text
stringlengths 1.36k
1.27M
|
|---|
Ана Лупуловић
Скрипта за Енглески језик 1
~ English Language Reader 1
Уводни текстови
I Am an Orthodox Christian
Reporter: Today we are witnesses of the revival of Orthodoxy in Serbia. More and more people go to church, and it is interesting that they are mostly young. If you go to the Liturgy on Sunday you immediately notice that the church is full of young people, young married couples with babies and small children. We ask Vojislav and Zoran to tell us why they go to church.
Vojislav: My name is Vojislav, and I'm an Orthodox Christian. I'm from Krusevac. My father is a priest in a church in our town. My great grandfather was also a priest. So, you see, I come from an Orthodox family, and of course, I was baptized as a baby. When I was little I helped my father in the altar. After elementary school I decided to go to the seminary, because I also want to be a priest, God permitting. I finished St Sava Seminary in Belgrade. Now I'm a first year student of the Faculty of Theology in Belgrade. I go to the Liturgy every Sunday and feast day, but I often go to morning and evening services because I sing at the chanters' desk. You ask me why I go to church – for me it's something normal, something like breathing. It's something that's a part of me – my life. My family is deeply believing. We celebrate our Slava – St Nicholas, Easter, Christmas, and other feasts. I go to church because God is Love and He is calling us every day, all the time to be with Him, and that is possible only in the Church through Liturgy and the Holy Communion.
Zoran: My name is Zoran, and I'm also an Orthodox Christian. I'm from Belgrade. I was baptized when I was 22, and now I'm 27. I finished 3 rd Grammar School in Belgrade, and now I'm a student of the Faculty of Theology. My family is not believing. My grandfather was a partisan and a communist. My parents are atheists. When I was little my only contact with God and church was through my grandmother who celebrated Slava, and some feasts. My parents didn't have a good marriage and it was hard for me. I watched them, I watched empty lives of my friends, and my life was also empty. After the war in Croatia and Bosnia, the bombing of Serbia, and other terrible things I was totally depressed. Everything seemed senseless. I wanted to find the sense in my life. One of my friends was a believer and he helped me to find God. Now he is my Godfather. I go to the Liturgy every Sunday and feast day, and I fell joy and peace when I'm in church, and in everyday life I have this joy in my heart, and I thank God for calling me to Him.
My Parish Church and My Slava
Mihajlo: Hallo! I'm from Belgrade. Belgrade belongs to the diocese of Belgrade – Karlovci. That means that the Patriarch of Serbia – Pavle is both our Patriarch and our Bishop.
I live in 12 Gardoška Street, Zemun. My family belongs to the parish of St Nicolas' Church, which is also famous as Nikolajevska Church.
St Nicolas' Church is one of the most beautiful churches in Zemun and Belgrade. It's very old. It was built in baroque style in 1731. The church stands on the foundations of a church from the16 th century. So, it's the oldest church in Zemun and Belgrade.
The iconostasis in our church is especially valuable. It dates from 1762, and it's very large – it consists of 71 icons! But the special treasure of our church is a part of the holy relics of St Andrew the First-Called.
In our church the Liturgy is served every Saturday, Sunday and Feast day, on other days - Morning and Evening services. Every Saturday and before each feast the Vigil is served, instead of Evening service.
Our church is dedicated to the feast of the Transfer of St Nicolas' Relics. Every 22 nd of May (9 th of May, according to the Old Style calendar) we celebrate this feast with the Liturgy and the procession around the church.
My family's Patron Saint is St George, and Đurđevdan is our Slava – our Family Patron Saint's Day. Slava is typical for Serbs. No other nation in the world has Slava. Many Serbs celebrate Đurđevdan as their Slava. Serbs usually celebrate the saint on whose day, a long time ago (from the 9 th century) their families were baptized and became Orthodox.
Before each Đurđevdan we call our parish priest – father Jovan to come to our home to bless water. Every Đurđevdan we bring Slava Cake, cooked wheat and wine to church. All other people who celebrate that day do the same. Before, or after the Liturgy father Jovan blesses the cakes, wheat and wine. After that we go home to have lunch with our relatives, and to prepare for the guests. It is a custom in Serbia that everyone can come to your Slava. Serbs say – 'You don't call guests for Slava – everyone is welcome!' Serbs often celebrate their Patron Saint's Day for 2 or even 3 days. Serbs are also famous for the large quantities of food they prepare for their guests. They do this because they want to be good hosts, but what is really important is to remember your Patron Saint in your prayers and to celebrate him and God in the Liturgy.
Sadly, because of the communism, many Serbs stopped going to church and some stopped celebrating their Slava. Some, even if they celebrate, forget what Slava really is. But, thank God, more and more people, especially young, are returning to God and to Church.
Life in the Monastery (1)
father Seraphim: I am hieromonk Seraphim. I'm a member of the brotherhood of Sopoćani monastery. Our monastery belongs to the diocese of Raška Prizren.
The monastery of Sopoćani is one of the most famous and most beautiful monasteries in Serbia. It is under protection of the UNESCO.
First I want to tell you something about the history of Sopoćani. The monastery is a foundation of Holy King Uroš I. It was built in13th century. The church is dedicated to the Holy Trinity – to the Descent of the Holy Spirit on the Apostles – the Pentecost. There are also two side chapels in the church. One is dedicated to St. Simeon the Myrrh-flowing and there we have our confessions, and the other is dedicated to St. Stephen the First-Martyr.
The time of King Uroš was a golden period in the history of Serbia. There is a story that King Uroš after drinking water from the spring of the river Raška received healing. That's why he built the monastery near this spring and Ras - the heart of Serbian medieval state. In Old Slavonic sopot means spring, so that is how the monastery got its name.
King Uroš was buried in Sopoćani church together with his father and mother Stephan the First-Crowned and Anna Dandolo and the first Archbishop of Serbia Joanikije.
The Turks attacked Sopoćani many times, but they finally destroyed it in 1689. The monastery was in ruins until 1926.
After the restoration the monastery was women's until 1996. Now it is a men's coenobitic monastery.
Sopoćani is a foundation of King Uroš I, but Tsar Dušan is the endower of the narthex and the bell-tower. The church in Sopoćani is in Raška style.
The monastery is famous for its frescoes – they are some of the most beautiful frescoes in the world. It is certain that they are the work of one of the best Byzantine artists of that time. The most important fresco in Sopoćani is The Dormition of the Theotokos.
In Sopoćani we treasure a part of the holy relics of our protector Holy King Uroš and also a part of the skull of St Cosmas and Damian the unmercenary healers which was in Zočište monastery, before Albanians destroyed it. Many people from all over the world come here to receive healing from the holy Healers, and miracles happen all the time.
The living quarters in which we live are new; the medieval living quarters which the Turks destroyed are still in ruins, but we have a plan for their restoration, God permitting.
Exercises – Вежбања:
I Answer the questions – Одговорите на питања:
A
1. To which monastery, and diocese does fr. Seraphim belong?
2. Is he an ordinary monk? What does it mean when someone is a hieromonk or a hierodeacon?
3. Whose foundation is Sopocani monastery?
4. When was it built?
5. To which feast is the church of Sopocani dedicated?
6. What do we celebrate on the Pentecost?
7. To which saints are the two chapels dedicated?
8. What does the name of the monastery mean? Why was it called Sopocani?
9. Who was buried in the Sopocani church?
10. What happened to the monastery during the Turkish rule?
11. What kind of monastery is Sopocani today?
12. What is the most important fresco of Sopocani?
13. Who is the second endower of the monastery?
14. What do the monks of Sopocani treasure in their monastery?
B
1. Have you ever visited Sopocani?
2. Have you visited some other monastery?
3. Do you have any special monastery that you like to go to?
4. Do you know any monk or nun?
Life in the Monastery (2)
father Seraphim: Now I want to tell you something about the monastic life in our monastery.
In Sopoćani we celebrate the Holy Liturgy every day. Before the Liturgy we have morning service. At 5 o'clock in the afternoon we have evening service or vigil before each Sunday or feast day. In the evening, about 8 o'clock we have compline. On Tuesdays and Thursdays, instead of compline, we serve Paraklesis to our Holy King Uroš (on Tuesday) and to St. Cosmas and Damian (on Thursday). These are our favourite services, after Liturgy, of course. It's so beautiful to chant and to pray to our Holy Protectors in the church in which the only light is the light of oil-lamps and candles.
In Sopoćani we wake up at 4.30 and read our morning prayers until 5 o'clock when the service starts. After the Liturgy we have breakfast in our refectory, and then we go to fulfil our obedience tasks which our abbot gives us. Lunch is at 3 o'clock, and dinner - after the evening service. We go to bed at 10.30. We fast not only on Wednesdays and Fridays, but also on Mondays. This is the typicon according to which we live.
I came to the monastery in 1998 when I was 22. All I want is to serve our Lord and to dedicate my whole life to Him. That's why I'm a monk. But when you come to a monastery to stay, first you become a novice. Then, after some time, when the bishop sees that you are ready - you became a monk. In Sopoćani there is a Monastic Profession on the feast of St. Cosmas and Damian in November. In the Monastic Profession we take the monastic vows and "die" for the world. We put on rhason, and become rasophore monks. But it is a practice of our bishop that at the Monastic Profession we become not only rasophore, but small shima monks.
At the Monastic Profession each monk receives a new name. For example I was Vladimir before, and now my name is Seraphim. The bishop chooses the name of a saint according to our personality and character. In the monastery we celebrate this saint as our protector. I celebrate St. Seraphim of Sarov, and 15 of January is my name's day.
I think that the most important thing for a monk is obedience – obedience to his spiritual father and to his superiors. When you come to a monastery you must leave your ego in front of the door, you can't make your own decisions before you ask for permission and blessing. But you must do all this with love, or monasticism is not for you. Second most important thing is prayer. Prayer is monk's sword. It is typical for a monk to use a prayer rope when he is praying. We pray alone in our cells, and together in church. The most powerful prayer is Jesus Prayer – Lord Jesus Christ, Son of God, have mercy on me a sinner.
There is a lot of work in the monastery. We grow our own vegetables, and have orchards of apples and plums. We also have workshops for icon – painting and woodcarving, and a tailor's workshop, as well. From spring to autumn many people come to Sopoćani and we always receive them with hospitality.
Exercises – Вежбања:
I Answer the questions – Одговорите на питања:
A
1. How often do the monks of Sopocani celebrate Holy Liturgy?
2. What are the other services in Sopocani?
3. What is fr. Seraphim favourite service? Why?
4. What is the daily schedule of Sopocani monks?
5. On what days do they fast?
6. How old was fr Seraphim when he came to Sopocani?
7. What happens at monastic profession?
8. What is the difference between a novice and a monk?
9. How does the bishop choose a name for the new monk?
10. What is fr. Seraphim's name's day?
11. What are the two most important things for a monk?
12. What are the words of Jesus Prayer?
13. What else do the monks do in Sopocani?
B
1. Why is obedience so important to a monk? Is it important for other people as well?
2. Who is a spiritual father and why is he important?
3. Do you have a spiritual father?
4. Have you ever spent some time in some monastery helping the monks there?
Текстови
Текст бр. 1
Bishop Kallistos Ware
The Earthly Heaven
There is a story of how Vladimir, Prince of Kiev, while he was still a pagan, desired to know which the true religion was. He sent his servants to visit the different countries of the world. They went first to the Muslim Bulgars of the Volga, but when they saw that these when they prayed gazed around them like men possessed, the Russians continued on their way dissatisfied. 'There is no joy among them,' they reported to Vladimir, 'but mournfulness; and there is nothing good about their system.' After that they travelled to Germany and Rome. There the worship was more satisfactory, but the Russians said that it was without beauty. Finally they went to Constantinople, and here at last, when they attended the Divine Liturgy in the great Church of the Holy Wisdom, they discovered what they desired. 'We did not know if we were in heaven or on earth, for there is no such splendour or beauty anywhere on earth. We can't describe it to you: only this we know, that God dwells there among humans, and that their service surpasses the worship of all other places, for we can't forget that beauty.'
* * *
In this story we can see several characteristics of Orthodox Christianity. First - divine beauty: 'we can't forget that beauty'. The special gift of Orthodox peoples is this power of perceiving the beauty of the spiritual world, and expressing this celestial beauty in their worship.
In the second place the Russians said 'we did not know if we were in heaven or on earth.'
The Orthodox Church, is nothing else than 'heaven on earth'. The Holy Liturgy is something that embraces two worlds at once, for both in heaven and on earth the Liturgy is one and the same - one altar, one sacrifice, one presence. In every place of worship when the faithful gather to perform the Eucharist, they are taken up into the 'heavenly places'. In every place of worship when the Holy Sacrifice is offered, together with the local people, the univrsal Church is present – the saints, the angels, the Mother of God, and Christ himself. 'Now the celestial powers are present with us and worship invisibly.' 'We know that God dwells there among humans.' There is a third characteristic of Orthodoxy in the story. When they wanted to discover the true faith, the Russians did not ask about moral rules or a reasoned statement of doctrine. They watched different nations at prayer. The Orthodox approach to religion is fundamentally a liturgical approach, which understands doctrine in the context of divine worship. The word 'Orthodoxy' signifies alike right belief and right worship, for the two things are inseparable. In the words of Georges Florovsky, 'Christianity is a liturgical religion. The Church is first of all a worshiping community. Worship comes first, doctrine and discipline second.' Those who wish to know about Orthodoxy should not so much read the books but attend the Liturgy. As Christ said to Andrew: 'Come and see' (John i, 39).
(abridged and adapted)
taken from the book: Timothy Ware (Bishop Kallistos of Diokleia),
Church, London, Penguin Books, 1997
The Orthodox
THE EARTHLY HEAVEN
THE OUTWARD SETTING OF THE SERVICES
( adapted )
The basic pattern of services in the Orthodox Church is: first the Holy Liturgy (the Eucharist); secondly, the Divine Office (i.e. offices of Matins and Vespers, together with the Midnight Office, the First, Third, Sixth and Ninth Hours and Compline); and thirdly the Occasional Offices – i.e. services for special occasions - Baptism, Marriage, Monastic Profession, Royal Coronation, Consecration of a Church, Burial of the dead. In its services the Orthodox Church uses the language of the people: Arabic in Antioch, Finnish in Helsinki, Japanese in Tokyo, English in London or New York etc. In practice there are exceptions to this principle; the Greek-speaking Churches often use, not modern Greek, but the Greek of The New Testament and Byzantine times; the Russian Church still uses the medieval translations in Church Slavonic. In the Orthodox Church today, as in the early Church, all services are sung or chanted. At every Liturgy, as at every Matins and Vespers, incense is used and the service is sung, even if there is no choir or congregation, but the priest and a single reader. In their Church music the Greek-speaking Orthodox use the Byzantine plain-chant, with its eight 'tones. This plain-chant the Byzantine missionaries took with them into the Slavonic lands.
It is normal for an Orthodox to stand during the greater part of the church service, and non-Orthodox visitors are often astonished to see old women standing for several hours without signs of tiredness. There is a kind of flexibility and special informality in the Orthodox church. Western worshippers, ranged in their rows, all in their proper places, can not move during the service without causing a disturbance; a western congregation is expected to arrive at the beginning and to stay to the end. But in Orthodox worship people can come and go more freely, and nobody is greatly surprised if they move about during the service. The Orthodox are at home in their church – they are children in their Father's house. Orthodox worship is a family affair. Orthodox churches are full of icons. The icons which fill the church serve as a point of meeting between heaven and earth. They remind the faithful all the time of the invisible presence of Christ, the angels and the saints at the Liturgy. The faithful can feel that the walls of the church open out upon eternity, and that their Liturgy on earth is one and the same with the great Liturgy of heaven.
Litanies are another characteristic of Orthodox services. In these Litanies, the deacon (if there is no deacon, the priest) calls the people to pray for the various needs of the Church and the world, and the choir or people reply Lord, have mercy – Kyrie eleison in Greek, Gospodi pomilui – in Russian and Serbian.(In some Litanies – Grant this, O Lord.)
Текст бр. 3
Serbian Krsna Slava
Krsna Slava-the celebration of the home Patron Saint-is the greatest characteristic of the national and religious life of the Serbian people. It is a beautiful and unique expression of the Orthodox faith that is deeply implanted in the Serbian Christian soul. Krsna Slava is an exclusively Serbian custom. It is the most solemn day of the year for all Serbs of the Orthodox faith and has played a role of vital importance in the history of the Serbian people. Krsna Slava is actually the celebration of the spiritual birthday of the Serbian people. Our forefathers accepted Christianity collectively by families and by tribes. In commemoration of their baptisms, each family or tribe began to celebrate the saint on whose day they received the sacrament of Holy Baptism. The mother church blessed this practice and proclaimed Krsna Slava a Christian institution. According to the words of St. Paul (Phil. 1:2), every Christian family is a small church, and, just as churches are dedicated to one saint, who is celebrated as the protector of the church, so Serbian families place themselves under the protection of the saint on whose holiday they became Christians and to whom they refer to as their intercessor to God Almighty. To that protector of their homes, they pay special respect from generation to generation, from father to son, each and every year.
Our ancestors always celebrated their Krsna Slava, regardless of how dangerous the situation was. In our long suffering history, the state and freedom ceased to exist, but in our homes, the candle of our Patron Saint never was extinguished. The Serbian Krsna Slava links, as a golden string, our past and our present, our ancestors and their descendants. Serbian people should never ignore their Krsna Slava because through it the Orthodox faith was preserved and they were held together through the centuries.
The celebration of Krsna Slava requires the Icon of the family Patron Saint and several items that symbolize Christ and the believer's faith in His death and resurrection: a lighted candle, Slava wheat, Slava bread (Slava cake), and red wine. The lighted candle reminds us that Christ is the Light of world. Without Him we would live in darkness. Christ's light should fill our hearts and minds always, and we should not hide the Light of Christ in our lives. Slava wheat represents the death and resurrection of Christ. Christ reminded us that unless a grain of wheat dies it cannot rise again, just as it was necessary that He die, be buried, and on the third day rise again so that we all can triumph over death. Slava wheat is prepared as an offering to God for all of the blessings we have received from Him; it also is to honor the Patron Saint and to commemorate our ancestors who lived and died in the Orthodox faith. Slava cake represents Jesus Christ as the Bread of Life. It is also symbolic of our thanks to God for saving us through His Son. During the blessing of the bread the priest cuts a cross in it, which reminds us of Christ' s death on the cross for the remission of our sins. The red wine, of course, represents Christ's precious blood, which was required to wash our sins away.
St. Anthony's Monastery in Arizona
In the summer of 1995 six monks arrived in the southern Arizona desert to establish St. Anthony's Monastery, carrying with them the sacred, millennial heritage of the Holy Mountain, Athos. Since early Christian history, this rocky peninsula in northern Greece has been a home for ancient Egyptian, Cappadocian, and Constantinopolitan monks. In this way, it is a direct link with the greatest monasteries of ancient Christianity, preserving the wisdom of the holy fathers and the sacred tradition of the ancient Church. Today, the Holy Mountain consists of 20 independent monasteries, and many sketes and hermitages, with Orthodox Christian monks from all over the world.
The monastery follows the coenobitic rule of monastic life: a brotherhood of monks and novices follow a daily schedule of prayer and work under obedience to the abbot, their spiritual father. The monks' daily program begins at midnight with personal prayer time and spiritual reading, followed by the Morning prayers and the Divine Liturgy. After a light breakfast and a rest period, the monks begin their work day, attending to prayer and their tasks till evening. Tasks include, among others: gardening, wood-carving,
Elder Ephraim, a disciple of Elder Joseph the Hesychast, restored and repopulated four Mt. Athos monasteries and established several men's and women's monastic communities throughout Greece and North America. After all this he transferred six Athonite monks to the Sonoran Desert to start a new monastery. When they arrived the fathers began with the necessary construction work, building first the main church, living quarters for the monks, the dining hall, and guest facilities. The monastery has its own vegetable garden, a small vineyard, citrus orchards, and an olive grove. The monastery is dedicated to St. Anthony the Great, the father of monasticism, the famous 3rd century anchorite. There are chapels dedicated to Saints Seraphim of Sarov, Demetrius of Thessalonica, John the Baptist, George the Great Martyr, Nicholas the Wonderworker, and Panteleimon the Healer. The main church is dedicated to Saints Anthony and Nectarios the Wonderworker.
icon-painting, publishing, food preparation, and offering hospitality. The day ends with evening Vespers followed by dinner and Compline.
Life in the Monastery
Translate into English – Преведите на енглески:
1. У Србији има пуно старих и прелепих манастира.
2. Српски манастири су задужбине српских краљева.
3. Наша најпознатија фреска је Бели анђео из Милешеве.
4. Жича је женски општежитељни манастир.
5. Много људи сваке године посети наше манастире.
6. На монашењу искушеник постаје монах, он даје монашке завете и умире за свет.
7. Послушање и молитва су најважнији за монаха.
8. На монашењу сваки монах добија бројанице.
9. Сваки монах или монахиња живи у својој келији.
10. Мој стриц је игуман једног манастира у Нишкој епархији.
Текст бр.5
St. Theophan the Recluse On Prayer
From the Letters of Bishop Theophan the Recluse
The Art and Science of Prayer (from Letter 15)
You write that you prayed fervently and at once you were calmed, receiving an inner assurance that you would be released from oppression; and then, indeed, it was so..
I won't conceal the fact that, though once you prayed from the heart, it is hardly possible to pray that way constantly. Such prayer is given by God or is inspired by your Guardian Angel. It comes and goes. But that does not mean that we should give up the labor of prayer. Prayer of the heart comes when one makes an effort; to those who do not strive, it will not come. We see that the Holy Fathers made extraordinary efforts in prayer. How they came to this prayerful state is illustrated in the writings they have left us. Everything they say about striving in prayer makes up the science of prayer, which is the science of sciences. There is nothing more important than prayer. Grant us, O Lord, zeal for such an effort!
Wandering Thoughts during Prayer (from Letter 31)
Thoughts wander when one is reading spiritual works and during prayer. What should one do? No one is free from this. There is no sin in it, only vexation. Having wandering thoughts becomes a sin when one willingly allows it. There is fault, though, when one notices thoughts wandering and, taking no action, one wanders along with them. When we catch our thoughts wandering off, we must bring them back to their proper place at once.To be free from the tendency to have wandering thoughts during prayer, one must concentrate and pray with warmth.
Accustom yourself to pray your own prayers. For instance: it is the essence of evening prayer to thank God for the day and everything that happened, both pleasant and unpleasant; to ask forgiveness for all wrongs committed, promising to improve during the next day; and to pray that God preserve you during sleep. Express all this to God from your mind and from your whole heart.
The essence of morning prayer is to thank God for sleep, rest and regained strength and to pray that He will help us do everything to His glory. Express this to Him with your mind and with your whole heart. Along with such prayers in the morning and evening, present your greatest needs to the Lord, especially spiritual needs. Besides spiritual needs, present your worldly cares, saying to Him as would a child: "See, O
Lord, my sickness and weakness! Help and heal!" All this and the like can be spoken before God in your own words, without the use of a prayer book.
Текст бр.6
The Lord's Prayer
By St. John Chrysostom
When the Disciples asked Our Lord to teach them how to pray, He gave them the words of the Lord's Prayer, which, in St. Matthew's Gospel goes like this:
Our Father, Who art in heaven, hallowed be Thy name. Thy kingdom come. Thy will be done, on earth as it is in heaven. Give us this day our daily bread; And forgive us our trespasses, as we forgive those who trespass against us; And lead us not into temptation, But deliver us from the Evil One.
Our Father Who art in heaven - God is the Father of all that exists. He not only created the universe, the entire world material and spiritual, visible and invisible but, being the Father, He loves His creation, and cares for it. The Father is He Who calls us to life. He is the Father of the spiritual world of the Angelic Host and the Church Triumphant-known biblically as Heaven.
The Lord's Prayer consists of seven petitions to our Heavenly Father. (1) hallowed be Thy name - The Lord is the fullness and perfection of sanctity but, by glorifying Him, we sanctify ourselves and the world around us. (2) Thy kingdom come. In the second petition, we ask the Lord to help us and make us worthy, through His grace, of the Kingdom of Heaven which begins, as Christ Himself said, here on earth, within us.
(3) Thy will be done on earth, as it is in Heaven. We ask God the Father not to allow us to live our earthly lives according to our sinful ways, but according to His will, which is always good, and acceptable, and perfect (Rom. 12:2). By obeying the will of God, we begin to establish the Kingdom of God within ourselves. (4) Give us this day our daily bread - We ask God to give us our daily bread - everything we need in life, spiritual as well as material. First and foremost, our daily bread means Holy Communion, because the Lord said: "I am the bread of life...and the bread which I shall give for the life of the world is My flesh." (John 6:48, 51). The words this day warn us against too many cares, and teach us to ask only for what is most important, and not to worry about tomorrow.
(5) And forgive us our trespasses, as we forgive those who trespass against us. Man's sins are called trespasses against God in this petition, and here we beg for God's mercy. This is our confession, asking for His forgiveness. When we ask for forgiveness we must repent and forgive our neighbor his trespasses against us. When we forgive our neighbour, then God will also forgive us our sins. (6) And lead us not into temptation - We ask God to preserve us from all that confuses our spirit and from temptations that are beyond our strength. God is faithful, and He will not let us be tempted beyond our strength. (7) But deliver us from the Evil One. In the seventh and final petition, we ask God to protect us and save us from Evil and the Devil, who is a murderer from the beginning and works for our destruction.
Текст бр. 7
Various Prayers
Prayer to the Holy Spirit
O, Heavenly King, the Comforter, the Spirit of Truth, Who art everywhere and fillest all things; Treasury of Blessings and Giver of Life; come and abide in us, and cleanse us from every impurity, and save our souls, O Good One.
Prayer to the Holy Trinity
Holy God, Holy Mighty, Holy Immortal, have mercy on us. (thrice) Glory to the Father, and to the Son, and to the Holy Spirit, now and ever, and unto ages of ages. Amen.
O most-holy Trinity; have mercy on us. O Lord: cleanse us from our sins,
O Master: pardon our transgressions, O Holy One: visit and heal our infirmities for Thy Name’s sake.
Lord have mercy. (thrice)
Glory to the Father, and to the Son, and to the Holy Spirit, now and ever, and unto ages of ages. Amen.
The Creed
I believe in one God, the Father, almighty, Maker of heaven and earth, and of all things visible and invisible.
And in One Lord Jesus Christ, the Son of God, the only-begotten of the Father before all ages. Light of Light; true God of true God, begotten not made; of one essence with the Father, by Whom all things were made;
Who for us men, and for our salvation, came down from heaven, and was incarnate of the Holy Spirit and the Virgin Mary, and became man.
And He was crucified for us under Pontius Pilate, and suffered and was buried.
And the third day He rose again according to the Scriptures;
And ascended into Heaven, and sits at the right hand of the Father;
And He shall come again with glory to judge the living and the dead; Whose kingdom shall have no end.
And in the Holy Spirit, the Lord, the Giver of Life, Who proceeds from the Father, Who with the Father and Son together is worshipped and glorified; Who spoke by the prophets.
In One, Holy, Catholic and Apostolic Church.
I acknowledge one baptism for the remission of sins.
I look for the resurrection of the dead;
And the life of the world to come.
Amen.
Prayer Before Sleep
O Lord, our God, in Thy goodness and love for men, forgive me all the sins I have committed today in word, deed, and thought. Grant me peaceful and undisturbed sleep. Send Thy Guardian Angel to guard and protect me from evil. For Thou art the guardian of our souls and bodies, and to Thee we ascribe glory to the Father, and to the Son, and to the Holy Spirit, now and ever, and unto ages of ages. Amen.
Prayers to the Most Holy Theotokos
O Virgin Theotokos (Hail Mary)
Rejoice, O Virgin Theotokos, Mary full of grace, the Lord is with you. Blessed are you among women and blessed is the fruit of your womb, for you have born Saviour of our souls.
Meet It is in Truth
Meet it is in truth, to glorify Thee, O Birth-giver of God, ever blessed, and all-undefiled, the Mother of our God. More honourable than the Cherubim, and beyond compare more glorious than the Seraphim, Thou who without stain didst bear God the Word, True Birth-giver of God, we magnify Thee.
~
What does prayer mean to young Orthodox Christians in Serbia? Vojislav: For me prayer is a conversation with God. Through prayer we live in God. There is a private prayer and, of course, there is a common, liturgical prayer, and both are important. At my home I pray alone and also together with my family. When I pray, I often pray in my own words, but I also use a prayer- book.
Zoran: When you love someone very much, more than anything, you want to talk to this person all the time, you want to be with this person all the time. So, when we say that we love God, and we don't pray, or we pray very little - we lie. The prayer connects us with God, and the more we love Him the more we will pray, and, the more we pray the more we will love God. I prefer to pray in my own words and I think that those prayers are the best, but you must always ask your spiritual father.
Exercises – Вежбања:
I Answer the questions – Одговорите на питања:
A
1. Is it possible to live in God without prayer?
2. Is there any special place for praying, or we can pray wherever we are?
3. What should we say to God when we pray?
4. Why God sometimes "doesn't hear" our prayers?
5. What is prayer for Vojislav?
6. What are the two kinds of prayers Vojislav talks about?
7. Does he pray alone or with his family?
8. Does he use a prayer-book?
9. Why do we pray - in Zoran's opinion?
B
1. What is prayer for you?
2. Do you pray as much as you want to?
3. Do you pray in your own words?
4. Do you pray only when you are in trouble or also when you are happy?
5. When we pray do we have to say the prayer out loud?
On Pr ayer
Translate into English – Преведите на енглески:
1. Молитва је разговор са Богом.
2. Сваког јутра и вечери читам молитве из молитвеника.
3. Важно је да се молимо од срца.
4. Некада се молим сам, а некада са другом.
5. Често се молим Пресветој Богородици да ми помогне.
Текст бр.8
On Fasting
Fasting, in our days has become one of the most neglected spiritual values. Because of misunderstandings regarding the nature of fasting many of today's Orthodox Christians fast very little, or neglect fasting altogether.
Fasting was practiced by the Lord Himself. After prayer and fasting for forty days in the wilderness, the Lord victoriously faced the temptations of the devil (Matthew 4:111). The Lord Himself asked His disciples to use fasting as an important weapon to achieve spiritual victories (Matthew 17:21; Mark 9:29; Luke2:37). The example of the Lord was followed by His disciples (Acts 14:23; 27:9; Corinthians 7:5, etc.)
The importance of fasting depends on its meaning. Many of the Fathers have written on fasting. St. Basil the Great has left us some of the most inspired comments on fasting. He tells us that fasting is not abstaining from food only; it is first of all, abstaining from sin. By detaching us from earthly goods fasting has a liberating effect on us and makes us worthy of the life of the spirit, the life similar to that of angels. Secondly, fasting, as abstinence from bad habits and sin, is the mother of Christian virtues; it helps us establish the priority between the material and spiritual, giving priority to spiritual.
Fasting is closely connected with repentance. Adam and Eve disobeyed God; they refused to fast from the forbidden fruit. They became the slaves of their own desires. But now though fasting, though obedience to the rules of the Church regarding the use of spiritual and material goods, we may return to the life in Paradise, the life in communion with God. Thus, fasting is a means of salvation.
Today more and more people in Serbia fast. What does fasting mean to these people? Vojislav: For me and my family fasting means cleansing of body and soul, abstaining from bad thoughts, bad words, bad deeds and from food, but certainly not only abstaining from food. The Lord said: "This kind can come forth by nothing but by prayer and fasting". So, while we fast we also pray more than on ordinary days. Prayer and fasting are deeply connected. But you must do all this with love.
Zoran: For me fasting is a sacrifice. Look at Christ's sacrifice - it's a supreme sacrifice! He sacrificed Himself for us, He suffered whipping, crucifixion and death so that we – you and I, and everyone who wants, can be saved! He said:" Greater love had no man than this, that a man lay down his life for his friends". Jesus did it out of love, so that's why I fast out of love for Him. When we look at His sacrifice: what is fasting – the smallest sacrifice we can make.
Nenad: For me fasting is obedience – obedience to God and to our Mother -the Church. Just as Jesus did everything out of love and obedience to His Father. God knows what is best for us, and one of the commandments of our Orthodox Church is fasting. If we don't obey our Church how can we say that we obey God?
Текст бр. 9
Christmas
Western American Diocese
Serbian Orthodox Bishop of Western America
This year, as we celebrate together the Nativity of the eternal Christ-Child, We send you holiday greetings with joyous hymns and songs! Awaiting the glorious and joyful holiday of the Birth of the Prince of Peace – Christ Emanuel, We call upon you, brothers and sisters, to glorify Him with our hearts, first in Holy Communion, and then in our homes.
Living in the world where many are ill, hungry, suffering in exile, We pray to the Christ-Child for the peace and wellbeing of the whole world, announcing the cosmic joy along with the angels and shepherds: "Glory to God in the highest, peace on Earth and good will amongst men!"
This year, may the traditional Christmas holiday atmosphere with all the external shine and decoration not overshadow the true, internal experience of God, Who is Life, and not the object of commercial interests. Avoiding all of the deceiving illusions, let us firstly seek that which is most necessary: The grace of the Newborn Child of Bethlehem, Who was not born in a luxurious palace (although He could have been!), but in the manger. This gift will become visible here in the world in which we live, if we shine as true witnesses to the birth of the ChristChild in Bethlehem. Thus, the world and America will sense the joy and blessed announcement of God Incarnate.
May the Holy Spirit implant the true faith in God within us, just as He did the Virgin Mary so that the King of Glory became incarnate from within her! May the peace, joy and love of Christ be poured out upon the world! We rejoice in the gift and blessing of the Lord's Nativity, greeting you with the holiday greeting:
Divine Peace – Christ is Born!
He is Truly Born!
+ bp Maxim Bishop of western America
Текст бр. 10
Bishop Kallistos Ware:
The Sacraments
(adapted)
The Chief place in Christian worship belongs to the sacraments or, as they are called in Greek, the mysteries. 'It is called a mystery', writes St John Chrysostom of Eucharist, 'because what we believe is not the same as what we see, but we see one thing and believe another…When I hear the Body of Christ mentioned, I understand what is said in one sense, the unbeliever in another.'
The sacraments, like the Church, are both visible and invisible; in every sacrament there is the combination of an outward visible sign with an inward spiritual grace. In most of the sacraments the Church takes material things – bread, wine, water, oil, which become changed by the Holy Spirit.
The Orthodox Church speaks of seven sacraments:
1) Baptism,
2) Chrismation,
3) The Eucharist,
4) Repentance or Confession,
5) Holy Orders,
6) Marriage or Holy Matrimony, and
7) The Anointing of the Sick.
When we talk of 'seven sacraments', we must never isolate them from many other actions in the Church which also possess a sacramental character- sacramentals. These are: the rites for monastic profession, the great blessing of waters at Epiphany, the service for the burial of the dead, and the anointing of a monarch. The Church also has a large number of minor blessings which are of sacramental nature: blessings of corn, wine and oil, of fruit, fields, homes etc.
The sacraments are personal: through them God's grace is given to every Christian individually. For this reason, in most of the sacraments of the Orthodox Church, the priest mentions the Christian name of each person. When he is giving Holy Communion, for example, he says: 'The servant of God…(name) partakes of the holy Body and Blood of our Lord'.
The priest never speaks in the first person; he does not say: 'I baptize…', 'I anoint…'. The mysteries are not our actions but the actions of God in the Church, and the true officiant is always Christ Himself.
Текст бр. 11
Bishop Kallistos Ware:
The Sacraments: Baptism
In the Orthodox Church today, as in the Church of the early centuries, the three sacraments of Christian initiation-Baptism, Chrismation, and First Communion- are linked closely together. Orthodox children are not only baptized in infancy, but chrismated and given communion in infancy.
There are two essential elements in the act of Baptism: the invocation of the Name of the Trinity, and the threefold immersion in water. The priest says: 'The servant of God…(name) is baptized in the name of the Father, Amen, and of the Son, Amen, and of the Holy Spirit, Amen.' As the name of each person in the Trinity is mentioned, the priest immerses the child in the font, or he pours water over its body.
Baptism signifies a mystical burial and resurrection with Christ; and the outward sign of this is the immersion in water- (burial), followed by the emergence from the water(resurrection). Through Baptism we receive full forgiveness of all sin, whether original or actual; we 'put on Christ', becoming members of His Body the Church. To remind them of their Baptism, Orthodox Christians usually wear a small Cross, hung round the neck on a chain.
Baptism is performed by a bishop or a priest. But in cases of emergency it can be performed by a deacon, or by any other man or woman – if they are Christian.
* * *
Vojislav: I was baptized as a baby. When I was 3 months old my parents took me to our parish church where my father, who is a priest, baptized me. On the next liturgy I received the Communion. For my family this is normal, and it goes without saying. Today people decide to get baptized for many reasons: they want to get married, or because of tradition, or something else; but there are very few people who really know what they are doing and what they are becoming when they are receiving baptism. In the early centuries people who wanted to be baptized were preparing for a long time. They were called catechumens. They usually received sacrament of baptism on Epiphany or on Great Saturday. This preparation for baptism was very serious. Today people don't prepare at all! I think that it is completely wrong. Baptism is not
something you do and forget all about it! It is the beginning of an active life in the Church of Christ.
Zoran: I was baptized 5 years ago, when I was 23. At the time I was reading some books by St. Bishop Nikolai and I felt that Orthodoxy is the only Truth. I wanted to become a true Orthodox Christian. I will never forget my baptism, it is my second birth, my real birth! It's my spiritual birthday. Fr. Nikola who baptized me, prepared me for it. This preparation is very important because – you PUT ON CHRIST! Can you imagine! Think how great and how wonderful and how serious that is! It's a great, great honour and a great responsibility. After baptism you are a new man and you start a completely new life! That's why you must be aware of it.
Chrismation
Immediately after Baptism, an Orthodox child is chrismated or confirmed. The priest takes a special ointment, the Chrism (in Greek-myron), and with this he anoints various parts of child's body, marking them with the sign of the Cross: first the forehead, then the eyes, nostrils, mouth, and ears, the breast, the hands, and the feet. As he marks each he says: 'The seal of the gift of the Holy Spirit.' The child (or person), who has been incorporated into Christ at Baptism, now receives in Chrismation the gift of the Spirit, and becomes a laikos, a full member of the people (laos) of God. Chrismation is an extension of Pentecost: the same Spirit who descended on the Apostles visibly in tongues of fire now descends on the newly baptized invisibly, but with no less reality and power.
Chrismation is also used as a sacrament of reconciliation. If an Orthodox apostatizes to Islam (for example), and then returns to the Church, when accepted back he or she is Chrismated.
(based on 'The Orthodox Church', by Bishop Kallistos Ware)
Преведите ове реченице на енглески:
1. Крштен сам као беба._________________________
2. Прошле године сам био кум на крштењу мом другу.
3. На миропомазању човек прима Печат Дара Духа Светога.
4. Св. Јован Крститељ је крстио Господа Исуса Христа на реци Јордану.
5. Мој друг који се јуче крстио, данас се причестио на литургији.
Answer the questions - Одговорите на питања:
1. Who was the first man in the history who baptized people?
2. Where did he baptize?
3. What are 2 chief elements in the act of Baptism?
4. Are we baptized only with water?
5. Who performs baptism today?
6. Can any Orthodox Christian perform baptism?
7. When was Vojislav baptized?
8. Is preparation necessary when someone is baptized as an adult?
9. When was Zoran baptized? What does baptism mean to him?
10. When were you baptized?
11. Is baptism connected with repentance?
Текст бр. 12
Bishop Kallistos Ware The Sacraments: The Eucharist
As soon as possible after Chrismation an Orthodox child is brought to Communion. Today the Eucharist is celebrated in the Eastern Church according to one of four different services: 1) The Liturgy of St John Chrysostom (Sundays and weekdays); 2) The Liturgy of St Basil the Great (10 times a year); 3) The Liturgy of St James, the Brother of the Lord (once a year, on St James's day; 4) The Liturgy of the Presanctified Gifts (on Wednesdays and Fridays in the Lent).
The Liturgies of St John Chrysostom and St Basil have 3 parts:
1.) The Office of Preparation- the Prothesis or Proskomidia: the preparation of the bread and wine to be used at the Eucharist. The Office of the Preparation is performed privately by the priest and deacon in the chapel of the Prothesis.
2.) The Liturgy of Catechumens, or the Liturgy of the Word- the Synaxis ; and
3.) The Eucharist
The Synaxis and the Eucharist each contain a procession, known as the Little and the Great Entrance. At the Little Entrance the Book of the Gospels is carried round the church; at the Great Entrance the bread and wine are brought from the Prothesis chapel to the altar. Both the Synaxis and the Eucharist have a clearly marked climax: in the Synaxes, the reading of the Gospel; in the Eucharist, the Epiclesis of the Holy Spirit. The Epiclesis is the Invocation or 'calling down' of the Holy Spirit on the Holy Gifts.
The Orthodox Church believes that after consecration the bread and wine become in very truth the Body and Blood of Christ: they are not symbols, but reality. The Eucharist is not a bare commemoration or an imaginary representation of Christ's sacrifice, but the true sacrifice itself; but it is not a new sacrifice, nor a repetition of the sacrifice on Calvary, since the Lamb was sacrificed 'once only, for all time'. In the Orthodox Church the laity as well as the clergy always receive communion 'under both kinds'. Communion is given to the laity in a spoon, containing a small piece of the Holy Bread together with a portion of the Wine; it is received standing. After the final blessing with which the Liturgy ends, the people receive a little piece of bread, called the Antidoron, which is blessed but not consecrated, although it is taken from the same loaf as the bread used in the consecration.
(adapted)
Преведите на енглески:
1. У овој цркви је благослов да се причешћујемо на свакој литургији.
2. Православни се причешћују под оба вида, а то значи да узимају и Тело и Крв Господњу.____________________________________________________________
3. Стојан се јуче није причестио, али је после литургије узео нафору.
4. Деса је јуче поново закаснила на литургију, дошла је тек после Малог Входа.
5. За Пређеосвећену литургију свештеник користи Свете Дарове са недељне литургије. ___________________________________________________________
6. За време Литургије Верних изговарамо Символ Вере.
7. Ђакон или Свештеник читају Јеванђеље за време Литургије Оглашених.
8. Велики Вход долази после Херувимске песме.
9. Јованка се постом и молитвом припремала за Св. Причешће.
* * *
Vojislav: The Liturgy is the centre of life of every true Orthodox Christian, that's why we say – liturgical life – the life in Church, in the Eucharist. The first Communion in the history was the Communion of the Apostles at the Last Supper. They received the Communion from the Lord Himself. In the Eucharist we become one with our Lord. That's why we must prepare for this, and when I say prepare I don't just mean that we read prayers before the Communion, or fast… Yes, we must do all that, but we must try to lead the liturgical life – try to do good and avoid sin, always, every day of our life and not just before the liturgy.
Zoran: To me liturgy gives sense to my life. I remember Sundays before I started going to church. They were very boring, empty days. But when I started going to church everything changed. Every Sunday is a holiday – little Easter. At first this was strange to my friends, and now, thank God, they all go to church. I'm sorry that some people don't understand this. Liturgy is such a great gift, a chance to step into
eternity, here on earth! You stand there with all the saints, with angels, with the Mother of God and with Christ Himself; and that's not all, you receive His Holy Body and Blood! Only with the Holy Communion we can be victorious over sin and death.
Текст бр. 13
Bishop Kallistos Ware
The Sacraments: Repentance
When Orthodox children are old enough to know the difference between right and wrong and to understand what sin is - probably aged about six or seven - they can receive another sacrament: Repentance, Penitence, or Confession (in Greek, metanoia or exomologisis).Through this sacrament sins committed after Baptism are forgiven and that is why it is often called a 'Second Baptism'. It acts at the same time as a cure for the healing of the soul, because the priest gives not only absolution but also spiritual advice.
Confession in the early Church was a public affair; but for many centuries it has had the form of a private 'conference' between priest and penitent alone. The priest is strictly forbidden to reveal to anybody what he has heard in Confession.
In Orthodoxy confessions are heard in any part of the church, usually in the open immediately in front of the iconostasis, or it may be in a special room for confessions, and both the priest and the penitent stand. The penitent often faces a desk on which are placed the Cross and an icon of the Saviour or the Book of the Gospels; the priest stands slightly to one side. This shows that in Confession it is not the priest but God who is the judge, while the priest is only a witness and God's minister. That is why the priest says to the penitent at the beginning: "…Christ stands here invisibly and receives your confession. Therefore do not be afraid or ashamed (…) I am only a witness bearing testimony before Him of all the things which you have to say to me." The priest listens to the Confession and if necessary asks questions and then gives advice. After confessing everything the penitent kneels or bows his or her head and the priest, placing his stole (epitrachilion) on the penitent's head and then laying his hand upon the stole, says the prayer of absolution. In Greek service books this prayer is in the third person, 'May God forgive…', but in Slavonic books it is in the first person, 'I forgive…'. This form appeared in Slavonic service books under Latin influence in Russia in the eighteenth century.
The priest can give a penance (epitimion), but this is not an essential part of the sacrament and it is not given often.
Many Orthodox have a special spiritual father, often not their parish priest, to whom they go regularly for confession and spiritual advice. There is no strict rule in Orthodoxy how often a person should go to confession.
Преведите на енглески:
1. Колико често идеш на исповест? _____________________________________
2. Стојан и ја се исповедамо код о. Јована, он је наш духовник.
3. У неким црквама свештеници некад исповедају за време литургије.
4. На крају исповести свештеник чита разрешну молитву.
5. После разрешне молитве целивао сам Часни Крст и руку свештеника.
6. Код Св. Јована Кронштатског било је толико много људи да је исповест била јавна. _______________________________________________________________
7. Велики Пост је време покајања.
8. Господ нам опрашта грехе када се искрено кајемо.
* * *
Vojislav: I remember my first confession. I was six and I lied to my mother about something. I lied to avoid punishment, but I felt so bad, that, that was my punishment. During the liturgy I saw Fr. Milan hearing confession. I came to him and confessed my sin. After that I was so happy, I can't forget that feeling.
There can be no confession if there is no TRUE repentance, and this means that you deeply regret doing a bad thing, or not doing something good. St. Isaac the Syrian says that it is greater to see yourself – who you truly are, than to see angels. We must examine ourselves all the time, we must work on ourselves, so that we can be better. In Greek metanoia means a change in your thinking, repentance. It is not good to look upon confession in this way: you sin, you go to confession and everything is all right. It is all right if you truly repent for your sin, and not if you just confess mechanically. Confession is a gift to us, sinners, to cleanse our souls.
Zoran: For people who don't go to church confession is something strange. They think they have nothing to confess, because they lead normal quiet lives, they didn't do anything horrible, so why confess. The problem is that, living in this sinful world, we often forget that a word can "kill". When you start leading a true liturgical life you change the way of looking at things, you see things in a completely different light. Your eyes open, and you understand so much more. But because we are human, we
are weak and we sin although we don't want to. That is why God gave us confession, to help us on our way towards Him.
Текст бр. 14
Bishop Kallistos Ware
The Sacraments: Holy Orders
There are three 'Major Orders' in the Orthodox Church, Bishop, Priest, and Deacon; and two 'Minor Orders'- Subdeacon and Reader. Ordinations to the Major Orders always happen during the Liturgy, and they must be individual. Only a bishop has a power to ordain, and the consecration of a new bishop must be performed by three or at least two bishops, never by one alone. An ordination must be acclaimed by the whole people of God; and so at a special moment in the service the congregation acclaim the ordination by shouting 'Axios!' ('He is worthy!'). But what happens if they shout 'Anaxios!' ('He is not worthy!')? In theory, if the laity does not acclaim the ordination or consecration they cannot take place. But on several occasions in Constantinople or Greece during the 20 th century, the congregation shouted 'Anaxios', but without effect.
There are two groups of Orthodox priests, the 'white' or married clergy, and the 'black' or monastic. The future priests must make up their mind before ordination, to which group they want to belong, for it is a strict rule that no one can marry after he has been ordained to a Major Order. Those who do not want to marry usually become monks before their ordination; but in the Orthodox Church today there is a number of celibate clergy who have not taken formal monastic vows. The celibate priests cannot change their mind after the ordination and decide to get married. Also, if a priest's wife dies, he cannot marry again.
Since the sixth or seventh century the bishop has had to be celibate, and from the fourteenth century he has had to be in monastic vows; but a widower can become a bishop if he receives monastic profession.
In the early Church the bishop was often elected by the people of the diocese, clergy and laity together. In Orthodoxy today it is usually the Governing Synod in each
autocephalous Church which elects bishops; but in some Churches – Antioch, for example and Cyprus – a modified system of popular election still exists.
What does the Orthodox Church think about the ordination of women?
If Christ had wanted women to be priests, He would have taught His Apostles so. The ordination of women does not have basis in Scripture and Tradition. Also, the priest at the Eucharist represents Christ, and because Christ is male, the priest must also be male. This is why the Orthodox Church categorically rejects the ordination of women.
In the early Church women served as deaconesses, they were probably instituted, not ordained to this order; they helped especially at the baptism of adult women, but they also helped in churches and visited poor, sick and old women.
(adapted)
I Преведите на енглески:
1. Отац Јован је рукоположен 1975. ______________________________________
2. Да ли сте били јуче на рукоположењу ђакона Момчила?
3. Православни свештеници се жене пре рукоположења.
4. Монах Сава је прошле недеље рукоположен у ђакона – сада је јерођакон.
5. Било је пуно људи у Дечанима на хиротонији Владике Теодосија.
6. Јеромонах Василије је отишао на Свету Гору да посети манастир Хиландар.
7. Православна Црква је против рукоположења жена.
8. Мој брат је јуче рукопроизведен у ипођакона.
9. Чтец чита 'Апостол' на литургији оглашених
10. Старац Тадеј је био Стојанов духовник.
* * *
WITH ELDER PORPHYRIOS A spiritual child remembers
Feel sorry for the Person Hurt by a Criminal
'One day', he started to tell me, 'you are walking quietly on your way and you see your brother walking in front of you, also quietly. Then at some point a bad man jumps out in front of your brother from a side road and attacks him. He beats him, pulls his hair, wounds him and throws him down bleeding. Faced with a scene like that would you be angry with your brother or would you feel sorry for him?'
I was puzzled by the Elder's question and I asked him in turn: 'How could I possibly be angry with my wounded brother, who fell victim to the criminal? The thought didn't even cross my mind. Of course I would try to help him as much as I could.' ' Well, then', continued the Elder, 'everyone who insults you, who hurts you, who slanders you, who wrongs you in any way whatsoever is a brother of yours who has fallen into hands of some criminal demon. When you notice that your brother wrongs you, what should you do? You must feel very sorry for him (…) and pray to God warmly and silently to support you in that difficult time of trial and to have mercy on your brother, who has fallen victim to demon. Because, if you don't do that, but get angry with him, reacting to his attack with a counter attack, then the devil who is already on the back of your brother's neck will jump on to yours and dance with the both of you.'
Текст бр. 15
Bishop Kallistos Ware
The Sacraments: Marriage
Humans are made in the image of the Trinity, and God didn't make them to live alone but in a family, except in special cases. And just as God blessed the first family, commanding Adam and Eve to multiply, so the Church today gives its blessing to the union of man and woman. Marriage is not only a state of nature but also a state of grace. Married life, no less than life of a monk, needs a special gift or charisma from the Holy Spirit; and this gift man and woman receive in the sacrament of Holy Matrimony.
The Marriage service has two parts, which were separate before, but now they are celebrated one after another. These are Office of Betrothal and Office of Crowning. At the Betrothal service the chief ceremony is the blessing and exchange of rings; this is an outward symbol that the two partners join in marriage of their own free will and consent, because without free consent on both sides there can be no sacrament of Christian marriage.
The second part of the service culminates in the ceremony or crowning: on the heads of the bridegroom and bride the priest places crowns, in Greece they can be made of leaves and flowers, but in Russia and Serbia of silver and gold. This, the outward and visible sign of the sacrament, signifies the special grace which the couple receive from the Holy Trinity. The crowns are crowns of joy, but they are also crowns of martyrdom, because every true marriage also means self-sacrifice on both sides. At the end of the service the newly married couple drink from the same cup of wine, as a memory of the miracle at the marriage feast of Cana in Galilee: this common cup is a symbol of the fact that from that day they will share a common life with one another.
The Orthodox Church permits divorce and remarriage. It sees the breakdown of marriage as a tragedy due to human weakness and sin, but while condemning the sin the Church still wants to help humans and to give them a second chance. But, the second marriage cannot have the same character as the first and the service is different. Orthodox Canon Law permits second or even third marriage, but absolutely forbids fourth. In theory the Canons only permit divorce in cases of adultery, but in practice it is permitted for other reasons as well.
(adapted)
I Преведите на енглески:
1. За време службе Обручења млада и младижења размењују прстење.
2. У току службе Венчања свештеник ставља круне на главе младе и младожење и везује им руке.
3. Био са кум на венчању мог најбољег друга.
4. Лола је замолила Јованку да јој буде кума на венчању.
5. Апостол Павле у Посланицама говори о Браку и дужностима мужа и жене.
6. Господ је благословио брак на свадби у Кани Галилејској.
7. Сви причају да се Стојан жени на јесен!
8. О. Јован ће венчати Стојана и Лепу.____________________________________
9. На Лолиној свадби је било 400 гостију. _________________________________
10. Данас многи желе Литургијско венчање.
* * *
Reporter: Vojislav, can you tell us: what is the difference between church marriage and civil marriage? Why is church marriage so special to you?
Vojislav: Well, first, when I say church marriage I think of a marriage in which both husband and wife lead liturgical life. The difference is great! In civil marriage people just formally legalize their relationship, but Christian marriage is not some legal formality. The essence of Christian marriage is not only reproduction, or satisfaction of natural needs. Christian marriage is, according to St. John Chrysostom, a mystery of love, an eternal union of husband and wife in Christ. From the beginning, Christians sealed marriage through the blessing of the Church and sharing the Eucharist, which was the oldest form of the administration of the Sacrament of Matrimony.
Reporter: Today we can hear that church is conservative, especially when we talk about chastity in modern times...
Zoran: Church is our Mother, it teaches us as mothers teach their children. Sometimes children think that they know everything and that their mothers are conservative.
You see, chastity is so important. Human being is the unity of body and soul, and it is the best that they are in harmony. Church fathers say that chastity is the basis of the unity of human personality. Without chastity we lose this harmony. In the spiritual crisis of the human society, the mass media and the products of mass culture are often instruments of moral corruption. They show all kinds of sexual perversion and other sinful passions. This is especially dangerous for the souls of children.
Reporter: The Church always talks about love, but is Orthodoxy against free love? Vojislav: We must be very careful here. What is love? The greatest of all virtues, completely different to egoism, which is self love. When you say free love, why is this love free? What is it free of? I'll tell you – it is free of responsibility, free of sacrifice… and full of egoism. Just pleasure, for someone to satisfy his or her natural needs. The Church is not against sexuality, but for Orthodoxy free love is love in Christian marriage.
Текст бр. 16
Bishop Kallistos Ware
The Sacraments: The Anointing of the Sick
This sacrament, which is known in Greek as evchelaion -'the oil of prayer, is described by St James in his Epistle. 'Is any sick among you? Let him send for the presbyters of the church, and let them pray over him, anointing him with oil in the name of the Lord. The prayer offered in faith will save the sick person and the Lord will raise him from his bed; and he will be forgiven any sins he has committed' (James 5, 14-15). This sacrament, as we can see, has a double purpose: not only bodily healing but the forgiveness of sins. The two things go together, for the human being is a unity of body and soul. Orthodoxy does not of course believe that the Anointing is always followed by a recovery of health; the sacraments are not magic. Sometimes it helps the patient's physical recovery, but in other cases it serves as a preparation for death.
'This sacrament', says Sergius Bulgakov, 'has two faces: one turns toward healing, the other towards the liberation from illness by death.'
In many Orthodox parishes and monasteries it is the custom to celebrate Holy Unction on Wednesday evening or Thursday morning during Holy Week, and the people who are there are invited to approach for anointing, whether they are ill or not; because, even if we do not need healing of the body, we all need healing of the soul. Too often in Orthodoxy the Anointing of the sick has become a forgotten sacrament: we Orthodox need to use it more.
(adapted)
With Elder Porphyrios – A spiritual child remembers
What a Good God We Have
One day, when I was in his cell talking to him, I heard the phone ringing continually. The Elder did not pick up the receiver. At one moment, however, he said to me, "Please, pick it up and ask who it is and what they want." It was a lady from a city in Northern Greece and she said that it was necessary to speak with the Elder. He answered, "Tell her that I can't right now. I have a lot of people waiting for me. It's better to call in the evening." The lady asked me to tell the Elder that she calls him about a serious family problem. When the Elder heard that, he said to me to tell her that he is praying. She repeated the urgency of the problem.
Then the Elder told me, "Give me the telephone." Opening up the speaker, so that I can hear the conversation, he said to her, "Well, you blessed thing, why are you so impatient, I told you that I'm praying, do you think I need to hear you to learn about your problem? Isn't it such and such? But the problem is not only with you, it is with your husband, who has so and so happening to him. Isn't it like that, just like I'm telling you?" The lady was amazed and answered, "It's exactly like that. Just like you are telling me Elder." Then the Elder said, "Well, since it is like that- pray, do what Christ tells us to do, and I'll pray too. Don't be anxious, your problems will turn out alright." The lady could not find the words to thank him.
The Elder gave her some more advice, blessed her, put the phone down and turned to me. I was staring at him, speechless. "Did you hear that? What sort of miracle was that? What a great and good God we have! I'm here, she is a stranger, faraway, and God clearly showed me, the sinner, her problems, those of her husband and of her children. What a great God we have!"
Perhaps, the Elder asked me to pass the messages on to the lady, so that I can understand this great truth. This, with a great difference that I passed on a message from one human being to another, on earth, while the Elder passed on the messages from God to a human being, between heaven and earth. He did not let me hear the conversation to satisfy my curiosity; he let me hear it to strengthen my faith in what a "great and good God we have!"
(adapted)
Текст бр. 17
New Russian Martyrs
In the year 1993 the whole Orthodox world was shocked by a tragic event, which happened in Optina Hermitage: three inhabitants of the monastery were brutally murdered on Easter night. They were hieromonk Vasily (Roslyakov), monk Ferapont (Pushkarev) and monk Trophim (Tatarnikov).
The Easter service in Optina began as usual. According to the tradition there is a religious procession to the skete of St. John the Baptist and back. This procession was coming to an end. The Easter ringing of the bells was heard coming from monastery and skete belfries. The number of people was enormous—up to 10 thousand. After the Liturgy the monks went to the refectory to break the fast. After breakfast, two of the bell-ringers, monk Ferapont and monk Trophim, returned to the belfry to continue the Easter ringing. It was ten past six. Suddenly the bell ringing became uneven and then stopped completely. A terrible crime was committed on the belfry—the monks were brutally killed. They were stabbed in the back with a knife. Monk Ferapont died at once. After the stabbing monk Trophim cried out: "God, have mercy upon us!" and "Help!". He rose a bit, rang the bell—and fell down.
The murderer ran away to the skete, where hieromonk Vasily was also going in order to hear confessions. The criminal stabbed him in the back with the same knife. Then the murderer climbed over the monastery wall and threw away the bloody knife which he made himself. It was double-edged, five centimeters wide, and looked like a sword. It was engraved on its blade with “ 666” and “satan”.
According to the investigator, the murderer Nikolay Averin inflicted the injuries with unusual professionalism "and deliberately—they were not too deep—to make the victim bleed to death over a long time". In fact, hieromonk Vasily suffered for several hours, but monk Ferapont died immediately.
It seemed that there was still life in monk Trophim. The people brought him to
Vavedensky Cathedral, but a few minutes later he passed away. In spite of a terrible wound, hieromonk Vasily lived longer than the others. He looked at the people surrounding him and even tried to rise. The people brought him also to the Cathedral next to the relics of St. Elder Ambrose, and then the ambulance took him to the local hospital in Kozelsk. There he soon passed away. It was also surprising that the monks began to give away their possessions, including their personal tools, before their death, saying they would not need them any more. Everyone in Optina was surprised by this, but after the murder it became clear: the monks had foreseen the glory of martyrdom prepared for it.
The Holy Week
Monday of the Holy Week is dedicated to the blessed Joseph and the fig tree which the Lord cursed. This was a miracle of special symbolism, since the tree had leaves, but no fruit. It is symbolic of the many people who say they are pious, but who in reality have empty lives that produce no fruit. This was also the case with some of the Pharisees of that period. The story of Joseph of the Old Testament (Genesis 37-41) is here for contrast.
Tuesday of the Holy Week is dedicated to the parable of the Ten Virgins, Mt. 25:113. This is because spiritual preparation and wakefulness are the foundations of true faith.
Wednesday of Holy Week is dedicated to the anointing of Christ with myrrh by the woman in the house of Simon, the leper, in Bethany. With the anointing the woman demonstrated her repentance and her warm faith toward our Lord. The Liturgy of the Presanctified Gifts is celebrated on this day for the last time during theLent.
The sacred ceremony of the Holy Unction takes place on this Wednesday evening. It is the evening of repentance, confession and the remission of sins by the Lord, preparing the faithful to receive Holy Communion, usually the next day, Holy Thursday morning.
Holy Thursday or Great Thursday: Christ knew what was going to happen to Him, and He called His Apostles to celebrate the Passover in order to institute the Holy Eucharist for them and for the Church forever. On the Last Supper He presented Bread and Wine as the Elements of His Very Body and His Very Blood – the Holy Gifts.
The Liturgy of St. Basil the Great is celebrated on this day. In the evening the Great vigil with the reading of the all four Passion Gospels is served.
Good Friday celebrates the holy Passion of our Lord Jesus Christ. Christ willingly endured the spitting, scorn, mocking, whipping and the purple robe; the reed, sponge, vinegar, nails, spear and, above all, the Cross and Death, all this to take away our sins.
We also celebrate the confession from the cross of the penitent thief, crucified with Christ. In the morning Royal Hours are served and Vespers in the afternoon. This evening service is dedicated to the taking of the Holy Body of Christ from the Cross. The Christians come to kiss the Holy Shroud which represents Christ's Holy Body. In the evening the Matins of Saturday morning is served; it is called The Lamentation of the Mother of God.
Great and Holy Saturday is dedicated to Christ's descent into hell. It is called First Resurrection. On this day the liturgy of St. Basil the Great is served with lots of readings from the Old Testament.
Текст бр. 18
Тhe Resurrection
With the day of Resurrection begins a new era. If Great and Holy Friday was the "terrible judgment" by fallen man against God Himself, then the day of the Resurrection is the Day of the victory of God's love and goodness. The Resurrection took place on the first day of the week. Thus it has received its beginning in time and space, just as on the first day of creation the world received the dimensions of everything visible and invisible. The Day of Resurrection is not, as some would wish, only a spiritual and poetic event, but above all it is a historical-eschatological Event that has changed the history of the world. "Therefore, if anyone is in Christ, he is a new creation: old things have passed away and all things have become new," said the holy Apostle Paul. The Day of Resurrection is filled with Divine light – the light with which the Risen Lord Himself enlightens us. (…) If anyone truly wants to celebrate the Resurrection of Christ he must first be illumined with the light of Christ. (…) This is the light of the God-Man Christ, Who said of Himself: 'I am the light of the world; he who follows Me shall not walk in darkness, but have the light of life." Today and always, through His Holy Church, He calls us to the enlightening of our mind, heart, and our whole being.
Pascha, the Pascha of the Lord! The Jewish people passed through the Red Sea in order to be delivered from sin-poisoned Pharaoh. How? With God's help. (…) And the Passover (Pascha) which we celebrate today is the Passover of the Lord. (…) This is His Pascha, which has a universal character. This is why the church calls upon all people from every nation and time, and not just one nation, to celebrate the Pascha of the Lord, that is, Christ's Passover from death and the tomb into the Resurrection, so that we all may pass with Him from slavery to sin and death into the freedom of life.
(…) Sin and death are no longer the alpha and omega of life. The Resurrected Christ is the Alpha and Omega, the beginning and end of our sanctification.
(Taken from: 'Message of His Holiness Patriarch Pavle – Pascha 2007')
Resurrection Troparion:
Christ is risen from the dead, trampling down death by death, and on those in the tombs bestowing life!
Преведите на Енглески:
1. За нас Хришћане нема већег празника од Васкрса!
2. Видевши Васкрсење Христово, поклонимо се Светоме Господу Исусу!
3. Крсту Твоме поклањамо се Господе и Свето Васкрсење Твоје славимо!
4. У капели нашег факултета служили су литургије сваког дана током Светле (Васкрсне) седмице.
5. Прва недеља после Васкрса назива се Томина Недеља.
6. Kaда је видео Васкрслог Господа и опипао Његове ране Апостол Тома је поверовао и рекао: "Господ мој и Бог мој!"
7. Мој пријатељ је био у Јерусалиму за Васкрс и тамо се причестио!
8. Много поклоника сваке године посети Свету Земљу.
9. Св. Огањ се појављује само на призив Јерусалимског Патријарха.
Great Miracle on Orthodox Easter - The Holy Fire in Jerusalem
This ceremony takes place in the Orthodox Church of the Resurrection of Christ in Jerusalem in such a way that fascinates the souls of Christians. ON GREAT SATURDAY, at noon, the Orthodox Patriarch of Jerusalem enters the Holy Sepulchre in the Church of Resurrection, reads special prayers and waits. Sometimes the waiting is long, sometimes short. The crowd, in the darkened church, repeats continually in a loud voice: "Lord, have mercy" (Kyrie eleison). At a certain moment the Holy Fire flashes from the depth of the Holy Sepulchre - in a supernatural way, miraculously, and lights up the little lamp of olive oil at the edge of the Sepulchre. The Patriarch, reads some prayers and lights up the two clusters of 33 candles he is holding, and begins to distribute the Holy Fire to the multitude of pilgrims, who receive it with great emotion, accompanied with the ringing of bells and great enthusiasm. The Holy Fire is not only distributed by the Patriarch, but operates also by itself. It emits from the Holy Sepulchre with a colour completely different from the colour of natural fire. It sparkles, it flashes like lightning, it flies like a dove around the Holy Sepulchre, and it lights up the lamps of olive oil hanging in front of it. It flies from one side of the church to the other. It enters some of the chapels inside the church, for example the chapel of the Calvary (at a higher level than the Holy Sepulchre) and lights up the little oil-lamps. It lights up the candles of some pilgrims. This divine light has some special characteristics: As soon as it appears it has a bluish hue and does not burn. At the first moments of its appearance, if it touches face, or mouth, or hands, it does not burn. This is a proof of its divine and supernatural origin. We must also take into consideration that the Holy Fire appears only by the invocation of the Orthodox Patriarch of Jerusalem. Whenever heterodox bishops tried to obtain it, they failed.
Once the Armenians paid the Turks, who then held the Holy Land, for the permission for their Patriarch to enter the Holy Sepulchre. The Patriarch of Jerusalem was standing with his flock at the exit of the church, near the left column, when the Holy Fire split this column vertically and flashed near the Patriarch. A moslem Muezin, called Tounom, who saw the miraculous event from the near-by mosque, immediately abandoned Islam and became an Orthodox Christian. This event took place in 1549 under Sultan Mourad IV, when the Patriarch of Jerusalem was Sophrony II. (This split column still exists. The Orthodox pilgrims embrace it at the "place of the split" as they enter the church). There are some very touching recent cases of Jews who believed in Christ after they had seen the Holy Fire, and who said to their compatriots: "Why are you still waiting for the Messiah? The Messiah came indeed."
Текст бр. 19
The Mother of God
Among the saints a special place belongs to the Blessed Virgin Mary and Orthodox honour her deeply.
In Orthodox services we often mention Mary, and almost each time we say Her full title: 'Our All-holy, Immaculate, Most blessed and glorified Lady, Mother of God and Ever-Virgin Mary.' These are the three chief epithets given to Our Lady by the Orthodox Church: Theotokos (God-bearer, Mother of God), Aeiparthenos (EverVirgin), and Panagia (All-holy). The epithet Theotokos is of special importance, because it is the key to the Orthodox devotion to the Virgin. We honour Mary because she is the Mother of God. We do not honour Her alone, but because of Her relation to Christ. We honour the Mother because of her Son. When people do not honour Mary, it is often because they do not really believe in the Incarnation.
Orthodox also honour Mary because she is Panagia - All-Holy. God, who always respects our freedom of choice, did not want to become incarnate without the free consent of His Mother. He waited for Her voluntary response: 'Here am I, the servant of the Lord; let it be as you have said' (Luke 1,38) As Nicolas Cabasilas said: "The Incarnation was not only the work of the Father, of His Power and His Spirit…but it was also the work of the will and faith of the Virgin."
If Christ is the New Adam, Mary is the New Eve, whose obedience to the will of God counterbalanced Eve's disobedience is Paradise.
The Orthodox Church calls Theotokos 'Immaculate' or 'spotless', it believes that She is free from actual sin, but not from original sin. Orthodoxy denies the doctrine of the Immaculate Conception of Mary which would separate Mary from the rest of the descendants of Adam.
Orthodoxy firmly believes in Bodily Assumption of the Theotokos. Like the rest of humankind, Our Lady died physically, but after death her body was taken up or 'assumed' into heaven and the apostles found her tomb empty. She has passed beyond death and judgement, and lives already in the Age to Come. But this does not separate Her from the rest of humanity, for the same bodily glory which the Theotokos enjoys now, all of us hope one day to share.
(based on: Bishop Kallistos Ware – The Orthodox Church)
"It is essential for us to confess that the holy Ever-Virgin Mary is actually Theotokos (Birth-giver of God), so as not to fall into blasphemy. For those who deny that the Holy Virgin is actually Theotokos are no longer believers, but disciples of the Pharisees and Sadducees" (St. Ephraim the Syrian, "To John the Monk").
Преведите на Енглески:
1. Пресвета Богородица брзо помаже свима који јој се моле и поштују је.
2. Када је Пресвета Богородица имала 3 године њени родитељи – Св. Јоаким и Ана су је одвели у Јерусалимски Храм.
3. Пресвета Богородица се увек моли Своме Сину да нас помилује.
4. Постоји много чудотворних икона Пресвете Богородице.
.
5. Наша најпознатија икона Пресвете Богородице је Тројеручица.
.
6. Према Предању Св. Апостол Лука је насликао неке од најпознатијих икона Пресвете Богородице.
"Vladimir" Icon of the Mother of God
On September 8th (August 26th, old style) the Church commemorates the wonderworking "Vladimir" icon of the Mother of God.
According to tradition, the icon was painted by St. Luke the Evangelist and blessed by the Mother of God Herself. In the 12th century, the Greek patriarch sent the icon as a gift to the Great Prince of Kiev, and later the icon was transferred to the city of Vladimir. This is why it is called "Vladimir" icon.
This holy icon played a major role in Russian history, especially during the period of Tatar invasions. The feast of August 26th commemorates the miraculous saving of Moscow from the invasion of the Tatar khan Tamerlane. In 1395, Tamerlane and his hordes of Tatars invaded the Russian land and approached the city of Moscow. Only God's help could save the Russian people. The holy icon was brought from Vladimir to Moscow by the order of the Great Prince of Moscow. The solemn procession lasted ten days. All the way people knelt on both sides of the road and cried: "O Holy Theotokos, save the Russian land!" The procession of all the clergy, the Great Prince and the people of Moscow met the icon. And the Mother of God kindly heard these prayers. At the time when the icon came to Moscow, Tamerlane was sleeping in his tent. Suddenly in his dream he saw a high mountain, from the top of which a host of saints descended towards him; in the air above them, in a bright, shining light, stood a majestic Woman. She was surrounded by a multitude of angels with fiery swords. Raising their swords, the angels rushed at Tamerlane… He woke up, trembling with fear. He immediately summoned his wise men and seers, and they explained to him that the Woman he had seen in his dream was the Protectress of the Russian people, the Mother of the Christian God, and that Her power was invincible. "In that case we will be unable to cope with them," cried Tamerlane and ordered his hordes to turn back.
Текст бр. 20
Bishop Kallistos Ware
JESUS CHRIST
The Incarnation is an act of God's philanthropia, of His loving-kindness towards humankind. St. Maximus the Confessor and St. Isaac the Syrian said that even if humans had never fallen, God in His love for humanity would still have become human.
But because the human race fell, the Incarnation is not only an act of love but an act of salvation. Jesus Christ, by uniting humankind and God in His own person, reopened for us humans the path to union with God. In His own person Christ showed what the true 'likeness of God' is, and through His sacrifice He made that likeness again reachable to us. Christ, the second Adam, came to earth and reversed the effects of Adam's disobedience.
The essential elements in the Orthodox doctrine of Christ are: He is true God and true man, one person in two natures, without separation and without confusion: one person but with two wills and two energies.
For Orthodox, when they think of the Incarnate Christ, very important is His divine glory. There are two moments in Christ's life when this divine glory is especially visible: the Transfiguration on Mount Tabor and the Resurrection, when the tomb opened under the pressure of divine life, and Christ returned triumphantly from the dead.
The Orthodox Church on Good Friday thinks not simply of Christ's human pain and suffering, but more of the contrast between His outward humiliation and His inward glory. The Crucifixion is not separated from the Resurrection, because they are both one single action. Orthodoxy sees Calvary in the light of the empty tomb; the Cross is the symbol of victory. When Orthodox think of Christ Crucified, they think not only of His suffering; they think of Him as Christ the Victor, Christ the King. Christ is our victorious King, not in spite of the Crucifixion, but because of it: "I call Him King, because I see Him crucified!" said St. John Chrysostom.
(adapted)
Додатак
Вежбања: превод, граматика
The Lent
Превод реченица
Преведите на Енглески:
1. Прошле недеље смо се припремали за Велики Пост.
2. За време Великог Поста сваке среде и петка има (служи се) Пређеосвећена литургија.
3. Господ је постио 40 дана у пустињи._______________________________
4. Велики Пост је веома важан за сваког правог православног хришћанина.
5. Велики Пост је врло строг, тада не једемо рибу, осим за Благовести и Цвети, а многи посте на води.
6. Прошле године, за време прве недеље Великог Поста, Стојан и Јованка су ишли на Канон Св. Андреја Критског.
7. Прва недеља Великог Поста зове се Недеља Православља.
8. Трећа недеља Великог Поста је Крстопоклона недеља, четврта је посвећена Св. Јовану Лествичнику, а пета Св. Марији Египћанки.
9. Пред Своје Страдање, Господ је васкрсао Лазара из мртвих
10. На Цвети славимо улазак Господа Исуса Христа у Јерусалим.
11. Јевреји су Господа дочекали (поздравили) палмовим гранчицама.
12. Последње недеље Великог Поста, у неким црквама и манастирима врши се Јелеосвећење.
13. На Тајној Вечери Господ је опрао ноге Својим ученицима.
14. Пред Своје страдање Господ се помолио у Гетсиманском врту док су Његови ученици спавали.
15. На Велики Петак славимо Страдање Христово и идемо да целивамо Плаштаницу.
16. Господ је распет на месту званом Голгота.
The Prayer of St. Ephraim the Syrian
O Lord and Master of my life, grant not unto me the spirit of idleness, of discouragement, of lust for power, and of vain speaking.
But give me, Thy servant, the spirit of chastity, of humbleness, of patience and of love. O Lord and King, grant that I may perceive my own transgressions and that I judge not my brother, for blessed are Thou unto ages and ages. Amen.
The Sixth Saturday of Great Lent: The Resurrection of Lazarus
Troparion (tone 1):
By raising Lazarus from the dead before Thy passion, Thou didst confirm the universal resurrection, O Christ God! Like the children with the palms of victory, we cry out to Thee, O Vanquisher of Death: Hosanna in the Highest! Blessed is He that comes in the name of the Lord!
Граматика
А Tenses and the verbs of speech – Времена и глаголи говора:
I Past Simple or Past Continuous? Заокружите тачно решење:
1. We didn't meet/weren't meeting Rade while we walked/were walking by the river.
2. She worked/was working at her desk when suddenly the door opened/was opening and her little daughter ran/was running in.
3. Stojan stood up/was standing up, walked/was walking across the room and close/was closing the window.
4. A strange man walked/was walking into the room. He carried/was carrying a parrot on his shoulder and he asked/was asking to see Žikica.
5. Didn't you meet/Weren't you meeting your wife while you worked/were working in Chile?
6. I saw/was seeing Žikica in the park yesterday. He sat/was sitting on a bench with his arm round some girl!
7. As soon as I came/was coming into the room, Stamena gave/was giving me a letter.
8. Jovanka's father was really angry with her because she listened/was listening to the music all the time while she did/was doing her homework.
9. Why didn't they visit/weren't they visiting Žikica's brother while they stayed/were staying in Sydney?
10. As Stojan passed/was passing the bank, a man in a mask knocked/was knocking him down on the ground.
11. What did you write/were you writing when your computer crashed/was crashing?
II Попуните празна места у реченицама користећи следеће
глаголе: SAY, TELL, SPEAK, TALK, ASK, ANSWER, REPLY
1. When she saw me in the street yesterday, she didn't even _______ "Hallo!".
2. Please, ________ the door and ________ Stojan to come in!
3. Žikica's brother ________ English with strong Australian accent.
4. You must _________ to your friend Lola and _________ her that everything will be OK.
5. Why don't you _______ Jovanka to help you with your homework?
6. Did she _________ you her name? ~ No, she just ________ “Good morning” and went on her way.
7. Did you __________ to the e-mail you received yesterday?
8. "Now I'm going to _________ you the funniest joke ever!" _______ Žikica.
9. Can I __________ you a question?
10. Stamena called me and we ________ for hours! You can’t have a short conversation with her.
11. And when you __________ Žikica that Jovanka is in love with him, what did he _________?
12. The phone was ringing and ringing, but no body __________ it.
13. How do you _________ 'dog' in Russian?
14. I must __________ you for a glass of water, I'm so thirsty!
15. Do you have a minute? I must ___________ to you in private.
III Попуните празна места тако што ћете глагол у загради ставити у Past Simple Tense или у Past Continuous:
Last February, Stojan __________ (decide) to go on holiday to Bečići. On the morning he _________ (leave) Belgrade it __________ (rain), but when he __________ (land) in Tivat, the sun __________ (shine) and a lovely, warm breeze _________ (blow) from the sea. He _________ (take) a taxi to his hotel. In the hotel while he __________ talk to the receptionist someone _________ (tap) him on the shoulder. He couldn’t believe his eyes! It was his old love, Stamena! She ____________ (stay) in the same hotel. The next day, they __________ (go) for a walk together in the hills and they ____________ (see) so many beautiful flowers and birds. It ___________ (get) dark when they ____________ (return) to their hotel after a very interesting day. They __________ (spend) the rest of the week together; it was very romantic. They ___________ (feel) very sad when the holiday ___________ (end).
VI Попуните текст о томе шта је Воислав јуче радио, користећи одговарајуће глаголе и Past Tense:
Yesterday Voislav ____________ up at 7.00. He __________ to the Morning service. He __________ at the chanters’ desk while the priest _________________. After that he __________ breakfast. He _________ a sandwich and _________ a cup of coffee. His first lecture at the faculty __________ at 10.00. At the faculty he ____________ his friends and __________ with them. They ______ late for the lecture and the professor _______ very angry. At lunch-time Voislav and his friends ________ some food in the shop. After lunch they _________ back to the faculty. They _________ lectures till 17.00. Then Voislav ________ to see a friend. They _________ to some music and _________ about the their friends from the seminary. After that they __________ a film on DVD, but before that they _________ some pop-corn. Later when Voislav ________ back to the faculty, he __________ to his room. He _________ his teeth and ________ his face and ________ to bed. After a long day he ___________ very well.
V Present and Past: Ставите глагол у загради у одређено време – Present Simple, Present Continuous, Past Simple или Past Continuous
1. We can go out now. It __________ (not rain) any more.
2. Stojan __________ (wait) for Javorka yesterday morning, when I
_________ (see) him.
3. I ________________ (get) hungry! Let's go and have something to eat.
4. What ________ Žikica ________ (do) in his free time? Does he have any hobby? ~ Yes, he _______ (play) the trumpet, he _______ (want) to go to Guča next year!
5. The weather was wonderful when Stojan _________ (arrive) in Bečići. It was warm and the sun __________ (shine).
6. Žikica usually __________ (phone) me on Fridays, but he ____________ (not call) last Friday.
7. Why _______ you ________ (look) at me like that? What’ the matter? 8. Javorka is usually silent at the parties, she _________ (not talk) much.
But here, tonight she ____________ (talk) all the time!
9. Žikica __________ (call) 3 times, while we ____________ (have) dinner last night.
10. Vojislav was busy when we __________ (go) to see him yesterday. He had an exam today and he ____________ (prepare) for it. We _________ ________ (not want) to disturb him, so we ____________ (not stay) long.
11. When I first _____________ (tell) Sojan the news that Lola got married, he _____________ (not believe) me.
12. It’s usually wet in England at this time of the year. It _____________ (rain) every day.
13. A: When I last saw you, you _______________ (think) of moving to
a new flat.
B: That’s right, but in the end I _____________ (decide) to stay where I was.
VI Present Simple or Present Continuous – Ставите гагол у загради у потребно време:
1. Zikica always _________ (have) lunch exactly at 3 o'clock.
2. Mladan and Stojan are in Greece, they _____________ (stay) at a very expensive hotel.
3. Zikica’s brother who ___________ (live) in Australia ___________ (visit) his family in Serbia this month.
4. Zikica’s brother who ____________(live) in Australia ___________ (visit) his family in Serbia every year.
5. We always ___________ (call) our parish priest – fr. Jovan before our Slava, to bless water.
6. Alec and Mary are Scottish. They ____________ (come) from Glasgow.
7. They will be here very soon. They ____________ (come) by car.
8. Orthodox Serbs ____________ (make) cooked wheat and Slava cake for their Slava.
9. Belgrade ___________ (lie) on the river Sava.
10. Jovanka is not in the country. She _____________ (travel) to Brazil.
11. Some fish ___________ (live) very deep in the ocean.
12. What’s that noise? ~ My neighbour ___________ (repair) his car.
13. Let’s go home it _____________ (get) darker and darker.
14. I _____________ (think) that Stojan is in church.
15.I _____________ (think) of buying a new computer.
16. Be quiet! I ______________ (watch) my favourite programme on TV.
17. I always ______________ (watch) this programme on Tuesday evenings.
18. Desa is not at home. She _____________ (see) her dentist today.
19. I ____________ (see) him talking to a girl in a red dress.
20. Mmmmm! Dinner __________ (smell) good! What is it?
21. Why ________ you __________ (smell) those roses? They’re plastic!
22. He ___________ (work) late every night, but tonight he
______________ (not work) at all.
23. What _________ your wife _________ (do)? ~ She's a teacher.
24. What _________ you ____________ (do)? ~ I ____________ (listen) to the radio.
25. Stojan _______________ (sing) at the chanters' desk in our
church.
VII Present Simple or Present Continuous – Неке реченице су тачне а неке нису. Исправите грешку у нетачним реченицама:
1. I'm thinking that she is very beautiful. _________________________
2. Why do you go so early? Are you tired? ____________________
3. I don't believe a word he says. He always tells lies. ______________
4. I'm thinking of going to Greece this summer. ____________________
5. I'm not seeing what your problem is. ______________________
6. He is going to the morning service every day. ____________________
7. He is never knowing the answer. ________________________
8. We are seeing our son's teacher at 4 o'clock. ____________________
9. We are always drinking coffee after our lectures. _________________
10. Jovanka is not wanting an ice-cream. ____________________
11. We are enjoying this walk very much. The weather is so fine. ______
12. I'm understanding you, but don't know how to help you. __________
13. Do you think that Zikica plays tennis well? ___________________
14. I'm not believing you. You are lying! ____________________
15. Look! Lola drives that motor-bike so well! ___________________
16. People in Serbia rarely drink tea if they are not ill. _______________
17. The cake is smelling so good! _______________________
18. I'm taking Holy Communion every week. _____________________
19. I'm not smoking, because I know that it is bad. __________________
20. Hey, be careful! You drive so fast, the police will stop us! _________
Б Comparison of Adjectives – Поређење придева
I Ставите придеве у заграду у потребан облик:
1. This is ___________________ (sad) story, I’ve ever read!
2. The village was ________________ (pretty) than we've imagined.
3. Was that conversation with Lola as _______________ (boring) as you’ve expected?
4. The ________________ (soon) you finish studying, the _____________ (much) time you’ll have to work!
5. Stojan's wedding day was _____________ (happy) day in his life.
6. I'll take a kilo of your ____________(good) apples.
7. Lepa is _______________ (slim) than I thought.
8. Her last novel is as ________________ (interesting) as the previous one.
9. The problem Zikica had with his car was less ________________ (serious) than he thought.
10. Is the river Morava __________________ (long) than the Ibar?
11. Stojan has bought ___________________ (expensive) car at the fair.
12. The _________________ (early) you get up, the _________________ (much) time you’ll have.
13. My bag is as ________________(heavy) as yours.
14. The _________________ (much) you study, the _________________ (good) marks you’ll have.
15. Rade isn't as ________________ (intelligent) as his brother Zikica.
16. The Knez Mihajlova is ______________ (busy) street in Belgrade.
17. This is _______________ (bad) hotel we've ever stayed in.
18. Zikica has read _______________ (few) Italian novels than Stojan.
19. English is less __________________ (difficult) to learn than German.
20. The _______________ (soon) you finish this job, the ________________ (happy) you’ll be!
21. Did Zikica take her to ______________ (famous) restaurant in town?
22. Is this exercise is as _____________ (easy) as you've expected?
23. When he was paying in the supermarket yesterday Stojan had ___________(little) money than he needed.
24. The _______________ (much) you eat, the _______________ (fat) you'll be.
25. My car is ______________ (fast) than Zikica's, but he doesn't agree.
В Pronouns - Заменице:
I Попуните реченице користећи заменице; врста заменице је дата у загради:
1. Is this ________ book? If it is, take it. (possessive – присвојна)
2. Here, this is _________ essay. (possessive – присвојна) I know ________ can be
better, but I did what I could. (personal – лична)
3. Did you do all this by ___________ ? (reflexive – повратна)
4. Jovanka knows Lola very well, she is a friend of ______. ( possessive – присвојна)
5. Žikica looked at ____________ in the mirror. (reflexive – повратна)
6. This is not Stojan's homework, it's __________, I did it! (possessive – присвојна)
7. The teacher told _________ to be silent, but they didn't listen. (personal - лична)
8. When Žikica went to see Desa, he gave _______ flowers. (personal - лична)
9. We know nothing about the incident, so don't ask _________! (personal - лична)
10. My husband and I finally paid the last instalment for the car, now it is _______! (possessive - присвојна)
~
11. Give me the book ________ is in your bag. (relative - односна)
12. My friend, _________ lived by the river, moved to the centre of the city. (relative - односна)
13. __________ did you buy these shoes? I like them so much! (interrogative - упитна)
14. The man _________ house we bought went to America. (relative - односна)
15. Jovanka helped us with homework, _________ was very nice of her! (relative - односна)
16. _________ did you go home so early last night? Were you tired? (interrogative - упитна)
17. _________ is the name of Žikica's brother? Is it Rade? (interrogative – упитна)
~
18. The woman______came to see me yesterday was my old teacher. (relative - односна)
19. _______have you been all this time? (interrogative - упитна)
20. I made this_________, but Javorka gave me the idea. (reflexive - повратна)
21. _______kind of books do you prefer? (interrogative - упитна)
22. Don't forget to give him back______money. (possessive- присвојна)
23. He laughed at Žikica all the time, __________ wasn’t nice of him! (relative - односна)
24. ________are you going to tell us the truth about what happened yesterday? (interrogative - упитна)
25. The TV_______we bought last month doesn't work! (relative - односна)
26. If you don't like how we painted the room, next time paint it__________! (reflexive - повратна)
27. __________do you always manage to finish the work on time? (interrogative - упитна)
28. __________ pencil is yours? Red or green? (interrogative - упитна)
29. Jovanka’s friend Lola, _________ is from Smederevo, got married last week. (relative - односна)
30. Lola didn’t invite Stojan to her wedding, __________ wasn’t very nice of her. (relative - односна)
31. You look so terrible today! __________ happened to you?(interrogative -упитна)
32. Father Jovan, _________ son I know from seminary, serves in our church. (relative - односна)
*Погледајте ове две односне реченице! Изгледају исто, али постоји разлика у смислу:
A) Žikica's brother who lives in Mladenovac is a policeman.
B) Žikica's brother, who lives in Mladenovac, is a policeman.
II Попуните реченице тако што ћете уписати одговарајућу заменицу чија врста вам је дата у загради:
1. ________ice cream do you like more, vanilla or chocolate? (interrogative - упитна)
2. The tea was so hot that I burnt ________ when I was drinking it. (reflexive - повратна)
3. Desa's computer doesn't work so I let her use _________. (possessive - присвојна)
4. _________ coat is this? Is it Jovan's? (interrogative - упитна)
5. Our church, ________ in the centre of the town, is famous for its iconostasis. (relative - односна)
6. Fr. Jovan, _________ is our parish priest, has 5 children. (relative - односна)
7. Žikica hurt ________ leg while he was getting out of the crowded bus yesterday. (possessive - присвојна) An old lady, ________ wanted to get out, pushed him and he fell on the man _________ was waiting on the bus stop. (2x relative - односна) 8. __________ does our lecture begin? At 10.30.? (interrogative - упитна)
9. Yesterday, Stojan cut __________ while he was opening a can of beans. (reflexive - повратна)
10. My fiend Lazar, __________ father is a priest in our parish church, is studying theology in Athens. (relative - односна)
11. _________ did I put my glasses? I can’t find them anywhere! (interrogative - упитна)
12. The book _________ was good, but I was so tired that I fell asleep while I was reading it. (reflexive - повратна)
13. _______ was that on the door? Was it the postman? (interrogative - упитна)
14. I parked my car in the garage. Where did you park ________? (possessive - присвојна)
15. Žikica’s friend Branko, _________ sister you know, didn’t appear at his own wedding, ________ was terrible! (2x relative - односна)
III Заокружите тачну заменицу:
1. The phone was ringing and ringing, but _________ answered it.
a) somebody b) anybody c) nobody
2. Žikica doesn't remember ______about the accident. ______ knows what happened.
a) nothing b)something c)anything/a)anyone b)everyone c)no-one
3. There is _________ interesting on TV tonight, so don't turn it on.
a) nothing b) something c) anything
4. When I saw the lights, I knew that __________ was in the house.
a) nobody b) somebody c) anybody
5. _________ came to Lola's party, except Stojan, because she didn't invite him.
a) somebody b) anybody c) everybody
6. Žikica didn't tell _________ about his plans, so I know ______ about them.
a) no-one b) someone c) anyone / a) everything b) nothing c) anything
7. You must be hungry. Would you like _________ to eat?
a) something b) nothing
c) anything
8. I wasn't hungry, so I didn't eat _________.
a) nothing
b) anything
c) something
9. In this book you have _________ you need to know about fishing. You don’t need any other book.
a) anything b) something c) everything
10. Jovanka is angry about ________; and she doesn't want to talk to _______.
a) something b) anything c) nothing ; a) someone b) anyone c) no-one
Материјал за вежбање на крају године
Енглески језик I Материјал за вежбање 1
I Чланови: Упишите одговарајући члан – a, an, the, или ставите / ако члан није потребан:
1. He is such ______ good friend to me.
2. He opened ______ Bible, and started to read.
3. Stojan likes to eat ____ bread with _____ olives.
4. We saw _____ priest entering the church. ______ priest smiled to us.
5. Stojan bought 2 kilos of _______ sugar.
6. July was ________ hottest month last year.
7. He ran _______ kilometre, and then he stopped.
8. Zikica's brother Mitar is _______ radical.
9. What _______ terrible day it was for Stojan. First he crashed his car, and then Mitar ______ policeman took his licence for ______ month.
10. a) The house is very nice. Has it got _________ garden?
b) It's ______ beautiful day! Let's sit in _______ garden.
c) I like living in this house, but it's a pity that _____ garden is so small.
11. a) Can you recommend ______ good restaurant?
b) We had ______ dinner in ______ very nice restaurant.
c) we had dinner in _______ best restaurant in town.
12. a) She has ________ French name, but in fact she’s English, not French.
b)What's _______ name of that man we met yesterday?
c) We stayed at a very nice hotel – I can't remember _____ name now.
13. a) There isn’t _______ airport near where I live. ______ nearest airport is 70 miles away.
b) Our flight was delayed. We had to wait at _____ airport for three hours.
c) Excuse me please. Can you tell me how to get to ______ airport?
14. a) "Are you going away next week?" ~ "No, ______ week after next."
b) I'm going away for ______ week in September.
c) Žikica has a part-time job. He works three mornings ______ week.
II Предлози: Упишите одговарајући предлог – of, at, on, in, about, with, for, by, from, или ставите /, ако предлог није потребан:
1.Don't worry _______ that! Everything will be all right!
2. Lepa will visit us ______ Sunday.
3. That church was built _______ 1850.
4. We must always abstain _______ sin.
5. He opened the door and entered _____ the room.
6. They arrived ______ 10 o'clock, last night.
7. We will travel to Sremski Karlovci ______ bus.
8. Mrs Jovanovic is so proud _____ her two daughters.
9. I was so sorry ______ Stojan, because he bought the most expensive car in the fair and he crashed it and lost his driving licence!
10. Stojan is angry ______ Zikica because of his brother Mitar.
III Направите "Саксонски генитив":
1. Last year in Budva we stayed in the house of our friends.
2. Is that the dress of your mother in law? Oh, she is so elegant!
3. The friends of our children are very noisy.
4. They were married in the church of St. Petka.
5. Jovanka still has the wedding dress of her grandmother.
6. Are you the owner of these dogs?
7. Have you listened to the chanting of the choir of our students?
8. This is the prayer-book of my spiritual father. He gave it to me last year.
IV Заменице: Упишите одговарајућу заменицу. Врста заменице је дата у загради!:
1. ________ did you come back from the sea-side? Last week? (interrogative- упитна)
2. The house __________ was sold last month was two hundred years old. (relative- односна)
3. Jovanka made _________ a cup of coffee and started to read.
(reflexive- повратна)
4. This book is ________. I bought it for you, because I know how much you wanted it! (possessive- присвојна)
5. The woman _________ garden you like so much is my aunt. (relative- односна)
6. Jovanka painted the room _________. (reflexive- повратна)
7. _________ happened last night after we went home? I’ve heard there was an incident with Zikica! (interrogative- упитна)
8. The woman _______ came yesterday is my godmother. (relative- односна)
9. __________ are you lying to me? I’m your best friend! (interrogative- упитна)
10. Mr. Popovic, _________ son is your friend, is a teacher. (relative- односна)
V Заменице: Заокружите тачну заменицу:
1. Тhe old house was completely empty. _________ lived there.
a) anybody b) somebody
c) nobody
2. Last night Stojan ate ________ bad, and now he is sick.
a) nothing b) something c) anything
3. Is there ________ interesting on TV tonight?
a) anything b) everything
c) something
4. We all know about Stojan's car crash! He told _______ about it!
a) anybody b) nobody c) everybody
5. There is _________ wrong with my car. I must call the mechanic.
a) anything b) nothing c) something
6. _________ stole Jovanka's bag while she was talking to Lola.
a) everyone b) someone c) no-one
7. _________ knows about Zikica’s plans for this summer. He doesn’t talk about it.
a) no-one b) everyone c) anyone
VI Придеви – компарација: Ставите придеве у загради у
потребан облик:
1. Their garden is ___________ (large) than I thought.
2. When we were lost in the woods last summer, we were in ____________ (difficult) situation in our lives.
3. The ___________ (warm) the weather, the __________ (many) people will go out to enjoy it.
4. After the heavy rain the grass is less _________ (dry) than it was a week ago.
5. The day was as _________ (sunny) as they said.
6. The ______ (good) the cake, the _______ (much) we'll eat it!
7. The Amazon is _____________ (long) river in the world.
8. Jovanka is as _________ (tall) as her sister Desa, but Desa is _________ (fat) than her
VII Времена: Ставите глаголе у загради у потребно време:
1. He always __________ (have) his lunch at one o’clock, and he never ___________ (change) this.
2. I’m going to Greece! See you in two weeks! I __________ (bring) you some incense from Patmos.
3. While I ____________ (prepare) to go to the Liturgy yesterday, a friend from Russia suddenly _________ (call) me.
4. He ___________ (take) his first Holy Communion in 1997, after he ____________ (confess) his sins.
5. I _________ already _________ (try) to pass my driving test, but I _________________ (not pass) it yet.
6. Listen to Jovanka! She _______________(sing) Psalm 22.
7. _______ he ________ (buy) this beautiful icon in Jerusalem, last year?
8. Fr. Jovan __________ (serve) in our church; he is my parish priest.
9. Stojan ____________ (come) with us to Kopaonik, next week.
10. _________ you ever ________ (be) to Mount Athos?
11. Last night Zikica _____________ (play) the trumpet when his neighbour ___________ (call) the police.
VIII Глаголи говора: Повежите делове реченица:
1. On Easter we say
a) to help him.
2. Will you, please, answer
3. I didn't reply
4. Zikica always tells us
5. He speaks
6. I must talk to
7. Stojan asked Zikica
б) my friend Jovanka.
в) Christ is Risen!
г) English and French.
д) funny jokes.
ђ) the door.
е) to his letter.
IX Изрази за количину: Употребите одговарајући израз за количину да попуните следеће реченице. Сваки израз се може употребити САМО ЈЕДНОМ: many, much, a few, a little, several, any:
1. How ________ times do I have to tell you not to do that!
2. Only ________ students of our faculty speak Greek.
3. Did ________ of your friends visit Studenica monastery?
4. Don't make more coffee for me! I've already had too _______!
5. We still have ________ bottles of that good wine.
6. I don't like very sweet tea, but I always put _______ sugar in it.
X Стручни изрази: Употребите одговарајући израз да попуните следеће реченице. Сваки израз се може употребити САМО ЈЕДНОМ: Четири израза су вишак!
Christmas, the Nativity of the Mother of God, martyr, prophet, chrismation, The Acts of the Apostles, Holy Unction, the Assumption of the Holy Theotokos, receive Holy Communion under both kinds, Great Entrance, sermon, miracle-working, hieromonk, bless water, immaculate, incarnation
1. A speech that priests give in the Liturgy, usually after the Gospel, or before the Holy Communion is called ________________.
2. _______________ is a popular name for the feast of the Nativity of Our Lord Jesus Christ.
3. A monk who is ordained to a priest is called a ___________.
4. The feast that celebrates the birth of the Theotokos is called
_________________.
5. When we take both Holy Body and Holy Blood of our Lord Jesus Christ we ________________.
6. The Liturgy of the Faithful (the Eucharist) begins with _____________ when a priest brings the bread and wine from the Proscomide to the altar.
7. The icon of The Mother of God from Lepavina is ______________.
Many sick people received healing after praying to the Theotokos from Lepavina.
8. _________________ are a part of the New Testament; St Apostle Luke wrote them, and they come after the four Gospels, and before the Epistles.
9. People always call their parish priest to _____________ before their Slava.
10. The Sacrament that comes immediately after Baptism, and in which we receive the Seal of the Gift of the Holy Spirit, is called ___________.
11. St. Elijah (Ilija) is a famous _____________, just like St. Ezekiel and St. Isaiah
12. For the Most Holy Theotokos we say that she is ________________ - that means that She is spotless – without actual sin.
XI Неправилни глаголи – допишите два преостала облика глагола:
1._________ _________ BOUGHT
2.THINK
_________ _________
3. _________ KNEW _________
Енглески језик I Материјал за вежбање 2
I Чланови: Упишите одговарајући члан – a, an, the, или ставите / ако члан није потребан:
1. There is _____ man waiting for you in your office. _____ same man called yesterday.
2. ______ Lord was praying in ______ Garden of Gethsemane.
3. Bring me a glass of ______ water, please!
4. We had________ lunch at 3 o'clock.
5. He hasn't played ______ violin for years.
6. You are ______ luckiest person I know!
7. To me _______ Tara is more beautiful than _______ Alps!
8. We sailed across _______ Atlantic.
9. My friend lived near ______ river Sava, but now he has moved to ______ centre of the city.
10. Would you like ______ apple?
11. Could you close _______ door please?
12. I'm sorry! I didn't mean to do that. It was ______ mistake.
13. I have _______ problem. Can you help me?
14. Have you finished with ______ book I gave you?
II Предлози: Упишите одговарајући предлог: for, on (2x), in, at (3x):
1. I feel so sorry _____ that poor man!
2. Don't look _____ me like that! It was a wrong thing to do.
3. We arrived ______ Zrenjanin ______ Saturday.
4. He was always bad _______ mathematics.
5. We depend ______ your help completely!
6. Why are you always laughing ______ me?
III Направите "Саксонски генитив":
1. I came to work in the new car of my husband.
2. Last summer we sailed along the Sava in the boat of my brother in law.
3. Yesterday we went to the liturgy to the church of St. Sava.
4. We have to go to the school of our children to talk to their teacher.
5. The cat of my grandmother is very lazy.
6. I have to water the flowers of my sister, while she's away.
7. The teacher brought the notebooks of her pupils.
8. The parishes of our priests are very large.
IV Заменице: Упишите одговарајућу заменицу. Врста заменице је дата у загради!:
1. Sister Nectaria, _______ is a nun in Žiča, gave me this icon. (Relative- односна)
2. Let’s go outside! You can take your bicycle, and I will take _______. (Possessive - присвојна)
3. _______ are you so angry? Did I say anything to hurt you? (Interrogative - упитна)
4. Our parish church, _________ is dedicated to St. Demetrius, was built only a few years ago. (Relative - односна)
5. ________ were you baptized? As a baby, or later? (Interrogative - упитна)
6. Everyone said they would help me, but in the end I had to do everything _________. (Reflexive - повратна)
7. My friend Stojan, _______ sister you met last night, is getting married! (Relative - односна)
V Заменице: Заокружите тачну заменицу:
1. I didn't see _______ I know at last night's party.
a) everyone b) no-one
c) anyone
2. Listen, I must tell you ________ very important!
a) something
b) anything c) nothing
3. While she was going home last night Jovanka saw that _______ was following her.
a) someone b) no-one c) anyone
4. ________ loves ice-cream, especially in summer.
a) nobody b) everybody
c) anybody
5. What do you want!? ________ I ever do is good for you!
a) nothing b) something c) anything
6. I didn't buy _______ in that shop because I didn't have enough money.
a) something b) nothing
c) anything
7. In our church ________ sings together during the liturgy.
a) somebody b) anybody c) everybody
VI Придеви – компарација: Ставите придеве у загради у
потребан облик: 1. Yesterday Desa bought _______________
(expensive) shoes in the shop!
2. The __________ (much) you study, the __________ (good) marks
you'll have
3. Your brother is _________ (tall) then I imagined him.
4. The Liturgy on Great Saturday is ________ (long) than on other days.
5. This new computer programme is as _______ (easy) to use as possible!
6. These new washing machines are less ________ (noisy) then those before them.
7. Mt. Everest is ____________ (high) mountain in the world.
8. The baby is sleeping! Try to be as __________ (quiet) as you can.
9. I think your brother is less __________ (serious) than he used to be.
VII Времена: Ставите глаголе у загради у потребно време:
1. We _______________ (watch) TV last night when Zikica _______ (come) to visit us.
2. Next time I go to London, I ___________ (bring) you the best English tea.
3. Listen to him! What ________ he ________ (say)? I don’t understand a word!
4. ________ you ever ________ (visit) Studenica monastery?
5. I _______ (drink) coffee with sugar, and sometimes I ______ (put) a little milk in it as well.
7. Mladen ______ first ________ (finish) the faculty last year, before he ___________ (become) a priest, two months ago.
8. ________ you _________ (come) with me tomorrow, to visit our old English teacher?
9. No, Stojan ____________ (not call) yesterday, he was to busy.
VIII Глаголи говора: Повежите делове реченица:
1. Stojan asked us
2. When he saw me he smiled and said
3. I'm so angry! I'll never speak
4. I must reply
5. Please, tell me
6. Nobody answered
а) his question.
б) on the phone for 2 hours.
в) "Hallo!"
г) what happened last night!
д) to his e-mail.
ђ) to you again!
7. Lepa and Davorka were talking
е) to come to his wedding.
IX Изрази за количину: Употребите одговарајући израз за количину да попуните следеће реченице. Сваки израз се може употребити САМО ЈЕДНОМ:
many, much, a few, a little, some, lots of
1. How _______ money do you need for that book?
2. I know only ________ people who are as friendly as you are!
3. _______ of our students are very good chanters.
4. His family came to Kruševac _______ years ago.
5. There is just ________ ice-cream left, we must buy more!
6. _________ pilgrims visit the Holy Land every year.
X Стручни изрази: Употребите одговарајући израз да попуните следеће реченице. Сваки израз се може употребити САМО ЈЕДНОМ: Четири израза су вишак!
Easter, Palm Sunday, Annunciation, the Last Supper, oil-lamps, prayer rope, the Lent, the Creed, obedience, repent, ordination, Revelation, invocation of the Holy Spirit, Ascension, the Genesis, incense
1. On _________________ we celebrate the Entrance of Our Lord Jesus Christ into Jerusalem.
2. The feast that celebrates the coming of the Archangel Gabriel to the Virgin Mary to tell her that she will give birth to the Son of God is called
____________________.
3. _______________ is a formal statement of the essential articles of Orthodox Christian belief; we say it at every liturgy, in the Liturgy of the Faithful.
4. __________ is the most important fast; it is seven weeks long and has very strict rules.
5. St. John the Baptist called the people to ____________and to prepare for the Kingdom of Heaven.
6. The Lord gave the first Communion to His disciples on ____________. 7. __________________ is the most important moment of the Eucharist, when the priest calls down the Holy Spirit on the Holy Gifts.
8. _________________ is the final part of the New Testament and it is written by St. John the Theologian.
9. On ________________ we celebrate the event when Our Lord Jesus Christ was taken up from the earth to the Heaven, to sit at the right hand of the Father.
10. __________ is a sacrament through which a man becomes a deacon or a priest.
11. ___________ is a popular name for the Feast of all feasts – the Resurrection of Our Lord Jesus Christ.
12. The first book of the Old Testament, in which the creation of the world is described, is called __________________.
|
Caught in the housing bubble:
Immigrants' housing outcomes in traditional gateways and newly emerging destinations
Gary Painter and Zhou Yu*
ABSTRACT
Research has documented that immigrants have moved in large numbers to almost every metropolitan area and select rural areas in the country (e.g., Lichter and Johnson 2009; Painter and Yu 2010). In the midst of these demographic shifts, the country has experienced a profound recession. To date, there has been little research on the impact of the recession on immigrants across the country. Using the 2006 and 2009 American Community Survey microdata, we assess how the recent economic crisis has affected immigrants with respect to three housing outcomes (residential mobility, homeownership, and household formation) to compare housing outcomes at two important time points in the recent economic cycle. The results suggest the early impact of the recession has not been as severe on immigrants as one might expect. In particular, the places where immigrant populations are newest have not experienced reductions in homeownership as those in the large immigrant gateways. Even in the established gateways, the decline in homeownership has been smaller for immigrants than for native-born households. Regression results suggest that the negative impacts from the recession are strongest in the gateway metropolitan areas, and that after controlling for residence in the hardest hit areas, changes in unemployment rates and increases in metropolitan level default rates have a negative impact on homeownership rates.
* Professor, Sol Price School of Public Policy, University of Southern California Los Angeles, CA 90089-0626 or email@example.com, and Assistant Professor, Department of Family and Consumer Studies and Institute of Public and International Affairs, University of Utah. The authors gratefully acknowledge funding from the Russell Sage Foundation. The authors also thank seminar participants at USC, NYU, and the University of Cincinnati for their helpful comments.
Introduction
Immigrants and their children, who make up the lion's share of U.S. population growth (Passel and Cohn 2008; Frey et al. 2009), are a growing component of housing and labor markets in the United States (Myers and Liu 2005 ; Borjas 2001). While new immigrants continue to arrive in traditional gateways and replace people who moved away, immigrants have dispersed from immigrant gateways and settled directly in newly emerging destinations from their countries of origin (Singer 2004; Frey et al. 2009). As a result, immigrants are playing an increasing role in determining housing demand across the heartland of America (Painter and Yu 2010). Accordingly, the recent immigration literature has now shifted its focus toward newly emerging immigrant destinations (e.g., Zúñiga and Hernández-León 2005; Gozdziak and Martin 2005 ; Waters and Jimenez 2005; Massey 2008 ; McConnell 2008 ).
While the Great Recession that occurred at the end of the 2000s has officially ended, the negative impact on the well-being of many Americans persists. The housing boom in the early 2000s pushed up housing prices to an unprecedented level (Office of Federal Housing Enterprise Oversight 2007; Myers and Ryu 2008); the subsequent bust of the housing bubble has, in a relatively short time, caused a substantial decline in housing values and imposed economic stress on households. The economic crisis, in turn, has led to the loss of jobs and the risk of future job losses and the intensification of the housing downturn. Despite multiple policy interventions, home foreclosure rates continue at high levels, and national housing prices have been slow to recover.
Immigrants, especially those who came to the U.S. recently, may be especially vulnerable to the negative impacts of the current economic crisis. Many immigrants have low
socioeconomic status and a higher rate of poverty and unemployment than native-born residents (Kochhar 2009). Immigrants are also, on average, younger than their native-born counterparts, and they are disproportionately new labor and housing market entrants. Latino immigrants, in particular, are concentrated in many metropolitan areas in the construction sector, which has suffered greatly in the recent downturn. Further, early evidence shows that home foreclosures are concentrated in minority neighborhoods where many immigrant live (Joint Center for Housing Studies of Harvard University 2011; Reid 2009). The economic downturn is made worse for the immigrant populations because many of them are not eligible for social welfare programs (Fix and Passel 2001).
Because of the increasing geographic and ethnic diversity of the immigrant population leading up to the recession, there are a number of research questions that this analysis will answer. First, we will assess how the housing outcomes of Asian and Latino immigrants changed from 2006 and to 2009. Specifically, we will compare how homeownership rates, household formation, and residential mobility have changed since 2006 across different regions of the United States. As past literature has shown (Painter and Yu 2008, 2010), the immigrant population varies across the country in timing of their arrival to those metropolitan areas and to the United States. Second, we will analyze how the role of the economic environment and the strength of a metropolitan immigrant network have on the decision to own a home or form an independent household. We use house prices, rents, and changes in the mortgage delinquency rates at the metropolitan level to capture changes in housing market conditions, and changes in the metropolitan employment rate to capture job market conditions. We then use metropolitan level indicators for the strength of an immigrant network to determine whether immigrants living in places with stronger immigrant communities may have experienced smaller negative effects on their housing outcomes due to the support of the networks.
The results suggest that while the housing market outcomes of most households declined, the housing outcomes of immigrants in some of the smaller metropolitan areas in the country actually improved. Across the United States, the negative impact of the recession on the housing outcomes of immigrants was less severe than for native-born households. One reason that immigrant housing outcomes did not worsen in small metropolitan areas was that the recession was less severe, but more importantly, we find that the immigrant population that had become more mature. Households living in metropolitan areas which experienced higher rates of delinquency and higher unemployment rates were less likely to own a home, signifying the importance of the weakness in the job and housing market. Immigrants living in metropolitan areas with stronger networks were more likely to be a homeowner after the recession than before. In contrast to the findings of previous research investigating the impact of economic conditions on the household formation of native-born households (Painter, 2010), the impact of the changing economic conditions did not reduce headship rates for immigrants in this recession.
Background
The immigrant population has grown rapidly in the U.S. Immigrants and their U.S.-born descendants are expected to grow by 117 million in the next four decades, making up 82 percent of the U.S. population growth of the period (Passel and Cohn 2008). This population growth has important implications for housing demand at a time when aging baby boomers are retiring and leaving the housing market (Frey and DeVol 2000; Myers 2007).
Immigrants have many characteristics that distinguish them from native-born residents. Two of the most important differences that lead to worse housing outcomes are that they are younger and tend to move more often (Martin and Midgely 2003; McConnell and Akresh 2008). However, immigrants' housing outcomes are not static. As immigrants adapt to the host society, they become more economically upward mobile and steadily advance their housing careers (Myers and Lee 1998; Massey 1985 ; Alba, Rumbaut, and Marotz 2005). In recent years, immigrants moved in large numbers from established gateways to emerging gateways and small metropolitan areas. In addition, a growing number has migrated directly to the new destinations from their countries of origin (Lichter and Johnson 2009).
Immigrants face challenges in the new destinations, where there has been a substantial increase in immigrant population in recent years (Singer 2009). In contrast to traditional gateways, the new destinations lack well-developed institutions and established ethnic networks that facilitate integration and advancement. Public services are often insufficient to accommodate the need of this rapidly growing population. Immigrants have also experienced growing hostility and anti-immigrant sentiment in the new destinations, which have little experience or identity with immigration (Singer 2009; Massey and Capoferro 2008). All these factors may have had detrimental effects on immigrants' residential adaptation and housing outcomes in the new destinations. On the other hand, the recession has not hurt housing and labor markets outside traditional gateways as much. Housing is also more available and more affordable in smaller metropolitan areas (Painter and Yu 2008).
While the effect of the Great Recession lingers, we have only recently begun to assess the effect on the housing outcomes of immigrants in the new destinations. The literature has not examined the impact of the Great Recession on residential mobility and housing outcomes
among immigrants. We know that the Great Recession has curtailed the flow of new immigrants to the U.S. and stabilized the immigrant population in the U.S. At the same time, the Great Recession may disrupted the normal upward trajectory of immigrants' housing careers, as immigrants have been forced to disperse from traditional gateways (Frey 2009).
This study will focus on three specific housing outcomes to provide a full picture of how immigrant and native-born households have been affected by the recession. We first focus on homeownership because this is often been a marker of immigrant integration(Myers and Lee 1998; Alba and Logan 1992) and has been a focus of housing policy because of the associated positive externalities on communities (Green and White 1997). However, a focus on homeownership alone is incomplete. While the Great Recession has clearly hurt housing markets through price declines and foreclosures, the national homeownership rate (measured at the household level) in 2009 has only declined by about three percentage points from its peak in 2005, merely returning to the pre-bubble levels in 2002.(e.g., Glaeser, Gottlieb, and Gyourko 2010),
Recently, studies have suggested that one reason that homeownership rates may not have fallen more rapidly is a decline in household formation (e.g. Yu and Myers 2010 ; Haurin and Rosenthal 2007 ; Painter 2010). There is growing evidence that the number of multigenerational and doubling-up households has increased, which results in fewer independent households being formed (Pew Social Trends Staff 2010; Yen 2009). Immigrants have lower rates of household formation than do native-born households during normal economic times, so it might be the case that immigrants are more likely to adjust their housing demand and reduce the rate of household formation more rapidly (Blank 1998; Hughes 2003).
Another important determinant of housing demand in metropolitan area is related to the mobility of populations. It is clear that the recession has resulted in a rapid decline in the mobility of U. S. households (Frey 2009). The decline is particularly pronounced among longdistance movers (between counties), who are mostly like to change jobs. Only 11.6 percent of U.S. residents moved between 2010 and 2011, a new historical low since 1948 (Frey 2011). Since immigrants tend to be more mobile than native-born residents in the labor and housing markets (Borjas 2001), but it is unclear whether immigrants would respond by increasing or decreasing their mobility in the face of labor market turmoil and underwater mortgages.
Data
This analysis relies on the 2006 1 and 2009 microdata file of the American Community Survey (ACS), which are downloaded from Integrated Public Use Microdata Series (Ruggles et al. 2008). The 2000 Decennial Census 5% Public Use Microdata Sample (PUMS) are used to cross-tabulate trends of migration and to provide other comparisons.
We compare the housing outcomes in three types of metropolitan areas: traditional immigrant gateways, emerging gateways and mid-size metropolitan areas. We follow previous studies such as Singer (2004) and Painter and Yu (2010) to create the three types of metropolitan areas based on population size, immigrant ratio to the total metropolitan population, and the relative size of new immigrants. As discussed in previous research, immigrants are likely to have
1 One might argue that we should have used 2005 American Community Survey data as the before point for comparison. However, the 2005 data do not code marital status and non-family household membership is exactly the same way as 2000 Decennial Census and other ACS data. Therefore, we use 2006 ACS data in our analysis. We end in 2009 because the 2010 data are collected with a slightly different sampling frame that the 2006-2009 data. Therefore, the data are most comparable across this period.
different housing outcomes in the three types of metropolitan areas. In addition, the recession has had quite different impacts across these different types of metropolitan areas.
Dependent variables: In order to access the impact of the recession on housing outcomes, we will first summarize three specific residential outcomes: homeownership, household formation, and residential mobility. While these three measures are not completely independent from each other, studying more than one housing outcome will provide a more nuanced view of how immigrants have fared during the recent economic crisis. We will then focus on homeownership and household formation in the subsequent multivariate analysis.
The first measure, homeownership, is measured at the household level. The second measure, headship, is measured at the person level. The headship rate is the ratio of household heads in the population aged 18-65 divided by the number of adults in the population aged 1865, and is related to the likelihood of any individual to form an independent household. The final measure is residential mobility, where a move is observed within the past year.
We separately tabulate those who moved within the respective metropolitan area and those who migrated across metropolitan areas. Is so doing, we will examine whether the immigrant effect on mobility vary by geography and by group. This in turn may have led to population shifts in the location of immigrant households over the recessionary period. As previous research has demonstrated (Painter, Gabriel, and Myers 2001), recent movers are likely to make different housing choices as do non-movers. Therefore, it is critical to account for recent moves in the multivariate analysis of homeownership choice.
There are also potential differences across immigrant groups, who may have responded to the economic recession differently. In the large immigrant gateways, Asian immigrants have
been found to have equal or higher rates of homeownership than native-born households (e.g., Light 2006; Painter, Yang, and Yu 2003), while at the same time, Asian immigrants in other cities do not have the same advantage (Painter and Yu 2010). Some Asian immigrants are "human capital" immigrants and come to the U.S. through the channel of employment (Nee and Sanders 2001). As a result, Asian immigrants, as a group, may not have as large a negative impact from the current economic crisis.
In contrast to Asian immigrants, Latino immigrants have typically been found to have worse housing outcomes than the white population across the country (e.g., Coulson 1999; Krivo 1995). In the past, time in country was a strong predictor of increasing homeownership, but no difference in overcrowding (Painter and Yu 2008). Many Latino immigrants are "labor" immigrants who engage in labor intensive activities (U.S. Bureau of Labor Statistics 2009; Suárez-Orozco and Páez 2002). Due mainly to a slump in the construction industry, the unemployment rates for Latinos have been substantially higher than non-Latinos in recent years (Kochhar 2008; U.S. Bureau of Labor Statistics 2009 ; Bean and Bell-Rose 2003). Furthermore, Latino homeowners relied more heavily on subprime loans to finance home purchases than whites and Asians (Kochhar and Gonzalez-Barrera 2009). Therefore, Latino immigrants may have suffered more from the recent downturn than other groups.
Independent variables: Housing outcomes are determined by a household's needs, preferences, and socioeconomic constraints. These characteristics shift over time, reflecting changes in age, educational attainment, marital status, family size, income, and other life course characteristics. The variable housing outcomes between groups are in part due to the differences in their individual characteristics. It is therefore necessary to control for these covariates in the study of housing outcomes.
The independent variables include demographic factors (age group, immigrant groups, marital status, migration history) and economic factors (household income, education level of the householder) Since immigrants are included in the model, it is necessary to include a duration of stay in the U.S. variable and an indicator to measure English proficiency. Because the impacts of the recession have not been homogenous across the country, we separately identify intrametropolitan movers from inter-metropolitan movers and include migration origin as a control variable (Painter and Yu 2008). Next, we include a metropolitan level fixed effect in the model to capture features of a metropolitan area that are not observed in the data. When modeling the likelihood that owns a home, we use the metropolitan area homeownership rate, and when modeling the determinants of headship, we use the metropolitan area headship rate.
There are three factors that might influence housing outcomes of immigrants across the United States that we place a special focus on in this paper. First, we include variables to describe the current housing market conditions and the changes in these markets over the period of the recession. These include the twenty-fifth percentile housing price and median rent in the metropolitan area, and changes in the mortgage delinquency rate within a metropolitan area 2 . That later measure captures the extent of the severity of the housing downturn in the area. It would be expected that lower house prices, higher rents, and smaller changes in default rates would lead to better housing outcomes. Second, we include changes in the unemployment rate in each metropolitan rate to capture how the macroeconomic environment has changed in the metropolitan areas. Finally, we include variables that capture the strength of an immigrant's
2 We use the percent of home mortgages in each metropolitan area that have been delinquent for more than 30 days (including those that are in foreclosure) to calculate the mortgage delinquency rate for each year. Data on county level mortgage delinquency rates were obtained from the Federal Reserve Bank of New York's Credit Conditions website, available online at http://www.newyorkfed.org/creditconditions/, and are based on data from Lender Processing Services. The data include only first-lien mortgages.
network in a metropolitan area. These include the percentage of immigrants in the metropolitan area that have been in the United States more than 10 year, and the percentage of immigrants who speak English well and who are not linguistically isolated.
Methodology
We first present summary data on homeownership rates, headship rates, and trends in migration to demonstrate how the recession has impacted immigrants and native-born households across the nation. We then use multivariate probit models to examine the determinants of homeownership and headship in 2009 in the nation as a whole, and in the gateway metropolitan areas, the emerging gateways, and a group of smaller metropolitan areas, separately. 3 These estimates will be compared to similar models in 2006 if certain factors have become more important in determining housing outcomes after the recession.
The homeowner choice and headship models use a sample of both movers and nonmovers. In past research (e.g., Painter, Gabriel, and Myers 2001) on homeownership choice, models have used sample of recent movers while controlling for selection bias that might exist in that sample. Unfortunately, these models could not be estimated in the ACS because of the small sample of movers during the past year in many metropolitan areas. 4 Instead, a careful accounting of the origin of recent mover households is included in the models. Specifically, we include variables that indicate whether a move was within the same metropolitan area, a gateway metropolitan area, an emerging gateway, a foreign country, or some other part of the United States.
3 For definitions of gateways and emerging gateways, see Painter and Yu (2010).
4 Much of the past research by Painter and his coauthors used the decennial Census, which classified recent movers as households that moved within the past 5 years. The ACS only reports mobility for the past year. This, in combination with the fact that mobility fell during the recession, makes Heckman style correction models proposed by Painter (2000) intractable.
Because homeownership is estimated on a sample of households, it can provide an incomplete picture of the impact of the recession (e.g., Yu and Myers 2010; Leppel 1991; Ermisch and Di Salvo 1997; Painter 2010). In contrast, some individuals may have chosen to delay entry into the housing market or join another household to economize on expenses. Therefore, the entire population from age 18-65 is used in the study of household formation. To estimate the impacts of socioeconomic, regional, and macroeconomic characteristics on household formation, we use a standard binomial logit model to estimate the probability of someone becoming a householder. While as a group, immigrants have lower rates of household formation than the native-born (Painter 2010), this behavioral model will provide insights into how immigrants have changed their headship rates as a result of the recession.
Additional hypothesis testing: While we first document the differences by immigrant group and geographic context, we are particularly interested in the extent to which metropolitan context and changing context are affecting housing outcomes. Next we will separately include contextual variables and test a number of hypotheses to explain the differences in housing outcomes.
First, we test the role of housing price and rent and differential trends in housing price in explaining variable housing outcomes. Lower housing prices increase housing affordability and increase the chance of household overleveraging, but lower house prices could also signal a slower expected appreciation in the future. Higher rents would be expected to lower both homeownership rates and headship rates. We also investigate how the change in default rates over the 2006-2009 period impact homeownership and headship rates. It is expected that metropolitan areas with higher default rates would have both lower homeownership rates due to households losing their homes, and lower headship rates due to the potential increase in doubling up. Second, we include changes in the unemployment rate in each metropolitan rate to capture how the macroeconomic environment has changed in the metropolitan areas.
Finally, we investigate the effect of social networks, as in Painter and Yu (2010), to study whether social networks have helped cushion the housing downturn among immigrants and to examine whether the social network effect varies by immigrant group and by metropolitan type. Two variables are used to measure the strength of social networks. The first one is the percent of immigrants in each metropolitan area that have been in the U.S. for more than 10 years. The assumption is that metropolitan areas with more long-time immigrants will have stronger social networks. The second one is the percent of immigrant group who speaks English well and who are not linguistically isolated. 5 We expect to find that stronger social networks will have a positive effect on immigrants' homeownership in the metropolitan areas (Painter and Yu, 2010), and that this effect might be larger after the recession when the effects of the economic crisis are greatest. However, the effect on headship rates is not clear. Immigrants may more able to find roommates and relatives to share living space in places where ethnic network is stronger.
Results
Summary Statistics
While the focus of this paper is discovering how housing outcomes for foreign-born and native-born households have been affected by the housing and economic downturn, we first provide evidence on how population shifts and mobility have impacted metropolitan areas differently. Table 1 displays the change in one year mobility rates (percent moved in the last
5 According to the Census Bureau, linguistically isolated households refer to those in which either no person age 14+ speaks only English at home, or no person age 14+ who speaks a language other than English at home speaks English "Very well". All members of such a household are considered linguistically isolated, even though children under 14 who speak only English may live there.
year) over the 2006-2009. The data are displayed across the three types of metropolitan areas that we are focusing on in this analysis. As is evident, mobility rates declined across the nation, and that these declines were much more pronounced among the immigrant population. Mobility rates for native-born populations fell about one percentage point nationwide, but mobility rates for immigrants fell from 2.7 percentage points to 4.2 percentage points nearly reaching the mobility rates of the native-born. In the gateway metropolitan areas, the one year mobility rates of immigrants fell lower than that of native-born households.
Next, Table 2 presents the net change in population in these metropolitan areas from 2000 to 2006 and from 2006 to 2009. The growth rate of the native-born population slowed considerably in the latter part of the decade. More interestingly, the native-born population fell in the gateway metropolitan areas by 1 percentage point from 2000-2006, while continuing to grow (albeit more slowly) in other parts of the country. The combined evidence in Table 1 and 2 suggests that intra-metropolitan mobility fell a great deal across the country. For immigrants, there was an increase in movement out of the gateway metropolitan areas to other parts of the country that was not compensated by inflows into these areas from other parts of the US and abroad.
Given the context of the changes in mobility and population flows over the period from 2006-2009, Table 3 presents the changes in the homeownership and headship rates from 20062009. As is documented in Table 3 and is well appreciated, homeownership rates rose from 2000-2006, and then fell after 2006 in all areas for native-born households. While the homeownership rates of immigrants are lower than native-born household throughout the United States, the recession has seen a smaller drop in the homeownership rates of immigrants than
among native-born households. Interestingly, the homeownership rate of immigrants in small metros increased by 0.7 percentage points from 2006-2009.
Table 4 examines the changes in homeownership rates for Asian and Latino Immigrants separately. In contrast to native-born households (Table 3), many of the gains in homeownership rates experienced during the first part of the decade remained after the recession.
Homeownership rates for Asian immigrants fell one half of one percentage point across the country, and about 1 percentage point for Latino immigrants. However, the homeownership rates for Latino immigrants in smaller metropolitan areas actually increased slightly during the recession.
As was argued above, despite only small declines in homeownership rates after the recession, housing outcomes may have worsened for households if more people have been forced to live together. To determine whether this might be happening, we present headship rates for both native-born and immigrant households from 2000 until 2009, which gives a snap shot of headship rates before the current recession, and during it (Table 5). In general, headship rates are lower for immigrants than for native-born households, but the declines during the recession have been largest for native-born households (up to 1.1 percentage points). Overall, there has been very little change in the headship rate for immigrants. In fact, as Table 6 shows there have been some places throughout the country where headship rates have risen slightly for Asian and Latino immigrants. Overall, the trends in headship over the past decade demonstrates declines for native-born households, and slight increases for immigrants from 2000-2006, and relatively no change after 2006.
Multivariate Analysis
Table 7 presents probit model estimates of the determinants of homeownership using a pooled sample of 80 metropolitan areas (Column 1), followed by samples of the gateways metropolitan areas, emerging gateways, and smaller metropolitan areas. These four samples are compared because the impact of the housing downturn and the economic crisis that has followed has been very different across the country. The estimation sample includes native-born white and black households and Asian and Latino foreign-born households. As has been found in the literature, minority and immigrant households have lower rates of homeownership even after controlling for their socioeconomic status differences. New immigrant households are less likely to own than black households, but the relatively likelihood for Asian and Latino immigrants differs across the types of metropolitan areas. After immigrants have been in the country 10 years or more, their probability of owning a home increases. Asian immigrants are more likely to own in the gateway metropolitan areas, and Latino immigrants are more likely to own in the smaller metropolitan areas. This finding might signal selective migration of Asian immigrants within the United States.
After controlling for housing market and individual characteristics, homeownership rates are actually highest in the gateway cities signaling the important role of house prices in depressing homeownership there. However, immigrants are more likely to own in the emerging gateways and small metros. Recent movers are much less likely to own their homes, although there are not large differences between the origins of the move. The movers with the smallest reduction in the probability of buying a home came from smaller metropolitan areas in our sample, and the movers with the largest penalty came from areas outside of our analysis sample.
Turning to the economic drivers of the decision to own, higher house prices and lower rents reduce the probability of owning a home. These effects are largest in the gateway
metropolitan areas. Next, Table 7 displays how changes in mortgage delinquency rates impact the likelihood of buying a home. In metropolitan areas where the changes in delinquency are greater, households are less likely to own a home. Again, these effects are largest in the immigrant gateways where the housing downturn has been most severe. Changes in the unemployment rates had similar impacts on the likelihood of owning a home. In places where unemployment rose the fastest, households were least likely to own a home. The impact of unemployment rates was not evident in the smaller metropolitan areas where the economic downturn was not as great.
Table 8 present similar models estimated for the year 2006 in order to assess if coefficients may have changed over the period. Most of the coefficients of the models are qualitatively similar. The largest differences are in the gateways, which is not surprising since the housing and economic crisis was greatest there. We note that movers to and within the gateways were more likely to buy a home in 2006 than 2009. Households were more sensitive to the housing price and rent in 2006 than in 2009. We also observe that changes in the mortgage delinquency rate over the past 3 years did not predict homeownership, which is not surprising because the period had so few delinquencies. Changes in unemployment were only important in predicting homeownership in the gateway metropolitan areas. Finally, the time in country was a slightly stronger predictor of immigrant homeownership in 2009, when compared to 2006.
In Table 9, we present the results for Asian and Latino immigrants. As is evident, there are a number of changes in the magnitude of the estimated effects over the 3 year period. Immigrants in small metros are more likely in 2006 to rent than own after controls for other characteristics. However, this effect became positive for Latino immigrants by the end of the decade, and the negative effect for Asian immigrants fell. The percent of immigrants who speak
English well and who are not linguistically isolated became much more important after the recession for Latino immigrants, while the effect is similar for Asian immigrants across time. The percent of the immigrant population that has been in the country more than 10 years is a consistent positive influence on homeownership for both immigrant groups after the recession, while it had no impact on Asian immigrant before the recession. On net, the evidence suggests that networks have become more important in influencing homeownership since the recession began.
The biggest change concerns the sensitivity of immigrants to housing market conditions. In 2009, the estimated sensitivity of immigrants to house prices and rents rose dramatically. As in the general population, increases in the delinquency rate lower the probability of owning a home. However, the effects were very small for Latino immigrants. Changes in the metropolitan unemployment rate lowered the probability of owning a home for Latino immigrants, but this characteristic did not have an impact on the probability that an Asian immigrant is a homeowner.
Next, we present evidence of the impacts of changes in the economic environment on the likelihood that someone will be a household head (Table 10). After controlling for socioeconomic characteristics, African Americans are more likely to be a household head, and Asian immigrants are less likely to be a household head. Latinos are less likely than whites to be a household head in the established gateways, but more likely in our sample of smaller metropolitan areas. The likelihood of being a household head is highest outside the gateways, and higher for immigrants outside the gateways. Mobility predicts headship, particularly if the move is within the same metropolitan area.
After controlling for the individual characteristics, the changes in the economic environment have a smaller additional impact than the changes did for homeownership. Namely, changes in the unemployment rate and mortgage delinquency rate at the metropolitan level do not impact headship. The most important housing market characteristic in predicting headship rates is the rent in the metropolitan area. As would be expected, higher rents lower headship.
Rather than display the 2006 headship results for the whole sample, we display the changes in the estimated coefficient for Asian and Latino immigrants over the 2006-2009 period (Table 11). The biggest changes in the period were the importance of the immigrant networks. In 2009, living in a metropolitan area with more immigrants that had been in the country more than 10 years or with relatively fewer linguistically isolated immigrants lowers the headship rate. This suggests that there was more doubling up in these metropolitan areas after the recession than before. Prior to the recession, Latino immigrants were more likely to be an independent head if there were more immigrants in the area that had been in the country more than 10 years. After the recession, immigrants were more likely to double up in places where ethnic networks were more prevalent. There were also small changes in the sensitivity of headship rates to rents, but the changes in the unemployment rate and metropolitan level delinquency rate was not predictive of headship rates after controlling for household demographic characteristics.
Discussion
The recession has clearly lowered housing outcomes for native-born households. Many of the findings in the study are as expected. Not only have homeownership rates fallen across the country, but the headship rate has also fallen, increasing the housing burden to existing households. After controlling for household characteristics, metropolitan areas with bigger
changes in the unemployment rate and the delinquency rate are predicted to have lower homeownership rates.
In contrast to the findings for the native-born population, the housing outcomes of immigrants did not fall as much in the recession as might have been expected. The declines in homeownership and headship rates were smaller for immigrants, and in some metropolitan areas, the declines did not happen from 2006-2009. The presence of strong immigrant networks predicts higher homeownership, but lower headship rates, after controlling for other characteristics of the household and housing market. Immigrants were much more sensitive to metropolitan housing prices and rents after the recession. These results do not explain why immigrants appeared to fare better than their native-born counterparts.
The biggest difference in the immigrant population before and after the recession is the length of time that an average immigrant has steadily fallen. As is evident in Table 12, the percent of the population in our study that is a new immigrant has steadily fallen over the decade. In 2000, the percent of the population that was immigrant in our study areas was around 17.5 percent. This number increased to 20.2 percent in 2006, and there was no change in the immigrant population during the recession. However, there was a change in the location of the immigrant population and in the time in the U.S. As noted earlier, the immigrant population fell in the gateway metropolitan areas from 2006-2009, and grew from 2006-2009 in the emerging gateways and smaller metropolitan areas.
More importantly, the percent of the population that was a new immigrant fell across the country. In 2000, 42% of the immigrants in our sample had been in the country less than 10 years. This number declined to 38% in 2009. The biggest declines were in the gateway and
emerging gateways, with declines ranging from 39-32% and 49-40%, respectively. In the overall population, the percent that was new immigrant in emerging gateways and small metros rose from 2000-2006, but fell from 2006-2009, even as the percent of the population that was an immigrant in those areas continued to rise.
Overall, the immigrant population was more settled at the end of the decade, than at the beginning. There were fewer newcomers at the end of the decade. This was true both in terms of the duration in country (Table 12), and in mobility rates (Table 4). Both of these facts combine to predict better housing outcomes. The downturn in the housing market may have even provide opportunities as house prices fell for immigrants that kept their jobs because research has clearly demonstrated the upward trajectory of the immigrant population (e.g., Myers and Lee 1998; Painter and Yu 2008). The recession undoubtedly hurt immigrants as well as native-born households, but one of the largest impacts of the recession was the cut-off of the flow of new immigrants to the U.S. (Papademetriou and Terrazas 2009). Another possibility is that some less successful immigrants have returned to their countries of origin. However, we are not able to directly test this hypothesis.
Concluding remarks
The findings of this analysis clearly show that the housing outcomes for most households fell during the recession. The primary exception was for immigrant population in small metropolitan areas. The reason that this was the case was likely to a less severe recession in these areas, and to an immigrant population that had become more mature. Households living in metropolitan areas which experienced higher rates of delinquency and higher unemployment rates were less likely to own a home, signifying the importance of the weakness in the job and
housing market. In areas with stronger immigrant networks, immigrants were more likely to have higher homeownership rates, but lower headship rates after the recession than before. This suggests that one should be cautious in interpreting the importance of an immigrant network on homeownership, because part of that increase may be due to reductions in household formation.
One of the biggest changes in the housing market that this analysis did not explicitly model is the change in mobility. There was a clear reduction in mobility rates across the country. This reduction was larger for immigrants that native-born households, but the reduction for immigrants was likely partially due to the lack of new foreign migration to the United States or even some reverse migration. As research has shown, recent movers are less likely to own (Painter, 2000). This might suggest that as people begin to move and leave their homes, homeownership rates may fall further.
Another avenue for future research would be to explore how changes in particular segments of the job market have impacted the location choice and housing outcomes of immigrants. Because immigrants tend to concentrate in particular industries, we would expect them to be more adversely impacted when their employment is concentrated in the sectors like construction that were most devastated in the current recession. At the same time, immigrants are more geographically mobile if they do not have strong ties to particular areas, and may therefore move when the job market conditions change.
REFERENCES:
Alba, Richard D., Rubén G. Rumbaut, and Karen Marotz. 2005. Remaking the American mainstream: assimilation and contemporary immigration. Social Forces 84 (2):901-919.
Alba, Richard, and John R. Logan. 1992. Assimilation and Stratification in the Homeownership Patterns of Racial and Ethnic Groups. International Migration Review 26 (4):1314-1341.
Bean, Frank D., and Stephanie Bell-Rose, eds. 2003. Immigration and opportunity : race, ethnicity, and employment in the United States. 1st paper cover ed. New York: Russell Sage Foundation.
Blank, Susan. 1998. Hearth and home: The living arrangements of Mexican immigrants and USborn Mexican Americans. Sociological Forum 13 (1):35-59.
Borjas, George J. 2001. Does Immigration Grease the Wheels of the Labor Market? Brookings Papers on Economic Activity 2001 (1):69-134.
Coulson, N. Edward. 1999. Why Are Hispanic- and Asian-American Home-ownership Rates So Low?: Immigration and Other Factors. Journal of Urban Economics 45 (2):209-227.
Ermisch, John F., and Pamela Di Salvo. 1997. The Economic Determinants of Young People's Household Formation Economica 64 (256):627-644.
Fix, Michael E., and Jeffrey S. Passel. 2001. U.S. Immigration at the Beginning of the 21st Century--Testimony before the Subcommittee on Immigration and Claims Hearing on "The U.S. Population and Immigration" Committee on the Judiciary U.S. House of Representatives. Washington, D.C.: Urban Institute Press.
Frey, William H. 2009. The Great American Migration Slowdown: Regional and Metropolitan Dimensions. Washington DC: Brooking Institute.
Frey, William H. 2011. Americans Still Stuck at Home. In Up Front Blog Washington DC: The Brookings Institution.
Frey, William H., Alan Berube, Audrey Singer, and Jill H. Wilson. 2009. Getting Current: Recent Demographic Trends in Metropolitan America. In Brookings Research Report. Washington DC: The Brookings Institution.
Frey, William H., and Ross C. DeVol. 2000. America's Demography in the New Century: Aging Baby Boomers and New Immigrants as Major Players. Santa Monica: Milken Institute.
Glaeser, Edward L., Joshua Gottlieb, and Joseph Gyourko. 2010. Did Credit Market Policies Cause the Housing Bubble? Kennedy School Policy Briefs, http://www.hks.harvard.edu/taubman.
Gozdziak, Elzbieta M., and Susan Forbes Martin, eds. 2005. Beyond the gateway : immigrants in a changing America. Lanham, Md.: Lexington Books.
Green, Richard K, and Michelle J White. 1997. Measuring the Benefits of Homeowning: Effects on Children. Journal of Urban Economics 41 (3):441- 461.
Haurin, Donald R., and Stuart S. Rosenthal. 2007. The Influence of Household Formation On Homeownership Rates Across Time and Race. Real Estate Economics 35 (4):411–450.
Hughes, Mary E. 2003. Home economics: Metropolitan labor and housing markets and domestic
arrangements in young adulthood. Social Forces 81 (4):1399-1429.
Joint Center for Housing Studies of Harvard University. 2011. The State of the Nation's Housing 2011. Cambridge, Mass.
Kochhar, Rakesh. 2008. Latino Labor Report, 2008: ConstructionReverses Job Growth for Latinos. Washington DC: The Pew Hispanic Center.
Kochhar, Rakesh. 2009. Immigrant Latino Unemployment Rises Sharply. Washington DC: Pew Research Center.
Kochhar, Rakesh, and Ana Gonzalez-Barrera. 2009. Through Boom and Bust: Minorities, Immigrants and Homeownership. Washington DC: Pew Research Center.
Krivo, Lauren J. 1995. Immigrant Characteristics and Hispanic-Anglo Housing Inequality. Demography 32 (November):599-615.
Leppel, Karen. 1991. Demographic Effects on Household Formation Patterns. Journal of Real Estate Research 6 (2):191-206.
Lichter, Daniel T., and Kenneth M. Johnson. 2009. Immigrant Gateways and Hispanic Migration to New Destinations. International Migration Review 43 (3):496 - 518.
Light, Ivan Hubert. 2006. Deflecting immigration : networks, markets, and regulation in Los Angeles. New York: Russell Sage Foundation.
Livingston, Gretchen. 2011. In a Down Economy, Fewer Birth. In PEW SOCIAL & DEMOGRAPHIC TRENDS.
Martin, Philip, and Elizabeth Midgely. 2003. Immigration: Shaping and Reshaping America. In Population Bulletin. Washington, D.C.: Population Reference Bureau.
Massey, Douglas S. 1985. Ethnic residential segregation: a theoretical synthesis and empirical review. Sociology and Social Research 69 (3):315-350.
Massey, Douglas S., ed. 2008. New faces in new places : the changing geography of American immigration. New York: Russell Sage Foundation.
Massey, Douglas S., and Chiara Capoferro. 2008. The structure and dynamics of Mexican migration to new destinations in the United States In New faces in new places : the changing geography of American immigration, edited by D. S. Massey. New York: Russell Sage Foundation.
McConnell, Eileen D., and Ilana R. Akresh. 2008. Through the front door: The housing outcomes of new lawful immigrants. International Migration Review 42 (1):134-162.
McConnell, Eileen Dia. 2008 The U.S. Destinations of Contemporary Mexican Immigrants. International Migration Review 42 (4):767-802.
Myers, Dowell. 2007. Immigrants and boomers : forging a new social contract for the future of America. New York: Russell Sage Foundation.
Myers, Dowell, and Seong Woo Lee. 1998. Immigrant Trajectories into Homeownership: A Temporal Analysis of Residential Assimilation. International Migration Review 32 (3):593-625.
Myers, Dowell, and Cathy Yang Liu. 2005. The Emerging Dominance of Immigrants in the United States Housing Market, 1970 to 2000. Urban Policy and Research 23 (3):347365.
Myers, Dowell, and SungHo Ryu. 2008. Aging Baby Boomers and the Generational Housing Bubble: Foresight and Mitigation of an Epic Transition. Journal of the American Planning Association 74 (1):17 - 33.
Nee, Victor, and Jimy Sanders. 2001. Understanding the Diversity of Immigrant Incorporation: A Forms-of-Capital Model. Ethnic and Racial Studies 24 (3):386-411.
Office of Federal Housing Enterprise Oversight. 2007. House Price Index (HPI). Washington D.C.: Office of Federal Housing Enterprise Oversight.
Painter, Gary. 2000. Tenure Choice with Sample Selection: Differences among Alternative Samples. Journal of Housing Economics 9 (3):197-213.
Painter, Gary. 2010. What Happens to Household Formation in a Recession? In Research Institute for Housing America Working Paper.
Painter, Gary, Stuart A. Gabriel, and Dowell Myers. 2001. Race, Immigrant Status, and Housing Tenure Choice. Journal of Urban Economics 49 (1):150-167.
Painter, Gary, Lihong Yang, and Zhou Yu. 2003. Heterogeneity in Asian American Homeownership: The Impact of Household Endowments and Immigrant Status.
Urban Studies 40 (3):505-530.
Painter, Gary, and Zhou Yu. 2008. Leaving Gateway Metropolitan Areas: Immigrants and the Housing Market. Urban Studies 45 (5&6):1163–1191.
Painter, Gary, and Zhou Yu. 2010. Immigrants and Housing Markets in Mid-size Metropolitan Areas. International Migration Review 44 (2):442-476.
Papademetriou, Demetrios G., and Aaron Terrazas. 2009. Immigrants in the United States and the Current Economic Crisis. In Migration Information Source. Washington DC: Migration Policy Institute.
Passel, Jeffrey S., and D'Vera Cohn. 2008. U.S. Population Projections: 2005-2050. In Pew Research Center Social & Demographic Trends. Washington, D.C.: Pew Research Center.
Pew Social Trends Staff. 2010. The Return of the Multi-Generational Family Household Washington DC: Pew Research Center.
Reid, Carolina. 2009. The Untold Costs of Subprime Lending: The Impacts of Foreclosure on Communities of Color in California. In Annual Association of Geographers. Las Vegas, NV.
Singer, Audrey. 2004. The Rise of New Immigrant Gateways. Washington D.C.: Center on Urban and Metropolitan Policy, Brookings Institution.
Singer, Audrey. 2009. The New Geography of United States Immigration. Washington D.C.: Center on Urban and Metropolitan Policy, Brookings Institution.
Suárez-Orozco, Marcelo M., and Mariela M. Páez, eds. 2002. Latinos : remaking America. Berkeley: University of California Press.
U.S. Bureau of Labor Statistics. 2009. Labor Force Characteristics by Race and Ethnicity, 2008. Washington DC: U.S. Bureau of Labor Statistics
Waters, Mary C., and Tomas R. Jimenez. 2005. Assessing immigrant assimilation: New empirical and theoretical challenge. Annual Review of Sociology 31:105-125.
Yen, Hope. 2009. Kids coming back home. Associated Press.
Yu, Zhou, and Dowell Myers. 2010. Misleading Comparisons of Homeownership Rates When the Variable Effect of Household Formation is Ignored: Explaining Rising Homeownership and the Homeownership Gap between Blacks and Asians. Urban Studies 47 (12):2615-2640.
Zúñiga, Víctor, and Rubén Hernández-León. 2005. New destinations : Mexican immigration in the United States. New York: Russell Sage Foundation.
Table 3. Homeownership Rates by Geography and Immigrant Status, 2000-2009
Source: 2000 Decennial Census Public Use Microdata Sample, 2006 and 2009 ACS data and based authors' calculation
Note: The native-born household sample includes only non-Hispanic Whites and Blacks, while the immigrant sample is limited to Asian and Latino Immigrants.
Table 4. Homeownership Rates by Geography and Immigrant Group, 2000-2009
Source: 2000 Decennial Census Public Use Microdata Sample, 2006 and 2009 ACS data and based authors' calculation
Table 5. Headship Rates by Geography and Immigrant Status, 20002009
Source: 2000 Decennial Census Public Use Microdata Sample, 2006 and 2009 ACS data and based authors' calculation
Note: The native-born household sample includes only non-Hispanic Whites and Blacks, while the immigrant sample is limited to Asian and Latino Immigrants.
Table 6. Headship Rates by Geography and Immigrant Group, 20002009
Source: 2000 Decennial Census Public Use Microdata Sample, 2006 and 2009 ACS data and based authors' calculation
|
book reviews
///////////////////////////////////////////////////////////////////////////////
//////////////////////////////////////////////////////
To fac eor not
One of the most common, difficult and dangerous decisions made by the crisis negotiator and tactical (or onscene) commander is whether to expose the negotiator to a face-to-face meeting with the hostage-taker. This tactic has advantages and hazards (Figure 1). The danger usually outweighs the expeditious advantages. This mode of negotiations is far from the preferred way of communicating with an armed hostage-taker and is not commonly done (Report 1983; San Jose 1994). However, the first responder to a siege often goes face-to-face (Dolan and Fusilier 1989; San Jose 1993). Typically the first responder sets the tone for the contacts that follow. If he or she does not negotiate from a protected position, subsequent negotiators may have difficulty when they insist on providing the hostage-taker with a crisis phone to ensure the safety of everyone involved (Dolan and Fusilier 1989).
For the purpose of this article, faceto-face negotiations means talking to the hostage-taker from a position that does not afford the negotiator adequate and immediate cover.
There is a history of this tactic in our legacy. One of the earliest accounts of face-to-face negotiations in the United States occurred in October 1859 during the siege at Harpers Ferry. After his illconceived and poorly implemented plan to initiate a slave rebellion, John Brown held a few dozen townspeople hostage in the armory fire station and attempted to negotiate their freedom. The face-toface negotiator was U.S. Army Lt. J.E.B.
G
44
The Tactical Edge /
The Tactical Edge
Spring 2012
/ SUMMER 2012
Stuart, under the command of Colonel Robert E. Lee, who was also in charge of a detachment of U.S. Marines who became his tactical team. After protracted negotiations, Stuart gave the signal and the Marines attacked. They captured John Brown and rescued the hostages. The telephone had not yet been invented at that time, but had Robert E. Lee known the following points in 1859, he might not have approved face-to-face negotiations with John Brown.
One of the most common, difficult and dangerous decisions made by the crisis negotiator and tactical (or on-scene) commander is whether to expose the negotiator to a face-to-face meeting with the hostage-taker.
In the course of 25 years of lectures and discussions with experienced FBI and police crisis negotiators, the following 19 points regarding face-to-face negotiations have been developed. They are intended as guidelines and should be reviewed by the decision-making team prior to deciding whether to allow the exposure of the crisis negotiator to possible hostile fire.
Figure 1
Advantages and hazards of face-to-face crisis negotiations
| Telephone conversations | Face-to-face meetings |
|---|---|
| Safety of the negotiator ensured on the phone Easier to say no or be evasive Can conclude contact quickly | Ensured only with SWAT support Can read each other’s body language Must walk back |
| Can initiate contact quickly Secondary negotiator is there for immediate help | Must safely set up each meeting Primary may be alone |
| Electronic problems can help conclude conversations Recording is not a problem Line can always be open | Limited excuses to conclude conversations Recording requires wires Gain intelligence only when talking |
| Controlled interruptions Weapons irrelevant Location irrelevant | Uncontrolled environment Weapons a problem Location specified |
To face
How well have you assessed your anxiety? If your inner voice is telling you that this is not a good idea, it isn't. That voice may be a subconscious alarm to dangers you cannot fully articulate.
Before even considering such a response, it is important for the negotiator to know the strengths and limitations of the tactical element of the crisis response team. Cross training is an excellent way to accomplish this. Again, going faceto-face is a tactical move and must have the approval and support of the tactical team. Further, once the plan is in place the negotiator cannot make changes, like going a few feet further or straying off the prescribed path agreed to by the tactical element. To do so invites disaster (Ragsdale 2012).
Crisis negotiators should ask themselves why they are being told to do this. Is it expedient, an emergency or is it the ego of the negotiator that is the motivating force? It may be more expedient to walk up to and speak with a hostage-taker. If the decision to face an armed adversary is motivated by deep-seated psychological needs of the negotiator to prove his or her bravery, insanity or to exhibit suicidal tendencies, the telephone is a better tactic.
Face-to-face crisis negotiations are generally considered a deviation from the usual police practice in resolving a hostage crisis (Strentz and Birge 1994) and these guidelines are offered as one means to help insure the safe and secure deviation from the norm. One way to help insure the safety of a tactic fraught with dangerous possibilities is to consider the following questions and guidelines prior to engaging in this act.
Psychological aspects
1. One may find it necessary for tactical reasons to walk in harm's way to help ensure the preservation of human life.
Who suggested this method and what were their reasons? Why is it being considered now instead of later? Was it suggested earlier and completed or rejected? If so, how and why? Did the hostage-taker suggest that both of you meet in the open? This is an anomaly — hostage-takers are usually wary about coming out into the open. Did the hostage-taker suggest that the negotiator stand in the open while he spoke from cover? Why do they want you to do this? Is this the act of a clear thinking person? Can the negotiator articulate the logical reasons for this deviation from the usual procedures? If not, one may be unnecessarily placing him or herself in danger.
2. If a face-to-face discussion is being considered, one does not want to venture out into the open too early. How
Do not venture into harm's way with a weapon pointed at you. The weapon of the hostage-taker must not be in his hand, tied to him, on his person or in his view.
By Tom Strentz
well have you assessed the subject? Can you trust him? Have you been talking with him long enough to feel comfortable with him?
3. How did you learn his true name? If he lied to you about his name, how can you now trust him when he has promised where he will stand or that he would not shoot?
4. How well have you assessed your anxiety? If your inner voice is telling you that this is not a good idea, it isn't. That voice may be a subconscious alarm to dangers you cannot fully articulate. Further, if you are not comfortable with it, then the hostage-taker may sense your insecurity and suspect a trap that could jeopardized continued negotiations and endanger your life.
Personal considerations
5. Maintain eye contact with the hostage-taker as you approach and depart. Keep your eyes on him and keep other senses equally alert. This means walk up to him and then back away. Be clear on the path you are going to follow in and out. Do not deviate from this plan or path without prior tactical approval.
6. There are several body space considerations. Be clear on who will stand where. He should be coming out to meet you. Why is he willing to expose himself to potential unfriendly fire? If he will not come out, you should not go up.
7. Do not turn your back and walk away. This could be viewed by the hostage-taker as a social snub and is certainly a tactically unsound move. Even if he says www.ntoa.org
www.ntoa.org
book reviews
///////////////////////////////////////////////////////////////////////////////
//////////////////////////////////////////////////////
his weapon is not immediately available, can he really be trusted enough for you to turn your back on him, a potential killer, and casually walk away?
Subject
8. Elicit a clear promise from him not to shoot. How does he respond to this request? If he equivocated in his response, you should delay your movement. A clear no, which is a direct answer to the question, from the hostage-taker is much more reassuring than a statement like, "I won't shoot if you don't." The emphasis here is on clear. This means he says, "I promise not to shoot." This does not mean, "I won't shoot if you don't. Do I look or sound like a person who would shoot? I have never shot a police officer before." Statements that place the responsibility for judging what he really means on others are unacceptable. There must be no doubt in your mind that he will not shoot. If you think he is going to hedge on his promise not to shoot, you should not go face-to-face. If the hostage-taker will not, or cannot, say he won't shoot, he is probably too unstable to face at this time.
9. Do not venture into harm's way with a weapon pointed at you. The weapon of the hostage-taker must not be in his hand, tied to him, on his person or in his view. He must trust the negotiator enough to separate himself from his weapon prior to coming out to the meeting. If he does not completely comply, do not continue. Go back and call again to make certain the subject understands the restrictions of this maneuver. The SWAT team must be positioned to cover you.
10. It is very dangerous to walk up to one of several hostage-takers. While the person with whom you are speaking may be unarmed and may have placed his weapon out of sight, are his associates equally harmless? Can you and he trust his associates? What guarantees can he provide that no one will shoot? Are such guarantees possible to enforce? Meeting face-to-
G
46
The Tactical Edge /
The Tactical Edge
Spring 2012
/ SUMMER 2012
face with multiple hostage-takers is a very dangerous act and is not recommended.
11. Exchange physical descriptions. Assess his voice while he is describing himself. Do you know who he is and what he looks like? Do you know what he is wearing? What do you know about his hostages? Is he describing himself? Might you find out too late that the person on the porch is a victim and not the hostage-taker?
Tactical
12. A hostage-taker with a bomb may be the most potentially dangerous person you can meet and talk with. It matters not if this bomb is real, fake or alleged. The use of a bomb in a hostage situation indicates premeditation. If the hostage-taker planned ahead enough to prepare a bomb, what other tactical plans has he made? Is the face-to-face move a gesture of peace or a plan of escape? Does he want to surrender or could he be planning a suicide by police scenario? People with bombs are dangerous, may be suicidal and have a propensity toward violence (Strentz 1991).
13. Plan ahead. Have an escape plan. Visually walk the route and plan escapes as you move along the designated path. Discuss these moves with SWAT to ensure that they can provide protection. Be certain that you or command has coordinated your escape ideas with the tactical unit.
14. Establish a clear signal to the tactical unit to indicate trouble. Do not rely only on a radio. Be sure that your hand signal is obvious. Make sure it is so simple that no one will forget what it means when you signal.
|
We are pleased to announce the first anniversary of the award-winning online magazine, BerkshireStyle.com. Join us in the celebration of this groundbreaking year! With a readership of 10,000 visitors and 60,000 page visits, the momentum is just beginning.
What is Berkshire Style? It is a perspective that combines architectural elegance with natural grace, refined taste with authenticity. Featuring some of the most magnificent towns in the region, our online magazine covers all the bases: from arts and culture to sports and entertainment; from lifestyle to personal style; from local attractions to recommended lodgings and businesses. Geared towards residents and visitors alike, BerkshireStyle.com is both a source of information and a catalyst for inspiration.
Attached is information about our website, its founders, features and press. If you have any further questions or need more information, we will be happy to provide it. Thank you for your time and consideration.
Sincerely,
Tanio McCallum email@example.com
ELECTRONIC PRESS KIT
Table of Contents
PRESS RELEASE
Date: 16 April 2013
Contact: Tanio McCallum
firstname.lastname@example.org
Award-Winning BerkshireStyle.com Celebrates First Anniversary
Say "happy anniversary" to BerkshireStyle.com, the online magazine that features architecture, activities, events, style and gracious living in some of the most splendid towns in the region. Three years in the making and one year out in the world, this on- line magazine is quickly gaining traction and prestige. Powered by its remarkable cofounder Toni Tucker, and her passion for the Berkshire region, this e-magazine has already attracted a sophisticated and informed readership of 10,000 with over 60,000 page views.
Some of the most popular sections of BerkshireStyle.com are:
Arts & Culture. Historic homes and gardens, museums, theatres, venues and dance Local Attractions. Special events including Tanglewood and Mass MOCA Food & Lodging. Specialty markets, restaurants, bed and breakfasts, resorts, hotels Designers. Interior, garden, architects and related businesses Home & Personal Style. Antiques, bookstores, home furnishings, clothing, gifts, jewelry Sports & Fitness. Yoga, golf, hunting, fishing, riding, outdoors recreation and sports Gardening. Designers, garden centers, florists, historic gardens Towns & Villages. Recommended businesses and attractions of thirty towns
Tucker noted that BerkshireStyle.com was honored in 2012 with the Constant Contact All Star Award for exceptional marketing over the prior year and was rated by LinkedIn as one of the top 5% most viewed profiles in 2012. "We took great care to build a site that is both beautiful and inspirational, and are thrilled that designers, artists and photographers love our website," she said. "The fact that we are also recognized by the business community is an unexpected bonus."
BerkshireStyle.com is an online resource for living and visiting in and around the Berkshires. Sign up for your free subscription at www.BerkshireStyle.com and for information on advertising opportunities, contact us at email@example.com.
PRESS KIT LINKS
* Electronic Press Kit
http://berkshirestyle.com/presskit.pdf
* What Sets Us Apart
http://berkshirestyle.com/features/aboutus_WhatSetsUsApart.html
* Interview
http://berkshirestyle.com/features/WhoCanLiveWithoutStyle.html
* Biographies
http://berkshirestyle.com/features/about_us_biographies.html
* Rave Reviews
http://berkshirestyle.com/features/about_us_rave_reviews.html
* Feature Article
http://berkshirestyle.com/features/chocolate_springs_cafe.html
BERKSHIRESTYLE.COM is the ideal place for businesses in the Berkshire area to advertise. With an emphasis on style, our online magazine provides a remarkable experience in terms of quality content and presentation. BerkshireStyle.com offers a targeted audience, competitive rates, and high visibility in search engines.
WHAT SETS US APART
The answer is simple. We concentrate on the exceptional. We feature some of the most accomplished people in their field. We have a distinct point of view and that is to recognize the best and authentic of the Berkshires. BerkshireStyle.com is both a source of information and a catalyst for inspiration.
OUR MAIN PURPOSE
We establish a valuable web presence for our clients, creating an opportunity to expand their markets. Our high ranking, and targeting marking strategy has the ability to drive traffic to your website. We also create further exposure by highlighting your business and offering links, back and forth to your website.
Designers will find the site valuable, since we understand the look and nuance that the design industry demands. It is important that all levels of the site have credibility and a refined simplicity that inspires confidence.
Our research shows that the upscale Berkshire market is an underserved sector on the web. Increasingly people are getting their information from the Internet. Not only is it important in helping people find you, it is important in sending the right message.
OUR TARGET AUDIENCE
With a clearly defined target audience, we are appealing to people who are interested in the Berkshires as a lifestyle. This audience falls into two major categories.
(1) Berkshire residents that are interested in the amenities and activities of the area; and
(2) Visitors to the area who are interested in Berkshire cultural and seasonal activities.
OUR STRATEGY
BerkshireStyle.com provides content and information relevant to our targeted audience. We have taken exceptional care in our presentation to reflect a high level of taste and sophistication to represent you with an unsurpassed level of perceived value.
OUR CONTENT
* Features – Revolving features by and about our businesses, designers and artists, attract an affluent audience interested in the best.
* Arts and Culture – Historic homes and gardens, museums, theater and dance
* Attractions – Must see museums and events in the area including Tanglewood and Mass MOCA.
* Child Style – Activities, stores and sports.
* Designers – Interior, garden, architects and related businesses
* Entertainment – A comprehensive list of the local theaters and concert halls.
* Events Calendar – A guide to selected events happening in the Berkshires.
* Food – Catering and specialty food markets, restaurants and coffee houses.
* Gardening – Garden designers, garden centers, florists historic gardens.
* Home Style – Antiques, bookstores, home furnishings, furniture, china and accessories.
* Lifestyle – fitness, spas and yoga.
* Lodgings – Bed and breakfasts, hotels and resorts.
* Movie Clock – A quick click to connect to the local movie houses.
* Personal Style – Clothing, gifts, jewelry and accessories.
* Sports and Fitness – Yoga, golf, hunting, fishing, riding, outdoors recreation and sports.
* Pets – Along with our Berkshire feature pet, we offer listings of area pet businesses.
* Towns and Villages – We offer comprehensive listings of recommended businesses and attractions of the 30 towns we represent.
WHO CAN LIVE WITHOUT STYLE?
An interview with co-founder Toni Tucker
Toni Tucker is an acclaimed photographer who is passionate about her love of animals and people; she also has a deep appreciation of great design. Through the creation of BerskshireStyle.com, she is able to combine her talents with her passions while simultaneously encouraging people to enjoy a region that has inspired her since childhood.
How does it feel to be co-founder of an award-winning online magazine? Fabulous!!! The best news however is that we are having a wonderful ride. You know it is less about the destination than the journey. I love the journey.
What is most satisfying about this new role?
I am learning and exploring every day. There are so many parts of business about which I knew nothing. Business plans. Social media. Advertising sales. The challenge is to understand and incorporate it all. I love the networking and have met some of the most talented and fascinating people.
How have your past experiences—in life and work—contributed to this new endeavor? I never really considered it until now but this website is a culmination of many past jobs and past experience. My father was a newspaper publisher and I grew up with the news. My first career was as an interior decorator. I then went on to work in television news. I am a photographer and have taken most of the photographs on the site. As varied as my background appears, it has all prepared me to do this work.
What does the publication do for your community and the Berkshire region?
I consider it to be a celebration of this glorious area and hope that this spirit is reflected on its pages. I hope it will continue to be a valuable resource for those who want some direction on where to go or eat in the region. We have done the legwork for you and hope you consider us to be your "new best friend in the Berkshires."
What is unique to your e-magazine, in comparison to your competitors?
Our focus is what sets us apart. We have done our research and pass our taste on to our subscribers. There are so many choices and we want to recommend the very best.
What do you mean by "Berkshire Style"?
The Berkshire region is famous for its breathtaking beauty and has inspired a tradition of gracious living. This distinctive style is reflected in how we live, how we appreciate our natural surroundings, how we prepare meals and how we enjoy fine craftsmanship and design.
Lambs have a high profile on your website. Can you say a little about their significance? We adore all animals and sheep in particular captured Paul's and my attention.
Having just completed its first year of "life," how do you see the publication expand and grow into the future?
We will just get better and better at what we do for the foreseeable future. After that, who knows? I am sure there are other stylish areas in the country.
BIOGRAPHIES
Paul Coughlin
As a photographer, Paul Coughlin's images are in the collections of Henry Kissinger, Mike Nichols, Oscar De la Renta and Paul Newman. He is the author of six books, including Timeless New York (Rizzoli) and Zen Baby (Random House). In addition to his own books, Coughlin's photographs have graced the front of book jackets on works by Ann Tyler, Joseph Mitchel as well as the cover photograph for the autobiography of the His Holiness the Dali Lama. Paul Coughlin has been the photographer for the highly acclaimed Magic Tree House series (Random House Children Books), which have sold over 12 million copies. His images have been featured in The New York Times, Town and Country, and People. Coughlin was also commissioned by Mike Nichols to create a series of angel imagery to be used in conjunction with his HBO film Angels in America.
Toni Tucker
With a background in journalism and experience ranging from rock videos to political documentaries, Toni Tucker has worked as a writer, news editor and field producer for Channel 5 News. She has also been a press officer for Gary Hart and Governor Mario Cuomo and a press consultant for Burson-Marsteller. With a lifelong interest in elementary school education, Tucker is the founder of a nursery school in Beverly Farms, Massachusetts, and served on numerous school and hospital boards. She also participated in Delta Society's therapy dog program. A photographer for over forty years, her images have appeared in numerous books, magazines, greeting cards and calendars, including The American Kennel Club Gazette, The Bichon Frisé Reporter, Barron's Educational Series and Avanti. Affiliated with the International Center of Photography and the Camera Club New York, Toni Tucker has exhibited in both New York and Connecticut. Clarkson Potter published her photography book, Zen Dog, in 2001.
ACKKNOWLEDGMENTS
With special thanks to my co-founder, Paul Coughlin, for his support and his brilliant sense of design reflected in the website; to Penny Michels, my friend and features editor, without whom we would have neither our weekly e-blasts nor an events calendar; to Dave Colmar for his graphic and computer expertise; to Deko Design for their computer design; to my family and friends who have supported me in so many ways both large and small. —Toni
RAVE REVIEWS
"Just a gorgeous site! Congratulations. Thank you so much for adding me and my orchids to it. We are honoured!"
– Ann Levine, Berkshire Orchids, Lakeville CT
"This is so exciting! It is absolutely glorious! I have already sent it as a forward to friends. It is much too wonderful to keep all to myself. Congratulations on a superb job."
– Claudia Budow, Millbrook NY
"The web site is ravishing with outstanding photography!"
– Judith Chatfield, Sharon CT
"I am very excited to hear about the launch of BerkshireStyle! What can I say except BRAVO! Your hard work and great taste have come together beautifully. It is the most beautiful website I've seen in a long time."
– John Cummins, Kent CT
"WOW! What a beautiful and amazing website."
– Erayna Beckman, Citrus Heights CA
"We are impressed with your Berkshire web site. Well done."
– Evan Schulman, Boston MA
"Wow! The BerkshireStyle site is indeed beautiful and very easy to navigate - you should be so proud! (and very tired, I bet!) Congratulations on all your efforts."
– Sarah Getz, Sharon CT
"LOVE the website! It is very tasteful as well as informative."
– Jan Gilmore, Millerton NY
"Happy to be included and happy to support your efforts as we all love your work. Your site is really the happening scene as far as we're concerned."
– Ian Ingersoll Cabinetmaker, Cornwall CT
"Your site is looking amazing. great restaurant list!"
– Jim Fulton, Wellington, New Zealand
"This is breathtakingly beautiful. What a wonderful looking, informative, easy to navigate (and for me that is saying something) and sure to be a delectable treat.”
– Judy Higby, Wilton CT
"BerkshireStyle just keeps getting better and better! It's a real asset to the area."
– Janet Offensend, Brooklyn NY
"This is simply stunning. STUNNING. Am I surprised? Not in the least but found the entire site inviting, beautifully designed and welcoming."
– Samm Carlton, Waquoit MA
"I feel the vibrancy of your community and agree that local strengths are to be cherished."
– Frances Lee-Vandell, Richmond VA
"The website really is wonderful. So simple, informative and beautiful to look at!"
– Chrissy Tellalian, At Home in the Country, Lakeville CT
"I LOVE THE SITE. Elegant, concise, excellent."
– Dina Modianot Fox, Glenside Australia
"I just looked at the latest edition. It's just great, I think you've captured the feeling around here."
– Carole Lalli, New York and Lakeville CT
"WE LOVE THE MOVIE CLOCK! Thanks for putting this handy tool in the site."
– Cheryl and Don Perdue, Sheffield MA
CHOCOLATE SPRINGS CAFÉ
Is there anything better at this time of year than a cup of hot chocolate topped with lovely whipped cream? Add to that a group of friends, a cozy table and a chance for some live piano music and you have a perfect destination. Such is the nature of Chocolate Springs, an attractive and welcoming cafe featuring delectable chocolates hand-crafted by Joshua Needleman, one of Saveur Magazine's Top Ten Chocolate Makers.
Peer into cases filled with truffles, mousses, brilliantly sculpted dark and milk chocolates and pastries that go very nicely with hot chocolate or an espresso. Once warmed and full, a return to the cases proves irresistible. Choose from an opulent array of goodies to take home or find a small, beautifully boxed selection of these jewel-like creations for a perfect hostess gift.
Joshua Needleman is the energetic and fun genius behind Chocolate Springs Café. As chef and owner, Needleman introduces tasters to chocolates infused with flavors both exotic and traditional. This passionate connoisseur of fine food has traveled extensively and maintained shops in Paris and Manhattan; yet, he has chosen to return to the Berkshires to make his dream of a therapeutic oasis.
"The cocoa bean is a rich source of naturally occurring antioxidants, and has been shown to help lower blood pressure, improve mood, and in some cases, lose weight. That's one reason why our hot chocolate is named Serious Hot Chocolate. In summertime we make Serious Iced Chocolate along with a variety of gelatos, sorbets and ice creams. Eating chocolate is a celebratory event: When life is good it makes it better, and when times are tough, it still makes life better."
Chocolate Springs Café offers a selection of chocolates made with flavors from local, artisanal producers. The Berkshire Bon Bon, a very popular confection, uses Bourbon from Berkshire Mountain Distillers. "Cross-country skiers in nearby Kennedy Park insist on ending a beautiful day outdoors with a Serious Hot Chocolate and a few Berkshire Bon Bons." He added, "We have also participated in local celebrations by making creations for Jacob's Pillow in honor of their 80th anniversary and desserts for special events at Shakespeare and Company."
Whether you choose the Champagne Cognac Truffles, featured in Time Magazine, or a chocolate infused with the flavor of fresh local raspberries, you must promise yourself a visit to this destination popularly known as Chocolate Heaven.
TOWNS AND VILLAGES
FROM THE LAKEVILLE JOURNAL
Capturing the stylish essence of the Tri-state area
Thu, 12/13/2012 - 10:23am
By Asher Pavel
firstname.lastname@example.org
SHARON
Sharon resident Toni Tucker's background in both design and in broadcasting led her, inevitably, to create the style-and-news website BerkshireStyle.com, which was launched in March 2012.
"We cover what is known as the Berkshire cultural area," she said, "including the area from Chatham and Millbrook in New York, from Kent to Norfolk in Connecticut and New Marlborough to Lenox in Massachusetts."
In the 1970s, Tucker worked as an interior designer. In the 1980s she worked both on air and behind the scenes for Channel 5 television news in New York City.
Since the 1990s, she's been working as a professional photographer. She spent about five years traveling the world with an Indian guru, acting as her official photographic chronicler. But what she really loves to photograph, Tucker said, are children and animals.
An avid dog lover, she said her three Toy Poodles and three Bichons Frisé are all champions. Her dog Faren was the top Toy Poodle in the U.S. for two years. Porter was the top Bichon Frisé for three years.
After working with the guru, Tucker retired from photography and collaborated with Paul Coughlin to design the website. By 2009 they were beginning to collect the information that would eventually become Berkshire Style.com website. Three years later the site went online and now Tucker is managing it on her own, with the help of Editorial Director Penny Stirling Michels and Marketing Manager Adriana Liduario. Three IT people maintain the operational side of the website.
The site highlights the work of "architects, designers, artists and businesses who have made their mark preserving the Berkshire aesthetic," according to the site.
"The web pages of Berkshire Style.com hold a wealth of local information inviting us all to play an active role in this beautiful community. If you have a passion for a refined simplicity, regional charm and good taste you are in the right place. After all, what is life without style?"
Tucker said what she finds inspiring about the region is that "it is untouched and beautiful." She has been coming here for years. "My grandmother had a home in Sheffield where I spent summers as a little girl."
Tucker said her goal in creating Berkshire Style was "to build a wonderful vehicle where people can have trust in the places, stores and services we recommend."
The site has an events calendar, movie times, names of architects and designers, listings of area attractions, pet resources, children's activities and resources, dining, food and entertaining; gardens, interior design, lodging, museums and historic homes, performing arts events and winter sports plus basic information about governmental agencies in the area's towns and villages.
TriCorner News · Lakeville Journal Repost: http://tricornernews.com/node/27192
FROM THE HAMMERTOWN BARN
Some more great ideas for Father's Day from Berkshire Style By Joan On June 14, 2012
I really love the new online magazine, Berkshire Style! I subscribe to their weekly newsletter and they had some terrific ideas for Father's Day. Here are my favorites from their suggestions:
Lime Rock Park Let the inner speed demon in your Dad race forth with a gift certificate for classes at the renowned Skip Barber Racing School at the foot of the Berkshire Hills right here at Lime Rock Park. The thrill and adrenaline rush will make for an unforgettable experience for the favorite man in your life. 60 White Hollow Road, Lakeville, CT 800.221.1131 www.skipbarber.com/promotions.asp
Peter Becks Village Store Bold, vivid, colorful, with solid stripes. If this describes your Dad, how about a tie to match his personality? These beautiful silk ties, made with impeccable craftsmanship and design, are available at Peter Becks Village Store in Lakeville. No matter how extensive Dad's tie collection, these are sure to add some punch to his wardrobe.
19 Main Street, Salisbury, CT 860.596.4217 www.peterbecks.com
Bizalion's Whether Dad is a gourmet-in-the-making or just an enthusiastic gourmand, you're certain to delight with a gift from Bizalion's. Described by the New York Times as a "Marseilles-infused charcuteriecafé," Bizalion's offers a rich array of gastronomical treasures. Our choice for the Dad that cooks: Bizalion's "Emerald Basket," a sampling of five of its fine collection of olive oils.
684 Main Street, Great Barrington, MA 413.644.9988 www.bizalions.com
Hammertown Barn Repost:
http://www.hammertown.com/2012/06/some-great-ideas-for-fathers-day-from-berkshire-style
|
lies(Hymenoptera, Symphyta) of three Mid-Atlantic Parks...
RESEARCH ARTICLE
Sawflies (Hymenoptera, Symphyta) of three Mid-Atlantic Parks in the George Washington Memorial Parkway, U.S.A.
Edward M. Barrows 1 , David R. Smith 2
1 Department of Biology and the Center for the Environment, Georgetown University, Box 571229, Washington, D.C.; Research Associate, Department of Entomology, National Museum of Natural History, Smithsonian Institution, Washington, D.C. 20013-7012 2 Research Associate, Department of Entomology, National Museum of Natural History, Smithsonian Institution, P.O. Box 37012, MRC 168, Washington, D.C. 20013-7012
Corresponding author: Edward M. Barrows (email@example.com)
Academic editor: Stefan Schmidt| Received 15 May 2014 | Accepted 4 August 2014 | Published 26 September 2014 http://zoobank.org/DCD45D1E-5D5A-4996-BC05-90E186726A45
Citation: Barrows EM, Smith DR (2014) Sawflies (Hymenoptera, Symphyta) of three Mid-Atlantic Parks in the George Washington Memorial Parkway, U.S.A. Journal of Hymenoptera Research 39: 17–31. doi: 10.3897/JHR.39.7907
Abstract
A diverse sawfly fauna of 176 species in 66 genera in 10 families occurred in three parks in the George Washington Memorial Parkway – Dyke Marsh Wildlife Preserve (DMWP), Great Falls Park (GFP), and Turkey Run Park (TRP). Adult sawflies flew from early March through mid-November. They included the rarely-collected Kerita fidala Ross, a leafminer of Mertensia virginica (L.) Pers. ex Link (Boraginaceae) and an unidentified Caliroa sp. which consumes Staphylea trifolia L. (Staphyleaceae). Nine of the collected species are alien ones in North America. Based on coefficients of community, DMWP was more similar to TRP than GFP, and GFP and TRP were more similar to one another than to DMWP. In DMWP, most species were uncommon in samples. Ninety-five percent of the reported host genera of the collected sawfly species occurred in all three of the parks.
Keywords
Survey, species list, flight periods, abundance
Introduction
Symphyta (sawflies) is a hymenopteran suborder of about 9,000 species in about 1,000 genera in 14 families (Taeger et al. 2010), which occurs in many terrestrial habitats worldwide. Sawfly larvae consume foliage, stems, and wood, and adults consume leaf pubescence, nectar, other insects, water, or a combination of these things, depending on the species (Smith 1979, 1993). Larvae are external leaf feeders, gall-formers, leafminers, and stem- and wood-borers of a diverse flora of mosses, ferns, conifers, and herbaceous and woody flowering plants. Most sawfly species are larval specialist feeders of one or a few plant genera, except larval Orussidae which parasitize wood-boring beetles. Some sawfly species can cause significant economic damage to agricultural crops, forests, and ornamental plants. Larvae of these species, either as defoliators, stem borers, or wood borers, can reduce growth of plants, even killing them. In the U.S. mid-Atlantic area, adults fly from March through October, with most species flying in spring and early summer.
Our goal is to ascertain sawfly species identities, flight times, and abundances in three parks within the George Washington Memorial Parkway (GWMP). Our samples are from Townes-style Malaise traps (Townes 1972) and hand-collecting in a rare, tidal, freshwater marsh; a floodplain forest; a swamp; and an upland forest in the Piedmont and Coastal Plain geological provinces – Dyke Marsh Wildlife Preserve (DMWP), Great Falls Park (GFP), and Turkey Run Park (TRP), in Fairfax County, Virginia. Our research questions include (1) which species are present in each park, (2) how similar are the species compositions among parks, (3) what are the species flight periods, and (4) more specifically, what are the species and their abundances in three habitats of DMWP? To our knowledge, this is the second-most comprehensive study of sawflies of a U.S. park administered by the National Park Service. Further, this is the first study of a park that occurs in two geological provinces or has a rare, freshwater, tidal marsh.
Methods
The GWMP comprises 2,984 ha of roads and roadsides, land, and water in the Potomac River Valley on the western side of the river from the Great Falls area south to Mt. Vernon, Virginia and on the eastern side of the river from Glen Echo, MD through Georgetown in Washington, D.C. (Fig. 1). Great Falls Park (323 ha) and TRP (312 ha) are in the northern part of GWMP in the Piedmont Province, and DMWP (154 ha) is in the southern part of GWMP in the Coastal Plain Province. Johnston (2000) described DMWP, and Steury et al. (2008) described the flora of GFP in detail. The GWMP contains many habitats including upland forest; flood-plain forest; swamp forest; freshwater, tidal marsh; mowed areas along its heavily-traveled parkway; and open park areas. This park has a rich biota of perhaps at least 20,000 species of archaeans, bacteria, and eukaryans, including over 1,300 vascular-plant species. (Johnston 2000, Steury 2011, Barrows and Kjar 2014, pers. obs.). Further, the GWMP has several undescribed insect species and at least 58 rare, threatened or endangered animals and plants.
We sampled DMWP from April 1998 through December 1999 with six Townesstyle Malaise traps (Townes 1972), two in each of three habitats (open marsh, floodplain forest, and ecotone) as described by Barrows et al. (2005). We sampled GFP and TRP in 2006 through 2009 from mid-March through mid-November with Townes-style Malaise traps, supplemented by hand-collecting. In GFP, we ran one trap in each of three habitats – quarry site, Great Falls Swamp, and in the upland forest by Mine Run. In TRP, we ran one trap in an upland forest and two traps in the floodplain forest near and just upstream from the mouth of Turkey Run. We ran traps long enough each year to obtain entire sawfly seasonal records. In DMWP, we ran traps in the same places in 1998 and 1999. In GFP and TRP, we moved traps within their habitats from year to year to increase the sawfly diversity in our samples and obtained about 72 samples per year for both parks combined. Although Malaise traps obtain biased samples, they are the single best method for collecting and surveying for sawflies. In the mid-Atlantic area, visual searches for sawflies in nature usually do not discover many species.
Voucher specimens are deposited in the GWMP Arthropod Collection at TRP and duplicate material is held in the Georgetown University Arthropod Collection and the National Museum of Natural History, Smithsonian Institution, pending cataloging in the NPS ReDiscovery database and processing of loan agreements.
For DMWP, we extracted all sawflies from samples for quantitative analysis of numbers of adults of each species and their abundances and flight times in the three study habitats. For GFP and TRP, we extracted all sawflies from samples to determine the number of species and their flight times in both of these parks. Over 10,000 specimens were collected during this study. To calculate coefficients of community, we used the formula CC = 2c/(a + b), where c = the number of species that pairs of parks have in common, a = the species richness of park-1, and b = the species richness of park-2 of the comparison.
Results
Species richness
We found a diverse sawfly fauna of 176 species in 66 genera in 10 families in GWMP which consume at least 57 genera of angiosperms, ferns, gymnosperms, and horsetails (Table 1). These sawflies include a rarely-collected species (Kerita fidala Ross) recorded as a leafminer of Mertensia virginica (L.) Pers. ex Link (Boraginaceae) and an unidentified Caliroa sp. which consumes Staphylea trifolia L (Staphyleaceae) and is still known only from larvae. Both sawfly species were collected in the floodplain near Turkey Run. The record of K. fidala is the first for Virginia (Smith 2009). Nine of the collected species are alien in North America. Ninety-five percent of the reported plant host genera of the sawfly species that we caught occurred in all three of the parks.
We found 69 species in DMWP, 134 in GFP, and 115 in TRP. Twelve species were unique to DMWP, 43 to GFP, and 22 to TRP. Forty species were found in all three parks. Coefficients of Community (CCs) for GWMP ranged from 0.49 through 0.68 (Table 2). Dyke Marsh Wildlife Preserve was more similar to TRP than GFP, and GFP and TRP were more similar to one another than to DMWP.
Table 1. An annotated list of sawfly taxa of GWMP with fight periods based on our samples, parks in which species occurred, known species host plants, and other notes † .
Xyelidae. Larvae of Xyela feed in staminate cones of Pinus species (pines). Xyela are the first sawflies to fly in a given year in the mid-Atlantic Region, as early as late February, but most fly in March and April, and are found wherever pines occur.
Xyela middledauffi Burdick. TRP. May. Host: Pinus.
Xyela bakeri Konow. GFP. March–April. Host: Pinus.
Xyela minor Norton. GFP, TRP. March–April. Host: Pinus.
Xyela pini Rohwer. DMWP (E, 1), GFP, TRP. March–April. Host: Pinus.
Pamphilidae. Larvae of Neurotoma are gregarious and live in webs which they make on their hosts. Larvae of Onycholyda and Pamphilius are solitary and live and feed in rolled leaf margins.
Neurotoma edwardsi Liston. GFP. May–June. Host: Prunus.
Onycholyda amplecta (Fabricius). GFP. June. Host: Rubus.
Onycholyda excavata (Norton). GFP. May. Host: Cornus.
Onycholyda luteicornis (Norton). GFP. April–May. Host: Rubus.
Onycholyda quebecensis (Provancher). GFP, TRP. May–June.
Onycholyda rufofasciata (Norton). GFP, TRP. May–June.
Pamphilius middlekauffi Shinohara & Smith. TRP. May. Hosts: Corylus, possibly Cornus.
Pamphilius ochreipes (Cresson). DMWP (E, M, 3), GFP, TRP. April–May. Host: Viburnum.
Pamphilius pullatus (Cresson). GFP, TRP. April–May. Host: Viburnum.
Diprionidae. Larvae of all species feed externally on needles of conifers. Species are usually present where conifers grow, but rarely occur in Malaise traps
Monoctenus melliceps (Cresson). GFP (quarry only), a site of many J. virginiana trees. March–April. Host: Juniperus, including J. virginiana L.
Neodiprion sp. TRP. One male netted near the Potomac Heritage Trail along the Potomac River. Males cannot be identified. Host: Pinus.
Cimbicidae. Larvae are external feeders.
Abia lonicerae (Linnaeus) ‡ . DMWP (E, 1), GFP, TRP. March–May (most in April). Host: Lonicera. This introduced sawfly is now widespread in eastern U.S.
Argidae. Larvae of all species are external leaf feeders, except Schizocerella pilicornis which is a leafminer.
Arge humeralis (Beauvois), poison-ivy sawfly. DMWP (E, 1), GFP, TRP. June–August. Host: Toxicodendron radicans (L.).
