “It’s what everybody says to do,” Mrs. Bowen answered. “It’s too bad you didn’t call me,” Mrs. Bowen said. “I could’ve set you straight. Judging by the smell, I’d say your dog was sprayed about a month ago. Well, it’s too late now. You should’ve used cider that’s turned to vinegar. That’s what takes out the smell of your skunk! ‘Tomatoes,’ everybody says. ‘Tomatoes, tomatoes!’ Phooey on your ol’ tomatoes! They don’t do any good, unless they’re pickled in vinegar. And cider that’s turned to vinegar works better than regular vinegar.” “I wish I’d known,” Ida said. “I wish you had, too,” Mrs. Bowen said, “‘cause that skunk has sure managed to stink up your house by spraying your dog.” “May I get you a glass of iced tea?” Ida offered. “Yes, you may, and I’ll take a clothespin for my nose, too.” “Oh, my!” Ida lamented. “Is it really that bad?” “No,” Mrs. Bowen said, shaking her head and chuckling. “It’s worse. Maybe we could bottle skunk spray and sell it to people who don’t like the smell of hogs. Our advertising could say, ‘Take a whiff of this, and the hogs won’t smell so bad.’” “Joe says hogs smell like money,” Ida said. “Beauty’s in the nose of the beholder,” Mrs. Bowen quipped. “There’s more truth in that than meets the eye,” Ida retorted. “Let me get you that iced tea.” “And the clothespin!” Mrs. Bowen called after Ida, who had gone to the refrigerator. A few days later, Mary Akers stopped by for a chat. When Ida saw Mary’s car pull into the driveway, Ida grabbed the Glade aerosol spray and practically hosed down the sofa before stashing the spray can behind the letters on top of the dish cabinet. “Hi!” Mary said. “I can’t stay long, but I wanted to stop by to tell you about the hotdogs at Kmart.” Mary sniffed the air, while Ida tried hard not to look guilty. “If I didn’t know better,” Mary said, “I’d say you just sprayed Glade to cover up—” Mary sniffed again. “To cover up skunk!” “Mary, a skunk sprayed Spot, and I don’t know what to do,” Ida confessed. Mary laughed so hard her sides hurt. “I don’t think there’s enough Glade in your can to hide the skunk smell,” Mary finally said. “Did you try tomatoes?” “Yes,” Ida said. “I wasted a perfectly good gallon of my stewed tomatoes.” “How long ago did this happen?” Mary asked. “A month ago,” Ida said. “There may be nothing you can do but wait it out,” Mary suggested. “That’s what I’ve been doing, but the smell lasts and lasts. It’s still coming out of Spot’s hide,” Ida said forlornly. “Maybe the trick is to rub our noses with tomatoes!” Mary suddenly exclaimed brightly. Ida laughed. Spot was never sprayed by a skunk again. Joe wondered if Spot had encountered more skunks but had given them a wide berth. Chapter 18: The Art Class It was an exciting day! Ida had just bought a new pocketbook at Sears. It had plenty of room! There was even a place to stick her crossword puzzle books! Best of all, it was bright red! Ida had purchased the masterpiece of consumer art while she was waiting for Charles and Robert to take their block printing class at the Art Museum in Lafayette. Ida had enrolled the boys in the six-week course that had begun just after school was out. The boys’ instructor was an expert at woodcuts and was slowly making a cut the size of a small table top that depicted a European cathedral. He taught the class of youngsters to make linoleum cuts. Ida had obtained the necessary supplies at the bookstore near the Purdue campus. There were slender boxes that contained wooden handles into which various knives could be inserted. Some of the knives were straight; others were curved. There were tubes of special ink in black, red, and green. There were brayers to spread the ink on a surface such as a glass pane until the ink became tacky enough to roll onto the linoleum block. Then there was the linoleum. It had presented a problem initially. The instructor had called for the students to acquire battleship linoleum—so named because it was used on battleships. While many homes had flooring of battleship linoleum, Ida had a difficult time finding any. Ultimately, she purchased a big roll from a flooring store in Lafayette. It was dark green. The boys looked forward to art class each week. The instructor gave just enough explanation and then let the students work at their own pace without much intervention. Robert was making a horizontal rectangular piece measuring about eight inches by six inches that he called “Four Faces.” He had designed four profiles overlapping in a row, each different from the others. The faces were modern—not all the way to Picasso but getting there. For surfaces of the cheeks, chins, noses, foreheads, and necks, Robert used various knives to form lines, dashes, dots, and circles. The knives removed material from the linoleum, which was backed with a coarse burlap weave. Even though the linoleum was thick, the knives were so sharp that they could cut all the way through to the backing. The trick was to cut away enough linoleum that the ink would become applied to the “hills” and not the “valleys”—without cutting past the linoleum and into the burlap. Sometimes a “valley” was shallow, and the ink would touch ridges in the valley. The resultant print would have lines showing the tops of the ridges. Making the prints was fun! When a student was ready to print from a finished block, he or she rolled the ink on a large glass surface with a brayer until the ink became so tacky that the brayer would hiss each time it was rolled along. Next, the brayer was rolled onto the linoleum surface to apply ink in a thin but substantial layer. The student then carefully placed a sheet of fine quality paper, cut to a size somewhat larger than the linoleum block, onto the block. The paper could not be moved, once it had touched the ink. The student then rubbed the bowl of a teaspoon around and around on the paper with just enough pressure to transfer the ink from the linoleum to the paper without damaging the paper. Ultimately, the paper was peeled off the linoleum, thereby revealing the art. Robert was always intrigued at how different the art looked from what he had carved. The picture was backwards from the one he had been cutting with the knives! On the day that he made his first print of “Four Faces,” he laughed to see them looking in the opposite direction. The instructor came by and said, “Your faces are very good. What do they represent?” “They are facets of one person,” Robert said. “The first face is the one everyone sees. The next is the one only loved ones see. The third is the one that only the person sees, and the fourth is the one that God sees.” “Well!” the instructor said, nodding, with the thumb and forefinger of his hand on his chin. “I like your explanation! Good!” The instructor walked on. Several prints could be made from one application of the ink, but, eventually, the ink would become patchy. More ink had to be applied to continue the print making. The instructor taught the students to number their prints in pencil with a first number indicating the application of the ink, a slash mark, and a second number representing the print made from that application. So 2/4 would mean the fourth print taken from the second ink application. Working in the presence of other artists gave Charles and Robert the opportunity to witness the expressions of creative minds. The works of art ranged from masterly to spontaneous. The boys waited for their mother outside the Art Museum’s new addition that held the classrooms and studios. When Ida drove into the parking lot, Charles and Robert dove into the seats for the ride home. They showed their mother that day’s prints, for which she had only praise. Once they were home, Robert took a seat at the kitchen table while Ida set her old pocketbook beside her new one and began piling the contents of the old one in a heap in the middle of the table. “What will you do next week?” Ida asked Robert. “I need to cut out a few of the areas a little more so the ridges don’t show in the print,” he replied. “Then I get to print again!” Absent-mindedly, he was looking over the items that were rolling downhill from the mound of materials that could never have fit inside the old pocketbook! A Revlon red lipstick in a brassy gold cylinder almost cleared the edge of the table. Several Bic pens and at least one Sheaffer cartridge pen spun this way and that. There were pencils galore, most of them with no eraser left! A brown and yellow tin of “Genuine” Bayer Aspirin slid down. Three hankies, somewhat crumpled but none the worse for wear, clung to the slope of the heap. A Stratton powder compact with mirror and a rose motif slipped out. A plastic bottle of Jergens hand cream and a jar of Noxzema cold cream came out (both headfirst). A baby blue wallet with a snap clasp fell heavily forward. Two pairs of sunglasses—one hopelessly tangled with a clear plastic rain cap with pink trim—lent their bulk to the pile. A small creamy white bottle with a dark coral cap cascaded to the back of the pile: To a Wild Rose by Avon. A stack of dog-eared crossword puzzle booklets fell topsy-turvy. Creased notes in Ida’s dashed-off handwriting stuck out at crazy angles from the booklets. Shopping lists and checklists caught Robert’s eye. Stacks of folded Kleenex tissues, with sheets of stamps adhering to them, tumbled out. A square squeeze-type coin purse advertising a crane service in Muncie did cartwheels. It by no means held all the coins in the pocketbook because pennies, nickels, dimes, quarters, and half dollars rolled every which way. Most of the silver coins were silver all the way through, but some were the new “sandwich” variety with the tell-tale copper edge. There were hairpins by the handful. An opened and somewhat sticky roll of Life Savers joined the accumulation. Somehow, a silver flashlight and a pair of nail clippers were in the mix. A tin of Band-Aid bandages appeared from deep down within the old pocketbook. A spare red vinyl belt uncoiled like a snake. Robert wondered why there should be a belt. Maybe you just never knew when you might need one? A Valentine’s Day card depicting a rabbit holding a carrot fell forward. “If you carrot all for me, be my Valentine,” the card proclaimed. Before Ida saw what Robert was doing, he turned the card over. In handwriting on the back were these words: “From Mr. Bunny to Mrs. Bunny, Love, Joe.” Robert stared at the words. He knew that his parents loved one another, but seeing the fact in handwriting was arresting. Ida glanced over. “Oh,” she said. “I forgot that was in there. I meant to put that in my drawer.” “Dad gave you a Valentine?” Robert asked. “Yes, as he does every year,” Ida said in a tone that was not without passion but was not overly expressive either. Robert smiled slightly. “Mr. and Mrs. Bunny?” he said. “Our names for each other when we aren’t talking to you,” Ida said, gently taking the card from Robert and setting it to one side. “Mr. and Mrs. Bunny!” Robert thought, trying to fit the concept within his comprehension of his parents. “We’ve always thought bunnies are cute,” Ida said. “When he was a boy, your father raised rabbits.” Seeing that Robert was still musing on the topic, Ida said, “If you ever had the least doubt that your father and mother love each other, you now know better: you know that they do and always will! And we love you and Charles, too. Just don’t let me catch you calling me ‘Mrs. Bunny’ or your father ‘Mr. Bunny,’” Ida burst out laughing. “I would love to see the look on your father’s face if you were to call him ‘Mr. Bunny’—but don’t you ever do that! Those are our names for each other, not your names for us.” Robert already adored his parents, but, with the revelation of the Valentine’s Day card, he now felt a reverence for them. Ida began stuffing the new shiny red pocketbook with all her necessities mounded so high on the table—including the card! Chapter 19: The Fossil Hunt A favorite family activity was fossil hunting. Joe, Ida, Charles, and Robert once visited the historic railroad cut in Madison, Indiana, and brought back enough horn coral and brachiopods to weight the car down on its springs. From Pine Village to Madison and back in a day meant a long time on the road. Joe never could stay overnight because he had to feed his livestock and would not ask a neighbor to help. One morning, Ida said, “Let’s go to southeast Indiana to find fossils,” and Joe agreed. A few days later, the family piled into the Pontiac Bonneville and drove and drove. Joe took State Route 52 through Rushville to Brookville, where they ate their picnic lunch before searching for fossils along the Whitewater River to the west of town. Finding little to keep them interested, Joe drove farther south and took State Route 1 along a creek that looked promising. Joe pulled onto a short stretch of country road, then onto what was little more than an abandoned farm lane that crossed a tiny bridge. “Let’s hurry before it rains,” Ida said. The sky had become cloudy. Gradually, the daylight dimmed beneath the heavy cloud cover. Joe, Ida, Charles, and Robert fanned out along the creek. The trilobites that they had hoped to find remained elusive. Suddenly, raindrops began pelting the creek. “I guess we’re going to be rained out,” Ida said, as everyone headed for the car. Robert had to sit in the rear seat—with Ida’s promise that he could switch to the front seat in Brookville. The mischievous storm quickly developed into a steady downpour. “Joe, we need to get back to the highway as soon as we can,” Ida said. “When I was growing up along the Ohio River, there were people that got caught in flash floods along creeks like this.” “I don’t think there’s any need to worry,” Joe said. He put the car in gear and steered it toward the low bridge he had crossed to reach a level place to park along the creek. In just that short a time, a raging channel of yellow clay and water was surging under the bridge and, at both ends of the bridge, had already crossed the driveway. Joe took his foot off the throttle. “Oh, Joe! Don’t stop now,” Ida warned, with a note of fear in her voice. "I don't think we should drive through water that deep and fast," Joe said. "But don't you see that the water is going to cover everything where we are? We have to get to the other side of that bridge!" Ida said, her panic escalating. Reluctantly, Joe inched the Pontiac forward into the current at the near end of the little bridge. Robert and Charles peered through the windows at the seething stream surrounding the car. "Hurry, Joe!" Ida said, tensely. She put her hand on the dashboard as if she were encouraging a horse to remain calm while attempting a dangerous feat. The car gained the bridge, but as much water was crossing the other end as the Pontiac had already cleared. Leaving the bridge behind, the car nosed back into the turbulent yellow stream. Ida began patting the dashboard nervously. Eventually, the Pontiac climbed out of the rushing water and turned onto the country road. Everyone breathed a sigh of relief. "I told you there was nothing to worry about," Joe said. "Oh, you know you were scared back there!" Ida exclaimed. "With a car this heavy, we weren't going to be swept away," Joe continued. "Why, I could feel the car rocking from the water!" Ida said, staring at Joe. "We nearly became one of those families that you read about in the newspapers: the ones carried off by a flood." "We weren't close to being 'carried off by a flood,'" Joe persisted. "You grew up where everything is flat," Ida retorted. "Maybe I know a thing or two about hilly country that you don't know." Joe reached over and patted Ida's wrist. "I'm just teasing," he said. "I think we were in some danger there. Had we waited a few more minutes, we might not have been able to drive out." "That's right," Ida said, barely placated. At Brookville, Joe pulled over, so that Robert could trade places with Ida. Robert was already experiencing motion sickness, but it slowly abated on the way to Rushville. Throughout the return trip, the rain fell in torrents. The drive to the Whitewater River was the family's last fossil hunt. Chapter 20: The Sophomore Year The year 1969 marked the fiftieth anniversary of the Warren County 4-H Club Free Fair, as the event was named in the catalog of contests. After the thrills of the week began fading away as memories, Robert anticipated his sophomore year at Pine Village High School. On the opening day, Robert met the new English teacher. As she wrote her name on the chalkboard with big letters and bold strokes, she said, loudly enough for all to hear, “My name is Miss Matthews—with two t’s!” She clacked the chalk beneath the two t’s in her name. With a freshly minted degree, Miss Matthews was teaching for the first time. She brooked no nonsense. And Robert learned so much about literature and writing from Miss Matthews that he would eventually earn three college degrees in those subjects! Before her, Mr. Cavanaugh, Mrs. French, and Mrs. Wilson had done their part to bring Robert forward in his understanding of English. Miss Matthews continued his education and brought him to the level of sophistication that would stand him in good stead for a long career. On that very first day, Robert sensed that Miss Matthews was the proverbial force to be reckoned with, and, thereafter, he dotted every i and crossed every t, including both t’s in Matthews. While Robert’s class slogged through Julius Caesar, Robert suddenly looked up past Miss Matthews, his eyes fogged over, and he pictured Shakespeare’s play as a farce. The tedium of inching forward through Elizabethan English melted away as Robert visualized comical scene after comical scene. He enlisted Dennis’ help, and, before long, a script, of sorts, had emerged. Mr. Boots readily consented to their request to use the Wollensak reel-to-reel tape recorder. It remained to free not only themselves but also various classmates from the study hall, so that recording could take place in the band room. As if the cosmos had been listening, Mr. Boots, the band director, volunteered to give Dennis and Robert signed hall passes, allowing them (and others) to spend study hours in the band department filing music. Given such an unlimited supply of passes, Robert, Dennis, and their cast of aspiring actors and actresses enjoyed ample time to record Julius Caesar, the comedy. One day, Robert and Dennis came to Miss Matthews’ class with the large Wollensak in hand. "Why do you have a tape recorder?" Miss Matthews asked, wondering if she should say "no" automatically or listen to whatever answer might be forthcoming. "We have a recording that pertains to our study of Julius Caesar," Robert replied. The tug-of-war in Miss Matthews' mind was visible on her face. Deciding to risk her classroom control, she said, "Alright. You can play it, but I decide when to shut off the machine." The class leaned forward eagerly as the stereo tape began to play. Again and again, laughter erupted. Miss Matthews kept saying, "Shhh!" but finally gave up. She sat at her desk, and—guess what?—she smiled! To her lasting credit, she smiled and smiled. Then she laughed! As funny voice after funny voice lent itself to a fractured version of Shakespeare's tragedy, Miss Matthews laughed hysterically. It was a triumph! After such a success, Robert chose to set an even more preposterous goal. Mr. John Taylor, coach and biology teacher, had a flat-top, a piercing stare, and a commanding presence. Mr. Taylor had a zero-tolerance policy regarding noise from elementary students. When grade school boys made too much of a racket in the restroom, Mr. Taylor banged open the door and stood like a gladiator ready for battle with a paddle in his hand. Had any student a pin to drop, you knew it would have been heard. In grade school, Robert had feared Mr. Taylor, but having taken Mr. Taylor's freshman biology class had convinced Robert that Mr. Taylor actually had a kind heart. As a sophomore, Robert and a senior named Ted put their heads together. Mr. Taylor was now the principal. Temporarily encumbered by a cast on his leg, he spent much of his day in a wheelchair. Ted was excellent at drawing souped-up sports cars, and Robert could sketch people's portraits. So the two of them created an oil painting of Mr. Taylor in a smoking, fire-breathing hot rod of a wheelchair leaving a trail of dust taller than the gym as he zoomed around the school! When Ted and Robert presented the painting to Mr. Taylor, Robert was fairly certain that Mr. Taylor would sentence them to hard labor; much to Robert's surprise, Mr. Taylor held the painting as if he had just won the Publishers Clearing House Sweepstakes! He was smiling! "You guys painted this? This shows real talent!” When he looked up at the artists, he had the merest hint of a tear in his eye! Mission accomplished! It was true that the lion had a heart of gold! Ted could play anything by ear on a keyboard, and he also performed on bass guitar. He played in a band named Bayou Inhabitance. Robert’s class booked the band for an evening’s entertainment on January 23rd, 1970, at a cost to the class treasury of fifty dollars. Ted and Robert created a poster with caricatures of the band members. Local musicians fulfilled many significant functions in Pine Village, as they had for generations. Samuel C. Fenton, born in 1877, may have been high strung, but he was a talented musician. On hot summer evenings, residents sat on their porches and listened to his melodious playing. He performed with several bands in northwestern Indiana. Ultimately, Samuel played cornet in the well-known band led by Arthur Willard Pryor, who had served as assistant conductor of John Philip Sousa’s band and who was a famous trombonist. Pryor composed “The Whistler and His Dog,” a popular concert piece. Eventually, Samuel split his lip and decided to forgo the cornet. He returned to Pine Village, where he gave piano lessons. Samuel’s first cousin, Charles Albert “Charley” or “Cobbie” Cobb, born in 1883, played several instruments. Charley organized his own band, known as “Cobbie’s Band.” Lena (Fenton) Rhode, born in 1884, a first cousin of Samuel and Charley, studied piano at the Chicago Conservatory. She served as pianist for the Methodist Church in Pine Village. In her seventies, Lena continued to play hymns, but the minister occasionally had to awaken her. Samuel, the trumpeter with the split lip, was married to Bessie Ogborn (1881–1967), daughter of Levi Ogborn. Samuel and Bessie had one daughter, Dorothy Fenton, who became an accomplished pianist. For graduation exercises way back in 1919, Dorothy joined Adele LaPlante in performing the “Poet and Peasant Overture” piano duet. Charles and Robert revived the “Poet and Peasant Overture” and played it publicly several times. The brothers wore matching polyester sports coats in a lizard green and pumpkin orange plaid. Charles was considering universities. The family had made a trip to Bloomington that Robert later recalled as hilly, wooded, and filled with limestone buildings, unlike the red brick structures on the Purdue campus. Charles selected Indiana University. Chapter 21: The Storm and the Show Joe, Ida, Charles, and Robert were watching a singing act on The Ed Sullivan Show in the kitchen that was also a family room while listening to the sleet, now like tiny shards of glass pinging against the windows, now like the tiniest brass bells sounding, and again like handfuls of sand being flung across the panes. Abruptly, the TV went dark, as did the house. Everyone sat silently for the moments necessary to come to the realization that the electric service had stopped. Joe summarized the now obvious fact: “Well, I guess our lights are out.” He set his teaspoon beside his coffee cup, and, as he could see neither, he struck the cup a loud blow. “Careful, Joe,” said Ida. He carefully scooted his chair back from the kitchen table and stumbled toward the Hoosier, where he opened a drawer and removed a flashlight. He went to the enclosed porch and returned with his Van Camp kerosene lantern, which he soon had lit. Charles borrowed the flashlight, went to his room, and slowly brought his Aladdin lamp with its mantle of hanging ash. The lamp made its way to the kitchen table without disturbing the delicate mantle. Charles lit the lamp, and, soon enough, the mantle was a brilliant star that nobody could look at without wincing. Charles gingerly placed the frosted glass shade over the lamp, and everyone breathed a sigh of relief. “No telling how long we’ll be without electricity,” Joe said. Back when the family lived in town, occasional lapses in the electrical service had occurred. One time, an ice storm caused a long delay. The lights came back on in the night. The next morning, Joe discovered that the hot wire was lying on the ground and that Spot had been jumping over it again and again as the dog patrolled the corners of the yard. The instances of being without lights were more frequent and more sustained in the country. Ida cut apples and sliced wedges of cheese for everyone; then she produced a card deck. Joe, Charles, and Robert gathered around the brightly lit kitchen table and played euchre. For a Methodist, Ida could sure play a mean hand of cards! Joe and Ida had belonged to the Euchre Club for many years. Quite often, Ida brought home the top prize while Joe earned the booby prize. During the blackout, Charles was Joe’s partner; Robert, Ida’s. "Pick them up, Robert. I'm going alone," Ida said more than once. From having played many times, Robert was well trained. He knew never to trump Ida's ace, and he always led the next suit of the same color. Ida and Robert won the first game. Joe and Charles wanted revenge. The euchre match continued in the light of the Aladdin lamp, until it was bedtime for the senior and the sophomore who had to board Glen J. Brutus' bus the next morning. "Well, Ida," Joe said, smiling and touching Ida's arm, "once again, you showed us how it's done." The electricity came back on in the wee hours of the morning. The next afternoon, Robert sat at the Yamaha piano and composed a short piece of music for the offertory. During his freshman year, Robert had become the principal pianist for the Methodist Church, and he liked scoring his own compositions for the time when the plates