Arge macleayi (Leach). GFP. May. Host: Prunus.
Arge scapularis (Klug). TRP (upland forest). June. Host: Ulmus.
Arge smithi Blank, Liston, & Taeger. GFP (quarry only). April-May.
Arge willi Smith. GFP. May. Host: Corylus.
Atomacera debilis Say. DMWP (E, M, 2). May. Host: Desmodium.
Atomacera decepta Rohwer . DMWP (E, M, 58). TRP. May–September. Host: Hibiscus. This sawfly is common on some Hibiscus cultivars and species known as rose-mallows.
Schizocerella lineata (Rohwer). DMWP (E, M, 9). September. Host: Portulaca. Larvae are external feeders.
Schizocerella pilicornis (Holmgren). DMWP (E, M, 3), TRP. September. Host: Portulaca. Larvae are leafminers.
Sphacophilus cellularis (Say). GFP, TRP. June–July. Hosts: Convolvulus, Ipomoea.
Sterictiphora sericea (Norton). GFP (quarry only). April–May.
Sterictiphora serotina Smith. DMWP (F, 2). April–June. Host: Prunus.
Sterictiphora transversa Smith. GFP (quarry only). April.
Pergidae. The larvae feed gregariously as external leaf feeders on leaf underside.
Acordulecera dorsalis Say. DMWP (E, 1), GFP, TRP. April–June. Hosts: Carya, Castanea, Juglans, Quercus.
Acordulecera mellina MacGillivray. GFP, TRP. May–September. Acordulecera mellina and
Acordulecera pellucida (Konow). GFP, TRP. May–September. Probably several generations a year (Smith and Barrows 1987).
Family Tenthredinidae. This is the largest and most diverse sawfly family in numbers of species, host plants, and habits. Larvae of most species are external leaf feeders, and a few are leafminers and gall formers, as noted below. All six tenthredinid subfamilies occurred in GWMP.
Selandriinae. Genera of this subfamily, except Dolerus, consume ferns. Dolerus larvae feed on Carex, Equisetum, and grasses.
Aneugmenus flavipes (Norton). GFP, TRP. May–July. Host: Pteridium, probably other ferns.
Dolerus apricus (Norton). GFP, TRP. April–June. Host: Equisetum.
Dolerus hebes Goulet. DMWP (M, 1), GFP. April–May. Hosts: probably grasses.
Dolerus neoagcistus MacGillivray. GFP, TRP. March–April.
Dolerus nitens Zaddach ‡ . GFP, TRP. March–April. Hosts: grasses. This introduced species is now widespread in North America and can be very common in late winter (early March) and early spring.
Dolerus tibialis Cresson. TRP. May. Host: Equisetum.
Dolerus unicolor (Beauvois). GFP, TRP. March–April. Hosts: grasses.
Dolerus versus Norton. GFP. April–May.
Heptamelus dahlbomi (Thomson) ‡ . GFP, TRP. May, July. Hosts: unknown ferns, possibly Athyrium as recorded in Europe. Larvae bore downward in stems.
Strongylogaster impressata Provancher. GFP, TRP. April–May. Hosts: ferns.
Strongylogaster remota Rohwer. GFP (swamp only). April–May.
Thrinax albidopicta (Norton). DMWP (F, M, 2), GFP, TRP. April–September. Hosts: ferns.
Thrinax dubitata (Norton). DMWP (F, 3), GFP, TRP. May–September. Host: Onoclea sensibilis.
Nematinae. A large and diverse subfamily, dominant in arctic and subarctic regions of the world. Nematines are external gall formers, leaf feeders, leafminers, leaf rollers, and petiole miners.
Amauronematus orbitalisMarlatt. DMWP (E, M, 2), GFP. March–April.
Caulocampus acericaulis (MacGillivray). TRP. April. Host: Acer. Larvae are petiole miners and can cause premature leaf dropping.
Caulocampus matthewsi Smith. TRP. April–May.
Cladius difformis (Panzer), bristly rose slug. DMWP (E, 8), GFP, TRP. March–October. Host: Rosa. This sawfly is common on both wild and cultivated roses and has multiple generations throughout the warm season.
Craterocercus fraternalis (Norton). GFP, TRP. March–April. Host: Quercus.
Craterocercus obtusus (Klug). GFP. March–April. Host: Quercus.
Hemichroa militaris (Cresson). TRP. April. Host: Amelanchier.
Hoplocampa marlatti Rohwer. GFP. April–May. Host: Prunus. Larvae of Hoplocampa spp. feed in the developing fruits of their hosts.
Kerita fidala Ross. TRP. March–April, when its host plant Mertensia virginica is flowering along the Potomac River. A leafminer.
Nematus abbotii (Kirby). DMWP (E, M, 8), GFP, TRP. April–June. Host: Robinia pseudoacacia L. Larvae occured on this host at the GFP quarry in April. Nematus abbotii, has only one generation and occurs only in spring and has black larvae. Adults of Nematus tibialis occur throughout most of the warm season, and this species has entirely green larvae which feed on R. pseudoacacia.
Nematus attus Smith. GFP. April.
Nematus carpini (Dyar). GFP, TRP. June–September. Host: Carpinus.
Nematus corylus Cresson. GFP, TRP. June–September. Host: Corylus.
Nematus erythrogaster Norton. DMWP (E, M, 7), TRP. April–June. Host: Alnus.
Nematus laticulus Norton. TRP. April. Host: Betula.
Nematus lipovskyi Smith. GFP. April–May. Host: Rhododendron.
Nematus oligospilus (Foerster). DMWP (E, M, 11), TRP. April–June. Host: Salix.
Nematus ostryae (Marlatt). GFP, June. Host: Ostrya.
Nematus tibialis Newman. DMWP (E, F, M, 4), GFP, TRP. April–October. Host: Robinia pseudoacacia. See notes under N. abbotii.
Neopareophora litura (Klug). DMWP (F, 1), GFP, TRP. March–April. Host: Vaccinium.
Pachynematus corniger (Norton). DMWP (E, M, 5), GFP, and TRP. April–September. Host: grasses. A common sp. with continuous generations during the warm season.
Pontania populi Marlatt. DMWP (M, 1). April. Host: Populus. Larvae live and feed in rolled leaf margins.
Priophorus compressicornis (Fabricius). GFP. May–June. Host: Prunus.
Pristiphora abbreviata (Hartig). DMWP (E, M, 2), GFP. April. Host: Malva.
Pristiphora acidovalva Wong. TRP. March–April.
Pristiphora appendiculata (Hartig). GFP. June. Host: Ribes.
Pristiphora banksi Marlatt. DMWP (E, 1), GFP, TRP. May–August. Host: Vaccinium.
Pristiphora chlorea (Norton). DMWP (E, 1), GFP, TRP. March–April. Host: Quercus.
Pristiphora cincta Newman. GFP. April.
Pristiphora micronematica Malaise. DMWP (E, 1). May.
Pristiphora siskiyouensis Marlatt. TRP. June.
Pristiphora sycophanta Walsh. DMWP (E, F, 5). April–June. Host: Salix.
Pristiphora zella Rohwer. DMWP (E, 1), GFP, TRP. May–June.
Pseudodineura parva (Norton). GFP, TRP. April–May. A leafminer. Host: Anemone (formerly Hepatica).
Heterarthrinae, Sluglike larvae of Caliroa and Endelomyia feed on the undersides of their host leaves. Larvae of other genera are leaf miners.
Caliroa fasciata (Norton). GFP. July–August. Host: Quercus.
Caliroa lobata MacGillivray. GFP, TRP. June–August. Host: Quercus.
Caliroa lunataMacGillivray. TRP. May–September.
Caliroa obsoleta (Norton). GFP, TRP. May–September. Host: Quercus.
Caliroa quercuscoccineae (Dyar). GFP. September. Host: Quercus.
Caliroa sp. TRP, larvae only. July. Host: Staphylea trifolia L.
Endelomyia aethiops (Fabricius), rose slug. GFP, TRP. April–May. Host: Rosa. Common on wild and cultivated roses.
Fenusa pumilaLeach, birch leafminer. TRP. April–May. Host: Betula.
Metallus ochreus Smith. DMWP (E, M, 2), GFP (swamp only). September–October.
Metallus rohweri MacGillivray. A leafminer. A leafminer. DMWP (E, 1), GFP, TRP. August–September. Host: Rubus.
Nefusa ambigua (Norton). A leafminer. TRP. May. Host: Viola
Profenusa canadensis (Marlatt). GFP. A leafminer. April–May. Host: Crataegus.
Blennocampinae. Larvae of all species are external leaf feeders.
Eupareophora parca (Cresson). DMWP (E, M, 5), GFP, TRP. April–May. Host: Fraxinus.
Eutomostethus ephippium (Panzer) ‡ . GFP, TRP. April–May. Hosts: grasses.
Eutomostethus luteiventris (Klug) ‡ . DMWP (E, M, 2), GFP. April–May. Host: Carex.
Halidamia affinis (Fallén) ‡ . DMWP (E, F, M, 6), GFP, TRP. April–May. Host: Galium.
Monophadnoides conspiculatus MacGillivray. GFP, TRP. March–April.
Monophadnoides pauper (Provancher). GFP. March–April.
Monophadnoides rubi (Harris), raspberry sawfly. DMWP (E, 2), GFP, TRP. April–May. Host: Rubus.
Monophadnus pallescens (Gmelin) ‡ . TRP. April–May. Host: Ranunculus.
Paracharactus niger (Harrington). GFP. April–May.
Paracharactus rudis (Norton). GFP, TRP. April–May. Host: grasses.
Periclista absens Smith. DMWP (E, 1). May. Host: Quercus.
Periclista albicollis (Norton). GFP, TRP. March–May. Host: Quercus.
Periclista bipartita (Cresson). GFP. April–May. Host: Quercus.
Periclista diluta (Cresson). GFP. April–May. Host: Quercus.
Periclista inaequidens (Norton). GFP. March–April. Host: Quercus.
Periclista marginicollis (Norton). GFP, TRP. April–May. Host: Carya.
Periclista subtruncata Dyar. GFP. March–April. Host: Quercus.
Phymatocera fumipennis(Norton). GFP, TRP. May–July. Host: Maianthemum racemosum
Phymatocera racemosae Smith. GFP, TRP. May–July. Host: Maianthemum racemosum.
Allantinae. Larvae are external leaf feeders.
Allantus nigritibialis Rohwer. GFP, TRP. March–September. Host: Rosa. This species and Allantus viennensis can be common on cultivated roses, and they each have spring and fall generations (Smith and Barrows 1987).
Allantus viennensis (Schrank) ‡ . DMWP (E, 1), GFP. May. Host: Rosa.
Ametastegia aperta (Norton). GFP, TRP. April–September. Host: Rumex. Ametastegia aperta and A. articulata have continuous generations throughout the warm season.
Ametastegia articulata (Klug). DMWP (E, M, 11), GFP, TRP. April–September. Host: Rumex.
Ametastegia equiseti (Fallén) ‡ . GRP, TRP. April–September. Host: Rumex. Ametastegia equiseti, A. glabrata, A. pulchella, and A. pallipes have continuous generations throughout the warm season.
Ametastegia glabrata(Fallén), dock sawfly
‡
. DMWP (M, 1). May. Host: Rumex.
Ametastegia pallipes (Spinola), violet sawfly ‡ . DMWP (E, 1), GFP, TRP. April–September. Host: Viola.
Ametastegia pulchella (Rohwer). GFP, TRP. April–September. Host: Polygonum.
Dimorphopteryx virginica Rohwer. TRP. May–June. Host: Castanea. We also found one larva, perhaps of this or another Dimorphopteryx sp. in the GFP swamp.
Empria maculata (Norton). DMWP (M, E, F, 20), GFP, TRP. April–May. Hosts: Fragaria, Rubus, Potentilla.
Empria multicolor (Norton). DMWP (F, 1), GFP, TRP. April–May. Host: Alnus.
Macremphytus tarsatus (Say). DMWP (F, 2). August. Host: Cornus.
Macremphytus testaceus (Norton). DMWP (M, E, F, 84), GFP, TRP. April–September. Host: Cornus.
Monostegia abdominalis (F.). DMWP (M, 1). May. Host: Lysimachia.
Monsoma inferentium (Norton). GFP. April. Host: Alnus.
Phrontosoma belfragei (Cresson). DMWP (E, 4). April. Host: possibly Cornus.
Pseudosiobla excavata (Norton). DMWP (M, E, 23), TRP. April–June. Host: Cephalanthus occidentalis L.
Taxonus epicera (Say). DMWP (M, 2), GFP, TRP. March–September.
Taxonus pallidicornis (Norton). DMWP (E, F, 2), GFP, TRP. March, May, September. Host: Rubus. This sp. has a large spring generation and a small, late-summer generation.
. This sp. has continuous generations
Taxonus pallipes (Say). GFP, TRP. April–September. Host: Fragaria throughout the warm season.
Taxonus rufocinctus (Norton). GFP, TRP. May–June. Host: Rubus. This species has a large spring generation and a small late summer generation.
Taxonus terminalis (Say). DMWP (M, 2), GFP, TRP. May–June. Host: Rubus.
Tenthredininae, Larvae of all species are external leaf feeders.
Aglaostigma semiluteum (Norton). DMWP (E, F, M, 3), GFP, TRP. May–June. Host: Impatiens
Lagium atroviolaceum (Norton). DMWP (E, F, M, 7). GFP. May –July. Host: Sambucus.
Leucopelmonus annulicornis (Harrington). GFP, TRP. April–May.
Macrophya alba MacGillivray. GFP. May–June.
Macrophya albomaculata (Norton). DMWP (F, 1), GFP. June–July. Host: Sambucus canadensis L.
Macrophya bifasciata (Say). GFP. May
Macrophya cassandra Kirby. DMWP (M, 3), TRP. April–May.
Macrophya epinota (Say). GFP. April–May.
Macrophya flavicoxae (Norton). GFP, TRP. May–June.
Macrophya flavolineata (Norton). DMWP (M, 6), GFP, TRP. April –June.
Macrophya flicta MacGillivray. DMWP (F, M, 9), GFP, TRP. April–June.
(L.) Link.
Macrophya formosa (Klug). DMWP (F, 7), GFP, TRP. May–July.
Macrophya goniphora (Say). DMWP (F, 1), GFP, TRP. May–July.
Macrophya lineatana Rohwer. TRP. June.
Macrophya macgillivrayi Gibson. DMWP (M, 1), GFP, TRP. April–July.
Macrophya masneri Gibson. GFP. April–May.
Macrophya mensaGibson. DMWP (E, F, M, 8), GFP, TRP. April–July.
Macrophya pannosa (Say). DMWP (E, F, M, 8), GFP, TRP. April–May. Host: Sambucus.
Macrophya phylacida Gibson. GFP, TRP. May–June.
Macrophya pulchella (Klug). GFP, TRP. April–June.
Macrophya senacca Gibson. DMWP (M, 1). April–May.
Macrophya simillima Rohwer. GFP, TRP. April–June.
Macrophya succincta Cresson. GFP. April–May.
Macrophya trisyllaba (Norton). DMWP (F, 29), GFP, TRP. May–July. Host: Sambucus canadensis L.
Macrophya varia(Norton). DMWP (F, 251), GFP. June–July.
Macrophya zoe Kirby. GFP, TRP. April–June.
Tenthredo carolina (Rohwer). TRP. June.
Tenthredo fernowi Goulet & Smith. GFP, TRP. May–June.
Tenthredo fisheri (Rohwer). TRP. May–June.
Tenthredo maculosa (Smulyan). TRP. May–June.
Tenthredo mellicoxa Provancher. GFP, TRP. April–June.
Tenthredo nimbipennis Cresson. GFP. May–June.
Tenthredo rufopectus (Norton). DMWP (F, 14), GFP, TRP. May–July.
Tenthredo verticalis Say. GFP, TRP. May–June.
Tenthredo yuasi MacGillivray. TRP. April–May.
Orussidae. This is the only parasitic symphytan family, and its larvae apparently parasitize wood-boring beetles. Most specimens are from in the GFP swamp where there were many fallen branches and trees probably harboring orussid hosts.
Orussus minutus Middlekauff. GFP. April–June.
Orussus terminalis Newman. GFP. June.
Xiphydriidae. Larvae are wood borers in small, weakened branches.
Xiphydria maculata Say. GFP, TRP. May–June. Host: Acer.
Xiphydria polia Smith. GFP. September
Xiphydria tibialis Say. DMWP (F, 2), GFP, TRP. May–August. Host: Prunus.
Siricidae. Larvae are wood borers.
Tremex columba (Linnaeus), pigeon tremex. DMWP (E, F, M, 5), GFP, TRP. August–September Hosts: Fagus and some other angiospermous-tree species.
Cephidae. Larvae are stem borers.
Hartigia trimaculata(Say). DMWP (E, M, 3), GFP, TRP. May–June. Hosts: Rosa,Rubus.
Janus bimaculatus (Norton). DMWP (F, 5), GFP, TRP. May–June. Host: Viburnum.
Janus integer (Norton), currant stem girdler. DMWP (F, 2), GFP, TRP. May–June. Host: Ribes.
†Taxon arrangement and nomenclature follows Smith (1979) and Taeger et al. (2010). Collection site abbreviations are: DMWP = Dyke Marsh Wildlife Preserve (E = ecotone; F = lowland forest; M = marsh); GFP = Great Falls Park; TRP = Turkey Run Park; and GWMP = George Washington Memorial Parkway which contains DMWP, GFP, and TRP. Dates of collections of adults are given by month for all three parks combined. Numbers listed for DMWP indicate the number of individuals of a taxon for 1998 and 1999 combined. Recorded host(s), if known, are mostly from Smith (1979), and for most sawfly species only host plant genera are cited. ‡An alien species in North America.
Table 2. Coefficients of community (CC) of sawflies between pairs of three parks of George Washington Memorial Parkway. DMWP = Dyke Marsh Wildlife Preserve; GFP = Great Falls Park; TRP = Turkey Run Park. Sawfly species numbers for each park are within parentheses.
| Park and its number of species | TRP (115) |
|---|---|
| DMWP (69) | 0.53 |
| TRP (115) | |
Flight periods
As a group, GWMP sawflies flew from early March through mid-November. With regard to species richness and month, more species occurred in April through June than in other months, with species numbers peaking in May in each of the three parks and for all parks combined (Fig. 2). In DMWP, the number of individuals peaked in early June 1998 and early May 1999.
Of the 176 species collected, 138 have a single emergence period in the spring, March through June, indicting a single generation a year. Another 12 species apparently with only a single generation fly only from mid-summer through October, with only 3, both species of Metallus and Tremex, occurring as late as September and October. The remaining 26 species occur through much of March or April through September and are probably multivoltine. Species of two genera, Allantus and Taxonus are apparently bivoltine, with a large emergence in the spring and a small emergence in late summer or early autumn.
Sawfly abundance and distribution in DMWP
Of the 695 sawfly specimens trapped in DMWP 73% were from 1998, and 27% were from 1999. In both years combined, 42% were in the ecotone; 39%, forest; and 19%, marsh (Fig. 3). A plot of frequency of specimens versus species (Fig. 4) indicates that only a few species were present in large numbers; 71% of the 69 species had 9 or fewer individuals in our sample.
Discussion
Our GWMP sawfly survey is the second largest survey of a U.S. park administered by the U.S. National Park Service. Smith (2008) reported on the largest such survey in the Great Smoky Mountains National Park.
Species richness
We found 176 sawfly species in the GWMP; however, this biotically-rich location might harbor over 200 species. A similar study of species abundance and diversity in two oak-pine forests in Virginia and West Virginia using Malaise traps estimated that 81% of the actual species present were captured over a five-year period (Braud et al. 2003, Strazanac et al. 2003). We expected to find more diprionid species and species of conifer-feeding siricids. We found three Acordulecera species, but more are expected once taxonomic problems are resolved. There are several reasons why we did not find more species in our survey. Malaise traps are biased toward strong flying species such as Taxonus and Macrophya; species that are weak flyers or stay close to their host plant are not often collected in traps. Some mid-Atlantic species are rare or not expected in GWPM. Immature stages of many species are very difficult to find in nature. Adults of some species tend to be in places such as near their hosts or in treetops where we did not site our traps. More intense sampling in already-sampled habitats and sampling of additional unsampled GWMP habitats could obtain more species. Unsampled GWMP sites include areas in Montgomery Co., Maryland, and the District of Columbia, as well as sites with Pinus and Salix, the floodplain forest of Theodore Roosevelt Island, the Clara Barton Parkway in Maryland, and the George Washington Memorial Parkway in Virginia, where these roads border and run through the GWMP.
The GWMP sawfly fauna is 50% of the 351 sawfly species recorded for the entire state of Virginia (Smith 2006, 2013). In comparison, Smith and Barrows (1987) found 85 species in samples from less natural Maryland habitats using two sets of Malaise traps 0.8 and 1.5 km from TRP. Seventy percent of these species are also in our samples from the three GWMP parks. There are 91 recorded species for Plummers Island, Maryland, located across the Potomac River from TRP (Smith 2008). In another Virginia Coastal Plain site, D. R. Smith (unpublished) found 175 species in Essex Co. based on 10 years of sampling. In other Virginia Piedmont sites, he found about 200 species in the University of Virginia Blandy Experimental Farm and State Arboretum of Virginia, Clarke Co., based on 6 years of sampling; 175 species in Bull Run Mountains Conservancy, Prince William Co., in 3 years; and 125 species in a his suburban yard in Fairfax Co. in 33 years.
Abundance, distribution, and flight periods
Flight times and numbers of adult sawflies can vary from year to year as occurred in the DMWP samples. Factors including distribution of host plants, adult foods, and mates; drying winds; natural enemies; soil moisture and temperature; and weather affect adult abundances, distributions, and flight periods (Wallace and McNeal 1966), subjects not yet studied in DMWP.
Sawfly abundance and distribution in DMWP
The causes of the sawfly abundance and distribution in DMWP are not yet studied. Our plot of frequency of specimens versus species (Fig. 4) shows that the majority of species were not common in our samples. Smith and Barrows (1987) found a similar relationship in their sample from a less natural area and a yard in the Washington, D.C., area. Low numbers of specimens of many species may have occurred in our sample because of factors such as a species' being rare, rare individual's of more common species straying into our study site from elsewhere, and a species' flight habit precluding our trapping the species. In DMWP, adult sawflies were more common in 1998 than in 1999 based on trap samples, as also occurred in other DMWP insects such as fireflies (Barrows et al. 2008) and mecopterans (Barrows and Flint 2009). In contrast, DMWP rhopalosomatids (Barrows 2013) and sialids (Barrows et al. 2005) were more frequently captured in 1999 than in 1998.
In summary, we found a rich fauna of 176 sawfly species which feed on many plant genera in the GWMP, and as a group, the sawflies flew from early March through November. Sawfly species in DMWP were most common in its ecotone, followed by its forest and marsh, and these species greatly varied in abundance. In this time of worrisome, rapid global change, threats to the GWMP include air, soil, and water pollution; many alien, invasive species; flooding; and erosion (Litwin et al. 2013, pers. obs.). In fact, DMWP is losing about 0.6–0.8 hectare per year due to erosion. The National Park Service may restore the marsh to some extent in this decade. Increased marshland from restoration could change the mean population sizes of some the DMWP sawfly species. Since Symphyta is a species-rich, GWMP taxon, it is an appropriate one for monitoring GWMP's health in forthcoming years. This large, wasp suborder is an understudied animal taxon, and myriad aspects of the biologies of GWMP and other species are ripe for investigation.
Acknowledgments
We thank O. S. Flint, Jr.; T. J. Henry; W. N. Mathis; and R. O'Hanlon for help with setting up and maintaining traps. Many Georgetown University students, including K. Church, K. Differding, and S.-M. K. Wise helped to process DMWP samples. Friends of Dyke Marsh, Georgetown University, the National Park Service (grant GWMP-00052), and the Washington Biologist's Field Club provided financial support for this study. Brent W. Steury critiqued a preliminary draft of this paper, and K. Barnes helped to produce Fig. 1.
References
Barrows EM, Flint OS Jr (2009) Mecopteran (Mecoptera: Bittacidae, Meropeidae, Panorpidae) flight periods, sex ratios, and habitat frequencies in an United States mid-Atlantic freshwater tidal marsh, low forest, and their ecotone. Journal of the Kansas Entomological Society 82: 223–230. doi: 10.2317/JKES0807.15.1
Barrows EM, Kjar DS (2014) Arthropods of Dyke Marsh Wildlife Preserve, Virginia: A Searchable Online Database (ADMWPD). http://data.georgetown.edu/departments/biology/nps/dmwp
Barrows EM, Arsenault SB, Grenier NP (2008) Firefly (Coleoptera: Lampyridae) flight pe-
riods, sex ratios, and habitat frequencies in a United States mid-Atlantic freshwater tidal marsh, low forest, and their ecotone. Banisteria 31: 47–52.
Barrows EM, McIntyre AM, Flint OS Jr (2005) Alderfly (Neuroptera: Sialidae) flight periods, sex ratios, and habitat use in a Virginia freshwater tidal marsh, low forest, and their ecotones. Proceedings of the Washington Entomological Society 107: 693–699.
Braud R, Smith DR, Strazanac JS, Butler L (2003) Diversity, abundance, and seasonality of adult and larval Symphyta (Hymenoptera) in the George Washington National Forest, Virginia, and the Monongahela National Forest, West Virginia. Proceedings of the Washington Entomological Society 105: 756–768.
Johnston DW (2000) The Dyke Marsh Preserve Ecosystem. Virginia Journal of Science 51: 223–272.
Litwin RJ, Smoot JP, Pavich MJ, Oberg E, Steury B, Helwig B, Markewich HW, Santucci VL, Sanders G (2013) Rates and probable causes of freshwater tidal marsh failure, Potomac River estuary, northern Virginia, USA. Wetlands 33: 1037–1061. doi: 10.1007/s13157-013-0461-6
Smith DR (1979) Symphyta. In: Krombein KV, Hurd PD Jr, Smith DR, Burks BD (Eds) Catalog of Hymenoptera in America North of Mexico. Volume 1, Symphyta and Apocrita (Parasitica). Smithsonian Institution Press, Washington, D.C., 3–137.
Smith DR (1993) Chapter 1. Systematics, life history, and distribution of sawflies. In: Wagner MR, Raffra KK (Eds) Sawfly Life History Adaptations to Woody Plants. Academic Press, Inc., 3–32.
Smith DR (2006) List of the sawflies (Hymenoptera: Symphyta) of Virginia. Banisteria 28: 1–23. Smith DR (2008) Hymenoptera (Insecta) of Plummers Island, Maryland: Symphyta and selected families of Apocrita. Bulletin of the Biological Society of Washington 15: 160–167. doi: 10.2988/0097-0298(2008)15[160:HIOPIM]2.0.CO;2
Smith DR (2009) An obscure sawfly, Kerita fidala Ross (Hymenoptera: Tenthredinidae), new to Virginia, a leafminer of Virginia bluebell, Mertensia virginica (L.) Pers. ex Link (Boraginaceae). Banisteria 33: 53.
Smith DR (2013) The columbine sawfly, Pristiphora rufipes Serville, new to Virginia, and other addditions to the list of Virginia sawflies (Hymenoptera: Tenthredinidae). Banisteria 41: 98–99.
Smith DR, Barrows EM (1987) Sawflies (Hymenoptera: Symphyta) in urban environments in the Washington, D.C. Area. Proceedings of the Entomological Society of Washington 89: 147–156.
Steury BW (2011) Additions to the vascular flora of the George Washington Memorial Parkway, Virginia, Maryland, and the District of Columbia. Banisteria 37: 35–52.
Steury BW, Fleming GP, Strong MT (2008) An emendation of the vascular flora of Great Falls Park, Fairfax County, Virginia. Castanea 73: 123–149. doi: 10.2179/0008-7475(2008)73[123:AEOTVF]2.0.CO;2
Strazanac JS, Smith DR, Braud RA, Fritzler CJ, Butler L (2003) Symphyta (Hymenoptera) species richness in mixed oak-pine forests in the central Appalachians. Proceedings of the Washington Entomological Society 105: 131–137.
Taeger A, Blank SM, Liston A (2010) World catalog of Symphyta (Hymenoptera). Zootaxa 2580: 1–1064.
Townes HK (1972) A light-weight Malaise trap. Entomological News 89: 239–247.
Wallace LE, McNeal FH (1966) Stem sawflies of economic importance in grain crops in the United States Department of Agriculture. Technical Bulletin 1350: 1–50.
|
TENTATIVE, SUBJECT TO CHANGE
MEETING OF THE BOARD OF EDUCATION OF BALTIMORE COUNTY, MARYLAND OPEN SESSION
Tuesday, September 4, 2012
Perry Hall High School
I.
5:15 P.M.-Closed Session, 7:00 P.M.-Open Session
PLEDGE OF ALLEGIANCE
XI. NEW BUSINESS (cont)
B. Consideration of Administrative Appointments
1. Recognition of Administrative Appointments
C. Consideration of Actions Taken in Closed Session
D. Consideration of consent to the following contract awards:
1. Contract Modification: Maryland's Tomorrow/AdvancePath Academy
2. Contract Modification and Extension: Computers and Associated Peripherals
3. Contract Modification and Extension: Nonpublic Special Education Facilities
4. Physical Exams
5. Telephone Repair Supplies
6. Three-Dimensional Printers
E. Consideration of the Installation of a Dance Floor at Jacksonville Elementary School
XII. ANNOUNCEMENTS
Next Board Meeting 6:30 PM
Tuesday, September 18, 2012 Greenwood
Exhibit G
(Andrew Nussbaum,
Esq.)
(Mr. Gay/Mr. Dixit)
Exhibit H
(Ms. Lawton)
Exhibit I
TENTATIVE MINUTES
BOARD OF EDUCATION OF BALTIMORE COUNTY, MARYLAND
Tuesday, August 7, 2012
The Board of Education of Baltimore County met in closed session at 4:52 p.m. at Greenwood. President Lawrence E. Schmidt, Esquire, and the following Board members were present: Mr. Michael H. Bowler, Cornelia Bright Gordon, Esquire, Mr. James E. Coleman, Mr. Michael J. Collins, Mr. Rodger C. Janssen, Ms. Ramona N. Johnson, Mr. George J. Moniodis, Mr. H. Edward Parker, Ms. Valerie A. Roddy, Mr. David Uhlfelder and Miss Olivia Adams. In addition, Dr. S. Dallas Dance, Superintendent of Schools, and staff members were present.
Mr. Schmidt reminded Board members of community functions and Board of Education events scheduled in August and September.
Pursuant to the Annotated Code of Maryland, State Government Articles, §§10508(a)(1), (a)(7), (a)(8), and (a)(9), and upon motion of Mr. Janssen, seconded by Mr. Parker, the Board commenced its closed session at 4:55 p.m.
CLOSED SESSION MINUTES
The Board of Education of Baltimore County, Maryland, met in closed session at 4:55 p.m. at Greenwood. President Lawrence E. Schmidt, Esquire, and the following Board members were present: Mr. Michael H. Bowler, Cornelia Bright Gordon, Esquire, Mr. James E. Coleman, Mr. Michael J. Collins, Mr. Rodger C. Janssen, Ms. Ramona N. Johnson, Mr. George J. Moniodis, Mr. H. Edward Parker, Ms. Valerie A. Roddy, Mr. David Uhlfelder, and Miss Olivia Adams. In addition, Dr. S. Dallas Dance, Superintendent of Schools, and the following staff members were present: Mr. Kevin A. Hobbs, Deputy Superintendent; Ms. Michele O. Prumo, Chief of Staff; Dr. Alpheus Arrington, Director, Human Resources; Mr. George M. Duque, Staff Relations Manager; Margaret-Ann F. Howie, Esquire, General Counsel; Andrew W. Nussbaum, Esquire, Counsel to the Board of Education; and Ms. Brenda Stiffler, Administrative Assistant to the Board.
Miss Adams exited the room at 4:55 p.m.
Mr. Duque presented to Board members the negotiation teams for the 2012-2013 school year to be considered on the evening's agenda.
Mr. Duque exited the room at 4:57 p.m. Miss Adams re-entered the room at 4:57 p.m.
Dr. Arrington reviewed with Board members personnel matters to be considered on the evening's agenda.
Dr. Arrington exited the room at 5:08 p.m.
CLOSED SESSION MINUTES (cont)
Ms. Howie reviewed with Board members the revised non-certificated professional employment contract for consideration.
Ms. Howie provided an update to Board members on potential litigation regarding a former employee.
Ms. Howie exited the room at 5:41 p.m.
Mr. Nussbaum provided legal advice on two summary affirmances for the Board's consideration. Mr. Nussbaum presented an Appellant's request for oral argument and its timeliness for the Board's consideration.
Ms. Howie re-entered the room at 5:49 p.m.
Mr. Nussbaum provided an update to Board members on litigation regarding the Mays Chapel site.
Mr. Janssen, Chair of the Budget and Audit Committee, informed Board members of a potential retirement from the Office of Internal Audit.
Dr. Dance and Ms. Prumo reviewed with Board members personnel affected by recommended organizational changes.
Ms. Barbara S. Burnopp, Chief Financial Officer, entered the room at 6:18 p.m.
On motion of Mr. Parker, seconded by Mr. Uhlfelder, the Board adjourned its closed session at 6:28 p.m. All staff exited the room.
ADMINISTRATIVE FUNCTION SESSION
At 6:29 p.m. the Board discussed its committees for the upcoming school year.
Mr. Collins exited the room at 6:30 p.m.
Mr. Schmidt informed Board members of the creation of a special ad hoc committee to review recommendations from the Board retreat.
Mr. Collins re-entered the room at 6:35 p.m. Mr. Bowler exited the room at 6:35 p.m.
Mr. Bowler re-entered the room at 6:37 p.m.
On motion of Mr. Parker, seconded by Mr. Bowler, the Board adjourned its administrative function session at 6:38 p.m. for a brief dinner.
OPEN SESSION MINUTES
The Board of Education of Baltimore County, Maryland, reconvened in open session at 7:07 p.m. at Greenwood. President Lawrence E. Schmidt, Esquire, and the following Board members were present: Mr. Michael H. Bowler, Cornelia Bright Gordon, Esquire, Mr. James E. Coleman, Mr. Michael J. Collins, Mr. Rodger C. Janssen, Ms. Ramona N. Johnson, Mr. George J. Moniodis, Mr. H. Edward Parker, Ms. Valerie A. Roddy, Mr. David Uhlfelder, and Miss Olivia Adams. In addition, Dr. S. Dallas Dance, Superintendent of Schools, and staff members were present.
PLEDGE OF ALLEGIANCE
The open session commenced with the Pledge of Allegiance to the Flag, which was led by Mr. Logan McNaney, former student Board member, followed by a period of silent meditation for those who have served education in the Baltimore County Public Schools.
Mr. Schmidt welcomed new student Board member, Miss Olivia Adams.
Hearing no additions or corrections to the Open and Closed Minutes of July 10, 2012; and the Board of Education Retreat of July 14, 2012, Mr. Schmidt declared the minutes approved as presented on the Web site.
Mr. Schmidt informed the audience of the sessions in which Board members had participated earlier in the afternoon.
SELECTION OF SPEAKERS
After collecting completed sign-up cards, Mr. Schmidt announced the names of persons who would be speaking during the public comment portion of the meeting as well as the order in which the persons would be called.
Mr. Schmidt stated that public comment is one of the opportunities provided to hear the views and receive the advice of community members. The members of the Board appreciate hearing from interested citizens and will take their comments into consideration, even though it is not the Board's practice to take action at this time on issues which are raised. When appropriate, the Board will refer concerns to the superintendent for follow-up by his staff.
While the Board encourages public input on policy, programs, and practices within the purview of this Board and this school system, this is not the proper avenue to address specific student or employee matters, or to comment on matters that do not relate to public education in Baltimore County. The Board encourages everyone to utilize existing avenues of redress for complaints. Inappropriate personal remarks or other behavior that disrupts or interferes with the conduct of this meeting are out of order.
Mr. Schmidt also asked speakers to observe the timer, which lets the speaker know when time is up. He asked speakers to conclude their remarks when they see his/her time is up.
ADVISORY AND STAKEHOLDER COMMENTS
Miss Breana Echols, Baltimore County Student Council President and member of the Superintendent's Student Council Advisory Group, stated that dates for the Advisory Group have been scheduled to meet and that students look forward to providing student input. She recognized Miss Olivia Adams as the new student Board member, and Miss Ebe Inegbenebor, a student at New Town High School, who was appointed to the Maryland State Board of Education. Miss Echols announced that the executive board meeting on August 21 at CCBC Essex.
Ms. Abby Beytin, President of the Teachers Association of Baltimore County, emphasized the excitement as teachers look forward to the new school year with great anticipation.
Ms. Jacki Brewster, President of the PTA Council of Baltimore County, encouraged parents to attend the Transition Team community meetings. Ms. Brewster asked for the school system's plan to add air conditioning in all schools and the high school renovation schedule.
Mr. David Basler, a representative of the American Federation of State, County, and Municipal Employees (AFSCME), stated that unit members are concerned about staff shortages and working conditions. He asked that the hiring process be modified and for full funding of salary accounts.
Ms. Jacqueline Brewster, Chair of the Southeast Area Education Advisory Council, expressed concern that 4% of the operating budget is for magnet schools. She stated that it cannot cost more to provide an education for a magnet student. Ms. Brewster announced that the Council will hold its first meeting of the school year on September 10, 2012, at Deep Creek Middle school beginning at 7:00 p.m.
Ms. Beverly Coleman, Chair of the Southwest Area Education Advisory Council, announced that the Council would hold its first meeting of the school year on September 19, 2012, at Lansdowne Elementary School beginning at 7:00 p.m.
PUBLIC COMMENT ON PROPOSED CHANGES TO POLICY 8312
No one from the public signed up to speak on this policy.
PUBLIC COMMENT ON PROPOSED DELETION OF POLICY 8313
No one from the public signed up to speak on this policy.
PUBLIC COMMENT ON PROPOSED CHANGES TO POLICY 8320
No one from the public signed up to speak on this policy.
GENERAL PUBLIC COMMENT
Mr. Ammanuel Moore stated that he would like to see Imagine Discovery Public Charter School remain open.
Ms. Carlette Flowers thanked the Board for considering the two-year proposal for Imagine Discovery Public Charter School that would be discussed later this evening.
Mr. Bill Blackford expressed concerns with recent changes to Superintendent's Rule 6400 and asked the Board to formalize the process as it applies to community schools.
Dr. Bash Pharoan asked the Superintendent to make a priority of diseases processes such as child obesity, drug use in and around school, and discrimination.
Mr. Charles Sydnor III thanked the Superintendent and staff for recommending extending Imagine Discovery Public Charter School's agreement for two years. He asked the Board to involved parents in the process beginning January 2013, and that a copy of the signed charter agreement is made available to Imagine Discovery Public Charter School's PTA.
Mr. Patrick Guthrey asked the Board to consider amending Superintendent's Rule 6400, Magnet Programs.
Ms. Nancy Ostrow stated that the Parent Support Services office has experienced at 60% reduction in staff for the 2012-2013 school year. She asked the Board to find a way to reinstate the funding to properly staff this office.
SUPERINTENDENT'S REPORT
Dr. Dance reported on the following items:
* Welcomed new student Board member, Olivia Adams, a senior at Pikesville High School.
* Recognized the following students who received gold medals at the 34 th Annual NAACP Academic, Cultural, Technological, and Scientific Olympics: Kevin Cobb, Dylan Guest, and Kylia Jackson.
* Recognized Miss Ebe Inegbenebor, a New Town High School senior who was selected as the student member on the Maryland State Board of Education.
* Progress of air conditioning in schools will be provided to the Board at its September 18, 2012, meeting.
* A link to project, sites, and floor plans for upcoming and ongoing school construction is now available on BCPS' Web site.
* A staff committee has been appointed to review instructional, planning, and enrollment implications regarding Superintendent's Rule 6400. There will be no procedural changes for the 2013-2014 application process.
A video on the e-Learning Center and the school system's Home and Hospital Program was presented to Board members.
PRESIDENT'S REPORT
Mr. Schmidt stated the Board of Education's July 14 retreat and strategic work session was a critical milestone in the continuous process of building the Board's governing capacity and maintaining a close, positive, and productive Board-Superintendent working relationship. To realize a powerful return on the Board's investment at its July 14 retreat, the Board president has appointed a Governance Steering Committee, consisting of Vice President Roddy, Ms. Bright Gordon, Mr. Collins, Mr. Moniodis, and Mr. Uhlfelder. The committee will create/draft recommendations, which the Steering Committee will review with the full Board at an upcoming work session. As chair of this committee, Mr. Schmidt stated that a detailed Action Report will be distributed to all Board members prior to that work session.
RECOGNITION OF ADMINISTRATIVE APPOINTMENTS
Dr. Dance recognized the administrative appointments from the July 10, 2012, Board meeting.
RECOGNITION OF ADMINISTRATIVE APPOINTMENTS (cont)
School
RECOGNITION OF ADMINISTRATIVE APPOINTMENTS (cont)
PERSONNEL MATTERS
On motion of Mr. Janssen, seconded by Mr. Uhlfelder, the Board approved the personnel matters as presented on exhibits B, C, D, E, F, and G (Copies of the exhibits are attached to the formal minutes).
On motion of Mr. Janssen, seconded by Mr. Coleman, the Board approved the administrative appointments as presented in exhibit H (Copy of the exhibit is attached to the formal minutes).
Dr. Dance recognized the administrative appointments approved by the Board.
PERSONNEL MATTERS (cont)
NEGOTIATION TEAMS FOR 2012-2013
On motion of Mr. Uhlfelder, seconded by Ms. Roddy, the Board approved the proposed negotiation teams for 2012-2013 as presented in exhibit I (favor-11). The student member, Miss Adams, did not vote on this item.
ACTION TAKEN IN CLOSED SESSION
On motion of Mr. Parker, seconded by Ms. Roddy, the Board confirmed the action taken in closed session in Case Numbers H.E. 12-29 and 12-30 (favor-12).
BUILDING AND CONTRACT AWARDS
The Building and Contracts Committee, represented by Mr. Parker, recommended approval of items 1-13 (exhibit J).
The Board approved these recommendations.
BUILDING AND CONTRACT AWARDS (cont)
12. PCR-255-12 New Stadium Bleachers – Owings Mills High School
13. PCR-267-13 Roof Design and Construction Administration Services – Woodlawn High School
Mr. Collins exited the room at 8:25 p.m.
CURRICULA FOR 2012-2013
The Curriculum Committee, represented by Mr. Bowler, recommended approval of the following curricular for the 2012-2013 school year:
* Social Studies
* Mathematics
o High School Economics and Public Issues Honors
o Gifted and Talented 6 Math
* Science
o Calculus
o Pre College Science
o Project Innovation
* Technology
* Career and Technology Education (CTE)
o Administrative Justice I and II
o Computer Science Magnet Program
o Homeland Security
o Homeland Security Science Research Methods and Applications
Mr. Collins re-entered the room at 8:30 p.m.
The Board approved the curricular recommendation as presented in exhibit K.
CURRICULA PILOTS FOR 2012-2013
The Curriculum Committee, represented by Mr. Bowler, recommended approval of the following 13 curricular pilots for the 2012-2013 school year:
* Liberal Arts
o Language Arts, Social Studies, and World Languages
* Special Programs
o Music and Visual Arts
*
o Computer Science Magnet Program, Science, Mathematics, Career and Technology Education (CTE), and Library Information Services (LIS)
CURRICULA PILOTS FOR 2012-2013 (cont)
Science, Technology, Engineering, and Mathematics (STEM)
The Board approved the curricular pilot recommendations as presented in exhibit L.
REPORTS
The Board received the following reports:
A. Report on the Proposed FY2013 State Capital Budget Request – Ms. Barbara Burnopp, Chief Financial Officer, provided a brief overview of the proposed FY2013 capital budget request and the state budget process. The budget will be discussed in detail at the work session on Tuesday, August 21, 2012. This is the first reading.
B. Update on Imagine Discover Public Charter School (IDPCS) – Ms. Kathleen McMahon, Executive Director of Special Programs, and Ms. Patricia Lawton, Assistant Superintendent of Elementary Schools, Zone 3, stated that this report is in response to comments and questions posed by Board members at the July 10, 2012, meeting. The report included:
* Imagine Discovery Public Charter School's MSA trend data in reading and mathematics.
* Comparative free and reduced-price meals (FARMS) data.
* Comparative MSA performance for BCPS, the southwest area, and IDPCS.
* Comparative special education participation data.
* CORE Knowledge alignment to the Common Core.
* Trend data for the Stanford Achievement Test-10.
* Gifted and Talented student identification.
* Comparative suspension data.
Ms. McMahon stated that the Superintendent would recommend to the Board of Education that the Charter Agreement for Imagine Discovery Public Charter School be extended for two years (2012–2013 and 2013–2014) with certain stipulations including:
REPORTS (cont)
* Revision of the Charter Agreement to address joint issues including working relationships, curriculum, professional development, monitoring of performance, and conditions for contract renewal or revocation.
* Conducting an independent full evaluation at the end of the 2012–2013 school year to detail five years of academic performance and to clarify the state of student achievement for the most recent (2011–2012 and 2012– 2013) two school years.
* Conducting a joint January 2013 internal evaluation to review first semester student achievement data, and providing an opportunity for Imagine Discovery to make needed adjustments for the second semester.
Dr. Dance stated that the school system needs to conduct a self-assessment and make recommendations for the second semester. At the end of the 2012-2013 school year, BCPS will hire an outside vendor to assess or to determine the program IDPCS has made.
Ms. Bright Gordon asked what plans are in place to assess and give students the additional resources to enhance their performance. Dr. Dance responded that, once the agreement is reopened, the school system can take more of a role on how the school is progressing. The agreement currently states that there are quarterly meetings with parents. Ms. McMahon stated that in reopening the agreement, BCPS can look at how IDPCS funds are used being used.
Mr. Schmidt asked whether the recommendation has been shared with Imagine, Inc. with Dr. Dance responding affirmatively.
Mr. Janssen asked what occurs when a student is suspended or expelled. Ms. Lawton responded that short-term suspensions are for behavior issues and that no students have gone to alternative schools. Proactive approaches are being used; however, when a student is suspended for a day, that student is not receiving instruction.
Mr. Janssen expressed concern that IDPCS students have not been able to avail themselves to gifted and talented classes. Ms. Lawton and Ms. McMahon commented that once the agreement is reopened, BCPS may have more opportunities. Dr. Dance reminded the Board that there are certain nonnegotiables in the current agreement.
/bls
REPORTS (cont)
Ms. Johnson asked what options a parent has if a student wants to transfer out of IDPCS. Ms. McMahon responded that these students are Baltimore County students and are welcome at their zoned school. Ms. McMahon stated that at this point and time, 77 students have withdrawn and 10 have entered into IDPCS. The expected enrollment for the 2012-2013 school year is 642 students; currently 495 students are enrolled.
Mr. Janssen, Mr. Parker, and Mr. Uhlfelder expressed disappointment in the test scores.
Mr. Schmidt stated that the Board would vote on the recommendations at its August 21, 2012, meeting.
ANNOUNCEMENTS
Mr. Schmidt made the following announcements:
* The Board of Education will hold its next meeting on Tuesday, August 21, 2012, at Greenwood. The meeting will begin with an open session at approximately 5:00 p.m. The Board will then adjourn to meet in closed session. The open session will reconvene at approximately 6:30 p.m. The public is welcome to all open sessions.
ADJOURNMENT
Since there was no further business, the Board adjourned its meeting at 9:32 p.m.
Respectfully submitted,
___________________
S. Dallas Dance, Ph.D. Secretary-Treasurer
BALTIMORE COUNTY PUBLIC SCHOOLS
DATE:
September 4, 2012
TO:
BOARD OF EDUCATION
FROM:
S. Dallas Dance, Ph.D., Superintendent
SUBJECT:
CONSIDERATION OF THE PROPOSED FY 2014 STATE CAPITAL BUDGET REQUEST
ORIGINATOR: Michael G. Sines, Chief Operations Officer
RESOURCE
PERSON(S):
Barbara Burnopp, Chief Financial Officer Kevin Grabill, Fiscal Analyst, Budget and Reporting
RECOMMENDATION
That the Board of Education approves the superintendent's proposed FY 2014 state capital budget recommendations. The budget was introduced at the August 7, 2012, Board meeting and discussed at the Board work session on August 21, 2012. The state-requested projects require county matching funds be verified before final state approval.
* * * * * * * * * * * * * * * * * * * * * * * * * *
Attachment I – Proposed FY 2014 State Capital Budget Request by Priority Order Attachment II – Capital Planning Priorities and Recommended Timelines FY 2014 – FY 2018
| PLANNING REGION | FY 2014 | FY 2015 | FY 2016 | FY 2017 |
|---|---|---|---|---|
| SOUTHWEST | | | | |
| NORTHWEST | 700 Seats* NW Area ES (New Town/Woodholme ES Cluster) | | | |
| NORTHWEST | | TBD Seats Summit Park/Milbrook ES Clusters | TBD Seats Summit Park/Milbrook ES Clusters | |
| NORTHWEST | | | | |
| CENTRAL | | | TBD seats West Towson ES Cluster | TBD seats West Towson ES Cluster |
| CENTRAL | 700 seats Mays Chapel Site ES | | | |
| CCEENNTTRRAALL | 220000 sseeaattss SSppaarrkkss EESS | | | |
| CENTRAL | 200 seats Hereford HS | | | |
| NORTHEAST | | | 750 Seats Shady Spring ES Cluster | 750 Seats Shady Spring ES Cluster |
| SOUTHEAST | | | | |
200 seats Sparks ES
200 seats Sparks ES
BALTIMORE COUNTY PUBLIC SCHOOLS TOWSON, MARYLAND 21204
September 4, 2012
RETIREMENTS
EFFECTIVE
BALTIMORE COUNTY PUBLIC SCHOOLS
TOWSON, MARYLAND 21204 September 4, 2012
RESIGNATIONS
ELEMENTARY – 13
Battle Grove Elementary School Kelsey A. Ritzel, 06/30/12, 1.0 yr. Special Education – Inclusion
Frances K. Stoecklein, 06/30/12, 3.0 yrs. Special Education – Self-Contained
Carney Elementary School
Alissa L. Maley, 06/30/12, 7.0 yrs., 3.0 mos. Kindergarten
Jacqueline E. Walter, 06/30/12, 5.0 yrs. Special Education – Self-Contained
Dogwood Elementary School Kimberly A. Hagen, 06/30/12, 6.0 yrs. Grade 4
Glenmar Elementary School Julie Mattessich, 06/30/12, 1.0 yr. Speech/Language Pathologist
Lansdowne Elementary School Rachel E. Boucher, 06/30/12, 4.0 yrs. Grade 2
Perry Hall Elementary School Meghan M. Sauser, 06/30/12, 4.0 yrs. Grade 5
Ridge Ruxton School Sarah Y. Abdelnaby, 06/30/12, 3.0 yrs. Special Education – Self-Contained
Scotts Branch Elementary School Paula J. Stanley, 06/30/12, 2.0 yrs. Special Education-Inclusion
Timber Grove Elementary School Kimberly D. Bailey, 06/30/12, 16.0 yrs. Grade 4
Westchester Elementary School Kathryn V. Flint, 06/30/12, 2.0 yrs., 7.0 mos. Library Science Media
Winfield Elementary School Jennifer L. Sanzone, 06/30/12, 3.0 yrs. Grade 4
SECONDARY – 27
Arbutus Middle School Sheana R. Smith, 06/30/12, 5.0 yrs. Special Education – Inclusion
Carver Center for Arts & Technology Glenna A. Blessing, 06/30/12, 10.0 yrs. Dance
Catonsville High School Anne O. McLaughlin, 06/30/12, 9.0 yrs. Special Education –Self-Contained
Dulaney High School Amy M. White, 06/30/12, 5.0 yrs. Science
Dumbarton Middle School Stephanie K. Bearden, 06/30/12, 10.0 yrs. Social Studies
Franklin High School Tarin M. Rudloff, 06/30/12, 7.0 yrs. Social Studies
General John Stricker Middle School Christine R. Allred, 06/30/12, 3.0 yrs. English
Golden Ring Middle School Terrence L. Powell, 06/30/12, 1.0 yr. Special Education – Self-Contained
Sheri L. Kilcoin Stiltz, 06/30/12, 13.0 yrs. Reading
Lansdowne Middle School Samantha J. Nolan, 06/30/12, 4.0 yrs. Social Studies
Loch Raven High School
Lisa B. Coyne, 06/30/12, 6.0 yrs.
Special Education – Self-Contained
Milford Mill Academy Albert D. Holley, 06/30/12, 9.0 yrs. Business Education
New Town High School
Rachel L. Gayle, 06/30/12, 2.0 yrs.
Special Education – Self-Contained
Marla T. Sanders 06/30/12, 7.0 yrs. Mathematics
Parkville High School Kathleen P. McCunney, 06/30/12, 3.0 yrs. Science
Kamlawatee Simpson, 06/30/12, 9.0 yrs. Special Education – Self-Contained
Amber C. Wilhelm, 06/30/12, 2.0 yrs. English
Perry Hall High School Sharon L. Bateman, 06/30/12, 4.0 yrs., 6.0 mos. Special Education – Self-Contained
Rachel A. Lilley, 06/30/12, 8.0 yrs. Mathematics
Pikesville Middle School
Nathan J. McSparron, 06/30/12, 4.0 yrs. English
Pikesville High School
Stacy A. Attar, 06/30/12, 17.0 yrs.
Guidance
Robin C. Nesky, 06/30/12, 8.0 yrs. Mathematics
Stemmers Run Middle School Christine L. Braithwaite, 06/30/12, 6.0 yrs. Special Education – Self-Contained
Sudbrook Magnet Middle School
Catherine S. Paradiso, 06/30/12, 4.0 yrs.
Nurse
Towson High School Kevin M. Kelly, 06/30/12, 11.0 yrs. Social Studies
2
James C. Rodkey, 06/30/12, 3.0 yrs. Latin
Heather D. Traxler, 06/30/12, 6.0 yrs. Music – Vocal
SEPARATION FROM LEAVE – 2
Jennifer A. Burr, granted Child Rearing Leave, 02/16/12-02/16/13, resigning 06/30/12, 3.0 yrs. Angela J. DeGuzman, granted Child Rearing Leave, 10/01/10-10/01/12, resigning 06/30/12, 8.0 yrs.
BALTIMORE COUNTY PUBLIC SCHOOLS TOWSON, MARYLAND 21204
September 4, 2012
LEAVES
BALTIMORE COUNTY PUBLIC SCHOOLS TOWSON, MARYLAND 21204
September 4, 2012
DECEASED
The Board gratefully acknowledges the service of the employee listed below:
Charles R. Rybczynski
English Teacher Lansdowne High School July 25, 2012
BALTIMORE COUNTY PUBLIC SCHOOLS TOWSON, MD
RECOMMENDED APPOINTMENTS
September 4, 2012
BALTIMORE COUNTY PUBLIC SCHOOLS
DATE:
September 4, 2012
TO:
BOARD OF EDUCATION
FROM:
S. Dallas Dance, Ph.D., Superintendent
RE:
RECOMMENDATIONS FOR AWARD OF CONTRACTS
ORIGINATOR: Michael G. Sines, Chief Operations Officer
RESOURCE
PERSON(S): Rick Gay, Manager, Office of Purchasing
RECOMMENDATION
That the Board of Education approves the following contract recommendations.
*****
See the attached list of contract recommendations presented for consideration by the Board of Education of Baltimore County.
Appendix I – Recommendations for Award of Contracts – Board Exhibit
Exhibit H
Recommendations for Award of Contracts Board Exhibit – September 4, 2012
Maryland's Tomorrow/AdvancePath Academy
1.
Contract Modification
Contract #: RGA-120-07
Term: N/A Extension: N/A
Contract Ending Date:
6/30/17
Estimated total contract authority: $ 7,612,770
Board meeting date:
September 4, 2012
Description:
On February 20, 2007, the Board approved this contract, and on July 14, 2009, the Board approved a modification to the contract to expand the program to include Dundalk High School for an afternoon and evening program. On May 8, 2012, the contract was modified again to extend the duration of the contract and to increase the funding authority to accommodate the extension. This modification is to increase the scope of the program from Dundalk, Chesapeake, and Woodlawn by adding Overlea High School. There will be a four-hour session at each location except for Chesapeake, which will continue with two sessions.
Maryland's Tomorrow/AdvancePath Academy is an alternative program, part of the Continuum of Alternative Programs (Performance Goal 4 – Provide a continuum of services through alternative education programs, and Performance Goal 5 – All students will graduate from high school) that partners with AdvancePath Academics to operate in-school academies to educate, recover, and graduate at-risk youth ages 14-21. Unlike a traditional high school classroom, teachers in the academy work with a caseload of students to support each student's journey in earning his or her high school diploma.
The Maryland's Tomorrow/AdvancePath Academy is a state-of-the-art classroom that uses computer-adaptive curriculum and small-group, teacher-led instruction. Each student who enrolls in the academy has a personalized learning plan that tracks what he or she must learn in order to develop grade-level proficiency in each academic area and satisfy the requirements for his or her diploma.
Originally, 180 students per year at the two sites were enrolled, but with Overlea and Woodlawn, it will move to 360 students who will be able to gain academic support and credit for courses completed in the academy through this mastery-learning, computer-assisted instructional process. There are 47 seats at Dundalk, 49 seats at Chesapeake, 55 seats planned for Woodlawn, and Overlea is still being planned with seating anticipated to be in the mid-40s. Four teachers, one instructional assistant, and one registrar (all BCPS employees) work with students to provide a high school experience that will meet the individual needs of each student in the program while building academic success for all state and county assessments.
The Dundalk Academy and the new ones at Woodlawn and Overlea will be used in the evening high school program that allows students from any high school to participate when referred by the administration. The students who attend these academies are at risk for dropping out of school, are credit deficient, are over the age limit, are accelerating, or are returning after a break in enrollment.
Recommendation:
Award of contract modification is recommended to:
AdvancePath Academics, Inc.
Williamsburg, VA
Responsible school or office:
Department of Student Support Services
Contact person:
Dale R. Rauenzahn
Funding source:
Operating budget
2.
Contract Modification
and Extension:
Computers and Associated Peripherals
Contract #: PCR-295-08 (MD State #050B7800023)
Term: N/A Extension: 6 months
Contract Ending Date: 3/30/13
Estimated contract authority:
$ 35,000,000
Estimated modification amount:
$ 3,500,000
New estimated total contract authority: $ 38,500,000
Board meeting date:
September 4, 2012
Description:
On October 23, 2007, the Board approved this contract. This contract modification and extension consists of extending the expiration date and increasing the funding for computers, printers, associated peripherals, and network communications equipment to schools and offices. Maryland's Department of Information Technology (DIT) designed this solicitation to offer state agencies and Maryland county jurisdictions an extensive selection of hardware through a variety of companies. DIT is currently evaluating proposals in response to its new solicitation. BCPS will utilize that award once it has been determined.
Section §5–112 of the Education Article of the Annotated Code of Maryland subparagraph (a) (3) states that, "…except as provided in subsection (e) of this section, a county board's participation in contracts for goods or commodities that are awarded by other public agencies or by intergovernmental purchasing organizations if the lead agency for the contract follows public bidding procedures." Further, under the Education Article §4-123 Cooperative administration of programs (a) (1) states a "county board may enter into an agreement for the cooperative or joint administration of programs with one or more: (i) County boards; (ii) Other educational institutions or agencies; and (iii) Boards of county commissioners or county councils." In §13110 of the State Finance and Procurement Article, "Subject to §12-107 of this article, whenever a primary procurement unit procurement officer determines that it is in the best interest of the State to sponsor or participate in an intergovernmental cooperative purchasing agreement, with the approval of the unit head and subject to any other approval required by law, the primary procurement unit may become a party to or participate under the agreement."
Recommendation:
Award of contract modification and extension is recommended to:
83 technology-based companies
Responsible school or office:
Department of Technology
Contact person:
Camille Jones
Funding source:
Operating budget
3.
Contract Modification
and Extension:
Contract #: RGA-112-12
Term: N/A
Extension: 2 years
Contract Ending Date: 6/30/14
Estimated contract authority:
$ 34,835,063
Estimated modification amount:
$ 69,700,170
New estimated total contract authority:
$ 104,535,233
Board meeting date:
September 4, 2012
Nonpublic Special Education Facilities
Description:
On November 8, 2011, the Board approved this contract. This contract modification and extension consists of extending the expiration date and increasing the funding. This contract consists of nonpublic special education facilities providing special education services for students with disabilities that are approved by the Maryland State Department of Education. These facilities promote quality services for children and youth with disabilities only when the nature or severity of the disability is such that education in regular classes, with the use of supplementary aides and services, cannot be achieved. Under the No Child Left Behind Act, each public agency must ensure that a continuum of alternative placements is available to meet the needs of children with disabilities for special education and related services.
Code of Maryland Regulations (COMAR) 13A.05.01.16 ensures that if a student's individual education program (IEP) cannot be implemented in a public county, regional, or state school program, the local school system shall take steps in accordance with Education Article, §§4122, 8-401, and 8-409, Annotated Code of Maryland, to ensure that the student is provided with a free and appropriate education. These services must be provided at public expense, under public supervision and direction, at no cost to the parents. Nonpublic special education facilities must meet the standards of the state board regulations and the Individuals with Disabilities Act. Payment or reimbursement for a nonpublic program is provided through local and state funding.
The Office of Special Education currently works with approximately 35 day and residential nonpublic programs to ensure provision of services to students between 3 and 21 years of age who reside in Baltimore County. Each nonpublic program provides individualized educational services to meet the specialized needs of each learner (individualized program descriptions are available upon request). Each school provides support specific to meet the nature of the students they service. Some programs operate year round and provide extended school year or summer school programs when there is concern that a student may demonstrate recoupment or regression of skills.
When the nature or severity of a student's disability is such that an in-state program is not available, out-of-state programming must be considered. It is always the goal to return students to the least restrictive setting in order to provide them with opportunities to interact with their typical peers. IEP review meetings are held throughout the year to reevaluate placement options and ensure that students are provided with a free and appropriate education in the least restrictive setting. BCPS nonpublic case managers work directly with nonpublic school programs to provide case management, professional development, consultation, and ongoing support to our students attending nonpublic programs.
Recommendation:
Award of contract modification and extension is recommended to:
Advo-Serv
Arrow Center for Education
The Baltimore Academy
Baltimore Lab School
Baltimore School for the Deaf
Benedictine School
The Children's Guild
The Chimes School
The Community School of Maryland
Devereux
The Forbush School at Glyndon
The Forbush School at Hunt Valley
The Foundation School
Gateway School
Good Shepherd School
Hannah More School
The Harbour School
High Road School
The Jefferson School
Kennedy Krieger
Kennedy Krieger LEAP Program
Linwood Center
The Mann Residential School
Maryland School for the Blind
NeuroRestorative
New Directions Academy
New Visions Academy of Baltimore
The Pathways
The Phillips School
The Ridge School of Anne Arundel
The Ridge School of Montgomery County
The School of the Eastern Shore
St. Elizabeth's School
The Shafer Center
Shorehaven School
The Strawbridge School
United Cerebral Palsy
Villa Maria School
The Woodbourne Center
Youth-in-Transition School
Bear, DE
Baltimore, MD
Baltimore, MD
Baltimore, MD
Baltimore, MD
Ridgely, MD
Baltimore, MD
Baltimore, MD
Brookeville, MD
Devereux, PA
Glyndon, MD
Hunt Valley, MD
Largo, MD
Baltimore, MD
Baltimore, MD
Reisterstown, MD
Owings Mills, MD
Baltimore, MD
Jefferson, MD
Baltimore, MD
Baltimore, MD
Ellicott City, MD
Baltimore, MD
Baltimore, MD
Carbondale, IL
Baltimore, MD
Baltimore, MD
Annapolis, MD
Laurel, MD
Crownsville, MD
Rockville, MD
Cambridge, MD
Baltimore, MD
Reisterstown, MD
Elkton, MD
Baltimore, MD
Baltimore, MD
Timonium, MD
Baltimore, MD
Baltimore, MD
Trellis School
Hunt Valley, MD
Responsible school or office:
Office of Special Education
Contact person:
Kalisha Miller
Funding source:
Operating budget/grant funds
Physical Exams
4.
Contract:
Contract #: PCR-258-13
Term: 5 years
Extension: N/A Contract Ending Date:
Estimated total award value:
$ 500,000
Board meeting date:
September 4, 2012
Bid issued:
June 28, 2012
Pre-bid meeting date:
July 11, 2012
Due date:
July 25, 2012
No. of vendors issued to:
14
No. of bids received:
2
No. of no-bids received:
0
9/30/17
Description:
This contract consists of providing the following physical examinations and tests:
1) Required examinations for school bus drivers and other commercial driver license holders under the Maryland Department of Transportation regulations.
2) Examinations for medical surveillance programs for maintenance employees for exposure to asbestos, polychlorinated biphenyl, and lead.
3) Reasonable-suspicion drug and alcohol testing.
Recommendation:
Award of contract is recommended to:
Concentra Medical Centers
Addison, TX
Responsible school or office:
Department of Planning and Support Operations
Contact person:
Kara Calder
Funding source:
Operating budget
5.
Contract: Telephone Repair Supplies
Contract #: PCR-260-13
Term: 5 years Extension: N/A
Contract Ending Date:
Estimated total award value: $ 1,250,000
Board meeting date:
September 4, 2012
Bid issued:
July 5, 2012
Pre-bid meeting date:
July 18, 2012
Due date:
August 1, 2012
No. of vendors issued to: 23
No. of bids received:
4
No. of no-bids received: 1
9/30/17
Description:
This contract consists of providing repair and maintenance supplies to support the Nortel Norstar telephone equipment.
Recommendation:
Award of contract is recommended to:
Vology, Inc.
Mahogany Communications, Inc.
Oldsmar, FL
Newark, DE
Responsible school or office:
Department of Technology
Contact person:
Camille Jones
Funding source:
Operating budget
6.
Contract: Three-Dimensional Printers
Contract #: MWE-845-13 (University of Virginia #FF072911)
Term: 5 years Extension: 2 years Contract Ending Date: 9/30/19
Estimated contract authority: $ 700,000
Board meeting date:
September 4, 2012
Bid issued:
N/A
Pre-bid meeting date:
N/A
Due date:
N/A
No. of vendors issued to: N/A
No. of bids received:
N/A
No. of no-bids received: N/A
Description:
This contract consists of the purchase of three-dimensional printers in support of engineering courses offered through Project Lead the Way. This contract offers a 13 percent discount for the equipment, materials, maintenance, and training, saving a maximum of $13,000 per year.
Section §5–112 of the Education Article of the Annotated Code of Maryland subparagraph (a) (3) states that, "…except as provided in subsection (e) of this section, a county board's participation in contracts for goods or commodities that are awarded by other public agencies or by intergovernmental purchasing organizations if the lead agency for the contract follows public bidding procedures." Further, under the Education Article §4-123 Cooperative administration of programs (a) (1) states a "county board may enter into an agreement for the cooperative or joint administration of programs with one or more: (i) County boards; (ii) Other educational institutions or agencies; and (iii) Boards of county commissioners or county councils." In §13110 of the State Finance and Procurement Article, "Subject to §12-107 of this article, whenever a primary procurement unit procurement officer determines that it is in the best interest of the State to sponsor or participate in an intergovernmental cooperative purchasing agreement, with the approval of the unit head and subject to any other approval required by law, the primary procurement unit may become a party to or participate under the agreement."
Recommendation:
Award of contract is recommended to:
Amtek Company, Inc.
Arnold, MD
Responsible school or office:
Office of Science, Technology, Engineering, and Mathematics
Contact person:
Dr. John Quinn
Funding source:
Perkins grant funds
BALTIMORE COUNTY PUBLIC SCHOOLS
DATE:
September 4, 2012
TO:
BOARD OF EDUCATION
FROM:
S. Dallas Dance, Ph.D., Superintendent
SUBJECT:
CONSIDERATION OF THE INSTALLATION OF THE DANCE FLOOR AT JACKSONVILLE ELEMENTARY SCHOOL
ORIGINATOR: Kevin A. Hobbs, Deputy Superintendent
RESOURCE
PERSON(S): Patricia Lawton, Chief Academic Officer
RECOMMENDATION
That the Board of Education review and approve the request for installation of a dance floor at Jacksonville Elementary School.
*****
In accordance with Superintendent's Rule 7330, Carroll Manor Recreation and Parks Council is proposing the installation of a dance floor on top of existing flooring the activity room at Jacksonville Elementary School.
This project is to be funded in its entirety by Carroll Manor Recreation Council (CRMC) Dance Program. All project overruns as well as future maintenance or repairs are to be funded by the CMRC Dance Program. The cost of the floor installation as well as any future maintenance or repairs are covered in the operating budget of the dance program, and approval for funding this floor has been given by the Board of Directors for Carroll Manor Recreation Council. The school and its students are not involved in or responsible for any fundraising for this project.
The CMRC Dance Program has been operating for over 15 years, with enrollment increasing each year. There are currently 275 children from the community who participate in the various programs offered by the CMRC Dance Program. The program operates year round, with dance classes offered during the school year. The current floor used is a concrete floor covered with vinyl tile. A resilient floor is needed to provide adequate cushion and to reduce potential injuries in the dancers as well as instructors.
|
RIPPINGALE NEWS
www.RippingaleVillage.co.uk www.CountryEye.org.uk
AUGUST 2016
Editorial: Mary Morgan 440897 18 Pinfold Close, Rippingale firstname.lastname@example.org
ST ANDREW'S CHURCH Priest in Charge The Revd Dr Lynda Pugh – email@example.com 46a High Street, Morton, PE10 0NR Tel: [01778] 571841
SUN 7 th
BCP Eucharist @ 6.00pm
14 th
Eucharist @ 9.15am
21 st
NO SERVICE
28
th
NO SERVICE
SEPTEMBER
SUN 4
th
BCP Eucharist @ 6.00pm
ALWAYS CHECK THE NOTICE BOARD IN THE HIGH STREET FOR ANY CHANGES
BELL RINGING
There will be a visiting band of ringers at St Andrew's Church on Monday 1 st August 2016. They will be ringing a quarter peal between 10.00am and 11.00am.
COFFEE MORNINGS
The one held on Tuesday 5 th July was always being to be different with our top organiser unavailable [Lorna Webb] but the vacuum was filled admirably by our remaining enthusiastic helpers, for which I thank you. With the sun occasionally pouring in through the stained glass windows, the smell of fresh baking, Scones, Cakes, Flap Jacks and loads more, also arrangements of Sweet Peas on the tables, coffee brewing, the high standard was maintained and the scene set. The fresh vegetables came from a different source, no air miles, all within a good walking distance of Rippingale. A larger selection than usual with Strawberries and Raspberries being very local. By the way of a change, we had a raffle, two freshly baked Gateaux, one of them being raffled and other auctioned, thanks to Sue Atkinson. Next time we hope to do the same but the prize will be a painting done by a local artist! So, we try to ring the changes, no two mornings ever being the same, and if any of you out there are in doubt about coming, don't be, even if its just to buy vegetables which are always very competitively priced. The next Coffee Morning is Tuesday 2 nd August @ 10.15am. We will look forward to seeing you, and a warm welcome is guaranteed. If there are any transport problems, don't hesitate to contact me. Jonathan Newell, Churchwarden. [01778] 441211.
200 CLUB Winners for July:
£20 M Morgan [200] Yipee!
£10 L Stimpson [70]
Mr Larner [187]
£ 5 M Burtt [58]
D Bickerton [119]
L Hibbitt [175]
J Wells [154]
[][][][][]
VILLAGE WALKS
There is no organised walk this month. There will be one in September, details of which will appear in that month's Newsletter. The date for your diary is Thursday 15 th September 2016.
RIPPINGALE & DISTRICT GARDENING CLUB
The Club does not meet during August. The next meeting will be held on 14 th September @ 7.30pm in the Village Hall, Rippingale with the Annual General Meeting. The new programme of speakers and visits for 2016/17 will be issued and members will have an opportunity to renew their subscription. This will be followed by a talk entitled "Lavender and Pinks" given by Gill Tomkinson. Elizabeth Forman, Club Secretary.
RIPPINGALE VILLAGE HALL COMMITTEE
200 CLUB Winners for July:
£20 Rosemary Macdonald [176]
£10 Chris Hollister [36]
Angela Gray [2]
£ 5 John Phillips [108]
Brian Cook [74]
Janet McNeil [60]l
L Hibbit [81]t
PARISH COUNCIL NEWS: Clerk - Sheila Scholes, 440200; firstname.lastname@example.org
The Aims and Objectives of Rippingale Parish Council:-
"To provide services for and manage and maintain the assets of the village of Rippingale, within the law, and the resources provided by the annual precept and other incomes, taking into account the wishes of the residents and obtaining value for money."
The Parish Council met on 21 st July, 2016. Report of that meeting to be carried forward.
"FIX MY STREET" – Get things fixed in your Local Community. www.fixmystreet.com
Residents are sometimes unaware as to which Local Authority is responsible for reporting issues such as fly-tipping, getting maintenance work/repairs etc done and FIX MY STREET is a very useful website that the Council recommends residents make use of.
By entering a postcode/street name you can then locate the problem on a map of the area. When you have entered details of the problem, Fix my Street passes your report onto the appropriate authority/organisation.
The system also links with (e.g.) local developers as well as councils, etc. The person making the report is contacted later to see if the problem has been fixed, or to provide an update.
RIPPINGALE NEWSPAPERS etc DELIVERY SERVICE
There has been a very small response to the offer from a resident to deliver weekend newspapers, milk etc. Mike Bronze says that although he would love to build up a delivery round for the village, he cannot afford to spend time and money on the project based on the response so far. If you did mean to respond, needed a reminder or know a good reason for him NOT to put this scheme into operation - please contact email@example.com
PLANNING RESULTS & CURRENT APPLICATIONS:
Please note that anyone can view Planning Applications, past and present, by accessing SKDC website www.southkesteven.gov.'planningsearch/ using the application reference number, if known.
| | R.P.C. |
|---|---|
| S16/1312 Proposed Change of Use from Class 1A (shop) to Class C3 (dwelling), Post Office, 5 Middle Street, PE10 0SU. | In circulation – objections raised. SKDC notified 25th June, 2016. |
| S16/1188 Resurfacing access, hardstanding within site and drainage. Land to north of Fenside Car Breakers & Windmill Motors, A15, Rippingale | Circulated inter- meetings. No objections raised, SKDC notified. |
FORTHCOMING MEETINGS:
18 th August
Councillors' Working Group Meeting th
22 nd September Public Forums & Full Council Meeting, The Village Hall.
16 September Open Office, The Bull, 10.00 – 12.00noon
RIPPINGALE OIL CONSORTIUM
Again, Chandlers are NOT giving the best value for money, with one supplier nearly a penny a litre cheaper, which means a saving of £10 on a 1000+ litre delivery. Oil price comparisons are usually posted on the village website the same day that Chandlers publish them, sometimes [but no always] within minutes of them being sent out. Chandlers E-mail out to subscribing customers the delivery price a day or so before the start of the group deliveries, and the Members who have placed an order with Chandlers can cancel and place an order with a cheaper supplier if they wish, providing they contact Chandlers straight away, so do go on line and check before your next delivery.
#we have compared the Consortium delivery price against the 1000ltr delivery price of competitors since January 2012. This gives a good comparison as many members order more than 1000ltrs, plus getting the rate for 4000ltrs plus is a bonus. Up until May 2015 Chandlers had always been the cheapest.
Members are strongly advised to check for better quotes when ordering – especially if they are ordering about 1000 ltrs or more. Useful numbers are shown below:
Fuel Delivery Comparison Prices – price in pence per litre EXCLUDING VAT
For up-to-date comparisons and deliveries go to www.RippingaleVillage.co.uk/oil and follow the links.
Useful telephone numbers:
RIPPINGALE & DISTRICT WI
At the July meeting Keith Appleyard gave us an exceptional and interesting insight into the work at Bletchley Part, the ultra-secret establishment which broke the Enigma code, and the scientists, academics and engineers who set it up. In August there will be the outing to Bletchley Park and Woburn Abbey. Recently, members had a very informative visit to the Forensic Science Department at the University of Lincoln, and a visit to Baston WI for a talk by the Medical Detection Dogs team from Milton Keynes, when we learned about their life saving work, particularly in the field of cancer and other debilitating diseases. The weather was beautiful when we celebrated the Queen's 90 th birthday at our Garden Party held at the President's home. The next meeting will be on 1 st September @ 7.30pm, when we have Jai Franklin with her talk and demonstration entitled "Wynd in the Willows". For further information please contact President Michele Join on 440368 or E-mail firstname.lastname@example.org
RIPPINGALE FRIENDSHIP CLUB
The Club is run on alternate Wednesday 2 – 4pm in Rippingale Village Hall and is open to anyone over 55. We are a sociable group and there are various activities available or just come for a cuppa and a chat. There is no pressure to join in! We have coach trips to various places, including the Norfolk coast, shopping trips and places of interest, visitors/family/friends are welcome to join us. If you would like to join us for a coffee or tea and check us out, you will be made very welcome. Our meetings in August are on Wednesday 3 rd and Wednesday 17 th in the Village Hall, when we hope to have a picnic at Grimsthorpe, weather permitting! We have two coach trips planned for Wednesday 24 th August and Tuesday 20 th September, destinations to be confirmed. Please contact Audrey on [01529] 241358, Wendy on [01778] 441312 or Chris on [01778] 440745 for more details. Carol Mason STOP PRESS:
Wednesday 31 st August – trip to Bressingham Gardens and Steam Heritage Centre in Norfolk.
Price will be £25 Members - £28 non-member, this includes entry to the site at a group rate of £7.50 per person. It doesn't include any steam train rides or other attractions with a charge. It is, however, an operating day for the steam train. The gardens should be nive, despite the fact that it is getting late in the season. It is quite an expansive site and there should be something there to appeal to everybody.
PROPOSED PICK-UP POINTS: 8.30 Billingborough
Contact for booking is Bob Deller on:
08.45 Rippingale
[01778] 345536 or 07828 187055
09.00 Bourne
LOOSE ENDS – ADVANCED NOTICE – Table Top Sale
We will be holding another Table Top Sale in Rippingale Village Hall on Sunday 16 th October 10 – 2pm. A good variety of stalls is expected and lots of demonstrations from local spinners and weavers throughout the day. If you fancy having a go there will be lots chances to do so! Face Painting for the children, refreshments, including bacon rolls, soup and bread, plus Tea/Coffee and cakes. Our very own Rose Queen, Annabelle, will be in attendance and will be helping with our Raffle. ALL profits from this event will be split between Rippingale Cheeky Monkeys
Playgroup and The Three Counties Dog Rescue. To book a table at a cost of £5 each, plus donations of raffle prize. For more information, please contact Carol Mason on 441386.
RIPPINGALE ALLOTMENTS OPEN DAY
The Annual Open Day, in conjunction with the NSALG National Allotments week will be held on Sunday 14 th August 12noon – 4.00pm. There will be our usual Veg stall as well as Tea and Homemade Cakes and, of course, the BBQ will be lit for Bangers and Burgers. The children will be entertained with Pot & Pebble painting while the Grown-ups can wander around the allotment plots. Let us know on the day if you are interested in taking a plot on, there are various sizes available. We will also be holding our usual Garden related Tombola, so come along for a chat, a wander round and something to eat and drink. Hopefully the sun will be shining too. Angela Adams, Secretary
WARNING TO ALL LAND ROVER OWNERS
This warning applies to those Land Rover owners who park their vehicles overnight in their gardens or on their driveways. There have recently been at least two incidences in the Gosberton/Risegate and Pinchbeck areas of such vehicles being targeted by thieves. The object is NOT to steal the vehicles but merely the vehicle doors. The cost of replacement of a set of doors can be in the region of £10,000 and there is a real possibility that the vehicle insurer refuse to pay such costs and simply write the vehicle off. DO NOT think that you are safe if the vehicle has an alarm fitted. These thieves have professional knowledge and may be able to disarm the alarm without entering the vehicle. If you are inclined to ignore this friendly warning you should contact the 4 Wheel Drive Truck Centre at Risegate [Tel: 01775 750223] for verification of its accuracy. Eric Page, 90 Station Street, Rippingale
RIPPINGALE FEAST COMMITTEE – LOOKING FORWARDS TO 2017
The Street Party was expensive to run, so we will be running a number of fundraisers during the rest of the year, to help restore our coffers to their previous levels. Here are some dates that you should put in your diary.
Another of Megan's excellent quizzes - Sunday 25th September, Rippingale Village Hall, doors open 7:00pm.
Back by popular demand – Flossie Malavialle - Saturday 15 th October, 7:30pm, Rippingale Village Hall
A Race Night, Saturday 12 th November, Rippingale Village Hall, 7:30pm
As previously announced, we will be running a Grand Draw, to be drawn at the Village Hall Christmas Fair in November. Therefore. you should expect Street Champions at the door after September, as they will be helping us to sell Draw tickets.
We will have our annual meeting in September, when we will have to find a new Feast Chairman, and where we will also discuss plans for the 2017 Feast event. The meeting will be at the Village hall. If you are interested to find out what's being planned, (with no pressure to join the committee!), please come along.
For further details of the Annual Meeting, plus all the other events taking place later this year, please look in the September Newsletter.
FINALLY:
What do you call a fish with no eyes? A fsh!
DEADLINE FOR DEADLINE FOR SE[PTEMBER SE[PTEMBER SE[PTEMBER 2016 NEWSLETTER 2016 NEWSLETTER 2016 NEWSLETTER
TH
MONDAY 15
MONDAY 15
MONDAY 15
MONDAY 15
TH TH TH
AUGUST
AUGUST
AUGUST
AUGUST 2016
2016 2016 2016
Any items for the Group Magazine "Village Life" As soon as possible please As soon as possible please mary email@example.com firstname.lastname@example.org
Items for the Rippingale Village Website – please go to www.rippingalevillage.co.uk/contact or follow any of the "Contact Us" links in the website and use the "Email" link. [Please state if you want personal data, like telephone numbers or E-mail addresses shown]
|
Unfair Commercial Practices Directive (2005/29) - Hungary
National Law
Act LVII of 1996 on the Prohibition of Unfair Trading Practices and Unfair Competition
Adoption date for national laws: Wed Jul 10 00:00:00 CEST 1996
In force date: Wed Jan 01 00:00:00 CET 1997
Act CLV of 1997 on Consumer Protection
Adoption date for national laws: Tue Dec 23 00:00:00 CET 1997
In force date: Sun Mar 01 00:00:00 CET 1998
Government Decree no. 17 of 1999 on Distance Contracts
Adoption date for national laws: Fri Feb 05 00:00:00 CET 1999
In force date: Mon Mar 01 00:00:00 CET 1999
Act CVIII of 2001 on Certain Aspects of Electronic Commerce and on Information Society Services
Adoption date for national laws: Mon Dec 24 00:00:00 CET 2001
In force date: Wed Jan 23 00:00:00 CET 2002
Government Decree No. 151/2003. (IX. 22.) on the statutory guarantee related to specific durable consumer goods
Adoption date for national laws: Mon Sep 22 00:00:00 CEST 2003
In force date: Fri Nov 21 00:00:00 CET 2003
Government Decree No. 181/2003. (XI. 5.) on the statutory guarantee related to the construction of residential housing
Adoption date for national laws: Wed Nov 05 00:00:00 CET 2003
In force date: Fri Dec 05 00:00:00 CET 2003
Government Decree No. 249/2004. (VIII. 27.) on the statutory guarantee related to specific repair and maintenance services
Adoption date for national laws: Fri Aug 27 00:00:00 CEST 2004
In force date: Wed Sep 01 00:00:00 CEST 2004
Act CLXIV of 2005 on Trade
Adoption date for national laws: Sun Dec 25 00:00:00 CET 2005
In force date: Thu Jun 01 00:00:00 CEST 2006
Act no. 47 of 2008 on the Prohibition of Unfair Commercial Practices against Consumers
Adoption date for national laws: Sat Jun 28 00:00:00 CEST 2008
In force date: Sun Jun 29 00:00:00 CEST 2008
PDF: Act_47_of_2008_EN)_en.pdf
Act XLVII of 2008 on the Prohibition of Unfair Business-to-Consumer Commercial Practices
Adoption date for national laws: Sat Jun 28 00:00:00 CEST 2008
In force date: Sun Jun 29 00:00:00 CEST 2008
Act no. 48 of 2008 on the Basic Requirements and Certain Restrictions applying to Commercial Advertising Activities
Adoption date for national laws: Sat Jun 28 00:00:00 CEST 2008
In force date: Mon Sep 01 00:00:00 CEST 2008
PDF: Act_48_of_2008_EN)_en.pdf
Government Decree No. 281/2008. (XI. 28.) on travel contracts
Adoption date for national laws: Fri Nov 28 00:00:00 CET 2008
In force date: Sun Dec 28 00:00:00 CET 2008
NFGM-SZMM Joint Decree No. 4/2009. (I. 30.) on the Rules of Indicating the Selling Price and Unit Price of Products and the Fees for Services
Adoption date for national laws: Fri Jan 30 00:00:00 CET 2009
In force date: Sat Feb 07 00:00:00 CET 2009
Government Decree No. 329/2009. (XII. 29.) on the Procedure to Register the Social Organizations Acting for the Protection of Consumers' Interests' to the
List Maintained pursuant to Directive 2009/22/EC of the European Parliament and of the Council
Adoption date for national laws: Tue Dec 29 00:00:00 CET 2009
In force date: Fri Jan 01 00:00:00 CET 2010
Act CIV of 2010 on Freedom of the Press and on the Basic Rules Relating to Media Contents
Adoption date for national laws: Sat Jan 01 00:00:00 CET 2011
In force date: Sat Jan 01 00:00:00 CET 2011
Government Decree No. 141/2011. (VII. 21.) on timeshare and long-term holiday product contracts and on durable accommodation provision services
Adoption date for national laws: Thu Jul 21 00:00:00 CEST 2011
In force date: Thu Sep 01 00:00:00 CEST 2011
Act V of 2013 on the Civil Code
Adoption date for national laws: Tue Feb 26 00:00:00 CET 2013
In force date: Sat Mar 15 00:00:00 CET 2014
Act CXXXIX of 2013 on the National Bank of Hungary
Adoption date for national laws: Thu Sep 26 00:00:00 CEST 2013
In force date: Fri Sep 27 00:00:00 CEST 2013
Government Decree No. 45/2014. (II. 26.) on the specific rules of contracts between consumers and business parties
Adoption date for national laws: Wed Feb 26 00:00:00 CET 2014
In force date: Fri Jun 13 00:00:00 CEST 2014
Government Decree No. 387/2016. (XII. 2.) on the Appointment of the Consumer Protection Authority
Adoption date for national laws: Fri Dec 02 00:00:00 CET 2016
In force date: Sun Jan 01 00:00:00 CET 2017
Government Decree No. 370/2004 (XII.26.) on Doorstep Selling
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Sun Dec 26 00:00:00 CET 2004
Government Decree No.181/2003. (XI. 5.)
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
Government Decree No. 249/2004. (VIII. 27.)
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
Government Decree 20/1999. (II. 5.) on contracts for the purchase of the right to use immovable property on a timeshare basis
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
PDF: legislation243_en_en.pdf
Unfair Contract Terms Decree no. 2/1978
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Wed Mar 01 00:00:00 CET 1978
GM Decree No. 7/2001. (III.29.) on the indication of the prices of products and services offered to consumers
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
PDF: legislation248_en_en.pdf
Government Decree No. 17/1999. (II.5.) on Distance Contracting
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
PDF: legislation247_en_en.pdf
Law-Decree No. 13 of 1979 on the International Private Law
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Sun Jul 01 00:00:00 CEST 1979
Act CXLI of 1997 on Real Estate Registration
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Sat Jan 01 00:00:00 CET 2000
Ministry of Justice Decree No 13/2004 (IV.16) IM listing the acts of legislation corresponding to the directives listed in the Annex to Directive 98/27/EC on
injunctions for the protection of consumers' interests
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
213/2008. (VIII. 29.)
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
GKM Decree. No. 49/2003. (VII.30.)
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
Government Decree No. 213/1996. (XII.23.) on Travel Organisation and Agency Activities
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Wed Jan 01 00:00:00 CET 1997
PDF: legislation159_en_en.pdf
Act LVIII of 1997 on Business Advertising Activity Act
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Mon Sep 01 00:00:00 CEST 1997
Decree 141/2011. (VII 21) of the hotel and timeshare, long-term holiday product contracts and long-term accommodation service user activity
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Thu Sep 01 00:00:00 CEST 2011
Government Decree No. 18/1999. (II.5.) on Unfair Contract Terms
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Mon Mar 01 00:00:00 CET 1999
Civil Code
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Sun May 01 00:00:00 CET 1960
Act CXII of 1996 on Credit Institutions and Financial Enterprises
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Wed Jan 01 00:00:00 CET 1997
Act XLVII of 2008
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
Government Decree. No. 151/2003. (IX.22.) on guarantees of consumer durables
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
Act on Civil Procedure
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
Act CLV of 1997 on Consumer Protection
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Tue Dec 23 00:00:00 CET 1997
PDF: legislation246_en_en.pdf
Government Decree No. 281/2008 (XI. 28.) on travel contracts
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
Criminal Code (Act IV of 1978)
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
Government Decree No. 89/1998. (V.8.) on Consumer Supervisory Authorithy
Adoption date for national laws: Fri Jan 01 00:00:00 CET 9999
In force date: Fri Jan 01 00:00:00 CET 9999
Enforcement System
To access the Enforcement System click here
Cases
Vj/78-45/2009
National ID: Vj/78-45/2009
Common Name: link
Directive Part: Chapter 2, Section 1, Article 6, 1., (b) Annex I, 5. Chapter 2, Article 5, 1. Chapter 2, Article 5, 2.
Decision type: Administrative decision, first degree
Decision date: Tue Dec 08 00:00:00 CET 2009
Vj/149-041/2009
National ID: Vj/149-041/2009
Common Name: link
Directive Part: Chapter 2, Section 1, Article 7, 1. Chapter 2, Section 1, Article 6, 1., (d) Chapter 2, Article 5, 1.
Decision type: Administrative decision, first degree
Decision date: Tue Aug 03 00:00:00 CEST 2010
Vj-074-028/2009
National ID: Vj-074-028/2009
Common Name: link
Directive Part: Chapter 2, Section 1, Article 7, 1. Chapter 2, Section 1, Article 6, 1., (b) Chapter 2, Article 5, 1.
Decision type: Administrative decision in appeal
Decision date: Thu Oct 28 00:00:00 CEST 2010
Vj/130-035/2009
National ID: Vj/130-035/2009
Common Name: link
Directive Part: Chapter 2, Section 1, Article 7, 3. Chapter 2, Section 1, Article 7, 1. Chapter 2, Article 5, 1.
Decision type: Administrative decision in appeal
Decision date: Tue Dec 14 00:00:00 CET 2010
2. Kf. 27. 045/2011/4.
National ID: 2. Kf. 27. 045/2011/4.
Common Name: link
Directive Part: Chapter 2, Article 5, 4. Chapter 2, Section 1, Article 7, 1. Chapter 2, Article 5, 1.
Decision type: Court decision in appeal
Decision date: Wed May 11 00:00:00 CEST 2011
Vj/127-030/2009
National ID: Vj/127-030/2009
Common Name: link
Directive Part: Annex I, 31. Annex I, 16. Annex I, 20.
Decision type: Administrative decision in appeal
Decision date: Thu May 12 00:00:00 CEST 2011
2. Kf. 27. 121/2011/6
National ID: 2. Kf. 27. 121/2011/6
Common Name: link
Directive Part: Chapter 2, Section 1, Article 6, 1., (b) Chapter 2, Article 5, 1.
Decision type: Court decision in appeal
Decision date: Wed May 25 00:00:00 CEST 2011
Gfv. IX. 30.221/2011
National ID: Gfv. IX. 30.221/2011
Common Name: link
Directive Part: Chapter 1, Article 2, (f)
Decision type: Supreme court decision
Decision date: Tue Sep 27 00:00:00 CEST 2011
Vj-127/2010/22.
National ID: Vj-127/2010/22.
Common Name: link
Directive Part: Chapter 2, Section 1, Article 6, 1. Chapter 2, Section 1, Article 6, 1., (d)
Decision type: Administrative decision, first degree
Decision date: Thu Oct 20 00:00:00 CEST 2011
Vj-5/2011/73.
National ID: Vj-5/2011/73.
Common Name: link
Directive Part: Chapter 2, Section 1, Article 7, 1. Chapter 2, Section 1, Article 7, 4., (c) Chapter 2, Section 1, Article 7, 4., (a)
Decision type: Administrative decision, first degree
Decision date: Thu Nov 10 00:00:00 CET 2011
Vj-60/2011/45.
National ID: Vj-60/2011/45.
Common Name: link
Directive Part: Annex I, 11. Chapter 2, Section 1, Article 7, 1.
Decision type: Administrative decision, first degree
Decision date: Mon Jan 09 00:00:00 CET 2012
25/2012. VJ
National ID: 25/2012. VJ
Common Name: link
Directive Part: Chapter 2, Section 1, Article 7, 4., (a) Annex I, 5.
Decision type: Administrative decision, first degree
Decision date: Fri Jan 11 00:00:00 CET 2013
12/2012. VJ
National ID: 12/2012. VJ
Common Name: link
Directive Part: Chapter 2, Section 1, Article 7, 4., (a) Annex I, 5.
Decision type: Administrative decision, first degree
Decision date: Fri Jan 25 00:00:00 CET 2013
37/2012. VJ
National ID: 37/2012. VJ
Common Name: link
Directive Part: Chapter 2, Section 1, Article 6, 1., (b)
Decision type: Administrative decision, first degree
Decision date: Thu Feb 21 00:00:00 CET 2013
40/2012. VJ
National ID: 40/2012. VJ
Common Name: link
Directive Part: Chapter 2, Section 1, Article 7, 1. Chapter 2, Section 1, Article 7, 4., (a)
Decision type: Administrative decision, first degree
Decision date: Wed May 15 00:00:00 CEST 2013
94/2012. VJ
National ID: 94/2012. VJ
Common Name: link
Directive Part: Chapter 2, Section 1, Article 7, 2. Chapter 2, Section 1, Article 7, 1. Chapter 2, Section 1, Article 6, 1., (b)
Decision type: Administrative decision, first degree
Decision date: Mon Sep 16 00:00:00 CEST 2013
Kúria Kfv.II.37.684/2013/2. (KGD2015. 98.)
National ID: Kúria Kfv.II.37.684/2013/2. (KGD2015. 98.)
Common Name: link
Directive Part: Chapter 2, Article 5, 2., (a) Chapter 2, Section 1, Article 6, 1., (d)
Decision type: Supreme court decision
Decision date: Wed Dec 11 00:00:00 CET 2013
Kúria Kfv.III.37.869/2014/5.
National ID: Kúria Kfv.III.37.869/2014/5.
Common Name: link
Directive Part: Chapter 2, Section 1, Article 7, 1.
Decision type: Supreme court decision
Decision date: Tue Feb 17 00:00:00 CET 2015
Kúria Kfv.III.37.404/2015/4.
National ID: Kúria Kfv.III.37.404/2015/4.
Common Name: link
Directive Part: Chapter 2, Section 1, Article 6, 1., (d) Chapter 1, Article 2, (d)
Decision type: Supreme court decision
Decision date: Tue Jun 16 00:00:00 CEST 2015
VJ-64/2015/41
National ID: VJ-64/2015/41
Common Name: link
Directive Part: Chapter 2, Article 5, 2., (a)
Decision type: Administrative decision, first degree
Decision date: Fri Mar 18 00:00:00 CET 2016
Legal Literature
HVG-ORAC Lap- és Könyvkiadó Kft., 2012
Reference: HVG-ORAC Lap- és Könyvkiadó Kft., 2012
Title: Guidance to the Prohibition of Unfair Commercial Practices
Author: CS. I. NAGY
Publication Year: 2012
Gazdaság és Jog /Economy and Law/, 2007, vol. 5, pages 12-17
Reference: Gazdaság és Jog /Economy and Law/, 2007, vol. 5, pages 12-17
Title: National competition law and harmonization - comments on the implementation of the UCP Directive
Author: Á. LIEBER
Publication Year: 2007
Acta conventus de iure civili, vol. 7, 2007, pages 41-54
Reference: Acta conventus de iure civili, vol. 7, 2007, pages 41-54
Title: Questions relating to the Hungarian implementation of the UCP Directive (Directive 2005/29/EC on Unfair Commercial Practices)
Author: ZS. HAJNAL
Publication Year: 2007
Európai Tükör /European Review/, 2009, vol. 9, pages 54-66
Reference: Európai Tükör /European Review/, 2009, vol. 9, pages 54-66
Title: Regulation of unfair commercial practices in the European Union
Author: E. ZS. TÁRCZY
Publication Year: 2009
Pro Futuro. A jövő nemzedékek joga, 2012. vol. 2. no. 1, pages 54-67
Reference: Pro Futuro. A jövő nemzedékek joga, 2012. vol. 2. no. 1, pages 54-67
Title: The Hungarian regulation of unfair commercial practices - critical remarks
Author: E. ZS. TÁRCZY
Publication Year: 2012
Iustum - Aequum - Salutare, 2010, vol. 1, pages 29-56
Reference: Iustum - Aequum - Salutare, 2010, vol. 1, pages 29-56
Title: The most significant decisions of the Hungarian Competition Authority of 2009 in relation to misleading of consumers and unfair commercial practices
Author: T. TÓTH
Publication Year: 2010
Other material
No results available
|
Dartmouth Club of Northeast Ohio
Letter from the President
Welcome to the latest edition of the Dartmouth Club of Northeast Ohio newsletter, highlighting the activities and behind-the-scenes efforts that make your club accessible and meaningful.
Libby Sobota'83 – Treasurer Kent Mann ‗73 – Chair, Scholarship Committee Ryan Pulis '93 – Webmaster.
The Big Green Bus was in town for the annual freshman send-off at the home of Jack '60 and Mary Herrick (August), with over fifty alumni, current students, and parents in attendance. If you haven't seen this, well, you just haven't climbed aboard a vegetable oil fueled; solar power lit, and, recycled material furnished bus. It gets better and better, and the students making the 10 week, 40 city tour embraced their new classmates, welcoming them into the Dartmouth family. And eating a lot of hors d'oeuvres. Michael Scott, Plain Dealer Environmental Reporter, covered the event.
In addition Susan Luria'89,Jay Hole'81, and Ray Boniface ‗78 will continue to do their excellent work with area enrollment. Kim Haring '96 was given profound thanks for all her dedication to DCNEO, well wishes on her move, and, strict instructions to lead the Miami, FL region.
Also that evening, your new club officers were elected: Mark Heller'70 –President, Bob Gippin'69 – Secretary
In late September the new Assistant Director of Admissions, John J. Beck Jr. '09 paid us a visit on his first enrollment trip to Ohio and Pennsylvania. We invited all those alumni who had participated in the student interview process to meet him and hear what the current admissions climate is at Dartmouth. We met at Delmonico's restaurant (Independence) and this informal setting lent itself to casual and frank discussions concerning the admissions
Jack '60 & Mary Herrick welcome students and the Big Green Bus to town.
process and acceptances.
Later that month we held a lunch at the University of Akron's Martin Center, and the next month we met with several of our younger alumni at Bar Cento in Cleveland's Ohio City. These smaller events were fact finding and focus group vehicles to ascertain what we could do, or what we could create, to make the club more user friendly. All of us share Dartmouth, but our experiences there and subsequent interests are vastly different. It's extremely difficult to produce events to satisfy all schedules, likings and locales. Our thought is to get together more often, rather than rely on one or two large annual events.
Of course we're on Facebook! Network, find a tennis game downtown, breakfast in Youngstown, a biking companion in the Metroparks. Greet new transplants. We're also looking at a Dartmouth
(Continued on page 3)
Fall 2009
http://www.dartmouth.org/ clubs/dcneohio/
Current Club Officers:
President: Mark Heller
Secretary: Bob Gippin
Treasurer: Elizabeth (Libby) Sobota '83
Events Chair / Ivy 15 Rep: Lindsay Hirschfeld '03
Scholarship Chair: Kent Mann '73
Webmaster: Ryan Pulis '93
Alumni Council Representative: Susan Luria '89
DED North: Jay Hole '81
DED South: Ray Boniface '78
Immediate Past President: Elizabeth (Libby) Sobota '83
Admissions and Alumni Interviews
Thanks to all who have interviewed students in the past and are willing to do so again this year. The applicants are an amazing group of young adults, smart, motivated, many having already done some pretty incredible things. Interviewing can be enlightening, rewarding and frustrating in turn. Almost all of these ‗kids' will make contributions wherever they attend and are more than smart and talented enough to be admitted and do well academically. 80-90% are also admitted to one or all of Harvard, Princeton and Yale, so they have tough choices to make in the process. While there are always fantastic candidates who are not accepted to Dartmouth, let's not let that discourage us, I find in a joy just to get to know them for an hour or so whether they are accepted and matriculate or not. Our task in interviewing is to try to give admissions some insight they may not otherwise get about their intelligence, dedication, perseverance or passion (it is all on the form 6). I think our most important contributions are threefold, (1) to help sell the college to all of the applicants, if they are not applying for Early Decision, they will have choices, (2) identifying the applicants who have done more with less or (3) who have that special something that may not show up in the written ap- plication, be it an electrifying dynamism, spirit or love of life that just permeates their being and those around them, or those who have overcome some incredible obstacle. Regarding #2 – I'm thinking of the one or two who have dragged themselves out of the dire circumstances with no parents or relatives who went to college and still made something of themselves vs. the fortunate and more prevalent student who, while intelligent, hard working and deserving has had every advantage starting with parents who went to college and ‗all the right schools and activities' since they were three. If the former achieves 80% of what the latter does it is arguably a greater accomplishment, and if that student really wants to go to Dartmouth and will be a good fit in the environment, the Dartmouth family and the world will potentially gain more if that student gets the opportunity. My 2¢, take it as you will.
Enough philosophy – to the mechanics. Dartmouth has a great on-line system for us to use in the interview process called I-Track. For the DED (District Enrollment Director) it organizes all the applicants and volunteers and allows us to assign interviews and track progress. For you as interviewers it makes it a bit easier to submit the interview form, known as the Form 6. All you need is a VOX/VAN account and to either check your email or set it up to forward to the email you check regularly. This is relatively easy and the alumni office can help or try the following link. Once you have an account you can access email, ITrack and any other college services that are not public. http://www.dartmouth.org/s ervices/email/ Additional information on the interviewing process can be found at:
http://www.dartmouth.edu/ ~interviewers/interviewing/
I strongly encourage everyone interested in interviewing to set up an account, I do most of my DED ‗work' either before 7 AM or after 10 PM, so it is much easier for me if I can use the system and email vs. the alternative of personal email accounts and Excel spreadsheets. Deadline for Regular Decision: 02/20/10
If you prefer to interview with someone else as a team or pair, please let me know and I will be happy to accommodate and help in any way I can. Sometimes this is a good way to start for new interviewers, just to get a feel for it. I know our Webmaster Ryan Pulis did his early interviews with his father Lee Pulis and felt
Admissions and Alumni Interviews, cont.
it helped him with getting used to the process and having a gauge. If you are new and have the time, I suggest interviewing a couple of students or working with someone else to spread the workload on the write-ups. If you don't have recent and intimate knowledge of this age group through your own children or some other involvement it is very difficult to gauge truly outstanding/exceptional vs. very well rounded, very talented, hard working and very intelligent other 15,000 applicants. Hey – if it was an easy slam dunk no brainer we wouldn't be adding any value . . . We are contemplating holding one or more group interviewing events where a number of alums and candidates assemble on a Saturday in late January or early February to get a number of interviews done. This can be a great introduction to those new to the process as well as a dynamic and
Letter From the President, cont.
Club ning site to facilitate contact.
And save the date for the annual Holiday Brunch at the Cleveland Racquet Club (Beachwood) on Saturday, December 12, 2009 from 11-1 for current students (our treat). Cost to you, though, is $20 members/$25 non, and, we ask that you consider hosting an additional student ticket at $20. RSVP to Mark Heller (email@example.com; mobile 216-509-5117); or our web page with a PayPal link for this purpose.
United States Attorney for Northern Ohio. Susan Luria'89 is on the Alumni Council Nominating and Alumni Search Committee and Louisa Guthrie '79 is chair of the Alumni Council Honorary Degree Committee. As mentioned, our past President Kim Haring '96 moved to Miami (FL) when her husband, Brian, was appointed Federal Administrative Law Judge in the Office of Medical Hearings and Appeals. But we've grown, as two alumni, Mark Fischer'80 and Jeff Ustin'89 have recently relocated to Cleveland.
There are a number of local alumni who deserve recognition. Steve Dettlebach ‗88 was recently appointed
The newsletter includes your 2010 dues request. You may send the form to Libby Sobota or use PayPal. Thank you in advance for your membership.
fun time for all involved. Please let us know if you are interested in participating—there are 28 Regular Decision candidates in the system already, and they will be assigned to interviewers soon.
Finally, thanks to all who helped get the 14 Early Decision candidates interviewed!
- Jay Hole
Not that I think it's possible, but…whatever I haven't covered, Dartmouth can – daily! Receive the highlights of Dartmouth news reports each day on your pc or pda. Sign up and the Dartmouth Office of Public Affairs will send you the daily news updates from the College,Graduate Schools, and Alumni areas.
Please let me know if you have any questions or suggestions about the club,events, or communication. If you'd like to get involved we warmly welcome your participation. Looking forward to seeing you on 12/12/09 or at a gathering in your neighborhood.
- Mark Heller
DCNEO is on Facebook! Join the group today. Notices posted, meet alumni, sign up for events, share news and views.
http://www.facebook. com/group.php?gid=1 53649955838&ref=ts
Fall 2009
New and Noteworthy
Mark Fischer, Class of 1980, recently took a leadership role in a Cleveland-based company, Robin Industries. He is currently commuting from the Detroit area but is spending a majority of his time here and glad to be switching allegiances from the Pistons to the Cavaliers. You can get in touch with Mark via email at:
firstname.lastname@example.org
Louisa Guthrie ‗79 is chairing the alumni council honorary degree selection committee, See this article for details:
http://alumni.dartmouth.edu /default.aspx?id=438
Susan Luria ‗89 is serving on the Alumni Council Nominating and Alumni Trustee Search Committee. An overview of the committee's mission and a letter from the committee to alumni can be found here:
Admissions stats for Classes of 2013 & 2014:
Northern District (441)
email@example.com
DED – Jay Hole '81 (216) 470-4472 -
Class of 2013
96 total applicants
Regular Decision - 85 total, 11 admits, 3 matrics, 11
Early Decision - 11 total, 2 matrics, 1 wait list, 8 Deny
WL, 11 withdrawn, 2 incomplete, 50 deny
Early Decision - 14, Regular Decision - 20
Class of 2014
Southern District (443)
Class of 2013
DED – Ray Boniface ‗78
43 total applicants
Regular Decision - 42 total, 3 withdrawn or incom-
Early Decision - 1 Deny.
plete, 5 admits, 5 wait list, 3 matriculated.
Early Decision - 3, Regular Decision - 9
Class of 2014
promise, and my promise, to you is to serve this district with excellence and integrity.‖ The full news release can be found on the Dept. of Justice website: http://www.justice.gov/usao/
ohn/
http://alumni.dartmouth.edu
/default.aspx?id=437
Steve Dettelbach '88
was publically sworn in last month as the United States Attorney for the Northern District of Ohio. Mr. Dettelbach stated, ―I am honored to be leading the dedicated and talented career staff at the United States Attorney's Office. Their news/26October2009.html.
More can be read in this article from the Chicago Tribune:
http:// www.chicagotribune.com/ topic/wjw-new-us-attorneytxt,0,3639168.story? track=rss-topicgallery
The Boniface Family
Dartmouth Club Of Northeast Ohio
2010 Dues Request
We appreciate your support. Your dues pay for mailings, newsletters, Club events, recruiting activities and support for undergraduates at Dartmouth from our area. Your dues allow you to attend Club events at a discount.
Dues Schedule
10 years out and less
$ 5.00
11 years out and more $30.00
Dues Dues
$ ____________
$ ____________
$ ____________ $ ____________
Operation Fund (to help defray the Operation Fund (to help defray the normal operating expenses of the normal operating expenses of the Club) Club)
$ ____________
$ ____________
$ ____________ $ ____________
Scholarship Fund (provides Scholarship Fund (provides Scholarship Fund (provides Scholarship Fund (provides schol schol schol scholarship monies to under arship monies to under arship monies to under arship monies to under---- graduates from our area) graduates from our area) graduates from our area) graduates from our area)
$ ____________
$ ____________
$ ____________ $ ____________
Total Total
$$$$
==========
==========
========== ==========
Please make checks payable to Dartmouth Club of Northeast Ohio Dartmouth Club of Northeast Ohio Dartmouth Club of Northeast Ohio. . . . Please mail to:
Elizabeth Sobota, Treasurer 14661 Hillbrook Lane North #7 Chagrin Falls, OH 44022
You may make your payment on the Club web site using a credit card or Paypal account. www.dartmouth.org/clubs/dcneohio
Name ______________________________________________ Class _____________
Address ________________________________________________________________
Phone Number _________________________ E-Mail __________________________
Would you like to opt out of future paper mailings? ________ yes _______ no.
|
UNIVERSITY OF MIAMI
SCHOOL OF MUSIC
DIGITAL WATERMARKING OF AUDIO SIGNALS USING A PSYCHOACOUSTIC AUDITORY MODEL AND SPREAD SPECTRUM THEORY
BY
RICARDO A. GARCÍA
A Research Project
Submitted to the faculty of the University of Miami in partial fulfillment of the requirements for the degree of Master of Science in Music Engineering Technology.
Approved by:
_____________________________
Prof. Ken Pohlmann, Project Advisor Program Director Music Engineering Technology
_____________________________
Prof. Will Pirkle Music Engineering Technology
_____________________________
Dr. Michael Scordilis Electrical and Computer Engineering
Coral Gables, Florida April 21, 1999
TABLE OF CONTENTS
5.1.7 FM RADIO MONO WEAK SIGNAL...................................................................................... 89
LIST OF FIGURES
LIST OF TABLES
DIGITAL WATERMARKING OF AUDIO SIGNALS USING A
PSYCHOACOUSTIC AUDITORY MODEL AND SPREAD SPECTRUM
THEORY
Abstract:
A new algorithm for embedding a digital watermark into an audio signal is proposed. It uses spread spectrum theory to generate a watermark resistant to different removal attempts and a psychoacoustic auditory model to shape and embed the watermark into the audio signal while retaining the signal's perceptual quality. Recovery is performed without knowledge of the original audio signal. A software system is implemented and tested for perceptual transparency and data-recovery performance.
1 INTRODUCTION
Every day the amount of recorded audio data and the possibilities to distribute it (i.e. by the Internet, CD recorders, etc) are growing. These factors can lead to an increase in the illicit recording, copying and distributing of audio material without respect to the copyright or intellectual property of the legal owners. Another concern is the tracking of audio material over broadcast media without the use of human listeners or complicated audio recognition devices. Audio watermarking techniques promise a solution to some of these problems.
The concept of watermarking has been used for years in the fields of still and moving images. The basic idea of a watermark is to include a special "code" or information within the transmitted signal. This code should be transparent to the user (non-perceptible) and resistant against removal attacks of various types.
In audio signals, the desired characteristics can be translated into:
- Not perceptible (the audio information should appear "the same" to the average listener before and after the code is embedded).
- Resistant to degradation because of analog channel transmission. (i.e. TV, radio and tape recording).
- Resistant to degradation because of uncompressed-digital media. (i.e. CD, DAT and wav files).
- Resistant to removal through the use of sub-band coders or psychoacoustic models. (i.e. MPEG, Atrac, etc).
The proposed algorithm generates a digital watermark (i.e. a bit stream) that is spectrally shaped and embedded into an audio signal. Spread spectrum theory is used in the generation of the watermark. The strength of coded direct-sequence/binary-phaseshift keying (DS/BPSK) is used to create a robust watermark. The concepts are adapted to better deal with audio signals in a restricted audio bandwidth. A psychoacoustic auditory model is applied to shape and embed the watermark into the audio signal while retaining its perceptual quality for the average listener.
A complete psychoacoustic auditory model is explained in detail. This information is useful for other applications involving auditory models. The spread spectrum encoding and decoding processes are then presented. The algorithm performs an analysis of the incoming signal and searches the frequency domain for "holes" in the spectrum where the spread spectrum data can be placed without being perceived by the listener. The psychoacoustic auditory model is used to find these frequency "holes."
After transmission, the receiver recovers the embedded spread spectrum information and decodes it in order to reconstruct the original bit stream (watermark). There is no need for the receiver to have access to the original audio signal.
The algorithm is implemented in a software system to create an encoder and decoder, and its performance is evaluated for diverse channels and audio signals. The survival of the watermark (number of correct bytes/second) is analyzed for different configurations of the encoding system. Each one of these configurations is tested for transparency using an ABX listening test and for different channels (i.e. AM Radio, FM stereo radio, Mini Disc, MPEG layer 3, D/A – A/D conversion, etc).
2 PSYCHOACOUSTIC AUDITORY MODEL
An auditory model is an algorithm that tries to imitate the human hearing mechanism. It uses knowledge from several areas such biophysics and psychoacoustics.
From the many phenomena that occur in the hearing process, the one that is the most important for this model is "simultaneous frequency masking." The auditory model processes the audio information to produce information about the final masking threshold. The final masking threshold information is used to shape the generated audio watermark. This shaped watermark is ideally imperceptible for the average listener. To overcome the potential problem of the audio signal being too long to be processed all at the same time, and also extract quasi-periodic sections of the waveform, the signal is segmented in short overlapping segments, processed and added back together. Each one of these segments is called a "frame."
The steps needed to form a psychoacoustic auditory model are condensed in Figure 1. The first step is to translate the actual audio frame signal into the frequency domain using the Fast Fourier Transform. In the frequency domain the power spectrum, energy per critical band and the spread energy per critical band are calculated to estimate the masking threshold. This masking threshold is used to shape the "noise or watermark" signal to be imperceptible (below the threshold). Finally frequency domain output is translated into the time domain and the next frame is processed.
2.1 SHORT TIME FOURIER TRANSFORM (STFT)
The cochlea can be considered as a mechanical to electrical transducer, and its function is to make a time to frequency transformation of the audio signal. To be more specific, the audio information, in time, is translated in first instance into a frequencyspatial representation inside the basilar membrane. This spatial representation is perceived by the nervous system and translated into a frequency-electrical representation.
This phenomenon is modeled using the short time Fourier Transform (STFT). The STFT uses successive, overlapped windows from the time domain input signal. If the input and the window signals are represented in discrete form:
s(m)=input signal in time domain w(n-m)=window in time domain
The short term FT of ) ( ω j Sw is defined as:
where n is an integer representing the time index, and the window, w(n-m) is called an analysis window that determines what section of the input data is being analyzed using the offset index, m. The inverse short term FT is denoted IFT and is defined as:
2.2 SIMULTANEOUS FREQUENCY MASKING AND
BARK SCALE
Simultaneous masking of sound occurs when two sounds are played at the same time and one of them is masked or "hidden" because of the other. The formal definition says that masking occurs when a test tone or "maskee" (usually a sinusoidal tone) is barely audible in the presence of a second tone or "masker." The difference in sound pressure level between the masker and maskee is called the "masking level."[ 1 ]
It is easier to measure the masking level for narrow band noise maskers (with a defined center frequency) and sinusoidal tone maskees. Figure 2 (a) and (b) display some curves that show the masking threshold for different narrow band noise maskers centered at 70, 250, 1000 and 4000 Hz. The level of all the maskers is 60 dB. The broken line represents the "threshold in quiet." Average listeners will not hear any sound below this threshold. Figure 2 (a) uses a linear and (b) uses a logarithmic frequency scales.
The shape of all the masking curves is very different across the frequency range in both graphs. There are some similarities in the shape of the curves below 500 Hz in the linear frequency scale (a), and some similarities above 500 Hz in the logarithmic
frequency scale (b). A more useful scale has been introduced that is known as "critical band rate" or "Bark scale." The concept of the Bark scale is based on the well-researched assumption [ 1 ] that the basilar membrane in the hearing mechanism analyzes the incoming sound through a spatial-spectral analysis. This is done in small sectors or regions of the basilar membrane that are called "critical bands." If all the critical bands are added together in a way that the upper limit of one is the lower limit of the next one, the critical band rate scale is obtained. Also a new unit has been introduced, the "Bark" that is by definition one critical band wide.
Figure 3 (a) and (b) show the relationship between the Bark scale and the linear and logarithmic frequency scales.
Figure 4 shows the same masking curves from Figure 2 in a Bark scale. Notice that the shape of the masking curves is almost identical across the frequency range. Various approximations may be used to translate frequency into a Bark scale [ 2 ]:
and [ 3 ]:
where f is the frequency in Hertz and z is the mapped frequency in Barks.
Eq. ( 3 ) is more accurate, but the Eq. ( 4 ) is easier to compute. Figure 4 shows the excitation level of several narrow band noises with diverse center frequencies in a Bark scale.
2.3 POWER SPECTRA
The first step in the frequency domain (linear, logarithmic or bark scales) is to calculate the power spectra of the incoming signal. This is calculated with:
The energy per critical band, ) (z Spz , is defined as:
with:
z
Zt ,
1,2,… =
z band critical in frequency Lower LBZ =
z band critical in frequency Higher HBZ =
The power spectrum Sp(jω) and the energy per critical band Spz(z) are the base of the analysis in the frequency domain. They will be used to compute the spread masking threshold. Figure 5 shows the power spectrum Sp(jω) and the energy per critical band Spz(z) for a particular frame.
2.4 BASILAR MEMBRANE SPREADING FUNCTION
Figure 6 shows some experimental data of basilar-membrane spreading-curves of a narrow-band noise masking a tone of a given frequency. The level of the masker is varied from 20 dB to 100 dB SPL in steps of 20 dB. Note the difference in the right slope with the different levels. The left side is almost the same for all masker levels.
A model that approximates the basilar membrane spreading function, without taking in account the change in the upper slope is defined [ 3 ]:
where z is the normalized Bark scale. Figure 7 shows ) (z B .
The auditory model uses the information about the energy in each critical band given by Eq. ( 6 ) and uses Eq. ( 7 ) to calculate the spread masking across critical bands ) (z Sm . This is done using:
This operation is a convolution between the basilar membrane spreading function and the total energy per critical band. A true spreading calculation should include all the components in each critical band, but for the purposes of this algorithm, the use of the energy per critical band ) (z Spz is a close approximation. ) (z Sm can be interpreted as the energy per critical band after taking in account the masking occasioned by neighboring bands. Figure 8 shows ) (z Sm .
2.5 MASKING THRESHOLD ESTIMATE
2.5.1 MASKING INDEX
There are two different indexes used to model masking. The first one is used when a tone is masking noise (masker = tone, maskee = noise), and it is defined to be 14.5 + z dB below the spread masking across critical bands ) (z Sm . In this case z is the center frequency of the masker tone using a bark scale. The second index is used when noise is masking a tone (masker = noise, maskee = tone), and is defined to be 5.5 dB below ) (z Sm , regardless of the center frequency [ 4 ].
2.5.2 SPECTRAL FLATNESS MEASURE (SFM) AND TONALITY FACTOR (α )
The spectral flatness measure (SFM) is used to determine if the actual frame is noise-like or tone-like and then to select the appropriate masking index. The SFM is defined as the ratio of the geometric to the arithmetic mean of ) (z Spz , expressed in dB as:
with Zt = total number of critical bands on the signal
The value of the SFM is used to generate the "tonality factor" that will help to select the right masking index for the actual frame. The tonality factor is defined in [ 3 ], [ 4 ] as the minimum of the ratio of the calculated SFM over a SMF maxima and 1:
with dB SFM dB 60 max − = .
Therefore, if the analyzed frame is tone-like, the tonality factor α will be close to 1, and if the frame is noise-like, α will be close to 0. This is shown for different types of frames and they respective spectrums in Figure 9 and Figure 10. The SFM and α are shown in Table 1 and in Table 2, respectively.
Figure 9. Spectrum of different noise+tone frames (a) 100% noise, (b) 75% noise - 25% tone, (c) 50% noise - 50% tone, (d) 25% noise - 75% tone, and (d) 100% tone
| (a) | -0.358655 |
|---|---|
| (b) | -1.85561 |
| (c) | -7.42631 |
| (d) | -21.0325 |
| (e) | -93.42 |
Table 1. SFM and αα for noise+tone frames
Table 2. SFM and αα for noise+harmonic frames
| (a) | -0.358655 |
|---|---|
| (b) | -0.591993 |
| (c) | -2.87729 |
| (d) | -12.1545 |
| (e) | -48.9208 |
The tonality factor α is used to calculate the masking energy offset O(z), defined as [ 3 ], [ 4 ]:
The offset O(z)is subtracted from the spread masking threshold to estimate the raw masking threshold ) (z Traw .
2.5.3 THRESHOLD NORMALIZATION
The use of the spreading function ) (z B increases the energy level in each one of the critical bands of the spectrum ) (z Sm . This effect has to be undone using a normalization technique, to return ) (z Traw to the desired level. The energy per critical band calculated with Eq. ( 6 ) is also affected by the number of components in each critical band. Higher bands have more components than lower bands, affecting the energy levels by a different amount. The normalization used [ 4 ] simply divides each one of the components of ) (z Traw by the number of points in the respective band z P .
Where:
Figure 12 shows the normalized masking threshold Tnorm(z) and the hearing threshold TH.
2.5.4 FINAL MASKING THRESHOLD
After normalization, the last step is to take in to account the absolute auditory threshold or "hearing threshold." The hearing threshold varies across the frequency range as stated in Zwicker and Zwicker [ 1 ]. In the proposed auditory model the hearing threshold will be simplified to use the worst case threshold (the lowest). That is defined as a sinusoidal tone of 4000 Hz with one bit of dynamic range [ 4 ]. These values are chosen based on the data from experimental research that shows that the most sensitive
range of the human ear is in the range of 2500 to 4500 Hz [ 1 ]. For a frequency of 4000 Hz, the measured sound intensity is 10 -12 Watt/m 2 , that equals a loudnes of 0 phons at that frequency [ 12 ].The chosen amplitude (one bit) is the smallest possible amplitude value in a digital sound format. The hearing threshold is then calculated with [ 4 ]:
where:
The final threshold ) (z T is:
2.6 NOISE SHAPING USING THE MASKING
THRESHOLD
The objective of the auditory model is to find a usable masking threshold. The final masking threshold is always compared with the values of the power spectrum of the signal ) ( ω j Sp . This can be interpreted as "below this threshold, the information is not relevant for human hearing." This means that if the frequency components that fall below the masking threshold are removed; the average listener will notice no difference between the original sound signal and the altered version.
Another very important consequence of this is that if these components are not just discarded but replaced with new components they will be, as before, inaudible for the listener. This assumes that the new components do not change the average energy
considerably in their critical band. Let the frame with the new components be called ) ( ω j N . The objective is to use the final masking threshold to select which components from ) ( ω j Sp can be replaced with components from ) ( ω j N . The components of ) ( ω j N are shaped to stay below the final masking threshold. The final signal, that includes components from ) ( ω j Sw and ) ( ω j N , ideally retains the perceptual quality of the original signal for the average listener.
The following steps are used to remove the components from ) ( ω j Sw , shape the vector ) ( ω j N and mix them:
Calculate the "new" version of the sound signal (after removing some components):
Remove the unneeded components in the ) ( ω j N vector:
Calculate the power spectrum of ) ( ω j Nnew :
and then, the energy per critical band:
with:
z
Zt ,
1,2,… =
z band critical in frequency Lower LBZ =
z band critical in frequency Higher HBZ =
The shaping is done applying a factor z F to each critical band. These factors are given by:
The coefficient A is used as the "gain of the noise signal". Varies from 0 to 1 and weights the embedded noise below the threshold of masking. The factors z F are applied using:
The final step is to mix both spectrums, the altered ) ( ω j Swnew and the shaped ) ( ω j Nfinal to form the composite signal ) ( ω j OUT :
2.7 DISCUSSION
In this chapter, a complete psychoacoustic auditory model was introduced, and the intended application of shaping the noise using the masking threshold was explained step by step. This will be used in the watermarking algorithm to embed the watermark into the audio signal while retaining the perceptual quality of the original audio signal. The next chapter will cover the watermark generation.
3 SPREAD SPECTRUM
One of the requirements of a watermarking algorithm is that the watermark should resist multiple types of removal attacks. A removal attack is considered as anything that can degrade or destroy the embedded watermark. Another factor to be considered is that the masking threshold of the actual audio signal determines the embedding of the watermark, because the watermark is embedded in the "spare components" found using the psychoacoustic auditory model. From this point of view, the watermark has to be the least intrusive to the audio signal, and therefore, the actual audio data can be seen as the main obstacle for a good watermarking algorithm. This is because the audio will use all the needed bandwidth and the watermark will use what is left after the auditory model analysis.
The desired watermarking technique should be resistant to degradation because of:
- The used transmission channel: analog or digital.
- High-level wide-band noise (in this case, the "noise" is the actual audio signal). This is often related as "low signal to noise ratio".
- The use of psychoacoustic algorithms on the final watermarked audio.
A communication theory technique that meets the requirements is the "spread spectrum technique", as described thoroughly in Simon et al. [ 5 ] and Pickholtz et al. [ 6 ].
"Spread spectrum is a means of transmission in which the signal occupies a bandwidth in excess of the minimum necessary to send the information; the band spread is accomplished by means of a code which is independent of the data, and a synchronized reception with the code at the receiver is used for despreading and subsequent data recovery." [ 6 ]
In the following analysis, the process of generating a watermark that will be embedded in an audio signal is expressed in spread spectrum terminology. The original audio signal will be called "noise" and the bit stream that conforms the watermark sequence will be the data signal. The watermark sequence is transformed in a watermark audio signal and then the audio signal (noise) is added to it. This process of adding noise to a channel or signal is called "jamming." The objective of a jammer in a communication system is to degrade the performance of the transmission, exploiting knowledge of the communication system. In the watermark algorithm the audio signal (i.e. music) is considered the jammer, and it has much more power than the transmitted bit stream (watermark).
3.1 BASIC CONCEPTS
The primary challenge that a receiver must overcome is intentional jamming, especially if the jammer has much more power than the transmitted signal. Classical communications theoretical investigations about additive white Gaussian noise help to analyze the problem. White Gaussian noise is a signal which has infinite power spread uniformly over all frequencies; but even under these circumstances communication can be achieved due to the fact that on each of the "signal coordinates" the power of the noise component is limited (not infinite). Therefore, if the noise component in the signal coordinates is not too large, communication can be made. This is usually applied in a typical narrow-band signal, where just the noise components in the signal bandwidth are taken into account as possible factors that can do harm to the communication. With this knowledge, the best strategy to combat intentional jamming is to select signal coordinates where the jammer to signal ratio is the smallest possible.
Assume a communication link with many signal coordinates available to choose from, and only a small subset of these is used at any time. If the jammer can not determine which subset is being used, it is forced to jam all the coordinates and therefore, all its power will be distributed among all the coordinates, with little power in each of them. If the jammer chooses to jam only some of the coordinates, the power over each of them is larger, but the jammer lacks the knowledge of which coordinates to jam. The protection against the jammer is enhanced, as more signal coordinates are available to choose from.
Having a signal of bandwidth W and duration T, the number of coordinates available is given by:
T is the time used to send a standard symbol. To make N larger when T is fixed, two techniques can be applied:
Direct sequence spreading (DS)
Frequency hopping (FH)
The signals created with these techniques are called "spread spectrum signals."
3.1.1 MODELS AND FUNDAMENTAL PARAMETERS
The basic system is shown in Figure 13, with the following parameters:
Wss = Total spread spectrum signal bandwidth available
S = Signal power (at the input of the receiver)
Rb = Data rate ( bits / second )
J = Jammer power (at the input of the receiver)
Wss is defined as the total available spread spectrum bandwidth that could be used by the transmitter, but it is not guaranteed that it will be used during the actual transmission. Neither is it guaranteed that the spectrum will be continuous. Rb is the uncoded bit data rate used during transmission. The signal and the jammer powers S and J are the averaged power at the receiver. This does not change even if the jammer and/or the signal are pulsating.
Regardless of the signal and jammer waveforms, equivalent bit energy to jammer noise ratio is defined as:
And the processing gain is defined as:
where ratio power signal jammer to = S J
Translating to decibels, the bit energy-to-jammer noise ratio:
where:
3.1.2 JAMMER WAVEFORMS
The number of possible jammer waveforms that a jammer can apply to a communication system is infinite, but the two principal types will be analyzed and the result will be used to determine some desired characteristics of the system.
126.96.36.199 Broadband and Partial-Band Noise Jammers
A broadband noise jammer spreads Gaussian noise of a total power J evenly over the total frequency range of the spread bandwidth Wss. This is shown in Figure 14.
The equivalent single sided noise power spectral density is:
The signal energy per bit is STb where
In this case, Eq. ( 29 ) is exactly the bit energy to jammer noise ratio.
The only knowledge of the communication system that the broad band noise jammer is exploiting is its spread bandwidth WSS. The bit error probability of this system with a broadband noise jammer is the same that with additive white Gaussian noise of one-sided spectral density equal to NJ. A partial band noise jammer is shown in Figure 15:
This noise jammer spreads noise of total power J evenly over a frequency range of bandwidth WJ, which is contained in the total spread bandwidth Wss. Then, ρ is defined as the ratio:
This is the fraction of the total spread spectrum bandwidth that is being jammed. That band has a noise of total power J, and spectral power density:
188.8.131.52 Pulse Jammer
When a jammer transmits the jammer waveform during a fraction ρ of the time, the average power is J, but the peak power during transmission is given by:
3.2 COHERENT DIRECT-SEQUENCE SYSTEMS
Coherent direct-sequence systems use a pseudorandom sequence and a modulator signal to modulate and transmit the data bit stream. The main difference between the uncoded and coded versions is that the coded version uses redundancy and "scrambles" the data bit stream before the modulation is done and reverses the process at the reception. The watermarking algorithm uses the coded scheme, but the uncoded is studied because is easier to understand and is the foundation of the coded scheme.
3.2.1 UNCODED DIRECT-SEQUENCE SPREAD BINARY PHASESHIFT-KEYING
Uncoded Direct-Sequence Spread Binary Phase-Shift-Keying is known as uncoded DS/BPSK. It may be explained with a simple example. BPSK signals are often expressed as:
where
T
b
is the data bit time
1
b
R
{ } n d is the sequence of data bits, with the possible values of 1 or –1; and equal probability of occurrence.
Eq. ( 33 ) can be expressed as:
BPSK can be seen as phase modulation in Eq.( 33 ) or amplitude modulation in Eq. ( 34 )).
The spectrum of a BPSK signal is usually of the form shown in Figure 16:
This is a 2 ) (sin x x function, and the first null bandwidth is b T 1 . This shows the minimum bandwidth needed to transmit the signal s(t) and to recover it at the receiver.
Spread spectrum theory requires the signal to be spread over a larger spectrum than the minimum needed for transmission. The spreading of the direct sequence is done using a pseudorandom (PN) binary sequence { } c . The values of this sequence are 1 or –1 and its speed is N times faster than the { } d data rate. The time, Tc, of each bit on a PN sequence is known as a "chip" and is given by:
The direct sequence spread spectrum signal has the form:
The signal is very similar to the common BPSK, except that the bit rate is N times faster and the power spectrum is N times wider:
The processing gain is given by:
WSS is the direct sequence spread spectrum bandwidth b c T N T 1 1 = .
If the data function is defined as:
and the PN sequence is:
Eq. ( 36 ) can be expanded as:
Figure 18 shows the block diagram for the normal DS/BPSK modulation; and Figure 19 shows an equivalent model used in the next step of the analysis. Figure 20 shows the signals d(t), c(t) and c(t)d(t) with N=7.
where
This is the original BPSK signal. The property:
is the key point exploited to "recover" the original BPSK signal:
If the receiver possesses a copy of the PN sequence and can synchronize the local copy with the received signal x(t), it is able to de-spread the signal and recover the transmitted data.
184.108.40.206 Constant Power Broadband Noise Jammer
A jammer, J(t), with constant power J is shown in Figure 21:
From Figure 19, the equivalent form of ) (t x is given by:
The system is also assumed to have no noise from the transmission channel. An ideal BPSK demodulator is assumed after the received signal y(t) is multiplied by the PN sequence. The channel output is:
This is multiplied by the PN sequence c(t):
This term shows the original BPSK signal plus a noise given by c(t)J(t). The output of the conventional BPSK detector is then:
where:
d is the data bit for the actual T second interval.
b Eb=STb is the bit energy. n is the equivalent noise component.
n is further defined as:
The usual decision rule for BPSK is:
Therefore the bit error probability can be found. Assume d=-1 (without losing the generality):
This bit error probability depends on the random variable n from Eq. ( 48 ). The noise component is computed during N bits of the PN code, where a single data bit is transmitted, using:
where {c0,c1,…cN-1} are the N PN bits during the transmitted data bit.
It can be defined:
If it is assumed that the jammer is transmitting broadband Gaussian noise of one-sided power spectral density, this leads the terms nk to be independent Gaussian random variables with zero mean and variance NJ/2. Hence, the n defined on Eq. ( 51 ) can be rewritten as:
Eq. ( 53 ) is a zero mean Gaussian random variable with variance NJ/2. For a jammer with continuous broadband noise of constant power J, the uncoded bit error probability is:
with:
Eq. ( 55 ) is the Gaussian probability integral [ 5 ]. Applying Eq. ( 24 ) and Eq. ( 37 ):
This bit error probability is based on the assumption that the PN sequence { } c is approximated as an independent binary sequence.
220.127.116.11 Pulse Jammer
Suppose that the jammer is not on all the time, but transmits pulses with higher power for a fraction of the time. It can be defined that ρ is the fraction of the time that the jammer is on, and NJ/ρ is the jammer power spectral density. It is important to note that the average power of the jammer is still J, although the power during a pulse is higher, and equal to J/ρ.
In this analysis it is also assumed that the jammer is on a period of time that is equal or greater than T b (the data bit time). The particular data bit will encounter the jammer on or off during the whole T b with probabilities equal to ρ and 1ρ respectively. The cases where the jammer is on a period of time less than T b are ignored. The output of the detector in Figure 21 is represented now by:
where n is the noise term injected by the jammer. This is a Gaussian random variable with zero-mean and variance NJ/2ρ. Z is a random variable independent of n with a probability of occurrence equal to:
This random variable Z specifies if the jammer is on during a particular data bit Tb. The bit error probability is then:
When the jammer is off, the probability is reduced to:
Figure 22 shows the values of Pb versus Eb/NJ for some values of ρ.
The value that maximizes Pb is the derivative of Eq. ( 59 ) with respect to ρ. This value is called ρ* and is given by:
The maximum bit error probability is then:
The difference between a constant power jammer (ρ=1) and the worst case jammer (ρ=ρ*) can be seen in Figure 23. These results apply only to uncoded DS/BPSK systems. Note that for a bit error probability of 10 -5 there is almost a 30 dB difference in Eb/NJ. A pulse jammer with the same average power than a constant power jammer can be more disruptive to the DS/BPSK system.
-1
60
3.2.2 CODED DIRECT-SEQUENCE SPREAD BINARY PHASESHIFT-KEYING
To overcome the damage done with pulse jamming, several types of coding techniques can be used. The techniques provide extra gain and force the worst case jammer to be a constant power jammer. Coding techniques usually require the data rate to be decreased or the bandwidth increased because of the redundancy inherent to the coding. In spread spectrum systems, coding does not require an increase of the bandwidth or decrease of the bit rate. These properties can be seen in a simple example. If k=2 (constant length) the rate is R=1/2 bits per coded symbol of convolutional code. For each data bit of the sequence { } d , the encoder generates two coded bits. For the k th transmission interval, the two data bits are:
where:
a =
1 k
k
d
If Tb is the data bit time, each coded bit time is given by:
Defining:
In Figure 24 the uncoded data signal d(t), the PN sequence c(t) and the coded signal a(t) are shown for N=6. In Figure 25 the multiplicated signals d(t)c(t) and a(t)c(t) are shown. With ordinary BPSK, the coded signal a(t) would have twice the bandwidth of the uncoded signal; but after spreading with the PN sequence, the final bandwidth is the same as the original.
T
Figure 25. Coded and uncoded signals after spreading
One of the simplest coding schemes is the "repeat code." It sends m bits with the same value, d, for each data bit. The rate is then R=1/m bits per coded symbol. In this case, the resulting coded bits are:
where:
Also, each coded bit ai has a transmission time of:
It is very important to note that if m<N, the bandwidth of the spread signal does not change. The complete coded DS/BPSK system is shown in Figure 26.
The interleaver scrambles the bits in time at the transmission, and the deinterleaver reconstructs the data sequence at the receiver. After the interleaver, the signal is BPSK modulated and then multiplied by the PN sequence. At this point the transmitted DS/BPSK signal looks like the one in Eq. ( 41 ).
)
where s(t) is the common BPSK (with coding). The input at the receiver is the same as that in Eq. ( 45 ):
After multiplication with c(t) (de-spreading), it becomes Eq. ( 46 ):
The output of the detector after the de-interleaver is given by:
where n1,n2,…nm are independent zero mean Gaussian random variables with variance NJ/(2ρ). ρ is the fraction of time that the pulse jammer is on, and Zi is the jammer state:
With probability equal to:
18.104.22.168 Interleaver and Deinterleaver
The idea of using an interleaver to scramble the data bits at transmission and a deinterleaver to unscramble the bits at reception causes the pulse jamming interference on each affected data bit to be independent from each other.
In the ideal interleaving and deinterleaving process, the variables Z1,Z2,…,Zm become independent random variables. Assume that there is no interleaver and/or deinterleaver in the system shown in Figure 26. The output of the channel is given by:
and because there is no interleaver/deinterleaver:
Also, it is assumed that the jammer was on during the whole data bit transmission Tb. Because there is no interleaver/deinterleaver, the optimum decision rule is:
Eq. ( 49 ) is used as a decision rule:
If it is assumed that d=-1, the error probability is:
This bit error probability is the same for uncoded DS/BPSK; this means that without a interleaver/deinterleaver, there is no difference between uncoded systems and simple repeat code systems. Therefore, the use of a interleaver/deinterleaver is mandatory in order to achieve a good error probability measure against a pulse jammer.
Selection of the decision technique that determines the value of the coded bits { } r requires knowledge about the state of the channel. With an ideal interleaver/deinterleaver, the output of the channel is given by Eq. ( 70 ):
where Z1,Z2,…,Zm and n1,n2,…,nm are considered to be independent random variables. The decoder takes r1,r2,…,rm and finds d1,d2,…,dm with possible values of 1 or –1. This analysis is valid only for the instances where the state of the channel is unknown (there is no information regarding the state of the jammer signal).
22.214.171.124.1 Hard Decision Decoder
The hard decision decoder performs a binary decision on each coded bit received:
The final decision in decoding the transmitted bit is:
If m is an odd integer, the probability of error is the probability that (m+1)/2 or more of the m symbol decisions are in error. The probability that a single coded symbol is in error is:
The overall bit error probability is given with the probability that more than half of the m coded symbol decisions are in error.
Figure 27 shows the plot of Pb versus Eb/NJ for a repeat length m=3. Figure 28 and Figure 29 show the same plot for m=5 and m=9, respectively.
24
Figure 28. Repeat code m=5 with unknown jammer state/hard decision [ 5 ]
126.96.36.199.2 Interleaver Matrix
The interleaving techniques will improve the performance in pulse jammer environments because it makes the noise components become statistically independent variables. A block interleaver with depth I=5 and interleaver span H=15 is shown in Figure 30. The coded symbols are written to the interleaver matrix along columns, while the transmitted symbols are read out of the matrix along rows. If the coded symbol sequence is x1,x2,x3… the sequence that comes out of the interleaver matrix is x1,x16,x31,x46,x61,… . At the receiver, the deinterleaver performs the inverse process, writing symbols into rows and reading them by columns. A jamming pulse of duration b symbols, with I b ≤ will result in these jammed symbols at the deinterleaver output to be separated at least by H symbols.
Figure 30. Interleaver matrix with I=5 and H=15
| X 1 | X 16 | X 31 | X 46 |
|---|---|---|---|
| X 2 | X 17 | X 32 | X 47 |
| X 3 | X 18 | X 33 | X 48 |
| X 4 | X 19 | X 34 | X 49 |
| X 5 | X 20 | X 35 | X 50 |
| X 6 | X 21 | X 36 | X 51 |
| X 7 | X 22 | X 37 | X 52 |
| X 8 | X 23 | X 38 | X 53 |
| X 9 | X 24 | X 39 | X 54 |
| X 10 | X 25 | X 40 | X 55 |
| X 11 | X 26 | X 41 | X 56 |
| X 12 | X 27 | X 42 | X 57 |
| X 13 | X 28 | X 43 | X 58 |
| X 14 | X 29 | X 44 | X 59 |
| X 15 | X 30 | X 45 | X 60 |
3.3 SYNCHRONIZATION OF SPREAD-SPECTRUM SYSTEMS
Because a pseudorandom sequence PN is used at the transmitter to modulate the signal, the first requirement at the receiver is to have a local copy of this PN sequence. The copy is needed to de-spread the incoming signal. This is done by multiplying the incoming signal by the local PN sequence copy. To accomplish a good de-spreading, the local copy has to be synchronized with the incoming signal and the PN sequence that was used in the spreading process.
The process of synchronization is usually performed in two steps: first, a coarse alignment of the PN sequence is done with a precision of less than a "chip." This is called "PN acquisition." After this, a fine synchronization takes care of the final alignment and corrects the small differences in the clock during transmission. This is called "PN tracking." Theoretically, acquisition and tracking can be done in the same step with a
structure of matched filters or correlators searching with high resolution the incoming signal and comparing it with the local PN sequence.
3.3.1 FAST FOURIER TRANSFORM (FFT) SCALAR FILTERS
These filters are implemented in the frequency domain, and they use the Fast Fourier Transform (forward and backward). They work over a set of N samples (usually in the frequency domain) [ 7 ]. The block diagram of an adaptive digital filter is shown in Figure 31
Post
where:
s(n)
is the input signal r(n)
n(n) is the noise (unwanted) signal
R(m) is the frequency representation of the signal (n)
is the input to the filter
H(m) is the transfer function of the filter
G(m)
C(m) is the output (in frequency domain) after the filter is applied
P(m)
is the output after the post-processing filter is the transfer function of the post-processing filter
p(n) is the output signal in the time domain
The following relationships are given:
188.8.131.52 High-resolution Detection FFT Scalar Filter
The high-resolution detection filter outputs a peak when the desired signal s(n) and noise n(n) are applied to it. The transfer function is given by:
This version of high-resolution detection assumes that the noise and the signal are uncorrelated (orthogonal). The output of this filter C(m) must be transformed to the time domain to detect the level and the position of the peak on the output vector c(n). This position can be interpreted as the exact point where the desired signal starts within the processed set of samples N.
184.108.40.206 Adaptive Filtering
Adaptive filters require a learning process and use adaption techniques to form the transfer function of the desired filter H(m). The components of the transfer function are updated periodically with actual values taken from the signal or with estimates made using stored data. The class 1/3 high-resolution detection filter is given by [ 7 ]:
where S*(m) is the conjugate of the spectrum of the desired signal to detect and ) (m R is the magnitude of the spectrum of the actual input of the system.
The expression ) (m R is used to denote the "smoothing" process. This process is done to estimate the average spectrum of the signal plus noise from the actual input of the system. The smoothing used is called "inner block averaging" or "frequency domain averaging" and it is defined as:
The frequency averaging window B(jω) is convolved with the spectrum of the input signal. This is equivalent to a temporal weighting of the input r(t) by b(t) in the time domain. The window is usually selected to be a percentage of the input vector length.
3.4 DISCUSSION
In this chapter the spread spectrum communication technique was introduced and the Coded Direct-Sequence Spread Binary Phase-Shift-Keying (coded DS/BPSK) was explained in detail. The characteristics that make the coded DS/BPSK fit the requirements of the watermarking algorithm were also emphasized. It is important to note that literature about the communication systems is usually focused on high-speed data channels. In the watermarking algorithm, the same principles are applied, but adapted to audio frequencies and low-speed data channels.
In the proposed watermarking algorithm, the watermark bit stream is considered the data information to be spread, to form a "watermarked audio signal." The actual "audio signal" (i.e. music) is considered as the jammer signal. A special characteristic of this system is that the jammer is stronger than the data and eventually "more important." The recovery of the watermark bit stream requires knowledge of some of the parameters used in its generation.
4 PROPOSED SYSTEM
Different systems have been applied to watermarking of audio signals. All of them are classified as "steganographic systems" because they deal with the concept of hiding data within the signal. Boney et al. [ 23 ] proposed a system where a PN sequence was filtered using a filter that approached the masking characteristics of the human auditory system in the frequency and time domains. Some other techniques have been imported from the fields of video and still image watermarking. Cox [ 24 ] proposes a multiplatform system capable of extract a pseudorandom sequence without the use of the original unwatermarked data.
The watermarking algorithm proposed in this paper mixes the psychoacoustic auditory model and the spread spectrum communication technique to achieve its objective. It is comprised of two main steps: first, the watermark generation and embedding and second, the watermark recovery. The watermark is an audio waveform obtained by the use of spread spectrum techniques with a digital bit stream. The input audio signal (i.e. music) is analyzed using the psychoacoustic auditory model to find the final masking threshold. This information is then used to shape and embed the watermark into the audio signal, retaining its perceptual quality. All the audio waveforms are assumed to be in the same sound digital format (i.e., PCM).
4.1 WATERMARK GENERATION AND EMBEDDING
4.1.1 WATERMARK GENERATION
The objective of the watermark generation is to generate a watermark audio signal x(t) that contains the watermark bit stream data. This watermark signal can be transmitted and then processed for data recovery. The technique used to generate the watermark signal x(t) is the "coded DS/BPSK spread spectrum." The process is condensed in Figure 32.
where:
{ } w is the original digital bit stream(watermark)
mis the repetition code factor
I,H
{ } R w is the watermark after the coding process (repeat code)
= width and length of the interleaver matrix
{ } w
I
is the watermark after the interleaver process header
{ }
{ } { d =
} { }
= is the header sequence
=
w
header + =sequence to be spread and transmitted
f
I
0
= frequency used by the BPSK modulator
The process can be explained with a simple example: Let { } w be the watermark bit stream. All the bit streams used are bipolar (value 1 or –1). Defining { } w with a length of 16 bits as the sequence:
Using Eq. ( 67 ) to generate the repeat code, and choosing m=3, the { } R w sequence is:
The next step is to perform interleaving. To do this, the values of the interleaving matrix are chosen; in this case, I=5, H=10, (see Figure 30). The resulting matrix is shown in Figure 33:
Figure 33. Interleaver matrix
| 1 | 1 | -1 | -1 |
|---|---|---|---|
| 1 | -1 | -1 | -1 |
| 1 | -1 | -1 | 1 |
| 1 | -1 | 1 | 1 |
| 1 | -1 | 1 | 1 |
| -1 | -1 | 1 | 1 |
| -1 | -1 | 1 | 1 |
| -1 | 1 | 1 | 1 |
| 1 | 1 | 1 | 1 |
The last two spaces are padded with 1's. Using the interleaving matrix, the output sequence { } I w is:
The selected header is a sequence usually composed by 1's.
```
{ } { } 1 1 1 1 1 1 1 1 1 1 = header The final data sequence { } d is obtained concatenating the { } header and the { } I w : { } { } { } { } } 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 { − − − − − − − − − − − − − − − − − − − − − = + = d w header d I
```
The PN sequence { } c can be generated by any means. Usually this is done using a pseudorandom number generator. In this case, the PN sequence is assumed to be long enough to spread a complete bit stream (header and data) without repeating any portion of it. The important factor is that the transmitter and the receiver must have a copy of the whole PN sequence{ } c . This sequence is ideally uncorrelated with the { } d sequence, and has the form:
{ } { = c
}
K
1 1 1 1 1 1 1 1 1 1 1 1
−
−
− −
−
=
220.127.116.11 Spread Spectrum Parameter Selection
Audio signals are usually considered to be baseband signals [ 21 ]. The described spread spectrum technique can be applied to passband systems (with f0>0) or baseband systems (f0=0) without losing generality.
The selection of all the parameters is based on the considerations of how the overall watermarked audio signal will be transmitted or stored. The frequency response of those systems determines which frequencies are likely to be present at the receiver.
Let a baseband bandlimited signal, with no modulation (f0=0) have the magnitude spectrum shown in Figure 34:
2*Rc
Figure 34. Baseband System Parameters
With amplitude modulation (f0>0), the spectrum will have the form shown in Figure 35:
where FS is the sampling frequency of the system. To avoid aliasing because of the use of modulation, the modulation frequency should be:
If a system possesses a lower frequency limit LF and/or an upper frequency limit HF, the modulation frequency f0 have to be selected in a way that the sidebands fall between the lower an upper limits, as shown in Figure 36.
If a sideband falls outside of these limits, aliasing or data loss could result. Taking into account, the selection of parameters should be done using:
The parameters selected must satisfy Eq. ( 85 ) and Eq. ( 86 ), along with the following relationships:
R = is the data bits per second d m = is the repetition code factor N = is the spreading factor, Eq. ( 37 ) R b = R d *m is the coded bits per second T b = 1/R b is the time of each coded bit R c =N*R b is thePN sequence bits per second T c =Tb/N is the time of each PN bit or "chip"
Assuming a frequency response similar to FM Radio [ 22 ] with LF = 50 Hz and HF = 15000 Hz, for the actual example, a set of spread spectrum parameters that satisfy all the requirements is:
Note that N and m are selected with small values for this example. The modulation is done using Eq. ( 42 ):
The spreading is done using Eq. ( 41 ):
The output of the system is the watermarked audio waveform x(t) shown in Figure 37:
4.1.2 FRAME SEGMENTATION
To overcome the potential problem of the audio signal or the watermark signal being too long to be processed using a single FFT, the signal is segmented in short overlapping segments, processed and added back together [ 8 ]. Another consideration for the watermark algorithm is that the audio signal has to be longer than the watermark signal. Therefore, the watermark can be repeated several times during the duration of the audio signal. This redundancy is one of the important features in the watermarking algorithm. Figure 38 shows audio and watermark signals that will be segmented. The watermark is repeated several times.
Figure 38. Frame segmentation and watermark redundancy
Audio Signal
Watermark signal
LENGTH
FRAME
If the total length of the audio signal is LENGTH samples, the desired length of the analysis frame is BLOCK samples, and the overlap between consecutive frames is OVERLAP samples, the total number of FRAMES is given by:
In Figure 38 two equal length frames were selected to be processed. One from the audio signal and the other from the respective point in the watermark signal. The last frame is zero-padded if it is shorter than BLOCK samples. These padded samples are discarded in post processing. From this point on, all processes described are applied to the audio or watermark signal frames, not the entire signal.
4.1.3 FREQUENCY REPRESENTATION
The Short Time Fourier Transform (STFT) discussed in section 2.1 is used to acquire a frequency representation of the actual frames. Before doing the STFT, a Hamming window is applied to both signals [ 7 ], [ 8 ]. This improves the representation of the signal in the frequency domain reducing the leakage. If s(t) is the actual audio signal frame and x(t) the actual watermark signal frame, then the windowing is done using:
xw) () () (
t w t x t =
( 89 )
The Hamming window is defined as:
For the frequency representation of the audio frame, Eq. ( 1 ) is used:
and the watermark frame:
The power spectra is found using Eq. ( 5 ):
with:
Figure 39 (a) shows the original audio frame s(t) in the time domain and the shape of the Hamming window w(t); (b) shows the sw(t) frame after the windowing process; (c)
The indices of the actual frequency representations have to be mapped to the Bark scale. Once this index mapping is done, the representation in the critical band scale is formed by mapping the components to the respective position on the critical band axis. The relationship between each component index, i, and the corresponding frequency, fi, that it represents is given by:
The relationship between each frequency fi and the bark scale or critical band scale zI is found using Eq. ( 3 ):
This relationship between each component index i and the frequency fi or critical band zi that it represents can be calculated at the beginning of the algorithm and stored in a table.
The energy per critical band is calculated using Eq. ( 6 ):
shows the magnitude of ) ( ω j Sw , and (d) shows the power spectrum ) ( ω j Sp and the energy per critical band ) (z Spz .
4.1.4 BASILAR MEMBRANE SPREADING FUNCTION
The basilar membrane spreading function determines how much of the energy of each critical band is contributed to the neighboring bands. The spreading function B(z) is calculated using Eq. ( 7 ):
The spreading across bands is computed by the convolution of the spreading function B(z) and the energy per critical band ) (z Spz ,using Eq. ( 8 ):
Figure 40 (a) shows the energy per critical band ) (z Spz , (b) shows the spreading function B(z) for 9 points, and (c) shows the spread energy per critical band Sm(z).
4.1.5 MASKING THRESHOLD ESTIMATE
The Spectral Flatness Measure (SFM) of the actual audio frame ) ( ω j Sw is taken using Eq. ( 9 ):
with Zt = total number of critical bands in each frame
The energy per critical band ) (z Spz is used rather than spread energy per critical band Sm(z) to avoid false results due to smoothing of the signal. The tonality factor α is then calculated using Eq. ( 10 ):
with dB SFM dB 60 max − = .
The masking energy offset O(z) is then calculated using Eq. ( 11 ):
The raw masking threshold, Traw(z), is calculated with Eq. ( 12 ):
The raw masking threshold is normalized using Eq. ( 13 ):
where:
To calculate the final masking threshold T it is necessary to first calculate the hearing threshold (or threshold in quiet) TH. It is defined as a sinusoidal tone of 4000 Hz with one bit of dynamic range. Using Eq. ( 14 ):
where:
Then the final masking threshold T is calculated using Eq.( 15 ):
) ), ( max( ) ( TH z Tnorm z T =
with: z=1,2,….Zt
Figure 41 (a) shows the raw masking threshold Traw(z) and (b) shows the normalized threshold Tnorm(z).
4.1.6 WATERMARK SPECTRAL SHAPING
The final masking threshold T is used to determine which components of the audio signal ) ( ω j Sw can be removed without affecting the perceptual quality of the signal. The power spectrum ) ( ω j Sp is compared against the final masking threshold T. The components that fall below it are removed in ) ( ω j Sw . The new frame with only the components above the threshold is called ) ( ω j Swnew . Eq. ( 16 ) is used:
Then the unneeded components of the watermark signal ) ( ω j Xw are removed. These components correspond to the non-removed components in ) ( ω j Sw . Eq.
( 17 ) is used:
The factors that will shape the new watermark, ) ( ω j Xwnew , are found using Eq. ( 20 ):
The square root of the final threshold is divided by the maximum magnitude component found in the energy of the new watermark in each critical band. Each one of these factors is scaled using the gain A, that varies from 0 to 1, and controls the overall magnitude of the watermark signal in relation with the audio signal.
Each one of the components in each critical band k is scaled by the corresponding factor using Eq. ( 21 ):
Figure 42 shows the final masking threshold and the watermark signal before shaping (a) and after shaping (b). Note that the watermark falls below the threshold of masking. The factor A gives control of "how much gain" will have the watermark related with the masking threshold (A is a value from 0 to 1).
4.1.7 AUDIO AND WATERMARK SIGNAL COMBINATION
The final output ) ( ω j OUT is the sum of the new audio, ) ( ω j Swnew , and the final watermark ) ( ω j Xfinal . This is given by the Eq. ( 22 ):
)
Figure 43 shows the final masking threshold Tfinal(z), and the power spectrum of (a) Swnew(jω), (b) Xfinal(jω), and (c) OUT(jω).
4.1.8 TRANSFORMATION TO THE TIME DOMAIN
The Inverse Fourier Transform is used to convert the frequency domain information back to the time domain. Using Eq. ( 2 ):
This output frame out(t) is added to the correspondent point at the total time domain output output(t). The next frames of audio and watermark signals are taken, and the process is repeated.
4.2 DATA RECOVERY
The watermarked audio signal is intended to be transmitted through a diverse number of channels. In some cases, the channel will introduce noise, convert several times from digital to analog and analog to digital, or even use a psychoacoustic auditory model to process the audio signal. The watermark bit stream should survive the transmission and be recoverable.
A very important characteristic is that the developed system does not require access to the original audio signal (before watermark) to extract the watermark at the receiving. The process of recovery uses the psychoacoustic auditory model, but in this case the goal is to remove all the audio components that have less probability of belonging to the watermark signal. This means that the masking threshold is calculated and the components above it are removed. The final signal is the "residual." This residual is then analyzed to find the possible points where the watermark is present. If some criterion is applied, the majority of the false points detected can be eliminated (i.e. rejecting points too close to fit a watermark). Synchronization and recovery of the watermark bit stream are then performed.
4.2.1 MASKING THRESHOLD AND RESIDUAL SIGNAL
The watermarked audio signal after the transmission is symbolized as s2(t). The process described in sections 4.1.2 to 4.1.5 is used to calculate the frames sw2(t), frequency representation ) ( 2 ω j Sw ,and masking threshold T2, respectively.
The residual signal ) ( ω j R is defined as the signal composed of the components below the masking threshold. Eq. ( 16 ) can be changed to:
4.2.2 RESIDUAL EQUALIZATION
The spectrum of the residual ) ( ω j R is then shaped to be flat. Eq. ( 20 ) can be modified to shape all the maximum components of each band to be at equal levels. The factors are found using:
Each one of the components in each critical band z is scaled by the corresponding factor Fz using Eq. ( 21 ):
4.2.3 TIME DOMAIN RESIDUAL
The residual is taken back to the time domain using the Inverse Short Time Fourier Transform IFT. Using Eq. ( 2 ):
The time domain r(t) frame is added to the total time domain residual signal residual(t) at the point specified by the frame segmentation step. The next frame is then processed.
4.2.4 SYNCHRONIZATION WITH WATERMARK HEADER
To be able to synchronize and to have a good de-spreading of the watermark signal, it is necessary to have knowledge of the parameters used at the generation of the watermark signal, such as f0, Tb, m, H, I, N, { } header ,{c}, etc.
18.104.22.168 header(t) Signal Generation
The first step is to generate a header(t)
waveform signal using the process of section 4.1.1, except that only the
{ }
header sequence is used as the input sequence. This
audio signal will be used to locate the exact positions of the watermark signals in the residual(t)
signal. Frame segmentation as explained in section 4.1.2 is also required in order to analyze the whole
residual(t)
signal. The parameters for the frame segmentation are chosen to have up to two
header(t)
signals in each frame. Therefore, BLOCK is equal to twice the number of samples in
header(t)
, and OVERLAP is equal to one half the number of samples in header(t). The resulting frame taken from
residual(t) with BLOCK
length is called r(t)
.
22.214.171.124 header(t) Position Detection
Eq. ( 83 ) describes an adaptive high-resolution filter that can be used to detect the presence of
header(t)
in the r(t)
frame and therefore, all the occurrences of header(t)
in the
Where:
residual(t) audio signal.
The denominator of the filter is the smoothed version of 2 ) ( ω j R . Smoothing is done using Eq. ( 84 ), where w(t) is a Hanning window of width 10%. The output of the filter applied to ) ( ω j R is:
This result is transformed to the time domain to be analyzed.
A typical output of the filter, det(t), is shown in Figure 44. The peak shows the position in samples where the header(t) signal starts in the frame r(t).
This detection is done for all the frames in the residual(t) signal, and all the positions of the peaks are stored for further analysis. A proposed criterion of analysis is to determine the minimum distance between peaks to decide which ones have more probability to represent the start of a watermark signal.
4.2.5 WATERMARK DE-SPREADING
For each peak position found in the residual(t), a selected frame y(t) with the same length as the watermark signal is processed. This process is shown in Figure 45:
^
^
Figure 45. Watermark recovery system
Using Eq. ( 46 ):
Demodulation is performed using Eq. ( 42 ):
To estimate the bit stream:
The decision rule, to form a recovered bit stream { } d ˆ , is given by Eq. ( 49 ),
After this decision, the { } header sequence is discarded from the { } d ˆ bit stream. This produces the bit stream, { } I w ˆ .
4.2.6 WATERMARK DE-INTERLEAVING AND DECODING
The de-interleaving process is done using the same matrix used in the watermark generation in section 4.1.1 and shown in Figure 30. The bits are written into rows and read by columns to accomplish the de-interleaving process. The de-interleaved sequence is called { } R w ˆ . The decoding of the repeat code of value m is done using Eq. ( 78 ):
sequence data in bits total 1,2K = k
The final recovered sequence { } w ˆ is the recovered watermark.
5 SYSTEM PERFORMANCE
5.1 SURVIVAL OVER DIFFERENT CHANNELS
A watermarking system was implemented using the software Matlab of MathWorks, Inc. The system was composed of two modules: watermark generation and embedding, and watermark recovery. The watermark was first generated and embedded in an audio signal. The watermarked signal was then tested for recovery of the watermark after transmission by different channels, such as sub-band encoding, digital to analog – analog to digital conversions and radio transmission. The parameters used for the generation of the watermarks were:
```
Left channel: Fw = 100 bits/sec N = 15 m = 5 I = 9 H = 27 f0 = 3500 Hz {header} = {1 1 1 1 …} (24 one's) watermark = '123456' (The ASCII representation of the six character string.) A = -2 dB, -4 dB, -6 dB and -8 dB respectively. Right channel: Fw = 100 bits/sec N = 20 m = 5 I = 9 H = 27 f0 = 3500 Hz {header} = {1 1 1 1 …} (24 one's) watermark = '123456' (The ASCII representation of the six character string) A = -2 dB, -4 dB, -6 dB and -8 dB respectively.
```
The music used was a 26 second excerpt of the song "In the Midnight Hour" (W. Pickett & S. Cropper) performed by The Commitments. A sampling frequency of 44.1 KHz was used. Each of the watermarked audio signals was labeled to reflect the level of the watermark below the masking threshold (the A value), i.e. W2, W4, W6 and W8. With these parameters, a total of 35 watermarks were embedded during the duration of each signal. The four watermarked music signals and the original signal were recorded digitally on a compact disc using Sonic Foundry CD Architect music authoring software and a CD recorder unit RICOH CD-RW MP 6200S. The computer was also equipped with a full duplex digital sound card MALIBU made by Turtle Beach. All the radio systems were simulated using a multiplex stereo modulator VP – 7633A (Panasonic), FM/AM signal generator VP – 8119A (Panasonic), and ordinary consumer CD player and FM/AM radio receiver.
The percentage of correct bits recovered per watermark is measured before and after transmission. This is shown in a graphic where the percentage of correct bits before transmission is the continuous line, and the percentage of correct bit after transmission is the dotted line. Also, the offset from the expected starting point of each watermark after transmission is measured (in samples), as well as the total of watermarks recovered and the average recovery percentage. The tables with all the values for each test can be found in the section 8.1 of the appendix. Discussion of these system performances will be done in section 5.4.
5.1.1 MPEG LAYER 3
All the digital audio editing was done using the software Sound Forge 4.0d of Sonic Foundry. The encoding of the signals was done using the MPEG layer 3 codec at 64 KBps, 44100 Hz mono (left chanel). After the MPEG encoding, the same codec was used to convert back to PCM audio and recover the watermarks. The results are shown in Figure 46.
5.1.2 MINI DISC
A Sony portable Mini Disc Recorder MZ-1 was used for the following test. The analog output of the computer's sound card was routed to the line input of the Mini Disc recorder. The AGC option was disabled. All the tracks were played from the Mini Disc and recorded into the computer using the analog input of the sound card. The results are shown in Figure 47.
5.1.3 D/A A/D
For the digital to analog – analog to digital test, two sets of conversions were made. Each conversion used the computer's sound card analog output and input to loop back the audio into the computer. This process was done twice. The results are shown in
Figure 48.
5.1.4 ANALOG TAPE
The output of the sound card was fed in a four track Tascam Portastudio 464. The tape speed selected was "high," and DBX noise reduction was enabled. The tape was played back into the computer. The results are shown in Figure 49.
5.1.5 FM STEREO RADIO
For the FM Stereo transmission the carrier frequency was 97.7 MHZ and the power was 65 dBF. The results are shown in Figure 50 for the left channel and in Figure 51 for the right channel.
5.1.6 FM RADIO MONO
This test uses the same configuration as the FM Stereo test, but the modulation was done monophonically using just the left channel. The results are shown in Figure 52.
5.1.7 FM RADIO MONO WEAK SIGNAL
The same setup used for the FM Mono test was employed, but the power was reduced to 10 dBF. The results are shown in Figure 53.
5.1.8 AM RADIO
For this test the same setup for the FM Stereo test was used. The carrier frequency was 1 MHz, and the power was 60 dBF. The results are shown in Figure 54.
5.2 ENERGY INJECTED/REMOVED RATIO
An energy ratio E is now defined that measured the difference at the audio signal before and after the watermarking process. It uses the removed energy per critical band and the injected energy per critical band.
Where:
FRAMES is the number of frames in each watermark
Zt is the number of critical bands EI is the energy injected per critical band ER is the energy removed per critical band
The effect of the value of E is summarized in Table 3:
Table 3. Effect of the value of E
The average of all E calculated on all frames is the total energy Etotal.
5.2.1 E ratio in W2 (watermark –2 dB below the masking threshold)
Figure 56 shows the spectral analysis of energy removed from the audio signal over a period equal to 1154 frames (35 watermarks). The x-axis shows the frame number, the y-axis shows the critical bands and the intensity of each mark shows the actual energy removed per critical band (see the scale in the colorbar). Figure 56 uses the same axes and colorbar as to display the energy injected in each critical band. Figure 57 shows the ratio E per frame and per watermark. The Etotal of W2 is 1.0376, W4 is 0.6718, W6 is 0.4345 and W8 is 0.2837.
5.2.2 E ratio in W4 (watermark –4 dB below the masking threshold)
5.2.3 E ratio in W6 (watermark –6 dB below the masking threshold)
5.2.4 E ratio in W8 (watermark –8 dB below the masking threshold)
5.3 LISTENING TEST
One of the requirements of the watermarking system is to retain the perceptual quality of the signal. This is often referred to as "transparency." The transparency of the watermarking algorithm was tested using three of the four watermarked audio signals (W2, W4 and W6) used in section 5.1.
An ABX listening test was used as the testing mechanism. In an ABX test the listener can hear selection A (in this case the non-watermarked audio), selection B (the watermarked audio) and X (either the watermarked or non-watermarked audio). The listener is then asked to decide if selection X is equal to A or B. The number of correct answers is the basis to decide if the watermarked audio is perceptually different than the original audio and would, therefore, declare the watermarking algorithm as "nontransparent." In the other case, if the watermarked audio is perceptually equal to the original audio, the watermarking algorithm will be declared as "transparent."
Using the theory explained in Burstein [ 19], [ 20 ], different parameters were selected to find an appropriate sample size. A criterion of significance α'=0.1 is selected (also known as Error Type 1). The Type 2 error risk is assumed β'=0.1. The probability p1 that a listener finds the right answer by chance is 0.5 in an ABX system. The effect size is selected as p2=0.7. With these parameters, the approximated required sample size that meets the specifications is 37.61 samples. The sample size is selected as n=40. (40 listeners per ABX set). The critical c (c') is the minimum number of correct samples which, together with n and p1, can produce a significance level α equal to or less than the specified criterion of significance α'. The calculated c' is 24.55 and can be rounded off to
25. This is the minimum number of correct answers to accept the hypothesis that the listener perceives differences between audio A and B. With c'=25, the criterion of significance becomes α'=0.78, which is below the required level. The type 2 error risk β'=1.11 and does not exceed desired level. The results and their approximate significance level are shown in Table 4.
Table 4. Listening test results
| | Total samples | Correct Identifications | α |
|---|---|---|---|
| W2 | 40 | 24 | 0.14 |
| W4 | 40 | 19 | 0.5 |
| W6 | 40 | 19 | 0.5 |
5.4 DISCUSSION
The survival over different channels showed that after encoding, not all the watermarks could be recovered with 100% accuracy. This occurs because of the multiple factors that affect the quality of the embedded watermark, such as: the number of audio components replaced, the gain of the watermark, and the masking threshold. It is important to note that in some frames the watermark information can be very weak, even null. The spread spectrum technique employed can partially solve these problems, but if many consecutive frames have no watermark information, that specific watermark can not be recovered.
The theoretical position of the watermark and the offset of the actual watermark represent the starting position of the {header} of each watermark. This position will not affect the recovery of the watermark because each watermark is embedded independently of the others. In the actual tests three different cases are seen: almost no offset, linearly increasing offset and varying offset. When no offset is seen, the original signal and the
recorded signal after transmission where played at the same speed. This is the case in 5.1.1 to 5.1.3. In the cases where the offset is linearly increasing (5.1.5 to 5.1.8), it is assumed that the speed of the playback device (in this case an ordinary consumer CD player was different (slightly slower) than the recording device. The last case, 5.1.4, shows the unstable speed variations of the tape device. If the speed of the playback device is close enough to the original speed, the de-spreading can be successful because the difference in alignment between the watermarked audio and the de-spreading signals (PN sequence, demodulator and {header}) will not greatly affect the final result.
Finally, the percentage of correct bits recovered measures quality of the recovery for each watermark. Notice that not all the watermarks are recovered (%bits = 0.0), and not all the watermarks are recovered in their totality but many of them were recovered with more than 80% of the bits. A good bit error detection/correction algorithm or averaging technique could substantially improve the recovery of the watermark. A very strong point in the watermarking system is the redundancy of watermarks embedded into the audio stream. In this case, each watermark lasts approximately 600 ms. Even if just a few watermarks are recovered, the goal of transmitting the watermark information within the audio signal and recovering it afterwards is accomplished.
The listening test showed that the watermark at –2dB below the masking threshold (W2) is the most likely to be heard, but it can not be ensured that people actually noticed the difference. For all the other watermarked signals, the results show that the process is "transparent."
6 CONCLUSIONS
The proposed digital watermarking method for audio signals is based on a psychoacoustic auditory model to shape an audio watermark signal that is generated using spread spectrum techniques. The method retains the perceptual quality of the audio signal, while being resistant to diverse removal attacks, either intentional or unintentional. The recovery of the watermark is accomplished without knowledge of the original audio signal. The only information used includes the watermarked audio signal, and the parameters used for the watermark generation.
The psychoacoustic auditory model retrieves the necessary information about the masking threshold of the input audio signal. This model is a good approach that can be used for several applications such: perceptual coding, masking analysis, or watermark embedding. The spread spectrum theory describes two important Direct Sequence techniques, but the employed technique is Coded Direct-Sequence Spread Binary PhaseShift-Keying (coded DS/BPSK). Because the normal literature about this topic is reserved for communication theory, some assumptions were made to use the theory in an audio bandwidth environment. Specifically in this case, the audio information was considered the "noise" or "jammer" signal that interferes with the watermark.
Future research could be performed in different aspects of this proposed algorithm such as:
* System performance with different types of music.
* Experimenting with different spread spectrum encoding parameters.
* Changes in the playback speed of the signal.
* Crosstalk interference.
* Multiple watermark embedding.
* Use of techniques to enhance recovery of the watermark (i.e., bit error detection/ correction, averaging, etc).
* Real - time implementation.
* Investigate different signal schemes for the generation of the PN sequence.
7 REFERENCES
[ 1 ] E. Zwicker and U. T. Zwicker, "Audio Engineering and Psychoacoustics: Matching Signals to the Final Receiver, the Human Auditory System," J. Audio Eng. Soc., vol. 39, pp. 115 -126 (1991 March)
[ 2 ] T. Sporer and K. Brandenburg, "Constraints of Filter Banks Used for Perceptual Measurement," J. Audio Eng. Soc., vol. 43, pp. 107 - 115 (1995 March)
[ 3 ] J. Mourjopoulos and D. Tsoukalas, "Neural Network Mapping to Subjective Spectra of Music Sounds," J. Audio Eng. Soc., vol. 40, pp. 253 - 259 (1992 April)
[ 4 ] J. D. Johnston, "Transform Coding of Audio Signals Using Perceptual Noise Criteria," IEEE Journal on Selected Areas in Communications, vol. 6, pp. 314 – 323 (1988 Feb.)
[ 5 ] M. K. Simon, J. K Omura, R A. Scholtz and B. K. Levitt, Spread Spectrum Communications Handbook (McGraw-Hill, New York, 1994)
[ 6 ] R. L. Pickholtz, D. L. Schilling, and L. B. Milstein, "Theory of Spread-Spectrum Communications – A Tutorial," IEEE Transactions on Communications, vol. COM-30, pp. 855 – 884 (1982 May)
[ 7 ] C. S. Lindquist, Adaptive & Digital Signal Processing with Digital Filtering Applications (Steward & Sons, Miami, 1989)
[ 8 ] L. R. Rabiner, and R. W. Schafer, Digital Processing of Speech Signals (Prentice Hall, New Jersey, 1978)
[ 9 ] E. Zwicker, and h. Fastl, Psychoacoustics Facts and Models (Springer-Verlag, Berlin, 1990)
[ 10 ] D. L. Nicholson, Spread Spectrum Signal Design. LPE & AJ Systems (Computer Science Press, Rockville, Maryland, 1988)
[ 11 ]C. Neubauer and J. Herre, "Digital Watermarking and Its Influence on Audio Quality," presented at the 105 th Convention of the Audio Engineering Society, J. Audio Eng. Soc. (Abstracts), vol. 46, pp. 1041 (1998 November), preprint 4823.
[ 12 ] J. G. Roederer, The Physics and Psychophysics of Music (Springer-Verlag, New York, 1995)
[ 13 ] J. G. Beerends and J. A. Stemerdink, "A Perceptual Speech-Quality Measure Based on a Psychoacoustic Sound Representation," J. Audio Eng. Soc., vol. 42, pp. 115 - 123 (1994 March)
[ 14 ] J. G. Beerends and J. A. Stemerdink, "A Perceptual Audio Quality Measure Based on a Psychoacoustic Sound Representation," J. Audio Eng. Soc., vol. 40, pp. 963 - 978 (1992 December)
[ 15 ] C. Colomes, M. Lever, J. B. Rault, Y. F. Dehery and G. Faucon, "A Perceptual Model Applied to Audio Bit-Rate Reduction," J. Audio Eng. Soc., vol. 43, pp. 233 - 239 (1995 April)
[ 16 ] T. Sporer, G. Gbur, J. Herre and R. Kapust, "Evaluating a Measurement System," J. Audio Eng. Soc., vol. 43, pp. 353 - 362 (1995 May)
[ 17 ] M. R. Schroeder, B. S. Atal and J. L. Hall, "Optimizing Digital Speech Coders by Exploiting
Masking Properties of the Human Ear," J. Acoust. Soc. Am., vol. 66, pp. 1647 – 1652 (1979 Dec.)
[ 18 ] B. Paillard, P. Mabilleau, S. Morissette and J. Soumagne, "PERCEVAL: Perceptual Evaluation of the Quality of Audio Signals," J. Audio Eng. Soc., vol. 40, pp. 21 - 31 (1992 Jan./Feb.)
[ 19 ] H. Burstein, "By the Numbers," Audio, vol. 74, pp. 43 – 48 (1990 Feb.)
[ 20 ] H. Burstein, "Approximation Formulas for Error Risk and Sample Size in ABX Testing," J. Audio Eng. Soc., vol. 36, pp. 879 - 883 (1988 Nov.)
[ 21 ] S. Haykin, Communication Systems 3 rd ed. (Wiley, New York, 1994)
[ 22 ] R. L. Shrader, Electronic Communication 5 th ed. (McGraw Hill, New York, 1985)
[ 23 ] L. Boney, A. H. Tewfik and K. N. Hamdy, "Digital Watermarks for Audio Signals," IEEE Int.Conf. on Multimedia Computing and Systems, Hiroshima, Japan (June 1996)
[ 24 ] I. J. Cox, "Spread Spectrum Watermark for Embedded Signalling", United States Patent 5,848,155 (1998 Dec)
8 APPENDIX
8.1 TRANSMISSION OVER DIFFERENT CHANNELS (RESULTS)
Explanation of the fields in each table:
position
Theoretical position of each watermark measured in samples from the beginning of the audio signal.
%orig
Percentage of bits per watermark recovered after watermark embedding. (before transmission).
Off
Offset of the actual watermark with respect its theoretical position.
%bits
Percentage of bits recovered after transmission by the actual channel.
watermarks
detected
Number of watermarks recovered (maximum = 35).
average % bits recovered
The sum of all the %bits over the number of watermarks detected
8.1.1 MPEG LAYER 3
Table 5. MPEG layer 3 system performance
8.1.2 MINI DISC
Table 6. Mini Disc system performance
8.1.3 D/A A/D
Table 7. Two D/A – A/D system performance
8.1.4 ANALOG TAPE
Table 8. Analog Tape system performance
8.1.5 FM STEREO RADIO
Left channel.
Table 9. FM Stereo (left channel) system performance
Right channel.
Table 10. FM Stereo (right channel) system performance
8.1.6 FM RADIO MONO
Table 11. FM MONO system performance
8.1.7 FM RADIO MONO WEAK SIGNAL
Table 12. FM MONO weak signal system performance
8.1.8 AM RADIO
------------|-------------------|-------------------|-------------------|-------------------|
Table 13. AM radio system performance
8.2 TRANSMISSION SOFTWARE (TRANSM.M)
%==============================================================================
%| |
%| DIGITAL WATERMARKING OF AUDIO SIGNALS USING A PSYCHOACOUSTIC | %| AUDITORY MODEL AND SPREAD SPECTRUM THEORY |
%| By: Ricardo A. Garcia firstname.lastname@example.org | %| University Of Miami -- School of Music | %| Music Engineering Technology. | %| Coral Gables, FL 33146 |
%==============================================================================
%| April 14, 1999 |
%#########################################################
```
% Transmission: Watermark generation and embeeding %######################################################### %clear work-space clear all close all clc %title disp(' '); disp('=================================================================='); disp(' DIGITAL WATERMARKING OF AUDIO SIGNALS USING A PSYCHOCOUSTIC'); disp(' AUDITORY MODEL AND SPREAD SPECTRUM THEORY') disp(' By: Ricardo A. Garcia'); disp(' '); disp(' Transmission: WATERMARK GENERATION AND EMBEEDING '); disp('=================================================================='); disp(' '); %input from user expname=input('Name of the experiment =','s'); wavname=input('Enter name of the wavefile (no extension) = ','s'); wstring=input('Enter the watermark to embeed (up to six characters) = ','s'); attn=input('Enter the atenuation level for the watermark (in dB) = -','s'); attn=str2num(attn); %Check for negative numbers attn=-abs(attn); %init time tic; disp(' '); disp('++++++++++++++++++++++++'); disp(' '); %######################################## % DATA DEFINITIONS AND INITIALIZATION %######################################## [data,FS,BITS]=wavread(wavname); %open wavefile and store in data vector %open dat file to write results of experiment fid = fopen(strcat(expname,num2str(abs(attn)),'.dat'),'wt'); fprintf(fid,'============================== TRANSMISSION ================================='); fprintf(fid,'\n %s',datestr(now,0));
```
```
fprintf(fid,'\n Experiment name %s ',expname); fprintf(fid,'\n Wavefile processed: %s.wav',wavname); fprintf(fid,'\n Watermark string: %s',wstring); fprintf(fid,'\n Watermark attenuation [dB] = %0.2f',attn); fprintf(fid,'\n========================================================================== ='); data=data(1:length(data)/1)';%correction of direction of data (to be a single row vector) BLOCK=1024*round(FS/11025); %block selection LENGTH = length(data); OVERLAP = round(0.75 * BLOCK); %)overlap of 75 % FRAMES = ceil ( (LENGTH - OVERLAP) / (BLOCK - OVERLAP) ); %total number of frames output = zeros(1,LENGTH); %watermarked audio signal %## END data definitions %############################### % BARK domain initialization %############################### ZT= ceil (barkme2(FS/2)); %total of critical bands in each frame B=(10.^(spreadfn(1,8)/10)); %spreading function, over 8 critical bands %## END bark domain initialization %################################################### % Relationships between index, frequency and bark %################################################### Pz = zeros(1,ZT); %total of points in each critical band vlimit = zeros(2,ZT); %INF - SUP limits in each critical band vz = zeros(1,BLOCK/2); %mapping from index -> bark domain z vf = zeros(1,BLOCK/2); %mappint from index -> frequency domain f vlimit(1,1) = 1; %the first and last limits are fixed vlimit(2,ZT) = BLOCK/2; for ii=1:BLOCK/2 f=((ii-1) * FS) / BLOCK; %convert index -> frequency z= barkme2(f); %freq -> z if z==0 z=barkme2(0.5* FS/BLOCK); %approximation to don't have a critical band 'cero' end vf(ii)=f; %frequency vz(ii)=z; %bark Pz(ceil(z))=Pz(ceil(z))+1; %points per critical band %if there is a change in the units of z, change of critical band if ii>1 & floor(z)-floor(vz(ii-1)) > 0 vlimit(2,ceil(z)-1)=ii-1; vlimit(1,ceil(z))=ii; end end %## END relationships index, frequency and bark domains
```
```
%############################################### % Spread Spectrum Watermark Generation %############################################### %definitions and initialization f0 = 3500; %BPSK modulator center frequency m = 5; %Repeat code I = 9; %interleaver matrix size H = 27; header = ones(1,24*m); %three characters of 1's (times the repeat factor) load pn2; %this loads c with a length of 3000 Fw=100; %bits per second of original watermark Tw=1/Fw; %data bit time Fd=Fw*m; %freq data (d) this is made Td=1/Fd; Td_samples=FS/Fd; %time in samples per data bit. N=15; %PG N=N/m; %adjust to repeat code Fc=Fd*N; %Freq of PN sequence (c) Tc=1/Fc; Tc_samples=FS/Fc; %PN sequence data bit time in samples %take first 6 characters of wstring into watermark or pad with '#' temp=strcat(wstring,'########'); watermark(1:6)=temp(1:6); %convert this watermark into bit stream w=datagen(watermark); w_length=length(w); %lenght of w bit stream %###repeat code and padding wR=[zeros(1,w_length*m) ones(1,I*H-w_length*m)]; for ii=1:length(w), wR(m*(ii-1)+1:m*ii)=w(ii); %repeat each bit m times, repeater coder output end %interleaver matrix matrix=zeros(H,I); %H rows, I columns for ii=1:I, matrix(1:H,ii)=wR(H*(ii-1)+1:H*ii)'; %write by columns end wI=zeros(1,H*I); %interleaver output for ii=1:H, wI(I*(ii-1)+1:I*ii)=matrix(ii,1:I); %read by rows end %##add header d = [ header wI]; %data bit stream to be spread d_length=length(d); %##spreading and modulation dt_length=floor(Td_samples*d_length); %time domain data bit stream length c_length = length(c); %PN sequence dt = d( ceil([1:dt_length]/Td_samples) ); %bit stream in time
```
```
%BPSK modulation st = dt.*cos(2*pi*[1:dt_length]*f0/FS); %BPSK modulated signal (st) %PN sequence in time ct = c( ceil( (mod([1:dt_length],c_length*Tc_samples)+0.1)/Tc_samples) ); %spreading xt=st.*ct; %spread signal xt=[zeros(1,BLOCK/2) xt zeros(1,BLOCK/2)]; %pad with zeroes at the beggining and end. %create a "matrix" with all the watermark in frames, windowed and in the frequency domain xt_length=length(xt); xt_FRAMES=ceil( (xt_length-OVERLAP) / (BLOCK-OVERLAP)); %number of watermark frames using the same parameters than the audio signal as BLOCK, OVERLAP for kk=1:xt_FRAMES, %frame segmentation: check if is the last block if kk==xt_FRAMES %last block pos1=round((kk-1)*(BLOCK-OVERLAP))+1; %first point in the vector pos2=xt_length; %last point in the vector frame=[xt([pos1:pos2]) zeros(1,BLOCK-(pos2-pos1)-1)]; %extract data from xt and pad with zeros else pos1=round((kk-1)*(BLOCK-OVERLAP))+1; pos2=round(kk*(BLOCK-OVERLAP)+OVERLAP); frame=xt([pos1:pos2]); end %fourier transform of windowed frame XT(kk,:)=fft(frame.*hamming(BLOCK)'); end %## END spread spectrum watermark generation %################################### % Hearing Threshold TH generation %################################### p=sin(2*pi*[1:BLOCK]*4000/FS)*(1/(2^BITS)); %definition and scaling to be 1 bit in ampitude TH=max(abs(fft(p)).^2); %## END of TH generation %########POSITION VECTOR, removed components ################# %tone signal generation (for syncrhonization pourpouses) tone=[zeros(1,FS*.4) sin(2*pi*500*[1:FS*.2]/FS) zeros(1,FS*.4)]; T_POSITION=[]; T_REMOVED=[]; pcount=1; %### END of position vector declaration warning off %fool proof
```
%###############################################
```
% MAIN for loop. Process of each audio frame %############################################### for kk=1:FRAMES, %display message if mod(kk,50)==0 disp(sprintf('Processing block # %d of %d Elapsed time = %f Seconds',k k,FRAMES,toc)); end %frame segmentation if kk==FRAMES pos1=round( (kk-1) * (BLOCK - OVERLAP) )+1; pos2=LENGTH; s=[data([pos1:pos2]) zeros(1,BLOCK-(pos2-pos1)-1)]; else pos1=round((kk-1)*(BLOCK-OVERLAP))+1; pos2=round(kk*(BLOCK-OVERLAP)+OVERLAP); s=data([pos1:pos2]); end %windowing sw=s.*hamming(BLOCK)'; %using hamming window %##time to frequency Sw=fft(sw); %##power spectrum Sp=abs(Sw).^2; %##Energy per critical band Spz=zeros(1,ZT); for ii=1:ZT, Spz(ii)=sum(Sp([vlimit(1,ii):vlimit(2,ii)])); end %##Spreading across bands Sm=conv(Spz,B); temp=round(length(B)/2); Sm=Sm([temp:ZT+temp-1]); %crop vector after convolution %##Masking threshold estimate %SFM Spectral flatness measure Gm=prod(Spz)^(1/ZT); %Geometric mean Am=sum(abs(Spz))*(1/ZT); %aritmetic mean %SFM in dB SFM=10*log10(Gm/Am); SFMmax=-60; %maximum in dB alpha=min(SFM/SFMmax,1); %alpha =1 -> tone-like; alpha = 0 -> noise-like %masking energy offset O=alpha*(14.5+[1:ZT]+0.5) + (1-alpha)*5.5; %raw masking threshold Traw=10.^(log10(Sm)-(O/10)); %normalization of threshold Tnorm=Traw./Pz; %final threshold.. usind below vector as auxiliar T=Tnorm; %copy
```
```
below=find(Tnorm<TH); %find components below T(below)=TH; %replace them with the minimun value of TH. T is the final threshold %##spectral shaping %find indexes of components of Sp above the threshdol above=[]; %help vector with indexes of components above T for ii=1:ZT, above=[above (find(Sp(vlimit(1,ii):vlimit(2,ii))>T(ii))+vlimit(1,ii)-1)]; end removed=(BLOCK/2)-length(above); %total of components removed in this frame %fprintf(fid,'\n block %d removed %d components [%0.2f %%]',kk,removed,200*removed/BLOCK); T_REMOVED(kk)=removed; %Create Swnew Swnew=zeros(1,BLOCK/2); Swnew(above)=Sw(above); %copy components above the threshold Swnew=[Sw(1) Swnew(2:BLOCK/2) Sw(BLOCK/2+1) conj(fliplr(Swnew(2:BLOCK/2)))]; %complete mirror image %calculate the actual watermark frame to work with xframe=mod(kk,xt_FRAMES); if xframe==0 xframe=xt_FRAMES; end if xframe==1 %if is the first frame, to mark the starting position T_POSITION(pcount)=pos1+BLOCK/2; %careful.. .The BLOCK/2 is the fixed zero padding of the watermark... pcount=pcount+1; end %Create Xwnew (the watermark) Xwnew=XT(xframe,1:BLOCK/2); Xwnew(above)=0; %eliminate components Xwnew(1)=0; %no DC component allowed here %factors Fz A=10^(attn/20); %attenuation of watermark in dB Fz=[]; for ii=1:ZT temp=max(abs(Xwnew(vlimit(1,ii):vlimit(2,ii)))); if temp==0 %create factor Fz(ii)=0; else Fz(ii)=A*sqrt(T(ii))/temp; end %apply factors Xwnew(vlimit(1,ii):vlimit(2,ii))=Xwnew(vlimit(1,ii):vlimit(2,ii))*Fz(ii); end %create mirror image of FFT Xwnew=[0 Xwnew(2:BLOCK/2) 0 conj(fliplr(Xwnew(2:BLOCK/2)))]; %##mix OUT=Xwnew+Swnew; %##back to time domain out=real(ifft(OUT)); %audio + watermark
```
```
%add to the output vector output([pos1:pos2])=output([pos1:pos2])+out(1:(pos2-pos1)+1); %watermarked audio end %main loop end %display the number of processed blocks and elapsed time disp('============================== TRANSMISSION T ================================='); disp(sprintf('%s',datestr(now,0))); disp(sprintf('\n Experiment name %s ',expname)); disp(sprintf('\n Wavefile processed: %s.wav',wavname)); disp(sprintf('\n Watermark string: %s',wstring)); disp(sprintf('\n Watermark attenuation [dB] = %0.2f',attn)); disp('\n==========================================================================='); disp(' '); disp('=============================================================='); disp(sprintf(' Blocks processed = %d of %d Total time = %f seconds',kk,FRAMES,toc)); disp('=============================================================='); disp(' '); fprintf(fid,'\n=============================================================='); fprintf(fid,' \nBlocks processed = %d of %d Total time = %f seconds',kk,FRAMES,toc); fprintf(fid,'\n=============================================================='); fclose('all'); %values to be saved, output, etc outname=strcat(expname,num2str(abs(attn)),'.wav'); wavwrite(output/2,FS,outname); outname=strcat('T',expname,num2str(abs(attn)),'.wav'); wavwrite([tone output/2],FS,outname); save(strcat(expname,num2str(abs(attn))),'output','FS','BITS','f0','N','m','I','H','header ','c','Fd','Fw','w_length','d_length','watermark','T_POSITION','T_REMOVED'); warning on %##### END TRANSMISSION
```
8.3 RECEPTION SOFTWARE (RECOVER.M
)
%==============================================================================
%| |
%| DIGITAL WATERMARKING OF AUDIO SIGNALS USING A PSYCHOACOUSTIC | %| AUDITORY MODEL AND SPREAD SPECTRUM THEORY |
%| By: Ricardo A. Garcia email@example.com | %| University Of Miami -- School of Music | %| Music Engineering Technology. | %| Coral Gables, FL 33146 | %| April 14, 1999 | %==============================================================================
%#########################################################
```
% Watermark Recovery %######################################################### %clear work-space clear all close all clc %title disp(' '); disp('=================================================================='); disp(' DIGITAL WATERMARKING OF AUDIO SIGNALS USING A PSYCHOCOUSTIC'); disp(' AUDITORY MODEL AND SPREAD SPECTRUM THEORY') disp(' By: Ricardo A. Garcia'); disp(' '); disp(' WATERMARK RECOVERY'); disp('=================================================================='); disp(' '); %input from user expname=input('Name of the experiment =','s'); % (*) wavname=input('Name of the wavefile to analize (return to ignore) =','s'); %init time tic; disp(' '); disp('++++++++++++++++++++++++++++++++++++++++++++++++++++++++'); disp(' Psychoacoustic Auditory Model. Residual Generation'); disp('++++++++++++++++++++++++++++++++++++++++++++++++++++++++'); disp(' '); %######################################## % DATA DEFINITIONS AND INITIALIZATION %######################################## %load variables from the experiment load(expname); %to load wavefile if is indicated if ~isempty(wavname) [data,FS,BITS]=wavread(wavname); data=data'; disp(sprintf('%s.wav readed Actual FS = %d',wavname,FS)); else %load the other data data=output; %copy of variable end
```
```
d_length_original=d_length; %to avoid this to be overwritten BLOCK=1024*round(FS/11025); LENGTH = length(data); OVERLAP = round(0.75 * BLOCK); %overlap of 75 % FRAMES = ceil ( (LENGTH - OVERLAP) / (BLOCK - OVERLAP) ); %final time domain outputs resoutput = zeros(1,LENGTH); %components removed from data %## END data definitions %############################### % BARK domain initialization %############################### ZT= ceil (barkme2(FS/2)); %total of critical bands in each frame B=(10.^(spreadfn(1,8)/10)); %spreading function, over 8 critical bands %## END bark domain initialization %################################################### % Relationships between index, frequency and bark %################################################### Pz = zeros(1,ZT); %total of points in each critical band vlimit = zeros(2,ZT); %INF - SUP limits in each critical band vz = zeros(1,BLOCK/2); %mapping from index -> bark domain z vf = zeros(1,BLOCK/2); %mappint from index -> frequency domain f vlimit(1,1) = 1; %the first and last limits are fixed vlimit(2,ZT) = BLOCK/2; for ii=1:BLOCK/2 f=((ii-1) * FS) / BLOCK; %convert index -> frequency z= barkme2(f); %freq -> z if z==0 z=barkme2(0.5* FS/BLOCK); %approximation to don't have a critical band 'cero' end vf(ii)=f; %frequency vz(ii)=z; %bark Pz(ceil(z))=Pz(ceil(z))+1; %points per critical band if ii>1 & floor(z)-floor(vz(ii-1)) > 0 %if there is a change in the units of z, change of critical band vlimit(2,ceil(z)-1)=ii-1; vlimit(1,ceil(z))=ii; end end %## END relationships index, frequency and bark domains %################################### % Hearing Threshold TH generation %################################### p=sin(2*pi*[1:BLOCK]*4000/FS)*(1/(2^BITS)); %definition and scaling to be 1 bit in ampitude TH=max(abs(fft(p)).^2); %## END of TH generation
```
```
%############################################### % MAIN for loop. Process of each audio frame %############################################### warning off %to avoid problems for kk=1:FRAMES, %display message if mod(kk,50)==0 disp(sprintf('Processing frame # %d of %d Elapsed time = %f seconds',kk,FRAMES,toc)); end %frame segmentation if kk==FRAMES pos1=round( (kk-1) * (BLOCK - OVERLAP) )+1; pos2=LENGTH; s=[data([pos1:pos2]) zeros(1,BLOCK-(pos2-pos1)-1)]; else pos1=round((kk-1)*(BLOCK-OVERLAP))+1; pos2=round(kk*(BLOCK-OVERLAP)+OVERLAP); s=data([pos1:pos2]); end %windowing sw=s.*hamming(BLOCK)'; %using hamming window %##time to frequency Sw=fft(sw); %##power spectrum Sp=abs(Sw).^2; %##Energy per critical band Spz=zeros(1,ZT); for ii=1:ZT, Spz(ii)=sum(Sp([vlimit(1,ii):vlimit(2,ii)])); end %##Spreading across bands Sm=conv(Spz,B); temp=round(length(B)/2); Sm=Sm([temp:ZT+temp-1]); %crop vector after convolution %##Masking threshold estimate %SFM Spectral flatness measure Gm=prod(Spz)^(1/ZT); %Geometric mean Am=sum(abs(Spz))*(1/ZT); %aritmetic mean %SFM in dB SFM=10*log10(Gm/Am); SFMmax=-60; %maximum in dB alpha=min(SFM/SFMmax,1); %alpha =1 -> tone-like; alpha = 0 -> noise-like %masking energy offset O=alpha*(14.5+[1:ZT]+0.5) + (1-alpha)*5.5; %raw masking threshold Traw=10.^(log10(Sm)-(O/10)); %normalization of threshold Tnorm=Traw./Pz;
```
```
%final threshold.. usind below vector as auxiliar T=Tnorm; %copy below=find(Tnorm<TH); %find components below T(below)=TH; %replace them with the minimun value of TH. T is the final threshold %##spectral shaping %find indexes of components of Sp below the threshdol below=[]; %help vector with indexes of components above T for ii=1:ZT, below=[below (find(Sp(vlimit(1,ii):vlimit(2,ii))<=T(ii))+vlimit(1,ii)-1)]; end %Create residual R=zeros(1,BLOCK/2); R(below)=Sw(below); %copy components below the threshold %Residual Equalization Fz=[]; for ii=1:ZT temp=max(abs(R(vlimit(1,ii):vlimit(2,ii)))); if temp==0 %Create factors Fz(ii)=0; else Fz(ii)=1/temp; end %use factor R(vlimit(1,ii):vlimit(2,ii))=R(vlimit(1,ii):vlimit(2,ii))*Fz(ii); %EQ residual end %create mirror image R=[Sw(1) R(2:BLOCK/2) Sw(BLOCK/2+1) conj(fliplr(R(2:BLOCK/2)))]; %complete mirror image %##back to time domain res=real(ifft(R)); %residual %add to the resoutput vector resoutput([pos1:pos2])=resoutput([pos1:pos2])+res(1:(pos2-pos1)+1); end %main loop end %display the number of processed blocks and elapsed time disp(' '); disp('=============================================================='); disp(sprintf(' Frames processed = %d of %d Total time = %f seconds',kk,FRAMES,toc)); disp('=============================================================='); disp(' '); %######################################### % sinchronization with Watermark Header %######################################### disp(' '); disp('+++++++++++++++++++++++++++++++++++++++++++++++++'); disp(' Sincrhonization with watermark header'); disp('+++++++++++++++++++++++++++++++++++++++++++++++++'); disp(' '); disp('######## header(t) generation '); %############################################### % Spread Spectrum Watermark Generation %###############################################
```
```
%calcule parameters with values from transmission Tw=1/Fw; %data bit time Fd=Fw*m; %freq data (d) this is made Td=1/Fd; Td_samples=FS/Fd; %time in samples per data bit. Fc=Fd*N; %Freq of PN sequence (c) Tc=1/Fc; Tc_samples=FS/Fc; %PN sequence data bit time in samples %##in this case, d is just the {header} d = header; %data bit stream to be spread d_length=length(d); %##spreading and modulation dt_length=floor(Td_samples*d_length); %time domain data bit stream length c_length = length(c); %PN sequence dt = d( ceil([1:dt_length]/Td_samples) ); %bit stream in time %BPSK modulation st = dt.*cos(2*pi*[1:dt_length]*f0/FS); %BPSK modulated signal (st) ct = c( ceil( (mod([1:dt_length],c_length*Tc_samples)+0.1)/Tc_samples) ); %PN sequence in time %spreading headert=st.*ct; %spread signal header(t) %############################################################## % header(t) position detection using high resolution detection %############################################################## %headert is zero padded headert=[headert zeros(1,length(headert))]; %## frame segmentation. uses the same names but different values BLOCK=length(headert); %this will be block OVERLAP=BLOCK*0.25; %50 % overlap FRAMES=ceil( (LENGTH-OVERLAP) / (BLOCK-OVERLAP)); %number of frames to search for header(t) POSITION=[]; %positions vector counter=1; R_WEST=[]; %STIMATED W, USED TO KNOW THE REAL BIT ERROR NUMBER for kk=1:FRAMES, %to analize all the frames %display information where you are now! if mod(kk,15)==0 disp(sprintf('header(t) detection on block # %d of %d Elapsed time = %f Second',kk,FRAMES,toc )); end %selection of start and ending point if kk==FRAMES pos1=round((kk-1)*(BLOCK-OVERLAP))+1; pos2=LENGTH; r=[resoutput([pos1:pos2]) zeros(1,BLOCK-(pos2-pos1)-1)]; else
```
```
pos1=round((kk-1)*(BLOCK-OVERLAP))+1; pos2=round(kk*(BLOCK-OVERLAP)+OVERLAP); r=resoutput([pos1:pos2]); end %creating the HRDET filter R=fft(r); S=fft(headert); DEN=abs(smooth(S,10,2)).^2; %the filter is HRDET=conj(S)./DEN; %apply the filter DET=R.*HRDET; %back to time domain to process the detected singal det=real(ifft(DET)); %search for the maximun peak [peak_value,peak_pos]=max(det); if peak_pos<BLOCK*0.75 POSITION(counter)=pos1+peak_pos-1; counter=counter+1; end end %########################## % watermark de-spreading %########################## %some needed values dt_length=floor(Td_samples*d_length_original); %size in samples of the whole watermark ct = c( ceil( (mod([1:dt_length],c_length*Tc_samples)+0.1)/Tc_samples) ); %PN sequence in time for kk=1:length(POSITION), if POSITION(kk)+dt_length-1 <= LENGTH%a whole watermark before the end of the vector yt=resoutput([POSITION(kk):POSITION(kk)+dt_length-1]); %input at the receiver, same size than dt, ct %##de-spreading rt= yt.*ct; %##BPSK de-modulation gt=rt.*cos(2*pi*[1:dt_length]*f0/FS); %##estimae bit stream ri=zeros(1,d_length_original); %integration for ii=1:d_length_original, ri(ii)=sum(gt(floor(Td_samples*(ii-1))+1:floor(Td_samples*ii))); end %##decision rule ri(ii)>0 -> 1; -1 elsewhere d_est is d estimate d_est=sign(ri); d_est(find(d_est==0))=-1; %if there is a cero.. change to -1
```
```
%##remove header wI_est=d_est(length(header)+1:d_length_original); %##de-interleaving %interleaver matrix matrix=zeros(H,I); %H rows, I columns for ii=1:H, matrix(ii,1:I)=wI_est(I*(ii-1)+1:I*ii); %write by rows end wR_est=zeros(1,H*I); %de-interleaver output for ii=1:I, wR_est(H*(ii-1)+1:H*ii)=matrix(1:H,ii); %read by columns end %decoding (estimate of the watermark w_est=zeros(1,w_length); for ii=1:w_length, temp=sum(wR_est(m*(ii-1)+1:m*ii)); if temp>0 w_est(ii)=1; else w_est(ii)=-1; end end R_WEST(kk,:)=w_est; %output of string str=datarec(w_est); disp(sprintf(' watermark # %d = %s position = %d',kk,str,POSITION(kk))); end end disp(' '); disp('=================================================================================== ='); disp(sprintf(' Total watermark recovered = %d Total time = %f seconds',kk,toc)); disp('=================================================================================== ='); disp(' '); warning on; %##### END RECOVERY
```
8.4 HELPER FUNCTIONS
```
****************** function z=barkme(f) %BARKME this function translates linear frecuency to bark scale. % z=barkme(f) % made by RAGO/98 z=(26.81*f)/(1960+f)-0.53; *********************** function z=barkme2(f); % BARKME2 another model to translate to bark scale % z=13*atan(0.76*f/1000)+3.5*atan((f/7500)^2); % f in hertz, z returns in barks % Made by rago/98 z=13*atan(0.76*f/1000)+3.5*atan((f/7500)^2); *********************** function d=datagen(str) % DATAGEN to generate the data stream (1,-1), based on the ascii code of each % character on the string. % d=datagen(str) % str = input string ; d = data (1,-1) stream % RAGO NOV 21/98 BITS=8; q=dec2bin(str,BITS); %q matrix (strings) of binary representation for i=1:size(q,1), for j=1:BITS, d(j+(i-1)*BITS)=str2num(q(i,j))*2-1; %add to d end end ************************* function str=datarec(d) % DATAREC to recover the data string from the recieved data (1,-1), % str=datarec(d) % d=data (1,-1) ; str output string % RAGO NOV 21/98 BITS=8; for i=1:length(d), q(floor((i-1)/BITS)+1,i-floor((i-1)/BITS)*BITS )=num2str((d(i)+1)/2); end str=char(bin2dec(q))';
```
```
************************ function B=spreadfn(div,n) % SPREADFN to create a spread function vector, using the relation % B(i)=(15.91 + 7.5*(z+0.474)- 17.5*(1+(z+0.474)^2)^(1/2)) % div, is the resolution of the Z (Bark) usually 100 % n is the size of the output vector. % made by Rago/98 temp=floor(n/2); for i=1:n, z=(i-temp)/div; %z should vary from -temp to temp %normalized %L(i)=exp((15.91 + 7.5*(z+0.474)- 17.5*(1+(z+0.474)^2)^(1/2))/10); %logarithmic B(i)=((15.91 + 7.5*(z+0.474)- 17.5*(1+(z+0.474)^2)^(1/2))); end *********************** function GSM=smooth(G,p,type) % SMOOTH Returns the smoothed vector in the frecuency domain. % GSM = smooth(G,p,t) returns the vector G smoothed <G>. % using the type "t" window with p percentage. % types are: 0 -> rectangular % 1 -> triangular % 2 -> hann % Developed by: RAGO (97) NN=max(size(G)); if p>100 p = 100; end wp=round(NN*p/100); if wp==0 wp=1; end % 0 = rectangular if type == 0 W=[ ones(1,ceil(wp/2)) zeros(1,NN-wp) ones(1,floor(wp/2)) ]; end % 1 = triangular if type == 1 temp=triang(wp)'; W=[ temp([ceil(wp/2)+1:size(temp,2)]) zeros(1,NN-wp) temp([1:ceil(wp/2)]) ]; end % 2 = hann if type == 2
```
```
temp=0.5*(1+cos(2*pi*[1:wp]/wp)); W=[temp([1:ceil(wp/2)]) zeros(1,NN-wp) temp([ceil(wp/2)+1:size(temp,2)]) ]; end %area adjust acc=0; for x=1:size(W,2), acc=acc+W(x); end W=W./acc; g=ifft(G); w=ifft(W); GSM=fft(g.*w);
```
|
research-article
634468 2016
VAWXXX10.1177/1077801216634468Violence Against WomenLloyd and Ramon
Smoke and Mirrors: U.K. Newspaper Representations of Intimate Partner Domestic Violence
Michele Lloyd 1 and Shula Ramon 1
Abstract
News media are in a position to project certain perspectives on domestic violence while marginalizing others, which has implications for public understanding and policy development. This study applies discourse analysis to articles on domestic violence in two U.K. national daily newspapers published in 2001-2002 and 2011-2012 to evaluate evidence of change over a 10-year time span. The research examines how discourses of domestic violence are constructed through newspaper representations of victims, predominantly women, and perpetrators, predominantly men. Although one of the newspapers adopts a respectful position toward women, the textual and visual techniques adopted by the other reveal a tendency for blaming the victim and sexualizing violence related to perceptions of "deserving" or "undeserving" women victims.
Keywords
domestic violence, victim, perpetrator, newspapers, discourse
Introduction
Media presentation of sensitive issues such as domestic violence plays an important part in shaping and reflecting public opinion (Cumberbatch & Howitt, 1989). Research indicates that the media have the ability to mobilize, and tap into, people's views on social, cultural, and political issues (cf. Freedman, 2014; Ray, 2011) and that media effects can be a formative influence on consumer attitudes and behavior (Harne &
1University of Hertfordshire, UK
Corresponding Author:
Michele Lloyd, School of Education, University of Hertfordshire, Room R240, de Havilland Campus,
Hatfield, Hertfordshire AL10 9AB, UK.
Email: firstname.lastname@example.org
Downloaded from vaw.sagepub.com
Violence Against Women 1–26 © The Author(s) 2016 Reprints and permissions: sagepub.com/journalsPermissions.nav DOI: 10.1177/1077801216634468 vaw.sagepub.com
by guest on April 22, 2016
Radford, 2008). Although consumers decide for themselves which newspapers to read, the content, tone, and allegiance of news coverage will be determined by journalists, editors, and in some cases, press proprietors (Keeble, 2006). Newspaper editorial power in setting the news agenda with their own story, coupled with journalists' influence on framing popular understanding (Butler, 2014), aims to ensure that the appropriate "take home" message (Wozniak & McCloskey, 2010) is communicated to readers.
The stimulus for investigating media representations of domestic violence in the United Kingdom was derived from our participation in a European Union–funded Daphne III project titled Empowering Women and Providers: Domestic Violence and Mental Health, which focused on enhancing being in control and well-being of women experiencing both domestic violence and mental health issues (Ramon et al., 2013). The expressed guilt of the women participants made us consider what leads victims of this type of violence to accept guilt instead of holding perpetrators accountable. Assuming that this response of the women is anchored in their social context, and given the centrality of media in both shaping public opinion and reflecting views mentioned above, investigating media representations made sense as a way of understanding that context.
Furthermore, in addition to the internalized guilt, both the women's training groups we ran as part of the project and existing literature (Humphreys & Thiara, 2003; Mullender & Hague, 2005) highlighted the stigma attached to being identified as a victim of domestic violence. We had to ask ourselves why stigma is attached to the victims of this particular crime, whereas it is usually attached to perpetrators of a crime. Stigma is a social construct, attributed to people whose behavior is perceived as socially undesirable, aimed at social distancing from the stigma carrier. The carrier is portrayed negatively in many ways, often leading to a generalized master status in which the stigmatized aspect of their lives is magnified to engulf and mask all of their other personal attributes (Goffman, 1963). Those stigmatized by others frequently internalize the master status to become their key self-identity as a way of making sense of the stigma they are surrounded with. In turn, the internalization guides their belief in who they are and what they can or cannot achieve in life.
In parallel, U.K. legislation and formal governmental approach to domestic violence perceives it as a punishable crime, and seeks to support victims in a variety of ways (Hester, 2011). Although a wide network of support services in both the statutory and voluntary sectors exists in the United Kingdom, government funding for the domestic violence and sexual abuse sector decreased by 31% between 2010/2011 and 2011/2012 (Towers & Walby, 2012), and refuges are increasingly being subject to funding via competitive tendering (Women's Aid, 2013). A recent report by Her Majesty's Inspectorate of Constabulary (HMIC, 2014) uncovered failings across police forces in England and Wales to deal effectively with domestic abuse. The report found that just under 58,000 people, largely women and children, were assessed by police to be at high risk of serious harm or murder by partners or ex-partners. HMIC (2014) also noted that 77 women were killed by partners or ex-partners in 2012-2013. Yet women in the United Kingdom disclose domestic violence to the police on average by guest on April 22, 2016
only after 35 incidents (Starmer, 2011), highlighting that there are barriers that stop women from accessing potentially supportive services. Thus, the current U.K. context contains contradictions in terms of the attitudes toward both victims and perpetrators of domestic violence.
Given this context, and the centrality of the media in reflecting and shaping views, the key question asked in this study is how are those, predominantly women, who experience domestic violence portrayed by the media; which qualities are attributed to them, and to the perpetrators, mostly men; and whether the experience is recognized as a social issue or only as a personal one. Likewise, we were interested to explore whether attitudes of the media have changed during the first decade of the 21st century. To account for variations in U.K. opinion and social structure, the study compares the views expressed on this issue by two national newspapers at key points over this period. Although television and film add more emotionally loaded stimuli for the observer, we focused our investigation on newspapers to examine the unique freedom of printed news media in the United Kingdom, which has been the subject of much public discourse recently, discussed further below.
In reference to terminology, the U.K. government's (Home Office, 2013) definition of domestic violence and abuse encompasses, but is not limited to, psychological, physical, sexual, financial, and emotional forms of abuse through an incident or patterns of incidents of controlling, coercive, or threatening behavior. It is defined as taking place between those aged 16 or above who are or have been intimate partners or family members, irrespective of gender and sexuality. Although there are different types and patterns of domestic violence (Beckett, 2007), including children witnessing it, we use the terms domestic violence and intimate partner domestic violence to signify the forms of violence analyzed here, which frequently take place in the domestic sphere and within people's intimate relationships.
Existing Research
The impact of media representations is stronger when the phenomenon studied has a high degree of uncertainty and ambiguity, with a number of key stakeholders involved, such as in the case of people experiencing mental distress and ill health (Philo, 1996; Ramon, 2006; Ramon & Savio, 2000). In such cases, the media acts as a source of information and judgment that enables the audience to make up their own mind about the unclear issue. Hartley (1992), looking at research on youth unemployment, describes it as a "dirt" category—namely, an issue where a number of different perspectives co-exist, where simple explanations are not good enough, and the emerging picture is one of confusion. The role of the media is to clear the muddle, to enable readers to see the key issues and their essence, and direct them to the "right" response. The temptation to opt for simplistic explanations and solutions for the sake of clarity is therefore high.
Domestic violence is an act usually committed in private and often by an intimate partner and, therefore, many of its underlying features are not known to outsiders. Although a punishable crime in the United Kingdom, many instances of it either are by guest on April 22, 2016
not brought to the notice of the police or become withdrawn complaints by victims. The low level of episodes resulting in court cases and convictions is a reflection of the ambiguity of the responses of those involved—such as the woman, the perpetrator, their extended family and friends, the police, and health and social care professionals. Cavanagh (2003) has detailed the reasons for women victims' erratic behavior as having to do with the mixture of feelings of shame; failure to have good enough intimate relationships perceived to be the responsibility of women in heterosexual relationships; guilt; and hope that the next strategy the woman adopts will prevent further domestic violence.
Bullock and Cubert's (2002) research in the United States proposed that domestic violence incidents are not always described as such because they are interpreted through several frames, such as the police frame, "just the facts," "people are different from us," blame the victims, and excuse the perpetrator frames. Accepting Bullock and Cubert's approach, Gillespie, Richards, Givens, and Smith (2013) looked at 113 femicides defined as domestic violence covered in local newspapers in comparison with 113 femicide cases not defined as domestic violence. They suggest that the media are applying several frames in its socially constructed accounts, which are determined by sources of information, language choice, and context. On the basis of the Bullock and Cubert study, Gillespie et al. (2013) applied the following frames in their analysis of femicide coverage in the North Carolina newspapers they analyzed to reveal how domestic violence-defined femicide is categorized: event as routine, nondescript (29%); event as isolated (27%); social problem (25%); blaming the victim (16%); and fault of the criminal justice system (11%). The authors found two more frames to be of relevance to femicide not defined as domestic violence, those of personal loss of control or moral breakdown of the perpetrator, and minimizing the event by focusing on a broader issue. Femicide is treated by the media as presenting a social problem only in 10% of cases in Bullock and Cubert's (2002) study, and as 13.7% of the sample in a study conducted by Richards, Gillespie, and Smith (2011). When a femicide is constructed as a social problem, information sources are likely to come from advocates of the rights of women victims of domestic violence, and fault will be attributed to the criminal justice system. Similarly, looking at 21st century films, broadcast news, and song lyrics, Batanchiev (2008), in a PhD dissertation on U.S. media, highlights that the films depicted women as weaker than men, while the song lyrics portrayed them as overcoming the abuser, yet remaining weak. The broadcasted news depicted women as responsible for their abuse and objects of pity, and exonerated the abusive men.
In contrast to the above research, Wozniak and McCloskey's (2010) analysis of 100 newspaper reports on intimate partner violence in the United States found that journalists did not appear to excuse male-perpetrated homicide to the same extent as in previous years, nor were female victims viewed as inciting violence in the vast majority of articles they examined. Although Wozniak and McCloskey accordingly discern that promising progress has been made by journalists toward more accurate reporting, they acknowledge that their focusing on initial news articles may only have had a bearing on their findings. They also note that the articles they examined continued to underplay the broader social context and prevalence of intimate partner violence.
by guest on April 22, 2016
Domestic Violence Challenges for the Media
The above summary of previous research highlights that the media has faced the complex, risky, and uncomfortable issue of domestic violence first by avoiding its prevalence (e.g., event as isolated), second by normalizing it (event as routine), third by blaming the victim, and fourth by blaming the criminal justice system. The group escaping most of the blame seems to be the perpetrators of violence. Simultaneously, we wish to recognize that there are good examples of the U.K. media helping to support women victims, noted further below. Yet, there is evidence of an inclination toward the negative portrayal of some domestic violence victims as described in the literature cited above. In view of the fact that analyzing newspaper coverage of domestic violence is an under-researched area in the United Kingdom, this article explores the extent to which patterns illuminated by research in the United States emerge in the United Kingdom, too.
U.K. Context
Around one in four women and one in six men experience domestic violence in their lifetime in England and Wales (Home Office, 2010). Although there is growing awareness of men as victims, women are more likely than men to experience domestic violence in severe and repeated forms (Women's Aid, 2009). Public opinion toward domestic violence is often influenced by information provided by news media (Carlyle, Slater, & Chakroff, 2008). Indeed, findings from a British Crime Survey show that 75% of the public gain their information about crime from the media (Mason, 2006).
Printed news media in the United Kingdom occupy a particularly powerful, if somewhat anomalous, position. Although television and radio broadcasting in the United Kingdom is required to be impartial in news reporting, "the print media is fully entitled to be partisan" (Leveson, 2012a, p. 66). The year 1695 saw the end of journalism licensed by the state in the United Kingdom, and since then, newspapers have been regulating themselves. Freedom of the press is a cherished notion. Nevertheless, concerns have been raised about press freedom being conflated with the belief that journalist undertakings are an expression of freedom, and any curtailment is an expression of censorship (Lloyd, 2012). The recent Leveson (2012a, 2012b) Inquiry into the culture, practices, and ethics of the press recommended independent, law-backed regulation of U.K. newspapers. Opponents fear this would signal the end of a free press and free speech, and the debate concerning regulation is ongoing in the U.K. Parliament.
Evidence from the National Union of Journalists, submitted to the Leveson Inquiry in anonymized form due to fear of reprisals, described the competitive culture and, at times, editorial bullying within the newsroom. Their evidence revealed the pressure to deliver a story placed on journalists, some of whom succumbed to the practice of making up quotes (Leveson, 2012b). Submissions to the Inquiry also told of top–down pressure to report stories in a mode that fitted the worldview and political narrative of a title. Leveson suggests that a fusion of fact and comment is inevitable—so-called "agenda journalism." However, he also cautions, by guest on April 22, 2016
. . . what is harmful and what is worthy of criticism is a practice identified in sections of the press of prioritising the worldview of a title over the accuracy of a story. (Leveson, 2012b, p. 684, emphasis in original)
Although the Leveson Inquiry examined all sections of the press, its criticisms fell most heavily on the tabloids. There are 12 national daily titles in the United Kingdom approximately comprised of four broadsheets, four mid-market titles, and four "redtop" tabloids. It is worth noting that although the United Kingdom has a largely malemanaged media with very few women and newspaper editors and more than three quarters of newspaper articles written by men (Hill, 2012), our research found that values and beliefs cut across journalists in terms of their gender, and allegiance to a newspaper's ideological worldview rather than to one's gender seems to be a determining variable in journalists' stance.
Method
To explore media representations of domestic violence at divergent ends of the political and social spectrum, and to examine whether such representations have changed over the course of a decade, we analyzed articles in the Sun and Guardian newspapers in the United Kingdom for the years 2001-2002 and 2011-2012. The rationale for selecting these titles was based on the Sun being the biggest-selling national newspaper in the United Kingdom with an average daily print circulation of 2.3 million during April 2013 (Newsworks, 2013b). Although it supported Labour election campaigns under Blair's leadership, the Sun's floating voter status is more commonly aligned right of center (McNair, 2003) as was the case under Thatcher and subsequently Cameron. The Guardian was selected due to its variation with the Sun in terms of being a left-of-center broadsheet with an average daily print circulation of 196,000 during April 2013 (Newsworks, 2013a). There is also divergence in price with the Guardian costing £1.40 per issue during the week in comparison with the Sun's price of 40 pence (prices as of April 2013). Both titles have been available online, free of charge, since around the time of the new millennium (the Sun has recently mooted the idea of charging digital consumers). Our research is based predominantly on electronic articles, although we did examine hard copies on a minority of days during 2012 to gain a flavor of the respective publications in their entirety, with Michele Lloyd leading research into hard copies of the Sun and Shula Ramon assuming primary responsibility for hard copies of the Guardian. Initial individual findings were then examined collaboratively and recursively, enabling the generation and refinement of themes resulting in progressive focusing. Coding frameworks used for analyzing data emerged inductively during the process of researching the newspapers and also deductively through being theoretically informed by existing literature discussed above (Hodkinson, 2008; Miles & Huberman, 1994). Articles found through the Sun and Guardian websites were cross-referenced with the LexisNexis (http://www.lexisnexis. com/en-us/home.page) electronic database of newspapers, which includes the location and page number of articles not shown on the newspaper websites, although LexisNexis by guest on April 22, 2016
does not include visual material. In their research into U.S. newspaper coverage of intimate partner violence, Wozniak and McCloskey (2010) similarly accessed articles through LexisNexis Academia and suggested their research could have benefitted from including pictures from Internet newspaper sources. We were keen therefore to include image-based data in our research, which provided a fuller picture of how individuals are depicted in newspapers. In another departure from Wozniak and McCloskey's (2010) research design, which only examined first published articles on an incident, our analysis followed domestic violence cases as they unfolded across serial articles.
In today's fast-paced world of instant breaking news and 24-hr digital coverage, newspaper sales are on the decline; yet, combined print and online readership totals remain healthy. The Guardian has 12.7 million readers in print and online each month (its monthly print readership is around 4.3 million; National Readership Survey [NRS], 2013). This compares with the Sun's monthly total of 17.4 million readers in print and online (its monthly print readership is 15.2 million, proportionately far higher than the Guardian's monthly print readership; NRS, 2013).
The Sun and Guardian have similar readership profiles in terms of gender with men comprising around 55% of their readers and women accounting for 45%. Readership shows greater divergence concerning social class classification based on occupation, with the Guardian attracting more readers from the higher social grades (Newsworks, 2013a, 2013b).
Stylistically, the Sun has a condensed writing form, characteristic of the tabloid genre, accompanied by many photographs, including, since 1970, a daily photograph of a topless woman on Page 3. In contrast to the "red-top" tabloids, the Guardian is known as one of the quality newspapers and has more text and in-depth analysis than the Sun, with fewer pictures. The Sun's owner, Rupert Murdoch, has been accused of editorial interference (Brook, 2008) and exerting influence on successive Sun editors (Freedman, 2014), while the Guardian is said to be afforded editorial independence by its owners, the Scott Trust (Ribbans, 2011).
Searches of the Sun (www.thesun.co.uk) and Guardian (www.guardian.co.uk) websites were undertaken using the terms domestic violence, domestic abuse, and intimate partner violence. The number of articles found increased annually over the span of the decade, with the search term "domestic violence" eliciting the most articles. Table 1 shows the number of Sun and Guardian online articles citing the term domestic violence, with the Guardian having more than 5 times the number as the Sun.
During the focus years of 2001-2002 and 2011-2012, the number of articles found in the Sun was 215, all of which were examined and cross-checked with coverage in the Guardian where corresponding articles existed. This provided insights into the similarities and differences between tabloid and broadsheet journalism, discussed below. It became apparent, however, that the terms domestic violence, domestic abuse, and intimate partner violence were not always used in relevant articles, which meant that reports covering these themes were not found by our initial searches. Other terms were used in articles such as domestic row, disturbance, argument, strife, and marital difficulties, which seem to lessen the impact. We subsequently broadened our research by guest on April 22, 2016
Table 1.Number of Online Articles Citing the Term "Domestic Violence" For Specified Year(s).
terms to include language such as woman/man dies, woman/man/children killed or murdered, and wife/husband killed or murdered. This yielded further returns and interestingly brought up articles in which family members had lost their lives but which did not make reference to domestic violence or abuse. This matches research by Wozniak and McCloskey (2010), who found that 72% of the articles they examined on intimate partner homicide did not mention domestic violence. In our research, we subsequently used the names of people known to have been involved in well-documented cases to search the Sun and Guardian newspapers because this ameliorated the fact that coverage was not reported in terms of domestic violence. Naming forms of violence is essential in acknowledging their prevalence, even existence (Kelly, 1988). The lack of consistent language could contribute to domestic violence remaining a hidden problem and consequently often remaining beneath the radar of public consciousness.
In view of the fact that newspaper coverage overwhelmingly homes in on sensational cases of intimate partner violence (Carlyle et al., 2008), the newspaper articles on which our analysis is based can be viewed as likewise extreme in the sense that they concentrate on severe, rather than typical, everyday incidents of domestic violence. Given that effective qualitative research is dependent on paying close attention to detail (Silverman, 2013), we undertook a fine-grained textual and pictorial analysis of articles, staying close to the data (Denscombe, 2014) to examine how those depicted were positioned by newspaper discourses of domestic violence. Informed by previous discourse analytical approaches, we explored how article content was foregrounded and backgrounded (Strega et al., 2014) according to a newspaper's discursive framing of domestic violence. "In discourse the beliefs, norms and values that are taken for granted in everyday interaction are expressly thematised and subjected to critique" (Crotty, 1998, p. 144), which guided our discourse analysis aimed at critiquing the central themes identified within newspaper representations.
Findings
Reflecting the asymmetrical nature of intimate partner domestic violence in the United Kingdom (Dobash, Dobash, Cavanagh, & Lewis, 2004; Women's Aid, 2009), with men most likely the perpetrator and women the victim, our findings are based predominantly on articles following this gendered pattern. Because acknowledgment of this dominant pattern should not blinker us to "minority patterns" (Humphreys &
by guest on April 22, 2016
Stanley, 2006, p. 13), a minority of articles in our analysis are concerned with female perpetrators and male victims. None included same-sex incidents. In line with the wider U.K. population, the majority of victims and perpetrators were of White ethnic origin, and a small proportion were of minority ethnic background; we did not find ethnic origin to be a factor in the newspaper articles located by our searches; thus, the variable of ethnicity did not form part of our analysis. Researching the discourse of domestic violence press coverage in the United Kingdom found both congruence with and divergence from previous research carried out mainly in the United States. Analysis of articles led to the identification of five interconnecting themes: blaming the victim, the "ideal" victim, domestic violence campaigning, sexualizing domestic violence, and scaremongering, which will be analyzed in turn below.
Blaming the Victim
The most commonly identified theme derived from our research relates to how women are held accountable for the domestic violence they experience. This resonates with research by Richards et al. (2011) in the United States, which found that victim-blaming language in the news is mobilized more in relation to incidents of domestic violence than in any other crimes involving violence. Victim blaming remained consistent across the time span of our research. In accordance with previous studies, we likewise found evidence of direct and indirect victim-blaming language (Richards et al., 2011; Taylor, 2009), although overt manifestations were the predilection of the Sun and not the Guardian. Characteristic of tabloid vernacular, the Sun is replete with descriptions of men who have killed their partners as "spurned lover," "jilted lover," and "jealousycrazed," insinuating that the woman is responsible or at least partially responsible for her victimization.
A domestic violence case on the Channel Island of Jersey is a key case in point. Rzeszowski fatally stabbed his wife, Izabela, two children, father-in-law, a family friend, Marta, and her daughter all of whom were Polish. A Sun article entitled, "BBQ Dad Killed 6 Over Wife's Affair" (2012), notes that Rzeszowski "slaughtered six people at a family barbecue after he flipped over his wife's affair." According to the Sun, Izabela had changed her status on Facebook from married to single and then reverted to married status. Another Sun article ("I'd Rather Cut Off My Hand," 2011) states, "In a bizarre twist, fellow murder victim Marta had also changed her Facebook status to 'single'—after a row with her IT worker husband Craig, 37." There is no way of verifying the Sun's alleged behavior of Izabela and Marta—the paper appears to denigrate both women with impunity, and as silent victims, they cannot defend themselves (Soothill & Walby, 1991). The Sun describes Rzeszowski as a "doting dad" and Izabela as "cheating on him" and uses the caption of "So innocent . . . " underneath a photograph of their children ("Face of Jersey Slayings Suspect," 2011). The semiotic impact of the photograph and its caption serves to differentiate the children from their mothers, who may be victims of domestic violence, but perceived by the Sun as blameworthy victims. The Guardian's ("Jersey Murders Suspect Took Overdose after Wife's Affair," 2011) reference to unconfirmed reports of Rzeszowski's financial difficulties by guest on April 22, 2016
serves as another indirect way of diminishing the agency of the perpetrator (Taylor, 2009).
Sources that journalists choose to include in articles are telling of their stance on domestic violence (Gillespie et al., 2013). This is exemplified in the case of a father, Say, who fatally stabbed his two children. According to the Sun article titled "Dad Killed Kids to 'Spite' His Wife" (2011), Say's wife had left him for another man 2 years earlier, taking the children with her. "Jilted" Say had killed their children as he was due to be evicted from his flat. A neighbor appears to side with Say, and she reports him as stating that he was always the one who did things for the children while "all his wife did was sleep and go to work" ("I've Killed the Kids," 2011). Here, we see the Sun using the neighbor as a conduit to disparage a woman whose children have been killed. The case bears out Taylor's (2009) observation that using neighbors for comment can give a misleading picture of events.
Women's commitment to work as a contributory cause of domestic violence came to light a decade earlier in the case of police constable Bluestone who killed his wife and two of their four children before hanging himself. Both Bluestone and his wife are reported in the Sun and the Guardian to have had affairs. In the Sun's report, "Daddy's Trying to Kill Me" (2001), friends described Bluestone as a "devoted dad" "who adored his kids," making it difficult for them to understand why he had "flipped." The Sun juxtaposes "community bobby," against "a crazed copper" who went "berserk," "exploded," and, "in a frenzy," "bludgeoned" his wife and children. It is as though forces external to Bluestone provoked the fatalities.
Similarly, the Guardian article, "PC Kills Wife and Sons With Hammer" (2001), quotes Bluestone's parents' description of him: "He was a man devoted to his children, dedicated to his job and filled with love for his wife." The Sun article depicts a photograph of one of the sons before he was murdered wearing his father's police cap and jacket, again evocative of the good relationship Bluestone had with his children. The second photograph shows Bluestone smiling, with a pencil behind his ear, giving the impression of a happy, hardworking man. A later Sun article similarly shows a color photograph of Bluestone with a son on this shoulders with the caption "Snapped," while his wife is pictured alone in a black and white photograph, possibly suggestive of a colder disposition ("Inquest Hears of Carnage," 2001). In an attempt to account for Bluestone's actions, the Sun, as self-appointed moral arbiter, concludes one article by casting suspicion on his wife:
. . . the carnage is thought to have been triggered by a long-running dispute between Bluestone and high-flying administrator Jill, his second wife, over her yearning to move nearer her job. She earned £40,000 as the head of Basildon District Council's policy and performance unit. And she faced rush-hour car journeys of up to two hours to reach her office in Essex. Karl earned £25,000 as part of a special police team tackling crime. ("Daddy's Trying to Kill Me," 2001)
Here, the Sun invokes a sense of emasculation experienced by some men when their wife's employment is in the ascendency as a way of explaining, perhaps justifying, by guest on April 22, 2016
acts of violence. Several theorists, Ray (2011) tells us, have suggested that violence in the private sphere may be a response to a crisis of masculinity and to a sense of powerlessness among some men. Accordingly, it is as though the actions of Bluestone's wife were the qualifying trigger for the fatalities (cf. Winterson, 2001). If women are viewed as inciting domestic violence, it is not surprising many blame themselves and hesitate to contact support services.
During the course of our research, we found evidence aplenty of perpetrator responsibility for abuse receding from view. This emerged in the case of a solicitor who killed his wife, as explained in the Sun article, "Daddy's Stabbing Mummy" (2002):
Lawyer Les Humes stabbed his wife to death in front of their children after she told him she was cheating on him. . . . Humes worked long hours to provide his family with a comfortable lifestyle and a beautiful home.
The woman's alleged infidelity receives condemnatory treatment in contrast to the man's applauded efforts regarding the family's "mansion." He was charged with manslaughter rather than murder on the grounds of provocation and jailed for 7 years. A potential message to readers at the time is that mitigating circumstances can sometimes result in a more lenient sentence.
Provocation is no longer permitted as a defense in the United Kingdom and has been replaced with a new partial defense of "loss of control" for killings since 4 October, 2010 (Coroners and Justice Act, 2009). Although there can no longer be an infidelity defense, an appeal judgment in 2012 ruled that because all circumstances at the time of a killing have to be examined, if infidelity was present, it can be a factor in causing a loss of self-control (Baird, 2012). Although the defense of loss of control through infidelity can be considered by a jury, the conditions allowing this defense are now more stringent.
Women who kill their partners are rare and tend to be depicted as particularly deviant. An illustrative example is the Sun's article about Tracie Andrews, convicted of killing her boyfriend in 1996 while driving home, subsequently in preparation for release following 14 years in prison. The article title reads "Evil Andrews serves up cuppas in a church café" (2011), juxtaposing her evilness with the sanctity of a church café and having a "cuppa." The manic-looking photograph depicting Andrews after the incident adds to her malevolent profile. Compare this with the smiling photograph of police officer Bluestone cited above, whose crimes of murder were "out of character." The term evil is suggestive of internal, innate characteristics, in contrast to Bluestone going berserk and flipping, which have connotations of external triggers.
The theme of evil women surfaced again in relation to so-called "honour-based violence." Most cases concern women killed by fathers, brothers, and husbands. Of the 105 articles on honor killing found in the Sun from 2000-2012, one article used the term evil in its headline in relation to a grandmother who plotted to have her daughterin-law killed: "Evil Gran Will Never Leave Jail" (2007).
Individuals referred to in newspaper coverage of domestic violence were discursively positioned not only through text but also through pictorial images. Visual by guest on April 22, 2016
content reinforced written content, especially via photographs of male perpetrators in uniform such as police officers and soldiers. In the case of former soldier Michael Pedersen, the Sun and Guardian use similar photographs of him in military uniform when reporting his killing his two children and committing suicide. Pedersen had survived an Irish Republican Army (IRA) bomb explosion 30 years earlier and is referred to in the Sun as a "Hyde Park IRA Bomb Hero" (2012). Described as a "Tormented ex-soldier," Pedersen seems to receive greater sympathy in the Sun article than his wife who had "kicked him out of their home following a furious row." The tormented and the tormenter are co-created. Similarly, when aspiring footballer Andrew Hall stabbed his 15-year-old girlfriend, the Sun ("Teenage Football Star Admits Murdering Girlfriend, 15," 2012) laments the loss of his promising football career "for killing the pretty brunette," accentuated by the photograph of Hall in his football strip (the Guardian's picture was one of Hall not in his football strip).
Photographs of men in uniform could be interpreted as indicating that domestic violence can happen to anyone—they may be pillars of society, but they can still perpetrate acts of homicide. Alternatively, such images could be interpreted as casting men in a more positive light and do indeed contrast with visual representations of women perpetrators. For instance, Emma Bushen, now "teetotal" and reformed since previously hitting her husband, is shown in the Sun drinking from a bottle "during her boozy days" ("I Beat my Hubby like Corrie's Tyrone," 2012). Reference to multiple sexual partners and having children born to different fathers adds to women's trial by media, be they domestic abuse victims ("Tia's Addict Mum to Sue Council," 2011) or "sex-crazed" perpetrators ("Woman Who Drugged Lover's Beer then Smothered him in Bed is Jailed for Life," 2012).
Although inclusion of irrelevant behaviors can reveal authorial intent to denigrate the character of the victim, so too can the exclusion of information, which is in keeping with other studies applying discourse analysis (Strega et al., 2014). Given that the majority of femicide cases are preceded by a history of domestic violence (Taylor, 2009), and that men who commit intimate partner homicide are more likely to have a longstanding history of violence in comparison with men who murder other men (Dobash et al., 2004), omitting previous abuse incidents from news coverage of domestic violence may help to exculpate the perpetrator. Guardian journalists were consistently more likely to refer to pre-existing violence in comparison with those of the Sun, who tended to gloss over or exclude historical incidents, even in cases where previous abuse had resulted in police action, as had occurred in the case of police officer Bluestone cited above. Omitting historical acts of abuse contributes to the discourse of perpetrators "snapping" and committing a one-off act, whereas U.K. data examined by Dobash et al. show perpetrators of intimate partner homicide are likely to be acting "in character" (2004, p. 598) based on the ongoing nature of their violence.
Through the lexical choice of "spurned lover," "jilted lover," the Sun's narrative engenders a clear division between maligned and maligner, absolution and culpability. The extent to which victims are blamed and perpetrators exonerated seems to bear a correlation with the good woman–bad woman dichotomy discussed in "The 'Ideal' Victim" section of this article.
by guest on April 22, 2016
The "Ideal" Victim
Parallel with the Sun's discourse of victim blaming, it runs articles expressing sympathy toward certain victims of domestic violence. The subtext to the paper's multiple attitudes toward women appears to be linked to the analogy of "ideal" versus "undeserving" victim articulated by Gekoski, Gray, and Adler (2012). Their research into tabloid journalists in the United Kingdom found that women emerged as the second most perfect victims after children. Particular characteristics such as being young, female, White, middle-class, respectable, and physically attractive contributed to the newsworthiness of homicide cases and boosted newspaper circulation figures. Undeserving, non-ideal victims who do not fit the "ideal media profile" inspire less public sympathy or interest because they are perceived as likely to have contributed to their "expected" fates (Gekoski et al., 2012, p. 1221), a description befitting a number of domestic violence cases.
According to journalistic values, Jane Clough appears to fit the criteria of an "ideal" victim in that she was attractive, from a good home, and a nurse. The Sun article, "Why It's Never Okay to Hit a Woman" (2012), describes her as a "loving daughter" and a new mum when she was fatally stabbed by her ex-boyfriend in the car park of the hospital where she worked. Worthy characteristics, such as Jane's, will garner greater sympathy in the tabloid press. This echoes research into the Canadian print media's portrayal of street sex workers by Strega et al. (2014), who note that the technique of foregrounding women's respectability reduces the separation between "them" and "us," thereby increasing the human-interest currency of the story.
Another example of an "ideal" victim identified in our research is Heather Cooper, a police officer killed by her partner, who later committed suicide in prison. "Mummy's in Heaven" (2011), in the Sun, includes photographs of the couple's young children at their mother's funeral and quotes a senior police officer at the funeral service describing Cooper as "a super mum, super person, super cop." She had received a commendation by her force for her "professionalism, dedication and commitment" ("Ex-Cop Admits He Murdered Mum of Two," 2012). Those abusing "ideal" victims tend to receive harsher treatment by tabloids such as the Sun, commensurate with victim worthiness, in comparison with perpetrators of crimes against "non-ideal" victims. Indeed, there are examples of men committing intimate partner homicide being referred to in the Sun as "hubby": "Strangled by Hubby" (2011), "Post[man] Hubby Killed Wife over Affairs" (2011). . Using the diminutive term hubby can have the effect of deflating and arguably trivializing marital violence (Conboy, 2006).
The reports of domestic violence discussed here frequently draw on the construct of the ideal woman and the dominant ideology of motherhood (cf. Sunindyo, 2004). Women must navigate their way, for example, between being appropriately hardworking, unlike the "jailbird junkie" whose actions are at "the taxpayer's expense" ("Tia's Addict Mum to Sue Council," 2011), but not too career-minded as to adversely affect family life, nor too hardworking as to financially emasculate husbands or partners and risk provoking domestic abuse and hostile treatment at the hands of the press.
Our research also found evidence of victim "worthiness" being calibrated against real estate value. A recurring detail often included in Sun articles is reference to the by guest on April 22, 2016
value of the property where domestic violence took place. Real estate values were far less likely to feature in Guardian articles, although they were occasionally present ("Strife Frequent in Home of Killer PC," 2001). The Sun additionally provides information as to whether a property was owner-occupied or rented by victim and perpetrator ("Webcam Star Rosie Killed by Her Lover," 2011). Higher property values seem to elicit greater attention by the Sun in comparison with lower ones. The Sun appears to project its view regarding the perceived incongruity of high-value properties being the backdrop to domestic violence. This was in evidence in cases where the perpetrator was male and the victim female ("Daddy's Stabbing Mummy," 2002; "Kate Body Found," 2011; "Man Kills Lover and Is Found Hanged," 2012), and where the perpetrator was female and the victim male ("Hammer Killer Wife Jailed for 22 Years," 2011). In line with research by Gekoski et al. (2012), peoples' higher social class, and their associated higher real estate value, yield greater newsworthiness in homicide cases, including those committed in the domestic sphere. Referring to property values in cases of domestic violence seems to be suggestive to readers that property worth, victim worthiness, and newsworthiness are positively correlated.
Domestic Violence Campaigning
Perhaps surprisingly, to its credit the Sun runs several articles campaigning against domestic violence. We found examples, more so in the latter years of the time frame of our study, of the newspaper giving a voice to women who have experienced domestic violence and encouraging others to speak out. A notable example is Tina Nash, whose eyes were gouged out by her boyfriend. Sandra Horley, Chief Executive of Refuge, is interviewed at the end of some Sun articles, and details of the weblink to Refuge's 1in4 women campaign are included ("If a Man Hits You Once," 2012; "Never Be Scared to Report Domestic Violence," 2011; "Why 2pm Is a Vital Time For Abuse Victims," 2012). Details of support for male victims are given, too ("Kirsty Bashes Tyrone; Shock Corrie Plot Tackles Domestic Abuse on Men, " 2012). Campaigners have highlighted the importance of publishing expert views alongside news reports of domestic violence, and there are examples of the Sun subscribing to this practice. Although ostensibly positive, the Sun's campaign has parallels with Parker's (2004) discernment that contradictory meanings in discourse can represent people in ways that reinforce power relations. Thus, the depiction of individual women through a victim empowerment lens means that perpetrator accountability and wider social conditions remain noticeably absent from the analytical frame (Berns, 2004).
The Guardian adopts a more reflecting than shaping stance on domestic violence in comparison with the Sun and gives its backing to campaigns rather than campaigning. It likewise provides a platform for victim survivors such as Tina Nash to speak for themselves in-depth. Sandra Horley has written articles in the Guardian, too. In one ("We Need to See More Men," 2012), she writes that domestic violence cases are not about a man "losing his temper" or "flipping out"; they are about systematic control and abuse. However, losing their temper and "flipping" in response to the actions of their partners are precisely the terms frequently used by the Sun to describe some men by guest on April 22, 2016
who commit violent acts, as demonstrated above. The paradoxes within the Sun suggest its domestic violence campaigning could be less than ingenuous and rather a strategy for publicity redolent of its "self-promotional paradigm of campaigns" (Conboy, 2006, p. 188).
Sexualizing Domestic Violence
The biggest-selling U.K. tabloids base much of their appeal on sexualization and titillation. No subject seems out of bounds, including violence and death. Submissions to the Leveson Inquiry relating to reports in the Sun and two other national U.K. tabloids led to the conclusion that all three titles included articles "which appeared to eroticise violence against women" (Leveson, 2012b, p. 664). We found evidence of the Sun's penchant for sexualizing violence unrelenting during the focus years, which bookended the decade time frame of our research. The Sun's front page photograph of Reeva Steenkamp wearing a bikini the day after she was shot in Oscar Pistorius's home is a more recent reminder of the paper's unswerving adherence to the sexualization of intimate partner domestic violence ("3 Shots. Screams. Silence. 3 more Shots, 2013).
Celebrity crime victims represent high newsworthiness and even more so when the association between sex and violence is established. This is evident in the Sun's focus on the singer Rihanna, abused in 2009 by her boyfriend, Chris Brown, also a singer. There is in part sympathetic treatment of Rihanna by the Sun as it shows her injuries and condemns Brown's attack on her. While purporting concern for her welfare, these articles also serve as an instrument for depicting sexualized images of Rihanna, along with sexual headlines, multiple times a week during 2012, akin to regular installments of a soap opera, and positioned next to photographs of her injuries.
Salacious headlines are another means of increasing readership appeal and marketability. In the case of a man who killed his girlfriend and then himself while on a boat, the Sun ran the headline, "Purple Sex Toy, Duct Tape, Hard Drive, Cable Ties and a Sheet Covered in Blood" (2012), thereby magnifying the link between sex and violence (Eaves, End Violence Against Women Coalition, Equality Now, OBJECT, 2012). When a newly married woman was killed by her husband, the Sun ("Bride Killed After 4 Days", 2001) reported: "Just hours before, the couple had been overheard making love by a neighbour, Teesside Crown Court was told yesterday." The Sun's perennial use of the word "lover" enhances the sensational currency of intimate partner violence. Another long-standing trait of tabloid reportage is the use of actresses in contrived photographs, which was described more than 25 years ago in Peck's (1987) analysis of newspaper coverage of violence against women. The Sun continues to use images of staged domestic violence, depicting semi-clad actresses in simulation with actors, or semi-clad actresses with bruises adopting defensive, potentially provocative, poses ("Teenage Domestic Violence Laws Plan," 2011).
As already noted, notions of women's infidelity were repeatedly inscribed in the Sun's representations of female victims. Details of a woman's alleged unfaithfulness serve the twofold purpose of holding her accountable and infusing a case with sexual overtones. The Sun's depiction of Diana Garbutt, fatally beaten with a metal bar by her by guest on April 22, 2016
husband while asleep in bed, makes reference to her "string of affairs" (April 2, 2011), describes how she "used internet dating sites" (March 24, 2011), "had sex with a man on a sofa" when visiting friends with her husband 15 months before she died, and "romped with a cousin's husband" (March 22, 2011). The recurring disparagement of Diana gives the impression that she is on trial, amplifying long-established campaign calls to stop judging the victim and look at the evidence instead. Predictably Diana continued to be referred to as "unfaithful" and her visits to dating websites mentioned, even after her husband's conviction for murder ("Wife Killer Jury 'Right,'" 2012).
When women are not the victims, their sexuality can still be used against them. The case of Charlotte Collinge demonstrates how women can be cast in the role of the temptress by the tabloid media. The Sun's coverage describes how Evil Charlotte "the Harlot" "lured" ("Killer Wife Given Life," 2012) two men to her home "with offers of sex" ("Killer Wife Facing Life," 2012) in return for their fatally battering her husband. The use of the term lured bestows greater agency on Charlotte than on her accomplices.
Gratuitous coverage can further sensationalize crime passionnel. This came to light in the Sun ("Jury Hear Shocking Tape of Mum 'Being Strangled by Hubby'", 2002) during the case of Richard Cooper, on trial for "the horrific strangling of love-cheat wife Teresa Cooper." By using the term love-cheat wife, the Sun is constructing a discourse of domestic violence that holds the victim accountable and instantly sets the tone for the ensuing article. Cooper is reported to have secretly audio-recorded "a sex session between Teresa and her lover," Chris Sindall. Cooper allegedly activated the recorder inadvertently when he confronted his "three-times-wed wife" about her affair. The article presents a detailed transcript of the recording, which had been heard in court, and includes a particularly disturbing transcript of Cooper strangling his wife. Sections of the quality and tabloid press (and television news) dubbed it the "Weakest Link" murder case because Cooper had used the catchphrase from a popular television quiz saying, "You are the weakest link, goodbye," when strangling his wife. Based on information about the audio recording from Cooper's defense lawyer, the Sun states "the sound of mum-of-three Teresa giving lover Sindall oral sex could also 'clearly' be heard on it." The very inclusion of this reference could be interpreted as contributing to the paper's victim-besmirching discourse. Moreover, the coupling within the same sentence of mother status and giving oral sex to a lover appears to underline the adulterous actions of the woman, not befitting the paragon ideology of motherhood. Here, the linguistic coupling operates as a stance reporting device to intensify the force of the report and convey the attitudinal stance of the journalist (O'Keeffe & Breen, 2007). The woman's infidelity is used to rationalize and mitigate the perpetrator's violence:
In the case of domestic murder, uncontrollable sexual jealousy is "understood" and explained as a normalized reaction to the female's action. (Mason & Monckton-Smith, 2008, p. 704)
Scaremongering
The discursive regime operating in sections of U.K. press coverage of domestic violence not only blames victim action as causal in violence, but also blames victim inaction for not by guest on April 22, 2016
standing up to abusers or leaving them. Although a less pronounced finding in comparison with other identified themes, yet present across the study's time span, our analysis found evidence of a scaremongering agenda, which appears to play on parental, particularly maternal, wariness toward social services. Research has documented the long-standing reluctance among mothers who experience domestic violence to seek professional help due to feeling guilt and fear of their children being taken away (National Children's Home, 1994). One of the key misconceptions surrounding domestic violence is that it is simple for victims to leave (Harne & Radford, 2008). Indeed, cross-national data repeatedly show that when a woman endeavors to leave an abusive relationship, or asks a partner to leave, she is most at risk of serious or fatal injury (Richards et al., 2011; Women's Aid, 2009). As we found out during the running of our own training programs with women experiencing domestic violence and mental health issues mentioned above, women's difficulty in disengaging from a violent partner is often due to self-blame, the associated stigma of domestic violence, and financial dependency. So too is it due to isolation, low self-esteem, the controlling influence of abusers, women not seeing themselves as a victim, and fear of social services removing their children—all reasons described experientially by Tina Nash in the Guardian article, "Blinded by Her Boyfriend" (2012). This corroborates research in the United Kingdom by Rivas, Kelly, and Feder (2013), who similarly found that women did not always recognize their psychologically abusive experiences as abuse. Fear combined with feeling there is no way out have not assuaged criticisms that some women who stay with their partners allow perpetrators' actions to continue.
When the Sun ("Massacred by a Jealous Monster," 2011) reported the deaths of Joy Small and her two children at the hands of their father, it stated that "police and social services had warned her she might lose the children unless she dumped him"—hardly a reassuring message to readers, nor likely intended to be. In cases where service providers do intervene regarding relationship breakdown, the Sun ("Lousy Hubby Isn't Always a Bad Dad," 2011) sets little store by the ability of some professionals to intervene effectively, referring to them as "so-called experts from the burgeoning child 'protection' industry" whose actions are perceived as contributing to family fragmentation and "state-enabled hell." Apparently, costly state intervention by some "overzealous social workers" ("Man Up PM. Stick Up for Good Dads," 2011) not only takes its toll in human terms but financial ones too, because "self-righteous" professionals, among them social workers, are "on the public payroll" ("Indoctrination Indoctrination Indoctrination," 2002). Mothers staying silent about domestic violence for fear of their children being taken away is stoked by the Sun's narrative of social workers as "the tyrants of child protection" whose "playing-God mindset" denies parental access on "mere suspicion" and "hearsay," and whose Child Protection Plans are often "based on nothing more than an unfounded suspicion, plunging one or both parents into a Kafkaesque nightmare" ("Expose the Tyrants of Child Protection," 2012). Little wonder some women are reluctant to contact child protection services.
Discussion
Sun and Guardian journalists frame the issue of domestic violence according to the social, political, and ideological discourse within which they operate. Newspapers are by guest on April 22, 2016
entitled to be partisan in their views (Leveson, 2012a), yet the intertwining of facts and opinion can lead to distortion, especially among those journalists who wish to convey a news report imbued with their ideological hue. Worldview trumps accuracy.
Our research has found complex, multiple faces to the Sun newspaper and resonates with Leveson's (2012b) finding:
The Sun has campaigned admirably against domestic violence, rape, and size zero models. But it is clear that those campaigns have, perhaps uncomfortably, sat alongside demeaning and sexualising representations of women. (p. 664)
When considering the differences between the decades of coverage, the Sun has moved paradoxically with the times concerning developments in technology, positively through the inclusion of weblinks in articles to online sources of support, but also negatively in its references to Facebook entries and dating websites in their victim-blaming perspective. The old script of blaming women victims for male violence is thus finding articulation in new forms. The language and photographs examined within the Sun conspire to carry a parable-like message intended to spread a moral lesson, namely, that women need to conform to moral values pertaining to a good wife, mother, carer, and homemaker and thereby avert victimization. Moralizing narratives of the Sun are less likely to be projected onto men who are perpetrators, especially in cases of undeserving or "non-ideal" victims. Even the Sun's domestic violence campaigns are engaged in according to its moral framework of women knowing their place. Double standards continue to be applied to women's behavior by publications such as the Sun: On one hand, flaunt yourselves, but on the other, perceived deviant behavior will be met with tabloid indignation if abuse happens. The Guardian takes a more respectful position toward the victims, letting them speak more with their own voice.
The pursuit of profit and influence is often, possibly always, the underlying dynamic of newspapers. By way of boosting readership appeal and sales, news media commonly pay attention to extreme cases of domestic violence, which can obscure the prevalence of abuse. The tendency within U.K. press reporting to equate violence against women as perpetrated in public by a stranger (Mason & Monckton-Smith, 2008) contributes to the legitimizing of domestic violence as normal, albeit unacceptable. Although taking place in private, the scale of domestic violence, its impact not only on the victim but often also on her children and perhaps on the perpetrator too, turn it into a social problem whose place is very much in the public domain. Yet, we have seen how domestic violence in the news is seldom framed as a societal public health concern, but rather as an individualized problem or somehow precipitated by victims (Carlyle et al., 2008; Heeren & Messing, 2009). Scant media reference to causal factors and wider patterns of abuse impresses the need for governmental action aimed at raising public awareness and tackling the origins of domestic violence through such measures as the introduction of statutory relationship education in all U.K. secondary schools.
A limitation of our study is that, based on the results of our searches, we focused on spectacular rather than routine forms of domestic violence and on cases referring to by guest on April 22, 2016
able-bodied, heterosexual intimate partners, but the newspapers' material hardly mentions the non-spectacular cases. The study could have benefitted from analyzing different forms of domestic violence. We are mindful that examination of honor-based violence was beyond the scope of this study and recognize the importance of exploring whether similar victim-blaming narratives are evident in the coverage of these cases. One of the methodological strengths of this study is also a weakness: Only articles at the beginning and end of a decade of news coverage were analyzed, enabling us to examine evidence of continuity and change, although there could have been themes in the intervening period that our methodology missed. Comparing a wider sample of newspaper titles and analyzing increased digital media output represent useful areas of future research.
Blame and fear are prominent themes within the discourse of domestic violence media coverage. We need to ask ourselves whether news media have a moral obligation beyond informing people—a wider vision of what society could aspire to. If so, there may be a place for a more comprehensive representation of domestic violence, one that begins with empathy toward the victim, which would make a worthwhile difference to victims and to public opinion.
Conclusion
This study has offered a fine-grained analysis of how women victims of domestic violence and their perpetrators are discursively framed by two leading U.K. newspapers. Our findings are consistent with predominant trends reported by studies in the United States concerning victim blaming, as well as providing new insights into domestic violence press coverage more specific to the U.K. context pertaining to tabloid journalism's proclivity for sexualizing violence against women. Narrative appropriation by the press may be all the more prominent in the United Kingdom where printed news media are not subject to impartiality requirements.
The number of articles reporting the issue of domestic violence has risen consistently over the 10-year period of our analysis, which may be grounds for optimism in relation to promoting awareness and public dialogue. So too has there been a noticeable increase in media coverage giving recognition to the issue of intimate partner violence against men, which is to be applauded given the hidden, taboo nature of this problem. Where there has been less change is in the content of coverage. The 10-year passage of time has diminished neither the medium nor the message of the Sun in terms of sexualizing violence against women and blaming victims. Our findings have a fresh resonance with concerns described more than 20 years ago by Soothill and Walby (1991): "It is the cuckolded husband who kills who gets the sympathy" (p. 47). The language may have toned down since the days when a U.K. judge in 1985 said a man found guilty of the manslaughter of his unfaithful wife "deserved sympathy" (Soothill & Walby, 1991, p. 47), or the case of the man who killed and buried his "nagging wife" ("Six Years' Jail for Hammer Killing of Nagging Wife," 1999), yet women still appear to be shown less mercy in comparison with men. The Sun continues to mobilize familiar spirals of representations concerning domestic violence, making by guest on April 22, 2016
moral judgments that result in an ideologically skewed picture of blame, perpetrators, and victims.
News media have the power to transmit information to consumers and inform public opinion in the process, suggesting that, although the media appear to be part of the problem of distortion and misunderstanding, they can be part of the solution to tackling domestic violence, too (Gillespie et al., 2013). Although domestic violence will not be eradicated with the cessation of misleading media coverage alone, it is essential that media content continues to be critically analyzed if the causes of domestic violence, sanctioning of privatized abuse, and reinforcement of violent culture are to be challenged and changed.
Future research could examine whether the ongoing debate around press regulation will affect U.K. newspaper coverage of gendered issues such as domestic violence. Furthermore, finding out from victims and from the general public their views about the representation of this issue by the newspapers would make an important research contribution, as would an action research study in which journalists participate alongside victim survivors and their welfare organizations.
Acknowledgments
We would like to thank all research participants in the European Commission Daphne III funded project, Empowering Women and Providers: Domestic Violence and Mental Health, whose experiences were the genesis of this study. We are also grateful to the anonymous reviewers of this article for their comments and suggestions.
Declaration of Conflicting Interests
The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.
Funding
The author(s) received no financial support for the research, authorship, and/or publication of this article.
References
3 shots. Screams. Silence. 3 more shots. (2013, February 15). The Sun, p. 1.
.
Baird, V. (2012, January 23). "Infidelity plus"—The new defence against murder. The Guardian Retrieved from http://www.theguardian.com/commentisfree/2012/jan/23/infidelity-plusdefence-murder
Batanchiev, T. (2008). Entertainment or oppression? Media depiction of domestic abuse (Doctoral dissertation). Boston College, MA.
BBQ dad killed 6 over wife's affair. (2012, August 14). The Sun. Retrieved from http://www.
thesun.co.uk/sol/homepage/news/4486078/BBQ-dad-killed-6-over-wifes-affair.html
Beckett, C. (2007). Child protection: An Introduction(2nd ed.). London, England: SAGE.
Berns, N. (2004). Framing the victim: Domestic violence, media and social problems. New Brunswick, NJ: Transaction Publishers.
by guest on April 22, 2016
Blinded by her boyfriend: "I asked my family to finish me off." (2012, December 4). The Guardian. Retrieved from http://www.theguardian.com/society/2012/dec/04/blindedwoman-wanted-to-die
Bride killed after 4 days. (2001, November 1). The Sun. Retrieved from http://www.thesun. co.uk/sol/homepage/news/142513/Bride-killed-after-4-days.html
Brook, S. (2008, January 23). Neil: Murdoch does interfere at Sun. The Guardian. Retrieved from http://www.theguardian.com/media/2008/jan/23/sun.rupertmurdoch
Bullock, C., & Cubert, J. (2002). Coverage of domestic violence fatalities by newspapers in
Washington state. Journal of Interpersonal Violence, 17, 475-499.
Butler, P. (2014, July 16). The Sun's poisonous blame game after Baby P still haunts social work. The Guardian, p. 33.
Carlyle, K. E., Slater, M. D., & Chakroff, J. L. (2008). Newspaper coverage of intimate partner violence: Skewing representations of risk. Journal of Communication, 58, 168-186.
Cavanagh, K. (2003). Understanding women's responses to domestic violence. Qualitative Journal of Social Work, 2, 229-249.
Conboy, M. (2006). Tabloid Britain: Constructing a community through language. London, England: Routledge.
Coroners and Justice Act. (2009). Coroners and Justice Act, 2009. Retrieved from http://www. legislation.gov.uk/ukpga/2009/25/pdfs/ukpga_20090025_en.pdf
Crotty, M. (1998). The foundations of social research: Meaning and perspective in the research process. London, England: SAGE.
Cumberbatch, G., & Howitt, D. (1989). A measure of uncertainty: The effects of mass media. London, England: Broadcasting Standards Council.
Daddy's stabbing mummy. (2002, July 25). The Sun. Retrieved from http://www.thesun.co.uk/ sol/homepage/news/152294/Daddys-stabbing-Mummy.html
Daddy's trying to kill me. (2001, August 30). The Sun. Retrieved from http://www.thesun. co.uk/sol/homepage/news/140546/DADDYS-TRYING-TO-KILL-ME.html
Dad killed kids to "spite" his wife. (2011, December 8). The Sun. Retrieved from http://www. thesun.co.uk/sol/homepage/news/3986599/Dad-killed-kids-to-spite-his-wife.html
Denscombe, M. (2014). The good research guide: For small-scale social research projects (5th ed.). Maidenhead, UK: Open University Press.
Dobash, R. E., Dobash, R. P., Cavanagh, K., & Lewis, R. (2004). Not an ordinary killer—Just an ordinary guy: When men murder an intimate woman partner. Violence Against Women, 10, 577-605.
Eaves, End Violence Against Women Coalition, Equality Now, OBJECT. (2012, November). "Just the women," an evaluation of eleven British national newspapers' portrayal of women over a two week period in September 2012, including recommendations on press regulation reform in order to reduce harm to, and discrimination against, women. Retrieved from http://i1.cmsfiles.com/eaves/2012/12/Just-the-Women-Final-e59e46.pdf
Evil Andrews serves up cuppas in a church café. (2011, January 15). The Sun. Retrieved from http://www.thesun.co.uk/sol/homepage/news/3353025/Evil-Tracie-Andrews-serves-upcuppas-in-church.html
Evil gran will never leave jail. (2007, September 20). The Sun. Retrieved from http://www. thesun.co.uk/sol/homepage/news/294054/Evil-gran-will-never-leave-jail.html
Ex-cop admits he murdered mum of two. (2012, June 26). The Sun. Retrieved from http://www. thesun.co.uk/sol/homepage/news/4395481/Ex-cop-admits-he-murdered-mum-of-two.html Expose the tyrants of child protection. (2012, November 28). The Sun, p. 11.
by guest on April 22, 2016
Face of Jersey slayings suspect. (2011, August 16). The Sun. Retrieved from http://www.thesun. co.uk/sol/homepage/news/3754424/This-is-the-man-arrested-over-knife-killings-of-sixpeople-including-three-children-on-Jersey.html
Freedman, D. (2014). The contradictions of media power. London, England: Bloomsbury.
Gekoski, A., Gray, J. J., & Adler, J. R. (2012). What makes a homicide newsworthy? UK national tabloid newspaper journalists tell all. British Journal of Criminology, 52, 1212-1232.
Gillespie, L. K., Richards, T. N., Givens, E. M., & Smith, M. D. (2013). Framing deadly domestic violence: Why the media's spin matters in newspaper coverage of femicide. Violence Against Women, 19, 222-244.
Goffman, I. (1963). Stigma. Harmondsworth, UK: Penguin.
Hammer killer wife jailed for 22 years. (2011, June 23). The Sun. Retrieved from http://www. thesun.co.uk/sol/homepage/news/3655445/Hammer-killer-wife-jailed-for-22-years.html
Harne, L., & Radford, J. (2008). Tackling domestic violence: Theories, policies and practice. Maidenhead, UK: Open University Press.
Hartley, J. (1992). Tele-ology: Studies in television. London, England: Routledge.
Heeren, J. W., & Messing, J. T. (2009). Victims and sources: Newspaper reports of mass murder in domestic contexts. In D. Humphries (Ed.), Women, violence, and the media: Readings in feminist criminology (pp. 206-223). Boston, MA: Northeastern University Press.
Her Majesty's Inspectorate of Constabulary. (2014). Everyone's business: Improving the police response to domestic abuse. Retrieved from http://www.justiceinspectorates.gov.uk/hmic/ wp-content/uploads/2014/04/improving-the-police-response-to-domestic-abuse.pdf
Hester, M. (2011). The three planets model: Towards an understanding of contradictions in approaches to women and children's safety in contexts of domestic violence. British Journal of Social Work, 41, 837-853.
Hill, A. (2012, October 14). Sexist stereotypes dominate front pages of British newspapers research finds. The Guardian.
Hodkinson, P. (2008). Grounded theory and inductive research. In N. Gilbert (Ed.), Researching social life (3rd ed., pp. 80-100). London, England: SAGE.
Home Office. (2010). Crime in England and Wales 2009/10: Findings from the British Crime Survey and police recorded crime (3rd ed.). London, England: Author. Retrieved from https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/116347/ hosb1210.pdf
Home Office. (2013, March). Information for local areas on the change to the definition of domestic violence and abuse. Produced in partnership with Against Violence and Abuse. Retrieved from https://www.gov.uk/government/uploads/system/uploads/attachment_data/ file/142701/guide-on-definition-of-dv.pdf
Humphreys, C., & Stanley, N. (2006). Introduction. In C. Humphreys & N. Stanley (Eds.), Domestic violence and child protection: Directions for good practice (pp. 9-16). London, England: Jessica Kingsley.
Humphreys, C., & Thiara, R. (2003). Mental health and domestic violence: "I call it symptoms of abuse." British Journal of Social Work, 33, 209-226.
.
Hyde Park IRA bomb hero kills his kids then takes own life. (2012, October 2). The Sun Retrieved from http://www.thesun.co.uk/sol/homepage/news/4566927/Hyde-Park-IRAbomb-hero-kills-his-kids-then-takes-own-life.html
I beat my hubby like Corrie's Tyrone. (2012, June 20). The Sun. Retrieved from http://www. thesun.co.uk/sol/homepage/woman/4382970/I-beat-my-hubby-like-Corries-Tyrone.html
I'd rather cut off my hand than let anything happen to my children. (2011, August 17). The Sun. Retrieved from http://www.thesun.co.uk/sol/homepage/news/3756867/Jersey-murdersuspect-Damian-Rzeszowskis-vow.html
by guest on April 22, 2016
If a man hits you once, he'll keep doing it if he thinks he can get away with it. (2012, August 29). The Sun. Retrieved from http://www.thesun.co.uk/sol/homepage/woman/4509157/ If-a-man-hits-you-once-hell-keep-doing-it-if-he-thinks-he-can-get-away-with-it.html
Indoctrination indoctrination indoctrination. (2002, November 22). The Sun, opinion page.
Inquest hears of carnage. (2001, November 7). The Sun. Retrieved from http://www.thesun. co.uk/sol/homepage/news/142685/Inquest-hears-of-carnage.html
I've killed the kids. (2011, February 15). The Sun. Retrieved from http://www.thesun.co.uk/sol/ homepage/news/3412065/Dads-call-to-mum-Ive-killed-the-kids.html
Jersey murders suspect took overdose after wife's affair, says family friend. (2011, August 16). The Guardian. Retrieved from http://www.theguardian.com/uk/2011/aug/16/jerseymurders-suspect-alleged-overdose.
Jury hear shocking tape of mum 'being strangled by hubby.' (2002, January 25). The Sun Retrieved from http://www.thesun.co.uk/sol/homepage/news/145406/Jury-hear-shockingtape-of-mum-being-strangled-by-hubby.html
Kate body found. (2011, November 25). The Sun, p. 17.
Keeble, R. (2006). The newspapers handbook(4th ed.). London, England: Routledge.
Kelly, L. (1988). Surviving sexual violence. Cambridge, UK: Polity Press.
Killer wife facing life. (2012, July 24). The Sun, p. 17.
Killer wife given life. (2012, August 1). The Sun, p. 22.
Kirsty bashes Tyrone; Shock Corrie plot tackles domestic abuse on men. (2012, March 12). The Sun, p. 16.
Leveson, B. (2012a, November). An inquiry into the culture, practices and ethics of the press, report volume I. London, England: The Stationery Office. Retrieved from https://www.gov. uk/government/uploads/system/uploads/attachment_data/file/270939/0780_i.pdf
Leveson, B. (2012b, November). An inquiry into the culture, practices and ethics of the press, report volume II. London, England: The Stationery Office. Retrieved from https://www. gov.uk/government/uploads/system/uploads/attachment_data/file/270941/0780_ii.pdf
Lloyd, J. (2012). Beyond the rituals of humiliation at the Leveson Inquiry—What must now change in the press. In R. L. Keeble & J. Mair (Eds.), The phone hacking scandal, journalism on trial (2nd ed., pp. 1-3). Bury St Edmunds, UK: Abramis Academic Publishing.
Lousy hubby isn't always a bad dad. (2011, November 9). The Sun, p. 13.
Man kills lover and is found hanged. (2012, December 31). The Sun, p. 9.
Man up PM. Stick up for good dads. (2011, June 22). The Sun, p. 13.
Mason, P. (Ed.). (2006). Captured by the media: Prison discourse in popular culture. Cullompton, UK: Willan Publishing.
Mason, P., & Monckton-Smith, J. (2008). Conflation, collocation and confusion: British press coverage of the sexual murder of women. Journalism, 9, 691-710.
Massacred by a jealous monster. (2011, February 14). The Sun. Retrieved from http://www. thesun.co.uk/sol/homepage/news/3409537/Mum-and-her-kids-massacred-by-a-jealousmonster.html
McNair, B. (2003). News and journalism in the UK (4th ed.). London, England: Routledge.
Miles, M. B., & Huberman, A. M. (1994). Qualitative data analysis (2nd ed.). London, England: SAGE.
Mullender, A., & Hague, G. (2005). Giving a voice to women survivors of domestic violence through recognition as a service user group. British Journal of Social Work, 35, 1321-1343.
Mummy's in heaven. (2011, November 22). The Sun. Retrieved from http://www.thesun.co.uk/ sol/homepage/news/3950320/Murdered-cop-toddler-Mummys-in-heaven.html
National Children's Home. (1994). The hidden victims: Children and domestic violence. London, England: National Children's Home Action for Children.
by guest on April 22, 2016
National Readership Survey. (2013). Print and digital data, NRS January-December 2012 & comScore November 2012. Retrieved from http://www.nrs.co.uk/
Never be scared to report domestic violence. (2011, October 21). The Sun. Retrieved from http:// www.thesun.co.uk/sol/homepage/woman/3885474/NEVER-be-scared-to-report-domesticviolence.html
Newsworks. (2013a). The Guardian readership data. Retrieved from http://www.newsworks. org.uk/The-Guardian
Newsworks. (2013b). The Sun readership data. Retrieved from http://www.newsworks.org.uk/ The-Sun
O'Keeffe, A., & Breen, M. J. (2007). At the hands of the brothers: A corpus-based lexico-grammatical analysis of stance in newspaper reporting of child sexual abuse cases. In J. Cotterill
(Ed.), The language of sexual crime (pp. 217-236). Basingstoke, UK: Palgrave Macmillan.
Parker, I. (2004). Discourse analysis. In U. Flick, E. von Kardoff, & I. Steinke (Eds.), A companion to qualitative research (pp. 308-312). London, England: SAGE.
PC kills wife and sons with hammer. (2001, August 30). The Guardian. Retrieved from http:// www.theguardian.com/uk/2001/aug/30/taniabranigan
Peck, J. (1987). Violence against women. In K. Davies, J. Dickey, & T. Stratford (Eds.), Out of
focus: Writings on women and the media (pp. 96-103). London, England: Women's Press. Philo, G. (Ed.). (1996). Media and mental distress. Cambridge, UK: Cambridge University
Press.
Post[man] Hubby Killed Wife over Affairs (2011, March 22). The Sun, p. 19.
Purple sex toy, duct tape, hard drive, cable ties and a sheet covered in blood. (2012, September 4). The Sun, p. 9.
Ramon, S. (2006). Risk communication and the media. In D. Hillier (Ed.), Communicating health risks to the public: A global perspective (pp. 83-94). Aldershot, UK: Gower.
Ramon, S., & Savio, M. (2000). A scandal of the 80s and the 90s: Media representations of mental illness issues in Britain and Italy. In S. Ramon (Ed.), A stakeholder's approach to innovation in mental health services: A reader for the 21st century (pp. 209-227). Hove, UK: Pavilion Publishing.
Ramon, S., Vakalopoulou, A., Anczewska, M., Rollè, L., Lloyd, M., & Videmšek, P. (2013, January). Evaluating the effectiveness of the EmpowerW Action Research Project. International Conference on Domestic Violence and Mental Health: Empowering Women and Professionals, University of Turin, Italy.
Ray, L. (2011). Violence and society. London, England: SAGE.
Ribbans, E. (2011, December 4). The managing editor on . . . sponsorship and editorial independence. The Guardian. Retrieved from http://www.theguardian.com/commentisfree/2011/ dec/04/sponsorship-editorial-independence
Richards, T. N., Gillespie, L. K., & Smith, M. D. (2011). Exploring news coverage of femicide: Does reporting the news add insult to injury? Feminist Criminology, 6, 178-202.
Rivas, C., Kelly, M., & Feder, G. (2013). Drawing the line: How African, Caribbean and White British women live out psychologically abusive experiences. Violence Against Women, 19, 1104-1132.
Silverman, D. (2013). Doing qualitative research (4th ed.). London, England: SAGE.
Six years' jail for hammer killing of nagging wife. (1999, October 29). The Guardian. Retrieved from http://www.theguardian.com/uk/1999/oct/29/3
Soothill, K., & Walby, S. (1991). Sex crime in the news. London, England: Routledge.
Starmer, K. (2011, April 12). Domestic violence: The facts, the issues, the future—Speech by the director of public prosecutions, Kier Starmer QC. Retrieved from http://www.cps.gov.uk/ news/articles/domestic_violence_-_the_facts_the_issues_the_future/
by guest on April 22, 2016
Strangled by hubby. (2011, January 21). The Sun, p. 27.
Strega, S., Janzen, C., Morgan, J., Brown, L., Thomas, R., & Carriere, J. (2014). Never innocent victims: Street sex workers in Canadian print media. Violence Against Women, 20, 6-25.
Strife frequent in home of killer PC. (2001, August 31). The Guardian. Retrieved from http:// www.theguardian.com/uk/2001/aug/31/taniabranigan
Sunindyo, S. (2004). Murder, gender and the media: Sexualising politics and violence. In C. Carter & L. Steiner (Eds.), Critical readings: Media and gender (pp. 87-103). Maidenhead, UK: Open University Press.
Taylor, R. (2009). Slain and slandered: A content analysis of the portrayal of femicide in crime news. Homicide Studies, 13, 21-49.
Teenage domestic violence laws plan. (2011, December 15). The Sun, p. 9.
Teenage football star admits murdering girlfriend, 15. (2012, September 7). The Sun. Retrieved from http://www.thesun.co.uk/sol/homepage/news/4525937/Andrew-Hall-admitsmurdering-girlfriend-15.html
Tia's addict mum to sue council. (2011, May 13). The Sun. Retrieved from http://www.thesun. co.uk/sol/homepage/news/3578961/Tias-addict-mum-to-sue-council.html
Towers, J., & Walby, S. (2012, January 30). Measuring the impact of cuts in public expenditure on the provision of services to prevent violence against women and girls (Report for Northern Rock Foundation and Trust for London). Retrieved from http://www.nr-foundation.org.uk/downloads/Measuring-the-impact-of-cuts-in-public-expenditure-on-theprovision-of-services-to-prevent-violence-against-women-and-girls-Full-report-3.pdf
Webcam star Rosie killed by her lover. (2011, January 26). The Sun. Retrieved from http:// www.thesun.co.uk/sol/homepage/news/3371598/Fitness-instructor-stabbed-to-death-byjealous-partner-after-she-dumped-him.html
We need to see more men like Justin Lee Collins being held to account. (2012, October 10). The Guardian. Retrieved from http://www.theguardian.com/commentisfree/2012/oct/10/justinlee-collins-anna-larke
Why it's never okay to hit a woman. (2012, October 25). The Sun. Retrieved from http://www. thesun.co.uk/sol/homepage/woman/real_life/4607838/John-Clough-reveals-campaignagainst-domestic-violence-in-memory-of-Jane-who-was-killed-by-her-ex-Jonathan-Vass. html
Why 2pm is a vital time for abuse victims. (2012, November 15). The Sun. Retrieved from http://www.thesun.co.uk/sol/homepage/woman/real_life/4645104/Why-2pm-is-a-vitaltime-for-abuse-victims.html
Wife killer jury "right." (2012, May 25). The Sun, p. 29.
Winterson, J. (2001, September 4). Brutal truth. The Guardian. Retrieved from http://www. theguardian.com/world/2001/sep/04/gender.uk?INTCMP=SRCH
Woman who drugged lover's beer then smothered him in bed is jailed for life. (2012, November 12). The Sun. Retrieved from http://www.thesun.co.uk/sol/homepage/news/4639759/ Wheelie-bin-murder-woman-jailed.html
Women's Aid. (2009). Domestic violence: Frequently asked questions. Factsheet 2009. Retrieved from http://adventist.org.uk/__data/assets/pdf_file/0020/47036/Womens-AidDomestic-Violence-FAQ-2009.pdf
Women's Aid. (2013). Women's Aid annual survey 2013. Retrieved from https://1q7dqy2 unor827bqjls0c4rn-wpengine.netdna-ssl.com/wp-content/uploads/2015/10/Womens-Aidannual-survey-report-2013.pdf
Wozniak, J. A., & McCloskey, K. A. (2010). Fact or fiction? Gender issues related to newspaper reports of intimate partner homicide. Violence Against Women, 16, 934-952.
by guest on April 22, 2016
Author Biographies
Michele Lloyd, PhD, is a lecturer and researcher in the School of Education at the University of Hertfordshire, the United Kingdom. She combines work on undergraduate and doctoral programs with doctoral supervision and research. Her research interests include educational inequality, neoliberal ideology, poverty, social justice, multimedia communication, and human rights.
Shula Ramon is professor and mental health research lead at the University of Hertfordshire, the United Kingdom. She is a social worker and clinical psychologist researching and publishing extensively on domestic violence, recovery in mental health, media representation of mental ill health as well as of social work, and community mental health issues internationally.
by guest on April 22, 2016
|
Radnor Soccer Club
March 22, 2021
2021 SAFE PLAY POLICY
I. INTRODUCTION
Radnor Soccer Club (RSC) has developed these 2021 Safe Play Guidelines in an effort to keep its players, volunteers and league officials safe during Little League play in 2021. RSC cannot ensure that participants will not contract COVID-19 or suffer any injury or illness during play however, these guidelines are believed to be best practices on organizing, playing, and watching youth soccer in accordance with COVID-19 guidance from the U.S. Centers for Disease Control and Prevention (CDC), The World Health Organization (WHO), local youth soccer regulatory associations, the Commonwealth of Pennsylvania, and local governmental entities and health officials.
Participation in RSC is strictly voluntary. Families may decide not to participate in the club this season or until the COVID19 pandemic is over given the potential risks involved. All club personnel, Board members, officials, managers, coaches, and families that do choose to participate are mandated to review these guidelines and to comply with the guidance offered herein for everyone's safety. Individuals who participate but fail to abide by these guidelines may be asked to leave a practice, game or be dismissed from a team, at their own expense.
All persons reviewing these 2021 Safe Play Guidelines should also review the published recommendations from Eastern Pennsylvania Youth Soccer https://www.epysa.org/covid-19-resources-/.
Important note: These guidelines are written to address all Radnor Soccer Club programs. Certain sections of this document may not apply to the program in which a player is participating.
Questions related to the 2021 Safe Play Guidelines should be directed to:
* RSC Executive Committee and Safety Officer Primary Contacts
* Marc Verbos; Board Vice President – email@example.com
* Jeff Adams; RSC Safety Officer and Board Director - firstname.lastname@example.org
* Travel Program Contacts: Emily Hippler; RSC Head of Travel - email@example.com or Travel Coaching Director, Kirk Johnson - firstname.lastname@example.org,
* Recreation Program Contacts: Mike English; Head of RSL - email@example.com , or RSL Administrator at firstname.lastname@example.org,
The RSC Board of Directors have resolved to promulgate and enforce these guidelines to the best of its ability.
Important note: Radnor Soccer Club has a zero-tolerance policy for families who don't comply with the RSC Safe Play Guidelines and elects to knowingly let their child play when feeling ill or testing positive for COVID-19, will be dismissed from the club for the remainder of the year without refund.
DISEASE PREVENTION STRATEGIES
A. Pre-Arrival / When to Stay at Home
Any RSC coach, official, volunteers, players, or family members should stay at home and NOT attend practices, games, or other club sponsored events if they have tested positive for or are showing COVID-19 symptoms, or if they have recently had a close contact with a person with COVID-19 symptoms.
People with COVID-19 have had a wide range of symptoms reported – ranging from mild symptoms to severe illness.
COVID-19 symptoms may appear 2-14 days after exposure to the virus and include:
* Fever or chills Cough
* Muscle or body aches Headache
* Shortness of breath or difficulty breathing Fatigue
* New loss of taste or smell Sore throat
* Congestion or runny nose Nausea or vomiting Diarrhea
This list does not include all possible symptoms. The CDC continues to update this list as more is learned about COVID-19. Reference to the CDC's Coronavirus Disease 2019 (COVID-19) website area pertaining to considerations for youth sports is recommended:https://www.cdc.gov/coronavirus/2019ncov/community/schools-childcare/youth- sports.html
All persons planning to attend RSC practices, games and / or club events should check to be sure that those who will be present at any RSC facility are not exhibiting any signs or symptoms of COVID-19 BEFORE leaving their home. In addition,
While the Radnor Soccer Club will do everything to ensure the safety and wellbeing of all players, coaches, parents, volunteers, officials, and club personnel, it is explicitly understood, and acknowledged by each player and parent that the responsibility of ensuring the safety and wellbeing of all RSC players rests on the parents and players to complete all necessary pre-screening requirements prior to any schedule practice, game, or club event.
Prior to arrival at the field for any practice, game, or other club event, all players are required to complete a "wellnessscreen" questionnaire through their TeamSnap account and submit their responses. This questionnaire will include general questioning about how the player is feeling and whether or not the player is exhibiting any of the above listed COVID-19 symptoms. The questionnaire can be found under the "Schedule" section within the TeamSnap app.
Important note: EVERY player is required to complete the questionnaire prior to each practice, game, or club event. The questionnaire should be completed no more than one (1) hour prior to the scheduled event start time.
Any player who arrives at a field for a practice, game, or club event and has not completed the questionnaire will be prohibited from participating in the event and asked to leave the field or facility.
B. Arrival at Practice / Games / League Events
On arrival at the field, all players will be required to check-in with their team coach and/or club official designated as the "site-lead" (depending on facility) to have their temperature checked and recorded with a non-contact infrared thermometer that will be available at all RSC playing locations. Important note: this does not replace or serve as an alternative to the pre-screen questionnaire and required temperature check submission that must be submitted and on file as outlined above.
Any player that "fails" the "well-screen" will NOT be permitted to engage in the practice, game or event and will be asked to leave the facility immediately in order to ensure the health and safety of everyone else present. Further, any player who exhibits emerging symptoms of COVID-19 or any other illness during a practice, game or event will likewise be asked to leave the facility immediately.
To the extent that supplies are available and practical, all players and coaches will be asked to wash their hands with soap and water or with an alcohol-based hand cleaner upon arrival and before the commencement of the practice, game or club event.
C. TRAVEL RESTRICTIONS
As of March 1, 2021, the travel order requiring testing and quarantine is no longer in effect for domestic travel. International travel recommendations for quarantine and required testing remain in effect. Travelers should still practice appropriate public health measures to slow the spread of COVID-19 such as masking, physical distancing and hand hygiene. Information pertaining to the most up-to-date travel restrictions can be found at https://www.health.pa.gov/topics/disease/coronavirus/Pages/Coronavirus.aspx
D. Occupancy Limits
CROWD SIZE & SPECTATORS Order for Mitigation and Enforcement amended March 1, 2021. Outdoor events and gatherings may have up to 20% of their maximum capacity. Maximum occupancy includes staff, as well as spectators, coaches and athletes. Fields and facilities may be more restrictive if they choose. Physical Distancing at six feet apart is still required of spectators and players not participating in the game. Masks must be worn by spectators, coaches and athletes (see previous regarding athletes and masks)
Each individual game or practice at a RSC facility must adhere to the current Pennsylvania gathering occupancy limits current guidelines and information can be found by visiting:
https://www.health.pa.gov/topics/disease/coronavirus/Pages/Coronavirus.aspx .
If multiple games are to be held at the same facility, adequate time shall be scheduled between contests to allow for facilities to be cleaned and disinfected as feasible, and to minimize interaction between athletes. Radnor Township sports complexes with multiple fields may operate simultaneous games or practices on fields within a complex, only if social distancing can be maintained.
E. Use of Club Equipment
During the 2021 season, RSC discourages the use of any shared equipment. To the extent possible, all players and coaches shall refrain from sharing personal soccer and protective equipment. If equipment must be shared (as may be the case at times), then all shared equipment MUST be properly disinfected with an EPA approved disinfectant against COVID-19 between users by a coach or other club volunteer. RSC will endeavor to provide said disinfectant solutions at all facilities to the extent practicable and based upon availability of supplies.
Upon completion of any practice, game, or club event, all club equipment including soccer balls, goals, and cones should be disinfected.
Where possible, coaches should assign practice pennies to each player at the beginning of this season. Pennies should remain in the possession of the assigned player and treated as part of the player's personal equipment for the entire season and washed between uses.
In divisions where it is not reasonable to assign pennies to individual players, the team coach should disinfect and wash all team pennies between every practice and/or game in which the pennies are used.
During games, officials should limit their contact with the ball to the extent possible. Players should retrieve out-ofbounds balls, where possible, and at no time, should any spectator retrieve the ball.
F. Sidelines and Fields
RSC is committed to maintaining safe and healthy facilities for all club events by employing the use of EPA approved disinfectant against COVID- 19 before practices and games, to the extent practicable and based upon availability of supplies.
During all games, players shall store their equipment in the designated sidelines areas along the exterior parameter of the field and / or along the fence in the player-waiting area adjacent to the fields and at a distance of 6 feet apart. Players are to obtain their own equipment from their designated area without moving their bags during play.
When on the sideline, players and coaches should maintain social distancing no less than six (6) feet apart from one another at all times and be lined up, or seated, in the designated player-waiting area (as each RSC facility allows), and spaced out 6 feet apart.
Players, coaches, and officials should wear a mask, or acceptable face covering at all times when not actively involved and engaged on the field of play. This requirement is subject to change and will follow the recommended guidelines provided by state and local health officials.
Nonessential visitors and spectators at games should be limited, when possible. RSC kindly requests that spectators be limited to player's parents and immediate family when possible. Parents are asked to refrain from attending practices and instead plan to drop off and pick up their players, noting, however, that parents MUST be available by cell phone during all practices and games in the event that their player exhibits signs of emerging illness while at the facility. RSC understands that this may not be possible for younger divisions and other divisions of the club's rec. programs and therefore asks parents and coaches use their best judgement when necessary in determining spectator attendance based on age groups.
Family members, and other spectators are NOT permitted to enter any designated player areas, the field of play, or other areas outside of the designated spectator areas at any time or for any reason (other than to attend to an injured player when requested by an official or coach). Family members, and other spectators should wait until all players, coaches, and officials have arrived on the playing field and the practice, game, or club event has started, before making their way to the designated spectator area. Spectators should always maintain a distance of 6 feet from all other families and spectators within the designated spectator area and wear a mask, or acceptable face covering at all times. This requirement is subject to change and will follow the recommended guidelines provided by state and local health officials.
Radnor Township and RSC reserve the right to erect barricades and / or to otherwise demarcate entrances and exits, pick-up and drop-off locations and spectator viewing areas at all facilities in order to prevent or limit unsafe congregation or crowding. Family members, friends and other spectators in attendance must strictly adhere to all field signs and / or directions from Township officials, club officials, referees and coaches.
G. Public Facilities
Radnor Township will make all decisions as to whether or not public restrooms and water fountains will be available
RSC recommends that all players, coaches, and spectators bring their own water / drinks to practices and games. Teams will not be permitted to set up shared water coolers or any other type of shared beverages or food during the 2021 season. Coaches and players should label their own water / beverage bottles prior to arriving at the facility, and these should be kept with each player's equipment so as to avoid any confusion or unintentional shared use.
If the public restrooms are open at RSC facilities during the 2021 season, then RSC recommends that only 1 person be inside and using the restroom at a time. Parents should accompany their child to the restroom to be sure that this practice is being followed. Everyone using a public restroom should ALWAYS be sure to wash their hands with soap and water prior to exiting the restroom. If soap and water is not immediately available, then an alcohol-based hand sanitizer should be used instead.
To the extent any facilities are operating, social distancing must be followed at all times, and the following of any signs or published rules of use should be considered mandatory.
H. Social Distancing
All players, coaches, volunteers, club officials, referees, and spectators should practice social distancing of 6 feet from individuals not residing within their household, wherever and whenever possible, and during all RSC practices, games, and league events.
Use of a mask, or acceptable face covering should be practiced at all times when not actively involved and engaged on the field of play. This includes all players, coaches, volunteers, club officials, referees, and spectators. This requirement is subject to change and will follow the recommended guidelines provided by state and local health officials.
I. Personal Protective Equipment
Face coverings are not intended to protect the wearer, but rather to reduce the risk of spreading COVID-19 from the person wearing the mask (who may not have any symptoms of disease).
While the club understands that face coverings may be challenging for players (especially younger players) to wear, the club will implement, and enforce, a mandatory masking policy as recommended by state and local health officials. Face coverings should be worn by players, coaches, and officials when practicable and in accordance with the guidance offered herein. Face coverings should also be worn by all parents, and spectators who are present at RSC facilities. Wearing face coverings is most important when physical distancing is difficult.
Players, coaches, and officials should wear a mask, or acceptable face covering at all times when not actively involved and engaged on the field of play. Radnor Soccer Club has purchased, and will provide, a club branded face covering for all players, coaches, club officials, and parent volunteers in effort to promote our masking policy.
Players are not required to wear a cloth face covering while on the field during game play. However, players are permitted to wear a cloth face covering on the field during game play, if they are physically able to safely do so, and /or based on any directive of a medical provider or individual determination of the player/ parent / guardian.
Cloth face coverings should not be placed on young children under age 2, anyone who has trouble breathing, or is unconscious, incapacitated, or otherwise unable to remove the mask without assistance.
Players should not wear protective medical gloves on the field during game play.
These policies are subject to change and will follow the recommended guidelines provided by state and local health officials.
II. MODIFIED GAME PROCEDURES & RULES
A. Pre-Game Meetings
The holding of pre-game meetings is strongly discouraged. If a meeting is to be held, then social distancing of 6 feet between individuals should be implemented during the meeting. Meetings should only consist of one coach from each team, and game officials. All participants should wear a cloth face covering. No players should ever be a part of pregame meetings.
B. Referee Positioning
Referees should maintain a safe distance from players, coaches, and other officials during play at all times whenever possible and are encouraged to referee games from the sidelines. Referees should maintain a safe distance, preferably 6 feet, as much as possible. If physically able, all referees are encouraged to wear cloth face coverings while officiating any club event.
C. Spitting, Gum, etc.
Spitting, gum, etc. will NOT be allowed on field during the 2021 season. All players and coaches are to refrain from spitting at all times, including on sideline areas and on the playing field.
D. Effort to Avoid Collisions and Close Proximity of Players
Due to the nature of the sport, it is understood that players, during games will be in close proximity and have potential for collision with other players. Players should refrain from entering goalie boxes and avoid gathering in groups as much as possible when play is suspended.
Coaches are encouraged to utilize practice drills and techniques that limit close proximity of players whenever possible and limit practice scrimmaging and other activity that require players to be in close contact. It is understood that this will not always be possible and coaches should use their best discretion to make the decisions.
E. Traditions and Sportsmanship
Players must avoid huddles, shaking hands, fist bumps, high fives or other displays of unity or sportsmanship before, during and after games and practices. Players should limit unnecessary physical contact with teammates, other athletes, coaches, officials, and spectators. The post-game "handshake" with the opposing team should be replaced with a "salute" from each team's respective sideline, or other creative gesture.
III. NOTIFICATION OF ILLNESS
For RSC travel programs, the Board Director that serves as the head of travel programs (Jim Warren), Travel Director of Coaching (Kirk Johnson), and the RSC Safety Officer (Jeff Adams), MUST be contacted if any RSC travel player tests positive for COVID-19 or becomes symptomatic of the disease.
For RSL (rec) programs, the Board Director that serves as the head of RSL programs (Marc Verbos), and the RSC Safety Officer (Jeff Adams), MUST be contacted if any RSL player tests positive for COVID-19 or becomes symptomatic of the disease.
In accordance with state and local privacy and confidentiality laws and regulations, RSC will notify local health officials, coaches, referees/officials, and any families that were in "close contact" with the affected player within the past 14 days so that those individuals can then determine whether or not they need to be tested for COVID- 19 and / or isolated / quarantined.
In order to assist with proper notifications and contact tracing, all RSC coaches are required to keep a log of all players who attend practices and games. Correspondingly, families MUST update TeamSnap at least 48 hours BEFORE any practice or game and MUST keep TeamSnap updated with any changes through the occurrence of the practice or game. Families should also be prepared to arrive 15 minutes earlier than usual to all events in order to allow sufficient time for each player to have a "well-screen."
Jim Warren RSC Board President
Marc Verbos
Jeff Adams RSC Safety Officer
RSC Board Vice President
RSC SAFE PLAY CHECKLIST FOR 2021 SEASON
Pre-Game/Pre-Practice Logistics
* Prior to arrival at the field for any practice, game, or other club event, all players are required to complete a "wellness-screen" questionnaire through their TeamSnap account and submit their responses. The questionnaire can be found under the "Schedule" section within the TeamSnap app.
* Drop off ONLY for practices *unless specific age-group or division rules state otherwise.
* Coaches or club officials will verify that the player has completed the "wellness-screen" questionnaire via TeamSnap prior to the player being permitted onto the field. The questionnaire should be completed no more than one (1) hour prior to the scheduled event start time.
* On-site "Well Screen" (including contactless temperature check) for all players
* Players shall store equipment in the designated sidelines areas only located along the exterior parameter of the field and / or along the fence and at a distance of 6 feet apart.
* Players are to obtain their own equipment from their designated area without moving their bags during play.
Practice and Game Logistics
* Avoid equipment sharing
* Disinfection of shared equipment between users
* Disinfection or replacement of ball in play
* Ball retrieval limited to players
* Players retrieve playing equipment and beverages from their individual equipment placement location without moving their equipment bags from the placement location
* NO non-players, non-coaches, or non-officials are permitted at any time on the field of play unless requested by a coach or official.
* Players, coaches, and officials should wear a mask, or acceptable face covering at all times when not actively involved and engaged on the field of play.
* Spectators are only permitted within the designated spectator areas and practice social-distancing with 6 feet between persons from different households and wear a mask, or acceptable face covering at all times.
* One person in the restroom at a time
Game Play Modifications
* Referees should maintain social distancing of 6-feet whenever possible.
* NO pre-game meetings
* NO spitting, or gum
* NO huddles, shaking hands, fist bumps, high fives or other displays of unity or sportsmanship before, during and after games and practices
* NO post-game "handshake" with the opposing team - should be replaced with a "salute" or other creative gesture
Required Notifications
* MUST notify RSC if any player tests positive for COVID-19 or becomes symptomatic
* MUST keep TeamSnap updated to allow for contact tracing
* Coaches MUST keep attendance listing for all practices and games
RSC 2021 SAFE PLAY GUIDELINES
Temperature Check
The infrared thermometer provided by RSC should be used to take the player's current temperature at the field PRIOR to engaging in any activity.
Screening Results
All persons planning to attend a RSC practice, game and / or club event should check to be sure that those who will be present at any RSC facility are not exhibiting any signs or symptoms of COVID-19 BEFORE leaving their home. In addition, parents should check their players' temperature BEFORE arriving for practice, games and / or league events. Any player with a temperature reading greater than 100.4 F and/or who displays ANY of the listed COVID19 symptoms MUST STAY HOME.
Prior to arrival at the field for any practice, game, or other club event, all players are required to complete a "wellness-screen" questionnaire through their TeamSnap account and submit their responses. This questionnaire will include general questioning about how the player is feeling and whether or not the player is exhibiting any of the above listed COVID-19 symptoms. The questionnaire can be found under the "Schedule" section within the TeamSnap app.
Important note: EVERY player is required to complete the questionnaire prior to each practice, game, or club event. The questionnaire should be completed no more than one (1) hour prior to the scheduled event start time.
Any player who arrives at a field for a practice, game, or club event and has not completed the questionnaire will be prohibited from participating in the event and asked to leave the field or facility.
Any player that "fails" the "well-screen" will NOT be permitted to engage in the practice, game or event and will be asked to leave the facility immediately in order to ensure the health and safety of everyone else present. Further, any player who exhibits emerging symptoms of COVID-19 or any other illness during a practice, game or event will likewise be asked to leave the facility immediately.
To the extent that supplies are available and practical, all players and coaches will be asked to wash their hands with soap and water or with an alcohol-based hand cleaner upon arrival and before the commencement of the practice, game or club event.
|
Member Enrollment and Change Application
Use the Member Enrollment and Change Application form to apply for enrollment or drop dependents from your plan. Please print as clearly as possible to avoid delays in processing your application.
Please keep in mind
* If any dependent has a different mailing address, please attach that information.
* If any child over the dependent age limit is applying for coverage due to disability, please complete and attach the Request for Certification of Disabled Dependent form.
* If any applicant has other coverage through another plan, including Medicare or Premera Blue Cross, that will remain in effect when your coverage begins, complete and attach the Other Coverage Questionnaire form. If the form is not included, then it is assumed that no other coverage is in effect.
To find the Request for Certification of Disabled Dependent form and the Other Coverage Questionnaire, go to:
* premera.com, scroll to the bottom of the page and click forms.
* They will be under the Enrollment and changes section.
Next steps
To help process your form, please make sure it's fully completed, signed, and returned with all required information and documents (as applicable).
Submit your application one of two ways
Mail to:
Email to:
Premera Blue Cross Spokane, WA 99220-3048
firstname.lastname@example.org
Questions?
Call:
800-722-1471 (TTY: 711) Monday through Friday 5 a.m. to 8 p.m. Pacific Time
Mail to: PO Box 3048, MS 737 Spokane, WA 99220-3048 premera.com
Small Group Member Enrollment and Change Application
General information (group complete)
All fields are required
Group ID
Group name
Employee class/subgroup (as applicable)
Employee hire date / /
Enrollment reason
Enrollment reason date
Same as hire date Other date
/ /
If COBRA, indicate number of months:
18 months 29 months 36
months
Plan start date / /
Employee information (employee complete)
All fields are required | Please indicate names as you would like them to appear on the ID card. (Limit of 26 characters including spaces)
Employee name (Last)
(First)
Phone number
()
Email address
Mailing address
City
State
ZIP code
Enrollment Information (employee complete)
All fields are required
Medical plan choice
Dental plan choice (as applicable)
Relationship to employee
Last name
First name
Social Security number
Date of birth Gender Add Drop Benefit selection
Self
Primary language
English
Other__________
Spanish
Relationship to employee
/ /
SSN is required for any member over the age of 44.
Ethnicity – check all that apply (optional)
American Indian/Alaskan Native
Black African American
Asian
First name
Native Hawaiian/Pacific Islander
Hispanic/Latino
Social Security
Date of birth Gender
/ /
number
Not Hispanic or Latino
White
Add Drop Benefit selection
Medical
Dental
Medical
Dental
Last name
Primary language
Ethnicity – check all that apply optional)
English
Spanish
Other__________
Asian
Black African American
Hispanic/Latino
White
Relationship to employee
Last name
First name
Social Security number
Date of birth Gender
Add
Drop Benefit selection
/ /
Medical
Dental
SSN is required for any member over the age of 44.
Primary language
English
Spanish
Other__________
American Indian/Alaskan Native
Ethnicity – check all that apply Optional)
Asian
Black African American
Native Hawaiian/Pacific
Islander
Hispanic/Latino
Not Hispanic or Latino
White
Relationship to employee
Last name
First name
Social Security number
Date of birth Gender
Add
Drop Benefit selection
/ /
Medical
Dental
SSN is required for any member over the age of 44.
Primary language
English
Spanish
Other__________
American Indian/Alaskan Native
Ethnicity – check all that apply (optional)
Asian
Black African American
Native Hawaiian/Pacific Islander
Hispanic/Latino
Not Hispanic or Latino
White
Relationship to Employee
Last name
First name
Social Security number
Date of birth Gender
Add
Drop Benefit selection
/ /
Medical
Dental
SSN is required for any member over the age of 44.
Primary language
English
Spanish
Other__________
American Indian/Alaskan Native
Ethnicity – check all that apply (optional)
Asian
Black African American
Native Hawaiian/Pacific Islander
Hispanic/Latino
Not Hispanic or Latino
White
Relationship to employee
Last name
First Name
Social Security number
Date of birth Gender
Add
Drop Benefit selection
/ /
Medical
Dental
SSN is required for any member over the age of 44.
Primary language
English
Spanish
Other__________
American Indian/Alaskan Native
Ethnicity – check all that apply (optional)
Asian
Black African American
Native Hawaiian/Pacific Islander
Hispanic/Latino
Not Hispanic or Latino
White
033428 (01-01-2024)
American Indian/Alaskan Native
Native Hawaiian/Pacific Islander
Not Hispanic or Latino
Employee signature
In applying for enrollment as indicated on this application, I declare that all of the information on this form is true and complete to the best of my knowledge. I also declare that each person I am requesting enrollment for is eligible for coverage. I have also read and understand the provisions as stated in the Notices section of this document. The changes on this form supersede all previous forms submitted.
Employee signature____________________________________________________ Date signed ___ / ____ / ______
Please note: It is a crime to knowingly provide false, incomplete, or misleading information to an insurance company for the purpose of defrauding the company. Penalties include imprisonment, fines, and denial of insurance benefits.
Notices
Premera privacy policy
We may collect, use, or disclose personal information about you, including health information, your address, telephone number, or Social Security number. We may receive this information from, or release it to, healthcare providers, insurance companies, or other sources to conduct our routine business operations such as: underwriting and determining your eligibility for benefits and paying claims; coordinating benefits with other healthcare plans; or conducting care management, case management, or quality reviews. This information may also be collected, used, or released as required or permitted by law.
To safeguard your privacy and ensure your information remains confidential, we train all employees on our written confidentiality policy and procedures. If a disclosure of your personal information is not related to a routine business function, we will remove anything that could be used to easily identify you, unless we have your prior authorization to release such information.
You have the right to request inspection and/or amendment of your records retained by us.
To view or print copies of our detailed Privacy Notice and other forms, please visit our website at premera.com. To have forms mailed to you, please call the number below.
Special enrollment rights
If you are declining enrollment for yourself or dependents because of other healthcare coverage, in the future you may enroll yourself or your dependents in this plan prior to the next open enrollment period. To do this, you must have involuntarily lost your other coverage and we must receive your enrollment application within 60 days after your other coverage ended. Additionally, if you have a new dependent as a result of marriage, birth, adoption, or placement for adoption, you may be able to enroll yourself and dependents, provided we receive your completed enrollment application within 60 days after the event, unless a different time limit has been specified in your benefit booklet.
Late enrollees and state continuation of coverage
A late enrollee is an individual or family dependent who did not enroll when first eligible for coverage under this plan. A late enrollee doesn't qualify as a special enrollee. If you or your dependents are late enrollees, you may enroll during the next annual group enrollment period.
If you are enrolling under state continuation of coverage (COC), the eligible period of coverage cannot exceed 3 months
Required Social Security number and contact email address
Under the Affordable Care Act (ACA), all health plans must provide an IRS Form 1095-B to fully insured members starting in 2016. You'll need Form 1095-B to help you file your taxes, much like your W-2.
If you have any questions about the information included in this notice, please call us at 1-800-722-1471.
033428 (01-01-2024)
Discrimination is Against the Law
Premera Blue Cross (Premera) complies with applicable Federal and Washington state civil rights laws and does not discriminate on the basis of race, color, national origin, age, disability, sex, gender identity, or sexual orientation. Premera does not exclude people or treat them differently because of race, color, national origin, age, disability, sex, gender identity, or sexual orientation. Premera provides free aids and services to people with disabilities to communicate effectively with us, such as qualified sign language interpreters and written information in other formats (large print, audio, accessible electronic formats, other formats). Premera provides free language services to people whose primary language is not English, such as qualified interpreters and information written in other languages. If you need these services, contact the Civil Rights Coordinator. If you believe that Premera has failed to provide these services or discriminated in another way on the basis of race, color, national origin, age, disability, sex, gender identity, or sexual orientation, you can file a grievance with: Civil Rights Coordinator ─ Complaints and Appeals, PO Box 91102, Seattle, WA 98111, Toll free: 855-332-4535, Fax: 425-918-5592, TTY: 711, Email email@example.com. You can file a grievance in person or by mail, fax, or email. If you need help filing a grievance, the Civil Rights Coordinator is available to help you. You can also file a civil rights complaint with the U.S. Department of Health and Human Services, Office for Civil Rights, electronically through the Office for Civil Rights Complaint Portal, available at https://ocrportal.hhs.gov/ocr/portal/lobby.jsf, or by mail or phone at: U.S. Department of Health and Human Services, 200 Independence Ave SW, Room 509F, HHH Building, Washington, D.C. 20201, 1-800-368-1019, 800-537-7697 (TDD). Complaint forms are available at http://www.hhs.gov/ocr/office/file/index.html. You can also file a civil rights complaint with the Washington State Office of the Insurance Commissioner, electronically through the Office of the Insurance Commissioner Complaint Portal available at https://www.insurance.wa.gov/file-complaint-or-check-your-complaint-status, or by phone at 800-562-6900, 360-586-0241 (TDD). Complaint forms are available at https://fortress.wa.gov/oic/onlineservices/cc/pub/complaintinformation.aspx.
Language Assistance
ATENCIÓN: si habla español, tiene a su disposición servicios gratuitos de asistencia lingüística. Llame al 800-722-1471 (TTY: 711).
注意： 如果您使用繁體中文，您可以免費獲得語言援助服務。請致電
CHÚ Ý
800-722-1471（TTY： 711）。
: Nếu bạn nói Tiếng Việt, có các dịch vụhỗtrợngôn ngữmiễn phí dành cho bạ
주의:
n. Gọi s
한국어를 사용하시는 경우, 언어 지원 서비스를 무료로 이용하실 수 있습니다.
ВНИМАНИЕ:
ố800-722-1471 (TTY: 711).
800-722-1471 (TTY: 711) 번으로 전화해 주십시오.
Если вы говорите на русском языке, то вам доступны бесплатные услуги перевода. Звоните 800-722-1471 (телетайп: 711).
PAUNAWA: Kung nagsasalita ka ng Tagalog, maaari kang gumamit ng mga serbisyo ng tulong sa wika nang walang bayad. Tumawag sa 800-722-1471 (TTY: 711).
УВАГА! Якщо ви розмовляєте українською мовою, ви можете звернутися до безкоштовної служби мовної підтримки.
Телефонуйте за номером 800-722-1471 (телетайп: 711).
ប្រយ
័ត្
៖បរើសិនជាអ្កនិយាយ ភាសាខ្មរ, បសវាជំនយខ្នកភាសា បោយមិនគិត្ឈ្ល គអាចមានសំរារ់រំបរអ្ក។ ចរ ទរស័ព្ នួ ើន
注意事項：
800-722-1471 (TTY: 711) ។
ើន
日本語を話される場合、無料の言語支援をご利用いただけます。 800-722-1471（TTY:711）まで、お電話にてご連絡ください。
ማስታወሻ: የሚናገሩት ቋንቋ ኣማርኛ ከሆነ የትርጉም እርዳታ ድርጅቶች፣ በነጻ ሊያግዝዎት ተዘጋጀተዋል፡ ወደ ሚከተለው ቁጥር ይደውሉ
XIYYEEFFANNAA
800-722-1471
(መስማት ለተሳናቸው:
711
).
: Afaan dubbattu Oroomiffa, tajaajila gargaarsa afaanii, kanfaltiidhaan ala, ni argama. Bilbilaa 800-722-1471 (TTY: 711).
.) 711:
الصم
والبك م
ਧਿਆਨ ਧਿਓ:
( رق م
هاتف 800-722-1471
مات
المساعدة
اللغوية
تتوافر
لك
بالمجان.
اتصل
برق م
ملحوظة:
إذا
كنت
تتحدث
اذكر
اللغة،
فإن خد
800-722-1471(TTY: 711)
Wenn Sie Deutsch sprechen, stehen Ihnen kostenlos sprachliche Hilfsdienstleistungen zur Verfügung. Rufnummer: 800-722-1471 (TTY: 711).
ਜੇ ਤਸੀਂ ਪਜਾਬੀ ਬੋਲਿੇ ਹੋ, ਤਾਂ ਭਾਸ਼ਾ ਧਵਚ ਸਹਾਇਤਾ ਸੇਵਾ ਤੁਹਾਡੇ ਲਈ ਮੁਫਤ ਉਪਲਬਿ ਹੈ।
ACHTUNG:
ໂປດຊາບ: ຖາວາ ທານເວາພາສາ ລາວ, ການລິການຊວຍເຫອດານພາສາ, ໂດຍບເສຽຄາ, ແມນມພອມໃຫທານ. ໂທຣ
'ਤੇ ਕਾਲ ਕਰੋ।
ບໍ
800-722-1471 (TTY: 711).
ຼື
້່
ATANSYON: Si w pale Kreyòl Ayisyen, gen sèvis èd pou lang ki disponib gratis pou ou. Rele 800-722-1471 (TTY: 711).
ATTENTION: Si vous parlez français, des services d'aide linguistique vous sont proposés gratuitement. Appelez le 800-722-1471 (ATS : 711).
UWAGA: Jeżeli mówisz po polsku, możesz skorzystać z bezpłatnej pomocy językowej. Zadzwoń pod numer 800-722-1471 (TTY: 711).
ATENÇÃO: Se fala português, encontram-se disponíveis serviços linguísticos, grátis. Ligue para 800-722-1471 (TTY: 711).
ATTENZIONE: In caso la lingua parlata sia l'italiano, sono disponibili servizi di assistenza linguistica gratuiti. Chiamare il numero 800-722-1471 (TTY: 711).
.
تماس
بگ یر ید 800-722-1471 (TTY: 711). با م ی
باش د
را یگان
برا ی
شما
فرا ه م
زبانی
بصورت
م ی
کنید،
تسه الت
گفتگو زبان
فارسی اگر به: توجه
|
OFFICERS
President COL Richard J. Polo, USA Vice President (Military) Lt. Col. Charles Klinge, USA Vice President (Civilian) Judith Cooper Jr. Vice President Durjhodan "Chris" Ragnauth Secretary Michael Scarano Treasurer James N. Parks Assistant Secretary Richard V. Cicchetti Assistant Treasurer Eileen F. Schulman
DIRECTORS
Robert Adamski (to 2006)
Albert Bast (to 2006)
Frank Arland (to 2007)
Howard Chynsky (to 2008)
William H. Goldstein (to 2007)
Michael Della Rocca (to 2008)
Greg Kelly (to 2008)
Vincent Mangiere (to 2007)
Francis J. Lombardi (to 2008)
Mysore Nagaraja (to 2008) Achille Niro (to 2007)
Elliot Sander (to 2007)
Joan McDonald (to 2008)
Harvey S. Sands (to 2006)
Angelo Tomasetti (to 2006)
John F. Spencer (to 2007)
LEGAL ADVISOR
Robert A. Rubin
SPECIAL ADVISORS
Marvin J. Bloom
Cdr. C. William Eilers, USN (Ret)
John Dionisio
Leo Field
S. S. Greenfield
Col. F. H. Griffis
Keith Itzler Nick Ivanoff
Maher Labib
Martin H. Kendall
Hugh Lacy
Jay McGraw
Greg Matthews Howard Major
Elaina Moy
Joseph Puzio
Joseph Porrovecchio
Edward Schmeltz
Phil Simmons
Dominick Servedio Allan Shapiro
JanTuchman
Michael Zetlin
Lt. Col. Edward B. Wenners, USA (Ret)
THE NYC POST SAME SCHOLARSHIP FUND
President
Secretary-Treasurer
Col F. H. Griffis, USA (Ret)
Lt. Col. Edward B. Wenners, USA (Ret)
Michael Scarano
Ass't Secretary-Treasurer
STANDING COMMITTEES
Awards
Michael J. Kaleda
Dinner-Dance
Judith Cooper, Chairwoman
Education and Mentoring Elaina Moy, Chairman
Environmental & Technology
Joseph Porrovecchio, Chairman
Meetings and Programs
Lt. Col. Charles Klinge, USA, Chairman
Membership
Albert Bast, Chairman
Publicity and Development
Greg Kelly, Chairman
Readiness and Homeland Security
Robert Adamski, Chairman
Student Activities
Judith Cooper, Chairwoman
Young Members
Durjhodan "Chris" Ragnauth, Chairman
DEDICATED TO THE NATIONAL DEFENSE
The Society of
The Society of
The Society of The Society of
American Military Engineers American Military Engineers New York City Post – SAME's TOP Post (Large) in 2003
Of fice of the Secretary
Of c/o US Army Corps of Engineers, North Atlantic Division
Of fice of the Secretary
Of fice of the Secretary
fice of the Secretary
301 General Lee Avenue
Fort Hamilton Military Community, Brooklyn, NY 11252-6700
Telephone (718) 921-5206 or (718) 765-7112 FAX (718) 504-4281
email@example.com
3 March 2006
It is the policy of the United States to have an Emergency Mobilization Preparedness Capability that will ensure that government at all levels, in partnership with the private sector and the American people, can respond decisively and effectively to any major national emergency with the defense of the United States as first priority. National Security Council NS DD-47
To support government at all levels in their emergency preparedness capabilities, the NYC Post of the Society of American Military Engineers (SAME), in cooperation with its corporate member firms, has published a Fast Start plan.
Our Fast Start plan outlines how civilian architectural and engineering firms, construction contractors, materials suppliers, and other firms can interact with military and government construction agencies in the New York City area to effectively respond to any major emergency. For those in the private sector, you will find names and phone numbers of our Board members you can contact in the event you wish to make your firm known as a resource to support emergency relief or recovery efforts. For those in the public sector, you will find the names and addresses of our sustaining member firms prepared to support disaster relief who can respond in a disciplined manner to prevent further loss and restore normalcy.
We invite you to become a member of SAME, if you are not already and to share with us your ideas, abilities, and experiences. Only through the efforts of concerned organizations such as yours can we achieve an effective level of preparedness. What better way to show our support to our nation than by working together to increase our emergency preparedness and defense readiness? We look forward to your active participation.
We hope you find the plan "user friendly." Should you have questions or comments on this document, please contact Mr. Robert Adamski, P.E., V.P., Gannett Fleming, E &A, phone (516) 671-8440 or e-mail firstname.lastname@example.org.
THE SOCIETY OF AMERICAN MILITARY ENGINEERS
OPERATION FAST START NYC POST READINESS PLAN 2006
Approved by the Board of Directors 15 February 2006
GANNETT FLEMING ENGINEERS AND ARCHITECTS, P.C. 480 Forest Avenue
P.O. Box 707 Locust Valley, NY 11560-0707
Office: (516) 671-8440
Fax: (516) 671-3349
Internet:www.gannettfleming.com
1 March 2006
Memo to the President
New York City Post
Society of American Military Engineers
The enclosed document is an update to the plan distributed in 2004, which was developed using the template provided by the National Readiness Committee and tailored to meet the NYC Post requirements. The major change is to reflect the new National Response Plan and add additional Emergency Support Functions (ESFs.) The Post Reponders have been changed to use volunteers instead of Board members since they might not be available during an incident that needs response. It was developed by the Post Readiness Committee consisting of: Harvey Sands, Co-chair, Mitch Becker, Leo Fields, Allan Haack, Frank Lombardi, Maryann Morrocolo, Joseph Porrovecchio, Mike Scarano, Allan Shapiro and Steve Vianelli. It was approved by the Post Board of Directors at the 22 February 2006 meeting. The key to building an effective Fast Start plan is to create and sustain communications among interested parties prior to, during, and after contingency and emergency situations. It will be distributed to the agencies listed in the distribution section (Appendix G) for their comment and use.
I hope you find the plan "user friendly." Should you have questions or comments on this document, please contact Mr. Robert Adamski, P.E., V.P. Gannett Fleming, E &A, phone (516) 671-8440 or e-mail <email@example.com>.
ROBERT E. ADAMSKI, P.E., F. SAME LTC, EN, USAR Retired Chairman, NYC Post Readiness and Homeland Security Committee
NYC POST SAME FAST START READINESS PLAN
TABLE OF CONTENTS
5. Web Sites
OPERATION FAST START
I. INTRODUCTION
A. The purpose of the NYC Post Fast Start plan is to assist federal, state and local governments in recovery from natural and man-made disasters/emergencies.
B. The NYC Post of the Society of American Military Engineers (SAME) encompasses the New York City metropolitan area.
C. The post can be a positive mitigating force in emergencies. Of all the disasters that befall mankind, war is certainly the worst. The resources of SAME can be an important part of our national preparedness. An effective communications instrument is needed if we are to tap the resources of our engineering/construction industry. It can be a positive force during and after natural disasters or industrial emergencies. The post can help promote readiness both prior to and during emergencies and natural disasters.
D. The Operation Fast Start plan is designed to increase the awareness of local planners, design and construction personnel so they:
1. Understand the mechanisms of contracting for emergency services;
2. Improve their response time by understanding what they may be required to do and when; and
3. Assist in responding effectively to the emergencies that may face our nation and region.
In short, it is preparedness for the full range of emergencies: natural, industrial, and defense.
II. PURPOSE
A. The purpose of the Fast Start plan is to define emergency work requirements, inventory existing regional capabilities, describe capabilities, address significant area deficiencies, make capabilities known to governmental agencies, and address specific opportunities for sustaining member participation in engineering tasks associated with the recovery from natural and man-made disasters/emergencies. Operation Fast Start means preparedness for the full range of natural and man-made disasters/emergencies.
B. Operation Fast Start has four initial goals to better posture the engineering/construction assets of the New York City area to respond effectively in a national emergency, natural disaster, or other types of emergencies:
1. Enhance Awareness of Local Planners. Planners should keep emergency services in mind when planning future relief efforts. They should be aware of the tremendous pool of talent that can be made available by SAME's Sustaining Member firms and agencies to the extent of including SAME in the emergency plans.
2. Improved Response Time by SAME Member Firms. This goal is aimed at sustaining members to help them understand what will be required and when. Coordinating between sustaining members and key response agencies to discuss/reduce common problems will reduce the time required to reorient from emergency response to normal activities.
3. Improved Flexible Response. Through improved planning, based on awareness and timeliness, increased flexibility will enable our Nation to respond effectively to a range of disasters and emergencies. The worldwide threats to US interests in the decades ahead will be diverse. The requirement for flexibility in planning for any contingency is apparent.
4. Maximize Use of Existing Capabilities. The construction industry is decentralized, flexible, mobile, and highly elastic to demand. The industry has demonstrated it can respond. Existing capabilities are adequate for nearly any contingency, given proper preparedness.
With readiness and rapid response, the effects of a disaster can be further mitigated.
III. CIVIL PREPAREDNESS AND READINESS
By clarifying channels of communications, contracting procedures, and individual responsibilities, the ability of local governments to respond to local emergencies and disasters will be greatly improved.
From time to time, Civil Preparedness exercises are conducted by local, regional, state and federal agencies. Too often these exercises simulate the participation of key elements such as the A&E and contracting entities. Through SAME, more industry participation is possible in order to reach a more advanced state of readiness. The agencies conducting these exercises are encouraged to seek the voluntary participation of SAME member firms and to have SAME representation at various levels of activity. Conversely, we encourage member firms to volunteer their services in these exercises. Through such cooperation we achieve an effective level of preparedness, fulfill the industry's portion of the "partnership" language contained in the National Security Council's Document 47 and directly contribute to the SAME theme, "Dedicated to National Defense."
A. Description of Natural and Man-made Threats Affecting Area Work Effort Requirements
1. NATURAL DISASTER. The most devastating natural disasters that could occur within the region are hurricane, blizzard, and earthquake. Although the likelihood of a major earthquake in this region is low, the impact could be catastrophic for the area hit. Other emergencies including terrorist attack and chemical or nuclear accidents can also be anticipated.
The Federal Emergency Management Agency estimates, for example, that a major disaster in the NYC area could result in hundreds of deaths and millions of dollars in property damage. Major damage to energy facilities (power plants, oil refineries) is also a possibility, and could result in disruption to energy supplies.
Principal Natural Destructive Events Affecting the Post Area:
(1) Severe thunderstorms, often accompanied by wind, hail, flooding, and lightning, which can occur in all seasons of the year.
(2) Flooding in the form of flash floods, rising water, or flooding from wind-driven, or wind-held water. Flooding is generally associated with other weather-caused destructive forces.
(3) Droughts and other water shortages, which are particularly damaging to crops and livestock and which can affect entire communities.
(4) Forest and brush fires, which cause annual losses to timber and agricultural interests.
(5) Frost and freezes, which can cause extensive damage and be particularly destructive to winter agricultural.
(6) Hurricanes, the greatest threat and the most likely disaster to cause significant damage in the NYC area and warrant mobilization of the State, Federal and private sectors. The potential for loss of life and property due to hurricane hazards is significant. Storm surge, winds and rain constitute the major destructive forces of a hurricane. Hurricanes are categorized according to the intensity of maximum sustained winds around their center or eye.
(7) Earthquakes as the result of movement of nearby fault lines could cause structural damage to structures (homes, buildings).
The type of construction required would range from debris removal, stabilization of damaged structures and emergency restoration of essential services to major reconstruction of all types of facilities, including bridge and road construction, renovation and reconstruction of structures, and restoration of utility systems.
2. TERRORIST THREAT OR ACTIVITY. Not as unlikely as once believed (especially since 9/11/01), there are elements within our society that seek to enhance their own goals through sabotage of key buildings, installations and transportation/ communications infrastructure.
The construction industry may be called upon to help recover from these activities. Participation by member firms would be aimed at restoration of essential services, debris removal, damage assessment and reconstruction of public facilities such as roads and bridges, utilities and other structures. Design consideration for new facilities should emphasize, where possible, mitigation of threat. The industry through SAME can also make a contribution in this mitigation effort.
IV. MOBILIZATION READINESS
A. Prior to full military mobilization and dependent on congressional priorities, there may be a period of construction effort devoted to improving emergency operations centers and protecting infrastructure.
B. During military mobilization, the focus of the nation's defense construction effort will be to first support the mobilization and deployment of both active and reserve component troops and provide construction support to other federal agencies. This support could consist of construction at military installations, to include barracks, warehouses, utilities, waterfront structures, and transportation networks.
C. The primary locations for military construction work will center around existing installations. The facilities in the NYC area include:
1. Active Military Area
Fort Hamilton and the USMA at West Point.
2. Reserve Military and Federal Area
Armed Forces Reserve Centers at Amityville, Bellmore, Bullville, Floyd Bennett Field, Fort Tilden, Fort Totten, Fort Wadsworth, Kingston, Mueller (Bronx), Orangeburg, Patterson (Bronx), Poughkeepsie, Rocky Point, Roosevelt (Hempstead), and Stewart Airfield.
Federal facilities such as 26 Federal Plaza and VA Medical Centers.
V. KEY PROGRAMS
A. Local Response Plans
The NYC Office of Emergency Management (COEM). The NYCOEM functions as the principal advisor to the Mayor on disaster preparedness, response and recovery efforts optimizing the city's capabilities by:
1. Assisting city agencies in the performance of their assigned responsibilities through planning emergency response and an Emergency Operations and Communications Center.
2. Coordinating Federal, State, County, City, volunteer and private resources during times of major emergencies and disasters.
3. Pursuing and negotiating cooperative agreements and efforts to pool local public and private resources and contacts.
4. Providing education to the citizens of NYC regarding ways to minimize the personal effects of disasters.
B. State Response Plans.
NYC SAME Post
FAST START PLAN (060215)
A regional response plan supplements the Federal Response Plan and provides the link between the state and federal actions. It details the level of response and recovery actions and activities that may be taken by Federal Departments and agencies to support the response effort. The regional response plan should include a memorandum of understanding (MOU) describing working relationships and the provisions to facilitate joint operations.
The state emergency response mission is to provide resources to satisfy unmet local needs and address several operational response functions. These functions focus on the direction and control, warning, emergency public information, and evacuation actions that must be dealt with during initial phase of response operations. The functions fall outside of the Federal response mission and are not appropriate for inclusion in Federal response plans. Additional detail is provided at Appendix E.
STATE OF NEW YORK OFFICE OF EMERGENCY MANAGEMENT (SEMO.) SEMO is organized as an Office in Division of Military and Naval Affairs. It is responsible for preparing and maintaining a state disaster plan and all that it implies. It serves as point of contact and coordinating agency in providing assistance to local officials in designing local emergency action plans. Resource requirements for the state and its political subdivisions are determined by SEMO, and when advisable, it procures essential equipment for augmenting emergency operations. It assists in the establishment and conduct of training programs and public information programs; maintains a register of search and rescue organizations operating within the state and assists them in their training and proficiency standards; and it cooperates with federal agencies and other public or private agencies to the above purposes and in implementing programs for disaster prevention, preparation, response and recovery.
C. Federal Response Plans.
1. Concept of the Plan
(1) When disaster - a flood, a chemical spill - threatens a community, local responders, government agencies, and private organizations take action. And most of the time, with the help of the state, they have the skills and equipment to do the job. But sometimes the destruction goes beyond local and state capabilities. That is when the Federal help is needed as well.
(2) The federal process begins when a state governor asks the President of the U.S. for help. The President, with Federal Emergency Response Agency (FEMA) advice, decides to mobilize federal resources. Disaster-stricken areas become eligible for relief when the President declares an emergency or major disaster.
(3) FEMA has the responsibility for, and directs, Federal Disaster Assistance. In coordination with other federal agencies, FEMA developed the Federal Response Plan (hereafter in this chapter referred to as the Plan). It provides the system for delivering Federal assistance to State and local governments when the requirements of emergency response exceed State and local capabilities.
(4) The Plan tells how the Federal government responds to disasters, provides state and local governments with personnel, technical expertise, equipment and other resources, and assumes an active role in managing a response.
2. Summary of the Plan. The Plan is based on the premise that a significant disaster may require a broad spectrum of Federal assistance to immediately support State and local emergency response operations. The Plan establishes a foundation for a systematic, coordinated, and effective Federal response by:
(1) Establishing fundamental assumptions and policies;
(2) Establishing a concept of operations that provides an interagency coordinating mechanism for immediate delivery of Federal assistance;
(3) Incorporating the coordination mechanisms and structure of other appropriate Federal plans and responsibilities into the overall response;
(4) Identifying specific Federal resources to supplement State and local response operations;
(5) Assigning specific functional responsibilities to appropriate Federal departments and agencies; and
(6) Identifying actions Federal departments and agencies will take to manage the overall Federal response in coordination with the affected State.
The Plan does not specifically address recovery assistance, such as temporary housing, loans and grants to local and State government entities provided under traditional disaster assistance programs of FEMA and other agencies. However, initial recovery efforts may commence as response activities take place.
3. Federal Organizations:
(1) FEMA coordinates the establishment of policies for mobilization preparedness of Federal Agencies, prepares and maintains the Federal Master Mobilization Plan and guides the states and federal regional councils in their emergency preparedness. The U. S. is divided into ten FEMA regions with 26 Federal Plaza being the headquarters for FEMA Region 2 that covers the states of New York, New Jersey, Puerto Rico and the U.S. Virgin Islands.
(2) New York District, U.S. Army Corps of Engineers (NYDACE) Response Plan- The NYC Post FAST START plan provides for the Post to be subordinate to and under the Command and Control of the NYDUSACE. It is designed to assist the NYDUSACE in carrying out its responsibilities under the Federal Emergency Response Plan (FERP.)
Greater detail on federal organizations and their responsibilities are described at Appendix C.
VI. CONTRACTING AGENCIES
A. In NYC the Mayor's Office of Emergency Management can contract through other City agencies for the goods and services needed for an emergency. Their phone number can be found in Appendix B.
B. At the State level the State Office of Emergency Management can obtain needed goods and services through local agencies and by contract through other state agencies. Their phone number can be found in Appendix B.
C. The New York District office of USACE is chartered to provide federal engineering management in emergencies at the local level within the civil sector. The Corps of Engineers is prepared for actions in a broad spectrum of emergency conditions including natural disasters. Fundamental authority covers responsibilities for water resources protection and disaster relief and for civil defense. These missions have one thing in common. The Corps is charged to mitigate loss of life and property in national disasters, whether natural or man-made. The U. S. averages about 30 disasters a year of the size that requires the Corps of Engineers to assist with recovery. But these events do not compare in magnitude to those experienced and postulated in preparation for, conduct of, and recovery from war. They can obtain needed goods and services through their contracting offices. Their phone number can be found in Appendix B.
VII. THE PROCESS
To maximize the mitigation capacity of the industry, a doctrine of planning, preparation, and organization must be known and practiced by industry. SAME is the organization best suited to facilitate this process.
A. REPORTING. As a private contractor, when and to whom do I report availability for work in a emergency?
n
A&E firms, contractors, suppliers, and subcontractors can be prepared to accept mobilization direction from the local contracting officer, the USACE District or Division Engineer or the NAVFAC EFD Commander in their local area. To insure timely and effective direction, these agencies need to know your firm's capabilities and assets. Without jeopardizing proprietary information, contractors who wish to accept mobilization work can report their
assets, capabilities, and area of availability through the SAME Post. SAME can play a role in educating firms in this process. Each interested firm normally maintains a current inventory of its assets and capabilities. Making this document available to these agencies through this plan will accomplish this purpose. Firms that see themselves playing a major role during mobilization in their locality should plan for that eventuality now. Sustaining members of SAME are being asked to provide this capability information as a part of Operation Fast Start, and report their capabilities, as well, on their annual Directory Entry Form for the SAME Directory of Member Firms and agencies.
B. OPERATIONS. What is the nature of emergency operations?
Emergencies can run the gamut of situations from blizzards, floods, earthquakes and tornadoes to chemical/nuclear accident, war mobilization and/or nuclear attack. Operations at the peace to emergency interface are discontinuous, and time becomes the most precious resource. Private firms, whether A-E firms, contractors, suppliers, and/or subcontractors, must be able to make adjustments in their operations. New relationships must be established with local, state, regional, and national agencies to determine the response ethic necessary for the private sector to perform its role while averting panic. Again, SAME can act as the facilitator of this process. A partial list of agencies responsible for emergency response is at Appendix D.
C. PROCEDURES. What types of contracting procedures can be expected during national emergencies?
The procedures will probably depend on the severity of the emergency and the response time required. The competitive bid process is always desirable. In previous mobilization experiences, the use of cost plus fixed fee contracts was the norm, although not necessarily the most economical. Where competitive bid contracts can be used, history shows they should be used. Where expediency is most important, the cost plus fixed fee contract allows construction to begin before plans and specifications are finalized. It also guarantees that the contractor and A&E firm will be reimbursed for any rapidly rising, unpredictable labor and material costs necessary to perform the task they have been assigned. Standard procedures are established for A&E selection, contractor selection, types of contracts, percentage figures, cost plus fixed fee contracts, and/or different methods of contracting out work to accomplish the mission.
D. LIABILITY. What relief from liability for ongoing projects can be expected?
Mechanisms to determine which projects are to be stopped and how, which projects should be continued, and which projects that should be started depend on the magnitude of the mobilization and the nature of the project. The government's mobilization efforts and priorities will be available to the private sector to facilitate private industry's conversion from peacetime work to the mobilization effort. Contractors will be engaged in both government contracts and private contracts, and the rules for relief differ between the two. SAME can assist in this exchange.
E. DESIGN STANDARDS/STANDARD DESIGNS. What are the design standards for mobilization construction?
Peacetime standards provide "permanency," whereas emergency standards are often described as "expedient." A combined effort by government, A&E firms, and contractors is necessary to establish standards consistent with good construction practices and with the environment of the area where the district and/or division offices are located. These design standards take into account the manpower, equipment, supplies, and subcontractors available within a mobilization period to perform the necessary construction activities. Mobilization construction, as currently envisioned, will use standard plans and non-critical materials. The objective is to build functional facilities in minimum time. It can be expected that maximum use of "alternatives" to construction will be sought, such as leasing civilian or other government facilities, and converting nonessential military facilities. The design of standard mobilization facilities is in progress, to include all drawings, standard specifications and individual bills of materials. These designs include all drawings. Once the specific construction requirements are established, a complete bill of materials can be compiled. This will allow a quick assessment of suppliers' ability to meet the demand for materials.
F. MANPOWER AND EQUIPMENT READINESS. How can the private sector enhance its readiness?
Prior planning and analysis is the key to readiness. The change in employee priorities and needs during emergency conditions must be recognized. At these times, people's professional dedication will be tempered with worries about the safety of themselves and their families. A readiness plan must be sensitive to the psychological condition of those charged with its execution. The principals of firms must be prepared to assume a leadership role in restoring order to the disorder that inevitably follows a mobilization or emergency situation. Employees must feel confident of their firm's ability to perform during emergency conditions. Also, emergency relationships with A&Es, subcontractors, and suppliers should be prepared based on specific sectors of emergency work. Finally, the organization should inform the local emergency authorities of its manpower preparedness.
Equipment readiness lists should be established with each firm that has submitted its qualifications and whose expertise will be needed in a mobilization deterrence. Lists for A&E firms should include all types of survey instruments, computers, plotters, and computer software. Contracting and construction firms should list construction equipment, such as road building equipment, cranes, pile driving equipment, and small equipment necessary to perform the mission. All firms must address the equipment available in case of mobilization and keep the list continually updated.
VIII. THE FEEDBACK MECHANISM
Once we as a society of military and civilian engineers think through the probability of disaster and our response capability, important new thoughts, concepts, tactics, equipment, and processes will evolve. These can save precious minutes, lives, and property. It is here that SAME can play the greatest role. The Society must have a vehicle to make this happen -- to provide this feedback. The first step is this Post Plan. The next step is to maintain the plan. You, the individual member, the Sustaining Member, the interested prospect, must provide us continual feedback in the form of questions, concerns, and/or suggestions for improvement, as well as updates of your readiness inventory. Please let us hear from you! Only through your involvement will this plan grow. Only through your involvement will our readiness condition improve.
IX. RESOURCES.
The Society of American Military Engineers, NYC Post, currently has 87 sustaining member firms. These firms are engineering and construction-related businesses in the NYC Area. SAME sustaining member firms' types and extent of resources at their disposal, which might then become available in the event of natural disaster in the area or national military mobilization, are known by the Board members assigned areas of expertise.
IX. RESOURCES. (Continued)
Other firms in the area are also being asked to participate in this information gathering effort and to join us either as sustaining member firms or as individual members. Membership application forms are available on the web at www.same.org. It is our intent to use this plan to help recruit additional members and in the process expand the resources available in time of emergencies through Operation Fast Start.
Appendix A is the NYC Post "Sustaining Members" downloaded from www.same.org.
Appendix B is a summary of the Federal, State and Local Agencies that can be involved in emergencies of various natures.
Appendix C describes the federal agency responsibilities.
Appendix D captures the New York State emergency response plan.
Appendix E captures the local emergency response plans
Appendix F describes the NYC Post Readiness Plan and includes the Post phone tree and Members responsible for identification of resources for the identified tasks.
.
Appendix G identifies the distribution of this plan.
Appendix H contains References
APPENDIX A
SUSTAINING MEMBER FIRMS- downloaded from www.same.org
(585)427-
Metcalf & Eddy Inc
NYC SAME Post FAST START PLAN (060215)
(212)984-
7386
Mr. James Anderson
Mr. Bohdaw Bodniewicz
(212)367-
APPENDIX B
AGENCY LISTING
FEDERAL AGENCIES (www.whitehouse.gov/government)
NYC SAME Post
FAST START PLAN (060215)
APPENDIX C
FEDERAL AGENCY RESPONSIBILITIES
1. The following Federal departments and agencies agree to support the overall concept of the Plan and to carry out their assigned functional responsibilities. They also agree to implement national and regional planning efforts and exercise activities in order to maintain the overall Federal response capability:
Department of Agriculture
Department of Commerce
Department of Defense
Department of Education
Department of Energy
Department of Health and Human Services
Department of Homeland Security
Department of Housing and Urban Development
Department of the Interior
Department of Justice
Department of Labor
Department of State
Department of Transportation
Department of Treasury
Department of Veterans Affairs
American Red Cross
Environmental Protection Agency
Federal Communications Commission
Federal Emergency Management Agency
General Services Administration
Interstate Commerce Commission
National Aeronautical and Space Administration
National Communications System
Nuclear Regulatory Commission
Office of Foreign Disaster Assistance
Office of Personnel Management
U.S. Army Corps of Engineers
U.S. Postal Service
Small Business Administration
2. ASSIGNMENT OF RESPONSIBILITIES. To facilitate the provisions of Federal assistance, the Plan uses a functional approach to group the types of Federal assistance, which the State is most likely to need under 12 Emergency Support Functions (ESFs). The 12 ESFs serve as the primary mechanism under which Federal response assistance will be provided to assist the State in rendering assistance to the affected area. Each ESF is headed by a primary or lead Federal agency, with other agencies providing support as necessary to carry out the function. Primary agencies have been assigned on the basis of having the most resources and capabilities in the particular functional area.
ESF #1. The Department of Transportation has primary responsibility for ESF #1, which is to provide for the coordination of Federal transportation support to State and local governmental entities, voluntary organizations, and Federal agencies requiring transportation capacity to perform disaster assistance missions following a catastrophic earthquake, significant natural disaster, or other event requiring Federal response.
APPENDIX C -FEDERAL AGENCY RESPONSIBILITIES (Cont.)
ESF #2. The National Communications System has primary responsibility for ESF #2, which is to assure the provision of Federal telecommunications support to Federal, State, and local response efforts following a Presidential declared emergency, major disaster, extraordinary situation and other emergencies under the Federal Response Plan. This ESF supplements the provisions of the National Plan for Telecommunications Support in Non-Wartime Emergencies.
ESF #3. The Department of Defense has delegated responsibility to the U.S. Army Corps of Engineers for ESF #3, which is to provide Public Works and Engineering support to assist the State(s) in needs related to lifesaving or life protecting following a major or catastrophic disaster.
ESF #4. The U.S. Department of Agriculture has primary responsibility for ESF #4, which is to detect and suppress wild land, rural, and urban fires resulting from, or occurring coincidentally with, a catastrophic earthquake, significant natural disaster or other event requiring Federal response assistance.
ESF #5. The Federal Emergency Management Agency has primary responsibility for ESF #5, which is to collect, process and disseminate information about a potential or actual disaster or emergency to facilitate the overall activities of the Federal government in providing response assistance to an affected State.
ESF #6. The American Red Cross has primary responsibility for ESF #6, which is to coordinate efforts to provide sheltering, feeding, and emergency first aid following a catastrophic earthquake, significant natural disaster or other event requiring Federal response assistance; to operate a Disaster Welfare Information System to collect, receive, and report information about the status of victims and assist with family reunification within the disaster area; and to coordinate bulk distribution of emergency relief supplies to disaster victims following a disaster. Also see chapter 6, Local Programs.
ESF #7. The General Services Administration has primary responsibility for ESF #7, which is to provide logistical/resource support following a catastrophic earthquake, other significant natural disaster, or other event requiring Federal response.
ESF #8. The Department of Health and Human Services, U.S. Public Health Service, has primary responsibility for ESF #8, which is to provide U.S. Government coordinated assistance to supplement State and local resources in response to public health and medical care needs following a significant natural disaster or man-made event. Assistance provided under this ESF is directed by the Department of Health and Human Services through its executive agent, the Assistant Secretary of Health, who heads the U.S. Public Health Service (USPHS). Resources will be furnished when State and local resources are overwhelmed and medical and/or public health assistance is requested from the Federal government.
ESF #9. The Department of Defense has primary responsibility for ESF #9, which is to describe the use of Federal Urban Search and Rescue (US&R) assets following an event requiring a Federal response. The scope of US&R activities includes locating, extricating and providing for the immediate medical treatment of victims trapped in collapsed structures.
ESF #10. The Environmental Protection Agency has primary responsibility for ESF #10, which is to provide Federal support to State and local governments in response to an actual or potential discharge and/or release of hazardous material following a catastrophic earthquake or other catastrophic disaster.
ESF #11. The U.S. Department of Agriculture has primary responsibility for ESF #11, which is to identify, secure, and arrange for the transportation of food assistance to affected areas following a major disaster or emergency or other event requiring Federal response.
ESF #12. The Department of Energy has primary responsibility for ESF #12, which is to help restore the Nation's energy systems following a catastrophic earthquake, natural disaster, or other significant event requiring Federal response assistance. Power and fuel are critical to saving lives and protecting health, safety, and property, and also enable other emergency support functions to respond more effectively.
APPENDIX D
NEW YORK STATE RESPONSE PLAN
The State of New York is responsible for:
a. Coordinating disaster assistance:
(1) of an inter-jurisdictional nature.
(2) where there is a disaster of actual or potential statewide impact.
(3) when disaster declarations are to be obtained for Federal assistance for the affected locality.
b. Monitoring the National Warning System. Upon receipt of a warning from the National Weather Service, the New York State Emergency Management Agency (SEMA) will disseminate this information to appropriate State agencies and to concerned areas within the State.
c. Providing the resources necessary to undertake post-disaster hazard mitigation plans and studies as a condition for receipt of Federal assistance under a Presidential declared disaster situation.
d. Providing emergency response on properties owned or controlled by the State.
e. Developing, in conjunction with appropriate regional and local agencies, policies to avoid or reduce natural disaster potential and coordinate the development of continuing hazard mitigation programs.
f. Establishing procedures for training and making pertinent personnel and equipment available in time of emergency.
g. Military Assistance:
(1) Southeast New York is vulnerable to a wide range of peacetime emergencies including hurricanes, floods, earthquakes, hazardous material spills, extended droughts, and civil disturbances. The occurrence of a major peacetime emergency could require resources not available to local governments to ease the effects of the emergency.
(2) The Governor can activate the National Guard to provide services and resources necessary to protect public health and safety in a peacetime emergency and restore the affected area.
(3) Requests by local civil defense/emergency management organizations for military support will be made through normal emergency management channels to GEMA. Exception may be made to this procedure when warranted.
(4) Military resources could be requested to assist civil authorities in the following possible situations:
(a) Peacetime emergencies of such severity that public or private resources are not adequate to ensure the safety and economic well-being of the persons in the affected area.
(b) Labor stoppages that could prevent the manufacture and delivery of essential supplies.
(c) Emergency clearance of debris and rubble from streets, highways, rail centers, dock facilities, airports, shelters, and other areas, as necessary, to permit rescue or movement of people, access to, and recovery of vital resources.
(d) Emergency repair or reconstruction of facilities.
(e) Rescue, evacuation, and first aid treatment of casualties.
APPENDIX D - NEW YORK STATE RESPONSE PLAN (Con't.)
(f) Recovery, collection, safeguarding, and issuance of food and essential supplies.
(g) Restoration of facilities and utilities, including transportation, communications, power, fuel, water, and other essential facilities.
(h) Explosive ordnance disposal.
(i) Medical treatment or temporary hospitalization of casualties, recovery of critical medical supplies, and the safeguarding of public health. This may include sorting and treatment of casualties and preventive measures to control the spread of infectious diseases.
(j) Recovery, identification, registration, and disposition of decedents.
(k) Radiation monitoring and decontamination to include identifying contaminated areas.
(l) Movement control to include plans and procedures for essential movements.
(m) Emergency provisions of food and facilities for food preparation.
(n) Damage assessment of facilities, utilities, and communications.
(o) Provision of interim communications using available mobile equipment to provide command and control.
(p) Fire fighting.
(5) Military support to civil authorities in the use of personnel, materials, facilities, and other resources will be activated to overcome the effects of a peacetime emergency situation. Military support will supplement and not be a substitute for civil participation in peacetime emergency operations. Civil resources will be used primarily to support civil requirements, with military resources being used only as necessary to supplement civil authorities. Military forces engaged in local Government support activities may be withdrawn in the event it is necessary to employ such forces in the conduct of military operations or when they are no longer required for peacetime emergency missions.
(6) When the National Guard is activated, it is necessary that decision-makers understand the limitations placed on this State organization and its mission. The National Guard is activated by approval of the Governor through an Executive Order for the purpose of providing security and safeguarding life and property; it cannot be used for offensive or counter-force measures unless specifically approved by the Governor. The National Guard should maintain unit integrity if possible. However, individual units, consisting of specific numbers of personnel and specific amounts and types of equipment, can be mobilized to fit a specific mission. Unity of command should be maintained whenever possible to control the mobilized units and individuals to carry out assigned missions.
APPENDIX E
LOCAL RESPONSE PLANS
Local Governments will be prepared to:
a. Direct and control local response to emergencies in accordance with State and local laws and mutual aid agreements with adjacent communities, special districts, and voluntary organizations.
b. Provide immediate response through local police, fire departments, and public agencies located in the vicinity of the emergency.
c. Establish readiness procedures that ensure proper training, notification of personnel, and availability of needed personnel and equipment in time of emergency.
d. Request activation of mutual aid agreements when specific aid is required.
e. Request assistance from State and Federal governments through SEMO when:
(1) Local resources are fully committed and found to be inadequate to respond to the situation.
(2) A particular capability is required and not otherwise available.
f. Participate in Federal and State efforts to accomplish post-disaster hazard mitigation plans and studies, as required by Federal regulations when Federal loans and grants are made available to the jurisdiction under a Presidential disaster declaration.
g. Provide training to personnel with disaster related responsibilities and conduct annual exercises of local disaster response plans. GEMA assists in the development of exercises at the local level upon request. The goal of emergency preparedness training at all levels is the preparation of individuals and organizations for effective and coordinated response to emergencies and in order to minimize the loss of human life and property in the event of a natural disaster.
The American Red Cross independently provides mass care to all disaster victims as part of a broad program of disaster relief. It also assumes primary agency responsibility, under the Federal Response Plan, to coordinate Federal response assistance to the mass care response of State and local governments and the efforts of other voluntary agencies, including ARC relief operations.
APPENDIX F
SAME NYC POST READINESS PLAN
CONCEPT: To provide a plan for the NYC Post resources to be utilized in the event of a national or local emergency or natural disaster.
It parallels and supports the National Response Plan (NRP) developed in accordance with the Stafford Disaster Relief and Emergency Assistance Act
The NRP describes the mechanism and structure by which the federal government mobilizes resources and conducts activities to address the consequences of any major disaster or emergency that overwhelms the capabilities of state and local governments. Federal assistance is available under the Stafford Act, as well as individual agency authorities, to save lives: protect public health, safety, and property; alleviate damage and hardship; and reduce future vulnerability. The NRP is a signed agreement among 27 federal departments and agencies, including the American Red Cross. The NRP organizes the types of federal response assistance that a state is most likely to need under 12 Emergency Support Functions (ESFs), each of which has a designated primary agency.
ESF 3- Public Works & Engineering has the Department of Defense (DO) as the primary agency. DOD has designated the U.S. Army Corps of Engineers (USACE) as its operating agent for this ESP's planning, preparedness, response, and recovery. The SAME Post will support this ESP.
Typical USACE ESF#3 Missions include:
Emergency clearance and removal of debris
Emergency contracting for humanitarian support (i.e., Ice and Water)
Temporary housing
Temporary roofing
Temporary construction of access routes
Emergency restoration of critical public facilities
Demolition and/or stabilization of structures
Technical assistance
Damage survey reports
The Post will be prepared to support other ESFs as follows:
ESF 1 (Transportation) – provide support in the emergency operation of airports and inland waterways, ports, and harbors. Assist in restoring transportation infrastructure.
ESF 6 (Mass Care) – Provide potable water and ice for mass care and bulk distribution to disaster victims. Provide assistance in inspecting mass care shelter sites after the disaster to ensure suitability of facilities to safely shelter disaster victims. Provide assistance in constructing temporary shelter facilities, if necessary, in the disaster area.
ESF 8 (Public Health & Medical Services) – Provide technical assistance, equipment, and supplies in support of Health and Human Services to accomplish temporary restoration of damaged public utilities affecting public health.
ESF 9 (Urban Search & Rescue) – Provide trained Structures Specialists and System to Locate Survivors (STOLS) teams to supplement resources of Urban Search and Rescue (USAR) task forces and Incident Support Teams (ISTs). Provide pre-disaster training for USAR task forces and IST Structure Specialists.
ESF 10 (Oil and Hazardous Materials Response) - Provide support in response to an actual or potential discharge and/or release hazardous material following a catastrophic event.
ESF 12 (Energy) – Coordinate emergency power team taskings with power-system restoration activities to assist in setting priorities, and ensure that time and resources are not wasted in providing support to a facility that is about to have its power restored.
ESF 14 (Long-term Community Recovery and Mitigation) – Provides support to State, regional, local, tribal, nongovernmental organizations (NGOs) and the private sector to enable community recovery from the long-term consequences of an Incident of National Significance.
APPENDIX F - SAME NYC POST READINESS PLAN (Cont.)
PLAN: All requests for assistance will come to the Post President, VP or Secretary who will notify the Readiness and Homeland Security Committee Chair (RHSCC) or Vice Chair. Based on the mission, the RHSCC will notify the Post Responder with the expertise needed. That Responder will keep a list of members and firms available and will notify the number needed for the mission. Requests for assistance can come from the NYD, other federal agencies, state agencies, NYC, or nearby counties or towns. Post Responders will be setup with expertise as follows:
ESF #1 - Transportation
ESF #3 - Public Works
ESF #6 - Mass Care, Housing
ESF #8 - Public Health
ESF #9 - Urban Search and Rescue
ESF #10 - Oil and Haz Mat
ESF #12 - Energy
ESF #14 – Long-term Community Recovery
EXECUTION: The NYC Post will:
Maintain an inventory of Post members' specialties for assignment to this plan. Maintain an up to date roster of Board members and members telephone numbers. Test the notification of Responders annually. Participate in the readiness exercise of the parties listed.
Brief members on the plan and their responsibilities at one meeting a year
The NYD will:
Keep the NYC Post informed of changes to the FRP and ESFs Invite the NYC Post to participate in their readiness exercise. Inform other agencies of this plan and its execution through the NYD.
Other parties will:
Keep the Post informed of their Point of Contact Invite the Post to participate in their readiness exercises.
Attachments:
Readiness Plan Diagram Phone Tree Sustaining Firms and Post Contacts- Appendix C
(TYPICAL)
NYC SAME Post FAST START PLAN (060215)
APPENDIX F - SAME NYC POST READINESS PLAN (Cont.)
NYC POST READINESS DIAGRAM
LONG-TERM
COMMUNITY
RECOVERY
NYC Post
President
Or Vice
President
Or
Secretary
TRANSPORTA
TION
PUBLIC
WORKS
MASS CARE
HOUSING
PUBLIC
HEALTH
URBAN
SEARCH&
RESCUE
OIL&
HAZ MAT
ENERGY
FIRMS
INDIVIDUALS
(TYPICAL)
NYC POST PHONE TREE
President:
`
Vice President (Mil.):
Vice President (Civ.):
Secretary:
COL Richard J Polo Jr,
NY District
Office 917 790 8000
Email firstname.lastname@example.org
LTC Charles Klinge
NY District
Office 917 790 8000
Email email@example.com
Judy Cooper
PB
Office 212 465 5332
Email firstname.lastname@example.org
Michael Scarano North Atlantic Division
Office 718 765 7112 212 637 4222
Email email@example.com
APPENDIX F - SAME NYC POST READINESS PLAN (Cont.)
Readiness & Homeland Security Committee
Chair: Robert E. Adamski
Vice-Chair: Harvey Sands,
Gannett Fleming
Liro
Office 516 671 8440
Office 516 938 5476
Email firstname.lastname@example.org
Email email@example.com
ESF #l (TRANSPORTATION)
:
Mitch Becker
VACANT
PBS&J.
Office
Office
Email mwbecker @pbsj.com
Email
ESF # 3 (PUBLIC WORKS & ENGINEERING)
Steve Vianelli
Frank Arland
NYC SCA
Mueser Rutledge
Office 917 339 9313
Office 917 339 9313
Email firstname.lastname@example.org
Email email@example.com
ESF # 6 (MASS CARE, HOUSING):
VACANT
Joe Porrocchio
Shaw Environmental
Office
Office 212 290 6023
Email
Email firstname.lastname@example.org
ESF # 8 (PUBLIC HEALTH & MEDICAL SERVICES):
VACANT
VACANT
Office
Office
Email
Email
ESF #9 (URBAN SEARCH & RESCUE):
Harvey Sands
Joe Porrovecchio
Liro
Shaw Environmental
Office 516 938 5476
Office 212 290 6023
Email email@example.com
Email firstname.lastname@example.org
ESF #10 (OIL AND HAZARDOUS MATERIALS RESPONSE)
Mitch Baker
Joe Porrovecchio
PBS&J
Shaw Environmental
Office
Office 212 290 6023
Email mwbecker @pbsj.com
Email email@example.com
ESF #12 (ENERGY):
VACANT
VACANT
Office
Office
Email
Email
ESF # 14 (LONG-TERM COMMUNITY RECOVERY AND MITIGATION):
VACANT
Joe Porrovecchio
Shaw Environmental
Office
Office 212 290 6023
Email
Email firstname.lastname@example.org
M:\clerical\go\lists\nycpostsamelist.doc
APPENDIX G
DISTRIBUTION
SOCIETY OF AMERICAN MILITARY ENGINEERS
APPENDIX H
REFERENCES
1. FEMA Emergency Management Guide for Business & Industry, FEMA 141, October 1993. (www.fema.gov)
2. FEMA Guide for All-Hazard Emergency Operations Planning, State and Local Guide (SLG) 101, September 1996 (www.fema.gov)
3. National League of Cities Homeland Security: Federal Resources for Local Governments (www.nlc.org)
4. SEER Plan Manual (Structural Engineers Emergency Response Plan), National Council of Structural Engineers Associations (www.ncsea.com)
5. Web Sites:
a. See Appendix B
b. American Water Works Association: www.awwa.org
c. Centers for Disease Control and Prevention, Bioterrorism & Response: www.bt.cdc.gov
d. Department of Justice, Office of Justice Programs, Office of State and Local Domestic Preparedness Support (OSLDPS): www.ojp.usdoj.gov/osldps
e.
Disaster Help: www.disasterhelp.gov
f. Federal Bureau of Investigation: www.fbi.gov
g. Infraguard: www.infraguard.net
h. Local Emergency Planning Committees: www/epa.gov/ceppo/lepclist.htm
i. National Domestic Preparedness Office: www.ndpo.gov
j. National Infrastructure Protection Center: www.nipc.gov
k. USEPA Emergency Preparedness: www.epa.gov/ebtpages/emergencypreparedness.html
l. USEPA Chemical Emergency Prevention and Preparedness Counterterrorism Site: www.epa.gov/swercepp/cntr-ter.html
m. Water Environment Federation: www.wef.org
|
County of Glenn Glenn-Colusa Irrigation District Monroeville Water District
Corning Sub-basin GSA Committee Meeting Materials
August 24, 2023 | 2:00 p.m.
Glenn-Colusa Irrigation District Main Pump Station 7854 County Road 203, Orland, CA 95963
Remote Public Participation Option:
Microsoft Teams meeting
Join on your computer, mobile app or room device
Click here to join the meeting
Meeting ID: 231 369 153 440
Passcode: yhKBEp
Download Teams | Join on the web
Or call in (audio only)
+1 323-676-6164,,503853090# United States, Los Angeles
Phone Conference ID: 503 853 090#
Find a local number | Reset PIN
Learn More | Meeting options
________________________________________________________________________________
1. Call to Order
The Chair will call the meeting to order.
2. Roll Call
Staff will conduct roll call.
3. Meeting Minutes
a. *Approval of August 2, 2023 special meeting minutes.
b. *Approval of August 8, 2023 special meeting minutes.
Draft meeting minutes for August 2, 2023 are attached. Meeting minutes for the August 8, 2023 meeting are not yet available and will be made available separately or tabled until the next CSGSA meeting.
Attachments:
* August 2, 2023 special meeting minutes
Corning Sub-basin GSA
225 N. Tehama St. ● Willows, CA 95988 ● 530.934.6540
County of Glenn Glenn-Colusa Irrigation District Monroeville Water District
Corning Sub-basin GSA Committee Special Meeting Minutes
August 2, 2023 | 9:30 a.m.
Glenn-Colusa Irrigation District Main Pump Station 7854 County Road 203, Orland, CA 95963
Alternate meeting location: 1177 Magnolia Ave., Larkspur, CA 93939
Public participation was also offered via teleconference
1. Call to Order
* Tom Arnold called the meeting to order at 9:32 a.m.
2. Roll Call
| | Party Representative | Member Agency |
|---|---|---|
| X Tom Arnold (Chairman) County of Glenn | | |
| X Grant Carmon (Vice Chairman) County of Glenn | | |
| X John Amaro Glenn-Colusa Irrigation District | | |
| X Pete Knight Glenn-Colusa Irrigation District | | |
| X Julia Violich Monroeville Water District | | |
| X Seth Fiack Monroeville Water District | | |
Roll call was taken as noted above.
3. Meeting Minutes
a. *Approval of May 11, 2023 special meeting minutes.
b. *Approval of June 6, 2023 special meeting minutes.
c. *Approval of June 15, 2023 special meeting minutes.
d. *Approval of July 27, 2023 meeting minutes.
* No corrections or additions were made to the draft meeting minutes.
On a motion by Mr. Amaro, seconded by Mr. Fiack, the May 11, 2023 special meeting minutes, June 6, 2023 special meeting minutes, June 15, 2023 special meeting minutes, and July 27, 2023 meeting minutes were unanimously approved as presented.
Corning Sub-basin GSA
225 North Tehama Street ● Willows, CA 95988 ● 530.934.6540
4. Period of Public Comment
* Mr. Arnold invited public comments; whereby Patricia Schager read a statement opposing the method of charging fees and the voting process being considered by the CSGSA. She further commented on the benefits of surface water applications and work being done by other monitoring and regulatory groups all charging separate fees.
* Del Reimers commented on the coversheet he received and corrections to acreage and user classification. Discussion ensued on the reclassification process, consultant work to date, and the Proposition 218 process.
* Kevin Donnelley spoke regarding the landowners' lack of knowledge of this program, questioned how the basin boundaries were drawn, and suggested the CSGSA stand up to the State regarding SGMA compliance. Discussion continued on similar State/local programs, basin boundary designations and Groundwater Sustainability Agency jurisdictions, groundwater regulation, and local control.
5. Staff Reports
* Staff had nothing additional to report.
6. Financial Report
a. *Review and accept financial reports.
b. *Review and consider approval of claims.
* Lisa Hunter reviewed the financial reports.
On a motion by Mr. Amaro, seconded by Mr. Knight, the financial reports were accepted as presented.
* No discussion was held on Item 6.b.
On a motion by Mr. Amaro, seconded by Mr. Carmon, the claims were unanimously approved as presented.
7. *Consider approval of the Fiscal Year 2023/2024 Corning Sub-basin Groundwater Sustainability Agency Budget.
* Ms. Hunter reviewed two draft budget options based on information provided in the CSGSA fee report and noted the budget may need to be revised following the outcomes of the August 8 public hearing to consider the proposed fees.
* Following discussion, it was the consensus of the CSGSA to postpone the approval of the budget until after the public hearing to consider the proposed fees.
Corning Sub-basin GSA
8. Corning Sub-basin Groundwater Sustainability Agency (CSGSA) Operations and GSP Implementation Fee Project
a. Receive an update on the CSGSA Fee Project, outreach meeting, and timeline.
b. Irrigated/Non-Irrigated Long-Term Fee Policy
* Ms. Hunter stated the project is currently in the required 45-day notice period and the public hearing is scheduled for August 8, 2023 at 6:00 p.m. at the GCID pump station conference room. The revised coversheet correcting the calculation error in the original coversheet have been mailed out.
* Del Reimers stated his concerns with the space available for the public hearing. Discussion ensued on accommodations and outreach related to the upcoming public hearing.
* Responding to a question from Jaime Lely, it was confirmed that all legal owners are required to sign the protest to be valid.
* Regarding Item 8.b, Ms. Hunter stated Luhdorff & Scalmanini Consulting Engineers (LSCE) has prepared a Draft Irrigated/Non-Irrigated Policy and she encouraged discussion on the policy to ensure the policy is clear and consistent with the direction of the CSGSA.
* Mr. Carmon commented that he liked the clarifications provided by Valerie Kincaid (CSGSA Counsel); however, the policy is still confusing relating to large parcels with very little domestic use and which user class domestic users would fall under. Considerable discussion took place on options related to user classes, how parcels were classified, size of parcels relating to domestic use and user classes, parcels with more than one use type, consistency in applying the user class definitions to parcels, state intervention, and well permitting requirements.
* Additional discussion took place on reclassification of parcels and the potential for refunds or reimbursements. Clarification would be requested from Counsel on this topic.
* The CSGSA agreed to remove the extraction (acre-feet) description included in the nonirrigated user class and define a large parcel as 15 acres or more. A final draft will be considered on August 8, 2023.
9. Corning Subbasin Groundwater Sustainability Plan Implementation
* No updates were provided for Item 9.
10.Corning Sub-basin Advisory Board Report
a. Receive update on Corning Subbasin Advisory Board activities.
b. *Consider recommendation to develop a Request for Proposals for a consultant to develop three annual reports (Water Years 2023, 2024 and 2025) combined with
Corning Sub-basin GSA
tasks associated with the Sustainable Groundwater Management Round 2 grant program.
c. *Consider recommendation to continue to split the costs for Corning Subbasin Annual Reports between the Tehama County GSA (two-thirds) and CSGSA (onethird).
d. Receive an update on Corning Subbasin Advisory Board member terms.
* Ms. Hunter reported the CSAB is scheduled to meet at 1:30 p.m. on August 2, 2023 and the outcomes of the meeting will be shared at a future CSGSA meeting. Recommendations were made by the CSAB at their July meeting to develop a Request for Proposals (RFP) for consultant services to prepare three annual reports and tasks associated with the Sustainable Groundwater Management grant program and to continue a cost-share of one-third (CSGSA)- two-thirds (TCFCWCD) for annual report development.
With regard to Item 10.c, on a motion by Mr. Fiack, seconded by Mr. Amaro, it was unanimously ordered to approve the recommendation to split the costs for Corning Subbasin Annual Reports between the Tehama County GSA (two-thirds) and CSGSA (onethird).
* Regarding Item 10.b, Mr. Carmon discussed the CSAB recommendation to develop an RFP for three years and hope for better pricing with the three-year contract and a competitive process. He suggested approving Item 10.b providing direction to develop the RFP.
On a motion by Mr. Amaro, seconded by Mr. Fiack, the concept of developing an RFP for a consultant to develop three annual reports (Water Years 2023, 2024 and 2025) combined with tasks associated with the Sustainable Groundwater Management Round 2 grant program was unanimously approved.
* Ms. Hunter reviewed the terms of the CSAB members noting that no terms are expiring until March 2024. She suggested the CSGSA begin to think about the CSAB recruitment and appointment process and continue the discussion at a later date. Discussion ensued on the prior process to appoint members, which was informal, and who might be interested in filling any vacancies.
11.Corning Sub-basin GSA Committee Member Reports and Comments
* Mr. Arnold invited CSGSA member reports and comments; whereby no comments were heard.
12.Next Meeting
* A special meeting is scheduled for August 8, 2023 at 6:00 p.m. The next regular meeting is scheduled for August 24, 2023 at 2:00 p.m.
13.Adjourn
* The meeting was adjourned at 11:32 a.m.
Corning Sub-basin GSA
4. Period of Public Comment
Members of the public are encouraged to address the Corning Sub-basin GSA Committee. Public comment will be limited to three minutes. No action will be taken on items under public comment.
5. Staff Reports
Staff from members of the Corning Sub-basin GSA will provide relevant updates, such as a brief status update of GSP implementation, grant agreements, and project agreements. Reminders and clarifications may be made, and direction may be provided to staff.
6. Financial Report
a. *Review and consider approval of claims.
The claims summary is attached.
Attachments:
* Claims Summary
Corning Sub-basin GSA
Corning Sub-basin GSA Invoices to be paid
Meeting Date: August 24, 2023
Corning Sub-basin GSA
8/24/23 Meeting Materials
Page 7
Claims Summary
7. Corning Sub-basin Groundwater Sustainability Agency (CSGSA) Operations and GSP Implementation Fee Project
a. Receive an update on the CSGSA Fee Project activities.
b. Discussion on approved CSGSA Fee Policy.
c. Discussion on User Classification Change Request process
Luhdorff & Scalmanini Consulting Engineers (LSCE) worked with the CSGSA to develop a long-term funding strategy to achieve GSP implementation and SGMA compliance over the next five-year period. After an extensive process, the CSGSA held a public hearing on August 8, 2023 to consider the proposed fees. Following the public hearing, protests were tabulated and it was reported that 143 valid protests were received out of a possible 1,576. The CSGSA considered and subsequently adopted maximum annual fees of $0.93 per non-irrigated acre, $6.14 per irrigated- surface water acre, and $14.60 per irrigatedgroundwater acre. Additionally, the CSGSA fee policy was approved.
The direct charge files were prepared by LSCE and submitted to the Glenn County Department of Finance on August 10, 2023, which included 1,576 records for a total of $336,049.56.
As this new process continues forward, it is important to consider the User Classification Change Request process. The general process has been laid out in the CSGSA fee policy and outlines how an individual may request a User Classification change. The CSGSA should consider the internal process by which a User Classification Request will be processed.
The CSGSA long-term funding webpage can be found at the following link:
https://www.countyofglenn.net/dept/planning-community-development-services/waterresources/sustainable-groundwater-management-9
Additional updates may be provided.
Attachments:
* CSGSA Fee Policy (Text Only)
Corning Sub-basin GSA
Corning Sub-basin Groundwater Sustainability Agency Fee Policy
SECTION 1 – INTRODUCTION AND PURPOSE
Introduction
The Corning Sub-basin Groundwater Sustainability Agency (CSGSA) is developing its long-term fees in 2023 to fund GSA Administration, GSP Implementation and SGMA compliance costs for the FY23-24 through FY27-28 period. The CSGSA is approving a new Irrigated/Non-Irrigated fee structure to achieve more equity for those subject to the fee. The CSGSA needs to develop an associated fee policy to ensure equitable billing for services received.
Purpose
This is a policy document developed by the CSGSA to implement the new Irrigated/NonIrrigated fee structure approved in 2023. The purpose of this policy is to ensure that each parcel subject to the fee is properly classified into the correct user class and charged the correct fee amount on a per acre and annual basis based on the unique user class fees. The policy recognizes that the manner in which each parcel is charged under the new fees needs to be clearly defined to ensure landowners understand the fee, to promote consistency in fee determination, and simplify any potential reclassification of parcels into the correct user class for accurate fee purposes.
Adopted Irrigated/Non-Irrigated Fees
The new 2023 CSGSA proposed fees include three user classes: Non-Irrigated, Irrigated-Surface Water, and Irrigated-Groundwater. Each fee has a unique per acre per year fee which reflects the respective benefit of CSGSA services. Appendix A includes the proposed resolution approving the new CSGSA 2023 fees.
SECTION 2 – USER CLASS DEFINITIONS
The CSGSA is developing its long-term fees in 2023 to recover adequate revenues to achieve SGMA compliance for all landowners in the service area. The three (3) distinct user classes are defined below.
Fee User Class Definitions
Non-Irrigated User Class: Includes parcels within the CSGSA service area that open space, natural habitat, vacant, dry land farmed or rangeland. Parcels included in this user class have no groundwater wells or wells used only for minimal domestic use on large parcels consisting of 5 acres or more.
Irrigated-Surface Water User Class: Includes parcels within the CSGSA service area that use surface water primarily which may include parcels within the surface water provider service area or have individual water rights or permits for surface water allocations directly from the Sacramento River, Stony Creek, or another source. Parcels that use surface water with groundwater in a supplemental fashion will be classified as irrigated-surface water users.
Irrigated-Groundwater User Class: Includes parcels within the CSGSA service area that use groundwater primarily and do not have access to or the right to use surface water supplies. These parcels will typically have a well(s) on the parcel, or a nearby parcel, serving as the primary source of water supply. Urban areas or residential areas that rely on groundwater for domestic supply are included in this category.
Corning Sub-basin GSA
Other Definitions
County: Glenn County located in northern California.
CSGSA: The Corning Sub-basin Groundwater Sustainability Agency.
Landowner: The landowner of record for a parcel subject to the CSGSA fee based on County assessor parcel data.
Parcel address: The address of the property subject to the CSGSA fee based on County assessor parcel data.
Parcel Acreage: The total acreage of the parcel subject to the CSGSA fee based on County assessor parcel data. If there is more than one acreage figure for a parcel the CSGSA will generally base fees on the lower acreage figure or the acreage figure that most accurately represents the parcel acreage. Multiple sources of data will be referenced in order to verify use of accurate acreage data for assessing CSGSA fees.
Parcel Acreage For Boundary Parcels: For parcels with a portion of the land area within the CSGSA service area boundary, the net acreage of the parcel subject to the CSGSA fee located within the CSGSA boundary will be used for fee assessment purposes based on GIS calculations data.
SECTION 3 – CURRENT USER CLASSIFICATIONS
This section allows landowners subject to the fee to understand how their parcel(s) are classified under the new CSGSA Irrigated/Non-Irrigated 2023 fee structure with three (3) user classes. The CSGSA will make parcel level fee data easily available to landowners subject to the fee. CSGSA Service Area Boundary Appendix B includes the CSGSA service area boundary. Parcels with a portion of their acreage within the CSGSA boundary will only be assessed fees based on their acreage within the CSGSA service area boundary.
CSGSA Service Area Parcel User Class Delineations Appendix B includes a CSGSA service area parcel map indicating user class delineations based on the approved 2023 fees and associated definitions included in this draft policy document. Landowners may identify parcel classification by viewing this map which categorizes parcels based on the three (3) user classes included in the approved fees for the fee assessment process. The parcel map delineations will be updated based on changes in land use necessitating a change or to address any errors in initial classification. As parcel reclassifications are approved the user class map will be updated accordingly.
SECTION 4 – USER CLASSIFICATION CHANGE REQUEST
Landowners may request a change in user classification (and associated fee assessment) (User Classification Change Request) based on implementation of the new CSGSA Irrigated/Non-Irrigated fee structure approved in 2023 (see Appendix A). The purpose of this policy is to ensure that each parcel subject to the fee is properly classified into the correct user class and charged the correct fee amount on a per acre and annual basis based on the unique user class fees. The CSGSA recognizes category classification may need to be reviewed in limited circumstances.
Basis For User Classification Changes
Landowners may request reclassification of their parcel(s) under the new 2023 CSGSA fees based on the following circumstances: (1) parcel is classified improperly (not in correct user class); (2) parcel fee assessment amount is incorrect (based on acreage inaccuracy or incorrect user classification); or (3) parcel land use has changed requiring the parcel to be reclassified into a different user class. To request a User Classification Change, the landowner must fill out a User Classification Change Request form.