were passed down the pews. Ida walked into the living room. Drying her hands on a dish towel, she sat in the rocking chair that had once belonged to Grandma Rhode. "Have you decided whether to try out?" she asked Robert. The Delta Theta Chapter of Kappa Kappa Kappa had contracted with Jerome H. Cargill Producing Company of New York City to perform a variety show on stage at the Attica High School Gymnasium on April 3rd and 4th—with proceeds donated for a new Coronary Care Unit at the Community Hospital in Williamsport. The revue would sport the name Hello Follies!, a rather unlikely echo of the title of the musical Hello, Dolly! The director, Vance Henry, moved about the United States, rapidly training local talent to present a full-length program in two acts with an intermission, each town or city coining its own title. Henry was looking for a pianist. "I'm only a sophomore," Robert said. "The show probably needs somebody more professional." "I think you should go," Ida said. "It never hurts to try." "Alright," Robert said. Robert already had his driver's license: a fact that annoyed Charles, whom Ida had made to wait until his seventeenth birthday. With her second son, Ida was relaxing her caution. “You can take the Pontiac to your audition,” she said. Joe had purchased a used 1967 tan-colored Pontiac Bonneville. On Saturday morning, Robert drove from Warren County into Fountain County over the Paul Dresser Bridge crossing the Wabash River, lying peacefully in its broad floodplain, and toward the Harrison Hills Country Club in Attica, where Henry was holding a dance rehearsal in the Tudor Revival clubhouse. When Henry took a five-minute break, Robert introduced himself. “Oh, yes!” Henry said, holding his glasses in one hand and smoothing his dark hair back with the other. “I’m looking for a pianist who can play the scores effectively. Take a seat at the piano.” He opened a rehearsal binder to the chorus of Rodgers and Hammerstein’s “Shall We Dance?” Robert began the song. After only a few notes, Henry exclaimed, “No, no! The tempo is faster.” He cradled a clipboard against his argyle cardigan and smacked it with a pencil like a noisy metronome. He sang, “Shall … we … dance, bu—bump bump, bump, on a bright cloud of music shall we fly, bu—bump bump, bump.” “That’s a little too fast,” Robert thought but said nothing. He began again, holding to Henry’s speed. “Better!” Henry said, tossing the clipboard onto the piano. He commanded, “Now, jab it more! BU—BUMP BUMP, BUMP!” Robert obeyed. “Louder!” Henry ordered. Robert did as he was told. “That’s great!” Henry interrupted. “You’re my pianist. Kay will give you a rehearsal schedule.” With that, Henry spun on his heel and walked briskly away. Robert caught up with him. “Do you mean that I will accompany rehearsals but someone else will play the shows?” Robert asked. “No!” Henry exclaimed in the tone of a director with a million things on his mind. “You’ll be the pianist for the shows.” Robert walked back to the piano, closed the binder, and took it with him. For rehearsals at Attica High School on school days, Robert drove to the drive-in on South Council Street to have a quick hamburger. He felt very grown up to be eating on his own. After gulping down dinner, Robert drove on to the school. Seating in the gymnasium stood taller than what he was accustomed to in the gym at Pine Village. To Robert, the gym in Attica felt cavernous. He wondered if he would be nervous when all those seats were filled. The performers were devoted to doing their best. One fellow, though, worried Robert. The gentleman, who had chosen to sing a solo, had an uncertain sense of rhythmic exactness. Robert could not predict what might happen. The pit orchestra sounded professional, and the sets and costumes were all they needed to be. The audiences were huge. For both performances, the gym was packed. Robert felt a healthy nervousness—not the fatal kind—and, the moment he began playing “Shall We Dance?” with the BU—BUMP BUMP, BUMP, his confidence banished all anxieties. On the evenings of the shows—to Robert’s great relief—the singer with ambivalence about where the beats should fall turned in creditable performances. Talent in music ran deep in the class ahead of Robert’s. Becci, Jill, Darci, Dia, Debbie, Gail, and Betsy formed a singing sensation known as “The Farmers’ Daughters.” By their senior year, their rendition of the 1941 hit “Chattanooga Choo Choo” was equal to the best anywhere. The Farmers’ Daughters brought top-notch musical entertainment to audiences in many towns and cities of the region. Had the singers been discovered—and had they recorded an LP—they easily could have gained a national following. Like Big Pine Creek, music flowed through Benton, Warren, and Fountain Counties. From the heartfelt singing in the churches on Sunday morning, through the school bands, to the garage ensembles, to the homegrown performers whose talents and abilities rivaled the best on television, Pine Village’s fields were alive with the sound of music. Chapter 22: The Snow and the Neighbor A winter came with snow that would not quit. Relentlessly, layer was added to layer with no single storm that would qualify for the record books but with freezing temperatures that permitted the snow to deepen inexorably. Joe, Charles, and Robert trudged through narrow pathways to the barn to feed the cows. Although there was still plenty of water in the tank for the cattle to drink, Joe hoped there would be a break in the weather soon, so that he could start the Minneapolis–Moline Z and haul water from the well by the house to the tank beside the barn. School was cancelled … … and snow kept falling. Now no pathway existed. Only a shallow depression in the snow … A day dawned bright and cold. Joe had just entered the house from the enclosed porch, where he had removed his boots and the first of two denim coats. He was still wearing one denim coat and his cap with the earflaps down. His nose and cheeks were rosy. “Here’s something you won’t see every year,” Joe said to Robert while turning on the burner beneath the tea kettle and meticulously measuring instant coffee into a cup. “What’s that?” Robert asked, looking up from reading Macbeth. “Just come outside with me and take a look—after I warm up with a cup of coffee.” While Joe sipped his coffee from a teaspoon, Robert wondered what was so extraordinary that his father wanted him to see it. When Joe was ready to venture back outside, Robert donned his heaviest winter coat and his stocking cap. He put on his boots before stepping from the enclosed porch into the wintry landscape beyond the door. With an effort, Joe and Robert plodded in front of the shop building, their boots descending through only the top layers of snow and coming to rest precariously on lower layers. “Well, what do you see?” Joe asked. Robert squinted against the light reflected from the whitest of snows extending to an indistinct horizon of blowing glitter. “Nothing,” Robert replied. “Just snow.” Robert glanced at the maple tree and at the openings into the old garage appearing to be two small caves in a mound of snow. “Nothing,” he repeated. “That’s right!” Joe said. “Where are the fence posts?” Robert turned toward where the road and the posts along it should have been. Nothing indicated that a road lay beneath the snow, and the posts had vanished. For a split second, Robert thought of asking where the posts had gone, but then he realized that they were under a blanket of snow. He could walk on snow above the fences! “Wow!” was the full complement of his response. If Robert half closed his eyes, he could detect slight waves and ridges formed by wind in the snow’s surface. “Seldom does the snow get so deep that the tops of the fence posts are hidden,” Joe commented. Several days passed. One morning, Robert looked through the picture window and saw a line of raisins through the snow. Suddenly, he realized they were not raisins but the tops of the posts along the road. The snow was melting! Later—precisely when all that snow melted—the spring rains poured down as if the heavens were giant water bags that had burst. School was cancelled … … for mud! Rain kept falling, transforming the gravel roads into impassable corridors of mud. Vehicles mired and were abandoned. During a deluge, Robert stared through the picture window. The widely spaced creeks and ditches in the flat land could not carry away the water fast enough, and the house, shop, and old garage appeared to be on an island in the middle of a lake. The Rhode family’s nearest neighbor was Agnes Moore. She was in her eighties, but she enjoyed complete mobility and was so active that she seemed much younger than her years. Every sunup, except on the coldest days of the winter, she walked briskly down the gravel road with her black Spaniel, Lady, by her side. In the stillness of daybreak, Robert heard Agnes’ footsteps crunching the gravel road. “Agnes is up,” thought Robert. Along with playing piano for the Methodist Church, Robert worked with the Vacation Bible School. Agnes served as an instructor. Each morning, Robert picked her up and drove her to the church. Agnes taught the youngsters to make churches by gluing Popsicle sticks to milk cartons. Meanwhile, she and Robert designed a more elaborate structure of their own. After a few days of diligent gluing, their Popsicle church was a veritable cathedral! At about the same time, Agnes called Joe to ask him to use her gun to drop raccoons that Lady had treed in Agnes’ apple orchard. Robert thought, “A lot of good that will do! Dad doesn’t know anything about guns.” Ida did not permit guns on the farm, as she was afraid of accidents involving children. Joe walked up the road to Agnes’ farm. Soon, Robert heard two light reports of a gun, so he thought he might as well go to see if Dad had had any luck. Robert met Agnes and Joe at her door. She was putting her gun away. “I heard only two shots,” Robert commented. “That’s all it took,” Joe said. Seeing Robert’s look of amazement, Agnes asked, “Don’t you know that your father has always been a crack shot?” Robert felt like Scout learning about Atticus Finch in To Kill a Mockingbird. Back when Joe was a lad, he trained himself to be an excellent marksman. Given Ida’s proscription against guns, Robert had had no cause to discover Joe’s skill. Agnes provided another link to Joe’s past, for she had remembered his ability with firearms. Agnes was also a link to the community’s future through the lessons she taught to the children in the Vacation Bible School. Little by little, Robert came to appreciate how remarkable Agnes was and how fascinating her life had been. Robert came to learn that she and her husband, who predeceased her by many years, had built the tidy house that Robert often visited. Overlooking the kitchen on the ground level was a higher living room accessible by a few steps and bordered by a neatly turned railing. Until Robert discovered that Agnes and her husband had planned and constructed their house, Robert thought that it might be another of the pre-packaged houses that Sears had sold in the early 1900s. The excellence of the craftsmanship and the high polish of the woodwork reminded him of Sears houses. On several winter mornings, Ida sent Robert to deliver fresh baked goods to Agnes’ door. Robert enjoyed the pleasant warmth of Agnes’ wood-burning stove and the coziness of the home that she had created with her own two hands. Even during the most isolated periods when snow or mud kept Robert from driving anywhere, he had only to look to the east to feel that he and his family were not alone. There stood Agnes’ comfortable house, her perfectly maintained barn with its bright red paint, and her well-designed garage nestled beside rows of apple trees. Chapter 23: The Watchdogs Ida was exasperated. The foxes kept taking her chickens, even though she closed the chickens in the hog farrowing house that Robert had built in Mr. Coffman’s class. “Joe, I think I’ll give the last three chickens to Mrs. Bowen,” Ida said over her bowl of oatmeal one morning. Joe, who had raised chickens for a good portion of his income during much of his early adult life, said, “It would be strange not to have any chickens. We’d have to buy all our eggs.” “We’re doing that now,” Ida said, adding raisins and brown sugar to her oatmeal. “I’d like to try guinea hens, instead.” “I would suppose the foxes would consider guinea hens as succulent as chickens,” Joe suggested, pouring milk on his cornflakes. Robert, who had miraculously escaped having to eat oatmeal, was having cornflakes with the boys’ father while Charles had oatmeal with their mother. Robert could hardly wait to discover where the conversation would lead. “People who always have to be right can’t learn anything new,” Ida, the former teacher, responded, smiling. “What are guinea hens?” Robert asked. “Guinea fowl are birds about the size of chickens,” Joe replied. “Mrs. Bowen has some keets that she wants to give me,” Ida said. “Her guinea hens hid their nests so well that she didn’t find them in time, and now she has too many keets.” “I guess we should try guineas,” Joe said. “They’re better than watchdogs,” Ida added, encouragingly. “They’ll let us know if we have prowlers.” “I doubt if we would ever have a prowler out here in the country,” Joe said. “People who always have to be right—” Charles began. "Hush!" Ida interrupted. "I can talk to your father that way, but you can't." She turned toward Joe. "'—can't learn anything new,'" she finished. After a second, everyone laughed heartily. So the Rhode family had no more chickens, but Ida, Joe, Charles, and Robert had guineas aplenty. As the keets grew into full guineas, they were slate-colored with white dots in swirls and lines all over their feathered plumpness. Their heads were mostly white. The dark lines over their eyes could have been eyebrows, imparting to their glance an air of being perpetually indignant. Perhaps they were vexed most of the time! Their pale yellow and pink beaks were rather thick. Red wattles curved out to the sides like ribbon bows. Pink and yellow helmets stuck up like folded newspaper hats. The skinny legs and long toes were the same yellowish pink. Rather than screaming whenever they saw a fox, the guineas screeched at anything that moved. On an early spring day when impossibly dark clouds surrounded small apertures of transparently blue sky and beams of sunshine like those of spotlights made bright yellow patches along the fern-green fencerows, the guineas shrieked at each change of light and shade in the heavens and on the earth. Really, they needed no provocation to scream bloody murder. Whenever the spirit moved them, they screeched! The guineas defined the word flock, epitomizing what was meant when "flock" was coined. Where one went, all went. Schools of fish on Mutual of Omaha's Wild Kingdom could not have changed direction in synchronized movements any more uniformly than guineas. First, they would scurry toward a hedge apple tree, but, for no apparent reason, they would veer right or left in unison, squawking the while. Even though they had been kept for long periods inside the farrowing house to teach the guineas where home was located, they ignored the house as soon as they were permitted to roam freely. If the Williams place had not been an oasis of trees and slough in the midst of broad fields with neighbors not nearby, the guineas might well have gone vacationing down the road, sampling what each farmstead had to offer. Joe reasoned that the only factor pressuring them to stay put was the general emptiness in all directions. The guineas preferred to roost in the hedge apple trees at night. “How they avoid the foxes is beyond me!” Joe exclaimed to Ida, whose face broke into a big smile of satisfaction every time she gave consideration to her guinea hens. Robert had been surprised to hear guineas in the uppermost branches of the hedge apple trees at dusk. That they made their way up that high and back down again was remarkable for such large birds. While guinea is said to taste like pheasant, Charles and Robert never found out, as Ida would not have put one of her pet guineas in a roasting pan for love or money. The small tan guinea eggs with their brown speckles, though, were broken and their contents fried or scrambled for breakfast. “See?” Ida happily said to Joe. “We don’t have to buy so many eggs at the grocery store now.” “People who always have to be right,” Joe said, not completing the sentence but winking at Ida. Like turkeys, the guineas formed circles around anything foreign, such as a frog. “Chi-chi-chi-chi-chi!” they cried in a huff, their heads ogling for a better view, their feet lifting and redeploying continually. At feeding time, they could form circles around the farmer with the feed bucket. “Chi-chi-chi-chi-chi!” Robert became accustomed to the guineas’ shrill outcries. To him, they sounded like an old disk—not equipped with wheels—being pulled along a gravel road. Their noise became part of the environment. It became more noticeable when they quit screaming for an extended period of time than when they screeched. Ida could not have been happier with her decision to acquire the guineas. Chapter 24: The Exhibits Every year, the freshman class made a bus trip to Chicago. When Robert’s class went, the group first toured the Chicago Natural History Museum, or Field Museum. Each new diorama in the Hall of Prehistoric Man captivated Robert all the more—especially the Neanderthals. He tried to imagine what it could have been like to have lived in the time of the cavemen. The exhibits of stuffed animals were so extensive as to stretch seemingly forever down halls and around corners. The white-tailed deer appeared to be living. From the tiny antelope to the zebra of southern and eastern Africa, the animal displays kept Robert in a state of amazement. The elephants and the jungle cats were favorites. There were many animals he had never heard of and that he could scarcely imagine, even though the displays were so lifelike! There were wild donkeys, hippopotami, gorillas, and hyenas: all examples of the taxidermists’ finest hour and art. Yet his eyes really opened all the way when he encountered the Egyptian artifacts. The ushabti figures, the canopic jars, the sarcophagi, and the statues intrigued him. As a freshman, he could hardly fail to be mesmerized by the mummies! He felt a deep sense of astonishment that such rich cultures had thrived in the Nile River Valley for thousands of years. He vowed he would check out books on Egyptian history when he returned home, and he kept his promise. The class also visited the Museum of Science and Industry. Built in 1893 as part of the World’s Columbian Exposition (which failed to be finished in time for 1892, the four hundredth anniversary of 1492, the year made famous by Christopher Columbus), the vast edifice, which had been refaced in limestone, housed more displays than could be seen in weeks, let alone in a few hours! Many of the exhibits were to be operated by pushing buttons or working levers. It was great fun to discover scientific facts and mechanical principles by observation of displays that moved in response to the viewer’s hand. There were airplanes, boats, cars, a stage coach, steam engines including locomotives, and streetcars. There were a gigantic Foucault pendulum and electromagnets and lightning from a surge generator. There were all manner of machines from newspaper presses to milking machines. A spectacular monument to the periodic table of the elements boasted a massive globe of the Planet Earth. Amid the museum’s modernity was a nod to the Middle Ages in a medieval scriptorium, where European monks copied and illuminated holy manuscripts in brilliantly colored inks. But the trip into the coal mine was even more exciting! It began with a safety demonstration that simulated an explosion of methane gas from a lighted Davy lamp. The drop down the mine shaft in a black cage gave the illusion of a descent of hundreds of feet. The tram ride through the cool gloom of the mine was worthy of Disney! Robert’s favorite activity was walking through the U-505 submarine, which was docked outside the museum. The narrow passages within the German ship made Robert feel almost claustrophobic, but he was so fascinated with everything that he successfully fought against the dread of enclosure in a tight space. Even though the halls were barely wide enough for one person, the submarine was huge. “How could it have remained hidden?” Robert wondered. Of course, as a person from a landlocked farming community, he had almost no concept of the size of the ocean. After the tour, Robert knew that he could never have lived on board a submarine without going stark raving mad! It was quite a learning experience, to say the least! The trip to the Windy City was one of the best that Robert would ever take, and he was grateful to his school for having given his class the opportunity to see such a splendid panoply at both institutions and to the museums for making available to the public such an incredible array of the best that the world has to offer. Ever since the threat of a tornado had interrupted the performance at Columbian Park when Robert was a youngster, he had wanted to spot a funnel cloud. With the help of her father, his classmate Susan had once built a large glass box that demonstrated a tornado by using dry ice and a fan to form a vortex that was well lighted from above. Robert never grew tired of watching the ghostly rope undulating from the bottom to the top of the tall box. On a sunny April Saturday in between his freshman and sophomore years, Robert had been disking for his father. The International 560 tractor had needed gasoline, so Robert had driven from the fields back to the house. He pulled alongside the elevated gas barrel, switched off the engine, spun off the gas cap, and began filling the tank from the heavy nozzle. The day was hot and still. The day seemed to be waiting for something to happen. It was as if it alone knew what was approaching. The birds had abandoned their hectic springtime schedule as if in anticipation. Only the occasional shrieks of the guineas disturbed the silence. With the tank full, Robert hung the hose on the horseshoe that served as a cradle nailed to one of the barrel’s support posts. Robert thought about returning to his disking right away, but the idea of a quick nap intervened. Joe and Charles were working with tractors in adjacent fields about as far from the house as they could be. Would they miss Robert for fifteen minutes? Robert decided they would not, so he strode to the house and stretched out on the sofa to catch a few winks. Such an action was extremely rare for Robert—so rare, in fact, that he could almost be described as never having taken a sleepy moment away from work. For years thereafter, he would wonder why he chose that time to sneak a brief nap. Naturally, Robert lost track of the time. Suddenly, Joe and Charles burst into the room! They were talking excitedly. In Robert’s half-asleep state, he worried that they might be angry with him for briefly shirking his responsibility. Robert’s sense of guilt helped him awaken fully. Then he realized they were not conversing about his indolence; rather, they were discussing the funnel cloud that had just crossed near the north end of the farm. “That’s as close as I ever want to get to a tornado,” Joe said. “That was impressive!” Charles agreed. Robert sat up and listened to their description of the funnel, which had begun to touch down but had lifted immediately. Robert glanced at the clock. He had slept for less than an hour. In just that length of time, an oddly greenish wall cloud had formed in the southwest. On its path from southwest to northeast, the cloud mass had passed on an angle a little over a mile north of the house. Acknowledging the dangers of lightning, Joe had signaled Charles to bring his tractor and plow up to the house while Joe drove his tractor and corn planter up to the barn. When they had entered the barnyard, they had witnessed the funnel’s descent. Robert had slept through the excitement and was disappointed. He would never have a better opportunity to watch a tornado. Years later, a tornado that would prove quite destructive in Rainsville would pass along much the same diagonal line over the north end of the Williams place. Winds to the side of the twister would blow Joe and Ida’s pink and blue 1950s metal armchairs off the front porch and deliver them to Agnes Moore a quarter of a mile down the gravel road. Worse, the tornado would level all but one wall and the bathroom of Robert’s cousin Pam’s house. Pam’s mother would ride out the storm in that bathroom and live to tell the tale. Pam, her father, and her siblings would not be at home, although her father and her sister would be in a car approaching the house down the mile-long driveway to the north and would witness the calamity. Viewing the wreckage afterward, Robert would change his mind about wanting to see a twister. He would decide that he never wanted to observe—with scientific detachment—a tornado in progress. He would rather learn about such violent storms in the context of a museum or laboratory. Chapter 25: The Ouibache Experience As Charles had once spent a week at an experimental camp called Ouibache, a French word on which the English word Wabash was coined, Robert decided to look into it. He persuaded his cousin Pam to apply with him to become counselors, and they were accepted. They were to have training for a week at the end of May. Working with the staff, they would select any two weeks in the summer to return to the camp and to serve as leaders. Many years earlier, the location had been a forestry station run by Purdue University. The grounds numbered some hundred acres of rugged land, heavily wooded, leading down to the Wabash River and including a small island in the stream. Purdue had built many well-appointed structures, including barracks for men, barracks for women, a cafeteria, a laboratory, and an amphitheater. At some point, the Hoosier 4-H Leadership Center had established a new purpose for the old outpost. In that May between their sophomore and junior years, when Pam