User Classification Change Request
The CSGSA may consider User Classification Change Requests after a landowner has submitted the respective form requesting a specific change. The CSGSA has the option of providing both electronic and manual forms. The information requested would include landowner name, parcel address, parcel user classification, and parcel acreage. A sample of potential draft manual and electronic forms are included in Appendix C. A User Classification Change Request must be submitted not more than 45 days from the County's issuance of the tax bills which includes the CSGSA property related fee. The CSGSA staff will review, and process User Classification Change Request within 15 business days of receiving the Request form. All Request forms received will be stored electronically for CSGSA records. Request forms may be submitted electronically or via handwritten form. Staff will review the Request form and the existing information related to the parcel at issue to determine whether reclassification is appropriate based on the definitions included in this Policy. Approved Change Requests will be signed and dated by authorized staff, provided to the requesting party, and kept in CSGSA records. If Change Requests are not approved, staff will provide the denial and indicate the reason denying the reclassification request to the requesting party. There are no Application fees levied by the CSGSA in processing these Applications.
SECTION 5 – USER CLASSIFICATION APPEALS PROCESS
Landowners who request a parcel user class reclassification under Section 4 of this policy who are denied the request, may appeal the decision to the CSGSA Committee. The Appeal must be submitted to the CSGSA Committee within 30 days of the date the denial by staff was issued. The Appeal must be written and include specific reasons the denial was improper based on the Classification Policy definitions and any supporting facts in support thereof. The CSGSA Committee will consider the appeal at the first Committee meeting that occurs at least 15 days after receiving the Appeal. If the staff determination is not supported by evidence, the CSGSA Committee may grant the Appeal and approve the User Classification Change Request; if the staff determination is supported and consistent with the Policy, the CSGSA Committee shall deny the Appeal.
8. Corning Subbasin Professional Services
a. *Consider authorization for Tehama County Flood Control and Water Conservation District to issue Request for Qualifications (RFQ) for Professional Services for Groundwater Sustainability Plan (GSP) Annual Reports, DWR GSP Review Response to Comments, and Implementation Activities for the Bowman, Red Bluff, Antelope, Los Molinos, and Corning Subbasins in partnership with the CSGSA as it relates to the Corning Subbasin.
b. Provide direction on preferred RFQ review process.
At the July 5, 2023 Corning Subbasin Advisory Board (CSAB), the CSAB recommended the GSAs develop a Request for Proposals for a consultant to develop three annual reports (Water Years 2023, 2024 and 2025) combined with tasks associated with the Sustainable Groundwater Management Round 2 grant program. The recommendation was shared at the July 27, 2023 and the August 2, 2023 CSGSA meetings. On August 2, 2023, the CSGSA approved the concept of development of an RFP.
Tehama County Flood Control and Water Conservation District (TCFCWCD) has prepared a draft Request for Qualifications (RFQ) for the development of annual reports, responding to DWR comments on GSPs, and GSP implementation activities for the five subbasins in Tehama County, including the Corning Subbasin. The RFQ indicated the consultant will be required to work with both the TCFCWCD and the CSGSA for project work within the Corning Subbasin. TCFCWCD would lead the RFQ process and enter into an agreement with the selected consultant(s).
The draft RFQ is attached with suggested edits from CSGSA staff in tracked changes. Staff requests input from the CSGSA on the contents of the draft RFQ and expectations relating to the review and selection process.
Attachments:
* Draft Request for Qualifications (RFQ) for Professional Services for Groundwater Sustainability Plan (GSP) Annual Reports, DWR GSP Review Response to Comments, and Implementation Activities for the Bowman, Red Bluff, Antelope, Los Molinos, and Corning Subbasins
Corning Sub-basin GSA
Tehama County Flood Control and Water Conservation District
Request for Qualifications
Professional Services for Groundwater Sustainability Plan (GSP) Annual Reports, DWR GSP Review Response to Comments, and Implementation Activities for the Bowman, Red Bluff, Antelope, Los Molinos, and Corning Subbasins
Proposals are to be submitted to
Justin Jenson, Deputy Director of Public Works Water Resources Groundwater Sustainability Agency 1509 Schwab Street Red Bluff, CA 96080
Submission Due Date No later than 3:00 PM PST September 26, 2023
Questions may be directed to
Justin Jenson and Nichole Bethurem (for process)
email@example.com firstname.lastname@example.org
Corning Sub-basin GSA
Table of Contents
i
t
t
i
i
i
i
Corning Sub-basin GSA
8/24/23 Meeting Materials
i
i
i
i
i
t
t
Corning Sub-basin GSA
8/24/23 Meeting Materials
i
i
i
i
i
i
i
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
Formatted: Default Paragraph Font
A. General Information
Purpose
This Request for Qualifications (RFQ) is being issued to interested consultants who wish to be considered for selection to provide professional services to prepare and submit Sustainable Groundwater Management Plan (GSP or Plan) Annual Reports and provide various informational and management services for Plan implementation activities for a three year period, for the Bowman, Red Bluff, Antelope, Los Molinos, and Corning Subbasins. The selected firm must have the capability to complete work for all five subbasins and will provide services to both the Tehama County Flood Control and Water Conservation District and the Corning Sub-basin GSA of Glenn County (CSGSA), collectively the Groundwater Sustainability Agencies or GSAs.
The scope of this RFQ is intended to include all tasks necessary to complete and submit compliant updates to the GSPs. Respondents are expected to be familiar with the Sustainable Groundwater Management Act (SGMA) Laws and Regulations, the Department of Water Resources (DWR) guidance documents, have a complete comprehension of the GSP Regulations (Regulations), manage and provide data as needed and be able to devise new, and implement existing, Projects and Management Actions (PMAs) in support of groundwater sustainability. The Draft Work Plan is expected to include all work necessary to meet the requirements set forth in the GSP Regulations which can be found on DWR's website as well as a roadmap to implementing PMAs. Existing Plans can be viewed at https://tehamacountywater.org/.
Interested consultants are invited to submit a proposal for planning services and associated tasks listed in Section D, Consultant Services. All proposals shall be submitted in accordance with the format and information listed in Section GE, Proposal Submittal Requirements of the Statement of Qualifications.
The Tehama County Flood Control and Water Conservation District (District) reserves the right to issue additional RFQ(s) or RFP(s) for the performance of any and all of the services during the service period outlined below. District or GSAs may select qualified consultants that submit proposals in response to this RFQ, and/or any subsequent RFQ, to perform all, some, or any of the consultant services required by the GSAsDistrict.
Respondents should have expertise and ability in the following areas:
- Knowledge and understanding of SGMA legislation and GSP regulations
- Groundwater Management Planning
- Project and Management Action Implementation
- Public Outreach and Coordination
- Technical components of SGMA implementation, including the ability to perform required services as listed in the Scope of Work
- Data Management
Page 1 of 24
Corning Sub-basin GSA
- Coordination with neighboring entities and their consultants to ensure seamless planning and implementation processes.
The selected consultant team shall have the appropriate resources to conduct work as outlined in the Agreement under the Consultant Services, including but not limited to availability to provide services on short notice, complete all major GSP related tasks prior to DWR deadlines and as needed for funding deadlines. Additional schedule should be included to respond to DWR comments in writing.
Consultant Services
The five subbasin activities will include tasks that are similar between each, as well as elements that are unique to each. The selected respondent must be able to complete the following task list of services. District/CSGSA staff will work with the selected respondent to develop a Scope of Work and schedule that includes the tasks necessary to complete goals in the GSPs and the required submissions to DWR.
For each task and subtask, specific work activities are listed, followed by a brief narrative describing proposed responsibilities, prior work that will be relied on, relationship to other tasks, and any other assumptions. A list of specific deliverables is listed for each task/subtask.
Interim deliverables for tasks will be required. Respondents should include time for community outreach, staff review, landowner coordination, recommendation from advisory boards, work with permitting agencies, and final approval to proceed with projects at the elected board or GSA level.
Service Period
The selected Consultant will be expected to begin work immediately upon receipt of Notice to Proceed. The period during which the services described herein will be performed will extend from approximately October 2023 through December 2026. All proposals received must address the scope of work for administering the program in a timely fashion.
B. Background Information
In response to the Sustainable Groundwater Management Act of 2014 (SGMA), the District submitted a GSA Notice of Intent in November 2015 to become the GSA for all portions of the 11 subbasins located within Tehama County. The District was recognized by DWR as the exclusive GSA for those 11 subbasins in February 2016. Following the Basin Boundary Modification Request process, the number of subbasins in Tehama County was reduced to seven, as show on this map. Subbasin boundary and prioritization information is available in the SGMA Basin Prioritization Dashboard.
The District has prepared Groundwater Sustainability Plans (GSPs) for the Bowman Subbasin of the Redding Basin and the Red Bluff, Antelope, and Los Molinos Subbasins of the Sacramento
Page 2 of 24
Corning Sub-basin GSA
Valley Basin in accordance with the SGMA and GSP regulations. The Corning Subbasin is jointly managed by the District and CSGSA as portions of that subbasin exist in both Tehama and Glenn Counties. The two GSAs submitted a single GSP for the Corning Subbasin.
The District has received a recommended draft award of more than 16 million dollars in Prop 68 Round 2 implementation funding for four of the five basins as described below to be used over the three year contract period. It is the intention of the District/CSGSA to use these funds, and limited direct funds, to complete required DWR submissions, implement PMAs, and work with our partners at the Resource Conservation District of Tehama County, and other partners as identified, to complete projects in all five basins and move closer to the goals of the GSPs.
Corning Subbasin
- Grant Administration: $734,600
- GSP Implementation, Outreach, and Compliance Activities: $1,370,000
- Ongoing Monitoring, Data Gaps, and Enhancements: $3,019,000
- Projects and Management Actions – Recharge Focused: $1,742,000
- Projects and Management Actions – Regional Conjunctive Use: $1,215,000
Recommended Award: $8,080,600
Red Bluff Subbasin
- Grant Administration: $323,500
- GSP Implementation, Outreach, and Compliance Activities: $1,288,000
- Projects and Management Actions - Recharge Focused: $1,956,500
Recommended Award: $3,568,000
Los Molinos Subbasin
- Grant Administration: $165,000
- GSP Implementation, Outreach, and Compliance Activities: $1,228,000
-
Projects and Management Actions – Recharge Focused: $430,000
Recommended Award: $1,823,000
Antelope Subbasin
- Grant Administration: $142,950
- Ongoing Monitoring, Data Gaps, and Enhancements: $1,429,500
Recommended Award: $1,572,450
The District has coordinated with the Corning Sub-basin GSA (CSGSA) on the development of a single GSP document for the Corning Subbasin. The selected respondent will need to work
Page 3 of 24
Corning Sub-basin GSA
Professional Services for Groundwater Sustainability Plan (GSP) Annual Reports, DWR GSP Review Response to Comments, and Implementation Activities for the Bowman, Red Bluff, Antelope, Los Molinos, and Corning Subbasins closely with both agencies to complete the requirements of the RFQ that involve the Corning Subbasin.
The District is governed by a five-member Board of Directors, which is composed of members of the County Board of Supervisors. Additionally, the District has an eleven-member Groundwater Commission that reviews most SGMA-related matters, making recommendations to the Board of Directors for final decisions.
i
t
The Corning Subbasin is governed jointly by the District and the CSGSA and the selected respondent will need to work with both agencies' boards /commit ees , staff, and advisory committees. The selected respondent will be expected to coordinate closely with the Groundwater Commission, CSAB, and staff on all tasks. The Commission , and CSA B , and any ident f ed advisory commit ees of the CSGSA will be providing guidance and direction to staff and the selected respondent throughout the duration of the contract. The selected respondent will be expected to meet in person with the Commission , and C SA B , and CSGSA (or CSGSA advisory/ad hoc commit ee) at least quarterly, and possibly monthly at times. Additionally, the advisory and governing bodies may form ad hoc or standing committees to review and provide direction on specific tasks; the consultant will be expected to participate in these discussions which may occur in person or over the phone.
C. RFQ Tentative Schedule
i
It is important the consultant team(s) selected be able to respond quickly during agreement negotiations and initiate work as soon as possible after full execution of the agreement(s).
Page 4 of 24
Corning Sub-basin GSA
D. Consultant Services
The five subbasin activities will include tasks that are similar between each, as well as elements that are unique to each. The selected respondent must be able to complete the following task list of services. District/CSGSA staff will work with the selected respondent to develop a Scope of Work and schedule that includes the tasks necessary to complete goals in the GSPs and the required submissions to DWR.
For each task and subtask, specific work activities are listed, followed by a brief narrative describing proposed responsibilities, prior work that will be relied on, relationship to other tasks, and any other assumptions. A list of specific deliverables is listed for each task/subtask.
Interim deliverables for tasks will be required. Respondents should include time for community outreach, staff review, landowner coordination, recommendation from advisory boards, work with permitting agencies, and final approval to proceed with projects at the elected board or GSA level.
Task 1. Project / Grant Management and Administration
This task includes:
1. Regular tracking of task progress and costs, including the development of project tasks and schedules
2. Monthly project status meetings
3. Preparation of progress reports and invoices for the District, in the format requested by DWR, separated by basin and task.
4. Draft and Final Completion Report and closeout documents required by DWR.
Task 2. GSP Implementation, Outreach, and Compliance Activities
This task includes:
1. All activities necessary to submit three (3) Water Year annual reports, for each of the following five subbasins, to DWR by the required deadline.
2. Responding to comments from DWR's review of five (5) GSPs.
3. Meetings with community stakeholders, outreach consultants, and governing bodies including coordination with neighboring GSAs.
4. Data gathering and management.
5. Coordination with the District/CSGSA to identify other opportunities.
Task 3. Ongoing Monitoring, Data Gaps, and Enhancements
This task includes:
1. Familiarization with, and assessment of, existing monitoring and ident f ed data gaps
i
2. Identification of monitoring needs included in and in addition to those in the GSP.
3. Creation of priorities.
Page 5 of 24
Corning Sub-basin GSA
8/24/23 Meeting Materials.
4. Design of installments needed to fill data gaps.
5. Coordination with District/CSGSA partners and contractors as needed.
6. Assistance with permitting as needed.
7. Assistance with grant applications if available.
8. Assistance with current and future technologies that would assist in closing data gaps.
Task 4. Projects and Management Actions – Recharge Focused
This task includes:
1. Analyzing data from multiple sources to provide the most appropriate or lowest cost areas to concentrate recharge efforts.
2. Assisting in landowner and community outreach.
3. Assisting in coordination with outside agencies.
4. Determining potential sources of water for recharge.
5. Design of installments.
6. Assistance with permitting.
7. Scheduling assistance.
8. Coordination with landowners, agency partners, and contractors as needed.
9.
Documentation of long-term recharge project evaluation and results of work
completed.
Discussion/Assumptions:
This task will result in some recharge work being in place and some being at or near shovelready by the end of the contract term. Also, future projects will be identified along with costs, schedules, and priorities. Assistance with grant applications may be required if such monies become available.
Task 5. Projects and Management Actions – Regional Conjunctive Use
This task includes:
1. Identifying existing and future water sources.
2. Assisting in coordination and contracts with outside agencies.
3. Assisting in coordination with landowners.
4. Assisting in the creation of incentives for landowners to participate.
Task 6. Provide General Consulting Services on an As-Needed
This task will require "on call" services by task order with fixed per hour rates for the duration of the contract.
Page 6 of 24
Corning Sub-basin GSA
E. Questions
Please direct all questions regarding this RFQ in writing via email to Justin Jenson at email@example.com and Nichole Bethurem at firstname.lastname@example.org. The deadline to submit questions is 12:00 PM on September 12, 2023, any questions submitted after that date will not be answered. Questions will be answered by addenda and posted to https://www.ciplist.com/ by 5:00 p.m. September 18, 2023. All respondents are bound by the addenda, whether or not actually received by the respondent.
F. Corrections and Addenda
1. If a respondent discovers any ambiguity, conflict, discrepancy, omission, or other error in this RFQ, the respondent shall immediately notify the contact person of such error in writing and request clarification or modification of the document. Modifications will be made by addenda as indicated below to all parties in receipt of this RFQ.
2. If a respondent fails to notify the District prior to the date fixed for submission of proposals or a known error in the RFQ, or an error that reasonably should have been known, the respondent shall submit a response at their own risk, and if the respondent is awarded a contract they shall not be entitled to additional compensation or time by reason of the error or its subsequent correction.
3. Addenda issued by the District interpreting or changing any of the items in this RFQ including all modifications thereof, shall be incorporated in the submittal. The respondent shall sign and date the addenda cover sheet and submit the sheet along with the proposal. Any oral communication by the District's designated contact person or any other District staff member concerning this RFQ is not binding on the District and shall in no way modify this RFQ or any obligations arising thereunder.
G. Requirements of the Statement of Qualifications
Submittal Requirements
Consultants interested in responding to this RFQ shall submit, in writing, a proposal providing all the information requested in Section D, Consultant Services, in the format specified in Section GE., Requirements of the Statement of Qualifications. The proposal will be considered complete if all requested information is provided.
Respondent shall provide a disclosure stating any conflicts of interest. These may include any actual, apparent, direct, or potential conflicts of interest that may exist with respect to the firm, employees, or other persons relative to the provided service.
Proposer must submit one (1) original hard copy of the proposal with signature and one (1) electronic copy (.pdf) on a thumb drive by September 21, 2023 at 3:00 p.m. PST.
Proposals must be submitted to:
Page 7 of 24
Corning Sub-basin GSA
8/24/23 Meeting Materials
Commented [LH1]: Would it be more consistent to post addenda to the website as mentioned in the questions section?
Commented [LH2]: Is this necessary? What if they didn't see the addenda?
Tehama County Flood Control and Water Conservation District Groundwater Sustainability Plan Development SOQ Attn: Justin Jenson, Deputy Director of Public Works – Water Resources 1509 Schwab Street Red Bluff, CA 96080
Due Date
Proposals must be received no later than 3:00 p.m. PST on September 21, 2023. The proposal due date is subject to change. If the proposal due date is changed, all known recipients of the original RFQ will be notified of the new date.
Proposal Format and Contents
The respondent's proposal must be signed by authorized personnel, delivered in a sealed envelope, and must contain the six parts below. Please provide and present the following information in the order listed, in a clear and concise format limited to twenty (20) single-sided pages, not including cover letter, resumes, schedule, and hourly rates. Proposals that do not follow this format may be disqualified by the District/CSGSA at their discretion:
Section 1. Technical Approach/Project Schedule
Describe the approach to be taken in addressing the proposed scope of work. This description is to include delineation of specific tasks identified in Section A. General Information (above). This should include consideration of the information contained in Section D. Consultant Services (above) and identify any revisions the consultant wishes to propose. The selected respondent will be expected to have the capabilities to complete all of the Tasks detailed in Section D. Consultant Services. The proposal shall also include a schedule for all tasks/subtasks with the timeline for completing all required tasks. The selected respondent will be expected to work with and take direction from Agency staff, CSGSA, CSAB, Commissioncommittees/commissions as authorized by the GSAs, and Board of Directors in tailoring each Task to fit the needs of the agencies and the citizens of the five subbasins.
Section 2. Experience of Proposed Personnel
Describe the management plan to be used, staffing configurations, and so forth. The identification and use of specific key members throughout the life of the project are important factors in the GSAs'District's consideration and selection of a consultant/project team. Any changes in identified key personnel after the award of the Agreement must be approved by District in writing in coordination with the CSGSA (for work in the Corning Subbasin) before the change is made. A brief resume of the individuals involved in the project must be included. Please detail which project team members, including sub-consultants, will be responsible for completing the individual Tasks detailed in Section D. Consultant Services.
Section 3. Identification of Sub-Consultants
Page 8 of 24
Corning Sub-basin GSA
8/24/23 Meeting Materials
Commented [LH3]: Should it also be posted on the website noted above?
All proposals shall identify any and all subcontractors they intend to use for the proposed scope of work. For each subcontractor listed, the proposal shall indicate (1) name and business location of sub-consultant, (2) what products and/or services are to be supplied by that subcontractor and, (3) what percentage of the overall scope of work that subcontractor will perform. A brief resume of key representatives of each subconsultant involved in the project must be included.
Section 4. Prior Related Experience
Summarize the firm's experience with the tasks listed and with groundwater management and planning in California over the past 15 years, specific experience in the Sacramento Valley is highly desirable and should be highlighted. Additionally, please detail experience working with rural communities, agricultural communities, and smaller agencies, such as the District, which have limited staffing and funding. Include the name and phone number of a contact person for each referenced project.
Section 5. Responsiveness to Client Needs
Describe specific project implementation measures needed that will both benefit the constituents living within the subbasins and identify tangible solutions/projects that this rural agricultural community can not only implement, but support. Describe factors such as familiarity with the geographic area of the project, positive interaction with California Department of Water Resources, and other planning capabilities that will enhance the overall quality and effectiveness of the finished tasks. It is anticipated the selected respondent will need to perform a majority of the tasks listed and provide significant assistance as the District and CSGSA haves limited staffing resources. Please describe how this will be accomplished and include any tasks GSADistrict staff should anticipate completing. Additionally, please confirm that your staff will be able to meet in person at numerous meetings, including, but not limited to District Board of Directors, Groundwater Commission, CSGSA, CSAB, committees, public outreach, and review and adoption meetings. Describe the level of availability and accessibility to your staff for project- related needs. Please list any other GSAs that your firm or subconsultants are working with.
Section 6. Project Budget
Provide a cost to complete the Contract. Cost proposals should include a list of the Tasks detailed in Section D,. Consultant Services that will be completed for the proposed cost. If the respondent determines not all tasks identified in Section D, Consultant Services. are necessary for the delivery of complete tasks, or the completion of those tasks is not possible within the budget amount, provide a separate list of such tasks from Section D and a cost estimate to complete each of these Tasks.
Page 9 of 24
Corning Sub-basin GSA
The proposed price to complete the Contract should be submitted in a separate sealed envelope. This envelope should also contain hourly rates for key staff.
H. Selection Process
1. After the submittal deadline specified in Section G, an Evaluation Committee comprised of representatives from the District/CSGSA, and others as appropriate, will review and rate each of the consultant(s) based on the proposals received for the subject areas listed in Section D,. Consultant Services. Consultants will be rated according to Attachment A, Proposal Rating Form. Interviews may be held at the discretion of the evaluation committee.
2. Tehama County employees, District employees, or GSA representatives will not participate in the selection process when those employees or representatives have a relationship with a person or business entity submitting a proposal that would subject those employees or representatives to the prohibition of Sections 1090, 4523.12 and 87100 of the Government Code. Any person or business entity submitting a proposal who has such a relationship with a Tehama County employee, District employee, or GSA representative who may be involved in the evaluation process shall advise the District of the name of the employee or representative in the proposal.
3. The District reserves the right to seek clarification or additional information from any proposer throughout the solicitation process. The District may require a proposer's representative to answer questions, present a demonstration and/or samples to the Evaluation Committee, Corning Subbasin Advisory Board, CSGSA, Tehama County Groundwater Commission (Commission), or Tehama County Flood Control and Water Conservation District Board of Directors (Board of Directors). The District reserves the right to select the firm which, in its sole judgment, best meets the needs of the District/CSGSA. The order of ranking is not the sole criterion for recommending contract award.
4. After considering the factors outlined in Section D, Consultant Services, and Section G, Requirements of the Statement of Qualifications, a recommendation from the Evaluation Committee will be presented to the Commission and/or CSAB; the Commission and/or CSAB will make a recommendation to the District Board of Directors and CSGSA to consider entering into a contract with a consulting firm. Upon approval of a consultant by the Board of Directors, all respondents will be notified, by mail, of the District's selection.
I. General Information
1. District's Rights, Options, and Policies
Corning Sub-basin GSA
8/24/23 Meeting Materials
Page 10 of 24
Commented [LH4]: Consider recommendation may need to go through the CSAB, then the Commission if needed, and to both GSAs for agreement before the Board entering into a contract.
a. Successful firms will be required to participate in negotiations and to submit such pricing, technical or other revisions to their proposals as may result from negotiations. Accordingly, each initial proposal should be submitted on the most favorable terms from an economic and technical viewpoint.
i
b. The District in coordinat on with the CSGSA when related to the Corning Subbasin reserves the right to decide that one proposal is more favorable than all others.
i
c. The District in coordinat on with the CSGSA when related to the Corning Subbasin reserves the right to declare a proposal as non-responsive if it fails to clearly and/or completely respond to all questions and requirements of this RFQ. All late submissions will be considered non-responsive and be returned unopened.
i
d. The District in coordinat on with the CSGSA when related to the Corning Subbasin reserves the right to waive any irregularities and/or informalities in submitted proposals. Should the District elect to waive a right it will not constitute an automatic waiver of that right in the future nor will it impact any other right or remedy.
i
e. The District in coordinat on with the CSGSA when related to the Corning Subbasin reserves the right to modify, postpone, or cancel this RFQ at any time and/or reject any and all submissions without indicating any reason. No proposal documents will be returned.
i
f. The District in coordinat on with the CSGSA when related to the Corning Subbasin reserves the right to reject individual team members, firms, consultants and/or request substitution(s). The District in coordinat on with the CSGSA when related to the Corning Subbasin r eserves the right to request changes to the staffing and/or scope of services contained in any of the proposals and to enter into negotiations with any of the firm(s) regarding their submittal.
i
g. The District in coordinat on with the CSGSA when related to the Corning Subbasin reserves the right to reject any or all proposals and assumes no obligation to award a contract.
i
h. The District in coordinat on with the CSGSA when related to the Corning Subbasin reserves the right to terminate the consultant agreement if the proposed individual(s) is changed after selection and/or following the award of the consultant agreement.
i
i. If contract negotiations are unsuccessful with the preferred Consultant, District in coordinat on with the CSGSA when related to the Corning Subbasin m ay, at its discretion, choose to negotiate with any other Consultant.
j. No compensation is offered for any of the work related to the development of the initial Scope of Work, Final Budget, or Schedule that will be included in the contract. The submissions are entirely voluntary. All original documents including electronic files become the property of the District and CSGSA when related to the Corning Subbasin.
k. Those submitting a proposal warrant and covenant that no official or employee of the District, nor any business entity in which an official of the District has an interest, has been employed or retained to solicit or aid in procuring the contract for this project.
Page 11 of 24
Corning Sub-basin GSA
l. All proposals received in response to this RFQ may become public records under the laws of the State of California and the public may be given access to them after the formal section process has been completed.
i
m. The District in coordinat on with the CSGSA when related to the Corning Subbasin s hall have the right to negotiate with and enter into agreements with others providing the same or similar services to those provided by the Vendor, or to perform such services with District's own forces, as District desires.
n. The successful proposer will have the status of an independent contractor and will not be either an officer or employee of the District or CSGSA.
o. Consultants shall not discriminate on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, sex, age or sexual orientation in the performance of District contracts.
2. Form of Agreement
a. No agreement with the County shall have any effect until a contract has been signed by both parties.
b. A sample of the agreement is included as Attachment "B" hereto. Proposers must accept the terms of this sample agreement and must be willing to provide the required insurance as detailed in Attachment "C". With few exceptions, the terms of the County's Standard agreement will not be negotiated.
3. Duration of Proposal
All submittals will remain in effect for at least ninety (90) days after submission deadline. The selected respondent will be required to execute an agreement with the District for the services requested within ninety (90) days of the District's notice of intent to award. If agreement on terms acceptable to the District cannot be achieved within that timeframe, or if, after reasonable attempts to negotiate such terms, it appears that an agreement will not be possible, as determined at the sole discretion of the District, the District reserves the right to retract any notice of intent to award and proceed with awards to other vendors.
4. Withdrawal and Submission of Modified Proposal
A respondent may withdraw a submittal at any time prior to the submission deadline with a written notification of withdrawal signed by the respondent or his/her authorized agent. The respondent must, in person, retrieve the entire sealed submission package. Another proposal may be submitted prior to the deadline but may not be changed after the designated submission deadline.
Corning Sub-basin GSA
Attachment A. Proposal Rating Form
Proposal Rating Form
Proposer:
Evaluation Committee Member:
Date of Review:
Technical Approach/Project Schedule
Experience of Proposed Personnel
Prior Related Experience
Responsiveness to Client Needs
Project Budget
Please evaluate the proposals using the following cumulative point system (maximum of 5.00 points):
Scoring
Outstanding = 5
Very Good =
4
Good
=
3
Average =
2
Poor
=
1
Not Addressed or
Unacceptable = 0
_____
Score
_____
Score
_____
Score
_____
Score
_____
Score
X 0.35 =
Weight
X0.20=
Weight
X0.15=
Weight
X0.25=
Weight
X 0.05 =
Weight
_______
Rating
_______
Rating
_______
Rating
_______
Rating
_______
Rating
Corning Sub-basin GSA
Attachment B. Sample Consultant Agreement
AGREEMENT BETWEEN THE TEHAMA COUNTY FLOOD CONTROL AND WATER CONSERVATION DISTRICT AND
-------------------
______________________________________________________________________________
This agreement is entered into between the Tehama District Flood Control and Water Conservation District ("District"), and --------- ("Consultant") for the purpose of providing Professional Services for Groundwater Sustainability Plan (GSP) Annual Reports, DWR GSP Review Response to Comments, and Implementation Activities for the Bowman, Red Bluff, Antelope, Los Molinos, and Corning Subbasins
1. RESPONSIBILITIES OF CONTRACTOR
During the term of this agreement, Contractor shall ----------------
2. RESPONSIBILITIES OF THE COUNTY
District shall compensate Contractor for said services pursuant to Section 3 and 4 of this agreement ---------------.
3. COMPENSATION
Consultant shall be paid in accordance with the rates set forth in the Fee Schedule, attached hereto as Exhibit "--------" after satisfactorily completing the duties described in this Agreement. In addition, District shall reimburse Consultant reasonable expenses for travel, postage, and document reproduction incurred by Consultant in the performance of the work hereunder. The rates set forth in the Fee Schedule are inclusive of all other expenses. Reimbursement for lodging, mileage, meal, and incidental expenses shall not exceed the rates set forth in the California Department of Human Resources (CalHR) Travel Guidelines
( ht p://www.calhr.ca.gov/employees/pages/travel-reimbursements.aspx) The Maximum Compensation (including expense reimbursement) payable under this Agreement shall not exceed $--------. Consultant shall not be entitled to payment or reimbursement for any tasks or services performed except as specified herein. Consultant shall have no claim against Consultant for payment of any compensation or reimbursement, of any kind whatsoever, for any service provided by Consultant after the expiration or other termination of this Agreement. Consultant shall not be paid any amount in excess of the Maximum Compensation amount set forth above, and Contractor agrees that District has no obligation, whatsoever, to compensate or reimburse Contractor for any expenses, direct or indirect costs, expenditures, or charges of any nature by Consultant that exceed the Maximum Compensation amount set forth above. Should
Page 14 of 24
Corning Sub-basin GSA
Consultant receive any such payment it shall immediately notify District and shall immediately repay all such funds to District. This provision shall survive the expiration or other termination of this Agreement.
4. BILLING AND PAYMENT
---------- Insert appropriate paragraph from "Compensation, Billing and Payment Standard Paragraphs" (Flat Fee, Fee Schedule or Actual Cost) provided with this agreement. ----------
5. TERM OF AGREEMENT
This agreement shall commence on the date of signing and shall terminate ---------------, unless terminated in accordance with section 6 below.
6. TERMINATION OF AGREEMENT
If Consultant fails to perform his/her duties to the satisfaction of the District, or if Consultant fails to fulfill in a timely and professional manner his/her obligations under this agreement, or if Consultant violates any of the terms or provisions of this agreement, then the District shall have the right to terminate this agreement effective immediately upon the District giving written notice thereof to the Consultant. Either party may terminate this agreement on 30 days' written notice. District shall pay Consultant for all work satisfactorily completed as of the date of notice. District may terminate this agreement immediately upon oral notice should funding cease or be materially decreased, or should the Tehama County Board of Supervisors fail to appropriate sufficient funds for this agreement in any fiscal year.
The District's right to terminate this agreement may be exercised by the Executive Director of the Tehama County Flood Control and Water Conservation District.
7. ENTIRE AGREEMENT; MODIFICATION
This agreement for the services specified herein supersedes all previous agreements for these services and constitutes the entire understanding between the parties hereto. Consultant shall be entitled to no other benefits other than those specified herein. No changes, amendments, or alterations shall be effective unless in writing and signed by both parties. Consultant specifically acknowledges that in entering into and executing this agreement, Consultant relies solely upon the provisions contained in this agreement and no other oral or written representation.
8. NONASSIGNMENT OF AGREEMENT
Inasmuch as this agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate or sublet any interest herein without the prior written consent of the District.
9. EMPLOYMENT STATUS
Page 15 of 24
Corning Sub-basin GSA
Consultant shall, during the entire term of this agreement, be construed to be an independent Consultant and nothing in this agreement is intended nor shall be construed to create an employer-employee relationship, a joint venture relationship, or to allow District to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this agreement; provided always, however, that the services to be provided by Consultant shall be provided in a manner consistent with the professional standards applicable to such services. The sole interest of the District is to ensure that the services shall be rendered and performed in a competent, efficient, and satisfactory manner. Consultant shall be fully responsible for payment of all taxes due to the State of California or the Federal government, which would be withheld from compensation of Consultant, if Consultant were a District employee. District shall not be liable for deductions for any amount for any purpose from Consultant's compensation. Consultant shall not be eligible for coverage under District's Workers Compensation Insurance Plan nor shall Consultant be eligible for any other District benefit.
10. INDEMNIFICATION
Consultant shall defend, hold harmless, and indemnify the District, the CSGSA, its elected officials, officers, employees, agents, and volunteers against all claims, suits, actions, costs, expenses (including but not limited to reasonable attorney's fees of District/CSGSA), damages, judgments, or decrees by reason of any person's or persons' injury, including death, or property (including property of District/CSGSA) being damaged, arising out of Consultant's performance of work hereunder or its failure to comply with any of its obligations contained in this agreement, whether by negligence or otherwise. Consultant shall, at its own expense, defend any suit or action founded upon a claim of the foregoing. Consultant shall also defend and indemnify District/CSGSA against any adverse determination made by the Internal Revenue Service or the State Franchise Tax Board and/or any other taxing or regulatory agency against the District/CSGSA with respect to Consultant's "independent contractor" status that would establish a liability for failure to make social security or income tax withholding payments, or any other legally mandated payment.
11. INSURANCE
Consultant shall procure and maintain insurance pursuant to Exhibit A, "Insurance Requirements For Consultant," attached hereto and incorporated by reference.
12. PREVAILING WAGE
Consultant certifies that it is aware of the requirements of California Labor Code Sections 1720 et seq. and 1770 et seq., as well as California Code of Regulations, Title 8, Section 16000 et seq. ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on certain "public works" and "maintenance" projects. If the Services hereunder are being performed as part of an applicable "public works" or
Page 16 of 24
Corning Sub-basin GSA
"maintenance" project, as defined by the Prevailing Wage Laws, and if the total compensation is $1,000 or more, Consultant agrees to fully comply with and to require its subconsultants to fully comply with such Prevailing Wage Laws, to the extent that such laws apply. If applicable, District will maintain the general prevailing rate of per diem wages and other information set forth in Labor Code section 1773 at its principal office, and will make this information available to any interested party upon request. Consultant shall defend, indemnify and hold the District, its elected officials, officers, employees and agents free and harmless from any claims, liabilities, costs, penalties, or interest arising out of any failure or alleged failure of the Consultant or its subconsultants to comply with the Prevailing Wage Laws. Without limiting the generality of the foregoing, Consultant specifically acknowledges that District has not affirmatively represented to Consultant in writing, in the call for bids, or otherwise, that the work to be covered by the bid or contract was not a "public work." To the fullest extent permitted by law, Consultant hereby specifically waives and agrees not to assert, in any manner, any past, present, or future claim for indemnification under Labor Code section 1781.
Consultant acknowledges the requirements of Labor Code sections 1725.5 and 1771.1 which provide that no Consultant or subconsultant may be listed on a bid proposal or be awarded a contract for a public works project unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5, with exceptions from this requirement specified under Labor Code sections 1725.5(f), 1771.1(a) and 1771.1(n).
If the services are being performed as part of the applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, Consultant acknowledges that this project is subject to compliance monitoring and enforcement by the Department of Industrial Relations.
13. NON-DISCRIMINATION
Consultant shall not employ discriminatory practices in the treatment of persons in relation to the circumstances provided for herein, including assignment of accommodations, employment of personnel, or in any other respect on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, sex, age, or sexual orientation.
14. GREEN PROCUREMENT POLICY
Through Tehama County Resolution No. 2021-140, the County adopted the Recovered Organic Waste Product Procurement Policy (available upon request) to (1) protect and conserve natural resources, water and energy; (2) minimize the jurisdiction's contribution to pollution and solid waste disposal; (3) comply with state requirements as contained in 14 CCR Division 7, Chapter 12, Article 12 (SB 1383); (4) support recycling and waste reduction; and (5) promote the purchase of products made with recycled materials, in compliance with the California Integrated Waste Management Act of 1989 (AB 939) and SB1382 when product fitness and quality are equal and they are available at the same or lesser cost of non-recycled products. Consultant
Page 17 of 24
Corning Sub-basin GSA
Professional Services for Groundwater Sustainability Plan (GSP) Annual Reports, DWR GSP Review Response to Comments, and Implementation Activities for the Bowman, Red Bluff, Antelope, Los Molinos, and Corning Subbasins shall adhere to this policy as required therein and is otherwise encouraged to conform to this policy.
15. COMPLIANCE WITH LAWS AND REGULATIONS
All services to be performed by Consultant under to this Agreement shall be performed in accordance with all applicable federal, state, and local laws, ordinances, rules, and regulations. Any change in status, licensure, or ability to perform activities, as set forth herein, must be reported to the District immediately.
16. LAW AND VENUE
This agreement shall be deemed to be made in, and shall be governed by and construed in accordance with the laws of the State of California (excepting any conflict of laws provisions which would serve to defeat application of California substantive law). Venue for any action arising from this agreement shall be in Tehama County, California.
17. AUTHORITY
Each party executing this Agreement and each person executing this Agreement in any representative capacity, hereby fully and completely warrants to all other parties that he or she has full and complete authority to bind the person or entity on whose behalf the signing party is purposing to act.
18. NOTICES
Any notice required to be given pursuant to the terms and provisions of this agreement shall be in writing and shall be sent first class mail to the following addresses:
If to District: ---------
--------- ---------
If to Consultant: ---------
--------- ---------
Notice shall be deemed to be effective two days after mailing.
19. NON-EXCLUSIVE AGREEMENT:
Consultant understands that this is not an exclusive agreement, and that District shall have the right to negotiate with and enter into agreements with others providing the same or similar services to those provided by Consultant, or to perform such services with District's own forces, as District desires.
20. RESOLUTION OF AMBIGUITIES:
Page 18 of 24
Corning Sub-basin GSA
If an ambiguity exists in this Agreement, or in a specific provision hereof, neither the Agreement nor the provision shall be construed against the party who drafted the Agreement or provision.
21. NO THIRD PARTY BENEFICIARIES:
Neither party intends that any person shall have a cause of action against either of them as a third party beneficiary under this Agreement. The parties expressly acknowledge that is not their intent to create any rights or obligations in any third person or entity under this Agreement. The parties agree that this Agreement does not create, by implication or otherwise, any specific, direct or indirect obligation, duty, promise, benefit and/or special right to any person, other than the parties hereto, their successors and permitted assigns, and legal or equitable rights, remedy, or claim under or in respect to this Agreement or provisions herein.
22. HAZARDOUS MATERIALS
Consultant shall provide to District all Safety Data Sheets covering all Hazardous Materials to be furnished, used, applied, or stored by Consultant, or any of its Subconsultants, in connection with the services on District property. Consultant shall provide District with copies of any such Safety Data Sheets prior to entry to District property or with a document certifying that no Hazardous Materials will be brought onto District property by Consultant, or any of its Subconsultants, during the performance of the services. District shall provide Safety Data Sheets for any Hazardous Materials that Consultant may be exposed to while on District property.
23. HARASSMENT
Consultant agrees to make itself aware of and comply with the County's Harassment Policy, TCPR §8102: Harassment, which is available upon request. The District will not tolerate or condone harassment, discrimination, retaliation, or any other abusive behavior. Violations of this policy may cause termination of this agreement.
24. STANDARDS OF THE PROFESSION
Consultant agrees to perform its duties and responsibilities pursuant to the terms and conditions of this agreement in accordance with the standards of the profession for which Consultant has been properly licensed to practice.
25. LICENSING OR ACCREDITATION
Where applicable the Consultant shall maintain the appropriate license or accreditation through the life of this contract.
26. OWNERSHIP OF DOCUMENTS
All documents, notes, reports, electronic storage media, plans, or any other materials produced by Consultant during the term of this agreement for any purpose related to the agreement shall become the property of the District/CSGSA. Consultant shall deliver, upon full payment by the
Page 19 of 24
Corning Sub-basin GSA
District for services rendered hereunder, all such materials to District. Consultant understands and agrees that the District/CSGSA owns all right, title, and interest in any and all work or work product created or generated by Consultant in the scope of Consultant's duties hereunder, including but not limited to, written materials, drawings, digital media, and data collected, that District owns all copyright, trademark, trade secrets and other proprietary rights in said works or work product. Consultant agrees that all copyrightable aspects of any and all such work or work products shall be considered "work made for hire" within the meaning of the Copyright Act of 1976, as amended. Consultant hereby irrevocably grants to District/CSGSA exclusively all right, title, and interest in and said works or work products, or derivative work, and to tall copyright or other proprietary rights therein that it may obtain without further consideration, free from any claim, lien for balance due, or rights of retention thereto on the part of the Consultant. Consultant also acknowledges that the Parties do not intend Consultant to be a joint author of the work or work products, any derivative work, or work product within the meaning of the Copyright Act of 1976, as amended, and that in no event shall Consultant be deemed a joint author thereof. In no event shall Consultant withhold such works, work product, or derivative works, or deny access thereto by, the District/CSGSA in connection with any dispute between the Parties.
27. AVAILABILITY OF FUNDS
All funding under this agreement is subject to the availability of Federal, State, and District funds. If at any time during the period covered by this agreement the funding from any source is discontinued or decreased, this agreement shall no longer be binding upon the District or Consultant, effective with the date funding is discontinued or decreased.
28. COUNTERPARTS, ELECTRONIC SIGNATURES – BINDING
This agreement may be executed in any number of counterparts, each of which will be an original, but all of which together will constitute one instrument. Each Party of this agreement agrees to the use of electronic signatures, such as digital signatures that meet the requirements of the California Uniform Electronic Transactions Act (("CUETA") Cal. Civil Code §§ 1633.1 to 1633.17), for executing this agreement. The Parties further agree that the electronic signatures of the Parties included in this agreement are intended to authenticate this writing and to have the same force and effect as manual signatures. Electronic signature means an electronic sound, symbol, or process attached to or logically associated with an electronic record and executed or adopted by a person with the intent to sign the electronic record pursuant to the CUETA as amended from time to time. The CUETA authorizes use of an electronic signature for transactions and contracts among Parties in California, including a government agency. Digital signature means an electronic identifier, created by computer, intended by the party using it to have the same force and effect as the use of a manual signature, and shall be reasonably relied upon by the Parties. For purposes of this section, a digital signature is a type of "electronic
Page 20 of 24
Corning Sub-basin GSA
Professional Services for Groundwater Sustainability Plan (GSP) Annual Reports, DWR GSP Review Response to Comments, and Implementation Activities for the Bowman, Red Bluff, Antelope, Los Molinos, and Corning Subbasins signature" as defined in subdivision (i) of Section 1633.2 of the Civil Code. Facsimile signatures or signatures transmitted via pdf document shall be treated as originals for all purposes.
IN WITNESS WHEREOF, District and Consultant have executed this agreement on the day and year set forth below.
COUNTY OF TEHAMA
Date: ____________
_______________________________
CONSULTANT
Date: ____________
_______________________________
Corning Sub-basin GSA
Attachment C. Insurance Requirements
Insurance Requirements for Consultant
Consultant shall procure and maintain, for the duration of the contract, insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work described herein and the results of that work by Consultant, his/her agents, representatives, employees or subconsultants. At a minimum, Consultant shall maintain the insurance coverage, limits of coverage and other insurance requirements as described below.
Commercial General Liability (including operations, products and completed operations) $1,000,000 per occurrence for bodily injury, personal injury and property damage. If coverage is subject to an aggregate limit, that aggregate limit will be twice the occurrence limit, or the general aggregate limit shall apply separately to this project/location.
Automobile Liability
Automobile liability insurance is required with minimum limits of $1,000,000 per accident for bodily injury and property damage, including owned and non-owned and hired automobile coverage, as applicable to the scope of services defined under this agreement.
Workers' Compensat on
i
If Consultant has employees, he/she shall obtain and maintain continuously Workers' Compensation insurance to cover Consultant and Consultant's employees and volunteers, as required by the State of California, as well as Employer's Liability insurance in the minimum amount of $1,000,000 per accident for bodily injury or disease.
Professional Liability (Consultant/Professional services standard agreement only)
If Consultant is a state-licensed architect, engineer, Consultant, counselor, attorney, accountant, medical provider, and/or other professional licensed by the State of California to practice a profession, Consultant shall provide and maintain in full force and effect while providing services pursuant to this contract a professional liability policy (also known as Errors and Omissions or Malpractice liability insurance) with single limits of liability not less than $1,000,000 per claim and $2,000,000 aggregate on a claims made basis. However, if coverage is written on a claims made basis, the policy shall be endorsed to provide coverage for at least three years from termination of agreement.
If Consultant maintains higher limits than the minimums shown above, District shall be entitled to coverage for the higher limits maintained by Consultant.
Page 22 of 24
Corning Sub-basin GSA
All such insurance coverage, except professional liability insurance, shall be provided on an "occurrence" basis, rather than a "claims made" basis.
Endorsements: Addit onal Insureds
i
The Commercial General Liability and Automobile Liability policies shall include, or be endorsed to include "Tehama District, its elected officials, officers, employees and volunteers" as an additional insured.
The certificate holder shall be "County of Tehama."
Deduct bles and Self-Insured Retent ons
i
Any deductibles or self-insured retentions of $25,000 or more must be declared to, and approved by, the District. The deductible and/or self-insured retentions will not limit or apply to Consultant's liability to District and will be the sole responsibility of Consultant.
Primary Insurance Coverage
For any claims related to this project, Consultant's insurance coverage shall be primary insurance as respects the District, its officers, officials, employees and volunteers. Any insurance or self-insurance maintained by the District, its officers, officials, employees or volunteers shall be excess of Consultant's insurance and shall not contribute with it.
Coverage Cancellat on
i
Each insurance policy required herein shall be endorsed to state that "coverage shall not be reduced or canceled without 30 days' prior written notice certain to the District."
Acceptability of Insurers
Consultant's insurance shall be placed with an insurance carrier holding a current A.M. Best & Company's rating of not less than A:VII unless otherwise acceptable to the District. The District reserves the right to require rating verification. Consultant shall ensure that the insurance carrier shall be authorized to transact business in the State of California.
Subconsultants
Consultant shall require and verify that all subconsultants maintain insurance that meets all the requirements stated herein.
Material Breach
If for any reason, Consultant fails to maintain insurance coverage or to provide evidence of renewal, the same shall be deemed a material breach of contract. District, in its sole option, may terminate the contract and obtain damages from Consultant resulting from breach. Alternatively, District may purchase such required insurance coverage, and without further
Page 23 of 24
Corning Sub-basin GSA
Professional Services for Groundwater Sustainability Plan (GSP) Annual Reports, DWR GSP Review Response to Comments, and Implementation Activities for the Bowman, Red Bluff, Antelope, Los Molinos, and Corning Subbasins notice to Consultant, District may deduct from sums due to Consultant any premium costs advanced by District for such insurance.
Policy Obligat ons
i
Consultant's indemnity and other obligations shall not be limited by the foregoing insurance requirements.
Verif cat on of Coverage
i
Consultant shall furnish District with original certificates and endorsements effecting coverage required herein. All certificates and endorsements shall be received and approved by the District prior to District signing the agreement and before work commences. However, failure to do so shall not operate as a waiver of these insurance requirements.
The District reserves the right to require complete, certified copies of all required insurance policies, including endorsements affecting the coverage required by these specifications at any time.
Corning Sub-basin GSA
9. Corning Subbasin Groundwater Sustainability Plan Implementation
Updates may be provided on activities relating to the Corning Subbasin Groundwater Sustainability Plan Implementation.
10.Corning Subbasin Advisory Board Report
The Corning Subbasin Advisory Board (CSAB) met on August 2, 2023. The CSAB received an update on GSAs' activities, received a presentation on Facilitation Support Services for the Corning Subbasin, and continued the discussion on prioritization of basin-wide tasks, which will remain a standing agenda item.
The next CSAB meeting is scheduled to take place September 6, 2023 at 1:30 p.m.
CSAB meeting materials, including presentations, agendas, and meeting summaries are available on the website at: www.corningsubbasingsp.org.
Advisory Board members may provide additional updates.
11.Corning Sub-basin GSA Committee Member Reports and Comments
Members of the CSGSA Committee are encouraged to share information, reports, comments, and suggest future agenda items. Action cannot be taken on matters brought up under this item.
12.Next Meeting
The next regular meeting is scheduled for September 28, 2023 at 2:00 p.m.
13.Adjourn
The meeting will be adjourned.
Corning Sub-basin GSA
|
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
29
30
31
32
33
34
35
36
37
38
39
40
41
42
Constraints to adopting no-till farming in developing countries
No-till (NT) farming, practiced in combination with crop residues mulch and growing a cover crop in the rotation cycle, is widely recognized by soil scientists and agronomists as a viable alternative to plow tillage for making agriculture a part of the solution to improving the environments and sustaining use of natural resources. The literature is replete with manuscripts documenting numerous economic, ecologic, environmental, and social benefits of NT farming. Important among these are erosion control, water conservation, nutrient cycling, saving in time, reduction in use of fossil fuel, less wear and tear of machinery, stable and sustainable crop yields, and soil carbon sequestration along with an additional income stream for farmers through trading of carbon (C) credits. Such beneficial impacts of conversion from plow tillage to NT have been documented since 1960s in the U.S. Corn Belt, and 1970s in West Africa, South America, and Australia. Yet, in 2006 NT was practiced on less than 100 million hectares (Mha) worldwide, or on merely 6% of the global cropland area. Furthermore, most of the NT farming is presently done in USA, Brazil, Canada, Chile, Paraguay, Australia, and other developed countries. These regions are characterized by large scale mechanized monocropping of corn, soybeans, wheat, and other row crops.
The adoption of NT farming is practically negligible by resource-poor small land holders of sub-Saharan Africa (SSA), South and Southeast Asia, Central America, the Caribbean, and the Pacific Islands. These are also the regions where the potential benefits of NT farming are probably the highest. Therefore, the lack of adoption of NT farming, especially by farmers cultivating erosion-prone soils in harsh tropical climates, necessitates a thorough and an objective analyses of biophysical, economic, social, and cultural constraints which have been barriers to using this promising innovation of the 20th century.
UNCORRECTED PROOF Editorial There are definitely some biophysical constraints which indicate that NT is not a panacea, and does not always produce equivalent crop yields in climates with cold springs, sub-optimal soil temperatures, and poorly drained and heavy-textured soils. In such ecosystems, plowing under of crop residues leads to quick soil warming, rapid drainage and soil drying, early seedling establishment and increase in crop yields. Ecological conditions in the lowland tropics are in sharp contrast to those in temperate and Boreal regions, where springs are dry and warm, temperatures are supra-optimal, and soils are prone to drought stress even 5 to 10 days after a heavy rain. In such edaphological conditions, use of NT farming with crop residue mulch would alleviate predominant biophysical constraints due to specific ecologic, climatic, and pedologic factors. Thus, there must be other constraints which limit the adoption of NT farming in developing countries of the tropics and sub-tropics. Resource-poor and small-size land holders of SSA and South Asia do not have access to herbicides needed for an effectiveweed control. Paraquat, roundup,atrazine and other chemicals are either prohibitively expensive or are not available. There is also a conspicuous nonavailability of appropriate seeding equipment. The conventional seed drill used on a plowed land cannot be used in an NT field with heavy mulch of rice straw, sorghum stocks or corn stover. Even a 2-row NT seeder cannot be pulled by a small 30-HP tractor normally available to farming communities in SSA and South Asia. www.elsevier.com/locate/still Soil & Tillage Research xxx (2007) xxx–xxx
Lack of or even complete absence of crop residues mulch and other biomass on the soil surface is perhaps the most important constraint limiting the adoption of NT farming in developing countries. Benefits of NT farming (e.g., erosion control, water conservation, soil fertility enhancement, C sequestration) are directly attributed to the amount of crop residue mulch and application of dung/manure as soil amendments. How-
0167-1987/$ – see front matter # 2007 Published by Elsevier B.V. doi:10.1016/j.still.2007.02.002
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
101
102
103
104
105
106
107
108
109
110
111
112
113
114
115
116
117
118
119
120
121
122
123
124
125
126
127
128
129
130
131
132
2
ever, biomass (e.g., crop residues, animal dung) is also the most important fuel source for cooking and heating in the rural communities in developing countries. For example, in 2005, India used 250 million metric ton (Mt) of fuel wood, 62 Mt of dried cattle dung and 36 Mt of crop residues as cooking fuel (Venkaraman et al., 2005). In comparison, the amount of fuel wood, cattle dung and crop residue used as residential fuel was 800– 930 Mt, 130–200 Mt and 430–545 Mt, respectively in Asia; and 1324–1615 Mt, 150–410 Mt and 442–707 Mt in the world (Venkaraman et al., 2005). About 2.5 billion people, mostly in South Asia and SSA, rely on biomass for cooking and heating, which account for more than 80% of their residential energy needs (World Energy Outlook, 2002). The aerosols emitted by combustion of biomass in rural kitchens, often under unventilated conditions, have a strong impact on regional climate and human health. Ramanathan et al. (2001) reported that aerosols released by biomass combustion enhance scattering and absorption of solar radiation, and produce brighter clouds that are less efficient at causing precipitation. Such aerosol effects weaken the hydrologic cycle and have adversely impacted monsoons in the Indian sub-continent. Bailis et al. (2005) reported that household indoor pollution caused by combustion of dung and crop residues will cause an estimated 9.8 million pre-mature deaths by 2030 in SSA.
A large fraction of crop residues (especially that of wheat, sorghum and millet) is also used as fodder for livestock. Furthermore, whatever stubbles remain in the field after clean harvest are heavily grazed. In the process, soil is denuded of any protective vegetation cover against erosivity of wind and water and dessication effect of tropical Sun, deprived of plant nutrients contained in plant residues and animal dung, and subjected to the compactive effects of animal trampling leading to crustation and massive structure. It is estimated that dung used as fuel in India would be worth $800 million per year if it were used as fertilizer (World Energy Outlook, 2002).
Under these conditions, loosening of soil by any tillage (manual by a hoe, animal drawn traditional ard or tractor driven moldboard plow or sub-soiler) improves porosity and structural characteristics of a compacted soil, albeit temporarily. In addition, plowing also enhances mineralization of whatever little soil organic matter still remains in the soil. The enhanced mineralization releases essential nutrients (N, P, K), which also improves plant growth especially in traditional agriculture where chemical fertilizers are rarely or minimally used.
UNCORRECTED PROOF The scientific community is convinced of the longterm benefits of using crop residues and animal dung as amendments for improving soil quality, increasing use efficiency of fertilizers and other off-farm input, enhancing and sustaining crop yields and restoring degraded/desertified ecosystems. It is also known that even traditional farmers, who neither have access to the published literature nor to extension services, are fully aware of the benefits of using crop residues and animal wastes as soil amendments. Yet, the economic realities, helplessness, and desperate needs for using biomass either as cooking fuels or as fodder for feeding the cattle, prevent them from availing the benefits of using them as soil amendments. It is this desperate situation which leads farmers to perpetually use the extractive farming practices for short-term gains rather than investing in long-term stewardship of soil and water resources. These resource-poor farmers are also aware of the severe problems of soil and environmental degradation caused by their actions of using extractive farming practices. In biophysical terms, they know that fragile soils in harsh climates are highly vulnerable to degradative processes. In socioeconomic terms, they also know that they pass on their sufferings to the land when they are themselves hungry and poverty stricken. As Barry Commoner (1972) stated ''all things are inter connected'', and then ''there is no such thing as free lunch''. Farmers pay a heavy price for use of crop residues and animal dung as fuel in terms of soil and environmental degradation. As a Quaker saying goes ''if you beat the nature, nature will beat you''; yet, these desperate farmers often do not have a choice, because it is a matter of their survival. Therefore, a strategy needs to be developed to provide clean cooking fuel to rural households in developing countries. Such a strategy would involve establishment of biofuel plantations and identification of other clean sources of residential fuel, incorporation of forages (clover, grasses) in the rotation cycle, using controlled grazing, and application of chemical fertilizers in conjunction with strategies of integrated nutrient management. This is where the path of Soil & Tillage Research crosses with those addressing issues related to economic, social and the human dimensions for promoting sustainable agricultural practices and advancing food security in developing countries.
Adoption of NT farming is also indicative of the economic and industrial development of a society. It is a natural step forward when other components of economic and social development are in place. As Theodore Roosevelt (1908) once said ''The men with the muck-rakes are often indispensable to the well-being
132
133
134
135
136
137
138
139
140
141
142
143
144
145
146
147
148
149
150
151
152
153
154
155
156
157
158
159
160
161
162
163
164
165
166
167
168
169
170
171
172
173
174
175
176
177
178
179
180
181
182
183
+ Models
STILL 2378 1–3
184 185
186
187
188
189
190
191
192
193
194
195
196
197
198
199
200
201
202
203
UNCORRECTED PROOF
202
203
204
205
206
207
208
209
210
211
212
213
214
215
216
217
218
219
220
221
222
No-till farming is certainly not a panacea. However, with globalization and increased competition, cutting production costs will be essential, especially if/where/when subsidies will be removed. No-till systems have been adopted by a wide range of farmers for the last two decades on some 60 million ha worldwide on all farm sizes and under varied cropping systems (Derpsch, 2001), ranging from the Pampas of Argentina and the sub-tropics and tropics of Brazil and Paraguay to the prairies of Canada, the rice-wheat zone of India. The fourth section deals with what needs to be done in a country to facilitate the change toward SLM and NT systems. Constraints to adopting no-till farming in developing countries. Soil and Tillage Research 94:1â€"3.CrossRef Google Scholar. 141DeFelice, M.S., Carter, P.R., and Mitchell, S. 2006. Crop yields under no-till farming in China: A meta-analysis. European Journal of Agronomy, Vol. 84, Issue. , p. 67. CrossRef. No-till farming (also known as zero tillage or direct drilling) is an agricultural technique for growing crops or pasture without disturbing the soil through tillage. No-till farming decreases the amount of soil erosion tillage causes in certain soils, especially in sandy and dry soils on sloping terrain. Other possible benefits include an increase in the amount of water that infiltrates into the soil, soil retention of organic matter, and nutrient cycling. These methods may increase the amount and 5 No-till (NT) farming, practiced in combination with 6 crop residues mulch and growing a cover crop in the 7 rotation cycle, is widely recognized by soil scientists 8 and agronomists as a viable alternative to plow tillage 9 for making agriculture a part of the solution to 10 improving the environments and sustaining use of 11 natural resources. Please cite this article in press as: Lal R., Constraints to adopting no-till farming in developing countries, Soil Tillage Res. (2007), doi:10.1016/j.still.2007.02.002. + Models. The article focuses on smallholder farmers in developing nations, with particular reference to Nepal. The challenges of terrace agriculture in these regions include lack of quality land area for agriculture, erosion and loss of soil fertility, low yield, poor access to agricultural inputs and services, lack of mechanization, labor shortages, poverty, and illiteracy. Terrace farming or terracing is a major source of livelihoods for a large section of hillside farmers across the world. In Zimbabwe, no till tied-ridging and ripping into maize residues greatly reduced surface runoff and increased the infiltration rate, resulting in higher grain, and biomass yields due to increased root depth and root length density (Vogel et al., 1994).
|
Welcome to Year 12
I am very happy to be writing our first sixth form newsletter for the academic year and I hope that you find it useful to know a little more about what we are doing as a school, but also specifically what we are doing as a year group. I would also like to say a huge and warm welcome to the many new families to Greenshaw who have come from a variety of secondary schools in and around the area. Year 12 is an exciting year and the students are now well under way in their A level studies and any changes to subjects being studied should now have happened allowing the students to get to grips with A level study and all that it entails.
The students have now had their first mentoring and tutorial sessions run by tutors with a focus on how students learn and how to study and the feedback from these has been very positive. They should also now all be using FROG as their main resource for homework , using the already set grids as well as any additional assignments set by teachers and lessons taught should also be available on here so that they (and you if you wish) can access this outside of lessons and from home.
Equipment is still very important at this age, if students have the resources ready for learning, lessons can be more impactful. All Year 12 students should now have their own mini whiteboard, as well as basic stationary needed for their classes. Please can you support them and their teachers in ensuring that they have these for all lessons; the mandatory equipment list issued at the beginning of this academic year is also available on Frog.
In future newsletters I will showcase certain departments and what they are learning about with your sons/daughters but for this first issue I wanted to just go over some of the basics that are on offer and that I feel you should be aware of:
* Current week (commencing 7th October 2019) is Week 2.
* Year 12 students have an option to do sports on Wednesday P4a, if they do not already have a timetabled lesson. The options include: working with basketball and netball coaches, lawn bowls at Sutton Bowls, football on the astroturf, fitness in the gym, table tennis and badminton in the sports hall. I would urge them all to take this opportunity to use the facilities and add to the enrichment of their experience here. Please just help them to remember to bring a PE kit or sensible sporting clothes for this day to be able to take part.
* Assessment hours are on your son/daughters timetables in week 2, but they alternate these with the Year 13s which means that they have these formalised assessments once every four weeks. The next (second) Year 12 assessment week will be after half term, week commencing 4th November. Please encourage them to study hard for these as they allow us to provide feedback on how students are coping with courses and how best to improve. Later assessments also help us to form the predicted grades necessary for university for the following year.
* Uniform – we do not have a uniform policy other than to wear sensible clothing in the sixth form. Recently there has been a mini spate of overly ripped jeans and some tracksuit bottoms – these are not permitted, so please support us in not allowing your son or daughter to wear these at school.
The first few weeks are now behind us and students are starting to settle in to their new routines. It has already been a pleasure to start to get to know so many old and new faces in Year 12. I am very confident that we will have a successful year ahead with our focus on independent learning and following the A level mindset programme. If any parents wish to read further into the teaching practices and ethos we follow here in Route to Success, I have added a couple of books below as some suggested reading.
Warmest regards,
Mrs Dione Ayres, Acting Head of Sixth Form
A Level Mindset – by Steve Oakes and Martin Griffin Practice Perfect by Doug Lemov
Year 12 first settling in data available on Friday 15th November 2019
Year 12 first settling in data available on Friday 15th November 2019
Greenshaw News
A Level results success!
2019 has seen another bumper crop of A Level examination results for Year 13 students at Greenshaw Sixth Form. Over one in five of every grade was at A or A*, with 73% of students achieving a pass at A*-C. Headteacher, Mr House, said: "These results demonstrate the hard work and dedication of both youngsters and their staff. At a time when these new exams have harder content it is brilliant to see that inspired learners continue to thrive."
James, Aisah, Suzanne, Larissa, Mayurapiriyan, Emily and Adnan. Marcus, Aditya and Vithushan achieved the quite extraordinary feat of three A* passes each.
Some individual students attained extraordinary results. The following students achieved three A Level passes, all at A or A* grades: Amy, James, William, Reon, Oliver, Ryan, Joshua,
Our A Level students have gone on to on a wide range of destinations, with up to 40 of our Year 13s progressing to undergraduate courses (including several for medicine and law) at prestigious Russell Group universities. We are equally proud that our strong work in the creative arts continues to enable large groups of students to move on to foundation art courses and directly into world leading institutions such as London College of Fashion.
Superb GCSE results
Greenshaw High School was the location for smiles and happiness on 22nd August when Year 11 students nervously opened their GCSE results envelopes. With three quarters of all qualifications being graded at 4 or better (the old grade C), and nearly a quarter at 7 or higher (what used to be A grade) there were few reasons for nerves.
Mr House, said: "Do not underestimate the pressure of these new GCSE courses. Many subjects have more exams than previously, and in all specifications what is expected of students has risen. I am really proud of all of our students' achievements, and grateful for the support of the staff who are also navigating these new courses. And of course, the families without whom none of this would have been possible."
Year 12 first settling in data available on Friday 15th November 2019
Greenshaw News
Greenshaw is proud to receive the Healthy Minds kitemark
Greenshaw High School is proud to announce that its involvement in the Healthy Minds research project has led the school to being awarded the kitemark, only achieved by schools who successfully met all the criteria of the project to a consistently high standard. This milestone is a major move forward in our mission to deliver the best personal, social and health education available and evidence of our ongoing commitment to the personal development of our students.
Healthy Minds is an evidence-based health and relationships curriculum for Years 7 to 10 that is equipping young people with the life skills they need to thrive in and beyond school. This unique study helps us understand the impact that good quality teaching and learning can have on important outcomes, and how to create a culture of resilience where teachers and students thrive.
and feedback from teachers and students, the curriculum is now available to all schools.
As Lord Richard Layard, London School of Economics has said: "Young people need to develop healthy minds and schools should make it a top priority. It is the most outstanding wellbeing curriculum in the world".
Headteacher Mr House said: ""We are really proud that we committed to the Healthy Minds project several years ago, and have played a key role in its evaluation and planning. As a school we remain committed to being a place with an equal focus on wellbeing and pupil results. The Healthy Minds programme gives us a dedicated space in the curriculum to ensure this aspiration is made a reality."
Starting as a research project by the London School of Economics and Bounce Forward, Healthy Minds was funded by the Education Endowment Foundation and trialled in 34 schools over five years. Building on learning from the project
The curriculum consists of 113 lessons over four years and includes topics such as resilience, mental health, social media, mindfulness, sex education, alcohol and drug awareness, relationships, decision making, media awareness and more. Students across the 34 schools involved in the research project completed questionnaires before and after completing the curriculum, the results can be seen below.
Click here to learn more about the Healthy Minds Research Project.
Year 12 first settling in data available on Friday 15th November 2019
YEAR
Greenshaw News
Why we do things the way we do as a school
Mr House spoke to students across the school about the reasons for some of the things we do in lessons. He explained that the use of mini whiteboards in lessons, and not doing much 'hands up' answering was to ensure that all
Mr House also explained about the 'testing effect', which has shown that long term memory is improved by retrieving information. Bluntly, if we're tested on something repeatedly, we recall it better over time. We retrieve information at the start of every lesson in what we call a 'Do Now', and he explained why this can have a great impact.
students were thinking deeply, rather than relying on students who were confident enough to give out answers aloud. The mini whiteboards also allow staff to see what all students know, especially if they walk around the room and see all students' answers.
Both of these teaching techniques have been shown to positively improve students' learning, and their overall performance. We have been awarded 'Research School' status in recognition of the fact that we try to look at what has worked in other schools around the world and adopt the best practice here at Greenshaw.
Year 12 assemblies – Autumn term
16th October 20th November
11th December
Key dates – Year 12
INSET day (school closed to students)
18th October
October half term
21st October to 1st November
Sixth Form open evening
21st November
Winter Wonderland
19th December
INSET day
6th January
Start of spring term
7th January
Spring half term
17th - 21st February
Year 12 parents' evening
26th March
End of spring term (3.05pm)
3rd April
Start of summer term
20th April
Summer half term
25th - 29th May
End of summer term (12.30pm)
21st July
Join us on Twitter and Facebook!
You can find us on Twitter @greenshawhigh Or find us on Facebook @GreenshawHigh
Year 12 first settling in data available on Friday 15th November 2019
Greenshaw News
Year 12 contact list
Director of Learning Post-16: Miss L Buchanan – email@example.com
Head of Sixth Form: Miss S Larkin – firstname.lastname@example.org (currently on maternity leave)
Acting Head of Sixth Form: Mrs D Ayres – email@example.com
Sixth Form Study Skills Manager: Miss T Reid – firstname.lastname@example.org
Sixth Form Administrator: Mrs E Atkins – email@example.com
Sixth Form Reception: Miss K Ballard – firstname.lastname@example.org
Sixth Form Careers Advisor: Mrs P Sone – email@example.com
Sixth Form Tutors – Year 12
12CC Mr C Cheal – firstname.lastname@example.org
12DM Ms D Mountford – email@example.com
12IKH Mrs I Khan – firstname.lastname@example.org
12DW Ms D White – email@example.com
12JJ Mr J Jones – firstname.lastname@example.org
12NZH Miss N Haq – email@example.com
12RGMiss R Graham – firstname.lastname@example.org
12SAL Mrs S Allison – email@example.com
UCAS information evening – Thursday 11th July (6.00pm-7.00pm)
|
3Q15 Earnings Presentation
November 13, 2015
November 2015
X
1 Public
Public
Forward Looking Statements
This presentation may contain certain statements that express the management's expectations, beliefs and assumptions about future events or results. Such statements are not historical fact, being based on currently available competitive, financial and economic data, and on current projections about the industries BM&FBOVESPA works in.
The verbs "anticipate," "believe," "estimate," "expect," "forecast," "plan," "predict," "project," "target" and other similar verbs are intended to identify these forward-looking statements, which involve risks and uncertainties that could cause actual results to differ materially from those projected in this presentation and do not guarantee any future BM&FBOVESPA performance.
The factors that might affect performance include, but are not limited to: (i) market acceptance of BM&FBOVESPA services; (ii) volatility related to (a) the Brazilian economy and securities markets and (b) the highly-competitive industries BM&FBOVESPA operates in; (iii) changes in (a) domestic and foreign legislation and taxation and (b) government policies related to the financial and securities markets; (iv) increasing competition from new entrants to the Brazilian markets; (v) ability to keep up with rapid changes in technological environment, including the implementation of enhanced functionality demanded by BM&FBOVESPA customers; (vi) ability to maintain an ongoing process for introducing competitive new products and services, while maintaining the competitiveness of existing ones; (vii) ability to attract new customers in domestic and foreign jurisdictions; (viii) ability to expand the offer of BM&FBOVESPA products in foreign jurisdictions.
All forward-looking statements in this presentation are based on information and data available as of the date they were made, and BM&FBOVESPA undertakes no obligation to update them in light of new information or future development.
This presentation does not constitute an offer to sell or the solicitation of an offer to buy any securities, nor shall there be any sale of securities where such offer or sale would be unlawful prior to registration or qualification under the securities law. No offering shall be made except by means of a prospectus meeting the requirements of the Brazilian Securities Commission CVM Instruction 400 of 2003, as amended.
3Q15 Highlights (vs. 3Q14)
Solid operating performance; non-recurring impacts related to CME Group investments
Operating highlights
Non-recurring impacts related to CME Group
Operating income and net income growth
BM&F segment
ADV: 3.3 MM contracts, +24.3%
RPC: R$1.432, +8.9%
Bovespa segment
ADTV: R$6.5 billion, -10.2%
Margin: 5.246 bps, -0.26 bps
Other business lines (not tied to volumes)
Gain on CME Group partial divestment (sale of 1% of the total CME Group shares)
Proceeds: R$1,201.3 million
Gross profit: R$724.0 million
Net profit: R$474.2 million
Discontinuity of the equity method (remaining 4% of the total CME Group Shares)
Sec. lending: average open interest grew 31.1%
Tesouro Direto: assets under custody were 45.2% higher
Total revenues: R$662.9 MM, +11.8%
BM&F seg.: R$306.8 MM, +34.2%
Bovespa seg.: R$221.9 MM, -15.8%
Other: R$134.3 MM, +33.1%
Adj. expenses¹: R$163.6 MM, +11,4%
Oper. income: R$380.5 MM, +7.9%
Adj. net income²: R$457.0 MM, +27.9%
IFRS net income (ex-CME)³: R$393.3 MM, +65.0%
Balance sheet: from Investment in associate to available for sale (marked-to-market)
Income statement: non-recurring / non-cash pre-tax income of R$1,734.9 MM (net R$1,145.0 MM)
1
Adjusted to (i) depreciation and amortization; (ii) stock grant plan costs – principal and payroll taxes – and stock option plan; (iii) tax on dividends from CME Group; and (iv) transfer of fines and provisions.
² Adjusted to (i) deferred taxes related to the goodwill; (ii) stock grant plan costs – principal and payroll taxes –, net of tax deductibility, and stock option plan; (iii) investment in CME Group under the equity method of accounting, net of taxes related to dividends; (iv) taxes paid overseas to be compensated; (v) tax credits from IoC; (vi) non-recurring impact from the partial divestment in CME Group; and (vii) non-
3
recurring impact from the discontinuity of the equity method of accounting. ³ Excludes the net impacts of the partial divestment in CME Group and of the discontinuity of the equity method of accounting.
Strategic Developments – Recent Updates
Building a world-class IT and operations infrastructure
Products/markets development and revenue diversification
Clearing BM&FBOVESPA
Equities phase: conclusion of substantially all IT development in Oct'15. Start integrated test phase and certification with market participants (launching date will depend on tests results and regulatory approval)
Derivatives phase (implemented in Aug'14): average number of trades per day grew 61.8% from 2014 to 2015¹
PUMA Trading System
Resilience: 851 days² without any interruption
Performance: 2015¹ average number of messages
per day grew 325.6% compared to 2010
iBalcão
Following the migration of NDF and Swaps in 1H15, Flex Options, with and without CCP, migrated to the new OTC derivatives platform in 3Q15
Greater liquidity for listed products
Continuous efforts to expand the number of market makers for the equities and derivatives, 22 active programs
Efforts to attract more lenders to the securities lending platform (local pension funds and foreign investors)
Development of Inflation futures contracts (4 contracts relaunched in Jun'15)
Enhancements to pricing and incentives
Implemented in 1Q15: DMA; securities lending; issuers; and options on equity-based indices futures
Implemented in 2Q15: mini contracts; Int. Rate in BRL fee rebalancing; and depositary
Implementation in 3Q15: market data; and OTC derivatives
Corporate Governance for State-Owned Companies
Provides framework for listed companies to improve disclosure, board and management selection, internal controls and compliance
TOP LINE GROWTH DRIVEN BY REVENUES FROM FINANCIAL AND COMMODITIES DERIVATIVES AND INCREASED NON-VOLUME RELATED REVENUES
Derivatives Market¹
Higher volumes and FX depreciation pushed revenues up
REVENUE (in R$ millions)
ADV (in millions)
RATE PER CONTRACT (RPC)
RPC: R$1.432 per contract, +8.9% year-over-year
[x] Depreciation of BRL versus USD
[x] Mix effect (higher participation of Interest rates in BRL and Mini contracts)
Contracts priced in USD² represented ~24% of derivatives ADV and ~52% of derivatives revenues in 3Q15
Equities Market¹
Revenues impacted by lower market capitalization of listed companies
REVENUE² (in R$ millions)
ADTV² (in R$ millions)
Average market capitalization fell 14.5% to R$2.2 trillion in the 3Q15, which was partially offset by a higher turnover velocity of 70.8%
TRADING AND POST-TRADING MARGINS (in basis point)
[x] Trading and post-trading margins drop 4.7% year-over-year
¹ Revenue does not considers the revenue line "others" of the Bovespa segment, as reported in the financial statements note 20, which totaled R$2.1 million in the 3Q15. ²Excludes fixed income line.
Business Lines not Related to Volumes
Solid growth in revenues not tied to volumes
3Q15 REVENUE BREAKDOWN¹ (in R$ millions)
3Q15 ADJUSTED EXPENSES GREW 11.4% Y-O-Y
IN THE NINE MONTHS PERIOD THE GROWTH WAS SIGNIFICANTLY BELOW INFLATION (6.3% VERSUS AVERAGE INFLATION OF 9.5%²)
CME Group Partial Divestment Impacts
Divestment of CME Group shares
Transaction: divestment of 20% of the stake in CME Group (equivalent of 1% of the total shares)
Reason: reduce risks exposure to FX and CME Group share price
Investment in CME Group over time
Source: Bloomberg e BM&FBOVESPA. ¹09/08/15 (before sale), ²09/09/15 (after sale), ³End of each year and Jun/15.
Impacts from sale of 1%
Income statement
EBT: R$724.0 MM
Income tax and social contribution: R$249.8 MM
Net income: R$474.2 MM
Balance sheet
Assets
Financial investment:
R$1,201.3 MM
Liabilities
Tax provision:
R$249.8 MM
[x] Tax due to be compensated against tax losses generated by Interest on Capital distribution (no cash impact)
CME Group Accounting Changes
Discontinuity of the equity method¹
Income statement
Balance sheet
¹ Discontinuity of the equity method of accounting starting from September 14, 2015.
1. The equity in income of investee line will no longer contemplate the investment in CME Group
2. Extraordinary impact of the discontinuity of equity method of accounting
3. Dividends received from the CME Group will be recognized as financial income and will be included in the Company's tax base
1. The CME Group shares cease to be treated as an investment under non-current asset
2. The investment is now treated as available for sale and will be measured at fair value (marked to market)
3. Investment mark to market will impact the shareholders' equity only (no impact on income statement in a quarterly basis after 3Q15)
4. The deferred income tax and social contribution line now includes a tax provision on the potential gain to be generated by this investment
3Q15 – NET INCOME
Financial Highlights
CASH AND FINANCIAL INVESTMENTS (in R$ millions)
Company's cash and financial investments
Unrestricted cash (available funds) includes R$1,201.3 million from the partial divestment in the CME Group
Third party cash and financial investments
Market participants cash collateral and others include R$2,749.2 million related to a transaction settled on Oct 1, 2015
Ratings above the sovereign
S&P: BBB- (counterparty credit rating) / A-3 (issuer)
Moody's: Baa2 (global scale issuer / global notes)
Investments and returning cash to shareholders
PAYOUT
R$314.6 MM in Interest on Capital (80% of the IFRS net income ex-CME in 3Q15)
Payment on Dec 04, 2015
CAPEX
R$47.5 MM in 3Q15 and R$166.5 MM in 9M15
Capex budget ranges reaffirmed:
2015: R$200 – R$230 MM
2016: R$165 – R$195 MM
APPENDIX
Financial Statements
Summary of balance sheet (consolidated)
ASSETS
LIABILITIES AND SHAREHOLDERS´EQUITY
1,891.8
1,321.9
569.9
4,383.2
1,619.1
2,584.5
179.6
18,988.4
2,540.2
15,220.4
1,218.9
8.9
25,263.5
16
Others
Financial Statements
ADJUSTED NET INCOME RECONCILIATION (in R$ millions)
-0.8%
-
-
-
-
*Attributable to BM&FBOVESPA's shareholders.
ADJUSTED EXPENSES RECONCILIATION (in R$ millions)
-2.5%
-
-
6.3%
Financial Statements
Summary of income statement (consolidated)
SUMMARY OF INCOME STATEMENT (in R$ millions)
9M15/9M14
Expenses
Adjusted EPS
*Excludes the net gain from the partial divestment in CME Group and the net impact from the discontinuity of the equity method of accounting for the remaining investment in CME Group.
Contact
Investor Relations Department
Phone: 55 11 2565-4729 / 4418 / 4207 / 4834 / 7938
firstname.lastname@example.org
|
Yeast
Yeast2010; 27: 000–000.
Published online in Wiley InterScience
(www.interscience.wiley.com) DOI: 10.1002/yea.1768
Research Article
There is a steady-state transcriptome in exponentially growing yeast cells
Vicent Pelechano # and Jos´e E. P´erez-Ort´ın*
Departamento de Bioqu´ımica y Biolog´ıa Molecular, Facultad de Ciencias Biol´ogicas, Universitat de Val`encia, C/Dr. Moliner 50, 46100 Burjassot, Spain
*Correspondence to: Jos´e E. P´erez-Ort´ın, Departamento de Bioqu´ımica y Biolog´ıa Molecular, Facultad de Ciencias Biol´ogicas, Universitat de Val`encia, C/Dr. Moliner 50, 46100 Burjassot, Spain. E-mail: firstname.lastname@example.org
# Current address: EMBL, Meyerhofstrasse 1, Heidelberg, Germany.
Received: 29 October 2009
Accepted: 10 February 2010
Introduction
Evaluation of the amount of mRNA (RA) for a given gene by means of northern blot, qPCR or other techniques is a routine in many molecular biology experimental protocols. Comparisons between different physiological situations or between different cell types or mutants are habitually studied. As a significant number of mRNAs can vary their concentrations, even upon subtle changes in internal or external conditions, it is crucial to sample cells in identical situations in order to guarantee repetitiveness and comparativeness between experiments. This is especially true for batch cultures of free-living microorganisms
Abstract The growth of yeast cells in batches in glucose-based media is a standard condition in most yeast laboratories. Most gene expression experiments are done by taking this condition as a reference. Presumably, cells are in a stable physiological condition that can be easily reproduced in other laboratories. With this assumption, however, it is necessary to consider that the average amount of the mRNAs per cell for most genes does not change during exponential growth. That is to say, there is a steady-state condition for the transcriptome. However, this has not been rigorously demonstrated to date. In this work we take several cell samples during the exponential phase growth to perform a kinetic study using the genomic run-on (GRO) technique, which allows simultaneous measurement of the amount of mRNA and transcription rate variation at the genomic level. We show here that the steady-state condition is fulfilled for almost all the genes during most exponential growth in yeast extract–peptone–dextrose medium (YPD) and, therefore, that simultaneous measures of the transcription rates and the amounts of mRNA can be used for indirect mRNA stability calculations. With this kinetic approach, we were also able to determine the relative influence of the transcription rate and the mRNA stability changes for the mRNA variation for those genes that deviate from the steady state. Copyright 2010 John Wiley & Sons, Ltd. Keywords: transcription rate; steady state; transcriptome; Saccharomyces cerevisiae; mRNA stability 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 where the growth rate and environment are continuously changing. This problem can be solved by using continuous culture conditions, but such conditions are more technically demanding. Therefore, most published experiments use batch conditions. For most batch culture analyses, researchers select exponential growth in a rich medium as the default state for comparison, as it is usually thought to be a physiologically constant condition in which most, or all, mRNAs remain unchanged in a steady-state condition. This can facilitate comparisons between experiments done in different laboratories. However, because the emergence of genomic techniques has raised the possibility of simultaneously quantifying most cellular mRNAs at the same time, the
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
need for a rigorous demonstration of the steadystate condition now extends to thousands of genes.
One of the most studied organisms in functional genomics is the yeast Saccharomyces cerevisiae. There are hundreds of experiments on this yeast using cells growing on YPD (yeast extract–peptone–dextrose) complete medium in the 'exponential growth condition'. It is known, however, that many genes vary during exponential growth when cells approach the diauxic shift (DeRisi et al., 1997) or change in a growth ratedependent manner (Regenberg et al., 2006). As stated above, the use of chemostats has been described as a more reliable way to avoid such variations because they keep culture conditions stable (Daran-Lapujade et al., 2009; Hayes et al., 2002). However, most yeast researchers have used, and still use, the exponential growth condition in batch cultures for their experiments.
Although the majority of studies focus only on the determination of RA, it is becoming increasingly clear that gene expression should be studied as a kinetic process in which the amount of mRNA is controlled not only by transcription but also by the influence of mRNA stability (RS, also called mRNA half-life; P´erez-Ort´ın et al., 2007). In exponential growth a dynamic steady state can be assumed for RA, i.e. the transcription and degradation rates (TR and DR, respectively) are equal. TR follows a zero-order kinetics (does not depend on RA), whereas DR follows first-order kinetics:
Therefore, in steady state:
where kd is the degradation constant, which is inversely related to RS (kd = ln 2/RS ). Thus, in this situation, TR can be calculated from experimentally determined RA and stability data (Holstege et al., 1998); alternatively, DR can be calculated from RA and TR data (Garc´ıa-Mart´ınez et al., 2004). Both approaches are becoming increasingly popular for TR or DR calculations, although it has not yet been established whether the true steady-state condition for gene expression actually applies (P´erez-Ort´ın, 2007). A steady state defined for RA does not necessarily imply steady states for TR and DR. In fact, it would be theoretically possible for TR and
DR to change simultaneously in parallel, keeping RA constant.
In this paper we address the topic of assessing the steady-state condition for mRNA amounts in S. cerevisiae cells growing in YPD at the exponential phase. First we performed an experiment to determine whether the steady state applies for yeast in which we simultaneously measure TR and RA for all the genes. We also studied the kinetic behaviour of any gene that seems to deviate from it. In this way we have demonstrated that the steadystate condition for RA is true for most of the genes studied, but that there are small but significant changes in some groups of genes, which change either their TR or DR as the culture approaches the diauxic shift. Because TR also remains almost invariable, we can say that there is also a steady state for TR and DR. Finally, we reanalysed previously published data (Radonjic et al., 2005) to expand the time window of our study and to determine how long the steady-state condition is maintained. We found that the RA steady state is fulfilled over a long period within the exponential phase.
The GRO was done essentially as described in Garc´ıa-Mart´ınez et al. (2004). Briefly, two aliquots of ca. 4 × 10 8 cells were harvested at each time point. One aliquot was used directly for the GRO protocol, in order to obtain TR data, while the other one was frozen for subsequent total RNA extraction. The cells of the GRO sample were
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
UNCORRECTED PROOFS DR = k d RA TR = DR = k d RA Materials and methods Yeast strain and growth conditions Yeast strain BQS252 ( MAT a , ura3-52 ; derived by sporulation from FY1679) was used. Cells were grown in YPD (yeast extract 1%, peptone 2%, and glucose 2%) with agitation (190 rpm) at 28 ◦ C for the repeated sampling of exponentially growing yeast cells. Cell cultures were grown overnight until they reached the desired OD 600 . Five time points were taken at 0, 10, 20, 30 and 40 min after the initial sample, which corresponded to OD 600 = 0 . 36 (8 × 10 6 cells/ml), 0.38, 0.41, 0.44 and 0.47, respectively. Three biological replicates of the whole experiment were done. Genomic run-on (GRO)
101
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
permeabilized with 0.5% Sarkosyl and incubated for 20 min on ice. Then the cells were allowed to extend the nascent RNA in the presence of [α33 P]UTP. Finally, the radioactively labelled RNA was extracted and hybridized onto a nylon macroarray (Alberola et al., 2004). After TR determination, the total RNA sample was labelled by cDNA synthesis with random hexamers and hybridized in the same arrays in order to determine the RA.
Image analysis and data normalization
Images were quantified using Array Vision software, v. 7.0 (Imaging Research Inc.). The signal intensity for each spot was the background subtracted ARM (artifact removed median) density. Only values that were 1.35 times over the corresponding background were taken as valid measurements. The reproducibility of the replicates was checked using Array Stat software (Imaging Research Inc.). We considered the data to be independent and used a minimum number of two valid replicates in order to calculate the mean and standard deviation (SD) values for every gene. Normalization between conditions was done using the global median method.
Data analysis
We used the differential gene expression analysis program from the GEPAS suite (Montaner et al., 2006) to analyse whether there was any significantly different slope from 0 for the variation of RA during exponential growth (Radonjic et al., 2005) with regard to a continuous independent variable (time). Similar results were obtained when the culture OD600 was used as a continuous independent variable instead of the time (data not shown).
The detailed RA and TR data for exponential growth between OD600 0.36 and 0.47 was calculated as previously described (Garc´ıa-Mart´ınez et al., 2004; for the whole dataset, see Supporting information, Table S1). Briefly, the intensity of the mRNA or GRO hybridization was normalized using a genomic DNA hybridization signal and the U-richness (GRO) or C-richness (mRNA) correction. We computed the slope of RA and TR variations on a log2 scale with regard to time by assuming that the median TR and RA of the gene population remained constant during the experiment (see
To determine whether the yeast transcriptome was in a steady-state condition during the exponential phase on the YPD medium, we measured the variation of mRNA at five time points during exponential growth. As most of the published experiments start with a very low OD600 after inoculation and reach a middle exponential phase of 0.3–0.6 at OD600, we decided to monitor the mRNA variation under these conditions. We also used our GRO
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
UNCORRECTED PROOFS 52 53 54 55 56 57 58 59 60 Supporting information, Table S2). Gene functional analyses were done by analysing either individual genes slopes (using FuncAssociate; Berriz et al ., 2003) or gene sets (using Fatiscan from the BABELOMICS suite; Al-Shahrour et al ., 2006). To analyse the changes in RS, we computed a theoretical RA variation dataset for all the genes, using the RA amount data obtained for the first time point and the experimentally obtained TR data for the whole experiment. Using these data, it is possible to calculate a theoretical RA for each point by assuming that the RS calculated the first time remains constant during the whole experiment (P´erez-Ort´ın et al ., 2007). We compared the differences between this theoretically computed RA and the actual one, and assumed that the differences found would be due to stability changes during the experiment (see Figure 1A). To obtain a more robust RA variation, we performed a linear regression analysis of the actual and theoretical RA data and computed the predicted RA variation for each gene during our experiment, using all the time points. Finally, we computed the percentage of actual RA variation and the theoretical one (TR-dependent RA variation) for each gene. The difference between the actual and the theoretical RA directly gives the stability-dependent RA variation. Accession numbers The genomic data are stored in the Valencia Yeast (VYdBase; http://vydbase.uv.es/ ) and GEO databases. The GEO Accession No. for the set of different hybridizations is GSE11521. Results Verification of the steady state for mRNA on yeast cells using genomic run-on (GRO) analyses
101
27
50
UNCORRECTED PROOFS Figure 1. Relative contributions of the transcription rate (TR) and mRNA stability (RS) to the mRNA amount (RA) change. (A) Scheme of the protocol used to compute the mRNA variation, which is dependent in either TR or RS. The theoretical RA values in the experiment were computed for each gene by taking in account only the TR variations and by assuming a constant RS (in black). When comparing this theoretical TR-dependent RA change with the actual one (experimentally measured, in grey), it is possible to compute the percentage of RA variation for each gene, which is due to changes in either TR or RS. The data shown correspond to a sample gene ( YAL004W ) that has been chosen to show an important contribution of RS to RA variation. It is shown in natural scale to make the differences more evident. However its RA slope does not reach the significance cut-off for being statistically different from 0 (in either natural or log 2 scale; FDR p value > 0 . 8). (B) Relative contribution of TR (light grey) or RS (dark grey) to the total RA variation (black) for selected gene groups shown in Table 1. Bars represent the median value for the variation for all the genes in each group. The groups with significant differences from 0 (as shown in Tables 1 and S3) are marked with black dots protocol, which allows the simultaneous determination of TR and RA data. In this way, if the steady-state condition was verified, we could also calculate the mRNA stabilities from the RA and TR data (Garc´ıa-Mart´ınez et al ., 2004). We performed an experiment in triplicate for the five time points at OD 600 0.36–0.47 (spanning 40 min, at 10 min intervals), using cultures inoculated 16 h beforehand. Under these conditions, the diauxic shift started several hours later at OD 600 ≈ 2 (V. Pelechano, unpublished observation). All 15 samples were subjected to the GRO protocol for calculating RA and TR. The repetitiveness of the samples was very good (see Supporting information, Figure S1). Pearson's correlation was, on average, 0.934 for the TR data and 0.936 for the RA data between the biological replicates. The correlation for the data points for a single growth curve was even better: 0.965 for TR and 0.964 for RA. This suggests that there is more biological variation between growth curves in different experiments than within the time points of a single exponential phase curve. However, as we fused the different replicates, only the time-dependent 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 variations (common for all three experiments) were taken into account. We reasoned that the slight changes occurring during growth in the culture composition would affect the cells' physiology, leading to a continuous change in RA or TR, which would be visible as positive or negative slopes in their respective plots. In this way, artifactual or random changes would not be accounted for. However, when we analysed these data using the GEPAS suite (a differential expression analysis tool; Montaner et al ., 2006), no individual slope of any gene differed significantly from zero (FDR > 0 . 6). This result confirms that the steady-state condition applies for all (at least most of) the yeast genes. Therefore, no important error is associated when taking samples for mRNA quantification from cells growing in the early exponential phase. Thus, either TR or RS can be calculated in these growth conditions from the RA experimental data and either from the respective RS data, measured by conventional methods (Grigull et al ., 2004), or from the TR data, measured by GRO by means of mathematical calculations (P´erez-Ort´ın, 2007).
16
17
18
19
20
21
22
23
24
25
However, the behaviour of genes can be too subtle to be discovered from studying single genes tendencies only. Therefore, in order to analyse this result in more depth, we used a tool from the BABELOMICS suite (Fatiscan algorithm; AlShahrour et al., 2006), which scans the whole set of gene data to discover any common trends in the GO categories. Specifically, this algorithm does a segmentation test that checks whether there are any significant asymmetries in the distribution of each GO. In this way, minor changes that are often too minor to be significant for individual genes can be statistically stressed by the common GO group behaviour. We scanned all the GO categories at all the possible levels. With this analysis, we found that some groups significantly increased or decreased during the experiment (Table 1A). Moreover, as we simultaneously measured RA and TR, we were able to distinguish between the different regulatory strategies.
duplication rate that the culture would undergo several hours afterwards. Moreover, the differences between RA and TR behaviours illustrate the possibility of detecting the regulatory strategies followed for the mRNA changes: are the changes in RA due to changes in transcription or to changes in mRNA stability? If we assume that the steadystate condition applied for this experiment, then we could calculate the respective influence of TR and RS on the RA change (for a detailed explanation, see Figure 1A and Materials and methods). With this protocol, we were able to calculate their relative influence on the changes noted in each GO category, as seen in Table 1 and Figure 1B. We analysed the slope of the RA variation that could be explained by RS changes using Fatiscan. Then we selected the groups with either a significant positive contribution (meaning increased stability) or a significant negative one (meaning decreased stability) (Table 1B). The fact that the number of statistical significant groups found for the RS changes is smaller than the ones found in the direct measures could be explained mainly by two factors; because it only takes into account the part of the variation for the RA, due to stability
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
too minor to be significant for individual genes can be statistically stressed by the common GO group behaviour. We scanned all the GO categories at all the possible levels. With this analysis, we found that some groups significantly increased or decreased during the experiment (Table 1A). Moreover, as we simultaneously measured RA and TR, we were able to distinguish between the different regulatory strategies. Some group changes were detected in both TR and RA, but others were observed in only one of them. For instance, the translation-related categories were seen to lower RA and TR, which is in agreement with the decrease noted in the cell 37 38 39 40 41 42 43 44 45 46 47 48 49 50 With this protocol, we were able to calculate their relative influence on the changes noted in each GO category, as seen in Table 1 and Figure 1B. We analysed the slope of the RA variation that could be explained by RS changes using Fatiscan. Then we selected the groups with either a significant positive contribution (meaning increased stability) or a significant negative one (meaning decreased stability) (Table 1B). The fact that the number of statistical significant groups found for the RS changes is smaller than the ones found in the direct measures could be explained mainly by two factors; because it only takes into account the part of the variation for the RA, due to stability Table 1. Functional groups with a significant deviation from the steady state during exponential growth (A) Direct measures Groups in which Transcription Rate (TR) increases Groups in which mRNA amount (RA) increases Adjusted p value Functional group Adjusted p value Functional group 6.35 · 10 − 3 Protein modification 3.36 · 10 − 4 Biopolymer metabolic process .26 · 10 − 3 Post-translational protein modification 5.71 · 10 − 4 Regulation of cellular process .66 · 10 − 2 Cation transporter activity 1.27 · 10 − 2 Regulation of transcription .53 · 10 − 2 Meiosis I .39 · 10 − 2 Oxidoreductase activity, oxidizing metal ions Groups in which transcription rate (TR) decreases Groups in which mRNA amount (RA) decreases Adjusted p value Functional group Adjusted p value Functional group 2.82 · 10 − 10 Cytosolic part 2.52 · 10 − 8 Structural constituent of ribosome .33 · 10 − 6 Ribosome 2.78 · 10 − 7 Ribosome .91 · 10 − 5 Ribosome biogenesis and assembly 4.00 · 10 − 6 Cytosolic part .32 · 10 − 4 Structural constituent of ribosome 7.23 · 10 − 5 Large ribosomal subunit .35 · 10 − 3 Translation 1.09 · 10 − 4 Translation .35 · 10 − 3 Cellular biosynthetic process 5.29 · 10 − 3 Ribosome biogenesis and assembly .18 · 10 − 2 Cytoplasmic exosome (RNase complex) 4.16 · 10 − 2 Monocarboxylic acid metabolic process .15 · 10 − 2 Histidine biosynthetic process
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
Table 1. Continued
(A) Functional groups with significant slopes for experimentally determined (direct measures) TR or RA along the five time points analysed during early exponential growth. (B) Functional groups with a significantly high contribution of RS to the RA increase or decrease (mRNA stabilization or destabilization, respectively). The RS-dependent RA slope was mathematically computed (indirect measures), as explained in Figure 1A, and used for the functional analysis. Only some representative GO are shown (for the complete list, see Supporting information, Table S3). All the analyses were done using the Fatiscan algorithm from BABELOMICS (Al Shahrour et al., 2006); the FDR-adjusted p values are shown.
changes, and because it is an indirect measure. The fact of being an indirect measure depending on the TR and RA data makes it more noisy (in fact the SD for the RS-dependent RA slopes is larger (0.0074) than that from TR or RA direct measures (0.0058 and 0.0057, respectively). It can be seen that both TR and RS cooperate to either lower or increase RA for most categories; that is to say, homodirectional changes occurred, although in variable proportions. In some groups, however, the changes observed operated in opposite senses. RiBi genes had a decreased RA, due to a large effect on TR that compensated slight mRNA stabilization, whereas unfolded protein response mRNAs increased because of strong mRNA stabilization, despite a certain decrease in TR. It is important to note that all these changes were very subtle, and could be taken in account only for those GOs in which significant changes for the kinetic parameters had been previously detected. These results illustrate the variable methods used by the yeast cell to change the mRNA level (P´erez-Ort´ın et al., 2007).
Determination of the time window
when assuming the steady state for mRNAs in yeast cells growing in the exponential phase
As our experiment covered only a relatively small time window of exponential phase growth in yeast (OD600 = 0.3–0.5), we decided to assess whether this steady state for the transcriptome is maintained in later phases of exponential growth. To determine this, we reanalysed the data from the comprehensive study of Radonjic et al. (2005). In their
et al., 2006); the FDR-adjusted p values et al., et al. (2005). In their 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 experiment, the authors analysed the transcriptome of wild-type yeast (S288c background) growing in a batch culture in YPD since the inoculation on fresh medium to the late stationary phase. They use OD600 = 0.5 as the starting condition, which precludes a direct comparison with our conditions. The growth curve included nine experimental points in the exponential phase in the range 3.9–9 h after inoculation (see Figure 1A from Radonjic et al., 2005). This study measured only the RA changes, but this is enough to check the steady-state condition. First, we analysed this data using the GEPAS suite (a differential expression analysis tool; Montaner et al., 2006). Probably because the analysed time window in this experiment is longer, covering more physiological variations, the number of genes with a slope different from zero (FDR <0.01) was higher. We obtained 304 genes showing a positive slope, and 271 showing a negative slope when their log2 RA data were plotted against the time course (Figure 2A). They were enriched in some GO categories. Specifically, the mRNA levels of those categories related with respiration and protein catabolism increased, unlike the mRNA levels of those categories related to ribosome biogenesis, which decreased (Figure 2B). Both results fitted the expected changes in cell metabolism, which would take place when entering the diauxic shift some hours later (DeRisi et al., 1997; Radonjic et al., 2005), and they are in agreement with the slight changes detected in our previous experiment. A close inspection of the results, however, showed that most of the changes noted in relation to the initial exponential phase at 3.9 h in those genes took place at the last two time points analysed,
i.e. at 7.25 and 9 h after inoculation. When we considered only the first seven time points, from 3.9 to 6.5 h, no gene's slope significantly differed from zero when we used the same criteria. This result confirms that the time window in which a steady state for the transcriptome can be widely assumed is extended to up a couple of hours before the diauxic shift.
In order to confirm the small deviations from the steady state that we were able to calculate in our previous experiment, we used the same gene set enrichment analysis (Fatiscan algorithm; Al-Shahrour et al., 2006) to detect the groups of the related genes showing slight but significant changes in their RA in the Radonjic et al. (2005) data. Table 2 shows how the RA of some GO
UNCORRECTED PROOFS Figure 2. mRNA amount variation during exponential growth. (A) Histogram of slopes for the mRNA amount (RA) variation (in log 2 scale for arbitrary units) as a function of time (min) for the 3.9–9 h interval, according to Radonjic et al . (2005). The distribution of all the gene slopes is shown as a black line. Bars represent the genes with slopes that significantly differ (positively in dark grey and negatively in light grey) from 0 (FDR < 0 . 01). The y axis represents the percentage of genes, with regard to the total number analysed, belonging to each class. (B) The gene groups that are significantly enriched in genes that increase or decrease RA. Significance was calculated using FuncAssociate (Berriz et al ., 2003) Only the most representative GO categories are shown Table 2. Change in the mRNA amount slope during exponential growth Gene-set enrichment analysis using Fatiscan (Al Shahrour et al ., 2006) according to the RA slopes at different intervals during exponential growth (Radonjic et al ., 2005). The categories which increase RA ( ↑ , enriched in the positive slopes) are shown in bold type, and the categories which decrease RA ( ↓ , enriched in the negative slopes) are depicted in normal type. All the slopes were computed using four time points. Only some representative functional groups are shown.
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
categories tended to increase (↑, bold numbers) or decrease (↓) along the growth curve. As expected, the respiration and stress response categories were significantly represented in the RA increase, while the translation categories were significantly represented in the RA decrease.
Therefore, although we conducted a kinetically detailed study of the transcriptome only during mid-exponential growth, these results confirm that our conclusions can be extrapolated to most of the exponential growth phase.
Discussion
It is commonly assumed that mRNAs are approximately in a steady state during exponential growth in a free-living microorganism. For instance, we have used this assumption in order to calculate the mRNA stabilities in the yeast S. cerevisiae by means of GRO experiments (Garc´ıa-Mart´ınez et al., 2004). However, an experimental demonstration is currently lacking.
Here we report a detailed study of the gene expression in yeast during exponential growth. In this experiment we simultaneously checked both RAs and TRs. The general conclusion is that a steady state for the transcriptome and transcription rates can be assumed, and that small deviations from it can be detected, but only when looking at all the genes from a given GO at the same time. This last analysis procedure is much more sensitive because it detects common tendencies for a group of related genes. However, when we analysed them individually, each yeast gene was within the steady-state condition for its mRNA. In addition, our kinetically orientated approach enables us to determine the respective contributions of TR and RS to the putative changes in RA. For most cases, both changes work in the same direction. However, certain exceptions indicate how the cell uses mRNA stability as an additional controller of the gene expression. Moreover, the demonstration of steady state for TR allows the conclusion that the cells keep the RA values constant by also maintaining constant turnover, not by coordinately changing TR and DR — a more complicated option but theoretically possible.
To extend our results and to determine how long the steady state for the transcriptome can be assumed during exponential growth, we used data from a comprehensive microarray study by Radonjic et al . (2005), which is representative for many others. Using these data, we verified that the steady-state condition is met by a sample series over a long period (for at least 3 h and up to 2 h before the diauxic shift). There is nevertheless a significant tendency of the mRNAs related with the growth rate (translation) to decrease and the genes related to the diauxic shift (mitochondria) to increase. This probably reflects the cell's early response to the forthcoming changes to take place in metabolism, and corroborates the suggestion that yeast cells use a feed-forward strategy, anticipating growth changes with gene expression changes (Levy and Barkai, 2009).
The calculation of the RS data indirectly from the RA and TR data can also be compared with those calculated by direct methods. In this case,
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
UNCORRECTED PROOFS 67 68 69 70 71 72 73 74 Having established that the steady-state condition during exponential growth had been fulfilled, we can say that our protocol to calculate mRNA half-lives indirectly, as well as that used by other authors to calculate TR from the RA and RS data, have been verified. The correlations for direct and indirect computed TRs are about 0.5 (P´erez-Ort´ın, 2007). This is a significant correlation but is not as high as expected. There may be several reasons for this: first, the mathematical error associated with indirect calculations; second, the error associated with the direct measurement of the mRNA halflife (see below). Both problems are unavoidable and will mostly introduce random noise into the indirect data and, therefore, decreased correlation. Another reason for the low correlation obtained could be that indirect TR measures the appearance of mature mRNA in the cytoplasm, whereas GRO (or other methods to estimate the TR, such as RPCC (Pelechano et al ., 2009), measures the density of RNA polymerases. Density can only be converted into TR by assuming a constant RNA pol II speed (Hirayoshi and Lis, 1999). Direct methods measure 'nascent TR', which can differ from 'mature TR' (increase of mature, cytoplasmic mRNAs over time) if the proportion of productive transcription (finished mRNAs) is not the same for all the genes, or if the transport of mRNAs is not equally efficient for them all. This discrepancy, however, is potentially interesting because it opens a way to determine the differences in transcription elongation or mRNA processing between different groups of genes.
101
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
AQ1
50
51
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
no correlation exists (see P´erez-Ort´ın, 2007). This result is surprising and suggests potential confusing influences when mathematically operating with variables that have already been correlated. For instance, TR and RA correlate positively, and both correlate negatively with RS (Garc´ıa-Mart´ınez et al., 2007). Thus, when computing TR with the RA and RS data (TR α RA/RS), we obtain a new dataset by dividing one dataset that correlates positively with the TR by one that is inversely correlated. The result is, therefore, a new dataset that should mathematically correlate positively with the TR, as is in fact the case. However, when we attempted to compute RS using the TR and RA data (RS α RA/TR), we divided two datasets that negatively correlated to RS. Thus, this negative correlation in the new dataset decreased, due to a confusing effect of the different variables. Another source of discrepancy is the dilution effect caused by the continuous growth of the culture when calculating indirect RS that contributes to mRNA concentration reduction besides the mRNA degradation itself (Alon, 2006), whereas it does not affect indirect methods because the growth of the culture is stopped due to the transcription stop. Additional limitations in the calculations are related to the use of nascent TR (see above) and the well-known problems brought about by the stressing situation caused to cells because of the transcription stop that they require (Grigull et al., 2004; P´erez-Ort´ın et al., 2007). Finally, the confirmation of a transcriptional steady state during the exponential phase means that the functional analyses of gene expression done in yeast to date are reliable, as this steady state confirms that the different time points within that phase can be considered as identical with regard to all mRNA levels. Acknowledgements We wish to thank Dr S. Ch´avez and Albert Sorribas for critically reading the manuscript, and all the members of the Yeast Functional Genomics Group for discussions. We are especially grateful to Jos´e Garc´ıa-Mart´ınez (DNA-chip 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 Supporting information on the internet The following suporting information may be found in the online version of this article: Table S1. TR and RA values for the experiment Table S2. Relative contribution of TR to RA changes Table S3. Complete lists of functional groups with a significant deviation from the steady state during exponential growth Figure S1. Correlation between the different time points for the amount of mRNA (RA) and the transcription rate (TR) References Al-Shahrour F, Minguez P, Tarraga J, et al. 2006. BABELOMICS: a systems biology perspective in the functional annotation of genome-scale experiments. Nucleic Acids Res 34: W472–476. Alberola TM, Garc´ıa-Mart´ınez J, Ant´unez O, et al. 2004. A new set of DNA macrochips for the yeast Saccharomyces cerevisiae: features and uses. Int Microbiol 7: 199–206. Berriz GF, King OD, Bryant B, et al. 2003. Characterizing gene sets with FuncAssociate. Bioinformatics 19: 2502–2504. Daran-Lapujade P, Daran JM, van Maris AJ, et al. 2009. Chemostat-based micro-array analysis in baker's yeast. Adv Microb Physiol 54: 257–311. DeRisi JL, Iyer VR, Brown PO. 1997. Exploring the metabolic and genetic control of gene expression on a genomic scale. Science 278: 680–686. Garc´ıa-Mart´ınez J, Aranda A, P´erez-Ort´ın JE. 2004. Genomic run-on evaluates transcription rates for all yeast genes and identifies gene regulatory mechanisms. Mol Cell 15: 303–313. Garc´ıa-Mart´ınez J, Gonz´alez-Candelas F, P´erez-Ort´ın JE. 2007. Common gene expression strategies revealed by genome-wide analysis in yeast. Genome Biol 8: R222. Grigull J, Mnaimneh S, Pootoolal J, et al. 2004. Genome-wide analysis of mRNA stability using transcription inhibitors and microarrays reveals posttranscriptional control of ribosome biogenesis factors. Mol Cell Biol 24: 5534–5547. Hayes A, Zhang N, Wu J, et al. 2002. Hybridization array technology coupled with chemostat culture: tools to interrogate gene expression in Saccharomyces cerevisiae. Methods 26: 281–290. Hirayoshi K, Lis JT. 1999. Nuclear run-on assays: assessing transcription by measuring density of engaged RNA polymerases. Methods Enzymol 304: 351–362. Holstege FC, Jennings EG, Wyrick JJ, et al. 1998. Dissecting the regulatory circuitry of a eukaryotic genome. Cell 95: 717–728. Levy S, Barkai N. 2009. Coordination of gene expression with growth rate: a feedback or a feed-forward strategy? FEBS Lett 583: 3974–3978.
Montaner D, Tarraga J, Huerta-Cepas J, et al. 2006. Next station in microarray data analysis: GEPAS. Nucleic Acids Res 34: W486–491.
100
101
102
We wish to thank Dr S. Ch´avez and Albert Sorribas for critically reading the manuscript, and all the members of the Yeast Functional Genomics Group for discussions. We are especially grateful to Jos´e Garc´ıa-Mart´ınez (DNA-chip service at the SCSIE) for performing the DNA macroarrays. V.P. was partially funded by a FPI fellowship from the Generalitat Valenciana (Valencian Regional Government). This work was supported by Grant No. BFU2007-67575CO3-01/BMC from the Spanish M• • • E• • • •C• • • and Grant No. ACOMP/2009/368 from the Generalitat Valenciana (to J.E.P.-O.).
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60
AQ2
|
Journal of Ultrafine Grained and Nanostructured Materials
Vol. 52, No.2, December 2019, pp. 210-217
https://jufgnsm.ut.ac.ir
Print ISSN: 2423-6845 Online ISSN: 2423-6837
DOI: 10.22059/JUFGNSM.2019.02.10
Studying on the fatigue behavior of Al- Al 2 O 3 metal matrix nano composites processed through powder metallurgy
M. Vaghari 1 , G.R. Khayati* ,2 , S.A. Jenabali Jahromi 1
1Department of Materials Science and Engineering, School of Engineering, Shiraz University, Shiraz, Iran.
2
Department of Materials Science and Engineering, Shahid Bahonar University of Kerman, Kerman, Iran.
Recieved: 1 May 2019; Accepted: 3 September 2019
* Corresponding author email: firstname.lastname@example.org
ABSTRACT
Excellent mechanical properties and fatigue performance of Al/Al 2 O 3 metal-based nanocomposites caused to introduce this material as a good candidate for various applications. In this regard, the preparation and characterization of this composite can be considered as a hot issue for research. The study was carried out in several steps including: (i) preparation of Al/Al 2 O 3 metal-based nanocomposites at various Al 2 O 3 content as reinforcement (4, 6 and 8 wt.%) using wet attrition milling; (ii) hot forward extrusion process of prepared samples; (iii) determination of mechanical properties of prepared composite by tensile test; (iv) usage of rotating-bending fatigue test for determination of the fatigue performance of prepared composite and (v) analysis of the fracture surfaces of fatigue tests specimens to determine the mechanism/s of failure based on scanning electron microscope analysis. The results showed that the presence of Al 2 O 3 nanoparticles up to 6 wt.% enhanced the fatigue strength of Al/Al 2 O 3 nanocomposites while the higher amount of reinforcement has a detrimental effect on the fatigue strength. Also, the statistical nature of fatigue data confirmed the higher coherency as well as homogeneity of prepared composites by 6 wt.% of reinforcement. The EDX spectrum confirmed the presence of Al 2 O 3 at the origin of crack. As a consequence, the most probable mechanisms for crack initiation through the cyclic loading can be considered as the fracture and/or detachment of reinforcement particles.
Keywords: Aluminum; Nanocomposite; Powder metallurgy; Extrusion; Fatigue strength
1. Introduction
Fatigue failure during the cyclic loading in many engineering instruments is inevitable. In this regards, investigation of fatigue behavior of Al MMNCs during the dynamic loading plays a key role in design, material selection, forecasting the life of components and its durability [16-20].
nanoparticles (with the size lower than 100 nm) as reinforcement and considering as a hot issue for many researches [11-15].
It is worth to note that, the mechanical properties (using tensile test) and tribological characteristics of
Unique characteristics of metal matrix composites combined with simple production process proposed these materials as good candidates for production at industrial scale. According to the literature [1-10], the type, size, shape, distribution, volume fraction and coherency of reinforcement to the matrix have administrated effects on the fatigue performance of prepared composites. Aluminum matrix nano-composites (Al MMNCs) are a wide category of engineering material that uses Al 2 O 3
Al MMNCs were the subjects of various researches [21-25] while, in spite of the importance of fatigue behavior of such components, little investigations were carried out in these categories [26]. There are various techniques for the production of metal matrix nanocomposites (MMNCs) including solidstate processes (e.g., high energy ball mill and powder metallurgy techniques) [27]; liquid-state (e.g., casting processes, stir casting, ultrasonicassisted casting) [28]; semi-solid processing (e.g., a combination of rheo-casting, squeeze casting and semi-solid route stir casting) [29]. Outstanding specifications of hot extrusion including excellent preferential axial alignment of discontinuous fibers and large compressive hydrostatic state of stress [30-33] caused to evolve this technique as the most promising approach for the preparation of MMNCs [34-36]. Senthilkumar et al. [37] fabricated Al/ Al 2 O 3 composites using hot extrusion process. They used nano and micron size of Al 2 O 3 particles as reinforcement. Analysis of low cycle fatigue data of prepared samples revealed that the usage of reinforcement in nano scale showed better fatigue performance respect to the samples that used Al 2 O 3 with micron size. The main contributions of the current study can be considered as the investigation of the effect of the presence of various amounts of reinforcement, i.e., Al 2 O 3 nanoparticle, on the fatigue behavior of prepared Al/Al 2 O 3 nanocomposites and illustration of a comperhensive study on the fatigue behavior (low cycle fatigue and high cycle fatigue) of prepared composites.
2. Materials and Methods
Air atomized commercial pure aluminum powder (powder size of 45 µm) and α- Al 2 O 3 powder (the average powder size of 35 nm, Nanostructured& Amorphous Materials, Inc.) were used as raw materials. The samples were prepared using the powder metallurgy technique. Before starting the milling process, the agglomeration of reinforcement, viz. Al 2 O 3 nanoparticles, was inhibited by utilization of ultrasonic vibration in ethanol slurry for 60 min.
As the next step, the prepared Al 2 O 3 solution was added to the Al powder and milled for 8 hr by attrition ball mill. This study used hardened steel balls with a diameter of 5 mm, the ball to powder ratio of 15/1 and rotational speed of 480 rpm. Various samples including pure aluminum and nanocomposites with 4, 6 and 8 wt.% of Al 2 O 3 nanoparticles were prepared. The consolidation process was carried out as follows: (1) drying of prepared samples for 90 min at 150 ºC; (2) production of billets using uniaxial single action compaction at the pressure of 140 MPa; (3) final densification process to provide a dense rod with the diameter of 10 mm by employment of hot forward extrusion technique at 600 ºC with reduction ratio equal 2.7/1; (4) the surfaces of prepared samples were polished by sandpaper # 600, 1200 and 3000, respectively to remove all surface defects including scratches and key defects. Scanning electron microscope (SEM, Leica Cambridge S360) was employed to investigate the fracture surfaces of prepared samples. The theoretical densities of prepared composites were calculated by mixture rule. The mechanical properties were determined by uniaxial tensile test and micro-hardness test. The load and dwell time of microhardness were supposed as 25 g and 15 sec, respectively. It was worth to note that, the uniaxial tensile tests were done parallel to the extrusion direction according to ASTM E8 using a gauge length of 20 mm. Fig. 1 schematically showed the geometry of the tensile test. Instron 8802 testing machine with a crosshead speed of 0.05 cm/min was used at the room temperature. The fracture surfaces of specimens were investigated by SEM. The relative density of prepared samples determined using Archimedes water immersion method. The fatigue behavior of prepared samples was investigated by the rotating-bending fatigue test based on ASTM E466. Fig. 2 illustrates the geometry of the fatigue test sample. The rotating fatigue machine (HSM19D, P.A. Hilton Ltd) with high-speed testing 6000 rpm was used at room temperature.
3. Results and discussion
The relative density of consolidated samples as a function of wt.% of reinforcement was shown in Fig. 3. Accordingly, the relative density showed an increasing trend where the Al 2 O 3 wt.% changed from zero to 6 wt.%, while this trend was inverted at following up to 8 wt.%. It was worth to note that, the metallic bonding of Al as matrix has higher tendency for cold work respect to the combination of ionic-covalent bonding of Al 2 O 3 as reinforcement. The lower content of Al 2 O 3 (up to 6 wt.% Al 2 O 3 ) enhanced the possibility of filling pores of prepared composites. As a consequence, the relative density in these composites enhanced. Since, the agglomeration of nanoparticles is an effective physical process for the reduction of its surface energy, it seems that in the case of 8 wt.% Al 2 O 3 , agglomeration of reinforcement was intensified and decreased the relative density of prepared samples. Also, the lower range of error bare of the prepared sample with 6 wt.% Al 2 O 3 respect to the other samples can be considered as an evidence of higher uniformity of this sample. Fig. 4 shows the micro-hardness of various prepared composites. Accordingly, the presence of Al 2 O 3 (up to 8 wt.%) dramatically enhanced the micro-hardness of prepared samples [38-40]. It seems that Al 2 O 3 nanoparticles decrease the dislocation motion in prepared samples. Comparison of yield strengths and ultimate tensile strengths in Fig. 4 revealed that the presence of reinforcement effectively enhanced the strength of prepared composites. According to the Orowan bowing mechanism, the tensile strength of metal matrix composites strongly dependent on the interaction between the dislocation and reinforcement particles. Eqs. 1 and 2 showed the correlation between the strength and dislocation
2 3
Fig. 3- Relative density of various Al/Al 2 O 3 prepared nanocomposites.
characteristics. In which, G is shear modulus, L, b, d, and V are the interparticle spacing, Burger's vector, grain diameter of the reinforcements and volume fraction of particles, respectively. Since, the matrix and reinforcement of composites have various thermal expansions, enhanced the density of dislocation in the structure. If ρ, ∆C, ∆T defined as dislocation density, thermal mismatch, and temperature changes, respectively, then dislocation density can be calculated using Eq. 3. The strength of prepared composites can be calculated using Eq. 4 in which G and b are the shear modulus of composite and Burgers vector, respectively. Also, α is a constant between 0.5 and 1.
𝐺
𝐿𝑑𝜋
𝐿𝑑
By consideration of the thermal mismatch among the structural component of MMNCs and Orowan bowing mechanism can be concluded that lowering the particle size induced higher strength to the prepared composites. It was necessary to note that, due to the lower particle size of reinforcement, the occurrence of the Orowan bowing mechanism was more probable. On the other hand, large enough variation between the processing and test temperature-induced considerably thermal expansion coefficient mismatch in the prepared composites.
Figure 5 shows the S-N curves of product samples. As can be seen, there is not any clear fatigue limit in all prepared composites. Accordingly, the fatigue strength of prepared samples in 10 7 cycles
considered as fatigue strength. The absence of institutional atoms including C, H, N, and O is the main reason for the absence of a sharp fatigue limit. Similar behaviors have been reported in Al alloys [41, 42]. Boxplot used to illustrate the distribution of S-N data for low cycle fatigue (LCF) and high cycle fatigue (HCF) as shown in Fig. 5. As a general trend, at the constant stress levels, all samples showed the wider distribution in HCF respect to LCF. This behavior can be related to the higher effect of microstructure on fatigue behavior in the HCF regime. In these regards, the wider distribution of fatigue data in HCF of Al- 8 wt.% Al 2 O 3 can be related to the higher possibility of agglomeration in this sample respect to the Al- 6 wt.% Al 2 O 3 . Also, the average number of cycles to the fracture of Al6 wt.% Al 2 O 3 was nearly the same as the median and confirmed the uniformity of these samples. It was worth to note that, similar to Al- 8 wt.% Al 2 O 3 , the median of pure Al and Al- 4 wt.% Al 2 O 3 were significantly different from the average and can be considered as inhomogeneity of these samples.
Table 1 abbreviated various mechanical properties of prepared composites obtained from tensile and fatigue tests. Accordingly, the presence of Al 2 O 3 up to 6 wt.% enhanced the strength and ductility of prepared samples, effectively. Also, the comparison of fatigue strength in 10 7 cycles showed
Fig. 5- S-N curves for (a) Al, (b) Al- 4 wt.% Al 2 O 3 , (c) Al- 6 wt.% Al 2 O 3 and (d) Al- 8 wt.% Al 2 O 3 .
that using 6 wt. % Al 2 O 3 as reinforcement can be enhanced the fatigue strength to be about 125% respect to the pure sample. Since, all engineering materials inherently have the micro-cracks, the main part of fatigue life related to the crack propagation respect to the crack initiation. There are three different mechanisms for the control of fracture in metal matrix composites including (i) nucleation of voids and growth, (ii) fracture of reinforcement particles and (iii) interfacial decohesion.
According to the literature [43-50], there are four major sources for crack initiation as follows:
As shown in Fig. 6, all of fatigue cracks initiated from the surface defects and extended to the core of sample. Also, higher values of reinforcement enhanced the possibility of agglomeration as well as the creation of a continuous Al 2 O 3 brittle phase through the grain boundary.
iii) Fracture of large foreign particles, e.g. inclusion and/or intermetallic, rather than reinforcement, are the other responsible for the crack initiation. From one hand, the large size of these phases (about 20 to 100 μm) and from the other hand their brittle nature enhanced the possibility of crack initiation in this mechanism;
i) Through the first period of cyclic loading, due to the intrinsic brittleness of reinforcement particles, micro cracks were initiated due to the fracture of reinforcement particles. The high rate of strain concentration as a consequence of incoherency between the surrounding matrix and reinforcement particles intensified this behavior;
ii) The detachment of reinforcement from matrix especially at the interface between the reinforcement and matrix can be considered as the second possible mechanism for the crack initiation through the cyclic loading. In this case, the cluster of particles can act as single large particles that effectively prevented from the plastic flow through the loading and enhanced the possibility of crack initiation;
iv) Crack initiation can be formed due to the aggregation of cavities and porosities through prolonged cyclic loading. These defects were formed typically from incomplete penetration of the matrix material into the particle clusters.
As shown in Fig. 7, the size of dimples that formed in fractured surfaces decreased by the amount of reinforcement. Fig. 7(d), confirmed the formation of micro-cracks in Al- 8 wt.% Al 2 O 3 samples. Consequently, due to the presence of Al 2 O 3
phase in the formed micro-cracks that confirmed by EDX spectrum confirmed that the occurrence of the fracture or detachment of reinforcement particles were the most administrated mechanism for the crack initiation through the cyclic loading.
4. Conclusion
Al matrix composites reinforced by Al 2 O 3 fabricated using wet attrition milling followed by hot forward extrusion process. The results confirmed that, increasing the amount of nanosized particulates, induced higher relative density at first (until to 6 wt.% of Al 2 O 3 ) and then decreased the relative density for samples prepared at 8 wt.% of Al 2 O 3 . Moreover, the microhardness of composites by increasing the amount of reinforcement enhanced. Similar trend especially observed for the strength of prepared samples until 6 wt.%. The results showed the possibility of the employment of the Orowan bowing mechanism as well as the thermal mismatch between the matrix and reinforcement for the explanation of the behavior of prepared composites. In summary, the presence of higher Al 2 O 3 nanoparticles up to 6 wt.%, enhanced the fatigue life of prepared composites. While the higher amount of nanoparticles to 8
wt.% showed adverse behavior. This trend can be related to the agglomeration of Al 2 O 3 nanoparticles as well as the generation of continuous brittle phases within the grain boundaries. The results confirmed the higher size of dimples that formed at the surface of fractured specimens with a higher amount of reinforcement. Accordingly, the Al- 6 wt.% Al 2 O 3 proposed as appropriate composite for the construction of structure used in cyclic loading.
References
2. He T, Ertuğrul O, Ciftci N, Uhlenwinkel V, Nielsch K, Scudino S. Effect of particle size ratio on microstructure and mechanical properties of aluminum matrix composites reinforced with Zr48Cu36Ag8Al8 metallic glass particles. Materials Science and Engineering: A. 2019;742:517-25.
1. Raju PRM, Rajesh S, Raju KSR, Raju VR. Evaluation of Fatigue Life of Al2024/Al 2 O 3 Particulate Nano Composite Fabricated Using Stir Casting Technique. Materials Today: Proceedings. 2017;4(2):3188-96.
3. Hwa P. Fatigue behaviour of 6061 aluminium alloy and its composite: Dublin City University; 2001.
5. Ramesh CS, Keshavamurthy R, Madhusudhan J. Fatigue Behavior of Ni-P Coated Si 3 N 4 Reinforced Al6061 Composites. Procedia Materials Science. 2014;6:1444-54.
4. Huang J, Spowart JE, Jones JW. The role of microstructural variability on the very high-cycle fatigue behavior of discontinuously-reinforced aluminum metal matrix composites using ultrasonic fatigue. International Journal of Fatigue. 2010;32(8):1243-54.
6. Paknia A, Pramanik A, Dixit AR, Chattopadhyaya S. Effect of Size, Content and Shape of Reinforcements on the Behavior of Metal Matrix Composites (MMCs) Under Tension. Journal of Materials Engineering and Performance. 2016;25(10):4444-59.
8. Li W, Liang H, Chen J, Zhu SQ, Chen YL. Effect of SiC Particles on Fatigue Crack Growth Behavior of SiC Particulatereinforced Al-Si Alloy Composites Produced by Spray Forming. Procedia Materials Science. 2014;3:1694-9.
7. Cerit A, Karamis M, Nair F, Yildizli K. Effect of reinforcement particle size and volume fraction on wear behaviour of metal matrix composites. Journal of Balkan Tribological Association. 2008;12(4):482-9.
9. Barzegar Vishlaghi M, Ataei A. Characterization of the metastable Cu-Fe nanoparticles prepared by the mechanical alloying route. Journal of Ultrafine Grained and Nanostructured Materials. 2014;47(2):57-61.
11. Mazahery A, Alizadeh M, Shabani MO. Study of Tribological
10. Amiri Talischi L, Samadi A. Structural characterization and ordering transformation of mechanically alloyed nanocrystalline Fe-28Al powder. Journal of Ultrafine Grained and Nanostructured Materials. 2016;49(2):112-9.
and Mechanical Properties of A356–Nano SiC Composites. Transactions of the Indian Institute of Metals. 2012;65(4):393-8. 12. Bodunrin MO, Alaneme KK, Chown LH. Aluminium matrix hybrid composites: a review of reinforcement philosophies; mechanical, corrosion and tribological characteristics. Journal of Materials Research and Technology. 2015;4(4):434-45.
14. Cavaliere P, Jahantigh F, Shabani A, Sadeghi B. Influence of SiO2 nanoparticles on the microstructure and mechanical properties of Al matrix nanocomposites fabricated by spark plasma sintering. Composites Part B: Engineering. 2018;146:608.
13. Shin SE, Bae DH. Fatigue behavior of Al2024 alloymatrix nanocomposites reinforced with multi-walled carbon nanotubes. Composites Part B: Engineering. 2018;134:61-8.
15. Boostani AF, Yazdani S, Khosroshahi RA, Jiang ZY, Wei D. A novel graphene-stimulated semi-solid processing to fabricate advanced aluminium matrix nanocomposites. Materials Science and Engineering: A. 2018;736:316-22.
17. Fouret C. Experimental and numerical study of the low-cycle fatigue behaviour of a cast metal matrix composite Al?SiCp. International Journal of Fatigue. 2002;24(2-4):223-32.
16. Ding HZ, Biermann H, Hartmann O. Low cycle fatigue crack growth and life prediction of short-fibre reinforced aluminium matrix composites. International Journal of Fatigue. 2003;25(3):209-20.
18. Luk MJ, Mirza FA, Chen DL, Ni DR, Xiao BL, Ma ZY. Low cycle fatigue of SiCp reinforced AA2009 composites. Materials & Design (1980-2015). 2015;66:274-83.
20. Bekheet NE, Gadelrab RM, Salah MF, Abd El-Azim AN. The effects of aging on the hardness and fatigue behavior of 2024 Al alloy/SiC composites. Materials & Design. 2002;23(2):153-9.
19. Harik V. Low-cycle fatigue of unidirectional composites:Bilinear S?N curves. International Journal of Fatigue. 2002;24(24):455-62.
21. Hima Gireesh C, Durga Prasad K, Ramji K. Experimental Investigation on Mechanical Properties of an Al6061 Hybrid Metal Matrix Composite. Journal of Composites Science. 2018;2(3):49.
22. Manikandan P, Sieh R, Elayaperumal A, Le HR, Basu S. Micro/Nanostructure and Tribological Characteristics of Pressureless Sintered Carbon Nanotubes Reinforced Aluminium Matrix Composites. Journal of Nanomaterials. 2016;2016:1-10. 23. Senthilkumar R, Arunkumar N, Hussian MM, Vijayaraj R. Studies on Mechanical Properties and Microstructure of
Al<sub>2</sub>O<sub>3</sub> Reinforced AA5083 Matrix Composite <sup></sup>. Applied Mechanics and Materials. 2014;592-594:749-54.
25. Ts S, N DM. ALUMINUM BASED HYBRID NANO
24. B. S. Arasukumar and K. C. Bendigeri, "Studies on Mechanical Properties and Tribological Characteristics of LM25- Graphite- Silicon Carbide and LM25-Flyash- Silicon Carbide - Hybrid MMC ' s," Int. J. Innov. Res. Sci. Eng. Technol., 2012;1(1):107-12.
COMPOSITES: A REVIEW ON REINFORCEMENT, MECHANICAL AND TRIBOLOGICAL CHARACTERISTICS. International Journal of Advanced Research. 2016;4(10):167-75. 26. Divagar S, Vigneshwar M, Selvamani ST. Impacts of Nano Particles on Fatigue Strength of Aluminum Based Metal Matrix Composites for Aerospace. Materials Today: Proceedings. 2016;3(10):3734-9.
28. Pramanik A, Littlefair G. Fabrication of Nano-Particle Reinforced Metal Matrix Composites. Advanced Materials Research. 2013;651:289-94.
27. Casati R, Vedani M. Metal Matrix Composites Reinforced by Nano-Particles—A Review. Metals. 2014;4(1):65-83.
29. Dhanashekar M, Kumar VSS. Squeeze Casting of Aluminium Metal Matrix Composites-An Overview. Procedia Engineering. 2014;97:412-20.
31. Pakdel A, Farhangi H, Emamy M. Influence of Hot Extrusion Process on the Mechanical Behavior of AA6061/SIC Composites. Advanced Materials Research. 2011;264-265:1418.
30. Ramesh C, Hirianiah A, Harishanad K, Noronha NP. A review on hot extrusion of Metal Matrix Composites (MMC's). International Journal of Engineering and Science. 2012;1(10):30-5.
32. Lee J-C, Ahn J-P, Shim J-H, Shi Z, Lee H-I. Control of the interface in SiC/Al composites. Scripta Materialia. 1999;41(8):895-900.
34. El-Kady O, Fathy A. Effect of SiC particle size on the physical and mechanical properties of extruded Al matrix nanocomposites. Materials & Design (1980-2015). 2014;54:34853.
33. Kim NH, Kang CG, Kim BM. Die design optimization for axisymmetric hot extrusion of metal matrix composites. International Journal of Mechanical Sciences. 2001;43(6):1507-20.
35. Abdollahi A, Alizadeh A, Baharvandi HR. Dry sliding tribological behavior and mechanical properties of Al2024– 5wt.%B4C nanocomposite produced by mechanical milling and hot extrusion. Materials & Design. 2014;55:471-81.
37. Senthilkumar R, Arunkumar N, Manzoor Hussian M. A comparative study on low cycle fatigue behaviour of nano and micro Al 2 O 3 reinforced AA2014 particulate hybrid composites. Results in Physics. 2015;5:273-80.
36. Rizaneh S, Borhani GH, Tavoosi M. Synthesis and characterization of Al (Al2O3–TiB2/Fe) nanocomposite by means of mechanical alloying and hot extrusion processes. Advanced Powder Technology. 2014;25(6):1693-8.
38. Shehata F, Abdelhameed M, Fathy A, Elmahdy M. Preparation and characteristics of Cu-Al2O3 nanocomposite. Open Journal of Metal. 2011;1(02):25.
Behavior of Al-12Si Composites. Metals. 2017;7(9):359.
39. Ma P, Jia Y, Konda Gokuldoss P, Yu Z, Yang S, Zhao J, et al. Effect of Al2O3 Nanoparticles as Reinforcement on the Tensile
40. Mazahery A, Ostadshabani M. Investigation on mechanical properties of nano-Al2O3-reinforced aluminum matrix composites. Journal of Composite Materials. 2011;45(24):257986.
41. Sakin R. Investigation of bending fatigue-life of aluminum
sheets based on rolling direction. Alexandria Engineering Journal. 2018;57(1):35-47.
43. ASM International. Handbook Committee., ASM Handbook Volume 21: Composites.
42. Bauri R, Yadav D. Introduction to Metal Matrix Composites. Metal Matrix Composites by Friction Stir Processing: Elsevier; 2018. p. 1-16.
44. Kumai S, King JE, Knott JF. SHORT AND LONG FATIGUE CRACK GROWTH IN A SiC REINFORCED ALUMINIUM ALLOY. Fatigue & Fracture of Engineering Materials and Structures. 1990;13(5):511-24.
46. Chawla N, Andres C, Davis L, Jones J, Allison J. The interactive role of inclusions and SiC reinforcement on the high-cycle fatigue resistance of particle reinforced metal matrix
45. Hall JN, Wayne Jones J, Sachdev AK. Particle size, volume fraction and matrix strength effects on fatigue behavior and particle fracture in 2124 aluminum-SiCp composites. Materials Science and Engineering: A. 1994;183(1-2):69-80.
composites. Metallurgical and Materials Transactions A. 2000;31(13):951-7.
48. Li W, Chen ZH, Chen D, Teng J, Fan C. Low-cycle fatigue behavior of SiCp/Al–Si composites produced by spray deposition. Materials Science and Engineering: A. 2010;527(2930):7631-7.
47. Park BG, Crosky AG, Hellier AK. High cycle fatigue behaviour of microsphere Al2O3–Al particulate metal matrix composites. Composites Part B: Engineering. 2008;39(78):1257-69.
49. Rohatgi PK, Alaraj S, Thakkar RB, Daoud A. Variation in fatigue properties of cast A359-SiC composites under total strain controlled conditions: Effects of porosity and inclusions. Composites Part A: Applied Science and Manufacturing. 2007;38(8):1829-41.
50. Tu ST, Zhang XC. Fatigue Crack Initiation Mechanisms. Reference Module in Materials Science and Materials Engineering: Elsevier; 2016.
|
SUD Provider Edition - November 2024
Up To The Minute!
Training & Events (QA)
Reminder: QIP Meet ng Date Changes
i
o November – rescheduled to 11/21/24, from 10:00 a.m. to 11:30 a.m.
* Due to meeting conflicts and holidays, upcoming QIP meetings have been rescheduled.
o December – rescheduled to 12/19/24, from 10:00 a.m. to 11:30 a.m.
SUD Quality Improvement Partners (QIP) Meet ng
i
The QIP is a monthly meeting for all DMC-ODS Providers to get the most up to date information on all things Quality Assurance, Management Information Systems and Performance Improvement. The expectation is that this meeting is attended by all DMC-ODS contracted providers. The program manager and quality assurance staff monthly attendance is expected as part of your contract. If you are unable to attend, please send a designee to cover.
o Where: via Microsoft Teams - Participation information sent by email prior to the meeting.
o Date:
Thursday, November 21, 2024
o Time: 10:00 a.m. to 11:30 a.m.
Root Cause Analysis Training
The next Root Cause Analysis (RCA) Training session is scheduled for Tuesday, December 10, 2024, from 9:30 a.m. to 12:30 p.m. This interactive training introduces Root Cause Analysis (RCA), a structured process to get to the "whys and hows" of an incident without blame, and teaches effective techniques for a successful RCA, along with Serious Incident Reporting requirements. The intended audience of this training are program managers and quality improvement (QI) staff. Please click here to register.
DHCS Harm Reduction Summits – Registration Open!
Summit registration is free and open now: San Diego County – February 11, 2025
The Department of Health Care Services (DHCS) is hosting five regional harm reduction one-day summits for substance use disorder (SUD) treatment providers in the fall of 2024 and winter of 2025. The five summits aim to reduce stigma and educate SUD treatment providers on taking a harm-reduction approach to SUD treatment services. Please forward the following information to treatment providers, clinics, and relevant contacts in your counties.
Why Attend?
* Learn from experts: Hear firsthand from community members, scholars, providers, and advocates about ways to integrate a harm reduction approach in your treatment setting.
* Expand your network: Connect with SUD treatment providers and local harm reduction organizations, building relationships that can enhance your patients' experiences.
* Stay ahead with ASAM Guidance: Get a deep dive into the forthcoming American Society of Addiction Medicine (ASAM) guidelines on effectively engaging and retaining non-abstinent patients in care.
SmartCare
* Upcoming Town Hall (combined MH & SUD)
i
o Click here to join the meet ng
o Tuesday, December 17, 2024, 2:00 p.m. – 3:00 p.m.
Up To The Minute!
* Optum SmartCare Tab has been updated to include-
Guide – Group Documentat on Tips – Mixed Programs
SmartCare FAQs as of 10-26-24
SmartCare ARF for Treatment Programs (Updated 11/01/24)
i
SmartCare ARF for BHS and Optum Staff (Updated 11/01/24)
NOABD Log – FY24-25
SmartCare Workflow for MH-SUD (10/08/24)
SmartCare Service Code Crosswalk
SmartCare Scanning Documents Job Aid – Oct. 2024
UMDAP Financial Assessment in SmartCare
SmartCare: How to find Incomplete Scans/Imports
2024-10-08 SmartCare Town Hall
2024-09-25 BHS Info Not ce – EHR Update
i
Technical Support Hours
To continue supporting users in SmartCare, Optum will offer Technical Support Hours (formerly titled Office Hours) on an ongoing basis. Please see below for details, including how to join:
* Technical Support Hours are virtual sessions where users can "drop in" based on role. These are intended for program staff who know what function they want to perform in SmartCare and would like a refresher on how to do it. Optum staff won't be advising program staff what they should do in the system, nor will they resolve live access issues or elevate system issues.
* The following Technical Support Hours are available, and users can drop in by joining this MS Teams Link: Click Here:
SUD Provider Edition - November 2024
Up To The Minute!
i
Special Population Update in SmartCare to reflect AB 352: In order ensure that medical records containing sensitive information such as counseling regarding abortion care, contraception and gender affirming care is not shared with states that have criminalized these kinds of care, SmartCare has developed specific special population categories to identify clients' records for review and redaction by HIMS prior to releasing them to providers in these states. Find out more at https://2023.calmhsa.org/ab-352-compliance-how-to-add-newindicators-to-a-clients-record-in-special-populations/ AB 352: Bill Text - AB-352 Health information. (ca.gov)
ASAM Update
**This is a change from previous messaging for all programs using SmartCare.** Programs using SmartCare will use the CA-ASAM, until the new version of the ASAM is developed. (See updated guidance table below.) DHCS has given CalMHSA permission to wait to build a new ASAM tool into SmartCare until the ASAM 4 th edition assessment is developed, tentatively in July 2025.
This change signifies that DHCS will not hold counties accountable to the requirements as outlined in BHIN 23068 under DMC and DMC-ODS Assessments wherein it states: (v. )"Effective January 1, 2025, DMC and DMC-ODS providers shall use one of the ASAM assessment tools described in (iv) above or a validated tool subsequently approved by DHCS and added to the list of approved DMC and DMC-ODS ASAM assessment tools." (From the CalMHSA weekly bulletin on 10/31/2024.)
Updates & Reminders (QA)
Reminder: MHP/DMC-ODS Optum Changes
* Due to the number of files saved to each page, this process will take some time to complete.
* QA is in the process of building a single SMH & DMC-ODS resource page.
* We are handling one tab at a time to ensure all files migrated are relevant and accurate, while simultaneously archiving outdated files.
* Continue to use the MH or DMC-ODS Optum page as the source of your information for now unless the tab specifically directs you to the new page.
* Some tabs are fully migrated to the new page and include messaging and a link directing users to the new page to access files.
SUD Provider Edition - November 2024
Up To The Minute!
Update: SUDPOH
* This edition along with the Summary of Changes are now posted on the Optum site.
* The SUDPOH was updated on 10/01/24.
* The next edition of the SUDPOH is planned for release on 11/27/24.
Coming Soon: Beneficiary Material Updates
* DHCS has integrated the SMHS and DMC-ODS Beneficiary Handbooks into one combined handbook. The integrated Behavioral Health Member Handbook will be effective January 1, 2025.
* QA is currently working on updating the handbook to include county-specific information and align updates as specified in BHIN 24-034.
* QA will be providing a Summary of Changes to outline significant updates at least 30 days prior to the release of the handbook.
* QA will notify programs once the updated handbook (along with translated versions) are available on the Optum site and when prints are available for ordering.
Reminder: Daily Admissions
* Outpatient programs are expected to be open and offering admission appointments five (5) days a week at minimum.
* Outpatient and residential programs shall have capacity to conduct daily admissions for all days they are open.
* Residential programs are expected to be open and offering admission appointments 24 hours a day.
Health Plan Administration (HPA)
System of Care (SOC) Application
* For any questions, please reach out to the Optum Support Desk at 800-834-3792 (choose Option 2), or email firstname.lastname@example.org.
* Reminder that staff and program managers are expected to attest in the SOC application monthly.
* NOTE: Information about changes to Treatment Location Information (address, phone, fax, addition/deletion of sites) can be found in the Provider Operations Handbook.
o A new feature, Public Address, allows modifications to the site address displayed in the Provider Directory. Please note this change will not affect the site address within SmartCare.
DHCS Behavioral Health Information Notices (BHINs) inform County BH Plans and Providers about changes in policy or procedures at the Federal or State levels. When DHCS releases draft BHINs for public input, feedback can be sent to DHCS directly or to email@example.com.
Medi-Cal Transformation (aka CalAIM
)
* For general questions on local implementation of Medi-Cal Transformation, email firstname.lastname@example.org. For contract-specific questions, contact your COR.
* Visit the CalAIM Webpage for BHS Providers for updates on Certified Peer Support Services implementation, CPT Coding, Payment Reform, Required Trainings, and relevant BHINs from DHCS.
SUD Provider Edition - November 2024
Up To The Minute!
Management Information Systems (MIS)
Reorganized: Management Information Systems (MIS)
System Administration and Access – managed by Cheryl Lansang Contact: email@example.com or call 619-578-4111
Program Integrity (PI) and Reporting - managed by Dolores Madrid-Arroyo Contact: firstname.lastname@example.org or call 619-559-6453
New MIS Email Boxes are NOW ACTIVE!
o Refer all support questions that cannot be addressed by the CalMHSA Support Desk - Reminder: CalMHSA should be the first line of support.
* email@example.com
o Refer all CCBH related questions and/or CCBH ARFs.
o Refer all ARFs and Access concerns related to SmartCare or SanWITS.
* firstname.lastname@example.org
* The four email boxes below are being discontinued/removed (Do Not Use):
o email@example.com
o firstname.lastname@example.org
o email@example.com
o firstname.lastname@example.org
Important Reminder: SAS Program
o Before Admission/After Discharge
* SAS Program in SmartCare is ONLY to be used in place of these SanWITS program enrollments:
o Recovery Service
* If a client is admitted to a Residential Level of Care (LOC) program, all services should be billed under that LOC program i.e., residential bed day and care coordination.
o Courtesy Dosing
Licensed Providers
* Users will receive a courtesy email notification.
* Monthly reports will be generated to capture all licenses that will expire within the month.
* Users are responsible to renew license promptly and must notify MIS to avoid access disruption in SmartCare.
Avoid Delays with ARF Processing: Common Errors
* Incomplete form – missing fields
* Missing or incorrect user roles
* Program name must be typed out – Do not send number in place of name
* Hand-written forms – Forms must be typed
* Incorrect Taxonomy number
Up To The Minute!
Communication
* Billing questions? Contact: email@example.com
* CalAIM and/or Peer related Q&As? Contact: firstname.lastname@example.org
* DMC-ODS Standards/SUDPOH/SUDURM questions? Contact: QIMat email@example.com
t
* EHR questions? Contact: firstname.lastname@example.org
* ARFs and Access questions? Contact: email@example.com
* The four email boxes below are being discontinued/removed (Do Not Use):
o firstname.lastname@example.org
o email@example.com
o firstname.lastname@example.org
o email@example.com
Please share the UTTM – SUD Provider Edition with your staff and keep them
Send all personnel contact updates to firstname.lastname@example.org
Up to the Minute!
|
RFD Series Solid Core Liquid Line Filter-Drier
This filter is recognized widely for the reason of using multiple hole mold filter core, made of the mixture mixed by a high effective drier.
Features
* Strong water absorbing ability
* Eliminate oxide, residue of welding, coal granule, oil block, impurity and others
* Super strong ability of acid removal, like absorbing water, can also absorb hydrofluoric acid and other various organic acid
* Specific multiple-hole molded filter cores can remove wax also
* Corrosive resistance painting
* Two kinds of connection methods: ODF or SAE
* Maximum working pressure: 4.70Mpa/680Psig, with the UL and CE certification
| Model | | Connections (IN) | Volume of Desiccant (cm3) | Total Length (IN) A | | Solder Socket Depth (mm) |
|---|---|---|---|---|---|---|
| SAE | ODF | | | SAE | ODF | |
| RFD-S032 | RFD-S032S | 1/4 | 49 | 4.17 | 3.82 | 0.36 |
| RFD-S033 | RFD-S033S | 3/8 | | 4.69 | 3.9 | 0.43 |
| RFD-S052 | RFD-S052S | 1/4 | 82 | 4.76 | 4.17 | 0.39 |
| RFD-S053 | RFD-S053S | 3/8 | | 5.2 | 4.29 | 0.43 |
| RFD-S082 | RFD-S082S | 1/4 | 147 | 5.63 | 5.12 | 0.39 |
| RFD-S083 | RFD-S083S | 3/8 | | 6.06 | 5.24 | 0.43 |
| RFD-S084 | RFD-S084S | 1/2 | | 6.3 | 5.43 | 0.51 |
| RFD-S162 | RFD-S162S | 1/4 | 262 | 6.26 | 5.75 | 0.39 |
| RFD-S163 | RFD-S163S | 3/8 | | 6.73 | 5.87 | 0.43 |
| RFD-S164 | RFD-S164S | 1/2 | | 6.93 | 5.98 | 0.51 |
| RFD-S165 | RFD-S165S | 5/8 | | 7.24 | 6.3 | 0.63 |
| | RFD-S167S | 7/8 | | | 6.93 | 0.75 |
| RFD-S303 | RFD-S303S | 3/8 | 492 | 9.69 | 8.9 | 0.43 |
| RFD-S304 | RFD-S304S | 1/2 | | 9.88 | 9.02 | 0.51 |
| RFD-S305 | RFD-S305S | 5/8 | | 10.2 | 9.25 | 0.63 |
| | RFD-S306S | 3/4 | | | 9.65 | 0.63 |
| | RFD-S307S | 7/8 | | | 9.8 | 0.75 |
| | RFD-S309S | 1-1/8 | | | 9.76 | 0.94 |
| WFD-S413SW | | 3/8 | | 9.57 | | -- |
| WFD-S414SW | RFD-S414S | 1/2 | | 9.92 | 9.06 | 0.51 |
| WFD-S415SW | RFD-S415S | 5/8 | | 10.24 | 9.33 | 0.63 |
| | RFD-S417S | 7/8 | | | 9.8 | 0.75 |
Solenoid Valves Filter Driers & Cores
Filter Core Series
This series of filter core and removable filter cylinder shell are the most commonly used and can be replaced, universal size, dry filter with metal cans packacing, can effectively guarantee drying performance and other pollution.
RH Series
RB Series
80% molecular sieve, 20% activated alumina; This type of drying filter core for added active alumina, the acid generated when running a system with adsorption of water and drying effect. It is the most perfect filter core. Suitable for refrigerants R-12, R-22, R-134a, R-404a, R-507, R-410A, R-407C etc.
RM Series
100% molecular sieve;
This type of filter core with 100% desiccant, require large drying capacity of the system, play a maximum capacity of the drying effect of the drying-off filter, played the greatest capacity and drying effect of drying filter core. Suitable for refrigerants R-12, R-22, R-134a, R-404a, R-507, R-410A, R-407C etc.
75% molecular sieve, 20% activated alumina, 5% carbon;
This type of drying filter core added activated alumina, activated carbon for adsorption acid of burn-off system and the dried wax filter. Suitable for refrigerants R-12, R-22, R-134a, R-404a, R-507, R-410A, R-407C etc.
RBW Series
95% molecular sieve, 5% carbon; This type of dryer core added the activated carbon, is suitable for burn-off system absorption of wax, and can guarantee a large water absorption capacity of the drier filter core. Suitable for refrigerants R-12, R-22, R-134a, R-404a, R-152a, R-502, R-507 etc.
| MODEL | H | ø 1 | ø 2 | ø 3 |
|---|---|---|---|---|
| 48 SERIES | 5.5 | 3.7 | 1.76 | 2.28 |
RSF Series
RSSF Series
| SUCTION LINE REFRIGERANT FILTER | | | |
|---|---|---|---|
| Type | A (IN) | B (IN) | C (IN) |
| WSLRF-48 | 3.74 | 5.51 | 0.79 |
| WSLRF-100 | 4.69 | 6.54 | 1.10 |
| Type | A (IN) | B (IN) |
|---|---|---|
| WSLRF-48 | 3.74 | 5.51 |
| WSLRF-100 | 4.69 | 6.54 |
www.refnox.com www.refnox.com
RFD Series Filter Drier Order Codes
| Model | | Code Nr. | |
|---|---|---|---|
| SAE | ODF | SAE | ODF |
| RFD-032 | RFD-032S | 026AW1000 | 026AW1017 |
| RFD-033 | RFD-033S | 026AW1001 | 026AW1018 |
| RFD-052 | RFD-052S | 026AW1002 | 026AW1019 |
| RFD-053 | RFD-053S | 026AW1003 | 026AW1020 |
| RFD-082 | RFD-082S | 026AW1004 | 026AW1021 |
| RFD-083 | RFD-083S | 026AW1005 | 026AW1022 |
| RFD-084 | RFD-084S | 026AW1006 | 026AW1023 |
| RFD-162 | RFD-162S | 026AW1007 | 026AW1024 |
| RFD-163 | RFD-163S | 026AW1008 | 026AW1025 |
| RFD-164 | RFD-164S | 026AW1009 | 026AW1026 |
| RFD-165 | RFD-165S | 026AW1010 | 026AW1027 |
| | RFD-167S | | 026AW1028 |
| RFD-303 | RFD-303S | 026AW1011 | 026AW1029 |
| RFD-304 | RFD-304S | 026AW1012 | 026AW1030 |
| RFD-305 | RFD-305S | 026AW1013 | 026AW1031 |
| | RFD-306S | | 026AW1032 |
| | RFD-307S | | 026AW1033 |
| | RFD-309S | | 026AW1034 |
| RFD-413 | | 026AW1014 | |
| RFD-414 | RFD-414S | 026AW1015 | 026AW1035 |
| RFD-415 | RFD-415S | 026AW1016 | 026AW1036 |
| | RFD-417S | | 026AW1037 |
| | RFD-419S | | 026AW1038 |
Filter Core Replacement Order Codes
| Code Nr | Model |
|---|---|
| 026BG4801 | RM 48 |
| 026BG4802 | RH 48 |
| 026BG4803 | RB 48 |
| 026BG4804 | RSF 48 |
| 026BG4805 | RSSF 48 |
| 026BG4806 | RW 48 |
| 026BG1001 | RM 100 |
| 026BG1002 | RH 100 |
| 026BG1003 | RB 100 |
| 026BG1004 | RSF 100 |
| 026BG1005 | RSSF 100 |
12
Solenoid Valves Filter Driers & Cores
|
2008.07 2008.07.0 .0 .02222
Classics Revisited: Classics Revisited:
Leo Tolstoy Leo Tolstoy''''s s s s Sevastopol Stories
by by
by by
Walter G. Moss
Walter G. Moss
Walter G. Moss Walter G. Moss
Eastern Michigan University Eastern Michigan University
With the following essay, the Review launches a new series entitled "Classics Revisited." Its goal will be to provide thoughtful reconsiderations of masterpieces in the literature of war. Both literary and purely historical works will be included. The inaugural appreciation is by Walter G. Moss, professor of history at Eastern Michigan University. Professor Moss, who has taught Russian history, philosophy, and literature for many years, is the author of numerous articles and distinguished books within and beyond those subject areas, including A History of Russia, 2 vols. (New York: McGraw-Hill, 1997; 2 nd ed. London: Anthem, 2002/5), Russia in the Age of Alexander II, Tolstoy, and Dostoyevsky (London: Anthem, 2002), An Age of Progress? Clashing Twentieth-Century Global Forces (London: Anthem, 2008), and, with R.D. Goff, J. Terry, J-H. Upshur, and M. Schroeder, The Twentieth Century and Beyond: A Global History, 7 th ed. (New York: McGraw-Hill, 2007). — Ed.
In April 1855, in the midst of the Crimean War, a twenty-six year old Russian sublieutenant, Leo Tolstoy, was commanding an artillery battery in the besieged Black Sea city of Sevastopol. 1 His unit was in the most forward bastion of the defense. It was close to the French lines and under constant and heavy bombardment. Occasionally while at the front, in a bomb-proof dugout with the sounds of cannons booming in his ears, he wrote a story about the siege of the city at the end of the previous year--he had first entered Sevastopol in November and subsequently moved back and forth from the front. At the end of April, he sent the piece to a prestigious journal, The Contemporary , which had earlier published other works of his like the two short novels Childhood and Boyhood . Like his new work, "Sevastopol in December," these earlier ones were fiction based partly on his own personal experiences.
By the summer of 1855 his Sevastopol piece, published in May, was being widely praised. Among its admirers was Alexander II, who earlier that year had succeeded his father as tsar and emperor. In subsequent months, Tolstoy wrote two more Sevastopol stories, "Sevastopol in May [1855]" and "Sevastopol in August, 1855" that soon thereafter appeared in The Contemporary . Along with two short novels, The Cossacks and Hadji Murad , the Sevastopol Stories have recently been published in a new Penguin Classics edition
1 Chapter 2 in my Russia in the Age of Alexander II, Tolstoy and Dostoevsky (London: Anthem Press, 2002) describes Tolstoy's experiences during the Crimean War; I have here used a small portion of that material. The chapter can also be found online <www.miwsr.com/rd/0809.htm> together with additional material about Sevastopol. Chapter 28 deals with the Russo-Turkish War of 1877-8.
entitled The Cossacks and Other Stories . 2 Of these Tolstoy works, only The Cossacks is newly translated, but all three translations, Hadji Murad by Paul Foote and the other two by David McDuff, are well done. This edition also contains other useful material such as an introduction, a Tolstoy chronology, maps, endnotes, and a glossary. Although The Cossacks was not published until 1863 and Hadji Murad was written much later and not published in Tolstoy's lifetime, both relate to Tolstoy's pre-Crimean years in the military in the Caucasus region from 1852 to 1854. These years were part of Russia's multi-decade conquest of the Caucasus, and Hadji Murad remains especially relevant to Russia's more recent attempts to quash separatist movements in Chechnya. For, like most of the recent Chechen fighters, Hadji Murad was a Muslim, and many of the mountaineers who resisted nineteenth-century Russian control thought they were fighting a "holy war." Tolstoy also wrote several other short works based on his Caucasian military experiences, and one of them, "The Raid" (1853), was published even before his first Sevastopol story.
Here, however, we are more concerned with Tolstoy's depiction of the Crimean War. The first of his three Sevastopol Stories provides a realistic portrayal of the war: "you will see war not as a beautiful, orderly and gleaming formation, with music and beaten drums … but war in its authentic expression—as blood, suffering and death" (192). In the center of Sevastopol, amidst mud, trenches, and earth shelters, he describes Russian artillerymen moving about and shelling the enemy while incoming cannon and mortar shells whiz and hiss near them and over dead and wounded bodies covered with mud and blood; a cart with creaking wheels and heavy with corpses approaching a cemetery; and a government building converted to a hospital, where blood-splashed surgeons pitch amputated limbs into a corner. But what probably pleased Emperor Alexander II and many of Tolstoy's readers more than his realistic descriptions was his praise of the patriotism, nobility, and courage of the soldiers and sailors who defended Sevastopol. He writes of the characteristics of "the Russian's strength—his stubbornness and straightforwardness … a conscious sense of dignity and the traces of lofty feelings and thoughts" (198). Tolstoy also mentions the Russian defenders' "savage hatred for the enemy" and desire for revenge (199). He ends this first story telling his readers that one comes away from Sevastopol with the conviction that it will not fall to the enemy, that the courage and bravery of the Russian troops will prevail: they are "joyfully prepared to die … for their native land. Long will Russia bear the imposing traces of this epic of Sevastopol, the hero of which was the Russian people" (201).
Although "Sevastopol in December" does not reveal it, Lieutenant Tolstoy's private attitude toward the Russian military and the war was ambivalent and confused. It is true that in a letter to his brother Sergei he wrote of the heroism of the troops and thanked God for allowing him to live in such a "glorious time," but in his diary in late 1854 he was much more critical of the way the Russian leaders conducted the war, of corruption, ignorance, and poor training, weapons, hygiene, and food. He was also impressed by the French and English wounded troops with whom he had the opportunity to talk. Early the following year, after Alexander II had come to the throne, Tolstoy began to write A Plan for the Reform of the Army . Although he never completed this task, he started off by saying that the army was not really an army but a group of slaves commanded by slave traders and
2 NY: Penguin, 2006.
thieves—many of the enlisted men came from illiterate serf backgrounds, while many officers (including Tolstoy) came from serf-owning families. He criticized the harsh corporal punishments often inflicted upon the soldiers and, contrary to some aspects of his first Sevastopol story, indicated that the troops lacked dignity, valor, or loyalty to the tsar, fatherland, religion, or many of their officers.
Tolstoy's second story, "Sevastopol in May," reflected his ambivalence much more than had his first sketch, and when the censors in the capital received it from the editors of The Contemporary there was trouble. It is not hard to see why. Early in the story he suggests that Russia and its enemies ought to reduce their forces so that each side eventually only has one soldier left, and then let the two of them fight it out to decide whether Sevastopol will stay in Russian hands or be ceded to the enemy forces. Anticipating criticism of his suggestion, Tolstoy insists it is a more humane approach than the continuing massive shedding of blood then occurring. He concludes his first chapter thus: "One of two things appears to be true: either war is madness, or, if men perpetrate this madness, they thereby demonstrate that they are far from being the rational creatures we for some reason commonly suppose them to be" (204). Although Tolstoy's suggestion and final sentence appear in the Penguin edition, based on his original manuscript, the censors cut this material from The Contemporary 's version of the story.
Toward the end of "Sevastopol in May," Tolstoy describes a scene in which the Russians and French declare a short truce in order to gather their dead. While collecting the bodies, soldiers from both sides chat with each other. Spontaneously, a Frenchman and a Russian exchange cigarette holders, and a French officer asks a young Russian cavalry lieutenant to say hello to a Russian officer he knew. Tolstoy concludes thus:
Yes, white flags have been raised on the bastion and all along the trench, the flowering valley is filled with stinking corpses, the resplendent sun is descending towards the dark blue sea, and the sea's blue swell is gleaming in the sun's golden rays. Thousands of men are crowding together, studying one another, speaking to one another, smiling at one another. It might be supposed that when these men— Christians, recognizing the same great law of love—see what they have done, they will instantly fall to their knees in order to repent before Him who, when He gave them life, placed in the soul of each, together with the fear of death, a love of the good and beautiful, and that they will embrace one another with tears of joy and happiness, like brothers. Not a bit of it! The scraps of white cloth will be put away— and once again the engines of death and suffering will start their whistling; once again the blood of the innocent will flow and the air will be filled with their groans and cursing (254).
Although the censors did not cut this entire passage, they did modify it, chiefly by inserting the following sentence before the last one: "We must at least take consolation in the thought that we did not begin the war, that we are only defending our country, our native land." (Actually, of course, the Russians began the war by being the first country to invade enemy territory. Angered by new Catholic rights obtained by the French in the Holy Lands of Jerusalem and Bethlehem, then under the Islamic Ottoman Turkish control, the Russians insisted that the Turks reduce the Catholic role and recognize Russia's right to protect Turkey's 12 million Orthodox subjects. After the Turks refused Russian demands, the tsar's troops invaded the Ottoman Turkish Danubian provinces of Moldavia and Wallachia in July 1853, followed by the Turks declaring war on Russia in October, and Britain and France in March 1854 after Russia ignored a British-French demand that it withdraw from the two Turkish provinces. Partly because of the British desire to remain the dominant power in the Eastern Mediterranean and to safeguard British India, Britain was wary of any expansion of Russian influence or territory southward, especially at the expense of the Ottoman Empire.)
Tolstoy's depiction of a Russian-French truce to gather the dead stimulates an emotion like that aroused by the Thomas Hardy poem "The Man He Killed," occasioned by the Boer War, almost a half century later. Hardy ends his poem with these lines: "Yes, quaint and curious war is!/ You shoot a fellow down/ You'd treat, if met where any bar is,/ Or help to half a crown."
Tolstoy's version of the brief truce also calls to mind the recent French antiwar movie Joyeux Noël , which depicts a spontaneous Christmas truce that occurred between French, Scottish, and German troops in World War I's first year. Here once again some gifts are exchanged and dead soldiers buried. And once again one is struck by the contrast between killing one another one moment and being friendly to each other the next. In fact, with its depiction of dugouts, trenches, mud, rifle fire, and exploding shells, as well as the emotions of soldiers, Tolstoy's Sevastopol Stories also reminds us of such WWI literature as Erich Maria Remarque's All Quiet on the Western Front .
In addition to displeasing the censors by passages that questioned the wisdom of war, other aspects of "Sevastopol in May" probably offended many Russian nationalists. Tolstoy writes of one officer that the "notion of duty … was highly developed in him as in all persons of limited intellect" (215). In writing of other officers who had come out of retirement to serve their country in this time of war, he cites their patriotism, but also their ambition and willingness to serve simply because "'everyone else' was doing it" (211). Time and again, he depicts Russian officers "ready to start a conflict and kill a hundred or so men simply in order to obtain another star," decoration, or increase in pay (248-9). "Vanity, vanity, vanity," he states, "even on the brink of the grave" (211). And he makes clear that his comment about one officer "being driven on by personal vanity--the desire to excel, the hope of receiving military honours, of winning a reputation, the fascination of risk"--also applied to many other officers (233). Tolstoy describes the fear of being wounded or killed that often troubled these same officers, and suggests that what is labeled bravery is often motivated by fear of seeming to be cowardly and that those often seeming to be brave take unnecessary chances. As compared to many later fictional treatments of wars, Tolstoy's Sevastopol Stories does not deal much with individual enlisted men or the spirit of camaraderie that is often so important to them. The officers he depicts reflect more his own observations and projections from his own feelings and experiences. He ends his second story by saying that none of the officers he depicts are its heroes. "No, the hero of my story, whom I love with all my heart and soul, whom I have attempted to portray in all his beauty and who has always been, is now and will always be supremely magnificent, is truth" (255).
Tolstoy's third Sevastopol story, "Sevastopol in August, 1855," challenged the government's representation of the war and its troops less than had his second story but more than his first. It is primarily about two Russian brothers, young officers, in the period leading up to French taking of the Malakhov Hill Bastion, and soon thereafter the southern and main part of Sevastopol. After defending the city for almost a year, the Russian forces were short of powder, projectiles, and reinforcements; and the English and French bombardment was increasing. Tolstoy had volunteered for duty in the city and arrived at a fort on the northern side of the bay separating it from the southern side. He was just in time to witness the Russians' retreat. Before leaving the southern side they blew up their abandoned forts and ammunition and set the southern side afire. They then crossed a floating bridge to the northern side. Tolstoy closed his story describing this scene.
Before that, however, Tolstoy depicts the thoughts and feelings of two brothers and other officers going about their duties. The younger brother, Volodya, dreams of acting heroically, fears being killed or perceived as cowardly, and wishes to be liked by the men under his command. Tolstoy describes the enlisted men here more than in either of the first two stories. Before they attempt to repel a French attack, we see them talking, smoking, drinking, playing cards, and joking amidst intermittent French artillery barrages that kill some of them. Tolstoy's description of an experienced "immensely tall gunner" who assures Volodya he can get two broken-down mortars operating again, and does so, is a timeless depiction of a seasoned professional aiding a young inexperienced officer. In the end both brothers act bravely and are killed in the French assault.
By the time hostilities came to an official end the following year, the Russians had lost about a half million men in the war and their combined enemies probably at least that many. On both sides, losses came not only from combat, but from diseases that developed rapidly among the troops such as typhus, cholera, and dysentery. Soon after the war, Tolstoy resigned from the army. A decade later, the first part of his most famous novel, War and Peace , appeared, and during the last three decades of his long life (1828-1910) he was perhaps the world's most famous pacifist, but his Sevastopol Stories continued to have relevance. In translation it influenced Stephen Crane in his Civil War novel, The Red Badge of Courage, and later Ernest Hemingway, who wrote several novels dealing with war. Less than a month after the Nazi government launched its attack on the USSR, the Soviet government reprinted 150,000 copies of it. (Like the Sevastopol of 1854-5, the city again held off the enemy for many months, but finally succumbed in July 1942.)
In writing about the experiences of British writers in The Great War and Modern Memory, Paul Fussell first sketched the influence of writers such as Alfred Lord Tennyson on them. Tennyson's most famous poem dealing with the Crimean War was his "Charge of the Light Brigade," in which he depicted a British cavalry brigade riding "into the jaws of death," even though the cavalrymen knew the order was foolish. But Tennyson's poem contained the famous lines "Theirs not to make reply,/ Theirs not to reason why,/ Theirs but to do and die," and applied the words "hero," "glory," "honor," and "noble" to the cavalrymen. We can see why those appreciating such traditional values praised Tennyson's poem. As a young U.S. artillery officer myself in the early 1960s, I often heard NCOs tell their men, "you're not paid to think." Fussell notes that WWI began in "what was, compared with ours, a static world, where the values appeared stable and where the meanings of abstractions seemed permanent and reliable. Everyone knew what Glory was, and what Honor meant." The tragedy of WWI challenged such a mindset. A decade after the war, as Fussell states, quoting Hemingway's WWI novel, A Farewell to Arms, "abstract words such as glory, honor, courage or hallow were obscene." 3 In questioning the meaning of such words, Tolstoy's Sevastopol tales are closer in tone to Hemingway's novel than to Tennyson's poem.
During the writing of War and Peace in the 1860s, Tolstoy remained ambivalent about war. In 1863, in the midst of his troubled adjustment to marriage, he expressed an interest in running off to help put down Polish rebels. A few years later he stated in a letter: "It's a matter of complete indifference to me who suppresses the Poles, or captures SchleswigHolstein," taken in 1864 by Prussian and Austrian troops from Denmark. In his great novel, he portrays sympathetically the Russian defense of its homeland against Napoleon's forces in 1812. Napoleon, who thinks he can understand and direct war, is his chief villain. Tolstoy views most positively Russian seekers after truth like the nobleman Pierre Bezukhov and unpretentious people such as the wise old peasant Platon Karataev, the noblewoman Natasha Rostov, and General Kutuzov, who oversaw Russia's military response to the invasion. The good people in his book are those who rise above individual egoism and find meaning in something larger than themselves, who seek harmony with nature, family, and community. They are mainly Russians, but there are also unflattering portraits of Russians, and, as in Sevastopol Stories, enemy troops are not vilified, but presented humanely.
Despite his sympathy for the Russians facing Napoleon's invading armies, Tolstoy's view of war resembled that of his character Princess Marya, who "thought as women do think about wars. She feared for her brother who was in it, was horrified by and amazed at the strange cruelty that impels men to kill one another, but she did not understand the significance of this war, which seemed to her like all previous wars." 4
In an article published in 1868, while War and Peace was still appearing in installments, Tolstoy asked about the Napoleonic Wars: "Why did millions of people kill one another when it has been known since the world began that it is physically and morally bad to do so?" His answer in both the article and his novel was that "the causes were innumerable," many of them unknowable, and that "small significance … should be ascribed to so-called great men [e.g. Napoleon or Tsar Alexander I] in historical events." In his article he also insists that military reports about battles are based on "na ï ve, inevitable, military falsehoods." 5 In general, War and Peace is critical of the way traditional history is written and depicts historical figures like Napoleon and Kutuzov in ways more in tune with Tolstoy's artistic vision than with what historians claimed were historical facts.
As in the Sevastopol Stories, Tolstoy again shows abstractions like bravery and heroism to be more complex than they seem in nationalistic propaganda. Young Nikolai Rostov (a cavalry officer, brother of Natasha, and eventual husband of Princess Marya) is eager to go to war and thinks it will be glamorous. Once at war, however, he realizes it is not at all what he expected. On one occasion he leads his men in an attack on French dragoons, wounds one of them, but then notices that the Frenchman's "pale and mud-stained face—fair and young, with a dimple in the chin and light-blue eyes—was not an enemy's face at all suited to a battlefield, but a most ordinary, homelike face." Noticing this, he hesitates to strike
3 The Great War and Modern Memory (Oxford: OUP, 1975) 21.
5 Ibid. 1370-2.
4 War and Peace: The Maude Translation, Backgrounds and Sources, Essays in Criticism , ed. George Gibian (NY: Norton, 1966) 766.
him again with his saber. Instead, the Frenchman and some of the other dragoons surrender. Although Nikolai is afraid he will be punished for leading an attack without orders from above, he is instead treated like a hero. Tolstoy then describes how Nikolai is puzzled by the whole affair.
Rostov was always thinking about that brilliant exploit of his, which to his amazement had gained him the St. George's Cross and even given him a reputation for bravery, and there was something he could not at all understand. "So others are even more afraid than I am!" he thought. "So that`s all there is in what is called heroism! And did I do it for my country's sake? And how was he to blame, with his dimple and blue eyes? And how frightened he was! He thought that I should kill him. Why should I kill him? My hand trembled. And they have given me a St. George's Cross…. I can't make it out at all." But while Nicholas [Nikolai] was considering these questions and still could reach no clear solution of what puzzled him so, the wheel of fortune in the service, as often happens, turned in his favor. After the affair at Ostrovna he was brought into notice, received command of an hussar battalion, and when a brave officer was needed he was chosen. 6
At the end of his second great novel, Anna Karenina , Tolstoy has his character Konstantin Levin argue against his half-brother, who is enthusiastic about the willingness of the Russian people "to sacrifice themselves for their oppressed brethren," by volunteering and giving aid to Serbians and Montenegrins rebelling against the Turks. Levin responds that "the people sacrifice and are ready to make sacrifice for the good of their souls, but not for murder," and "he knew definitely that the attainment of … [people's general welfare] was only possible by the strict fulfilment of the law of goodness which is revealed to every man, and therefore could not desire or preach war for any kind of general aims." 7
Like Levin, Tolstoy was undergoing a spiritual crisis during the years he was completing Anna Karenina and during which Slavic rebellions in the Balkans eventually led to Russia's declaring war on Turkey in 1877. In the early 1880s, he described, with a certain amount of artistic license, his past life and crisis in My Confession . Writing about his early years in the army, he stated: "I cannot think of those years without horror, loathing and heartache. I killed men in war." In the same work, he relates his thinking at the time of the RussoTurkish War of 1877-78.
At that time Russia was at war. And Russians, in the name of Christian love, began to kill their fellow men. It was impossible not to think about this, and not to see that killing is an evil repugnant to the first principles of any faith. Yet prayers were said in the churches for the success of our arms, and the teachers of the Faith acknowledged killing to be an act resulting from the Faith. And besides the murders during the war, I saw, during the disturbances which followed the war, Church dignitaries and teachers and monks of the lesser and stricter orders who approved the killing of helpless, erring youths. And I took note of all that is done by men who profess Christianity, and I was horrified. 8
6 Ibid. 725-6.
8 My Confession , War and Peace , and Anna Karenina are available online <www.miwsr.com/rd/0810.htm>.
7 Anna Karenina: The Maude Translation, Backgrounds and Sources, Essays in Criticism , ed. George Gibian (NY: Norton, 1970) 732-3.
For three decades, until his death in 1910, Tolstoy preached that warfare and other forms of violence were wrong. He thought that centralized governments were the main perpetrators of violence and he developed a philosophy of nonviolent anarchism. His main method for bringing an end to government was for people to refuse to pay taxes or serve the government in any manner, including military service. In 1881, after assassins had killed Tsar Alexander II, Tolstoy sent a letter to his son, Alexander III, begging him not to execute the assassins, because Christ's teaching was "Love your enemies … . Resist not evil." Elsewhere, he quotes such scriptures as "For all they that take the sword shall perish with the sword" (Matt. 26:52). Time and again, he criticized various wars, such as the SpanishAmerican War, the Boer War, the Russo-Japanese War, and the imperialism, nationalism, and other causes that he thought helped bring them about. He criticized the Russian Orthodox Church for giving its blessing to wars fought in the name of tsar and country. He sometimes wrote letters to soldiers, such as the one in which he stated:
Only a man who is quite befooled by the false faith called Orthodoxy, palmed off upon him for true Christian faith, can believe that there is no sin in a Christian entering the army, promising blindly to obey any man who ranks above him in the service, and, at the will of others, learning to kill, and committing that most terrible crime, forbidden by all laws. 9
During his long life, Tolstoy's views influenced many future pacifists, not all of whom took stances as radical or long-lasting as Tolstoy's. One such individual was the American social work pioneer Jane Addams, who visited Tolstoy in Russia in the 1890s and during WW I chaired the Women's International Committee for Permanent Peace. Another was U. S. presidential candidate William Jennings Bryan, who came to Tolstoy's Russian estate in 1903, and resigned as Woodrow's Wilson's secretary of state in 1915 in opposition to what he feared was Wilson's moving closer to war against Germany. In Great Britain Tolstoy's pacifist thinking influenced the philosopher Bertrand Russell, though after the Nazis came to power in 1933, he concluded that Tolstoy's ideas about non-violent resistance would not work against so ruthless a regime. Most important, however, was Tolstoy's influence on Mohandas Gandhi, with whom he corresponded as Gandhi was developing his non-violent resistance ideas among the Asian community in South Africa. At the time, Gandhi referred to himself as a "humble follower" of Tolstoy.
Despite the efforts of Tolstoy, Gandhi, and other pacifists, the twentieth century produced more wartime deaths than any previous century, including two world wars and more than a dozen additional conflicts that caused more than a million deaths each. In 1999, according to the Stockholm International Peace Research Institute, there were "27 major armed conflicts in 25 countries." 10 The significance of Tolstoy's changing thoughts on war over a long lifetime that included military service and eventually a radical and absolute pacifism is not that he was right or wrong at some point. At times he was perceptive and tren-
9 Tolstoy's Writings on Civil Disobedience and Non-Violence (NY: Bergman, 1967) 124, also available online <www.miwsr.com/rd/0811.htm>.
10 Chapter 1, "A Century of Violence," in my An Age of Progress? Clashing Twentieth-Century Global Forces (London: Anthem Press, 2008), deals with twentieth-century wars, some of the reasons for people's support of them, and the extent to which their support was carefully thought out and based on any consistent moral position. The chapter also briefly compares Tolstoy's ideas on violence with those of Theodore Roosevelt.
chant in his analysis of war and its causes, at other times simplistic and dogmatic. Today, almost a century after his death, his greatest contribution to the study of war seems simply to have been that he grappled seriously with it as a moral issue and inspired others to do the same. Foreshadowing many of his later reflections, his Sevastopol Stories remains a seminal work.
email@example.com
|
CATTHORPE ON THE LINE
ISSUE 168 AUGUST 2010
The Government, desperately seeking funds to bridge the national budget deficit, has recently announced that the Catthorpe interchange works may be delayed or scrapped.
Until the Government's spending review has been concluded in the autumn the Department for Transport will not be in a position to identify those major infrastructure projects it can support. In view of the uncertainty over the availability of funding for this particular scheme, it was decided to postpone, for the time being, the M1 Junction 19 Improvement Public Inquiry.
The proposal, for improvements to the junction, aims to relieve congestion at the junction, make the roads safer and reduce journey times, whilst minimising environmental effects. The department concedes that without improvement, these problems will get worse.
**************
Work currently taking place to replace the Catthorpe flyover, which carries the M6 southbound over the M1 at the junction will be unaffected by the Government's announcement. This scheme is a maintenance project, to be carried out by the Highways Agency, which has been monitoring the existing structure due to its deteriorating condition. The new flyover will be built alongside the existing structure, allowing the highways network to remain operational. Once constructed, traffic will be moved onto the new bridge and the existing one demolished, once work is completed.
Two lanes will be open through the junction in both directions on both the M6 and the M1, with a temporary 50mph speed limit in place. The work is expected to be completed by Spring 2012.
SHOW PIECE
FLOW RATE
Don't forget to get your entries together for the annual Horticultural and Craft Show to be held on Sunday, August 29 th in the Village Hall.
If you have mislaid your entry form or the dog has eaten it please call Eleanor Murphy on 880476. Trophy holders please return your treasure, buffed and polished, to Eleanor well before the day. Also offers of help in any area would be welcomed. Call Kath Harrison on 880206.
The Hall is open to the public from 2.00pm - come along and be inspired!
Problems with raw sewage discharging onto the Dag Lane footpath, off Berridges Lane in the village has been tracked to a blocked underground sewer between the village and the sewage treatment plant in Broad Lane. Contractors working on behalf of Anglian Water have recently been working to resolve the problem and clear up the mess. Local residents were concerned that the discharge presented a serious health risk where dried untreated sewage was left on the footway and adjoining verges.
NEW MARINA PLANS UNVEILED
The promoters of the North Kilworth Marina project have recently unveiled their updated plans for the development. The proposed changes follow consultation with local residents, District Council planners and Highways Department officials. In the revised scheme the public house and retail units have been removed from the proposals and improvements have been made to access within the site.
The proposal, for a 240-boat mooring marina, boat building and servicing facilities, canalside pub and retail units drew strong opposition from local residents, boaters and businesses. Problems highlighted by opponents to the scheme included poor highways access, over development of the site, loss of an important green 'wedge' area, loss of the geographical boundary between Husbands Bosworth and North Kilworth parishes and the threat to the viability of the existing boat servicing business at Kilworth Wharf.
Council and Highways officers were unhappy about the adverse effect that the public house would have on the nearby Canal Conservation Area and also had reservations about traffic generated by the development and concerns about pedestrian and cycle access.
THE BUGLE TEAM
Editor:
Melvyn Forman
Firs Fm, Welford Rd.Tel /Fax: 880281
Email: firstname.lastname@example.org
Treasurer:
Ralph Horton
18 Highcroft
Tel: 880526
Advertising:
Sylvia Price
3 Highcroft
Tel: 880902
Email: email@example.com
Contacts:
Mike Price
3 Highcroft
Tel: 880902
Jo Horton
18 Highcroft.
Tel: 880526
Frances Smith
10 Butt Lane
Tel: 880225
Penny Mattock
9 Fernie Court Tel: 881140
Heather O'Connor
6 Cherry Tree Close Tel: 880165
Postal Subscription/distribution:
Lorrie Forman Tel: 880281
firstname.lastname@example.org
www.husbandsbosworth.info
COPY DEADLINE 15 th OF THE MONTH PRECEDING PUBLICATION
FESTIVE FUN
The organisers of the recent Bosworth Festival in the Park would like to thank everyone who contributed to the success of the event. The glorious weather helped to draw in visitors and exhibitors and ensured that the day's events went according to plan. Highlights of the day were the Market Harborough ATC Band, the Rare Breeds Society exhibits and a low-level fly-past by glider tow planes from the Gliding Centre. The Picnic in the Park, which concluded the day, was particularly successful, as everyone, young and old, enjoyed a balmy summer's evening in the grounds of Bosworth Hall to the accompaniment of live music.
The day raised almost £2,000, which will be distributed to over 20 village groups and local charities.
From Ruth Turner, Kilworth Road
POSTBAG
I write to express my concern over the speed of traffic approaching the village from the Lutterworth direction and the insufficient methods of speed control. I have recently driven through Welford, which has 20 mph speed limit signs, through South Kilworth which has speed control measures plus electric signs. Even St. Andrew's School at North Kilworth has 20 mph flashing signs. On the A5199 road towards Kilby there are ripple strips. North Kilworth has a 30mph speed camera. Walcote has 30 mph flashing signs.
What do we have ?
* We have 30 mph zone signs obscured by trees and a speed camera that does not exist
* We have no safe method to cross the Welford Road / Bell Lane or Kilworth Road
* The Doctor's Surgery car park is so inadequate that patients park at the playground and 'dodge' the traffic
* There is no safe way to cross the road to walk to the village school. We do not have any support to cross - there is no 'lollipop lady' Effectively we have nothing that lends itself to village-focussed traffic calming. How long do we need to wait until there is a fatality - a child trying to get to school, an elderly or disabled person trying to get to the doctor's or simply a mother with children wanting to get to the playground ? I suggest that the following are given due consideration:
* Ripple strips are installed to slow traffic down
* A pedestrian crossing is installed to allow easier access to the playground, the doctor's surgery and a safe crossing of the main road to school
* Speed sensitive warnings are installed
* The trees and vegetation obscuring the current warning signs are cut back
* Speed camera re-instated
Editor's Note: This is part of an open letter that Ruth has sent to the District Council and County Council
POLICE FILE
IF YOU HAVE INFORMATION ON ANY CRIMINAL ACTIVITY CALL MARKET HARBOROUGH POLICE on 0116 222 2222.
Countryside Watch Co-ordinator Henry Whatley Ext. 3875
Neighbourhood Watch Co-ordinator Marion Lewis 0116 2483871 NW Community Scheme No. 2123
Local Beat Team PC 255 Mark Sutton PC 500 Andy Smalley PCSO 6569 Peter Willson PCSO 6636 Ray Wells Voicemail Service 0116 2485675
Rural & Countryside Liaison Officer PC 1010 Chris Hill
WATCH WORD
THE NEIGHBOURHOOD WATCH SCHEME WITHIN HUSBANDS BOSWORTH
!Two safes stolen in a burglary to a commercial premises in Lutterworth were later recovered nearby having been emptied of their contents.
CHARITY COLLECTIONS
!A circular saw left inside an unattended van parked in a supermarket car park in Lutterworth was stolen.
! Distraction burglaries continue. A male employed to clean the guttering is believed to have entered a bedroom through an upper window and jewellery was stolen from inside.
!A spate of catalytic converter thefts have been reported from supermarket carparks in Lutterworth whilst the drivers were shopping.
!A police crack-down on drugs use has seen individuals cautioned for cannabis possession in North Kilworth and Lutterworth in recent weeks.
!A car left unattended after breaking down on Sibbertoft Road in Husbands Bosworth was stolen.
!Two high value cars were stolen from the owner's driveway in Bitteswell with keys taken in a break-in at the home.
CRIMESTOPPERS FREEPHONE 0800 555111
!Two tractors, a blue 09 reg. Landini and a red 06 reg. Zetor were stolen from a farm near Great Easton. A grey/cream low-loader lorry with 4 male occupants was seen in the vicinity at about the time of the theft.
Brian and Frances Smith recently took over as Neighbourhood Watch co-ordinators for Butt Lane and Lammas Close. If you would like to get on their e-mailing list, email them on email@example.com
Are they real?
Leaflets are being dropped through people's letter boxes offering the chance to recycle unwanted items, especially clothing.
Are these genuine charity collections? Some of the leaflets don't name the charity. Others state that they will 'try' to ensure your donations reach the Third World. Some even ask that you provide your own bags!
Harborough police would urge all residents to be cautious of contributing to any doorstep collection unless the destination is clearly defined. Read any leaflets carefully and, if necessary, phone the numbers provided to confirm that they are who they claim to be.
If you have any suspicions about charity collections or if you observe any suspicious activity, please call the police on 0116 222 2222, Leicestershire Trading Standards (Consumer Direct) on 08454 040506 or the Charity Commission on 0845 3000 218.