and Robert arrived at the camp, they were assigned rooms in a large A-frame fronting the west. They hardly knew what to expect. In the orientation session, the permanent staff introduced the thirty-odd counselors to one another and to their objective, which was to help children from farms, from cities, and from everywhere in between farms and cities to discover the joys of collaboration in the peaceful stewardship and preservation of nature. It was 1970, a pivotal year. The Kent State shootings had just occurred, and it felt as if the lofty aims of the Sixties would never be attained. The staff members ranged in age from two to thirty years older than Robert and Pam, with many of them having graduated in the 1960s. Like strong ships, they had remained upright on the stormy seas of that disappointing decade. They eschewed empty platitudes; they had learned that it was wrong to promise Xanadu to brokenhearted people. They focused their attention not on the world but on the individual. “We have one of the youngest counselors we have ever had,” Mick, a thin, guitar-playing fellow, began, smiling at Robert. “Welcome!” Robert felt a little on the spot during the light applause, but he sensed that everyone was supportive. A friendly Purdue student named Paul and a woman nicknamed “Mouse” said a few words. In no time, people felt at home. As twilight fell, Paul stood a flashlight on end so that its beam struck the ceiling of the A-frame high above. All other lights were extinguished. Everyone sat cross-legged on the carpet. “What makes you vulnerable?” Paul asked. “No one has to speak, but everyone can speak, if he or she feels so moved.” Slowly, people admitted their fears. Paul thanked them and said, “Remember that the youngsters who come to the camp share your vulnerabilities but most likely are not equipped to identify them or to talk about them. Don’t ask them to try. For you to recognize their vulnerabilities is what matters.” “What makes you invincible?” Paul asked next. Soon, people began responding. Robert said nothing. He was fascinated by how easily others could express themselves without worrying about what someone else might think. He began to ponder what listening means: how vitally important it is to hear exactly what another person is saying and to filter the utterances through the self without using criticism as a weapon to destroy the exchange. Before long, he would begin to discover the power of expression and the grave responsibilities that accompany that power. On the first night, as Robert and others had fallen asleep, suddenly there came a racket of fists pounding on doors while Paul’s voice was heard shouting “Night hike! Night hike! Put on your oldest clothes! Night hike!” An other-worldly experience was transpiring! Groggy and disoriented, Robert put on old jeans and a sweatshirt. He joined the other counselors outside the A-frame as Paul’s flashlight raked the ground. “Is this everybody?” he asked. “Mick, our able-bodied Night hike leader, will explain.” Mick said, “I will be the only person with a flashlight, but I won’t use it, unless I have to. Everyone take the hand of the person behind you. Always remember that your duty is to help that person. Never let go of that person’s hand! We will be slipping and sliding over rough terrain, and, many times, the person behind you will need your helping hand. Let’s go!” In single file with hands clasped, the group quickly entered the forested hills. Pam was three people ahead of Robert. In the deep darkness of the woods, the counselors snaked along on a trail so thin that only Mick new where it was. Twice, they crossed ravines on logs, and no one fell! At first, everyone chatted, but, after a while, there were only occasional statements that offered assistance. Robert heard Pam say to the person behind her, “There’s a muddy hole to your right, so keep to your left.” Suddenly, Robert emerged from the velvety shadows. Moonlight filtered downward and sparkled on the ripples of the Wabash River. The air itself seemed aglow from the moonbeams. No one spoke. The water murmured and whispered where it lapped the shore. Everyone walked in beauty. Eventually, the now silent line reentered the forest. To the tune of shuffling feet, thoughts ran in deep channels. Robert felt increasingly responsible for the counselors behind him and, symmetrically, for the counselors before him. He was beginning to understand the paramount significance of connection to others. When the group crossed a log in the night, they were one person with hands clasped, and no pearl could fall from the necklace. Arriving back at the A-frame, counselors were eager to talk about the experience. Many stayed up half of the night, Robert among them. The next morning, Robert felt invigorated, not fatigued. He watched the golden sunlight bathe the breathing leaves of the trees. The staff and the counselors took part in a flag-raising ceremony before filing into the cafeteria for breakfast. Robert sat across from Pam in her peasant dress and pigtails. “And how is Robert this morning?” Pam asked. “I slept great,” Robert replied. “I did, too,” Pam said. “After the Night Hike, I wasn’t sure I could go back to sleep, but the conversation afterward was so peaceful I could feel myself drifting.” Just then, Pam’s older cousin Bonnie came past the table and said hello. Bonnie was on the staff as a recreation leader in charge of the swimming pool, ball courts, and playing fields. The sun had bleached Bonnie’s blonde hair almost white. Turning to Pam, Bonnie said in her customary tone of frank good nature, “I heard you went on a Night Hike. Now you understand the expression ‘easy as falling off a log.’” Pam laughed. “What are you up to today?” Bonnie said, “I have to drive into Lafayette for some pool supplies. Let me know if you need anything.” Pam said, “I think I have everything I need, but it’s kind of you to offer.” “If you think of anything, catch me at the pool office in the next half hour,” Bonnie said, moving on in her usual energetic way. “I wonder what’s in store for us this morning,” Pam said to Robert. They soon found out, as Bill, a roly-poly recreation leader in his forties, ran the counselors and staff through an hour of hilarious games. He explained that, throughout the summer, he would be keeping the campers in similar good spirits through music and fun. Packing his speech with lingo like “far out,” “can you dig it,” and “outa sight”—all such expressions uttered with an ironic nod to popular culture—Bill kept everybody laughing. Robert needed no encouragement to unleash his sense of humor, but he was learning from Bill to be “laid back” and not take everything so seriously. The three hours before dinner had been set aside for socializing or quiet reflection, so Pam and Robert invited any interested counselors to visit their hometown. A group of seven, counting Robert and Pam, took bicycles from the recreation building and began the ten-mile ride to Pine Village. The others were from such places as Aurora, Anderson, and Shelbyville. Gliding between flat or gently rolling land with small corn and bean plants in neat green rows, the bicyclists coasted along like a family of barn swallows sailing on outstretched wings. Picture-perfect white clouds drifted beneath the azure dome. Cows with lowered heads grazed the meadows. Reaching the town, Pam and Robert invited the riders into the corner grocery for soft drinks. After pedaling around the town and strolling past the businesses, they walked their bikes to the Methodist Church, parked them, went up the stairs, and through the unlocked door. Everyone admired the stained glass windows while Robert played Bach on the piano. Finally, the group rode to the school and entered the gymnasium to see the diamond pattern of the ceiling beams reflected in the highly varnished floor. “No wonder you love it here!” said a counselor named Jill. “Everything is so pretty and peaceful.” The others nodded their approval of Jill’s observation. Then the group made the ten-mile return trip. The riders were tired—but not too tired—when they rolled into the Hoosier 4-H Leadership Center. Over dinner, the excursionists talked excitedly about what they had seen in Pine Village. Mike said, “It’s exactly what you want a town to be.” On the evening of the fourth day of their training, the counselors enacted Native American stories that they had rehearsed. Carefully researched through Purdue University’s extensive anthropology collections, the narratives included personified animals and cosmic myths. The light from the flickering campfire reflected on their faces as the counselors performed. Later in the summer, they would lead campers to share the same stories. As the firelight began to die down and the stories were finished, everyone had to remain silent for the rest of the night. Communication by hand signals was permitted, but talking was prohibited. Back at the A-frame building, the counselors fought the temptation to speak. To utter words was an incredibly powerful urge—nearly involuntary! Like most of breathing, itself, using the breath to intone words was so natural that the act of remaining silent felt unnatural—at first. Again and again catching himself before he broke the rule, Robert began to notice his breath. He could not recall a time when he had thought about breathing, except when he was a little boy and had tripped over a wire supporting a clothesline pole, thus knocking the air out of his lungs and having to fight for the next breath. Robert thought, “I am alive now because of each breath I take.” He next thought, “This time will never come again.” Then he thought, “As long as I keep breathing, my life will go on from this place and time.” The subsequent thought was this: “This night will become only a memory.” Then: “It is already becoming a memory.” And: “Each memory is a construction of the mind because it no longer exists.” Suddenly: “The past and the future are unreal.” All at once: “This instant—this breath—this, alone, is real.” Robert looked around at the other counselors, all silent and trying to communicate by gestures. Abruptly, the injunction to love your neighbor popped into his mind and resonated with a sense of urgency that it had never had previously. The next morning, when talking had resumed, Robert felt he had glimpsed the peace that surpasses all words and that cannot be contained by them. The training sessions had reached their conclusion. Pam and Robert served as counselors together during one of their two weeks of leading, guiding, and inspiring campers. Each had a separate second week. All went well. A year later, Robert returned to Ouibache for another training week and two weeks leading campers before he began his first fall semester as a college freshman. Ever after that, Robert readily called to mind an image of spangles of moonlight dappling the Wabash River, of a campfire lighting the faces of counselors pretending to be crows or coyotes, and of the breath entering and leaving each person’s body. Chapter 26: The College Student The August day arrived when the family said goodbye to Charles outside Wright Quadrangle on the campus of Indiana University in Bloomington. He was excited, looking forward to his time in college. On the drive home, Joe, Ida, and Robert were not excited. Robert had a lump in his throat. Joe said nothing, and Ida made only the occasional observation about a flower in someone’s yard or a bird on a fencepost. How could the sanctity of a family be broken so nonchalantly? The knowledge that the home would never be the same again weighed heavily on all three. When the Pontiac pulled into the driveway and everyone went inside the house, the home that had seemed so full of promise only a little over two years earlier now felt vulnerable. A big change had occurred. Spot wondered where Charles was and watched for him for many days, until the terrier gave up watching. Robert thought he should be especially kind to his parents, now that Charles’ room was quiet and felt empty. In the mornings, Robert waited for the bus alone. Joe and Ida hoped for letters from IU, and a few came. Charles was busy, studying up to four hours a night. Ida, meanwhile, wrote and mailed many letters to Bloomington. She could be seen scrawling on a pad of lined paper while taking a moment to sit at the kitchen table with a dusting of flour up to her elbows and pies in the oven. Ida had been to college; Joe had not. She had knowledge of what Charles was encountering; Joe had none. The move to the new house in 1968 had been one of two of the most traumatizing events in Joe’s life. The second occurred when Charles moved away. Without either of them sensing the change, the bond between Joe and Robert—already strong—was becoming stronger. Ida and Robert kept trying to grow a vegetable garden. Their first attempt—in the first spring and summer at the new home—had been made west of the driveway, but the plants did not thrive. Next, Ida had Joe plow the area north of the house where, in Lizzie’s youth, a garden had been located. As before, sprouts were few, mature plants fewer, and the quality of the produce poor at best. No one could understand why corn, soybeans, and wheat crops customarily were spectacular when grown in presumably the same soil in the fields just beyond the hedge apple trees. Uncharacteristically, Ida gave up. She supplied the family’s table with vegetables from grocery stores. Robert no longer enrolled in the gardening project for the 4-H fair. “If we don’t plant a garden, I’ll have more time to dust,” Ida said. In the country, the furniture and floors became dusty far faster than they had in town. Up until Joe bought a window air conditioning unit, the windows were kept open through the hot, muggy days, although a heavy green blind might be lowered by pulling on the little ring dangling from the string at the bottom of the shade. Little by little, levity returned to the farm east of Pine Village. Ida would turn from the kitchen sink to face Robert while suds rolled down her wrists from her upturned hands, and she would quote Lady Macbeth: “The thane of Fife had a wife: where is she now?—What, will these hands ne’er be clean?” Robert would laugh until he could hardly catch his breath. Robert would squeak a pink rat made of rubber and fling it beneath the sofa. Spot would bark and jump up and down, finally resorting to twisting the front half of his body on its side and pushing with his hind legs, until he could reach the rat and pull it out. Then he would shake it, to everyone’s delight! “You get that ol’ rat!” Robert would say. Naturally, events conspired to dampen Robert’s good spirits. Miss Beegle retired. Robert’s beloved piano teacher recommended that he continue his training with Miss Ruth Jamieson. Such a huge change! Miss Jamieson had a small apartment above a men’s clothing store near Purdue. Robert trudged up several flights of stairs that snapped as if they would break. In the gloom at the top, a dim light bulb with no shade and yellowed with grime hung at the end of a dirty cord. Robert knocked, and Miss Jamieson swung open the door with what Robert would come to discover was her characteristic impulsiveness. There she stood. Her hair was pulled back tightly in a severe bun. Her very red lipstick was applied in a hasty smear—once across the lips and done! Her stare pierced Robert’s confidence. He looked down awkwardly. “Well, I suppose you had better come in, don’t you suppose?” she asked, stepping back, so that Robert could enter her tiny, tiny apartment. Her piano was a reddish upright, nothing like the twin grand pianos that Miss Beegle owned. Miss Jamieson’s reading material lay wherever it fell on the sofa or on the carpet. French paintings in gilded frames hung at odd angles. Strings of beads separated her tiny living room from her kitchen, and, every now and then, she unexpectedly leapt up from her rocking chair, dove through the beads (which tinkled against one another), and returned with a heavily scented hand cream that she rubbed vigorously between her palms. For the first year of lessons, Miss Jamieson found fault with every facet of Robert’s playing—beginning with the way he clipped his nails. “Cut them much shorter!” she commanded. Quite often, as he stood on a windy street corner waiting for his parents to pick him up after a lesson, he thought about quitting. At the beginning of his training under Miss Jamieson’s sharp tutelage, he could not have predicted that she would eventually occupy the same place in his affections as a dearly loved aunt. Slowly, Miss Jamieson built Robert back up after tearing him down, transforming his playing. In the beginning of his studies with Miss Jamieson, Robert often stumbled. At his first recital in Duncan Hall, he became lost in a Beethoven Sonata. His fingers flailed around, striking wrong notes in all directions. Instead of feeling horror or shame, Robert smiled. In his mind’s eye, Robert could just see the dramatic Miss Jamieson backstage, groaning, swooning, and falling to the floor. When Robert walked into the wings, Miss Jamieson rushed up to him. “What happened to you, my boy?” she begged. “I couldn’t remember where I was.” “Oh,” she said in a kind of guttural utterance, as if someone had hit her in the stomach. Recovering, she said, “Well, it has happened to the best of performers and is one of the best ways to learn. Recitals may appear to be about winning and losing. Competitions may present the illusion of winners and losers, but, oftentimes, the losers are the winners, my boy! When you discover that making music is not about victory and defeat, you will be a pianist!” Several weeks later, Miss Jamieson and Robert attended a piano concert by Vladimir Ashkenazy in the Edward C. Elliott Hall of Music at Purdue. Robert knew that he was in the presence of a prodigious talent. He observed Miss Jamieson’s gestures, such as pressing her hand against her heart while her lipstick formed the letter O. Suddenly, he could read her mind, which was not saying “I am in the presence of a prodigious talent.” Her mind was saying “Ah! How beautiful!” Miss Jamieson designed separate exercises for each of Robert’s fingers, and she coined fascinating expressions to help him overcome difficult passages in the music. For a rapid run in another Beethoven Sonata, she said, “It’s like small monkeys scurrying up trees in the jungle.” Somehow, that description made it possible for Robert to play the run accurately every time. When she was young, she had studied in France for a lengthy period, and she affected a French manner, calling Robert “Ro-BAIR.” “Ro-BAIR,” she said one day, “we must begin preparing for your audition at Indiana University, for you will audition there one day. We will surprise the judges by having you adopt a method of performance preferred by some in Beethoven’s age but seldom practiced nowadays. I am alluding to using only the middle three fingers on the black keys. No thumbs, no pinkies!” The last word almost burst from her. “Further,” she continued, “you will sustain notes by holding the keys down, not by pedaling. Your foot will not come near the pedal.” She chuckled. “The judges won’t know what hit them,” she mused. “Of course, they will want to hear your range, so we will give them Bach and Chopin. Your Bach will be strict, as if played on a harpsichord, and your Chopin will be unctuously Romantic. We must get started at once!” For months, Robert was in the piano equivalent of training for the Olympics. There were moments of joy, when Miss Jamieson flung herself backwards in her rocking chair, clasped her hands over her heart, smiled, and exclaimed, “Formidable!” There were moments of despair, when Miss Jamieson thrust herself forward, shooed Robert’s hands away from the keys, placed her hands where his had been, and made him watch carefully as she demonstrated what he should be doing. “Voila!” Each day, each week, un peu de progrès! Then came the afternoon when Miss Jamieson rocked back and said, “I am pleased to say that you now have a good technique. Technique is essential, but you can have perfect technique and not make music.” Miss Jamieson seized a chopstick and pointed to a line in the score of the sonata. “Sing the melody!” she ordered. “Oh, I can’t do that!” Robert said. “What do you mean?” Miss Jamieson asked, a look of shock on her face. “My voice is not good for singing,” Robert answered. “Rubbish!” she exclaimed. “I never heard such utter nonsense!” “My father is a good singer,” Robert began, “but I didn’t inherit—” “I didn’t ask your father to sing,” Miss Jamieson interrupted. “I asked you. Now sing!” Robert sang the melody. “Now play the same way you sang!” His mouth open, Robert silently sang while his fingers ran up and down the keys. Miss Jamieson laughed a deep belly guffaw. “You are making music! You hear the difference! Your technique is the body; the music is the spirit.” From that day forward, Robert’s mouth remained open whenever he played piano. He was silently singing—sometimes, not so silently. More importantly, from that hour—no, moment!—onward, his heart was open. Chapter 27: The Novel By the time Robert was a junior, he had reached a height of six feet, one inch. His hair was cut short because Ida preferred it that way. He liked a certain green hopsack shirt that he wore all too often in the warm months, and he liked a certain green corduroy pullover that he wore all too often in the cold months. During the fall and spring, he was most often to be seen wearing a tan, brown, and brick CPO coat—even indoors. He had a collection of turtleneck inserts in different colors, and he frequently wore them. When he wore sports coats for public piano performances, he generally wore clip-on bow ties, one of which—a dark red crushed velvet—was his favorite. He wanted a Nehru jacket, but Ida was not fond of them. She was, however, fond of the new polyester suits, and Robert received a dark blue one with a reversible vest of dark blue on one side and orange plaid on the other. It would not be long before Ida would begin to fill his closet with what came to be called “leisure suits,” accompanied by polyester shirts in mod styles. Robert’s favorite leisure suit was a caramel-colored one with ivory running stitches at every hem. The shirt that he most often wore with it had baby blue flowers overlapping russet flowers amid forest-green leaves. One day at school, Robert (attired in his CPO coat and hopsack shirt) was talking with Dennis as they filed band music. They had been reading Nineteen Eighty-Four by George Orwell. “He should have named it Nineteen Seventy,” Dennis said. “Doublethink and thoughtcrimes are already here,” Robert offered. “Big Brother is watching us,” Dennis commented. “We’re living in Oceania,” Robert remarked. “Attention! Your attention please,” Dennis quoted, sounding just like the school intercom. Robert glanced up from the sheaf of musical scores in his hand. His eyes clouded over. He could see Big Brother in the school’s main office, Winston Smith teaching chemistry, and Julia O’Brien teaching English. Robert turned to Dennis and … … a satire, 1985, was born! Assisted by Mr. Boots’ hall passes, Robert and Dennis devoted weeks to the writing and illustrating of 1985. But how could such an artistic work be duplicated and shared with adoring readers as an octopus releases purple ink into the sea before making its escape? Robert approached the desk of the main office. "Yes, Robert?" Mrs. Brutus greeted him. "Could I have a stack of purple ditto masters (for a satire that will be distributed throughout the school?)" Robert asked. "Yes," Mrs. Brutus smiled, returning to her desk. "Help yourself." Robert pressed an inch of masters between his thumb and fingers and hoped to keep them together, so that it would not be obvious how many he was taking. "Thank you," he said, as he walked nonchalantly toward the door. "I assume those are for a school project," Mrs. Brutus spoke up while sorting papers. "Yes, they're for a project (parodying Nineteen Eighty-Four and caricaturing the teachers)," Robert confirmed. Mrs. Brutus shot him a keen look but went back to her work. For days, Robert carefully transferred the illustrations to purple ditto masters. The front page sported disintegrating Greek columns and a pediment above a portrait of Winston Smith, the chemistry teacher. The title 1985 appeared to be carved from stone and cracking. Here and there throughout the work were portraits of additional characters, dressed as Orwell described but otherwise looking very much like other teachers. Next, Robert patiently typed every page of the lengthy satire that Dennis and he had composed. Robert had only enough masters, and he could not afford typographical errors. When he made one—which was rare, as slowly and deliberately as he was progressing—he threw away that precious master and started the page again. Finally, the book was complete. Running the copies was all that remained. How? Dennis and Robert turned to Susan, who knew her way around the office. "Now, wait!" Susan said. "You want me to run copies of a satire?" "Yes," Dennis said, sheepishly. "Let me see it," Susan said. She hurriedly read the first few pages and looked up with beams of sunlight playing about her eyes. "Oh, this is good," she said. Then she explained that an allotment system specified how many pages could be duplicated for a student project. She said she would look into running off pages for Robert and Dennis, but, at most, only a few copies could be produced. Later, she brought Dennis and Robert a heavy stack of pages exuding the intoxicating balm of damp purple ditto ink. "These are all I could make," Susan said. "How can we ever thank you?" Dennis asked, grinning. "Don't thank me!" she said. "I just hope you don't get in trouble." Robert and Dennis assembled and stapled thirty copies of 1985. The next morning, they clandestinely placed them here and there in the school and in the gym. No authors' names appeared on the booklet, thereby giving the writers plausible deniability. In English class that afternoon, Miss Matthews said, "Alright! Who wrote 1985?" No one spoke. Miss Matthews stared at Robert. "Robert, this has your name written all over it," she said. "Show me where!" Robert exclaimed, as if he truly wanted to know. Miss Matthews faced Dennis. "Dennis, do you have something you want to tell me?" she asked. “I can’t think of anything,” Dennis said. “Well, I wanted to tell the authors that this is a creative send-up,” Miss Matthews commented. “The teachers have been talking about it all morning. The book shows a deep understanding of irony and a mastery of character development. Whoever wrote it can take pride in a job well done.” Robert raised his hand. “Yes, Robert,” Miss Matthews acknowledged. “Are you saying that no one is upset?” Miss Matthews smiled. “No, no one is upset,” she answered. “In fact, the response has been quite the opposite. The teachers are genuinely impressed with the talent and skill of the authors, whoever they may be.” Later, in the parking lot, Robert asked Dennis, “Should we take credit for it?” Dennis frowned and shook his head. “Are you crazy?” So 1985 remained anonymous. Chapter 28: The Walk One evening in autumn after Charles had gone away to college, Robert had finished his homework and his piano practice early. He still had a few hours before he had to go to bed to get enough sleep before school the next day, so he decided to take Spot for a walk. Spot eagerly jumped into his harness, and, leash in hand, Robert set out east along the gravel road that ran in front of the family’s new home. At the intersection, Robert and Spot turned right. They covered a considerable distance to the south before coming to Mound Cemetery, which centered on crossroads meeting at right angles. In all that way, no vehicle had come down the road. The night was becoming chilly. The moon darted fretfully behind scudding clouds of smoky silver. At the base of the tall, wide mound studded with gravestones, Robert and Spot turned to the right on the dusty road that made a complete circle around the hill. They turned right again on the road leading west. On the left, the long-abandoned Martindale house stood. The two-story structure was built of large blocks of sandstone. A cupola topped the center of its slate roof. The windows on both floors were tall. The front door featured sidelights and transom. Robert had once asked his father why no one lived in such a splendid house, and Joe had answered that the family came to believe that the sandstone retained moisture that bred illness. Robert and Spot walked past the shadowy hulk with towering pine trees to the north and west. The rusted windmill on the south side of the dwelling creaked. Robert found himself glancing over his shoulder at the empty windows, and he shivered from more than the cold air. At that moment, he could easily have been persuaded that ghosts exist. “Let’s hurry!” Robert said to Spot. Robert was surprised to hear how small his voice sounded in the great outdoors of fall beside the Martindale house with its staring windows. It had been Robert’s intention to traverse a large square, but, by the time he and Spot reached Great Uncle Charlie Rhode and Great Aunt Vinnie’s house, Robert knew it was getting late and both he and the terrier were getting tired. He decided to knock on the door. Carrying an open newspaper in one hand, Great Uncle Charlie answered. His eyes opened wide behind his gold-rimmed glasses when he saw Robert standing on his porch at night. Robert explained that he had walked there but had concluded it was too late to complete the square. He wondered if he could use Charlie’s telephone to call home. Charlie said, “Sure!” and led him to a small table with a black phone. While Robert was dialing his parents’ number, Great Aunt Vinnie stepped into the room. Although both she and Charlie were up in years, they still had black hair and relatively smooth skin, which made them seem younger than they truly were. Robert felt foolish when he told his father that he and Spot were calling from Great Uncle Charlie’s house, but Joe took everything in stride. Joe was becoming accustomed to the fact that Robert often did what was unexpected. “I’ll be there soon,” Joe said. “Do you like living in the country?” Vinnie asked as Robert put the receiver back in its cradle. “Very much,” Robert said. “Dad and Mom really fixed up the house before we moved in.” Great Uncle Charlie, who had played on the legendary community football team when he was young, would give Robert an excellent interview two years later, when Robert would be writing an article titled “Football Was Alive Here Then” for the high school newspaper. On this occasion, Charlie just made small talk until Joe pulled into the driveway. Robert and Spot waved goodbye to Charlie and Vinnie standing in the lighted doorway. On the trip back home, Joe said, “You and Spot covered considerable ground in a fairly short time.” “He likes to run ahead,” Robert said. Spot was stretched out on the seat with his front paws hanging over its edge. Typically, he would have been at the window watching the world go by. “I think Spot is tuckered out,” Robert said. Before long, everyone was home. Robert brushed his teeth, said goodnight, and went to bed. Before he turned out the light, he thought about leaving it on until morning. The cheerful lamp kept the cemetery and the haunted house from encroaching on Robert’s thoughts, but he was also afraid that his parents would see the light streaming across the yard through the window of his room and would wonder if he might be having trouble sleeping. He switched off the light and lay awake in the darkened room for at least an hour. Every creak and bump from somewhere in the house made him ask himself, “What was that?” Eventually, Robert remembered the hymn that he had played so often at the Methodist Church: When we walk with the Lord in the light of his Word What a glory he sheds on our way! While we do his good will, he abides with us still, And with all who will trust and obey. Trust and obey, for there’s no other way To be happy in Jesus, but to trust and obey. Not a shadow can rise, not a cloud in the skies, But his smile quickly drives it away; Not a doubt or a fear, not a sigh nor a tear, Can abide while we trust and obey. Robert drifted off to slumber. Chapter 29: The Ancient Ones Robert had only two more years to help his father with spring planting before Robert would be off to a university. As Robert preferred disking to plowing, Joe agreed to do any plowing that had not been done in the fall while Robert did as much of the disking as possible. This arrangement often meant that Robert and his father were not in the same field. At the time when the family had moved to the new house, Joe had inherited a hundred-acre farm from his uncle Marshall. It was located a mile east of the Williams place. The field rose gently—almost imperceptibly—to the north and to the east from a lower area that had been a pond before the early settlers tiled the land. Often, Robert would be disking part of what Joe called “Uncle Marshall’s farm” (Great Uncle Marshall to Robert) while Joe was plowing or planting at the Williams place. On one of the days when Robert was disking by himself with the International 560 at Uncle Marshall’s farm, he was writing stories in his imagination. The cloudless sky was cornflower blue at the horizon, shading to a rich azure at the zenith. The sun shone like an arc welder’s torch almost directly overhead. Red-winged blackbirds sang conk-la-reeeee! while brown thrashers flitted among the emerald green leaves of the thickets at the edge of a long and narrow ten-acre woods on the west side of the field. Various warblers trilled rapid arpeggios, showing off their virtuosic talents. The “chuffy” soil (Robert’s adjective) lay fluffed: the perfect bed for the kernels of corn to come. Robert spent many minutes going one direction before turning at the edge of the big field and going back, over and over again. Suddenly, he wondered how the nose of his tractor could be pushing against the rusted wire of an old fence along the northern border of Uncle Marshall’s farm. Robert flew into action, stopping the tractor before it was damaged. He had fallen asleep, and the tractor had kept going straight when Robert should have been turning. By repeatedly backing up the short distance that his tractor could go before the drawbar of the disk would be turned too far to one side, Robert finally was able to make the turn with the corner of the disk missing the rusty fence by a whisker. “Now, take a mental note,” Robert said aloud to himself. “You dare not fall asleep while operating a tractor. You must stay awake at all times.” He stopped the 560 and walked around to look at the nose. The paint was so strong in those days that there was not so much as a scratch from where the tractor had pushed against the wire. Robert felt relieved that he had done no damage. When he regained the by-now hot black seat, he laughed at the sight of the last pass he had made, for it angled on a slight curve to the left from the moment when slumber had overtaken him. No harm done! He could go back over that part in reestablishing a straight line. To keep himself awake, he watched for flint knives. Beginning in the Archaic Period and continuing through the Woodland Period, Native Americans had lived on the land of which Uncle Marshall’s farm was a small portion. A heavy sprinkling of flint chips in an arc surrounding the lower area of the field suggested that, from at least eight thousand years before Christ, knife makers had surrounded the pond. The Akers family had acquired the part of Uncle Marshall’s place to the south of the road. On that land and in the surrounding fields that had already belonged to the family, Bob, a veteran of World War II who had earned the distinction of having driven a car on the Alaska Highway and who epitomized what the noun “gentleman” means, had amassed a vast collection of artifacts including gorgets, bannerstones, pipes, mortars, pestles, axes, and seemingly countless flint pieces. Clearly, thousands of years of habitation had left their mark on the landscape across the road. As Charles was attending Indiana University, Robert discovered that he could conveniently take artifacts to be identified by Dr. James H. Kellar, the first director of the Glen Black Laboratory of Archaeology on the Bloomington campus and an expert on Angel Mounds near Evansville. Robert could not have foreseen that, in the future, he would take fifteen hours of anthropology courses, including Dr. Kellar’s upper-division archaeology course, and that, when Robert was finishing his undergraduate degree, Dr. Kellar would offer Robert the opportunity to take a graduate student position at the laboratory—an opportunity that Robert would forgo to pursue a master’s degree in creative writing, instead. While Robert was yet in high school, he decided he could examine farmers’ collections of artifacts, draw sketches of them, and have Dr. Kellar review the sketches, thereby making it unnecessary to transport heavy collections to Bloomington for identification. Robert sketched many pieces in a large collection that Pete Thurman had made and that Louise Thurman, a sister of Robert’s Great Aunt Margaret and a former teacher who had taught Joe, let Robert peruse for the several days that were required to make the drawings. Robert also sketched a number of Bob’s exquisite pieces from his farms and from the portion of Great Uncle Marshall’s land that Bob had acquired. When Professor Kellar paged through Robert’s sketches, he said, “Until I met you, I had no idea there were artifacts in Warren County, let alone such a concentration of them.” Dr. Kellar began sharing his findings with archaeologists at other universities. Immediately, Bob took a keen interest in learning all he could learn about the cultures that had produced such masterful utilitarian pieces and such artistically fashioned stonework. Within a few years, Bob had attended archaeological digs and had taken part in workshops and classes offered by faculty representing several universities. Bob was responsible for an eventual scholarly exploration of an earthen mound on Don Akers’ farm northwest of Pine Village. Bob became a familiar figure in the study of the ancient cultures of Warren County. While Robert was in his junior and senior years of high school, he and Bob had many discussions about artifacts. Quite often while tilling the soil, Bob would discover another piece, and, at his earliest opportunity, he would show it to Robert, who might share a fact that he had learned from Dr. Kellar. “Is that right?” Bob would ask, adding, “I thought this piece looked to be a good one.” Ever kind and considerate, Bob would ask Robert, “Do you suppose the people were becoming less nomadic even earlier than was thought? That might account for why there are so many of these artifacts here.” Then Bob and Robert would spend a happy hour conversing about the possibilities to be deduced from the kinds of materials that had turned up. Robert and Bob soon learned that one of the best times to find flint knives and other pieces was in the spring soon after rain had washed the surface of fields that had been recently plowed and disked. Both became adept at stopping tractors in the nick of time to hop down and pick up a beautifully shaped knife just before the disk would have run over it. Frequently, only the edge of the knife was revealed above the soil. Keeping a sharp lookout became a goal, especially when disking. Robert’s imagination continually roamed over what the ponds and marshes must have looked like before European descendants began to tile the soil for farmland. He tried to picture bison finding their way between wallows in the pockets of prairie grass like islands amid bogs. The land must have been good for hunting. Once, during a full moon, Robert wondered if flint knives could be seen by moonlight, so he drove his 1953 Packard to Uncle Marshall’s farm. He walked slowly along the slight ridges left by the disk, but he soon realized that the light was not strong enough. A fog was forming in a thin blanket near the ground in the lower area where the pond had once been located. Robert stood watching the fog slowly swirl. He could easily picture the fog as water. Before long, he envisioned the people who were living along the edge of the pond. They had eaten their dinner and were settling down for conversation and story-telling. A man turned, saw Robert, and beckoned to him. At that instant, Robert’s hair stood on end. He knew that everything he had pictured was nothing more than a product of his imagination, yet he felt a time-defying presence in the land. Jogging over the ground, he jumped into his car, started the motor, turned on the headlights, backed into the road, and drove home, vowing that he would never again risk returning to that farm at night. Chapter 30: The Corn In the spring, Robert was privileged to help his father plant corn, as well as soybeans. If the disking were finished, Robert waited beside the Chevrolet pickup until it was time to restock the four-row planter. From a bag, he poured corn—coated pink with captan—into the hoppers, which were covered with neat lids. When a bag was empty, he dropped it behind the planter and placed a heavy clod on the bag to hold it against the wind and not have to go chasing it across the field. He opened bags of fertilizer, which had a lightly acrid scent. Robert thought that, if a rock could rot, it would smell like that. The fertilizer was poured into the receptacles behind the corn hoppers. Joe would start back through the field. He would pull the string that tripped the arm that dropped with a pleasant metallic sound to one side, so that the small disk at the end of the arm could spin and send up a little cloud of dust while it laid down a groove that would enable Joe to know exactly where the nose of his tractor should go for the return trip through the field. The warm sky was bright azure. White clouds like cotton balls sailed along. Birds sang in the narrow thickets beside the field. The sunlight was vigorous. To be outdoors and breathing such fresh air was a joy. Spring planting days afforded pure contentment! Next came the cultivating, which Robert tolerated—especially after he “got on the wrong rows” the first time and eradicated corn for a distance the length of two tractors before he managed to stop. Robert learned to cultivate. He had to! But cultivating corn was an acquired skill, analogous to an acquired taste. He had to be ever vigilant so as not to wipe out corn plants, and such attention to detail interfered with his preference for exercising his imagination while daydreaming. In the fall—sometimes as late as Thanksgiving—Joe picked corn. On a cool day, wearing his boots—each with four buckles that looked like miniature furnace grates—his blue denim coat, and his warm corduroy cap with ear flaps, he first strode into the field among the cornstalks, pale yellow, tan, and dry. The stalks were spaced a few inches from one another, and the rows were fairly widely spaced—enough for Joe to pass between two rows without having to brush the leaves aside. Selecting an ear, he pulled back the husks to examine the corn. Through experience, he could detect whether the corn might be ready for harvesting. He tried another ear and another, holding between his elbow and his ribs those ears that he had already examined. Later, he broke the ears into thirds and gave the pieces as treats to the cows. The skies already hinted at the winter to come; it was a pale Turkish hue with cold-looking, vague streaks of cloud lacing them. The daylight seemed strained through thin silk. Joe tramped back to the barn and set down the ears of corn he had collected. He backed a tractor up to his two-row pull-type corn picker parked under the leafless hedge apples. After hitching up, Joe had returned to the seat of his tractor in a jiffy. All that remained was to hitch the tractor and picker to a wagon. Joe was excellent at backing up and often tried to explain the intricacies to Robert, who could not comprehend where the tongue of, say, a corn picker would go while the tractor reversed. Then Joe went to the field with his tractor, corn picker, and wagon in procession. With the air just cold enough to turn his cheeks rosy, Joe started into the field. Ears of corn began falling from the elevator of the corn picker into the wagon. Two rows at a time, Joe slowly passed through the field. The corn harvest was underway: the reward for the hard work and the expense of planting and cultivating. Picking corn was a one-farmer job, so Joe picked corn alone. Robert could not help. Besides, corn picking was considered too dangerous for Robert. Although he could not help, Robert enjoyed coming to the field to watch his father and to chat with him for a few minutes. Robert thought the corn picker resembled a weird rocket with three noses. As evening drew in, the sky turned yellow with a touch of chartreuse. Near the horizon, orange with traces of rose spread into pink haze above a mauve tree line far away. Indistinct gray masses of cloud hung motionless just above the distant farmhouses and barns. Joe pulled the last wagon of the day toward the barn, where he would store it temporarily. For the rest of his life, Robert would cherish the memory of his father picking corn as if Robert were looking at an old snapshot in a picture frame. Chapter 31: The Past In 1956, the National Safety Council, working with automobile associations, reached agreement on a standard size of automobile license plate with mounting holes in the same places on all plates. Those plates issued in Indiana in 1955 complied with the new regulations. When Robert was in third grade, the Indiana Bureau of Motor Vehicles began issuing plates with a one- or two-digit prefix assigned to each county alphabetically, with the large-population counties of Marion and Lake receiving additional prefixes. Robert’s home county, Warren, was 86. Letters of the alphabet after the prefixes represented further refinements in coding the locations, as in 86A or 86B. When Robert was in the fourth grade, the postal service began recommending the use of two-letter abbreviations representing the various states, but most people continued to use “Ind.” The abbreviation “IN” was not in common use until sometime after the Zone Improvement Plan, or ZIP Codes, became mandatory for bulk mail in 1967. Robert did not like the two-letter abbreviation because he thought the way he formed his handwritten I looked confusing with his handwritten N. He resorted to printing the “IN”—which he thought looked strange when the rest of the address was written in his longhand, or cursive. In the 1960s, dialing only numbers became the common method for using a telephone to call someone. The dialing was done, in fact, with a dial, which had holes to accept the fingertip used to spin the dial the correct length for each number. To accommodate more than one party on the same line, the ring pattern indicated which house was being called; for example, with two parties, the phone would ring with long rings in rhythmic succession to indicate one home and with two short rings followed by slight pauses to indicate the other home. By the early 1970s, men’s hair had become long. In the early 1960s, the Beatles had begun to change attitudes about men’s haircuts, but it was not until 1971 and 1972 that the hairstyles of men in such rural communities as Pine Village had made the full transition into long hair. In the decade after Robert graduated from high school, the caboose would vanish from the train while the pump would switch to self-serve gasoline. Such changes as license plate sizes, license plate numbering, state abbreviations, ZIP Codes, dialing phone numbers, and men’s hairstyles were noticeable. Other changes were less so. In the 1930s, metallic oxides, such as rust, were used by paint manufacturers to make a cheap—but poor quality—paint for barns and outbuildings. When Robert was small, several barns in rural Indiana were painted cheaply, and the color was nearly a dark orange with much of the wood grain showing through, as if the building were stained, rather than painted. Joe referred to the orange hue as “turkey blood” because, when the earliest painting of barns occurred, some milk-based paints had been mixed with blood to form a red color. Throughout the years that Robert was in the Pine Village School, fewer and fewer barns were coated with the rusty orange paint. In 1900, when the U.S. population was a fraction of what it would become, more than twenty million gallons of sorghum were produced. Sorghum is a cereal grain that is harvested for human consumption in some parts of the world. Benjamin Franklin wrote about using sorghum straw for brooms, but not until a century later was sorghum widely cultivated in the U.S. The Fourteenth Annual Report of the Ohio State Board of Agriculture (1859, published in 1860) announced that the state fair had witnessed “many samples of syrup of the Sorgho, or Chinese Sugar Cane.” As late nineteenth-century homes had gallon containers of sorghum syrup (a.k.a. sorghum molasses) to pour on buckwheat pancakes, to sweeten baked beans, to make cookies, and to flavor bread, there was widespread interest in techniques for boiling the juice from the crushed sorghum stalks to transform into syrup. According to the Report of the Commissioner of Agriculture for the Year 1867, 6,698,181 gallons of sorghum molasses were recorded in the census for 1860. Indiana, Illinois, Iowa, and Missouri were responsible for approximately half the total production in 1867. When Robert was small, fields of sorghum were not uncommon. By the time he was in high school, sorghum had virtually vanished. During his years in the Pine Village School, more and more farm families quit using molasses. Syrups were readily available in grocery stores. Molasses could be added to livestock feed; for example, Joe often asked the Pine Village Feed Store to add molasses to the ground feed that he purchased to serve his Holsteins on Christmas Day. Joe wanted his cows to have a special treat. Ground feed was usually a light sandy color; the molasses feed looked like light brown sugar. Over the course of Robert’s childhood, farms were gradually becoming larger and less diversified; accordingly, fewer farms raised livestock. Incrementally, livestock fences were torn down, and fields of corn and soybeans were planted right up to the roadside ditches. Molasses and fields of sorghum became relics of the past. Little by little, the old ways were disappearing. Joe told Robert that Don Akers and he had once put a floor in a bridge over the dredge ditch on the Thomason place. Three trees, fourteen inches in diameter, served as beams, and planks were laid at right angles over the trees. “It was almost dark by the time we got those last planks in place,” Joe said. He and Don dipped 60-penny nails in a can of grease and pounded them down. A new moon came up. “If the old-timers are right,” Joe said to Don, “the nails will pop up.” ... and, sure enough, every month, the nails kept working up, according to Joe. Such a notion—even one unsupported by scientific inquiry—was a thing to be appreciated, as it contributed to the spice of life, if nothing else. There were jobs to be done during a new moon, when the light of the moon was absent from the sky at night, and jobs to be done during a waxing moon. Activities for the new moon included planting root crops, such as potatoes, and making sauerkraut. Those for the waxing moon included planting vegetables that are harvested above ground and butchering hogs. Pork produced during a new moon would shrink and turn tough when cooked. Ida warned Robert never to thank anyone for a plant because doing so would cause the plant to wither away and perish. A common occurrence in the spring and fall was the trading of plants among rural women. Mrs. Bowen would pull into the driveway, open the trunk of her car, and haul out a bucket full of daisies in the springtime or a bucket full of iris tubers in the late autumn. “I thought you’d want some of these,” she would say to Ida, and Ida would stop whatever she had been doing and would gleefully take the time to choose a location and to plant the contents of the bucket—while sharing the latest news with Mrs. Bowen. In turn, Ida would dig peonies or