THE CUR HE CUR HE CURTTTTTAIN WORKSHOP AIN WORKSHOP
FFFFFor e or e or expertly made curtains and soft furnishings xpertly made curtains and soft furnishings
Curtains
Curtains
Curtains
Curtains
Curtains
Blinds
Blinds Blinds
Blinds Blinds
PPPPPelmets elmets
Call Sandra on:
Call Sandra on:
Call Sandra on:
Call Sandra on:
Call Sandra on:
01455 556615
01455 556615
01455 556615
01455 556615
01455 556615
Customers own fabric welcome
TTTTTracks & poles racks & poles
FFFFFabrics abrics
FFFFFitting itting
BOSWORTH GARAGE
Vehicle servicing and MoTs Collection & delivery available Personal attention Call Chris on 01858 880580 or 07811 625027
BOSWORTH IN FOCUS
A ROUND-UP OF LOCAL NEWS
VILLAGE VOICES
As the fourth village in the series, Harboroughfm 102.3 radio station came to the Church Hall, Honeypot Lane on Wednesday, June 23 rd to interview residents about life in Husbands Bosworth.
Over sixteen organisations were represented, including the Handbell Group, who provided a wonderful display of their talents and received great applause from the guests and Hfm team alike.
Hfm presenters heard about the local school, the British Legion and the Conker Contest as well as local and family history and the church clocks and bells.
The evening proved to be very enjoyable with the villagers able to share their experience of life in Husbands Bosworth with each other and giving quite a few laughs on the way.
All the team at Hfm would like to thank our guests for attending the event and proving once again the dedication and commitment that individuals and groups make to their small communities.
Husbands Bosworth 'Village Voices' will be broadcast on Wednesday, August 4 th between 5.00pm and 6.00pm and repeated on Sunday, August 8 th at the later time of 10.00pm to 11.00pm
If you would like a £5 CD of the show you can contact Harboroughfm 102.3 on (01858) 464666 or e-mail firstname.lastname@example.org otherwise you can listen on the Harboroughfm website by clicking on 'Village Voices'. You can also use these contacts to let Harboroughfm know about local events that you would like promoting, free of charge, any time throughout the year.
LOCAL NEWS IN BRIEF
IF YOU GO DOWN IN THE WOODS...
!Leicestershire Highways and British Waterways are warning that Swingbridge Street, Foxton is closed to through traffic whilst essential repairs and maintenance is carried out to the canal bridge. The work is scheduled to be completed and the road re-opened to traffic by September 16 th .
! Rev. Emma Davies, Curate of the Market Harborough Team Ministry, has been appointed Team Vicar of the Avon Swift Team Ministry, which includes
North Kilworth and
South Kilworth.
!Pay and display car park tickets bought for one carpark in Market Harborough are now transferable and valid at other car parks of the same tariff if the ticket is within its expiry time and date.
! The Station Road car park in Lutterworth has recently fully re-opened following a £150,000 upgrade.
If you are interested in wood you will be in your element at The National Forest Wood Fair, which takes place on Bank Holiday Monday, August 30 th , at Beacon Hill Country Park, near Woodhouse Eaves.
From the growing of trees, to furniture and firewood, demonstrations of chainsaw sculpture and wood turning, coracle making and practical tips on woodland management - it's all there!
This year's centrepiece will be the building of a green oak cottage, complete with furniture - and Goldilocks and the Three Bears - all built on site from a freshly felled oak during the day. Woodcraft, green living exhibitions and trade stalls, refreshments, and children's (and adults!) activities make it a great day out for everyone. Open from 10.00am to 5.00pm.
Tickets £7 adults, concessions £4. Family ticket £15. Five minutes from M1 J22. FREE Park & Ride from County Hall, Glenfield.
COMPLETE CAR CARE
Accident repair specialist Bodywork, dent, scratch and stone-chip repair Servicing, alloy refurbishment, welding MoT repair
Valeting, full body polish Parking sensors, handling kits, etc. fitted Call Ben on 07710 024070
Based at Unit 2, Pebble Hall Farm between Husbands Bosworth and Theddingworth
FIREWORK FEARS
LOROS, The Leicestershire and Rutland palliative care hospice, has growing concerns about this year's major events through lack of sponsorship.
LOROS Fund-raiser Christian WeikertPicker said, "Our community events are taking a real battering this year. The Victory Show at Cosby, which was planned for September, has been cancelled due to the lack of commitment from sponsors. I fear this may happen to the Mallory Park Fireworks event in November as we have not been able to secure a main sponsor for the event."
Christian Weikert-Picker would be happy to discuss sponsorship. Contact LOROS Fundraising on 0116 231 8431 or e-mail email@example.com.
*******
Meanwhile, on the positive side, the annual LOROS Walk on the Wildside event on Sunday, September 19 th will go ahead.
A 12 mile circular walk, ideal for fitness fanatics, large business groups and organisations, will begin at 9.30am with walkers passing through Bradgate Park, Swithland Wood and Swithland village. The shorter 6 mile walk commences at 10.30am, following a route around Bradgate Park. Both walks start at Severn-Trent's Cropston Water Pumping Station.
More than 600 walkers are expected to take part and stretch their legs around the beautiful Bradgate Park countryside. You can turn up on the day and make a donation to enter the walk or if you require sponsorship or registration forms, visit the website www.loros.co.uk /fundraising. Call 0116 2318431 for more information.
A bacon, burger and sausage barbeque, soft drinks, tea, coffee and cakes will be available throughout the day at Severn-Trent's Cropston Water Centre. A refreshing 'goody bag', free for walkers, will help to keep their spirits up!
Established 27 years
Complete building service Specialist in new build Quality renovations & Extensions
Tel/Fax 01858 463900
Email: firstname.lastname@example.org
Walton Grange, Bosworth Road Walton, Lutterworth, Leics LE17 5RW
BEST BEFORE:
Are you confused by Best Before, Use by, Sell by and Display Until dates on foodstuffs? This explanation may help.
Best Before Dates
Date-marks on longer-life food, usually dry foodstuffs such as biscuits, cereals and cakes or canned goods may use the phrase 'Best Before...'. This is the date up to and including which the food can be expected to remain at peak quality if properly stored. Food is likely to be perfectly edible for some time after this date; however its quality may suffer.
It is not an offence under the Food Labelling Regulations to sell food past its 'Best Before' date as long as it is of a 'quality demanded by the purchaser'.
Use By Dates
The 'Use By...' date is used for foods which would be difficult to visually assess the condition of, are of highly perishable nature and could cause an immediate health risk. Examples are meats and some ready-prepared products. These foods could become a health risk if used after the 'use by' date.
It is a criminal offence to sell any product that has gone beyond its 'Use By' date.
Sell By Dates
'Sell-by'... and 'Display Until'... dates are used by retailers for stock control purposes to ensure shelf freshness, especially in short-life fruit and vegetables. These products usually become visually unappealing before they present a significant health risk. It is not an offence to sell food after the Sell-by or Display Until Dates - the onus is on the consumer in this instance.
There are moves within the EU and UK Government to simplify food dating by abolishing all dates except 'Use By' dates. It is estimated that 450,000 tonnes of perfectly edible food is discarded each year in the UK simply because consumers are confused by conflicting advice on food labelling.
THE CLEAR MESSAGE IS:
!!!!! Don't chance anything that's past its 'Use By' date
!!!!!
Use your eyes, nose and common sense on 'Best Before' and 'Sell By' dates
FOBS NEWS
The FOBS Safari Supper is now on the Saturday, September 11 th . It's a great evening with good food and the chance to meet new people from around the village. Tickets are on sale now at £15 each. Please call Julie Dean on 881457 for tickets or for more information.
**************
We are re-launching the FOBS 100 Club, which is a great opportunity to support the school and perhaps win some money at the same time! Participants purchase a number for £12 per year which is placed in a draw each month. Three tickets will be drawn each month to win prizes of 1 st £25, 2 nd £15 and 3 rd £10. The first draw will be on September 1 st , so if you would like to 'buy' a number please fill in the FOBS 100 Club leaflet or contact Julie Dove on 881399
4
OLD COINS
Georgian - Victorian Edwardian (or older)
Telephone: 01858 881297
ACTIVITY GROUPS 2010
All Saints Parochial Church Council
Contact:
Brian Smith 880225
Art Workshop
Contact:
Ann Saxton 880971
Badminton Club
Contact:
Lorrie Forman 880281
Beaver Scout Troop
Contact:
Andrew Lambert 880922
Bosworth Belles
Contact:
Linda Lawton 880503
Conservative Association
Contact:
Robert Maxwell 880361
Craft Group
Contact:
Gail Wilmot 880413
Handbell Ringers
Contact:
David Staples 880668
Historical Society
Contact:
Heather O'Connor 880165
Husbands Bosworth Rainbows Group
Contact:
881757 or 881442
1st Kilworth Scouts/Beaver unit
Contact:
Andrew Lambert 880922
Lutterworth African Drumming Group
Contact:
Ralph Horton 880526
Playing Field Committee
Contact:
Jennifer Rogers 880401
Royal British Legion
Contact:
Robert Maxwell 880361
Short Mat Bowls
Contact:
Frank Thorp 880003
Tennis Club
Contact:
Jennifer Rogers 880401
Tower Bell Ringers
Contact:
Geoff Armitage 880066
Welford Bridge Club
Contact:
Kate Hancock 880205
FREE Children's holiday activities at Harborough Museum during August. Tues. 3 rd & Wed. 4 th 10.00am-5.00pm
Harborough by the Sea! Have a day on the beach - buckets and spades and sandcastles... Metal detect for buried treasure.
Mon. 9
th to Sat., 14
th
11.00am-4.00pm
The Big Street Collage Help to create a massive collage! Arts and Crafts dropin...
Wed., 18 th 11.00am-4.00pm
Harborough's Got Design Talent! Creative design workshop for 5-12 years
Wed., 25
th
11.00am - 4.00pm
Outer Space A Space Age event, intergallactic trail and Sci-fi arts for 5-12 years
TRADE DIRECTORY 2010
Armitage Bed & Breakfast
Contact:
Janet Armitage 880066
GD Armitage Clock & Belfry Work
New installation, maintenance & repair
Contact:
Geoff Armitage 880066
Angela Morgan
Acupuncture, crystal healing, healing workshops Contact: Angie 01455 559975
Aron Begley
Electrical installation & maintenance
Contact:
440196 or 07595363407
Begley Plumbing & Heating
Plumbing & heating engineer.
Contact:
Frank Begley 880541
Chris Begley Building Ltd.
NHBC Registered building contractor
Contact:
Chris 07748 184659
Gordon Begley
Building & roofing contractor.
Contact:
Gordon Begley 880028
Peter Begley
Building contractors, flat roofing
Contact:
Peter Begley 880517
Gary Bennett
Painter & decorator
Contact:
Gary Bennett 880285
Cook in Kilworth
Cookery school on your doorstep
Contact:
Tina Morley 575832
Croft Farm Bed & Breakfast
AA 4**** accommodation
Contact:
Jane Smith 880679
Rob Dargue Carpentry
General carpentry & woodwork
Contact:
Rob Dargue 07834 872205
Honeypot Pre-School
Contact:
Denise Brant 07805 926872
Honeypot Lane Bed & Breakfast
Contact:
Carolyn Goffe 880836
Husbands Bosworth Surgery
Contact:
Ian Watson 880522
Languard Ltd.
Weed control, fumigation and thermal insulation.
Contact:
Will Kay 880898
Joseph Morris Butchers
High class family butchers
Contact:
David Morris 575210
Mike Price Heating Engineer
Oil-fired boiler servicing & repair
Contact:
Mike Price 880902
Paul Bolton School of Motoring
Expert driving instruction
Contact:
Paul Bolton 880115
Totally Trees Ltd.
Tree surgery and stump grinding
Contact:
Jacqui Mitchell 01455 554182
Wharf House Kennels
Kennel and cattery services
Contact:
Kim McGuigan 880905
Woodpecker Tree Surgery
All aspects of tree surgery undertaken
Contact:
Chris Wright 880183
ACTIVITY GROUPS
VILLAGE LUNCH
The next village lunch will be on Wednesday, August 25 th at Kilworth Springs Golf Club. Diners are asked to meet in the bar at 12.30pm as usual.
The Village Lunch is an ideal opportunity for those new to the area, recently retired or living alone to meet with friends and make new ones, in a warm and relaxed atmosphere.
The cost of the two-course meal, including coffee is £6.50 per person. Please call Janice on 880668 at least 48 hours before the meal to book your place. If you are unable to get to a meal that you have booked please let Janice know as soon as possible so that the catering arrangements can be amended.
CRAFT GROUP
The Craft Group meets on the second Wednesday of each month in the Committee Room of the Village Hall from 7.30pm. Call Gail on 880413 for more information.
ARTS AND FLOWERS
Artists and green-fingered villagers are invited to display their art and craft at the Art and Flower Festival which will be held on October 8 th to 10 th in All Saints Church. Call Lorrie on 880281 or Ann Saxton on 880971 for details.
HEXAGON PLEA
A volunteer is required to manage the advertisements for The Hexagon Parishes Newsletter. To discuss what's involved or for more call Jo Marriott on 881047 or Beryl Cane on 01162 478136
VILLAGE HALL BOOKINGS Sue Dhillon 881251 CHURCH HALL BOOKINGS Janice Staples 880668 SPORTS PAVILION ENQUIRIES Audrey Marlow 880316
HISTORICAL SOCIETY
The Historical Society's winter programme has recently been finalised and once again it promises a grand selection of talks.
The season opens on a spooky note on Wednesday, September 8 th (Note: Second Wednesday!) when local historian, David Bell, will regale us with strange goings-on in his talk about Leicestershire's Ghosts and Legends.
Other speakers during the season will enlighten us on Crime in Leicestershire, the Slums of Leicester and Medieval Pilgrimage. Fiona Ure, Assistant Curator of Snibston Discovery Park will discuss the history of cooking - First Catch Your Hare!
In the New Year we will hear the story of Leicestershire's village cinemas and Ken Day will give an illustrated talk on interesting shop signs he has come across on his travels! Meetings are usually held at 7.30pm on the first Wednesday of each month in the Church Hall, Honeypot Lane. If you would like a copy of the Historical Society Winter Programme and membership details please call Frances Smith on 880225.
PILATES WITH "MATT"
New dates for September 2010 at
Husbands Bosworth Village Hall
Monday 6 th September 7.30 - 8.30pm and Friday 10 th September 6.30 - 7.30pm
6 week Course £30 Mats are provided
Tel: Matt on 07912 368474 to reserve a place
BUILDING ROOFING PLASTERING
EXTENSIONS - ALTERATIONS GENERAL BUILDING
For a free quotation please contact James on: 01858 881794 / 07795 810607
PARISH COUNCIL NEWS
The next meeting of Husbands Bosworth Parish Council will be on Tuesday, August 3 rd at 7.30pm in the Committee Room of the Village Hall.
All Parish Council meetings are open to the public. If you have any parish matter that you wish to bring to the attention of Parish Council members come along to the meeting. Visitors will be invited to speak before the formal business is conducted. Contact the Parish Clerk on 880910.
TREE PRESERVATION ORDER 2010
SMARTWATER DAY
Harborough District Council made the following Orders on July 2 nd 2010:
(Welford Road, Husbands Bosworth) Tree Preservation Order 2010
Schedule 1
T1 Ash
14 Welford Road
T2 Ash
26 Welford Road
T3 Sycamore
34 Welford Road
(Fernie Court) Tree Preservation Order
2010
Schedule 1
T1 Horse chestnut 21 Fernie Court
T2 Horse chestnut 19 Fernie Court
T3 Horse chestnut 18 Fernie Court
T4 Lime
17 Fernie Court
T5 Holm Oak
16 Fernie Court
No person shall cut down, top, lop, uproot or wilfully destroy or cause to be destroyed any tree specified in the Orders without the Planning Authority's prior approval.
The Parish Council and local police Open Surgery and SmartWater Day will be on Saturday, September 4 th from 12.00pm to 4.00pm in the Committee Room of the Village Hall. Come along and discuss parish and local policing matters and see SmartWater forensic marking in action. Sample packs sufficient for marking up to 50 domestic items will be on offer at the special price of £15 plus VAT.
SmartWater is a colourless marking fluid that indelibly marks property and links it forensically to the rightful owner. Commercial use, especially on church lead, has successfully led to a conviction in every case brought before the courts.
FREE TREE SCHEME
The County Council's Free Tree Scheme is now in its third year and has already seen more than 4,400 saplings planted. The initiative is available to rural landowners and farmers within the county and aims to help to replace the losses caused by disease and natural loss. One person to have benefited from the scheme is John Blay, from Husbands Bosworth, who has already received 50 trees and is applying for 25 more this year.
John said: "This is an excellent scheme. I have received a mix of species which I have planted along two borders of a 5 acre field. The County Council's Forestry staff have been particularly helpful and the initiative is something I have recommended to other people."
The council's Forestry Team are now looking for landowners and farmers who will take up to 25 new trees for planting on suitable sites this autumn. Participants have a good choice of trees to choose from and the council's forestry staff will be available to offer support and advice to anyone who takes part in the initiative. Ideal sites for the trees include new and established hedgerows, field corners and parkland areas.
LOCAL OFFICERS
Husbands Bosworth Parish Council:
Councillors
William Fletcher
880910(Chair)
Melvyn Forman
880281
Geoffrey Armitage 880066
Patricia Day
880748
Heather O'Connor 880165
Susan Fisher
880026
Parish Clerk
Jackie Fletcher,
13 School Lane,
H.B. LE17 6JU
Tel: 880910
District Councillor
Brian Smith
10 Butt Lane,
H.B. LE17 6LN
Tel: 880021
E-mail: email@example.com
County Councillor
Graham Hart
Lilac Cottage
Willoughby Waterleys
Leicester LE8 6UF
Tel: 01162 478600
E-mail: firstname.lastname@example.org
RAVEN FRAMING
Do you have a painting, certificate, drawing or similar that you would like mounting and framing?
Choice of frame mouldings and mountboards available, or 'specials' can be ordered.
For more information contact The Forestry Group at County Hall on 0116 3056922. Please note: the scheme applies to farmland only and does not apply to domestic gardens. More information on the Free Tree Scheme can be found at: www.leics.gov.uk/freetrees
Call Nick Raven on 880824 for a quote.
WOODPECKER
NOR NORTH KIL TH KIL TH KILWOR WOR WORTH WHARF TH WHARF
TREE SURGERY
BBBBBOA OA OAT SER T SER T SERVICES VICES
All aspects of tree-work undertaken from dismantling large roadside trees to pruning and reshaping small garden trees. We also offer a stump grinding service. Professionally qualified and insured.
For free quotation and advice call
Chris on: 01858 880818
www.woodpeckertrees.com
Station Road, North Kilworth Lutterworth LE17 6JB
Stockists of Calorgas, household fuels & red diesel Local delivery Dayboat hire
Call John & Jane P
Call John & Jane P
ugh ugh
T TT TTel: 01858 881723 el: 01858 881723
Call John & Jane P
Call John & Jane P
Call John & Jane Pugh ugh
ugh
Mobile: 07967 087290
CHURCH NEWS
All Saints Parish Church, Methodist Chapel & St. Mary's Roman Catholic Church
MOVING ON...
Rev. Alison Hampton will be leaving the Hexagon Benefice in October to take up a new job with the Christian charity "Toybox". Alison's last services will be on October 3 rd and we will be saying our farewell's to her at a special evening event on Friday, October 1 st . More details will be in the September issue of the Bugle. Parish Ministry, will of course continue in the Hexagon Benefice with myself, our lay readers and our Churchwardens. For further information please contact Rev. Andrew Rhoades on 01858 460150.
CHURCH STALL
HALL CLEAN-UP
The stall in aid of Church Hall funds at the Bosworth Festival raised over £200. Many thanks to all who donated plants and bric-àbrac for the stall and to our happy customers!
HISTORIC CHURCHES RIDE
The Historic Churches fundraising bike ride will take place on Saturday, September 11 th . Lorrie Forman and Mike Price will be biking for Bosworth again this year. Half of all donations go to our local church.
CONFIRMATION SERVICE
The Deanery Confirmation Service will take place at 7.30pm on Tuesday, October 5 th at All Saints, Husbands Bosworth. The service will be led by the Rt. Rev. Bishop Tim Stevens and Rev. Canon Ken Baker. For more information please call 01788 860409
NEW TO HUSBANDS BOSWORTH!!!
VILLAGE HALL
at 7.00PM
PLACES LIMITED TO 15
SO PLEASE BOOK EARLY
CALL MATT ON 07912 368474
Any help would be greatly appreciated for the 'Church Hall Summer-Clean' on Saturday, August 14 th from 9.30am. Please bring cleaning materials and tools.
PPPPParish Notices arish Notices
Anthony Brooks of Kilworth Road Died 16 th July 2010 Aged 79
Cliff Brown
of Lammas Close Died July 21 st 2010 Aged 81 years R.I.P.
ALL SAINTS FLOWER ROTA Altar:
Aug 1 - Lorrie Forman
Aug 8, 15, 22 - Penny Mattock
Aug 29 - Jean Hutchings
Children's Corner:
Aug 1 - Nichola Anderson
Aug 8, 15, 22 - Di Jones
Aug 29 - Katharine Wright
New members for the Flower Rota are always welcome. Please call Heather O'Connor on 880165.
METHODIST CHURCH Coffee Morning
th
Wednesday, August 18 10.00am-12.00noon.
at 12 Butt Lane.
Visitors always assured a warm welcome!
TTTTTown & County T own & County T own & County Transfers ransfers
PPPPPrivate hire taxi and courier service rivate hire taxi and courier service Local and long distance taxi service Days out, nights out - up to 6 passengers
Ring Sam Moreton 01858 880545 or 07546 218637
"""""CHUR CHURCH SER CH SER CH SERVICES VICES """""
All Saints Parish Church
AUGUST
1 6.30pm Evensong
8 8.30am Holy Communion
15 10.30am Benefice Service at Husbands Bosworth
22 10.30am All Age Worship
29 10.30am Benefice Service at Bruntingthorpe
Short Communion every Wed. at 9.15am Churchwardens:
Brian Smith 880021
Lorrie Forman 880281
Vicar: Rev. Alison Hampton 880351
Curate: Rev. Andrew Rhoades 460150
Methodist Church
1 Join with All Saints
8 Miss Eileen Bromley
15 Mr. Richard Gill
22 Rev. B Kennard (Communion)
29 Rev. Trevor Thomas
Services every Sunday 6.30pm. All Welcome
Contacts:
Rev. Brian Kennard 462889
Senior Church Steward:
Mr. A Lloyd Jones 880343
St Mary's Roman Catholic Church
Services every Sunday 8.30am.
Contact:
Robert Constable-Maxwell 880361
Father Owen O'Neil 462359
PETFRIENDS
Pet & Home Care
PetFriends provides clients' dogs, cats and other pets the loving care that they need while you are away, right in your own home! Your pets will stay in their own secure, familiar environment and follow their customary routine and diet.
A local veterinary nurse will look after your pets and home while you are away.
Pets fed, watered and excercised. Medication administered, plants watered. Fully insured - references available
For more information please contact Natasha Blunt VN 01858 880183 07739 467284
DIARY DATES for AUGUST
Tuesday, 3 rd
Parish Council meeting, 7.30pm Village Hall
Tuesday 10 th
Mobile library
Saturday, 14 th
The 'Big Church Hall Clean Up' inside spring-clean from 9.30am
Sat. 14 th & Sun. 15 th
Foxton Waterways Festival, Foxton Locks
Wednesday, 18 th
Rocky's Plaice Holiday Club 9.30am - 4.00pm at North Kilworth School
Tuesday, 24 th
Mobile library
Wednesday, 25 th
Village Lunch, 12.30pm Kilworth Springs Golf Club
Sunday, 29 th
Annual Horticulture & Craft Show. Exhibits before 11.00am. Open to the public from 2.00pm
Monday, 30 th
National Forest Wood Fair, Beacon Hill Country Park
FORTHCOMING EVENTS
September 4 th
SmartWater presentation
September 8 th
Historical Society opening meeting
September 11 th
Historic Churches Ride & Stride
Sunday, October 3 rd
Conker Championships
Tues, October 5 th
Confirmation Service at All Saints
October 8 th - 10 th
Art and Flower Exhibition, All Saints Church
LOCAL PLANNING APPLICATIONS
The following applications have been submitted to Harborough District Council:
! 10/00932/FUL Erection of detached garage and a 1.6m brick wall, 19 Bell Lane
[Mr Khully Dhillon]
! 10/00937/TCA
Works to trees, All Saints Church, Church Street
[Harborough District Council]
! 10/00947/AGR
Erection of first floor rear extension, 9A Bell Lane
[P C Building Services]
Current applications may be inspected during normal working hours at the Council Offices, Adam and Eve Street, Market Harborough LE16 7AG. Comments concerning planning applications should be addressed to the Head of Planning Services.
Planning applications and other aspects of local government can now be viewed on-line at www.harboroughonline.co.uk
MOBILE LIBRARY
HUSBANDS BOSWORTH VILLAGE
ALTERNATE TUESDAYS (See DIARY DATES)
STOPS & TIMES 2009
School, Welford Road: 1.30pm - 2.45pm
Berridges Lane:
2.50pm - 3.30pm
Church Street:
3.35pm - 4.00pm
Come back to your mobile library!
Not only lending books! Now hiring videos, CDs & DVDs Local tourist information and free mobile internet access
******* You can now renew on-line or by phone *******
DIANE E. HALL
Beauty Therapist CIBTAC ITEC CIDESCO qualified
Full range of luxury treatments in tranquil surroundings
Facials, body treatments, manicure, pedicure, waxing, tanning
Stockist of Susan Molyneux products
Brochures and Gift Vouchers available
Tel: 01858 880567 or 07732 571714
BUGLE..............................................FREE ADS.
Phone Sylvia on 880902 or email: email@example.com
WANTED Old fashioned Atco or Suffolk cylinder petrol lawnmower , small or medium size. Contact 881297
FOR SALE Worx lawn trimmer/edger with telescopic handle. Used once, cost £24.98. Highest offer will be accepted on August 5 th . Tel: 880492
FREE Motorcycle boots Schoeller Size 40. Akito helmet, white/ yellow/grey, size 60L, Roof Boxer helmet, black, size 56S. Call 880601 for details
FOR SALE Ikea child's first bed, extendable wooden frame, including mattress, v.g.c. £30 ono.
Britax child's car booster-seat £5. Call 880225
|
ERD TECHNICAL NOTE NO. 16
EVALUATING MICROFINANCE PROGRAM INNOVATION WITH RANDOMIZED CONTROL TRIALS: AN EXAMPLE FROM GROUP VERSUS INDIVIDUAL LENDING
GUYEN
XAVIER GINÉ, TOMOKO HARIGAYA, DEAN KARLAN, AND BINH T. N
March 2006
Xavier Giné is an Economist in the Development Economics Research Group at the World Bank; Tomoko Harigaya is Research Assistant at the Innovations for Poverty Action; Dean Karlan is Assistant Professor of Economics at Yale University and President of Innovations for Poverty Action; and Binh T. Nguyen is Economist in the Asian Development Bank.
Asian Development Bank 6 ADB Avenue, Mandaluyong City 1550 Metro Manila, Philippines www.adb.org/economics
©2006 by Asian Development Bank March 2006 ISSN 1655-5236
The views expressed in this paper are those of the author(s) and do not necessarily reflect the views or policies of the Asian Development Bank.
FOREWORD
The ERD Technical Note Series deals with conceptual, analytical, or methodological issues relating to project/program economic analysis or statistical analysis. Papers in the Series are meant to enhance analytical rigor and quality in project/program preparation and economic evaluation, and improve statistical data and development indicators. ERD Technical Notes are prepared mainly, but not exclusively, by staff of the Economics and Research Department, their consultants, or resource persons primarily for internal use, but may be made available to interested external parties.
CONTENTS
ABSTRACT
This paper presents an application of the randomized control trial methodology to evaluate modifications in the design of microcredit programs. As microfinance becomes an even more popular tool for fighting poverty, institutions innovate rapidly in their products and programs. Policymakers and practitioners should know the relative impact of different designs, both to the client (in terms of welfare) and to the institution (in terms of financial sustainability). We discuss the current approach to evaluating product or program changes, and the reasons why more rigorous evaluations are necessary. We then discuss why randomized control trials can prove useful to microfinance institutions in identifying effective program designs in different environments. In this paper, we focus on the choice of lending methodologies—group versus individual liability—to illustrate the benefits of randomized control trials as a business tool for measuring impact and learning how to improve sustainability and growth.
1. INTRODUCTION
In the last decade, microfinance institutions (MFIs) have experienced a boom in innovations of lending products, partly fueled by donors who see microfinance as the next promise to alleviate poverty. Examples of these new products are the combination of credit with health or life insurance, business and health education, savings products, and the adoption of (or conversion to) individual loan liability. The add-in features generally aim at reducing the vulnerability of clients while contributing to asset creation, hence improving their repayment rate and the sustainability of the service. The product innovations typically result from organizations striving to extend outreach, increase impact, and promote sustainability. As in other industries, MFIs typically decide whether to adopt new strategies based on other MFIs' success with the innovations. Many new micro-lending products and approaches continue to be developed. However, MFIs must generally rely on descriptive case studies and anecdotal evidence on the effectiveness of these innovations to decide whether to implement the new strategies. The usual case study approach does not provide tangible evidence that can enable other organizations to know what changes can be expected if they were to adopt similar product changes.
In this paper, we discuss how randomized control trials can help test the effectiveness of new lending products. Given the growing innovation of lending product designs among microfinance institutions, it is critical to establish a systematic and reliable evaluation method that measures the impact of specific characteristics of a lending product. Throughout the paper we present an ongoing randomized control evaluation of group-liability versus individual-liability loans in the Philippines as an example. Many of the issues discussed in this example, however, apply to evaluations of a wide variety of microlending product innovations. We discuss a few further examples at the end of the paper.
Many microfinance institutions test new product designs by allowing a few volunteer clients to use a new lending product, or by offering to a small group of chosen clients (often their best) a new product. Alternatively, a microfinance institution can implement a change throughout one branch (and for all clients in that branch). We argue that such approaches are risky for lenders, and inferences about the benefits of changes evaluated in such a manner can be misleading. As explained in Section II, one cannot conclude from such nonexperimental approaches that the innovation or change causes an improvement for the institution (or the client). Establishing this causal link should be important not only for the MFI implementing the change, but also for policymakers and other MFIs that want to know whether they should implement similar changes. This is a situation in which randomized control trials are a winwin proposition: less risky (and hence less costly in the long run) from a business and operations perspective, and optimal from a public goods perspective, in that through research the lessons learned can be disseminated to other MFIs.
EEEEEVALUATING MICROFINANCE PROGRAM I I I I INNOVATION
WITH WITH WITH WITH WITH
RRRRR
ANDOMIZED
ANDOMIZED
ANDOMIZED
ANDOMIZED
ANDOMIZED
C C C
ONTROL
ONTROL ONTROL
ONTROL ONTROL
TTTTT
RIALS RIALS RIALS RIALS RIALS
:::::
NNNNN
AAAAA E E E E E
XAMPLE
XAMPLE XAMPLE
XAMPLE XAMPLE FROM FROM FROM FROM FROM
GGGGG
ROUP ROUP ROUP ROUP ROUP VERSUS
VERSUS VERSUS
VERSUS VERSUS
IIIII
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
L L L
ENDING
ENDING ENDING
ENDING ENDING
XXXXX AAAAAVIER VIER G INÉ ,,,,, T OMOKO H ARIGAYA, D EAN K ARLAN, AND B INH T. N GUYEN
The paper is written primarily for microfinance practitioners. The primary operational differences between experimental and typical nonexperimental evaluations are two-fold: First, experimental evaluations include random assignment (rather than self-selected or MFI-selected) of individual clients (or groups of clients) to different program designs or products. Second, experimental evaluations are prospective (i.e., both participants and the control group are randomly assigned at the outset of the study)¸ whereas typical (but not all) nonexperimental evaluations are retrospective (i.e., a comparison group of nonparticipants that are considered similar to participants is chosen after the treatment). The prospective nature of randomized evaluations makes planning before the innovation is launched the most important stage of the evaluation. This paper hopes to generate insights into the motivations for and possibilities of using experimental evaluations to assess different microfinance product designs.
The rest of the paper is organized as follows. In Section II, we discuss the problems with nonexperimental approaches commonly used in microfinance to evaluate program innovation and the reasons why the random control trial methodology is preferable. We introduce an experimental pilot approach to product innovation and the steps to design a randomized control trial in Section III. In Section IV, we discuss some key issues needed to be considered when designing an experiment. Section V presents an example of a randomized control trial on group versus individual liability in the Philippines. Section VI provides further examples of different microfinance programs in which randomized control trials could be employed to evaluate the program impact. Finally, Section VII concludes.
II. WHY WE NEED A CONTROL GROUP AND HOW WE CAN GET IT
In evaluating a lending product innovation, we typically discuss an existing loan program in which some change is being made. Therefore an existing client base already exists. Program innovation evaluations seek to compare the actual outcomes of an innovation to a program with the outcomes that would have resulted in the absence of the innovation. Because a potential client can be either borrowing in the program with the new lending feature or not, and cannot do both, the outcomes in the absence of the new lending feature are unobservable for those who receive the new product. Any evaluation then amounts to establishing the counterfactual outcome: What program client's outcomes would have occurred had the new lending feature not been introduced?
A. Why We Need a Control Group
In the field of microfinance, practitioners frequently evaluate new lending products by using nonexperimental designs. Most often, they let a few volunteer clients use the new lending product under study, or offer it to a small group of select clients. Alternatively, they introduce a product change throughout an entire branch of a lending institution with all clients in that branch using it. The evaluator then attributes the observed change in the clients' outcome indicator to the product change introduced, without explicitly constructing the counterfactual outcome.
SSSSSECTION II WHY W WEEEEE NEED AAAAA CONTROL GROUP AND HOW W WEEEEE CAN GET IT
This type of evaluation contains a strategic error. The problem is that in addition to the introduced product change there may be other factors that also contribute to the changes in clients' outcomes. These other factors may come from the environment in which the clients live, or may be peculiar to the clients. For example, suppose we are interested in the change in the clients' income. The observed increase in the clients' income may be due to several factors: (i) the product change introduced; (ii) general economic improvement in the region; (iii) new income-generating opportunities (e.g., a new factory in the region); (iv) the ability of the borrower to use the loan effectively; and so forth.
Consider a farming community that enjoyed unusually favorable weather conditions at the onset of the introduction of a new product. It is observed that clients' income rose during the study period. Given only this observation, an evaluator cannot be sure if the rise in income was completely attributable to the new product, or was mostly due to better harvest that results from good weather. The estimation error (also called bias) in this case is the growth in income due to better harvest brought about by favorable weather.
Accurate evaluations must control for these external intervening factors. If we could observe the same client at the same point in time both borrowing and not borrowing the new loan product, this would effectively account for any other observed and unobserved intervening factors. Since this is impossible, to isolate the effect of the product change from effects caused by other intervening factors, a control group is necessary. We need a comparator group of clients not availing the new lending product but having similar characteristics as those borrowing. Simply observing the change in clients' outcomes without a control group makes it impossible to assess the true, isolated impact of the product feature being evaluated.
Even evaluating the success of a product change based on the experience of one entire branch to which the innovation was introduced is erroneous. In such evaluations, the evaluator assumes that without the product change clients in the selected branch would have a similar experience as clients in other branches that did not receive the innovation. This approach is flawed because each branch is unique in its characteristics, with different geography, economic conditions, and human resources. As cited above, if the improvement in clients' incomes was caused by favorable weather, two branches with different characteristics can have quite divergent experiences. Or, if the branch with the product innovation being evaluated happened to have clients who are more entrepreneurial, comparing it with other branches could cause the MFI to falsely attribute the difference to the effect of the innovation.
An MFI with a sufficient number of branches could in fact compare several branches that receive the innovation to several branches that do not. This would require that branches be randomly assigned to treatment and control groups, as described below, and a sufficient number of branches be allowed for an adequate sample size.
B. Why the Control Group should be Randomly Chosen
The objective of product change evaluation is to establish a credible control group of individuals who are identical in every way to individuals in the treatment group, except that they have no access to the new product.
EEEEEVALUATING MICROFINANCE PROGRAM I I I I INNOVATION
WITH WITH WITH WITH WITH
RRRRR
ANDOMIZED
ANDOMIZED
ANDOMIZED
ANDOMIZED
ANDOMIZED
C C C
ONTROL
ONTROL ONTROL
ONTROL ONTROL
TTTTT
RIALS RIALS RIALS RIALS RIALS
:::::
NNNNN
AAAAA E E E E E
XAMPLE
XAMPLE XAMPLE
XAMPLE XAMPLE FROM FROM FROM FROM FROM
GGGGG
ROUP ROUP ROUP ROUP ROUP VERSUS
VERSUS VERSUS
VERSUS VERSUS
IIIII
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
L L L
ENDING
ENDING ENDING
ENDING ENDING
XXXXX AAAAAVIER VIER G INÉ ,,,,, T OMOKO H ARIGAYA, D EAN K ARLAN, AND B INH T. N GUYEN
Establishing such a credible control group is a challenge in practice. The problem is that in reality borrowers and nonborrowers usually are different. Microfinance programs usually target certain groups of clients, such as women in poor neighborhoods. This endogenous program placement effectively makes borrowers and nonborrowers different in some set of characteristics (e.g., on average borrowers have a lower income than nonborrowers). When participation is voluntary, the fact that clients select themselves into the program indicates differences (observable or unobservable) between borrowers and nonborrowers. For instance, borrowers in microcredit programs designed to promote household businesses may be intrinsically more entrepreneurial than nonborrowers. Or in a program of credit with education designed to promote children's education, borrowers may choose to join the program because they value their children's education more than nonborrowers do.
Because of endogenous program placement and endogenous program participation, those who are not borrowing are often not a good comparison group for those borrowing. As a result, the observed difference in the outcomes can be attributed to both the program's impact and the pre-existing differences between the two groups. The comparison between the two groups will yield the accurate program impact only if the two groups have no pre-existing differences other than access to the product change being evaluated.
The key feature in experimental methods is random assignment. Random assignment removes any systematic correlation between treatment status and both observed and unobserved characteristics of clients. Clients (or groups of clients) are randomly assigned to a treatment group (who will borrow the new lending product under study) and a control group (who will not borrow). By construction, the randomization procedure ensures that the two groups are identical at the outset. Individuals in these groups live through the same external events throughout the same period of time, and thus encounter the same external intervening factors. The only thing different between the two groups is that those in the treatment have access to the new product and those in the control do not. Therefore, any difference in the outcomes between the two groups at the end of the study must be attributable to the product change. Random assignment assures the direction of causality: the product innovation or change causes an improvement for the client (or the institution).
III. EXPERIMENTAL PILOT APPROACH TO PRODUCT INNOVATION
In a randomized control trial, one program design is compared to another by randomly assigning clients (or potential clients) to either the treatment or the control group. If the program design is an "add-on" or conversion, the design is simple: The microfinance institution randomly chooses existing clients to be offered the new product. Then, one compares the outcomes of interest for those who are converted to those who remained with the original program. A similar approach is also possible with new clients, although it is slightly more difficult. In this section, we will discuss the logistics of how to change an existing product, where clients are already using some service in the program.
The flowchart in Figure 1 below presents the basic phases. Often, microfinance institutions innovate by doing a small pilot and the full launch (Phases 1 and 3), but not a full pilot (Phase 2). Hence, this paper focuses heavily on why this second step is important and outlines its basic steps.
SSSSSECTION III EEEEEXPERIMENT XPERIMENTAL AL PILOT AAAAAPPROACH TO PRODUCT I I I I INNOVATION
FIGURE 1 TESTING A PRODUCT INNOVATION
Phase 1: Small Pilot
(resolve operational issues, establish basic client interest and self-reported satisfaction)
Phase 2: Full Pilot
(randomized control trial in which some receive the new, some the old product, all randomly chosen; use this to evaluate impact of change on both institutional and client outcomes)
Phase 3: Full Launch (if Phase 2 succeeds)
A. Identify the Problem, Potential Solution, and Conduct a Small Pilot
Product innovation typically aims at solving a problem of the existing product or improving the impact and feasibility of the product. The first step is to identify the problem of the current product and potential solutions through a qualitative process. This should include examination of historical data, focus groups and brainstorming sessions with clients and staff, and ideally discussions with other microfinance institutions that have had similar problems. Once a potential solution is identified, the second step is to prepare an operating plan and small pilot.
An operating plan should include specifics on all necessary operational components to introduce the proposed change. This includes, for instance, development of training materials, training staff processes, changes to the internal accounting software, compensation systems, and marketing materials.
In order to resolve operational issues and depending on the complexity of the proposed change, a small pilot implementation should be done next. This can be done on a small scale, and is merely to test the operational success of the program design change. This initial prepilot does not answer the question of impact on the institution or the client. It instead intends to resolve operational issues so that the full pilot can reflect accurately the impact from a full launch. 1
1 This paper does not elaborate on this step, as much has been written on it already by organizations such as MicroSave Africa. In this paper we put forth a process that begins where such organizations stop.
EEEEEVALUATING MICROFINANCE PROGRAM I I I I INNOVATION WITH RANDOMIZED C C CONTROL TTTTTRIALS::::: AAAAANNNNN EXAMPLE FROM GROUP VERSUS I I I I INDIVIDUAL L L LENDING
XXXXX AAAAAVIER VIER G INÉ ,,,,, T OMOKO H ARIGAYA, D EAN K ARLAN, AND B INH T. N GUYEN
After the proposed solution has been identified and a small pilot is conducted, the "testing" is not over. It is important to know the impact of the product innovation on both the institution (repayment rates, client retention rates, operating costs, etc.) and the client (welfare, consumption, income, social capital, etc.). To measure such outcomes properly, one cannot merely follow the participants and report their changes. The flaws of this were discussed in the previous section. One needs a control group.
B. Identify Treatment Assignments
Often a proposed solution has one main change, but many minor issues that need to be decided. For instance, when testing Credit with Education in the FINCA program in Peru (Karlan and Valdivia 2005), the type of education modules to be offered was selected, and in testing individual liability, optimal loan size was determined. A careful experimental design can include tests of such subquestions. Specific examples will be provided below when we discuss testing group versus individual liability. These questions often arise naturally through the brainstorming questions. Any contentious decision is perfect for such analysis, since if it was contentious then the answer is not obvious!
C. Sample Frame and Sample Size
The sample frame is the pool of clients (or potential clients) who are included in the impact study. One will assign clients (or potential clients) randomly to "treatment" or "control" groups (that is, clients will be divided randomly into two groups. Members of one group will get the innovation and members of the other will not). Two types of sample frames should be considered: existing clients and new clients. When the innovation is a change to an existing product, an initial test can consist of existing clients. Defining a sample frame of potential clients can be more difficult. The following section shows how this is being done with the group versus individual liability evaluation in the Philippines.
Determining necessary sample size is also key to a successful evaluation. To calculate the necessary sample size, one needs to consider (i) what a "successful" outcome looks like (e.g., if repayment rates are 90%, would increasing them to 94% be considered satisfactory enough to then warrant a full conversion to a new product?); (ii) what the current level is for the outcome measure; and (iii) if the outcome measure is not a binary variable (e.g., being in default), then one needs to know the typical variation (i.e., the standard deviation) of the outcome of interest. 2
2 We recommend the free software Optimal Design for helping to determine sample sizes. It can be downloaded from http://sitemaker.umich.edu/group-based/optimal_design_software.
IV. ISSUES TO BE CONSIDERED WHEN DESIGNING AN EXPERIMENT
A. Spillovers
The internal validity of experimental designs rests on integrity of the data from treatment and control groups. The results are improved when treatment and control groups remain intact throughout the study. 3 However, in microfinance programs, this cannot always be guaranteed and spillovers may arise. With proper care and information about noncompliance, this can be dealt with in the analysis (although if the noncompliance is severe, this could irreparably damage the study).
There are two types of spillovers to discuss. One merely affects the experimental design, and involves what to do when someone from the treatment (or control) group learns about the existence of the other group and asks why they are not receiving what the other person is receiving. We will call this the "experimental spillover." Experimental spillovers are often more of a concern in theory than in practice. However, this does not mean they should be ignored. They need to be minimized, and also should be carefully recorded because they may affect the results of the evaluation. For instance, in the group versus individual liability experiment in the Philippines (discussed in more detail in the next section), we identified "sibling" barangays (neighborhoods or villages) as those that are contiguous and for which there is much social interaction. We treated them as one barangay for the sake of randomization, thus ensuring that no "sibling" barangays were split and received different program designs.
Still, all experiments must be prepared for the groups to learn about each other. Staff must be trained in how to deal with these questions. We have found that candor in explaining the rationale, ie., that the MFI is considering making a change and is testing it out carefully on a subset of clients, works best when clients ask "why did I receive X when my cousin, who is also a client, is receiving Y?" Clients need to know that they had an equal and fair chance at being selected for the change, that it was not done preferentially, and that if the change works well, then it will be expanded fully. Ideally, the MFI can record information about all such inquiries, because learning about such interest (or disinterest) can help when evaluating the outcome and deciding whether to proceed with a full launch of the change.
The other type of spillover has to do with the indirect effects brought about by the program—not on clients but on others, including clients' families, neighbors, or community members. We will call this second type "impact spillovers." Impact spillovers can be both good and bad. A "good" spillover refers to the effect on other people of providing one person with a particular service or product. By only treating one person, often you treat many more.
3 In some experimental designs, treatment is not mandatory for the treatment group, and/or control group is permitted to get treated. These are called encouragement designs, in which everyone receives the treatment but only the treatment group is given an encouragement to participate in the treatment (but is not required to participate). The control group is not given the encouragement (but is allowed to participate in the program if they choose so.) These work as long as the encouragement leads to a higher enough take-up rate in the treatment group than the control group. See Ashraf et al. (2006) for an example of such a design.
EEEEEVALUATING MICROFINANCE PROGRAM I I I I INNOVATION WITH RANDOMIZED C C CONTROL TTTTTRIALS::::: AAAAANNNNN EXAMPLE FROM GROUP VERSUS I I I I INDIVIDUAL L L LENDING
XXXXX AAAAAVIER VIER G INÉ ,,,,, T OMOKO H ARIGAYA, D EAN K ARLAN, AND B INH T. N GUYEN
Deworming interventions are a perfect example of this. In a study in Kenya, researchers found that deworming school-aged children did not pass a cost–benefit analysis relative to other interventions when you only consider the direct effect. However, when you take into account the indirect effects as well (the "spillovers" in this situation take place because worms are passed from one child to another through the dirt in communal play areas), the intervention does indeed pass a cost–benefit analysis (Miguel and Kremer 2004). In microcredit, several examples exist for spillovers, both positive and negative. For credit with education programs, clients may share what they learn with others in their community or family. For credit itself, the increased business of one client may create employment in the community. For group lending, it may help build social capital among the group members, which may influence others to form similar bonds (due to observing the success of the group members). A bad spillover may come from competitive pressures: if the MFI funds an individual to start a particular type of business, this may adversely affect other similar businesses in the community (although it might increase aggregate welfare for the community by lowering prices or improving product quality for the consumers in the community).
B. Ethical Considerations
Stakeholders sometimes have ethical arguments about randomization, as some perceive them as arbitrary and "unethical", depriving the controls from positive benefits. This argument rests on two assumptions that typically are flawed.
First, this concern is based on the assumption that the program change is unequivocally good. If there is no doubt that the change should occur, that it not only will improve the situation but that it will do so more than any other change, then indeed testing the change would be a waste of resources. Such situations are rare, however. More often than not policy changes are debated and although strong hypotheses may exist, there is no adequate evidence to know unequivocally that the change will yield positive results for everyone. The MFI initiating a product change must decide the amount of resources it is willing to invest in testing the change based on how much uncertainty there is regarding the consequences of the change. If there is doubt about the efficacy of the change, then the experimental test may indeed be the most reasonable choice, so that the organization learns through the careful test not to implement the project further.
Second, this ethical criticism assumes unlimited resources for the change to reach everyone in the program. In many cases, this is not true for either budgetary or logistical reasons. For example, if the intervention is credit with education, the training of staff to provide the education modules is both costly and time consuming. Large organizations cannot do this all at once, but rather usually stagger the training of their employees on how to teach the material to the clients. In this way, a randomized rollout of the product can be offered to just as many clients as the organization has the capacity to reach, with or without the experiment.
ECTION
SSSSS
ECTION
ECTION
ECTION ECTION
SSUES
IIIII
SSUES SSUES SSUES SSUES TO TO TO TO TO
IV IV IV IV IV
BE BE BE BE BE
C C C
WHEN WHEN WHEN WHEN WHEN
DDDDD
ONSIDERED
ONSIDERED
ONSIDERED
ONSIDERED
ONSIDERED
ESIGNING
ESIGNING
ESIGNING
ESIGNING
ESIGNING AN AN AN AN AN
EEEEE
XPERIMENT
XPERIMENT
XPERIMENT
XPERIMENT
XPERIMENT
C. Cost of Randomized Experiments
Experimental methodologies are often perceived as more costly than nonexperimental methodologies. Relative to no evaluation at all, certainly an experimental evaluation costs more in the short run. Yet an experimental evaluation may be less costly in the long run if the results from the evaluation help to guide the long-term decisions and planning for the institution. Take for example an MFI considering whether or not to increase the interest rates of its loans. An increase in interest rates may meet the MFI's financial targets in the short run. However, raising interest rates too high will drive away customers and reduce the loan repayment rates. This in the long run may erode the surpluses generated by the program's clients. It is therefore critical for the MFI to understand the net effect of an interest change to set the most desirable rate. Thus, spending some money now to have a credible assessment on the client's response to the proposed interest increase is by far less costly than saving the money and making a wrong decision. 4
Relative to nonexperimental evaluations, experimental evaluations are often less costly in the short run and certainly even less costly in the long run, when the benefits of more accurate results are factored in. When household surveys are used they typically encompass the largest component of the budget. However, the cost of collecting data for a nonexperimental evaluation is often more expensive than for an experimental evaluation because nonexperimental evaluations usually require larger data sets to process complicated econometric models. The analysis for an experimental evaluation, if designed correctly, is quite simple: one can obtain the answer simply by comparing mean outcomes between treatment and control groups.
The bottom line is that the cost of random experiments must be judged within particular contexts. The literature on microfinance provides no specific information on the overall or unit costs of evaluations but a vast array from a few thousand to several million dollars, depending on the questions studied and the number of MFIs involved (Hulme 1997). 5 A simple experiment, such as an evaluation of a program innovation, may indeed not require surveys, but rather just the MFI administrative data (e.g., repayment rates), to measure the efficacy of the change. In this case, the data can be retrieved at no cost from the MFI's accounting software or management information system. The cost of the experiment is merely the management time required to design the experiment and train and motivate the staff in why the program innovation is being tested in this manner, as well as to analyze the data. If the organization is undergoing change to its products or processes, then enacting this change with an experiment rather than ad hoc may not even add any further costs.
4 More generally, findings from good random experiments can help avoid costly mistakes. For example, Duflo and Hanna (2005) find that in an education program in India adding a second teacher to the classroom makes no improvement in students' test scores, influencing redirection of funds to other more effective initiatives. Such decisions can have vast financial implications for programs at a national level.
5 One example of the cost of a comprehensive nonexperimental evaluation, reported by Montgomery et al. (1996), is the 1994 impact evaluation of BRAC's credit program that cost US$250,000.
EEEEEVALUATING MICROFINANCE PROGRAM I I I I INNOVATION
WITH WITH WITH WITH WITH
RRRRR
ANDOMIZED
ANDOMIZED
ANDOMIZED
ANDOMIZED
ANDOMIZED
C C C
ONTROL
ONTROL ONTROL
ONTROL ONTROL
TTTTT
RIALS RIALS RIALS RIALS RIALS
:::::
NNNNN
AAAAA E E E E E
XAMPLE
XAMPLE XAMPLE
XAMPLE XAMPLE FROM FROM FROM FROM FROM
GGGGG
ROUP ROUP ROUP ROUP ROUP VERSUS
VERSUS VERSUS
VERSUS VERSUS
IIIII
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
L L L
ENDING
ENDING ENDING
ENDING ENDING
XXXXX AAAAAVIER VIER G INÉ ,,,,, T OMOKO H ARIGAYA, D EAN K ARLAN, AND B INH T. N GUYEN
V. EVALUATING GROUP-LIABILITY VERSUS INDIVIDUAL-LIABILITY LOANS: THE PHILIPPINE CASE
A randomized control experiment was designed in the Philippines to evaluate the impact of group-liability versus individual-liability lending programs. While group lending programs are still prominent in microfinance practice, a small but increasing number of microfinance institutions are expanding rapidly using individual lending. As these institutions explore the benefits of individual-liability loans for the poor, there is an opportunity to apply randomized control trials to rigorously evaluate the impact of the innovation compared to the group-liability program.
Indeed, given the popularity and apparent success of the two methodologies, as well as the lack of rigorous evaluations of both of them, it is difficult to know the real advantages and disadvantages of each—and therefore to formulate policies on this matter. An example like the one proposed in this paper can fill this void and provide useful guidance to the microfinance industry at large.
A. Motivation of the Study
Unlike individual liability, under which each borrower is only responsible for her own loan, group liability requires members of a defined group to help repay the debt of other members when they cannot repay. Unless the group as a whole repays every member's amount due, no member will be granted another loan. The Grameen Bank in Bangladesh developed a lending methodology based on group liability that is now employed by many nongovernment organizations and microfinance institutions around the world. The success and popularity of this approach can be linked to its numerous perceived advantages. (Some of the advantages, while associated with group liability, are not inherent to group lending alone, as will be shown below.) Such oft-cited advantages include:
(i) Clients face both peer and legal pressures to repay their loans.
(ii) Clients have incentives to screen other clients so that only trustworthy individuals are allowed into the program.
(iii) Transaction costs are low as clients meet and pay at the same time and location.
(iv) Training costs are cheaper as clients all gather periodically.
(v) Clients have incentives to market the program to their peers, thereby helping to bring in more clients.
(vi) Groups may help build social and business relationships.
As is the case with most methodologies, group liability is not without potential disadvantages. These include:
VVVVVALUA
EEEEE
ALUA ALUA ALUA ALUATING TING TING TING TING
GGGGG
ROUP ROUP ROUP ROUP ROUP
SSSSS
ECTION
ECTION ECTION
ECTION ECTION
IABILITY
-L -L -L -L -L
IABILITY
IABILITY
IABILITY
IABILITY
VVVVV
ERSUS
VVVVV
ERSUS ERSUS ERSUS ERSUS
IIIII
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
-----
LIBAILITY
LIBAILITY
LIBAILITY
LIBAILITY
LIBAILITY
L L L
OANS OANS OANS OANS OANS
:::::
HE
TTTTT
HE HE HE HE
PPPPP
HILIPPINE
HILIPPINE
HILIPPINE
HILIPPINE
HILIPPINE
CCCCC
ASE ASE ASE ASE ASE
(i) Clients' dislike of the tension caused by peer pressure, which could lead to lower client satisfaction and hence higher dropout.
(ii) Older clients tend to borrow significantly more than newer clients, and this heterogeneity often causes tension within the group, because new clients do not want to be responsible for others' much larger loans.
(iii) Group lending could be more costly for clients since they are often required to repay the loans of their peers.
(iv) Clients dislike the longer meetings typically required for group lending.
(v) Default rates could be higher than if there were no group liability because bad borrowers can bring down good borrowers (i.e., once your peer has gone into default, you have less incentive to pay back the loan yourself).
(vi) Default rates could be higher than if there were no group liability because clients can "free ride" on good clients. In other words, a client does not repay the loan because the client knows that another client will pay it for them, and the bank will not care because they still will get their money back.
(vii) Villagers with fewer social connections might be hesitant (or even unwelcome) to join a borrower group.
Given the existence of these potential negative aspects and the fact that the last three advantages listed can be obtained without resorting to group liability, 6 there is a strong case to be made for an MFI to experiment with offering individual loans to their clients. This concern over the excessive tension generated among members by imposing group liability is precisely the main motivation for the shift from group-liability to individual-liability loans. Practitioners worry that the conflict among members could not only lead to high dropout rates and affect the sustainability of the program, but also potentially harm social capital so valuable to the poor who lack economic security.
Two features of this innovation make it a perfect case for a randomized control evaluation. First, there are conflicting arguments for and against individual liability loans, and the net impact of such programs compared to group-liability lending programs is not clear. Besides the obvious benefit of removing group liability for the clients (reducing pressure and tension among members), the individual liability loans may also benefit the lending institution by increasing the client retention rate (because clients prefer individual liability) and thereby the MFI's portfolio. However, the lender will lose a crucial enforcement mechanism when group liability is removed. It would negatively affect the repayment rate if none of the group members is willing to make a voluntary contribution to cover the repayment of defaulted members. Using a randomized control trial, the relative merits of group-liability versus individual-liability loans for both clients and institutions can be evaluated.
6 For instance, under the methodology employed by the MFI Association for Social Advancement, clients still meet together but are individually liable for their loans.
EEEEEVALUATING MICROFINANCE PROGRAM I I I I INNOVATION
WITH WITH WITH WITH WITH
RRRRR
ANDOMIZED
ANDOMIZED
ANDOMIZED
ANDOMIZED
ANDOMIZED
C C C
ONTROL
ONTROL ONTROL
ONTROL ONTROL
TTTTT
RIALS RIALS RIALS RIALS RIALS
:::::
NNNNN
AAAAA E E E E E
XAMPLE
XAMPLE XAMPLE
XAMPLE XAMPLE FROM FROM FROM FROM FROM
GGGGG
ROUP ROUP ROUP ROUP ROUP VERSUS
VERSUS VERSUS
VERSUS VERSUS
IIIII
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
L L L
ENDING
ENDING ENDING
ENDING ENDING
XXXXX AAAAAVIER VIER G INÉ ,,,,, T OMOKO H ARIGAYA, D EAN K ARLAN, AND B INH T. N GUYEN
Secondly, in recent years individual-liability loans in the microfinance community have gained popularity around the world. Although replication of the study is necessary to generalize the results of this particular evaluation, it will help identify the effective environment and design of the program, benefiting not only the lending institution and its clients, but also the entire microfinance community. As such, it can play an important role in both policy making and product design.
B. Objective of the Study and Hypotheses
We collaborate with Green Bank, a commercial bank based in Mindanao, as it expands its microfinance operation in the Visayas islands, to conduct a pilot-testing experiment to evaluate individual-liability loans (see Box 1). In this experiment, we seek to evaluate the following impacts:
(i) relative impact of group versus individual liability on clients and their communities,
(ii) relative cost and benefit of group-liability versus individual-liability loans for Green Bank, and
(iii) impact of credit on individuals and their communities.
Specifically, we pose the following questions:
(i) How does group relative to individual liability affect institutional outcomes such as repayment, client retention, loan size, and operating (labor) costs?
(ii) Does group liability motivate peers to monitor and/or enforce repayment of loans?
(iii) Does group liability motivate peers to select less risky clients for a bank?
(iv) How does selection on other dimensions (e.g., poverty, social connectedness) differ under group versus individual liability? Are those less-connected (hence perhaps less likely to have good informal social safety nets) less likely to participate in group lending than individual lending programs?
(v) What is the impact on the household, enterprise and community from a microfinance institution offering credit in their community? How does this impact differ for group versus individual liability loans?
(vi) What are the impacts, positive and negative, on social networks from group versus individual liability loans?
C. Experimental Design
The experimental design employs one strategy for "existing areas" and one for "new areas." The "existing areas" strategy involves converting existing centers to individual-liability loans. The advantage of this approach is that one can attribute the differences between group
12 12 12 12 12
:::::
SSSSSECTION VVVVV EEEEEVVVVVALUA ALUA ALUATING TING GROUP-LIABILITY VVVVVERSUS I I I I INDIVIDUAL-----LIBAILITY L L LOANS TTTTTHE PHILIPPINE CASE
and individual liability to differences in the loan liability, and not to differences in the individual characteristics of the clients per se. This is true because all existing clients joined the program under a group liability scheme. Thus there is no selection bias as would be inherent in comparing the outcomes of clients who have chosen group liability to the outcomes of clients who have chosen individual liability. The disadvantage is that there may be differences between clients who have enrolled in a group-liability program and the borrowers that would enroll in an individual-liability program. Therefore while the results from the "existing areas" strategy will be accurate for those who are willing to sign up for group liability, we cannot determine from this strategy alone how the product will work among clients who know from the outset that they are joining an individual-liability program.
It is then important to understand these potential differences among borrowers, especially when generalizing the results of the cost and benefits of group liability. For this reason, the study includes a "new areas" strategy by working with Green Bank as it expands to new areas in the eastern coast of Leyte (Tacloban) and the neighboring islands of Cebu and Bohol.
BOX 1 GROUP VS. INDIVIDUAL LOAN PROGRAMS IN GREEN BANK
Green Bank is a commercial bank established in 1975 and currently operates in northern Mindanao and the Visayas islands. Its microfinance department was formed in the late 1990s, and the group-liability lending program BULAK was launched in 2000.
BULAK follows a modified version of the Grameen approach. In BULAK there are four different units: individuals, groups, centers, and branches. Up to five low-income women come together to form a group. The group is formed by them and not by the bank. Then, three to six groups come together to form a center. The center is where all of the groups hold their weekly meetings and collect payments. Typically a barangay (submunicipality) will have one center. In total, Green Bank has over 15,000 clients.
All loans given under the BULAK program are to be used for expanding the client's microenterprise. The initial loan is between 1,000-5,000 pesos (roughly $18–90) and increases by P5,000 after every cycle, such that the maximum loan size in the 5th cycle is P25,000. However, the loan size is a function of the repayment on the last loan, attendance at meetings, business growth, and contribution to their personal savings. Loans are charged an interest rate of 2% per month over the original balance of the loan. The client has between 8-25 weeks to repay the loan, but payments must be made on a weekly basis.
As part of the BULAK program, clients are also required to make mandatory savings deposits at each meeting. Each member has 100 pesos ($1.80) deducted from every loan release. In addition, 10% of their weekly due amount (principal plus interest) is deposited in their individual savings account. Member savings may be used to repay debts and may also be used as collateral, although in this last case there are no fixed rules. Finally, P10 ($.36) per meeting are required for the group and center savings. These center savings cover mostly the construction of the center meeting place, and are only used as a last resort to repay member loans.
The individual-liability program (BULAK II) being pilot tested in the experiment has all the features of BULAK program, including weekly repayment meetings and consolidation of repayment by center groups, except the following two features: first, no client is liable for her group members' loans, and second, there are no mandatory center and group savings. All Center activities will now be paid individually on a per-activity basis.
AAAAA
EEEEEVALUATING MICROFINANCE PROGRAM I I I I INNOVATION
WITH WITH WITH WITH WITH
RRRRR
ANDOMIZED
ANDOMIZED
ANDOMIZED
ANDOMIZED
ANDOMIZED
C C C
ONTROL
ONTROL ONTROL
ONTROL ONTROL
TTTTT
RIALS RIALS RIALS RIALS RIALS
:::::
NNNNN
EEEEE
XAMPLE
XAMPLE XAMPLE
XAMPLE XAMPLE FROM FROM FROM FROM FROM
GGGGG
ROUP ROUP ROUP ROUP ROUP VERSUS
VERSUS VERSUS
VERSUS VERSUS
IIIII
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
NDIVIDUAL
L L L
ENDING
ENDING ENDING
ENDING ENDING
VIER
XXXXX
AAAAAVIER VIER
VIER VIER
GGGGG
INÉ INÉ INÉ INÉ INÉ
,,,,, T
OMOKO
H
ARIGAYA
, D
EAN
K
ARLAN,
AND
B
INH
T. N
GUYEN
This expansion also provides a unique opportunity to test the impact of the credit itself. A randomized program placement strategy is employed to assign barangays to either individual or group liability, and also to a control group. This allows us to test the impact on household, enterprise, and community outcomes from receiving either group or individual liability loans.
D. BULAK-2: Pilot Phase
Since the change to individual liability is significant, careful testing is required before it can be fully implemented. A small pilot test was conducted in Leyte, which also served as the location of the full study. Green Bank has 169 lending centers in Leyte, with an average membership of 25 individuals (or 5 groups) per center. For the pilot phase, one center from each credit officer's portfolio was randomly chosen, 11 centers in all, to convert to the new individual-liability methodology. This random selection of centers is critical. If, for instance, one were to pick only the best centers, then one would not know whether the results were generalizable to the inferior centers. One might falsely conclude that individual liability is better, when in fact perhaps it is only good for the best groups.
This first pilot phase began in August 2004. In early November 2004, 24 more centers were randomly converted. The full pilot phase as of May 2005 includes 85 converted centers and 84 original (group liability) centers.
E. New Area Plan
Evaluating the relative impact of group-liability versus individual-liability loans poses a challenge in the conventional nonexperimental evaluation method because the two programs attract different types of clients—unobservable heterogeneity between the two groups of clients may confound the results. In a randomized control trial, random selection of the sample allows comparison between the two groups. The procedure to start operations in new areas is novel and another contribution of the study. It consists of two parts, the identification of eligible barangays and of potential clients through a marketing meeting.
(i) Identif Identification of the Barangays: ication of the Barangays: ication of the Barangays: The first step is to gather basic information about the barangays from the municipality office. This information is mainly used to exclude barangays with low population density as it is deemed too costly to start operations in these areas. The credit officer visits the selected barangays and conducts a survey to verify the following criteria: (a) number of microentreprises, (b) residents' main sources of income, (c) barangays' accessibility and security, and (d) perceived demand by the residents for microcredit services. The survey is administered to the secretary of the barangay, typically the person with the most information about the administrative aspects of the barangay.
(ii) Census of Microentrepren Census of Microentrepreneurs: eurs: eurs: The purpose of the census is to construct the sample framework to assess which businesses are interested in credit and could eventually be clients of Green Bank. The census records basic information regarding the size
:::::
SSSSSECTION VVVVV EEEEEVVVVVALUA ALUA ALUATING TING GROUP-LIABILITY VVVVVERSUS I I I I INDIVIDUAL-----LIBAILITY L L LOANS TTTTTHE PHILIPPINE CASE
of their business and their credit history. While it is being conducted, they are told about the marketing meeting.
The sample villages identified are randomly assigned to the following four groups.
(i) BULAK: Green Bank will offer group-liability loan program
(ii) BULAK to BULAK II: Green Bank will offer group-liability loans and remove group liability after the first loan cycle
(iii) BULAK II: Green Bank will offer individual-liability loan program
(iv) NO CREDIT: Green Bank does not offer their services (control group)
It is important to note that our sample in Groups 1, 2, and 3 is NOT the actual borrowers, but rather the "potential clients." This is because if we were to compare those who choose to participate in the program in the areas in which the program is offered to those in the control group, our estimate of impact will suffer from self-selection bias. We would capture, in addition to the true effect of the program, the extra motivation of the clients who decide to enroll. However, instead of watering down our estimate of average impact (calculating the average outcomes among those who do participate, as well as all those who do not) we can improve our estimate—and keep it unbiased—by employing a technique called propensity score matching and weighting the impact estimate by the likelihood that each individuals becomes a client. The key in this sample formation is to identify those who "would" receive a loan from Green Bank if Green Bank were to operate in the village. Propensity score matching uses the baseline characteristics of the potential clients to statistically identify those most likely to participate in the program. We measure the impact on each client by comparing their outcomes to the outcomes of those in the control group with a similar propensity to participate.
Because the sample selection in the four groups is consistent, sample bias in subsets from these groups is consistent, and we can compare the impact between any of the four groups. This experimental design provides a unique opportunity to measure the clean impact of credit by comparing Groups 1, 2, and 3 with Group 4.
F. Measuring Impact
We measure the impact by comparing different outcome measures between the treatment groups and control groups. The impact of the program can be measured at three different levels: individual client, community, and institutional. By looking at the impact not only at the client and institutional levels but also at the community level, we can evaluate the broader implication of the program and how it could affect the local economic status. In order to make necessary comparisons, the data are collected in three different methods:
(i) Baseline Survey: the information on sample villages and clients is collected before the experiment takes place. This information is used in validating the randomization as well as in analyzing the post-experiment impact. In the Green Bank study, we collected information on loan history, business status, household well-being
EEEEEVALUATING MICROFINANCE PROGRAM I I I I INNOVATION WITH RANDOMIZED C C CONTROL TTTTTRIALS::::: AAAAANNNNN EXAMPLE FROM GROUP VERSUS I I I I INDIVIDUAL L L LENDING
XXXXX AAAAAVIER VIER G INÉ ,,,,, T OMOKO H ARIGAYA, D EAN K ARLAN, AND B INH T. N GUYEN
(economic and psychological), social networks, and risk preferences of the sample individuals. By definition, randomization will create comparable treatment and control groups; however, it is always a good idea to validate the random assignment by checking some key variables from the baseline survey before the launch of the experiment (comparing the means of the variables for treatment and control groups and ensuring they do not differ significantly).
(ii) Follow-up Survey on Clients: The survey conducted after the study period will be used to evaluate the program impact. The information collected will include clients' performance in the Green Bank program, clients' business performance, as well as their household welfare.
(iii) Activity-based Cost Exercise: This exercise records all activities of development (loan) officers. By comparing the total time spent on BULAK II versus BULAK centers, we will be able to calculate the cost for the institution of the individualliability program relative to the group-liability program.
G. Replication of the Study
Given the decision by several MFIs to employ individual-liability loans, it is not only in Green Bank's interest, but also in the interest of the microfinance community as a whole to learn the impact of group-liability versus individual-liability programs. However, we cannot draw a general conclusion from the result of this specific program evaluation in the Philippines. Only after replications of the evaluation, with different MFIs in different places and with different clients, can we make more general statements about the impact of group-liability versus individual-liability loans.
Many factors may make the results of the evaluation unique to Green Bank and its context. The following are some of such factors:
(i) Initial Social Network: The importance of social networks among program members depends on many exogenous factors: culture, village size, village economic activities. The more economically vulnerable clients are, the more they rely on their social networks for support. If this is the case, removing group liability among uncollateralized clients may result in better repayment performance among lowerincome groups than among those with more stable income flows.
(ii) Type of Clients: For example, Green Bank targets small female entrepreneurs in rural areas. There is a large volume of literature that concludes that female borrowers repay better than male borrowers. The impact of group-liability versus individual-liability loans could well be different between the gender groups.
(iii) Type of Institution: Green Bank is a commercial bank, thus the financial sustainability of its microfinance programs is a critical part of its operational goal. The implications of cost–benefit analysis would be different for Green Bank than for subsidized institutions.
(iv) Context: In most areas where Green Bank operates, it competes for clients with other lenders. For the most part, other lenders tend to offer group-lending loans, so the impact of introducing group liability will be affected by the presence of other lenders and their specific products.
VI. PILOT EXPERIMENTAL APPROACH FOR OTHER LENDING PRODUCT INNOVATIONS
In the previous section we used an example from a randomized control trial designed to evaluate the impact of group-liability versus individual-liability programs with Green Bank in the Philippines. This experimental pilot approach is applicable to many other innovations whose net impact on clients and benefit for the institution is not known. Below are some examples of such cases.
A. Credit with Education
Credit with Education is one of the most popular add-in features of lending programs; yet, the impact of education programs is not well known. Educational programs such as business training may help clients on financial management and lead to more efficient allocation of credit, a service clients may value. However, if these educational programs are made mandatory, clients might find it time-consuming and leave the program all together. See McKernan (2002).
B. Mandatory/Voluntary Savings Rules for Lending Programs
Savings schemes in lending programs aim to reduce clients' vulnerability to unexpected negative economic shocks, as well as to improve clients' financial management skills by encouraging them to make small regular savings. However, if clients lack the discipline to save, they might view mandatory savings merely as an additional burden, reducing the number of borrowers.
C. Savings Products with Commitment Features
Due to self-control or household (e.g., spousal) control issues, some people prefer to have commitment savings products in which deposits are withheld from their access until a specific savings goal is reached. Such products take on many forms, but little empirical evidence of their effectiveness currently exists (Ashraf et al. 2003, Ashraf et al. 2006).
EEEEEVALUATING MICROFINANCE PROGRAM I I I I INNOVATION WITH RANDOMIZED C C CONTROL TTTTTRIALS::::: AAAAANNNNN EXAMPLE FROM GROUP VERSUS I I I I INDIVIDUAL L L LENDING
VIER
XXXXX
AAAAAVIER VIER
VIER VIER
GGGGG
INÉ INÉ INÉ INÉ INÉ
,,,,, T
OMOKO
H
ARIGAYA
, D
EAN
K
ARLAN,
AND
B
INH
T. N
GUYEN
D. Frequency of Payments
Frequency of payment varies from program to program. MFIs generally demand relatively frequent repayment schedules (often weekly) while clients often prefer less frequent payment. Particularly for those who have inconsistent income flows, frequent repayment schedule could increase the default rate.
E. Health/Life/Disability Insurance
Insurance offered with credit aims at reducing vulnerability of clients. Clients as well as microfinance institutions may benefit from the insurance services as they are insured for certain types of economic shocks. However, insurance services may cause adverse selection by attracting riskier clients to the program, which could lead to higher default rates. Or insurance could cause advantageous selection by attracting risk-averse clients, which could lead to lower default rates.
F. Local Public Goods (Community "Empowerment" Training)
The mission of some microfinance institutions is not merely to increase credit access for the poor, but also to empower the economically/socially marginalized sector of the population. Empowerment training may increase impact on clients by improving women's mobility and ability to make economic decisions; or it could increase client exit if the clients do not have an interest in the training.
G. Human Resource Policies
Providing credit officer incentives could improve repayment rates if credit officers use enforcement power appropriately. However, the incentive schemes could cause conflicts between the officers and clients because the officers now have a personal stake in better repayment rates. Such friction between the credit officers and clients may affect the retention rate.
H. Interest Rate Policies
Little is known empirically about the elasticity of demand with respect to interest rates (the extent to which clients are willing to accept higher interest rates, and the extent to which demand for loans increases at lower interest rates). Furthermore, much economic theory has been written about how higher interest rates might drive down repayment rates through information asymmetries such as adverse selection and moral hazard. Some authors try to examine these issues using survey data; see for example Dehejia et al. (2005) and Gross and
Souleles (2002). Experimental studies can be done to study the relationship between interest rates, demand for credit, and repayment rates. See Karlan and Zinman (2005) and Ashraf, Karlan et al. (2006) for an example of such a study.
VII. CONCLUSION
In this paper we have examined the flaws in methods commonly used to assess the impact of microfinance programs and showed that modifications to the design of microfinance programs may be best evaluated through randomized control trials. Randomized evaluations can be performed ethically and cost-effectively, and the accuracy of their results makes them valuable both to the institution implementing the evaluation and to the microfinance community at large. Through the example of individual-liability loans in the Philippines we showed the steps involved in performing an experimental evaluation. Many questions remain, however, and until an evaluation has been replicated in a variety of settings, it remains unknown whether a particular innovation is likely to work for other programs. This is the nature of all evaluative work, regardless of the methodology employed. To stimulate the experimental evaluations of more program innovations we have provided a list of several modifications that could be tested using a similar methodology.
EEEEEVALUATING MICROFINANCE PROGRAM I I I I I
NNOVATION NNOVATION NNOVATION NNOVATION NNOVATION WITH WITH WITH WITH WITH R R R R R ANDOMIZED ANDOMIZED ANDOMIZED ANDOMIZED ANDOMIZED C C C C C ONTROL ONTROL ONTROL ONTROL ONTROL TTTTT RIALS RIALS RIALS RIALS RIALS ::::: AAAAA NNNNN E E E E E XAMPLE XAMPLE XAMPLE XAMPLE XAMPLE FROM FROM FROM FROM FROM G G G G G ROUP ROUP ROUP ROUP ROUP VERSUS VERSUS VERSUS VERSUS VERSUS I I I I I NDIVIDUAL NDIVIDUAL NDIVIDUAL NDIVIDUAL NDIVIDUAL L L L L L ENDING ENDING ENDING ENDING ENDING
XXXXX AAAAAVIER VIER G INÉ ,,,,, T OMOKO H ARIGAYA, D EAN K ARLAN, AND B INH T. N GUYEN
REFERENCES
Ashraf, N., N. Gons, D. S. Karlan, and W. Yin. 2003. A Review of Commitment Savings Products in Developing Countries. ERD Working Paper Series No. 45, Economics and Research Department, Asian Development Bank, Manila.
Ashraf, N., D. Karlan, and W. Yin. 2006. "Tying Odysseus to the Mast: Evidence from a Commitment Savings Product in the Philippines." Quarterly Journal of Economics. Forthcoming.
Dehejia, R., H. Montgomery, and J. Morduch. 2005. Do Interest Rates Matter? Credit Demand in the Dhaka Slums. ADBI Discussion Paper No. 37, ADB Institute, Tokyo.
Duflo, E., and R. Hanna. 2005. Monitoring Works: Getting Teachers to Come to School. BREAD Working Paper No. 103, Bureau for Research and Economic Analysis of Development, London.
Gross, D. B., and N. S. Souleles. 2002. "Do Liquidity Constraints and Interest Rates Matter for Consumer Behavior? Evidence from Credit Card Data." The Quarterly Journal of Economics 117(1):149–85.
Hulme, D. 1997. "Impact Assessment Methodologies for Microfinance: A Review." Paper prepared in conjuction with the AIMS Project for the Virtual Meeting of the CGAP Working Group on Impact Assessment Methodologies, 17–19 April 1997, Washington, DC.
Karlan, D., and M. Valdivia. 2005. Teaching Entrepreneurship: Impact of Business Training on Microfinance Clients and Institutions. Working Paper, Yale University, Connecticut.
Karlan, D. S., and J. D. Zinman. 2005. "Observing Unobservables: Identifying Information Asymmetries with a Consumer Credit Field Experiment." Forthcoming.
McKernan, S.-M. 2002. "The Impact of Micro Credit Programs on Self-Employment Profits: Do Non-Credit Program Aspects Matter." Review of Economics and Statistics 84(1):93–115.
Miguel, E., and M. Kremer. 2004. "Worms: Identifying Impacts on Education and Health in the Presence of Treatment Externalities." Econometrica 72(1):159–217.
Montgomery, R., D. Bhattacharya, and D. Hulme. 1996. "Credit for the Poor in Bangladesh." In D. Hulme and M. P. Mosley, Finance Against Poverty, Vol. 2. London and New York: Routledge.
PUBLICATIONS FROM THE ECONOMICS AND RESEARCH DEPARTMENT
ERD TECHNICAL NOTE SERIES (TNS)
(Published in-house; Available through ADB Office of External Relations; Free of Charge)
Binh T. Nguyen, March 2006
ERD POLICY BRIEF SERIES (PBS)
(Published in-house; Available through ADB Office of External Relations; Free of charge)
ERD WORKING PAPER SERIES (WPS)
(Published in-house; Available through ADB Office of External Relations; Free of Charge)
No. 17 Effect of Decentralization Strategy on
Macroeconomic Stability in Thailand
No. 36 Environment Statistics in Central Asia: Progress and Prospects —Robert Ballance and Bishnu D. Pant, March 2003
SPECIAL STUDIES, COMPLIMENTARY
(Available through ADB Office of External Relations)
1. Improving Domestic Resource Mobilization Through Financial Development: Overview September 1985
2. Improving Domestic Resource Mobilization Through Financial Development: Bangladesh July 1986
3. Improving Domestic Resource Mobilization Through Financial Development: Sri Lanka April 1987
4. Improving Domestic Resource Mobilization Through Financial Development: India December 1987
5. Financing Public Sector Development Expenditure in Selected Countries: Overview January 1988
6. Study of Selected Industries: A Brief Report April 1988
7. Financing Public Sector Development Expenditure in Selected Countries: Bangladesh June 1988
8. Financing Public Sector Development Expenditure in Selected Countries: India June 1988
9. Financing Public Sector Development Expenditure in Selected Countries: Indonesia June 1988
10. Financing Public Sector Development Expenditure in Selected Countries: Nepal June 1988
11. Financing Public Sector Development Expenditure
12.
in Selected Countries: Pakistan June 1988
Financing Public Sector Development Expenditure in Selected Countries: Philippines
June 1988
13. Financing Public Sector Development Expenditure in Selected Countries: Thailand June 1988
14. Towards Regional Cooperation in South Asia: ADB/EWC Symposium on Regional Cooperation in South Asia February 1988
15. Evaluating Rice Market Intervention Policies: Some Asian Examples April 1988
16. Improving Domestic Resource Mobilization Through Financial Development: Nepal November 1988
17. Foreign Trade Barriers and Export Growth September 1988
18. The Role of Small and Medium-Scale Industries in the Industrial Development of the Philippines April 1989
19. The Role of Small and Medium-Scale Manufacturing Industries in Industrial Development: The Experience of Selected Asian Countries January 1990
20. National Accounts of Vanuatu, 1983-1987 January 1990
21. National Accounts of Western Samoa, 1984-1986 February 1990
22. Human Resource Policy and Economic Development: Selected Country Studies July 1990
23. Export Finance: Some Asian Examples September 1990
24. National Accounts of the Cook Islands, 1982-1986 September 1990
25. Framework for the Economic and Financial Appraisal of Urban Development Sector Projects January 1994
26. Framework and Criteria for the Appraisal and Socioeconomic Justification of Education Projects January 1994
27. Investing in Asia 1997 (Co-published with OECD)
28. The Future of Asia in the World Economy 1998 (Copublished with OECD)
29. Financial Liberalisation in Asia: Analysis and Prospects 1999 (Co-published with OECD)
30. Sustainable Recovery in Asia: Mobilizing Resources for
Development 2000 (Co-published with OECD)
31. Technology and Poverty Reduction in Asia and the Pacific 2001 (Co-published with OECD)
32. Asia and Europe 2002 (Co-published with OECD)
33. Economic Analysis: Retrospective 2003
34. Economic Analysis: Retrospective: 2003 Update 2004
35. Development Indicators Reference Manual: Concepts and Definitions 2004
OLD MONOGRAPH SERIES
(Available through ADB Office of External Relations; Free of charge)
EDRC REPORT SERIES (ER)
—E.M. Pernia, January 1990
ECONOMIC STAFF PAPERS (ES)
No. 1
No. 20
International Reserves:
in Monsoon Asia
The Transition to an Industrial Economy
No. 44 Promotion of Manufactured Exports in Pakistan
—Jungsoo Lee and Yoshihiro Iwasaki, September
1989
No. 45 Education and Labor Markets in Indonesia:
A Sector Survey
—Ernesto M. Pernia and David N. Wilson,
September 1989
No. 46 Industrial Technology Capabilities
and Policies in Selected ADCs
—Hiroshi Kakazu, June 1990
No. 47 Designing Strategies and Policies
for Managing Structural Change in Asia
—Ifzal Ali, June 1990
No. 48 The Completion of the Single European Community
Market in 1992: A Tentative Assessment of its
Impact on Asian Developing Countries
—J.P. Verbiest and Min Tang, June 1991
No. 49 Economic Analysis of Investment in Power Systems
—Ifzal Ali, June 1991
No. 50 External Finance and the Role of Multilateral
Financial Institutions in South Asia:
Changing Patterns, Prospects, and Challenges
—Jungsoo Lee, November 1991
No. 51 The Gender and Poverty Nexus: Issues and
Policies
—M.G. Quibria, November 1993
No. 52 The Role of the State in Economic Development:
Theory, the East Asian Experience,
and the Malaysian Case
No. 53 The Economic Benefits of Potable Water Supply
Projects to Households in Developing Countries
—Dale Whittington and Venkateswarlu Swarna,
January 1994
No. 54 Growth Triangles: Conceptual Issues
and Operational Problems
—Min Tang and Myo Thant, February 1994
No. 55 The Emerging Global Trading Environment
and Developing Asia
—Arvind Panagariya, M.G. Quibria, and Narhari Rao,
July 1996
No. 56 Aspects of Urban Water and Sanitation in
the Context of Rapid Urbanization in
Developing Asia
—Ernesto M. Pernia and Stella LF. Alabastro, Septem-
ber 1997
No. 57 Challenges for Asia's Trade and Environment
—Douglas H. Brooks, January 1998
No. 58 Economic Analysis of Health Sector Projects-
A Review of Issues, Methods, and Approaches
—Ramesh Adhikari, Paul Gertler, and Anneli Lagman,
March 1999
No. 59 The Asian Crisis: An Alternate View
—Rajiv Kumar and Bibek Debroy, July 1999
No. 60 Social Consequences of the Financial Crisis in
Asia
—James C. Knowles, Ernesto M. Pernia, and Mary
Racelis, November 1999
—Jason Brown, December 1993
OCCASIONAL PAPERS (OP)
STATISTICAL REPORT SERIES (SR)
SERIALS
(Available commercially through ADB Office of External Relations)
1. Asian Development Outlook (ADO; annual)
$36.00 (paperback)
2. Key Indicators of Developing Asian and Pacific Countries (KI; annual) $35.00 (paperback)
3. Asian Development Review (ADR; semiannual)
$5.00 per issue; $8.00 per year (2 issues)
SPECIAL STUDIES, CO-PUBLISHED
(Available commercially through Oxford University Press Offices, Edward Elgar Publishing, and Palgrave MacMillan)
FROM OXFORD UNIVERSITY PRESS:
11. Current Issues in Economic Development:
Oxford University Press (China) Ltd
18th Floor, Warwick House East
Taikoo Place, 979 King's Road
Quarry Bay, Hong Kong
Tel (852) 2516 3222
Fax (852) 2565 8491
E-mail: firstname.lastname@example.org
Web: www.oupchina.com.hk
1. Informal Finance: Some Findings from Asia Prabhu Ghate et. al., 1992 $15.00 (paperback)
2.
Mongolia: A Centrally Planned Economy in Transition
Asian Development Bank, 1992
$15.00 (paperback)
Rural Poverty in Asia, Priority Issues and Policy
Options
Edited by M.G. Quibria, 1994
$25.00 (paperback)
Growth Triangles in Asia: A New Approach to Regional Economic Cooperation
Edited by Myo Thant, Min Tang, and Hiroshi Kakazu
1st ed., 1994
$36.00 (hardbound)
Revised ed., 1998
$55.00 (hardbound)
5. Urban Poverty in Asia: A Survey of Critical Issues Edited by Ernesto Pernia, 1994 $18.00 (paperback)
6. Critical Issues in Asian Development:
Theories, Experiences, and Policies
Edited by M.G. Quibria, 1995
$15.00 (paperback)
$36.00 (hardbound)
7. Financial Sector Development in Asia Edited by Shahid N. Zahid, 1995 $50.00 (hardbound)
8. Financial Sector Development in Asia: Country Studies Edited by Shahid N. Zahid, 1995 $55.00 (hardbound)
9. Fiscal Management and Economic Reform in the People's Republic of China Christine P.W. Wong, Christopher Heady, and Wing T. Woo, 1995 $15.00 (paperback)
10. From Centrally Planned to Market Economies:
The Asian Approach
Edited by Pradumna B. Rana and Naved Hamid, 1995
Vol. 1: Overview $36.00 (hardbound)
Vol. 2: People's Republic of China and Mongolia
$50.00 (hardbound)
Vol. 3: Lao PDR, Myanmar, and Viet Nam
$50.00 (hardbound)
An Asian Perspective
Edited by M.G. Quibria and J. Malcolm Dowling, 1996
$50.00 (hardbound)
The Bangladesh Economy in Transition
Edited by M.G. Quibria, 1997
$20.00 (hardbound)
13. The Global Trading System and Developing Asia Edited by Arvind Panagariya, M.G. Quibria, and Narhari Rao, 1997 $55.00 (hardbound)
14. Social Sector Issues in Transitional Economies of Asia Edited by Douglas H. Brooks and Myo Thant, 1998 $25.00 (paperback) $55.00 (hardbound)
15. Intergovernmental Fiscal Transfers in Asia: Current Practice and Challenges for the Future Edited by Yun-Hwan Kim and Paul Smoke, 2003 $15.00 (paperback)
16. Local Government Finance and Bond Markets Edited by Yun-Hwan Kim, 2003 $15.00 (paperback)
FROM EDWARD ELGAR:
Marston Book Services Limited
PO Box 269, Abingdon
Oxon OX14 4YN, United Kingdom
Tel +44 1235 465500
Fax +44 1235 465555
Email: email@example.com
Web: www.marston.co.uk
1. Reducing Poverty in Asia: Emerging Issues in Growth,
Targeting, and Measurement
Edited by Christopher M. Edmonds, 2003
FROM PALGRAVE MACMILLAN:
Palgrave Macmillan Ltd
Houndmills, Basingstoke
Hampshire RG21 6XS, United Kingdom
Tel: +44 (0)1256 329242
Fax: +44 (0)1256 479476
Email: firstname.lastname@example.org
Web: www.palgrave.com/home/
1. Competition Policy and Development in Asia
Edited by Douglas H. Brooks and Simon Evenett, 2005
2. Managing FDI in a Globalizing Economy Asian Experiences Edited by Douglas H. Brooks and Hal Hill, 2004
3. Poverty, Growth, and Institutions in Developing Asia Edited by Ernesto M. Pernia and Anil B. Deolalikar, 2003
3.
4.
12.
SPECIAL STUDIES, IN-HOUSE
(Available commercially through ADB Office of External Relations)
1. Rural Poverty in Developing Asia Edited by M.G. Quibria Vol. 1: Bangladesh, India, and Sri Lanka, 1994 $35.00 (paperback) Vol. 2: Indonesia, Republic of Korea, Philippines, and Thailand, 1996 $35.00 (paperback)
Vol. 1: A Consolidated Report, 2000 $10.00 (paperback) Vol. 2: Country Studies, 2001 $15.00 (paperback)
2. Gender Indicators of Developing Asian and Pacific Countries Asian Development Bank, 1993 $25.00 (paperback)
3.
External Shocks and Policy Adjustments: Lessons from the Gulf Crisis
Edited by Naved Hamid and Shahid N. Zahid, 1995
$15.00 (paperback)
Indonesia-Malaysia-Thailand Growth Triangle:
Theory to Practice
Edited by Myo Thant and Min Tang, 1996
$15.00 (paperback)
5. Emerging Asia: Changes and Challenges Asian Development Bank, 1997 $30.00 (paperback)
6. Asian Exports Edited by Dilip Das, 1999 $35.00 (paperback) $55.00 (hardbound)
7. Development of Environment Statistics in Developing Asian and Pacific Countries Asian Development Bank, 1999 $30.00 (paperback)
8. Mortgage-Backed Securities Markets in Asia Edited by S.Ghon Rhee & Yutaka Shimomoto, 1999 $35.00 (paperback)
9. Rising to the Challenge in Asia: A Study of Financial Markets
Asian Development Bank
Vol. 1: An Overview, 2000 $20.00 (paperback)
Vol. 2: Special Issues, 1999 $15.00 (paperback)
Vol. 3: Sound Practices, 2000 $25.00 (paperback)
Vol. 4: People's Republic of China, 1999 $20.00 (paperback)
Vol. 5: India, 1999 $30.00 (paperback)
Vol. 6: Indonesia, 1999 $30.00 (paperback)
Vol. 7: Republic of Korea, 1999 $30.00 (paperback)
Vol. 8: Malaysia, 1999 $20.00 (paperback)
Vol. 9: Pakistan, 1999 $30.00 (paperback)
Vol. 10: Philippines, 1999 $30.00 (paperback)
Vol. 11: Thailand, 1999 $30.00 (paperback)
Vol. 12: Socialist Republic of Viet Nam, 1999 $30.00 (paperback)
10. Corporate Governance and Finance in East Asia: A Study of Indonesia, Republic of Korea, Malaysia, Philippines and Thailand
J. Zhuang, David Edwards, D. Webb, & Ma. Virginita Capulong
11. Financial Management and Governance Issues Asian Development Bank, 2000 Cambodia $10.00 (paperback) People's Republic of China $10.00 (paperback) Mongolia $10.00 (paperback) Pakistan $10.00 (paperback) Papua New Guinea $10.00 (paperback) Uzbekistan $10.00 (paperback) Viet Nam $10.00 (paperback) Selected Developing Member Countries $10.00 (paperback)
12. Government Bond Market Development in Asia Edited by Yun-Hwan Kim, 2001 $25.00 (paperback)
13.
Intergovernmental Fiscal Transfers in Asia: Current Practice and Challenges for the Future
Edited by Paul Smoke and Yun-Hwan Kim, 2002
$15.00 (paperback)
14. Guidelines for the Economic Analysis of Projects Asian Development Bank, 1997 $10.00 (paperback)
15. Guidelines for the Economic Analysis of Telecommunications Projects Asian Development Bank, 1997 $10.00 (paperback)
16. Handbook for the Economic Analysis of Water Supply Projects Asian Development Bank, 1999 $10.00 (hardbound)
17. Handbook for the Economic Analysis of Health Sector Projects Asian Development Bank, 2000 $10.00 (paperback)
18. Handbook for Integrating Povery Impact Assessment in the Economic Analysis of Projects Asian Development Bank, 2001 $10.00 (paperback)
19. Handbook for Integrating Risk Analysis in the Economic Analysis of Projects Asian Development Bank, 2002 $10.00 (paperback)
20. Handbook on Environment Statistics Asian Development Bank, 2002 $10.00 (hardback)
21. Defining an Agenda for Poverty Reduction, Volume 1 Edited by Christopher Edmonds and Sara Medina, 2002 $15.00 (paperback)
22. Defining an Agenda for Poverty Reduction, Volume 2 Edited by Isabel Ortiz, 2002 $15.00 (paperback)
23. Economic Analysis of Policy-based Operations: Key Dimensions Asian Development Bank, 2003 $10.00 (paperback)
4.
|
Modern management of paediatric burns
Burn injuries pose a major threat to children in South Africa and remain a devastating injury, because of the resulting severe emotional and physical scarring and long psycho-social implications.
SHARON COX,MB ChB, FCS (SA), Cert Paed Surg (SA)
Senior Specialist, Department of Paediatric Surgery, Red Cross War Memorial Children's Hospital, Cape Town
Sharon Cox specialised in general surgery at Groote Schuur Hospital and completed sub-speciality training in paediatric surgery at Red Cross War Memorial Children's Hospital, where she now works.
HEINZ RODE, MB ChB, MMed (Surg), FRCS (Edin)
Emeritus Professor, Department of Paediatric Surgery, Red Cross War Memorial Children's Hospital, Cape Town
Heinz Rode headed the Department of Paediatric Surgery at Red Cross Ward Memorial Children's Hospital between 1998 and 2007. He is an internationally respected burns surgeon and a leader in his field.
Correspondence to: Sharon Cox (email@example.com)
Burns in children differ in multiple aspects from those in adults; the extent and depth of the burn injury are often more severe, the child's body proportions differ, resulting in greater evaporative water and heat loss, and fluid requirements are therefore generally greater. Importantly, many childhood burns are preventable.
The National Injury Mortality surveillance system indicates that burns are the leading cause of non-natural death in infants and children under 5 years and the fourth major cause of accidental death in the 5 - 9-year age group, 1 with more than 1 300 children dying annually from burns in South Africa (SA).
The majority of childhood burns in SA are treated by nonspecialists, with referrals to burns units being reserved for the more severe cases. It is well documented in the literature that in some settings the majority of burn victims do not receive adequate first aid; 2 the majority of doctors treating burn wounds are unable to correctly measure the extent of the burn and almost half of treating doctors fail to prescribe adequate analgesia. 3 This article will focus on appropriate referral guidelines as well as deal with correct management of burns within a general hospital setting.
Importantly, many childhood burns are preventable.
Causes
About 90% of childhood burns are preventable. Informal housing, overcrowding and lack of electricity are underlying problems. 4
The most frequent causes of burns in children are hot liquid scalds, flame burns, contact burns, electrical burns and chemical burns in descending order of frequency, with infants and toddlers being burned more frequently. 5
Non-accidental injury (NAI)
Although the differentiation of accidental and non-accidental burn injury is not important from a wound treatment perspective, NAI has far-reaching social and legal consequences. Approximately 4% of burns are due to NAI. Suspicion of NAI may be raised when presentation is delayed, the history is vague, inconsistent or not compatible with the injury pattern, or there are other injuries or certain well-recognised patterns of injury (cigarette burns, bilateral glove or sock distribution scald on limbs).
Pathophysiology of the burn wound
The depth of a burn is determined by the amount of energy delivered to the site, the contact time and skin thickness. Jackson's 3-dimensional burn wound model describes 3 zones:
* a central zone of coagulation representing an area of irreversible tissue necrosis
* an area of stasis where sluggish circulation and release of inflammatory mediators will cause burn progression if resuscitation is inadequate
* a zone of hyperaemia which, after resolution of the hyperdynamic response, will return to normal.
The release of inflammatory mediators, mostly from the zone of hyperaemia, results in isotonic fluid shifts from the intravascular space to the burned area. These fluid losses are maximal from 3 to 12 hours post injury in small burns and up to 24 - 48 hours in larger burns. 6 In burns larger than 30% this fluid loss involves the whole body in a generalised systemic inflammatory response. Effective circulating fluid volume is decreased and hypovolaemia and shock may develop.
First aid
The patient and treating team must be free from all hazards including flame, electrical and chemical contact. Any hot fluid or smouldering or chemical-soaked clothes need to be removed, and all chemicals need to be washed away with copious amounts of water.
The second priority is to cool the burn with 'tap' water (12 - 18°) for 20 - 30 minutes. Ice or iced water may increase the depth of the burn. 7 Care must be taken not to induce hypothermia in larger burns – especially in children. Cooling the burn prevents the zone of coagulation spreading and can be effective up to 3 hours after the injury.
After the burn has been cooled it is covered with plastic wrap, gauze or a clean moist towel to reduce pain and wound contamination.
March 2010 Vol.28 No.3
CME
Paediatric burns
A space blanket or moisture-proof sheet is useful to reduce evaporative heat loss during transfer.
One of the principal aims of management is to determine which patients need referral to a specialist centre. Some determinants of this include airway problems, additional injuries, burn wound depth and extent and the age of the patient.
Evaluation by medical professionals
The ABCs of resuscitation with the principles of the primary and secondary survey need to be followed. Fire burns often have an inhalational and airway component. Hot fluid burns to the face may include oral or pharyngeal burns resulting in tissue swelling and airway compromise. Children are especially prone due to their narrower airway, and any mucosal swelling or fluid accumulation causes a comparatively larger reduction in airway diameter. In addition there is a high incidence of occult upper airway obstruction caused by enlarged adenoids and tonsils, laryngomalacia, and reactive airways in children. Intubation is preferred (with an uncuffed tube in children under 10 years) before airway closure rather than in the emergency setting once the airway has been lost. Stridor is a late sign.
Any bleeding wounds and concurrent fractures need to be addressed prior to the burn wound itself. Completion of the primary survey should result in a patient with a secured airway and restored circulatory volume.
If there is any doubt regarding assessment, resuscitation or management, a burns unit should be contacted telephonically for advice.
Assessment of burn depth
Assessment of depth, though difficult to the untrained eye, is important for planning treatment, as superficial burns will heal spontaneously while deep burns need surgical intervention (Table I). In some instances even the most experienced clinician will initially not be able to classify burn wound depth. A process of evolution of the wound occurs and in 3 - 4 post-burn days the depth can be more accurately established. These wounds are classified initially as 'indeterminate' depth.
Rule of nines (Fig. 2): This is a good, quick way to estimate medium to large burns in patients older than 10 years. The body is divided into areas of 9%. It is not accurate in children due to their different body proportions. The child figure represents an infant up to 1 year. For every year thereafter the head decreases in relative size by approximately 1% and each leg gains 0.5%. The Lund and Browder charts can also be used for children.
It may be possible to treat partial-thickness burns in a general hospital, but all fullthickness burns exceeding 5% or those in special areas (hands, face, perineum) should be referred.
Body surface area involved
Children have a relatively thinner dermis, so for any given thermal insult the infant will sustain a deeper burn than the adult. Burns are clinically classified according to their depth, but most will not be homogeneous (Fig. 1).
There are two commonly used methods to calculate the total body surface area (TBSA) involved:
Palmar surface: the surface area of the patient's hand (including fingers) is about 1% of total body surface area. This method is commonly used in small burns.
The majority of childhood burns in SA are treated by non-specialists, with referrals to burns units being reserved for the more severe cases.
Table I. Charac t eri s tics of burn wounds at dif erent depths
f
l
CME
March 2010 Vol.28 No.3
Table II. Suggested formulas for f uid calculation
l
Fluid calculation for the f rst 24 hours:
i
* 3 ml x (total burn surface area (%)) x (body weight (kg)) 50% given in first 8 hours 50% given in next 16 hours
* Children receive maintenance fluid in addition, at hourly rate of
4 ml/kg for fi
rst 10 kg of body weight plus
2 ml/kg for second 10 kg of body weight plus
1 ml/kg for >20 kg of body weight
Fluid calculation for the second 24 hours:
* 1.5 x (total burn surface area (%)) x (body weight (kg)) Total divided by 24 for an hourly rate
* Maintenance fluid in addition as above
Fluid requirements
A burn is a dynamic wound. Its depth will change depending on the efficacy of resuscitation which, if required, should begin as early as possible, generally within 2 hours of the burn, and not be delayed until arrival in a definitive burns facility. Children under 2 with >5% and any patient with >10% BSA burns will require intravenous fluid therapy.
If the patient is shocked a bolus of Ringer's lactate at 20 ml/kg should be infused immediately and repeated if necessary. Fluid therapy thereafter consists of 2
components – replacement of ongoing losses and maintenance requirements. Formulas to calculate required fluids are shown in Table II. These resuscitation formulas should be used as a guide to fluid administration. Ultimately the fluid infused needs to be altered according to urine output, pulse rate, blood pressure, respiration and sensorium. There is little overt warning of imminent circulatory collapse in a child until late in the progression of the pathophysiology of shock. Urine output should be 0.5 - 1 ml/ kg/hour in the adult and 1 - 1.5 ml/kg/hour in the child. The main aim of resuscitation is to maintain tissue perfusion to the zone of stasis and so prevent the burn deepening.
The Parkland formula calculates the amount of fluid required in the first 24 hours. The starting point for resuscitation is the time of injury, not the time of admission. Any fluid already given should be deducted from the calculated requirement.
Inhalational injuries require additional fluid. Children require maintenance fluid, with 5% dextrose in addition to resuscitation fluid. Use modified Ringer's lactate (Hartmann's solution) for ongoing losses, and paediatric maintenance fluid for maintenance.
Ice or iced water may increase the depth of the burn.
Referral criteria
Table III lists criteria for transfer to a burns unit. Prior to transfer all patients need an established airway, adequate intravenous access and fluid resuscitation in progress, burn wounds covered, preferably with sterile, waterproof dressing or melaleuca alternifolia hydrogel (Burnshield®), potential hypothermia addressed, and adequate analgesia in the form of an opiate. On transfer, make sure as much information as possible pertaining to the burn size distribution and depth is documented, preferably in diagrammatic form, and be sure to include written particulars of dressings, medications, and fluid management prescribed and given.
Escharotomies
Deep dermal or full-thickness burns are inelastic. Fluid resuscitation leads to burn wound oedema and increases in tissue pressure, which impair circulation. Circumferential full-thickness burns on a limb require escharotomy to enable adequate peripheral perfusion and to prevent limb loss. Deep circumferential burns to the chest limit chest excursion and impair ventilation and escharotomies need to be performed to allow chest expansion separate to abdominal wall movement (Fig. 3). 8 Any escharotomies required should ideally be performed prior to transfer, as those performed earlier tend to have an increased rate of limb salvage.
Analgesia
Burns are exceptionally painful. Analgesia not only diminishes the pain, but also serves to diminish the systemic inflammatory reaction by modulating the
March 2010 Vol.28 No.3
CME
Table III. Criteria for transfer to a burn centre
All burns in patients <1 year of age
1 - 2-year olds with >5% BSA burns
All ages >10% BSA burn
Full-thickness burns
Electrical burns
Chemical burns
Burns to face, flexures, perineum, hands, feet
Circumferential burns
Associated inhalational burn
Infected burns
Where child abuse is suspected
Concomitant trauma
Patients with pre-existing medical disorders
Where treatment requirements exceed the capabilities of the referring centre sympathetic response and hence cytokine secretion. Analgesia should be tailored for the specific requirements, acute pain, procedural pain relief and chronic pain. In the acute setting, the following agents are suggested:
* morphine: 10 - 40 µg/kg/h infusion IVI
* tilidine HCl (Valoron®): 0.5 - 1 mg/kg/ dose
* paracetamol: 20 mg/kg/dose.
One of the principal aims of management is to determine which patients need referral to a specialist centre.
Wound preparation
Ensure that the patient is stable and comfortable and complete wound cooling and washing if appropriate. Clothes and dressings should be removed and the area cleaned with a water-based disinfectant. Blisters larger than 2% BSA and loose skin should be removed while smaller blisters should be punctured. 9
Wound covering
Patients with small superficial or partialthickness wounds can be treated on an outpatient basis with a semi-permeable occlusive dressing which is left until healed, or a hydrocolloid dressing, and changed when indicated. Should these not be available, any of the agents in Table IV can be used, with more regular changes
CME
March 2010 Vol.28 No.3
of dressings. These wounds should heal within 10 - 14 days.
The dressing used should: 10
* create a moist environment to accelerate healing and reduce pain
* absorb excess exudate
* provide a barrier to the exterior to reduce infection
* fit to body contours
* be easy to apply.
Large or deep burns with any of the admission criteria listed in Table III require referral to a burns centre. A detailed description of surgical procedures is beyond the scope of this article, but
Table IV. Topical agents used to treat burns
Silver sulfadiazine (Flamazine )
* excellent spectrum of activity
* low toxicity
* effective for 24 hours
Povidone-iodine (Betadine
)
* wide antibacterial spectrum
* inactivated by wound exudates
* half-life of 12 hours, needs to be applied twice daily
Mupirocin (Bactroban )
* excellent broad-spectrum antimicrobial activity
* predominantly Gram-positive organisms and methicillin-resistant staphylococci (MRSA)
* ineffective against Pseudomonas
* apply daily
Chlorhexidine (Hibitane )
* broad-spectrum antimicrobial action
* effective especially against Pseudomonas
* often combined with mupirocin to broaden the antibacterial spectrum
* change daily
Nanocrystalline silver (Acticoat )
* liberates silver (AG°) at a concentration 10 times the MIC for more than 150 organisms
* apply topically
* remove every third to fourth day
involves combinations of decompression escharotomies if needed, tangential excision, fascial excision, delayed escharectomy and skin grafting.
Split skin grafts are usually meshed 1:1.5. Sheet grafts should be used where possible for cosmetically sensitive areas, as well as for hand burns. In larger burns, where there is limited donor site available, temporary closure can be achieved by donor allograft or a temporary synthetic skin substitute. Cadaver allograft can also be used over a split skin graft meshed 1:3. This covering provides a physiological and mechanical barrier while healing takes place. Allograft is usually rejected within 2 - 3 weeks.
Hot water burns in children, if not definitely full thickness, are usually treated expectantly for a period of 14 - 21 days. By adopting a conservative approach, the extent of grafting and blood transfusion is reduced by 66%. All burns not healed within 3 weeks should be grafted.
Children's high metabolic rate and growth needs result in less tolerance to nutritional deprivation. Enteral feeding on day 1 decreases stress hormone release, improves nitrogen balance, maintains gut mucosal integrity, lowers the incidence of diarrhoea and decreases hospital stay. 11 Patients with >20% TBSA require aggressive nutritional support to meet the calorie and protein requirements from day 1 to optimise wound healing and prevent infection. Feeds are often administered via nasogastric or nasojejunal tube. Total parenteral nutrition is not advised due to associated infections and metabolic and immunological complications.
Physical and occupational therapy
Therapists involved in the burns team maintain joint mobility and apply and construct splints, which are crucial to the long-term functional outcome of a patient. Early splinting of involved flexures in combination with pressure garments post healing and continual goal-directed physiotherapy help to prevent joint contractures and minimise scarring that may limit rehabilitation.
Post-wound care
Healed burn wounds need to be regularly moisturised by any commercially available lotion or cream. Symptoms of itching should be treated by moisturisers and occasionally oral medication. Sunscreen is vital to prevent further damage as well as increased pigmentation. Hypertrophic scars as well as any late blistering need to be referred.
Rehabilitation
Rehabilitation is an ongoing process continuing well beyond initial wound
Non-specialist burn management algorithm
March 2010 Vol.28 No.3
CME
Feeding
Paediatric burns
closure, and involves a team of psychologists, physical and occupational therapists and reconstructive surgeons. Ultimately the goal is successful reintegration into society. The longterm emotional outcome of a paediatric burn is dependent on the whole family's emotional care. This emotional rehabilitation is essential and should start as soon as possible after the burn injury.
Conclusion
The management of burns in children and adults follows the same basic principles (Fig. 4). While smaller and more superficial burns can be adequately treated on an outpatient basis, the successful management of severe larger burns requires a dedicated multidisciplinary team within the framework of a dedicated burns unit. If the principles of early resuscitation, adequate nutrition, maximum tissue preservation, early wound coverage, psychological and social support are adhered to there will ultimately be a successful outcome for patients with these potentially devastating injuries.
References
1. Burrows S, Matzopoulos BB, et al. A profile of Fatal Injuries in South Africa 2000. Second Annual Report of the National Injury Mortality Surveilance System: MRC/UNISA Crime, Violence and Injury Lead Programme. 2001.
2. Rea S, et al. Burn first aid in Western Australia – do healthcare workers have the knowledge? Burns 2005; 31(8): 1029-1034.
3. Bezuhly M, Gomez M, Fish JS. Emergency department management of minor burn injuries in Ontario, Canada. Burns 2004; 30(2): 160-164.
4. Niekerk AV, Reimers A, Laflamme L. Area characteristics and determinants of hospitalised childhood burn injury: a study in the city of Cape Town. Public Health 2006; 120(2): 115-124.
5. Van Niekerk A, Rode H, Laflamme L. Incidence and patterns of childhood burn injuries in the Western Cape, South Africa. Burns 2004; 30(4): 341-347.
In a nutshell
* Burns in children are often more severe than in adults.
* They are often preventable.
* The management of burns in children and adults follows the same basic principles.
* Small, superf cial burns can be managed on an outpatient basis.
i
* Large, extensive burns require management by a dedicated burn unit.
* Children under 2 with >5% and any patient with >10% BSA burns will require intravenous fluid therapy.
* Adequate analgesia is essential.
* Children require enteral feeding from day 1 because of their high nutritional needs.
* Rehabilitation is an ongoing process, and involves a team of psychologists, physical and occupational therapists and reconstructive surgeons.
Single Suture
Skin cells deliver gene therapy
Patches of synthetic skin could deliver gene therapies to patients without using injections. A team led by John Vogel at the National Institutes of Health in Bethesda, Maryland, cultured fibroblasts and keratinocytes and introduced the gene for atrionatriuretic peptide into their genomes. This compound is released naturally by cells in the heart. It reduces blood pressure by dilating blood vessels and lowering blood volume. The team mixed the cells into a jelly-like matrix and applied the grafts to mice, which caused the animals' blood pressure to drop.
Proceedings of the National Academy of Sciences DOI:10.1073/pnas.0908882
CME
March 2010 Vol.28 No.3
6. Karpelowsky JS, Rode H. Basic principles in the management of thermal injury. SA Fam Pract 2008; 50(3): 24-31.
7. Venter TH, Karpelowsky JS, Rode H. Cooling of the burn wound: the ideal temperature of the coolant. Burns 2007; 33(7): 917-922.
8. Emergency Management of the Severe Burn, Course Manual. Education Committee of the Australian and New Zealand Burn Association Ltd.. 2008.
9. Alsbjorn B, et al. Guidelines for the management of partial-thickness burns in a general hospital or community setting – recommendations of a European working party. Burns 2007; 33(2): 155-160.
10. Bryan J. Moist wound healing: a concept that changed our practice. J Wound Care 2004; 13(6): 227-228.
11. Venter M, et al. Enteral resuscitation and early enteral feeding in children with major burns – effect on McFarlane response to stress. Burns 2007; 33(4): 464-471.
12. Hettiaratchy S, Papini R. Initial management of a major burn: II – assessment and resuscitation. BMJ 2004; 329(7457): 101-103.
|
Health Promotion International, 2016, 1–11 doi: 10.1093/heapro/daw074 Original article
Validity and reliability of the South African health promoting schools monitoring questionnaire
Patricia Struthers, 1 Lisa Wegner, 2, * Petra de Koker, 1,4 Wondwossen Lerebo, 1,5 and Renette J Blignaut 3
1 School of Public Health, University of the Western Cape, Bellville, South Africa, 2Occupational Therapy Department, University of the Western Cape, Bellville, South Africa, 3 Department of Statistics, University of the Western Cape, Bellville, South Africa, 4 Ghent University, Ghent, Belgium and 5 Mekelle University, Mekelle, Ethiopia
*Corresponding author. Email: firstname.lastname@example.org
Summary
Health promoting schools, as conceptualised by the World Health Organisation, have been developed in many countries to facilitate the health-education link. In 1994, the concept of health promoting schools was introduced in South Africa. In the process of becoming a health promoting school, it is important for schools to monitor and evaluate changes and developments taking place. The Health Promoting Schools (HPS) Monitoring Questionnaire was developed to obtain opinions of students about their school as a health promoting school. It comprises 138 questions in seven sections: sociodemographic information; General health promotion programmes; health related Skills and knowledge; Policies; Environment; Community-school links; and support Services. This paper reports on the reliability and face validity of the HPS Monitoring Questionnaire. Seven experts reviewed the questionnaire and agreed that it has satisfactory face validity. A test-retest reliability study was conducted with 83 students in three high schools in Cape Town, South Africa. The kappa-coefficients demonstrate mostly fair (j-scores between 0.21 and 0.4) to moderate (j-scores between 0.41 and 0.6) agreement between test-retest General and Environment items; poor (j-scores up to 0.2) agreement between Skills and Community test-retest items, fair agreement between Policies items, and for most of the questions focussing on Services a fair agreement was found. The study is a first effort at providing a tool that may be used to monitor and evaluate students' opinions about changes in health promoting schools. Although the HPS Monitoring Questionnaire has face validity, the results of the reliability testing were inconclusive. Further research is warranted.
Key words: health promoting schools, monitoring questionnaire, reliability, South Africa, validity
INTRODUCTION
In South Africa, the development of a healthy school environment has been identified as an important strategy, not only to promote the health and wellbeing of the school community, including students (learners), teachers, parents, and community members, but also to achieve educational goals ( Department of Basic Education, 2010 ). Health promoting schools, as conceptualised by the World Health Organisation Expert Committee on Comprehensive School Health Education
V C
The Author 2016. Published by Oxford University Press.
and Promotion (1997), have been developed in many countries to facilitate this health-education link (Burgher et al., 1999). In 1997, at the World Health Organisation's Fourth International Conference on Health Promotion, the Jakarta Declaration on Leading Health Promotion into the 21st Century highlighted key strategies to promote health in the next millennium, including a comprehensive approach to health development within particular settings such as schools, with the participation of people who have access to education and information, and who are empowered (World Health Organisation, 1997). Health promoting schools incorporate the action areas described in the Ottawa Charter (World Health Organisation, 1986), including the development of healthy school policies, healthy school physical and psychosocial environments, healthy skills, healthy links with the community and appropriate support services. According to Burgher et al. (1999, p.1), a health promoting school '. . . aims at achieving healthy lifestyles for the total school population by developing supportive environments conducive to the promotion of health. It offers opportunities for, and requires commitments to, the provision of a safe and health-enhancing social and physical environment'.
In 1994, the concept of health promoting schools was introduced in South Africa (Medical Research Council et al., 1994; Flisher and Reddy, 1995; Swart and Reddy, 1999) and guidelines for developing health promoting schools were drafted (Department of Health et al., 2000). By 2006, schools in all nine provinces of the country were identifying themselves as health promoting schools (Lazarus, 2006). In the process of becoming a health promoting school, it is important for schools to monitor and evaluate changes and developments taking place (M~ ukoma and Flisher, 2004; Lazarus, 2006; Departments of Health and Basic Education, 2012; Lee et al., 2014). Surveys of schools in South Africa have been conducted to gather data on the school infrastructure, for example, the number and type of toilets in a school or the presence of piped water (Department of Basic Education, 2009, 2015); risk behaviours of young people at school such as sexual risk behaviour or nutritional patterns (Reddy et al., 2010); and targeted health promotion activities, for example, oral health activities in health promoting schools in KwaZulu-Natal (Reddy and Singh, 2015).
Part of monitoring and evaluating changes and developments within health promoting schools is obtaining the opinions of students about their school. However, we could not locate any previous published research regarding such a measurement tool in the South African context. The questionnaire described in this paper, the Health
Promoting Schools (HPS) Monitoring Questionnaire, was developed to address this need. This paper reports on the development and psychometric properties, namely reliability and face validity of the HPS Monitoring Questionnaire.
The health promoting school monitoring questionnaire
In 2008, a group of academics from the education and health sciences faculties at the University of the Western Cape, South Africa, initiated a project to develop three high schools as health promoting schools (Preiser et al., 2014). We recognised the need to determine the opinions of students about their schools which would assist school management to identify strengths and prioritise changes, and developed the HPS Monitoring Questionnaire. The HPS Monitoring Questionnaire was based on the Rapid Assessment Tool for Schools (RATS) which is an unpublished questionnaire produced by the South African practitioner organisation, the Cape Metro Reference Group for Health Promoting Schools. As with the Schools Health Europe Rapid Assessment Tool (Safarjan et al., 2013), the RATS was designed for use by a working-group in a school, not individuals, to assess or monitor policies and practices related to health promotion in the school. A questionnaire that is answered by a working group has certain advantages; however, generally teachers and local health promotion personnel lack the time and experience to conduct this type of assessment. Furthermore, a questionnaire that is completed by a working group may lack the rigour that a questionnaire or survey that is answered by individuals would provide (Denman et al., 2002).
The HPS Monitoring Questionnaire was designed for individual use by survey method. This method enables respondents to express their opinions anonymously, without recrimination. It comprises 138 questions, including a section on socio-demographic information (n ¼ 14 items) and a General section, including items about health promotion programmes (n ¼ 17 items). There are a further five sections corresponding to the action areas in the Ottawa Charter (World Health Organisation, 1986), including sections on health related Skills and knowledge (n ¼ 13 items), Policies (n ¼ 18 items), physical and psychosocial Environment (n ¼ 43 items), Community-school links (n ¼ 7 items), and support Services (n ¼ 26 items). The questionnaire uses mainly two types of responses: yes, no, don't know; or always, sometimes, not at all, don't know.
The HPS Monitoring Questionnaire was developed in English and then translated into Afrikaans (the
language most commonly spoken in the schools where the study was conducted) by a professional translator, and subsequently back translated by an independent translator to ensure accuracy in translation. Discrepancies were resolved through discussion between the translators and the team developing the questionnaire until they reached agreement on the formulation and content of the questions to ensure that the meaning remained consistent.
METHODS
Once the HPS Monitoring Questionnaire was developed, we needed to establish the validity and reliability of the questionnaire for use with students in South African schools.
The validity study
In order to ensure that the HPS Monitoring Questionnaire was perceived to assess opinions about health promoting schools and to identify any ambiguous questions, we conducted a small study to determine the face validity of the questionnaire. Eleven experts working in the field of health promoting schools in South Africa were identified based on their knowledge and experience. They included professionals employed by the Departments of Education and Health. Four of them had been involved in the development of the South African Rapid Assessment Tool for Schools.
In order to determine the experts' opinions about the HPS Monitoring Questionnaire, we developed a questionnaire that comprised 20 questions: eight sociodemographic questions and twelve questions relating to face validity allowing a yes/no response and space to elaborate. In addition, the experts were requested to rate each item of the HPS Monitoring Questionnaire for clarity on a 3-point scale (1 ¼ very unclear/ambiguous, 2 ¼ unclear, 3 ¼ clear). The experts were contacted telephonically to explain the purpose of the study. On agreeing to participate, the experts (respondents) were given the validity questionnaire together with the HPS Monitoring Questionnaire with three weeks to complete and return the questionnaire in a pre-stamped envelope. After one month, the respondents were reminded by phone and email to complete and return the questionnaire. Two of them requested the questionnaire be sent to them a second time.
Data were analysed descriptively to obtain frequencies, percentages and means. The open-ended comments were analysed through team discussion and changes were agreed upon.
The test-retest study
A test-retest study was used to determine the reliability of the HPS Monitoring Questionnaire. Three high schools that were part of the Health Promoting Schools Project served as the setting. Grade 10 students at the three high schools were purposively selected to participate in the study as it was assumed that grade 10 students, having completed two years of high school, would have sufficient experience to have developed their own informed opinions about their school. Within each school, one grade 10 class was randomly selected to participate from all the grade 10 classes. It was assumed that the classes were of similar size and student composition. Consequently, this method provided a selfweighted sample in which each student had an equal chance of being selected. All students in the class were included in the sample.
The questionnaire was administered in class groups, during school hours, under the supervision of at least two researchers. Respondents completed the questionnaire using a Personalised Digital Assistant (PDA). Students could choose to answer in English or Afrikaans. The average time to complete the questionnaire was 40 minutes. The test and retest surveys were carried out under similar conditions using the same questionnaire. The time intervals between test and retest administrations at the three schools were 28, 29 and 62 days, respectively.
For test-retest reliability, data were analysed for the three schools together. Using a process of matching, only those respondents who took part in both the test and retest surveys were included in the analysis. For the reliability analysis the socio-demographic items were excluded. The Statistical Package for the Social Sciences version 20 (SPSS version 20.0) was used to analyse the data. Means and standard deviations (SD) were reported for continuous measurements. Test-retest agreement was assessed using the Cohen's kappa coefficient (j) (Cohen, 1960). The j values can be characterised as 0– 0.20 poor, no agreement beyond chance; 0.21–0.40 fair; 0.41–0.60 moderate; 0.61–0.80 substantial; and 0.81– 1.00 almost perfect agreement (Landis and Koch, 1977).
Ethical considerations
The study was approved by the Research Ethics Committee of the University of the Western Cape and the Western Cape Education Department (200804110025). Permission was obtained from the principals of the schools. An information letter describing the objectives and procedures and the consent form were sent to parents/guardians to obtain active parental consent. An
explanation of the study was given to the students who signed assent forms, with the understanding that they could withdraw at any point. Confidentiality and anonymity were ensured.
RESULTS
Face validity
Seven of the eleven experts responded to our request to examine the validity of the HPS Monitoring Questionnaire. All respondents were female. Three of the seven respondents had been involved in the development of the original Rapid Assessment Tool for Schools; six respondents were employed by the Western Cape Department of Health and one respondent was employed by the Western Cape Department of Education.
All seven respondents agreed that the HPS Monitoring Questionnaire was 'a good measure of the health promoting schools framework', and that the questions provided a good depiction of the current status of the school as a health promoting school. Furthermore, all seven respondents agreed that the questions 'made sense and went together', that they were 'clear and appropriate for the topic', and were 'listed in an appropriate and useful order'. Six respondents agreed that the questions reflected 'the theory behind health promoting schools' and were 'of equal importance'. Five respondents agreed that the questions were 'asked in the right way to get the true answers' and that the questions made it possible to distinguish a health promoting school from one that was not.
However, one respondent questioned the relevance of some items to health promoting schools. For example, 'Our school provides learners with career guidance and entrepreneurship skills' and 'Our learners take part in activities that help them to recognise, understand and value differences between themselves (e.g. cultural, religious and social)'. Another respondent suggested 'enough taps' could be replaced with 'We have adequate water and sanitation: there are taps or drinking fountains on school grounds' . One respondent commented that some items could be asked in a more direct way, for example, ' Our school has implemented the following programmes: . . . ' could be expressed as 'Our school has on-going projects to establish and improve . . . ' . These items were either removed or changed in the final version of the HPS Monitoring Questionnaire . Other suggestions for changes were deemed unnecessary.
Reliability
Of the 94 grade 10 student respondents who participated in the initial test survey, 83 (88%) took part in the retest. Their ages ranged from 15 to 18 years (mean age: 15.73 years; SD: 0.86). Female students comprised 41% (n ¼ 34) of the sample (Table 1).
The kappa-coefficients demonstrate mostly a fair (jscores between 0.21 and 0.4) to moderate (j-scores between 0.41 and 0.6) agreement between test-retest General and Environment items; a poor (j-scores up to 0.2) agreement between the Skills and Community testretest items, a fair agreement between the Policies items, and for most of the questions focussing on Services a fair agreement was found (Tables 2 and 3). Where j-scores were poor the questions/items should be checked for interpretation and rephrased where needed.
DISCUSSION
In response to the need for a valid and reliable tool to monitor and evaluate changes in health promoting schools in the South African context, the HPS Monitoring Questionnaire was developed. The questionnaire enables schools to better understand the strengths and challenges regarding schools as health promoting schools, from the perspective of students. The current study examined the face validity and reliability of the HPS Monitoring Questionnaire as there were no previous studies in this specific field in South Africa. As such,
Table 1: Demographics of sample
Table 2: Overview of the Kappa scores (j-scores) of the HPS Monitoring Questionnaire
Item
j-scores Agreement
(continued)
Table 2: Continued
Item
j-scores Agreement
Table 2: Continued
Item
j-scores Agreement
Table 2: Continued
* No don't know answers in the pre-test survey data.
Table 3: Overall summary of the test-retest agreement of the HPS Monitoring Questionnaire
* One question could not be analysed as no don't know answer was observed in the pre-test survey data.
the study has provided a starting point to improve the validity and reliability of the tool for use in schools.
Due to the broad, holistic framework used in developing health promoting schools, including the constructs of healthy skills, healthy school policy, healthy physical and psychosocial environments, community links, and appropriate support services, a measurement tool might easily become cumbersome. However, there was consensus among the experts that the HPS Monitoring Questionnaire has satisfactory face validity. Some suggestions were made which were taken into consideration and changes were made to the questionnaire prior to conducting the test-retest survey. Although the HPS Monitoring Questionnaire has face validity, more extensive validation of the HPS Monitoring Questionnaire is required, using other methods of validity testing.
The HPS Monitoring Questionnaire showed overall fair to moderate test-retest Kappa agreement scores. The items in the 'policy' section demonstrated the highest agreement with a fair agreement for 72% of the items.
The items in the section on 'services' provided in the schools, the 'general health programmes' section, and the section on physical and psychosocial 'environment' in the schools, demonstrated fair or moderate agreement for 68, 65 and 59% of the items, respectively. The items in the section on 'community' and the section on 'skills' demonstrated poor agreement for 86% and 77% of the items respectively. The slightly higher high kappa in the policy section could be attributed to the likelihood of policies remaining the same over the one to two month period in which the test-retest reliability study was conducted. Similarly, services to the school and health programmes offered in the schools (general section) and the environment are also unlikely to change over this short period of time. Where there was low test-retest reliability, this may be explained by the possibility that respondents may, between test and retest surveys, change their opinions about certain topics, or changes might have been made in the school, for example, new skills may have been learnt. Moreover, students may have discussed their answers with others and subsequently may have changed their opinions. It is also possible that with the administration of the first survey students became sensitised to health promotion issues in their school and thus potentially more critical in their retest survey. Students may have become more aware of health promoting activities in their school and changed their opinions. The questions with poor agreement should be improved for future use.
There is much discussion about the development of suitable approaches for evaluating health promotion in schools (Pommier, Gue´vel and Jourdan, 2010). Judd, Frankish and Moulton (2001, p.368) support 'the use of a comprehensive, diverse set of standards that reflects different concerns and forms of evidence'. Given these discussion, the HPS Monitoring Questionnaire might be regarded as one component of a multifaceted, systemic evaluation of a health promoting school that incorporates the viewpoints of school staff, students and parents, amongst others. For example, schools may have policies and implemented programmes of which their students are not aware. Using the HPS Monitoring Questionnaire with students alone would not give a realistic evaluation of the school, and one might use the questionnaire with school staff and parents as well. On the other hand, the questionnaire might provide school management with valuable information about their students' knowledge of policies. In South Africa, although education policies are developed at national level individual schools must develop context-specific policies in consultation with parents, and students are expected to be informed about these policies. For example, corporal punishment has been banned by the Department of Basic Education, but each school must have a code of conduct which indicates ways of maintaining discipline ( Department of Basic Education, 2006 ). Additionally, schools may evaluate themselves against national norms and standards for school infrastructure, which were introduced following an extensive advocacy campaign ( Department of Basic Education, 2013 ).
There were several limitations in this study. Firstly, only seven of the eleven experts contacted for the validity study responded. It would have been preferential to have had a greater range of expertise in the responses. Secondly, due to organisational challenges the period in between test and retest surveys was much longer in one school (62 days compared with 28 and 29 days). Furthermore the testing was before and after examinations in two schools, and before and after a lengthy school holiday in the third school. It is plausible that opinions and/or factors in the schools might have changed during this time. In turn, this may have affected the results of the test-retest reliability and resulted in the low agreement of some questionnaire items. Because of the cyclical nature of the school calendar, if the questionnaire is to be used for monitoring purposes, it would be preferable to use it at the same point in time in the school calendar on each occasion. Thirdly, the study was conducted in only one of the nine provinces of South Africa. Finally, as the questionnaire did not have an item to identify the language used and both were simultaneously available on the PDAs, it was not possible to disaggregate the findings, according to the different language groups (English and Afrikaans); therefore, we could not analyse any potential differences in the two groups.
CONCLUSION
In South Africa, there is a need to understand the opinions of students about their school as a health promoting school in order to monitor and evaluate health promoting changes and developments, identify strengths and weaknesses in the school community, and guide school planning. In response to this need, the current study is a first effort at providing a tool that may be used to monitor and evaluate students' opinions about changes in health promoting schools. It offers a starting point from which to further develop and improve the HPS Monitoring Questionnaire. This study has shown that the HPS Monitoring Questionnaire has satisfactory face validity, although the results of reliability testing were inconclusive. Therefore, further research is warranted.
ACKNOWLEDGEMENTS
Thanks to the participating students and teachers, the schools where the research was undertaken and the Western Cape Education Department for making the research possible. In addition to authors Patricia Struthers and Lisa Wegner, the Health Promoting Schools Project team at the University of the Western Cape included Karen Collett, Estelle Lawrence, Suraya Mohamed, Nadeen Moolla and Brenda Sonn. We also appreciate the reviewers' comments, which made the paper substantially better.
FUNDING
This work was supported by the United States President's Emergency Plan for AIDS Relief (PEPFAR) through the Centres for Disease Control and Prevention (CDC) [Grant Number 5U2GPS001083]. The contents of this article are solely the responsibility of the authors and do not necessarily represent the official views of PEPFAR or the CDC. Funding to pay the Open Access charges for this article was provided by the University of the Western Cape, South Africa.
REFERENCES
Burgher, M. S., Rasmussen, V. B. and Rivett, D. (1999) The European Network of Health Promoting Schools. The Alliance of health and schools. World Health Organisation Regional Office for Europe, the European Commission and the Council of Europe. Copenhagen, Denmark: WHOEuro.
Cohen, J. (1960) A coefficient of agreement for nominal scales. Educational and Psychological Measurement 20, 37–46.
Denman, S., Moon, A., Parsons, C, Stears, D. (2002) The Health Promoting School: Policy, Research and Practice. Routledge.
Department of Basic Education (2006) Rights and Responsibilities of Parents, Learners and Public Schools: Public School Policy Guide 2005. http://www.education. gov.za/Resources/Policies.aspx (last accessed 2 September 2016).
Department of Basic Education (2009) National Education Infrastructure Management System (NEIMS) PDF report. http://www.education.gov.za/LinkClick.aspx?fileticket¼p8% 2F3b6jxko0%3D&tabid¼358&mid¼1802 (last accessed 2 September 2016).
Department of Basic Education (2010) National Support Pack. MIET Africa, Durban, South Africa.
Department of Basic Education (2013) Government Gazette No 37081 South African Schools Act (84/1996): Regulations relating to minimum uniform norms and standards for public school infrastructure. http://www.education.gov.za/Portals/0/ Documents/Policies/Norms%20and%20Standards%20on% 20School%20Infrastructure.pdf?ver¼2015-02-04-090131173 (last accessed 2 September 2016).
Department of Basic Education (2015) National Education Infrastructure Management System (NEIMS) Standard Reports as at 12 May 2015. http://www.education.gov.za/LinkClick. aspx?fileticket¼X36y4Qhe5E0%3d&tabid¼358&mid¼1994 (last accessed 2 September 2016).
Departments of Health and Basic Education (2012) Integrated School Health Policy. South Africa.
Department of Health, Health Promotion, Department of Education, Department of Welfare, South Africa. (2000) National Guidelines for the Development of Health Promoting Schools/Sites in South Africa (Draft 4), National Department of Health, Pretoria, South Africa.
Flisher, A. and Reddy, P. (1995) Towards Health-Promoting Schools in South Africa. South. African Medical Journal 85, 629–630.
Judd, J., Frankish, C. J. and Moulton, G. (2001) Setting standards in the evaluation of community-based health promotion programmes – a unifying approach. Health Promotion International 16, 367–380. doi: 10.1093/heapro/16.4.367.
Landis, J. R. and Koch, G. G. (1977) The measurement of observer agreement for categorical data. Biometrics 33, 159–174.
Lazarus, S. (2006) Executive Summary, National Health Promoting Schools Conference 14-16 September 2006, University of the Western Cape, Cape Town, South Africa.
Lee, E. Y., Shin, Y. J., Choi, B. Y. and Cho, H. S. (2014) Reliability and validity of a scale for health-promoting schools. Health Promotion International 29, 759–767.
Medical Research Council, University of the Western Cape, World Health Organisation. Workshop on Health Promotion through Schools in South Africa, 21-22 July 1994. Cape Town, South Africa, (1994).
M~ ukoma, W. and Flisher, A. J. (2004) Evaluations of health promoting schools: A review of nine studies. Health Promotion International 19, 357–368.
Pommier, J., Gue´vel, M. R and Jourdan, D. (2010) Evaluation of health promotion in schools: a realistic evaluation approach using mixed methods. BMC Public Health 10, 1–12. http://www.biomedcentral.com/1471-2458/10/43 (last accessed 2 September 2016).
Preiser, R., Struthers, P., Mohamed, S., Cameron, N. and Lawrence, E. (2014) External stakeholders and health promoting schools: complexity and practice in South Africa. Health Education 114, 260–270.
Reddy, S. P., James, S., Sewpaul, R., Koopman, F., Funani, N. I., Sifunda, S. et al, (2010) Umthente Uhlaba Usamila – The South African Youth Risk Behaviour Survey 2008. South African Medical Research Council, Cape Town, South Africa.
Reddy, M. and Singh, S. (2015) Viability in delivering oral health promotion activities within the Health Promoting Schools Initiative in KwaZulu-Natal. South African Journal of Child Health 9, 93–97.
Safarjan, E., Buijs, G. and de Ruiter, S. (2013) SHE rapid assessment tool: A companion document for the SHE online school manual. http://www.schools-for-health.eu/uploads/files/English_
SHE%20health%20promoting%20school%20Rapid%20 Assessment%20Tool.pdf (last accessed 2 September 2016).
Swart, D. and Reddy, P. (1999) Establishing Networks for Health Promoting Schools in South Africa. Journal of School Health 69, 47–50.
World Health Organisation. (1986) Ottawa Charter. The First International Conference on Health Promotion. WHO, Geneva.
World Health Organisation (1997) Jakarta Declaration on Leading Health Promotion into the 21st Century. The Fourth International Conference on Health Promotion: New Players for a New Era - Leading Health Promotion into the 21st Century, meeting in Jakarta from 21 to 25 July 1997. http://www.who.int/healthpromotion/conferences/ previous/jakarta/declaration/en/ (last accessed 2 September 2016).
World Health Organisation Expert Committee on Comprehensive School Health Education and Promotion, World Health Organisation (1997) Promoting health through schools: report of the WHO Expert Committee on Comprehensive School Health and Education. http://apps. who.int/iris/bitstream/10665/41987/1/WHO_TRS_870.pdf (last accessed 2 September 2016).
|
Hand-Held Pressure Measuring Devices with External and Integrated Pressure Sensors
measuring • monitoring • analysing
HND-P
O O Measuring range from 0 ... 1000 bar rel.
O O Measuring accuracy starting with ± 0.1% of full scale
O O Large selection of pressure sensors
O O Automatic sensor recognition
O O Absolute pressure measurement, Relative pressure measurement
O O Serial interface, minimum/maximum memory, hold function, real-time clock, logger function
O O Differential pressure measurement
O O Robust housing, IP 65, front
ARGENTINA, AUSTRALIA, AUSTRIA, BELGIUM, BULGARIA, CANADA, CHILE, CHINA, COLoMBIA, CZECHIA, EGYPT, FRANCE, GERMANY, GREAT BRITAIN, HUNGARY, INDIA, INDONESIA, ITALY, MALAYSIA, MEXICO, NETHERLANDS, PERU, POLAND, Republic of Korea, ROMANIA, SINGAPORE, SPAIN, SWITZERLAND, TAIWAN, THAILAND, TUNISIA, turkey, USA, VIETNAM
KOBOLD Messring GmbH
D-65719 Hofheim/Ts.
Nordring 22-24
Head Office:
+49(0)6192 299-0 +49(0)6192 23398 email@example.com www.kobold.com
Hand-Held Pressure Measuring Devices Model HND-P...
Nearly all measuring tasks for the determination of pressure can be performed with the HND-P series KOBOLD hand-held pressure measuring devices. Various housing designs make it possible to find the right housing with the appropriate characteristic for every application. In addition to the large selection of external pressure sensors up to max. 400 bar absolute, measuring devices with integrated sensors in the millibar range are also available.
In the following table, all KOBOLD hand-held pressure measuring devices are listed with their respective equipment characteristics to ensure fast classification. Further technical data and additional information regarding the individual housings can be found in the subsequent pages.
Characteristics of the hand-held measuring devices of the HND-P... series
| | | HND-P105 | HND- P210/215 | HND- P121/231 | HND- P123/233 | HND- P126/ 236 | HND-P127 |
|---|---|---|---|---|---|---|---|
| Pressure measurement | external | x | x | - | - | - | - |
| | internal | - | - | x | x | x | x |
| Measuring range | | depending upon the sensor | | -1.00 ... 25.00 mbar | -10.00 ... 350.0 mbar | -100 ... 2000 mbar | -10.00 ... 420.0 mbar |
| Accuracy | | ±0.1 % of f. s. ±1 Digit* | ±0.1 % of f. s. ±1 Digit* | from ±3 % o f. s. | from ±0.2 % of f. s. | from ±0.2 % of f. s. | from ±0.1 % of f. s. |
| Display (LCD) | | 2 x 4½ digit | 2 x 4½ digit | 2 x 4½ digit | 2 x 4½ digit | 2 x 4½ digit | 2 x 4½ digit |
| Output | 0-1 Volt | - | only HND-P215 | - | - | - | - |
| | Interface | x | x | x | x | x | x |
| Connection | | 6 four-pin Mini-DIN plug | | 2 hose connection nipples made of metal | | | |
| Min-/Max-memory | | x | x | x | x | x | x |
| Min-/Max value memory | | - | x | only HND-P231 | only HND-P233 | only HND-P236 | - |
| Alarm | | - | x | only HND-P231 | only HND-P233 | only HND-P236 | - |
| Auto-off function | | x | x | x | x | x | x |
| Hold function | | x | x | x | x | x | x |
| Zero adjustment/ increase correction | | x | x | x | x | x | x |
| Differential measurement | | - | only HND-P215 | x | x | x | x |
| Logger function | | - | x | only HND-P231 | only HND-P233 | only HND-P236 | - |
| Real-time clock | | - | x | only HND-P231 | only HND-P233 | only HND-P236 | - |
| Power supply | Battery | x | x | x | x | x | x |
| | external | x | x | x | x | x | x |
* Measurement device precision, without consideration for the precision of the respective sensor
O O Connection for external sensor
O O 2 connections with HND-P215
O O display of 2 measuring points
O O differential pressure measurement
O O Serial interface
O O Logger function with HND-P210/215
O O Relative pressure sensors
Description
The KOBOLD hand-held pressure measuring devices HNDP105/210/215 are highly precise, compact pressure measuring devices that can be used universally. In conjunction with the appropriate external pressure sensors, precise measurement results over the entire measuring range can be achieved. Various pressure sensors are available for a multitude of measuring tasks and special applications. The respective measurement task determines which combination is selected. Naturally, these first-rate KOBOLDmeasuring units can display more than just pressure. All devices in this series allow for minimum/maximum value memory, hold function, automatic self-shut-off, or zero point offset entry for all connected pressure sensors, for example. The HND-P210/215 types also have a logger function, a peak value memory, or a minimum/maximum alarm. A special characteristic of the type HND-P215 is the possibility of connecting two external pressure sensors.
Areas of Application
O O Chemical, pharmaceutical, food industry
O O Machine and apparatus construction
O O Piping and container construction
Technical Details
(The data listed refers to the measuring unit without consideration for the respective sensors)
Measurement input:
for pressure sensor HND-PS depending upon the pressure sensor
Measuring range:
Accuracy:
± 0.1% of full scale ± 1 Digit
(at nominal temperature 25 °C)
Resolution:
depending upon the sensor
Display range:
-19 999 ... +19 999
Display:
2 x 4½-digit LCD-displays
Operating temperat.: -25 ... +50 °C
Storage temperat.:
-25 ... +70 °C
Storage humidity:
0 ... 95% r. H. (non-condensing)
Probe connection:
6-pin shielded Mini-DIN-plug, autom. sensor recognition and measuring range adjustment
Output:
serial interface (via 3.5 mm jack, transformer on RS232 or USB optional)
0 ...1 V (freely scalable) only for
HND-P215
Power supply: 9 V-monobloc battery (IEC 6 F 22)
(included in the scope of delivery)
external 10.5 ... 12 V
DC
via jack
Current
consumption:
approx. 1.6 mA (incl. sensor) housing made of impact-resistant ABS-K
Material:
Protection:
IP 65, front side
Dimensions: 142 x 71 x 26 mm (H x W x D)
Weight:
approx. 150 g
Scope of functions
Minimum/maximum value memory
Hold-function: » freezing« of the current value
Automatic-off function: 1 ... 120 min (can be deactivated)
Zero adjustmentfor connected sensor and gradient
alignment
Tare function:
display-, minimum/maximum values are set to zero
Additional functions for model HND-P210/215: Minimum/maximum alarm can be deactivated
Alarm (3 alarm settings)
off:
Alarm function inactive
on:
Alarm notification via display, internal horn and serial interface
no sound:
Alarm notification only via display and interface
Averaging
Peak value memory unfiltered pressure peaks ≥1 ms Adjustable measuring cycle:
»slow«
4 measurements/sec
»fast«
≥1000 measurements/ sec (filtered)
»peak-detect« ≥1000 measurements/sec
Power saving modefor measuring cycle »slow«
Real-time clock: Logger functions:
current time with date and year
manual:
99 datasets
cyclic:
10 000 datasets (only HND-P210)
4000 datasets (only HND-P215)
Adjustable cycle time: 1 sec ... 1 h
2 pressure sensor connections (only HND-P215)
Order data
| HND-P 105 | 1 x pressure sensor input, standard |
|---|---|
| HND-P 210 | 1 x pressure sensor input with additional functions (see techn. data) |
Suitable probe and accessories see pages 3 and 7
Hand-Held Pressure Measuring Devices for External Pressure Sensors
Pressure sensors for HND-P 105, HND-P 210 and HND-P 215
Measurement principle: piezo-resistive
with cable connection: 1 m PVC, screened, only HND-PS01 ... PS08
| Measuring range | Linearity/temperature dependency 0 ... 50 °C | Resolution | Overload | Operating temperature | Connection |
|---|---|---|---|---|---|
| -1.999 ... 2.500 mbar rel. | ± 0.2% of full scale / ± 1.0% of full scale* | 0.001 mbar | max. 200 mbar | 0 ... +50 °C | Nylon spigot for hose 6 x 1 mm |
| -19.99 ... 25 mbar rel. | ± 0.2% of full scale / ± 0.5% of full scale* | 0.01 mbar | max. 300 mbar | | |
| -199.9 ... 350.0 mbar rel. | ± 0.2% of full scale / ± 0.4% of full scale* | 0.1 mbar | max. 1 bar | | |
| -1000 ... 2000 mbar rel. | | 1 mbar | max. 4 bar | | |
| -1 ... 10 bar rel. | | 10 mbar | max. 10.34 bar | | |
| 0 ... 1300 mbar abs | | 1 mbar | max. 4 bar abs | | |
| 0 ... 2000 mbar abs | | | | | |
| 0 ... 7.0 bar abs | | 10 mbar | max. 10 bar abs | | |
| 0 ... 400 mbar rel. | | 0.1 mbar | max. 2 bar rel. | 0 ... +70 °C | G ½ male thread |
| 0 ... 1000 mbar rel. | | 1 mbar | max. 5 bar rel. | | |
| 0 ... 2500 mbar rel. | | | max. 10 bar rel. | | |
| 0 ... 4000 mbar rel. | | | max. 17 bar rel. | | |
| 0 ... 6000 mbar rel. | | | max. 35 bar rel. | | |
| 0 ... 10 bar rel. | | 10 mbar | | | |
| 0 ... 25 bar rel. | | | max. 50 bar rel. | | |
| 0 ... 40.0 bar rel. | | | max. 80 bar rel. | | |
| 0 ... 60 bar rel. | | | max. 120 bar rel. | | |
| 0 ... 100 bar rel. | | 0.1 bar | max. 200 bar rel. | | |
| 0 ... 160 bar rel. | | | max. 320 bar rel. | | |
| 0 ... 250 bar rel. | | | max. 500 bar rel. | | |
| 0 ... 400 bar rel. | | 10 mbar | max. 800 bar rel. | | |
| 0 ... 600 bar rel. | | 0.1 bar | max. 1200 bar rel. | | |
| 0 ... 1000 bar rel. | | 1 bar | max. 1500 bar rel. | | |
| 0 ... 1000 mbar abs | ± 0.2% full scale / ± 0.4% full scale* | 1 mbar | max. 5 bar abs | 0 ... +70 °C | G ½ male thread |
| 0 ... 2500 mbar abs | | | max. 10 bar abs | | |
| 0 ... 4000 mbar abs | | | max. 17 bar abs | | |
| 0 ... 6000 mbar abs | | | max. 35 bar abs | | |
* in the range from 0 to +50 °C
** Pressure sensors HND-PS01 up to HND-PS08 are only suitable for air and non corrosive/non ionising gases and liquids.
Hand-Held Pressure Measuring Devices with Integrated Pressure Sensors
Model HND-P121/231 ... P127
O O Integrated pressure sensor
O O 2 hose connections
Type-specific Technical Details HND-P121/-P231
O O Differential pressure measurement
O O Serial interface
O O Extensive additional functions
O O Relative pressure sensors
Description
The highly precise KOBOLD hand-held pressure measuring devices HND-P121/P231 ... HND-P127 are measuring devices with integrated pressure sensors. They have two pressure measurement inputs on the top of the housing, which are connected to the measuring points by means of stable metal connections and plastic hoses that are available as accessories. Numerous measuring ranges in the overpressure and underpressure range are available for various measurement tasks, such as differential pressure measurement. In addition to pressure display, these first-rate, compact, universally applicable measuring units offer additional functions such as minimum/maximum value memory, a hold function, tare function, automatic self-shut-off, or zero point offset. The devices with an expanded spectrum of functions also have a logger function, a peak value memory, minimum/maximum alarm, an adjustable measuring cycle, and averaging.
Areas of Application
O O Chemical, pharmaceutical, food industry
O O Machine and apparatus construction
O O Piping and container construction
subject to change without prior notice.
Measuring range: -1.00 ... +25.00 mbar
Accuracy:
± 0.3 % of full scale (Hysteresis and linearity)
± 0.4 % of full scale
(in the range of 0 ... 50 °C)
Resolution:
0.01 mbar
Units:
mbar, bar, Pa, kPa, mmHg, PSI,
mH
2
O (display "m")
Overload:
max. 10 000 Pa (max. 100 mbar)
HND-P123/-P233
Measuring range: -10.0 ... + 350.0 mbar
Accuracy:
± 0.2 % of full scale (Hysteresis and linearity)
± 0.4% of full scale
(in the range of 0 ... 50 °C)
Resolution:
0.1 mbar
Units:
mbar, bar, kPa, MPa, PSI, mmHg,
mH
2
O (display "m")
Overload:
max. 1 bar
HND-P126/-P236
Measuring range: -100 ... +2000 mbar
Accuracy:
± 0.2 % of full scale (Hysteresis and linearity)
± 0.4 % of full scale
(in the range of 0 ... 50 °C)
Resolution:
1 mbar
Units:
mbar, bar, kPa, MPa, PSI, mmHg,
mH
2
O (display "m")
Overload:
max. 4 bar
HND-P127
Measuring range: -10.0 ... + 420.0 mbar
Accuracy:
± 0.1% of full scale (Hysteresis and linearity)
± 0.4% of full scale
(in the range of 0 ... 50 °C)
Resolution:
0.1 mbar
Units:
mbar, bar, kPa, MPa, PSI, mmHg,
mH
2
O (display "m")
Overload:
max. 1 bar
Hand-Held Pressure Measuring Devices with Integrated Pressure Sensors
Model HND-P121/231 ... P127
General Technical Details
Additional functions for
Measurement input: by means of two metal hose stems
Sensor:
piezo-resistive relative pressure sensor, for air or non-corrosive and non-ionising gases and liquids, not for water!
Display:
2 x 4½-digit LC-displays
Operating temp.: 0 ... +50 °C
Storage temp.: -20 ... +70 °C
Storage humidity: 0 to 95 % r. H. (non-condensing)
Output:
serial interface
(via 3.5 mm jack, transformer on
RS232 or USB optional))
Power supply:
9 V-monobloc battery (included in the scope of delivery), extern 10.5 ...12 VDC via jack
Current consumpt.: < 1 mA (HND-P121 ...),
max. 3 mA (HND-P231 ...)
Material:
housing made of impact-resistant
ABS-K
Protection:
IP 65, front
Dimensions:
142 x 71 x 26 mm (L x W x D)
Weight:
approx. 160 g
Scope of functions:
Minimum/maximum value memory
Hold-function: »freezing« of the current value
Automatic-off function: 1 ... 120 min (can be deactivated)
Zero point adjustment via keyboard possible, gradient alignment
Tare function:
display, minimum/maximum values are set to zero
Battery change notification
HND-P231, HND-P233, HND-P236:
Minimum/maximum alarm can be deactivated
Alarm (3 alarm settings)
off:
Alarm function inactive
on:
Alarm notification via display, internal horn and serial interface
no sound:
Alarm notification only via display and interface
Averaging
Peak value memory unfiltered pressure peaks ≥1 ms Adjustable measuring cycle:
»slow«
4 measurements/sec
»fast«
≥ 1000 measurements/sec (filtered)
»peak-detect« ≥ 1000 measurements/sec
Power saving modefor measuring cycle »slow«
Real-time clock: current time
Logger functions:
manual:
99 datasets
cyclic:
10 000 datasets
Adjustable cycle time: 1 sec ... 1 h
Order Data
| HND-P 121 | 2 measuring inputs, standard |
|---|---|
| HND-P 231 | 2 measuring inputs with additional functions (see Technical Details) |
| HND-P 123 | 2 measuring inputs, standard |
| HND-P 233 | 2 measuring inputs with additional functions (see Technical Details) |
| HND-P 126 | 2 measuring inputs, standard |
| HND-P 236 | 2 measuring inputs with additional functions (see Technical Details) |
| HND-P 127 | 2 measuring inputs, greater sensor accuracy, standard |
Connection material, see accessories on page 8
Hand-Held Pressure Measuring Devices with Integrated Pressure Sensors Model HND-P129/239
O O Integrated pressure sensor
O O 1 hose connection
O O Serial interface
O O Absolute pressure sensor
O
O Logger function with
HND-P239
Description
The KOBOLD hand-held pressure measuring devices HNDP129 and HND-P239 have an integrated pressure sensor for absolute pressure measurement. The measuring device is connected to the measuring point by means of a stable, metal connection on the top of the housing and an optional plastic hose. This device design offers the possibility of also displaying the barometric air pressure in relation to sea level »zero«. In this case, air pressure is corrected by entering the height above »zero« in meters. Naturally, these devices also have the minimum/maximum value memory, a hold function, a tare function, automatic self-shut-off function, and zero point adjustment. The KOBOLD HND-P239 devices also offer additional functions like the logger function, peak value memory, minimum/maximum alarm, an adjustable measuring cycle, and averaging.
Areas of Application
O O Chemical, pharmaceutical, food industry
O O Machine and apparatus construction
O O Piping and container construction
Technical Details
Measuring range: 0 ... 1300 mbar abs
Accuracy:
± 0.2% of full scale (Hysteresis and linearity)
± 0.4% of full scale
(in the range of 0 ... 50 °C)
Resolution:
1 mbar
Units:
mbar, bar, kPa, MPa, mmHg, PSI,
mH
2
O (display "m")
Overload:
max. 4 bar abs
Measuring input: by means of a metal-hose stem
Sensor:
piezo-resistive absolute pressure sensor, for air or for non-corrosive and non-ionizing gases and liquids, not for water!
Display:
2 x 4- digit LC-displays
Operating temp.: 0 ... +50 °C
Storage temperatur: -20 ... +70°C
Storage humidity: 0 ... 95% r. H. (non-condensing)
No responsibility taken for errors;
subject to change without prior notice.
Output:
serial interface
(via 3.5 mm jack, transformer on
RS232 or USB optional)
Power supply:
9 V-monobloc battery (included in the scope of delivery), external 10.5 ...12 VDC via jack
Current
consumption: approx. 0.6 mA (HND-P129),
max. 2.5 mA (HND-P239)
Material:
housing made of impact-resistant
ABS-K
Protection:
IP 65, front side
Dimensions:
142 x 71 x 26 mm (L x W x D)
Weight:
approx. 160 g
Scope of functions
Minimum/maximum value memory
Hold function: »freezing« of the current value
Automatic-off function: 1 ... 120 min (can be deactivated)
Zero point adjustment via keyboard possible
Tare function:
Display, minimum/maximum values are set to zero
Battery change notification
Additional functions with HND-P239:
Minimum/maximum alarm can be deactivated
Alarm (3 alarm settings)
off:
Alarm function inactive
on:
Alarm notification via display, internal horn
and serial interface
no Sound: Alarm notification only via display
and interface
Averaging
Peak value memory unfiltered pressure peaks ≥ 1 ms
Adjustable measuring cycle:
»slow«
4 measurements/sec
»fast«
≥1000 measurements/sec (filtered)
»peak-detect« ≥1000 measurements/sec
Power saving modein the measuring cycle »slow«
Real-time clock: current time with date and year
Logger functions:
manual:
99 datasets
cyclic:
10 000 datasets
Adjustable cycle time: 1 sec ... 1 h
Order Data
Connection material, see accessories on page 8
Accessories for hand-held pressure measuring devices HND-P and sensor HND-PS
* Observe instrument dimensions
|
research-article
822440 research-article2019
SMO0010.1177/2050312118822440SAGE Open MedicineGordon et al.
Feasibility of population screening tests to establish a healthy ageing trajectory
Susan J Gordon 1 , Karen A Grimmer 2,3 , Nicky Baker 2 , Elaine Bell 4 , John Coveney 2 , Johanna H Jordaan 5 , Christopher Lind 6 , Tania Marin 2 , Joanne Murray 7 , Lynda H Norton 8 , Lua Perimal-Lewis 9 , Karen Sparrow 6 , Margie A Steffens 10 , Jolene Thomas 11 and Michael Kidd 12,13
Abstract
Objectives: There are no agreed comprehensive tests for age-related changes to physical, emotional, mental and social functioning. Research into declining function focuses on those 75 years and older and little is known about age-related changes in younger people. The aims of this project were (1) to ascertain a comprehensive test battery that could underpin community-based health screening programmes for people aged 40–75 years and pilot both (2) community-based recruitment and (3) the utility, acceptability, response burden and logistics.
Methods: A total of 11 databases were searched using a broad range of relevant terms. An identified comprehensive, recent, high-quality systematic review of screening instruments for detection of early functional decline for communitydwelling older people identified many relevant tools; however, not all body systems were addressed. Therefore, lower hierarchy papers identified in the rapid review were included and expert panel consultation was conducted before the final test battery was agreed. Broad networks were developed in one Australian city to aid pilot recruitment of communitydwellers 40–75 years. Recruitment and testing processes were validated using feasibility testing with 12 volunteers.
Results: The test battery captured (1) online self-reports of demographics, health status, sleep quality, distress, diet, physical activity, oral health, frailty and continence; and (2) objective tests of anthropometry; mobility; lung function; dexterity; flexibility, strength and stability; hearing; balance; cognition and memory; foot sensation; and reaction time. Recruitment and testing processes were found to be feasible.
Conclusion: This screening approach may provide new knowledge on healthy ageing in younger people.
Keywords
Ageing, population screening, epidemiology/public health, functional decline, health promotion
Date received: 16 May 2018; accepted: 3 December 2018
1Clinical Teaching and Education Centre, College of Nursing and Health Sciences, Flinders University, Daw Park, SA, Australia
2College of Nursing and Health Sciences, Flinders University, Adelaide, SA, Australia
3
Division of Physiotherapy, Faculty of Medicine and Health Sciences,
Stellenbosch University, Cape Town, South Africa
4
School of Nursing and Midwifery, College of Nursing and Health
Sciences, Flinders University, Adelaide, SA, Australia
5Clinical Skills and Simulation Unit, College of Medicine and Public Health, Flinders University, Adelaide, SA, Australia
6Discipline of Audiology, College of Nursing and Health Sciences, Flinders University, Adelaide, SA, Australia
7Discipline of Speech Pathology, College of Nursing and Health Sciences, Flinders University, Adelaide, SA, Australia
8Discipline of Health and Exercise Sciences, College of Nursing and Health Sciences, Flinders University, Adelaide, SA, Australia
11 Discipline of Nutrition and Dietetics, College of Nursing and Health Sciences, Flinders University, Adelaide, SA, Australia
9 Flinders Digital Health Research Centre, College of Nursing and Health Sciences, Flinders University, Adelaide, SA, Australia
10 Community Outreach Dental Program, Adelaide Dental School, The University of Adelaide, Adelaide, SA, Australia
12Department of Family & Community Medicine, University of Toronto, Toronto, ON, Canada
13Southgate Institute for Health, Society and Equity, Flinders University, Adelaide, SA, Australia
Corresponding author:
Susan J Gordon, Clinical Teaching and Education Centre, College of Nursing and Health Sciences, Flinders University, ViTA, 17 Rockville Avenue, Daw Park, SA 5041, Australia.
Email: email@example.com
SAGE Open Medicine https://doi.org/10.1177/2050312118822440 SAGE Open Medicine Volume 7: 1–9 © The Author(s) 2019 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/2050312118822440 journals.sagepub.com/home/smo
Background
Healthy ageing is promoted as the way of attenuating age-related decline in body system performance and maintaining people's community participation 1 by using active interventions to optimize well-being, and physical, mental, social and emotional capacities. 2 Theoretical trajectories of 'expected' and 'accelerated' age-related declining function were described by the World Health Organization (WHO), 3 as thresholds of disability which most people are expected to breach, at some stage in their lives. While age-related changes in body system functioning are widely acknowledged, the trajectory of healthy ageing is poorly understood. 4,5 Little is known about the processes of 'expected' healthy ageing in multiple body systems and there is little data on the trajectory of age-related changes occurring insidiously in independent, (presumed) generally healthy, community-dwelling people, or at what age, body performance changes could be first detected. Moreover, the critical points beyond which age-related decline becomes irreversible has not been identified. 4–6 Given the increasing number of people in developed countries living for longer, and the high costs of residential care for those who cannot live independently in the community, it is imperative that the normal processes of healthy ageing are better understood, so that preventive primary care interventions can be implemented in a timely manner to optimize health and independence.
Such is the importance of promoting and supporting healthy ageing that the recent 69th WHO Assembly adopted the Global strategy and action plan on ageing and health. 6 A decade of healthy ageing has been proposed (2020–2030) to highlight the global importance of healthy, independent older age. 6 The WHO has called on all partner organizations internationally to participate in research and clinical innovation that promotes and supports healthy ageing. This includes developing evidence-based tools to assess age-related changes, which can underpin clinical, community and population-based interventions to optimize functional ability. 6 Furthermore, agreed and quantifiable indicators, standards and metrics for healthy ageing are required to enable performance mapping. In Australia, to provide evidence-based healthy ageing assessments and interventions which will improve quality of life, increase capacity for participation, decrease hospital presentations and support personalized interventions, the Strategic Review of Health and Medical Research has made better health for older Australians a priority. 7 Laudable as these strategies are they cannot be actioned effectively at present because there is no standard, comprehensive, evidence-based screening tool battery, and no formal opportunity to systematically and repeatedly screening community-dwelling individuals as they age.
Population screening over the past 50 years has been successful for early detection of diseases such as bowel and breast cancer. 8 Comprehensive screening of key physical, mental, emotional and social attributes of ageing could provide currently unavailable, but essential information on the 'expected' trajectory of healthy ageing in body systems. 3,4,6 Australia has Medicare-funded primary healthcare initiatives in general practitioner (GP) clinics to screen for chronic disease (45 + GP assessment) and incipient frailty (75 + GP assessment), where some elements of disability and agerelated functional decline are assessed. 9 However, these initiatives have not been well subscribed by GPs or patients, they do not comprehensively assess body system performance, and the findings are not collated in such a way as to provide population data on healthy ageing. 10,11 Whom to screen in the population, the core screening elements for healthy ageing, and how often to screen, is also not clear. Given the quickly approaching decade of Healthy Ageing (2020–2030), it is important to commence early comprehensive population screening for people aged 40 years and over to better understand the ageing trajectory and to introduce cost-effective feasible interventions to reverse primary age-related changes not detected in routine medical examinations. 12 Screening people for age-related changes from 40 years would also capture accelerated ageing changes reported in Aboriginal and Torres Strait Islander, refugee and homeless populations. 13,14
This article describes establishment and feasibility testing of a comprehensive test battery to underpin communitybased screening programmes for people aged 40–75 years and has three aims: (1) to establish a comprehensive evidence-based test battery of validated screening tools for physical, mental, emotional and social aspects of ageing; (2) to test a recruitment strategy for community-dwelling adults aged 40–75 years; and (3) to pilot the test battery for utility, acceptability, response and organizational logistics.
Methods
Ethical approval
Ethical approval was obtained in 2017 from the Southern Adelaide Local Health Network (South Australia; 391.16 and 407.16).
Aim 1: establishing a comprehensive evidencebased test battery of validated screening tools
The authors used the following iterative approach to collate the test battery.
Evidence base.The authors completed a rapid literature review to identify (1) a 'wish list' of attributes and/or predictors of declining function in body systems which may be age-related (see Table 1 and (2) relevant screening tools (see Tables 2 and 3). In line with rapid review protocols, this review sought the highest hierarchy, best quality, most recent literature relevant to the search question. 46 Databases searched comprised Medline, Embase, AMED, AgeLine, CINAHL, PsychInfo, Psychology and Behavioural Sciences
Table 1.'Wish list' of measures describing attributes of healthy ageing.
ED: emergency department.
Table 2.Risk assessments and normal values.
Collection, Cochrane Library, Wiley Online Library, PubMed and Sociological abstracts, using broad terms of age*; health*; screen*, chang*; with truncations and synonyms. All databases were searched up to 31 August 2016.
This search identified a comprehensive, recent, highquality systematic review of screening instruments for detection of early functional decline for community-dwelling older people. 47 This included 107 screening tools which had been critically appraised using an established tool for psychometric properties and clinical utility. 48,49 Instruments identified in the review were classified into six categories: Medical status (27 tools for biological systems); Performance capacity (38 tools for physical and mental health, and cognition); Participation (20 tools for environment, function and motivation); Demographics (8 tools); Anthropometry (10 tools); and Relationships with healthcare providers (5 tools). As this review focused on early functional decline, most tools were immediately relevant to our proposed population; however, not all body systems were addressed. Lower hierarchy papers identified in the rapid review were included for other tools available to assess the body systems' issues not covered in the systematic review.
The authors considered the merits of each tool and prioritized according to established evidence of validity (see Table 3), free availability, not under copyright and if they provided thresholds/population norms relevant to communitydwelling people aged 40–75 years.
Evidence gaps.While the rapid review identified tools to assess each 'wish list' item, many of the assessments had not
Table 3.Attributes of ageing, assessment tools and population thresholds (if available).
BMI: body mass index; FEV1: forced expiratory volume in 1 s; FVC: forced vital capacity.
been validated for use in this population or did not provide expected population values (see Table 3). To ensure no assessment tools had been missed, relevant primary literature was identified from articles identified in the rapid review. Furthermore, additional searches were undertaken, using the same search strategy and conducted in the same manner as the rapid review, with each search focused and filtered by key words relevant to each gap.
onto the expert panel by the research team, when that expertise was not already available on the panel. These included a respiratory scientist, sleep researcher, podiatrist and a specialist bowel and bladder physiotherapist.
Determining the test battery.An expert panel was convened, comprising the authors; partner and network representatives; and academics in disciplines relevant to healthy ageing (medicine, nursing (physical and mental), public health, allied health (physiotherapy, occupational therapy, psychology, nutrition, audiology, speech and language, social work), and dentistry). Researchers in the 'gap' areas were co-opted
Copies of the included screening tools were sent to the expert panel a week prior to a face-to-face meeting in August 2016. At the meeting, the expert panel discussed each screening tool for relevance, comprehensiveness, likely response and ease of administering in population screening. Where there were choices of screening tools for particular aspects of healthy ageing, the panel chose tools with the most convincing evidence of clinical utility and psychometric properties. Preference was given to tools with no cost or licencing requirements, and with population norms/benchmarks. The co-opted members tabled new screening tools in their speciality areas, and similar discussions occurred. A penultimate
battery of screening tools was collated that would be delivered in two parts: as online self-reports and face-to-face objective data collection. Finally, an estimate of the amount of time required to complete the Inspiring Health Screening Tool Battery was made.
Avoiding adverse events.Sequences for testing, and stopping rules, were established for some objective tests, to avoid potential misadventures during testing (such as falls, undue fatigue or injury). For instance, the chosen balance test protocol would need to commence with a simple test that should be achieved by all participants (for instance standing on both legs, eyes open). If participants could not complete this, or subsequent tests after three attempts, they would not be allowed to proceed to more challenging balance tests.
Aims 2 and 3: recruitment and feasibility testing
Paid and unpaid workers (volunteers) in each partner organization were alerted to the feasibility study by posters and general email invitations. The primary role of participants in the feasibility study was to act as key informants, by providing insights into the likely perceptions of community-dwelling people about volunteering for screening with the test battery, 50 as well as establishing the capability of the target population, males or females aged between 40 and 75 years living independently in the community, to safely complete the assessments. A representative sample of this population rather than a specific number of participants based on the expected outcome of any assessment tool was recruited. Potential participants contacted the research team and were purposively recruited into age clusters (40–49; 50–59; 60– 69; 70–75 years) with at least one man and one woman in each age cluster. We sought a sample of at least 12 participants on the assumption that the views of four participants in each age group should be sufficient to identify issues with test battery administration. Participants were asked to attend testing wearing close fitting exercise clothing that allowed ready participation in physical tests, and sports or walking shoes that could be removed easily.
Precedent.The feasibility study was conducted similarly to the biennial Tokyo Metropolitan Institute of Gerontology (TMIG) Healthy Aging Survey. 51 A resource manual of tests and instructions was prepared to standardize measurement procedures, outline the organization for data collection, and reduce interpretation error. Flinders University health discipline students and/or their academic supervisors (n = 12), whose participation was part of a university-wide interprofessional learning initiative, were used as assessors and were trained for accuracy, and efficiency, in the tests delivered at that station.
Proposed process of self-report.An online data collection form was designed to capture self-reported information.
Participants were invited to complete this up to 1 week prior to undertaking objective testing. Consent was implicit in completion of the online survey, and advice was provided throughout the survey that participants could withdraw at any time. If participants did not have access to the Internet, they had the option of completing the survey in paper-form. If participants were under-confident in literacy, scribes were available to assist with paper-based survey completion on the day of objective measures testing.
Process of objective data collection.Objective measures were collected at a central venue (Flinders University Clinical Teaching and Education Centre). On arrival, participants provided signed informed consent before being screened for key physiological risks for ill-health which might make them ineligible to proceed to testing (see Table 2). 15 Participants were asked about medications, health conditions and health events which might put them at risk of falls or temporary cognitive deficits. These included recent hospitalizations or emergency department presentations, recent falls or 'near misses', recent vaccinations, or current and past pain concerns. If researchers believed that potential participants may not be safe to participate, they were excluded from the study at this point and counselled about seeking medical help.
Participants whose physiological measures were within normal limits and were not considered to be at risk of adverse events from testing proceeded to objective data testing. At each testing station, participants were re-consented verbally and reminded that if any test produced pain or physical difficulties, this should be reported; if necessary, the test would cease. Participants moved through each station until all were completed. The amount of time taken to complete each station was recorded.
Feedback.After completion, participants provided verbal feedback in semi-structured interviews on the recruitment and consent process; the acceptability of screening tests; data collection processes; adequacy of online instructions, and the instructions provided at each measurement station; organization of measurement stations; engagement with measurers; and any other reflections. The data collectors at each measurement station also provided feedback on the objective data capture processes (e.g. adequacy of training, time allowed for data collection, and data entry). Feedback was collated and reviewed by the research team and modifications were made, as required, to testing processes to improve organization, information exchange and participant satisfaction, prior to future roll-out in a large-scale community screening study.
Data management and analysis.Data were recorded in a purpose-built Microsoft © Access © 2016 Database Management System, using a de-identified identifier (ID) unique to each participant. Responses to the online surveys and the data items recorded at the objective measurement stations were
linked by this unique ID. The total amount of test time was calculated per participant and compared with the expert panel estimates.
Individual reporting.A draft personalized report was designed to summarize individual health status measures. This was offered to each participant, to share with their GP, if they wished. This report highlighted where individuals fell outside 'normal' population ranges, and it alerted participants (and their GPs) to health issues warranting more in-depth assessment and targeted intervention. Participants' feedback on the usefulness and comprehensiveness of these reports was captured.
Results
Aim 1: screening tests
Screening tools (individual, or groups of measures) were identified for all 'wish list' items in Table 1, with multiple 'wish list' items often incorporated into one tool. An evidence-based screening test battery of 45 individual items and tools was proposed to address all body systems. 4,15–45 Information on the test battery items is provided in Tables 2 and 3.
Self-reported information
The purpose-built online questionnaire collected information on birthdate, gender, culture and ethnicity, language spoken at home, marital status, living arrangements and housing status, education, employment and income, pet ownership, common forms of transport and community participation. Data were also recorded from eight validated instruments on psychological health, sleep quality, oral health, nutrition, speech and hearing, continence, physical activity and frailty (see Table 3). This table indicates where population norms were available for these measures. On average, participants took 40 min to complete the online questionnaire.
Objective data
Table 3 also outlines the objective tests collected at eight measurement stations, including which tests had population norms. It took participants approximately 2 h to circulate through the eight measurement stations.
Aim 2: sample
We recruited the first 12 volunteers who consented to the feasibility study, filling decade age clusters between 40 and 75 years (six women, six men, four from each decade). Participants reported being attracted to volunteering by the community outcomes that could occur from this type of population screening. Volunteers' main reasons for participating were wanting to be part of something positive in their community and to be involved in an activity that would provide them with comprehensive information on their personal health status, which they could not get anywhere else. They believed that the recruitment strategies were appropriate and were likely to attract others in their organization for future large-scale population data collection. They suggested that future testing could be promoted through the media, and in other community groups such as sporting clubs, churches and philanthropic organizations. All indicated they would assist in future recruitment strategies by describing their firsthand experiences.
Aim 3: utility, acceptability, response and organizational logistics
Data saturation occurred in the responses of the volunteer participants (n = 12) and the assessors (n = 12) with regard to the utility, acceptability, response and organizational logistics of the assessments.
Adverse events
There were no adverse events during testing, and participants and data collectors did not identify any opportunities for misadventure that had not already been identified by the expert committee. Participants and data collectors found that clothing instructions were appropriate and readily complied with and no one was excluded from objective testing because of their physiological measures.
Modifications to objective test
Testing for knee and ankle reflexes 15 was removed as other tests for balance and muscle performance could identify functional deficits related to reflex impairment. 26,27,35,36 Measurement of triceps skin fold was removed due to poor reliability between measurers, and sufficient other measures of anthropometry. 30 The Balance Screening Tool 36 provocation tests were reordered so that the safest balance tests were undertaken first (eyes open, standing on both and then each leg, for (up to) 5 s). People who could not complete these tests were not progressed to more difficult, potentially injurious tests, undertaken with eyes closed.
Modifications were made to the order and organization of testing of the functional muscle performance tests (FMS). 35 The original FMS target population (elite athletes) differed significantly from the study population, and given the feasibility study findings, it appeared unlikely that participants in any population-based screening study would be able to complete all tests safely. The FMS was thus administered by commencing with eight basic tests (deep squat; lunge on the floor (L, R legs), hurdle step on the floor (L, R legs), rotary stability (L leg, R arm; R leg, L arm); knee push up), with only those subjects who successfully completed these tests progressing to more advanced tests.
Modifications to data collection organization
Minor changes were made to the allocation of screening tools to stations, to ensure more efficient data collection and participant flow. The stations for subsequent population testing comprised the following:
*• Station 1. Assessment of cognition 29 and lung function; 31
*• Station 3. Muscle function, functional strength, stability and flexibility; 35
*• Station 2. Audiometry; 37
*• Station 4. Anthropometry, 30 grip strength, 32–34 dexterity, 39–41 reaction time; 42,43
*• Station 6. Balance, 36 foot sensation 44 and vision assessment. 38
*• Station 5. Mobility 26,27 and exertion; 28
The purpose-built database performed well, providing standard data entry, easy data validation and opportunities to interrogate the data in a range of combinations.
Discussion
To the best of our knowledge, we have reported the first comprehensive, validated, English-language, freely available, evidence-based screening test battery for age-related body systems performance which could underpin population screening into healthy ageing in community settings. Compared with the Japanese-language test battery used by TMIG 51 to assess people aged 65 years and over in one Tokyo prefecture, our test battery is more extensive and captures body systems' performance in younger participants (aged 40–75 years). Of the 45 performance body systems' measures in our test battery, population norms were available for approximately half. This highlights the need for populationbased research upon which to build a database of 'expected' performance in community-dwelling people aged from 40 years. For some measures (such as FMS 35 and balance 36 ), the tests had been initially designed for population subsets (elite athletes, people with falls problems), and thus modifications were required for community-dwellers to ensure safety during testing.
We identified effective broad-based recruitment strategies for community-dwelling Australians aged 40–75 years. While some other countries have registers of birthdates of community-dwelling people which facilitates comprehensive recruitment and sampling for population-based studies, 1,51 there is no feasible or standard way of similar population-based recruitment in Australia. 7,10,11 Multipronged recruitment approaches (media, emails, public notices) disseminated through community-based partner organizations, the use of peer champions, the comprehensive capture of data on body systems performance, and the offer of individualized health reports appear likely to capture the interest of community-dwelling people. Our testing process did not impose significant individual strain on any participant, and there were positive comments about the scope and intent of the test battery. Participants particularly indicated that they appreciated knowing whether they were generally performing within population norms (or not) as well receiving individual health report to take to their GP (or other health professionals) for further discussion.
Repeated use of our test battery and population-recruitment processes could underpin successful future population-based screening of community-dwelling Australians aged from 40 to 75 years, which will produce new and much-needed information on healthy ageing. 7,9 This information will put more context around the WHO theoretical trajectory of disability and ageing 3 and will inform initiatives such as the WHO decade of Healthy Ageing. 6 Moreover, early signs of functional decline or frailty may be able to be identified efficiently in community-dwelling people from 40 years, rather than waiting until irreversible functional decline and frailty is established, and a health crisis has occurred. 4,5
Limitations of this study include the small sample that tested feasibility, although it was representative of the age and gender groups for which the methodology was being developed. The authors acknowledge that generalizability to other demographic and cultural groups may be limited. The strengths include the multiple review methods and consultation to identify the 'best' assessment tools, and the establishment of safety in a representative population, albeit small, before roll out in a community setting.
Conclusion
In light of the current dearth of information on body systems' performance and health behaviours of seemingly healthy younger Australian community-dwellers, this study presented the first known, comprehensive, screening test battery based on evidence, which could be used to describe attributes and trajectories of healthy ageing in population testing. Further investigation on the application of the test battery, as a regular feature in community centres and in larger settings, is needed.
Acknowledgements
Professor Ronald C Kessler of the Department of Health Care Policy, Harvard Medical School, is thanked for the use of research on the K10 funded by US Public Health Service Grants RO1 MH46376, R01 MH52861, RO1 MH49098 and K05 MH00507 and by the John D and Catherine T MacArthur Foundation Network on Successful Midlife Development (Gilbert Brim, Director).
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.
Ethical approval
Ethical approval for this study was obtained from Southern Adelaide Local Health Network Office for Research (No. 391.16).
Funding
The author(s) disclosed receipt of the following financial support for the research, authorship, and/or publication of this article: This study was supported by internal grant funding from Flinders University and Aged Care Housing Group, South Australia, and who co-fund the Chair of Restorative Care in Ageing, occupied by Professor Susan Gordon.
Informed consent
Written informed consent was obtained from all subjects before the objective assessment components of the study. And return of online surveys was considered implied consent.
ORCID iDs
Susan J Gordon https://orcid.org/0000-0002-4760-1212 Karen A Grimmer https://orcid.org/0000-0002-9540-458X Tania Marin https://orcid.org/0000-0001-8734-7928
References
1. Ågren G and Berensson K. Healthy ageing. A challenge for Europe. Stockholm: The Swedish National Institute of Public Health, 2006.
2. Beard JR, Officer A, de Carvalho IA, et al. The world report on ageing and health: a policy framework for healthy ageing. Lancet 2016; 387(10033): 2145–2154.
3. WHO. Health and ageing. A discussion paper. Geneva: World Health Organization, 2001.
4. Rockwood K, Song X, MacKnight C, et al. A global clinical measure of fitness and frailty in elderly people. Gerontologist 2005; 45: 386.
5. Rockwood K and Mitnitski A. Limits to deficit accumulation in elderly people. Mech Ageing Dev 2006; 127(5): 494–496.
6. WHO. 69th World Health Organization (WHO) assembly, 2016, http://www.who.int/mediacentre/events/2016/wha69/en/
7. McKeon S, Alexander E, Brodaty H, et al. Strategic review of health and medical research: better health through research. Canberra, ACT, Australia: Australian Department of Health and Ageing, 2013.
8. Olver IN and Roder D. History, development and future of cancer screening in Australia. Public Health Res Pract 2017; 27: 2731725.
9. Medicare Australia, http://www.health.gov.au/internet/main/ publishing.nsf/Content/mbsprimarycare_mbsitem_75andolder, http://www.health.gov.au/internet/main/publishing.nsf/Content/ mbsprimarycare_mbsitem701_703_705_707 (2018, accessed 20 February 2018).
10. Hamirudin AH, Ghosh A, Charlton K, et al. Trends in uptake of the 75+health assessment in Australia: a decade of evaluation. Aust J Prim Health 2015; 21(4): 423–428.
11. Price K, Grimmer K and Foot J. Is the Australian 75+health assessment person-centred? A qualitative descriptive study of older people's perceptions. Aust Health Rev 2017; 41(6): 606–612.
12. Blake H and Lloyd S. Influencing organisational change in the NHS: lessons learned from workplace wellness initiatives in practice. Qual Prim Care 2008; 16(6): 449–455.
13. Means R. Safe as houses? Ageing in place and vulnerable older people in the UK. Soc Policy Admin 2007; 41: 65–85.
14. Smith K and Gilchrist L. Well-being of older Aboriginal Australians: the importance of 'keeping spirit strong'. Australas J Ageing 2017; 36(2): 112–113.
15. NHS. What is physiological measurement? A guide to the tests and procedures conducted by physiological measurement diagnostic services. Leeds: National Health Service, 2007.
16. Andrews G and Slade T. Interpreting scores on the Kessler Psychological Distress Scale (K10). Aust N Z J Public Health 2001; 25(6): 494–497.
17. Buysse DJ, Reynolds CF 3rd, Monk TH, et al. The Pittsburgh Sleep Quality Index: a new instrument for psychiatric practice and research. Psychiatry Res 1989; 28(2): 193–213.
18. Buysse DJ, Hall ML, Strollo PJ, et al. The Pittsburgh Sleep Quality Index (PSQI). J Clin Sleep Med 2008; 4(6): 563–571.
19. Jones K, Brennan D, Parker E, et al. Are oral health-related self-efficacy, knowledge and fatalism indicators for nontoothbrush ownership in a homeless population? Community Dent Health 2016; 33(1): 48–53.
20. ARCPOH. Oral Health Questionnaire. Adelaide, SA, Australia: ARCPOH, 2016.
21. Wijnhoven HA, Schilp J, van Bokhorst-de van der Schueren MA, et al. Development and validation of criteria for determining undernutrition in community-dwelling older men and women: the Short Nutritional Assessment Questionnaire 65+. Clin Nutr 2012; 31(3): 351–358.
22. National Health and Medical Research Council (NHMRC). Australian dietary guidelines summary. Canberra, ACT, Australia: National Health and Medical Research Council, 2013.
23. Demeester K, Topsakal V, Hendrickx JJ, et al. Hearing disability measured by the speech, spatial, and qualities of hearing scale in clinically normal-hearing and hearing-impaired middle-aged persons, and disability screening by means of a reduced SSQ (the SSQ5). Ear Hear 2012; 33(5): 615–616.
24. Peterson TV, Karp DR, Aguilar VC, et al. Validation of a global pelvic floor symptom bother questionnaire. Int Urogynecol J 2010; 21(9): 1129–1135.
25. AIHW. The active Australia survey, 2018, https://www.aihw .gov.au/getmedia/ff25c134-5df2-45ba-b4e1-6c214ed157e6 /aas.pdf.aspx?inline=true
26. Steffen TM, Hacker TA and Mollinger L. Six-minute walk test: a valuable test, when properly standardized – author response. Phys Ther 2002; 82: 827–828.
27. Chetta A, Zanini A, Pisi G, et al. Reference values for the 6-min walk test in healthy subjects 20–50 years old. Respir Med 2006; 100(9): 1573–1578.
28. Borg GA. Psychophysical bases of perceived exertion. Med Sci Sports Exerc 1982; 14(5): 377–381.
29. Brodaty H, Pond D, Kemp NM, et al. The GPCOG: a new screening test for dementia designed for general practice. J Am Geriatr Soc 2002; 50(3): 530–534.
30. Norton K and Olds T. Anthropometrica: a textbook of body measurement for sports and health courses. Sydney, NSW, Australia: UNSW Press, 1996.
31. Miller MR, Hankinson J, Brusasco V, et al. Standardisation of spirometry. Eur Respir J 2005; 26(2): 319–338.
32. Roberts HC, Denison HJ, Martin HJ, et al. A review of the measurement of grip strength in clinical and epidemiological studies: towards a standardised approach. Age Ageing 2011; 40(4): 423–429.
33. Dodds RM, Syddall HE, Cooper R, et al. Grip strength across the life course: normative data from twelve British studies. PLoS ONE 2014; 9(12): e113637.
34. Steiber N. Strong or weak handgrip? Normative reference values for the German population across the life course stratified by sex, age, and body height. PLoS ONE 2016; 11: e0163917.
35. Cook G and Fields K. Functional training for the torso. Strength Cond 1997; 19: 14–19.
36. Mackintosh S, Datson N and Fryer C. A balance screening tool for older people: reliability and validity. Int J Ther Rehabil 2006; 13: 558–561.
37. ASHA. Guidelines for audiologic screening. Rockville, MD: American Speech-Language-Hearing Association, 1997.
38. Konan Medical. Vision source: standard vision chart. Irvine, CA: Konan Medical, 2016.
39. Tiffin J and Asher EJ. The Purdue pegboard; norms and studies of reliability and validity. J Appl Psychol 1948; 32(3): 234–247.
40. Desrosiers J, Hebert R, Bravo G, et al. The Purdue pegboard test – normative data for people aged 60 and over. Disabil Rehabil 1995; 17(5): 217–224.
41. Lindstrom-Hazel DK and VanderVlies Veenstra N. Examining the Purdue pegboard test for occupational therapy practice. Open J Occup Ther 2015; 3: 5.
42. Kosinski RJ. A literature review on reaction time. Clemson, SC: Clemson University, 2008.
43. Norton K, Norton L and Lewis N. Effects of short-term physical activity interventions on simple and choice response times. Biomed Res Int 2016; 2016: 5613767.