poppies or crown imperials to take to Mrs. Bowen, as well as other women in the community, and no one ever said so much as a “thank you.” Such superstitions lent charm to living. While some superstitions persisted, many others gradually disappeared. Chapter 32: The Indiana State 4-H Band In the second summer that Robert participated in Ouibache, he played clarinet in the Indiana State 4-H Band. It was the summer before his junior year, and the big concert band was 116 members strong. The director was Roger C. Heath, who was an assistant director at Purdue University. He would go on to found the band program at Virginia Tech. He had earned his degrees at the University of Colorado and had taught in Montana before coming to Purdue. Heath had assembled a challenging concert for such a young concert band with limited rehearsal time. Part I included “Slavonic Folk Suite,” and Part II concluded with “Stars and Stripes Forever.” The director tolerated no monkey business, and he demanded excellence. Robert’s jaw grew tired from playing passages again and again with only seconds of instruction in between. Everyone felt increasingly on edge. During the rare breaks, band members discerned that Mr. Heath was displeased. The final rehearsal before the concert was tense. “Trombones,” Mr. Heath said, “that passage must be cleaner. Try it again!” He gave the downbeat with his baton. “No! Cleaner! Try again!” Another downbeat. “Still not clean enough! Again!” Next, the tempo was of concern. “Band, you are rushing!” Mr. Heath said. “Keep your eyes up here, and keep the tempo with me!” The band played the passage again. “Still rushing! Still not looking up here!” The volume was a problem. Mr. Heath said, “The audience wants to hear the piccolo. You must bring down the volume!” The band played the passage again. “Still can’t hear the piccolo! Still not bringing down the volume! Again!” The band played the passage another time. Finally, there was no time left. Mr. Heath set down his baton and stared at the band for several seconds. “This evening,” he began, “I will be all smiles and roses, no matter how well or how poorly you perform. At the end, I will still be all smiles and roses, but, if you have performed poorly, I will not tell you that you performed well. I will simply say nothing.” With those words, Mr. Heath turned on his heel and was gone. On that Tuesday evening, June 30th of 1970, the band members slowly filed onto the stage of the vast Edward C. Elliott Hall of Music for the Seventh Annual Concert of the Indiana State 4-H Band, to perform for the public during the Fifty-Second Annual 4-H Club Roundup. Robert felt dread all the way to his toes, and his stomach kept doing somersaults. He could not remember ever having been so nervous before a band concert, although he certainly had experienced nervousness before many a piano solo. He took his place amid the clarinet section. (A few years later, he would be first chair of the second clarinets in the famed Indiana University Marching Hundred, and, in Robert’s senior year in college, he would be named the Outstanding Bandsman, an honor he would share with drum major Fred Kelly.) Wearing a black suit and bow tie, Mr. Heath stepped onto the stage to the applause of the packed hall. He was all smiles and roses. During the intermission, he was all smiles and roses. At the end of the concert, he remained all smiles and roses. Robert breathed a big sigh of relief when the program was over. The music had made a hit with the audience, for the applause was like thunder. After bowing, Mr. Heath turned to the band and said, “You—were—excellent!” enunciating each word so that he could be heard over the applause. He immediately pointed to the piccolo player to stand for special acknowledgment; then he waved all the band members to their feet to be congratulated. The next summer, Robert was back for more. The director of the 1971 Indiana State 4-H Band was William D. Kisinger, also an assistant at Purdue. Affable and easygoing, Mr. “Bill” Kisinger greeted the 111 band members warmly. With his head held high and his chin up, Mr. Kisinger said, in his characteristic rapid pattern, often nodding. “I want to welcome you to the campus of Purdue University and to say how much I’m looking forward to working with you and to tell you that we are going to be making music! We have charts that are really exciting, and we’re going to be a big hit, and the audience is going to love us!” With those positive sentiments, Mr. Kisinger began the rehearsal. He often left the baton lying on the stand and conducted with his hands. Mr. Kisinger was a product of the University of Illinois, which had a tradition of innovation going back to the earliest years of marching band performances at football games. He embodied assurance and confidence. Mr. Kisinger liked what he heard from the 4-H band, and he would like it even more if the trumpets could keep their bells up. Brass instruments were suddenly lifted higher. If an entire section missed a note, he calmly stepped down from the platform, strode over, picked up the music from one of the stands, pointed at it, and said, “Not your fault! Transcription error! There was supposed to be a flat there, so let’s make it a B flat in bar 77, and does everyone have a pencil—if not, there’s one over here—and now we know it’s a B flat in bar 77, so let’s hear it, beginning with bar 75 and one, two, three, four!” He had hopped back onto the platform by the end of his statement and was counting and conducting. He beamed when he heard the B flat, and he went on without stopping. Breaks were timed well, and the ratio of instruction to playing was just right. On a ridiculously hot Monday evening, June 28th in 1971, Mr. Kisinger stepped onto the stage of the Slayter Center, a spacious band shell that looked like Alexander Calder’s answer to Stonehenge supported by an enormous tripod. The stage was only seven years old. Mr. Kisinger was in a short-sleeve shirt and wore a 4-H cap. Every moment of the concert was fun. When the band performed a medley of songs from West Side Story, Robert could hardly believe his ears: “Tonight” had such a sumptuous sound, and “America” had such a driving rhythm! The hill stretching away from the stage was so full of families sitting on blankets that almost none of the green grass was showing. At concert’s end, with one accord, the audience stood to applaud and applaud, until Mr. Kisinger announced an encore number, for which he had planned all along and which the band had rehearsed. From his two years in the Indiana State 4-H Band, Robert took away the realization that excellence can result from at least two divergent methods: from strict discipline leading to the attainment of a high standard or from amiable collaboration bringing about a joy in a job well done. In the spring of 1972, he auditioned for Mr. Frederick C. Ebbs, director of bands at Indiana University, and was accepted into the renowned Marching Hundred. Robert wondered which pedagogical styles directors Mr. Ebbs, Mr. Ray Cramer, and Mr. Wilbur T. England would evince. Chapter 33: Ben-Hur Robert had been selected as a delegate to the 1971 Rural Electric Membership Corporation Youth Tour of Washington, D.C. The bus taking the Indiana delegation first to Gettysburg, Pennsylvania, was to leave Indianapolis at 2:00 in the morning, so as to arrive at the battlefield by 8:00. The evening before departure, Robert saw the 1959 movie Ben-Hur at the Devon Theater in Attica. He had never seen it before. Joe and Ida reluctantly turned down the opportunity to accompany Robert, as they felt they were too busy just then, so Robert drove himself to the theater. Many years earlier, Joe and Ida had taken Charles and Robert to see Lew Wallace’s study in nearby Crawfordsville. Lew was the author of Ben-Hur: A Tale of the Christ, which was published on the 12th of November in 1880. Lewis was born in 1827 in Brookville. Lew’s father, David, a lawyer, moved his family to Covington. Lew’s mother, Esther French Test, died in 1834. In 1836, David married Zerelda Gray Sanders. By 1837, David had been elected Governor of Indiana, and he moved his family to Indianapolis. When Lew was thirteen, he was enrolled in a private academy in Centerville, where a teacher encouraged him to develop his talent for writing. While Lew did not see combat, he did serve in the Mexican–American War. In 1849, Lew was admitted to the bar and became engaged to Susan Arnold Elston, with the marriage taking place in 1852. He moved to Crawfordsville in 1853. At the outbreak of the Civil War, Governor Oliver P. Morton invited Lew to recruit volunteers for the army. Lew was soon promoted to the rank of brigadier general. He became something of a scapegoat when the victory at Shiloh came under heavy criticism for the high number of casualties. The injury to General Wallace’s military reputation was a topic he returned to repeatedly during the rest of his life. General Grant eventually modified his earlier criticism, thereby helping exonerate General Wallace. Meanwhile, Wallace distinguished himself by preventing the capture of Washington, D.C., by the Confederacy. President Rutherford B. Hayes appointed Lew Wallace to the governorship of the New Mexico Territory, where Wallace spent three years. He completed the manuscript for Ben-Hur while living in Santa Fe; he had begun the work while living in Crawfordsville. President James A. Garfield then appointed Wallace U.S. Minister to the Ottoman Empire in Constantinople, Turkey, where Wallace lived for four years. In 1900, Ben-Hur had outsold Harriet Beecher Stowe’s Uncle Tom’s Cabin. Between 1895 and 1898, Wallace built a study adjacent to his home in Crawfordsville. As Robert entered the Devon to see the movie Ben-Hur, he thought back to the park-like setting where the brick study with its Byzantine, Greek, and Romanesque influences stands. He remembered the tower and the domed copper roof with its skylight. He also remembered the chair in which Lew Wallace sat while writing Ben-Hur. Most of all, he remembered Wallace’s art, for he was an accomplished painter. As Robert took his seat in the Devon, he was within a short distance of the location where another writer, Bernard Sobel, had been born in 1887, the same year that Robert’s grandmother Kosie was born. Sobel’s father, Nathan, manufactured cigars at the family home on the north side of Washington Street not far from the corner formed with McDonald. Robert could easily have walked there from the Devon. Nathan and wife, Hattie, moved their family to Ferry Street in Lafayette. Eventually, Bernard attended Purdue, where he played violin in the orchestra. He made his way to New York City, where he became a drama critic for the New York Daily Mirror. Bernard Sobel handled publicity for several Broadway producers. Among them were both A. L. Erlanger, who (with Marc Klaw) produced the 1899 stage version of Ben-Hur as dramatized by William W. Young, and Flo Ziegfield, who held an interest in the 1925 silent film of Ben-Hur. Sobel wrote numerous articles and a handful of plays. Between 1931 and 1961, Sobel published seven books. In preparation for viewing the movie, Robert had read General Lew Wallace’s Ben-Hur: A Tale of the Christ. Robert even had made for his brother a plaster Nativity set that Robert had painted according to the colorful descriptions given by Wallace. Robert marveled at the spectacular scenes and the breathtaking action. He particularly enjoyed the music of Miklós Rózsa. Robert exited the theater inspired by director William Wyler’s Ben-Hur, the MGM blockbuster based on a novel by a Hoosier author. As the movie lasted nearly four hours, Robert had little time to sleep before his parents drove him to Indianapolis for the trip to Gettsyburg and Washington, D.C. Chapter 34: The Youth Tour For a week between his junior and senior years in high school, Robert participated in the Rural Electric Membership Corporation Youth Tour of Washington, D.C. Delegates were chosen through the state 4-H organization in a fairly selective process. The bus left Indianapolis in the wee hours of Monday morning so as to arrive in Gettysburg, Pennsylvania, for a visit to the battlefield at dawn. Robert noted the low ridges that the soldiers formed for their protection. Fog crept across the ground of Pickett’s Charge. The vapor swirled as if churned by wounded soldiers walking back to the woods. The hills and patches of meadow could have been idyllic, but the landscape seemed weighed down by the carnage that occurred there. The guide took the group past monuments, markers, and statues, including the new Indiana monument. Ultimately, the students ascended Little Round Top and looked down upon Pennsylvania’s Elysian Fields. Later that day, the enormity of the Capitol impressed Robert—especially when he stared at the ceiling of the rotunda. A young guide exclaimed, “You’re all from Indiana? Far out!” A tour of the Supreme Court Building included the courtroom with its red plush curtains hanging between pillars. Robert found the atmosphere dark and forbidding. As each chair was different, the chairs became the judges—in Robert’s imagination. After the group relaxed at the Marriott Twin Bridges Motor Hotel, the delegates from all the states took part in a boat cruise past Ladybird’s Fountain, jutting high above the Potomac and lit by colored lights. Tuesday morning found the Indiana group at the National Rural Electric Cooperative Association (NRECA) Building. Arthur Mitchell, NRECA director of youth activities, kept the delegates laughing with his “Johnny Carson” style of humor. At the Rayburn House Office Building, delegates from Robert’s area of Indiana met Congressman John T. Myers, who represented the Hoosier State’s Seventh Congressional District, and Congressman William G. Bray, who represented the Sixth Congressional District. Robert sat next to Congressman Myers at lunch. A waiter gestured toward Congressman Myers and said, “This is the nicest man in the House.” Then the bus took the students to the Smithsonian Institution. Robert was mesmerized by the Hope Diamond, although he considered rumors about its curse both unfounded and silly. Robert appreciated seeing a mockup of the Apollo Lunar Module. Robert found the Iwo Jima Memorial imposing. The struggling forms of the statues called to his artistic spirit. The Lincoln Memorial and the Thomas Jefferson Memorial were visited in turn. Robert found the quiet of the Jefferson Memorial a peaceful change from the chatter of tourists elsewhere. He looked out upon the great rippling bay with its reflection of the Washington Monument. On Wednesday, the delegates from all the states filled a ballroom at the Marriott where they listened to a speech by Senator George McGovern, who was running for President of the United States. Then buses took the students to the South Lawn of the White House, where Secretary of Agriculture Clifford M. Hardin, from Knightstown, Indiana, greeted them. Secretary Hardin had hardly begun his prepared speech, when he was interrupted by President Richard M. Nixon, who put in an unscheduled visit. Secretary Hardin glanced over his shoulder, saw the President, and said, “Well, here is a man I think you all know. May I introduce President Richard Nixon.” “I saw these young people gathered here, and I thought I should come say ‘hello,’” President Nixon said. Robert happened to be standing only ten feet from the podium, so he had a close view of the Thirty-Seventh President. Robert heard hardly a word of President Nixon’s extemporaneous speech, but he knew it focused on the importance of the 1970 Farm Bill. Thursday began with a tour of the Washington Monument. Robert took the stairs from the top of the obelisk back to the ground. Next, the bus transported delegates to George Washington’s Mount Vernon. Robert stood silently before the graves of George and Martha Washington as he tried to imagine the Colonial Era. Robert doubted that the people who lived in the past could ever have felt that anything was new and fresh. They wore historical clothing, they lacked present-day conveniences, and they depended on primitive means of travel, such as sails and horses. They might have felt glum. They might have sighed, wistfully wishing they, too, could live in the 1970s. Robert tried again to picture that, in George and Martha’s day, the present moment was just as present to them as the present moment was to him. Their lives unfolded as a succession of surprises, for their history was not yet written. All at once, Robert felt that George and Martha could walk around the corner of their home and say hello to him. Robert was surprised to learn that George and Martha Washington’s house was sided with yellow pine that was rusticated to give the illusion of sandstone blocks with beveled edges and that it was painted with sand paint. Later, the guide at Ford’s Theatre said that planning was already underway for a salute to entertainment that would star Bob Hope and Raymond Burr in the autumn. Despite the bright lights, Robert felt a gloom lingering about the stage and the box where tragedy had occurred on Good Friday of 1865. The black cloud of melancholy hung thickly over the Petersen Boarding House across the street where Lincoln had been carried. Later, at Arlington National Cemetery, Robert stood at the grave of John F. Kennedy during the changing of the guard. He could hardly believe the number of graves of those who had lost their lives in Vietnam. On Friday, Robert and the other delegates from Indiana toured the Vietnam Embassy before going to the Washington Zoo, where Robert found the gorillas and the elephants fascinating. When Robert returned to Indiana, he felt a growing affinity for the study of American history—a fact that might help to explain why he would eventually earn a PhD in early American literature. Chapter 35: The Sectional Pine Village had won the sectional basketball contest only five times: 1921, 1922, 1934, 1939, and 1941. Thirty-one years had elapsed since the last win. Calling 1972 the “Year of the Village,” the cheerleaders, the Pep Club, and the Booster Club shared the view of Mrs. Cottingham, a teacher who was serving as guidance counselor: “This is our year.” Coach Bill Barrett said, “We have to be ready mentally to play the game. I feel we’re the best team in the county—the ability is there, and we’re twenty points better than any team in the sectional.” As editor of The Chrome-Plated Clipboard, the school newspaper, Robert did all he could to support the team. Pine Village won the first game of the sectional by beating the Fountain Central Mustangs with a score of 83 to 67. Robert distributed a hundred purple Ditto sheets as souvenirs. “Friday night will see the contest where the team and the fans alike must strive with every ounce of strength and spirit to overpower the Seeger Indians.” Coincidentally, the weights of the team members added up to 1972 pounds; their heights, to seventy-two feet. In all the years that Robert had attended the school in Pine Village, basketball games were exciting occasions. The architectural design of the gymnasium lent itself to a feeling of immediacy—with everyone seated so near the court! The elongated-dome ceiling trapped the cheers of the crowd and magnified the sound until the noise could be described as “deafening.” Cokes and popcorn were available down a flight of stairs and around the corner in the bay area of the shop and agriculture classroom on the north end of the gym, but students carrying wire baskets hawked soft drinks up and down the aisles between the benches. Members of the band in their blue uniforms with silver buttons, white stripes, and white braids gathered for the half-time show. Basketball games were the principal entertainment of the farming community. Everyone, it seemed, turned out for the contests. The parking lots were full of cars and pickup trucks. In 1972, farmers talked about the 1954 team from Milan, Indiana, that achieved the Milan Miracle, winning the Indiana High School Boys Basketball Tournament Championship at the Butler Field House in Indianapolis. Could Pine Village be another Milan? One by one, the small schools across Indiana were falling—merging into consolidations. Such small schools had grown accustomed to losing to teams from the big cities of the Hoosier State, but now those local schools that remained also faced tough challenges in overcoming teams from the consolidated school districts. Joe had been present for Pine Village’s 1934, 1939, and 1941 sectional championships, and he had listened to the Milan victory on radio. He wondered if the heyday of Pine Village basketball had already occurred in the 1930s and early 1940s, but he hoped the halcyon time lay yet ahead. In the weeks leading up to the 1972 sectional, townspeople who happened to meet on the sidewalk or at the elevator or post office or who were gathering for church services talked anxiously about the team’s chances. Years later, Robert would be a clarinetist in the Indiana University Pep Band at two NCAA championship games when IU emerged the victor, and he would remember the Pine Village sectional games as fitting in the same thrilling category. The sectional final game between Pine Village and Seeger felt unreal. Robert sat next to his cousin Pam in the Pep Club seats. Pam and Robert yelled until they were hoarse. They were continuously leaping to their feet. These players on the court were their friends, and their friends were playing their hearts out to win. Once, Robert had reflected in print, “For Pine Village to cheer forward its team in this game in this way is truly fine! This brings our small world together!” Robert glanced across the intensely emotional faces of townspeople and of neighbors such as Mr. Reed, driver of the team bus, and Mr. Brutus, driver of the fan bus. The noise was like that of an agitated ocean crashing on a rocky shore. Robert could see people shouting, but he could not distinguish their words amid the roar. The cheerleaders sustained frenzied cheer after frenzied cheer without pause. This was glory! Hope and fear wrestled in the countenances and the gestures of all from young to old. The team raced back and forth in a fast-paced matchup that the strongest defense could not slow. Mr. Barrett cupped his hands like a megaphone and yelled instructions to his team. Mr. Owens, the assistant coach, paced the sideline like a lion in a cage. With a fierce expression, Bax Brutus guided the total team effort of Pine Village. Each time the ball flew up, a collective breath was held. When it slid straight through the hoop, the noise from one side surged. Before Robert could comprehend what had happened, the clock ran out. Pine Village had won with a score of 76 to 72! On the blue side of the court, pandemonium reigned. It was indeed the Year of the Village. Even though the team eventually lost to Benton Central in regional play, it had broken the spell and had won the sectional. The team’s victory had proved that hearts and minds—collaborating with confidence and skill—can attain high goals. Chapter 36: The Convention Center and the Commencement Robert’s senior year demanded effective use of time. His responsibilities included editing the newspaper, editing the yearbook, serving as class president, competing in the regional and state piano competitions, and auditioning on piano at Indiana University. One of his lighter duties was giving a short talk at the Prom. He handled that obligation well enough, but he and his classmate Susie also had to dance the first dance—a burden less assured of adequate attainment. By the time the dance rolled around, Susie and he were having so much fun joking with their friends that worries vanished, and they gave a lighthearted and carefree demonstration of their dancing prowess (or, in Robert’s case, lack thereof). The newspaper staff had made money. Toward the end of the academic year, the members and their advisor, Mrs. Nealon, discussed what to do with the profits. The staff decided to attend Sammy Davis, Jr.’s concert celebrating the Gala Grand Opening of the Indiana Convention Center in Indianapolis on the 18th of May. After driving to the capital city and walking from a nearby parking garage, the group slowly made its way down a packed hallway beyond the foyer of the Convention Center. The scents of new construction and floral perfume mingled in a heady atmosphere. The concertgoers were dressed to the proverbial nines. Eventually, the students and their advisor found their seats in the vast exposition hall with its stage at one end. The huge space was just as redolent of fragrance as the hallway had been. Robert thought the predominant tones in the bouquet were peach mingled with jasmine. At 8:00 p.m., the lights dimmed so much that, to all intents and purposes, they went out. Simultaneously, the stage was lit with brilliant spotlights. When Sammy Davis, Jr., walked out, the applause was pure thunder. Having starred in eleven movies, having released over thirty albums, and having had two hits on Broadway, the entertainer was poised to become one of Los Vegas’ most enduring performers. Davis performed “Gonna Build a Mountain,” “What Kind of Fool Am I?,” “Black Magic,” “I Gotta Be Me,” and “Hey There.” The star whose “Here Come de Judge” skits on Rowan & Martin’s Laugh-In and whose other TV appearances had made him a household name, entertained the audience with ceaseless energy and boundless warmth. It was one of the rare times in Robert’s life when he thought he might have to pinch himself to see if he were awake or only dreaming. For the rest of the summer before Robert left for college, he thought of the trip to the Convention Center whenever he heard Sammy Davis, Jr’s “The Candy Man” on the radio. Graduation offered another of those times when Robert thought he might have to pinch himself. When Robert stood at the podium on the stage in the gymnasium in Pine Village and gave the valedictory address, he heard his voice almost as if he were someone sitting in the rows of folding chairs on the tarps that had been spread to cover the basketball floor. He could hardly believe that he was the Valedictorian—especially after his cousin Pam had come so close to earning the title herself. She was a gracious Salutatorian. While he spoke, Robert thought about the fact that his father and his brother had been Valedictorians at the same school. Had he failed to achieve the same goal, Robert would have felt humiliated. A few days after Commencement, Robert and his mother were drinking iced tea on the front porch. It struck Robert as strange that everything was ending. The school that he had longed to attend when he was but four years of age was now a place he could only visit. He had graduated. Within only three months, he would have no more piano lessons with Miss Jamieson. Even his room in the house on the farm east of Pine Village would no longer be occupied by him throughout the year but only in the summer. Robert would begin attending summer sessions at Indiana University after his sophomore year in college and would never be home again, except for holidays. Why should such tremendous changes be happening to him? Ida seemed to understand her son’s jumbled emotions. “You’ll be in college soon,” Ida began. “I want you to call and write as often as you can. Tell me about what you’re reading.” She paused to sip her tea. “College won’t be the same as high school,” she continued. “Through your classes, you’ll have experiences that, right now, you can’t even dream of having.” Again she paused. “You’ve been very successful in high school,” she went on. “College will be much more difficult. You may not succeed—” “Oh, I’ll make sure I succeed,” Robert interrupted. Ida smiled. “I wonder if I was as confident when I was your age,” she said. “You always prepare thoroughly, and you anticipate what lies ahead. Maybe there will be no limit to what you can accomplish. All I can tell you is to study hard and to listen closely to what your professors say. You can always turn to your brother for help and advice.” She paused once more. “You should slow down once in a while to look at where you’re headed because you don’t want to look back at the end of your life and realize you missed it. You tend to drive yourself, and I wouldn’t want you to forget the enjoyment along the way.” Robert appreciated his mother’s insights. He looked above the young corn plants in the field across the road. The rows stretched toward a cobalt blue line of distant trees. He knew he would soon be leaving the farm, and he wanted to take vivid mental pictures to serve as clear memories later on. Yes, if he had to leave the farm, he was surely going to take the farm with him. Chapter 37: The Competitions Miss Jamieson had honed Robert’s music to the point of a gleaming polish. He practiced several hours every day. To prepare for the regional and state music competitions, he tested his memory by picturing exactly which keys were to be played by the proper fingers from the first note to the last. If he were uncertain, he played the edge of a desk or table as if it were a keyboard while he concentrated on the key that was not clearly seen in his mind’s eye. If—after treating the desk or table as an imaginary keyboard—he still could not know precisely which key it should be, he took out the score, which he always carried with him, and checked the passage that was in doubt. Eventually, he could play the movement of the Beethoven sonata in his sleep. At the regional contest, Robert knew the piece so well that he experienced no nervousness. With utter confidence, he performed the movement flawlessly and received a perfect score in return. Next up was the state competition. Miss Jamieson met him in the hallway of the building on the Butler campus in Indianapolis. She smiled. “Well, Ro-BAIR, this is it. Remember that you play the piece better than anyone.” “I will play it,” Robert said, “for Beethoven. He wouldn’t want his music performed badly.” “Oh, Ro-BAIR! Only you would put it that way!” The time had come. Robert entered the large room and handed the score to the judge, a thin man in his fifties with a most serious expression on his face despite the bright red slacks he was wearing. Miss Jamieson had taught Robert to relax, particularly from the waist, through the shoulders, to the elbows. He sat on the bench and deliberately slumped forward, taking all tension away from his upper body. Then he turned to the judge. “Whenever you’re ready,” the judge said. “This is your last time to participate in a state piano competition,” Robert thought. “Let it be your best but let it be fun!” With joy and inner peace, he launched into the Beethoven, silently singing the melodies. When the last note died away, he believed he had played as flawlessly as he had at the regional competition. Taking a deep breath, he pivoted on the bench and remained sitting while he looked at the judge. “That,” the judge said, pausing dramatically, “was perfect in every way. I am giving you a perfect score. It is the only perfect score I will give all day because I am confident I will hear no other performance equaling yours. But are you aware that you play with your mouth open?” The judge made a face imitating Robert’s face. “When you do that, you look like a moron! Keep your mouth shut! You may go.” Robert smiled, knowing full well that he would not take the judge’s advice—and Robert never did, preferring always to play with his mouth open so that he could sing the melodies as Miss Jamieson had taught him. In the hallway was great celebration! Joe and Ida could hardly believe that a son of theirs was walking away with a perfect score from the state competition. Miss Jamieson said, “Formidable! My Ro-BAIR is now a virtuoso!” Still ahead lay the audition for the famed School of Music at Indiana University. At his weekly lesson prior to the trip to Bloomington, Robert played the three pieces that Miss Jamieson wanted him to present to the judging panel. “They will accept you on the basis of your Beethoven,” Miss Jamieson predicted. “They will find your Bach excellent. They will consider your Chopin competent, but you are yet too young to play the Romantics with the depth of feeling that comes only from experience.” She rocked thoughtfully. “Well, Ro-BAIR, this is near the end of the road for us.” “I will write and call often,” Robert promised. “I hope you will,” Miss Jamieson said. “I hope you will. Your music will be under the guidance of someone else, and you will have to take to heart whatever you discern to be the truth in what your professor is teaching you.” Do you envision a career as a pianist? Before you answer my question, I want you to know that the music profession is a mug’s game. The competition is infernal. It can change a person. I would not want to see you transformed by it.” Robert wondered if Miss Jamieson were trying to talk him out of his decision to major in piano performance—if he could pass the audition. He said, “I do also like writing and literature.” Miss Jamieson guffawed. “Spoken like the writer I have come to know! Don’t think I haven’t noticed your gift for wording your ideas! You remind me of Yeats. I met him, you know. You don’t use the same rhythms, but you have the same clarity. And something in your face tells me that you and he share a certain je ne sais quoi—an unusual economy of expression! You could do worse than become a writer. I have a friend in Toronto who has devoted her life to writing, and I must say that, nonetheless, she has been happy. I would like for you to remember this: life is a crapshoot. No matter what career you choose, you will need good fortune on your side before you can be a success. Read philosophy, my Ro-BAIR! Read philosophy! Now, play ‘Happy Birthday.’” Robert stared at Miss Jamieson. “Do you mean the song?” he asked. “Yes, the song! Whatever else could I mean? The judges will ask you to play some song by ear. It could be ‘The Star-Spangled Banner’—oh, you had better hope you don’t get that one! It could be ‘Twinkle, Twinkle, Little Star.’ Practice them, but, for now, play ‘Happy Birthday.’” Robert tried, but he played the wrong chord where a singer would sing the name. “You fell into the trap, my boy! Think minor seven followed by major seven.” Immediately, Robert had the correct chords. As he tromped down the flights of stairs from Miss Jamieson’s flat high above the clothing store, Robert began counting how many more times he would have lessons with his formidable teacher. When he realized how small the number was, he felt his throat tighten. Joe and Ida sat in the hallway of the Music Building at Indiana University while Robert entered the room for his audition. Three judges—two men and one woman—sat in a curve near a Steinway grand. The man with long silvery hair said, “We are auditioning twenty applicants today. You are near the end of the list. If you would like to wait outside until the last applicants have performed, we can tell you whether or not you have been accepted, thus eliminating the need for you to await a letter in the mail. What do you have for us today?” Robert listed the Beethoven, the Bach, and the Chopin. The silver-haired man smiled at his colleagues. “What is your preference?” he asked them. “Let us hear the Bach,” the woman said. Robert motioned toward the bench. “Please!” said the man with the silver hair. Robert sat, adjusted the seat, and began the Bach. He had performed only the beginning of the piece when the woman said, “That is enough.” For a moment, Robert wondered if he had failed to play to her expectations, but he quickly put that thought from his mind, as he knew he had played well. The silvery-haired man said, “Shall we hear part of the Beethoven sonata.” Robert took a breath and began the piece that had earned him the perfect score at the state competition. His mouth was open while he performed. The judges did not interrupt him until he was very near the end. “Ahem!” said the man with the silver hair. “In the interest of time, we need to move along. Does anyone care to hear the Chopin?” The other judges shook their heads. “Well, then, could we ask you to play ‘Happy Birthday?’” Robert grinned. He turned and played “Happy Birthday” with the closing arpeggio that he had rehearsed. The judges smiled. The silver-haired man said, “Done with panache! Please wait in the hall.” Robert exited. Joe and Ida stood. They were about to ask him how the audition had gone when the door opened and the woman stepped out. She spoke in a quiet voice. “I am Marie Zorn, and I teach piano and harpsichord. You have been accepted into the School of Music, and you will study with me to become a Bach specialist. I must go back inside, if you will excuse me.” She quickly closed the door behind her. Robert suddenly realized that he had been given an incredible opportunity. That day, the judges accepted two applicants from the field of twenty. Robert realized that he would never have made it, had it not been for Miss Jamieson. Now, would he spend a lifetime pursuing the mug’s game of music? Only time would tell. THE END
research-article 566118 research-article2015 Article The Empowering Schools Project: Identifying the Classroom and School Characteristics That Lead to Student Empowerment Youth & Society 2017, Vol. 49(6) 827–847 © The Author(s) 2015 Reprints and permissions: sagepub.com/journalsPermissions.nav DOI: 10.1177/0044118X14566118 journals.sagepub.com/home/yas Chris Michael Kirk 1 , Rhonda K. Lewis 2 , Kyrah Brown 2 , Brittany Karibo 2 , Angela Scott 2 , and Elle Park 2 Abstract In an education system marred by inequity, urban schools in the United States are faced with the challenge of helping students from marginalized groups succeed. While many strategies have been tried, most are built on deficitbased models that blame students and teachers for a lack of achievement and ignore the role of power within the school setting. Building on the body of research on school climate, critical pedagogy, and empowering settings, the present study developed a model of student empowerment using a case study of an ethnically diverse urban high school in the midwestern United States. Participant observation, focus groups, and interviews were utilized to identify classroom and school characteristics related to student empowerment. Students reported equitable teacher–student relationships, integrated student leadership, and shared decision making. Similarly, school staff reported high staff empowerment and sense of community. The Student Empowerment Model is a useful framework for school improvement, adding 1Atlantic Health System, NJ, USA 2Wichita State University, KS, USA Corresponding Author: Chris Michael Kirk, Atlantic Health System, Morristown, NJ 07960. Email: email@example.com "power" to the broader literature on school climate and extending the work on empowering settings to schools. Keywords urban context, education, qualitative methods In 1848, Horace Mann wrote that education, "beyond all other devices of human origin, is a great equalizer of the conditions of men [sic]" and asserted that public education had the power to prevent poverty (p. 154). More than 160 years after Mann advocated for the creation of public schools in the United States, dramatic disparities and academic underachievement still characterize the U.S. education system. Despite spending more money per student on education than all other top nations, the U.S. ranks far behind other countries on most academic indicators (Organisation for Economic Cooperation and Development, 2009). The achievement gap between the privileged and the marginalized is large (Kao & Thompson, 2003) and continuing to grow (Reardon, 2011). Although countless reforms, policies, and programs have been deployed to reduce these disparities, most of these efforts have ignored the role of power in the school setting, instead adopting a "deficit paradigm" that blames students for their lack of achievement and holds schools accountable for the behavior of their students on a set of pre-determined criteria (Lewis, James, Hancock, & Hill-Jackson, 2008). From this viewpoint, dominant groups control the educational process in such a way that "condemns both poor students and public schools to failure" (Giroux & Schmidt, 2004). The present study addresses this gap in literature by presenting a model of student empowerment that describes key characteristics within classrooms and schools that contribute to the empowerment of students and providing a useful framework for including a discussion of power in the discourse on school improvement. School Climate For more than a century, educational researchers have studied school characteristics and their effects on student attitudes, behaviors, and outcomes. These studies have been loosely grouped under the title of "school climate," defined as the "impressions, beliefs, and expectations held by members of the school community about their school as a learning environment, their associated behavior, and the symbols and institutions that represent the patterned expressions of behavior" (Homana, Barber, & Torney-Purta, 2006, p. 5). In a review of the literature, Cohen, McCabe, Michelli, and Pickeral (2009) identified four common elements of a positive school climate: (a) physical and socialemotional safety, (b) positive relationships, (c) quality teaching and learning, and (d) adequate environmental structures and resources. Research has consistently demonstrated that schools with a positive "climate" have better outcomes, including increased motivation, academic success (Brand, Felner, Seitsinger, Burns, & Bolton, 2008; Wang & Holcombe, 2010), better attendance, and fewer behavioral problems (Gregory, Cornell, & Fan, 2011; Welsh, 2000). Student Empowerment While the school climate literature has much to offer, the exclusion of power dynamics limits its applicability to a critical understanding of the role of schools in maintaining or reducing educational disparities. Empowerment has been defined as a domain-specific and iterative process in which people gain mastery and control over issues that concern them (Cattaneo & Chapman, 2010; Holden, Messeri, Evans, Crankshaw, & Ben-Davies, 2004; Maton, 2008; Zimmerman, 1995). Many students come to school "disempowered," lacking the capability and experience to control the outcomes of their educational journey and finding an education system that promotes passivity and disengagement. Student empowerment is a process by which students gain the power needed to meet their individual needs (e.g., learning, social relationships, diploma) and work with others (e.g., students, teachers, administrators) to achieve collective goals (e.g., a safe and positive school environment; Prilleltensky, Nelson, & Pierson, 2001). While empowerment processes differ greatly by individual and context, Zimmerman (1995) identified three foundational outcomes that indicate that empowerment has incurred. Intrapersonal outcomes include an individual's sense of (a) impact (or voice), (b) competence (related to student efficacy), (c) meaningfulness, and (d) choice or self-determination (Thomas & Velthouse, 1990). Interactional empowered outcomes include critical awareness and access to the skills and resources that students need to have their goals met within the setting. Finally, behavioral empowered outcomes are specific behaviors that provide overt evidence of empowerment (Zimmerman, 1995). In the school domain, these behaviors may include (a) attendance and compliance, (b) student-initiated dialogue, (c) extracurricular participation, and (d) school governance (Finn, 1989). The "Ladder of Student Involvement" describes how student participation may range from pure "decoration" and "tokenization" to "student-initiated, shared decisions with adults" (Fletcher, 2005; Hart, 1994). Brazilian educator, Paulo Freire, was one of the first to assert that systems of education have the power to serve either as tools for maintaining oppression of marginalized groups or as liberating settings that can empower students to control their own lives (Freire, 1970). He argued against a "banking" form of education in which students are seen as ignorant vessels into which information is deposited by "knowledgeable" and "superior" teachers and instead proposed a system in which students become "student–teachers" and teachers become "teacher–students" (Freire, 1970, pp. 72-74). Since Freire, a body of research has focused on pedagogical processes that "situate schools within societies and considers structural force that influence and shape schools" (Souto-Manning, 2010, p. 10). Empowering Settings Building on the theoretical understanding of empowerment and the educational practices of critical pedagogy, an increasing amount of literature has focused on the conditions and characteristics that facilitate the development of empowerment. These "empowering settings" are defined as environments in which empowering processes take place and empowered outcomes are achieved among members of the setting (Maton, 2008). The literature on empowering settings and adolescent empowerment has shown that empowering settings for youth are characterized by shared power and decision making, positive sense of community, quality activities, and mutual goal achievement. In empowering settings, youth are valued as assets not just recipients, structures are modified to allow positive relationships, and decision-making power is shared between youth and adults (Cargo, Grams, Ottoson, Ward, & Green, 2003; Jennings, Parra-Medina, Hilfinger-Messias, & McLoughlin, 2006; Maton, 2008). In addition, Maton (2008) identified two external characteristics that dynamically influence the setting as a whole: leadership and the process of setting maintenance and change. While the literature on empowering settings for youth has much to offer, much of the work has focused outside the critical setting of the school. Study Rationale and Research Questions The present study was designed to add the concept of "power" to literature on school climate and extend the literature on empowering settings for youth into the school setting. Building on the existing literature, a Student Empowerment Model was developed to serve as a framework for student and school success. The study used a case study approach to (a) identify characteristics of the school that were linked to student empowerment and (b) explore the mechanisms by which these characteristics create empowering environments for students. Method A single case study approach was used to gather and analyze the data from one public school setting. Case studies are particularly appropriate in settings where the "phenomenon" is not readily distinguishable from its context (Yin, 2009). Using a variety of methods, this case study explored the phenomenon of student empowerment within an urban, ethnically diverse high school in the Midwest. A research team was formed that consisted of undergraduate and graduate college students and two high school students from the school, with several school staff members serving as key informants throughout the process. Using a triangulation approach to explore the setting (Yin, 2009), the study was conducted with three overlapping phases of data collection. Student interviews and focus groups with students and staff were preceded by participant observation in various settings within the school. The process was iterative with early data informing subsequent inquiries (e.g., focus groups, interviews). Participant Observation Participant observation allows researchers to connect with the community of interest and is a particularly useful method for exploratory research. To grasp the underlying culture of the school, more than 100 hours of participant observation were conducted by the research team in classrooms, hallways, and school events. Observations were done using ethnographic methods in which the individual participated as appropriate (Creswell, 2007; Jorgensen, 1989), creating jottings which were later expanded into lengthy reflections. These reflections were shared with the research team and guided subsequent data collection. Focus Groups Purposive sampling was used to select diverse groups of students and staff with the goal of obtaining as broad a perspective as possible. Five student groups were conducted with 71 total participants. These groups were chosen from existing organizations including student leadership teams, the Hispanic American Leadership Organization (HALO), and students in the English for Speakers of Other Languages (ESOL) program. The participants were diverse in gender and ethnicity, representative of the overall demographic makeup of the school and different grade levels (i.e., freshmen, sophomores, etc.). In addition, five staff focus groups were conducted with 39 total participants from various teaching disciplines (science, math, social studies, and foreign language) and non-teaching school staff roles (counselors, administrators, library staff, etc.). Interviews After reaching saturation (i.e., no new themes were emerging from the focus group data), a purposive sample of students was obtained for the in-depth interviews (Krueger, 1994). Seventeen students were purposively selected from key programs (AVID, ESOL, Special Education). The interviewees were diverse in gender (10 female, 7 male), race/ethnicity (4 Black, 3 White, 7 Hispanic/Latino, 3 Multiracial/Other), and grade level. Each interview consisted of open-ended questions and lasted approximately 30 minutes. Students received a gift card for participating in the interview. Data Analysis Coding took place via a two-step process. First, as the focus groups were being conducted, open coding was done during weekly research team meetings in which the members discussed the observations and focus group conversations. In these settings, members discussed the emerging themes, refined them, and resolved any discrepancies. Incongruent codes on which agreement could not be reached within 5 minutes were dropped from the analysis (only two themes were excluded). Data were then "checked" with select participants and key informants for verification and clarification of the emerging themes. After open coding, selective coding was conducted on each focus group and interview transcript. Data were uploaded to the Coding Analysis Toolkit (available from the University of Pittsburg Center for Social and Urban Research). Two members of the team coded each focus group and interview transcript independently. Inter-rater agreement was calculated, with an average Cohen's kappa score of .87, and a range from .69 to .99 (Cohen, 1968). Results Setting Description The study was conducted over the course of a full semester in the designated high school. The high school of interest had a long history, first opening in the 1920s. During the year in which the study was conducted, almost 2,000 students were enrolled in the school with 177 professional staff. The school was situated in an urban area, surrounded by diverse neighborhoods and small, locally owned businesses. The school of interest was purposively chosen in collaboration with school district leadership because of its recent performance in the face of some striking challenges and its perception as an "empowering school." More than three out of four students at the school were "economically disadvantaged" (i.e., qualified for the Federal Free and Reduced Lunch Program), and almost one in four (22.8%) students were designated as "English Language Learners" (i.e., English was not their first language). The majority of students were Hispanic/Latino (58%) with significant percentages of White (26%) and Black students (10%). The percentage of Hispanic/Latino students had increased by 16 percentage points over the previous 8 years (Kansas State Department of Education, 2010). Despite having higher rates of economic disadvantage and more students in the ESOL program compared with other area schools, the graduation rate (83%) was higher than the district average (80.1%). More importantly, this number had nearly doubled over the course of an 8-year period from 47.3% in 2002 (Kansas State Department of Education, 2010). This historical change was linked to the leadership of a former principal of the school who initiated several changes during her tenure. Key staff informants cited this leader's optimism and clear vision for the school as a transformative force, first for staff and then for students. Under this principal's watch, the school launched an