44. Boulton AJ, Armstrong DG, Albert SF, et al. Comprehensive foot examination and risk assessment. A report of the Task Force of the Foot Care Interest Group of the American Diabetes Association, with endorsement by the American Association of Clinical Endocrinologists. Phys Ther 2008; 88(11): 1436–1443.
45. New York University. The precise neurological exam. New York: School of Medicine, New York University, 2006.
46. Ganann R, Ciliska D and Thomas H. Expediting systematic reviews: methods and implications of rapid reviews. Implement Sci 2010; 5: 56.
47. Beaton K, McEvoy C and Grimmer K. Identifying indicators of early functional decline in community-dwelling older people: a review. Geriatr Gerontol Int 2015; 15(2): 133–140.
48. Grimmer-Somers K, Kumar S, Vipond N, et al. Best-practice in assessing patients with persistent pain: a systematic review of the pain assessment instrument literature. J Pain Res 2009; 2: 21–47.
49. http://www.unisa.edu.au/contentassets/c7325ae890d c45938c6b3cc115f56af3/icahe-compendium-of-early-fd -tools.pdf
50. McKenna SA, Iwasaki PG, Stewart T, et al. Key informants and community members in community-based participatory research: one is not like the other. Prog Community Health Partnersh 2011; 5: 387–397.
51. Muramatsu N and Akiyama H. Japan: super-aging society preparing for the future. Gerontologist 2011; 51(4): 425–432.
|
DOI:
Multidisciplinary, Open Access
Impact Factor:
3.612
Accountability of PRIs and Community Participation in Village Health Nutrition and Sanitation Committees in Uttar Pradesh
Dr. Ranjeeta Dwivedi
Research Associate Fellow ICMR New Delhi,
Social Work Department, University of Lucknow, Uttar Pradesh
E-mail: email@example.com
Abstract
Background:
It is opined that participation is the first step towards being involved in the community. The Village Health Nutrition and Sanitation Committees (VHNSCs) have been
established at the village level by the Indian government as part of its flagship initiative, the
National Health Mission, which aggressively promotes and pushes for community participation.
Objective: The purpose of this study is to examine "The Accountability of PRIs and
Community Participation in the Village Health Sanitation Committees" in the Barabanki district of Uttar Pradesh.
Methods and Material: A cross-sectional mix method study was undertaken in 4 tehsils of
Barabanki District, covering 17 villages in the district of Uttar Pradesh between March 2021
and July 2022. The quantitative component included a pre-tested structured questionnaire and an interview schedule. Furthermore, Focused group discussions (FGDs) and key informant
in-depth interviews were undertaken for more information. Informed consent was collected from all the participants. For quantitative methods, bivariate analysis is appropriate. That can
be followed by a Binary Logistic Analysis, which is used for qualitative analysis of the data and information collected from the villages of the Barabanki District of Uttar Pradesh.
Results:
Only a handful of PRIs in the state were discussing their health issues during the meeting. The ground level PRI system is being hunted by a lack of professional knowledge
and quorum. We opine that awareness and importance of the functioning of various health
ISSN:
Publisher: Indian Mental Health & Research Centre Volume 06, Issue 01
10.46523/jarssc.06.01.04
DOI:
Multidisciplinary, Open Access
Impact Factor:
3.612
committees by any level of PRI members does not seem to reveal the dominions of the concerned panchayath. We opine that awareness and importance of the functioning of various health committees by any level of PRI members does not seem to reveal the dominions of the concerned panchayath, nor does it sound like a well-organized means of bringing in muchrequired changes to advance the quality health care of the rural people or encompass them as key shareholders as per NRHM provisions.
Conclusions: To help ensure effective involvement from all stakeholders, meetings should be scheduled at appropriate times. This may encourage more community participation.
Keywords: Village Health Nutrition and Sanitation Committee (VHNSC), Accountability of PRIs, Community Involvement in health services, Community Participation, NRHM.
INTRODUCTION:
In line with the global call for the achievement of the Sustainable Development Goals by 2030, improving access to primary care in countries like India is considered a public health priority. Community engagement in the planning, delivery, and monitoring of health services is an essential component, as outlined in the 2017 national health policy considered a public health priority. Community engagement in the planning, delivery, and monitoring of health services is an essential component, as outlined in the 2017 national health policy. The synthesis of global knowledge and experience from India advocates for community engagement not only as a tool for the improvement of the health sector but also for the advancement of local governance, which can both directly and indirectly benefit health indicators. There is growing research and evidence in the area of community participation. There is, however, no concrete evidence to support or disprove community involvement. A recently concluded review, though it could not determine the effect, did provide guidance on moving from individual tokenism to meaningful engagement with the community to ensure
Received: 14.12.2022Accepted: 11.01.2023Published: 11.01.2023
ISSN:
DOI:
Multidisciplinary, Open Access
Impact Factor: 3.612
better outcomes. The findings of the review are echoed in a study on four communities elsewhere, where, with a structured approach, most of the community groups were able to develop locality-specific approaches. The national policy realised in the form of Village Health, Nutrition, and Sanitation Committees, hereby referred to as VHNSCs at the village level, is designed to ensure community participation and play a leadership role in the governance of health services.
Objective: The purpose of this study is to examine "The Accountability of PRIs and
Community Participation in the Village Health and Sanitation Committees" in the Barabanki district of Uttar Pradesh.
Material & Methods: A cross-sectional mix method study was undertaken in 4 tehsils of
Barabanki District, covering 17 villages in the district of Uttar Pradesh between March 2021
and July 2022. The quantitative component included a pre-tested structured questionnaire and an interview schedule. Furthermore, focused group discussions (FGDs) from Development
Block villages and key informant in-depth interviews were undertaken for more information.
Informed consent was collected from all the participants. For quantitative methods, bivariate analysis is appropriate. That can be followed by a binary logistic analysis, which is used for
qualitative analysis of the data and information collected from the villages of the Barabanki
District of Uttar Pradesh.
Study tool A total of five domains, namely:
(i) the availability and accessibility of health and nutrition services.
(ii) satisfaction with health and nutrition services
(iii) knowledge and awareness about health care and nutrition services
(iv) community involvement and participation in health and nutrition service planning and implementation
Received: 14.12.2022Accepted: 11.01.2023Published: 11.01.2023
ISSN: 2582-2004
Publisher: Indian Mental Health & Research Centre Volume 06, Issue 01
10.46523/jarssc.06.01.04
DOI:
Multidisciplinary, Open Access
Impact Factor: 3.612
(v) Clarity and accountability in health and nutrition services were identified to address the research question.
Data collection: Each village's Anganwadi Center had a detailed household list. The information on households was collected from Anganwadi workers with family members in the age range of 18–45 years or households with children younger than 5 years to finalise the exhaustive list of participants. In order to capture the community perception, data was collected on the first day of data collection from 10 households, randomly selected from the Anganwadi list of household numbers using the random function of a spread sheet. Qualitative data The data on the functioning of VHNSCs was collected from the following members: the chairman of the committee, the women's representative, and any other member using the FGD. One FGD with VHNSC members was conducted in each tehsil, leading to an overall total of five FGDs. The key informant's interview was undertaken with Anganwadi workers, Auxiliary nurse-wife (ANMs), and the head of the Gram Panchayat. A total of 30 structured interviews were conducted with key informants. Proportions and mean values were calculated. After applying the tests of normality, the Chi-square test was applied, and odds ratios were calculated. The P value of qualitative data was translated from Hindi to English. The content analysis of the qualitative data was done manually as per the themes.
Result: Only a handful of PRIs in the state were discussing their health issues during the meeting. The ground level PRI system is being hunted by a lack of professional knowledge and quorum. We opine that the awareness and importance of the functioning of various health committees by any level of PRI members do not seem to reveal the dominions of the concerned panchayath. We opine that the awareness and importance of the functioning of various health committees by any level of PRI members does not seem to reveal the dominions of the concerned panchayath, nor does it sound like a well-organized means of bringing in much-needed changes to advance the quality of health care for the rural people or encompass them as key shareholders as per NRHM provisions. On the contrary, some village Pradhans were unable to even comprehend the proper way to utilise the untied fund of Rs.
Received: 14.12.2022Accepted: 11.01.2023Published: 11.01.2023
ISSN:
10.46523/jarssc.06.01.04
DOI:
Multidisciplinary, Open Access
Impact Factor: 3.612
10,000 that was disbursed to them for carrying out the functions and activities of VHSNCs. The FGD findings also indicated that VHSNCs have been set up in almost all villages. However, the awareness levels of their existence were very poor, indicating their poor visibility. Also, in many cases, committee meetings were not conducted regularly. "Login ke pass time he nahin hai, hum tho bahut bullate hai.""Jab jarurat padti hai tho veh Pradhan ya local political leader se kam karvate hai". VHSNC member Most of the Gram Pradhans did mention the public announcement on health programmes and introduced the VHSNC members during the Gram Sabha. However, issues pertaining to health were associated with a certain taboo, like sickness, etc. "Gaon ke log tho bahut kutch karna chahte hai Goan ke udhar ke leye, parantu health service tho government dete hai, tho kutch jyada interest nahi hai." Village Pradhan Discussion,
The communities in the study villages have high motivation levels for community involvement and participation in the planning and implementation of developmental activities. However, participation in health and nutrition services has been extremely low. The community is ready to contribute in monetary terms but is not willing to give their time to participate in the development activities or discussions, especially on health-related issues. improving participation One of the key requirements for social accountability mechanisms to work is social integration among the villagers. The greater the extent of integration, the greater the possibility that people will be willing to come together to exact accountability from various service providers. The VHNSCs have made marginal efforts towards community mobilisation that could have translated into increased involvement and participation of community members to improve health service uptake. Tools like invited spaces for initiating better dialogue and accommodating perspectives are as important as the frequency and modalities of the discussion on the overall village microcosm in which health issues can be embedded. Other methods, like inducing participation or bringing a third party to play the role of facilitator, may result in better participation. These third parties may be NGOs or outside stakeholders. Implementation of community mobilization: There were no targeted interventions planned to increase community participation in any of the health
Received: 14.12.2022
Accepted: 11.01.2023Published
ISSN:
10.46523/jarssc.06.01.04
DOI:
Multidisciplinary, Open Access
Impact Factor:
3.612
programmes or to increase community participation in VHNSC meetings. Only select members were informed through messages, making it unclear how this could be considered an effort towards ensuring greater participation. As the rules of community engagement are improving constantly, it was not clear how far the community understood the newer provisions under the government's efforts. Also, the limitation of funds for local-level activities is a constraint. Studies from India have found that with continuous financial support and appropriate technical support, it is possible to improve community participation. Why representation? One can argue that better representation may influence better outcomes. However, a study from Odisha found out that the two may not be linearly related and are dependent on the expected role of the community members in VHNSCs.
However, the encouraging eagerness to contribute to the community's development, both by the households and key stakeholders, has confirmed their sense of belonging. However, they do come together swiftly on the issues that are relevant to their day-to-day needs. Health is perceived as an occasional need, and they consider government health services as free goods that are part of their entitlement, and they don't have to make additional efforts to get them at the desired quality. Representation and participation go hand in hand. There is no free time. Contrary to the popular belief about the availability of disposable spare time in rural areas, fewer people were willing to contribute their time to the functioning of VHNSCs. The contribution of time to these causes is far more important than financial contribution in terms of the requirements for social accountability mechanisms. This may be due to the lower participation of people in the committee meetings, which leads to their lack of knowledge of the workings of the committee and, in turn, makes them less interested in future participation. This vicious cycle is hampering the participation of members in VHNSCs.
Conclusion: The participation of people, in general, is low in village-level meetings. However, if motivated, there is a willingness among the community members to contribute to the overall development of the villages and especially to the health initiatives. Recommendation Equal representation of members from different castes in the VHNSCs can
Received: 14.12.2022
Accepted: 11.01.2023Published: 11.01.2023
ISSN: 2582-2004
10.46523/jarssc.06.01.04
DOI:
Multidisciplinary, Open Access
Impact Factor:
3.612
be a game changer and enhance community participation. Better communication with the beneficiaries on a regular basis can build trust and encourage people to provide their inputs and actively participate in government programmes, which in turn will help in a systematic diagnosis to assess the demand for services. Given that the interest levels of the community members are high, they must be channelled in the right direction for development activities.
Limitation of the study: The study design was limited to the Barabanki district in Uttar Pradesh. However, thus, the findings of the study must be interpreted with the perspective of understanding patterns of VHNSC participation in the whole state. The relevance of the study Community participation was considered an integral part of the National Rural Health Mission in the early 2000s. Participation is an important first step towards the role the community was expected to play, like planning, implementation, and monitoring of the nation-wide programme and giving voice to the people. The findings of this study provide a basic understanding of community participation in this critical structure for health delivery at the village level, and thus how far it can carry forward the spirit of the National Health Mission (which subsumed NRHM) at the village level.
REFERENCES
- Abad-French, F. et al. 2011, Community Participation in Chagas Disease Vector Surveillance: Systematic Review, PLOS Neglected Tropical Diseases, No. 5: e1207.
- Atkinson, Jo-An. et al. 2011, The Architecture and effect of participation: A Systematic Review of Community Participation for Communicable Diseases Control and Elimination. Implication for Malaria Elimination., Malaria Journal, No. 10: pp. 255.
- Prost, et al. 2013 "Women's Groups Practicing Participatory Learning and Action to Improve Maternal and New born Health in Low Resources Setting: A Systematic Reviews and Meta-Analysis, Lancet" No. 381: pp. 1736-46.
- Banerji, D (2005), Politics of Rural Health in India. Indian Journal of Public Health, 49(3), 113-122.
Received:
14.12.2022Accepted: 11.01.2023Published: 11.01.2023
DOI: 10.46523/jarssc.06.01.04
Multidisciplinary, Open Access
Impact Factor:
3.612
ISSN: 2582-2004
- Banerji, D (2014).Political Accountability for Outbreaks of Communicable Diseases, Economic and Political Weekly, 49(13), 12-15.
- Dutta, G.P. (1993). The effect of Panchayati Raj on the healthcare system in West Bengal, in Antia, N.H. and Bhatia, K. (Eds), People's Health in People's Hands, The Foundation for Research in Community Health, Bombay, pp. 319-327.
- D.C Nanjunda "A Study on Perceptions' of NRHM Beneficiaries on Rural Health Issues in Karnataka" The Journal of Family Welfare, Vol. 63, Special Issue 2017-18.
- F. No. 3/64/2010-PP-IN, Government of India, Ministry of Minority Affairs.
- Gram Panchayat profile, Ministry of Panchayati Raj Gov. of indiahttps://grammanchitra.gov.in/
- G. Mubyazi and G. Hutton, 2012, Rhetoric and Reality of Community Participation in Health Planning, Resource Allocation and Service Delivery: A Review of the Reviews, Primary Publications and Grey Literature, Rwanda Journal of Health Sciences, No. 1: pp. 51-65.
- Jessamy. Bath and J. Wakerman, 2013, Impact of Community Participation in Primary Health Care: What is the Evidence? Australian Journal of Primary Health.
- Kumar V. and Jayanta Mishra A. (2016). Healthcare under the Panchayati Raj Institutions (PRIs) in a decentralised health system. Leadership Health Survey (Bradf Engl), 29(2), 151-67.
- Marston, C. et al. 2013, "Effects of Community Participation on Improving Uptake of Skilled Care for Maternal and New-born Health: A Systematic Review.", PLOS one, No. 8 (2), e55012.
- Ministry of Health and Family Welfare (MoHFW), 2005, "National Rural Health Mission (NRHM), Meeting People's Health Needs in Rural Areas, Framework for Implementation, 2005-2012)", Government of India.
- Pandey N. Perspective on accessibility of public health facilities in rural Uttar Pradesh, India https://shodhganga.inflibnet.ac.in/handle/10603/184641
Received:
11.01.2023
Published
|
Sample Character Reference Letter For Volunteer
Atomic Habits
House of Leaves
Paradise Lost
ADVANCED TECHNICAL COMMUNICATION
Get Hired Now!
How to Write Recommendation Letters
Mein Kampf
How to Write a Great Reference Letter
First Day to Final Grade
The Gift of the Magi (Illustrated)
Call of The Heart
27 Never Laugh at Love
Perfect Phrases for Letters of Recommendation
How the Best Teachers Differentiate Instruction
The King in Yellow
Every Tenant's Legal Guide
Great on the Job
How to Get Hired
Instant Recommendation Letter Kit - How to Write Winning Letters of Recommendation
How to Write Powerful Letters of Recommendation
How to Write Successful Letters of Recommendation
How to Write Successful Letters of Recommendation: 10 Easy Steps for Reference Letters That Your Employees, Colleagues, Students & Friends Will Apprec
This Is How You Lose the Time War
How to Write Reference Letters
Writing Recommendation Letters
Dare to Lead
PROFESSIONAL COMMUNICATION
Job Search Letters For Dummies
Getting a Job in Canada
Catechism of the Catholic Church
The Professor Is In
The Maid
Earning Freedom
Scientific Teaching
Ask a Manager
Model Rules of Professional Conduct
Drunk Driving Defense
Letter from Alexander Hamilton, Concerning the Public Conduct and Character of John Adams, Esq., President of the United States
Connecticut Real Estate Practice & Law
Sample Character Reference Letter For Volunteer
BRADY RAMOS
Atomic Habits Random House
A Wall Street Journal Bestseller Accelerate your job search, stand out, and land your next great opportunity In Get Hired Now!, ZipRecruiter founder and CEO Ian Siegel tells you exactly how to find a new job fast. With an insider's view of how over a million employers really make hires, Ian pulls insights from the data to give you step-by-step instructions for writing a resume that works, finding the right jobs to apply to, acing a job interview, and negotiating a job offer. Debunk the conventional wisdom Break the unconscious habits that are sabotaging your success Get hired in record time Relevant for every stage of your career and for every industry, Get Hired Now! is a one-stop resource for job seekers looking to level up, stand out, and land the job.
House of Leaves Routledge
Expert advice for helping an applicant's chances of acceptance by choosing the right words and phrases As a teacher, professor, or an employer, you are often called upon for letters of recommendation--and probably as often find yourself stumped about what to say. It can be a daunting task when someone's future is in the balance. This book, written by a writing expert, will help you find the right words--and avoid the pitfalls--of creating a letter of recommendation. Author Paul Bodine explains what makes a recommendation letter good and also what can make it ineffective. The book contains
Downloaded from aopartyrentals.co m by guest
paragraph-length examples of effective recommendation letter writing for all types of situations.
Paradise Lost PHI Learning Pvt. Ltd.
Letters of recommendation are a part of every standard school or job application. As an employer, professor, colleague, peer, or friend, chances are that at one point or another, you will be asked to put a person on paper and every word counts. How to Write Successful Letters of Recommendation is your one-stop source for painting the perfect picture in just one short letter. You will learn everything you need to know about writing the perfect letter of recommendation that will get your friend, colleague, or student accepted or hired. The most effective letters of recommendation are accurate, succinct, descriptive, and powerful, and include realistic evaluations of performance and capability. With ideas about how to start your letter and topics to include, this complete guide will teach you how to do just that, as you construct the perfect letter from start to finish. Outlined in ten easy steps, this complete guide gives you the tools you need to write reference letters that your employees, colleagues, students, and friends will appreciate. This book is filled with tips and tricks for personalizing the letter and making your friend, student, employee, or coworker shine. With a word bank of powerful phrases and descriptive words, you ll have everything you need to make your letter stand out at your fingertips. Sample letters of recommendation are also included, along with explanations of why each one is effective and tips for replicating these letters in just minutes. You will learn about the different types of recommendation letters, from employment to academic to volunteer, and how to direct your letter to the appropriate audience. You ll even learn what to do if someone you haven t worked with closely asks you to be a reference, or how to deal with being asked for hundreds of recommendations at once. This exhaustively researched book will even teach you how to politely avoid writing letters for those
people you aren t quite comfortable recommending. The Companion CD-ROM is filled with templates, examples, word banks, and worksheets, so that you can easily learn to verify experience, confirm competence, build credibility, and bolster confidence with just a simple letter. A recommendation is more than just a letter; it s often make-or-break in a candidate s application for school, volunteering, or employment. With the step-by-step instructions and writing guidelines in this book, you will learn how to write introductions; opening statements; the body, including a well-written, vivid assessment of character and work ethic; and a strong conclusion. This new book will also teach you how to appropriately sign your letter, and will provide you with tips of re-reading and editing it to make sure you gave an effective recommendation. We spent hundreds of hours interviewing high school teachers, college professors, employers, and more who have nailed the art of composing effective communications. With How to Write Successful Letters of Recommendation, your employees, colleagues, students, and friends will see you as their go-to source to helping them succeed in their next big venture.
ADVANCED TECHNICAL COMMUNICATION Dearborn Trade Publishing
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts. Get Hired Now! Pantheon
This accessible and practical guide shows teachers how to provide their students with a variety of ways to strengthen their understanding of new material. A selection of assessments is also available to ensure that students have mastered classroom content, regardless of their individual learning styles, abilities, and needs. Contents include: What is differentiated instruction and why do we differentiate? Know your students Management for differentiated instruction 12 ways to differentiate And more!
How to Write Recommendation Letters Final Draft!
Renters have many legal rights— learn yours and how to protect them! The only book of its kind, Every Tenant's Legal Guide gives you the legal and practical information you need (plus dozens of sample letters and forms) to find a great rental and landlord. Learn your rights regarding pets, guests, deposits, and privacy—and find out how to: get repairs and use rent withholding or repair-and-deduct if you have to avoid disputes with roommates over rent, deposits, guests, and noise fight illegal discrimination, retaliation, or sexual harassment navigate state and local rent control laws deal with hazards like lead paint, mold, or bed bugs break a lease with minimum liability, and get your security deposit returned on time. The 10th edition of Every Tenant's Legal Guide includes charts with the details on landlord-tenant laws. This edition also includes information on how to research and handle pandemic-related issues such as eviction bans and lease amendments. With downloadable forms: Includes move-in and move-out forms, and security deposit demand letter—available for download (details inside).
Mein KampfJohn Wiley & Sons
'MEIN KAMPF' is the autobiography of Adolf Hitler gives detailed insight into the mission and vision of Adolf Hitler that shook the world. This book is the merger of two volumes. The first volume of MEIN KAMPF' was written while the author was imprisioned in a Bavarian fortress. The book deals with events which brought the author into this blight. It was the hour of Germany's deepest humiliation, when Napolean has dismembered the old German Empire and French soldiers occupied almost the whole of Germony. The books narrates how Hitler was arrested with several of his comrades and imprisoned in the fortress of Landsberg on the river Lech. During this period only the author wrote the first volume of MEIN KAMPF. The Second volume of MEIN KAMPF was written after release of Hitler from prison and it was published after the French had left the Ruhr, the tramp of the invading armies still echoed in German ears and the terrible ravages had plunged the country into a state of social and economic Chaos. The beauty of the book is, MEIN KAMPF is an historical document which bears the emprint of its own time. Moreover, Hitler has declared that his acts and 'public statements' constitute a partial revision of his book and are to be taken as such. Also, the author has translated Hitler's ideal, the Volkischer Staat, as the People's State. The author has tried his best making German Vocabulary easy to understand. You will never be satisfied until go through the whole book. A must read book, which is one of the most widely circulated and read books worldwide.
How to Write a Great Referen ce L
etterLibrary of Alexandria
With the younger generation today seeking jobs in multinational corporations, large companies, or the civil services in the government, and the competition becoming stiffer and stiffer with each passing day, it is only natural that the ability to communicate effectively, precisely as well as to acquire communication skills has become more important than ever before. A plethora of books have flooded the market to capitalize on this frantic effort of the younger generation to become adept in communication. And professional communication is no exception to this. This accessible and compact book on Professional Communication strives to focus on the communication skills needed for the professionals. Divided into five parts and 19 chapters, the book begins with a discussion on the concept of communication, and then it goes on to give in detail features of a language as a tool of communication, the communication process models and barriers to communication. The text also elaborates on word formation, vocabulary, sentence structure and paragraph development. In addition, it explains different forms of technical communication; the format, layout and style of business communication; technical documents such as theses, scientific articles and research papers; and technical proposals. Furthermore, the book provides value-based text reading from celebrated writers. This student-friendly book, suffused with practical examples, is primarily intended as a textbook for the first year students of engineering (B.Tech.) of UP Technical University for their course on Professional Communication. It will also be of immense benefit to undergraduate students and technical professionals across the country. KEY FEATURES : Gives a broader perspective on communication and its barriers. Provides a more comprehensive division of the different types of reports. Elaborates on various approaches to presentation strategies.
First Day to Final Grade Wolters Kluwer
Businesses use technical writing extensively to communicate both within and outside the organization. And so, it is essential for an individual aspiring to be an executive to master the art of communication. This accessible and compact book on Advanced Technical Communication discusses how students can learn and master not only the basic skills of communication but also complex skills such as soft skills and skills required for preparing technical documents. The book begins with a discussion on the concept of technical communication and then it goes on to describe the differences between technical writing and general writing, and layout and format of business letters and résumé. What is more, it elaborates on technical documents such as technical proposals, reports, and specialized documents like theses, research papers and dissertations, differentiating them adequately. Finally, the text covers many of the soft skills required today, for example, presentation skills, interpersonal skills, and group discussion (GD) skills. This student-friendly book, suffused with practical examples, is primarily intended as a text for the first year students of Engineering (B.Tech.) of Uttarakhand Technical University for their course on Advanced Technical Communication. It will also be of immense benefit to undergraduate students in other universities and engineering colleges/institutes as well as technical professionals. KEY FEATURES : Provides comprehensive coverage of soft skills. Lays emphasis on corporate communication skills required for technical writing and producing technical documents by engineers and managers. Gives a critical evaluation as well as text of George Orwell's Animal Farm.
The Gift of the Magi (Illustrated) Image
How to Write a Great Reference LetterLyle MacPhersonHow to Write Reference LettersBooher Research Institute Call of The Heart How To Books Ltd
A much-needed "people skills" primer and master class in all facets of workplace communication Do you know how to ask for help at work without sounding dumb? Do you know how to get valuable and useful feedback from your colleagues? Have you mastered your professional elevator pitch so that every time you meet someone, they remember and are impressed by you? If you answered "no" to any of these questions, you need Great on the Job. In 2008, Jodi Glickman launched Great on the Job, a communications consulting firm whose distinguished client list includes Harvard Business School, Wharton, The Stern School of Business, Merrill Lynch, and Citigroup. Now, Glickman's three-step training program is available in book form for the first time. With case studies, micro strategies, and example language, readers will learn communication skills that can be practiced and implemented immediately. In today's economy, it's not typically the smartest, hardest working or most technically savvy who succeed. Instead, the ability to communicate well is often the most important precursor to success in the workplace. So whether you're a star performer or a struggling novice, Great on the Job will give you the building blocks you need for every conversation you'll have at work.
27 Never Laugh at Love Simon and Schuster
Letters of recommendation are a part of every standard school or job application. As an employer, professor, colleague, peer, or friend, chances are that at one point or another, you will be asked to put a person on paper and every word counts. How to Write Successful Letters of Recommendation is your one-stop source for painting the perfect picture in just one short letter. You will learn everything you need to know about writing the perfect letter of recommendation that will get your friend, colleague, or student accepted or hired. The most effective letters of recommendation are accurate, succinct, descriptive, and powerful, and include realistic evaluations of performance and capability. With ideas about how to start your letter and topics to include, this complete guide will teach you how to do just that, as you construct the perfect letter from start to finish. Outlined in ten easy steps, this complete guide gives you the tools you need to write reference letters that your employees, colleagues, students, and friends will appreciate. This book is filled with tips and tricks for personalizing the letter and making your friend, student, employee, or coworker shine. With a word bank of powerful phrases and descriptive words, you ll have everything you need to make your letter stand out at your fingertips. Sample letters of recommendation are also included, along with explanations of why each one is effective and tips for replicating these letters in just minutes. You will learn about the different types of recommendation letters, from employment to academic to volunteer, and how to direct your letter to the appropriate audience. You ll even learn what to do if someone you haven t worked with closely asks you to be a reference, or how to deal with being asked for hundreds of recommendations at once. This exhaustively researched book will even teach you how to politely avoid writing letters for those people you aren t quite comfortable recommending. The Companion CD-ROM is filled with templates, examples, word banks, and worksheets, so that you can easily learn to verify experience, confirm competence, build credibility, and bolster confidence with just a simple letter. A recommendation is more than just a letter; it s often make-or-break in a candidate s application for school, volunteering, or employment. With the step-by-step instructions and writing guidelines in this book, you will learn how to write introductions; opening statements; the body, including a well-written, vivid assessment of character and work ethic; and a strong conclusion. This new book will also teach you how to appropriately sign your letter, and will provide you with tips of re-reading and editing it to make sure you gave an effective recommendation. We spent hundreds of hours interviewing high school teachers, college professors, employers, and more who have nailed the art of composing effective communications. With How to Write Successful Letters of Recommendation, your employees, colleagues, students, and friends will see you as their go-to source to helping them succeed in their next big venture. Atlantic Publishing is a small, independent publishing company based in Ocala, Florida. Founded over twenty years ago in the company president s garage, Atlantic Publishing has grown to become a renowned resource for non-fiction books. Today, over 450 titles are in print covering subjects such as small business, healthy living, management, finance, careers, and real estate. Atlantic Publishing prides itself on producing award winning, high-quality manuals that give readers up-to-date, pertinent information, real-world examples, and case studies with expert advice. Every book has resources, contact information, and web sites of the products or companies discussed. -- (5/8/2014 12:00:00 AM) Perfect Phrases for Letters of Recommendation Ballantine Books
New-style job messages that get you in the door and on yourway up From sparkling cover letters to six-word bios, a fresh bevy of jobsearch letters has grown powerfully useful for successful careercommunications. Job Search Letters For Dummies delivers the qualityof New Era know-how you need right now to land good jobs andthrive. Whether you're a long-time professional or a recentcollege graduate — or somewhere in between — Job SearchLetters For Dummies has you covered. Job Search Letters For Dummies covers the gamut of leading-edgetopics, including effective strategies for internal careercommunications on topics such as raises, promotions, and positionchanges; rules for communicating professionally with texts andnetworking on social media platforms such as twitter and LinkedIn;fresh and updated communication phrases to voice accomplishmentsand make job-fit statements; post-interview etiquette and letterssuch as thank-yous, "hire me" reinforcement notes, interest revivalqueries; and much more.
2
Sample Character Reference Letter For Volunteer
2022-10-04
Get hired with 40 types of job letters Create short messages for a smartphone world Network on social media sites Model best letters more than 200 pro samples Whether you're a long-time professional or a recentcollege graduate — or somewhere in between — JobSearch Letters For Dummies has you covered. A note to job seekers from nationally syndicated careerscolumnist and author or Job Search Letters For Dummies,Joyce Lain Kennedy: Welcome aboard, job seekers! Thanks for checking out this firstguide to communications-supported job search and careergrowth in relentlessly changing technological times. The right messaging — what you say, why you say it,and when you say it — is as important today to youremployment goals as it has been at any time since Leonardo da Vinciwrote the first professional resume in 1482. Consider recent job–finding history: In 1986 fax machines and postal mail were the most popular waysto send resumes and cover letters. In the 1990s the Internet boom kicked in with new tools toconnect jobs and people: e-mail, websites, cell phones, mailinglists, and online bulletin boards. In the 21st century the double-time march of recruitingtechnology skyrocketed, building a techno-swamp populated withendless ideas of how to connect work and people throughsmartphones, wonder tablets, apps, and social media for virtualnetworking. You're competing in a new world of work out there.If your job search is treading water — or evendrowning— there's a better way. Make a splash! Engagehiring authorities through a communications-centered campaign withsmart content. How the Best Teachers Differentiate Instruction Macmillan
Seasoned classroom veterans, pre-tenured faculty, and neophyte teaching assistants alike will find this book invaluable. HHMI Professor Jo Handelsman and her colleagues at the Wisconsin Program for Scientific Teaching (WPST) have distilled key findings from education, learning, and cognitive psychology and translated them into six chapters of digestible research points and practical classroom examples. The recommendations have been tried and tested in the National Academies Summer Institute on Undergraduate Education in Biology and through the WPST. Scientific Teaching is not a prescription for better teaching. Rather, it encourages the reader to approach teaching in a way that captures the spirit and rigor of scientific research and to contribute to transforming how students learn science.
The King in Yellow University of Michigan Press
The How To Get Hired Book is the Holy Grail for those who desire success in his/her career. Seriously, if there is an end all, be all- --then this is it! The How To Get Hired Book establishes the right levels of actions and thinking that guarantee success and ensure that you'll continue operating at these levels throughout your life and career.
Every Tenant's Legal Guide PHI Learning Pvt. Ltd.
Over 3 million copies sold! Essential reading for Catholics of all walks of life. Here it is - the first new Catechism of the Catholic Church in more than 400 years, a complete summary of what Catholics around the world commonly believe. The Catechism draws on the Bible, the Mass, the Sacraments, Church tradition and teaching, and the lives of saints. It comes with a complete index, footnotes and cross-references for a fuller understanding of every subject. The word catechism means "instruction" - this book will serve as the standard for all future catechisms. Using the tradition of explaining what the Church believes (the Creed), what she celebrates (the Sacraments), what she lives (the Commandments), and what she prays (the Lord's Prayer), the Catechism of the Catholic Church offers challenges for believers and answers for all those interested in learning about the mystery of the Catholic faith. The Catechism of the Catholic Church is a positive, coherent and contemporary map for our spiritual journey toward transformation.
Great on the JobBookbaby
Publisher description
How to Get Hired How to Write a Great Reference Letter
From the creator of the popular website Ask a Manager and New York's work-advice columnist comes a witty, practical guide to 200 difficult professional conversations—featuring all-new advice! There's a reason Alison Green has been called "the Dear Abby of the work world." Ten years as a workplace-advice columnist have taught her that people avoid awkward conversations in the office because they simply don't know what to say. Thankfully, Green does—and in this incredibly helpful book, she tackles the tough discussions you may need to have during your career. You'll learn
Best Sellers - Books :
* The Last Thing He Told Me: A Novel By Laura Dave
* The Summer I Turned Pretty (summer I Turned Pretty, The) By Jenny Han
* We'll Always Have Summer (the Summer I Turned Pretty) By Jenny Han
* Twisted Love (twisted, 1)
* Girl In Pieces
* Regretting You
* The Summer Of Broken Rules By K. L. Walther
* Taylor Swift: A Little Golden Book Biography
* Oh, The Places You'll Go! By Dr. Seuss
* Fast Like A Girl: A Woman's Guide To Using The Hea
lin g P
ower O
f Fa stin
g To Bu rn Fat, Boost Energy, And Balance Hormones By Dr. Mindy Pelz
3
3
what to say when • coworkers push their work on you—then take credit for it • you accidentally trash-talk someone in an email then hit "reply all" • you're being micromanaged—or not being managed at all • you catch a colleague in a lie • your boss seems unhappy with your work • your cubemate's loud speakerphone is making you homicidal • you got drunk at the holiday party Praise for Ask a Manager "A must-read for anyone who works . . . [Alison Green's] advice boils down to the idea that you should be professional (even when others are not) and that communicating in a straightforward manner with candor and kindness will get you far, no matter where you work."—Booklist (starred review) "The author's friendly, warm, no-nonsense writing is a pleasure to read, and her advice can be widely applied to relationships in all areas of readers' lives. Ideal for anyone new to the job market or new to management, or anyone hoping to improve their work experience."—Library Journal (starred review) "I am a huge fan of Alison Green's Ask a Manager column. This book is even better. It teaches us how to deal with many of the most vexing big and little problems in our workplaces—and to do so with grace, confidence, and a sense of humor."—Robert Sutton, Stanford professor and author of The No Asshole Rule and The Asshole Survival Guide "Ask a Manager is the ultimate playbook for navigating the traditional workforce in a diplomatic but firm way."—Erin Lowry, author of Broke Millennial: Stop Scraping By and Get Your Financial Life Together
Instant Recommendation Letter Kit - How to Write Winning Letters of Recommendation Atlantic Publishing Group Incorporated "The Gift of the Magi" is a short story by O. Henry first published in 1905. The story tells of a young husband and wife and how they deal with the challenge of buying secret Christmas gifts for each other with very little money. The main idea of "The Gift of the Magi" is that the value of a gift is in the giver, rather than the gift itself. Jim and Della, out of their love for each other, purchased a gift that required them to sacrifice something that was precious to them.
How to Write Powerful Letters of Recommendation Editura Trei SRL
How To Write Recommendation Letters - Power Tips and Phrases To Write Any Reference Letter.This unique how-to manual with links to multiple reallife recommendation letter templates is a powerful resource that will enable you to quickly and effectively write ANY type of recommendation letter or reference letter for any situation.Unlike most other resource books in this niche, this particular how-to manual goes beyond just writing letters of recommendation and reference for admission to college and university programs. Instead, it covers the writing of ALL types of recommendation letters and reference letters for ALL situations: personal, business, character, employment, AND college admission.Here's what you will discover in this valuable recommendation letter resource book:=> The differences and similarities between recommendation letters and reference letters.=> How you can determine whether you need to write a reference letter or recommendation letter.=> Writing style and strategy tips for writing each different type of recommendation letter.=> Formatting and length considerations for composing all recommendation and reference letters.=> How to easily adapt pre-written recommendation and reference letters to suit your needs.=> More than 150 Recommendation Power Phrases to use in whatever letters you need to write.=> Opening Statements; what they are and how to start your letter effectively with them.=> Assessment Statements: what they are and how to phrase them for maximum impact.=> Closing Statements: what they are and how to word them appropriately.=> How to write and format Employment related Recommendation letters.=> How to write and format Employment related Reference letters.=> How to write and format College Admission related Recommendation letters.=> How to write and format College Admission related Reference letters.=> How to write and format Character Reference letters.=> How to write and format General Reference letters.=> How to write and format Commendation Letters.=> How to write and format Performance Evaluation Letters.IN ADDITION this ebook contains IN-CONTEXT HYPERLINKS that will take the reader directly on the Net to actual fully-formatted sample templates of whichever type of letter they are seeking.The contents of this e-book is based on the same author's long-time best selling paperback titled Instant Recommendation Letter Kit - How To Write Winning Letters of Recommendation, which is widely considered to be the number one resource on the planet for writing recommendation letters and reference letters for ALL situations.If you need to write ANY type of recommendation letter or reference letter, this e-book is the definitive resource on that subject.
|
FERTILITY
If you're looking for better ways to treat infertility or enhance fecundity, here are some developments you'll want to know about
-› G. David Adamson, MD
Dr. Adamson is Director of Fertility Physicians of Northern California in Palo Alto and San Jose. He is also Adjunct Clinical Professor of ObGyn at Stanford University School of Medicine in Stanford and Associate Clinical Professor of Obstetrics and Gynecology at the University of California, San Francisco, School of Medicine. He is Immediate Past President of the American Society for Reproductive Medicine.
Dr. Adamson is CEO of Advanced Reproductive Care Inc., and receives research support from IBSA.
T he diagnosis and treatment of fertility are evolving rapidly as a result of clinical studies, scientifi c research, and changing socioeconomic and ethical perspectives. Th ese developments benefi t health-care consumers, but they also pose new challenges to general ObGyns and other practitioners committed to the best possible care for their patients. Copyright ®
* cross-border reproductive travel.
In this Update, I focus on a number of these areas of change:
* care of women who have polycystic ovary syndrome (PCOS) · the impact of myomas on fertility · treatment of infertility in women who have endometriosis · when tubal reconstruction is appropriate · the impact of a woman's age on fertility · patient-friendly strategies to enhance fertility Dowden Health Media For personal use only
Use clomiphene citrate to stimulate ovulation in women who have PCOS
Practice Committee of the American Society for Reproductive Medicine. Use of insulin-sensitizing agents in the treatment of polycystic ovary syndrome. Fertil Steril. 2008;90(5 Suppl):S69–S73.
Clomiphene is fi rst-line therapy when ovulation is the aim
A new Committee Opinion from the American Society for Reproductive Medicine (ASRM) Practice Committee tackles the challenge of treating women with PCOS for infertility.
PCOS is associated with an increased risk of insulin resistance and diabetes mellitus. Th e fi rst line of treatment for all women who have PCOS, especially those with an elevated body mass index, is lifestyle modifi cation through diet and exercise, with the goal of losing weight.
obgmanagement.com
Metformin and other insulin-sensitizing agents may enhance ovulation and increase the response to clomiphene citrate in women who have PCOS and insulin resistance, but their use solely to enhance ovulation is unwarranted, and they do not reduce the rate of miscarriage. Clomiphene citrate should be the fi rst-line treatment because it is much more eff ective. Long-term use of metformin to prevent disease is not advised.
Screen for insulin resistance at the time of diagnosis
Women who have PCOS should be given a
Vol. 21 No. 2|February 2009| OBG Management
For mass reproduction, content licensing and permissions contact Dowden Health Media.
Treating infertility when endometriosis is present page 33
Which women benefi t from tubal reconstruction?
page 33
Help your patient enhance her fertility page 37
UPDATE
fertility
5-STEP TREATMENT OF ANOVULATORY INFERTILITY FOR WOMEN WHO HAVE PCOS
My strategy for stimulating ovulation in this population involves the following:
days until 1 to 2 days after ovulation.
1. Perform vaginal ultrasonography (US) on cycle day 3 for an antral follicle count and to rule out ovarian cysts >1 cm.
2. Give clomiphene citrate, 50 mg, on cycle days 3 through 7 (or 5 through 9).
3. Repeat vaginal US on cycle day 11 (or 13) to evaluate ovarian response. The optimal response is 1 to 2, and not more than 3, follicles ≥15 mm in size.
4. Recommend timed intercourse, starting on cycle day 10 and then every 2 ± 0.5
5. Measure urinary luteinizing hormone (uLH) daily, to detect uLH surge, starting on cycle day 11. A positive surge indicates that ovulation is likely within the next 12–48 hours. Absence of a surge indicates the likely absence of ovulation, which can be treated by giving 10,000 IU of human chorionic gonadotropin (hCG) subcutaneously or intramuscularly when the largest follicle is 18 to 25 mm in size.
-› G. DAVID ADAMSON, MD
2-hour oral glucose tolerance test and have their lipid profi le measured at the time of diagnosis and then at an interval of every 2 years. Insulin-sensitizing agents should be used for long-term health issues only after impaired glucose tolerance has been measured, if diet and exercise alone prove to be ineff ective.
When choosing a treatment for myoma, consider impacts on fertility
Practice Committee of the American Society for Reproductive Medicine in collaboration with the Society of Reproduction Surgeons. Myomas and reproductive function. Fertil Steril. 2008;90(5 Suppl): S125–S130.
myomectomy should be considered only after thorough evaluation. Th e reason? Postoperative adhesions as a result of abdominal myomectomy are common and may reduce subsequent fertility.
A recent educational bulletin from the ASRM Practice Committee examined the relationship between myomas and reproductive function and reviewed management of this pathology.
Th e eff ects of myomas on reproductive outcome are ill-defi ned, but fi broids that distort the uterine cavity, as well as larger intramural myomas, may have adverse eff ects on fertility.
Select interventions carefully
Among women who have infertility and those who have recurrent pregnancy loss,
OBG Management|February 2009|Vol. 21 No. 2
As for uterine artery embolization, myolysis, and MRI-guided ultrasonic treatment, these are not recommended for women who have myomas and who are seeking to maintain or improve fertility. Th e safety and effi cacy of these procedures in this population have not been established.
Is a GnRH agonist useful?
Treatment of myomas with a gonadotropinreleasing hormone (GnRH) agonist does not improve fertility but may be helpful before surgery in anemic women and in those who might be able to undergo a less invasive procedure if the myoma volume were moderately smaller.
CONTINUED ON PAGE 33
Postoperative adhesions after abdominal myomectomy may reduce fertility
UPDATE
fertility
Sequence of infertility treatments is critical in endometriosis patients
Adamson G. Management of endometriosis and infertility following surgery. In: Sutton C, Jones K, Adamson GD, eds. Modern Management of Endometriosis. London: Taylor & Francis; 2006:273–287.
New data make it easier to treat infertility in women thought to have endometriosis, although further randomized trials are needed. If other fertility variables are normal, and minimal to mild endometriosis is suspected but not confi rmed, clomiphene citrate, 100 mg on cycle days 3 through 7, followed by intrauterine insemination (IUI) for 3 to 6 cycles, is a reasonable initial treatment, with the higher number of cycles being reserved for younger patients and those who have a better prognosis.
When is surgery helpful?
Diagnostic or operative laparoscopy, or both, is often indicated when one or more of the following are present:
* Th e patient experiences pain
* She fails to conceive after clomiphene citrate is administered and IUI is attempted for 3 to 6 cycles
* She has other factors associated with infertility.
If it is well performed, surgery is eff ective treatment for all stages of endometriosis, endometriomas, and disease of the cul de sac, for symptoms of pain or infertility, or both.
Generally, if pregnancy does not occur within 9 to 15 months after surgery, repeat surgery is of limited benefi t for infertility, but may have some benefi t for pain. In women who do not conceive after surgery, ovarian suppression for 2 months is of possible benefi t before assisted reproductive technology (ART) and should be considered in patients who are also suff ering from pain. Pre-ART surgery for large endometriomas is frequently indicated, and excision of the cyst capsule produces results superior to those of drainage, coagulation, or both.
Postoperative management
After complete destruction of endometriosis in women who have infertility, ovarian suppression is not indicated. Rather, the patient should usually attempt to conceive for 9 to 15 months, with an outside range of 3 to 24 months for much older women who have an unfavorable prognosis, and for much younger women who have a good prognosis, respectively. If pregnancy does not occur, clomiphene citrate and IUI for 3 to 6 months are then indicated.
If this last strategy is unsuccessful, the options include:
* gonadotropins and IUI for 3 months to a maximum of 6 months in the young patient who has a good prognosis
* repeat laparoscopy (although this option is rare), possibly in conjunction with gamete intrafallopian transfer (GIFT), or, alternatively, in vitro fertilization (IVF). If the patient had a technically inadequate operation the fi rst time, it sometimes is appropriate to repeat the surgery or go directly to IVF.
Consider tubal reconstruction in carefully selected patients
Practice Committee of the American Society for Reproductive Medicine. Th e role of tubal reconstructive surgery in the era of assisted reproductive technologies. Fertil Steril. 2008;90(5 Suppl):S250–S253.
In the era of ART, tubal reconstruction has fewer indications but is still appropriate and eff ective in properly selected individuals.
obgmanagement.com
Vol. 21 No. 2|February 2009| OBG Management
Well-performed surgery is effective for all stages of endometriosis, endometriomas, and disease of the cul de sac, to treat pain or infertility, or both
CONTINUED ON PAGE 34
UPDATE
fertility
Determine the extent of tubal disease before reconstructive surgery
Hysterosalpingography is a useful initial test for the evaluation of tubal patency, but laparoscopy often is necessary to identify the nature and extent of pelvic disease. Selective salpingography or hysteroscopic tubal recanalization can help confi rm the diagnosis of true proximal tubal occlusion.
Advise the patient of risks of surgery
Generally, the risk of ectopic pregnancy after tubal reconstruction is comparable to the risk of ectopic pregnancy associated with IVF, but the extent of tubal disease and pelvic pathology are important variables in predicting intrauterine and ectopic pregnancy rates.
Th e pregnancy rate after reversal of tubal sterilization depends on 1) the type of sterilization procedure that was performed, 2) site of anastomosis, and 3) postoperative tubal length, as well as 4) sperm quality and 5) the age of the female patient.
Maternal age, number of children desired, coexisting infertility variables, risk of ectopic and multiple pregnancy, and treatment cost are important considerations when counseling patients about the relative advantages and disadvantages of tubal surgery and IVF.
IVF is the best treatment for older women of reproductive age who have signifi cant tubal pathology, and for women who have both proximal and distal occlusion.
Age, and duration of infertility, are key determinants of treatment
Committee on Gynecologic Practice of the American College of Obstetricians and Gynecologists, and Practice Committee of the American Society for Reproductive Medicine. Age-related fertility decline: a Committee Opinion. Fertil Steril. 2008;90(5 Suppl):S154–S155.
Women older than 35 years should receive expedited evaluation and treatment for infertility if they have not conceived after 6 months, or earlier if clinically indicated. Th at's one of the conclusions from a recent ACOG–ASRM joint Committee Opinion on age-related fertility decline.
Age remains a major variable infl uencing a woman's fertility and risk of pregnancy loss, and is increasingly important because of the social trend toward deferred childbearing. Th e fertility rate peaks in a woman's mid-20s and decreases by approximately 25% by age 35 and 50% by age 40, with a concomitant (and signifi cant) increase in rates of aneuploidy and miscarriage.
Th e duration of infertility also is key. Of any given 100 women attempting to conceive:
* 78 will succeed within 1 year
OBG Management|February 2009|Vol. 21 No. 2
* 88 will conceive within 2 years
* only an additional two or three women will conceive in the third year
* one more will conceive in each of the fourth and fi fth years
* only three more will conceive over the rest of their reproductive life.
Th ese data suggest that infertility should be investigated after 12 or more months of regular unprotected intercourse, with earlier evaluation and treatment for women who are older than 35 years.
Recurrent pregnancy loss and infertility are separate entities
By defi nition, recurrent pregnancy loss entails the loss of two or more pregnancies. When the cause is unknown, each loss merits careful review to determine whether specifi c evaluation may be appropriate. After three losses, thorough evaluation is warranted. 1,2
To distinguish infertility from recurrent pregnancy loss, defi ne clinical pregnancy as one documented by US or histopathology.
CONTINUED ON PAGE 37
The fertility rate peaks in women's mid-20s and declines by about 25% by age 35 and 50% by age 40
New technologies remain unproven
UPDATE
fertility
remain investigational to date.
Although ovarian tissue and oocyte cryopreservation offer the promise of female fertility preservation, these technologies
Th e greatest benefi t to patients who wish to preserve their fertility is appropriate counseling about their reproductive health. 3,4
Fertility can be enhanced with a few patient-friendly strategies
Practice Committee of the American Society for Reproductive Medicine in collaboration with the Society for Reproductive Endocrinology and Infertility. Optimizing natural fertility. Fertil Steril. 2008;90(5 Suppl):S1–S6.
level of alcohol consumption (≥2 drinks daily), use of recreational drugs, and most commercially available vaginal lubricants should be discouraged among patients who are trying to conceive.
Another Committee Opinion from ASRM, in collaboration with the Society for Reproductive Endocrinology and Infertility, off ers simple but eff ective steps for patients to take to optimize fertility. ObGyns should recommend these strategies to any woman planning to conceive in the near future.
Frequent intercourse is best
Intercourse every day or every other day yields the highest pregnancy rate, but intercourse two to three times a week is nearly equivalent. Th ere is a "fertile window" that spans the 6-day interval ending on the day of ovulation, and it correlates with the volume and character of cervical mucus.
Among women who have regular menstrual cycles, frequent intercourse that begins soon after the cessation of menses can help maximize fecundity.
Devices that determine or predict the time of ovulation may be useful for couples who have infrequent intercourse.
Neither specifi c coital timing, nor position during coitus, nor rest in a supine position after intercourse has a signifi cant impact on fertility.
Caffeine, alcohol OK—in moderation
Moderate caff eine or alcohol consumption (1 or 2 drinks daily) has no demonstrable adverse eff ect on fertility. Smoking, a higher obgmanagement.com
Fertility rates are lower in women who are very thin or obese, but there is little evidence that dietary variations improve fertility or aff ect the gender of the infant.
Elevated blood mercury levels from heavy seafood consumption have been associated with infertility.
Saunas do not reduce fertility in women. In normal men, attempts to protect the testicles from excessive heat are unjustifi ed.
Avoid solvents and pesticides
* Fecundity may be diminished in women who are exposed to certain toxins and solvents, such as those used in the drycleaning and printing industries.
* Men who are exposed to heavy metals may be more likely to have abnormal semen parameters.
* Pesticide exposure may be a problem for both male and female agricultural workers.
* Despite limited data on exposure to lead and use of industrial microwaves, they are probably best avoided or minimized.
* Prescription drug use should be carefully controlled and managed on an individual basis.
Recommend 400 μg of folic acid daily
Any woman hoping to conceive should be advised to initiate this regimen to reduce the risk of neural tube defects.
Vol. 21 No. 2|February 2009| OBG Management
Intercourse every day or every other day yields the highest pregnancy rate
CONTINUED ON PAGE 55
CONTINUED FROM PAGE 37
WHO AND CDC AGREE: INFERTILITY IS A COMMON PUBLIC HEALTH PROBLEM
The Centers for Disease Control and Prevention (CDC) held its fi rst Public Health Symposium on Infertility in September 2008. Consensus is growing that infertility is a common disease or disability that has serious consequences for the well-being of families—making it a public health concern.
a meeting in Geneva in December 2008 to modify its glossary of ART defi nitions and develop new terminology to allow the collection of better data on the use of IVF internationally. 5,6
Because only approximately 50% of patients who have infertility ever seek treatment, it is hoped that new programs will improve access to fertility treatment for many more women.
For more information on the CDC's initiatives in reproductive health, visit: http:// www.cdc.gov/reproductivehealth/
WHO focuses on international inequities
The World Health Organization (WHO) held
The prevalence of infertility is about the same in all countries of the world, affecting, on average, about 9% of people of reproductive age. However, there is a greater degree of secondary infertility—mostly as a result of infectious disease and obstetric complications—in low-resource (developing) countries.
Infertility is a major burden with serious medical and psychological consequences in American society, but its impact on women in other cultures is often more profound, with loss of personal status, divorce, and social ostracism adding to the burden.
More and more women seek care in countries other than their own
"Medical tourism" is an interesting phenomenon that has received widespread media attention. When it applies to infertility, a more appropriate term may be "cross-border reproductive care."
Th is is an international phenomenon that is, so far, poorly documented. Common reasons to travel for medical care include cost and availability of specialized services. Women grappling with infertility may also seek to bypass regulations or ethical issues that limit
References
1. Practice Committee of the American Society for Reproductive Medicine. Defi nitions of infertility and recurrent pregnancy loss. Fertil Steril. 2008;90(5 Suppl):S60.
2. Adamson GD. Update in fertility. OBG Management. 2007;19(2):37–38, 41–44, 76.
3. Practice Committee of the American Society for Reproductive Medicine and Practice Committee of the Society for Assisted Reproductive Technology. Ovarian tissue and oocyte cryopreservation. Fertil Steril. 2008;90(5 Suppl):S241–S246.
4. Practice Committee of the Society for Assisted Reproductive Technology and Practice Committee of the American Society for
obgmanagement.com availability of treatment in their home coun-
try. Among the issues that prompt travel are:
* gamete and embryo donation
* payment of donors and surrogates
* nontraditional relationships.
Th e Canadian government hosted the fi rst international symposium on cross-border reproductive care last month in an eff ort to learn more about this complex issue and identify ways to ensure the quality and safety of such services.
Reproductive Medicine. Essential elements of informed consent for elective oocyte cryopreservation: a Practice Committee opinion. Fertil Steril. 2008;90(5 Suppl):S134–S135.
5. Zegers-Hochschild F, Nygren K-G, Adamson GD, et al; International Committee Monitoring Assisted Reproductive Technologies. Th e International Committee Monitoring Assisted Reproductive Technologies (ICMART) glossary on ART terminology. Fertil Steril. 2006;86:16–19.
6. International Committee for Monitoring Assisted Reproductive Technology, Adamson GD, de Mouzon J, Lancaster P, Nygren KG, Sullivan E, Zegers-Hochschild F. World collaborative report on in vitro fertilization for year 2000. Fertil Steril. 2006;85:1586–1622.
Vol. 21 No. 2|February 2009| OBG Management
UPDATE
fertility
Only approximately 50% of patients who have infertility ever seek treatment, often because they lack access to care
|
7. Work–family confl ict and well- being in Northern Europe
Jacqueline Scott and Anke C. Plagnol
INTRODUCTION
Work–family confl ict is a crucial issue for quality of life. Moreover, public interest in work–family balance policies has expanded signifi cantly in recent years. From the policy- maker's perspective the issue concerns the extent to which the state can and should intervene to help men and women reconcile work and family responsibilities. This issue has become urgent because, as Esping- Andersen asserts, there is an incomplete revolution in gender roles that threatens societal stability (Esping- Andersen 2009). What is meant by such a claim? The idea is that in modern societies women are facing severe problems of reconciling their dual preference for children and careers. For a growing proportion of women and men, women's employment and less gender specialisation is desirable, both ideologically and pragmatically. Thus the dual- earner based partnership is becoming normative – it is the 'thing to do'.
Yet, we know only too well from time- budget studies that changes in the domestic sphere lag well behind the changing realities of women's employment. Women, faced with only 24 hours in a day, fi nd they have to reduce the time they spend on unpaid work such as housework and family care, when they increase their hours of paid work. While women's paid work activity has been on the rise, time- budget studies reveal that, on average, men are not compensating by an equivalent take- up of unpaid work (Gershuny and Kan, Chapter 3 in this volume). So what is the solution? While housework can be outsourced to some extent, caring implies an ongoing presence and emotional relationship that makes paid care different to family care.
The fact that current debates about work–family confl ict in the UK and elsewhere in Europe have tended to focus on the relationship between paid work, parenting and caring is understandable. As Taylor (2001) points out, the decades since the 1970s have seen a feminisation of the UK labour market. The greatest rise in employment in the 1990s was among mothers
with children aged 4 or under. At the start of the new millennium, almost half of the country's lone mothers are in some form of part- time work, although only one in fi ve of them are in full- time employment, a much lower proportion than in the USA or even France. This change in the gender make- up of the workforce raises inevitable concerns about how women and men can raise families successfully, while contributing as fully as possible to the labour force.
Family life depends greatly on the quality of relationships between and across generations – within partnerships and between parents and children. Traditionally it was the woman who took responsibility for the home, while the man provided the income on which home- life depends. As dual- earner partnerships become increasingly common, the cost for both men and women in terms of work–family confl ict and well- being comes under scrutiny. Do women opt out of the labour force during early motherhood because work–family confl icts have become unbearable? Is life less stressful for them than for mothers who are employed? Is part- time work the panacea that some hope, enabling a better balance of work and family and thereby increasing well- being?
An interesting irony is that although gender relations are one of the most important aspects of work- family confl ict, much of the existing policy rhetoric about the need to balance work and family life remains deliberately gender neutral. Indeed, as Lewis (2009) asserts, governments have diverse goals for promoting work- balance policies but, outside of Scandinavia, gender inequality is rarely a priority. Lewis further suggests that in the UK gender equality has hardly been discussed; rather, policy documents have striven for gender neutrality. One problem is that, in the domain of work–family balance policies, the thorny problem of 'equalityas- sameness' or 'equality- as- diff erence' is core. If the aim is sameness then this translates into an equal division of paid and unpaid work between men and women: a citizen worker/carer model. This position has been championed by Fraser (1994) on the basis of philosophical arguments, and by Gornick and Meyers (2009) on the basis of empirical work. But if, as Orloff suggests (2009), equality consists of diff erences and diversity, then policy may seek to mitigate any detrimental consequences of caring, albeit at the risk of perpetuating caring work as women's responsibility. Lewis (2009), Orloff (2009) and others, following Sen (1999), advocate that policy should not be equality of outcome but instead focus on realisable opportunities that allow people to put their preferences into action.
Disentangling preference from constraint is hugely diffi cult and beyond the scope of this chapter. We cannot delve into the extent to which men and women are fulfi lling their choices in work–family balance (our data do not permit this). Instead we are constrained to look at how the
particular contexts in which individuals' lives are situated infl uence their experience of work–family confl ict (WFC) and well- being. Our goal is to examine how WFC and well- being diff er by gender and across the family life course. We use data from the 2004 European Social Survey (ESS) to explore these issues in seven countries: Sweden, Norway, Denmark, the Netherlands, Germany, France and the UK. These countries are selected, in part, because they have very diff erent traditions and policies regarding work and family reconciliation.
One of our aims is to examine whether WFC and well- being varies between countries that diff er in their support for maternal employment and a more equitable divide of family work between men and women. We also explore how a couple's division of paid and unpaid work across the family life course infl uences WFC, separately by country and for all seven countries combined. We are particularly interested in examining how both the experience of WFC and well- being is gendered in ways that refl ect, in part, the gendered division of paid and unpaid labour that is manifest throughout Northern Europe.
In the next section we review briefl y some of the relevant background literature and present our specifi c hypotheses. We then describe our measures and the approach to the analyses before we present our results. In the summary and concluding section we bring together our main fi ndings and revisit the challenging problem of what policy can and should do to mitigate gender diff erences in WFC and how this might impinge on policy eff orts that seek to enhance citizens' well- being.
BACKGROUND LITERATURE
There has been a veritable explosion of research on 'work–life balance' or 'work–family confl ict' in the past couple of decades, and much of the literature deals with how policy diff erences across Europe aff ect people's work–life balance and associated well- being. These literatures can be divided into two main camps of substantive focus, although the two interlink. The fi rst focus is on employment and working conditions. Many studies have been concerned with the way employment has been changing as a result of new processes of intensifi cation and fl exibilisation (Beck 2000; Burchell et al. 2002; Cappelli et al. 1997; Green and McIntosh 2001). It seems plausible that these developments have severe implications both for personal well- being and for the risks of WFC. There is now increasing evidence that this is indeed the case (Gallie and Russell 2009; Hildebrandt 2006). The second focus is on the changing nature of the family and the position of women, in particular. There are concerns about issues of
gender equality; specifi cally in the way men and women divide paid and unpaid work (Harkness 2008; Kan and Gershuny 2010; Lewis 2008). Much of the focus has been on women's diffi culties in combining full- time paid employment with motherhood (Crompton and Lyonette 2008; Fagan et al. 2008; McRae 2008). However, concerns that women's employment confl icts with care for frail elderly parents are also important for ageing societies.
In the 1990s the UK Economic and Social Research Council sponsored a research programme, the 'Future of Work'. A working paper by Taylor (2001) brought together insights into the future of work–life balance. This emphasised that a focus on the diffi culties of balancing paid work and parental responsibilities is too narrow an approach for understanding the importance of the work–life debate. It urged that a broader discussion was needed looking more rigorously at the changing character of paid employment under the pressure it is facing from intensive business competition and technological innovation. Job intensifi cation and increasing job insecurity were thought likely to have negative implications for well- being. Moreover, there was concern that this might be particularly marked in the UK, because, until recently, the UK lacked the kind of legally enforceable individual and collective rights at work enjoyed by our mainland European neighbours. Taylor cites the example of Nordic countries, where policies have tilted the so- called 'balance' between work and life towards the protection of the perceived interests of employees, while at the same time benefi ting corporate performance.
Gallie and Russell (2009) took up the challenge of examining WFC and working conditions in Western Europe. They found that working conditions make a huge diff erence to WFC among married cohabiting employees across the same seven European countries that are examined in this chapter. They suggest that there is a clear Nordic eff ect for men. Perceived WFC is lowest in the Nordic countries where co- ordinated production regimes and social policies are more supportive of combining paid work and care demands. Paradoxically they found that for women 'raw' levels of WFC are particularly high in France, Denmark and Sweden, where supports for reconciling work and family life are good. In the case of France, they suggest that the high confl ict is due to higher levels of family pressures associated with household composition. However, in Denmark and Sweden the high WFC among women appears to be associated with long work hours. Gallie and Russell (2009) found that when looking at seven Northern European countries combined, working conditions explained almost 30 per cent of the variance in WFC for both men and women, while 'family variables' explained less than 5 per cent of the variance. The fact that length of working hours, the prevalence of asocial
working hours, the intensity of work and job insecurity all had strong negative eff ects for work–family confl ict is not surprising. But what is surprising is their fi nding that working conditions accounted for much of the inter- country variation in WFC. This raises the question of whether their measures are overly work- centric and fail to capture the realities of gender- related confl icts between paid and unpaid work.
One important concern is how working mothers and fathers can rear their children while at the same time performing paid work eff ectively. Lewis (2008) argues that in the UK the balance between family and employment responsibilities was historically considered to be a private responsibility. This is not the case in some countries of Europe where gender equality enters the frame as a policy goal (see also Lewis, Chapter 8 in this volume). In Nordic countries in particular, policies have been based on the assumption that men and women will be fully engaged in the labour market. The Nordic model treats women as workers, but then makes allowance for diff erence by grafting on transfers and services in respect of care work for partnered and unpartnered mothers alike. Hobson (2004) has described the Swedish variant as a 'gender participation model' focusing as it does on promoting gender equality in employment and providing cash support for parental leave and services of childcare and the care of older adults. As a result of this 'supported adult worker model', high proportions of women work (long) part- time hours exercising their right to work a six- hour day when they have pre- school children. In many European countries including the UK, Germany and the Netherlands, part- time work remains the main way for women to reconcile work and family demands.
In recent decades, both in the UK and in other European countries, policies have explicitly been designed to raise employment participation amongst women. Thus for example, in Lisbon in March 2000 the heads of government of the European Union subscribed to the goal of raising the employment rate of women to 60 per cent by 2010 (Lewis et al. 2008). In the UK, the Netherlands and the Nordic countries the goal was already met by 2000 (Boeri et al. 2005), with France and Germany also close to the target in 2000. There have also been concerns that reduced fertility is problematic when the population is ageing. For example, EspingAndersen (2009) noted that the quality of people's retirement years will depend on the productivity of increasingly small cohorts of workers. He goes on to suggest that, without any need of resort to feminist arguments, a rational utility model would point to a normative shift towards dualcareer couples. He argues that in contemporary societies welfare systems should support a more gender equitable divide in paid and unpaid work. This would allow men and women to reconcile the competing demands they face as partners, parents and workers.
Boye (2009) studied how paid and unpaid work aff ects patterns of well- being in Europe. She found that while men's well- being appears to be unaff ected by hours of paid work and housework, women's well- being increases with increased paid working hours and decreases with increased hours of housework. Gender diff erences in time spent on paid work and housework accounted for one- third of the European gender diff erence in well- being and helped to explain why women have lower well- being than men. In a more recent paper, Boye (2011) investigated whether associations between well- being and paid work and housework diff ered between European countries with diff erent family policy models, and how this related to WFC.
Boye followed Korpi's (2000) typology of welfare state classifi cation and diff erentiated three family models: dual- earner, traditional and market orientated. Dual- earner models are characterised by Scandinavian policies; these have strong support for female labour force participation as well as male participation in unpaid reproduction work in the family, but weaker support for women as homemakers. The traditional family models (found in France, Germany and Netherlands) have high levels of traditional family support and low levels of dual- earner support. The market- orientated family model is typical of the UK where reproduction work is allocated to the family or the market and 'choices' of how to combine family and employment are seen mainly as a private concern. Boye fi nds, counter- intuitively, that countries with the traditional family policies show the most positive association between women's well- being and paid work hours, although this association is concealed by WFC.
HYPOTHESES
From the literature, we derive ten hypotheses concerning the relationship between gender, paid and unpaid work, and well- being in Northern Europe. These are as follows:
H1. Full- time employed women will have higher WFC than employed men. This is because in the UK and other developed countries women still undertake the bulk of the housework. This 'second shift' phenomenon was fi rst named by Hochschild (1989). While there is some evidence that the years since 1989 have seen some erosion of the gender gap in household labour, the overwhelming bulk of housework is still done by women (Kan and Gershuny 2010).
H2. Part- time employed women will have less WFC than full- time employed women as part- time work is often used to reconcile work and family demands.
H3. Gender patterns of well- being will be less pronounced than for WFC because the well- being measure does not tap directly gender inequalities in paid and unpaid work.
H4. WFC and well- being will be negatively correlated because high levels of confl ict reduces well- being.
H5. Country diff erences in both WFC and well- being will remain strong even when individual characteristics and couple work strategies and family conditions are accounted for because the diff erent welfare systems/family policies vary in their support for combining work and family life.
H6. Work conditions will be more important predictors than family conditions for the WFC of both men and women. Thus we expect to confi rm Gallie and Russell's (2009) fi ndings, even when couples' paid and unpaid work strategies across the life course are included in the models.
H7. Work and family factors will explain more of the variance in WFC than in well- being, because well- being is more individualistic. For example, health is an important predictor of well- being (Boye 2011).
H8. There will be gender diff erences in the way family life stage aff ects WFC and well- being. Mothers' are expected to display heightened WFC and lower levels of well- being relative to fathers' during the child- rearing phase, because women tend to remain the primary carer, regardless of their employment status.
H9. There will be gender diff erences in the way a couple's paid work strategies aff ect WFC and well- being. Boye's fi ndings suggest that men's well- being will be unaff ected by work hours, whereas work hours increase women's well- being (Boye 2011). This sounds plausible because work gives women an independence, which men may take for granted.
H10. We expect men's WFC and well- being to be more negatively aff ected than women's by a less traditional divide of unpaid housework. Theories of 'doing gender' (West and Zimmerman 1987) suggest that for women but not men to engage in housework is acting out what is seen as the 'essential nature' of male and female roles. Thus engaging in housework will have an adverse eff ect on the WFC and well- being of men, but not women.
DATA AND MEASURES
Our data are from the 'Family, work and well- being' module in the European Social Survey (ESS) (Jowell 2005), which was created for the second round of this cross- sectional survey conducted in 2004–05. Our main variables of interest – the questions relating to WFC – were only asked of people who were employed at the time of the survey, and we limit our sample to those of prime working age, aged 18 to 65. We restrict our sample to those in partnerships as we are particularly interested in the way heterosexual couples arrange paid and unpaid work within a household. We exclude same- sex partnerships as there was only a very small number of same- sex couples. We further restrict our sample to include only seven of the original 25 ESS countries, namely, Germany, France, the Netherlands, the UK, Denmark, Norway and Sweden. The survey's response rates in these countries were 65 per cent in Sweden; 66 per cent in Norway; 64 per cent in Denmark; 64 per cent in the Netherlands; 51 per cent in Germany; 51 per cent in the UK, and 44 per cent in France. In our analysis we use both design weights and population weights (for more details see European Social Survey 2004). The sample characteristics of variables in our analyses are shown in the Appendix, Table A7.1.
KEY VARIABLES
Work–Family Confl ict
The ESS contains fi ve indicators which measure various aspects of WFC (see Table A7.2, in the Appendix). These items are supposed to measure work- to- family confl ict as well as family- to- work confl ict. However, the wording of the items emphasise mostly paid work. Not surprisingly previous research has found that work–life confl ict (or work–life balance) is most closely associated with paid work hours (for an overview see Pichler 2009). These fi ve indicators are often lumped together into a composite measure of WFC. However, we chose to include only the fi rst four items in our composite measure of WFC because the last item – which asks the respondent about their diffi culty to concentrate on work because of family responsibilities – is rarely mentioned as being a problem. The responses to each item range from 'never' (coded as 1) to 'always' (coded as 5). Our composite measure of work–family confl ict consists of the mean score of these fi rst four items with values ranging from 1 to 5 (5 is the highest amount of work family confl ict).
Table 7.1 Paid work strategies
Well- being (WHO- 5)
We also consider a further measure of psychological well- being which is less work- centric than WFC. This variable is a composite measure representing the mean of fi ve items, which are often referred to as the WHO- 5 well- being index (Bech 1998). The WHO- 5 well- being index is constructed to measure positive well- being such as positive mood, vitality and general interests (Psychatric Research Unit 2008). The fi ve items comprising the measure are reverse coded from the original, ranging from 1 (at no time) to 6 (all of the time). Our composite measure of well- being consists of the mean score of these fi ve items with values ranging from 1 to 6 such that a high score refl ects high well- being (Appendix, Table A7.3).
Paid Work Strategies
We are particularly interested in whether couples' division of work signifi cantly aff ects their perceived WFC. We defi ne four distinct paid work strategies which are derived from the male and female partners' usual weekly hours of work. A couple in which both partners work 30 hours or more per week is classifi ed as a 'dual earner' couple. 'Modifi ed male breadwinner' couples consists of a female partner who works part time at less than 30 hours per week, and a male who works more hours than the female partner. If the female partner does not do any paid work, the couple is denoted as a 'male breadwinner' couple. Couples in which the female partner works more weekly hours than the male partner are 'female breadwinner' couples. Table 7.1 summarises our paid work strategies.
Unpaid Work Division
Individual male and female respondents (not living together) were asked how many hours a week are usually spent on activities such as cooking, washing, cleaning, shopping and maintenance of property
(but not including childcare) by members of the household. This question is followed by the respondent's assessment of what proportion of this time is spent on housework by the respondent him/herself and his/ her partner. The six response categories range from 'None or almost none' to 'All or nearly all of the time'. We derive from these questions whether the division of unpaid labour in a household is 'balanced', 'mostly male', 'mostly female' or whether housework is done primarily by 'others'. However, this measure is not very precise and respondents tend to overestimate their own contribution to unpaid work within a household. While most male respondents state that the housework is done mostly by their female partner, male are still more likely than female partners to state that the division of housework is balanced or largely done by the male partner. (Our data do not allow us to compare or reconcile potential diff erences in male or female partners' views about their respective shares of unpaid work (since we only have data on one partner's views.)
Family Life Course
Our family life course variable has four categories – younger couples (where the woman is aged under 45) with no dependent children; couples with children under 5; couples with children 5 to 18; older couples (with women aged 45 or over) with no dependent children.
In addition to these key variables our multivariate analysis, which we report in the fi nal part of our results section, includes measures of household income (quintiles). We include several measures about the respondents only, including their years of full- time education, log work hours, unsocial hours and task discretion. The unsocial hours index combines three questions that tap the frequency of weekend work, evening work and overtime, which are combined to form a scale of 1 to 5 where 1 represents those who never engage in these three activities and 5 represents participation in all three on a weekly basis. Task discretion is measured by a question which asks people how much 'the management at your work allows you: (1) to decide how your daily work is organised, (2) to infl uence policy decisions about the activities of the organisation and (3) to choose or change your pace of work'. The resulting index is a scale of zero to 10 with zero no infl uence and 10 complete control.
Our analytical strategy is to fi rst examine the bivariate associations between WFC, gender and work status in the seven countries. We then examine, for descriptive purposes, country diff erences in the way family life stage and dual- earner work status are related. We also examine the
relationship between WFC and well- being across countries and by gender. This initial section on work status, family life course and gender allows us to address the fi rst four hypotheses. The remaining six hypotheses require multivariate regression analyses of WFC and well- being. For each, we introduce three models: model 1 examines country diff erences only; model 2 includes both country and family variables, along with gender, age, education and household income; and model 3 adds in characteristics of employment along with gender interactions for family life course, couples' paid work strategies and unpaid work division.
WORK STATUS, FAMILY LIFE COURSE AND GENDER
In Figure 7.1 we can see the mean scores of WFC by gender and work status across each country among this sample of employed men and women, aged 18–65 living in heterosexual partnerships. Contrary to our expectations in Hypothesis 1, which derived from the 'double shift' ideas of Hochschild (1989), the diff erence in WFC between women who work full- time and men is very small. (We do not diff erentiate in this bivariate analysis between full- time and part- time work for men, because the vast majority of employed men have full- time jobs). In accordance with Hypothesis 2, we fi nd that women who work part- time have signifi cantly
Table 7.2 Percentage reporting division of unpaid work by paid work strategy for all seven countries
lower WFC than women who are in full- time employment (all countries p < 0.000, except Norway p < 0.026).
So what of this 'double shift' theory? In our data, as Table 7.2 shows for the seven countries combined, women do the bulk of the unpaid work, regardless of the couple's paid- work strategy. It is not surprising that housework is done by 'mostly female' in three- quarters of our couple households. Perhaps more surprising is that outsourcing most of domestic labour is so rare – approximately 3 per cent in total. Our defi nition of unpaid work includes cooking and shopping which are probably less frequently outsourced than cleaning, which is also included. It may also be the case that domestic labour is viewed as too expensive or too intrusive by most. The reports of a 'balanced' division of housework are quite high – including on e in fi ve of our dual- earner couple households.
Table 7.3 shows the percentage of dual- earner couples by family lifecourse stage for each of the seven countries and for all countries combined. In all countries combined across all stages of the family life course 50 per cent are dual- earner couples. This percentage rises to over 72 per cent for younger couples without children. The dual- earner model is most common in Sweden (73 per cent) and Denmark (75 per cent of all couples) and least common in the Netherlands (30 per cent). It is clear from Table 7.3 that most women work full- time before having children and many women cut back on their paid work hours or drop out of the labour force altogether when they have children. However, family paid- work strategies vary considerably across countries. In Denmark and Sweden over threequarters of couples with young children are dual- earner couples, compared with approximately 20 per cent in Germany and the Netherlands. France has relatively high maternal employment with dual earners making
Table 7.3 Percentage of dual earners couples by family life stage for the seven countries
up 65 per cent of couples with young children. In the UK the equivalent is 28 per cent.
The high proportion of dual earners among couples in the child- rearing years in Sweden and Denmark is as we would expect. The Nordic countries' public provision of childcare is very high for under- 3- year- olds, due to the assumption that childcare is a legal right of every child (De Henau et al. 2008). Interestingly, France shows a much higher proportion of dual- earner couples with children than would be expected of a country classifi ed as following the traditional family model (Boye 2011). This classifi cation needs updating as there is relatively good state provision for childcare in France (Gallie and Russell 2009). In the Netherlands, the UK and Germany, dual- earner families are rare when children are young. In Germany mothers are expected to care for infants (De Henau et al. 2008), whereas in the UK childcare provision remains mostly private and relatively expensive (Schober and Scott, forthcoming).
Figure 7.2 shows, confi rming Hypothesis 3, that the gender diff erentiation of well- being is much less marked than for WFC across all countries. The striking fi nding from this fi gure is the relatively low well- being of UK men and women, compared with the other six countries. This is something we return to in our multivariate analysis.
ASSOCIATION OF WFC AND WELL- BEING
Hypothesis 4 suggested that WFC and well- being would be negatively correlated and this is indeed the case as we can see in Table 7.4. The correlation is strongest in Denmark and weakest in France, with the UK
Table 7.4 Correlations between work–family confl ict and well- being measures
Note: * p < 0.05, ** p < 0.01, *** p < 0.001.
neither strong nor weak. Possibly a relative absence of 'Protestant work ethic' in France may contribute to this pattern, but the country diff erences are not large. In all countries the correlation is stronger for men than for women, except in Norway (where the gender pattern is reversed). The gender diff erence is more pronounced in the UK, France, Germany and the Netherlands, and somewhat less marked in Sweden and Denmark.
This is not surprising given the strong support in Scandinavian countries for the citizen worker model.
MULTIVARIATE REGRESSION ANALYSIS OF WFC AND WELL- BEING
Tables 7.5a–c show three diff erent regression models for WFC and well- being for both genders combined (Table 7.5a) and men and women separately (Tables 7.5b and 7.5c). The country diff erences are shown in model 1; family variables along with gender, age, education and household income are added to country dummy variables in model 2; characteristics of employment are added in, along with gender interaction eff ects with couples' paid work strategy, unpaid work division, and family life- course stages in model 3. The reference categories are the UK for country diff erences; dual- earner couples for paid work strategies (see Table 7.1 for defi nition); balanced housework for the division of unpaid work; and women under 45 without children for family life course.
WORK FAMILY CONFLICT AND WELL- BEING
Our fi fth hypothesis predicted that country diff erences in both WFC and well- being will remain strong even after controlling for other diff erences; controls include individual characteristics, couple work strategies, and family and employment conditions, included because the diff erent welfare systems/family policies vary in their support for combining work and family life. It can be seen in model 1 in Table 7.5a that the Netherlands, Norway, Sweden and Denmark have signifi cantly lower WFC than the UK (the omitted category). In Table 7.5b, which shows men only, we can see that men in all other countries have lower WFC than UK men. Table 7.5c shows this country pattern is not the same for women, as only Dutch women have less WFC than UK women. However, this diff erence between the Netherlands and the UK disappears in model 3, once employment conditions are accounted for. In addition, once employment conditions are controlled, WFC is not signifi cantly diff erent between France and the UK, for either men or women. Despite the overall country patterns differing across models, the Netherlands and Scandinavian countries have consistently lower WFC than the UK for both women and men.
A similar picture emerges as we examine psychological well- being. The highest well- being levels are found in Denmark, Norway, Sweden and the Netherlands. The UK is by far the lowest – signifi cantly lower than any
of the other six nations, including France and Germany. This holds true for both men and women, across all three models. In all countries, except Sweden and Denmark, the country diff erences become even more pronounced in models 2 and 3 when family circumstances and employment are accounted for.
Hypothesis 6 suggested that work conditions would be more important predictors than family conditions for the WFC of both men and women. This is indeed the case. If we look at the explained variance (r 2 ) we can see that for our total sample combined (Table 7.5a), once employment conditions are introduced in model 3, we explain 23 per cent of the variance in WFC, as compared to only 6 per cent explained by family conditions (model 2) and less than 2 per cent by country diff erences alone (model 1). The pattern is similar for both men (Table 7.5b) and women (Table 7.5c). Thus we can confi rm Gallie and Russell's (2009) fi ndings about the relative importance of employment conditions, even after couples' paid and unpaid work strategies and family life- course stage are included in the models.
Hypothesis 7 suggested that work and family factors would explain more of the variance in WFC than in well- being, because well- being is more individualistic. This is also confi rmed. Again looking at the explained variance (r 2 ), we can see that for the combined sample (Table 7.5a) all three models for psychological well- being explain less than 4 per cent of the variance. The models do marginally better when broken down by gender (explaining up to 5 per cent of the variance for men and 7 per cent for women). However, compared with WFC, the explanatory power of these family and employment variables is slight. This is not surprising, as psychological well- being is likely to be far more closely linked to individual factors such as subjective health (Boye 2011).
Hypothesis 8 suggested that there would be gender diff erences in the way family life stage aff ects WFC and well- being. Mothers' WFC is expected to be heightened and well- being reduced relative to that of fathers during the child- rearing phase, because women tend to remain the primary carer, regardless of their employment status. If we look at the gender interaction eff ects of family life stage, we see that women's but not men's WFC increases after they have children. The same is not true however for psychological well- being. The well- being of men, but not that of women is enhanced for older couples without dependent children, where children have likely left the home. Perhaps mothers, because they are primary carers, suff er 'the empty nest syndrome' in ways that fathers do not.
Hypothesis 9 suggested that there would be gender diff erences in the way a couple's paid work strategies aff ect WFC and well- being. Compared with dual- earner couples, WFC is lower for men in male breadwinner
households and for women in modifi ed male breadwinner households. However, both of these eff ects disappear when accounting for employment conditions that include work hours (model 3). Long work hours increase the WFC for both men and for women. The same is not true for psychological well- being. Here work hours have no discernable eff ect for either men or women. In terms of other employment conditions there are some interesting fi ndings. Unsocial hours, as might be expected, increase the WFC of both men and women. However, counter- intuitively, task discretion also increases WFC, but only for men. This might be because the WFC measure includes a question about 'how often your partner/ family gets fed up with the pressure of your job'. Family disapproval of men spending long hours at work may intensify when their task discretion is high. For both men and women, task discretion signifi cantly increases psychological well- being (p <0.001). This is not surprising because taskdiscretion is likely to boost a person's self- esteem and sense of control which in turn heightens well- being.
According to Hypothesis 10, we would expect men's WFC and wellbeing to be more negatively aff ected than women's by a less traditional divide of unpaid housework. Engaging in housework may be more demeaning for men than for women. The fi ndings indicate that our expectation is completely wrong. Men's but not women's WFC is increased when couples adopt a 'mostly female' division of unpaid labour compared to a 'balanced' division of household labour. This average increase in men's WFC ranges from 0.128 (Table 7.5a, model 2) to 0.16 points (Table 7.5a, model 3) on our WFC scale (which ranges from 1 to 5). The same gender pattern is found for psychological well- being. The well- being of men is signifi cantly reduced when the housework is done mainly by women, but this is not the case for women. For well- being, the gender interaction term is not signifi cant, but for WFC it is signifi cant (p <0.01).
This unexpected fi nding may refl ect partners' dissatisfaction with the pressures of men's jobs. Men who leave the chores to women may be subject to more complaints than are men who do their share of home chores. We consider other possible explanations in the concluding section which discusses our fi ndings in more detail and draws out possible policy implications. First however, we briefl y review the other fi ndings from our multivariate analyses that are not related to our hypotheses.
In Table 7.5a, model 2, we see that being female reduces both WFC and well- being, but this gender eff ect disappears once work indicators are introduced in model 3. Older people experience more WFC (p <.05) once work hours and employment conditions are included (Table 7.5a, model 3), although this only applies to men, not to women (Tables 7.5b and 7.5c). Age has no eff ect on psychological well- being for this sample of working
couples. Years of education are positively related to WFC for men and women combined (Table 7.5a) and for men and women separately (Tables 7.5b and 7.5c). This may refl ect the higher ambitions that are associated with higher education and the gap between aspirations and reality may lead to greater confl icts for more educated men and women. Oddly, income increases WFC in model 2, but this disappears when employment is controlled in model 3. However, higher levels of income markedly increase the psychological well- being, for men and women.
SUMMARY, DISCUSSION AND CONCLUSIONS
In this chapter, one particular focus has been on how the experiences of WFC and well- being are gendered in ways that refl ect, in part, the gendered division of paid and unpaid work in Northern Europe. We also wanted to explore whether WFC and well- being vary between seven countries with very diff erent family policies, particularly in terms of their support for maternal employment and for a more equitable share of family work between men and women.
Our study is set against a background of family change. We note that family life has changed markedly from the traditional male breadwinner family of the past and that the rise of dual- earner couples implies both an ideological and pragmatic move towards less gender- role specialisation. However, we also note that there has been a structural and cultural lag in terms of gender role change, with women still doing the bulk of the housework and unpaid family care. We concur with Esping- Andersen (2009) that there has been an 'incomplete revolution in gender roles' and we tested ten hypotheses concerning the way the divisions of paid and unpaid work among couples relate to each partner's experience of WFC and well- being.
Six of our hypotheses were confi rmed by our data, one hypothesis was partially confi rmed and partially refuted, and three were not supported. Hypotheses that were confi rmed included that women who work- part time have markedly lower WFC than women who are in full- time employment (H2). We also found that well- being is less gender diff erentiated than WFC (H3) and that WFC and well- being are negatively correlated (H4). In addition, we confi rmed the Gallie and Russell (2009) fi nding that work conditions are more important predictors than family conditions for both men and women (H6). Also, work and family factors explain more of the variance in WFC than in well- being (H7).
We confi rmed that country diff erences in both WFC and well- being remain even when individual characteristics, couple work strategies,
family life stage and employment conditions are accounted for (H5). However, this fi nding went well beyond our expectations. It is not at all surprising that the UK comes out signifi cantly higher than Scandinavian countries for WFC, given how much support Scandinavian countries provide in terms of high- quality childcare and generous parental leave, argued to reduce WFC. However, what is surprising is that the UK is signifi cantly worse than other countries for the more general well- being measure (WHO- 5). Moreover, our analysis shows that this relatively dismal UK well- being result remains after controlling for diff erences in gendered patterns of paid and unpaid work. Undoubtedly, this measure is likely to be strongly infl uenced by individual factors not investigated here, such as physical and subjective health. However, the fact that UK citizens (both men and women) in our sample have signifi cantly less positive psychological well- being than equivalent couples in the other six Northern European countries is something that merits further investigation.
The hypothesis which was only partially confi rmed suggested there would be gender diff erences in the way family life- course stage aff ects WFC and well- being (H8). Women's WFC was indeed increased after they had children, compared with when they were younger and without children. Moreover, the eff ect of family life- course variables only enhanced the WFC of women not men. However, family life course had the reverse gender eff ect in terms of infl uencing psychological well- being, enhancing men's but not women's well- being.
The three hypotheses that were not supported are in many ways the most interesting fi ndings. Contrary to our expectations derived from the theories of the 'double shift' we expected women who worked full- time to have more confl ict than men (H1). While we found clear evidence that regardless of paid work strategy, women remain primarily responsible for unpaid work, we also found that women in full- time employment had very similar levels of WFC to that of men. Our expectation, following the research by Boye (2011), that men's well- being is unaff ected by work hours, whereas work hours benefi t women's well- being (H9) was not supported by our data. We found that long work hours aff ected the WFC of men and women in similar ways. Also, work hours did not aff ect the psychological well- being of either men or women in our sample. In addition, couple's paid work strategies did not aff ect the WFC or well- being of men or women, once employment conditions were accounted for.
This lack of a gendered eff ect of paid work strategies on WFC and wellbeing makes it even more surprising that the division of unpaid work does aff ect men's, but not women's, WFC and well- being. Our expectation that men's well- being would be more negatively aff ected than women's by a less traditional divide of unpaid work (H10) was overturned. It may be
that women accept their 'double shift' as a fact of life and therefore do not show the same reduction in WFC or increased well- being as men when the gender division of housework is less traditional (that is, not mainly female).
What is particularly interesting, however, is the way that Northern European men's WFC increases when the female partner is doing most of the unpaid chores. The perceived confl ict may result from the dissonance of practice being at odds with normative gender equality beliefs. Or it may be that men's heightened WFC refl ects their partners' dissatisfactions. Gershuny et al. (2005) suggest that women could adapt to changing employment patterns in one of three diff erent ways: exit, voice and suff ering. The three strategies concern stark choices: exiting from their marriage or quitting their job; expressing dissatisfaction to their husband or partner and pressing for a more equitable division of domestic labour; or suff ering their 'second shift' of doing both their paid job and the bulk of the unpaid household chores. Few women would see the extreme option of quitting their marriage or their job as feasible or desirable. Our data provide some evidence that women combine the second and third strategies. The bulk of the household chores are done mainly by women, even in dual- earner couples. However, perhaps one reason that men feel increased WFC when the housework is done mainly by women is that their partner complains. It is also plausible that some men want a more equitable role in the home and their well- being is reduced when the pressure of their job gets in the way. It certainly bodes well for more equitable gender role change in Northern Europe when men's WFC is increased and their well- being is reduced when the housework is left mainly to women.
No country in our sample has reached a position of gender equality. However, our fi ndings are reinforcing other research that suggests that we need to pay closer attention to the gender division of unpaid work in order to examine how changes in family life and employment impinge on well- being. In a recent study based on analysis of the British cohort studies, Sigle- Rushton (2010) found that in the UK a more equitable divide of housework off sets the enhanced risk of divorce associated with female employment. Our study points to wider benefi ts for men who do their fair share of the housework. Change is slow and, on average, men still play a somewhat minimal role in unpaid domestic labour. However, men today play a far greater role in home and childcare than did their fathers or grandfathers. It might help change move faster if the benefi ts of a more equitable divide became more widely known.
Can policies help nudge men and women towards greater gender equality in paid and unpaid work? This is a thorny issue and one that has been discussed elsewhere (for example, Dex 2010; Scott and Dex 2009). These
authors conclude that the political will is often lacking for the radical steps that would reduce gender inequalities in the division of labour. However, in our view, token and symbolic gestures do matter and state encouragement towards greater male participation in unpaid work could help advance gender convergence. The UK Equality and Human Rights Commission (2009) has also urged reform of policies that perpetuate the traditional gender role division of labour and leave women doing the bulk of family care and prevent men from doing a more equitable share of parenting. The report argued the social and economic benefi ts of integrating work and care. It called for more fi nancial support for paternity and parental leave and more aff ordable childcare. In the UK, political rhetoric is supportive, but actions to eradicate the economic inequalities that underpin the traditional gender divide of paid and unpaid labour are less forthcoming. Yet the logic of addressing the inequalities that arise from what Esping- Andersen (2009) calls the 'incomplete revolution' gets stronger as couples aspire to share work and parenting across the life course. By demonstrating that gender equality in paid and unpaid work is associated with enhanced well- being, our study hopes to strengthen the cumulative evidence about potential costs of not tackling the pronounced gender inequalities in employment and family care.
ACKNOWLEDGEMENTS
This work was supported by a grant by the Economic and Social Research Council (RES- 225- 25- 1001). Anke Plagnol is grateful for fi nancial support from the Leverhulme Trust through an Early Career Fellowship and the Isaac Newton Trust, Cambridge.
REFERENCES
B ech, P. (1998), Quality of Life in the Psychiatric Patient, London: Mosby- Wolfe.
The Brave New World of Work
B eck, U. (2000),
, Cambridge: Polity Press.
B oeri, T., D. Del Boca and C. Pissarides (eds) (2005) Women at Work: An Economic Perspective, Oxford: Oxford University Press.
B oye, K. (2009), 'Relatively diff erent? How do gender diff erences in well- being depend on paid and unpaid work in Europe?', Social Indicators Research, 93, 509–25.
B oye, K. (2011), 'Work and well- being in a comparative perspective - the role of family policy', European Sociological Review, 27 (1), 16–30.
B urchell, B., D. Lapido and F. Wilkinson (2002), Job Insecurity and Work Intensifi cation, London: London.
C appelli, P., L. Bassi, H. Katz, D. Knoke, P. Osterman and M. Unseem (1997), Change at Work, Oxford: Oxford University Press.
C rompton, R. and C. Lyonette (2008) 'Mothers' employment, work- life confl ict, careers and class', in J. Scott, S. Dex and H. Joshi (eds), Women and Employment: Changing Lives and New Challenges, Cheltenham, UK and Northampton, MA, USA: Edward Elgar.
D e Henau, J., D. Meulders and S. O'Dorchai (eds) (2008), Making Time for Working Parents. Comparing Public Childcare Provision across EU- 15, Cambridge: Cambridge University Press.
Dex, S. (2010), 'Can state policies produce equality in housework?', in J. Treas and S. Drobnic (eds), Dividing the Domestic: Men, Women, and Housework in CrossNational Perspective, Stanford, CA: Stanford University Press, pp. 79–104.
Equality and Human Rights Commission (2009), 'Working better: meeting the changing needs of families, workers and employers in the 21st century', available at: http://www.equalityhumanrights.com/uploaded_fi les/working_better_fi nal_ pdf_250309.pdf (accessed 6 July 2011).
E sping- Andersen, G. (2009), The Incomplete Revolution: Adapting Welfare States to Women's New Roles, Cambridge: Polity Press.
E uropean Social Survey (2004), 'Weighting European Social Survey data', available at: http://ess.nsd.uib.no/streamer/?module=main&year=2005&country= null & download = % 5CSurvey + documentation % 5C2005 % 5C06 %23ESS2++Weighting+ESS+Data%5CLanguages%5CEnglish%5CWeightingESS.pdf (accessed April 2011).
F agan, C., L. McDowell, D. Perrons, K. Ray and K. Ward (2008), 'Class diff erences in mothers' work schedules and assessments of their work- life balance in dual- earner couples in Britain', in J. Scott, S. Dex and H. Joshi (eds), Women and Employment: Changing Lives and New Challenges, Cheltenham, UK and Northampton, MA, USA: Edward Elgar.
F raser, N. (1994), 'After the family wage: gender equity and the welfare state', Political Theory, 22 (4), 591–618.
G allie, D. and H. Russell (2009), 'Work- family confl ict and working conditions in Western Europe', Social Indicators Research, 93 (3), 445–67.
G ershuny, J., M. Bittman and J. Brice (2005), 'Exit, voice, and suff ering: do couples adapt to changing employment patterns?', Journal of Marriage and Family, 67 (3), 656–65.
G ornick, J.C. and M.K. Meyers (2009), Gender Equality: Transforming Family Divisions of Labor. Volume 6, Real Utopias Project. New York: Verso Press.
G reen, F. and S. McIntosh (2001), 'The intensifi cation of work in Europe', Labour Economics, 8, 291–308.
H arkness, S. (2008), 'The household division of labour: changes in families' allocation of paid and unpaid work', in J. Scott, S. Dex and H. Joshi (eds), Women and Employment: Changing Lives and New Challenges, Cheltenham, UK and Northampton, MA, USA: Edward Elgar.
H ildebrandt, E. (2006), 'Balance between work and life – new corporate impositions through fl exible working time or opportunity for time sovereignty', European Societies, 8 (2), 251–72.
H obson, B. (2004), 'The individualised workers, the gender partipatory and the gender equity models in Sweden', Social Policies and Society, 3 (1), 75–84.
H ochschild, A.R. (1989), The Second Shift: Working Parents and the Revolution at Home, New York: Viking.
J owell, R. and the Central Coordinating Team (2005), European Social Survey 2004–2005: Technical Report, London: Centre for Comparative Social Surveys, City University.
K an, M.Y. and J. Gershuny (2010), 'Gender segregation and bargaining in domestic labour: evidence from longitudinal time use data', in J. Scott, R. Crompton and C. Lyonette (eds), Gender Inequalities in the 21st Century, Cheltenham, UK and Northampton, MA, USA: Edward Elgar.
K orpi, W. (2000), 'Faces of inequality: gender, class and patterns of inequalities in diff erent types of welfare states', Social Politics: International Studies in Gender, State Society, 7, 127–91.
L ewis, J. (2008), 'Work- family balance policies: issues and development in the UK 1997–2005 in comparative perspective', in J. Scott, S. Dex and H. Joshi (eds), Women and Employment: Changing Lives and New Challenges, Cheltenham, UK and Northampton, MA,USA: Edward Elgar.
L ewis, J. (2009), Work- Family Balance, Gender and Policy, Cheltenham, UK and Northampton, MA, USA: Edward Elgar.
L ewis, J., M. Campbell and C. Huerta (2008), 'Patterns of paid and unpaid work in Western Europe: gender, commodifi cation, preferences and the implications for policy', Journal of European Social Policy, 18 (1), 21–37.
M cRae, S. (2008), 'Working full- time after motherhood', in J. Scott, S. Dex and H. Joshi (eds), Women and Employment: Changing Lives and New Challenges, Cheltenham, UK and Northampton, MA, USA: Edward Elgar.
O rloff , A.S. (2009), 'Should feminists aim for gender symmetry? Why a dualearner/dual- caregiver society is not every feminist's utopia', in J.C. Gornick and M.K. Meyers (eds), Gender Equality: Transforming Family Divisions of Labor. Volume 6, Real Utopias Project. New York: Verso Press.
P ichler, F. (2009), 'Determinants of work- life balance: shortcomings in the contemporary measurement of WLB in large- scale surveys', Social Indicators Research, 92 (3), 449–69.
P sychatric Research Unit (2008), 'WHO- Five Well- being Index', available at: http://www.who- 5.org/ (accessed April 2011).
S chober, P. and J. Scott (forthcoming), 'Maternal employment and gender role attitudes: dissonance among British men and women in the transition to parenthood', Work, Employment and Society.
Scott, J. and S. Dex (2009), 'Paid and unpaid work: can policy improve gender inequalities?', in J. Miles and R. Probert (eds), Sharing Lives, Dividing Assets, Oxford: Hart.
S en, A. (1999), Development as Freedom, New York: Knopf.
S igle- Rushton, W. (2010), 'Men's unpaid work and divorce: reassessing specialization and trade in British families', Feminist Economics, 16 (2), 1–26. T aylor, R. (2001), The Future of Work- Life Balance, Swindon: ESRC.
W est, C. and D.H. Zimmerman (1987), 'Doing gender', Gender and Society, 1 (2), 125–51.
Gendered lives
APPENDIX
Table A7.1 Sample characteristics (N = 4065; weighted N = 5151)
Table A7.2 Indicators of work–family confl ict (WFC) in the ESS Round 2
ESS 2004/05
1. How often do you keep worrying about work problems when you are not working?
2. How often do you feel too tired after work to enjoy the things you would like to do at home?
3. How often do you fi nd that your job prevents you from giving the time you want to your partner or family?
4. How often do you fi nd that your partner or family gets fed up with the pressure of your job?
Not included in composite measure:
5. How often do you fi nd it diffi cult to concentrate on work because of your family responsibilities?
Answer categories: Never, hardly ever, sometimes, often, always
Table A7.3 Indicators of well- being (WHO- 5) in the ESS Round 2
ESS 2004/05
I would like you to say how often you have felt like this over the last two weeks.
1. I have felt cheerful and in good spirits
2. I have felt calm and relaxed
3. I have felt active and vigorous
4. I have woken up feeling fresh and rested
5. My daily life has been fi lled with things that interest me
Answer categories: All of the time, most of the time, more than half of the time, less than half of the time, some of the time, at no time
Reverse coded from the original.
|
Steve Sisolak Governor
Jhone M. Ebert Superintendent of Public Instruction
STATE OF NEVADA NEVADA DEPARTMENT OF EDUCATION
700 E. Fifth Street │ Carson City, Nevada 89701-5096
Phone: (775) 687-9200 │www.doe.nv.gov│ Fax: (775) 687-9101
Notice of Workshop to Solicit Comments on Proposed Regulation
The Nevada Department of Education is proposing regulation language pertaining to the Nevada Administrative Code (NAC). The Workshop has been scheduled for Thursday, September 30, 2021 via Lifesize and at the following locations: Nevada Department of Education Offices, 700 East Fifth Street, Board Room, Carson City and 2080 East Flamingo Road, Room 114, Las Vegas, Nevada. The purpose of the Workshop is to solicit comments from interested persons on the following general topics to be addressed in a proposed regulation:
9:05 A.M. Workshop to Solicit Comments on Proposed Amendments to NAC Chapter 387.190, NAC 390.470, NAC 390.480, and NAC 390.500 which pertain to requirements and opportunities to enroll and earn an Adult High School Diploma, as required by Assembly Bill 215 (2021).
A copy of all materials relating to the proposal may be obtained at the workshop, on the Nevada Department of Education Regulation Workshops and Public Hearings Meeting Materials page, by contacting Amelia Thibault, Interim Board Secretary, Nevada Department of Education via email at firstname.lastname@example.org, by telephone at 775-687-9217 or in person at the Nevada Department of Education, 700 E. 5 th St, Carson City, Nevada. Persons wishing to comment upon the proposed action of the Department may provide in-person testimony, submit written comment to the Department via email at email@example.com, or submit their comments, data, views, or arguments in written form to the Nevada Department of Education, 700 E. 5 th St, Carson City, Nevada. Comments may be submitted via email leading up to and for the duration of the workshop, and those submitted via mail must be received by the Department on or before September 29, 2021.
This notice has been sent to all persons on the agencies mailing list for administrative regulations and posted on the Nevada Department of Education's website at https://doe.nv.gov, Nevada's Public Notice site at https://notice.nv.gov, the Nevada State Legislature's webpage at https://leg.state.nv.us, and physically at the Nevada Department of Education Offices and with Nevada State Library and Archives. Copies of this notice will also be emailed and/or mailed to members of the public upon request.
Southern Nevada Office 2080 East Flamingo Rd, Suite 210
Las Vegas, Nevada 89119-0811
Phone: (702) 486-6458
Fax: (702) 486-6450
Steve Sisolak Governor
Jhone M. Ebert Superintendent of Public Instruction
STATE OF NEVADA
NEVADA DEPARTMENT OF EDUCATION
700 E. Fifth Street │ Carson City, Nevada 89701-5096
Phone: (775) 687-9200 │www.doe.nv.gov│ Fax: (775) 687-9101
SMALL BUSINESS IMPACT STATEMENT PURSUANT TO NRS 233B.0608
DATE: September 30, 2021
RE:
Workshop to Solicit Comments on Proposed Amendments to NAC Chapter 387.190, NAC 390.470, NAC 390.480, and NAC 390.500 which pertain to requirements and opportunities to enroll and earn an Adult High School Diploma, as required by Assembly Bill 215 (2021).
I, Jhone M. Ebert, being the duly appointed Superintendent of Public Instruction of the Nevada Department of Education, do hereby certify, to the best of my knowledge or belief:
1. The proposed regulation regarding the Adult High School Diploma is not likely to (a) impose a direct or significant economic burden upon a small business, or (b) directly restrict the formation, operation or expansion of a small business.
2. A concerted effort was made to determine any economic burden.
3. All relevant materials were reviewed, and the Department considered its history with implementing similar regulations; the proposed changes are within the scope of the Department's activities and present no significant cost of enforcement.
4. Comment has not been solicited from small businesses, and no summary of their response is provided, because small businesses are not impacted by this regulation and thus no burden or adverse economic impact can be assessed.
I hereby further certify that, to the best of my knowledge or belief, a concerted effort was made to determine the impact of the regulation on small businesses and that the information contained in this statement was prepared properly and is accurate.
Respectfully submitted,
Jhone M. Ebert Superintendent of Public Instruction
Southern Nevada Office
2080 East Flamingo Rd,
Suite 210
Las Vegas, Nevada 89119-0811
Phone: (702) 486-6458
Fax: (702) 486-6450
NAC 387.190 Adult high school program. (NRS 385.080)
1. A person who:
(a) Is at least 18 years of age or who meets the requirements for participation in a program of education for incarcerated persons established pursuant to NAC 388H.040; or,
(b) Is 17 years of age and has attended 4 years of high school without graduating with his or her class;
(bc) Has not received his or her high school diploma; and
(cd) Is not currently enrolled in a high school,
may be enrolled as a pupil in an adult high school program designed to enable him or her to obtain a diploma.
2. A person who is at least 16 years of age but less than 18 years of age and who participates in an alternative program for the education of pupils at risk of dropping out of school pursuant to NRS 388.537 may enroll in an adult high school program with the approval of the board of trustees of the school district in which the pupil is enrolled only for the purpose of preparing to take a high school equivalency assessment.
3. Before commencing an adult high school program, a school district must apply to the Department for permission to conduct the program. The application must be made on a form provided by the Department and include the:
(a) Name of the course to be taught; and
(b) Proposed beginning and ending dates for each class.
4. The Superintendent of Public Instruction shall review each application to operate an adult high school program submitted to the Department and approve or deny the application. If the application is denied by the Superintendent, the school district may appeal the decision of the Superintendent to the State Board of Education. The State Board may approve or deny the application for an adult high school program upon appeal.
5. An application that has been approved by the Superintendent of Public Instruction or the State Board of Education pursuant to subsection 4 remains in effect for 5 years after the date of approval. The board of trustees of a school district shall update its plan to operate an adult high school program at least once annually if a substantive change is made to the plan.
6. A class that is part of an approved program may begin or end at any time during the school year.
7. A school district that offers an adult high school program shall offer a sufficient number of required and elective courses for a pupil enrolled in the program to obtain the credits necessary to receive an adult standard diploma. Such required and elective courses must include the content identified in the school district's approved curriculum.
[Dep't of Education, Pupil Accounting Reg., eff. 12-15-77] — (NAC A by Bd. of Education, 9-6-83; 6-23-86; R033-99, 11-3-99; R029-01, 11-1-2001; R134-07, 6-172008; R067-14, 10-24-2014)
NAC 390.470 Requirements for adult standard diploma. (NRS 385.080, 385.114, 390.600)
1. A school district may award an adult standard diploma to a person who:
(a) Withdrew from high school before the person's graduation and was not eligible to graduate with his or her class, or participated in an alternative program for the education of pupils at risk of dropping out of school established by a school district pursuant to NRS 388.537;
(b) Has passed all required end-of-course examinations;
(c) Has earned, in high school, in an adult high school program or in an alternative program for the education of pupils at risk of dropping out of school established by a school district pursuant to NRS 388.537, or waived, the units of credit required in subsection 2; and
(d) Is 18 years of age or older at the time of the award or is 17 years of age but less than 18 years of age and has attended 4 years of high school without graduating with his or her class, or and participates in an alternative program for the education of pupils at risk of dropping out of school pursuant to NRS 388.537.
2. Except as otherwise provided in subsection 3, the units of credit which a person must have earned or waived to be qualified to receive an adult standard diploma are a total of 13 units for required courses and a total of 7 1/2 units for elective courses. The person must have earned or waived his or her units for the required courses in accordance with the following table:
Minimum
3. If a person demonstrates a competency in the use of computers, the person is not required to complete the course in the use of computers and must earn or waive a total of 12 1/2 units in required courses.
(Added to NAC by Bd. of Education, 12-16-82, eff. 7-1-83; A 5-4-87; 3-9-88, eff. 7-1-92; R067-97, 12-10-97; R037-99, 11-3-99, eff. 7-1-2000; R029-01, 11-1-2001, eff. 7-1-2002; R061-02, 9-6-2002; A by Bd. for Career & Tech. Educ. by R172-05, 2-232006; A by Bd. of Education by R134-07, 6-17-2008; R082-14, 10-24-2014; R061-14, 12-22-2014) — (Substituted in revision for NAC 389.688)
NAC 390.480 Credit received through adult high school program applicable toward adult standard diploma. (NRS 385.080, 385.114)
1. Units of credit earned by a person through an adult high school program may be applied toward meeting the requirements for an adult standard diploma only if the course in which the units were earned was:
(a) Taught in a school district of this State; or
(b) Equivalent to a regular course offered in the high school where the diploma will be issued, and the course is approved by the principal of the high school for that purpose.
2. As used in this section, "adult high school program" means instruction or training provided at or below the level of a secondary school for persons who:
(a) Are at least 18 years of age and who have not completed high school.
(b) Are 17 years of age but less than 18 years of age and have attended 4 years of high school without graduating with his or her class, or and participate participates in an alternative program for the education of pupils at risk of dropping out of school pursuant to NRS 388.537.
(c) Are 16 years of age and authorized to attend an adult high school program pursuant to NAC 390.510.
(Added to NAC by Bd. of Education, eff. 12-16-82; A by R067-97, 12-10-97; R02901, 11-1-2001; R134-07, 6-17-2008) — (Substituted in revision for NAC 389.690)
NAC 390.500 Waiver of credits for adult standard diploma; scores required on high school equivalency assessment for waiver. (NRS 385.080, 390.055)
1. Except as otherwise provided in this section, a person who is 18 years of age or older and who seeks an adult standard diploma may waive units of credit for language arts, mathematics, science and social studies by taking a high school equivalency assessment in those subjects. A person who seeks an adult standard diploma who is at least 17 years of age but less than 18 years of age and has attended 4 years of high school without graduating with his or her class, or and who is enrolled in an alternative program for the education of pupils at risk of dropping out of school established by a school district pursuant to NRS 388.537 may waive units of credit pursuant to this section.
2. The maximum number of credits which may be waived in the areas of language arts, mathematics and science must be based on the number of credits previously earned which meet the minimum requirements for course content outlined in NAC 389.450 to 389.511, inclusive, and the credits waived upon the completion of a high school equivalency assessment selected pursuant to NRS 390.055.
3. Credits in elective courses may be waived only in the area of social studies. The maximum number of credits which may be waived in the area of social studies must be based on a high school equivalency assessment selected pursuant to NRS 390.055.
4. The following tables set forth the scores which a person must achieve on a high school equivalency assessment to waive credits in required and elective courses and the corresponding number of units which may be waived:
General Educational Development Test (2002 Series)
General Educational Development Test (2014 Series)
HiSET Exam (2014 Series)
Maximum Number of Units
Test Assessing Secondary Completion (2014 Series)
(Added to NAC by Bd. of Education, eff. 12-16-82; A 5-4-87; 3-9-88; R067-97, 1210-97; R029-01, 11-1-2001; R194-01, 4-1-2002; R194-01, 4-1-2002, eff. 7-1-2002; R134-07, 6-17-2008; R155-13, 6-23-2014; R050-16, 6-28-2016) — (Substituted in revision for NAC 389.694)
|
Citation: Stretesky, Paul, Long, Michael and Lynch, Michael (2016) A cross-national study of the association between natural resource rents and homicide rates, 2000-2012. European Journal of Criminology. ISSN 1477-3708 (In Press)
Published by: SAGE
URL:
http://dx.doi.org/10.1177/1477370816661741
<http://dx.doi.org/10.1177/1477370816661741>
This version was downloaded from Northumbria Research Link: http://nrl.northumbria.ac.uk/27149/
Northumbria University has developed Northumbria Research Link (NRL) to enable users to access the University's research output. Copyright © and moral rights for items on NRL are retained by the individual author(s) and/or other copyright owners. Single copies of full items can be reproduced, displayed or performed, and given to third parties in any format or medium for personal research or study, educational, or not-for-profit purposes without prior permission or charge, provided the authors, title and full bibliographic details are given, as well as a hyperlink and/or URL to the original metadata page. The content must not be changed in any way. Full items must not be sold commercially in any format or medium without formal permission of the copyright holder. The full policy is available online: http://nrl.northumbria.ac.uk/policies.html
This document may differ from the final, published version of the research and has been made available online in accordance with publisher policies. To read and/or cite from the published version of the research, please visit the publisher's website (a subscription may be required.)
research-article
661741 research-article2016
EUC0010.1177/1477370816661741European Journal of CriminologyStretesky et al.
A cross-national study of the association between natural resource rents and homicide rates, 2000–12
Paul B. Stretesky
Northumbria University, UK
Michael A. Long
Northumbria University, UK
Michael J. Lynch
University of South Florida, USA
Abstract
Countries that rely on natural resource rents (that is, the revenue generated from the sale of natural resources) may suffer from a variety of social problems. This exploratory study reviews the natural resource extraction literature to derive a 'natural resource rents–homicide' hypothesis. Data for 173 countries for the years 2000 to 2012 are examined to determine if there is a correlation between natural resource rents and homicide rates. Multilevel growth models suggest that natural resource rents are positively correlated with homicide rates within countries (level 1) but not between them (level 2). Importantly, the correlation between natural resource rents and homicide is strongest when natural resource rents are lagged. We conclude by suggesting that increasing natural resource rents may be counterproductive over the long run and sow the seeds for a future increase in homicide.
Keywords
Ecological disorganization, inequality and homicide, natural resource curse, social disorganization
Corresponding author:
Paul B. Stretesky, Department of Social Sciences and Languages, Northumbria University, Lipman Building, Newcastle upon Tyne, NE1 8ST, UK. Email: email@example.com
Introduction
Recent studies have found that excessive dependence on natural resource extraction revenue tends to be associated with elevated levels of crime in local settings (for example, Archbold et al., 2014; Carrington et al., 2011; Price et al., 2014; Ruddell, 2011; Ruddell et al., 2014). The major implication of these studies is that higher rates of crime are the result of detrimental social processes that are set in motion by a sudden increase in extraction development followed by a heavy reliance on revenue generated from natural resources. As yet, however, community-level findings that postulate a relationship between natural resource revenue and crime have not been replicated cross-nationally (except see Collier and Hoeffler, 2004). This observation raises the following question: is there a cross-national correlation between revenue that is generated by natural resource extraction and crime? To help answer this question we study one type of crime (that is, homicide rates) and natural resource rents. Homicide is one of the most valid and reliable cross-national crime indicators (see Neapolitan, 1997), and natural resource rents (NRR) are often used in development studies as an indicator of the amount of revenue generated by natural resources (less the cost of extracting those resources) that comes from their sale in the international market (Collier and Hoeffler, 2005). As a result, we test the hypotheses that NRR (as a percentage of gross domestic product) and homicide rates are positively correlated between and within countries. 1
The present study begins by exploring the theoretical justification for the NRR– homicide hypotheses. Specifically, to derive our hypotheses we rely upon two sets of literature. First, we explore community-level studies that document the relationship between extraction-related economic activity and crime. Second, we examine crossnational level research by drawing upon the 'the natural resource curse' lens that stipulates countries with high NRR face more development-related problems than countries with low NRR. Within that natural resource curse literature we pay particular attention to the idea that high NRR countries may potentially harm the economy and encourage civil violence. We employ a multilevel growth model to test the correlation between NRR and homicide for 173 countries for the years 2000 to 2012. We then conclude by reflecting upon our findings in the context of the environmental justice literature and the potential for future research.
Exploring the potential effect of resource extraction on crime cross-nationally is important for two reasons. First, policy-makers across the globe regularly make decisions about the pace and extent of resource extraction to generate NRR. Information about the potential homicide–NRR association might be useful to policy-makers and affect the kinds of economic policies they select. Second, if a relationship between NRR and homicide exists, then criminal justice agencies faced with implementing enforcement practices may consider how to use NRR information to better advocate for and distribute resources to combat crime (Archbold, 2015).
Background
Extractive activities consist of the removal of raw materials from nature (for example, coal, oil, gas, timber and minerals). These extraction efforts are often promoted by companies and governments, and are designed to stimulate revenue for economic development purposes. Local and national governments that are dependent on high NRR may suffer adverse social and economic consequences. For instance, Adger (2000: 361) suggests that too much reliance on NRR increases vulnerability to external shocks such as the volatility of raw material commodity prices. Jacquet (2014: 8321) describes four general types of problem that occur from an over-reliance on NRR: '(1) rapid industrialization and loss of governance, (2) uneven distribution of costs and benefits, (3) conflict, and (4) social-psychological stress and disruption.' These potential adverse outcomes have led a variety of sociologists and development scholars to investigate the relationship between high NRR economies and wellbeing in the case of timber (Fisher, 2001; Wunder, 2001), oil (Obi, 2010), coal (Perdue and Pavela, 2012) and mineral mining (Pegg, 2006). Together these wellbeing studies suggest that a variety of social problems, including homicide, are likely to occur when governments and policy-makers pursue high NRR to boost economic growth.
Community studies
Carrington, Hogg and McIntosh (2011: 353) propose that communities that rely on high levels of NRR experience greater levels of violence. That is, extractive economies disrupt social life in such a way that crime is more likely to occur. As a result, NRR can threaten community norms and values and therefore break informal ties and harm community services (Carrington et al., 2011; see also England and Albrecht, 1984; Freudenburg and Jones, 1991; Hunter et al., 2002; Wilkinson, 1991). However, it is not just a matter of elevated NRR promoting crimes such as homicide. It is also a matter of rapid social change that may occur in areas of high NRR. For instance, as Durkheim suggested in the 19th century with his concept of anomie, rapid social change disrupts community organization and attenuates social bonds, creating a sense of normlessness in the community that often leads to increases in crime (Durkheim, 2014 [1902]; see also Messner, 1989, for an empirical application to homicide rates).
The idea of social disorganization is often used to describe the condition faced by communities that undergo a rapid transition to an NRR-based economy (Ruddell et al., 2014). The increase in urbanization, industrialization and immigration that occurs along with rapid expansion of NRR may break social bonds and threaten conventional community beliefs and values. This disorganization can then lead to an increase in crime and delinquency (Kubrin and Weitzer, 2003; Shaw and McKay, 1942). Jacquet (2014: 8321) makes the connection between natural resource extraction and crime, drawing directly on concepts used in the social disorganization literature, suggesting that the loss of closeknit social ties can result in a loss of institutions (church groups, neighbourhood associations, etc.) that historically provide informal control over social problems including crime, drug abuse and mental illness, instead requiring formal organizations such as the police and court system to address these problems. Ruddell et al. (2014) propose that social disorganization may increase during a natural resource boom, and that is what leads to observed increases in crime. Anecdotal observations appear to confirm Ruddell et al.'s (2014: 4) supposition, as reports by some law enforcement officials and residents of high extraction communities suggest that a 'violent element' is attracted to the employment opportunities brought on by rapid resource extraction that promotes social disorganization. As a result of these changes, communities that quickly become reliant on NRR are sometimes called 'energy boom towns'.
Energy boom towns may also face rapid population growth, industrialization and flyin, fly-out (FIFO) patterns of predominately male workers (Ruddell et al., 2014). This pattern of community development disrupts the normal patterns of life in the mostly rural areas where extraction takes place. The new residents and FIFO workers often cause problems for long-time residents, such as unemployment, increases in social-psychological stress and substance abuse (Jacquet, 2014). The transient nature of the workforce that migrates into quickly developing NRR economies may even create stress for local services because those employed in the industry often work shifts around the clock, disrupting families where increases in violent crimes such as domestic abuse have been reported (Carrington et al., 2011).
As noted, the rapid growth of extraction revenue may attract people seeking various types of work that 'disrupt normal patterns of interaction' (Ruddell et al., 2014: 3). Not surprisingly, changes in community values also affects the way that law enforcement responds to crime, reducing community service functions and increasing law enforcement functions. That is, police become more focused on catching and arresting criminals while reluctantly allowing minor disorder to flourish (Archbold, 2015).
Several empirical studies draw upon the social disorganization thesis to test the relationship between NRR and crime. As previously noted, these studies generally indicate that high-NRR economies also tend to have elevated levels of crime (for example, Archbold et al., 2014; Ruddell et al., 2014). For instance, recent research by Price et al. (2014) uncovers a relationship between the number of gas extraction wells (which presumably correlate to higher levels of NRR) and crime across local communities. The relationship between NRR and crime at the community level of analysis has also been observed within other developed countries such as Australia and Canada (Carrington et al., 2011; Ruddell, 2011).
A few studies propose that there is no correlation between NRR and crime (Wilkinson et al., 1982). Ruddell et al. (2014), for instance, found that although increases in NRR activity were followed by increases in index crime, high-NRR communities had similar index crime rates to low-NRR communities. Thus, Ruddell et al.'s results indicate that, in the case of homicide rates, it is the change in NRR and not the absolute level of NRR that matters. In addition, Hunter, Krannich and Smith (2002) point out that, although communities that pursue high levels of NRR as an economic strategy could eventually recover from elevated levels of NRR-related crime, perceptions of crime would be most intense for those socially disadvantaged residents living in high-NRR communities.
In sum, previous community-level research highlights how elevated and increasing NRR can foster disorganization. In turn, disorganization weakens community social bonds and creates individual and community-level stress that produces the right conditions for crime, including violence and homicide.
Cross-national studies
Whereas problems associated with natural resource extraction are largely studied at the community level, the focus of this research is cross-national. As community scholars note, however, the same social processes that disrupt and disorganize communities may also be at work within and across countries. When studying extraction in communities, Freudenburg (1992: 307) proposed that 'newly industrializing nations [may also suffer from natural resource addiction because] extractive activities are seen as having the potential to open up entire regions to economic development'.
Cross-national literature on the problems associated with NRR as a form of development can be broadly broken down into those studies that focus on economic growth and those that focus on civil unrest and violence. In 1990, Auty suggested that some countries experience the 'curse of natural resources'. 2 Like community-level research, the natural resource curse hypothesis proposes that development problems are likely to arise in economies that rely heavily on NRR. 3 Shortly after Auty developed this thesis, Sachs and Warner used empirical data to study the effects of the resource curse, noting specifically that a 'surprising [feature] of modern economic growth is that economies with abundant natural resources grow less rapidly than natural-resource-scarce economies' (1995: 1). Their research demonstrates that developing countries with high levels of natural resource exports (for example oil, minerals and agriculture), expressed as a percentage of gross domestic product (GDP) in 1970, tended to experience slower economic growth over the next decade (see also Sachs and Warner 1997, 1999). Importantly, Sachs and Warner (1995, 1997) show that only 2 countries rich in natural resources (Malaysia and Mauritius) out of 19 did not experience a decline in GDP during the 1970s. The primary reasons that Sachs and Warner (2001) give for this general undesirable relationship is that countries rich in natural resources may be harming GDP by disrupting more traditional manufacturing growth. In other words, increases in natural resource extraction may quickly elevate wages and product prices within countries, making it harder for manufacturing to compete with other exports in the global marketplace. Sachs and Warner (2001: 833) note that, '[w]hatever the cause [for lower GDP], it is clear that we have not seen strong export-led growth in resource abundant economies'.
The implications of these economic problems have also led scholars to think about the relationship between NRR and homicide. Specifically, comparative researchers believe that NRR may produce a variety of social problems, including violence (Collier and Hoeffler, 2002). This more recent strand of research is similar to what is being proposed by community-level scholars – that the resource curse may create conflict and violence (Collier and Hoeffler, 2005; De Soysa and Neumayer, 2007; Ross, 2003; Skaperdas, 2002). Violence related to natural resources that occurs globally has garnered significant attention in the press, especially when related to conflicts over resources such as oil and minerals. In the popular press these conflicts are sometimes framed to highlight the violence behind their production and extraction (Eligon, 2011). For example, 'blood diamonds' or 'conflict timber' illustrate the social harm associated with the extraction of certain forms of natural resources (Mullins and Rothe 2008; Orogun, 2004; Van Solinge 2008). Lujala, Gleditsch and Gilmore (2005) also found 'a diamonds curse', indicating that, in the case of secondary diamonds, there was an increase in the likelihood of ethnic fighting. 4 For example, murders and missing persons in Colombia are all too often associated with the capture of productive lands for the purpose of extracting palm oil (Borras and Franco, 2010a, 2010b). As a result, conflict over land associated with valuable natural resources may quickly lead to elevated murder rates (Myers, 1997). Moreover, as
Downey, Bonds and Clark (2010) suggest, there are many different forms of extraction (for example mining and timber) that may encourage violence and murder in some countries.
There are some additional reasons that NRR may generate violence at a cross-national level. First, some researchers describe violence as a function of 'looting rebels' (Mildner et al., 2011). That is, in nation-states with weak governments, rebels can forcibly and violently take NRR as a method of funding political conflict. Collier and Hoeffler (2002: 625) conclude that NRR generate 'low opportunity costs for rebellion and make civil war more likely'. Moreover, NRR reliance may challenge weak governments because law enforcement is strained and cannot provide protection in areas that can potentially generate high amounts of resource revenue. Thus, as Ross (2003: 25) contends, 'this opens the door for criminal gangs, warlords, and rogue military officers'.
To date, there is only one academic study that examines the association between NRR and homicide rates at the cross-national level (Collier and Hoeffler, 2004). Specifically, Collier and Hoeffler (2004) studied deliberate killings and civil war deaths as a function of NRR. 5 Collier and Hoeffler (2004) hypothesize that civil war deaths and homicides are likely to share predictors (that is, independent variables). The researchers conduct a cross-sectional analysis that illustrates important differences between the dependent variables. Specifically, they find that both ethnic dominance and NRR are positively correlated with the risk of civil war and that neither variable is correlated with homicide. Nevertheless, Collier and Hoeffler (2004) conclude that this finding requires further empirical investigation.
In sum, the literature on the impact of natural resource extraction and the resultant rents suggests the following two hypotheses, which we test in this article.
Hypothesis 1: Annual increases in a country's natural resource rents are associated with annual increases in the country's homicide rents (that is, the within-country hypothesis).
Hypothesis 2: Countries with higher average natural resource rents will have higher homicide rates compared with countries with lower natural resource rents (that is, the between-country hypothesis).
Methods
We examine the cross-national correlation between NRR and homicide rates using multilevel models for change. This procedure models one dependent variable and multiple independent variables (Rabe-Hesketh and Skrondal, 2008; Raudenbush and Bryk, 2002). Multilevel change models are particularly appropriate for examining the relationship between NRR and homicide because they allow for the simultaneous estimations of year-to-year changes within individual countries (level 1) as well as between countries (level 2). Thus, we can assess the important question of whether NRR appear to facilitate homicide over time (within country), across space (between countries), or both. As per convention, we control for year in all of the statistical models.
We gathered data on natural resource extraction and other competing explanations of homicide for the years 2000 to 2012 for the 173 countries for which homicide and natural
resource data were available over time (listed in Appendix 1). All of the variables used in our regression models of homicide are described below, with descriptive statistics for the overall sample presented in Appendix 2 and the between- and within-country variances listed in Appendix 3. We now turn to the description of the variables used in our models.
Dependent variable
Our dependent variable is the homicide rate, measured as homicides per 100,000 persons. We focus our analysis on homicide rates because community and cross-national studies suggest that violence may be related to NRR and because homicide data are widely acknowledged to be the most valid and reliable cross-national indicator of violence (Neapolitan, 1997). As a result, it is possible to examine the variability in the homicide rate per country and per year (2000 to 2012).
The total number of homicides per country, per year was extracted from the Global Study on Homicide 2013 (United Nations Office on Drugs and Crime, 2014), which compiles world homicide statistics over time. Data in this report are derived from criminal justice or public health systems and are verified through validity checks (see United Nations Office on Drugs and Crime, 2014: 110–11). These data intend to measure all recorded 'unlawful deaths purposefully inflicted on a person by another person' (United Nations Office on Drugs and Crime, 2014: 109). Because the distribution of homicide data is substantially non-normal across countries over time (skewness = 2.5, kurtosis = 7.7), we take the natural log of the variable to produce a better-fitting regression line and more normally distributed regression residuals. As noted in Figure 1, the distribution of the transformed homicide rate variable is relatively normal – even if slightly bimodal (skewness = 0.20, kurtosis = −0.79).
The natural log of homicide improves model fit substantially and reduced the standard error estimates at both level 1 and level 2, allowing for a better test of the natural resource curse–homicide hypothesis between and within countries.
Natural resource extraction
We are interested in determining whether NRR is correlated with homicide rates between and/or within countries. Thus, we collected data on NRR for each country over time as a way to estimate the extent of extraction activity in a country as well as to measure how much a particular country relies on revenue generated from the sale of natural resources. NRR are one common measure of extraction relative to revenue. NRR data represent the surplus value or economic profits as a percentage of GDP that results from the sale of non-renewable natural resources (oil, gas, coal, minerals and timber). NRR, as a portion of GDP, are also often used as a measure of natural resource wealth in the natural resource curse literature (Collier and Hoeffler, 2005). As previously noted, as NRR increase, homicide should also increase because this form of economic development harms social life and leads to disruption and disorganization in communities and countries. Moreover, high NRR may promote political conflict between some countries at the national level. The NRR data are also highly skewed and peaked (skewness = 2.41, kurtosis = 4.36) because some countries rely heavily on NRR and others virtually not at all. As a result, we take the natural log of NRR because it helps to correct for the non-linear relationships that emerge between NRR and homicide (skewness = 0.71, kurtosis = 1.78). NRR data are available from the World Bank (http://data.worldbank.org; see also Hamilton and Clemens, 1998, for further discussion of NRR).
Control variables
Several variables that might have an impact on the relationship between NRR and homicide must be controlled in the statistical analysis of NRR and homicides. Based on prior studies, GDP is one major variable that needs to be controlled in the analysis of homicide rates. GDP per capita across countries over time is collected from the World Bank and measured in thousands of US dollars per person. It is the market value of production, services and sales. The relationship between GDP and homicide is mixed in the literature, which finds positive, negative and no relationship between the variables (Pridemore and Trent, 2010). We also control for income inequality using the Gini index. The Gini index is obtained from the World Bank dataset and is frequently used as a measure of income inequality in social science research (http://data.worldbank.org). Gini is noted to be positively correlated with homicide rates in cross-national studies (Barber, 2006; Bjerregaard and Cochran, 2008; Nivette, 2011).
We control for three additional economic variables that were also collected from the World Bank. First, we control for the percentage of unemployed in each country each year since this variable has also been linked with homicide rates (Huang, 2001). That is, as unemployment increases across countries, so does homicide. Second, infant mortality is controlled when testing the relationship between NRR and homicide. Infant mortality measures the number of infants who die before the age of 1 per 1000 live births. Infant mortality is an indicator of poverty that should be positively associated with homicide rates between and within countries. Finally, foreign direct investment (FDI) is controlled and is an indicator of the direct investment of equity capital and the reinvestment of earnings into the economy as a proportion of GDP. Direct investment is typically not examined in homicide studies, but could drive NRR that impact on homicide rates. As a result, we examine the relationship between direct investments before NRR are included in the analysis to see if it is a potential mechanism that helps specify the relationship between NRR and homicide.
In addition to economic controls, we include five population indicators, one indicator of governance and one regional indicator. The percentage of the population in each country residing in an urban area is obtained from the World Bank and controlled in the analysis because increased urbanization has been linked to elevated homicide rates in some cross-national studies (Fischer, 1975). It is also an indicator of social disorganization because it has been argued that increases in urbanization are related to increases in crime. Population, measured in billions of residents, is also controlled in the analysis and allows us to assess if more populated countries or countries that grow in population also experience higher homicide rates. To account for age structure and gender we include the percentage of the population aged 0–14 years, the percentage of the population aged 15–64 years and the percentage of the population that is female. 6 Democracy is examined as a control variable and is measured using the report Freedom in the World, produced by Freedom House (https://freedomhouse.org/report-types/freedom-world). The database documents each country's political freedom in a 'freedom index' over time, using a rating that ranges from '1' (most free) to '7' (least free). We reverse-coded the democracy variable so higher values represent countries that have higher political freedom. We also include a measure of corruption, the Corruption Perception Index (CPI; Transparency International, 2016). The CPI is measured on a scale ranging from 0 (highly corrupt) to 10 (very clean). We reverse-coded CPI so higher values represent higher levels of corruption. Finally, the region of the world in which a country is located is included only in the between effects portion of the analysis, divided into the seven categories available in the World Bank data (Sub-Saharan Africa, East Asia Pacific, Europe Central Asia, Latin America Caribbean, Middle East North and North Africa, North America and South America). This variable is entered into the analysis as a dummy variable and the reference category is Sub-Saharan Africa (see Appendix 2).
Analysis
To test the hypothesis that there is a positive correlation between NRR and homicide rates we use data for the 173 countries listed in Appendix 1 for the years 2000–12. Table 1 presents multilevel growth model estimates that test the viability of the notion that NRR and homicide are related. As noted, level-1 variables allow us to estimate the values of each variable at a specific year, and the level-2 variables average the values of the variable (that is, a grand mean centred) for each country from 2000 to 2012. In Table 1
Table 1. Multilevel growth model coefficients of cross-national homicide rate for all countries, 2000–12.
Notes: *p < .05; **p < .01; ***p < .001 (two-tailed); standard errors are in parentheses.
we estimate three multilevel growth models for homicide rates. The first model (Model 1) examines the relationship between a five-year lag of NRR and homicide controlling only for region and year. We estimate the five-year lag of rents for theoretical and empirical reasons. That is, we rely on the natural resource curse literature, which notes that the impact of any resource curse is delayed rather than immediate (Ross, 2003). Also important, as noted below, is that the five-year lag produces the best-fitting model of NRR and homicide. We return to the issue of lagging NRR below, however, suggesting that, if social disruption and disorganization intensify over time, the lag in NRR produces the strongest correlation and is theoretically justified. Model 2 displays results for the impact of the control variables on homicide. Model 3 combines Model 1 and Model 2 variables to show the impact of NRR on homicide while controlling for typical variables used in cross-national analysis.
Missing data
As noted earlier, cross-national homicide data are the most available and reliable crossnational crime indicator. However, it still suffers from missing data, particularly when employing longitudinal analysis (Neapolitan, 1997). In order to add validity to our findings we examined the distribution of missing data in the dataset for patterns and then employed several modelling strategies.
The frequency of missing cases for each variable is reported in Appendix 4. It is clear that homicide rates have a substantial number of missing values (n = 915). This is potentially problematic, but it is the reality of modelling cross-national homicide rates longitudinally. Several independent variables (that is Gini, percent unemployed, democracy and corruption) also have a number of missing values. The Gini index has a very large percentage of missing values (72.48 percent), suggesting that perhaps it should be eliminated from the models. We did not include it in the level-1 portion of the models for this reason; however, because the level-2 models are averaged between effects, we were able to keep it in level 2. Recall, level-2 coefficients are the average effects of the variable over the time period under study, 2000–12. Since every country in the model had a least one value of the Gini index during that time period, there are no missing values of Gini at level 2. We next employed the Stata 13.1 command – misstable pattern – to the dataset, which produces an analysis of all the different permutations of missing values. The three most common patterns of missing data in the dataset are, (1) values of all variables except missing Gini (n = 504), (2) values of all variables except missing Gini and homicide (n = 388) and (3) values of all variables except missing Gini, homicide and corruption (n = 117). All other permutations of missing data patterns had fewer than 100 cases. As noted, missing Gini values do not affect the results because it is not included in level-1 results, and missing homicide values are a common limitation to cross-national homicide studies (Neapolitan, 1997). However, the majority of existing cross-national studies are cross-sectional; in our longitudinal study the missing values have less of an impact on the results because we are modelling change. For example, if a country is missing a value for the corruption indicator for 2001, the multilevel change model will ignore the missing value and model the corruption change for that country between 2000 and 2002. Additionally, there are not missing values at level 2 for any of the variables because they are average values for 2000–12.
To further validate our results we modelled the data in three ways. First, we used listwise deletion and removed any country from the analysis that had a missing value on any variable. We next restricted the results to cases that had no missing values of NRR. Finally, we used the mi suite of commands in Stata to impute all missing values of all the independent variables in the analysis. The findings for the NRR variable were very similar in each method of analysis, resulting in the coefficients having the same level of statistical significance in each approach. We report the models from the first approach (listwise deletion) here.
Results
Model 1 (Table 1) suggests that NRR are related to homicide, but only within countries (level 1) and not between them (level 2). That is, within countries the correlation between the natural log of NRR and the natural log of the homicide rate is .076 (p < .001; twotailed). More specifically, a one unit annual change in the log of NRR is associated with a .076 unit annual change in the log of the homicide rate. As a result, Model 1 (level 1) suggests that, when examining the bivariate association between NRR and homicide rates, the two variables are positively correlated within (and not between) countries.
Model 2 – the control variable model – finds that several predictors are significantly related to NRR. Increases in the percentage of the population residing in urban areas are associated with increases in homicide rates (level 1). Governments that become more corrupt within countries experience associated increases in homicide rates (level 1). Increases in the percentage of the population aged 15–64 years are associated with increases in homicide rates (level 1). Income inequality is also positively correlated with homicide rates across countries (level 2) and implies that countries with high levels of income inequality also tend to have higher homicide rates. Percentage unemployed, percentage 0–14 years and percentage female are all positively correlated with homicide rates between countries (level 2). Interestingly, GDP per capita is not significantly related to homicide rates either within or between countries. This is not surprising because cross-national studies of homicide have found negative, positive and no significant relationship between GDP per capita and homicide rates (Pridemore and Trent, 2010), indicating that this relationship is empirically unclear.
Level-2 (Model 2) results for infant mortality and percentage urban are unusual. Infant mortality, an indicator of poverty, is negatively related to homicide rates in Model 2 (level 2), a strange finding given that poverty should be related to homicide rates across countries (Pridemore, 2008). Model 2 also suggests an odd finding for percentage urban. Specifically, countries with higher percentages of population residing in urban areas have lower homicide rates compared with countries with smaller urban populations. The remaining control variables (FDI, democracy and region) do not appear to be correlated with homicide rates.
Importantly, Model 3 (Table 1) provides support for the position that NRR continue to be correlated with homicide even after controlling for important factors that may influence homicide rates across countries. That is, according to Model 3 (level 1) a one unit annual change in the log of NRR is associated with a 0.040 unit annual change in the log of the homicide rate. The addition of NRR to Model 2 also helps explain the odd findings
for infant mortality and percentage urban (both at level 2). Specifically, infant mortality and percentage urban become statistically insignificant in Model 3 (level 2) when NRR are included in the model, suggesting the relationship in Model 2 may have been a result of model misspecification. In the case of infant mortality, this finding perhaps implies that NRR may influence both poverty and homicide – a result that is consistent with the natural resource curse literature. That is, the changes in the type of development matter when it comes to homicide rates. Importantly, then, it appears that, within countries when relevant predictors of homicide are included in the model, only the type of economic development (natural resource rents) is related to homicide rates at level 1.
The results for NRR at level 2 (Model 3) are also important. The correlation between NRR and homicide remains non-existent at level 2 (Model 3), signifying that it is the change in NRR as opposed to the level of NRR that matters. It is interesting to note that these results are similar to the Ruddell et al.'s (2014) community-level findings that there are no differences between local communities that engage in natural resource extraction and those that do not, but those communities that do engage in extraction observe increases in crime over time. Thus, local findings appear to be supported at the crossnational level in Table 1.
The relationship between NRR and homicide requires some additional attention. That is, if NRR and homicide are correlated, how does that correlation emerge over time? As previously noted, we lagged NRR to examine the relationship between NRR and homicide. Figure 2 examines that lag in more detail – seeking to identify potential patterns in the relationship between NRR and homicide. An identified pattern in this relationship is important because it indicates whether countries may simply live with an increasing homicide rate over the short term. That is, if the relationship between NRR and homicide becomes weak over time, that might suggest that countries that adopt natural resource related development as a form of economic development simply need to 'wait it out'. Since higher-extraction countries do not appear to have higher homicide rates, as indicated in Table 1, the within-country potential impact of increases in homicide rates may be short lived. Next, we investigate whether NRR is likely to have a delayed impact, by examining the correlation between its lag and homicide rates. The lagged analysis helps to determine if the potential impact of NRR on homicide is short lived (assuming such a relationship does indeed exist, as Table 1 suggests).
Figure 2 charts the level-1 coefficients for each lag of NRR on homicide in a multilevel model that controls for region, income inequality and the Gini index. The figure shows that the relationship between homicide rates and NRR is complex in that it emerges gradually over time. For example, at level 1 the relationship between that log of NRR and homicide – controlling for GDP, Gini and region – is not statistically significant until NRR is lagged by three years (coefficient = .04; p < .05). However, the association gradually increases so that by year 10 the association between NRR and homicide is .08 (p < .05). Thus, although it appears that having high levels of NRR is not a problem, countries that increase their reliance on NRR appear to create a significant problem over the long run with respect to increasing homicide rates. That is, it appears that the impact of increases in NRR matter for homicide rates in the future.
Conclusion
Community- and country-level studies suggest that an overreliance on NRR may produce crime and violence. As an extension of this position we argued that a reliance on NRR may disrupt and disorganize social life and lead to higher levels of homicide. We tested the NRR–homicide hypothesis at the country level for the years 2000 to 2012 by examining the correlation between NRR and homicide rates. Our multilevel findings suggest that there is a correlation between NRR and homicide rates, but that correlation exists only with respect to changing reliance on NRR within countries. That is, the relationship between NRR and homicide does not appear between countries and highextraction countries do not, on average, tend to have higher homicide rates. As a result, the NRR–homicide hypothesis suggests that within-country trends in NRR and homicide are positively correlated over time, whereas the between-country NRR–homicide hypothesis was rejected. This is an interesting finding because it suggests that rapid increases in NRR increase homicide, but that overall levels of NRR do not. To illustrate these different patterns it is helpful to briefly examine two specific countries. Guatemala's homicide rate increased from 25.9 to 39.9 between 2000 and 2012, and its NRR increased from 2.4 percent to 4.2 percent over the same time frame. Guatemala's NRR and homicide rates both almost doubled, demonstrating the within-group crossnational finding at a national level; that is, rapid increases in NRR are associated with rapid increases in homicide rates. In contrast, in 2012, Saudi Arabia's NRR was 48.18 percent, indicating that almost half of the entire country's GDP comes from NRR. However, in the same year, Saudi Arabia's homicide rate was 0.8, one of the lowest of all countries in the dataset. As we found by failing to reject the between-country hypotheses, just because Saudi Arabia has a very high NRR value this does not mean that it will also have a high homicide rate. The effect of NRR comes when there is a rapid change in rents, not the overall value of the NRR.
The potential role of NRR in organizing homicide rates has implications for policymakers who might be contemplating a shift to heavy reliance on NRR for development. First, although it is often assumed that natural resource extraction is unsustainable and leads to economic harm and environmental destruction over the long run, we believe there is an additional reason for caution. Specifically, although NRR may stimulate revenue in the short run it can also lead to increases in social problems, such as homicide, over the long run. There is no evidence to suggest that countries with high extraction rates have high homicide rates, but there is reason to suspect that social change – especially related to development – may contribute to changes in homicide. In some respects our findings regarding NRR sum up the essential nature of developmental change (that is, Durkheim, 2014 [1902]). That is, significant levels of social and economic change – and not the end result of that change – are what produce social problems such as homicide.
Second, if there is a relationship between NRR and homicide, then social institutions (for example, law enforcement) are likely to require more state support in countries that begin to shift their economies toward NRR-based economies (Archbold et al., 2014). However, extensively extractive economies are often viewed as overtly oppressive and many have been accused of using direct and forcible control to facilitate extraction. This situation is likely to raise human rights issues because state power may be directed toward facilitating state violence to increase NRR rather than reducing social violence to promote development. Although we do not have the space in this article, future research should examine whether development centred on NRR also promotes political violence, rather than the relatively non-political crime of homicide as it is measure in this study. Nevertheless, it could certainly be argued that the developed countries using extracted resources should be paying the costs associated with combating the additional homicide they create. This is even more important because countries that turn to NRR as a form of development are probably the least likely to adequately support state services that might serve to reduce violence. This particular situation could be viewed through an environmental justice lens, suggesting that environmental extraction produces harmful outcomes that are most likely to be imposed on less developed countries. In the end we argue that the role of natural resource extraction and the NRR–homicide hypothesis needs more serious consideration in cross-national studies of homicide because it may be counterproductive to the development process. We hope our findings have generated more interest in such research and recommend two areas for potential future study.
First, NRR are likely to vary by a country's location in the international economy (Wallerstein, 1974), and underdeveloped as well as some developing nations are more likely to have economies linked to NRR than are developed nations. Scholars have argued that the majority of revenue generated from NRR does not help local economies; rather, because the extraction was funded by FDI, most of the profit leaves the local area and often the entire country (see Stiglitz, 2002: 67–73). This suggests that future research needs to examine the effects of foreign capital on social disorganization and homicide.
We not only find that countries with higher NRR have slightly higher homicide rates in general, but also suggest that within highly extractive countries an association between NRR and homicide is most likely to exist over time. As a result, it is possible that the effect of NRR on crime may harm some nations and not others, and that further analysis of this issue is required. Unfortunately, data on homicide are least likely to be collected in countries that are underdeveloped and have high NRR. We are not the first researchers to face data problems with respect to missing data among poorer countries with respect to cross-national homicide rates. Thus, future studies might look to various indicators of violence that better capture the impact of developmental change on homicide and violence more generally in less economically developed countries.
Second, our study examines the impact of NRR on homicide over only a relatively short period of time (13 years). That is, the true social impacts and cumulative nature of resource-based economies may not be realized for decades after the increases in NRR occur. Current limitations in cross-national homicide data (and control variables) do not allow for an expanded look at long-term cross-national homicide trends yet. However, as data continue to become available this relationship should be monitored. Although there are considerable calls for alternative energy development and use across the globe, we anticipate that rates of extraction of coal, oil and gas will continue to increase for some time because the demand for energy in the global economy has shown few signs of contracting in the near future.
Funding
Our research received no specific grant from any funding agency in the public, commercial, or not-for-profit sectors.
Notes
1. We use the phrase 'natural resource rents' (NRR) throughout the article to refer to the amount of revenue generated from the extraction and sale of natural resources. Other terms sometimes used for this in the literature include 'natural resource wealth', 'natural resource income' and 'natural resource revenue'. We use the phrase 'natural resource extraction' only when referring explicitly to the act of extraction.
2. That term was later modified and is now known as 'the natural resource curse' (see Frankel, 2010).
3. Gelb (1988) also examined this idea through the study of oil-producing states. Specifically, he examined how oil revenues in the 1970s helped and harmed developing oil exporters.
4. Although there is considerable support for the relationship between natural resource wealth and violence, not all researchers find that relationship. For instance, Brunnschweiler and Bulte (2009) discovered that natural resource riches do not increase violence for the 97 countries they studied between 1960 and 2004.
5. Collier and Hoeffler (2004: 5) note that, for their variables, 'there is little variation over time [and as a result] there is a loss of efficiency in examining within country differences'. As a result, they relied on a cross-sectional analysis of homicide rates.
6. Many cross-sectional studies of homicide rates include the percentage of males aged 15–24 in their analyses to account for the fact that this is often seen as a group that commits a high level of crime. These data are not available for all of the countries in the analysis for all of the years. Therefore we include the age structure and the percent female variables as proxies.
References
Adger WN (2000) Social and ecological resilience: Are they related? Progress in Human Geography 24(3): 347–364.
Archbold CA (2015) Established–outside relations, crime problems, and policing in oil boomtowns in Western North Dakota. Criminology, Criminal Justice Law, and Society 16(3): 19–40.
Archbold CA, Dahle T and Jordan R (2014) Policing 'The Patch': Police response to rapid population growth in oil boomtowns in western North Dakota. Police Quarterly 17(4): 386–413.
Auty RM (1990) Resource-based Industrialization: Sowing the Oil in Eight Developing Countries. New York: Oxford University Press.
Barber N (2006) Why is violent crime so common in the Americas? Aggressive Behavior 32(5): 442–450.
Bjerregaard B and Cochran JK (2008) Want amid plenty: Developing and testing a cross-national measure of anomie. International Journal of Conflict and Violence 2(2): 182–193.
Borras SM and Franco J (2010a) From threat to opportunity? Problems with the idea of a 'code of conduct' for land-grabbing. Yale Human Rights and Development Law Journal 13(2): 507–523.
Borras SM and Franco J (2010b) Towards a broader view of the politics of global land grab: Rethinking land issues, reframing resistance. ICAS Working Paper Series No. 001. Initiatives in Critical Agrarian Studies, Land Deal Politics Initiative and Transnational Institute, The Netherlands.
Brunnschweiler CN and Bulte EH (2009) Natural resources and violent conflict: Resource abundance, dependence and the onset of civil wars. Oxford Economic Papers 61(4): 651–674.
Carrington K, Hogg R and McIntosh A (2011) The resource boom's underbelly: Criminological impacts of mining development. Australian and New Zealand Journal of Criminology 44(3): 335–354.
Collier P and Hoeffler A (2002) On the incidence of civil war in Africa. Journal of Conflict Resolution 46(1): 13–28.
Collier P and Hoeffler A (2004) Socio-economic determinants of homicide and civil war. CSAE WPS/2004-10). University of Oxford, Department of Economics.
Collier P and Hoeffler A (2005) Resource rents, governance, and conflict. The Journal of Conflict Resolution 49(4): 625–633.
De Soysa I and Neumayer E (2007) Resource wealth and the risk of civil war onset: Results from a new dataset of natural resource rents, 1970–1999. Conflict Management and Peace Science 24(3): 201–218.
Downey L, Bonds E and Clark K (2010) Natural resource extraction, armed violence, and environmental degradation. Organization and Environment 23(4): 417–445.
Durkheim E (2014 [1902]) The Division of Labor in Society. Translated by Halls WD. New York: Simon & Schuster.
Eligon J (2011) Advocacy group quits coalition fighting sale of blood diamonds. New York Times 6 December, A5.
,
England JL and Albrecht SL (1984) Boomtowns and social disruption. Rural Sociology 49(2): 230–246.
Fischer CS (1975) Toward a subcultural theory of urbanism. American Journal of Sociology 80(6): 1319–1341.
Fisher DR (2001) Resource dependency and rural poverty: Rural areas in the United States and Japan. Rural Sociology 66(2): 181–202.
Frankel JA (2010) The natural resource curse: A survey. Faculty Research Working Paper Series. John F. Kennedy School of Government, Harvard University, Boston, MA.
Freudenburg WR (1992) Addictive economies: Extractive industries and vulnerable localities in a changing world economy. Rural Sociology 57(3): 305–332.
Freudenburg WR and Jones RE (1991) Criminal behavior and rapid community growth: Examining the evidence. Rural Sociology 56(4): 619–645.
Gelb A (1988) Oil Windfalls, Blessing or Curse. Oxford: Oxford University Press.
Hamilton K and Clemens M (1998) Genuine savings rates in developing countries. World Bank Economic Review 13(2): 333–356.
Huang WSW (2001) A research note on reporting discrepancies in international homicide data. International Journal of Comparative and Applied Criminal Justice 25(2): 167–181.
Hunter LM, Krannich RS and Smith MD (2002) Rural migration, rapid growth, and fear of crime. Rural Sociology 67(1): 71–89.
Jacquet J (2014) Review of risks to communities from shale energy development. Environmental Science and Technology 48(15): 8321–8333.
Kubrin CE and Weitzer R (2003) New directions in social disorganization theory. Journal of Research in Crime and Delinquency 40(4): 374–402.
Lujala P, Gleditsch NP and Gilmore E (2005) A diamond curse? Civil war and a lootable resource. Journal of Conflict Resolution 49(4): 538–562.
Messner SF (1989) Economic discrimination and societal homicide rates: Further evidence on the cost of inequality. American Sociological Review 54: 597–611.
Mildner S-A, Lauster G and Wodni W (2011) Scarcity and abundance revisited: A literature review on natural resources and conflict. International Journal of Conflict and Violence 5(1): 155–172.
Mullins CW and Rothe DL (2008) Gold, diamonds and blood: International state corporate crime in the Democratic Republic of the Congo. Contemporary Justice Review: Issues in Criminal, Social, and Restorative Justice 11(2): 81–99.
Myers N (1997) Environmental refugees. Population and Environment: A Journal of Interdisciplinary Studies 19(2): 167–182.
Neapolitan JL (1997) Cross-National Crime: A Research Review and Sourcebook. Westport, CT: Greenwood.
Nivette AE (2011) Cross-national predictors of crime: A meta- analysis. Homicide Studies 15(2): 103–131.
Obi CI (2010) Oil extraction, dispossession, resistance, and conflict in Nigeria's oil-rich Niger Delta. Canadian Journal of Development Studies 30(1–2): 219–236.
Orogun P (2004) Blood diamonds and Africa's armed conflicts in the post-cold war era. World Affairs 166(3): 151–161.
Pegg S (2006) Mining and poverty deduction: Transforming rhetoric into reality. Journal of Cleaner Production 14(3): 376–387.
Perdue RT and Pavela G (2012) Addictive economies and coal dependency: Methods of extraction and socioeconomic outcomes in West Virginia, 1997–2009. Organization and Environment 25(4): 368–384.
Price M, Basurto L, Herzenberg S, Polson D, Ward S and Wazeter E (2014) The shale tipping point: The relationship of drilling to crime, traffic fatalities, STDs, and rents in Pennsylvania, West Virginia, and Ohio. URL (accessed 16 July 2016): http://www.multistateshale.org/ shale-tipping-point.
Pridemore WA (2008) A methodological addition to the cross-national empirical literature on social structure and homicide: A first test of the poverty–homicide thesis. Criminology 46(1): 133–154.
Pridemore WA and Trent CLS (2010) Do the invariant findings of Land, McCall, and Cohen generalize to cross-national studies of social structure and homicide? Homicide Studies 14(3): 296–335.
Rabe-Hesketh S and Skrondal A (2008) Multilevel and Longitudinal Modeling Using Stata. College Station, TX: Stata Press.
Raudenbush S and Bryk AS (2002) Hierarchical Linear Models: Applications and Data Analysis Methods, 2nd edn. Thousand Oaks, CA: Sage.
Ross M (2003) The natural resource curse: How wealth can make you poor. In: Bannon I and Collier P (eds) Natural Resources and Violent Conflict: Options and Actions. Washington, DC: World Bank, 17–42.
Ruddell R (2011) Boomtown policing: Responding to the dark side of resource development. Policing 5(4): 328–342.
Ruddell R, Jayasundara DS, Mayzer R and Heitkamp T (2014) Drilling down: An examination of the boom–crime relationship in resource based boom counties. Western Criminology Review 15(1): 3–17.
Sachs JD and Warner AM (1995) Natural resource abundance and economic growth. NBER Working Paper No. 5398, National Bureau of Economic Research Working Paper Series. Cambridge, MA. URL (accessed 16 July 2016): http://www.nber.org/papers/w5398.
Sachs JD and Warner AM (1997) Natural resource abundance and economic growth, revised version. NBER Working Paper No. 5398, National Bureau of Economic Research Working Paper Series. Cambridge, MA. URL (accessed 16 July 2016): http://academiccommons. columbia.edu/catalog/ac:138842.
Sachs JD and Warner AM (1999) The big push, natural resource booms and growth. Journal of Development Economics 59: 43–76.
Sachs JD and Warner AM (2001) Natural resources and economic development: The curse of natural resources. European Economic Review 45(4): 827–838.
Shaw CR and McKay HD (1942) Juvenile Delinquency and Urban Areas. Chicago, IL: University of Chicago Press.
Skaperdas S (2002) Warlord competition. Journal of Peace Research39(4): 435–446.
Stiglitz J (2002) Globalization and Its Discontents. London: Penguin.
Transparency International (2016) Corruption Perceptions Index. URL (accessed 16 July 2016): http://www.transparency.org/research/cpi/overview.
United Nations Office on Drugs and Crime (2014) Global Study on Homicide 2013. United Nations Publication, Sales No. 14.IV.1. Vienna, Austria: Research Trend Analysis Branch, Division for Policy Analysis and Public Affairs, Office on Drugs and Crime.
Van Solinge TB (2008) Eco-crime: The tropical timber trade. In: Siegel D and Nelen H (eds) Organized Crime: Culture, Markets and Policies. New York: Springer, 97–112
Wallerstein I (1974) The Modern World-System, Volume I: Capitalist Agriculture and the Origins of the European World-Economy in the Sixteenth Century. New York: Academic Press.
Wilkinson KP (1991) The Community in Rural America. Westport, CT: Greenwood Publishing Group.
Wilkinson KP, Thompson JG, Reynolds RR and Ostresh LM (1982) Local social disruption and western energy development: A critical review. Sociological Perspectives 25(3): 275–296.
Wunder S (2001) Poverty alleviation and tropical forests – What scope for synergies? World Development 29(11): 1817–1833.
Appendix 1
Table 2. List of countries in the analysis (N = 173).
Table 2. (Continued)
Appendix 2
Table 3. Descriptive statistics for variables in the analysis.
Appendix 3
Table 4. Between and within variance.
Appendix 4
Table 5. Description of missing values.
Note: The dataset has a total of 2249 country-years, therefore the percentages in the table are derived from dividing the number of missing cases by 2249.
|
1. Survey overview
Welcome to the Physical Activity and Physical Education in California Schools survey. On behalf of the California School Boards Association and California Project LEAN (Leaders Encouraging Activity and Nutrition), thank you for your valuable time. The purpose of this survey is to determine opportunities and barriers to improving physical activity in California schools. The survey will be used to develop resources and trainings for California's school board members.
Your responses will be completely confidential. The results will be summarized as aggregate statistics. No information about individual survey participants will be identified in the study findings and reports.
Please complete the survey to the best of your knowledge. If you do not know an answer, select "Don't know" and move to the next question.
The survey will approximately take 15 minutes to complete. Please complete the survey by February 5, 2009 to be eligible to win a $100 Visa check gift card. Thank you in advance for your time.
To begin the survey, click the button below.
2. Defining physical activity and physical education
For the purposes of this survey:
Physical activity is defined as bodily movement of any type. The 2008 Physical Activity Guidelines for Americans recommends that children and adolescents participate in at least 60 minutes of Moderate to Vigorous Physical Activity (MVPA) most days of the week, preferably daily. Moderate intensity physical activity involves a minimum level of intensity, for example brisk walking or bicycling. Vigorous intensity physical activity is associated with large increases in breathing or heart rate, for example jogging, aerobic dance or bicycling uphill.
Opportunities for physical activity throughout the school day include:
- Physical education (P.E.) class
P.E. is defined by the National Association for Sport and Physical Education as planned sequential instruction that equips students with the knowledge, skills, capacities, values and enthusiasm to maintain a physically active and healthy lifestyle into adulthood. The current California required minutes for P.E. are 200 minutes every 10 days for elementary (grades 1-6) (Ed Code 51210), and 400 minutes every 10 days for secondary (grades 7-12) (Ed Code 51222).
- Classroom-based movement (activity breaks, sometimes to teach academic content)
- Recess or free play
- Walking, bicycling or other active transport to and from school
- Recreational sport and play before, during, and after school
3. School district information
1. What grade levels are included in your school district? Please mark all that apply. *
2. What is the average daily enrollment in your district? *
3. What percentage of students qualifies for free and reduced- price lunch in your district? *
Elementary school grades g f e d c
Middle or junior high school grades g f e d c
High school grades g f e d c
< 250 n m l k j
251-500 n m l k j
501-1000 n m l k j
1,001-2,500 n m l k j
2,501-5,000 n m l k j
5,001-10,000 n m l k j
10,001-20,000 n m l k j
20,001 – 100,000 n m l k j
> 100,000 n m l k j
Don't know n m l k j
< 25% n m l k j
25 - 49% n m l k j
50 – 74% n m l k j
75 – 100% n m l k j
Don't know n m l k j
4. Please identify the county where your district is located.
5. Please select the key school wellness issues your district is currently addressing. Mark all that apply. *
County
Asthma management g f e d c
Chronic disease prevention (diabetes, heart disease, high blood pressure) g f e d c
Food and nutrition policy/practices g f e d c
Mental, emotional and social health g f e d c
Obesity prevention g f e d c
Oral health g f e d c
Physical activity/physical education policy/practices g f e d c
Safety issues (injury/violence prevention) g f e d c
Tobacco and drug prevention g f e d c
None g f e d c
Don't know g f e d c
Other (please specify): g f e d c
4. School-based physical activity
6. Please rate how much of a positive impact, if any, you feel physical activity has on the following student outcomes. Respond to each option. *
| Student academic performance | nmlkj | nmlkj | nmlkj | nmlkj |
|---|---|---|---|---|
| Student fitness levels | nmlkj | nmlkj | nmlkj | nmlkj |
| Student lifetime physical activity behaviors | nmlkj | nmlkj | nmlkj | nmlkj |
| Reduction in student prevalence of overweight and obesity | nmlkj | nmlkj | nmlkj | nmlkj |
| Reduction in student prevalence of chronic lifestyle diseases such as diabetes, cancer and heart disease | nmlkj | nmlkj | nmlkj | nmlkj |
| Reduction in student absenteeism | nmlkj | nmlkj | nmlkj | nmlkj |
| Student mental, emotional and social health | nmlkj | nmlkj | nmlkj | nmlkj |
| Student tobacco and drug prevention | nmlkj | nmlkj | nmlkj | nmlkj |
| Student violence prevention | nmlkj | nmlkj | nmlkj | nmlkj |
5. Existing district practices
7. Please indicate if one of the following individuals are designated to monitor implementation of physical activity and/or physical education policies at the district level. Identify the individual most responsible for monitoring implementation. *
8. Are school facilities in your district open to the public outside of school hours for physical activity programs or free play? *
Assistant superintendent n m l k j
Athletic coach n m l k j
Athletic director n m l k j
District physical education coordinator n m l k j
Food services director n m l k j
Physical education teacher n m l k j
Principal n m l k j
School nurse n m l k j
Superintendent n m l k j
No one n m l k j
Don’t know n m l k j
Other (please specify) n m l k j
Yes, all schools in the district n m l k j
Yes, some schools in the district n m l k j
No n m l k j
Don’t know n m l k j
9. If some or all school physical activity facilities in your district are not open to the public outside of school hours, please indicate why by marking all that apply.
10. Have any schools in your district received funding for any of the following? Please mark all that apply.
Insufficient funding g f e d c
Lack of staffing g f e d c
Lack of support from other agencies g f e d c
Liability concerns g f e d c
Risk of vandalism g f e d c
Safety concerns g f e d c
Don't know g f e d c
Other (please specify) g f e d c
Carol M. White Physical Education Program (PEP) grant g f e d c
Physical Education Teacher Incentive Program (PETIP) g f e d c
Safe Routes to School infrastructure grant (i.e. construction) g f e d c
Safe Routes to School non-infrastructure grant (i.e. education, encouragement) g f e d c
Don’t know g f e d c
Other (please specify) g f e d c
11. In the past year, have physical activity opportunities in your district been affected by the following? Please respond for each option. *
12. Does your school board review the FITNESSGRAM® results? *
Yes
No
Don't know
N/A
Increase in physical education class size
nmlkj
nmlkj
nmlkj
nmlkj
Reduction in the amount of time dedicated to physical education
class
nmlkj
nmlkj
nmlkj
nmlkj
Reduction in equipment/facilities
nmlkj
nmlkj
nmlkj
nmlkj
Reduction in the number of physical education teachers
nmlkj
nmlkj
nmlkj
nmlkj
Reduction/removal of recess
nmlkj
nmlkj
nmlkj
nmlkj
Reduction in recreational or before/after school sports programs
nmlkj
nmlkj
nmlkj
nmlkj
Reduction of staff who oversee physical activity opportunities
nmlkj
nmlkj
nmlkj
nmlkj
Other
nmlkj
nmlkj
nmlkj
nmlkj
Please specify other:
Yes n m l k j
No n m l k j
Don’t know n m l k j
13. If you answered “ yes ” to the previous question, does your district use FITNESSGRAM ® results to do any of the following? Please mark all that apply.
Create new physical activity/physical education programs g f e d c
Elevate physical activity as a district priority g f e d c
Engage parents or other community partners in physical activity programs g f e d c
Identify students or schools in need of extra help g f e d c
Improve existing physical activity/physical education programs (i.e. provide professional development for teachers) g f e d c
Monitor and evaluate progress (i.e. assess a new P.E. curriculum) g f e d c
Don't know g f e d c
Other (please specify) g f e d c
There are THREE parts to this section. They are divided into the following three categories to address different opportunities for physical activity before, during and after school:
1. Physical education (P.E.) class
2. Physical activity during the school day other than P.E. class
3. Before/after school (including transit to/from school)
14. The following are some promising district policies and strategies for improving physical activity during PHYSICAL EDUCATION CLASSES. Please indicate if your district has adopted any of these policies or strategies. Also indicate if you would like more information regarding resources, consultation or training to address any of these policies or strategies. If the policy/strategy is not applicable to your district, please move to the next question.
6. Opportunities for physical activity
Would like more
information
Adopted / In place
Not in place
Don't know
All P.E. classes shall be taught by credentialed P.E. teachers
gfedc
gfedc
gfedc
gfedc
All schools shall have equitable access to quality P.E.
gfedc
gfedc
gfedc
gfedc
All teachers who instruct P.E. shall receive focused, ongoing
professional development
gfedc
gfedc
gfedc
gfedc
Have a system to monitor compliance with state required P.E.
minutes. (e.g. ensure that all P.E. instructional minutes are
documented)
gfedc
gfedc
gfedc
gfedc
Include the quantity or quality of P.E. as a component in evaluating
school performance
gfedc
gfedc
gfedc
gfedc
Increase the required minutes for P.E. class to meet national
recommendations (not less than 300 minutes/10 days in elementary
school; not less than 450 minutes/10 days for middle/high school)
gfedc
gfedc
gfedc
gfedc
P.E. class sizes and teacher-student ratios shall be consistent with
those of other subjects
gfedc
gfedc
gfedc
gfedc
Prohibit temporary exemptions from P.E., except for medical reasons
gfedc
gfedc
gfedc
gfedc
Schools shall have adequate indoor and outdoor facilities for P.E.
gfedc
gfedc
gfedc
gfedc
Schools shall have sufficient and safe P.E. equipment
gfedc
gfedc
gfedc
gfedc
Students shall engage in moderate to vigorous physical activity for at
least 50% of P.E. time
gfedc
gfedc
gfedc
gfedc
Other
gfedc
gfedc
gfedc
gfedc
15. The following are some promising district policies and strategies for improving physical activity DURING THE SCHOOL DAY other than P.E. class. Please indicate if your district has adopted any of these policies or strategies. Also indicate if you would like more information regarding resources, consultation, training to address any of these policies or strategies. If the policy/strategy is not applicable to your district, please move to the next question.
Would like more
information
Adopted / In place
Not in place
Don't know
All elementary school students shall have at least 20 minutes of daily
supervised recess
gfedc
gfedc
gfedc
gfedc
Equipment, playground and athletic facilities that support physical
activity (e.g. sports fields) shall be provided and maintained
gfedc
gfedc
gfedc
gfedc
Lengthen the lunch period to provide opportunities for physical
activity
gfedc
gfedc
gfedc
gfedc
Prohibit the use or withholding of physical activity as punishment
gfedc
gfedc
gfedc
gfedc
Recess supervisors shall be trained to organize/facilitate physical
activity
gfedc
gfedc
gfedc
gfedc
School staff shall receive opportunities to engage in regular physical
activity
gfedc
gfedc
gfedc
gfedc
Schools shall integrate physical activity into the classroom by
establishing physical activity breaks during class or adopting
physically active teaching materials
gfedc
gfedc
gfedc
gfedc
Schools shall provide appropriate physical activity opportunities during
inclement weather
gfedc
gfedc
gfedc
gfedc
Other
gfedc
gfedc
gfedc
gfedc
16. The following are some promising district policies and strategies for improving physical activity BEFORE/AFTER SCHOOL. Please indicate if your district has adopted any of these policies or strategies. Also indicate if you would like more information regarding resources, consultation or training to address any of these policies or strategies. If the policy/strategy is not applicable to your district, please move to the next question.
Would like more
information
Adopted / In place
Not in place
Don't know
Every student shall have an opportunity to participate in
extracurricular physical activity programs regardless of physical ability
gfedc
gfedc
gfedc
gfedc
High school sports programs shall be taught by certified coaches who
receive periodic professional development opportunities
gfedc
gfedc
gfedc
gfedc
Modify bus schedules to support attendance at before/after school
physical activity programs
gfedc
gfedc
gfedc
gfedc
Schools shall establish before/after school physical activity
opportunities (e.g. by partnering with external providers)
gfedc
gfedc
gfedc
gfedc
Schools shall open after school physical activity programs to all
children in the neighborhood
gfedc
gfedc
gfedc
gfedc
Schools shall provide access to indoor and outdoor physical activity
facilities outside school hours
gfedc
gfedc
gfedc
gfedc
Schools shall provide adequate bicycle support facilities, such as
school bicycle racks
gfedc
gfedc
gfedc
gfedc
The school district shall collaborate with local government to ensure
that new schools and neighborhoods are designed to facilitate safe
walking, bicycling and other active transportation to school
gfedc
gfedc
gfedc
gfedc
The school district shall collaborate with the transportation
department to improve safe walking and bicycling paths to school
(i.e. safety of traffic, sidewalks, pathways and/or crosswalks near
school)
gfedc
gfedc
gfedc
gfedc
The school district shall support safe walking, bicycling or other active
transport to/from school (e.g. promote events such as Walk and Bike
to School Day; create walking school buses; establish a Safe Routes
to School program)
gfedc
gfedc
gfedc
gfedc
Other
gfedc
gfedc
gfedc
gfedc
17. How significant are each of the following barriers/challenges in addressing physical activity and physical education policies and practices in your school district? Please respond to each option. *
7. Barriers/challenges to physical activity
Very significant
Somewhat significant
Not significant
N/A
Competing district priorities
nmlkj
nmlkj
nmlkj
nmlkj
Difficulty finding/implementing gender- and/or culturally-appropriate
physical activities
nmlkj
nmlkj
nmlkj
nmlkj
Impact on the budget
nmlkj
nmlkj
nmlkj
nmlkj
Inclement conditions (i.e. weather, air quality)
nmlkj
nmlkj
nmlkj
nmlkj
Lack of adequate facilities
nmlkj
nmlkj
nmlkj
nmlkj
Lack of district lead to coordinate physical activity and physical
education efforts
nmlkj
nmlkj
nmlkj
nmlkj
Lack of effective, evidence-based programs
nmlkj
nmlkj
nmlkj
nmlkj
Lack of qualified staff to implement/supervise programs
nmlkj
nmlkj
nmlkj
nmlkj
Lack of parent/community support
nmlkj
nmlkj
nmlkj
nmlkj
Lack of space
nmlkj
nmlkj
nmlkj
nmlkj
Lack of student interest/engagement
nmlkj
nmlkj
nmlkj
nmlkj
Lack of tools/resources available to develop, implement, and monitor
policies and practices
nmlkj
nmlkj
nmlkj
nmlkj
Liability/safety concerns
nmlkj
nmlkj
nmlkj
nmlkj
Limited time in a school day
nmlkj
nmlkj
nmlkj
nmlkj
Other
nmlkj
nmlkj
nmlkj
nmlkj
8. Stakeholders
18. Please indicate the key stakeholders that influence your district's decision - making about physical activity and physical education policies/practices.
Assistant superintendents g f e d c
Athletic coaches g f e d c
Athletic directors g f e d c
Classroom teachers g f e d c
Community organizations g f e d c
District physical education coordinator g f e d c
Maintenance and operations staff g f e d c
Parents/Parent organizations g f e d c
Physical education teachers g f e d c
Physicians g f e d c
Principals
gfedc
Private physical activity providers (such as dance, tennis, martial arts instructors) g f e d c
Public health experts g f e d c
School wellness or coordinated school health committee g f e d c
Students/Student organizations g f e d c
Superintendent g f e d c
Don't know g f e d c
Other g f e d c
19. Do you feel adequately prepared to improve physical activity policies and practices within your school district in the following ways? *
20. Are you interested in a training about policies and practices to improve physical activity in schools? *
9. Training information
Yes
Somewhat
No
Don't know
N/A
Introduce physical activity and physical education topics on your
district meeting agendas
nmlkj
nmlkj
nmlkj
nmlkj
nmlkj
Develop physical activity and physical education policies
nmlkj
nmlkj
nmlkj
nmlkj
nmlkj
Assure that your district implements physical activity and physical
education policies
nmlkj
nmlkj
nmlkj
nmlkj
nmlkj
Assure that your district monitors and evaluates physical activity and
physical education policies
nmlkj
nmlkj
nmlkj
nmlkj
nmlkj
Yes n m l k j
I would not be, but another board member or school district administrator in my district would be interested n m l k j
No n m l k j
Comment:
21. What would help prepare you to address physical activity and physical education policies and practices in your district? Please mark all that apply.
Advice/guidance from health experts/physicians g f e d c
Case studies of other successful school districts g f e d c
Compliance reviews g f e d c
Cost-benefit analysis of policies/practices g f e d c
Implementation and/or monitoring tools g f e d c
Improved understanding of regulations/mandates from state g f e d c
Information about the health status of students in your district g f e d c
Press coverage of current district policies g f e d c
Research on the link between physical education/physical activity and academic performance g f e d c
Research on the link between physical education/physical activity and behavioral problems/violence prevention g f e d c
Research on the link between physical activity and obesity/overweight g f e d c
Sample district physical activity/physical education policies g f e d c
Training school staff g f e d c
Other (please specify)
10. Demographic information
22. Gender:
23. Age:
24. Number of years on the school board:
25. Please share any final comments on physical activity and physical education in your district.
Male n m l k j
Female n m l k j
Under 25 years n m l k j
26-35 years n m l k j
36-45 years n m l k j
46-55 years n m l k j
56 years and over n m l k j
0-2 years n m l k j
2-4 years n m l k j
5-9 years n m l k j
10-19 years n m l k j
20 years or more n m l k j
26. Optional: We are preparing case studies of districts that have successfully improved opportunities for physical activity and physical education for students. If you would like to be contacted about exemplary physical activity and/or physical education policies and/or practices in your district, please fill out the following information. Your contact information will be kept separate from your survey responses.
Name:
District:
Phone number:
E-mail:
11. Survey completed!
Thank you very much for your valuable time and insights in completing this survey on physical activity and physical education in California schools.
27. If you would like to be eligible to win a $100 Visa check gift card, please submit your contact information below. You will be notified if you have won after the survey closes. Your information will be kept separate from your survey responses.
Name:
Phone number:
E-mail:
|
BUILDING
FUTURE VOTERS
For Returning Officers in Elementary, Junior High and Senior High Classrooms
"Every citizen of Canada has the right to vote in an election of members of the House of Commons or of a legislative assembly and to be qualified for membership therein."
Canadian Charter of Rights and Freedoms
At Elections Alberta, we are committed to encouraging youth to explore the democracy in which we live.Youth who are introduced to democracy at an early age are more likely to take on a consistent, active role, as an adult.
Through Building Future Voters, we strive to develop an informed understanding of the electoral system and the role each individual has as a citizen so they may take personal responsibility and initiative in influencing the outcome of important decisions that will ultimately affect their lives.
This new edition modernizes the resource in both print and digital form, providing educators and students improved access to its many learning opportunities.
It is with personal hope that Building Future Voters will continue to contribute to the development of the next generation of informed and engaged voters.
Glen Resler Chief Electoral Officer
Acknowledgements
Elections Alberta gratefully acknowledges the following groups and individuals who have participated in the update of these teaching and learning resources and the development of the Building Future Voters website at www.buildingfuturevoters.ca.
Teacher Advisory and Review Committee
Lisa Brown, Calgary Linda Rae Carson, Edmonton Kerry Faber, Edmonton Melissa Guzzo Foliaro, Edmonton Craig Harding, Calgary Stacy Morgan, Edmonton Cheryl Ruttle, Calgary Corvin Uhrbach, Lacombe
Resource and Website Concept, Development and Writing InPraxis Learning Patricia Shields-Ramsay Doug Ramsay Christopher Shields
Resource Design, Illustrations and Website
Perry Shulak, Critical Fusion Inc.
Editing
Virginia Durksen, Visible Ink Incorporated
Elections Alberta
Glen Resler Drew Westwater Ian Tuckey
Permission is granted to make copies of any or all parts of this resource for educational, not-for-profit use only.
Please be aware that internet websites may change or disappear in the time between when this resource was written and when it is read. All websites in this resource were current at the time of publication.
Teachers should check each website for appropriateness before using it in the classroom or providing the website address to students.
The developers have made every effort to acknowledge sources used in this resource. If any questions arise as to use of source materials, we will be pleased to make the necessary corrections in future printings.
Elections AlbertaReturning Officer's Resource
i
Table of Contents
Elections AlbertaReturning
Officer's Resource iii
Building Future Voters A Resource for Returning Officers
The vision of Elections Alberta is to inspire and engage participation in the democratic process. This vision can be achieved if citizens are encouraged to build a deeper understanding of democracy and an appreciation for the impact of their actions on their communities. Building Future Voters emphasizes engaged and active participation, collaboration and commitment to democratic values – all principles important to meaningful participation in society.
About Building Future Voters
The Building Future Voters resources are about more than voting. They encourage the involvement of students in their communities and society as a necessary first step to involvement in political processes, including voting.
The Building Future Voters resources provide opportunities for students to:
* Engage in an exploration of democracy, governance, the electoral process and decision-making in the context of daily life and involvement in society
* Consider ways that they can be active, participatory citizens
* Explore multiple perceptions of citizenship, identities, rights, representation, change and ideology
* Participate in the electoral process and understand the responsibilities of individuals and government
* Apply those understandings to the development and implementation of a
project that makes a difference at home, school or in the community
Building Future Voters moves students from an understanding of the electoral process to an emphasis on political participation in the larger picture of commitment to democratic ideals. Students are encouraged to see voting as both a starting point and a natural and important extension of their involvement in their communities and in current issues which affect their lives.
Building Future Voters provides a context through which students explore
The Building Future Voters resources are created for elementary, junior high and senior high classrooms. They support specific outcomes in the Alberta Social Studies Grade 6, Grade 9 and 30-1/30-2 curriculum. They also support competencies. Alberta Education identifies the competencies at https://education.alberta.ca/ competencies.
The Grade 6 Social Studies Program of Studies focuses on citizenship, identity and democratic processes of decision-making within society. Students focus on ways that they can become involved in their communities.
The Grade 9 Social Studies Program of Studies focuses on citizenship, identity and quality of life and how students are impacted by political and legislative processes in Canada. Students explore issues relating to governance and decision-making, including the effect of citizen participation on democracy.
The Social Studies 30-1 and 30-2 Programs of Studies focus on citizenship, identity and ideologies. Students focus on how choices to participate in democratic processes can lead to involvement in personal, national and global communities and develop beliefs, values and attitudes that enable personal responses and empowerment.
The topics of decision-making, governance and the electoral process can be a natural place for students to explore issues, challenges and decisions that a democratic society faces.
Building Future Voters has been developed for Alberta students and teachers, and is designed to support, enrich and extend the experiences provided by the Social Studies Program of Studies through an exploration of the electoral system and participation through voting.
The teaching resources are based on approaches, strategies and tools that encourage citizen involvement and participation – with students, teachers, individuals involved in the electoral process and community members.
Elections AlbertaReturning
Officer's Resource and investigate the electoral process in the context of multiple issues and perspectives, and the importance of the concepts of inclusiveness, impartiality and transparency in a democratic system. Students are encouraged to develop an interest in, and commitment to, the idea of participating in the electoral process. Students connect concepts related to the electoral process to concepts related to individual and collective citizenship.
Building Future Voters consists of the following components:
* This Building Future Voters Returning Officer's resource, which provides Returning Officers with information and activities for participating with Alberta classrooms as they learn about the electoral process
* Building Future Voters elementary, junior high and senior high teaching and learning resources, which include approaches, activities, assessment strategies, visual organizers and backgrounders for teaching about citizen participation, elections and democracy
* Build the Vote!, which provides the process and materials to conduct an election simulation in the classroom
* The Building Future Voters website, at www.buildingfuturevoters.ca
The Building Future Voters website engages students in an exploration of issues, information, fast facts and questions – all connected to the inquiries in each learning sequence of the teaching and learning resources. Clickable icons on each webpage open pop-ups, which provide a variety of sources, including primary sources, videos, news articles, research and website links.
The teacher webpage of the Building Future Voters website provides PDF versions of this resource, Build the Vote! and the Building Future Voters elementary, junior high and senior high teaching and learning resources. Additional resources and weblinks are also provided on the teacher webpage.
Elections Alberta will provide, upon request, an Election Simulation Toolkit,
which includes the following items:
* Electoral Division Map
* Voting Screen
* Provincial Electoral Division Map
* Pencils (3)
* Election Officer Badges
* Paper Ballot Box Seals (3)
* Scrutineer Badges
* Registration Officer Sign
* "Vote Here" Sign
* Poll Book (modified to include 6 pages)
* Blind Voter Template
* Statement of Poll (photocopy)
* Guide for Scrutineers
* Guide for Use of the Special Ballot Poll
* Guide for Polling Place Officials
* Guide for the Conduct of Mobile Polls
* Information for Students on Provincial Elections (brochure)
* Guide for Candidates on the Election Act
Additional resources for Returning Officers are included in the Election Simulation Toolkit:
* Election Act
* Returning Officer Calendar
Throughout the Building Future Voters grade level resources, teachers are encouraged to contact Elections Alberta to request your participation. Contact Elections Alberta to indicate your willingness to support teachers and students as they learn about citizenship, democracy and the electoral process. Elections Alberta will then provide you with booking and contact information for the school and teacher.
The Role of Returning Officers
Throughout Building Future Voters, strategies encourage interaction between Returning Officers, who have direct and authentic experience with the electoral process, and Alberta students. The suggestions, strategies and tools in this guide include delivering presentations, facilitating discussions of the electoral process, participating in interviews and supporting a student election or an election-related project.
Elections Alberta
Suite 100, 11510 Kingsway NW Edmonton, Alberta T5G 2Y5
Office Hours: Monday through Friday
8:15 a.m. to 12 noon; 1:00 p.m. to 4:30 p.m.
Email: firstname.lastname@example.org
Tel: 780-427-7191
Fax: 780-422-2900
Other locations in the province can call toll free by dialing 310-0000 then dial 780-427-7191
Individuals tasked with managing the electoral process in Alberta can play an important role in supporting teachers and students. This resource outlines several meaningful ways for Returning Officers to effectively support the Alberta Social Studies program at the elementary, junior high and senior high levels. As a tool for Returning Officers, this resource is designed to assist you in helping students and teachers gain knowledge of the electoral process in Alberta.
To find out what students are learning when they use the Building Future Voters grade level resources, go to pages 7–10. This section will provide you with information about the sequence of learning and an idea of curriculum learning expectations that are met through the Building Future Voters resources.
To find out about the inquiry process that students use in Social Studies, go to page 11. The Building Future Voters resources are based on an inquiry process. The inquiry process involves exploring and researching questions about information, decision-making, dilemmas or controversies.
To explore some general suggestions and strategies for working with students, go to pages 13–14. This section will provide strategies to help you become more comfortable interacting with students.
To review strategies for participating in an interview with students, go to pages 15–16.
This resource provides:
* Strategies and approaches to help Returning Officers plan to interact and work effectively with elementary, junior high and senior high students and their teachers
* An overview of what students learn in their Social Studies classes
* Strategies and approaches to help Returning Officers enrich student knowledge and understandings of democratic processes and engage them in issues that may affect their lives
To review strategies for planning a class presentation, go to pages 17–18.
To review strategies for supporting students in a student election or election-related project, go to pages 21–25.
To find out what students learn across different grade levels in Social Studies, go to pages 27–28. This section will help you understand the sequence of concept development and the knowledge and understandings that are emphasized. It can also help you build a context for prior knowledge that students will have at the grades 6, 9, and 12 grade levels.
Features
Within each section of the resource, features provide support for implementation of the activities.
Timing estimates are provided to help you prepare to work with students.
Prepare provides a list of resources and materials that may be needed to implement the activities you conduct with students.
Technology provides website links and technology-based suggestions that can support the work you do with students.
Find Out More provides references to additional resources and sources of information.
Building Future Voters provides activities that support selected learning outcomes in the Alberta Social Studies Grades 6, 9 and the 30-1/ 30-2 curriculum. Some support is also provided for the Social Studies 20-1/ 20-2 curriculum. Teachers may be implementing these activities at any point throughout their programs, so your involvement may be requested at different times during the school year.
What will students learn as they use the Building Future Voters resources? Learning is organized around inquiry questions that encourage students to explore and investigate information and issues related to the electoral process. These questions provide a different focus for each grade level. This focus is tied to curriculum learning expectations at each of these grade levels.
Elementary
At the elementary level, Building Future Voters provides an introduction focused on social participation and four sequences of learning activities.
Make It Matter What difference can I make?
Make It Matter introduces an overarching inquiry question that provides the context for the Building Future Voters elementary program. Students explore examples of ways that young people can take a stand on issues and questions that are of importance to them. They decide on an individual, group or class action project that will make a difference in their school or community.
Learning Sequence 1
Why does democracy need participation?
The abstract concepts of democracy and representation can be difficult for some Grade 6 students to understand. Learning Sequence 1 encourages students to explore what democracy means. It examines similarities and differences between direct and representative democracy, and asks students to consider how a democracy encourages participation and involvement.