AVID (Advancement Via Individual Determination) program, developed extensive student leadership policies, and reformed the way that staff interacted with students. These changes had lasted through the tenure of this leader into that of her successor and, despite being nearly a decade removed from their initiation, were cited often as instrumental in making the school an "empowering" place at the time of the study. Student Empowerment Model Building on the existing literature, the results of the study were used to develop a Student Empowerment Model. As shown in Figure 1, this model demonstrates the process by which student empowerment, affected by individual characteristics (e.g., personality, learning abilities, etc.), ecological contexts (e.g., family, neighborhood), and the characteristics of empowering classrooms and schools, leads to empowered outcomes (intrapersonal, interactional, and behavioral). As hypothesized in the literature, this model is iterative, with greater levels of empowerment feeding back into the environment (e.g., a student with an increased intrapersonal sense of competence reacts differently in class, leading to a more empowering classroom, which in turn leads to greater student empowerment). Evidence for student empowerment is discussed here, alongside key characteristics of empowering classroom and school environments. Student empowerment and empowered outcomes.Student empowerment was found in many contexts in many different students. Students talked about developing the competence, motivation, and self-determination they needed to succeed despite coming from challenging situations. One student shared, I am very confident because, in my family . . . we're not very smart . . . but I've gone into honors classes and they're (the school) just pushing me to take AP . . . I've took [sic] my nothing and turned it into something. Another student talked about the expectations of the school that pushed them. "It was like focus on college, focus on college . . . It's like a goal, something you have to achieve and something that you have to do . . . It's not an option." At the same time, students talked about the many ways in which they had the opportunity to affect the direction of the school and make their voice heard. This included everything from participation in student leadership teams to asking questions of interest to them in class. Many students displayed a critical awareness of the importance of particular classes, the engagement of the teacher, and the broader sociocultural context. "I never felt that I was learning just about History," said one student. "Like, I grew so much, like because it was so hard, I knew what I was good at, and I knew what I was bad at." As shown in the model, four sets of factors were found to influence student empowerment: (a) individual characteristics, (b) ecological contexts, (c) classroom characteristics, and (d) school-wide characteristics. Individual characteristics and ecological contexts.As displayed in the model, both the characteristics of the school environment and the development of student empowerment are affected by a myriad of individual and ecological characteristics. Individual characteristics that were observed included learning disabilities, personality types (e.g., shy, talkative), and personal interests. For example, a student with poor English language skills may find it difficult to experience empowerment regardless how empowering the environment may be. Students talked openly about these challenges and how they affected their journey. Ecological contexts refer to the multiple settings that exert influence on both the student and the school including family, neighborhood, social status, and culture. Many students in this study talked about their families (and their socioeconomic situation and parental education level) as either assets or liabilities in the pursuit of education. Culture was another context that permeated everything about the school. With a large percentage of undocumented immigrant students, the larger ecological issues of racism, discrimination, and poverty were always present in the student's responses. Teachers acknowledged this as well. One veteran with 22 years at the school said, "We Table 1.Classroom Characteristics and Definitions. probably have more kids on free and reduced lunch than I've ever seen. And we also have more non-English speakers right now than we've ever had . . . We just have more challenges to face." This salient sense of "challenge" on the part of both the teachers and students emphasizes the role of ecological contexts as an often ignored, but essential piece for understanding school and student success. Furthermore, the influence of school and district leadership set a context that affected the development of the characteristics that affected students. Classroom characteristics.In the midst of these contexts, the model identified five empowering characteristics of individual classes. The definitions of each are listed in Table 1. Three of these characteristics are familiar to school climate literature. Students and staff identified a culture in which teachers believed in the ability of students to be successful, positive sense of community was generated among classmates, and classroom practices were engaging. Each of these characteristics was cited as helping students develop the motivation and self-determination to succeed. Two additional characteristics (equitable student–teacher roles and shared decision making) were identified that added to these and considered the role of power in the classroom. These characteristics are highlighted in the following table. Equitable student–teacher roles.In addition to the teachers' belief in student success and the more general sense of community generated within the classroom, a degree of equity in the relationship between teachers and students was identified as a key characteristic related to student empowerment. This stands in contrast to many of the stereotyped images of teachers lording their authority and flaunting their "superior" wisdom over students. An equitable relationship between student and teacher involved bidirectional listening and mutual respect leading to shared power for decision making. Students talked about this role set-up by describing freedoms they had to work in a way that best fit them and to share their opinions in classes. One student shared, all the classes I've been to, I have a voice in it . . . I don't think there's a classroom I go to where the teacher's like 'Okay guys just shut up and do what I say . . . 'all the teachers kinda [ sic ] listen to you. This emphasis on listening led students to open up. As one shared, "I can be myself, and I'm not afraid to ask questions of the teacher cause [sic] he really can relate to me." This openness of relationship and emphasis on student voice was something that was explicitly encouraged by the administration. For example, teaching staff were required to interact with students in the hallways during passing periods. One teacher articulated the overarching philosophy as "allowing students to see us as human." As teachers approached students on a more equal level, students noticed and responded. One shared, "I think everybody here is willing to help with something and if you need to talk to somebody there's ample opportunity." This led students to understand that their voice was heard and increased their engagement in the school environment. Shared decision making.With a foundation of equitable relationships, many teachers created opportunities for students to share in some of the decision making within the classroom. While the specific nature of this practice varied by teacher and subject, students identified that the classes they disliked left little room for student involvement. In contrast, in the classes where teachers allowed the students to share in the choices, the students were amazed to discover that more students made positive choices and were engaged by the subject matter. One said, "Like he always gives us worksheets, but some of them you don't have to complete, but it's surprising how many people actually do do it." For the students and teachers, the opportunities that students had to express their opinion and adjust their coursework had a positive effect School characteristics.In addition to the classroom-level characteristics, six school-wide characteristics were identified. As shown in Table 2, the school was full of new and long-lasting positive traditions that were embraced by Table 2.School-Wide Characteristics and Definitions. students and created identification with the school. The school had adequate resources compared with many urban low-income schools, and the teaching staff reported high sense of community. Most poignantly, the school chose to explicitly create an environment that valued student leadership, embraced cultural diversity, and empowered teaching staff to lead. Valued student leadership.When the previous head principal at the school came into the job, she found a school with low morale, poor test scores, and many behavioral concerns including gang activity. One of the first efforts she made was to emphasize student leadership, establishing her own student advisory team and requiring each of her vice-principals to do the same. At the time of this study, these groups still existed and were observed as part of the data collection process. In each of these settings, it was clear that the adult staff members were keenly interested in the opinions of the students, and the students were aware that their opinion was valued, even if they were not able to transform every detail of school policy (e.g., reforming Federal nutritional guidelines for school lunches). One administrator shared with the team how they were chosen. We pick a wide range . . . You're a huge mix of kids from all different parts of the building . . . You're all kind of different, and you run a whole wide scheme of the school . . . We have a pretty big, wide range here. The students seemed to identify and connect with their role as leaders in the school. "I think they'll listen if you have an idea or something, they'll definitely listen," said one student. This openness was evident to many students across diverse groups. Beyond listening, members of one of the advisory groups identified a positive change they had helped make in school policy. In this group we talk about things that are going on in the school like, I remember we talked about cell phone usage and being able to use them at lunch, which now we are open to using it at lunch. These statements illustrate the explicit value of administration on student leadership and demonstrate how creating contexts in which students have a sense of voice and ability to affect the school environment is connected to student empowerment. Embracing cultural diversity.As described previously, the school was very diverse with growing percentages of Hispanic/Latino students. The school was working hard to embrace this culture via large events and small changes. One simple example was the morning announcements that were concluded each day with the phrases "Yes, We Can" and the corresponding "Si, Se Puede." This integration of language and culture into the fabric of the school was part of a deliberate emphasis on pursuing cultural competence and creating a welcoming environment for all students. These diverse elements had been incorporated into the curriculum as well. One student said, "A lot of people know. Like a lot of teachers know of Hispanic traditions, and they try to play that into class, like into the topic." Another Hispanic student stated, "In my art class, one of the things that I like about art. We learn about our own traditions, like about the Suns and like the Mexican traditions, our culture." The fact that teachers of various cultural backgrounds had integrated Hispanic/Latino cultural elements into the curriculum seemed to be a positive for most students, both those of Hispanic ethnicity and others. As one non-Hispanic teacher summed, "We embrace our neighborhood instead of wishing it was the neighborhood that it used to be. We're in this together." Staff empowerment.In addition to the characteristics described above, a final school-wide theme that emerged was the empowerment of the staff. In general, this referred to the ability of the staff to feel they could influence the school environment and contribute to the overall success of the school. This was built out of the stance of the administration, emphasizing teacher voice and creating opportunities for influence. One recent example of this was the implementation of a new program to help improve school test scores. Responding to lower scores among many sub-groups of students, representative teams of staff met during the summer to create a new period of extra instruction during the school day. The staff described this as an "innovative," "teacher-driven" program and were keenly interested in the results of the upcoming state assessment tests. One said, (that) process last year . . . it was directed by the Administration, but it was really also a teacher process. And we really made it, and so it helps in the follow through because you were part of planning it, so we're going to work hard to make it work. This general attitude of the empowered staff extended to every aspect of the school. One teacher shared, "(We're) willing to try something else. We're not satisfied with just being okay. We get our data and we say . . . 'Now, what are we going to do about it?'" Students picked up on this attitude as well, citing the dedication of their teachers and their passion for educating students. As one student shared, "We have a lot of teachers that actually do like to teach . . . most of the teachers here love what they do." Discussion While much has been written about the culture and climate of school settings, the exclusion of power dynamics from the discussion ignores the social, political, and cultural contexts in which schools, staff, and students are situated. This omission limits the ability of schools to operate as places of liberation, as Paulo Freire asserted, and ensures that approaches to school reform will fall short of the goal to eliminate educational disparities. Building on the existing literature, the present study added the concept of power (e.g., student voice, staff empowerment, equitable teacher–student roles) to well-documented factors like positive teacher–student relationships, sense of community, and positive expectations. The resulting Student Empowerment Model presents a contextually grounded framework for thinking about individual processes nested within contexts, and the identification of empowering characteristics of classrooms and schools suggests opportunities for further analysis and intervention. The Student Empowerment Model developed here applies the conceptual models of empowering settings and youth empowerment explicitly to schools (Cargo et al., 2003; Jennings et al., 2006; Maton, 2008). This study confirms these models by observing and modeling safe, supportive environments (e.g., teacher belief in student success, classroom sense of community) in which meaningful participation (e.g., engaging classroom practices) and shared power (e.g., equitable teacher–student roles, shared decision making) create the opportunity for youth to control the process of their education. In addition, Maton (2008) identified characteristics of leadership and setting maintenance and change as external forces that influenced the system as a whole. Although not explicitly stated in the model, these factors were clearly observed in the common "success story" of the school, linked to a dynamic principal who instituted change processes that had been sustained over a decade. These factors should be considered part of the ecological context in which the school resides, with an understanding that the school-wide and classroom-level factors identified here were certainly influenced by the leadership of the school and broader forces of change within the school district and community. While it was clear that students felt that their "voices were heard" and opportunities were observed for student leadership and shared decision making in the classroom, the limitations placed on this power is less clear. "Being heard" has been identified as one of the lowest and most common practices of student involvement (Mitra & Gross, 2009) and may lead to tokenization and manipulation of students (Fletcher, 2005; Hart, 1994). Models of student involvement and participation encourage greater autonomy and student-initiated leadership at higher levels, which parallels the process of empowerment and the opportunity to create empowering settings for youth (Fletcher, 2005; Hart, 1994; Mitra & Gross, 2009). Thus, the characteristics identified in the Student Empowerment Model should be considered as fluid and dynamic ranges rather than static traits. Limitations The model developed by the present study represents a significant addition to the literature with implications for future research and practice. The "trustworthiness" of the study was validated by the use of a triangulation approach to data collection, 5 months of time spent in the setting by a team of researchers and extensive member checking with various stakeholders (Guba & Lincoln, 1985). While the purpose of this qualitative study was not to generalize to all contexts, there may have been unique characteristics (e.g., architecture, history) of this urban school that would not be witnessed in other settings. Expansion of this protocol to other schools, particularly those in other regions and/or with different demographic composition and history, would add to the transferability of the characteristics to other contexts. The sampling of staff and students was purposive with an attempt made to represent the diversity of the school. However, certain voices may have been unintentionally excluded that may have modified the results. Also, attempting to paint a picture of the breadth of the school may have limited the depth within certain sub-populations. Future research could focus on unique communities within the school (e.g., special education students) to achieve a deeper understanding of the school experience within one sub-population. The Student Empowerment Model could be used as a framework for this work, identifying key process elements and salient environmental characteristics that are most powerful within the selected sub-populations. Implications for School Reform The Student Empowerment Model provides an actionable framework for educators to think about shaping classrooms and schools in ways that put more control in the hands of students. The results suggest that classrooms in which teachers shared power with students, setting up equitable relationships and inviting students to participate in decision making, were connected to student empowerment. While many of these characteristics have been discussed elsewhere (Turman & Schrodt, 2006), the combination of factors gives educators a set of criteria on which to evaluate their classroom practices. While the present study did not explicitly explore the educational practices within classrooms, the results suggest that teachers who practiced the core principles of critical pedagogy (Kincheloe, 2004) were able to create more empowering settings for youth. Much has been written to support educators in the creation of critical reflection in the classroom (Duncan-Andrade & Morrell, 2008; Godley & Minnici, 2008; Souto-Manning, 2010), and these practices should be explored and tested further. To accomplish this, teachers must be empowered themselves with appropriate training and more control over their classrooms. This study demonstrated that when teachers are empowered to be "agents of change" (Duncan-Andrade & Morrell, 2008), they create more empowering environments for youth. Results suggest that school leadership has the power to develop a school-wide value system that embraces student leadership and cultural diversity, while simultaneously creating an empowering atmosphere for staff. Many tools are available to guide this journey (e.g., Komives et al., 2011). Finally, the Student Empowerment Model may be a helpful framework for policy makers working toward educational reform. One clear implication is a modification of the way in which schools are evaluated. In contrast to testbased school reform efforts (i.e., No Child Left Behind), this study presents student empowerment as a process that begins to address educational disparities and provides an additional measure of how schools are performing with students from marginalized populations. Duncan-Andrade and Morrell (2008) suggest a threefold strategy that considers (a) qualitative feedback from "clients" (students, parents, and the larger community), (b) quantitative measures of academic performance and behavior, and (c) qualitative feedback from school staff. By expanding school evaluation to include this vital information, power for school accountability would be more equally shared with all parties, and the motivation of teachers and administrators would be modified to not only pursue greater test scores but also incorporate the opinions, needs, and desires of students, parents, and larger communities into their practice. Future Research The present study added to the research literature on school climate and empowering settings, but many questions remain available for future research. First, mixed-methods approaches could be utilized to measure student empowerment across settings in relation to the classroom- and school-level characteristics identified here. Nested models would allow for identification of which variables have the greatest impact on student empowerment and the control of demographic variables. Second, it is important to consider how student empowerment is related to academic, behavioral, and psychosocial outcomes. Critics of empowerment have long asserted that, unless it translates into actual action and increased power, empowerment is just another mental attitude divorced from the real world (Riger, 1993). While the qualitative evidence suggests that there is a connection between student empowerment and academic outcomes, quantitative measures should be used to determine the relationship between empowered outcomes and traditional outcomes related to school success. A range of other outcomes may also be considered including high school graduation, college preparation, enrollment, persistence, future income, civic engagement behaviors, and mental health symptomology. It may be hypothesized that the relationship between student empowerment and these outcomes will be stronger among marginalized groups (e.g., students of color, low socioeconomic status students). This hypothesis should be explicitly tested in connection to persistent educational disparities. Finally, future research might also work to identify practices and policies that are designed to promote student empowerment among marginalized groups including English Language Learners and Special Education students. This could include shared decision making, critical pedagogy, and action research or service learning projects. Rigorous evaluations of all such efforts would be conducted to demonstrate the efficacy of these interventions in promoting student empowerment and school change. Conclusion The model of Student Empowerment developed by this study added power to the literature on school climate and extended the literature on empowering settings into one of the most critical environments for youth. This model can be used as a tool to inform future research and educational practice in a movement toward educational equity and empowering school settings for all students. As policy makers and educators grasp for the next steps of school reform, the empowering characteristics of the school environment identified here may be incorporated into educational policy and practice. The time has come to move beyond "blaming the victim" mentalities and test-based efforts at school reform. It is time to realize the historical and contextual factors that contribute to the achievement gap and to do so alongside youth, supporting them as they take action to address these disparities. We need to work toward creating schools that empower, engage, and excite students to learn and teachers to teach. It is only in environments such as these that we will see an increase in educational outcomes and a decrease in the disparities that have long haunted the U.S. education system. 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 financial support from the Wichita State University Office of Graduate Education for the research, authorship, and/or publication of this article. References Brand, S., Felner, R. D., Seitsinger, A., Burns, A., & Bolton, N. (2008). A large scale study of the assessment of the social environment of middle and secondary schools: The validity and utility of teachers' ratings of school climate, cultural pluralism, and safety problems for understanding school effects and school improvement. 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Author Biographies Chris Michael Kirk, PhD, is a community psychologist who helps communities and organizations create empowering settings. He currently serves as director of Mission Development for Atlantic Health System in New Jersey where he leads the Atlantic Center for Population Health Sciences. Dr. Kirk's research interests include population and community health outcomes, health equity, health literacy and program evaluation. Rhonda K. Lewis, PhD, MPh is a professor in the Psychology department at the Wichita State University. Her research interests are in the areas of adolescent health and development, emerging adults, reducing health disparities and reducing educational inequity. Kyrah Brown, PhD, is a postdoctoral research associate at the Sedgwick County Health Department in Wichita, Kansas. Her primary research interests are in health disparities, disparities in maternal and infant health and community-based participatory research.
THE VALUE OF TIME: Quantifying how client focus increases the value of your business AN IN-DEPTH ANALYSIS OF THE SUCCESS FACTORS OF TWO ADVISORY PRACTICE MODELS As the advice industry evolves, different business models for financial advisor practices have emerged. FP Transitions® used its extensive database of advisory practice valuations to mine thousands of records compiled over a decade in support of their consulting, succession planning and mergers and acquisition activities. This complement to SEI's "A data-backed solution to building a more profitable advisory business" white paper represents an exhaustive analysis of the database in search of clues that could unlock a firm's potential economic value. This analysis is designed to help owners assess their firms' current value and position relative to their peers as a foundation for achieving growth and profitability. Specifically this research looks at how two business models compare in terms of current operations and longterm growth as well as potential future value: Investment Managers (IMs), advisors who focus principally on the investment process, and Client Managers (CMs) who delegate the investment function to a third party and concentrate on gathering and building client relationships. Whether you aim to increase value, recruit new talent, sell your business or build a legacy, we believe the insights gleaned from this research can help you assess your business model and consider ways to maximize your firm's value. THE RESEARCH METHOD WE USED FP Transitions' analysis relied on its internal database of more than 8,000 valuations of investment advisory practices conducted over the last 10 years (2006–2016). (See the Appendix for a more detailed explanation of the research methods.) Some of the key data elements that drove valuation include: -› Operating margins and expenses -› Historic and current revenue -› Historic and current assets under management (AUM) -› Demographic client data, including age, type, growth and concentrations -› Owner demographics, including licenses, age and industry tenure -› Employee data -› Practice management data, including time spent on specific activities The firms were ranked and two categories were created to represent distinct practice models. These groups, labelled as Investment Managers (IMs) and Client Managers (CMs), were selected based on time allocated to investment-related functions. 1. Advisor-defined fields encompassed strategy, such as investment research and analysis, while portfolio balancing constituted a combination of asset allocation, tactical order execution and overall servicing of existing portfolios, including money in/money out. 2. IMs were segmented based on greater than or equal to 10% of their time spent on investment research and greater than or equal to 10% of time spent on portfolio rebalancing. 3. CMs were segmented based on less than or equal to 5% of owners' time spent on investment research and less than or equal to 5% of owner's time spent on portfolio rebalancing. 4. Once identified, the two categories represented 50% of the total advisory practice valuations universe. The IM and CM practice models were analyzed according to the following criteria: -› Revenues -› Expenses -› Clients -› AUM -› Employees -› Profitability A QUICK LOOK AT OUR INITIAL OBSERVATIONS At first glance, the data showed similar metrics for both models: EXHIBIT A \| Practice Information \| Investment Managers \| Client Managers \| \|---\|---\|---\| \| Average AUM \| $65,945,383 \| $80,818,606 \| \| Average AUM per client \| $468,960 \| $321,817 \| \| Average number of clients \| 165 \| 285 \| \| Average number of clients per advisor \| 84 \| 120 \| \| Average number of licensed employees \| 1.88 \| 1.18 \| \| Average number of unlicensed employees \| 1.35 \| 2.19 \| \| Owner’s age \| 58 \| 55 \| \| Owner’s time in industry/years independent \| 26/16 \| 24/18 \| -› IM advisors had higher AUM per client, but CM advisors had more clients. -› Both models had a similar number of employees, but CM advisors had the ability to manage more clients per advisor. -› Advisors of similar age, experience and number of years as independent advisors led both models. -› Client demographics were similar with CM advisors serving slightly younger clients (27% under age 50) vs. 23% for IMs, but again, the difference was negligible. -› Generally, profitability for the two models also was similar. At this point, the analysis team was surprised at how similar the two practice categories were because they had expected a greater difference. It was time to delve deeper. THE MODELS BEGAN TO DIVERGE WITH EXPENSES EXHIBIT B \| Average Expenses \| Investment Managers \| Client Managers \| \|---\|---\|---\| \| Advertising/marketing \| $ 5,542 \| $ 12,849 \| \| Payroll \| $ 131,960 \| $ 215,391 \| \| Occupancy cost \| $ 25,514 \| $ 35,024 \| \| Leased equipment and technology \| $ 10,280 \| $ 17,017 \| \| Other \| $ 62,122 \| $ 111,238 \| \| Expenses % \| 29.15% \| 37.38% \| The models began to show more substantial differences when we considered expenses. Expenses for the CM model (37%) skewed higher than those of the IM (29%) model in part owing to the fact that it cost more to service a larger number of clients—as shown by higher payroll, occupancy and equipment/technology expenses. Advertising/marketing expenses, which encompassed client communications, events, etc., also were higher for the CM model, and factored into our growth discussion on the next page. TAKE A DEEPER DIVE: Analysis of advisors' time On closer examination, divergence between the two practice models was greatest with respect to the way advisors/owners spent their time. EXHIBIT C \| Time Allocation \| Investment Managers \| Client Managers \| \|---\|---\|---\| \| Investment research \| 23% \| 2% \| \| Portfolio rebalancing \| 14% \| 0% \| \| Client meetings \| 20% \| 37% \| \| Client service \| 20% \| 21% \| \| Prospect meetings \| 6% \| 12% \| \| Marketing/advertising \| 4% \| 7% \| -› IM advisors spent more than one third of their time (37%) on investment managementrelated activity (investment research and portfolio rebalancing). -› By comparison, CM advisors spent less than 3% of their time on research and no time on portfolio rebalancing, which freed up roughly one third of their time. -› While the timesaving measures were good, it was important to understand how CM advisors spent their time to make a difference in the business. The CM advisors spent the extra time on client acquisition and client management—more than half their time (56%), in fact, compared to IMs (30%): \| Activity \| CMs vs. IMs \| \|---\|---\| \| Client meetings \| 37% vs. 20% \| \| Prospecting \| 12% vs. 6% \| Coincidentally, CMs spent the same amount of time (37%) in client meetings—nearly twice as much time as IMs (20%). THE KEY POINT CM advisors spent the time otherwise consumed by investment management activities on "asset gathering" and retention activities. GROWTH & VALUE: Did the investment in "asset gathering" pay off? The next obvious question to resolve was whether spending more time on asset gathering and retention activity paid off in a measurable way. The data revealed meaningful differences between the two models in terms of client growth and the resulting growth in AUM and revenue, as illustrated in Exhibit D. EXHIBIT D \| Growth and Value Measures \| Investment Managers \| Client Managers \| \|---\|---\|---\| \| Annual client growth rate \| 3% \| 5% \| \| Average number of new clients/year \| 4 \| 14 \| \| Annual asset growth rate \| 11% \| 18% \| \| Annual revenue growth \| 8% \| 10% \| \| Annual revenue per client \| $3,783 \| $3,018 \| \| Total asset growth \| $7.2 million \| $14.5 million \| FIRM GROWTH: How did the two models differ? -› Our analysis showed that CM advisors were growing their client base at an annual rate of 5% vs. IM rate of 3%. -› Considering that CMs had more clients (285 vs. 165), the growth rate difference was significant. -› Consequently, CMs grew their practices by about 14 new clients per year—as much as three times more clients than IM advisors that added about 4 new clients per year. CLIENT SIZE As noted earlier, IM advisors served fewer clients, but their clients tended to be larger, as measured by the AUM per client. The average assets per client for the IM model were approximately $469,000, while the average assets per client for the CM model were lower, averaging nearly $322,000 per client. This makes sense as an investment manager spent more time on fewer clients and those clients had more assets. NEW CLIENT ASSET GROWTH As with any advisory practice, firm growth was derived from three possible sources: -› New money from new clients -› New money from existing clients -› Portfolio growth Holding the portfolio growth factor constant, as asset performance growth was relatively similar for both models—we looked back at where the advisors for each model were allocating their time [see Exhibit C on page 5] to assess firm growth characteristics from new and existing clients. -› The analysis showed that CMs were acquiring assets faster. The firms in our study added an average of 14 new clients per year at an average of nearly $322,000 for a total of $4.5 million in new assets; this compared to four new clients per year on average for IMs at approximately $469,000 for a total of $1.9 million in new assets. There appeared to be a direct correlation between the time spent on client relationship activities, including client meetings, prospecting and marketing and asset growth. In the case of the CM model, 56% of the advisor's time was devoted to these activities, whereas IM advisors spent more time (37%) on investment-related activities than on relationshipbuilding efforts (30%). Now, it was interesting to look at the total story by examining total asset growth, which included new money from existing clients + new clients + portfolio growth: -› A growth rate in AUM of 18% for CMs vs. 11% for IMs yielded significant results. -› On average, CMs in the study were adding twice as much in AUM ($14.5 million) annually, compared to IMs with $7.2 million in total asset growth, as shown in Exhibit E on page 8. REVENUE GROWTH FOLLOWED FROM GROWTH IN AUM The research showed that advisors who focused on relationship-building activities were growing more than those who focused on investment management. EXHIBIT E \| Practice Information \| Investment Managers \| Client Managers \| \|---\|---\|---\| \| Growth Comparison \| \| \| \| Net AUM growth \| $7,253,992 \| $14,547,349 \| \| Net revenue growth \| $ 43,329 \| 71,531 \| \| Net new clients \| 4 \| 14 \| \| AUM Growth Detail \| \| \| \| AUM from new clients \| $2,321,352 \| $4,585,892 \| \| AUM from market/organic \| $4,932,640 \| $9,961,456 \| \| Revenue Growth Detail \| \| \| Market/organic growth represented the difference between net AUM and AUM from new clients; and the difference between net revenue and revenue from new clients. -› CM advisors in the study added more than $71,000 to revenue compared to just over $43,000 for IM advisors. -› Of the revenue growth for CMs, $43,000, or 60%, was attributable to new client growth vs. almost $19,000 in new client revenue for the IM model, or 40%. -› Note that revenue growth from new clients was not subject to market fluctuation. CM advisors in the study added more than $71,000 to revenue, compared to just over $43,000 for IM advisors. CM VS. IM: Increased value at firms over time Now here's the million-dollar question: Does a focus on client management rather than investment management make any difference to the value of your firm over time? Admittedly, valuation of an advisory practice is never as simple as a single number—and no valuation method is foolproof. Many factors go into determining the value of a practice—and that value is not necessarily, what a buyer would pay or what a seller would accept. That said the analysis establishes that the difference in client, asset and revenue growth of the two distinct models has implications for value. In Exhibit F, we simplified this analysis to focus only on new money from new clients— ignoring AUM added by either market growth or new money from existing clients. -› The chart below shows what the average IM and CM advisors in our study may expect in terms of asset growth from new clients over a 10-year period. Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 Year 7 Year 8 Year 9 Year 10 -› The dollar figures of $4,585,292 and $2,321,352 were used as the n=1, or year 1, asset growth. The AUM growth during that same period was $825,460 and $255,348. From there the rates used to calculate asset growth for CMs and IMs was 18% and 11%, respectively. The model assumed the same percentage growth rate for each year for each type of practice, but dollar amount growth was different in each year. -› Summary: There was a major difference; over 10 years a CM model increased AUM from new clients by $20,340,513 compared to $5,938,104 for the IM model. While both numbers were impressive, the CM increased AUM from new clients by $14,402,409 more than the IM. Next, we move to the value of the firm. Again, we keep it simple by focusing on new clients only. Exhibit G illustrates the value added to the firm from new clients over a 10-year period for both an IM and CM model. -› The first-year valuation started by identifying the revenue growth from new clients, which was $43,006 and $18,725 for the CM and IM, respectively. This was multiplied by 2.35, which was the valuation/revenue growth factor that FP Transitions published each year. To be clear, it was altered slightly to fit with the advisor profiles identified in the data. This calculation gave a first-year addition in revenue of $101,065 and $44,005 for a CM and IM, respectively. -› Year over year the new revenue could be calculated by fees taken, which were 0.74% and 0.90% for CM and IMs, respectively. This, multiplied by the valuation/revenue growth factor gave the yearly increase in value of the firm. -› Summary: Again, there was a major difference over 10 years. The CM advisor increased the value of the firm by $1,897,109 and the IM increased its value by $815,902. Again, both numbers were impressive, but the CM increased the value of its firm by $1,081,206 more than the IM. LET'S GO BACK TO OUR ORIGINAL QUESTION: "Does a focus on client management rather than investment management make any difference to the value of your firm over time?" Over 10 years, it was literally a million-dollar question! CONCLUSION The fact is that both advisory practice models are valid and potentially very rewarding for both the advisor/owner and the firm's clients. The approaches, however, result in very different types of firms. How investments are handled—or, rather, how much time an advisor spends on investment-related activities, appears to be the determining factor for achieving long-term growth and profitability. CHALLENGES FOR THE IM MODEL We acknowledge that many advisors are content with the status quo and enjoy actively managing client investment portfolios. Many of these advisor/owners may have no interest in growing their practices or selling their firms. Understandably, they favor the notion of dealing with fewer clients whose account values are higher, on average. Key-persondependent firms seeking growth, however, will need to focus more on growing existing client assets, both in terms of enhancing portfolio performance and encouraging existing clients to add new money to their accounts. Existing client satisfaction and retention are essential for the IM model and the sustainability of the firm. CHALLENGES FOR THE CM MODEL Most of the advisors we deal with have made the strategic decision that they indeed want to grow their business—either because they seek maximum value upon retirement, or because they are building a legacy firm. Advisors that choose to follow the CM model will need to be prepared for that growth and build out the infrastructure to support that future growth. They will have to think more like a business than a practice, which will involve an adjustment in the way advisors acquire, service and retain both talent and clients in an increasingly competitive marketplace. IN SUMMARY The goal of the analysis was to determine factors that contributed to long-term growth and value. Advisors are always asking for the "answer" to their firm's valuation. By looking at the two different types of advisors, this research has unlocked some of that mystery: -› The way that advisors spend their time—focused on either investments or clients—makes a difference. -› The data shows that focusing on the client builds clients at a faster rate than focusing on investments. -› Over the long run, a client focus builds a greater firm value and a higher return on the use of the advisor's time. -› As any business book will tell you—it's true—put the client first! APPENDIX AVERAGE CLIENT MANAGER VS. INVESTMENT MANAGER ANALYSIS \| \| Client Manager \| Difefrence as a % \| Investment Manager \| \|---\|---\|---\|---\| \| Value \| $1,300,950 \| 122% \| $1,066,589 \| \| T12 \| $715,310 \| 132% \| $541,620 \| \| AUM \| $80,818,606 \| 123% \| $65,945,383 \| \| Product Mix \| \| \| \| \| Fees \| 47% \| 72% \| 65% \| \| Commission \| 39% \| 122% \| 32% \| \| Hourly \| 4% \| 239% \| 2% \| \| Insurance \| 8% \| 377% \| 2% \| \| Recurring/Nonrecurring \| \| \| \| \| Recurring \| 71% \| 83% \| 86% \| \| Nonrecurring \| 29% \| 213% \| 14% \| \| Client growth rate \| 5% \| 147% \| 3% \| \| Revenue/professional \| $281,764 \| 96% \| $292,864 \| \| # of clients \| 285 \| 173% \| 165 \| \| Revenue/client \| $3,018 \| 80% \| $3,783 \| \| AUM/professional \| $32,729,193 \| 90% \| $36,476,228 \| \| AUM/client \| $321,817 \| 69% \| $468,960 \| \| Clients/professional \| 120.05 \| 144% \| 83.58 \| \| Revenue growth \| 10% \| 129% \| 8% \| \| AUM growth \| 18% \| 168% \| 11% \| \| Fees charged \| 0.74% \| 83% \| 0.90% \| \| Owner’s Time \| \| \| \| \| Client meetings (%) \| 37% \| 184% \| 20% \| \| Compliance (%) \| 4% \| 81% \| 5% \| \| Investment research (%) \| 2% \| 7% \| 23% \| \| Advertising and marketing (%) \| 7% \| 170% \| 4% \| \| Client servicing (%) \| 21% \| 109% \| 20% \| \| Prospect meetings (%) \| 12% \| 210% \| 6% \| \| Staff management (%) \| 8% \| 156% \| 5% \| \| Portfolio rebalancing (%) \| 0% \| 3% \| 14% \| (continued) AVERAGE CLIENT MANAGER VS. INVESTMENT MANAGER ANALYSIS (continued) \| \| Client Manager \| Difefrence as a % \| Investment Manager \| \|---\|---\|---\|---\| \| Owner’s Time (continued) \| \| \| \| \| Other (%) \| 9% \| 167% \| 5% \| \| Owner’s average hours per week \| 41.06 \| 98% \| 41.93 \| \| Practice Info \| \| \| \| \| # of owners \| 1.50 \| 104% \| 1.44 \| \| Owner’s age \| 54.46 \| 94% \| 57.99 \| \| Owner’s time in industry \| 24.08 \| 93% \| 25.79 \| \| Owner’s time independent \| 17.89 \| 110% \| 16.27 \| \| Licensed employees \| 1.88 \| 159% \| 1.18 \| \| Unlicensed employees \| 2.19 \| 163% \| 1.35 \| \| Average client tenure \| 9.32 \| 89% \| 10.48 \| \| Expenses ($) \| \| \| \| \| Advertising/marketing \| $12,849 \| 232% \| $5,542 \| \| Licensed employee payroll \| $138,146 \| 166% \| $83,071 \| \| Unlicensed employee payroll \| $77,245 \| 158% \| $48,889 \| \| Referral fees \| $14,855 \| 132% \| $11,239 \| \| Occupancy cost (per year) \| $35,024 \| 137% \| $25,514 \| \| Leased equipment \| $4,867 \| 191% \| $2,545 \| \| Technology \| $12,150 \| 157% \| $7,735 \| \| Other \| $96,383 \| 189% \| $50,883 \| \| Expenses % \| 37.38% \| 128% \| 29.15% \| \| Client Demographics \| \| \| \| \| Under 30 \| 4% \| 103% \| 4% \| \| 31-50 \| 23% \| 120% \| 19% \| \| 51-70 \| 51% \| 97% \| 52% \| \| Over 71 \| 19% \| 84% \| 22% \| \| Corporations/institutions \| 5% \| 143% \| 3% \| METHODOLOGY From FP Transitions' valuation database of 8,000-plus analyses, the most recent data for clients who have had multiple analyses performed was used. Additionally, data sets that contained incomplete data fields and comparison fields, which did not add to 100%, were removed from the overall data. This left a total sample size of over 4,500 individual valuation data sets. The data was then segmented into three groups, Investment Managers, Client Managers and a Middle Group for comparison. Segmentation was based on parameters across two elements of practice owner's time spent, investment research and portfolio rebalancing. Investment research includes studying the performance of investment products as a guide for client portfolios. Portfolio rebalancing is a self-defined field, which conceptually refers to the application of investment research, and may include portfolio rebalancing, servicing portfolios, executing trade orders, and other actions applied to client portfolio changes. Client Managers were segmented based on less than or equal to 5% of owners' time spent on investment research and less than or equal to 5% of owner's time spent on portfolio rebalancing. Investment Managers were segmented based on greater than or equal to 10% of their time spent on investment research and greater than or equal to 10% of time spent on portfolio rebalancing. The Middle Group fell in between the other group's thresholds. Once defined, CMs and IMs represented 50% of the total sample size. The projected increase in practice value for Investment Managers and Client Managers was then determined based on the characteristics of each of these sample groups' data. Analysis of FP Transitions' historical data revealed that on average Client Managers' AUM and revenue from new clients grew (on average) at rates of 18% and 0.74% annually, respectively, while AUM and revenue from new clients grew by 11% and 0.9% for Investment Managers. These statistics served as representative benchmarks for predictions of future growth. Projected year-to-year practice value additions are recursively defined, with each year being calculated based on the previous year's growth projection, given by: \| V=2.35(RGNC +r(ANC *(1+a))) n n-1 n-1 \| \| \|---\|---\| \| Where \| With \| \| n = year \| RGNC = $43,006 for CM; $18,725 for IM 1 \| \| V = Value Addition \| ANC = $4,585,892 for CM; $2,321,352 for IM 1 \| \| RGNC = Revenue Growth from New Clients \| \| \| ANC = AUM Addition from New Clients \| \| \| r = average rate of Revenue Growth from New Clients (0.074% for CM; 0.90% for IM) \| \| Year 1 data for this model was determined based on data in the Client Manager and Investment Manager groups. Initial (n=1) values of AUM addition from new clients of $4,585,892 and revenue growth from new clients of $43,006 for the hypothetical Client Manager practice were calculated using the average number of clients, client growth rate and AUM per client from the sample data. Similarly, a first-year AUM addition of $2,321,352 and revenue growth from new clients of $18,725 was determined for the illustrative Investment Manager practice. This analysis yielded a difference in projected value of $1 million between the sample average CM and IM practices at the end of 10 years. FP Transitions is the leading provider in the equity management, succession and mergers and acquisition space for the financial services industry. As the trusted partner, FP Transitions helps independent advisors build businesses of enduring and transferable value. Since 1999, FP Transitions has operated the largest open market for buying and selling independent financial advisory practices. Its team of 40 professionals are experts at analyzing the intangibles that make a financial services practice unique and valuable, as well as helping advisors manage the equity they have built in their businesses over a lifetime of work. Utilizing their experience in valuing over 8,000 independent businesses, FP Transitions assists advisors in arriving at a plan of succession designed to realize value for the founder and perpetuate the business for the next generation of advisors. For more information, contact FP Transitions at 800-934-3303 or visit fptransitions.com. SEI (NASDAQ:SEIC) is a leading global provider of investment processing, investment management and investment operations solutions that help corporations, financial institutions, financial advisors, and ultra-high-net-worth families create and manage wealth. As of September 30, 2016, through its subsidiaries and partnerships in which the company has a significant interest, SEI manages or administers $751 billion in mutual fund and pooled or separately managed assets, including $281 billion in assets under management and $470 billion in client assets under administration. For more information, visit seic.com. About The SEI Advisor Network The SEI Advisor Network provides financial advisors with turnkey wealth management services through outsourced investment strategies, administration and technology platforms, and practice management programs. It is through these services that SEI helps advisors save time, grow revenues, and differentiate themselves in the market. With a history of financial strength, stability, and transparency, the SEI Advisor Network has been serving the independent financial advisor market for more than 20 years, has over 7,000 advisors who work with SEI, and $55 billion in advisors' assets under management (as of September 30, 2016). The SEI Advisor Network is a strategic business unit of SEI. For more information, contact SEI at 888-734-2679 or visit seic.com/advisors. FOR MORE INFORMATION FP Transitions 800-934-3303 fptransitions.com SEI 888-734-2679 seic.com/advisors Information presented by SEI Advisor Network, a strategic business unit of SEI Investments Company (SEI). Services provided by SEI Investments Management Corporation, a wholly owned subsidiary of SEI. SEI and FP Transitions are not affiliated. Opinions expressed by third parties are their own and SEI cannot assume the accuracy of the information provided. Growth projections presented here are hypothetical and provided for illustrative purposes only. This information should not be relied upon by the reader as research or investment advice and is intended for educational purposes only. SEI has strategic relationships with third party service providers discussed in this material. The experiences described here may not be representative of all firms' experiences. ALL DATA PRESENTED IN THIS PAPER IS THE PROPERTY OF FP TRANSITIONS. 161766 (09/16)

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