Elections Alberta
Find Out More
Statistics Canada provides articles on civic engagement and political participation in Canada:
Turcotte, M. (2015). Political participation and civic engagement of youth. Statistics Canada.
www.statcan.gc.ca/pub/75006-x/2015001/article/14232-eng. htm
Turcotte, M. (2015). Civic engagement and political participation in Canada. Statistics Canada.
www.statcan.gc.ca/pub/89-652x/89-652-x2015006-eng.htm
Learning Sequence 2 Why does provincial government matter?
The provincial level of government has an effect on many aspects of day-to-day life. A review of provincial government deepens students' understandings of the concept of representative democracy as well as the responsibilities of government. Learning Sequence 2 encourages students to build understandings of the concept of responsibility through research into the responsibilities of government ministries and departments.
Learning Sequence 3 If I could vote, would I?
The electoral process represents a fundamental principle of democracy – citizen participation. The electoral process emphasizes values of equity, fairness, accountability and openness. Learning Sequence 3 invites students to explore and experience the electoral process in Alberta. They experience how to vote, the impact of a vote, how to convey messages and how to participate.
Learning Sequence 4 What matters most after an election?
The processes of democracy do not end with an election. In Learning Sequence 4, students investigate how they can build strategies for participation and involvement in their school and communities. This final learning sequence asks students to return to the overarching inquiry question, What difference can I make?
Returning Officer's Resource
Junior High
At the junior high level, Building Future Voters provides an introduction focused on social participation and four sequences of learning activities.
Make It Matter Does everyone have the same opportunities to participate?
Make It Matter introduces an overarching inquiry question that provides the context for the Building Future Voters junior high program. Students explore examples of ways that young people can take a stand on issues and questions that are of importance to them. They decide on an individual, group or class action project that will make a difference in their communities.
Learning Sequence 1
Do we live in a democracy?
In Learning Sequence 1, students explore understandings and conceptions of democracy in Canada, as well as the organization and responsibilities of Canadian governments. Students review what they know and investigate what they believe to be most important in a democracy.
Learning Sequence 2
How do our votes influence government decision-making?
The electoral process can be influenced by voter attitudes, economic conditions and current issues. Learning Sequence 2 presents an example of an issue with political and economic implications and encourages students to explore how participation in the electoral process can affect voter and government decision-making.
Learning Sequence 3
What do you mean, our votes don't count?
Democratic processes, including elections, emphasize values of equity, fairness, accountability and openness. In Learning Sequence 3, students investigate the right to vote in the context of age, citizenship and equitable, accessible processes. Students also consider the historical context of voting rights.
Learning Sequence 4 Why should we be more involved?
The processes of a democratic society result in ongoing questions, concerns and challenges. In Learning Sequence 4, students explore issues related to citizen participation, including voting age and voter turnout. This final learning sequence asks students to return to the overarching inquiry question, Does everyone have the same opportunities to participate?
Find a range of information, from a survey of 1 000 Canadians aged 18 to 25, about the recent history of youth engagement in Canadian politics and the consequences of increased voting rates in The Next Canada: Politics, political engagement, and priorities of Canada's next electoral powerhouse: young Canadians (2016), commissioned by the Canadian Alliance of Student Associations. http://abacusdata.ca/ the-next-canada-politics-politicalengagement-and-priorities-ofcanadas-next-electoral-powerhouseyoung-canadians/
In Message Not Delivered: The Myth of Apathetic Youth and the Importance of Contact in Political Participation (2015), Samara Canada, a national charity dedicated to reconnecting citizens to politics, compares political participation and contact rates between citizens and Canadian political leaders across three age groups. Find this report at www. samaracanada.com/research/activecitizenship/message-not-delivered.
Senior High
At the senior high level, Building Future Voters provides an introduction focused on social participation and two sequences of learning activities.
Make It Matter
Should political participation be a choice or an obligation?
Make It Matter introduces an overarching inquiry question that provides the context for the Building Future Voters senior high program. Students explore examples of ways that young people can take a stand on issues and questions that are of importance to them. They decide on an individual, group or class action project that will make a difference in their communities.
Learning Sequence 1
Why is voting both an individual and collective responsibility?
In Learning Sequence 1, students explore perspectives and perceptions of individual and collective identity in popular culture. They consider the influence that identity has on political participation, including voter turnout and political action. Students investigate current issues related to the electoral process, as well as the extent to which identities, beliefs and values affect political change and reform.
10
Elections AlbertaReturning Officer's Resource
Learning Sequence 2
How is the political process influenced by identities and ideologies?
Learning Sequence 2 invites students to consider the relationship between young adults, public policy and formal politics, including the electoral process. Students reflect on how the choice to vote or not to vote can represent affiliations with values and ideologies, and can result in a disconnect between public policies and the responses of individuals to citizenship rights, roles and responsibilities. Students explore various perspectives on political participation, including actions of dissent. This final learning sequence asks students to return to the overarching inquiry question, Should political participation be a choice or obligation?
What the Inquiry Process Involves
What is inquiry? Inquiry is a decision-making or problem solving process that guides research and investigation of critical issues and questions. Inquiry usually asks students to start with their own knowledge and perspectives, collect information and apply thinking skills to develop conclusions and consider how to take action.
The inquiry model used with students in the Building Future Voters resources uses the following steps to develop research, decision-making and problem solving skills. The inquiry model is consistent across all grade levels. However, students are expected to apply increasingly complex research, problem solving, decision-making and communication skills.
The Inquiry Model
Explore
Reflect&
Evaluate
Plan&
Find
Information
Record&
Organize
Construct&
Share
Conclusions
Consider
Perspectives
Take Action
When students Explore, they are asked to think about what we know and why this inquiry is important, interesting and relevant to themselves and to others.
When students Consider
Perspectives, they identify research questions and consider who is affected by this issue. They also find out about the different opinions and perspectives that may influence decisions.
As students Plan and Find
Information, they identify and manage the sources of information that will help them research and understand the issue.
As students Record and Organize, they record what they find out, and look for patterns, connections, similarities and differences in the information.
When students Construct and Share Conclusions, they discuss and present conclusions and the supporting evidence. They explore the perspectives involved, form opinions and make decisions.
When students Take Action, they decide what they will do with what they have learned. They make a plan to act on their decisions.
As students Reflect and Evaluate, they consider how effective their decisions and actions were. They think about what we could change, do next, or find out more about.
11
How to Work Effectively With Students
Working with students can be a very worthwhile experience. Let them know that you are interested in them, what they are doing and how they are learning. Plan ways you can interact effectively with students by:
* Being yourself, open, approachable and honest
* Treating students with respect
* Thinking of questions you can ask students and ways you can personalize the information you are providing to them
* Considering the differences between students at the elementary, junior high and senior high levels
* Respecting young people's diversity and exploring ways of reaching out to different groups of students
* Actively listening to what students are saying and taking them seriously
* Focusing on acting as a facilitator of learning, rather than a lecturer
* Demonstrating interest in the specific issues and questions that students bring up
* Using visuals aids to help students focus on the information you are sharing with them
* Varying the pace of your presentation and maintaining good eye contact with them
* Encouraging students to share their own insights and experiences
* Moving around the classroom while you are presenting
* Preparing in advance by talking to the classroom teacher about his/her particular group of students and what the teacher expectations are for your involvement
Find Out More
Teaching Democracy: What Schools Need to Do, by Joseph Kahne & Joel Westheimer is available at the weblink www.democraticdialogue.com/ DDpdfs/TeachingDemocracyPDK. pdf. This article presents a number of perspectives valuable in thinking about how to approach teaching democratic principles.
Perspectives on voting and citizenship, including historical and youth perspectives, can be found on the Historica Voices website at www.histori.ca/voices/index.do.
13
Effective Strategies
Ask the teacher what the anticipated outcomes of the presentation are and how much time you have with the class. Develop your presentation and allow sufficient time for interaction and questions. Time your presentation at home and adjust the material accordingly.
Consider ways that you can work best with students in classrooms you will be visiting. Plan more informal discussions, in which students are active participants, rather than lectures.
Review the inquiry process provided in this guide. It is a process that students are taught throughout their social studies program and is applicable to all grade levels. Support the inquiry process by encouraging students to ask questions.
Plan in advance the information you wish to share with students. Many students will be interested in your personal experiences with the electoral process and in stories you may share about your job and responsibilities. Students will be interested in hearing about some of the personal challenges you face in your job. Think of some anecdotes that you are willing to share with students; however, ensure that your anecdotes relate to the topics you are discussing. Check the topics for each grade level provided in the sections that follow for ideas.
Students will appreciate your interest in their stories as well. You may also think of some questions you can ask of students, such as what they know about elections and what some of their opinions about voting are. Respond directly to student questions. Recognize effective questions and provide concrete examples in your responses.
Students will also be interested in the personal aspects of your job. They will want to hear how you react to the issues that you face as a Returning Officer. It is appropriate to reference current legislation in explaining how you must respond to any issues or controversies.
Plan to ask students to share examples of the types of decisions they have to make in their classroom or school. Think about comparisons you can make between the decision-making that representatives are responsible for, and the type of decision-making that goes on in a classroom or school.
Ask students for their opinions and thoughts on different issues and topics. Students appreciate the opportunity to offer and share their own perspectives. Personalize your discussions. Tell them about challenges you have faced in dealing with issues. In informal discussions, draw from student questions and the experiences they share to help illustrate the points you want to make with them.
How to Prepare to Work With Students
Teachers may ask you, in your capacity as a Returning Officer, how you can support students' learning as they study, research and discuss the electoral process through the context of citizenship and government. Let teachers know the extent to which you are comfortable and available to participate with students in the classroom.
1 Interviews
One of the first requests you may receive is to participate in a class interview or provide a presentation to students about the provincial electoral process in Alberta. Teachers should provide interview questions to you in advance. You may wish to indicate whether these questions can be emailed or faxed to you. You may also want to pick them up so you can meet the teacher in advance of your presentation.
If you cannot participate directly in a classroom interview, consider responding to four or five interview questions from a class by email or in a telephone or Skype interview.
When you receive a request from Elections Alberta to participate in an interview, advise them if you require any materials. Plan to provide feedback to Elections Alberta regarding successes and challenges you experience with this activity.
Prepare
* This activity takes little advance preparation. Review questions that teachers or students send to you.
* You may wish to include questions to ask the teacher prior to the interview. (What is the main purpose for the interviews? Are there some key points that you would like me to cover?)
What to Expect From Students
Grade 6 students may ask questions regarding:
* The meaning of democracy
* The differences between direct and representative democracies
* Establishment of electoral divisions
* How the electoral process is part of the responsibilities of provincial government
Grade 9 students may ask questions regarding:
* Perspectives on rights and responsibilities that are inherent to the electoral process
* Campaign rules and guidelines
* The electoral process
Grade 11 or 12 students may ask questions regarding:
* Your opinions about voter turnout rates
* Changes that might result in increases in voter participation
* Youth participation in political and social issues and policies
Presentations may be organized with these topics in mind.
Timing
* 1 to 2 hours to gather materials and examples
* 1 to 3 hours to prepare responses to questions
15
Implementation Timing
* Expect 15 to 45 minutes for a personal interview, depending on grade level
* Class times vary, but expect the following for each grade level if you are invited to take part in a classroom interview:
45 minutes for Grade 6
50 minutes for Grade 9
60 minutes for Grade 12
Teachers at all three grade levels are provided with the following suggestions for your involvement.
Ask students to work in small groups to develop questions to interview a Returning Officer.
Interviews can be conducted in the following ways:
* Through Elections Alberta, invite a Returning Officer to the classroom to be interviewed.
* Compile interview questions and have a group of students represent the class and conduct a telephone interview.
* Send interview questions by email to the Returning Officer. Alternatively, set up an interview using conferencing technology, such as Skype.
Have students compile and discuss responses. How are the Returning Officer's perspectives similar to, or different from, what the class has discovered and learned in their inquiry?
16
Elections AlbertaReturning Officer's Resource
Plan to be Interviewed
An interview conducted by students may take place in different contexts:
* An individual student or small group of students may interview you in person, over the telephone or by email. In the Building Future Voters grade level resources, teachers are encouraged to be sensitive to the time demands of electoral officers and to have one student or a group of students conduct an interview on behalf of the class. When you are contacted by students, request that they send you their interview questions in advance.
* You may be invited to the classroom to take part in an interview in which the whole class participates.
Participate in the Interview
Begin with introductions and inform students how they may address you. (It is helpful if you can be introduced by a student.) This will help to make them comfortable starting their interview. Ensure that you ask students what questions they have.
Students will be encouraged to prepare their questions in advance. However, they may also have additional questions that arise from your answers. Be flexible, and respond to the best of your knowledge.
If you are in a classroom setting, consider ways that students may be organized to interview you.
* Have students write their questions on paper strips or chart paper, or ask the teacher to record the questions on chart paper or the board. Pull questions from the list. Try to tell students in advance how many questions you think you will have time for.
* Ask the teacher to organize students into small groups. Depending on time, have each group take turns presenting a question to you.
* Check questions as you talk with students and try to organize any discussion notes you have prepared in advance around these questions.
Bring visuals or examples of election materials that may be available to you. Consider using materials from the Election Simulation Toolkit, available from Elections Alberta and described on page 3, that may be useful in helping you participate in the interview.
2 Class Presentations
Another type of request you may receive is to provide a presentation to students about the provincial electoral process in Alberta. Teachers should indicate what they would like you to discuss and share with students. Make sure that you ask the teacher about expectations when you are contacted.
Teachers can also be asked to send you, in advance, a brief summary of what they are covering with students. You may wish to indicate whether this information can be emailed or faxed to you. Ask teachers where students are in the Learning Sequences of the grade level resource they are using. The learning sequences are described on pages 7–10 of this guide. If the time limit is insufficient for what you are expected to cover or the number of questions students have exceed the time limit, ask the teacher if you could conduct the presentation over two classes.
Consider any materials from the Election Simulation Toolkit, available from Elections Alberta and described on page 3, that you may find useful in helping you plan and deliver your presentation.
Prepare
* This activity can involve a few hours of advance preparation. Some of your presentation can be planned. However, be sure to also include time for a question and answer session with students. Inform teachers you would like to do this so that they can have students prepare questions for you.
* You may wish to include questions to ask the teacher prior to the interview. (What is the main purpose for the class presentation? How long would you like me in your classroom? Are there some key points that you would like me to cover? What do you think I can contribute to your class that will add to and benefit what students are learning? What should I know about your students that will help me interact with them effectively?)
* Use the Presentation Template (p. 19) to help you organize your presentation.
* Review the summaries of the competencies provided on pages 27–28 Ask the teacher where students are in the learning sequences.
.
Plan the Presentation
Students may have prepared questions, so ask teachers to share these with you before you come to the class. Share your own perspectives with students when you make a presentation, keeping in mind that you must uphold the impartiality of your role as a Returning Officer.
Review the appropriate grade level summary of the learning sequences in the Building Future Voters resources on pages 7–10 of this guide. Consider ways you can address the concepts that students are learning in the grade level that you will be working with. Also, consider including the following ideas into your presentation:
* Your ideas about why it is important to be part of the democratic process by participating in the electoral process
Consider the following additional suggestions for your involvement with students.
* Provide a class presentation to students that introduces them to the electoral process.
* Consider ways that you can share strategies for "encouraging the vote" with students.
* Participate by viewing and sharing students' work. Talk with students about voter participation.
Preparation Timing
* 1 to 3 hours to plan your presentation
Implementation Timing
* Class times vary, but expect the following for each grade level if you are invited to present to students:
45 minutes for Grade 6
50 minutes for Grade 9
60 minutes for Grade 12
* The importance of impartiality and secrecy
* The different roles and responsibilities of those that are part of the election process, such as election officers, candidates, political parties, campaign workers and voters
* What you do after an election is over and where all the ballots go
* What "being a citizen" means to you
* The strategies you use to ensure that everyone has the opportunity to vote
* The responsibilities you have and some of the challenges you face
* The importance of principles such as accountability, transparency, equality, equity and fairness (these are concepts that are applicable to all three grade levels)
* Insights and experiences with local issues and how they can affect the provincial electoral process
* Stories about interesting meetings or challenging decisions
* The importance of hard work, commitment and dedication to your job
* The importance of a professional code of conduct for election officers
* How students would measure fairness, transparency and non-partisan conduct of election officers
* Elections that may be happening in other provinces or countries and the challenges being faced in developing democracies
* Why it is important for all people to vote, especially youth
* What would happen if no one voted.
Consider the following strategies to integrate question periods into a planned presentation:
* Start with a brainstorming session where students work individually or with a partner to record two or three key questions they have. Collect the questions and select one or two to which you can respond.
* Ask students to orally share their inquiry or research questions with you. This can be done in advance of the presentation, with the teacher's cooperation, or as a general discussion at the beginning of the class.
* Set up a "parking lot" poster at the back of the classroom. Invite students to record any questions they have while you are presenting to them. "Visit" the parking lot near the end of the presentation and discuss the questions that have been recorded. If you have not been able to answer all the parking lot questions by the end of your allotted time advise the students you will get the remaining answers to their teacher. Don't forget!
* Share anecdotes that reflect your own personal history, how and why you became involved in serving as a Returning Officer. These types of stories are generally well received by students, but it is important to ensure you address students' perspectives and not spend too much time on your personal background or experiences.
* Introduce issues relating to accessibility to all voters, including historical perspectives that address when groups obtained the right to vote as well as the introduction of voting procedures for vision-impaired voters.
Presentation Template
Grade level and content focus:
How to start:
Questions I can ask students:
Information that focuses on the content for this grade level:
Visuals I can use:
Activities I can ask students to do:
What I can leave with students:
What the classroom teacher needs to know:
Prepare
Plan to collect examples of student responses, ideas or work that result from your participation with them.
Tweet your ideas, activities you used with students and insights to share with others on @ElectionsAB. Use #BFVAB to contribute to the conversation!
19
Name Card Template
Voterlink: www.voterlink.com
Voterlink: www.voterlink.com
Voterlink: www.voterlink.com
Student Elections
As part of their learning experiences with the Building Future Voters resources, students are encouraged to plan and hold a student election. You may be asked to provide support to students and to advise on the roles and responsibilities of the Returning Officer and other election officers.
How can you support students' learning as they participate in the electoral process? Your support may be as much or little as your time allows. Each of the grade levels are provided with the option of organizing and running a student election and all grade levels are asked to identify an issue that will become the focus of the election campaign.
Prepare
* This activity involves little advance preparation. You may wish to gather information and examples that focus on the sequence of election events. The activity may, however, expect you to participate in a number of different class periods with students.
* Establish the time you can commit in advance with the teacher. If you are only able to commit to one class period, discuss in advance with teachers when and how it would be most effectively used.
* Use the Presentation Template (p. 19) to help you organize a presentation on the electoral process.
* Check the Building Future Voters grade level focus provided on pages 7–10.
* Use the Participation Template (p. 25) to help you plan strategies for supporting students.
Plan How to Participate
The following activities may be discussed with the classroom teacher as options for your involvement:
* Spend one class period helping students strengthen their understandings of the electoral process. Use the suggestions provided for planning and delivering a class presentation and focus on the sequence of events during an election. Note that teachers and students use the materials in the resource to organize the election. You are not expected to organize it for them, but rather, act as an expert source of information.
* Suggest to teachers that you can visit the classroom to act as an observer as students implement the electoral process. Discuss with the teacher, and with students on your first visit, how established democracies, including Canada, are often invited to send observers to countries implementing democratic elections. Establish the number of class periods to which you can commit, but try to ensure that you can attend during the polling day that is established.
* Some teachers may decide to work together and hold a multi-classroom or whole school student council election. Establish the extent to which you can participate in advance with teachers.
What to Expect From Different Grade Levels
Elementary and junior high students focus on:
* Voter registration
* Voter eligibility and the election process
* Consistency in the election process.
Senior high students focus on:
* Voter eligibility and the election process
* The effects of declining participation in political processes
* Electoral reforms that may improve voter turnout rates.
Preparation Timing
* Will vary, according to the extent of your involvement
Implementation Timing
* Class times vary, but expect the following for each grade level:
45 minutes for Grade 6
50 minutes for Grade 9
60 minutes for Grade 12
Teachers at all three grade levels are provided with the following suggestions for your involvement.
Through Elections Alberta, invite a Returning Officer to help students plan and hold the student election. Returning Officers can be invited to participate in a number of ways:
* Ask the Returning Officer to email or fax a Writ of Election on behalf of the Chief Electoral Officer to establish the beginning of the simulation. Discuss dates and timelines for the election simulation with the Returning Officer when you contact him or her.
* Invite the Returning Officer to the classroom to provide an information session on electoral processes for the class or for students who are acting as election officers.
* Invite the Returning Officer to participate with students on polling day. The Returning Officer can be asked to act as an observer. Discuss with students how established democracies, including Canada, often send observers to developing democracies.
Elections AlbertaReturning Officer's Resource
* Ask teachers to share the focus of the election. Are students focusing on an issue as part of their election campaigns? Is there a follow up that you can also participate in?
* Help students and teachers prepare some of their own election materials. Create a Writ of Election that you can send to the classroom "on behalf of the Chief Electoral Officer." Determine, along with the teacher and students, if there is a need to assist in developing a "code of conduct" for candidates and election officers. Refer to the Code of Conduct and Ethics for the Public Service of Alberta if you need some help getting started.
* Prepare a list of questions that you could ask students about the electoral process. You may plan to ask students once the election is completed, or leave the questions with students to discuss. Questions may include:
o What is something new that you learned about elections and the electoral process from this experience?
o What was the most interesting part of the election campaign for you?
o If you could change something about the electoral process we use, what would you change?
o What questions arose during this experience that you were not able to answer?
* Consider inviting the class to email or write you with a summary of their discussions or learning.
* Send a thank-you card or email to the class after your final visit.
How the Student Election is Organized
As students participate in the election simulation, they take on the roles of voters as well as individuals who are involved in administering the election process. There are four roles that students may take on as part of an election team:
* Supervisory Deputy Returning Officer
* Deputy Returning Officer
* Poll Clerk
* Registration Officer
Students also take on roles of candidates, candidate's official agents, scrutineers, lobby groups and the media. They are provided with role cards and encouraged to research and develop the responsibilities they will have during the election.
Build the Vote! An Election Simulation is provided on the teacher page of the Building Future Voters website at www.buildingfuturevoters.ca. The information, forms and templates in the resource are designed to actively engage students with the electoral process, give them opportunities to stand as candidates, explore political party affiliations, run campaigns and vote.
* Information is presented in source card formats, designed to be photocopied and cut into two or four cards per page.
* Source cards provide roles involved in the electoral process, including election officers, candidates and media.
* Templates guide students through steps in the process that are modeled on Alberta election processes.
* The activities, templates and source cards can be applied in different contexts:
o To conduct the election simulation in a classroom
o To conduct the election with combined classrooms at the same grade level
o To organize and conduct an election for a school.
The following cards provide an overview of the process that students are encouraged to follow.
Election Simulation Process Cards
1 Prepare
Decide on the context of the election. Will you hold it in your classroom, with other classrooms or with the whole school?
Establish a planning calendar with dates for the nomination of candidates, the campaign period and polling day. Use the Election Process Cards to identify tasks and the process for the election.
Talk to the teachers of the classrooms involved. Present information to administrators, letting them know what you are doing.
Contact Elections Alberta to request the participation of a Returning Officer in your election; or, have a teacher act as the Returning Officer.
Publicize your election in your community or with local media.
Source Cards and Templates Election Process Cards Calendar Template
3 Register Voters
Have Registration Officers register participants by creating a list. This will become the List of Electors. Set a registration deadline and ensure that it is publicized.
Assign each voter a registration number. Record this on the List of Electors.
Establish an advance poll for students who know they will be away on polling day.
Source Cards and Templates List of Electors
2Nominate
Identify the roles involved in the election – candidates, election teams and lobby groups.
Identify the roles involved in the election – Returning Officer, Supervisory Deputy Returning Officer, Registration Officer, Deputy Returning Officer and Poll Clerks.
Work with students to prepare criteria for candidate nominations.
Distribute nomination forms and assign roles. Alternatively, ask students to register their interest in roles as candidates, campaign teams, lobby groups or as election officers.
Accept nominations of candidates.
Source Cards and Templates
Role Cards
Candidate Nomination Paper
4 Select Candidates and Election Officers
Assign and approve final roles. Fill in the tasks on the role cards. Ensure that all students have a role.
After nominations have been approved, have the Returning Officer prepare a list of candidates.
Have candidates appoint their agents and scrutineers.
Provide time for students with the same roles to meet and assign specific tasks.
Source Cards and Templates
Candidate List
List of Election Officers
5 Run Campaigns
Have political party groups and candidates start their campaign to obtain support from voters.
Design campaign materials, such as posters, leaflets, advertisements and social media messages.
Have reporters interview candidates and election officers.
Have lobby groups design materials to bring issues to the attention of candidates and voters.
6 Prepare Polling Stations
While the campaign is being conducted, have election officers prepare for polling day. They should publicize the polling place locations and the date of the election.
The election officers should also arrange for those students who know they will be away on polling day to advance vote.
Have the election officers design their own print, audio, video or social media advertisements to encourage voters to vote.
Prepare the ballots for polling day, listing the names of the candidates in alphabetical order.
7 Vote
Set up polling stations, depending on the level of participation:
o Classroom election – Establish 1 or 2 polling stations.
o Multi-classroom election – Establish 1 or 2 polling stations per classroom.
o School-wide election – Each classroom can be a polling place with one or more polling stations.
Ensure that polling stations have ballot boxes and voting booths that allow voting to take place in private.
Have election officers ensure that political parties and candidates do not campaign inside the polling station.
Have scrutineers watch the process of the election.
Source Cards and Templates Campaign Task Cards
Source Cards and Templates Ballot Template
Source Cards and Templates Poll Book
8 Announce Results
Have the election officers count the total ballots cast. Then, sort the ballots into piles for each candidate, reserving one pile for rejected ballots. Each candidate, their agent and scrutineers can also observe the count of ballots.
Check the results against the total number of votes cast. Record results on the Statement of Poll.
Report the results to the Returning Officer, who will do an official count.
Announce the results.
Source Cards and Templates Statement of Poll
Participation Template
Participate in a Student Election
Grade level __________
Activities Planned to
Support Students
Time Planned
Criteria for Observation of a Student Election
Communication and Follow Up with Students
Email
Report
Letter
Follow Up Classroom Visit
Lessons Learned
Plan to collect examples of student responses, ideas or work that result from your participation with them in the election simulation.
Tweet your ideas, activities you used with students and insights to share with others on @ElectionsAB. Use #BFVAB to contribute to the conversation!
25
The Social Studies Program of Studies focuses on citizenship, identity and democratic processes of decision-making within our society. Students explore ways that they can become involved in their communities and develop beliefs, values and attitudes that enable them to participate and feel empowered to have an impact and effect change.
The Alberta Social Studies program has, as one of it central tenets, the development of the concept of citizenship through awareness of the political process and a commitment to become actively involved as citizens.
The Alberta Social Studies program is organized around two core concepts – citizenship and identity. Knowledge and understandings, values and attitudes are developed through a focus on multiple perspectives (including indigenous and Francophone), pluralism and deliberative inquiry.
With the approval of the Ministerial Order on Student Learning (#001/2013), there is an increased emphasis on competencies as an overall focus for learning. Competencies connect across all subject areas. Competencies are combinations of knowledge, skills and attitudes that students develop and apply for successful learning, living and working. They emphasize aspects of learning that apply within and across all subject areas.
Building Future Voters provides a range of rich opportunities to develop competencies. These competencies provide a focus for the learning activities in this resource and encourage the development of skills, attitudes and knowledge for deep and lifelong learning.
The interrelated concepts of citizenship and identity are at the core of the Social Studies program.
The sense of being a citizen, enjoying individual and collective rights and equitable status in contemporary society, impacts an individual's sense of identity. Individuals need to feel that their identities are viewed as legitimate before they can contribute to the public good and feel a sense of belonging and empowerment as citizens.
Alberta Social Studies Program of Studies (2005): Edmonton: Alberta Education (p. 4).
The "big ideas" of the Social Studies program centre on democracy, participation and citizenship.
www.
Technology
The Social Studies Program of Studies can be accessed online on Alberta Education's website at https://education.alberta.ca/ programs-of-study/.
Alberta Education identifies and provides support for the competencies at https://education.alberta.ca/ competencies.
27
The following statements summarize how the Building Future Voters resources can support the competencies.
Students think critically when they conceptualize what democracy means to them, question and analyze evidence, assertions and assumptions about democracy and citizenship and reflect on their own thinking.
Students solve problems when they approach challenges relating to citizenship and governance with creativity and flexibility, clarify problems, draw from multiple perspectives, explore problems and generate ideas for taking action.
Students manage information
as they use a variety of digital and print sources, validity and integrity of current, historical and geographic information.
organize and make connections and interpret and analyze the reliability,
Students innovate and apply creative thinking when they generate new ideas, apply understandings about democracy, government and the role of the electoral process, transform ideas into actions and contribute to their communities.
Students communicate when they share ideas through oral, written and nonverbal media, consider perspectives and demonstrate curiosity and respect for the processes of government and the electoral process.
Students collaborate when they work with others, exchange ideas and share responsibilities to explore diverse opinions, approaches and goals in democratic contexts.
Students build cultural and global citizenship skills as they analyze political and social contexts, evaluate the impact of decision-making, build appreciation for equity and diversity and believe in their capacity to make a difference.
Students build strategies for personal growth as they explore ways to contribute to their communities and develop a commitment to democratic ideals and processes.
Suite 100. 11510 Kingsway NW, Edmonton, Alberta T5G 2Y5
Phone: 780.427.7191 Toll-Free: 310.0000.780.427.7191
Website: www.buildingfuturevoters.ca
|
REQUEST FOR BID (RFB)
DEPARTMENT OF ADMINISTRATION PURCHASING DIVISION
| | BID NUMBER | 119008 | | |
|---|---|---|---|---|
| | BID TITLE | Hot Pour Sealant | | |
| BID DEADLINE | | February 14, 2019 2:00 p.m. (CST) Unsigned, late, faxed, or electronically mailed bids will be rejected. | | |
| SUBMIT BID TO THIS ADDRESS | | CITY COUNTY BUILDING DANE COUNTY PURCHASING DIVISION 210 MARTIN LUTHER KING JR BLVD ROOM 425 MADISON, WI 53703-3345 | | |
| | # OF REQUIRED | Bidders must submit (1) original and (1) copy | | |
| | BID COPIES | | | |
| DIRECT ALL INQUIRES TO | | | NAME | Pete Patten |
| | | | TITLE | Purchasing Agent |
| | | | PHONE # | 608-267-3523 |
| | | | EMAIL | firstname.lastname@example.org |
| | | | WEB SITE | www.danepurchasing.com |
BID SUBMISSION CHECKLIST
Read Entire Bid Document
Completed Bid Packet (stapled)
Section 2 – Vendor Information
Section 3 – Bid Specifications
Section 4 – Price Proposal
Section 5 – Standard Terms and Conditions
Bid Packets: (1) original and (1) copy
Sealed envelope/package containing bid packets and labeled with:
Vendor Name
Bid Number
Bid Deadline Date/Time
Up-to-date Vendor Registration
PROPOSALS MUST BE DATE/TIME STAMPED BY A DANE COUNTY ADMINISTRATION STAFF MEMBER
1. Introduction
Section 1 – General Bid Guidelines
Dane County invites and will accept bids for item(s) outlined within this bid. The County as represented by Purchasing Division, intends to use the results of this process to purchase goods or services here within.
2. Clarification/Questions:
Any questions concerning this bid must be submitted in writing by mail, fax or email at least five working days prior to the bid deadline. Requests submitted after that time will not be considered. All inquiries must be directed to the Purchasing Agent indicated on the cover page.
3. Addendums:
In the event that it becomes necessary to provide additional clarifying data or information, or to revise any part of this bid, addenda and/or supplements will be posted on the Purchasing Division web site at www.danepurchasing.com. Bidders are responsible to regularly monitor the web site for any such postings. It is recommended to check the website for addenda prior to submitting a proposal. Bidders must acknowledge the receipt/review of any addenda on the Vendor Information page.
The Purchasing Division has the sole authority for modifications to specifications and/or this bid document.
4. Vendor Registration Program:
All bidders are strongly encouraged to be a registered vendor with Dane County. Registering allows vendors an opportunity to receive notifications for bids issued by the County and provides the County with up-to-date company contact information.
Provide your Dane County Vendor # in the Vendor Information section of the bid submission packet.
For Non-Registered Vendors:
Complete vendor registration by visiting www.danepurchasing.com. On the top menu bar, click Vendor Registration and then click Create Vendor Account. You will receive an email confirmation once your account is created and again when your vendor registration is complete. Retain your user name/email address and password for ease of re-registration in future years. Within 2-4 days of completing the registration, a vendor number will be assigned and emailed to you.
For Registered Vendors:
Check to make sure your vendor information including commodity codes is up-to-date by signing into your account at www.danepurchasing.com. On the top menu bar, click Vendor Registration and then click Vendor Log In.
5. Local Purchasing Preference:
Under Dane County Ordinance 25.08(11)(c-e), a Locally Based and Owned Vendor, Locally Operated Vendor, or Non-Locally Operated Vendor may be invited to match the low bid if the low bid is offered by a vendor that is not identified as a Locally Based and Owned Vendor, Locally Operated Vendor, or Non-Locally Operated Vendor according to Dane County Ordinance requirements.
Locally Based and Owned Vendor Criteria
2. Your business owners or shareholders totaling more than 50% of ownership live in Dane County and;
1. Your business or corporate headquarters is physically located in Dane County and;
3. Your business is registered and authorized to do business in the State of Wisconsin.
Locally Operated Vendor Criteria
2. Your business has an established place of business within Dane County.
1. Your business is registered and authorized to do business in the State of Wisconsin and;
o A post office box address does not qualify a vendor as a Locally Operated Vendor.
Non-Locally Operated Vendor Criteria
2. Your business has an established place of business in one of the following Wisconsin Counties: Columbia, Dodge, Green, Iowa, Jefferson, Rock, or Sauk.
1. Your business is registered and authorized to do business in the State of Wisconsin and;
o A post office box address does not qualify a vendor as a Non-Locally Operated Vendor.
Local Purchasing Preference Order of Events:
1. When bids are reviewed, the County will determine if a Locally Based and Owned Vendor responding to the
Locally Based and Owned Vendors:
bid is the low bidder. If a Locally Based and Owned Vendor is the low bidder, they will be awarded the bid.
3. If no Locally Based and Owned Vendors are among the responding bidders, or the Locally Based and Owned Vendor declines to match the low bid, then the County will determine if a Locally Operated Vendor has responded to the bid.
2. If a Locally Based and Owned Vendor is not the low bidder but is within 15% of the low bid, the County will contact the Locally Based and Owned Vendor and provide that vendor the option of matching the low bid price.
Locally Operated Vendors:
5. If no Locally Operated Vendors are among the responding bidders, or the Locally Operated Vendor declines to match the low bid, then the County will determine if a Non-Locally Operated Vendor has responded to the bid.
4. If a Locally Operated Vendor is within 10% of the low bid, the County will contact the Locally Operated Vendor and provide that vendor the option of matching the low bid price.
Non-Locally Operated Vendors:
7. If no Non-Locally Operated Vendors are among the responding bidders, or the Non-Locally Operated Vendor declines to match the low bid, then the County will award the bid to the low bidder without regard to the location of the vendor.
6. If a Non-Locally Operated Vendor is within 5% of the low bid, the County will contact the Non-Locally Operated Vendor and provide that vendor the option of matching the low bid price.
6. Local Content Preference:
Under Dane County Ordinance 25.08(4)(f-j), bidders offering goods made in Dane County, its surrounding counties, or the State of Wisconsin receive a price preference on sealed bid solicitations. Bids are first evaluated to determine if any bidders are offering products that qualify as Dane County-Made Goods, Regionally-Made Goods, or Wisconsin-Made Goods.
Dane County Made Criteria
2. Over 50% of the total cost of its components are made in Dane County.
1. An article that is manufactured, mined, produced or grown in Dane County and;
o "Component", as referenced above, means an article, materials, or supply incorporated directly into a finished product.
Regionally Made Criteria
2. Over 50% of the total cost of its components are made in one of the following counties: Dane, Columbia,
1. An article that is manufactured, mined, produced or grown in one of the following counties: Dane, Columbia, Dodge, Green, Iowa, Jefferson, Rock, or Sauk and;
Dodge, Green, Iowa, Jefferson, Rock, or Sauk.
o "Component", as referenced above, means an article, materials, or supply incorporated directly into a finished product.
Wisconsin Made Criteria
2. Over 50% of the total cost of its components are made in the State of Wisconsin.
1. An article that is manufactured, mined, produced or grown in the State of Wisconsin and;
o "Component", as referenced above, means an article, materials, or supply incorporated directly into a finished product.
A bidder offering Dane County-Made Goods will be considered the successful bidder if their price is up to 15% higher than the low bid for goods that are not Dane County-Made Goods. If no vendors meet this criteria, then the County will determine if any bidder is offering Regionally-Made Goods. If so, then such a bidder will be considered successful if their price is up to 12.5% higher than the low bid for goods that are not Regionally-Made Goods. If no vendors meet this criteria, then the County will determine if any bidder is offering Wisconsin-Made Goods. If so, the such bidder will be considered successful if their price is up to 10% higher than the low bid for goods that are not Wisconsin-Made Goods. If no vendors are offering Dane County-Made, Regionally-Made, or Wisconsin-Made Goods, then the County will evaluate the low bid without regard to the content of the goods.
7. Pricing:
Section 1 – General Bid Guidelines
The price quoted shall include all labor, materials, equipment, shipping, and other costs. All prices and conditions outlined in the bid shall remain fixed.
8. Bid Submission and Acceptance:
Bids must be received by the Dane County Purchasing Division by the specified date and time stated on the cover page. All proposals must be time-stamped in by a Dane County Purchasing or Administration staff member. Bids not so stamped will not be accepted.
Unsigned, late, faxed, or electronically mailed bids will be rejected.
Vendors must submit an original and the required number of copies of all bid materials required for acceptance as instructed on the cover page of the bid.
Multiple bids from a vendor will be permissible, however, each proposal must conform fully to the requirements for bid submission. Each such bid must be separately submitted and labeled as Bid# 1, Bid# 2, etc.
Dane County reserves the right to accept any part of this bid deemed to be in the best interest of the County. The County also retains the right to accept or reject any or all bids.
9. Cooperative Purchasing
Participating in cooperative purchasing gives vendors opportunities for additional sales without additional bidding. Municipalities and state agencies use cooperative purchasing to expedite purchases. A "municipality" is defined as any county, city, village, town , school district, board of school directors, sewer district, drainage district, vocational, technical and adult education district, or any other public body having authority to award public contracts (s. 16.70(8), Wis. Stats.). Federally recognized Indian tribes and bands in this state may participate in cooperative purchasing with the state or any municipality under ss. 66.0301(1) and (20, Wis. Stats.
On the Vendor Information page, you will have the opportunity to participate in allowing municipalities and state agencies to piggyback this bid. Participation is not mandatory. A vendor's decision on participating in this service has no effect on awarding the bid.
Dane County is not a party to these purchases or any dispute arising from these purchases and is not liable for delivery or payment of any of these purchases.
10. Award:
The County will award the bid to the responsive and responsible bidder whose bid is most advantageous to the County. In determining the most advantageous bid, the County will consider criteria such as, but not limited to, cost, bidder's past performance and/or service reputation, and service capability, quality of the bidder's staff or services, customer satisfaction, references, the extent to which the bidder's staff or services meet the County's needs, bidder's past relationship with the County, total long term cost to the County, fleet continuity and any other relevant criteria listed in this solicitation.
Written notice of award to a vendor in the form of a purchase order or other document, mailed or delivered to the address shown on the bid will be considered sufficient notice of acceptance of bid.
This contract and any part thereof shall not be subcontracted or assigned to another Contractor without prior written permission of the County. The Contractor shall be directly responsible for any subcontractor's performance and work quality when used by the Contractor to carry out the scope of the job. Subcontractors must abide by all terms and conditions under this Contract.
11. Payment Terms and Invoicing:
Unless otherwise agreed, Dane County will pay properly submitted vendor invoices within thirty (30) days of receipt of goods or services. Payment will not be made until goods or services are delivered, installed (if required), and accepted as specified. Invoices presented for payment shall be submitted to the bill to address and/or County Representative listed on the Dane County purchase order. The Dane County purchase order number must be noted on the submitted invoice.
Other incidental or standard industry charges not identified herein, are not allowed under this contract. Miscellaneous service charges used to help the Contractor pay various fluctuating current and future costs are not allowed. These charges include, but are not limited to, costs directly or indirectly related to the environment, energy issues, fuel charges, service and delivery of goods and services.
12. Permits and Licenses:
The Contractor selected under this bid shall be required to obtain the necessary permits and licenses prior to performing any work under this contract. The Contractor will be required to demonstrate valid possession of appropriate required licenses and will keep them in effect for the term of this contract.
Contractor must be financially responsible for obtaining all required permits and licenses to comply with pertinent regulations, municipal, county, State of Wisconsin and Federal laws, and shall assume liability for all applicable taxes.
13. Satisfactory Work:
Any work found to be in any way defective or unsatisfactory shall be corrected by the Contractor at its own expense at the order of the County. The County also reserves the right to contract out services not satisfactorily completed and to purchase substitute services elsewhere. The County reserves the right to charge the vendor with any or all costs incurred or retain/deduct the amount of such costs incurred from any monies due or which may become due under this contract.
14. Government Standards:
All materials, equipment, and supplies provided to the County must fully comply with all safety requirements as set forth by the Wisconsin Department of Commerce and all applicable OSHA Standards. Bidders shall comply with all local, state and federal regulations, directives and laws.
15. Warranty:
The length, time, and conditions of warranty must be attached to or stated in the bid document. The seller and/or manufacturer warrants that the goods sold hereunder will be merchantable quality, will conform to applicable specifications, and will be free from defects in material and workmanship and will be fit for the particular purpose intended.
Warranty does not commence until after the complete unit has been accepted and placed into service by the user agency. Bidder shall indicate the name and the geographical location of the nearest authorized dealer to perform subsequent warranty service. This information shall be stated in the pricing section of bid or otherwise specified.
16. Dane County Sustainability Principles:
On October 18, 2012, the Dane County Board of Supervisors adopted Resolution 103, 2012-2013 establishing the following sustainability principles for the county:
* Reduce and eventually eliminate Dane County government's contribution to fossil fuel dependence and to wasteful use of scarce metals and minerals;
* Reduce and eventually eliminate Dane County government's contribution to encroachment upon nature and harm to life-sustaining ecosystems (e.g., land, water, wildlife, forest, soil, ecosystems); and
* Reduce and eventually eliminate Dane County government's contribution to dependence upon persistent chemicals and wasteful use of synthetic substances;
* Reduce and eventually eliminate Dane County government's contribution to conditions that undermine people's ability to meet their basic human needs.
17. Fair Labor Practices:
(28) BIDDER RESPONSIBILITY. (a) Any bid, application or proposal for any contract with the county, including public works contracts regulated under chapter 40, shall include a certification indicating whether the bidder has been found by the National Labor Relations Board (NLRB) or the Wisconsin Employment Relations Committee (WERC) to have violated any statute or regulation regarding labor standards or relations within the last seven years. The purchasing manager shall investigate any such finding and make a recommendation to the committee, which shall determine whether the conduct resulting in the finding affects the bidder's responsibility to perform the contract.
Dane County Ord. 25.09 (1) is as follows:
If you indicate that you have been found by the NLRB or WERC to have such a violation on the Vendor Information page, you must include a copy of any relevant information regarding such violation with your proposal, bid or application.
Additional information about the NLRB and WERC can be found using the following links: www.nlrb.gov and http://werc.wi.gov.
VENDOR INFORMATION
VENDOR NAME:
Vendor Information (address below will be used to confirm Local Vendor Preference)
Address
City
County
State
Zip+4
Vendor Rep. Name
Telephone
Title
Email
Dane County Vendor #
Local Vendor Preference (Reference General Guidelines #5)
Local Content Vendor Preference (Reference General Guidelines #6)
Locally Based & Owned Vendor
Dane County-Made
Locally Operated Vendor
Regionally-Made
Non-Locally Operated Vendor
Wisconsin-Made
No Preference
No Preference
Cooperative Purchasing (Reference General Guidelines #9)
I agree to furnish the commodities or services of this bid to municipalities and state agencies.
I do not agree to furnish the commodities or services of this bid to municipalities and state agencies.
Fair Labor Practice Certification (Reference General Guidelines #17)
Vendor has not been found by the National Labor Relatio n s B o a r d (“ NL R B ”) o r t h e W i s c o n s i n Employment Relations Commission (“WERC”) to have violated any statute or regulation regarding labor standards or relations in the seven years prior to the date this bid subm i s si o n i s si g n e d .
Vendor has been found by the National Labor Relations Bo a r d (“ NL RB ”) o r th e Wis co n s i n E mp loyment Relations Commission (“WERC”) to have violated any statute or regulation regarding labor standards or relations in the seven years prior to the date this bid subm i s si o n i s si g n e d .
Addenda – we herby acknowledge receipt, review and use of the following addenda, if applicable.
Addendum #1 Addendum #2 Addendum #3 Addendum #4
None
Signature Affidavit
In signing this bid, we certify that we have not, either directly or indirectly, entered into any agreement or participated in any collusion or otherwise taken any action in restraint of free competition; that no attempt has been made to induce any other person or firm to submit or not to submit a bid; that this bid has been independently arrived at without collusion with any other bidder, competitor or potential competitor; that this bid has not been knowingly disclosed prior to the opening of bids to any other bidder or competitor; that the above statement is accurate under penalty of perjury.
The undersigned, submitting this bid, hereby agrees with all the terms, conditions, and specifications required by the County in this Request for Bid, and declares that the attached bid and pricing are in conformity therewith.
Signature
Title
Name (Printed)
Date
BID AND SPECIFICATION OVERVIEW
Dane County as represented by the Purchasing Division will accept bids for the purchase of specified item(s) as described within this document.
Specification Compliance: Bidder shall complete every space in the area provided with either a check mark to indicate the item being bid is exactly as specified (Yes), or deviates from bid specification (No). Any deviation from the minimum specifications stated herein must be identified in detail in the Specifications Deviations section of the bid and must include a description of how the proposed item(s) differ from the bid requirements, along with detailed justification for such deviation. Bidder shall include photos and schematics as necessary, for complete clarification.
The specifications below describe an acceptable product. Minor variations in specification may be accepted if, in the opinion of County staff, they do not adversely affect the quality, maintenance or performance of the item(s). Dane County reserves the right to accept or reject any and all bids, to waive informalities and to choose the bid that best meets the specifications and needs of the County.
Term: The contract shall be effective on the date indicated on the Dane County purchase order or the Dane County contract execution date and shall run for one year from that date.
BID SPECIFICATIONS HOT POUR SEALANT
GENERAL
You are invited to submit a bid to furnish Hot Pour Sealant on an as needed basis to the Dane County Highway and Transportation Department for the 2019 calendar year. Dane County reserves the right to determine at any time for any project to let a bid for that project.
All materials supplied under this proposal shall conform to the Standard Specifications for Road and Bridge Construction, 2019 edition (hereinafter referred to as the "Standard Specifications"), and all subsequent revisions and supplementary specifications, of the Wisconsin Division of Highways, Department of Transportation.
Your failure to submit a bid may prevent Dane County Highway and Transportation Department from acquiring your product(s). Thus, if you are interested in doing business with the Dane County Highway and Transportation Department in 2019, we strongly encourage you to submit a bid by the opening date indicated.
Hot-pour sealant used to fill cracks in asphaltic concrete and concrete pavements will be supplied under this proposal. Two types of sealant, with slightly different physical properties, are being specified. Award of bid will be based on conformance to applicable ASTM/AASHTO designations, other special provisions of this bid document, and the County's past experience with the product.
The County is still assessing its needs for 2019 on County roads as well as the highways it maintains for the State. The proposal states the range of quantity that may be awarded for each type of sealant. Some types may not be awarded.
ASTM D6690, Type II or Type IV/AASHTO M301 MATERIAL
Sealants meeting these designated specifications must further comply with the following:
* Bond strength test to be run at -20 o F
Additional Special Provision for products manufactured with a rubber additive
* The material shall be formulated with a minimum of 18 percent reclaimed rubber.
The successful bidder shall submit a copy of the Manufacturers Certification of Compliance as well as a Certified Report of Test conducted by an independent laboratory for each product to be considered. The Certified Report of Test must be from the current year for which the product is supplied. The County reserves the right to have additional tests run if it deems necessary.
PURCHASE OF ITEM(S)
The Dane County Highway and Transportation Department reserves the right to award this bid on a per-item basis or on total net bid, whichever is deemed most advantageous to Dane County.
Each item will be considered independent of any other item. The Dane County Highway and Transportation Department will attempt to utilize the lowest bid when obtaining product, however the Department reserves the right to obtain product from the most advantageous vendor/location. In making this determination, the Department will consider availability of product and proximity of vendor to project to minimize hauling costs and/or assure that the product quality is not compromised by excessive travel time (i.e. redi mix).
Section 3 – Bid Specifications – Submit with Bid
The low bidder will be required to submit a sample pallet at no cost to the County. Products that have been previously tested and accepted by the County will not be required to submit a sample pallet. The material will be evaluated for workability, initial adhesion to routed pavement, and noxious odors.
If the sample pallet is found be acceptable, additional material will be purchased at the unit bid price.
PACKAGING
The material shall be supplied in polyethylene-lined containers or boxes. The maximum weight of individual blocks shall not exceed 30 pounds. Two-block packaging is acceptable. Material shall be shipped on tightly bound pallets with a total pallet weight not to exceed 2,800 pounds. Cardboard packaging must be protected with a water-tight wrap. The net weight of each pallet must be clearly indicated.
Alternative "Green" packaging will be considered. Alternate packaging details are to be specified in the deviation section of the bid.
Deliver the sealant in the manufacturer's original sealed container legibly marked with the following information.
* Manufacturer's batch or lot number.
* Manufacturer's name & Trade name of sealant.
* ASTM Designation.
* Maximum (or safe) heating temperature.
* Minimum application temperature.
INSURANCE
Bidders shall carry insurance as required in the Standard Terms and Conditions, Section 20. The bidder shall furnish Dane County Highway and Transportation Department along with the bid a certificate of insurance showing the type, amount, class of operations covered, effective dates, and expiration dates of policies.
PRICING
Bidders may submit pricing for any one item or combination of items included in this bid. If product price is the same for various locations, only one bid proposal sheet is needed. If product price varies for different locations, please copy the blank form(s) as many times as needed.
*See next page for Deviations section
SPECIFICATION DEVIATIONS
Check One:
No deviations from bid specifications
Deviations from the bid specifications are present – see list below
Item #
Deviation Explanation
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
_________
________________________________________________________________________
BID# 119008
PRICE PROPOSAL
VENDOR NAME:
Pricing shall be inclusive of all labor, delivery costs and other expenses necessary to provide product in accordance with the specifications and terms and conditions of this bid document and your proposal.
Bid Price Delivered FOB Destination to:
Dane County Highway Department 2302 Fish Hatchery Road Madison, WI 53713
| 1 | D6690, Type II: Conforming to ASTM D3405/AASHTO M301 and the technical specifications. | 40,000 - 120,000 lbs. | $ |
|---|---|---|---|
| 2 | D6690, Type IV: Conforming to ASTM D3405/AASHTO M301 and the technical specifications. | 40,000 - 120,000 lbs. | $ |
* Material specifications and certifications must be submitted with bid.
Pricing to Remain the
Same Through (date)
Delivery Time ARO
(days)
Describe Material Packaging and Weight
STANDARD TERMS AND CONDITIONS
Request for Bids/Proposals/Contracts Rev. 4/2018
1.0 APPLICABILITY: The terms and conditions set forth in this document apply to Requests for Proposals (RFP), Bids and all other transactions whereby the County of Dane acquires goods or services, or both.
1.1 ENTIRE AGREEMENT: These Standard Terms and Conditions shall apply to any contract, including any purchase order, awarded as a result of this request. Special requirements of a resulting contract may also apply. Said written contract with referenced parts and attachments shall constitute the entire agreement, and no other terms and conditions in any document, acceptance, or acknowledgment shall be effective or binding unless expressly agreed to in writing by the County. Unless otherwise stated in the agreement, these standard terms conditions supersede any other terms and/or conditions applicable to this agreement.
7.1 Prices established in continuing agreements and term contracts may be lowered due to market conditions, but prices shall not be subject to increase for the term specified in the award. Vendor shall submit proposed increases to the Purchasing Division thirty (30) calendar days before the proposed effective date of the price increase. Proposed increases shall be limited to fully documented cost increases to the vendor that are demonstrated to be industry wide. Price increases may not be granted unless they are expressed in bid documents and contracts or agreements.
1.2 DEFINITIONS: As used herein, "vendor" includes a provider of goods or services, or both, who is responding to an RFP or a bid, and "bid" includes a response to either an RFP or a bid.
2.0 SPECIFICATIONS: The specifications herein are the minimum acceptable. When specific manufacturer and model numbers are used, they are to establish a design, type of construction, quality, functional capability or performance level, or any combination thereof, desired. When alternates are proposed, they must be identified by manufacturer, stock number, and such other information necessary to establish equivalency. Dane County shall be the sole judge of equivalency. Vendors are cautioned to avoid proposing alternates to the specifications that may result in rejection of their bid.
3.0 DEVIATIONS AND EXCEPTIONS: Deviations and exceptions from terms, conditions, or specifications shall be described fully in writing, signed, and attached to the bid. In the absence of such statement, the bid shall be accepted as in strict compliance with all terms, conditions, and specifications and vendor shall be held liable for injury resulting from any deviation.
4.0 QUALITY: Unless otherwise indicated in the request, all material shall be first quality. No pre-owned, obsolete, discontinued or defective materials may be used.
5.0 QUANTITIES: The quantities shown herein are based on estimated needs. The County reserves the right to increase or decrease quantities to meet actual needs.
6.0 DELIVERY: Deliveries shall be FOB destination freight prepaid and included unless otherwise specified. County will reject shipments sent C.O.D. or freight collect.
7.0 PRICING: Unit prices shown on the bid shall be the price per unit of sale as stated on the request or contract. For any given item, the quantity multiplied by the unit price shall establish the extended price, the unit price shall govern in the bid evaluation and contract administration.
BID# 119008
7.2 Submission of a bid constitutes bidder's certification that no financial or personal relationship exists between the bidder and any county official or employee except as specially set forth in writing attached to and made a part of the bid. The successful bidder shall disclose any such relationship which develops during the term of the contract.
8.0 ACCEPTANCE-REJECTION: Dane County reserves the right to accept or reject any or all bids, to waive any technicality in any bid submitted and to accept any part of a bid as deemed to be in the best interests of the County. Submission of a proposal or a bid constitutes the making of an offer to contract and gives the County an option valid for 60 days after the date of submission to the County.
8.1 Bids MUST be dated and time stamped by the Dane County Purchasing Division Office on or before the date and time that the bid is due. Bids deposited or time stamped in another office will be rejected. Actual receipt in the office of the purchasing division is necessary; timely deposit in the mail system is not sufficient. THERE WILL BE NO EXCEPTIONS TO THIS POLICY.
9.0 METHOD OF AWARD: Award shall be made to the lowest responsible responsive bidder conforming to specifications, terms, and conditions, or to the most advantageous bid submitted to the County on a quality versus price basis.
10.0 ORDERING/ACCEPTANCE: Written notice of award to a vendor in the form of a purchase order or other document, mailed or delivered to the address shown on the bid will be considered sufficient notice of acceptance of bid. A formal contract containing all provisions of the contract signed by both parties shall be used when required by the Dane County Purchasing Division.
11.0 PAYMENT TERMS AND INVOICING: Unless otherwise agreed, Dane County will pay properly submitted vendor invoices within thirty (30) days of receipt of goods and services. Payment will not be made until goods or services are delivered, installed (if required), and accepted as specified. Invoices presented for payment must be submitted in accordance with instructions contained on the purchase order.
11.1 NO WAIVER OF DEFAULT: In no event shall the making of any payment or acceptance of any service or product required by this Agreement constitute or be construed as a waiver by County of any breach of the covenants of the
Section 5 – Standard Terms and Conditions – Submit with Bid
Agreement or a waiver of any default of the successful vendor, and the making of any such payment or acceptance of any such service or product by County while any such default or breach shall exist shall in no way impair or prejudice the right of County with respect to recovery of damages or other remedy as a result of such breach or default.
accept a copy of the current affirmative action plan filed with and approved by a federal, state or local government unit.
12.0 TAXES: The County and its departments are exempt from payment of all federal tax and Wisconsin state and local taxes on its purchases except Wisconsin excise taxes as described below. The State of Wisconsin Department of Revenue has issued tax exempt number ES41279 to Dane County.
12.1 The County is required to pay the Wisconsin excise or occupation tax on its purchase of beer, liquor, wine, cigarettes, tobacco products, motor vehicle fuel and general aviation fuel. The County is exempt from Wisconsin sales or use tax on these purchases. The County may be subject to other states' taxes on its purchases in that state depending on the laws of that state. Vendors performing construction activities are required to pay state use tax on the cost of materials.
13.0 GUARANTEED DELIVERY: Failure of the vendor to adhere to delivery schedules as specified or to promptly replace rejected materials shall render the vendor liable for all costs in excess of the contract price when alternate procurement is necessary. Excess costs shall include administrative costs.
14.0 APPLICABLE LAW AND VENUE: This contract shall be governed under the laws of the State of Wisconsin, and venue for any legal action between the parties shall be in Dane County Circuit Court. The vendor shall at all times comply with and observe all federal and state laws, local laws, ordinances, and regulations which are in effect during the period of this contract and which in any manner affect the work or its conduct.
15.0 ASSIGNMENT: No right or duty in whole or in part of the vendor under this contract may be assigned or delegated without the prior written consent of Dane County.
16.0 NONDISCRIMINATION/AFFIRMATIVE ACTION: During the term of this Agreement the vendor agrees, in accordance with sec. 111.321, Wis. Stats., and Chapter 19 of the Dane County Code of Ordinances, not to discriminate against any person, whether an applicant or recipient of services, an employee or applicant for employment, on the basis of age, race, ethnicity, religion, color, gender, disability, marital status, sexual orientation, national origin, cultural differences, ancestry, physical appearance, arrest record or conviction record, military participation or membership in the national guard, state defense force or any other reserve component of the military forces of the United States, or political beliefs. The vendor shall provide a harassment-free work environment. These provisions shall include, but not be limited to, the following: employment, upgrading, demotion, transfer, recruitment, advertising, layoff, termination, training, including apprenticeships, rates of pay or other forms of compensation.
16.1 Vendors who have twenty (20) or more employees and a contract of twenty thousand dollars ($20,000) or more must submit a written affirmative action plan to the County's Contract Compliance Officer within fifteen (15) working days of the effective date of the contract. The County may elect to
BID# 119008
16.2 The vendor agrees to post in conspicuous places, available for employees and applicants for employment, notices setting forth the provisions of this Agreement as they relate to affirmative action and nondiscrimination.
16.3 Failure to comply with these Terms and Conditions may result in the vendor being debarred, termination of the contract and/or withholding of payment.
16.4 The vendor agrees to furnish all information and reports required by Dane County's Contract Compliance Officer as the same relate to affirmative action and nondiscrimination, which may include any books, records, or accounts deemed appropriate to determine compliance with Chapter 19, D.C. Ords. and the provisions of this Agreement.
16.5 AMERICANS WITH DISABILITIES ACT: The vendor agrees to the requirements of the ADA, providing for physical and programmatic access to service delivery and treatment in all programs and activities.
17.0 PATENT, COPYRIGHT AND TRADEMARK INFRINGEMENT: The vendor guarantees goods sold to the County were manufactured or produced in accordance with applicable federal labor laws, and that the sale or use of the articles described herein do not infringe any patent, copyright or trademark. The vendor covenants that it will, at its own expense, defend every suit which shall be brought against the County (provided that such vendor is promptly notified of such suit, and all papers therein are delivered to it) for any alleged infringement of any patent, copyright or trademark by reason of the sale or use of such articles, and agrees that it will pay all costs, damages, and profits recoverable in any such suit.
18.0 SAFETY REQUIREMENTS: All materials, equipment, and supplies provided to the County must fully comply with all safety requirements as set forth by the Wisconsin Department of Commerce and all applicable OSHA Standards.
18.1 MATERIAL SAFETY DATA SHEET: If any item(s) on an order(s) resulting from this award(s) is a hazardous chemical, as defined under 29 CFR 1910.1200, provide one (1) copy of the Material Safety Data Sheet for each item with the shipped container(s) and one (1) copy with the invoice(s).
19.0 WARRANTY: Unless specifically expressed otherwise in writing, goods and equipment purchased as a result of this request shall be warranted against defects by the vendor for one (1) year from date of receipt. An equipment manufacturer's standard warranty shall apply as a minimum and must be honored by the vendor.
20.0 INDEMNIFICATION & INSURANCE.
20.1. Vendor shall indemnify, hold harmless and defend County, its boards, commissions, agencies, officers, employees and representatives against any and all liability, loss (including, but not limited to, property damage, bodily injury and loss of life), damages, costs or expenses which County, its officers, employees, agencies, boards, commissions and representatives may sustain, incur or be required to pay by reason of vendor furnishing the services or goods required to be provided under this Agreement, provided, however, that the provisions of this paragraph shall not apply
Section 5 – Standard Terms and Conditions – Submit with Bid
to liabilities, losses, charges, costs, or expenses caused by or resulting from the acts or omissions of County, its agencies, boards, commissions, officers, employees or representatives. The obligations of vendor under this paragraph shall survive the expiration or termination of this Agreement.
vendor agrees to list DANE COUNTY as an "Additional Insured" on its Umbrella or Excess Liability policy.
20.2. In order to protect itself and County its officers, boards, commissions, agencies, agents, volunteers, employees and representatives under the indemnity provisions of the subparagraph above, vendor shall, at vendor's own expense, obtain and at all times during the term of this Agreement keep in full force and effect the insurance coverages, limits, and endorsements listed below. When obtaining required insurance under this Agreement and otherwise, vendor agrees to preserve County's subrogation rights in all such matters that may arise that are covered by vendor's insurance. Neither these requirements nor the County's review or acceptance of vendor's certificates of insurance is intended to limit or qualify the liabilities or obligations assumed by the vendor under this Agreement. The County expressly reserves the right to require higher or lower insurance limits where County deems necessary.
20.2.1. Commercial General Liability.
Vendor agrees to maintain Commercial General Liability insurance at a limit of not less than $1,000,000 per occurrence. Coverage shall include, but not be limited to, Bodily Injury and Property Damage to Third Parties, Contractual Liability, Personal Injury and Advertising Injury Liability, PremisesOperations, Independent vendors and Subcontractors, and Fire Legal Liability. The policy shall not exclude Explosion, Collapse, and Underground Property Damage Liability Coverage. The policy shall list DANE COUNTY as an Additional Insured.
20.2.2. Commercial/Business Automobile Liability.
Vendor agrees to maintain Commercial/Business Automobile Liability insurance at a limit of not less than $1,000,000 Each Occurrence. Vendor further agrees coverage shall include liability for Owned, Non-Owned & Hired automobiles. In the event vendor does not own automobiles, vendor agrees to maintain coverage for Hired & Non-Owned Auto Liability, which may be satisfied by way of endorsement to the Commercial General Liability policy or separate Business Auto Liability policy.
20.3. Upon execution of this Agreement, vendor shall furnish County with a Certificate of Insurance listing County as an additional insured and, upon request, certified copies of the required insurance policies. If vendor's insurance is underwritten on a claims-made basis, the retroactive date shall be prior to or coincide with the date of this Agreement, the Certificate of Insurance shall state that professional malpractice or errors and omissions coverage, if the services being provided are professional services coverage is claimsmade and indicate the retroactive date, vendor shall maintain coverage for the duration of this Agreement and for six (6) years following the completion of this Agreement. Vendor shall furnish County, annually on the policy renewal date, a Certificate of Insurance as evidence of coverage. It is further agreed that vendor shall furnish the County with a 30-day notice of aggregate erosion, in advance of the Retroactive Date, cancellation, or renewal. It is also agreed that on claimsmade policies, either vendor or County may invoke the tail option on behalf of the other party and that the extended reporting period premium shall be paid by vendor. In the event any action, suit or other proceeding is brought against County upon any matter herein indemnified against, County shall give reasonable notice thereof to vendor and shall cooperate with vendor's attorneys in the defense of the action, suit or other proceeding. Vendor shall furnish evidence of adequate Worker's Compensation Insurance. In case of any sublet of work under this Agreement, vendor shall furnish evidence that each and every subcontractor has in force and effect insurance policies providing coverage identical to that required of vendor. In case of any sublet of work under this Agreement, vendor shall furnish evidence that each and every subcontractor has in force and effect insurance policies providing coverage identical to that required of vendor.
20.2.3. Environmental Impairment (Pollution) Liability Vendor agrees to maintain Environmental Impairment (Pollution) Liability insurance at a limit of not less than $1,000,000 per occurrence for bodily injury, property damage, and environmental cleanup costs caused by pollution conditions, both sudden and non-sudden. This requirement can be satisfied by either a separate environmental liability policy or through a modification to the Commercial General Liability policy. Evidence of either must be provided.
20.2.4. Workers' Compensation.
Vendor agrees to maintain Workers Compensation insurance at Wisconsin statutory limits.
20.2.5. Umbrella or Excess Liability.
Vendor may satisfy the minimum liability limits required above for Commercial General Liability and Business Auto Liability under an Umbrella or Excess Liability policy. There is no minimum Per Occurrence limit of liability under the Umbrella or Excess Liability; however, the Annual Aggregate limit shall not be less than the highest "Each Occurrence" limit for the Commercial General Liability and Business Auto Liability.
BID# 119008
20.4. The parties do hereby expressly agree that County, acting at its sole option and through its Risk Manager, may waive any and all requirements contained in this Agreement, such waiver to be in writing only. Such waiver may include or be limited to a reduction in the amount of coverage required above. The extent of waiver shall be determined solely by County's Risk Manager taking into account the nature of the work and other factors relevant to County's exposure, if any, under this Agreement.
21.0 CANCELLATION: County reserves the right to terminate any Agreement due to non-appropriation of funds or failure of performance by the vendor. This paragraph shall not relieve County of its responsibility to pay for services or goods provided or furnished to County prior to the effective date of termination.
22.0 PUBLIC RECORDS ACCESS: It is the intention of the County to maintain an open and public process in the solicitation, submission, review, and approval of procurement activities. Bid openings are public unless otherwise specified. Records are not available for public inspection prior to issuance of the notice of intent to award or the award of the contract. Bid results may be obtained by visiting the Dane County Purchasing Office Monday – Friday, between 8:00 a.m. and 4:00 p.m. Prior appointment is advisable.
22.1 PROPRIETARY INFORMATION: If the vendor asserts any of its books and records of its business practices and other matters collectively constitute a trade secret as that term is defined in s. 134.90(1)(c), Wis. Stats., County will not
Section 5 – Standard Terms and Conditions – Submit with Bid
release such records to the public without first notifying the vendor of the request for the records and affording the vendor an opportunity to challenge in a court of competent jurisdiction the requester's right to access such records. The entire burden of maintaining and defending the trade secret designation shall be upon the vendor. The vendor acknowledges and agrees that if the vendor shall fail, in a timely manner, to initiate legal action to defend the trade secret designation or be unsuccessful in its defense of that designation, County shall be obligated to and will release the records.
borne by the Purchaser. Therefore, the successful vendor hereby assigns to the County of Dane any and all claims for such overcharges as to goods, materials or services purchased in connection with this contract.
22.2 Any material submitted by the vendor in response to this request that the vendor considers confidential and proprietary information and which vendor believes qualifies as a trade secret, as provided in section 19.36(5), Wis. Stats., must be identified on a designation of Confidential and Proprietary Information form. Pricing will not be held confidential after award of contract.
26.0 RECORDKEEPING AND RECORD RETENTIONCOST REIMBURSEMENT CONTRACTS: Where payment to the vendor is based on the vendor's costs, vendor shall establish and maintain adequate records of all expenditures incurred under the contract. All records must be kept in accordance with generally accepted accounting procedures. The County contracting agency shall have the right to audit, review, examine, copy, and transcribe any pertinent records or documents relating to any contract resulting from this bid/proposal held by the vendor. The vendor will retain all documents applicable to the contract for a period of not less than three (3) years after final payment is made.
22.3 Data contained in a bid, all documentation provided therein, and innovations developed as a result of the contracted commodities or services cannot be copyrighted or patented. All data, documentation, and innovations shall be the property of the County.
23.0 RECYCLED MATERIALS: Dane County is required to purchase products incorporating recycled materials whenever technically and economically feasible. Vendors are encouraged to bid products with recycled content which meet specifications.
24.0 PROMOTIONAL ADVERTISING: Reference to or use of Dane County, any of its departments or sub-units, or any county official or employee for commercial promotion is prohibited.
25.0 ANTITRUST ASSIGNMENT: The vendor and the County of Dane recognize that in actual economic practice, overcharges resulting from antitrust violation are in fact usually
BID# 119008
27.03 COMPLIANCE WITH FAIR LABOR STANDARDS. During the term of this Agreement, vendor shall report to the Controller, within ten (10) days, any allegations to, or findings by the National Labor Relations Board (NLRB) or Wisconsin Employment Relations commission (WERC) that vendor has violated a statute or regulation regarding labor standards or relations within the seven years prior to entering this Agreement. If an investigation by the Controller results in a final determination that the matter adversely affects vendor's responsibilities under this Agreement, and which recommends termination, suspension or cancellation of this agreement, the County may take such action.
27.04 VENDOR may appeal any adverse finding by the Controller as set forth in sec. 25.08(20)(c) through (e).
27.05 VENDOR shall post the following statement in a prominent place visible to employees: "As a condition of receiving and maintaining a contract with Dane County, this employer shall comply with federal, state and all other applicable laws prohibiting retaliation for union organizing.
|
Scheme & Syllabus of
Bachelor of Vocational Studies (B. Voc.) Data & Web Analytics
Batch 2021
By Department of Academics
IKG Punjab Technical University
Semester 1 st
*The qualification packs may vary from institute to institute.
Semester 2 nd
| Course Code | Course Title | Load Allocation | | Marks Distribution | | Total | Credits |
|---|---|---|---|---|---|---|---|
| | | L | P | Internal | External | | |
| BVDW201-21 | Database Management Systems | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW202-21 | Internet Tools and Applications | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW203-21 | Computer Architecture | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW204-21 | Mathematics | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW205-21 | Database Management Systems Laboratory | 0 | 3 | 30 | 20 | 50 | 1.5 |
| BVDW206-21 | Internet Tools and Applications lab | 0 | 3 | 30 | 20 | 50 | 1.5 |
| On-Job Training / Qualification Pack* | | | | | | | |
| BVDW207-21 | Web Developer (SSC/Q0503) | On Job Training (OJT) in Collaboration with MoU industry | | | 200 | 200 | 15 |
| Total | | 12 | 6 | 220 | 480 | 700 | 30 |
Semester 3 rd
Semester 4 th
| Course Code | Course Title | Load Allocation | | Marks Distribution | | Total | Credits |
|---|---|---|---|---|---|---|---|
| | | L | P | Internal | External | | |
| BVDW401-21 | Data Warehouse & Data Mining | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW402-21 | Data Analytics using R | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW403-21 | Data Structures | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW404-21 | Digital Marketing | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW405-21 | Data Analytics using R Lab | 0 | 3 | 30 | 20 | 50 | 1.5 |
| BVDW406-21 | Data Structures Lab | 0 | 3 | 30 | 20 | 50 | 1.5 |
| On-Job Training / Qualification Pack* | | | | | | | |
| BVDW407-21 | On Job Training with MoU Industry based of data Analytics or Digital Marketing. | | | | 200 | 200 | 15 |
Semester 5 th
| Course Code | Course Title | Load Allocation | | Marks Distribution | | Total | Credits |
|---|---|---|---|---|---|---|---|
| | | L | P | Internal | External | | |
| BVDW501-21 | Probability and statistics | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW502-21 | Computer Networks | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW503-21 | Programming with PHP | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW504-21 | Linux Operating System | 3 | 0 | 40 | 60 | 100 | 3 |
| BVDW505-21 | Programming with PHP Lab | 0 | 2 | 30 | 20 | 50 | 1 |
| BVDW506-21 | Linux Operating System Lab | 0 | 2 | 30 | 20 | 50 | 1 |
| BVDW507-21 | Computer Networks Lab | 0 | 2 | 30 | 20 | 50 | 1 |
| On-Job Training / Qualification Pack* | | | | | | | |
| BVDW508-21 | On Job Training with MoU Industry based of data Analytics or Digital Marketing. | | | | 200 | 200 | 15 |
| Total | | 12 | 6 | 220 | 480 | 700 | 30 |
Semester 6 th
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Course Code: BVDW101-21
Course Name: Introduction to Internet & MS-Office
Course Outcomes:
Text Books:
1. Understanding The Internet by Kieth Sutherland, Butterworth-Heinemann.
2. Internet Technologies by S. K. Bansal, APH Publishing Corporation.
3. MS-Office 2007 Training Guide by S. Jain, BPB Publication.
Reference Books:
1. Computer Basics and Beyond by Michael A. Price.
2. MS-Office 2007 for Dummies by Wallace Wang, Wiley Publishing Inc.
Course Code: BVDW102-21
Course Name: Programming Fundamentals in C++
| Program: B. Voc. | L: 3 T: 0 P: 0 |
|---|---|
| Branch: Data & Web Analytics | Credits: 3 |
| Semester: 1st | Contact hours: 33 |
| Theory/Laboratory: Theory | Status (Elective/Core): Core |
| Internal max. marks: 40 | External max. marks: 60 |
| Total marks: 100 | |
Course Outcomes:
| CO1 | To learn programming from real world examples. |
|---|---|
| CO2 | To understand Object oriented approach for finding Solutions to various problems with the help of C++ language. |
| CO3 | To create computer based solutions to various real-world problems using C++. |
| CO4 | To learn various concepts of object oriented approach towards problem solving. |
Text Books:
1. Object Oriented Programming with C++, E. Balagurusami, 4 th Edition, TMG.
2. Object Oriented Progg. in Turbo C++, Robert Lafore, 4 th Edition Galgotia Publications.
Reference Books:
1. Computer Basics and Beyond by Michael A. Price.
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
3. Fundamentals of Computers. Delhi: Prentice-Hall. 2. Mastering C++ by K R Venugopal and Raj Kumar Buyya.
Course Code: BVDW104-19
Course Code: BVDW103-19
Course Name: Communicative English
Course Outcomes:
| CO# | Course outcomes |
|---|---|
| CO1 | To introduce students to the theory, fundamentals and tools of communication. |
| CO2 | To help the students become the independent users of English language. |
| CO3 | To develop vital communication skills integral to their personal, social and professional interactions. |
| CO4 | The syllabus shall address the issues relating to the Language of communication. |
| CO5 | Students will become proficient in professional communication such as interviews, group discussions, office environments, important reading skills and writing skills. |
Text Books:
1. Fluency in English - Part II, Oxford University Press, 2006.
2. Business English, Pearson, 2008.
Reference Books:
1. Practical English Usage by Michael Swan. OUP. 1995.
2. Communication Skills by Sanjay Kumar and Pushp Lata. Oxford University Press. 2011.
Course Name: Basic IT Skill
Course Outcomes:
Course Code: BVDW104-19 Text Books:
1. Introduction to Information Technology, ITL Education Solutions limited, Pearson Education.
2. Computer Fundamentals, A. Goel, 2010, Pearson Education.
3. Fundamentals of Computers, P. K.Sinha& P. Sinha, 2007, BPB Publishers.
Reference Books:
1. Introduction to Computers by Peter Norton.
2. Computers Today by D. H. Sanders, McGraw Hill.
3. Computers by Larry long & Nancy long, 12 th edition, Prentice Hall.
Course Code: BVDW106-19 BVDW105-19
Course Name: Introduction to Internet & MS-Office Laboratory
| Program: B.Voc | L: 0 T: 0 P: 3 |
|---|---|
| Branch: Data & Web Analytics | Credits: 1.5 |
| Semester: 1st | |
| Theory/Laboratory : Laboratory | Percentage of numerical/design problems:- |
| Internal max. marks: 30 | Duration of end semester exam (ESE):- |
| External max. marks: 20 | Status (Elective/Core): Core |
| Total marks: 50 | |
Course Outcomes:
| CO# | Course outcomes |
|---|---|
| CO1 | Familiarizing with Open Office (Word processing, Spreadsheets and Presentation). |
| CO2 | To acquire knowledge on editor, spread sheet and presentation software. |
| CO3 | The students will be able to perform documentation and accounting operations. |
| Task 1: | Microsoft Word: To familiarize with parts of Word, to create and save a document, to set page settings, create headers and footers, to edit a document and resave it, to use copy, cut and paste features, to use various formatting features such as bold face, italicize, underline, subscript, superscript, line spacing, etc. To use spelling and grammar checking feature, to preview print a document. To create a table with specified rows and columns, to enter data in a table, to select a table, a row, a column or a cell, to inset new row and/or a column, to delete a row and/or a column, to split and merge a row, column or a cell. To understand the mail- merge and to use mail merge feature of MS-Word. |
|---|---|
| Task 2: | Microsoft Excel: To familiarize with parts of Excel window, to create and save a workbook with single and/or multiple worksheets, to edit and format text as well numbers, to apply operations on range of cells using built-in formulae, to preview and print a worksheet, to insert new row and/or column in a worksheet, to delete a row and/or column in a worksheet, to create a variety of charts, to import and export data to or from worksheet. |
| Task 3: | Microsoft PowerPoint: To familiarize with parts of PowerPoint, to create and save a new presentation, to apply design templates to a presentation, to insert, edit and delete a slide, to use different views of slides, to use slide show from beginning or from the current slide, to preview and print a presentation, to check spellings in a presentation, to add clip art and pictures in a slide, to add chart, diagram and table in a slide, to set animation for a selected slide and/or for entire presentation, to create slide master and title master, to create a custom show. |
Recommended Hardware & Software:
Intel Core i-3 / i-5 / i-7 processor with a speed of minimum 2 GHz, RAM 2 GB or higher, HDD 200 GB or higher, LED / LCD screen and Microsoft MS Office 2003 / XP / 2007
Test Books:
1. IT Tools, R.K. Jain, Khanna Publishing House.
2. Introduction to Information Technology, ITL Education Solutions limited, Pearson Education.
Course Name: Programming Fundamentals in C++ Laboratory
Course Outcomes:
| CO# | Course outcomes |
|---|---|
| CO1 | To learn programming from real world examples. |
| CO2 | To understand Object oriented approach for finding Solutions to various problems with the help of C++ language. |
| CO3 | To create computer based solutions to various real-world problems using C++. |
Recommended Hardware & Software:
Intel Core i-3 / i-5 / i-7 processor with a speed of minimum 2 GHz, RAM 2 GB or higher, HDD 200 GB or higher, LED / LCD screen and Borland C++ / Turbo C++
Text Books:
1. The C++ Programming Language, BjarnaStroustrup, Third Edition, AddisonWesley Publishing Company.
2. Object Oriented Programming Using C++, Salaria, R. S, Fourth Edition, Khanna Book Publishing.
Course Code: BVDW106-19
Course Code: BVDW201-19
Course Name: Database Management Systems
Course Outcomes:
| Unit-I: Introduction of DBMS, Data Modeling for a Database, Three level Architecture of DBMS, Components of a DBMS. Introduction to Data Models, Hierarchical, Network and Relational Model, Comparison of Network, Hierarchical, Relational & Entity Relationship Model. | 9 |
|---|---|
| Unit-II Relational Database, Relational Algebra and Calculus, SQL Fundamentals, DDL, DML, DCL, PL/SQL Concepts, Cursors, Stored Procedures, Stored Functions, Database Triggers. | 8 |
| Unit-III Introduction to Normalization, First, Second, Third Normal Forms, Dependency Preservation, Boyce-Codd Normal Form, Multi-valued Dependencies and Fourth Normal Form, Join Dependencies and Fifth Normal Form, Domain-key normal form (DKNF). | 8 |
| Unit-IV Database Recovery, Concurrency Management, Database Security, Integrity and Control. Structure & Design of a Distributed Database. | 8 |
Text Books:
1. An Introduction to Database System by Bipin C. Desai, Galgotia Publications Pvt Ltd-New Delhi, Revised Edition, (2012).
2. An Introduction to Database Systems by C. J. Date, A. Kannan & S. Swamynathan, 8 th Edition, Pearson Education, (2006).
Reference Books:
1. SQL, PL/SQL The Programming Language of Oracle", Ivan Bayross, BPB Publications, 4 th Revised Edition (2009).
2. Database System Concepts by Abraham Silberschatz, Henry F. Korth & S. Sudharshan, Tata McGraw Hill, 6 th Edition, (2013).
3. Database Management Systems, Raghu Ramakrishnan, McGraw-Hill, 3 rd Edition, 2014.
Course Name:
Internet Tools & Applications
Course Outcomes: Students will be able to
| CToaurbslee C Loadyeo: BuVt aDnWd 2P0r2e-1s9e ntation: Table Syntax, two column layout, staggered body with an index, traditional newspaper layout. | |
|---|---|
| Unit-IV Uniform Resource Locators (URLs): Absolute URLs, Relative URLs, fragment URLs, Types of URL Schemes- HTTP, mailto, news, FTP, Telnet, File etc. Using Hyper Links and Anchors: Uses to Hyper Links, Structure of Hyper Links, Links to specialized contents. Images: Adding Images to web page, using images as links, creating menus with image maps, image formats-GIF, JPEG etc. | 3 hours |
Text Books:
1. Corner, Internetworking with TCP-IP: Principles, Protocols and Architecture, PHI.
2. Stephan Mack, Janan Platt, HTML 4.0 No Experience Required, BPB Publication.
3. Rick Darnell et al, HTML 4 Unleashed, Tech media Publications.
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Course Code: BVDW203-21
Course Name: Computer Architecture
Course Outcomes:
| CO# | Course outcomes |
|---|---|
| CO1 | To know about the basic functioning of various parts of computer system from hardware point of view and interfacing of various peripheral devices used with the system. |
| CO2 | To learn number system and various types of micro-operations of processor. |
| CO3 | To learn the communication of various components through common bus. |
| Detailed Contents | Contact hours |
|---|---|
| Unit-I Logic Gates: AND, OR, NOT, NAND, NOR, XOR, XNOR, NAND & NOR as Universal Gates, Logic Gates Applications. Boolean Algebra: Introduction, Theorems, Simplification of Boolean Expression using Boolean Algebra, SOP & POS Forms, Realization of Boolean Expression using Gates, K-Maps, Simplification of Boolean Expression using K-Maps. | 9 |
| Unit-II Combinational Logic Circuits: Half Adder & Half Subtractor, Full Adder & Full Subtractor, Parallel Binary Adder, Binary Adder/Subtractor. Combinational Logic Circuits: Multiplexers & Demultiplexers, Implementation of Boolean equations using Multiplexer and Demultiplexer, Encoders & Decoders | 8 |
| Unit-III Sequential Logic Circuits: Latch, Flip Flops- R-S Flip-Flop, J-K Flip-Flop, Race Around Condition, Removing Race Around Condition, Master-Slave JK Flip-Flop, D Flip-Flop, T Flip-Flop, Applications of Flip-Flops. | 8 |
| Unit-IV Introduction to Computer Organization: Introduction to Computer and CPU (Computer Organization, Computer Design and Computer Architecture), Stored Program Concept- Von Neumann Architecture, Harvard Architecture, RISC and CISC Architecture. Register Transfer and Micro operations: Introduction to Registers, Instruction Format, Types of Instructions- Memory Reference Instructions, Register Reference Instructions and Input-Output Instructions. Common Bus System: Introduction to Common Bus System, Types of Buses (Data Bus, Control Bus, Address Bus), 16-bit Common Bus System--Data Movement among registers using Bus. | 8 |
Text Books:
1. Computer System Architecture, M.M. Mano, Third Edition, PHI.
2. Digital Computer Electronics, Malvino, Second Edition, Mc-Graw Hill.
3. Modern Digital Electronics, R. P. Jain, Fourth Edition, TMH.
Reference Books:
1. Computer Organization and Architecture, Stallings, Eighth Edition, PHI.
2. Computer Organization and Architecture, J.P.Hayes, Third Edition, TMH.
3. Digital and Electronic Circuits, T. C. Bartee, McGraw Hill.
Course Code: BVDW204-19
Course Name: Mathematics
Course Outcomes:
Text Books:
1. Discrete Mathematics and Its Applications by Kenneth H. Rosen, Mc Graw Hill, 6th Edition.
2. College Mathematics, Schaum's Series, TMH.
Reference Books:
1. Elementary Mathematics, Dr. RD Sharma.
2. Comprehensive Mathematics, Parmanand Gupta.
3. Elements of Mathematics, ML Bhargava.
Course Code: BVDW205-19
Course Name: Database Management Systems Laboratory
Course Outcomes:
Recommended Hardware & Software:
Intel Core i-3 / i-5 / i-7 processor with a speed of minimum 2 GHz, RAM 2 GB or higher, HDD 200 GB or higher, LED / LCD screen and Oracle/ Microsoft SQL Server/ MySQL/ Microsoft Access.
Text Books:
Revised Edition, Ivan Bayross.
2. Oracle PL/SQL Programming by 5 th Edition, Steven Feuerstein and Bill Pribyl.
1. SQL, PL/SQL Programming Language of Oracle by 4 th
Course Code: BVDW206-19
Course Name: Internet Tools and Application Lab
Course Outcomes: Students will be able to
Instructions:
1. Corner, Internetworking with TCP-IP: Principles, Protocols and Architecture, PHI.
2. Stephan Mack, Janan Platt, HTML 4.0 No Experience Required, BPB Publication.
3. Rick Darnell et al, HTML 4 Unleashed, Tech media Publications.
Text Books:
Course Code: BVDW-301-21
Course Name: Programming with Python
Course Outcomes:
| CO# | Course outcomes |
|---|---|
| CO1 | Explain environment, data types, operators used in Python. |
| CO2 | Compare Python with other programming languages |
| CO3 | Outline the use of control structures and numerous native data types with their methods. |
| CO4 | Design user defined functions, modules, files, and packages and exception handling methods. |
1. Programming in Python, Pooja Sharma, BPB Publications, 2017.
2. Core Python Programming, R. Nageswara Rao, 2nd Edition, Dreamtech.
Reference Books:
1. Python, The complete Reference, Martin C. Brown, Mc Graw Hill Education.
2. 2. Python in a Nutshell, A. Martelli, A. Ravenscroft, S. Holden, OREILLY.
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Text Books: Course Code: BVDW302-21
Course Name: Introduction to Big Data
Course Outcomes:
Reference Books:
1. Michael Minelli, Michelle Chambers, and Ambiga Dhiraj, "Big Data, Big Analytics, "Emerging Business Intelligence and Analytic Trends for Today's Businesses", Wiley.
2. Big-Data Black Book, DT Editorial Services, Wiley India
3. Massive Online Open Courses (MOOCS): Big Data University, Udacity and Coursera.
4. P. J. Sadalage and M. Fowler, "NoSQL Distilled: A Brief Guide to the Emerging World of Polyglot Persistence", Addison-Wesley Professional, 2012.
5. Tom White, "Hadoop: The Definitive Guide", Third Edition, O'Reilley, 2012.
6. Eric Sammer, "Hadoop Operations", O'Reilley, 2012".
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Course Code: BVDW303-21
Course Name: Computer Fundamentals
Prerequisite: Information Technology
Co requisite: -NA-
Additional material required in ESE: -NA-
Course Outcomes: Students will be able to
| CO# | Course Outcomes |
|---|---|
| CO 1 | Explain importance of operating System in computer science. |
| CO 2 | Describe different types of Operating System and its services. |
| CO 3 | Build an understanding of the fundamental concepts of computer networking. |
| CO 4 | Define basic data structure concepts. |
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Searching and Sorting: Searching: Linear and binary search. Sorting: bubble sort, selection sort. [CO4]
Recommended Books :
1. Abraham Silberschatz and Peter Baer Galvin, Operating System Principles,Seventh Edition, Published by Wiley-India.
2. Tanenbaum, Andrew, Computer Networks, , Fifth Edition, PHI.
3. Horowitz & Sawhaney: Fundamentals of Data Structures, Galgotia Publishers.
4. Aho Alfred V., Hopperoft John E., UIlman Jeffrey D., "Data Structures and Algorithms", AddisonWesley
5. S.K. Basandra, Computer Today, Galgotia.
Reference books :
1. Naresh Chauhan, Principals of Operating System, Published by OXFORD University Press, India.
2. Behrouz A. Forouzan, Data Communication and Networking, Fourth Edition.
3. Stalling. Data and Computer Communications, , Ninth Edition, PHI.
4. Kruse R.L. Data Structures and Program Design in C; PHI
5. Yashwant Kanetkar, Understanding Pointers in C, BPB Publications.
6. Horowitz, S. Sahni, and S. Rajasekaran, Computer Algorithms, Galgotia Pub. Pvt. Ltd., 1998.
IK Gujral Punjab Technical University Jalandhar
Course Code:
B. Voc. (Data & Web Analytics), Batch-2021
BVDW304-21
Course Name: Advanced HTML & Java Script
Course Outcomes:
Text Books:
1. Internet for EveryOne: Alexis Leon, 1st Edition, Leon Techworld, Publication, 2009.
2. Greenlaw R; Heppe, "Fundamentals of Internet and WWW", 2nd Edition, Tata McGrawHill, 2007.
3. Raj Kamal, "Internet & Web Technologies", edition Tata McGraw-Hill Education.2009.
Course Name: Programming with Python Laboratory
Course Outcomes:
| Task 1: | Compute sum, subtraction, multiplication, division and exponent of given variables input by the user |
|---|---|
| Task 2: | Compute area of following shapes: circle, rectangle, triangle, square, trapezoid and parallelogram |
| Task 3: | Compute volume of following 3D shapes: cube, cylinder, cone and sphere |
| Task 4: | Compute and print roots of quadratic equation ax2+bx+c=0, where the values of a, b, and c are input by the user. |
| Task 5: | Print numbers up to N which are not divisible by 3, 6, 9,, e.g., 1, 2, 4, 5, 7,…. |
| Task 6: | Write a program to determine whether a triangle is isosceles or not? |
| Task 7: | Print multiplication table of a number input by the user. |
| Task 8: | Compute sum of natural numbers from one to n number. |
| Task 9: | Print Fibonacci series up to n numbers e.g. 0 1 1 2 3 5 8 13…..n |
| Task 11: | Compute factorial of a given number |
| Task 12: | Design a Python class named Circle constructed by a radius and two methods which will compute the area and the perimeter of a circle. |
| Task 13: | Design a Python class to reverse a string ‘word by word’ |
| Task 14: | Construct a Python program to write and append text to a file and display the text |
| Task 15: | Design a Python program to read first n lines of a text file. |
1. Programming in Python, Pooja Sharma, BPB Publications, 2017.
Course Code: BVDW305-21 Text Books:
2. Core Python Programming, R. Nageswara Rao, 2ndEdiiton, Dreamtech.
Reference Books:
1. Python, The complete Reference, Martin C. Brown, Mc Graw Hill Education.
2. Python in a Nutshell, A. Martelli, A. Ravenscroft, S. Holden, OREILLY.
Course Code: BVDW306-21
Course Name: Advanced HTML & Java Script Laboratory
Course Outcomes:
Reference Books:
1. Greenlaw R; Hepp E, "Fundamentals of Internet and www", 2nd Edition, Tata. McGraw-Hill, 2007.
2. A Beginner's Guide to HTML http://www.Ncsa.Nine.Edit/General/Internet/www/ a. html.prmter.
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Course Code: BVDW307-21
Course Name: Introduction to Big Data Laboratory
Course Outcomes:
Reference Books:
1. Michael Minelli, Michelle Chambers, and Ambiga Dhiraj, "Big Data, Big Analytics, "Emerging Business Intelligence and Analytic Trends for Today's Businesses", Wiley.
2. Big-Data Black Book, DT Editorial Services, Wiley India
3. Massive Online Open Courses (MOOCS): Big Data University, Udacity and Coursera.
4. P. J. Sadalage and M. Fowler, "NoSQL Distilled: A Brief Guide to the Emerging World of Polyglot Persistence", Addison-Wesley Professional, 2012.
5. Tom White, "Hadoop: The Definitive Guide", Third Edition, O'Reilley, 2012.
6. Eric Sammer, "Hadoop Operations", O'Reilley, 2012".
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Course Code: BVDW401-21
Course Name: Data Warehouse and Mining
| Program: B.Voc Web & Data Analytics | L: 3 T: 1 P: 0 |
|---|---|
| Branch: Computer Applications | Credits: 4 |
| Semester: 4th | Contact hours: 44 hours |
| Theory/Practical: Theory | Percentage of numerical/design problems: 20% |
| Internal max. marks: 40 | Duration of end semester exam (ESE): 3hrs |
| External max. marks: 60 | Elective status: Elective |
| Total marks: 100 | |
Prerequisite: -NA-
Co requisite: -NA-
Additional material required in ESE: -NA-
Course Outcomes: After completing this course, students will be able to:
Text Books:
1. Data Warehousing, Data Mining & Olap by Berson, Tata Mcgraw- Hill.
2. Han J., Kamber M. and Pei J., Data mining concepts and techniques, Morgan Kaufmann Publishers (2011) 3rd ed.
3. Pudi V., Krishana P.R., Data Mining, Oxford University press, (2009) 1st ed.
4. Adriaans P., Zantinge D., Data mining, Pearson education press (1996), 1st ed.
5. Pooniah P., Data Warehousing Fundamentals, Willey interscience Publication, (2001), 1st ed.
Course Code: BVDW402-21
Course Name: Data Analytics using R
Prerequisite: Logics of basic programming terminologies.
Co requisite: Simulation study.
Additional material required in ESE: -NA-
Course Outcomes:
| CO# | Course Outcomes |
|---|---|
| CO1 | Identify the key components of R programming Language. |
| CO2 | Define the concept of data Science. |
| CO3 | Differentiate between vectors and arrays. |
| CO4 | Outline the usage of data frames, lists, factors, tables and R structures. |
| CO5 | Explain the need and utilization of various visualization tools. |
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
| Creating Data Frames, Merging Data Frames, Applying Functions to Data Frames. [CO4] Factors and Tables: Introduction, Common Functions use with Factors, Working with Tables.[CO4] R Programming Structures: Control Statements, Arithmetic and Boolean Operators, Default Values for Arguments, Return Values, Recursion.[CO4] | |
|---|---|
| Unit-III Object Oriented Programming: Concept of Classes, S3 Classes, S4 Classes, S3 Versus S4 Classes, Managing Objects.[CO1] Input/Output: Accessing Keyboard and Monitor, Reading and Writing Files, Accessing the Internet. String Manipulation: Overview of String Manipulation Functions [grep(), nchar(), paste(), sprintf(), substr(), strsplit(), regexpr(), gregexpr(), Regular expression].[CO5] | 12 |
| Unit-IV Graphics: Creating Graphs, Customizing Graphs, Saving Graphs to Files, Creating 3D Plots. Debugging: Principles of Debugging, Use of Debugging Tool, Using R Programming Debugging Facilities. [CO3] Simulation: Generating Random Numbers, Setting the Random Number Seed, Simulating a Linear Model, Random Sampling.[CO5] | 10 |
Text Books:
1. The ART of R Programming, Norman Matloff, No Starch Press.
2. R Programming for Data Science, Roger D. Peng, Lean Publishing.
3. R Programming for Beginners, S. Rakshit, TMH.
Reference Books:
1. Data Analytics using R, Seema Acharya, TMH.
------------------------------------------------------------------------------------------------------------------------------
---------------
Course Code: BVDW 403-21
Course Name: Data Structures
Prerequisite: -NA-
IK Gujral Punjab Technical University Jalandhar B. Voc. (Data & Web Analytics), Batch-2021
Co requisite: -NA-
Additional material required in ESE: -NA-
Course Outcomes: Students will be able to
Text Books
1. Brijesh Bakariya. Data Structures and Algorithms Implementation through C, BPB Publications.
2. Kruse R.L. Data Structures and Program Design in C; PHI
3. Aho Alfred V., Hopperoft John E., UIlman Jeffrey D., "Data Structures and Algorithms", AddisonWesley
Reference books
1. Horowitz & Sawhaney: Fundamentals of Data Structures, Galgotia Publishers.
2. Yashwant Kanetkar, Understanding Pointers in C, BPB Publications.
3. Horowitz, S. Sahni, and S. Rajasekaran, Computer Algorithms, Galgotia Pub. Pvt. Ltd., 1998.
Course Code: BVDW 404-21
Course Name: Digital Marketing
| Program: B.Voc Web & Data Analytics | L: 3 T: 1 P: 0 |
|---|---|
| Branch: Computer Applications | Credits: 4 |
| Semester: 4th | Contact hours: 44 hours |
| Theory/Practical: Theory | Percentage of numerical/design problems: -- |
| Internal max. marks: 40 | Duration of end semester exam (ESE): 3hrs |
| External max. marks: 60 | Elective status: Elective |
| Total marks: 100 | |
Prerequisite: -NA-
Co requisite: -NA-
Additional material required in ESE: -NA-
Course Outcomes:
| About SEO, Need of an SEO friendly website, Importance of Internet and Search Engines; Role of Keywords in SEO. [CO2] On-Page Optimization (Onsite): Basics of Website Designing / Development; HTML Basics for SEO; Onsite Optimization Basics; Website Structure and Navigation Menu Optimization; SEO Content Writing. Keywords Research and Analysis (eg. SWOT analysis of website, finding appropriate keywords). Off Page Optimization: Introduction; Local marketing of websites depending on locations; Promoting Subsequent pages of the website. Introduction to organic SEO vs non-organic SEO; Social Media Optimization Techniques and Page Rank Technology.[CO2] | |
|---|---|
| Unit-III Website Planning & Creation Content Marketing Strategy: Goals and concepts, Strategic building blocks, Content creation & channel distribution, Tools of the trade, Advantages and challenges. Keywords Research and Analysis: Introduction to Keyword Research; Business Analysis; Types of Keywords; Keywords Analysis Tools.[CO3] Web Presence: Online presence and driving more traffic for a website, Search result visibility in search engines for chosen keyword and phrases, Using e-mail marketing to drive traffic for a website, Posting social media content for lead generation, Tools to create and manage content, Use of Blogging as content strategy. [CO3] Creating content: Writing and posting content on the web and in social networks, blog and video; Create, manage and implement a content marketing strategy; Monitoring and recording results to improve content marketing campaigns; Successful content marketing strategies and case studies.[CO4] | 12 |
| Unit-IV Online Advertising, Mobile Marketing and Web analytics Introduction to Online Advertising and its advantages, Paid versus Organic, Pay Per Click (PPC) Model. Basic concepts Cost per Click (CPC), CPM, CTR, CR etc. About Mobile Marketing, Objectives of Mobile Advertising, Creating a Mobile Marketing Strategy, Introduction to SMS Marketing. About Web Analytics, Types of Web Analytics (On-site, Off-site), Importance of Web Analytics [CO5] | 10 |
Text Books:
1. Puneet Singh Bhatia, Fundamentals of Digital Marketing First Edition, Publication Pearson.
2. Vandana Ahuja, Digital Marketing 1st Edition, Publication Oxford
3. Shivani Karwal, "Digital Marketing Handbook: A Guide to search Engine Optimization, Pay Per Click Marketing, Email Marketing and Content Marketing", CreateSpace Independent Publishing Platform, 1st edition.
Reference Books:
1. Ian Dodson, The Art of Digital Marketing: The Definitive Guide to Creating Strategic, Targeted and Measurable Online Campaigns, Publication Wiley India Pvt Ltd.
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
2. Philip Kotler, Hermawan Kartajaya, Iwan Setiawan, Marketing 4.0: Moving from Traditional to Digital, Publication Wiley India Pvt Ltd.
3. Venakataramana Rolla, "Digital Marketing Practice guide for SMB: SEO, SEM and SMM", CreateSpace Independent Publishing Platform, First edition.
4. Enge, E., Spencer, S., Stricchiola, J., & Fishkin, R. (2012). The art of SEO. " O'Reilly Media, Inc.".
E Books/ Online learning material:
1. www.sakshat.ac.in
2. https://swayam.gov.in
3. https://www.edx.org/course/online-marketing-strategies-curtinx- mkt5x
4. https://www.emarketinginstitute. org/free-courses/ eMarketing Institute
Course Code: BVDW 405-21
Course Name: Data Analytics using R Laboratory
Prerequisite: - Logics of basic programming terminologies.
Co requisite: - Simulation study.
Additional material required in ESE: - Record the Simulation Results on practical file.
Course Outcomes: Students will be able to
Instructions: All programs are to be developed in R Programming Language.
10.
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Write a program to get the unique elements of a given string and unique numbers of vector.
11. Convert a given matrix to a 1 dimensional array through R programming.
Text Books:
1. The ART of R Programming, Norman Matloff, No Starch Press.
2. R Programming for Data Science, Roger D. Peng, Lean Publishing.
3. R Programming for Beginners, S. Rakshit, TMH.
Reference Books:
1. Data Analytics using R, Seema Acharya, TMH.
Course Code: BVDW 406-21
Course Name: Data Structures Laboratory
Prerequisite: -NA-
Co requisite: -NA-
Additional material required in ESE: - NA-
Course Outcomes: Student will be able to
Instructions: Programs may be developed in C/C++/Python/Java language.
List of assignments:
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Reference Books:
1. Brijesh Bakariya. Data Structures and Algorithms Implementation through C, BPB Publications.
2. Aho Alfred V., Hopperoft John E., UIlman Jeffrey D., "Data Structures and Algorithms", AddisonWesley
3. Horowitz & Sawhaney: Fundamentals of Data Structures, Galgotia Publishers.
Fifth Semester
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Course Code: BVDW 501-21
Course Name: Probability and Statistics
Prerequisite: Students must have the basic knowledge of mathematic terms.
Co requisite: NA
Additional material required in ESE: Minimum two exercises of each concept will be recorded in the file and the file will be submitted in End Semester Examinations.
Course Outcomes: After studying this course, students will be able to:
| CO# | Course Outcomes |
|---|---|
| CO1 | Understand the science of studying & analyzing numbers |
| CO2 | Define probability |
| CO3 | Describe various statistical formulas. |
| CO4 | Compute various statistical measures. |
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Text Books:
1. Statistics and Data Analysis, A.Abebe, J. Daniels, J.W.Mckean, December 2000.
2. Statistics, Tmt. S. EzhilarasiThiru, 2005, Government of Tamilnadu.
3. Introduction to Statistics, David M. Lane.
4. Weiss, N.A., Introductory Statistics. Addison Wesley, 1999.
5. Clarke, G.M. & Cooke, D., A Basic course in Statistics. Arnold, 1998.
Reference Books:
1. Banfield J.(1999), Rweb: Web-based Statistical Analysis, Journal of Statistical Software.
2. Bhattacharya,G.K. and Johnson, R.A.(19977), Statistical Concepts and Methods, New York, John Wiley & Sons.
E-Books/ Online learning material
1. http://onlinestatbook.com/Online_Statistics_Education.pdf
2. https://textbookcorp.tn.gov.in/Books/12/Std12-Stat-EM.pdf
3. https://3lihandam69.files.wordpress.com/2015/10/introductorystatistics.pdf
Course Code: BVDW502-21
Course Name: Computer Networks
Course Outcomes:
Text Books:
1. Computer Networks, Tanenbaum, Andrew, Fifth Edition, PHI.
2. Data Communication and Networking, Behrouz A. Forouzan, Fourth Edition.
3. Computer Today, S.K. Basandra, First Edition, Galgotia.
Reference Books:
1. Data Communication System, Black, Ulysse, Third Edition, PHI.
2. Data and Computer Communications, Stalling, Ninth Edition, PHI.
Course Code: BVDW 503-21
Course Name: Programming with PHP
Prerequisite: Students must have basic knowledge of any text editor like notepad++ and Edit plus etc. Co requisite: Students must know the background of HTML, Front-End, Back-End & concept of Structure Query Language.
Additional material required in ESE:
Demonstration of the website of college/ specific department/specific cells etc. will be presented by the students during the final practical.
Developed Website/s must be made online by the student/s.
Printouts of the Main Page of the website must be arranged on Practical file during daily lab work and must be submitted in the final examinations.
Course Outcomes: After studying this course, students will be able to:
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
| Working with File and Directories Understanding file & directory, Opening and closing a file, Coping, renaming and deleting a file, Working with directories, File Uploading & Downloading. Generating Images with PHP: Basics computer Graphics, Creating Image. | |
|---|---|
| Unit-IV Database Connectivity with MySql Introduction to RDBMS, Connection with MySql Database, Performing basic database operation (DML) (Insert, Delete, Update, Select).[CO4] [CO5] | 7 |
Text Books:
1. PHP: The Complete Reference, "Steven Holzner" , Tata McGraw Hill.
2. Programming PHP, "Kevin Tetroi" , O' Reilly.
3. Robin Nixon, Learning PHP, MySQL, and JavaScript, Shroff/O'Reilly.
E-Books/ Online learning material:
1. https://www.tutorialspoint.com/php/php_tutorial.pdf
2. https://www.w3schools.com/php/
3. https://education.fsu.edu/wp-content/uploads/2015/04/Learning-PHP-MySQL-JavaScript-andCSS-2nd-Edition-1.pdf
Course Code: BVDW 504-21
Course Name: Linux Operating System
Prerequisite: Operating System
Co requisite: -NA-
Additional material required in ESE: -NA-
Course Outcomes: After completing this course, students will be able to:
Text Books:
1. Linux: The complete reference by Richard Petersen, Published by Tata McGraw- Hill Publication.
2. Linux in a Nutshell: A Desktop Quick Reference, 6th Edition by Stephen Figgins, Arnold Robbins, Ellen Siever & Robert Love Published by O'Reilly Media.
3. Linux Administration: A Beginner's Guide by Steve Shah & Wale Soyinka, Published by McGrawHill Education
4. Unix Shell Programming by Yashavant P. Kanetkar, Published by BPB Publishers.
------------------------------------------------------------------------------------------------------------------------------------------
Course Code: BVDW 505-21
Course Name: Programming with PHP Laboratory
| Program: B.Voc Web & Data Analytics | L: 0 T: 0 P: 2 |
|---|---|
| Branch: Computer Applications | Credits: 1 |
| Semester: 5th | Contact hours: 2 hours per week |
| Theory/Practical: Practical | Percentage of numerical/design problems: 100 |
| Internal max. marks: 30 | Duration of end semester exam (ESE): |
| External max. marks: 20 | Elective status: Core |
| Total marks: 50 | |
Prerequisite: Students must have the knowledge of editors like Notepad++ and Edit plus etc. Co requisite: Students must know the background of Markup Language, Front-End, Back-End & concept of Structure Query Language.
Additional material required in ESE:
Demonstration of the website of college/ specific department/specific cells etc. will be presented by the students during the final practical.
Developed Website/s must be made online by the student/s.
Printouts of the Main Page of the website must be arranged on Practical file during daily lab work and must be submitted in the final examinations.
Course Outcomes: After studying this course, students will be able to:
| CO# | Course outcomes |
|---|---|
| CO1 | Write scripts for basic web page designs |
| CO2 | Design the work flow of web page with the help of various control statements |
| CO3 | Differentiate between client side and server side scripting |
| CO4 | Illustrate the concept of static and dynamic websites |
Instructions: Instructor can increase/decrease the experiments as per the requirement.
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Reference Books:
1. PHP: The Complete Reference, "Steven Holzner" , January 1, 2007. Tata McGraw-Hill Education.
2. Programming PHP, "Kevin Tetroi", O' Reilly.
3. Published by Wiley Publishing, Inc. 10475 Crosspoint Boulevard Indianapolis, IN 46256
E-Books/ Online learning material:
1. http://cs.petrsu.ru/~musen/php/2013/Books/Beginning%20PHP%205.3%20by%20Matt%20Doyl e.pdf
2. https://www.w3schools.com/php/
Course Code: BVDW 506-21
Course Name: Linux Operating System Laboratory
Prerequisite: Operating system
Co requisite: -NA-
Additional material required in ESE: -NA-
Course Outcomes:
| CO# | Course outcomes |
|---|---|
| CO1 | Prepare the environment for installation and use of Linux operating system |
| CO2 | Write Shell Scripts |
| CO3 | Implement C programs using gcc compiler |
| CO4 | Impelment virtualization |
| CO5 | Execute commands related to grantinf and revoking user priviledges. |
Instructions:
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
- Instructor can select the commands, utilities and services to be managed on their own.
Reference Books:
1. Linux: The complete reference by Richard Petersen, Published by Tata McGraw- Hill Publication.
2. Linux in a Nutshell: A Desktop Quick Reference, 6th Edition by Stephen Figgins, Arnold Robbins, Ellen Siever & Robert Love Published by O'Reilly Media.
3. Unix Shell Programming by Yashavant P. Kanetkar, Published by BPB Publishers.
Course Code: BVDW 507-21
Course Name: Computer Networks Laboratory
Course Outcomes:
I. K. Gujral Punjab Technical University B. Voc. (Data & Web Analytics)
Recommended Hardware:
Simple Network Components, Networking Components like Switch, Router, Hub, NIC, PC/Laptop, Router, Connectivity Network lab
Text Books:
1. Computer Networks, Tanenbaum, Andrew, Fifth Edition, PHI.
2. Data Communication and Networking, Behrouz A. Forouzan, Fourth Edition.
3. Computer Today, S.K. Basandra, First Edition, Galgotia.
Course Code: BVDW601-21
Course Name: Advanced Web Technologies
Prerequisite: - basic Web Programming
Co requisite: -NA-
Additional material required in ESE: -NA-
Course Outcomes: Students will be able to:
I. K. Gujral Punjab Technical University
B. Voc. (Data & Web Analytics)
| Part B XML: Introduction to XML, XML Basics, XML Syntax and Editors, documents, Elements, Attributes. Creating XML documents. Ajax : Introduction and Use of Ajax in Website. jQuery : Introduction, jQuery UI: Date picker, auto complete, tooltip, accordion, retrieving page content, manipulating page content, working with events. Introduction to Bootstrap : Components of Bootstrap Introduction to Node.js: Node Package Manager (NPM), Node.js Webserver – Server and Clients. | 22 Hours |
|---|---|
| React: Introduction to ReactJS, Environment Setup, JSX, Components, State, Props, Validating Props, Component API, Component Life Cycle, Forms, Events | |
Text Books:
1. Steven Holzner, "PHP: The Complete Reference", TATA McGraw Hill, 2015.
2. Roger S Pressman, David Lowe, "Web Engineering: A Practitioner's Approach", TMH.
3. W. Jason Gilmore,"Beginning PHP and MySQL: From Novice to Professional", Apress.
4. "Learning PHP, MySQL, JavaScript, CSS and HTML 5", Robin Nixon, O'Reilly publication
5. Web Technologies, Black Book, dreamtech Press
6. Alex Young, "Node.js in Action", 2ed, Bradley Meck
Reference Books:
1. Jesus Caspagnetto, "Professional PHP Programming", Wrox Publication.
2. P.J. Deitel & H.M. Deitel, "Internet and World Wide Web How to program", Pearson
3. Harwani, "Developing Web Applications in PHP and AJAX", McGrawHill
4. Ralph Moseley and M. T. Savaliya, "Developing Web Applications", Wiley-India
5. HTML 5, Black Book, Dreamtech Press
Course Code: BVDW606-21
Course Name: Advanced Web Technology Laboratory
IK Gujral Punjab Technical University Jalandhar
Course Outcomes:
After studying this course, students will b e a
ble to:
B. Voc. (Data & Web Analytics), Batch-2021
| CO# | Course Outcomes |
|---|---|
| CO1 | Understand the advance concepts of website development. |
| CO2 | Provide skills to design and develop dynamic web sites. |
| CO3 | Work independently for database programming for web applications |
| CO4 | Understand concepts of jQuery methods, AJAX, Bootstrap and REACT |
| CO5 | Connect Website with an Database Server and perform basic CRUD operations. |
| CO6 | Develop market ready website, to be used by clients. |
Instructions: Instructor can increase/decrease the experiments as per the requirement.
Assignments: All the Practical Assignments need to be carried on specific applications. (Example: Inventory Management System, Bus/Airline/Railway Reservation System, Student Management System etc.)
| Practice Programs with PHP | |
|---|---|
| 1. | PHP Code to display today’s date in dd-mm-yyyy format. |
| 2. | PHP Code to check if number is prime or not. |
| 3. | PHP Code to print first 10 Fibonacci Numbers. |
| 4. | PHP Code to read data from txt file and display it in html table (the file contains info in format Name: Password: Email ) |
| 5. | PHP Script for login authentication. Design an HTML form which takes username and password from user and validate against stored username and password in file. |
| 6. | PHP Script for storing and retrieving user information from MySql table. Design A HTML page which takes Name, Address, Email and Mobile No. From user (register.php ) Store this data in MySql database / text file. Next page display all user in html table using PHP (display.php) |
| 7. | PHP Script for user authentication using PHP-MYSQL. Use session for storing username. |
| Implement the following with specific web applications | |
| 8. | Create HTML page for chosen application that contain textbox, submit / reset button. Write php program to display this information and also store into text file. |
| 9. | Create XML documents for chosen application and validate using DTD and schema. Also render the content of XML document using XSL. Scenarios include XML document must have attributes and elements so that they can be validated against DTD/Schema. Check the data types of variables declared in XML document using Schema. Display the details of data contained in XML document in a table using XSL. |
I. K. Gujral Punjab Technical University
B. Voc. (Data & Web Analytics)
10. Embed the JQuery features for the application chosen.
Perform the Scenarios using JQUERY ready function
- In login form, define username and password constraints and ensure that the credentials follow them.
- In registration form, username must be of atleast 6 characters. Password must be of atleast 8 characters and follow password constraints. Password and confirm password fields must match with each other. E-mail id must be of the form "email@example.com". Mobile number must be of 10 digits only and starting digit must be any number from 6-9 etc…
- Use the get and post methods for server side communication.
11. Modify the specific web applications to use AJAX to show the result on the same page.
12. Enhance functionality of the specific web applications using BOOTSTRAP
13. Create a responsive Photo Gallery in BOOTSTRAP
14. Suppose you have a list of Students having Student's Name, Roll Number, Marks in five subjects, Show this list in a responsive table in BOOTSTRAP
15. Modify your answer for above question with PHP and MYSQL database and Perform CRUD operations with AJAX
16. Build a Password Strength Check App with JQuery. You can use AJAX for form validation and add an alert when the user enters a weak password.
17. Build a Registration Form and Validate it with JQuery. Registration Form must have at least 10 elements.
CO#
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
| 18. | Design a Sign In, Sign Up and Forgot Password Page with BOOTSTRAP. Use PHP and MYSQL to store Sign Up data in Database. |
|---|---|
| 19 | Create a Star Rating System in JQuery. |
| 20 | Create a simple To-do list Application with REACT |
| 21 | Create a Calculator with REACT |
| 22 | Create a Photo Gallery with REACT. Also implement search operation |
| 23 | How can you create a Portfolio App with Node.js? |
| 24 | Create a simple Shopping Cart with REACT and Node.js |
| 25 | Modify your Shipping Cart with JQuery, JSON and AJAX functionality. |
Reference Books:
1. Roger S Pressman, David Lowe, "Web Engineering: A Practitioner's Approach",
TMH.
2. Steven Holzner, "PHP: The Complete Reference", TATA McGraw Hill, 2015.
3. W. Jason Gilmore,"Beginning PHP and MySQL: From Novice to Professional",
Course outcomes
Apress.
4. Learning PHP, MySQL, JavaScript, CSS and HTML 5, Robin Nixon, O'Reilly publication
Course Code: BVDW602-21
Course Name: Business Intelligence
Prerequisite:
Co requisite: -NA-
Additional material required in ESE: -NA
Course Outcomes: After completing this course, students will be able to:
I. K. Gujral Punjab Technical University
B. Voc. (Data & Web Analytics)
| Detailed contents | Contact hours |
|---|---|
| Unit-I DECISION SUPPORT SYSTEMS AND BUSINESS INTELLIGENCE The Concept of Decision Support Systems – A Framework for Business Intelligence - Effective and timely decisions – A Work System View of Decision Support – The Major Tools and Techniques of Managerial Decision Support - Data, information and knowledge – Role of mathematical models – Business intelligence architectures: Cycle of a business intelligence analysis – Enabling factors in business intelligence projects – Development of a business intelligence system | 10 |
| Unit-II BASICS OF DATA INTEGRATION ETL Concepts of data integration - need and advantages of using data integration - introduction to common data integration approaches - introduction to ETL - introduction to data quality, data profiling concepts and applications. Introduction to data and dimension modeling - multidimensional data model - ER Modeling vs. multi-dimensional modeling - concepts of dimensions, facts, cubes, attribute, hierarchies, star and snowflake schema. | 10 |
Course Code: BVDW603-21
Course Name: Data Visualization
Prerequisite: -NA
Co Requisite: -NA
Co Requisite: -NA
Additional material required in ESE: -NA
Course Outcomes:
Students will be able to:
I. K. Gujral Punjab Technical University B. Voc. (Data & Web Analytics)
Unit 1
Introduction of visual perception, visual representation of data, Gestalt principles, information overloads.
Creating visual representations, visualization reference model, visual mapping, visual analytics, Design of visualization applications. [co1]
Unit 2
Classification of visualization systems, Interaction and visualization techniques misleading, Visualization of one, two and multi-dimensional data, text and text documents. [co2]
Unit 3
Visualization of volumetric data, vector fields, processes and simulations, Visualization of maps, geographic information, GIS systems, collaborative visualizations, Evaluating visualizations. [co2]
Unit 4
Recent trends in various perception techniques, various visualization techniques, data structures used in data visualization.
TOOLS: Programming Statistical Data Visualization, Google Map API, Google Chart, Tableau - Heat Map Generation [co3]
I. K. Gujral Punjab Technical University Bachelor of Science in Data Analytic (B Sc. Data Analytics)
Suggested Books:
1. Jon Raasch, Graham Murray, Vadim Ogievetsky, Joseph Lowery, "JavaScript and jQuery for Data Analysis and Visualization", WROX
2. Ritchie S. King, Visual story telling with D3" Pearson
3. Ben Fry, "Visualizing data: Exploring and explaining data with the processing environment", O'Reilly, 2008.
4. A Julie Steele and Noah Iliinsky, Designing Data Visualizations: Representing Informational Relationships, O'Relly
5. Andy Kirk, Data Visualization: A Successful Design Process, PAKT
6. Scott Murray, Interactive Data Visualization for Web, O'Relly
7. Nathan Yau, "Data Points: Visualization that means something", Wiley, 2013.
8. Tamara Munzner, Visualization Analysis and Design, AK Peters Visualization Series, CRC Press, Nov. 2014
Course Code: BVDW605-21
Course Name: Data Visualization Laboratory
Program: B. Voc. (Data &Web Analytics) L: 0T: 0P:4
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
Prerequisite: - Logics of basic programming terminologies
Co requisite: - Simulation Study.
Additional material required in ESE: -Record the Simulation Results on
Practical File.
Course Outcomes: Students will be able to:
Instructions: All programs are to be developed in R Programming Language.
I. K. Gujral Punjab Technical University
B. Voc. (Data & Web Analytics)
1. Loading and Distinguishing Dependent and Independent
parameters 2. Exploring Data Visualization tools
3. Drawing Charts
4. Drawing Graphs
5. Data mapping
6. Creating Scatter Plot maps
7. Using BNF Notations
8. Working with REGEX
9. Visualize Network Data
10. Understanding Data Visualization frameworks
11. Design applications to implement Google Map API, Google Chart,
Tableau - Heat Map Generation
Reference Books:
1. E. Tufte, The Visual Display of Quantitative Information, Graphics Press. 2nd Edition, 2001
2. Alexandru C Telea, Data Visualization: Principles and Practice, 2nd Edition, 2014
3. Wang Kaining, Infographic & Data Visualizations, sew Edition. 2013
4. Andy Krik, Data Visualisation: A Handbook for Data Driven Design, 1st Edition, 2016
Course Code: BVDW604-21
Course Name: Web Analytics
Prerequisite:
Co requisite: -NA
Additional material required in ESE: -NA
Course Outcomes: After completing this course, students will be able to:
| CO# | Course outcomes |
|---|---|
| CO1 | Understand the concept and importance of Web analytics in an organization and the role of Web analytic in collecting, analyzing and reporting website traffic. |
| CO2 | Identify key tools and diagnostics associated with Web analytics |
I. K. Gujral Punjab Technical University
B. Voc. (Data & Web Analytics)
Unit-IV
OVERVIEW OF QUALITATIVE ANALYSIS: Lab Usability Testing Heuristic Evaluations- Site Visits- Surveys (Questionnaires) - Testing and Experimentation: A/B Testing and Multivariate Testing-Competitive Intelligence - Analysis Search Analytics: Performing Internal Site Search Analytics, Search Engine Optimization (SEO) and Pay per Click (PPC)- Website Optimization against KPIs- Content optimizationFunnel/Goal optimization - Text Analytics: Natural Language Processing (NLP)Supervised Machine Learning (ML) Algorithms-API and Web data scarping using R and Python
Text Books:
1 Beasley M, (2013), Practical web analytics for user experience: How analytics can help you understand your users. Newnes, 1st edition, Morgan Kaufmann.
2 Sponder M, (2013), Social media analytics: Effective tools for building, interpreting, and using metrics, 1st edition, McGraw Hill Professional.
3 Clifton B, (2012), Advanced Web Metrics with Google Analytics, 3rd edition, John Wiley & Sons.
Web resources:
[1] https://analytics.google.com/analytics/web/
[2]https://www.optimizely.com
/optimization-glossary/web- analytics/
[3
]https://www.tutorialspoin t.c
om/web_analytics/web_analyti cs_introduction.htm
Course Code: BVDW607-21
Course Name: Web Analytics Laboratory
Detailed list of Tasks:
1. Working concept of web analytics.
2. Evaluation with Intermediate metrics, custom metrics, calculated metrics.
IK Gujral Punjab Technical University Jalandhar
B. Voc. (Data & Web Analytics), Batch-2021
3. Collection of web data and other internet data with the help of web analytics.
4. Delivering reports based on collected data.
5. Implement the concept of web analytics ecosystem.
6. Creation of segmentation in web analytics.
7. Visualization, acquisition and conversions of web analytics data.
8. Performing site search analytics.
9. Analyse the web analytic reports and visualizations.
10. Performing visual web analytics.
|
MARKSCHEME
November 2014
MATHEMATICAL STUDIES
Standard Level
Paper 1
This markscheme is the property of the International Baccalaureate and must not be reproduced or distributed to any other person without the authorization of the IB Assessment Centre.
Notes:
Paper 1 Markscheme Instructions to Examiners
If in doubt about these instructions or any other marking issues, contact your team leader for clarification.
The number of marks for each question is 6.
1 Abbreviations
The markscheme may make use of the following abbreviations:
M Marks awarded for Method
A
Marks awarded for an Answer or for Accuracy
C Marks awarded for Correct answers (irrespective of working shown)
R Marks awarded for clear Reasoning
ft Marks that can be awarded as follow through from previous results in the question
2 Method of Marking
(a) All marking must be done in RM Assessor using the mathematical studies annotations and in accordance with the current document for guidance in e-marking Mathematical Studies SL. It is essential that you read this document before you start marking.
(b) If the candidate has full marks on a question use the C6 annotation, if the candidate has made an attempt but scores zero marks use C0. If there is no attempt use the No response button. If a candidate does not score full or zero marks then full annotations MUST be shown.
(c) In this paper, if the correct answer is seen on the answer line the maximum mark is awarded. There is no need to check the working! Award C marks and move on.
(d) If the answer does not appear on the answer line, but the correct answer is seen in the working box with no subsequent working, award the maximum mark.
(e) If the answer is wrong, marks should be awarded for the working according to the markscheme.
(f) Working crossed out by the candidate should not be awarded any marks. Where candidates have written two solutions to a question, only the first solution should be marked.
(g) A correct answer in the working box transcribed inaccurately to the answer line can receive full marks.
(h) If correct working results in a correct answer in the working box but then further working is developed, full marks should not be awarded. In most such cases it will be a single final answer mark that is lost, however, a statement on the answer line should always be taken as the candidate's final decision on the answer as long as it is unambiguous.
Accuracy of numerical answers is an exception to this rule – see Section 5.
Example: Factorise 2 5 6 x x − −
| Markscheme | Candidates’ Scripts |
|---|---|
| (x−6) (x+1) (A1)(A1) | |
3 Follow through (ft) Marks
Errors made at any step of a solution affect all working that follows. To limit the severity of the penalty, follow through (ft) marks can be awarded. Markschemes will indicate where it is appropriate to apply follow through in a question with '(ft)'.
(a) Follow through applies only from one part of a question to a subsequent part of the question. Follow through does not apply within the same part.
(b) If an answer resulting from follow through is extremely unrealistic (eg, negative distances or incorrect by large order of magnitude) then the final A mark should not be awarded.
(c) If a question is transformed by an error into a different, much simpler question then follow through may not apply.
.
(d) To award follow through marks for a question part, there must be working present for that part An isolated follow through answer, without working is regarded as incorrect and receives no marks even if it is approximately correct.
(e) The exception to the above would be in a question which is testing the candidate's use of the GDC, where working will not be expected. The markscheme will clearly indicate where this applies.
(f) Inadvertent use of radians will be penalised the first time it occurs. The markscheme will give clear instructions to ensure that only one mark per paper can be lost for the use of radians.
Example: Finding angles and lengths using trigonometry
4 Using the Markscheme
(a) A marks are dependent on the preceding M mark being awarded, it is not possible to award (M0)(A1). Once an (M0) has been awarded, all subsequent A marks are lost in that part of the question, even if calculations are performed correctly, until the next M mark. The only exception will be for an answer where the accuracy is specified in the question – see section 5.
(b) A marks are dependent on the R mark being awarded, it is not possible to award (A1)(R0) Hence the (A1) is not awarded for a correct answer if no reason or the wrong reason is given.
.
(c) Alternative methods may not always be included. Thus, if an answer is wrong then the working must be carefully analysed in order that marks are awarded for a different method consistent with the markscheme. Where alternative methods for complete questions are included in the markscheme, they are indicated
(d) Unless the question specifies otherwise, accept equivalent forms. For example: sin cos θ for tan θ . On the markscheme, these equivalent numerical or algebraic forms will sometimes be written in brackets after the required answer. Where numerical answers are required as the final answer to a part of a question in the markscheme,
by 'OR'etc.
the scheme will show, in order:
the 3 significant figure answer worked through from full calculator display;
the full calculator display in the form 2.83163… as in the example above. Where answers are given to 3 significant figures and are then used in subsequent parts of the question leading to a different 3 significant figure answer, these solutions will also be given.
(e) As this is an international examination, all valid alternative forms of notation should be accepted. Some examples of these are:
Decimal points: 1.7; 1'7; 1 7 ⋅ ; 1,7 .
Decimal numbers less than 1 may be written with or without a leading zero: 0.49 or .49 .
Different descriptions of an interval: 3 <x< 5; (3, 5); ] 3, 5 [ .
Different forms of notation for set properties (e.g. complement): ; ; ; ;( c A A A U A A ′ − ;U \ A.
Different forms of logic notation:
p q ⇒; p q →; q p ⇐.
Significance level may be written as α.
(f) Discretionary marks: There will be very rare occasions where the markscheme does not cover the work seen. In such cases the annotation DM should be used to indicate where an examiner has used discretion. Discretion should be used sparingly and if there is doubt an exception should be raised through RM Assessor to the team leader.
As with previous sessions there will be no whole paper penalty marks for accuracy AP, financial accuracy FP and units UP. Instead these skills will be assessed in particular questions and the marks applied according to the rules given in sections 5, 6 and 7 below.
5 Accuracy of Answers
Incorrect accuracy should be penalized once only in each question according to the rules below.
Unless otherwise stated in the question, all numerical answers should be given exactly or correct to 3 significant figures.
1. If the candidate's answer is seen to 4 sf or greater and would round to the required 3 sf answer, then award (A1) and ignore subsequent rounding.
Note: The unrounded answer may appear in either the working box or on the final answer line.
2. If the candidate's unrounded answer is not seen then award (A1) if the answer given is correctly rounded to 2 or more significant figures, otherwise (A0).
Note: If the candidate's unrounded answer is not seen and the answer is given correct to 1 sf (correct or not), the answer will be considered wrong and will not count as incorrect accuracy. If this answer is used in subsequent parts, then working must be shown for further marks to be awarded.
3. If a correct 2 sf answer is used in subsequent parts, then working must be shown for further marks to be awarded. (This treatment is the same as for following through from an incorrect answer.)
These 3 points (see numbers in superscript) have been summarized in the table below and illustrated in the examples which follow.
| | Exact or to 4 or more sf (and would round to the correct 3 sf) | Correct to 3 sf | Incorrect to 3 sf | Correct to 2 sf 3 | Incorrect to 2 sf | Correct or incorrect to 1 sf |
|---|---|---|---|---|---|---|
| Unrounded answer seen1 | Award the final (A1) irrespective of correct or incorrect rounding | | | | | |
| Unrounded answer not seen2 | (A1) | (A1) | (A0) | (A1) | (A0) | (A0) |
| Treatment of subsequent parts | As per MS | | Treat as follow through, only if working is seen.3 | | | |
Examples:
| Markscheme | Candidates’ Scripts |
|---|---|
| 9.43 (9.43398) (A1) | |
Example: ABC is a right angled triangle with angle ABC 90 , AC 32 cm = = and AB 30 cm = . Find (a) the length of BC, (b) The area of triangle ABC.
| Markscheme | Candidates’ Scripts | Marking |
|---|---|---|
| (a) BC= 322 −302 (M1) Award (M1) for correct substitution in Pythagoras’ formula =11.1 ( 124,11.1355... )(cm) (A1) 1 (b) Area= ×30 ×11.1355... (M1) 2 Award (M1) for correct substitution in area of triangle formula =167(167.032...)(cm 2) (A1)(ft) | (a) BC= 322 −302 (M1) 11(cm) (A1) (2 sf answer only seen, but correct) (b) case (i) 1 Area= ×30 ×11 (M1) 2 (working shown) =165 (cm 2) (A1)(ft) case (ii) =165 (cm 2) (M0)(A0)(ft) (No working shown, the answer 11 is treated as a ft, so no marks awarded here) | |
Rounding of an exact answer to 3 significant figures should be accepted if performed correctly.
Exact answers such as 1 4 can be written as decimals to fewer than 3 significant figures if the result is still exact. Reduction of a fraction to its lowest terms is not essential, however where an answer simplifies to an integer this is expected.
Ratios of π and answers taking the form of square roots of integers or any rational power of an integer (e.g. 2 3 4 13, 2 , 5 ,) may be accepted as exact answers. All other powers (eg, of non-integers) and values of transcendental functions such as sine and cosine must be evaluated.
If the level of accuracy is specified in the question, a mark will be allocated for giving the answer to the required accuracy. In all such cases the final mark is not awarded if the rounding does not follow the instructions given in the question. A mark for specified accuracy can be regarded as a (ft) mark regardless of an immediately preceding (M0).
Certain answers obtained from the GDC are worth 2 marks and working will not be seen. In these cases only one mark should be lost for accuracy.
eg, Chi-squared, correlation coefficient, mean
| Markscheme | Candidates’ Scripts |
|---|---|
| Chi-squared 7.68 (7.67543) (A2) | |
Regression line
| Markscheme | Candidates’ Scripts | Marking |
|---|---|---|
| y=0.888x+13.5 (A2) (y=0.887686x+13.4895) If an answer is not in the form of an equation award at most (A1)(A0). | (a) y=0.89x+13 (A2) (both accepted) (b) y=0.88x+13 (A1) (one rounding error) (c) y=0.88x+14 (A1) (rounding error repeated) (d) (i) y=0.9x+13 (ii) y=0.8x+13 (A1) (1 sf not accepted) (e) 0.88x +14 (A0) (two rounding errors and not an equation) | |
Maximum/minimum/points of intersection
| Markscheme | Candidates’ Scripts | Marking |
|---|---|---|
| (2.06, 4.49) (A1)(A1) (2.06020, 4.49253) | (a) (2.1, 4.5) (A1)(A1) (both accepted) (b) (A1) (2.0, 4.4) (same rounding error twice) (c) (2.06, 4.4) (A1) (one rounding error) (d) (2, 4.4) (A0) (1sf not accepted, one rounding error) | |
6 Level of accuracy in finance questions
The accuracy level required for answers will be specified in all questions involving money. This will usually be either whole units or two decimal places. The first answer not given to the specified level of accuracy will not be awarded the final A mark. The markscheme will give clear instructions to ensure that only one mark per paper can be lost for incorrect accuracy in a financial question.
Example: A financial question demands accuracy correct to 2 dp.
| Markscheme | Candidates’ Scripts | Marking |
|---|---|---|
| $231.62 (231.6189) (A1) | (i) 231.6 (A0) (ii) 232 (A0) (Correct rounding to incorrect level) (iii) 231.61 (A0) (iv) 232.00 (A0) (Parts (iii) and (iv) are both incorrect rounding to correct level) | |
7 Units in answers
There will be specific questions for which the units are required and this will be indicated clearly in the markscheme. The first correct answer with no units or incorrect units will not be awarded the final A mark. The markscheme will give clear instructions to ensure that only one or two marks per paper can be lost for lack of units or incorrect units.
The units are considered only when the numerical answer is awarded (A1) under the accuracy rules given in Section 5.
If no method is shown and the answer is correct but with incorrect or missing units award the C marks with a one mark penalty.
8 Graphic Display Calculators
Candidates will often obtain solutions directly from their calculators. They must use mathematical notation, not calculator notation. No method marks can be awarded for incorrect answers supported only by calculator notation. The comment "I used my GDC" cannot receive a method mark.
Note: Award (M1) for correct substitution into the distance formula.
Note: Award (M1) for dividing their BD by 2, (M1) for correct substitution into the area of triangle formula, (M1) for adding two triangles (or multiplied by 2).
Accept alternative methods:
Area of kite 0.5 500 their part (a) = × × .
Award (M1) for stating kite formula.
Award (M1) for correctly substituting in 500 .
Award (M1) for correctly substituting in their part (a).
Note: Accept 99.9522 if 3 sf answer is used from part (a).
(b) (i) 60
(A1)
Notes: Award (M1) for an attempt to substitute into the "mean of a set of data" formula, with at least three correct terms in the numerator.
Follow through from part (b)(i), only if work is seen.
Denominator must be 60.
= 4.03 (4.03333…)
(A1)
Notes: Award at most (M1)(A0) for an answer of 4 but only if working seen.
(ii) 1.54 (1.53803…)
(A1)
(C3)
4. (a)
0.97 3550 ×
1.95
(M1)(M1)(M1)
Note: Award (M1) for 0.97 seen, (M1) for 0.97 3550 × , (M1) for division by 1.95.
OR
Note: Award (M1) for 0.03 3550 × seen, (M1) for subtracting 0.03 3550 × from 3550, (M1) for division by 1.95.
Note: Award (M1) for subtraction of 34.50 from their product of 20 1.90 × .
Notes: Award at most (M1)(A0) for an answer of 4, but only if working seen.
5. (a) If I do not break my arm, then it will not hurt
(A1)(A1) (C2)
Note: Award (A1) for “if… then…”
For Spanish candidates,onlyaccept "Si" and "entonces".
Award(A1) for "not break my arm" and "not hurt" in correct order.
| p | q | p⇒q | Inverse of p⇒q | Converse of p⇒q |
|---|---|---|---|---|
| T | T | T | T | T |
| T | F | F | T | T |
| F | T | T | F | F |
| F | F | T | T | T |
(A1)(A1)
(C2)
Notes: Award (A1) for each correct column.
(c)
logically equivalent last two columns of the truth table are identical
Notes: Do not award (A1)(ft)(R0).
Follow through from the last two columns of the table in part (a).
(A1)(ft)
(R1)(ft)
(C2)
6.
24
(a)
900000 1
15
12 100
FV =
+
×
Note: Award (M1) for substitution in the compound interest formula (either FV or interest), do not penalize if PV − not seen. Award (A1) for correct substitution.
OR
N =
I%
2 =
PV
15
= 900000
P/Y 1 =
C/Y 12 =
Note: Award (A1) for C/Y 12 = seen, (M1) for other correct entries.
OR
N =
I%
24 =
PV
15 =
P/Y
900000
=12
C/Y 12 =
Note: Award (A1) for C/Y 12 = seen, (M1) for other correct entries.
interest 312615.945
=
(M1)(A1)
(A1)(M1)
(A1)(M1)
(A1)
= 312600 (KHR)
(A1) (ft)
(C4)
.
Notes: Award the final (A1) for the correct rounding of their unrounded answer. If final amount is 1 212 600 and working is shown award (M1)(A1)(A0)(A1)(ft) Award (A2) for ) 121 60 ( 2 0 FV = if no working is seen.
(b)
5
3.126 10 ×
(A1)(ft)(A1)(ft) (C2)
Notes: Award (A1)(ft) for their 3.126 (3.13), (A1)(ft) for 5 10 × . Follow through from part (a).
OR
600 150 (6 1) m
= + −
Note:
Award (M1) for correct substitution into gradient formula or arithmetic sequence formula.
= 90
(b) the annual rate of growth of the number of apartments
Note: Do not accept common difference.
(c) 150 90 (1)
n
= × +
(M1)
(A1)
(A1)
(M1)
Note: Award (M1) for correct substitution of their gradient and one of the given points into the equation of a straight line.
Note: Follow through from part (a).
(d) the initial number of apartments
Note: Do not accept "first number in the sequence".
(A1)
(C1)
[6 marks]
(C2)
(C1)
Note: Award (A3) if all four letters placed correctly, (A2) if three letters are placed correctly, (A1) if two letters are placed correctly.
(b) (i) Rhombus and rectangleORH and R
(ii) Scalene triangleORT
Notes: Award (A1) for a list R, H, I, P seen (identifying the union). Follow through from their part (a).
(a) 2 2 44
+ = x y
Note: Accept equivalent forms.
(b)
112
xy=
(c) 8, 14
Notes: Accept 8, 14 x y = = OR 14, 8 x y = = Follow through from their answers to parts (a) and (b) only if both values are positive.
(d)
100
112
1250
×
Note: Award (M1) for 112 divided by 1250.
= 8.96
Note: Do not penalize if percentage sign seen.
9.
(A1)
(A3)
(A1) (ft)
(A2) (ft)
(A1)
(A1)
(ft) (A1) (ft)
(M1)
(A1)
(C3)
(C3)
[6 marks]
(C1)
(C1)
(C2)
(C2)
10.
11.
(a) H
0
: Choice of morning snack is independent of (not dependent on)
gender.
(A1)
(C1)
Note: Accept there is "no association" between snack chosen and gender. Do not accept "not related" or "not correlated" or "influenced".
(c)
210 150 ×
350
(M1)
Note: Award (M1) for correct substitution in the correct formula.
= 90
(d) Null hypothesis is accepted (not rejected).
(A1)
(A1)
OR
Choice of morning snack is independent of gender (A1)
3.576 5.99 < OR
2
2
calc crit
χ χ <
(R1)
Note: Do not award
(a) (i)
(A1)(R0)
( 1, 0) −
(C2)
[6 marks]
(A1)
Note: Accept 1 −.
Notes: Award (A1)(ft) for both correct endpoints of the interval, (A1) for correct strict inequalities (or correct open interval notation). Follow through from part (b).
[6 marks]
.
(C2)
13. For parts (a) and (b) only, the first time a correct answer has incorrect or missing units, the final (A1) is not awarded.
Note: Award(M1) for correct substitution.
Note: Units are required.
Note: Award(M1) for correct substitution.
Note: Units are required, unless already omitted in part (a).
Note: Award(M1) for correct substitution.
14. (a)
vertical straight line which may be dotted passing through
1 , 0
−
(b) point M ( 3, 0) − correctly marked on the
x-axis
Note: Follow through from part (a).
(c) (i)
1 b=, 6 c= −
Notes: Follow through from (b).
(ii) smooth parabola passing through M and N
(A1)
(A1)
(A1)
(ft)
(ft) (A1) (ft)
(A1) (ft)
Note: Follow through from their point M from part (b).
parabola passing through ( ) 0, 6 − and symmetrical about 0.5 x = − (A1)(ft) (C4)
Note: Follow through from part (c)(i).
If parabola is not smooth and not concave up award
at most(A1)(A0).
[6 marks]
2
(C1)
(C1)
15. (a) 2 2 – a x x
Notes: Award (A1) for 2x, (A1) for –a and (A1) for 2 − x . Award at most (A1)(A1)(A0) if extra terms are present.
(b)
a
2
2(1)
14
1
− = −
Note: Award (M1) for substituting 1 into their gradient function, (M1) for equating their gradient function to 14 − .
Award (M0)(M0)(A0) if the original function is used instead of the gradient function.
a 16 =
Note: Follow through from their gradient function from part (a).
(A1)(A1)(A1) (C3)
(M1)(M1)
(A1)(ft) (C3)
|
Power to the Women? Viennese
Journalism in the Interwar Period Josef Seethaler and Christian Oggolder
With the emergence of the mass press in late nineteenth-century Austria, newspapers provided the main forum for public discourse, and journalism became a source of power. Thus, investigating the participation of women in journalism can also be seen as an analysis of power in the sense of control over (information) resources. Based on one of Foucault's concepts, the study differentiates between changes in the distribution of power inside journalism ('power to') and those forces that had sufficient power ('power over') to promote the involvement of women in the business of daily journalism in Austria during one of its heydays in the 1920s. The editorial line, which provides the central rationale for journalistic action, and market orientation, which provides the main rationale for entrepreneurial action, are considered as the two main factors capable of influencing the participation of women in journalistic power. Furthermore, we ask for biographical circumstances, which promoted women's career opportunities within this male-dominated business.
Keywords: First Austrian Republic, interwar period, media history, women in journalism
Power to the Women? Viennese Journalism in the Interwar Period
Josef Seethaler and Christian Oggolder
With the emergence of the mass press (in Austria in the late nineteenth century), newspapers provided the main forum for public discourse, and journalism became a source of power. Ever since, the criteria on which journalists act have been increasingly determining which topics and world-views will be discussed in the public arena. The degree of responsibility thus borne underlines the imperative need that the socio-demographic structure of journalism should – ideally, and in a democratic context – broadly match that of the population in whose interests journalism should be acting. This applies with particular force, though not exclusively, to equal treatment of the sexes (Inglehart et al., 2002).
It is with such issues in mind that the present study sets out to enquire whether, and to what extent, women gained entry to news journalism during the First Austrian Republic (1918–34), that is, during the brief era of democratic structures in the interwar period, and what factors on the media side were conducive to such entry. Placed within an analytical framework of power relations, which focuses less on 'what power is' and more on 'how it operates' (Deacon, 2002, 91), the study explores the influences journalistic organizations (such as editorial departments) and media organizations, as the two main holders of power in the newspaper industry, exert on the role of women in journalism (and how it was actually configured by female journalists). It is hypothesized that, on the one hand, a particular editorial line and, on the other hand, a particular market position of a newspaper enhanced the participation of women in journalistic activities.
Given the long history of the dominance of a 'masculine' professional image in connection with journalism – in particular with (daily) news and current affairs coverage – one initial premise must be that any relaxation of restrictions on entry, and a fortiori the granting of access to hitherto excluded categories of person, will be associated with a redistribution of power inside the profession. But as possession of power has a strong inherent tendency to become entrenched, any such process would require suitable internal and external conditions to initiate it and drive it forward.
The daily press was chosen as the subject of the study because it, more than anything else, was the forum through which, in the countries of Central and Northern Europe, after the democratization processes of the late nineteenth century, a general political public was enabled to find a voice and become a reality; and it has accordingly – in spite of competition from television – played a role of major importance in political communication ever since (Hallin and Mancini, 2004; Seethaler and Melischek, 2007). No doubt the contribution of women to journalism cannot be adequately determined by focusing on the daily press alone (Beasley, 2001; Kinnebrock, 2009). Nonetheless, the social permeability of journalism must be judged by whether and to what extent it was possible for women to find their way into its 'core activity', daily news reporting, and thus to advance 'from the
women's pages to the front page' (Mills, 1988). Concentration of the study on the metropolis of Vienna, as will be shown below, reflects the availability of sources, which permit a broader, Austria-wide field of enquiry only with regard to certain individual issues.
The First Austrian Republic: Socio-political Changes, and Changes in Media Structure
In the daily press sector too there were structural developments that changed the fundamentals of the working environment for the actors concerned. Where the functional proximity of newspaper and party in the early days of the modern party system had brought about a close relationship that was to reach a new and transient high point in the context of communications intensification and the emergence of new political players during the transitional phase 1918–20, now by contrast the young Republic encouraged a process of decoupling of politics and media that had in fact begun before the expiry of the Habsburg monarchy (Melischek and Seethaler, 2005).
There were several reasons for choosing the period of the First Republic. On the socio-political front, the women's movement recorded a number of successes. With the founding of the Republic on 12 November 1918, Austria became one of the first few countries worldwide to introduce active as well as passive voting rights for women, and a year later it became possible for girls to be taught at public Mittelschulen (secondary schools). The opportunities thus created for participation in political life and for attainment of the university admission qualification, which was no longer burdened by high fees, certainly constituted two of the most important basic preconditions for advance up the – long – road that led to the establishment of social parity for women and men. On the employment scene, in parallel, a sustained restructuring process was under way, pressing vigorously in the same direction. Thus in Vienna there was significant growth between 1910 and 1934 in the proportion of women employed in trade and industry (from 28.4 to 32.4 percent) and in commerce, transport and finance (from 25.1 to 30.6 percent), but, more importantly, there were also considerable increases in the public sector and the free professions (from 21 to 35 percent). This trend, only slightly less marked across Austria as a whole, is evidence that employed status had become a fact of life for a growing contingent of women – even though the social role images failed to keep pace with this development and even though the end of the First Republic saw the conservative government's introduction of measures restricting women's work because of pressures generated by the economic slump (Rigler, 1976, 144–50).
It had been as early as the turn of the century (and particularly after the discontinuation of the Zeitungsstempel [stamp tax] in 1900), in the tradition of the local press, and made possible by economic, socio-demographic and technical
developments, that the popular, politically independent mass newspaper emerged as a new category and positioned itself successfully in the market. Under democratic conditions this process was bound to gather momentum, because reduction in external sanctioning mechanisms correspondingly enhances the effectiveness of modern news media's logic of action. It was for this reason that, after the transitional phase, the political party press was unable to hold its initial market share of 20 percent. It was only in the late 1920s that it was able to grow its share again, and then only as a result of the decision by the two big parties to launch newspapers that were modelled on the high-circulation popular papers.
While fully researched data on the situation of women journalists in Austria following the Second World War have been available since Hausjell's (1989) group-biographical study of daily newspaper journalism at the beginning of the Second Republic, there is still only scanty and fragmentary information relating to the very period in which the development of the press took a course that was to have a sustained impact on the structures of the media system, imposing changes that persist to this day (Hallin and Mancini, 2004). According to the latest survey results, the proportion of women in Austrian journalism stands at 42 percent; their representation is lowest, however, in the daily press sector, at 33.5 percent, and even in Vienna (35 percent) it is only marginally higher (Kaltenbrunner et al., 2007). For purposes of comparison: Hausjell's study (1989, 314) yielded a figure of about 12 percent for the early years of the Second Republic (1945–7), both nationwide and for Vienna; in terms of permanent editorial staff, Vienna was ahead at 8.1 percent (against 7 percent Austria-wide). 1 How this development took off – Beasley and Gibbons (2003, 81) locate it for the United States in the years 1910–20, which
In contrast to the traditional party press, the popular papers contributed to expansion of the newspaper public by inclusion of readers from ever wider social strata, a development founded on the steady fall in average cover prices during the entire period from the beginning of the century to the beginning of postwar inflation, and leading in its turn by the beginning of the 1930s to far-reaching market saturation (Melischek and Seethaler, 2000). Market saturation eventually resulted in intensified competition and hence also in greater product differentiation and focus on target groups (in the Vienna of that period, an average day saw the publication of some 25 to 30 daily papers, with a total circulation of up to 1.4 million – this for a population of not quite 1.9 million); this was reflected in the rapid development of cover-price spread, after a long spell of stable, closely bunched prices following the inflation period, to the point where the most expensive titles sold at four times the price of the cheapest. For the majority of newspapers, this meant that, among criteria determining the – thoroughly adaptable – editorial line, reader-paper loyalties to a particular paper now played a more significant role, and loyalty to political institutions correspondingly less.
saw a tripling in numbers of permanent full-time female journalists – and what factors were involved is an issue that remains largely unresolved. One solitary dissertation dating from the 1960s provides an indication of the status of female journalists in the First Republic, stating that in 1927 'approximately 20 women' had been employed on the editorial staff on the Vienna daily and weekly newspapers; this would have represented a 5 percent share (Hölzl, 1965, 41). These figures, rated by the dissertation's author as 'respectable', were later interpreted as indicating that Austrian women journalists had not managed during the interwar period to progress towards emancipation (Hausjell, 1989, 318).
The study on which we report in this article is thus an attempt to throw light on a long-neglected chapter of Austrian media and newspaper history through empirical investigation, although it can only supply a part of the necessary systematic analysis of the role played by women in the development of Austrian journalism.
A Theoretical Perspective: Journalism and Power
Power in journalism, in the sense of 'power over', accrues both to journalistic organizations (particularly editorial departments) and to media organizations, which in their respective capacities as organizations of information production and information
Issues of social equality invariably being issues of the distribution of social power, as observed in the opening remarks, it appears desirable to base the study on an analytical model that attempts to describe power relations in theoretical terms. Originally formulated by Foucault (1982), the concept has since been applied both to feminist studies and to research in public relations and journalism (e.g. Aldoorey et al., 2008; Allen, 2009; Altmeppen, 2007). Essentially the analysis will begin from a differentiated reading of power as disposal and control over resources and events and will proceed along the two dimensions of 'power to' and 'power over', that is, with reference to the issues of who holds power and over whom power is exercised. According to these two dimensions, the points of interest are both the distribution of power inside journalism ('power to') and those forces that have sufficient power ('power over') to secure the involvement of women in the information production process, that is, to give them the opportunity, in the sense of 'power to', to do something that without the means of exercising power they could not do. Writing with reference to gender differences in the evaluation of political matters, Bourdieu (1984) noted the great significance of both the right and the authority to argue in political terms (and this reciprocal determination obtains in other spheres besides the political). Professional competence, in this view, is based essentially on social competence, that is on a right granted qua status to exercise a specific capability in practice and thus to have it at one's disposal: 'Only those who ought to have it can really acquire it and only those who are authorized to have it feel called upon to acquire it' (Bourdieu, 1984, 410). Professional competence is intimately linked to the power to exercise it in practice.
distribution share a relationship of reciprocal interdependence, while simultaneously maintaining complex power relations with their outside environment. Journalism – to put it briefly – depends, if it is to fulfil its function, on the resources put at its disposal by the media organizations, and also on information providers from other societal systems such as politics, economics, culture and sport; its activities are influenced by institutional arrangements (ranging from in-house agreements to wage settlements). Media organizations, by contrast, are dependent on the material journalistic organizations produce as well as on funding sources, whether these be advertising clients or political parties; the way they act is determined by competition structures and audience structures. Their capacity, deriving from their core competences, to exercise power over opinion or markets gives journalistic organizations and media organizations alike the means by which, within their mutual relationship, they can pursue their respective interests.
In terms of the socio-political and the press-specific economic conditions obtaining during the First Republic – outlined above – it can be assumed that, notwithstanding traditional gender role ascriptions transcending social boundaries, the according of equal political status to women had found greater acceptance in left and liberal circles, at least as a formal or legalistic notion, as described by Todorov (1991) with regard to the Weimar Republic. Thus the first hypothesis reads as follows: a left or liberal editorial line ought to correlate with a higher proportion of women editorial staff.
Arguing further from this, the editorial line, as one of the central journalistic rationales for action, and market orientation, as the guideline for entrepreneurial action, will be defined as the factors capable of influencing the participation of women in journalistic power. Whereas the editorial line in its capacity as the (relatively consistent, but by no means immutable) political decision-making programme of an editorial board contributes very materially to profiling a media product and thus to the generation of audience loyalty (Schenk, 2007), entrepreneurial market orientation targets expansion into new markets and extension of existing markets (Picard and Brody, 1997). Given the relationship of mutual interdependence of journalistic organization and media organization, the two factors can share a common alignment yet still be in a state of mutual tension.
Similarly, a newspaper seeking to position itself on the market as a newcomer, and hence unable to build on inherited readership structures and reading habits, would come under greater pressure to accept and conform to the changing social and sociodemographic environment. Against the background of the significant rise described above in professional commitment by women, the second hypothesis asserts that media organizations on the lookout for new audience subgroups in the context of a newspaper market that had been set on an expansion course by the foundation of the Republic, and then beset by difficulties in the inflation years of the early 1920s, would have no option but to respond to the changing facts of life and to acquire women readers.
Methodology and Data Sourcing
This important role was no doubt one of the reasons for the rapid increase in membership, the figures for which prompted Hölzl (1965, 37) to conclude that, from about 1920 onwards, they conveyed a 'fairly reliable picture of the profession'. 3 Membership was open to all editorial staff on daily and weekly newspapers and to correspondents, also to freelance journalists and the correspondents of foreign press organs; and the right of membership was not contingent on journalism being the principal employment. 4 Full membership lists were published in the newsletter Der Journalist only twice, in December 1918 and January 1920, but between these dates, and also subsequently until 1934, records of new and cancelled memberships appeared in full, showing the press organs to which these union members belonged. Analysis of this information therefore makes it possible to obtain a relatively full overview of membership trends.
Extant source material on the status of woman journalists on the Vienna daily newspapers between 1918 and 1934 is heterogeneous, not least because there is no systematic information regarding the editorial staffing. Getting to grips with the issue requires collation of a number of sources. Among the data used, the core resource – here systematically analysed for the first time – has been the member lists, and the membership additions and deletions lists, of the Organisation Wiener Presse (OWP, Press Organization for Vienna), which were published regularly in its newsletter Der Journalist. 2 The OWP had been founded in 1917 as a nonpolitical body analogous to a trade union and representing the interests of Viennese journalists. In contrast to the Journalisten- und Schriftstellerverein Concordia (Concordia Union of Journalists and Writers), which had tradition going back to its foundation in 1859, and which took until 1919 to introduce formal equality of treatment for the sexes, on paper at least, the OWP recognized equal access for men and women from the start. In issues of labour law it was the journalists' negotiating partner for the publishers' organization of that time.
This core resource for the organizational analysis is collated with the results of the Austrian national censuses of 1910 and 1934 5 and supplemented from statistical data regarding editorial departments and media organizations in the Viennese newspaper industry (Melischek and Seethaler, 1992), as well as from biographical data which provided evidence of the socio-demographic profile of the female journalists. The biographical data were obtained by searching 26 contemporary and recent encyclopaedias (out of a total of 52 volumes or year issues). 6 Records were kept of all entries mentioning any form of work for a Vienna daily paper. All names collected in this way, along with those from the OWP membership lists and those of female journalists mentioned in newspapers' statutory disclosures, were entered in searches in both the World Biographical Information System administered by the K.G. Saur-Verlag 7 and the Austrian National Library's Ariadne database.
Clearly, this approach permits identification only of a particular section of the whole, one that moreover reflects the respective publisher's intentions, because 'it is important to remember the women who made professional reputation in less normative ways, fell into history books purely by chance when a historian unearthed their stories, were discovered by virtue of being related to prominent men, and may have written letters or journal entries that were preserved and collected' (Whitt, 2008, 35). But as Austria does not have editorial archives, the multiple-approach procedure described here represents the only way to surmount the limitations of previous research and to examine the biographical backgrounds of the largest possible, albeit still not representative, group of individuals. 8
Findings from Organizational Data
The figures show that with the passage of time the proportion of women within the overall total number of employees and freelance journalists increased from 4.2 percent at the birth of the Republic to 10.9 percent in December 1933; among staff working in-house, the proportion of women rose from an initial figure of 4.1 percent (1918) to over 9 percent at the end of the Republic (see Figure 1). While still higher growth rates are recorded for freelance journalists working for daily newspapers, the considerably smaller numbers concerned mean that they have little significance overall (see Table 1). That the total membership of the Organisation Wiener Presse remained at a more or less constant level (of about 450 members) following its consolidation in about 1920 may be taken as an indication of the market saturation in the news media sector mentioned in the opening discussion above, which evidently discouraged reinforcement of staffing levels; and the slightly declining trend of the early 1930s even points to staffing reductions at times of increased competition. All the more significance thus attaches to the continuous rise in the number of female journalists, especially as it needs also to be borne in mind that women long remained excluded from journalists' (and other) organizations, admission to any organization consequently entailing the surmounting of a major barrier in terms of social inhibition. Characteristically, the only women appearing in managerial editorial positions (Melischek and Seethaler, 1992) – and working for such diverse publications as Soziale Revolution (Elfriede Friedländer), Welt am
In accordance with the methodology described, the findings reported relate to all editorial staff employed on Vienna daily newspapers and also those freelance journalists who are mentioned in the extant information sources as having worked at least temporarily for Vienna daily newspapers. Following the practice observed by the OWP lists of new and cancelled memberships (but also in compliance with the criteria used in the studies by Hausjell and by Kaltenbrunner et al.), freelancers who worked long-term for particular newspapers are assigned to those employers, and those not so assignable are categorized separately. 9
Morgen (Irene Harand), Frau (Ottilie Krautmann), Österreichischer Beobachter (Erika Spann-Rheinisch) and Depeschen (Anna Twerdy) – were not members of the Organisation der Wiener Presse.
The development that took place in the daily newspaper sector needs to be evaluated against the perspective of the more general changes in employment structures in the public communications field. Here the results of the national censuses of 1910 and 1934 are only a crude indicator, as in 1910 'authors, journalists, editors, independent scholars' were grouped in a single category (see Table 2). It was not until 1934 that the continuing professionalization of journalism was recognized by provision of separate categories for 'editors (of newspapers)' and 'independent scholars, authors, journalists'. In the combined category the proportion of women rose in Vienna from 11.8 to 16.5 percent, while in the subgroup of employees it remained virtually unchanged at rather over 9 percent. (It may be noted in passing that the Vienna data for the whole public communications domain barely differ at all from those for Austria as a whole.) In comparison, the rise in daily newspaper journalism from 4.1 to 9.2 percent mentioned above differs significantly. This may be interpreted as evidence that journalists of both sexes were unusually successful during the First Republic in establishing themselves in news and current affairs journalism.
In comparison to the early postwar years, the proportion of 9.2 percent calculated for the end of the First Republic is only one-quarter below the corresponding figure for 1945/47. The 'increase in the proportion of women in press journalism' noted by Hausjell (1989) for the beginning of the Second Republic is therefore – contrary to widely held assumptions – not ascribable to a 'modernization effort' prompted by the war, and in fact exactly corresponds to the figure that would have been reached in the event of an uninterrupted continuation post-1933 of the then existing trend. The decision in the context of the war economy to train more women in journalism merely cancelled out the numerical reverse that had been imposed on female journalism by the National Socialist government's anti-women policies – although, that said, the harm inflicted by those policies on women's emancipation, a process only just picking up momentum at the end of the First Republic, is in no way 'quantifiable'.
Placing the Viennese and Austrian situation in the international context is difficult in principle because the demographic entities forming the basis for the various surveys are either barely comparable at all or, at best, only partly. It is not clear, for instance, that the proportion figure of 2.4 percent reported in 1925 for the 'Reichsverband der deutschen Presse' (German Reich Press Association) and that of 2 percent for the French national association of journalists can legitimately be compared with the OWP data. This seems more likely to be possible in the case of census data. As the count here gave Germany a figure of 5.6 percent for the
proportion of women among all editorial staff employed (i.e. not in the daily newspaper sector alone) in 1925 (rising by 1933 to 7.3 percent), and Britain in the mid 1920s a proportion of 5.7 percent, the values for these two countries seem to correlate fairly well with the Austrian record. The proportion reached in the United States in 1920 – 16.7 percent of all members of the profession – was probably reached in Austria and in Vienna no earlier than the end of the First Republic (16.1 and 16.5 percent respectively); however, it is not clear whether those covered by the author category, included in Austria, are also included in the American data. 10 While caution must be observed in interpreting all these comparisons, it seems warranted to infer that – contrary to the negative assessments to be found in the secondary literature – the status of women in both Viennese journalism and Austrian journalism in general at least matched the European average.
Preliminary inspection of the findings relating to editorial staffs brings the overall development described above into sharper focus and relativizes it by showing that only about 60 percent of the daily newspapers represented by the Organisation Wiener Presse (23 of 38) demonstrably employed female journalists, and that only 5 of these 23 newspapers employed more than 3 women who were OWP-listed (see Table 3). By dint of additionally analysing statutory letterhead information it is possible to add further daily newspaper staffs to these 23 newspapers (Delnické Listy, Depeschen/Depeschenblatt, Die Frau, Der Morgen, Österreichischer Beobachter, Wiener Zeitung/Wiener Abendpost, Die Zeit), but the uneven distribution remains striking. This makes it all the more necessary to analyse the cases that inaugurated female participation in journalistic power.
During the first one-and-a-half decades of democratic experience in Austria, then, the distribution of power within journalism ('power to') shifted slightly in women's favour. The associated enquiry into the nature of the forces that accelerated the process of involving women in the information production process ('power over') will be pursued here by means of studying the gender balance in the individual Vienna daily newspaper editorial staffs on the basis of the hypotheses mentioned above relating to the individual editorial line as one of the most important journalistic decision criteria and to the degree of market orientation as entrepreneurial guideline. From the management perspective, market-oriented policies are most called for when a new product is being launched on the market, when a market is to be expanded, and when audience loyalties need to be refreshed.
These cases included, on the one hand, Der Tag and Die Stunde, the first two papers founded under the young Republic to enjoy lasting success, which pursued a left-wing bourgeois and bourgeois-democratic political line respectively; and on the other, the radical left-wing Der Abend (with its associated papers Das Echo and Telegraf), which had originally been launched during the First World War and reappeared, following several censorship-imposed interruptions, from 31 October
1918, that is to say the day after the founding of the Republic of German Austria. All three newspapers meet the conjectured precondition of a customer base in a left-wing and/or liberal milieu. If Der Tag supported the Vienna Social Democrats' line in local and regional administration from a bourgeois rather than a classwarfare perspective, it was consistent commitment to the latter perspective that again and again prompted Der Abend to adopt a critical stance vis-à-vis the Social Democrats, notwithstanding the ideological affinities. Die Stunde, by contrast, was at one with Der Tag in their mutual unambiguous support for the democratic and republican constitution. Although it positioned itself in the bourgeois 'camp', Die Stunde nonetheless always opposed the radicalization of that grouping and called for a coalition of all democratic forces. Not surprisingly, in 1934 the editors-in-chief of both newspapers, Maximilian Schreier and Josef C. Wirth, were relieved of their duties, and Der Abend was shut down (cf. Seethaler and Melischek, 1992).
All the papers mentioned here, except Der Abend, recruited and served 'a journalist potential and readership spectrum that felt no allegiance to either the "Reds" or the "Blacks", in other words did not wish to have contemporary events interpreted for them from a canonical Marxist or Catholic perspective' (Lehnert, 1995, 440). They sought rather to focus on target groups localized in a similar political-cultural segment: these ranged from bourgeois social reformers identified
Where these three new newspapers had faced the challenge of positioning themselves on the market and asserting themselves in competition with existing papers by accessing reader groups of partly different composition, the Neue Freie Presse and Wiener Allgemeine Zeitung, which were the other two papers in the leading group, along with their sister paper, the Wiener Mittags-Zeitung, had been confronted during the early years of the Republic with the difficult situation of having to re-connect with their target readership. Both newspapers belonged to the 'great' liberal press tradition and had roots reaching far back into the Habsburg monarchy era; with the National Council elections of 1920, however, they were forced to accept that the liberal parties supported by them in the past had now been consigned by the electorate's decision to political insignificance – meaning that they had misread the position of their readership. While the Wiener Allgemeine Zeitung succeeded in building new reader loyalties (as can be seen from its rising circulation figures) by aligning itself more and more categorically with the Social Democrats, the Neue Freie Presse fared less well in evincing greater sympathies for the right, and sought to correct this course by adopting an unequivocal anti-Fascist stance at the beginning of the 1930s. This still failed to stem its steady decrease of sales. Both these newspapers thus conform to the expectation of the journalistic-organizational premise, and from the entrepreneurial point of view they were forced to come to terms with changing social and socio-demographic conditions in the broader context (cf. Matis et al., 2004).
with left-wing republicanism, through cultural and economic liberals, to those representing liberal constitutional positions. As this segment largely only came into being during the First Republic, it is likely to have included new groups that had tended hitherto to be excluded from public discourse – groups that potentially included those women whose lives and circumstances were becoming increasingly dominated by paid occupations pursued outside the home. In this connection it needs to be emphasized that after 1920 all other Vienna daily newspapers that had their roots in the tradition of classical liberalism, and so were affected by the changed political environment, swung to a greater or lesser extent to the right, and that none of the other enduringly successful and politically independent daily papers founded during the Republic pursued a left-wing or liberal editorial line (except for the Wiener Morgenzeitung, published by the Jewish publishers Jüdische Zeitungsund Verlags-GmbH and catering for a specific readership segment). Der Abend too fits this picture. As a left-wing socialist paper it had to create its readership outside the core milieu in which party loyalty dominated; and at the time the Social Democratic press operating in this milieu employed no higher a proportion of female staff than its Conservative counterpart (in both cases rather above 7 percent). Influences stemming from editorial line and entrepreneurial market orientation, as formulated in the two hypotheses, thus seem to have been generated when the two factors were present simultaneously; no evidence was found that either of the hypotheses could apply except alongside the other.
Additional Findings from Collective Biographical Data
At the end of 1925, that is to say roughly halfway through the First Republic era, the women in the journalist part of the sample were on average 48 years old, while those in the author group had an average age of 53. The average age for the journalist group broadly matched that for Vienna journalists generally: this had been calculated, again with reference to the year 1925, by the Pensionsinstitut für österreichische Journalisten (Austrian Journalist Pensions Institute), for those who were insured and came from Vienna, and was found to be 46 (cf. Hölzl, 1965, 105). When the birth years are grouped by decade, it emerges that the 1870s and 1880s were the decades most heavily represented. In the female author group, by contrast,
For purposes of an initial approach to the issue of in whom the right and authority to act as a journalist were now newly invested, the biographical research work provided sufficient material for construction of a database comprising 111 individuals in all. A distinction was again drawn between (employed or freelance) female journalists who could be regarded as attached to one or several newspaper editorial staffs, and those women who worked as freelance authors supplying the press with poems and short stories. Categorization of the 111 women on this basis yielded totals of 59 journalists and 52 authors.
it is birth years in the late 1850s and the 1860s that are relatively over-represented (see Figure 2). If one assumes that the role of the female author is historically the earlier role model, it can be contended that there was a reduction in the average age of women working in this professional field. Moreover, comparison with all persons employed in the media sector – based on May 1934 national census data (see Table 4) – strongly suggests that in the sample of 111 women the younger age cohorts are in fact under-represented. It has to be taken into account that biographical handbooks and insurance data may both be skewed in the same direction, as the former will generally mention only individuals who have reached a certain age, while insurance policies are generally more likely to be taken out by individuals who have achieved some status in life and are therefore no longer young.
The social background of the women journalists shows in general a relatively high standard of education. Of the approximately 25 percent of them who embarked on higher education, well over one-third finished with a doctorate. This corresponds to an overall proportion of about 10 percent, similar to the figure for the Weimar Republic (Kinnebrock, 2005, 120). A further 10 percent attained professional qualifications as translators, and just under 10 percent qualified as teachers. However, inspection of the biographies for details of the newspapers to which individual journalists were attached yields results that are hardly unexpected: female editorial staff of the former liberal 'flagship' newspapers, the Neue Freie Presse and the Neues Wiener Tagblatt, came mainly from upper middle-class (grossbürgerlich) families, 11 most of them securely established in the cultural life of Vienna, some of them still living up to the tradition of nineteenth-century 'Salon' culture. One prominent example of this would be Alice Schmutzer, whose home was a meeting place for many of those engaged in the creative arts, including literature – notably Arthur Schnitzler, Hermann Broch and Stefan Zweig. By contrast, the female editorial staff of the 'mid-market' papers Wiener Allgemeine Zeitung and Der Tag consisted, as far as it has been possible to ascertain to date, of women from the middle classes, and those at the Christian Socialist Reichspost were from civil service families. It is without exception only in Social Democratic and Communist papers that one also comes across female journalists from under-privileged social classes, women committed to the goals of the labour movement who were using their work in journalism as a means of realizing those goals. Such commitment often went hand in hand with acceptance of important party functions, sometimes in international organizations. The most prominent example of this is Adelheid Popp, daughter of a weaver, who was employed as a maidservant and seamstress and was later to become an elected representative both at municipal council level and on the National Council. As a general rule, however, the social profile of left-wing female journalists seems to have been more heterogeneous than that of their female colleagues of the bourgeois press, as some of the women who became involved
were from an upper middle-class background. Two examples that may be cited here are Oda Olberg-Lerda – the daughter of a high-ranking German naval officer – and Käthe Leichter, who came from a 'wealthy assimilated Jewish family' and was murdered in 1942 in the Ravensbrück concentration camp.
It is worthy of note that of the 14 proven women's movement activists mainly associated either with the newspapers upholding the 'classical' liberal tradition or the Social Democratic press, almost 80 percent were born before 1880. This may well be attributable to a development parallel with that noted by Kinnebrock (2005) for the Weimar Republic – a diminishing of the role played by the women's movement in journalism that suggests that, for younger female journalists, the movement's achievements 'were by now taken for granted and [that these women] had learnt the journalism trade independently of the women's movement'. Another consequence of this incipient professionalization was a first breach in the traditional segregation between 'hard' reporting areas for men and 'soft' topics handled by women (see Figure 3). Thus, while over half the female journalists worked for their paper's feuilleton section or culture desk, only 50 percent of them were there in the traditional literary author role, and over time increasingly (correlating with the high proportion of younger age-bands) as critic or arts and sciences editor. About one women journalist in seven, as far as can be ascertained, wrote for the women's and fashion pages, and this doubtless had to do with the discovery of women as consumers (Oliver, 2009, 8). What is particularly surprising, however, is that almost 30 percent of the female journalists worked in the politics sections or as foreign correspondents. This was the most emphatic of the advances made into one of the former 'masculine domains' and is a further reflection of the importance – discussed above – of the editorial line in relation to equal treatment of the sexes: When women did succeed in establishing themselves in political coverage, this was in the left-wing press three times out of five.
Conclusion
Accordingly, in the main part of the investigation, concepts from power theory were used, in relation both to managing editors and to publishers (as the two
The purpose of this study was to investigate the extent and conditions of the involvement of women in news journalism in Vienna during the First Republic. During this era, women were granted a lot of formal rights and opportunities to participate in political, social and professional life. At the same time, the democratic structures of the newly founded Republic fostered the importance of a free and widely shared public discourse, which required maintaining equal capabilities for participation among the greatest possible number of people. The news media as the main forum for public discourse was awarded an essential role in the political process, but also in the realms of economy and culture. Thus, journalism became a source of power.
primary holders of power in the areas of information production and information distribution), to define factors that can be credited with the potential to upset the status quo in the distribution of journalistic power in favour of increased access to the profession by women.
The professional positions made newly available to women in this way were taken up primarily – relative to the female journalists already in post – by women of a younger average age, educated to a relatively high level, and coming from a social background that often corresponded to that of the respective readership. Their role in the editorial offices was primarily to write for the culture pages; however, they were not slow to emancipate themselves from the feuilleton author stereotype and earned recognition as knowledgeable writers on art, science and education. A particularly surprising finding is that the proportion of women employed on the newspapers' political sections was almost 30 percent. All the same, there can be no question here of a general structural characteristic, as three-fifths of these political women journalists worked for socialist newspapers. But in a qualitative respect they can be seen as the driving force of the progress towards a new image for the professional women journalist, one that after the setbacks inflicted by National Socialism was to need a long recovery time before reasserting itself.
Through evaluation of all available membership data for the Organisation Wiener Presse, a continuous rise was observed, more marked here than across the public communications sector as a whole, in the proportion of female journalists working for the daily newspaper editorial departments either in an in-house staff capacity or as freelancers. With regard to the power theory based hypotheses, that a leftwing or left-liberal editorial line might have had a favourable effect on the share of journalistic power attained by women and that a similar effect might have occurred when a newspaper company had to position or re-position itself on the market, clear evidence was found in such cases where both factors coincided, that is, when a new left-wing or left-liberal newspaper was introduced in the market or an existing one – under the pressure of changed readership structures – had to open up target audiences including new reader groups.
1. The proportional value calculated by the authors from Hausjell's (1989) absolute figures applies to permanent editorial staff and freelance staff – as do the data provided in Kaltenbrunner et al. (2007).
2.
Czipin (1996) uses the membership list published in Der Journalist in January 1920 in her dissertation.
3. Comparison of the overall number of OWP members in June 1933 with the national census results of March 1934 shows the ratio of OWPregistered daily newspaper staff journalists to total newspaper employees in Vienna as being over 70 percent.
4. See § 4 of the OWP's constitution, as quoted by Hölzl (1965, 36). Editorial staff included a category listed as 'editorial stenographers', who did not in fact undertake secretarial duties but were responsible for 'receiving and categorizing news items', in preparation for 'work at the editorial desk' at a later stage (see Internationales Arbeitsamt, 1928, 18).
5.
The results of the 1920 and 1923 censuses are unreliable owing to inadequate preparation and will not be used here.
6.
www.oeaw.ac.at/cmc/hypress
For bibliographical data see
7. www.degruyter.de/cont/fb/nw/
See: nwWbis.cfm
8.
The authors are greatly indebted to Magister Ingrid Serini for the biographical research undertaken.
9. The membership figures reported will necessarily differ from those that the Journalist published annually (except in 1925) and with men and women listed together, because that information relates to calendar years, whereas the analyses described here are based on counts made for specific dates (31 December of each relevant year).
10.
On the data reported for France, Britain and the United States, see Internationales Arbeitsamt (1928, 30); for Germany cf. Sitter (1998, 169f.).
11. Families of lawyers, doctors, entrepreneurs, military officers and senior civil servants.
References
Aldoory, L., B. Reber, B. Berger and E. Toth (2008) 'Provocations in public relations: a study of gendered ideologies of power-influence in practice', Journalism & Mass Communication Quarterly 85(4): 735–50.
Allen, A. (2009) 'Gender and power', in S.R. Clegg and M. Haugaard (eds.) The SAGE Handbook of Power, Los Angeles: Sage, pp. 293–309.
Altmeppen, K.-D. (2007) 'Journalismus und Macht. Ein Systematisierungsund Analyseentwurf', in K.-D. Altmeppen, T. Hanitzsch and C. Schlüter (eds.) Journalismustheorie: Next generation. Soziologische Grundlegung und theoretische Innovation, Wiesbaden: VS Verlag für Sozialwissenschaften, pp. 421–47.
Beasley, M.H. (2001) 'Recent directions for the study of women's history in American journalism', Journalism Studies 2(2): 207–20.
Beasley, M.H. and S.J. Gibbons (2003) Taking Their Place: A Documentary History of Women and Journalism, State College, PA: Strata Publishing.
Bourdieu, P. (1984) Distinction: A Social Critique of the Judgement of Taste, trans. R. Nice, Cambridge, MA: Harvard University Press.
Czipin, A. (1996) Das Schreiben der Frauen. Wiener Tageszeitungsjournalistinnen in der Ersten Republik und die Geschichte ihrer Vorgängerinnen, thesis, Vienna University.
Deacon, R. (2002) 'An analytics of power relations: Foucault on the history of discipline', History of the Human Sciences 15(19): 89–117.
Dreyfus, H.L., P. Rabinow and M. Foucault (1982) Michel Foucault: Beyond Structuralism and Hermeneutics, with an Afterword by and an Interview with Michel Foucault, Chicago: University of Chicago Press.
Hallin, D.C. and P. Mancini (2004) Comparing Media Systems: Three Models of Media and Politics, Cambridge, MA: Cambridge University Press.
Hausjell, F. (1989) Journalisten gegen Demokratie oder Faschismus. Eine kollektivbiographische Analyse der beruflichen und politischen Herkunft der österreichischen Tageszeitungsjournalisten am Beginn der Zweiten Republik (1945–1947), Frankfurt am Main: Peter Lang.
Hölzl, W. (1965) Die Organisation der Wiener Presse 1917–1934, Ph.D. thesis, Vienna University.
Inglehart, R., P. Norris and C. Welzel (2002) 'Gender equality and democracy', Comparative Sociology 1 (3–4): 321–45.
Internationales Arbeitsamt (1928) 'Lebens- und Arbeitsbedingungen der Journalisten', Studien und Berichte, Reihe L: Geistige Arbeiter, Nr. 2., Genf: Internationales Arbeitsamt.
Kaltenbrunner, A., M. Karmasin, D. Kraus and A. Zimmermann (2007) Der Journalisten-Report. Österreichs Medien und ihre Macher. Eine empirische Erhebung, Wien: Facultas
Kinnebrock, S. (2005) 'Frauen und Männer im Journalismus. Eine historische Betrachtung', in M. Thiele (ed.) Konkurrenz der Wirklichkeiten. Wilfried Scharf zum 60. Geburtstag, Göttingen: Universitätsverlag, pp. 101–32.
Kinnebrock, S. (2009) 'Revisiting journalism as a profession in the 19th century: empirical findings on women journalists in Central Europe', Communications: The European Journal of Communication Research 34(2): 107–24.
Lehnert, D. (1995) 'Politisch-kulturelle Integrationsmilieus und Orientierungslager in einer polarisierten Massengesellschaft', in E. Tálos, H. Dachs, E. Hanisch and A. Staudinger (eds.) Handbuch des politischen Systems Österreichs. Erste Republik 1918–1933, Wien: Manz 1995, pp. 431–43.
Matis, H., G. Melischek and J. Seethaler (2004) 'Versäumte Konsolidierung. Medien und politische Parteien in der Ersten Republik', in H. Kopetz, J. Marko and K. Poier (eds.) Soziokultureller Wandel im Verfassungsstaat: Phänomene politischer Transformation. Festschrift für Wolfgang Mantl zum 65. Geburtstag, Vol. 2, Wien: Böhlau, pp. 881–97.
Melischek, G. and J. Seethaler (eds.) (1992) Die Wiener Tageszeitungen. Eine Dokumentation, vol. 3: 1918-1938, Frankfurt am Main: Peter Lang.
Melischek, G. and J. Seethaler (2000) 'Die Berliner und Wiener Tagespresse von der Jahrhundertwende bis 1933', in K. Kauffmann and E. Schütz (eds.) Die lange Geschichte der Kleinen Form. Beiträge zur Feuilletonforschung, Berlin: Weidler, pp. 60–80.
Melischek, G. and J. Seethaler (2005) 'Von der Lokalzeitung zur Massenpresse. Zur Entwicklung der Tagespresse im österreichischen Teil der Habsburgermonarchie nach 1848', Jahrbuch für Kommunikationsgeschichte 7: 52–92.
Mills, K. (1988) A Place in the News: From the Women's Pages to the Front Page, New York: Dodd Mead.
Oliver, H. (2009) 'The field of feminine journalism: an unwritten history', Medien & Zeit 24(2): 4–14.
Picard, R.G. and J.H. Brody (1997) The Newspaper Publishing Industry, Boston: Allyn and Bacon.
Rigler, E. (1976) Frauenleitbild und Frauenarbeit in Österreich. Vom ausgehenden 19. Jahrhundert bis zum Zweiten Weltkrieg, Wien: Verlag für Geschichte und Politik.
Schenk, M. (2007) Medienwirkungsforschung, 3rd edn, Tübingen: Mohr Siebeck.
Seethaler, J. and G. Melischek (2007) 'Mediensystemanalyse in transnationaler Perspektive am Beispiel Österreichs', in W. Möhring, W. J. Schütz and D. Stürzebecher (eds.) Journalistik und Kommunikationsforschung. Festschrift für Beate Schneider, Berlin: Vistas, pp. 111–26.
Sitter, C. (1998) 'Die eine Hälfte vergißt man(n) leicht!' Zur Situation von Journalistinnen in Deutschland unter besonderer Berücksichtigung des 20. Jahrhunderts, Pfaffenweiler: Centaurus.
Todorov, A. (1991) 'Frauen im Journalismus der Weimarer Republik', Archiv für Sozialgeschichte der deutschen Literatur 16(2): 84–103.
Whitt, J. (2008) Women in American Journalism: A New History, Urbana and Chicago: University of Illinois Press.
FIGURES
1. Women in Viennese journalism: daily newspaper editorial staff and freelance women journalists, 1918–33
Figures valid: 31 December
Sources: Der Journalist, own computations
2. YEAR OF BIRTH OF VIENNA FEMALE DAILY NEWSPAPER REPORTERS AND FEMALE AUTHORS
Sources: Various dictionaries of biography and databases (see www.oeaw.ac.at/cmc/hypress).
3. The editorial departments to which female Vienna daily newspaper journalists were attached
Sources: Various dictionaries of biography and databases (see www.oeaw.ac.at/cmc/hypress).
TABLES
1. Women in Viennese journalism: daily newspaper editorial staff and freelance women journalists, 1918–33
Figures valid: 31 December
Sources: Der Journalist, own computations.
2. Journalism in Austria: 1910 and 1934 compared
Authors, Journalists, editors, private scholars
Sources: Österreichische Statistik, N.F. (New Series), Vol. 3, 2/1914, pp. 45 and 53; 3/1914, pp. 45 and 53; 4/1915, pp. 45 and 53; 5/1915, p. 39; 7/1915, pp. 51 and 75 (authors' computations of all-Austria figures on the basis of the individual Länder [federal states]); Bundesamt für Statistik (ed.): Die Ergebnisse der österreichischen Volkszählung vom 22. März 1934, Vol. 2. Vienna 1935, p. 312. The 1910 figures do not include Burgenland (then part of Hungary)
3. Female editorial staff and female freelancers employed by Vienna daily newspapers, 1918–33
Editorial staffs including at least four female journalists
Editorial staffs with up to three female journalists
Sources:
Der Journalist, own computations
Note On the evidence of statutory letterhead information, women were also employed on the editorial staff of the following newspapers: Delnické Listy, Depeschen/Depeschenblatt, Die Frau, Der Morgen, Österreichischer Beobachter, Wiener Zeitung/Wiener Abendpost, Die Zeit. In all these cases, however, no biographical data is available.
4. Age-bands of employed female and male editorial staff in Austria, 1934
Sources: Bundesamt für Statistik (ed.): Die Ergebnisse der österreichischen Volkszählung vom 22. März 1934. Vienna 1935. (The overall figure for men is 1 lower than in the overall totals [cf. Table 2]; which of the two figures is correct is no longer ascertainable.)
|
Transnational Death
Edited by
Samira Saramo, Eerika Koskinen-Koivisto and Hanna Snellman
Studia Fennica
Ethnologica
Studia Fennica
Ethnologica 17
The Finnish Literature Society (SKS) was founded in 1831 and has, from the very beginning, engaged in publishing operations. It nowadays publishes literature in the fields of ethnology and folkloristics, linguistics, literary research and cultural history. The first volume of the Studia Fennica series appeared in 1933. Since 1992, the series has been divided into three thematic subseries: Ethnologica, Folkloristica and Linguistica. Two additional subseries were formed in 2002, Historica and Litteraria. The subseries Anthropologica was formed in 2007.
In addition to its publishing activities, the Finnish Literature Society maintains research activities and infrastructures, an archive containing folklore and literary collections, a research library and promotes Finnish literature abroad.
**Studia Fennica Editorial Board**
Editors-in-chief
Pasi Ihalainen, Professor, University of Jyväskylä, Finland
Timo Kallinen, Professor, University of Eastern Finland
Laura Visapää, Title of Docent, University Lecturer, University of Helsinki, Finland
Riikka Rossi, Title of Docent, University Researcher, University of Helsinki, Finland
Katariina Siivonen, Title of Docent, University Teacher, University of Turku, Finland
Karina Lukin, Postdoctoral Researcher, Dr. Phil, University of Helsinki, Finland
Deputy editors-in-chief
Anne Heimo, Title of Docent, University of Turku, Finland
Saija Isomaa, Professor, University of Tampere, Finland
Sari Katajala-Peltomaa, Title of Docent, Researcher, University of Tampere, Finland
Eerika Koskinen-Koivisto, Postdoctoral Researcher, Dr. Phil., University of Helsinki, Finland
Salla Kurhila, Title of Docent, University Lecturer, University of Helsinki, Finland
Kenneth Sillander, Adjunct Professor, University of Helsinki, Finland
Tuomas M. S. Lehtonen, Secretary General, Dr. Phil., Finnish Literature Society, Finland
Tero Norkola, Publishing Director, Finnish Literature Society, Finland
Anu Miller, Secretary of the Board, Finnish Literature Society, Finland
oa.finlit.fi
Editorial Office
SKS
P.O. Box 259
FI-00171 Helsinki
www.finlit.fi
Transnational Death
Edited by
Samira Saramo, Eerika Koskinen-Koivisto
and Hanna Snellman
Finnish Literature Society • SKS • Helsinki • 2019
STUDIA FENNICA ETHNOLOGICA 17
The publication has undergone a peer review.
© 2019 Samira Saramo, Eerika Koskinen-Koivisto, Hanna Snellman and SKS
License CC-BY-NC-ND 4.0 International
Cover Design: Timo Numminen
EPUB: Tero Salmén
ISBN 978-951-858-134-8 (Print)
ISBN 978-951-858-126-3 (PDF)
ISBN 978-951-858-125-6 (EPUB)
ISSN 0085-6835 (Studia Fennica. Print)
ISSN 2669-9605 (Studia Fennica. Online)
ISSN 1235-1954 (Studia Fennica Ethnologica. Print)
ISSN 2669-9567 (Studia Fennica Ethnologica. Online)
DOI: https://doi.org/10.21435/sfe.17
This work is licensed under a Creative Commons CC-BY-NC-ND 4.0 International License.
To view a copy of the license, please visit http://creativecommons.org/licenses/by-nc-nd/4.0/
A free open access version of the book is available at https://doi.org/10.21435/sfe.17
or by scanning this QR code with your mobile device.
BoD – Books on Demand, Norderstedt, Germany 2019
Acknowledgements 7
SAMIRA SARAMO
Introductory Essay
Making transnational death familiar 8
I Families
HANNA SNELLMAN
Negotiating belonging through death among Finnish immigrants in Sweden 25
ANNA MATYSKA
Doing death kin work in Polish transnational families 49
JOSIANE LE GALL AND LILYANE RACHÉDI
The emotional costs of being unable to attend the funeral of a relative in one’s country of origin 65
II Communities
LOURDES GUTIÉRREZ NÁJERA AND ANA D. ALONSO ORTIZ
Expressing communality: Zapotec death and mourning across transnational frontiers 85
CHIPAMONG CHOWDHURY
The spirit of the gift: Burmese Buddhist death rituals in North America 100
JORI MORERAS AND ARIADNA SOLÉ ARRARÀS
Genealogies of death: Repatriation among Moroccan and Senegalese in Catalonia 118
III Commemoration
KATARZYNA HERD
Our foreign hero: A Croatian goalkeeper and his Swedish death 139
CORDULA WEISSKOEPPEL
Coping with the consequences of terror: The transnational visual narratives of Coptic Orthodox martyrdom 157
OULA SEITSONEN
Transnationally forgotten and re-remembered: Second World War Soviet mass graves at Mäntyvaara, eastern Finnish Lapland 178
EERIKA KOSKINEN-KOIVISTO
Transnational heritage work and commemorative rituals across the Finnish-Russian border in the old Salla region 200
List of Authors 214
Abstract 218
The editors would like to acknowledge the financial support of Academy of Finland, Emil Aaltonen Foundation, Finnish Cultural Foundation, the Finnish Society of Sciences and Letters, and Jenny & Antti Wihuri Foundation. Thank you to the University of Turku’s Department of Contemporary History, the University of Jyväskylä’s Department of History and Ethnology, and the University of Helsinki’s Faculty of Arts for enabling the volume’s language editing, which was skillfully completed by Albion Butters. Thanks are also due to Eija Hukka, Technical Editor at the Finnish Literature Society.
The recent death of a beloved great-aunt rapidly set into action my family’s transnational network. While Finland is our family’s home country, my great-aunt lived primarily in Sweden, and other close relatives have established homes throughout Canada and in England. With no children of her own and no will that explicitly expressed her final wishes, we, the bereaved, were left to determine where she would be buried, how her homes and belongings would be reconciled between two countries, and how to bring the family together at this time of grief. In this moment of family rupture, we joined countless other families, today and in centuries past, in the processes and emotions of transnational death. Such intimate negotiations, hinged on individual deaths, collectively shape and reshape identities, traditions, symbols, and cultural borders.
The inevitability of death occurring away from one’s homeland and hometown accompanies migration and the resultant separation of families and communities. Mobile people, now as in the past, have to develop and utilize multiple strategies to deal with the realities of death at a distance. Death demands its own solemn rituals and practices across cultures and times. Such practices often solidify the attachments to place held by those who are dying and also those who mourn them. Migration, then, provides unique opportunities for individuals, families, and communities to reflect on how such place- and culture-bound practices can operate in new geosocial contexts. Transnational death raises questions about identity, belonging, and customs, but also about the logistical care of bodies, rituals, and commemoration.
From the perspectives of Ethnology, History, and Folklore Studies, both death and migration have been much studied, but scholarship on death in the context of migration and transnational lives has received far less attention.
1 I am grateful for grants from the Jenny and Antti Wihuri Foundation (2017), the Academy of Finland (2017–2020), and the Department of Contemporary History, University of Turku, which have made this research and book project possible. Thanks also to the team at the University of Turku’s John Morton Center for North American Studies for intellectual support.
until recent years. To delve into the expansive territory of transnational death as a field of inquiry, we must consider migrants’ ruminations on mortality away from the home community, how individual migrants and migrant communities respond to deaths in the home community, and how the home community mobilizes when their migrant members die. On individual and collective levels, to borrow the words of Alistair Hunter and Eva Soom Ammann, “the end of life is a critical juncture in migration and settlement processes, precipitating novel intercultural negotiations.” In order to situate the developing field and the present collection, this chapter introduces some of the main issues and themes that migrants, their communities, and researchers encounter in the context of transnational death.
Deadly migration
In both historical and contemporary contexts, migration is an uncertain endeavor, and one where death continually reminds of its presence. Migratory journeys over vast waters or difficult terrains, even in the best and safest conditions, pose risks. For many, the voyage has been deadly, such as for the 50,000 Irish immigrants who died on their way to North America during the “black” year of 1847, the 6,000 undocumented migrants reported dead in the Mexico-U.S. borderlands between 1998 and 2014, and thousands of refugees still facing grave dangers daily on the Mediterranean Sea. These are but a few examples. For those who safely arrive at their destination, the realities of immigrant life keep the presence of death ever near. Migrants today often confront the same obstacles of poverty and ghettoization that characterized nineteenth- and twentieth-century immigrant life. Instead
---
2 Alistair Hunter and Eva Soom Ammann, “End-of-life Care and Rituals in Contexts of Postmigration Diversity in Europe: An Introduction,” *Journal of Intercultural Studies* 37, no. 2 (2016): 97.
3 For an historical overview of mortality rates on immigrant-carrying ships from Europe to the United States, see Raymond L. Cohn, “Mortality on Immigrant Voyages to New York, 1836–1853,” *The Journal of Economic History* 44, no. 2 (June 1984): 289–300.
4 For a case study of this deadly migration to Toronto, Canada, see Mark G. McGowan, *Death or Canada: The Irish Famine Migration to Toronto, 1847* (Toronto: Novalis, 2009). See also Philip Hoare, “‘The sea does not care’: The wretched history of migrant voyages,” *The Guardian*, April 21, 2015. Available at https://www.theguardian.com/world/2015/apr/21/the-sea-does-not-care-wretched-history-migrant-voyages-mediterranean-tragedy.
5 Alex Nowrasteh, “People Die Trying to Get to America, Too,” Foundation for Economic Education Blog, October 22, 2015. Available at: https://fee.org/articles/people-die-trying-to-get-to-america-too/. The reported number of deaths may well be less than the actual number of lives lost in the Mexico-U.S. borderlands.
6 UN Refugee Agency, “UNHCR seeks support for alternatives to dangerous refugee journeys,” July 18, 2017. Available at http://data2.unhcr.org/en/news/16417.
7 See, for example, Roger Waldinger, “Not the Promised City: Los Angeles and Its Immigrants,” *Pacific Historical Review* 68, no. 2 (May 1999): 253–272; and
of encountering improved conditions, in the past decades “unprecedented numbers” of newcomers to Canada, for example, have been “enduring chronic unemployment, and severe income shortfalls […] leading to dependence on food banks and, for some, exposure to homelessness.” Poverty, in turn, results in increased risk of physical and mental illness, disease, and mortality.
Though socioeconomics are but one factor, comparing the health of migrants with that of native populations in eleven European countries, Aida Solé-Auró and Eileen Crimmins concluded that “migrants generally have worse health.” While new immigrants may arrive in the settlement destination in better health than the native population because of immigration screening processes, “the health of immigrants tends to worsen over time.” In an international review of immigrant women’s health, DeAnne Messias found that “for immigrant women living in urban environments characterized by poverty, squalid living conditions, violence, lack of sanitation, and exposure to infectious diseases, the risks for poor physical, mental, and environmental health are exponentially higher.” Language barriers, cultural differences, and difficulties in navigating new healthcare systems often create obstacles for immigrants’ access to healthcare. Undocumented and even low-paying employment often leave migrants without occupational safeguards, and workplace injuries and fatalities are all too commonplace. Furthermore, a 2012 governmental study on the mental health of recent immigrants to Canada made clear the link between poverty and psychological distress: “Recent immigrants in the lowest income quartile were significantly more likely to report experiencing high levels of stress and emotional problems compared to those in the highest income quartile.”
8 Heather Smith and David Ley, “Even in Canada? The Multiscalar Construction and Experience of Concentrated Immigrant Poverty in Gateway Cities,” *Annals of the Association of American Geographers* 98, no. 3 (September 2008): 689.
9 Aida Solé-Auró and Eileen M. Crimmins, “Health of Immigrants in European Countries,” *The International Migration Review* 42, no. 4 (Winter 2008): 873.
10 Laurence J. Kirmayer et al., “Common mental health problems in immigrants and refugees: General approach in primary care,” *CMAJ* 183, 12 (2011). Available at https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3168672/.
11 DeAnne K. Hilfinger Messias, “The Health and Well-Being of Immigrant Women in Urban Areas,” in *Women’s Health and the Worlds Cities*, ed. Afaf Ibrahim Meleis, Eugenie L. Birch, and Susan M. Wachter (University of Pennsylvania Press: Philadelphia, 2011), 151. For a historical example, see Esyllt Jones, “Politicizing the Laboring Body: Working Families, Death, and Burial in Winnipeg’s Influenza Epidemic, 1918–1919,” *Labour: Studies in Working-Class History of the Americas* 3, no. 3 (2006): 57–75.
12 Messias, 158.
13 Michael C. Kearl, *Endings: A Sociology of Death and Dying* (New York: Oxford University Press, 1989), 250–261.
14 Anne-Marie Robert and Tara Gilkinson, “Mental health and well-being of recent immigrants in Canada: Evidence from the Longitudinal Survey of Immigrants to Canada,” Citizenship and Immigration Canada Report (November 2012), iii.
populations has also raised concerns.\textsuperscript{15} For all of these reasons, poverty has been linked to increased mortality risk.\textsuperscript{16} These risks may be further compounded for migrants, who face a multitude of structural, cultural, and psychological barriers to their well-being.
Immigrant health and well-being, and culturally diverse notions of “good death,”\textsuperscript{17} especially in the context of aging immigrant populations, are increasingly significant considerations for receiving countries, healthcare and social work professionals, and, of course, researchers of transnational death.\textsuperscript{18} Though migration is often conceived of as an opportunity for a better standard of living and greater freedom, it is accompanied by great risks, uncertainties, and even feelings of exile.\textsuperscript{19} The idea of “deadly migration” can be seen as shaping cultural attitudes and imaginations about emigration. Acknowledging the inherent relationship between migration and death serves as a useful entry point for unpacking the emotional toll of transnationalism felt by individuals, families, and communities.
\textit{Transnational community building and reciprocity}
For generations, economic uncertainty, workplace dangers, and multifaceted traumas have become unfortunate hallmarks of immigrant experiences. For immigrant communities, then, death and care of the dying and deceased have often been primary concerns. In her foundational study of Finns in Canada, Varpu Lindström reflects on early immigrants’ “preoccupation” with death: “Having seen unmarked shallow graves where ‘some foreigner’ was hastily buried – no name, no place of birth to identify the victim – they feared meeting the same fate. Who would send a message to Finland
\textsuperscript{15} Much research has focused on suicide in immigrant populations. See, for example, Katarzyna Anna Ratkowska and Diego De Leo, “Suicide in Immigrants: An Overview,” \textit{Open Journal of Medical Psychology} 2 (2013): 124–133; and Tim Wadsworth and Charis E. Kubrin, “Hispanic Suicide in U.S. Metropolitan Areas: Examining the Effects of Immigration, Assimilation, Affluence, and Disadvantage,” \textit{American Journal of Sociology} 112, no. 6 (May 2007): 1848–1885.
\textsuperscript{16} See, for example, Hyun Joo Oh, “An Exploration of the Influence of Household Poverty Spells on Mortality Risk,” \textit{Journal of Marriage and Family} 63, no. 1 (February 2001): 224–234.
\textsuperscript{17} In Michael C. Kearl’s words: “Deaths become good when they serve the needs of the dying, their survivors, and the social order.” Kearl, 122. For a recent assessment of notions of “good death” in the context of diversity and medicalized palliative care, see Eva Soom Ammann, Corina Salis Gross, and Gabriela Rauber, “The Art of Enduring Contradictory Goals: Challenges in the Institutional Co-construction of a ‘Good Death,’” \textit{Journal of Intercultural Studies} 37, no. 2 (2016): 118–132.
\textsuperscript{18} See, for example, Sandra Torres, Pernilla Ågård, and Anna Milberg, “The ‘Other’ in End-of-life Care: Providers’ Understandings of Patients with Migrant Backgrounds,” \textit{Journal of Intercultural Studies} 37, no. 2 (2016): 103–117.
\textsuperscript{19} See, for example, David A. Gerber, “Moving Backward and Moving On: Nostalgia, Significant Others, and Social Reintegration in Nineteenth-Century British Immigrant Personal Correspondence,” \textit{The History of the Family} 21, no. 3 (2016): 292, 310.
to my old parents? Who would see to it that my remains were disposed of with dignity?”\textsuperscript{20} The solution reached by many immigrant communities in the nineteenth- and twentieth-centuries, Finns included, was the establishment of mutual aid sickness and funeral funds. These were often tied to ethnic cultural organizations, unions, temperance societies, or religious organizations. These collectives aided in funeral arrangements, provided financial contributions, and sent word to kin, if necessary.\textsuperscript{21} Exemplifying how widely spread such funds were and “the value placed upon dignified burial,” in her study of the city of Winnipeg in 1918, Jones found “approximately forty functioning mutual benefit organizations in this period, including Jewish, Italian, German, English, Chinese, Bohemian, Polish, Ruthenian, and Hungarian groups.”\textsuperscript{22} In North American Finnish enclaves, fifty-dollar burial benefits were organized as early as 1888.\textsuperscript{23}
Regulations and customs pertaining to the care of corpses and burial procedures vary greatly from place to place. This makes transplanting death traditions to new settlement areas difficult, and many migrant communities today are facing the challenges head-on. The University of Reading-led research project “Deathscapes and Diversity: Making Space for Death and Remembrance in Multicultural England and Wales” identified failures to address the rites and needs of minority religious communities in many studied burial facilities.\textsuperscript{24} Other research case studies confirm the project’s findings. For example, British Hindus have struggled to establish religiously adherent open-air crematoriums.\textsuperscript{25} In such cases, ethno-religious communities come together to negotiate and rework rituals that acknowledge the unique conditions posed by migration, while remaining faithful to traditional practices. The result may be the establishment, for example, of ethno-religious cemeteries or fine-tuning the processes of corpse repatriation for traditional burial in the homeland. Accordingly, funerary services catering
\begin{footnotes}
\item Varpu Lindström, \textit{Defiant Sisters: A Social History of Finnish Immigrant Women in Canada} (Multicultural History Society of Ontario: Toronto, 1988), 56.
\item For example, see Lindström, 57; Marc Metsäranta et al., \textit{Project Bay Street: Activities of Finnish-Canadians in Thunder Bay Before 1915} (Thunder Bay: Thunder Bay Finnish-Canadian Historical Society, 1989), 54, 128–129; Carmela Patrias, \textit{Patriots and Proletarians: Politicizing Hungarian Immigrants in Interwar Canada} (Montreal: McGill-Queen’s University Press, 1994), 79, 100. See also Samira Saramo, “Terveisiä: A Century of Finnish Immigrant Letters from Canada,” in \textit{Hard Work Conquers All: Building the Finnish Community in Canada}, eds. M. Beaulieu, D. Ratz, and R. Harpelle (Vancouver: UBC Press, 2018), 171–172.
\item Jones, 63.
\item Carl Ross, \textit{The Finn Factor in American Labor, Culture and Society}, Second Edition (New York Mills, MN: Parta Printers, Inc., 1978), 23.
\item Avril Maddrell, Yasminah Beebeejaun, Katie McClymont, Brenda Mathijssen, Danny McNally and Sufyan Abid Dogra, “Diversity-Ready Cemeteries and Crematoria in England and Wales” Briefing Note (2018). Available at: http://blogs.reading.ac.uk/deathscapes-and-diversity/files/2018/07/Policynote_Diversity_Cemeteries_Crematoria_Online.pdf
\item Alistair Hunter, “Deathscapes in Diaspora: Contesting Space and Negotiating Home in Contexts of Post-Migration Diversity,” \textit{Social and Cultural Geography} 17, no. 2 (2016): 256–258.
\end{footnotes}
to specific ethnic communities are often offered by members of the group, such as Berlin’s Muslim undertakers, studied by Osman Balkan.\textsuperscript{26} As in generations past, migrant ethno-religious communities today continue to organize formal mutual benefit funds to cover member deaths and, as Jordi Moreras and Ariadna Solé Arraràs have shown for Moroccan and Senegalese communities in Spain, the costs of repatriating corpses to the homeland.\textsuperscript{27}
Such intragroup reciprocity, however, often takes more informal and spontaneous forms. Where formal mutual aid funds or insurances are not in place or do not cover the needs of bereaved families, kinship and community networks are activated. The significance of these informal systems is as great or even greater than formalized insurances, considering the social and emotional support structures they have built in. Monetary collections are regularly organized, for example, by Burmese Buddhist
\textsuperscript{26} Osman Balkan, “Between Civil Society and the State: Bureaucratic Competence and Cultural Mediation among Muslim Undertakers in Berlin,” \textit{Journal of Intercultural Studies} 37, no. 2 (2016): 147–161.
\textsuperscript{27} Jordi Moreras and Ariadna Solé Arraràs, “Genealogies of Death: Repatriation among Moroccan and Senegalese in Catalonia,” in the current volume.
communities in North America and by Yalaltecos in California.\textsuperscript{28} In both cases, such traditional practices are brought by migrants, though the forms have developed according to new, local sociocultural realities. Through their participation in collections for deceased members in both the homeland and hometown, as well as in the immigrant enclave, migrants can stay firmly connected with their transnational community. However, it is worth noting that such dual social obligations—essentially to contribute to two places—can place a difficult financial burden on migrants and their families.\textsuperscript{29}
Cash donations are complemented by \textit{in kind} assistance to the dying and, after death, participation in mourning events and rituals. With families dispersed across the world, positive “death kin work,” as Anna Matyska demonstrates, is the “cumulative effort of an entire transnational family.”\textsuperscript{30} People fulfill different necessary roles according to their abilities and where they are located. As Gutiérrez Nájera and Alonso Ortiz explain, the system of reciprocity ensures that ideally each community member’s contributions are matched and returned when their life eventually comes to an end.\textsuperscript{31} For Burmese Buddhists, “merit-making,” referring to religious/spiritual participation and taking care of monks, both solidifies migrants’ place in their transnational ethno-religious community and also ensures a good and respectful rebirth for the deceased.\textsuperscript{32} Reciprocity in the form of assistance and adherence to religious and cultural rituals serves as a powerful tool for creating group cohesion and easing grief at times of death.
\textit{The emotional weight of transnational death}
Karen Wilson Baptist, writing about the death of her parents, reflected on the feeling of being weighed down by grief while simultaneously feeling “unfettered and groundless, for the landscape of home and of family seemed now lost to me forever.”\textsuperscript{33} The death of a loved one represents a significant rupture in a bereaved person’s life. Such a rupture calls into question one’s identity, place, relationships, and life direction. It stirs multiple and ambiguous emotions. When faced with death, as Amy-Katerini Prodromou points out, “the whole concept of self must be reworked and revisited when we attempt to define ourselves within the literal (geographical) and
\textsuperscript{28} Chipamong Chowdhury, “The Spirit of the Gift: Burmese Buddhist Death Rituals in North America,” in the current volume; Lourdes Gutiérrez Nájera and Ana Alonso Ortiz, “Expressing Communality: Zapotec Death and Mourning across Transnational Frontiers,” in the current volume.
\textsuperscript{29} See, for example, Gutiérrez Nájera and Alonso Ortiz, 91–93.
\textsuperscript{30} Anna Matyska, “Doing Transnational Death Kin Work in Polish Transnational Families,” in the current volume, 53.
\textsuperscript{31} Gutiérrez Nájera and Alonso Ortiz, 90.
\textsuperscript{32} Chowdhury, 113.
\textsuperscript{33} Karen Wilson Baptist, “Diaspora: Death without a Landscape,” \textit{Mortality} 15, no. 4 (November 2010): 294.
psychically altered space that results from this new absence.” In the context of migration, when the deceased and bereaved are separated by borders and geography, belonging and mourning are hard to pin down.
Migrants commonly already tackle questions of what “home” means to them and how to best fit into and fulfill their social roles while straddling multiple physical and psychological spaces. Death exacerbates the need for such negotiations. For many, with passing years and the passing of relatives and friends in the home community, “the ‘home’ of their imagination and memory shift[s] and disappear[s] in their absence.” By turning to memories, migrants can assert their place. David Gerber’s multidisciplinary analysis positions immigrants’ nostalgia as “an adaptive mental strategy for negotiating continuity and change.” In “Bittersweet: Everyday Life and Nostalgia for the 1950s,” Eerika Koskinen-Koivisto and Hanna Snellman conclude that “nostalgia is often attached to topics and periods of time that are linked to a certain amount of struggle and misery, and above all contradictions.” Through shared nostalgia, intimate transnational networks can create shared frames of reference and build collective futures. Nostalgic reminiscences of the deceased can also simply be consoling. As one of Gerber’s studied immigrants wrote in 1824, memories allowed her to “lose the present in the past.”
Bridging the past with the present through nostalgic recollection frequently has therapeutic—or at least beneficial—results. However, others struggle to reconcile the ways in which their past experiences and connections link to the person they have become and the position they find themselves in. For example, Susan Matt traces several examples, from Guinean slaves in Early America to Irish immigrants in the twentieth-century United States, where the profound, melancholic longing for home – that is, “homesickness” – was seen to both cause death and be alleviated only by death. For some, thoughts of both living and dying away from familiar people, places, and customs prove very difficult. This may be especially true in cases of forced displacement and resettlement. As Zophia Rosinska notes, the “inability to return home [...] intensifies the desire to return and the sense of longing for home.”
34 Amy-Katerini Prodromou, *Navigating Loss in Women’s Contemporary Memoir* (London: Palgrave Macmillan, 2015), 6.
35 Laura Ishiguro, “Relative Distances: Family and Empire between Britain, British Columbia and India, 1858–1901” (PhD Dissertation, University College London, 2011), 204.
36 Gerber, 292.
37 Eerika Koskinen-Koivisto and Hanna Snellman, “Bittersweet: Everyday Life and Nostalgia for the 1950s,” *Journal of Finnish Studies* 19, no. 2 (July 2016): 5.
38 Letter by Mary Ann Archibald, January 1, 1824. Quoted in Gerber, 309.
39 Susan J. Matt, *Homesickness: An American History* (New York: Oxford University Press, 2011), 13, 28–30, 145.
40 Zophia Rosinka, “Emigratory Expience: The Melancholy of No Return,” in *Memory and Migration: Multidisciplinary Approaches to Memory Studies*, ed. Julia Creet and Andreas Kitzmann (Toronto: University of Toronto Press, 2011), 34.
In her study of transnational family relationships in the context of the British Empire, Laura Ishiguro notes: “Death challenged the boundaries of family, changed its relationships, and provided disconcerting reminders of disconnection and distances of all kinds.”\textsuperscript{41} Being absent at the time of death can result in complicated feelings, including guilt. In Matyska’s study of Polish transnational families, interlocutors emphasized the difficulty of being away from dying elderly parents.\textsuperscript{42} Others carry regrets of not having been in more regular contact.\textsuperscript{43} For some, absence results in a feeling of exclusion from the mourning process, which calls into question one’s sense of belonging.\textsuperscript{44} Distance challenges the ability of mourners to work through the emotions of loss.
\textit{Connecting through transnational death}
Before the advent of telecommunications and social media, word of death arrived by letter. Letter correspondence involves unique forms of self-expression and temporal limitations – especially in the absence of efficient, modernized international postal systems. Yet, letter exchange nonetheless shares much in common with the ways that distance is navigated in contemporary transnational relationships. Migrants today typically incorporate various communication technologies into their grieving process, and condolence letters are most often composed in email, Facebook Messenger, SMS, or expressed via Skype or a telephone call (from among a list of many other available communication platforms). As Ishiguro perfectly summarizes, the condolence letter, now, just as then, “[is] both insufficient and indispensable for expressing grief and consolation at a distance.”\textsuperscript{45} Written communications, be they letters or social media posts, are indispensable in that they serve as “a heart-to-heart conversation with a trusted correspondent who is a sounding board” for the ambiguous memories and emotions propelled by death.\textsuperscript{46}
For generations, it has been common to include mementos, such as photographs or obituary clippings, in letters dealing with a death in a transnational family. Today, photographs and videos shared online serve the same function. Complementing written language, transnational mourning is, likewise, now often expressed through the use of emoji in online spaces.\textsuperscript{47}
\begin{itemize}
\item[41] Ishiguro, “Relative Distances,” 180.
\item[42] Matyska, in the current volume.
\item[43] Samira Saramo, “‘I have such sad news’: Loss in Finnish North American Letters,” \textit{European Journal of Life Writing}, 7 (2018): 59–60.
\item[44] Saramo, “I have such sad news,” 62; Laura Ishiguro, “How I wish I might be near’: Distance and the Epistolary Family in Late-Nineteenth-Century Condolence Letters,” \textit{Within and Without the Nation: Canadian History as Transnational History}, ed. Henry Yu, Adele Perry, and Karen Dubinsky (Toronto: University of Toronto Press, 2015), 219.
\item[45] Ishiguro, “Relative Distances,” 195.
\item[46] Gerber, 301.
\item[47] Gutiérrez Nájera and Alonso Ortiz, 94–96.
\end{itemize}
When unable to find the words to convey the great loss and sympathy we may feel, emoji may fill gaps where written language fails. Yet, most often, such communications insufficiently fulfill the needs of mourners. Letters, online communication, and even livestreaming does not satisfy the physical needs of closeness. Josiane Le Gall and Lilyane Rachédi’s study of bereaved migrants in Quebec demonstrates the importance of proximity for full and satisfactory participation in social support networks which are integral at times of death.\textsuperscript{48} We crave tangibility – the objects of death, the physical embraces of loved ones, setting oneself in place – which transnational death by its nature inherently denies.
With migration and technology, death has become “unbounded”\textsuperscript{49} At these difficult times, people renew familial and community solidarities, despite distance. The letters of Finnish immigrants in North America, for example, show the frequency with which death facilitates (or at least attempts at) reconnection and repair of estranged relationships.\textsuperscript{50} In 2019, technological advances in communications and transportation assist many families and communities with creating presence and togetherness, be it physically or virtually, and with organizing the practicalities that accompany death. It is important to note, however, that these advances are unevenly accessible to migrants, and they may be out of reach for those living with the realities of poverty, war, or displacement. Many migrants, despite their deepest wishes, cannot return home when the death of a loved one calls. Social media tools lend themselves to the needs of individual mourning and commemoration, but they also serve to connect dispersed diasporic communities. By expediting news of death, community-organized assistance initiatives (based on the principle of reciprocity discussed above), and the sharing of gestures of condolence, communication technologies help transnational communities to weave intricate webs of loss and belonging.
\textit{Situating and commemorating transnational death}
Both migrants themselves and the communities that surround them engage in situating transnational people in place – and, often, thereby, in ethnic sociocultural identifications. Hanna Snellman’s examination of the burial choices of Finnish immigrants in Sweden in the 1970s demonstrates how the decisions and meanings behind them speak to identities and belonging.\textsuperscript{51} When these migrant interviewees were asked bluntly and out-of-the-blue whether they would like to be buried in Sweden or in Finland, they had to quickly work through conceptions – likely largely subconscious – of who
\begin{itemize}
\item[48] Josiane Le Gall and Lilyane Rachédi, “The Emotional Costs of Being Unable to Attend the Funeral of a Relative in One’s Country of Origin,” in the current volume.
\item[49] The idea of “unbounded” death is used well in Mattias Frihammar and Helaine Silverman, eds., \textit{Heritage of Death: Landscapes of Emotion, Memory and Practice} (London: Routledge, 2017).
\item[50] Saramo, “I have such sad news,” 62.
\item[51] Hanna Snellman, “Negotiating Belonging through Death among Finnish Immigrants in Sweden,” in the current volume.
\end{itemize}
they were. While participants were divided in their location preference, they overwhelmingly focused on the need for familiar Finnish death rituals and burial proximity to family. Joining ritual and proximity, Finns generally place importance on caring for the graves of their deceased relatives, through maintenance and the placing of flowers and candles, as well as on burial in group family graves.\textsuperscript{52} First-generation migrants everywhere face the decision of where to be buried. They may choose to continue their traditional lineage by being returned to the homeland burial grounds of their ancestors, although economic and political realities preclude this option for many. Or they may choose to break new ground by establishing a family grave in the adopted place.\textsuperscript{53} Alternatively, if local laws permit, cremated remains may be divided to allow for the deceased to literally inhabit in death multiple places or nations. Through these decisions, migrants directly contribute to inscribing \textit{deathscapes} that span across borders.
Hunter summarizes conceptualizations of deathscapes as “spaces marked in some way by the dead and dying, but are also constituted by the meanings ascribed to such places by the living.”\textsuperscript{54} Following death, survivors play a vital role in eternalizing the deceased’s connections to place. In this way, deathscapes are “intense site[s] of place-making, where the living find a ‘spatial fix’ for grief and memorialisation.”\textsuperscript{55} As Avril Maddrell argues, “mourning is an inherently spatial as well as temporal phenomenon, experienced in and expressed in/through corporeal and psychological spaces, virtual communities and physical sites of memorialization.”\textsuperscript{56} In this spatial and temporal situating, mourners attach social and cultural identifications to the deceased. The dead are defined by those who survive them through rhetoric, placing, memories, and commemoration. For individuals, this often means their entrenchment in familial roles (mother, daughter, sister, etc.), religion, ethnicity, and place (such as a Hungarian Canadian, for example). At times, individuals take on collective symbolic significance for their communities. As Katarzyna Herd has shown, in the case of the Croatian professional footballer Ivan Turina, following his unexpected death in 2013, his Swedish fans established him firmly in Swedish football culture, stripping him of “foreignness” through commemoration and ritual.\textsuperscript{57} Cordula Weisskoeppel has analyzed the ways in which individual victims of terrorism have been transformed through death into martyrs representing the collective
\begin{itemize}
\item[52] For research on Finnish death customs, see Ilona Pajari, “Kuolema maalla ja kaupungissa: Suomalaisen hautajais- ja kuoleman kulttuurinmuutos 1800-luvun lopulta nykypäivään,” \textit{Historiallinen aikakauskirja}, 112, 4 (2014): 393–405.
\item[53] See Moreras and Solé Arraràs, in current volume; Hunter, 249–250.
\item[54] Hunter, 259. See also James D. Sidaway and Avril Maddrell, eds., \textit{Deathscapes: Spaces for Death, Dying, Mourning and Remembrance} (London: Ashgate, 2010).
\item[55] Hunter, 248.
\item[56] Avril Maddrell, “Memory, mourning and landscape in the Scottish mountains: Discourses of wilderness, gender and entitlement in online and media debates on mountainside memorials,” in \textit{Memory, Mourning and Landscape}, ed. E. Anderson, A. Maddrell, K. McLouglin, and A. Vincent (Amsterdam: Rodopi, 2010), 123.
\item[57] Katarzyna Herd, “Our Foreign Hero: A Croatian Goalkeeper and His Swedish Death,” in the current volume.
\end{itemize}
persecution of Coptic Orthodox Christians in the Middle East and North Africa.\textsuperscript{58} Through placement of images of the victims in both sacred and online spaces attended by the transnational community, they have become iconized and entrenched in important physical and virtual deathscapes.
Both the private memorialization of individuals and the public commemoration of collective loss or martyrs participate in the building of cultural heritage.\textsuperscript{59} Such placing and defining can be highly politicized and contested acts. While deceased Copts have become individual symbols of communal strength and struggle, in other cases individualism is downplayed in order to emphasize collective loss and belonging. In the aftermath of nationalist conflicts over land and the right to rule, ethnic and place identities are shaped and reshaped, used and re-used, to suit changing political and cultural needs. When borders are redrawn, as in the case of Eastern Lapland ceded by Finland to the Soviet Union (now the Russian Federation) after WWII, commemoration of the lives and land that were lost becomes a complicated matter. As the works of Oula Seitsonen and Eerika Koskinen-Koivisto demonstrate, Finnish homesteads and religious spaces were left on the other side of the Russian border in annexed Salla, while the graves of Soviet soldiers that lie on the Finnish side in Mäntyvaara were inaccessible to Russian mourners.\textsuperscript{60} While local residents long cared for these sites, local and national governments asserted the commemorative power of the graves for ethno-nationalist purposes when they suited their political needs. In this way, the bodies resting in these transnational spaces are simultaneously representative of individual families’ losses and the loss faced by a nation. Such ambiguous multiplicities are good examples of the complex nature of transnational death, where the intimate and the collective collide.
\textit{Conclusion}
My great-aunt’s fluid transnational identity was honored through the arrangement of dual memorial ceremonies: one held in her Swedish community and the other the internment of her ashes at the family grave in Finland. Her death brought together people from different countries and regions, and practical arrangements necessitated involvement with funerary services, government agencies, and legal authorities in both Sweden and Finland. Through the experience, our family reconfirmed its bonds, despite the geographical and even cultural distances we live with every day. Through this recent and very personal encounter with the negotiations of
\begin{footnotes}
\item Cordula Weisskoeppel, “Coping with the Consequences of Terror: The Transnational Visual Narratives of Coptic Orthodox Martyrdom,” in the current volume.
\item See Frihammar and Silverman’s \textit{Heritage of Death}.
\item Oula Seitsonen, “Transnationally Forgotten and Re-Remembered: Second World War Soviet Mass Graves at Mäntyvaara, Eastern Finnish Lapland,” in the current volume; Eerika Koskinen-Koivisto, “Transnational Heritage Work and Commemorative Rituals across the Finnish-Russian Border in the Old Salla Region,” in the current volume.
\end{footnotes}
transnational death, I faced head-on many of the feelings and decisions that I have known to be significant from a professional researcher’s perspective. Joining these viewpoints, I renewed my commitment to making familiar the interdisciplinary field of transnational death studies.
This collection of articles is one way of encouraging dialogue on transnational death. The anthology arose from the editors’ collective desire to highlight new, diverse voices from the emerging field of transnational death studies. The significant and international response to the volume’s call for papers confirmed that transnational death is indeed being extensively studied from a wide range of scholarly perspectives, but also that publishing has not yet caught up with the demand for work on the subject.\footnote{A welcome recent exception is Alistair Hunter and Eva Soom Ammann, eds. \textit{End-of-life Care and Rituals in Contexts of Postmigration Diversity in Europe}, Special Issue of \textit{Journal of Intercultural Studies}, 37, 2 (2016).} The themes addressed in this introductory chapter are further explored and developed through in-depth ethnological and ethnographic case studies in the following chapters. The work is organized into three thematic sections: Families, Communities, and Commemoration. Together they delve into individual and collective responses to the challenge of death in a transnational context, and they analyze the ways in which constructions of pasts and futures are used to solidify identity, place, and belonging.
\begin{thebibliography}{9}
\bibitem{Balkan2016} Balkan, Osman. 2016. “Between Civil Society and the State: Bureaucratic Competence and Cultural Mediation among Muslim Undertakers in Berlin.” \textit{Journal of Intercultural Studies}, 37, 2: 147–161.
\bibitem{Baptist2010} Baptist, Karen Wilson. 2010. “Diaspora: Death without a Landscape.” \textit{Mortality}, 15, 4: 294–307.
\bibitem{Cohn1984} Cohn, Raymond L. 1984. “Mortality on Immigrant Voyages to New York, 1836–1853.” \textit{The Journal of Economic History}, 44, 2: 289–300.
\bibitem{Frihammar2017} Frihammar, Mattias and Helaine Silverman, editors. 2017. \textit{Heritage of Death: Landscapes of Emotion, Memory and Practice}. London: Routledge.
\bibitem{Gerber2016} Gerber, David A. 2016. “Moving Backward and Moving on: Nostalgia, Significant Others, and Social Reintegration in Nineteenth-Century British Immigrant Personal Correspondence.” \textit{The History of the Family}, 21, 3: 291–314.
\bibitem{Hoare2015} Hoare, Philip. 2015. “‘The Sea Does Not Care’: The Wretched History of Migrant Voyages.” \textit{The Guardian}, April 21, 2015. Available at: https://www.theguardian.com/world/2015/apr/21/the-sea-does-not-care-wretched-history-migrant-voyages-mediterranean-tragedy
\bibitem{Hunter2016a} Hunter, Alistair. 2016. “Deathscapes in Diaspora: Contesting Space and Negotiating Home in Contexts of Post-Migration Diversity.” \textit{Social and Cultural Geography}, 17, 2: 247–261.
\bibitem{Hunter2016b} Hunter, Alistair and Soom Ammann, Eva, editors. 2016. \textit{End-of-life Care and Rituals in Contexts of Postmigration Diversity in Europe}, Special Issue of \textit{Journal of Intercultural Studies}, 37, 2: 95–102.
\end{thebibliography}
Ishiguro, Laura. 2015. “‘How I wish I might be near’: Distance and the Epistolary Family in Late-Nineteenth-Century Condolence Letters.” In *Within and Without the Nation: Canadian History as Transnational History*, edited by Henry Yu, Adele Perry, and Karen Dubinsky, 212–227. Toronto: University of Toronto Press.
Ishiguro, Laura. 2011. “Relative Distances: Family and Empire between Britain, British Columbia and India, 1858–1901.” PhD Dissertation, University College London.
Jones, Esyllt. 2006. “Politicizing the Laboring Body: Working Families, Death, and Burial in Winnipeg’s Influenza Epidemic, 1918–1919.” *Labour: Studies in Working-Class History of the Americas*, 3, 3: 57–75.
Kearl, Michael C. 1989. *Endings: A Sociology of Death and Dying*. New York: Oxford University Press.
Kirmayer, Laurence J., Narasiah, Lavania, Munoz, Marie, Rashid, Meb, Ryder, Andrew G., Hassan, Ghayda, Rousseau, Cécile, and Pottie, Kevin. 2011. “Common Mental Health Problems in Immigrants and Refugees: General Approach in Primary Care.” *CMAJ*, 183, 12. Available at: https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3168672/
Koskinen-Koivisto, Eerika and Snellman, Hanna, editors. 2016. *Bittersweet: Everyday Life and Nostalgia for the 1950s*. Theme Issue of *Journal of Finnish Studies*, 19, 2.
Lindström, Varpu. 1988. *Defiant Sisters: A Social History of Finnish Immigrant Women in Canada*. Toronto: Multicultural History Society of Ontario.
Maddrell, Avril. 2010. “Memory, Mourning and Landscape in The Scottish Mountains: Discourses of Wilderness, Gender and Entitlement in Online and Media Debates on Mountainside Memorials.” In *Memory, Mourning and Landscape*, edited by Elizabeth Anderson, Avril Maddrell, Kate McLoughlin, and Alana Vincent, 123–145. Amsterdam: Rodopi.
Matt, Susan J. 2011. *Homesickness: An American History*. New York: Oxford University Press.
McGowan, Mark G. 2009. *Death or Canada: The Irish Famine Migration to Toronto, 1847*. Toronto: Novalis.
Messias, DeAnne K. Hilfinger. 2011. “The Health and Well-Being of Immigrant Women in Urban Areas.” In *Women’s Health and the Worlds Cities*, edited by Afaf Ibrahim Meleis, Eugenie L. Birch, and Susan M. Wachter, 144–165. Philadelphia: University of Pennsylvania Press.
Metsaranta, Marc, editor. 1989. *Project Bay Street: Activities of Finnish-Canadians in Thunder Bay before 1915*. Thunder Bay: Thunder Bay Finnish-Canadian Historical Society.
Nowrasteh, Alex. 2015. “People Die Trying to Get to America, Too.” Foundation for Economic Education Blog, October 22, 2015. Available at: https://fee.org/articles/people-die-trying-to-get-to-america-too/
Oh, Hyun Joo. 2001. “An Exploration of the Influence of Household Poverty Spells on Mortality Risk.” *Journal of Marriage and Family*, 63, 1: 224–234.
Pajari, Ilona. 2014. ”Kuolema maalla ja kaupungissa: suomalaisen hautajais- ja kuoleman kulttuurinmuutos 1800-luvun lopulta nykypäivään.” *Historiallinen aikakauskirja*, 112, 4: 393–405.
Patrias, Carmela. 1994. *Patriots and Proletarians: Politicizing Hungarian Immigrants in Interwar Canada*. Montreal: McGill-Queen’s University Press.
Picot, Garnett, Hou, Feng and Coulombe, Simon. 2008. “Poverty Dynamics among Recent Immigrants to Canada.” *The International Migration Review*, 42, 2: 393–424.
Prodromou, Amy-Katerini. 2015. *Navigating Loss in Women’s Contemporary Memoir*. London: Palgrave Macmillan.
Ratkowska, Katarzyna Anna and De Leo, Diego. 2013. “Suicide in Immigrants: An Overview.” *Open Journal of Medical Psychology*, 2: 124–133.
Robert, Anne-Marie and Gilkinson, Tara. 2012. “Mental Health and Well-Being of Recent Immigrants in Canada: Evidence from the Longitudinal Survey of Immigrants to Canada.” Ottawa: Citizenship and Immigration Canada.
Rosinska, Zofia. 2011. “Emigratory Expience: The Melancholy of No Return.” In *Memory and Migration: Multidisciplinary Approaches to Memory Studies*, edited by Julia Creet and Andreas Kitzmann, 29–42. Toronto: University of Toronto Press.
Ross, Carl. 1978. *The Finn Factor in American Labor, Culture and Society*, Second Edition. New York Mills, MN: Parta Printers, Inc.
Saramo, Samira. 2018. “Terveisiä: A Century of Finnish Immigrant Letters from Canada.” In *Hard Work Conquers All: Building the Finnish Community in Canada*, edited by Michel S. Beaulieu, David K. Ratz and Ronald N. Harpelle, 165–184. Vancouver: UBC Press.
Saramo, Samira. 2018. “‘I have such sad news’: Loss in Finnish North American Letters.” *European Journal of Life Writing*, 7: 53–71.
Sidaway, James D. and Maddrell, Avril, editors. 2010. *Deathscapes: Spaces for Death, Dying, Mourning and Remembrance*. London: Ashgate.
Solé-Auró, Aída and Crimmins. Eileen M. 2008. “Health of Immigrants in European Countries.” *The International Migration Review*, 42, 4: 861–876.
Soom Ammann, Eva, Salis Gross, Corina and Rauber, Gabriela 2016. “The Art of Enduring Contradictory Goals: Challenges in the Institutional Co-construction of a ‘good death.’” *Journal of Intercultural Studies*, 37, 2: 118–132.
Smith, Heather and Ley, David. 2008. “Even in Canada? The Multiscalar Construction and Experience of Concentrated Immigrant Poverty in Gateway Cities.” *Annals of the Association of American Geographers*, 98, 3 (September): 686–713.
Torres, Sandra, Agård, Pernilla and Milberg, Anna. 2016. “The ‘Other’ in End-of-life Care: Providers’ Understandings of Patients with Migrant Backgrounds.” *Journal of Intercultural Studies*, 37, 2: 103–117.
UN Refugee Agency. 2017. “UNHCR seeks support for alternatives to dangerous refugee journeys.” July 18, 2017. Available at http://data2.unhcr.org/en/news/16417
Wadsworth, Tim and Kubrin, Charis E. 2007. “Hispanic Suicide in U.S. Metropolitan Areas: Examining the Effects of Immigration, Assimilation, Affluence, and Disadvantage.” *American Journal of Sociology*, 112, 6: 1848–1885.
Waldinger, Roger. 1999. “Not the Promised City: Los Angeles and Its Immigrants.” *Pacific Historical Review*, 68, 2: 253–272.
Families I
By choosing their final resting place, immigrants can decide to either become the family’s first forebear in the new country or be returned home, linking their family to their old line of ancestors. In fact, the repatriation of bodies has recently developed into a business.\(^2\) It has been argued that the desired burial location even reveals – in the same way as language skills, employment, and education – how well a person has integrated into a new country.\(^3\) It has also been claimed that the cemetery enables those separated through migratory dislocation to forge new connections with their places of origin – in effect, to “bridge time and place.”\(^4\)
It is natural for people born in Finland – who will probably die there, too – to think about their final resting place there as their end draws near, but what about a person who has left his or her home country and thus faces death abroad? In this chapter, I will examine the postmortal imagery of transnational belonging with the aid of interviews conducted with Finnish immigrants in Sweden in the mid-1970s.
In recent years, several thanatological studies have been conducted on people’s preferred place of burial, but to date only a small number of scholars have concentrated on immigrants. One is Alistair Hunter, a researcher at the University of Edinburgh, who has studied old age and death in migration communities. According to Hunter, when people meditate on their future
---
1 I would like to thank The Finnish Society of Sciences and Letters for the grants I received in 2016 and 2017, which made it financially possible for me to conduct this study. I also wish to thank the Nordic Museum and the Department of Ethnology, History of Religions and Gender Studies at the University of Stockholm for inviting me as a guest researcher in 2016 and 2017. Parts of this study have been published in Finnish in 2017 in the yearbook of the Kalevala Society.
2 Roger Marjavaara, “The Final Trip: Post-Mortal Mobility in Sweden,” *Mortality* 37, no. 2 (2012): 258.
3 Alistair Hunter, “Staking a Claim to Land, Faith and Family: Burial Location Preferences of Middle Eastern Christian Migrants,” *Journal of Intercultural Studies* 37, no. 2 (2016): 189–191.
4 Doris Francis, Leonie Kellaher, and Georgina Neophytou, “Cemeteries as Ethnic Homeland,” in *The Secret Cemetery*, eds. Doris Francis, Lenoie Kellaher and Georgina Neophytou, (Oxford and New York: 2005), 179.
resting place they simultaneously consider location, identity, and discussions about the spot. The term for places of death, *deathscapes*, refers not only to graveyards but also to rituals connected with death.\(^5\) Relying on the theories of Emile Durkheim, Eva Reimers argues that rituals should not be primarily viewed as expressions and communications of religious experience but as expressions of social experience, communal life, and common ideas.\(^6\) Anthropologists have long taken a broad approach to the study of death and its implications in many diverse cultures, and, regarding treatment of the body itself, they have demonstrated how great the variation in practices is. Such practices include inhumation (burial in the ground), cremation (destruction by fire), exposure (lodging the body in caves or treetops or setting it adrift in a canoe), and mummification (preservation of the body by means of special treatment of the tissues).\(^7\)
Hunter’s research is based on interviews with 67 Christian immigrants from the Middle East who had moved to Sweden, Denmark, or Great Britain. His study emphasizes that, almost without exception, previous burial place studies of immigrants have focused on Muslim populations. For example, Muslim communities have been researched by Gerdien Jonker in Berlin, Katy Gardner and Humayun Ansari in Great Britain, and Claudia Venhorst in the Netherlands.\(^8\) Indeed, death and funerals have also been a popular subject in Finnish research. However, the subject has not been approached from the perspective of which burial site is preferred.
**Research material and its interpretation**
Between 1972 and 1999, the Nordic Museum (*Nordiska museet*) in Stockholm ran a project called Migration Finland-Sweden (*Migrationen Finland-Sverige*), during which hundreds of Finnish immigrants living in different parts of Sweden were interviewed. Although official contemporary documentation did not begin at the museum until later, it was considered important, especially with this project, to record the present situation. At that time, museums in general started to shift their focus from the past to the present—and, indeed, to the future, as my study will show.
When the project was launched, museums and their mission were the topic of fierce debate. Göran Rosander, the leader of the project, published his guidelines on material collection in 1972. According to him, an item
---
5 Hunter, 180.
6 Eva Reimers, “Death and Identity: Graves and Funerals as Cultural Communication”, *Mortality* 4, no. 2 (1999): 162.
7 Raymond Firth, “Foreword,” in *The Secret Cemetery*, eds. Doris Francis, Lenoie Kellaher and Georgina Neophytou, (Oxford and New York: Berg), xvi.
8 Gerdien Jonker, “The Knife’s Edge: Muslim Burial in Diaspora,” *Mortality* 1, no. 1 (1995): 27–43; Katy Gardner, 2002, *Age, Narrative and Migration: The Life Course and Life Histories of Bengali Elders in London* (Oxford: Berg); Humayun Ansari, “Burying the Dead’: Making Muslim Space in Britain,” *Historical Research* 80, no. 210: 545–566; C. J. H. Venhorst, “Muslims Ritualizing Death in the Netherlands: Death Rites in a Small Town Context” (Munster: LIT Verlag, 2013)
had to pass at least one of the following six tests before it could be accepted into a collection: it had to be a very common, new, and often technical innovation (1); it should have symbolic value (2) and be typical of a certain field or certain location (3); it had to be linked to a famous person (4) or historical event (5); or, finally, the item should represent different variations of the object in question (6). Karl-Olov Arnstberg, an ethnologist and avid debater of the 1970s, strongly opposed Rosander and his guidelines. Arnstberg argued that museums should be experts on society, not objects, as people should take precedence over artifacts. Thus, material collection should always begin with interviews – whether the idea was to study a certain residential area, workplace, field of industry, or minority group. Only after these interviews should one decide what objects and items were worth taking into a collection. Arnstberg’s policy was widely accepted, and it was adapted for the Migration Finland–Sweden project.\footnote{Eva Silvén, “I samtiden eller för framtiden”, in \textit{Samhällsideal och framtidsbilder. Perspektiv på Nordiska museets dokumentation och forskning}, eds. Cecilia Hammarlund-Larsson, Nilsson Bo G. and Eva Silvén, (Stockholm: Carlssons, 2004), 179–181.}
The interviews with immigrants followed a certain pattern. First, there was a surprise visit to the interviewee, where the actual date for the interview was agreed on. Subsequently, the interview was conducted as planned. The interviewer would begin by asking general questions about the person’s life and then progress to questions about the person’s living arrangements, education, move to Sweden, intentions of staying in Sweden, language skills, hobbies and interests, annual festivities and personal celebrations, food habits, and use of stimulants. At the end of the session, a new time was set for a second interview. During the second visit, the interviewee’s home, its occupants, and its surroundings were photographed. Occasionally, a third visit was required to clarify some answers, and then the person was given a free ticket to the Nordic Museum or a package of coffee. In some cases the third visit was replaced by a phone interview in which the participants were asked if they had exercised their newly acquired right to vote in municipal elections. All the interviewees were asked the same questions in the same order—this was a typical method and in line with the positivist paradigm of the time. The interviews were not taped, and transcriptions were based on hand-written notes—as was customary in 1970s ethnological research. The interviews were conducted in the interviewees’ native language, and afterwards they were transcribed into Finnish or Swedish. The interviewers were either curators from the Nordic Museum or Finnish ethnology students. The material is stored in the archives of the Nordic Museum in Stockholm.
This chapter studies 56 interviews with Finnish-born immigrants. The interviews occurred in Upplands Väsby and Virsbo during 1974 and 1975. The material also includes a great number of photographs from both locations. The interviews were conducted in the participants’ homes, and in the case of couples both the husband and wife were almost always present. Sometimes their children, relatives, or neighbors were also in the same room. Single people were interviewed alone or with neighbors. For this reason,
the number of interviewees was about two times higher than the number of interviews. Two-thirds of the people interviewed spoke Finnish as their mother tongue, while one-third were Swedish speaking. One session could last from two to 15 hours.
The interviews contained three questions on funerals, which were included in a section called Festivities (högtider). First, the interviewees were asked if they had ever attended a funeral in Sweden. If the answer was yes, they were asked to describe the differences between Swedish and Finnish funerals. Second, they were asked if they had any experience of sending someone who had died in Sweden back to Finland. If the answer was affirmative, they were asked to describe that experience in more detail. Finally, the interviewees were asked about their preference for their own future burial site. This question was addressed to every interviewee, irrespective of their age or length of residence in Sweden. The youngest interviewees (with a few exceptions) were in their twenties and the oldest in their sixties, and they had all immigrated to Sweden either between 1958 and 1963 or between 1970 and 1972. Death was not a pressing question for any of the interviewees. However, many had lost a close family member, colleague, or neighbor in Sweden. Judging by the material, fatal accidents at work were extremely common at the time.
A similar set of three questions has been used with immigrants living in other parts of Europe, and the results have been analyzed with quantitative methods.\(^{10}\) It would have been possible to use quantitative methods with the Nordic Museum material as well, but I opted for qualitative methods. My analysis is based on close and repeated reading. In fact, I have read and studied the same material repeatedly since 2006, for different research purposes. In line with the principles of close reading, each perusal has revealed previously unnoticed details.\(^{11}\)
The citations in the text are the result of multiple translating. Birger Grape, a researcher at the Nordic museum, spoke meänkieli, a Finnish dialect from the northern Tornio region. Using this dialect, mixed with standard Finnish, he conducted the interviews, took notes in Swedish, and transcribed the interviews into Swedish. I then translated these transcriptions into Finnish. A student of ethnology, Lea Joskitt, both conducted the interviews and wrote the transcriptions in Finnish. Her transcriptions were then translated into Swedish. I have translated the citations in the Swedish transcriptions back into Finnish. In addition, Annette Rosengren and Annika Tryfelt, researchers from the Nordic Museum, interviewed their Swedish-speaking interviewees in Swedish, and I later translated their Swedish transcriptions
\(^{10}\) Claudine Attias Donfut and François-Charles Wolff, “The Preferred Burial Location of Persons Born outside France” in *Population* (English edition) 605, no. 6 (2005): 699–720; Aimée Casal, Juan Ignacio Aragonés and Gabriel Moser, “Attachment Forever: Environmental and Social Dimensions, Temporal Perspective, and Choice of One’s Last Resting Place,” *Environment and Behavior* 42, no. 6 (2010): 765–778.
\(^{11}\) See Jyrki Pöysä, *Lähiluvun tieto. Näkökulmia kirjoitetun muistelukerronnan tulkintaan* (Joensuu: Suomen Kansantietouden Tutkijain Seura, 2015).
into Finnish. For this chapter, the citations have been translated into English by yet another person.\textsuperscript{12} Naturally, with transcriptions based on handwritten notes and manifold translating, there is a danger of the “broken telephone” effect. Consequently, the citations used in this chapter cannot be treated as word-to-word transcriptions of a person’s speech, and thus it is impossible to interpret the way something was said or not said, or the tone of an expression. Nevertheless, I feel that the speaker’s voice can be heard through the material, and as I wish to transmit this voice to my readers, I have included several direct quotations. These citations also demonstrate the scarcity of the material. In my analysis, I concentrate on the interviewees’ thoughts on their future burial place.
The interviewer was obliged to ask all the questions on the list: irrespective of the embarrassment of the interviewees, all the questions were put to them. Consequently, almost all of the participants answered the question on their preferred burial site. Surprisingly, many had already considered the matter – despite their young age. Many also explained that they had plenty of time to think about the matter before it became pertinent.\textsuperscript{13}
The material was supposed to demonstrate a clear contrast between Swedishness and Finnishness, and it seems that the interviewers had such a clear idea of Finnish culture that they failed even to look for variations. For example, when an interviewer was talking with immigrants originally from Karelia (now part of Russia), they were not asked if they were members of the Orthodox Church. This is unsurprising, considering that from the formation of the Swedish nation-state until the end of the 1980s, Swedes viewed Finns as a culturally unified people. As the historian of Finnish minorities Miika Tervonen observes, this was also the case in Finland. Finnishness was assumed to refer to people with a shared origin and cultural background.\textsuperscript{14} However, one of the interviewees took the interviewers to Virsbo Cemetery and showed them the grave of every person with Finnish origins, and she especially pointed out those who had belonged to the Orthodox Church. Some, but not all, of the headstones had text in Finnish. None of the headstones, however, bore the Orthodox cross.\textsuperscript{15} This is a perfect example of grave memorials carrying symbols of ethnic affiliation and features of syncretism and assimilation into the dominant culture, a topic discussed in earlier research.\textsuperscript{16} The graveyard was owned and administered by the local authority and the Church of Sweden, which was the official Protestant state church until the year 2000. According to the ethnologist Eva Silvén, cemeteries are considered public spaces and, within certain limits, people
\textsuperscript{12} I would like to thank Ms. Marja Hakola for translating the first draft of the article into English.
\textsuperscript{13} E.g., Nm:K15: Alfred & Alina.
\textsuperscript{14} Miika Tervonen, ”Historiankirjoitus ja myytti yhden kulttuurin Suomesta,” in Kotisetti ja kansakunta. Miten suomalaista historiaa on rakennettu, eds. Pirjo Markkola, Hanna Snellman, and Ann-Catrin Östman (Helsinki: Suomalaisen Kirjallisuuden Seura, 2014), 155, 158.
\textsuperscript{15} Nm:K25: Saara.
\textsuperscript{16} Francis, Kellaher and Neophytou, 189.
are free to make their own choices regarding their headstone and the text and decoration on it.\textsuperscript{17}
\textit{How closely can we look?}
Several ethical questions require consideration. For example, is it ethical to photograph and publish pictures of headstones when gravestones reveal so much personal information, such as the name, occupation (sometimes), and date of birth and death of the deceased? Moreover, researchers should be sensitive regarding the sorrow and grief linked to graves and to the relatives of the deceased who visit them. With good reason, Eva Silvén asks, “How closely can we look?”\textsuperscript{18} Several photographs of headstones are available in the archives of the Nordic Museum, but I have decided not to publish them. However, I do comment on the texts and symbols on the headstones.
The interview material at the Nordic Museum raises an even greater problem: how to protect the privacy of the interviewees. In my previous research on Finns in Gothenburg, I created a system where the pseudonyms of interviewees also revealed their approximate year of birth. In that study, I grouped the interviewees according to the key experiences they had shared in their childhood and youth in Finland. Each person belonging to the same group was given a pseudonym beginning with the same letter. This allowed the reader to determine the gender and approximate date of birth of the interviewee. In another study on Finnish women in Mälardalen, I grouped the interviewees according to their shared experiences of immigration and gave them pseudonyms accordingly.\textsuperscript{19} Dorothea Breier has used a similar system in her PhD dissertation,\textsuperscript{20} and it has proved practical: it protects the anonymity of the interviewees but reveals necessary background information.\textsuperscript{21}
In the following, I have sorted the interviewees into four groups according to their ages. Interviewees born before 1925, who were thus in their fifties or older at the time of the interview, have pseudonyms beginning with the letter S. Interviewees born between 1926 and 1934, and thus in their forties at the time of the interview, have pseudonyms beginning with the letter T. The largest group, those born between 1935 and 1943, and therefore in their
\begin{footnotesize}
\begin{enumerate}
\item[17] Eva Silvén, “Graveside Shrines: Private or Public Space” in \textit{Heritage of Death. Landscapes of Emotion, Memory and Practice}, eds. Mattias Frihammar and Helaine Silverman, (London and New York: Routledge, 2018), 25–26.
\item[18] Silvén, (Helsinki, Unigrafia, 2017), 33.
\item[19] Hanna Snellman and Lotta Weckström, 2017, “The Apple Never Falls Far from the Tree – Or does it? Finnish Female Migrant Transnational Generations on the Swedish Labor Market,” \textit{Journal of Finnish Studies} 20, no. 2 (2017): 80.
\item[20] Dorothea Breier, \textit{The Vague Feeling of Belonging of A Transcultural Generation: An Ethnographic Study on Germans and Their Descendants in Contemporary Helsinki, Finland}, Academic dissertation (Helsinki, Unigrafia, 2017), 37–38.
\item[21] On the anonymization of qualitative data, see Data Management Guidelines (www.fsd.uta.fi). Accessed February 23, 2018.
\end{enumerate}
\end{footnotesize}
thirties at the time of the interview, have pseudonyms beginning with the letter A. Finally, interviewees who were then in their twenties (born 1946–1951) have pseudonyms beginning with the letter B. Children present during the interview have not been given pseudonyms. The interview material also contains information about people other than the interviewees themselves. Their names have also been anonymized by means of pseudonyms beginning with random letters. Their ages are not known.
“Where would you like to be buried?”
In the following, I will apply Alistair Hunter’s typology on immigrants’ motives for determining their preferred place of burial. According to Hunter, for some the choice is based on practical reasons (1) and for others the choice is dictated by family ties (2). There are those who place importance on the region (3) and those who place more value on religion (4).\(^{22}\)
1) When Hunter scrutinized the practical reasons in detail, it became clear that they were linked to the costs of the funeral and memorial service (financial expense) or the paperwork connected to death (organizational costs), as well as to the security situation. Here, security refers to specific national contexts, such as whether one can trust that the cemetery will not be demolished or whether it is safe or even possible to travel back to the country in question for the funeral.
2) In turn, family ties went as far back as distant ancestors or they only concerned the deceased person’s parents and descendants, as well as other family members or friends (nearest and dearest).
3) The motives for favoring a particular burial site were connected to a physical place, a place a person considers important because of all the years lived there, or because it has a certain meaning (preponderant presence). This can be the country where a person was born or the country to which s/he moved (the nation), or a landscape in which s/he feels that s/he belongs (emotional landscape).
4) Religion often plays a central role in the literature on immigrants, and this is also the case with Hunter’s typology. Religious motives that determine the preferred burial site are linked to a desire to “do the same” (theological conformity), to do the opposite—thereby moving away from one’s religious community (religious disassociation), or to sanctify the place one has chosen (sacralization).
With a small number of exceptions, the material collected in Sweden during 1974 and 1975 fits well into Hunter’s typology. However, different motives can be combined in a single comment. Indeed, the cultural anthropologist Yvon van der Pijl argues against the existence of a single, correct script to be followed; instead, multiple answers and cultural metaphors from a number
\(^{22}\) Hunter, 184.
of scripts should be included.\textsuperscript{23} For example, in the data from the present study, a 25-year-old woman and mother who had recently moved to Sweden was concerned about the financial side of the matter, but she was also anxious about funerary rituals. In addition, she knew something about the costs of repatriating a body:
“I want to be buried in Finland, absolutely,” both Bo and Barbara answer at the same time. “Why?” “Well, there are my nearest and dearest,” says the husband. “When my aunt’s husband died, she didn’t know what to do. She was so confused that she couldn’t think straight. They both had Swedish citizenship, and the husband was buried in Eskilstuna. Afterwards, my aunt moved to Finland, and Johan is now in Eskilstuna. My aunt is not well; she is in poor health and cannot come over anymore. It is customary to send the deceased to Finland. The coffin is shipped to Finland. Cremation is not usual there where I come from (Närpiö in the Ostrobothnia region). Usually, we rent a car that takes the coffin to the burial place. And for that matter, if you are a Swedish citizen and you want to be buried in Finland, it costs a lot! And you need to pay all by yourself. It can cost up to 10,000 kronor.”\textsuperscript{24}
A woman with five adult children had moved to Sweden two years before. One of the children lived in Sweden close to her, and another was planning to move to Sweden soon. The woman, a 48-year-old divorcée, was considering returning to Finland. While her home region in Finland seemed a natural location for her final resting place, she was also worried about the costs of moving the body:
I want to be buried in Korpilahti in Finland. I don’t plan to die here in Sweden—unless something unexpected happens and I don’t have time to go to Finland. I was just visiting my daughter in Finland, and she asked what they should do if I died suddenly. I said bring me to Finland if there is enough money for it. Maybe one can get some financial support if the family doesn’t have funds to bring the body home. I want to be buried in Korpilahti because both my father and mother are resting there. At least someone is sure to visit my grave as well.\textsuperscript{25}
A married couple, both in their fifties, had moved to Sweden more than ten years before. This couple, too, was well aware of the high funeral costs. The husband’s brother had died in Sweden at the age of 29, and he had been buried in his home town of Porvoo, Finland. It had been less expensive to repatriate the body than for the funeral guests to travel to Sweden. For the wife, there was no question about the matter—she wanted to be buried in Sweden, as the following extract from the interviewer’s notes makes clear:
\textsuperscript{23} Yvon van der Pijl, “Death in the Family Revisited: Ritual Expression and Controversy in a Creole Transnational Mortuary Sphere,” \textit{Ethnography} 17, no. 2 (2015): 151.
\textsuperscript{24} Nm:K10: Bo & Barbara.
\textsuperscript{25} Nm:K14: Tyyni.
When Birger [the husband’s brother] died, his brother and sister came here from Finland to make arrangements for the funeral and to get his things. It was agreed that the sister would do everything as she saw fit. To ship the coffin to Turku costs only double the normal passenger ticket. It would have been much more expensive for the guests to come to Sweden for the funeral. The brother’s coffin was a square box, without a high top, and it was made of oak. The interviewee had never seen such a coffin, and people in Porvoo came especially to see it.
For the wife, there was no question about the matter – she wanted to be buried in Sweden, as the following extract from the interviewer’s notes makes clear: “We are registered here. Who would take us anywhere from here? Our children are here. We want to be buried where we live.”\textsuperscript{26}
Another interviewee, a woman who had moved to Sweden in 1959, seemed hurt by the interviewer’s suggestive question. She asked what in the world they would do in Finland, as they had “all we need here.” She also referred to the funeral costs by saying that everything was more expensive in Finland and that in Sweden everything was better than in Finland.\textsuperscript{27}
In Hunter’s study, material security was a motive for the choice of burial place. People were reluctant to send a body to a country that was at war, as they wished to ensure that the grave would be safe.\textsuperscript{28} However, none of the Finnish immigrants interviewed in the 1970s mentioned security when asked about their preferred resting place. This is unsurprising, as both Finland and Sweden were considered very safe and secure countries. Security may have once been an issue: after the Second World War, many Finns migrated to Sweden for fear that their country would become part of the Soviet Union. However, the Finns interviewed by the Nordic Museum had moved to Sweden much later, and their reasons for immigration – at least according to the transcriptions – were not dictated by fear of the Cold War. Nevertheless, some sort of self-censorship may have also occurred. For instance, one of the interviewees asked that his comment on the Soviet Union be removed, because he thought it might be dangerous. To whom it might be dangerous is not explained in the fieldwork diary.\textsuperscript{29}
\textit{Family ties}
Some of the people in Hunter’s material felt that it was important to be close to the graves of their forefathers or to the graves of future generations.\textsuperscript{30} However, the Finnish immigrants interviewed in the Nordic Museum project did not think this far, either into the past or into the future. For them, it was important to be close to their spouse, parents, or children – and past or future generations did not seem to matter. In the Nordic Museum’s material, family ties were the most common motive for choosing the future burial
\begin{itemize}
\item \textsuperscript{26} Nm:K11: Sixten & Tilde.
\item \textsuperscript{27} Nm:K20: Barbro.
\item \textsuperscript{28} Hunter, 185.
\item \textsuperscript{29} For ethical reasons, I will not reveal the reference here.
\item \textsuperscript{30} Hunter, 186.
\end{itemize}
place. Couples used the word “us” when talking about each other, signaling that for them it was obvious they would be buried in the same grave:
“Our children are here, so our grave should be here, too,” says the husband. The wife [adds]: “If we live here and our children live here, I guess we will be buried here, so that the grave is not far away from them. As such, it doesn’t make any difference to us whether our grave is in Finland or here.”\(^{31}\)
It seemed that the closer the interviewees were to death, the easier it was for them to discuss it. The oldest person interviewed took the interviewers to see the grave of her husband, who had died ten years earlier. On the headstone was a space for her name. She said that her husband had died only four years after they had moved to Sweden. Her husband had wanted to go back to Finland, but he died suddenly. The couple’s children had moved to Sweden before their parents, and so it seemed natural to bury him in Sweden.\(^{32}\) She showed the curators of the Museum another Finnish grave. The text “G. Henriksson’s family grave” was in Swedish on top of the grave, but the interviewee said that the only person buried in that grave so far was Hjördis (1925–1968), and the family had originally come from Finland.\(^{33}\) Another interviewee spoke about his father, who had died suddenly during a trip to Finland. It had been natural to bury him there. His wife, still living in Sweden, said that she wished to be buried in Finland in the same family grave as her husband.\(^{34}\)
Another woman told the story of her father, who, although he had lived in Sweden, had been buried in Finland at her mother’s request. She added, “I have never really thought about it before, but I guess that’s where I want to be buried, too. All my relatives are there.” To her husband, the matter was of no importance, but if he was forced to say where he wanted to be buried, his answer would be Sweden – because his closest family members lived there, he explained. Six out of his seven siblings were living in Sweden, and his mother spent her winters there, too.\(^{35}\) In addition, a Swedish-speaking couple had come to the conclusion that they would probably be buried in Sweden because their children had no plans to move to Finland. After all, the children had no prospects in Finland, as they could not speak the language.\(^{36}\)
In Hunter’s research material, the term “close family members” refers to a person’s own children, friends, and other people close to that individual. In his material, an important motive for choosing one’s final resting place was to ensure that somebody would visit one’s grave.\(^{37}\) Similarly, according to the Nordic Museum’s material, to many it made no difference whether their grave was in Finland or Sweden – as long as it was close to their children. “Wherever the children are, that’s where I want to be buried. It is not so
\(^{31}\) Nm:K11: Arvid & Anja.
\(^{32}\) Nm:K25: Saara.
\(^{33}\) Nm:K19. B.622/17.
\(^{34}\) Nm:K25: Arja.
\(^{35}\) Nm:K14: Armas & Ansa.
\(^{36}\) Nm:K16: Teresa, Taavetti, & child.
\(^{37}\) Hunter, 186.
important if it is in Finland or in Sweden,” said a mother of three who had moved to Upplands Väsby a few years earlier. Her youngest child had been born in Sweden.\textsuperscript{38}
Not all couples agreed on the question of whether to be buried in the same grave and where. In fact, this unexpected question provoked the occasional quarrel between husband and wife. The question that caused the most friction was whether the common resting place should be close to the husband’s or the wife’s family. It was self-evident that these couples wanted to be buried in Finland, but the exact location remained a point of contention.
The husband: “In Tampere, Messukylä cemetery, next to my parents. My mother rests there already, and when my father dies, there is a place for him there, too. I say, a man must have a goal! And since we are all going to die, why can’t the cemetery be that goal?”
The wife: “We have talked about this before. Do you mean that we are going to be buried in different places?” (She is speaking to her husband with a resigned voice.) “So, it is more important for you to be with your family than with me. I don’t care where I am buried. The children can decide.”
The husband: “Of course, it’s the family, your roots. They are more important to you than your spouse. In fact, your spouse is a stranger, not part of your family.”\textsuperscript{39}
Many of those interviewed were aware that the memory work attached to a grave links the deceased not only to a place but also to other family members. When deciding the location of the grave, in the case of transnational death one must also take into account – if only on a metaphorical level – the country in which the family line will continue and which family line will be chosen. The only options are to break with the dead or break with the living.\textsuperscript{40}
\textit{Territorial considerations}
For Finnish immigrants who had lived in Sweden for an extended period of time, the wish to be buried in Finland was often linked to a nostalgic conception of the past. In their mind, life in Finland was, if not better, at least positive in many ways. In this kind of thinking, Sweden was “not Finland,” and memories of happier times were easily connected with the past and Finland, either to a person’s hometown or country.\textsuperscript{41} The basic idea of the Migration Finland-Sweden study was to obtain information on Finns’ integration into Sweden. Thus, the question on the preferred place of burial – either Finland or Sweden – was considered crucial. In some cases, the question was asked in a leading way, revealing the interviewer’s own
\textsuperscript{38} Nm:K10: Augusta.
\textsuperscript{39} Nm:K14: Aukusti & Anneli.
\textsuperscript{40} Attias Donftut et al., 702; Hunter, 185; Reimers, 155.
\textsuperscript{41} Ilona Pajari, ”Kuolema maalla ja kaupungissa. Suomalaisen hautajais- ja kuolemankulttuurinmuutos 1800-luvulta nykypäivään,” \textit{Historiallinen aikakauskirja} 112, no. 4 (2014a): 393.
nostalgia-based preconception of the interviewee’s categorical desire to be buried in Finland.\textsuperscript{42} Indeed, many of the immigrants wanted to return to Finland after their death, but their motives for returning were not based on Finland as a nation or on a strong sense of nationalism. They simply wanted to return to Finland, and there was no need to explain why:
Wife: “In Övermark [where her husband was born] or in Luumäki [her own place of birth], it does not matter, but Finland, Finland.”
Husband: “On Finnish soil.”\textsuperscript{43}
In Hunter’s typology, the emotional landscape refers to choices which are based not on the nation or citizenship but on something harder to define: the feeling of belonging to a certain place.\textsuperscript{44} For the immigrants interviewed by the Nordic Museum, the emotional landscape meant either the place where they had grown up or the place where they assumed they would be living at the time of their death. Nevertheless, some couples failed to agree on the matter – even if they had been born in the same region. For example, a 28-year-old man who had moved to Sweden a few years earlier said he wished to be buried in his home region in Finland. However, his wife reported that she felt a different location in Finland to be home.\textsuperscript{45} As Pijl observes, “not only life but also death often includes more than one locality.”\textsuperscript{46}
It was apparent, too, that some interviewees had quickly become estranged from Finland. For instance, a man born in Sortavala (today part of Russia) claimed it did not matter if he was buried in Finland or in Sweden. “There, where I live and work,” was his answer.\textsuperscript{47} A man born in Petsamo (today part of Russia) remarked sadly that those who had a family grave in Sweden probably wanted to be buried in Sweden, and those who had a family grave in Finland probably wanted to be buried in Finland. He himself lacked a family grave in either country; his family grave was now across the border.\textsuperscript{48} The same was true of an interviewee born in Eno (today part of Russia), who, after lengthy consideration, explained that she no longer felt at home in Finland. She was the only interviewee who talked about cremation in a neutral and matter-of-fact way. She was also the only one to mention the custom of having two funerals: the first ceremony in the new home country in connection with the cremation, and the second ceremony—the urn burial—in the deceased’s native country:
\textsuperscript{42} On nostalgia and researchers, see David Berliner, “Are Anthropologists Nostalgist?” in \textit{Anthropology and Nostalgia}, eds. Olivia Angé and David Berliner, (New York and Oxford: Berghahn Books, 2015); Hanna Snellman, “An Ethnography of Nostalgia. Nordic Museum Curators Interviewing Finnish Immigrants in Sweden,” \textit{Journal of Finnish Studies} 19, no. 2 (2016): 158–176.
\textsuperscript{43} Nm:K12: Atte & Aune.
\textsuperscript{44} Hunter 2016, 187.
\textsuperscript{45} Nm:K14: Aatos & Annukka.
\textsuperscript{46} Pijl, 154.
\textsuperscript{47} Nm:K9: Aarne.
\textsuperscript{48} Nm:K15: Antero.
“It is quite common for Finns to send their dead to Finland to be buried there,” Aura remarks. One of her friends at work had just been to a funeral that took place both in Sweden and in Finland. The body was cremated and the urn sent to Finland for a family burial. “As far as I am concerned, I am at my wits’ end about this burial place, though we have talked about it, yes. We do have a family grave, but there is room for only two. My father is there already, my mother is still waiting. And it feels so strange after all this time.”
According to Hunter, both the number of years spent in one’s native country and the number of years spent in one’s new home country affect the preferred burial site. This factor, termed “preponderant presence” in Hunter’s typology, is also an important element in the material collected among Finnish immigrants. When asked about their future burial site, some interviewees realized that they had become so rooted in their new home country that it would feel unnatural to return to Finland after death. They were also aware that their attitudes had changed over the years. For example, a 31-year-old mother of three who had lived in Sweden for about ten years reported, after a moment’s consideration, that she wished to be buried there in the cemetery in Upplands Väsby. Her husband replied that he had previously wished to be buried in Finland, but now it no longer mattered so much. Some interviewees had come to the same conclusion, but more quickly. For example, a 25-year-old Finnish woman married to a Swedish man had moved to Sweden some three years before and was hoping soon to become a mother. Her answer to the interviewer’s somewhat leading question on a burial in Finland was: “I really don’t think so.” The number of years was not so relevant, compared to the quality of the time spent in the new country. “After all, we live here,” many replied, apparently slightly hurt that they had been asked the question at all.
**Funeral customs**
Previous studies have underlined religious motives in selecting the place of burial. This is partly due to religion being a central focus of those studies – as is often the case in research on immigrants. In my own material, religion was not mentioned even once as the motive for choosing the preferred burial site. This is unsurprising for two reasons: first, Finland and Sweden have a rather similar religious profile and, secondly, the researchers were following a unified picture of Finnishness, as discussed above. In the Nordic
49 Nm:K10: Adam & Aura.
50 Hunter, 187.
51 Nm:K12: Tauno & Tuovi.
52 Nm:K12: Benita.
53 Nm:K16: Tyra.
54 Attias Donfut et al.; Casal et al.; Cora Alexa Doving, *Norsk-pakistanske begravelsersitualer – en migrasjonsstudie* Oslo: Det historisk-filosofise fakultet, Universitetet I Oslo, 2005); Hunter.
Museum material, the interviewees were asked about their religious customs in connection with important personal celebrations and church attendance, but they were not asked about their faith. The assumption was that Finnish immigrants belonged to the Lutheran Church and were more religious than Swedes. It is likely that several interviewees were originally Orthodox, but the interviewers were interested solely in whether their families had a Bible or hymnbook in Finnish or Swedish.\textsuperscript{55} One couple emphasized that they were part of a revivalist movement, but this had no bearing on their preferred place of burial.
One of the interviewees wished to take her interviewers for a walk in Virsbo Cemetery to tell them about the migration history of Finns there. The oldest graves were from the beginning of the 1920s, with Swedish names and texts. Apparently the deceased were domestic help who had migrated from Finland to Sweden (e.g., Anna Pettersson). However, some of the graves had Finnish texts. For instance, Mauritz Majonen (1952–1957), who had died in a car accident as a young child, had the words \textit{lepää rauhassa} (“rest in peace”) on his grave. The interviewee told the interviewers that the family was Orthodox. There was no reference to religion on the grave, simply the rays of a rising sun. At the grave of Juha Karmunen (1915–1969), Annette Rosengren had written, “note, not an Orthodox cross,” even though the deceased was Orthodox. Moreover, Jelena Makarov’s (1878–1966) name and her birthplace in Russian Karelia (Saajärvi) suggests that she might also have been Orthodox, but the cross on the grave was not Orthodox. The walk in the cemetery initiated by the interviewee was the only time that the interviewers mentioned the Orthodox faith in the material.\textsuperscript{56}
Although many of the participants expressed a preference for being buried in Finland or, conversely, in Sweden, the difference between the two countries was never considered so large that the country itself was significant in the choice. “They are both the same country,” said one interviewee laughing.\textsuperscript{57} The Finnish word for country or land, \textit{maa}, can mean many things here. Thus, the interviewee might have meant that, for him, Sweden and Finland were culturally alike. Or he might have been referring to the funeral ritual where, as the coffin is lowered into the grave, the priest throws soil on the coffin and utters the words “Earth to earth, ashes to ashes, dust to dust.” This ritual has deep significance regardless of whether a person is religious, and, according to Pijl, cultural metaphors play a crucial role in funerary rites.\textsuperscript{58} Indeed, funeral customs and rituals seem to matter a great deal when people consider their future resting place.
In her article on Finnish death, Ilona Pajari writes that Heikki Waris had already discovered that the first generation to live in a city tended, whenever possible, to follow the customs and lifestyle of their home region. The same
\textsuperscript{55} E.g., Nm:K15: Antero.
\textsuperscript{56} Nm:K19. B.622/11; B.622/21; B.539/20; B.539/19; B.539/17; B539/18; B. 539/21; B539/22; B. 539/25; B. 539/26; B. 539/24; B539/23; B.539/27; B.622/7; B.622/8; B. 622/9; B. 622/16; B.622/15; B.622/17; B.622/10; B.622/12; B.622/14; B.622/13.
\textsuperscript{57} Nm:K9: Selim & Ada.
\textsuperscript{58} Pijl, 151.
was true a hundred years later with communities of Finnish workers in Sweden: for many, the wish to be buried in Finland concerned the differences in funeral rituals. Small things matter; for instance, would it be possible for the funeral guests to bid farewell to the deceased in an open coffin? Who would be the coffin bearers and how would they dress? What artifacts would be involved? And where would the memorial service be held? In the 1970s, death in Sweden was, in comparison to Finland, more distanced from everyday life. For example, the pallbearers were professionals, whereas in Finland family members carried the coffin. In the Finnish countryside, the memorial service was usually held at home, while in Sweden it occurred in a public building. If the burial was in Finland, everything was clear; there would be “no problems,” as one of the interviewees put it—although he wanted to be buried in Sweden himself.
The most significant difference between Finnish and Swedish burials concerned cremation. Some interviewees wished to be cremated because they thought that it would be easier to take an urn, rather than a coffin, to Finland. Nevertheless, few were familiar with the custom of cremation. For a couple who had immigrated to Sweden a few years before to live with their son’s family, it was the question of cremation that determined their future burial place:
“Many [Finns who have died in Sweden] have been buried in Finland,” says Stig. “I know one from the factory; he died accidentally. And then there was the husband of Ragna’s aunt. The one from the factory had a family grave in Finland. That is probably why he was buried there. He didn’t have a family here in Sweden. He was not that old, and his parents lived in Finland. The other one that died, they had a son and a daughter buried over there. The Nordbergs had a family grave at Vöyri, Finland, and they were wondering if they should get one in Sweden, too.” When Sandra is asked where she and her husband want to be buried, she answers, “No, I feel that…” They haven’t talked about the matter, and she says that she doesn’t know what she should answer. Stig says that, as a matter of fact, he was thinking about this the other day when he was driving past the place where they are going to build Hammarby’s new church. “If they bury people there without cremation, then, yes, I think I could be buried there,” he says. “That’s what I was thinking when I drove past the place.” Cremation is not common in their home region, and Stig and Sandra do not want to be cremated. But they are not sure if burial without cremation is possible in Sweden.
59 On Finnish funeral customs, see Ilona Pajari, ”Kuolemanrituaalit”, in Kuoleman kulttuurit Suomessa, eds. Outi Hakola, Sari Kivistö and Virpi Mäkinen (Helsinki, Gaudeamus, 2014b), 92–102.
60 Nm:K16: Samuel.
61 E.g., Nm: K25:Alpo.
62 Nm:K11: Stig & Sandra.
HANNA SNELLMAN
40
Wherever
Just as Hunter observed in his own material, some Finnish immigrants interviewed by the Nordic Museum were totally indifferent to the idea of their future burial place.\(^{63}\) This might be explained by the suddenness of the question; some interviewees were unprepared for it, and they were unsure how to react. For others, the question was simply not pertinent. Nevertheless, here the role of the interviewer is also significant in terms of his or her skill in asking such a delicate question. Some interviewees disliked the way Swedes and Finns were treated as two fundamentally different groups in the survey, and consequently they questioned several of the ideas that arose during the session. One interviewee replied bluntly that it made no difference to him where he was eaten by worms, since they were the same material everywhere (\textit{det är samma material överallt}). However, it is slightly unclear whether the term “material” was taken here to mean Finns, Swedes, worms, earth, or soil.\(^{64}\) Another interviewee, this time a woman, replied “I don’t care where I am buried,” and her husband added: “It is not that important… Once the
\(^{63}\) Hunter, 184; K9: Aapeli & Birgitta.
\(^{64}\) Nm:K10: Terttu.
soul takes off, it doesn’t matter where your body lies.”\textsuperscript{65} “I do not care where they scatter my ashes,” said another.\textsuperscript{66} Finally, a 23-year-old woman who had lived in Sweden for less than a year replied that she would like her ashes to be scattered where she was living at the time of her death.\textsuperscript{67}
By contrast, a 25-year-old woman who had lived in Sweden for a few years at the time of the interview reported that her spouse’s parents, although now living in Sweden, would certainly want to be buried in Finland. For her own part, she had not thought about the matter. The interview occurred in the kitchen, and her husband happened to appear just as the matter was being discussed. According to the interviewer, the husband was surprised by the question and said that for him it made no difference where he was buried.\textsuperscript{68} In addition, a 32-year-old man who had lived in Sweden for more than ten years said that he had never considered where he would like to be buried. Nevertheless, when presented with the question he became grave, noting that the matter was very important. “So many things are connected to it,” he said. However, he explained that his spouse’s father had wished to be buried in Sweden, so that was probably an option for him, too.\textsuperscript{69}
\textit{Transnational Finnish death in 1974}
The group of people interviewed by the Nordic Museum in Sweden was extremely heterogeneous. Consisting of both Finnish- and Swedish-speaking Finns, it included people who had recently moved to Sweden and those who had had it as their country of residence for almost twenty years. Some had families, some were divorced, and others were widowed. Some couples had been together for many years, and some were apparently very tired of each other. By contrast, some were young couples just starting their life together. Many lived close to old friends or siblings that came, for example, from the same village in Ostrobothnia, while some had no friends from Finland at all in Sweden. There were families with children born either in Finland or in Sweden, or in both. There were families with several children and families with only one child. The children were either biological, adopted, or the spouse’s children from a previous marriage. With the exception of the children present during the interviews, none of the interviewees had moved to Sweden with their parents. This is because only individuals who had moved to Sweden independently were selected for the survey. Consequently, the group consisted solely of first-generation immigrants. Some of the interviewees were Finnish citizens and some were Swedish. The sample included those who dreamed of moving back to Finland and those who were offended by the mere question of returning. For some, their old home region was out of reach because it was on the other side of the border.
\begin{footnotes}
\item[65] Nm:K9: Santeri & Taimi.
\item[66] Nm:K14: Armas & Ansa.
\item[67] Nm:K16: Birgit.
\item[68] Nm:K10: Berta & Benjamin.
\item[69] Nm:K10: Algot.
\end{footnotes}
with the Soviet Union; for others, it would have been possible to return. The interviewees also lived in a variety of dwellings. Some lived in one-room apartments, some in single family houses, and some in townhouses, though most resided in apartment buildings. In addition, some lived in Upplands Väsby, near Stockholm, while others resided in the countryside in an old ironworks community in Virsbo. The list of differences is endless, and this in itself demonstrates the richness of the qualitative material and also explains the difficulty of analyzing it.
My findings based on the Nordic Museum’s material deviate from Hunter’s typology only where religious motives are discussed: religious motives were less important to Finnish immigrants when selecting their preferred place of burial. Different funeral rituals, by contrast, were more significant to them.
Funeral rituals have been discussed in earlier studies on immigrants’ preferred burial sites,\(^{70}\) which have demonstrated that new or unfamiliar practices are often avoided. Cremation was unusual in 1970s Finland, especially in the countryside.\(^{71}\) For many, this was the decisive element in selecting their future burial place. The Swedish-style coffin seemed strange, not to mention the urn. Immigrants who had attended a funeral in Sweden considered the funeral and memorial ceremony slightly odd and unfamiliar. As the ceremony proceeded, small things caused uneasiness. While differences between the two countries in terms of emotional outbursts were not mentioned, one seldom witnesses displays of strong emotions at funerals in Finland; according to Ilona Pajari, it is considered “not very Finnish” to cry out loud at a funeral.\(^{72}\)
Death does not end with the funeral. Afterwards, the grave remains in the cemetery and has a life of its own—if the deceased, or their closest relations, so wish. Maintaining the grave is a ritual that was mentioned in many interviews. Although the interviewees discussed “taking care of the grave,” they were not solely referring to plants and flowers or neat-looking graves. It was also a reminder of the act of caring, both for themselves and for those who were likely to visit their grave. In his 1965 ethnological dissertation, Mats Rehnberg wrote that plants and candles in cemeteries had become more common in the 1900s as the number of family graves increased. The family name engraved on the headstone entitled one to take care of the grave.\(^{73}\) Having their name engraved on the headstone, or just having a grave owned by their family or relatives, certainly had an important meaning for the immigrants in the Nordic Museum study—irrespective of whether the grave connected them with Finland or Sweden.
The term “family grave” occurs frequently in the material. Visiting a grave is a ritual that underlines the sense of belonging together, and actually caring for the grave is part of that ritual. The ritual of visiting (and tending)
\(^{70}\) Attias Donfut et al., 700; Pijl; Reimers, 148.
\(^{71}\) Ida Marie Høeg and Ilona Pajari, “Introduction to the Nordic issue of Mortality” in *Mortality* 18, no. 2 (2013): 114.
\(^{72}\) Pajari 2014b, 95.
\(^{73}\) Mats Rehnberg, *Ljusen på gravarna och andra ljusseder. Nya traditioner under 1900-talet*. Nordiska museets handlingar: 61 Stockholm: Nordiska museet, 1965), 242.
the grave also strengthens one’s family ties. Although most couples wished to be buried in the same grave, the meaning of family was not self-evident in those cases where the husband and wife both wished to be buried with their own parents. Since in a grave a person is usually connected with only one family, this subject provoked discussion between couples on many levels. In earlier studies, such conversations about family lines and which family line to connect with were followed by similar discussions on the state and country.\textsuperscript{74} In the Nordic Museum study, the simplest solution for beginning the discussion on belonging was to talk about children and the wish to be buried in the country where one’s children resided—in most cases, Sweden. In this way, the interviewees, perhaps not realizing it themselves, made the decision to begin a new family line through their transnational death, linking future generations to the country where they themselves had been pioneers.
Funeral arrangements are an integral part of death, and they provide the family with an outlet for sorrow. The survey revealed many practical reasons for choosing one’s final resting place. Many of these reasons were financial, since the costs of burying a Swedish citizen in Finland were high. Moreover, since cremation was unusual in 1970s Finland, the body was, in most cases, transported to Finland in a coffin. Even so, it was often less expensive to transport the deceased overseas than for the funeral guests to travel to Sweden. Whether it was costly to bury a Finnish citizen in Sweden was not discussed in the material. According to previous research, Finnish immigrants often changed their citizenship for practical reasons: Swedish citizenship allowed them to avoid military service in Finland, made it easier for them to travel to southern Europe on holiday (a new trend in those days), and enabled them to realize their dream of buying a house or summer cottage.\textsuperscript{75}
A large number of interviewees expressed the wish to be buried in Finland, and they did not give any further explanation. As this was also the interviewers’ assumption, they did not ask for more detail. For many, home—being the region where they had grown up—determined the future site of the grave. Through this decision, the interviewees connected themselves, but not necessarily their children or grandchildren, to the country and region from which they had only temporarily emigrated. However, some participants felt that they had moved their lives to Sweden and thus they wished to be buried there. The decisive factors in this case were the number and quality of years spent in Finland and Sweden.
\textit{Belonging through death}
In the survey conducted by the Nordic Museum, immigrants were asked about their preferred burial site. This unexpected question forced them
\textsuperscript{74} For example, Marjavaara; Alistair Hunter, “Deathscapes in Diaspora: Contesting Space and Negotiating Home in Contexts of Post-Migration Diversity”, \textit{Social \& Cultural Geography} 17, no. 2 (2015): 247–261.
\textsuperscript{75} Hanna Snellman, \textit{Sallan suurin kylä – Göteborg} (Helsinki: Suomalaisen Kirjallisuuden Seura, 2003a).
to decide on short notice how to view their life – whether to look to the past, the present, or the future. Images of death connected with home, family members, friends, and their home region constituted a picture of a “good death.” In many cases, these meditations were textbook examples of a sentiment colored by nostalgia. Nostalgia is connected with the thought that everything was better in days gone by and that the familiar is better than the strange.\textsuperscript{76}
In the case of a Finnish death, things were seen as being done according to custom: it was possible to bid farewell to the deceased in an open coffin, the coffin looked correct, the pallbearers were people close to the deceased, and the rituals in the church, at the grave, and in the memorial service followed a familiar pattern. For someone attending a funeral for the first time, it was easy to follow the correct pattern by imitating others. How to dress, what to do with the flowers, what was served at the memorial service, the choreography of the funeral day – all this was culturally shared common knowledge. Visits to the grave, even years after the burial, were part of this knowledge. Every candle or flower taken to the grave, every payment for the care of the grave, and every short visit to the grave strengthened the sense of belonging.
Even though many Swedish funeral rituals were considered strange, it was also considered possible to have a good death in Sweden. A family grave in Sweden was the final proof of having settled in the new country, signifying that the feeling of permanent transiency – a sentiment shared by many immigrants – had finally been overcome. From the perspective of ethnic identity, Olga Davydova studied the funeral of a man who had moved to Finland from Russia. According to her, a Finnish funeral signaled public identification with Finnishness, a fulfillment of Finnishness,\textsuperscript{77} and the same can be seen to apply to Finnish immigrants in Sweden.
Burial locations are by no means neutral. In July 2017, for instance, Members of the European Parliament discussed pleas for help from Syriac Christians and Assyrians from Southeast Turkey after the Turkish state had confiscated churches, monasteries, and cemeteries from villages and placed them under the control of the Department of Religious Affairs, a powerful state institution that oversees Muslim places of worship. Approximately 350,000 Syriacs and Assyrians currently reside in Europe, and many are deeply concerned about the fate of cemeteries in the cities of Midyat and Mardin in Southeast Turkey.\textsuperscript{78} Moreover, small-scale disputes frequently occur. For example, the Swedish ethnologist Lynn Åkesson writes about a court case where the children from a man’s first marriage opposed the will of his second wife, which specified that she be buried in the same grave as her husband. The court decided that the second wife should not be removed.
\textsuperscript{76} Eerika Koskinen-Koivisto, “Negotiating the Past at the Kitchen Table: Nostalgia as a Narrative Strategy in an Intergenerational Context,” \textit{Journal of Finnish Studies} 19, no. 2 (2016): 9–10.
\textsuperscript{77} Olga Davydova-Minguet, ”Rituuali, identiteetti ja ylirajaisuus. Joitakin ajatuksia paluumuuttajan hautajasista,” \textit{Elore}, 12, no. 1 (2005): 16–17.
\textsuperscript{78} \textit{Svenska Dagbladet}, July 6, 2017.
from the grave, and the children announced that they would never visit their father’s final resting place.\textsuperscript{79} Moreover, even royalty have burial wishes as cultural markers of belonging: when the Queen of Denmark’s spouse died in 2018, it was announced that he did not wish to be buried in the same grave as his wife.\textsuperscript{80} Finally, failing to express burial wishes also has consequences, at least with public figures, as demonstrated by the struggle for Greta Garbo’s ashes.\textsuperscript{81}
\section*{Bibliography}
\subsection*{Archival materials}
(Nm=) Nordiska museet, Stockholm
Migration Finland-Sverige, sign, KU10583. Interviews in Upplands Väsby and Virsbo in 1974 and 1975. The number of the folder and pseudonym of the interviewee are given for each interviewee.
Folder 9 (=K9): Aapeli & Birgitta; Aarne; Santeri & Taimi; Selim & Ada.
Folder 10 (=K10): Terttu; Berta & Benjamin; Algot; Bo & Barbara; Adam & Aura; Augusta.
Folder 11 (=K11): Sixten & Tilde; Arvid & Anja; Stig & Sandra.
Folder 12 (=K12): Atte & Aune; Benita; Tauno & Tuovi.
Folder 14 (=K14): Tyyni; Armas & Ansa; Aukusti & Anneli; Aatos & Annukka.
Folder 15 (=K15): Alfred & Alina; Antero.
Folder 16 (=K16): Tyra; Teresa, Taavetti, & child; Birgit; Samuel.
Folder 19 (=K19): Photos by Annika Tyrffelt and texts by Annette Rosengren.
Folder 25 (=K25): Saara; Arja; Alpo.
\subsection*{Literature}
Anonymisation and Personal Data. Data Management Guidelines. Available at: www.uta.fi.
Ansari, Humayun. 2007. “‘Burying the Dead’: Making Muslim Space in Britain.” \textit{Historical research}, 80, 210: 545–566.
Attias Donfut, Claudine and Wolff, François-Charles. 2005. “The Preferred Burial Location of Persons Born outside France.” \textit{Population (English edition)}, 605, 6: 699–720.
Berliner, David. 2015. “Are Anthropologists Nostalgist?” In \textit{Anthropology and Nostalgia}, edited by Olivia Angé and David Berliner, 17–34. New York and Oxford: Berghahn Books.
\textsuperscript{79} Lynn Åkesson, ”Föränderlig död,” in \textit{Inför döden}, edited by Lynn Åkesson, (Hoganas: Edition Andersson Ab, 2006), 17.
\textsuperscript{80} \textit{Helsingin Sanomat}, February 15, 2018; \textit{Helsingin Sanomat}, February 18, 2018.
\textsuperscript{81} Mattias Frihammar, “‘At last, Garbo is coming home’: celebrity, death and nation,” in \textit{Heritage of Death. Landscapes of Emotion, Memory and Practice}, eds. Mattias Frihammar and Helaine Silverman (London and New York: Routledge, 2018), 68–70.
Breier, Dorothea. 2017. *The Vague Feeling of Belonging of a Transcultural Generation: An Ethnographic Study on Germans and Their Descendants in Contemporary Helsinki, Finland*. Academic dissertation. Helsinki: Unigrafia.
Casal, Aimée, Aragonés, Juan Ignacio and Moser, Gabriel. 2010. “Attachment Forever: Environmental and Social Dimensions, Temporal Perspective, and Choice of One’s Last Resting Place.” *Environment and Behavior*, 42, 6: 765–778.
Davydova, Olga. 2005. Rituuali, identiteetti ja ylirajaisuus. Joitakin ajatuksia paluumuuttajan hautajaisista. *Elore*, 12, 1. Available at http://www.elore.fi/arkisto/1_05/dav1_05.pdf. Accessed February 23, 2018.
Doving Cora Alexa. 2005. *Norsk-pakistanske begravelsertualer – en migrasjonstudie*. Oslo: Det historisk-filosofise fakultet, Universitetet I Oslo.
Francis, Doris, Kellaher, Leonie and Neophytou, Georgina. 2005. “Cemeteries as Ethnic Homelands.” In *The Secret Cemetery*, edited by Doris Francis, Lenoie Kellaher and Georgina Neophytou, 179–196. Oxford and New York: Berg.
Firth, Raymond. 2005. “Foreword.” In *The Secret Cemetery*. Edited by Doris Francis, Lenoie Kellaher and Georgina Neophytou, 1–28. Oxford and New York: Berg.
Frihammar, Mattias. 2018. “At last, Garbo is coming home’: celebrity, death and nation.” In *Heritage of Death. Landscapes of Emotion, Memory and Practice*, edited by Mattias Frihammar and Helaine Silverman, 65–77 London and New York: Routledge.
Gardner, Katy. 2002. *Age, Narrative and Migration: The Life Course and Life Histories of Bengali Elders in London*. Oxford: Berg.
Helsingin Sanomat February 15, 2018: Murusia Henrikin muistolle.
Helsingin Sanomat February 18, 2018: Prinssi Henrikin toive tuhkauksesta toteutuu.
Høeg, Ida Marie and Pajari, Ilona. 2013. “Introduction to the Nordic issue of Mortality.” *Mortality*, 18, 2: 109–115.
Jonker, Gerdien. 1996. “The Knife’s Edge: Muslim Burial in Diaspora.” *Mortality*, 1, 1: 27–43.
Hunter, Alistair. 2015. “Deathscapes in Diaspora: Contesting Space and Negotiating Home in Contexts of Post-Migration Diversity.” *Social & Cultural Geography*, 17, 2: 247–261.
Hunter, Alistair. 2016. “Staking a Claim to Land, Faith and Family: Burial Location Preferences of Middle Eastern Christian Migrants.” *Journal of Intercultural Studies*, 37, 2: 179–194.
Koskinen-Koivisto, Eerika. 2016. “Negotiating the Past at the Kitchen Table: Nostalgia as a Narrative Strategy in an Intergenerational Context.” *Journal of Finnish Studies*, 19, 2: 7–23.
Marjavaara, Roger. 2012. “The Final Trip: Post-Mortal Mobility in Sweden.” *Mortality*, 17, 3: 256–275.
Pajari Ilona. 2014a. “Kuolema maalla ja kaupungissa. Suomalaisten hautajais- ja kuolemankulttuurinmuutos 1800-luvulta nykypäivään.” *Historiallinen aikakauskirja*, 112, 4: 393–405.
Pajari, Ilona. 2014b. ”Kuolemanrituaalit.” In *Kuoleman kulttuurit Suomessa*, edited by Outi Hakola, Sari Kivistö and Virpi Mäkinen, 87–106. Helsinki: Gaudeamus.
Pijl, van der Yvon. 2016. “Death in the family revisited: Ritual expression and controversy in a Creole transnational mortuary sphere.” *Ethnography*, 17, 2: 147–167.
Pöysä, Jyrki. 2015. *Lähiluvun tieto. Näkökulmia kirjoitetun muistelukerronnan tulkintaan*. Suomen Kansantietouten Tutkijain Seura: Joensuu.
Rehnberg, Mats. 1965. *Ljusen på gravarna och andra ljusseder. Nya traditioner under 1900-talet*. Nordiska museets handlingar: 61. Stockholm: Nordiska museet.
Reimers, Eva. 1999. “Death and Identity: Graves and Funerals as Cultural Communication.” *Mortality*, 4, 2: 147–166.
Silvén, Eva. 2004. “I samtiden eller för framtiden.” In *Samhällsideal och framtidsbilder. Perspektiv på Nordiska museets dokumentation och forskning*, edited by Cecilia
Hammarlund-Larsson, Nilsson Bo G. and Eva Silvén, 140–228. Stockholm: Carlssons.
Silvén, Eva. 2018. “Graveside Shrines: Private or Public Space.” In *Heritage of Death. Landscapes of Emotion, Memory and Practice*, edited by Frihammar, Mattias and Helaine Silverman, 23–37. London and New York: Routledge.
Snellman, Hanna. 2003a. *Sallan suurin kylä – Göteborg*. Helsinki: Suomalaisen Kirjallisuuden Seura.
Snellman, Hanna. 2003b. “Kansa tietää!” In *Tutkijat kentällä*, edited by Pekka Laaksonen, Seppo Knuuttila and Ulla Piela. Helsinki: Suomalaisen Kirjallisuuden Seura, 44–61.
Snellman, Hanna. 2016. “An Ethnography of Nostalgia. Nordic Museum Curators Interviewing Finnish Immigrants in Sweden.” *Journal of Finnish Studies*, 19, 2: 158–176.
Snellman, Hanna and Weckström, Lotta. 2017. “The Apple Never Falls Far from the Tree – Or does it? Finnish Female Migrant Transnational Generations on the Swedish Labor Market.” *Journal of Finnish Studies*, 20, 2: 77–97.
*Svenska Dagbladet* July 6, 2017: Så förstör Turkiet ett urgammat kulturarv.
Tervonen, Miika. 2014. ”Historiankirjoitus ja myytti yhden kulttuurin Suomesta.” In *Kotiseutu ja kansakunta. Miten suomalaista historiaa on rakennettu*, edited by Pirjo Markkola, Hanna Snellman and Ann-Catrin Östman. Helsinki: Suomalaisen Kirjallisuuden Seura, 137–162.
Venhorst, C. J. H. 2013. *Muslims Ritualizing Death in the Netherlands: Death Rites in a Small Town Context*. Münster: LIT Verlag.
Åkesson, Lynn. 2006. ”Föränderlig död.” In *Inför döden*, edited by Lynn Åkesson, 9–29. Höganäs: Edition Andersson Ab.
Doing death kin work in Polish transnational families
Transnational families “do” kinship on an everyday basis through acts of support and negotiations that defy distance. Can they also “do” death? In this chapter, I am interested in death as a process of phased transitions,\(^1\) which underlines the forging and conclusion of the transnational relationships they embody. In particular, I investigate how Polish migrants to Finland assist their kin in Poland in transitioning from life to death, engaging in what I call “transnational death kin work.” Transnational death kin work draws on the concept of kin work developed by Micaela Di Leonardo\(^2\) in kinship studies and on the concept of death work, as conceived in death studies.\(^3\) It allows me to draw attention to the role of death in the making of transnational families and to stress that death, similarly to kinship, is work rather than a biologically determined phenomenon, enacted through mutual agency and effort by the dying and the survivors, who as transnational family members simultaneously do transnational kinship by doing death. In this chapter, I trace transnational death kin work from the dying stage, through the liminality of biological death, to its conclusion in a funeral, with the stages being interconnected and mutually influencing one another.
Transnational family studies have shown that families can be made and can maintain a sense of togetherness across borders, and that bounded locality does not determine the quality of family life.\(^4\) At the same time, the analytical
---
1 Antonius C. G. M. Robben, *Death, Mourning, and Burial: A Cross-Cultural Reader* (Hoboken, NJ: Wiley, 2004), 1–16.
2 Micaela Di Leonardo, “The Female World of Cards and Holidays: Women, Families and the Work of Kinship,” *Signs* 12, no. 3 (1987): 440–453.
3 Eva Soom Ammann, Corina Salis Gross, and Gabriela Rauber, “The Art of Enduring Contradictory Goals: Challenges in the Institutional Co-construction of a ‘Good Death,’” *Journal of Intercultural Studies* 37, no. 2 (2016): 118–132; Wallace Chi Ho Chan and Agnes Fong Tin, “Beyond Knowledge and Skills: Self-Competence in Working with Death, Dying, and Bereavement,” *Death Studies* 36, no. 10 (2012): 899–913.
4 Loretta Baldassar and Laura Merla (eds.), *Transnational Families, Migration and the Circulation of Care: Understanding Mobility and Absence in Family Life* (New York: Routledge, 2014); Deborah Bryceson and Ulla Vuorela,(eds.), *Transnational Families: New European Frontiers and Global Networks* (Oxford: Berghahn, 2002);
links between transnational living, dying, and death remain considerably underexplored. To paraphrase Zygmunt Bauman,\textsuperscript{5} in transnational family studies the “livable present” – and even the present marked by chronic illness and the aging of elderly kin – often triumphs over “future death.”\textsuperscript{6} The increasingly popular studies on the death of migrants only partially address transnational family engagement,\textsuperscript{7} whereas studies on transnational family caregiving in old age do not approach the forthcoming death of the elderly kin as an analytical problem.\textsuperscript{8}
My aim is to acknowledge the inevitable presence of death throughout the course of family life and its increasingly unbounded character, and to show what it takes to partake in the dying and death of a loved one in the Polish transnational context. I see death as one of the crucial transitions in a transnational family, a transnational “rite of passage”\textsuperscript{9} that concludes embodied transnational relationships. Peter Metcalf and Richard Huntington argue that “life becomes transparent against the background of death.”\textsuperscript{10} Death illuminates the material and cultural contingencies of transnational living and speaks to the importance of kinship in the Poles’ moral sense of self and the evaluation of their migration projects; in my study, in particular, this is related to the fact that those who survive are also those who moved, while those who die are also those who stayed behind. In the following section, I provide a brief methodological reflection, followed by an empirical discussion of death kin work at different stages and the interrelated practices involved.
---
Anna Matyska, \textit{Transnational Families in the Making: The Polish Experience of Living between Poland and Finland during and after the Cold War} (Tampere: University of Tampere Press, 2013); Tatiana Tiaynen, \textit{Babushka in Flux: Grandmothers and Family-making between Russian Karelia and Finland} (Tampere: University of Tampere Press, 2013).
\textsuperscript{5} Zygmunt Bauman, \textit{Mortality, Immortality and Other Life Strategies} (Cambridge: Polity Press, 1992), 141.
\textsuperscript{6} Writing my dissertation on transnational family-making between Poland and Finland, I struggled with including my data on death in the narrative of family life; I ended up excluding most of it.
\textsuperscript{7} Adrián Félix, “Posthumous Transnationalism: Postmortem Repatriation from the United States to Mexico,” \textit{Latin American Research Review} 46, no. 3 (2011); Kathy Gardner, “Desh-Bidesh: Sylheti Images of Home and Away,” \textit{Man: New Series} 28, no. 1 (1993): 1–15.
\textsuperscript{8} See, for instance, Loretta Baldassar, Cora Vellekoop Baldock, and Raelene Wilding, \textit{Families Caring Across Borders: Migration, Ageing and Transnational Caregiving} (Basingstoke: Palgrave Macmillan, 2007); Cora Vellekoop Baldock, “Migrants and their Parents: Caregiving from a Distance,” \textit{Journal of Family Issues}, 21, no. 2 (2000): 205–224; for the Polish transnational context see Łukasz Krzyżowski, \textit{Polscy migranci i ich starzejący się rodzice} (Warszawa: Scholar, 2013).
\textsuperscript{9} Arnold van Gennep, \textit{Rites of Passage} (Chicago: University of Chicago Press, 1960).
\textsuperscript{10} Peter Metcalf and Richard Huntington, \textit{Celebrations of Death: The Anthropology of Mortuary Rituals} (Cambridge University Press, 1991), 25.
Studying death while studying transnational kinship
The chapter draws on ethnographic conversations and observations I collected during my multi-sited fieldwork among Polish people living in Finland and their kin in Poland in 2006–2009, as well as continuous interaction with many of my interlocutors after the fieldwork period.\textsuperscript{11} I conducted interviews and participated in multiple social gatherings and informal conversations with my interlocutors in Finland. Most of my migrant interlocutors participated in some type of death kin work, either during my fieldwork or previously. Altogether, I draw on interviews with forty-three migrant interlocutors and interviews with seven elderly parents, which I conducted in Poland.
My aim was to study transnational family life, but I was not a deliberate “death researcher.”\textsuperscript{12} When I realized the omnipresence of death in transnational family life, I was hardly prepared to talk about it straightforwardly. When my interlocutors brought up the topic themselves, I was both grateful and ill at ease. It seemed easier for us to talk about previous deaths; it was more difficult to talk about dying itself and anticipated deaths. Death was easier to call by name (in Polish, \textit{śmierć}) when people were already dead than when they were still alive. In the latter situations, euphemisms were preferred over the explicit word ‘death.’ However, this way of framing death should not be treated as a methodological shortcoming of my study, but rather as an indication of the cultural atmosphere underpinning my interlocutors’ death kin work. On the one hand, people were faced with death as a fact of life which, through cultural norms (often pronounced vis-à-vis Catholic faith) and affective need, demanded their practical response. On the other hand, their ability to candidly deal with death was complicated by the decline of the cultural metanarrative about death and the medicalization of dying.\textsuperscript{13} This double perspective on death, with death being present and absent at the same time, permeates my data and constitutes part of the transnational death kin work.
Caring for the dying and taming death
Alina and Jan were among my oldest interlocutors, both in their eighties. We met in Poland on the recommendation of their son Krzysztof and his wife Magda, who have resided in Finland since the 1990s. I knew from Krzysztof and Magda that they had helped Alina and Jan financially and
\textsuperscript{11} The research was financially supported by the Finnish Cultural Foundation, Kone Foundation, Tampere University Foundation, and Ehrnrooth Foundation. The article was concluded during my Marie Curie Fellowship at KU Leuven.
\textsuperscript{12} Jenny Hockey, “Closing in on Death? Reflections on Research and Researchers in the Field of Death and Dying,” \textit{Health Sociology Review} 16 (2007): 436–446.
\textsuperscript{13} Allan Kellehear, \textit{A Social History of Dying} (New York: Cambridge University Press, 2007); Zygmunt Bauman. Mortality, Immortality and Other Life Strategies (Cambridge: Polity Press, 2012).
emotionally, something which the elderly couple confirmed. Alina made a point of mentioning their support during a recent health crisis. Yet, at some point, Alina solemnly stated, as if summing up our conversation: “All they can do is to come and bury us.” The sentence startled me. Not only did it bring Alina and Jan’s old age and death into the picture, it also decreased the significance of all the positive acts of transnational caring that we had discussed previously by suggesting their ultimate futility in the face of death.
Death in contemporary Europe rarely comes suddenly. Most often it is a consequence of long-term ailments and chronic diseases that are managed with the help of medicine. Dying becomes extended over time and imagined as living with, rather than dying from, diseases.\(^{14}\) In transnational family studies, this process is usually discussed from the perspective of transnational caregiving for frail and aging kin.\(^{15}\) However, I would argue that what is tacitly at stake here is the attempt to keep death at bay and under control by “taming” and “timing” it.\(^{16}\) The taming and timing of death are twin aspects of the process of managing and curtailing the chaos and uncertainty of death: how it will come and when. Philippe Ariès used the term “tame death” to describe the traditional model of dying, in which death was a familiar and community matter, and juxtaposed it with the contemporary “invisible death.”\(^{17}\) However, I follow Allan Kellehear’s argument that it is more fruitful to see the taming of death as a historically contingent process, which has shifted from religious to more secular, and medically informed efforts aimed at rendering death less wild and threatening.\(^{18}\)
My migrant interlocutors rarely talked about transnational caregiving for their frail kin, usually elderly parents, in relation to assistance with dying; parents themselves, like Alina, would not necessarily equate their current life with dying already. Death was expected, though. As Alina’s daughter-in-law told me: “We try to visit them as often as possible, because they are old and you never know…” Alina’s aforementioned statement seemed to invalidate the rationale of these practices, considering that no amount of support can obviate death. What such support can do, however, is affect people’s dying trajectory, including how and when they will die, and whether it will be a “good death,” that is, a contemporary version of a “tame,” domesticated death.\(^{19}\)
In the medicine-dominated death narrative, people always die of something. In a Polish cultural scenario, part of successful (in the sense of morally and emotionally rewarding) death kin work, I argue, is to create conditions in which the potential cause of death would be mitigated and life is prolonged. In other words, this would mean producing a “well-managed
---
14 Kay Price and Julianne Cheek, “Avoiding Death: The Ultimate Challenge in the Provision of Contemporary Healthcare?” *Health Sociology Review* 16 (2007): 397–404.
15 Baldassar, Baldock and Wilding; Krzyżowski.
16 Kellehear.
17 Philippe Ariès, *The Hour of Our Death* (London: Penguin, [1977] 1987).
18 Kellehear, 169–187.
19 Kellehear; James Green, *Beyond the Good Death: The Anthropology of Modern Dying* (Philadelphia: University of Pennsylvania Press, 2012), 8–30.
death,” to use Kellehear’s expression.\textsuperscript{20} An equally important aspect of death work is to ensure the emotional well-being of the dying person, which is predicated on family care and social embeddedness.\textsuperscript{21} Standard medicine limits the cause of death to medically recognizable health crises; however, from a more holistic point of view, culturally and medically speaking, loneliness and feelings of abandonment can also be considered an illness, which leads to physical deterioration.\textsuperscript{22} Consequently, one of the major issues faced by migrants in their efforts of death kin work is how to physically tame their kin’s death without their emotional welfare being upset.
Most of my migrant interlocutors were in a fortunate situation of having other family members in Poland who could provide care for their dying kin. This allowed them to contribute financially, connect through calls, and provide hands-on care during visits. Death kin work here was the cumulative effort of an entire transnational family. Migrants may have still been accused of not doing enough when contributing, or they may have felt guilty that they could have done more, but at least they were able to avoid falling back on long-term institutional help, which in Poland continues to be stigmatized\textsuperscript{23} and used sparingly, despite the medicalization of death (only 7.9 percent of Poles died in hospices or elderly care facilities in 2016).\textsuperscript{24} They also had the assurance that their parents were not alone in case of an emergency. For instance, when Alina became sick and was hospitalized, her son called her and her doctor to monitor her situation daily. He also wanted to come personally, but Alina told him to wait for his scheduled visit, as she felt she already had enough support in Poland. When Krzysztof and Magda came, they took care of Alina. “I was moved to tears,” Alina said. The importance of such caring practices notwithstanding, the local presence of a tight-knit family releases migrants from the responsibility of returning and fully engaging in death work.
For those few of my migrant interlocutors who did not have kinship support in Poland, either due to small families, migration, or estrangement between other siblings and elderly parents, the situation was more difficult. They had to face the dilemma of how to address their parents’ impending death without the support of kin, while also being aware that their parents found institutional help deplorable. There were at least two solutions with divergent consequences; neither were ideal, but they both illuminated the moral dilemmas surrounding death work at a distance.
\textsuperscript{20} Kellehear, 147–168.
\textsuperscript{21} Agata Maksymowicz, “Jakość życia z ciężkimi chorobami przewlekłymi i terminalnymi oraz jakość umierania w Polsce z perspektywy badań socjologicznych – dyskusja wokół literatury przedmiotowej,” \textit{Studia Humanistyczne AGH}, 11, no. 4 (2012): 223–229.
\textsuperscript{22} Jolanta Twardowska-Rajewska (ed.), \textit{Przeciw samotności} (Poznań: Wydawnictwo Naukowe UAM, 2005).
\textsuperscript{23} This perception is strengthened by the media, which tends to stress the failures of such facilities.
\textsuperscript{24} Piotr Szukalski, “Gdzie umierają Polacy?”, \textit{Demografia i Gerontologia Społeczna – Biuletyn Informacyjny}, 10 (2016): 1–4.
The first scenario included placing parents in a nursing facility, despite their reluctance, which also meant making a concession to sharing everyday death work with professional staff. This happened among my interlocutors in only one case. Aleksandra, a devoted Catholic, was faced with her mother’s gradual decline; she required 24-hour care after a stroke. Although Aleksandra’s brother lived in Poland, he constantly traveled for work. Thus, they agreed to place their mother in a nursing home, which was paid for by Aleksandra. Although she struggled in order to keep her mother alive, Aleksandra was aware that her mother was dying. She told me: “I know that my mother is old and scared and needs help, and my moral obligation – an obligation of a child towards an old parent – is to guide her to the other side.” Aleksandra was aware that her mother wanted to be at home, but Aleksandra felt that this was impossible: “She cannot live by herself. Somebody needs to watch over her.” At the same time, Aleksandra’s defensive tone of voice and argumentation suggested that she was torn. In Poland, nursing homes are often considered places where people wait for death, abandoned by their kin.\textsuperscript{25} They are “waiting rooms for death,” to use the expression of my two interlocutors. This imaginary would imply that Aleksandra was waiting for her mother’s death and wanted to distance herself from it by the institutionalization of her care. Aleksandra told me emphatically that it was a high-quality center and that she remained in control by staying in frequent contact with the supervisor, by calling and visiting her mother at least monthly, and by having other kin visit as well. Aleksandra also underlined that her mother was rehabilitated in the facility; thus, she foregrounded her role in helping her mother get better, rather than merely surrendering to her death. The fact that in Finland nursing homes are an acceptable place for living/dying, as many of my interlocutors observed, seemed to enhance and not decrease Aleksandra’s need for moral self-defense. For many of my migrant interlocutors, the “Polish ways” of familism were better, but the same people usually did not have to make tough choices, as they had other kin involved in their relatives’ care.
The second scenario, pursued by several of my interlocutors, was not to pressure parents into anything and to support them as much as possible in living alone. This scenario was implementable in practice if the parents were able to “self-manage” their health\textsuperscript{26} at least partially or, speaking from the perspective of death, do their death work by themselves. Thus, it was presumably not an option for Aleksandra and her dependent mother. In such cases, migrants’ death kin work included monitoring of the parents’ own self-management practices (checking via phone whether they took their medicine, for instance) and providing help during visits. It also usually included part-time external help. Although this scenario released my interlocutors from the shame of working against their parents’ will and the cultural stigma of involving an institution, it also carried risks and anxieties of its own.
\textsuperscript{25} Anna Wiatr, \textit{Pomiędzy życiem a śmiercią: Opowieść o tożsamości i umieraniu} (Kraków: Nomos, 2013), 9–13, 111–142.
\textsuperscript{26} Price and Cheek, 399–400.
One of my interlocutors, Adam, an only child, decided to support his mother’s independent living. After she broke her hand, which he considered the first sign of her progressing fragility, he suggested that she stay in a nursing facility, at least until she recovered. “I even found a very good, nice, and clean place run by nuns,” he said. However, Adam recalled, “When I only mentioned it, she reacted so badly that I instantly regretted it. She is scared. An old people’s home is something horrible for her.” Consequently, he brought his mother to Finland, but soon she insisted on returning. Consequently, he decided “not to force” his mother into anything, “because she has to spend her last years as she wants to.” When we talked, Adam was faced with an emotionally unsettling and uncertain future. “I call my mom twice per day, mostly to check up on her and see whether she has taken her medication.” Adam hoped that if the situation got critical, he would be able to find help, but his mother refused to have strangers in her home.
In the Polish context of medicalized yet family-embedded death, where death has to have its causes and can be considered premature (as Bauman argues, nowadays “one does not just die,” but dies of something; death is inevitable yet in its individual case, contingent),\textsuperscript{27} Adam risked failing to manage his mother’s health well, thereby potentially contributing to her lonely – and possibly avoidable – death. This is one of the paradoxes of the professionalization of dying. It creates an expectation of trying, and it posits the medical extension of life as the most rational one, obscuring the dilemma (such as seen in Adam’s case) of what is less harmful: to place somebody in a facility, even against their own will, disregarding their agency in deciding about their own life, or to let them be, even if transnational care could never substitute for 24-hour care. The result is a sense of anxiety and guilt on the part of the transnational caregiver, as no solution is fully satisfactory. The guilt is exacerbated if parents eventually die alone. A negative example is provided by Wladyslaw, whose father, refusing to move out, collapsed at home and was found by neighbors too late for him to recover. Wladyslaw explained: “My father died alone, on the floor. Damn. Because there was nobody around to help him. Actually, he didn’t die immediately. He was taken to the hospital where he regained consciousness, but after three days he lost it. […] Two weeks later he passed away.” Wladyslaw’s suggestion that there could have been somebody around to help his father implies that he felt partially to blame for his father’s demise, rather than merely his father’s old age or even his father’s decision to remain at home. Wladyslaw’s absence contributed to a shameful and untamed death that he could not atone for. His words echo the words of another of my interlocutors, whose mother died alone at home and who acknowledged that his main feeling about her death was guilt.
The painful aspect of the narrative above is that migrants without local kinship support often engage in transnational death work intensively, yet may still appear to others – and also to themselves – as not fulfilling their caregiving roles as well as those who have better local care structures in place. Thus, the guilt is not related so much to the amount of sheer transnational
\textsuperscript{27} Bauman, 138.
death work performed but to the way in which it is embedded and rests on the readiness of other kin to help. In other words, it is easier for migrants to perform well during pivotal moments of death if they have kin who are able to take the lead at other times.
**Timing of death and final closure**
Death kin work implies that dying does not just happen, but demands that a set of tasks be met. While the migrants’ presence at the final stage is not necessary to ensure that their loved ones die well, they should nonetheless ascertain that the dying have support. At the same time, from the perspective of a particular relationship, a good death demands closure, which confirms affection and addresses unresolved issues. Consequently, closure is one of the vital parts of death kin work, not only in Polish, but also in a larger Euro-American context.\(^{28}\) For the achievement of closure, the timing of death is crucial. On one hand, many of my interlocutors believed that their dying kin were able or should have been able to wait until they came to say goodbye. In this context, waiting appeared as a death-work obligation for which the dying themselves were responsible. When the dying did manage to “wait” for my interlocutors – as happened in several cases – it seemed to confirm their relationship’s special status; the affective power of kinship defied not only distance, but also delayed death. When the dying failed to wait, the failure seemed to be theirs, but the survivors’ guilt came from their inability to show up in time. This suggests that “waiting” is a feasible idea only if it is matched by the survivors’ ability to do their part in the achievement of closure, such as arriving on time, regardless of the obstacles imposed by transnational space. A good example of contrasting experiences was given by Mariusz, whose parents died several years before. Mariusz had never gotten along with his father, but he was close with his mother. Yet, it was his father who had waited for him on his deathbed, while his mother had not. He was on his way to Poland when she died. Mariusz recalled:
> I never got along with my father. But I’m glad that when my father was dying I went to see him and I got to hold his hand. I did not manage to see my mom before she died, though. I was on my way when she died and somehow I cannot come to terms with that. I got along well with my mum; it was good between us, but I still have a bad taste that I was late, that she did not wait for me. It still weighs heavily on me. Whereas the fact that I was with my dad when he died, that I held his hand, meant a lot. I somehow felt that we finally understood each other. That he understood that I loved him. Because he always had an opinion that nobody loved him, that I did not love him. So, it was something very special for me that I could be with him when he died.
Mariusz points to the healing aspect of closure and the lasting pain of its lack. His statement that his mother did not wait for him does not seem to be a mere figure of speech, but arguably reflects Mariusz’s (and other interlocutors’)
belief that the dying have the ability, even if a tenuous one, to time their death, especially when the closure of a loved relationship is at stake. At the same time, though, Mariusz assumed responsibility for his “bad” timing and his inability to match his mothers’ pace of death. Migration looms large here, given that distance is conducive to guilt or moral and emotional fulfilment. When closure does not happen, the whole history of the relationship is at stake, and it is difficult (or impossible) to blame the dying party solely, while migration also is not a sufficient factor to excuse the migrant survivor for not showing up.
In the case of prolonged dying, however, it is not only about the individual’s agency and ability to time death; professional care plays its part, too. According to Polish national statistics, while most of the dying trajectory happens at home, approximately 51 percent of Polish people die in the hospital.\footnote{GUS 2012.} I would argue that hospitalization creates the sense of a dire health crisis and facilitates an explicit recognition of dying as dying proper. Thus, it may prompt people to come urgently for what could be the final reunion, but it also potentially gives them more time to do so, given that the hospital’s aim is to manage and tame death.\footnote{Wiatr, 69.} One of the most evocative examples of the above comes from Dorota. Dorota’s mother was chronically ill for years but suddenly got worse. I asked Dorota, “How did you feel in that situation, being far away?” Together with her husband, she responded:
Dorota: It was difficult… but we supervised (\textit{myśmy nadzorowali}) everything from here [Finland], so to speak, because Radek arranged the hospital for my mother through his friend. Because they didn’t want to admit her anywhere, at this age, immobile, a cancer survivor. They didn’t want to admit her anywhere. Radek: I called my friend […] and he arranged that they quickly admit her, because otherwise they didn’t want to do it. We had a trip to London to visit our son planned. [Dorota’s] mother was still alive back then but she was sick already. Dorota flew from London to Poland and her mother died on the same day.
As Dorota started to cry, we changed the topic. Her mother’s death was clearly painful to her, but as she suggested, hospitalization and professional support gave her a sense of being in control of her mother’s death. The fact that she managed to see her before she died, I would argue, enhanced this feeling. Failure to do so would have probably generated a different narrative; it probably would have caused guilt that the death work she performed via the hospital ended up being insufficient for a final reunion to occur. In other words, the taming of death would not have produced proper timing from the perspective of closure. The above also shows that if closure is left solely to perfect timing, regardless of how much individual agency or professional skill is involved in shaping it, there is a chance that it will not happen. Closure can also be prevented by structural obstacles common to transnational space (e.g., a lack of airline tickets) or the sense that the dying has one more day to live and this turns out not to be the case. Only an open dialogue about death and a conscious farewell done in advance can obviate lack of closure.
However, this path was reported by only one of my interlocutors, Tomek, although even here death was revealed belatedly.
When Tomek’s mother was diagnosed with terminal cancer, she kept it a secret from everybody, Tomek included, for a year. “She visited us here [in Finland] and even then she didn’t tell us,” Tomek said quietly. Finally, she sent him a letter in which she told him she wanted to say goodbye “before it would be too late.” Tomek went to Poland and stayed with his mother for a while. She died one month later. Tomek was upset that she did not disclose her illness earlier, but he was grateful that she finally did, thereby allowing him to act rather than unwittingly stand by.
Tomek’s case illustrates another challenge in the achievement of closure, when dying remains hidden from migrants because they are left in the dark on purpose. At least three of my migrant interlocutors were not told that their close kin in Poland were dying of terminal illness, even though the rest of the family was aware of it. This act of hiding was exemplary of the emotional work of protection through concealment\(^{31}\) aimed at protecting people from their own emotional responses to death, which were presumed to be more complicated to address due to transnational separation and also enhanced by the migrants’ difficult situations. The migrants’ emotionally vulnerable positions notwithstanding, concealment is the provenance of a larger modern trend of “inventive affectivity,” as Ariès put it,\(^{32}\) which hides the knowledge of terminal illness from the dying themselves. It is a striking example of treating death as a toxic state, rather than as a natural human destiny, with its existence being denied so as not to undermine people’s emotional well-being. From this perspective, one could consider transnational death kin work to be an unwanted challenge for migrants. Yet, the effect of death concealment is contrary to its intention. Although it may protect migrants temporarily, it leaves a sense of unfinished relationships, exacerbating pain rather than diminishing it. It doubles the distance, adding an (unwanted) distance caused by death to the existing spatial remove. The lie poisons death.\(^{33}\) It also upsets transnational living. “They should have told me,” was the concluding statement of Jan, whose family hid his mother’s illness from him.
**Biological death and the funeral**
Until now I have described events which culminate in biological death. The final farewell is the funeral. The funeral embodies people’s resistance to accept the self-contained nature of biological death, and it prolongs the transition from the living to the dead.\(^{34}\) It is a crucial element of death kin work, which sets the cultural stage for the conclusion of the biological death. Without a funeral, the departed are not fully dead. From a transnational
---
\(^{31}\) Matyska, 164–168.
\(^{32}\) Ariès, 612.
\(^{33}\) Ibid.
\(^{34}\) Robben, 8.
perspective, the funeral gives migrants an opportunity to participate in their kin’s death, taking it to a perfect end. It can make up for failures during the dying stage, but it can also create new reasons for guilt.
In the funeral context, death consists of organizing and/or attending the funeral, whereas in the case of prolonged dying, death kin work is the effect of the reciprocal agency of the dying and the survivors; when people die, the weight of the agency falls on the survivors. First, it is related to their ability to interpret and realize the dead person’s wishes regarding their burial, including where and how they would like to be buried. Polish funerals are still fairly homogenous in style, with around 90 percent of funerals being Catholic, but there is an increasing space for difference around the question of the burial of the body versus cremation.\textsuperscript{35} Making decisions on the behalf of the departed means allowing the departed to fulfill themselves as members of particular cultural communities and setting them up for a possible transcendental future. It can also serve as ultimate testimony to the intimacy and importance of the relationship, which does not demand immediate physical presence. This is illustrated by the experience of my interlocutor Nina, whose cousin died unexpectedly of an epileptic attack. A few weeks later, she was still reliving his death. “People usually don’t die because of epilepsy,” she told me. “One night he just fell asleep on his stomach and suffocated, while my aunt [the cousin’s mother] slept in the next room. […] Pawel was my closest kin. When we visited Poland the last time, at the grill party, Pawel told me he wanted to lay next to his father. I remember it very well. And he died shortly after it… My aunt called me asking if should we bury [his body] or cremate him. I said, ‘If he wanted to lay next to his father, we better cremate him.’” I asked Nina why her aunt had called her, and she answered: “Because she knows she can count on me and she didn’t want to make such decisions alone. She wasn’t able to. She wanted somebody else to do it for her.” From our previous conversations, I knew that as an only child, Nina treated her cousin like a brother and her aunt like a second mother. The events surrounding Pawel’s death confirmed the intimacy of their relationship and Nina’s continuous inclusion in the family circle. Nina was saddened by his death but also elevated by the trust granted to her by her cousin, who had revealed his postmortem desires to her, and by her aunt, who had included her in the funeral arrangements, despite her physical absence. Three days later, Nina flew to Poland to attend her cousin’s funeral.
Funeral attendance gives survivors the possibility to complete the final step of the mortuary farewell and see the departed for the last time. All of my interlocutors experienced emotional and moral pressure to attend the funeral of their closest kin at least. “Too many deaths happen to attend all the funerals,” one of my interlocutors told me. Transnational separation means that it is not always possible to attend. The obstacles are financial and, much as in the context of closure, due to timing. People in Poland are
\textsuperscript{35} Anna Kubiak, “Kultura pochówku w Polsce”, in Jan Hartman and Marta Szabat (eds.), \textit{Problematyka umierania i śmierci w perspektywie medyczno-kulturowej} (Warszawa: Wolters Kluwer SA, 2016), 35–48.
usually buried within three days of their biological death,\textsuperscript{36} and this ritual remains unchanged, despite the increasing diversity of mortuary rituals there. I discussed this three-day rule with my migrant interlocutors; from a transnational perspective, compared to Finland where the funeral takes place up to several weeks after death, three days seems fairly quick. My interlocutors acknowledged that more time allows for better preparation and, accordingly, being able to have more people present for the funeral. However, they also suggested (following Polish tradition) that a funeral is something that should take precedence over other events, something for which one should simply drop everything and go. If the dying are thought of as being able to wait, the dead, as it is culturally believed, should not wait any longer. Consequently, when my interlocutors managed to overcome distance, despite limited time and in spite of various practical and material challenges, they appeared victorious vis-à-vis a fairly demanding (as least from the transnational or Finnish perspective) Polish mortuary tradition. It encouraged them to take an affirmative approach to transnational living and to celebrate their own agency as transnational family members, thereby giving the funeral an enhanced moral significance. Considering that Polish funerals are relatively modest and their organization is not very expensive, travel to the funeral emerged as the biggest financial and practical hurdle for my migrant interlocutors to overcome. For instance, Bronislaw, one of my older interlocutors, told me with a sense of pride how he managed to attend his father’s funeral despite the Cold War political divisions in the 1970s that discouraged transnational travel. Bronislaw recalled:
In Poland, people are buried very quickly. So, after I got a telegram that my dad had died, I quickly bought a ticket to Warsaw with all my savings. […] There was still an obligatory currency exchange, but because I spent my savings on the ticket I had no money left to exchange. I thought to myself: “Maybe the immigration control will let me through anyhow.” But once I arrived at the Warsaw airport they didn’t want to let me out. I didn’t exchange currency; I had no money. They told me: “Well, in that case you’ll have to return to Helsinki on the next plane.” But I knew my cousin was waiting for me in the arrivals hall, so I told the guard, “Please sir, I can’t return. I came for my father’s funeral. If you let me out for a second, I’ll get legal dollars from my cousin, who’s waiting for me[…].” The guard said, “No, you can’t go through.” Finally, though, my begging moved one of the guards. […] They gave me an escort of two soldiers, whom I went out to the arrivals hall with. I got the dollars and we went back. I made the exchange and only then could I go to my dad’s funeral.
Although nowadays travel to Poland has become far less complicated, due to open borders and technological advances, funerals still demand setting everything aside and traveling long distances with pressures of time. In such travel, the liminality of the departed, whose status lingers in-between the dead and the living,\textsuperscript{37} is paralleled with the liminality of the traveling
\textsuperscript{36} While exceptions happen, they rarely exceed several days.
\textsuperscript{37} Van Gennep; Victor Turner, \textit{Dramas, Fields, and Metaphors: Symbolic Action in Human Society} (Ithaca: Cornell University Press, [1974] 1987).
kin, who cross the space of transnational in-betweenness to attend the funeral. This parallel liminality is symbolically enhanced when migrants come across unexpected difficulties in their journey, which give them the sense of being stuck, unable to move faster or to move at all. For two of my interlocutors, getting stuck resulted in their failure to attend the funeral. These cases are worth discussing in more detail because they reflect well the interconnectedness between the different stages of death kin work and the importance of the funeral’s timing, and they evocatively illuminate the concurrent liminality of travel and death. The first one regards Henryk, whose father was in the last stage of cancer when he came to Poland for his regular summer visit. Henryk recalled:
When I arrived [in Poland], he was already in a critical state. He was weak and falling off his feet. He could not manage anymore. They wanted to take him to the military hospital […], but the conditions there were horrible. Thus, […] I helped to arrange for him to stay at a small hospital where he got to have his own room, where it was clean and comfortable. So, these last two weeks were good for him at least, because it was impossible [to take care of him] at home anymore. And a strange thing happened, because on Thursday I was still with him, helping with his MRI […]. I took him back to the room. Because, of course, there was a shortage of nurses, there was nobody to take him, so I came to help and then I saw him on Friday. In the evening I went to Warsaw […] and on Saturday morning I caught a plane to Helsinki. I departed around 10 am and arrived at 11 am. I turned my phone on and I got the message from my niece that my dad had died at 10 am. So there I was, barely back. I started to wonder how I should go back. I asked around for the ticket prices. Only business class was left, extremely expensive. I could not afford it. I called my mom. She told me, “Listen, Henryk, don’t come. We’ll manage to organize the funeral without you. Anyhow, you were with dad until the end. He died just after you had left.” Of course, when I was leaving, I said goodbye to him. He was already very weak but we kissed and I said, “Bye, dad.” So [my mom said] that I was all right […]. Because everything with the funeral happens very fast in Poland and I had little time, only three days, finally, I didn’t go.
As visible from the quote above, being absent from the funeral can generate a sense of anxiety and remorse, as often happens when ritual is not fulfilled,\(^{38}\) but its moral and emotional weight can be played down when other aspects of phased transition are met, meaning that distance becomes a legitimate excuse for failing to attend a funeral. Henryk stressed his role in the final moments of his father’s life and suggested that, despite failing to attend the funeral, he did not leave things unfinished; his mother confirmed this, thereby alleviating Henryk’s remorse. Things can look differently, however, if the stages preceding death are more troublesome and the family is less forthcoming in the granting of moral atonement. This was the case for Wladyslaw, whose father collapsed and was found too late to be saved. Wladyslaw still managed to see his father in the hospital, but he went back
\(^{38}\) Renato Rosaldo, “Grief and Headhunter’s Rage,” in *Death, Mourning, and Burial: A Cross-Cultural Reader*, ed. Antonius C. G. M Robben (Hoboken, NJ: Wiley, 2004).
to Finland before his father died. Wladyslaw failed to return again, in order to attend the funeral, to his own and his brother’s disappointment:
When I was leaving, he was unconscious. I had to return [to Finland] because of work. Two weeks later, he passed away. I didn’t even go to the funeral. I was here alone. The funeral was there. I didn’t know anything, who, how, what [was going on]… At some point, my brother told me: “I will never, ever forgive you for not coming. How could you?” But I was unable to come. I was just unable. It was right before May 1; he died on April 30. And in Finland it was already a holiday; all the shops were closed. There was no possibility to buy either a plane ticket or a green card [for the car]. If I would have had a green card, I would have gone by car. So, I was trapped. This is precisely “the charm” of [being] abroad. When you are there, you are there. And this way, a fat lot of good you are.
Wladyslaw’s words indicate the extent to which death without funeral attendance can appear as an incomplete and unprocessed death. To know and to see the body’s final state is important to close the earthly stage of the relationship. It also helps the mourning process,\(^{39}\) and in the long run it contributes to the positive evaluation of one’s choice to migrate.
**Concluding remarks**
As I have argued, Polish transnational families are concerned not just with the “livable present” and reconnecting for the sake of keeping the relationship with their family going. They are also concerned with reconnecting for the sake of concluding relationships and helping transnational kin die well, through practices which I refer to as transnational death kin work. In the contemporary Polish transnational context, death kin work involves attempts at taming and timing death, and it culminates in the funeral as the final moment of life-to-death transition. Through transnational death kin work, the living and dying trajectories of transnational family members become intertwined. Despite living at a distance, migrants are able to weigh in on how long their kin should live and in what way they should die. At the same time, their decisions and actions have considerable moral and affective repercussions for the migrants themselves, constituting the basis for lasting emotional impressions, memories, and moral self-judgment. The above is presupposed by the fact that death, although inevitable in terms of the human body’s biological failure, is also a cultural process influenced by culturally driven individuals – agents who negotiate, rather than surrender to, forces apparently beyond their control.\(^{40}\) That is not to say that these individuals are always successful.
I have shown that Polish transnational families can “do” death, but there are limits to what they can or desire to do. My migrant interlocutors did not always succeed in meeting all the aspects of transnational death kin work,
\(^{39}\) See, for example, Gardner.
\(^{40}\) Sherry B. Ortner, *Anthropology and Social Theory: Culture, Power, and the Acting Subject* (Duke University Press: Durham and London, 2006).
as prescribed by the cultural norms of Polish Catholicism, familism, and contemporary medical standards. Death kin work was easier if migrants had supportive kinship networks at home and if death was preceded by medically recognized symptoms and openly discussed. But even then, the very moment of death could come unpredictably, being untamed and ill-timed, impeding the possibility of achieving closure through funeral attendance and a final farewell. My interlocutors widely indicated that the agency of their dying kin also had an impact, sometimes going against the migrants’ desires.
Death researchers argue that the contemporary model of the well-managed and tamed death is more of an ideal than a reality for most of the dying people around the globe.\textsuperscript{41} But this also has consequences for those aiming to support their kin in the transition. For my interlocutors, a failure to live up to the ideal generated guilt and left the emotional weight of the relationships unresolved. However, the ability to ensure kin with a good death helped to normalize transnational separation.
From the nationalist perspective of bounded nation-states, transnational families are a moral aberration. Separation figures as a context of family disintegration and disorganization.\textsuperscript{42} My study suggests that when death kin work is performed well, it can attest to the families’ ability to maintain and conclude transnational relationships and not only to break them, as the transnational detractors would like to suggest. More research is needed which would investigate what conditions facilitate or challenge successful transnational death kin work and what the latter entails in different cultural contexts. This would especially include the question on how the contemporary processes of death institutionalization and sequestration resonate with contemporary transnationalism. As the first analytical step, however, transnational family living has to be acknowledged as the life lived in the shadow of death, past, present and impending.
\section*{Bibliography}
Ammann, Eva Soom, Gross, Corina Salls and Rauber, Gabriela. 2016. “The Art of Enduring Contradictory Goals: Challenges in the Institutional Co-construction of a ‘Good Death.” \textit{Journal of Intercultural Studies}, 37, 2: 118–132.
Ariès, Philippe. 1987 [1977]. \textit{The Hour of Our Death}. London: Penguin.
Baldassar, Loretta and Merla, Laura, editors. 2014. \textit{Transnational Families, Migration and the Circulation of Care. Understanding Mobility and Absence in Family Life}. London and New York: Routledge.
Baldassar, Loretta, Vellekoop Baldock, Cora and Wilding, Raelene. 2007. \textit{Families Caring across Borders: Migration, Ageing and Transnational Caregiving}. Basingstoke: Palgrave Macmillan.
Baldock, Cora Vellekoop. 2000. “Migrants and Their Parents: Caregiving from a Distance.” \textit{Journal of Family Issues}, 21, 2: 205–224.
Bauman, Zygmunt. 1992. \textit{Mortality, Immortality and Other Life Strategies}. Cambridge: Polity Press.
\textsuperscript{41} Kellehear; Robinson.
\textsuperscript{42} Matyska.
Bryceson, Deborah and Vuorela, Ulla, editors. 2002. *Transnational Families: New European Frontiers and Global Networks*. Oxford: Berghahn.
Chi Ho Chan, Wallace and Fong Tin, Agnes. 2012. “Beyond Knowledge and Skills: Self-Competence in Working with Death, Dying, and Bereavement.” *Death Studies*, 36, 10: 899–913.
Di Leonardo, Micaela. 1987. “The Female World of Cards and Holidays: Women, Families and the Work of Kinship.” *Signs*, 12, 3: 440–453.
Félix, Adrián. 2011. “Posthumous Transnationalism: Postmortem Repatriation from the United States to Mexico.” *Latin American Research Review*, 46, 3: 157–179.
Gardner, Kathy. 1993. “Desh–Bidesh: Sylheti Images of Home and Away.” *Man: New Series* 28, 1: 1–15.
Gennep, Arnold van. 1960. *Rites of Passage*. Chicago: University of Chicago Press.
Green, James. 2012. *Beyond the Good Death: The Anthropology of Modern Dying*. Philadelphia, US: University of Pennsylvania Press.
Hockey, Jenny. 2007. “Closing in on Death? Reflections on Research and Researchers in the Field of Death and Dying.” *Health Sociology Review*, 16: 436–446.
Kellehear, Allan. 2007. *A Social History of Dying*. New York: Cambridge University Press.
Kubiak, Anna. 2016. “Kultura pochówku w Polsce.” In *Problematyka umierania i śmierci w perspektywie medyczno-kulturowej*, edited by Jan Hartman and Marta Szabat, 35–48. Warszawa: Wolters Kluwer SA.
Krzyżowski, Łukasz. 2013. *Polscy migranci i ich starzejący się rodzice*. Warszawa: Scholar.
Maksymowicz, Agata. 2012. “Jakość życia z ciężkimi chorobami przewlekłymi i terminalnymi oraz jakość umierania w Polsce z perspektywy badań socjologicznych – dyskusja wokół literatury przedmiotowej,” *Studia Humanistyczne AGH*, 11, 4: 223–229.
Matyska, Anna. 2013. *Transnational Families in the Making: The Polish Experience of Living between Poland and Finland during and after the Cold War*. Academic Dissertation. Tampere: University of Tampere Press.
Metcalf, Peter and Huntington, Richard. 1991. *Celebrations of Death: The Anthropology of Mortuary Rituals*. Cambridge: Cambridge University Press.
Ortner, Sherry B. 2006. *Anthropology and Social Theory: Culture, Power, and the Acting Subject*. Duke University Press: Durham and London.
Price, Kay and Cheek, Julianne. 2007. “Avoiding Death: the Ultimate Challenge in the Provision of Contemporary Healthcare?” *Health Sociology Review*, 16: 397–404.
Robben, Antonius C. G. M. 2004. *Death, Mourning, and Burial: A Cross-Cultural Reader*. Hoboken, NJ, USA: Wiley.
Rosaldo, Renato. 2004. “Grief and Headhunter’s Rage.” In *Death, Mourning, and Burial: A Cross-Cultural Reader*, edited by Antonius C. G. M Robben, 167–178. Hoboken, NJ: Wiley.
Szukalski, Piotr. 2016. “Gdzie umierają Polacy?”, *Demografia i Gerontologia Społeczna – Biuletyn Informacyjny*, 10: 1–4.
Tiaynen, Tatiana. 2013. *Babushka in Flux: Grandmothers and Family-making between Russian Karelia and Finland*. Academic Dissertation. Tampere: University of Tampere Press.
Turner, Victor. 1987 [1974]. *Dramas, Fields, and Metaphors: Symbolic Action in Human Society*. Ithaca: Cornell University Press.
Twardowska-Rajewska, Jolanta, editor. 2005. *Przeciw samotności*. Poznań: Wydawnictwo Naukowe UAM.
Wiatr, Anna. 2013. *Pomiędzy życiem a śmiercią: Opowieść o tożsamości i umieraniu*. Kraków: Nomos.
The emotional costs of being unable to attend the funeral of a relative in one’s country of origin
Two years after his arrival in Montreal, Faisal received a phone call from his sister in Senegal announcing the death of their father. He promptly posted the news on Facebook to inform his family members and friends living in the United States and Europe. He also sent emails and communicated widely via Skype. Within a matter of a few hours, many had already reached out to him and offered their condolences for his loss. With their support, and the generous support of the Senegalese community in Montreal, a significant sum of money was raised and sent to Senegal to help the family with the funeral arrangements. By maintaining frequent contact with his mother and his siblings living in Senegal, Faisal was able to actively participate in the preparations for the ceremony. Although Faisal had a keen desire to be with his loved ones for his father’s funeral, he could not attend, as he was scared of losing his job if he was absent for too long. Moreover, his mother advised against him coming, as he would have missed the ceremonial burial, which according to traditional Muslim practice is celebrated shortly after death. The pain of the loss of his father was accentuated by the fact that he had been unable to be by his side in his last moments and that he could not be present for the funeral. Faisal was very attached to his father, and he had not seen him since leaving Senegal for Montreal.
Faisal’s example clearly demonstrates how migrants, as a result of rapidly developing and new communications technologies, are increasingly able to actively participate in the planning, financing, and administration of funeral ceremonies in their country of origin.\(^1\) At the same time, as shared by several migrants, it highlights the need for physical co-presence in times of crisis. Attending rituals from afar is not a deliberate decision. Rather, it appears as a creative way to overcome the geographical distance. As Ryan et al. indicate, physical co-presence is far from possible for all migrants.\(^2\)
---
1 Valentina Mazzucato, Mirjam Kabbi, and Lothar Smith, “Transnational Migration and the Economy of Funerals: Changing Practices in Ghana.” *Development and Change* 37, no. 5 (2006): 1047–1072.
2 Louise Ryan, Amanda Klekowski Von Koppenfels, and Jon Mulholland, “The Distance between Us: A Comparative Examination of the Technical, Spatial and Temporal Dimensions of the Transnational Social Relationships of Highly Skilled Migrants,” *Global Networks* 15, no. 2 (2015): 198–216.
Despite better and more popular accessibility to travel, migrants who want to travel may face many constraints. Is transnational communication sufficient in times of crisis? What does it mean for migrants to be unable to accompany a loved one during their last days or be physically present at their funeral? What are the emotional costs?
In this chapter, we explore the limits of virtual co-presence when a loved one is nearing the end of their life, as well as afterwards. Our interviews with bereaved migrants who have settled in Quebec and lost a relative in their home country reveal that much of the virtual contact made with the dying person and the family does not easily replace face-to-face presence. Having to endure this difficult period far from loved ones entails various emotional costs. Such costs take several forms and stem from both the arduousness of receiving support from a distance and providing support to loved ones abroad.
**Death in the country of origin: Multiple-location events**
While globalization has facilitated the geographic dispersion of families around the world, long-distance communication has become more accessible and less costly. The development of mobile telephone services and internet communication platforms has changed the ways of “being together” and made way for new modes of co-presence for families separated by distance.\(^3\) The end of life, death, burial rituals, and mourning appear to be significant occasions for inducing exchange and generating the movement of capital, goods, and individuals across national borders.\(^4\) Health problems or the death of family members dispersed around the world often lead to an intensification of phone calls, emails, or contact through social media. Digital technologies, particularly webcams, can facilitate visual interaction with the dying person anywhere in the world. They can also be used by migrants to virtually participate in the funeral ceremonies that follow death. And in addition to encouraging virtual co-presence, the internet can provide access to information, especially regarding the legal obligations surrounding
---
\(^3\) Andoni Alonso and Pedro Oiarzabal, *Diasporas in the New Media Age: Identity, Politics, and Community* (Reno: University of Nevada Press, 2015); Loretta Baldassar, Mihaela Nedelcu, Laura Merla, and Raelene Wilding, “ICT-based Co-Presence in Transnational Families and Communities: Challenging the Premise of Face-to-face Proximity in Sustaining Relationships” in *Global Networks*, 16, 1 (2016): 133–144; Mirca Madianou, “Ambiant Co-presence: Transnational Family Practices in Polymedia Environments” in *Global Networks*, 16, 1 (2016): 183–201; Mihaela Nedelcu and Malika Wyss, “Doing Family Through ICT-mediated Ordinary Co-presence: Transnational Communication Practices of Romanian Migrants in Switzerland,” *Global Networks*, 16, 2 (2016): 202–218.
\(^4\) Katy Gardner and Ralph Grillo, “Transnational Households and Rituals: an Overview,” *Global Networks*, 2, 3 (2002): 179–90; Lilyane Rachédi, Josiane Le Gall, and Véronique Leduc, “Familles immigrantes au Québec, deuils et liens transnationaux: réflexions pour la pratique,” *Lien social et politiques*, 64 (2010): 175–187.
death, funeral arrangements, and the conditions and cause of death, as well as financial costs.\textsuperscript{5}
However, some recent studies have recognized that transnational connections are rarely considered a truly meaningful substitute for physical presence.\textsuperscript{6} As John Urry maintains, despite the possibilities to stay connected through the use of new technologies, the need for physical contact retains precedence: “virtual and imaginative travel will not simply substitute for corporeal travel since intermittent co-presence appears obligatory for sustaining much social life.”\textsuperscript{7} The opportunities to see, hear, smell, touch, and physically interact with the dying person allows for a form of intimacy that is not attainable through long-distance communication. If some activities can be carried out easily at a distance (via telephone, etc.), others require a physical presence. Moreover, the limits imposed by distance become even more apparent in moments of crisis, when the need for physical contact is amplified.\textsuperscript{8} Important occasions such as births, weddings, and funerals are “rites of passage,” when the physical presence of family members is usually considered important.\textsuperscript{9} As emphasized by Jennifer Mason, visits to the motherland are crucial for being there at “key moments,” and they contribute to maintaining transnational family ties.\textsuperscript{10} In addition to increasing exchanges beyond local borders, stages of the end of life and death often provoke a greater need for visits. The requisite need for physical presence is intensified in these critical moments, both to ensure care of the dying person and to offer emotional support, as these are not necessarily feasible from a distance. It is also a time when family members, including those who live far away, feel the need to be there for their own well-being.\textsuperscript{11}
If the limits of intimacy or virtual co-presence are becoming more known,\textsuperscript{12} less is known about the emotional costs associated with being far from loved ones during major life transition periods, such as weddings, the birth of a child, or the death of a loved one. In the last few years, scholars
\begin{itemize}
\item Avril Maddrell, “Mapping Grief. A Conceptual Framework for Understanding the Spatial Dimensions of Bereavement, Mourning and Remembrance,” \textit{Social & Cultural Geography} 17, no. 2 (2016): 166–188.
\item Gonzalo Bacigalupe and Maria Camara, “Transnational Families and Social Technologies: Reassessing Immigration Psychology,” \textit{Journal of Ethnic and Migration Studies}, 38 (2012): 1425–1438; Josiane Le Gall, “La mort d’un proche au pays d’origine” in \textit{Quand la mort frappe l’immigrant: défis et adaptations}, eds. Lilyane Rachédi and Beatrice Halsouet, 51–59 (Montreal: Presses Universitaires de Montreal, 2017); Ryan et al.
\item John Urry, “Mobility and Proximity,” \textit{Sociology}, 36, 2 (2001): 258.
\item Annick Masselot, “Highly Skilled Migrants and Transnational Care Practices: Balancing Work, Life and Crisis over Large Geographical Distances,” \textit{Canterbury Law Review}, 17, 2 (2011): 299–315.
\item Arnold Van Gennep, \textit{Les rites de passage} (Paris: Picard, 1981 [1909]).
\item Jennifer Mason, “Managing Kinship over Long Distances: the Significance of the Visit.” \textit{Social Policy & Society}, 3, 4 (2004): 421–429.
\item Loretta Baldassar, “Guilty Feelings and the Guilt Trip: Emotions and Motivation in Migration and Transnational Caregiving,” \textit{Emotion, Space and Society}, 16 (2015): 81–89.
\item Bacigalupe and Camara.
\end{itemize}
have begun to address the emotional implications of mobility.\textsuperscript{13} Exploring the role of emotions moves scholarship away from traditional studies on purely economic factors as the means of explaining the mobility of individuals.\textsuperscript{14} We adopt Maruska Svasek’s broad definition of emotions as “processes in which individuals experience, shape and interpret the world around them, anticipate future action and shape their subjectivities.”\textsuperscript{15}
According to Zlatko Skrbis, emotions are a fundamental part of transnational families’ experiences, and several aspects of migrants’ lives can lead to negative emotions, such as anxiety, stress, sadness, and frustration.\textsuperscript{16} The feeling of guilt triggered by geographical distance and physical absence is another emotion considered to be an integral part of the migration process.\textsuperscript{17} Loretta Baldassar argues that the physical separation and absence that come with migration contribute to the migrants’ feelings of guilt for not fulfilling their moral duty of being present.\textsuperscript{18} It is this feeling of guilt which she believes would explain why migrants often continue to participate in the care of their elderly parents in their country of origin. Coupled with a multitude of other negative emotions, these feelings of guilt are particularly pronounced on some occasions, especially when there is a birth or, as we illustrate in this chapter, a death.
Our observations stem from data collected as part of research conducted from 2013 to 2015 on the bereavement of Quebec immigrants, specifically those who have experienced the loss of a loved one in their country of origin.\textsuperscript{19} The main objectives of this research were to understand their experiences of mourning, the role of social networks (and, in particular, transnational networks) in this process, and the meanings and transformations of traditional ritual practices associated with death and
\textsuperscript{13} Loretta Baldassar, “Ce ‘sentiment de culpabilité’: Réflexion sur la relation entre émotions et motivation dans les migrations et le soin transnational,” \textit{Recherches sociologiques et anthropologiques}, XLI, 1 (2010): 15–37; Loretta Baldassar, “Guilty Feelings and the Guilt Trip: Emotions and Motivation in Migration and Transnational Caregiving,” \textit{Emotion, Space and Society}, 16 (2015): 81–89; David Conradson and Deirdre McKay, “Translocal Subjectivities: Mobility, Connection, Emotion,” \textit{Mobilities}, 2, 2 (2007): 167–174; Nicola Mai and Russel King, “Love, Sexuality and Migration: Mapping the Issue(s),” \textit{Mobilities}, 4, 3 (2009): 295–307; Maruska Svasek, “Who Cares? Families and Feelings in Movement,” \textit{Journal of Intercultural Studies}, 29, 3 (2008): 213–230.
\textsuperscript{14} Paola Boccagni and Loretta Baldassar, “Emotions on the Move: Mapping the Emergent Field of Emotion and Migration,” \textit{Emotion, Space and Society}, 16 (2015): 73–80.
\textsuperscript{15} Maruska, 218.
\textsuperscript{16} Zlatko Skrbis, “Transnational Families: Theorizing Migration, Emotions and Belonging,” \textit{Journal of Intercultural Studies}, 29, 3 (2008): 231–246.
\textsuperscript{17} Baldassar 2010; Maruska Svasek, “Who Cares? Families and Feelings in Movement” in \textit{Journal of Intercultural Studies}, 29, 3 (2008): 213–230.
\textsuperscript{18} Baldassar 2010.
\textsuperscript{19} This research, entitled “Deuil des immigrants au Québec: pratiques rituelles funéraires et réseaux transnationaux,” was conducted by Lilyane Rachédi, Catherine Montgomery, Josiane Le Gall, Suzanne Mongeau, Mathieu Boisvert, and Michèle Vatz Laaroussi under the coordination of Béatrice Halsouet. It received funding from the Social Sciences and Humanities Research Council (SSHRC).
bereavement. Individual interviews were conducted with immigrants of Muslim, Christian, and Hindu faith from diverse origins, who experienced the death of a relative or loved one who passed away in their country of origin (16) or in the host country (5). The participants included men (10) and women (11) of different ages and from various countries of origin, such as Africa (Egypt, Guinea, Morocco, and Senegal), South America (Colombia and Mexico), Asia (Bhutan, India, and Pakistan), and Eastern Europe (Bosnia). The death of the loved one ranged between six months to five years before the interview. The participants were almost all residents of Montreal, including the large metropolitan area and its surrounding sectors. The city of Montreal is known for its religious diversity and for welcoming the largest number of immigrants in the province of Quebec. Respondents were invited to speak openly about experiencing their loved one’s death and the bereavement process. The following analysis focuses on the stories of participants whose relative or loved one had died in the country of origin.
**Transnational rituals**
Beliefs surrounding the conception of death, which have a significant influence on all aspects of funeral rituals, vary greatly from one place to another. Despite these differences, all of the 16 interviewees who lost a loved one while abroad considered their participation in the funeral and burial rites as an obligation. However, only two were able to return to their home country in time for the funeral. Three of the participants arrived the following day, and 11 remained in Quebec. In all of the cases, participants spoke of networks outside the boundaries of the local society, fostered via technologies such as Facebook, Skype, and telephone calls made through prepaid cards and on mobile phones. Telephone communication was almost always used to announce the death and to manage the decisions surrounding the funeral arrangements. The migrants were often informed over time about the preparations for the funeral, and as was the case with Faisal (cited above), they participated in the financing and organization of the rituals. When it was not possible to directly assist with the funeral, participants reported taking part in the rituals by telephone. In such cases, relatives related the events that were unfolding during the ceremony, described the atmosphere, or listed the attendees. For example, upon the death of his mother in Mexico, Salvador maintained continuous contact by mobile phone and Skype with his father and other family members. These new modes of interacting permitted him to follow along as they conducted their traditional rituals: the vigil of the body at home, the lighting of candles, prayers and recitation of the rosary, the celebration of Mass, and the family meal in the evening. Friends who came from outside the country also offered their condolences.
In some rare cases, the ceremony can be followed by videoconferencing. With Skype, calls can be made via the internet. Migrants can have audio-visual conversations with their relatives in their home country, and they can see live what is taking place. For instance, Jacinta, a woman of Mexican origin, recounted how she was virtually present via Skype at her father’s
funeral: “I was in contact during Mass, the burial, and the prayers. My sister and a cousin helped me with Skype. I would also call and I heard everything. There were a lot of people. I wouldn’t talk. I would just accompany them via the internet.” That being said, the funerals were never recorded and saved to immortalize the ritual.
For our interviewees, interactions at a distance from the family in the home country or elsewhere in the world became a source of invaluable moral support to help them get through this difficult time. They were in contact with family members who shared their grief, which allowed them to feel less alone and powerless in the face of their loss. The family proved a place of safety that could meet their emotional needs. For example, Jacinta received a sympathetic ear from her family to talk about her sorrow and anguish. When asked what gave her the greatest comfort when her father died, she answered without hesitation: “the support of my partner and the communication with my family.”
**The limits of virtual co-presence**
The participants stated being satisfied overall with the ties they were able to preserve with their family and friends through the use of new technologies. However, their testimony demonstrated that virtual co-presence in no way completely replaces physical co-presence. Whatever their country of origin or religion, all of the participants who were unable to attend the funeral in their country of origin, as well as those who arrived too late (14 out of 16 participants), wished that they had been able to be physically present with their family for the funeral. However, as was the case with Faisal, they faced several restrictions that prevented them from traveling to their country of origin. For example, finding a last-minute plane ticket or obtaining a visa, especially for those with refugee status, often proved to be a time-consuming and difficult task. For example, if Salvador had left Canada for Mexico upon receiving the news of his father’s death, he would have risked compromising his plan to relocate permanently in Canada. He had been in Canada for less than six months and did not have Canadian citizenship. Obtaining a visa is practically impossible for people who are refugees or for undocumented immigrants. When his father fell seriously ill, Nariman, a man of Iranian origin, was unable to make it back in time to his father’s bedside. At that point, he possessed refugee status and could not obtain a visa in such short order. He arrived in Iran only after the burial of his father.
Moreover, the high cost of the trip prevented those with limited financial resources from traveling. Many also mentioned the difficulty of missing work for several consecutive days or the burden of family obligations, such as taking care of young children. Faisal shared some of the obstacles that made him decide not to travel to Senegal at the time of death of his father: “You cannot get up and leave like that, leave your work. There are always repercussions in the end. So, you have to have time off to go. [...] You must be prepared financially and psychologically.” This was only a few months after he started working for a company in Montreal. Since it was his first job
in Quebec, he wanted to avoid losing it by taking more days off than what he was allowed.
In many cases, due to geographical distance, migrants do not have a good knowledge of the seriousness of the illness and the actual health status of their relatives. This prevents them from foreseeing an imminent death and finalizing preparations for a trip home in time. As illustrated by Baldassar, it is also not unusual for the family in the home country to conceal the prognosis of a seriously ill person, so as not to worry their relatives.\(^{20}\) And sometimes the family informs them only after a person has died. Moreover, unless someone is suffering from a serious illness and shows signs of deteriorating health, death is usually sudden and often difficult to predict. Hence, it is necessary to act and make decisions quickly. As different beliefs and religions naturally have different ritual funeral and burial practices, some migrants may face further challenges. Some ritual practices amplify the urgency to visit the person in their home country. For example, such as with Faisal, Muslims are obliged to perform the burial ritual within 24 hours of death.
The death of a loved one transforms the lives of the bereaved. Given that the relationship to the deceased and the rest of the family, the cause of death, and other contextual factors can influence how loss is experienced,\(^{21}\) it is no wonder that all interviewees reported dealing with great difficulty with the death of their loved one. They used words like “pain,” “regret,” and “powerlessness” while talking about their loss. In the quotations that follow, we get a glimpse of the emotional state they were in when they received the news of the death of a loved one.
I slept… I slept a lot… I took medication to help me sleep. It helped me a lot in the beginning, in the first few days. Everyone told me it’s like that, you cannot change anything, continue your life, you have to be strong… and I understand, but still, it hurts and the pain doesn’t decrease easily. (Radica, migrant of Bosnian origin)
I was listening to my voice messages on the bus. In the mailbox, I heard the voice of my sister, who told me, “Marietta, stay calm, Daddy is with the angels” […] I was on the bus, and I do not know if I screamed or if I said things. I dropped my cellphone. I realized afterwards that my bag was on the floor. And I was like that [in a state of shock]. (Marietta, migrant of Colombian origin)
These emotions, which are intrinsic to the process of mourning in many places around the world, although they may be expressed differently according to each individual’s religion or culture, are particularly intense for people who live thousands of kilometers from their families and are unable to be physically present with them. Participating in transnational rituals may ease the grieving process by providing some comfort, but it does not remedy
\(^{20}\) Loretta Baldassar, Cora Baldock, and Raelene Wilding, *Families Caring Across Borders: Migration, Ageing and Transnational Caregiving*. (New York: Palgrave Macmillan, 2007).
\(^{21}\) Maddrell 2016.
the fact of the geographical distance. Ignoring the physical separation was not possible for the interviewees. As we will see in the following pages, the various emotional difficulties experienced after the death of a loved one are amplified by a sense of failing to fulfill various obligations to the dying person or not being at their funeral. There is also the regret of not having received the same support that would have been given to them if they were in the presence of their family.
**Being unable to physically attend rituals**
All of the respondents, regardless of their country of origin, viewed their participation in funeral rituals as an unavoidable moral obligation. However, geographical distance and the inability to travel home prevented most of them from performing cultural or religious practices still deemed important to commemorate the deceased. Being unable to attend the funeral of their loved one left them with a sense of distress and dissatisfaction, which added to the already difficult mourning process. Slavica, a Bosnian immigrant, lost her father a few years ago, when she had been living in Quebec for only two years. As he was very old, his death was not unexpected. During a recent trip to Bosnia and Herzegovina, Slavica noticed him becoming more frail. With a certain sense of accomplishment, she shared that all the stages of the Christian funeral rites were followed strictly by her family in Bosnia at the time of death of her father:
The body must be washed, groomed, shaved, and dressed. They bought new clothes to dress my dad. They bought a coffin. He stayed at home one night, so this was the place for the viewing. We guard the body all night and we pray for the soul of the deceased to rest in peace, etc. (Slavica, migrant of Bosnian origin)
Slavica was quick to add that she felt tremendous sadness at not being able to participate in this event, and she admitted that the geographic distance was a source of great suffering for her: “That complicates the process of mourning! I have not seen his body. So, I am grieving for something I have not seen, and it’s very hard to imagine.”
Work-related reasons prevented her from visiting her hometown at the time of the funeral. To this day, it is difficult for her to accept the death of her father: “This is a very significant loss! It hurts. For sure, my father was 90 years old when he died, but he’s my dad. I love him and it’s hard to imagine that he is no longer with us – in this world, I mean.”
For Slavica and the other participants, being away means not being able to tangibly comprehend the death of a loved one, to visualize the loss. A similar feeling of dissatisfaction was reported by Narayan, a man of Bhutanese origin who came from Nepalese refugee camps. Narayan wished to attend the funeral of his uncle in India a few years ago, but it was not possible because he did not have a Canadian passport: “It was not possible, but normally if all the relatives are together, this is recommended [according to Hindu tradition].” Similarly, Nariman, the man of Iranian
origin mentioned above, could not be with his father in his dying days, though he had been able to make it to his sick mother’s bedside in Iran a few years before. Being a part of the rituals was extremely helpful, and it helped him get through this difficult period. He explained that the words of the eulogist relieved some of his pain:
We had a panegyrist who was singing and reading religious poems about death during the burial of my mother. I was extraordinarily sad, but I couldn’t cry. But when he started his performance, I started crying and felt better. He helped me evacuate and drain my feelings, so after all that I felt more relieved. (Nariman, migrant of Iranian origin)
The testimonies by Slavica, Narayan, and Nariman bring to mind the “therapeutic” role\textsuperscript{22} of rituals in the memory of the deceased as part of the mourning process, regardless of what form the ritual practice takes. They work to reassure and soothe the survivors by allowing them to express emotions and feelings that perhaps they would not express elsewhere. According to Jean-Luc Hétu, funerary rituals may facilitate the grieving process.\textsuperscript{23} Louis-Vincent Thomas also maintains that such rites have a calming power and provide structure when one is facing an uncertain future.\textsuperscript{24} The exhibition of the body, the funeral procession to the cemetery, and the closing of the coffin are examples of moments – found in different parts of the world – that allow survivors to become conscious of the reality of their loss and to express their pain.\textsuperscript{25} On the contrary, depending on a person’s beliefs and religion, not seeing the body of the deceased, for example, or not taking part in the funeral and burial rites may result in a complex bereavement process that is sometimes insurmountable.\textsuperscript{26}
To reduce the pain associated with their absence at the funeral, some interviewees organized their own rituals in their host countries, with the result that Mass and prayers for the dead sometimes took place simultaneously at several places around the world. This was the case related by Shamser, of Bhutanese origin, who came from a refugee camp in Nepal five years ago. Shamser’s family is scattered across the United States (where a brother and sister live), Nepal (home to four brothers), and Denmark (where another brother lives). Upon the death of the father in Nepal, many telephone conversations took place between the brothers and the sister in order to plan the funeral. Shamser, his sister, and his brothers in the United States and Europe mutually agreed to organize a religious ceremony that
\begin{itemize}
\item[22] Louis Vincent Thomas, “Le renouveau de la mort,” in \textit{Parlons de la mort et du deuil}, edited by Pierre Cornillot and Michel Hanus, 31–75 (Paris: Frison-Roche, 2000).
\item[23] Jean-Luc Hétu, \textit{Psychologie du mourir et du deuil}. (Sherbrooke: Editions du Meridien, 1989).
\item[24] Louis-Vincent Thomas, \textit{Rites de mort, pour la paix des vivants}. (Paris: Fayard, 1985).
\item[25] Hétu 1989.
\item[26] Jean-Hugues Deschaux, (dir.) \textit{Les familles face à la mort} (Paris: L’esprit du temps, 1998.) Hanus, Michel. “Les deuils en famille aujourd’hui,” in \textit{Les familles face à la mort. Entre privatisation et resocialisation de la mort}, eds. by Jean-Hugues Déchaux, Frédéric Jésu and Michel Hanus. (Paris: L’Esprit du temps, 1998), 231–248.
\end{itemize}
respected the traditional rituals surrounding death at the same time that the funeral was held in Nepal. Similarly, being unable to return to Senegal at the time of death of their father, Faisal and his sister organized evening prayer sessions in her home, and they welcomed several people for nearly a week. The last evening was hosted by an imam who recited many Surahs from the Qur’an. Faisal confessed that this was a great moral and spiritual support for him, given how far he was from his family in the homeland.
Faisal was only able to return to his home country a year after the death of his father. During his stay then, he held a second funeral to perform the proper rituals: a sheep was sacrificed and its meat was distributed in the neighbourhood, and an imam was invited to recite verses from the Qur’an. He said: “I had to reorganize the funeral, because he’s my father. It is a responsibility I take to have a clear conscience.” Several interviewees also plan to return one day to their home country to visit the tomb of their deceased loved one or to organize a new event in their memory in order to fulfill their duties. Acha, a man from Guinea who recently lost a grandmother he loved very much and with whom he had maintained excellent ties, did not attend her funeral back in Africa because he did not have the financial means to purchase a ticket. He said he hopes to go back one day to do another ceremony for his grandmother: “We will organize it one day. Yes, we will. Yes, I plan to go to Africa. And when I get there I will try to go to my grandmother’s grave [...] and pray for her.”
But for some people, visiting the grave of the deceased person (as is expected of them) does not help alleviate their suffering. Radica left Bosnia and Herzegovina in the late 1990s to try her luck in Quebec. She visited her sister’s grave six months after her burial, and it represented a great test of strength for her: “Actually, I did not want to visit her grave, but I was obliged… To us, it is mandatory to visit the grave of your loved ones. I did this for the others, because we have to, not because I wanted to.” In her eyes, the grave in no way represented the person she knew, alive and smiling: “I do not associate the grave with her. For me, she is not there… Seeing the tomb does not help my mourning.”
**The gathering of the family**
Participating in funeral rituals is not only a way of demonstrating one’s dedication to and love for the deceased, but in a number of countries around the world it is also a moment shared with family to “gather social cohesion created by the disappearance of one of its members.”27 Several authors have emphasized the significance of the family aspect in times of mourning.28 Michel Hanus suggests that if mourning is a test of strength for the individual, and the loss of a loved one generates a huge void, it is
---
27 Pierre Cornillo and Michel Hanus, (eds.) *Parlons de la Mort et du Deuil*. (Paris: Frison-Roche, 2000), 21.
28 Jean-Hugues Deschaux, (eds.) *Les familles face à la mort*. Paris: L’esprit du temps, 1998; Jean-Luc Hétu, *Vivre un deuil*. (Liège: Bartholomé, 1997).
“also a trauma that shakes the family as a whole, the family structure, such as the relationships between each of its members. And like mourning, [...] going through this experience as a family strengthens the ties.”\textsuperscript{29} Meanwhile, following the loss of a loved one, the family is a vital source of support to the bereaved. The bereaved usually find comfort and assistance at family gatherings, especially when a meal follows the ceremony. As evidenced by the testimonies of all the interviewees, whatever their religion or country of origin, what is most lacking during these difficult times is mourning with their family by their side. They shared that being surrounded by their loved ones would have offered them the opportunity to express and share their pain, grief, and anger with others, and that their family might have also provided them with reciprocal support and comfort. While such feelings are not specific to migrants, it is particularly intense when there is a death of a loved one far away in their country of origin.
Slavica, the Bosnian woman who expressed her regret at not being able to attend her father’s funeral or see his body, said her pain was also aggravated by “being physically separated from her mother and sisters,” and she considered that “the pain is more liveable if we attend the funeral, because you spent all phases of mourning with your family.” Despite the presence of her friends and their sympathy, and despite repeated transnational exchanges and help received from friends and other family members who had settled in Quebec, she admitted to finding it difficult to be alone at home sometimes: “When I’m alone, I start to think, I start to have dark thoughts.” As Slavica’s experience demonstrates, participants often feel helpless and deprived of support.
On the contrary, being surrounded by one’s family at the time of death of a relative most often brings comfort and makes the ordeal less painful. For example, those few who had the opportunity to attend the funeral of a loved one abroad described a very different experience than the rest. Although Marietta was unable to return home to Columbia to be at her father’s bedside or attend his funeral, because of the difficulty of finding a last-minute airline ticket, she was able to be with her family in the days that followed. She said that the gathering of the family facilitated the process of mourning her deceased father, who had died suddenly and unexpectedly. Beatriz, another Colombian migrant, was in her homeland at the time of her mother’s death, and she was able to attend the funeral. Her mother had suffered from cancer for several years and her condition had deteriorated rapidly in the weeks preceding her death, which prompted Beatriz to leave quickly for Colombia to be at her bedside. According to Beatriz, who comes from a well-known family in Colombia, approximately a thousand people attended the ceremony in memory of her mother, including three priests, relatives, and friends who came from other countries in South America and around the world: “The whole funeral ceremony was a tribute in her memory. It is sure that it was very moving, and we liked it because they spoke of all of my mother’s qualities.” Being able to make a final farewell and
\textsuperscript{29} Michel Hanus, “Les deuils en famille aujourd’hui” in \textit{Les familles face à la mort. Entre privatisation et resocialisation de la mort}, eds. by Jean-Hugues Déchaux, Frédéric Jésu and Michel Hanus (Paris: L’Esprit du temps, 1998), 237.
experience this difficult time with her family allowed her to receive support that she considers priceless: “sharing with my family and with all the friends comforted me a lot.”
**The duty of care**
The inability to be near a dying family member, to take care of or give them comfort in a particularly critical time, usually increases feelings of guilt, especially in the case of elderly relatives in poor health. Contemporary transnational family studies highlight the fact that most migrants maintain regular contact with members of their family scattered around the world and that geographical distance does not mean an end to the obligations and expectations of care, which vary, of course, from one place to another.\(^{30}\) All of the forms of care and support shared between families in geographically close proximity – financial, emotional, practical, and personal – are also expected of transnational families. That said, some forms of care can operate transnationally through communications technology, while others require physical proximity and regular visits, entailing personal care and support provided at the end of life.\(^{31}\) At the time of his mother’s death, Salvador felt like he was abandoning his mother. Before leaving for Canada, he knew she had been suffering for several years from a serious illness and that her condition was deteriorating rapidly. Being very close to his mother, when he still lived in Mexico he had the responsibility of driving her to the hospital for her treatments: “It touched me a lot because, in a way, I felt as if I had abandoned her; she knew I was leaving to come here, she accepted it and gave me her blessing.” Interviewees had the impression that if they had provided care to the dying, it may have made things a little less difficult and more comfortable, without negating the help provided by other family members.
Failing to live up to family duties before or after the death of a loved one can also generate tensions and conflict within families. Some studies have shown how family rituals may be a particularly significant moment to observe the effects of distance on family relationships. As these occasions often reunite family members who have settled in various parts of the world, conflicts can be expressed more easily.\(^{32}\) Such reunions can also lead to the contributions of each family member being disputed.\(^{33}\) That being the case,
---
\(^{30}\) Loretta Baldassar, Cora Baldock and Raelene Wilding, *Families Caring Across Borders: Migration, Ageing and Transnational Caregiving*. (New York: Palgrave Macmillan, 2007); Elisabetta, Zontini and Tracey Reynolds. “Ethnicity, Families and Social Capital: Caring Relationships across Italian and Caribbean Transnational Families,” *International Review of Sociology*, 17, 2 (2007): 257–277.
\(^{31}\) Laura Merla and Loretta Baldassar, “Les dynamiques de soin transnationales Entre émotions et considérations économiques.” *Recherches sociologiques et anthropologiques*, 41, 1 (2010): 83–103.
\(^{32}\) Kary Gardner and Ralph Grillo, “Transnational Households and Rituals: an Overview.” *Global Networks*, 2, 3 (2002): 179–90.
\(^{33}\) Karen Fog Olwig, “A Wedding in the Family: Home Making in a Global Network.” *Global Networks*, 2, 3 (2002): 205–218.
only one interviewee mentioned a situation of family conflict, and it was in regards to the inheritance.
Only four participants were able to return to their country of origin in the months before the death of their relative. The return trip gave them some consolation and helped them get through the ordeal of losing their loved one. Beatriz is the only person who was able to visit her family member regularly and be present at her funeral. She expressed how seeing her mother and being able to take care of her were sources of great comfort. Radica witnessed her sister’s health deteriorating over the years because of cancer. She had the chance to visit her sister on several occasions while she was sick and even a few months before her death. She also assisted with her sister’s funeral in her home country, which she said gave her some strength to overcome her grief: “I visited her before her death last year… She was very sick and it was difficult to see her in this state. It helped me to see her alive a little before she died.” Nonetheless, much like the other participants, Radica still felt a sense of guilt at the idea of being physically present in only a limited way for her family and her dying sister: “I felt guilty for not having spent more time with her. At first, I was far, and it had been a long time that I lived here and she lived in our country. […] It was difficult for me […] when she died, and I felt very guilty. I wanted to fall asleep and wake up with everything back to normal.”
The duty of being present
Feelings of guilt at not being physically present when a relative dies or not being at their funeral are very common in our participants’ narratives. Because those interviewed did not share the last moments with the deceased person, they felt that in a certain way they had abandoned them. Although participants were in regular contact with their family members living in other locations, they all bitterly regretted having been unable to make their final goodbyes and being there with them in their last moments. They may have had a chance to communicate one last time with the person via webcam, email, or social networks, but virtual interaction, as gratifying as it can be, is far from being sufficient in this case.
For most of our interviewees, a few years had passed since their last physical encounter with the deceased person. Thus, just the thought of not seeing them one last time was very difficult. Because of her refugee status, it was impossible for Conception to return to her native country of Columbia for the funeral of her brother, who was assassinated there just a few months after she left for Quebec. She expressed how emotionally painful it was for her, particularly because she could not be present to comfort her family: “I wanted to be there to accompany his wife, his children, and our family members that live there and that are going through this situation […]. We are here, and we feel so hopeless and helpless to be going through this at long distance, not being able to be there when it is my brother who just died.” Nariman also expressed feelings of having failed in his moral duty of being present. Not seeing his father in Iran before he died and failing to
be at his bedside at the time of his death made the hardship of losing him even more painful, as sadness, regret, and remorse intermingled: “When my father was sick, I spoke to him and I told him that I would come back to see him because I loved him very much. But when I arrived there, it had been two days since he passed away.” The failure to keep his promise made the loss of his father more painful than that of his mother, as he had been able to return to Iran in time to share her final moments:
The death of my father was more painful than that of my mother, because I had told my father I will return, and I could not […]. At least when my mother died, I had spent a few days with her, so I was able to convince myself to feel better. But for my father I had big regrets and I was very sad. (Nariman, migrant of Iranian origin)
Nariman’s immigration situation was fixed and he had become a Canadian resident before his mother fell ill. He used his credit card and borrowed money from friends to buy his airline ticket. Before his departure, his sisters, with whom he was in constant contact, kept him informed about the state of their mother’s health. When speaking to her on the phone, he also recognized that she was becoming weaker: “So I found that my mother was really sick. She was old and weak. […] When I spoke to my mother and I found that she was not well at all, I decided not to waste any time and get back home to visit her before her death.”
Having obtained permission to be absent from work for ten days due to her father’s death, Fouzia, originally from Guinea, was also able to leave quickly for her home country in order to be with her family and attend the funeral. There had been no warning signs of the imminent death of her father. Therefore, she had not even considered the possibility of going to visit him for the last time in Guinea. Fouzia had not seen her father for some years. The only regret she had, and one that still causes her intense suffering, is to have not been there with him during his final days: “The obstacle that I found the hardest in mourning the death of my father is that it did not happen in front of me. I would have liked to assist him, to accompany him. Maybe he would have wanted to see me and tell me something.” Fouzia’s desire to be present at the side of her dying loved one and hear his last words is the wish of many other migrants who are physically separated from their families. They wish to be present to show their affection and love, to thank the dying person, or to close any unresolved conflicts. Indeed, the last words exchanged with the deceased can help to overcome grief, in contrast to not being able to express feelings or resolve lingering conflicts.\(^{34}\)
The departure of a beloved person forced participants to confront the fact that they were no longer able to fulfil their moral duty of being present, a common result of the process of migration. In the case of Marduk, a man of Iranian origin who lost his father three years after moving to Montreal,
\(^{34}\) Johanne De Montigny, “Les derniers mots du mourant. Un legs inespéré dans la vie du survivant,” *Gérontologie et Société*, 1, 108 (2004): 213–220.
guilt about having abandoned his country and his people made him doubt his decision to emigrate:
The most important challenge […], and it is something I think about all the time, is that I shouldn’t have left my parents alone because they were really dependent on me. This is the major challenge that I have to cope with all the time. I don’t know whether I did a correct action in coming here. And even now, I may have alleviated the grief of my father passing away, but what is hard for me is wondering whether I could have done more for him before he passed away. (Marduk, migrant of Iranian origin)
**Conclusion**
The examples of the death of a relative abroad discussed here allow for a better understanding of the severe limitations of virtual co-presence made possible by the development of mobile telephone and internet communication platforms and their use by transnational families. While some family activities can take place easily at a distance over the phone or by email or text messages, others require traveling great distances to be together physically. In times of death, these new methods of communication cannot compensate for physical separation, despite transnational exchanges and rituals. We know that losing a loved one is already a painful ordeal, but for migrants who live far away, and especially for those who for various reasons cannot attend the funeral, physical separation makes the grieving process even more difficult. Not only does distance increase the hardship of losing a loved one, it makes the acceptance of death much more difficult. The types of emotional distress are numerous and varied: the grief and pain of loss coexist alongside feelings of regret and guilt. Physical co-presence allows for mutual support at the time of death of a loved one in a way that virtual co-presence simply cannot. What is lacking among migrants is the ability to meet with their families and talk with them, and this lack is felt particularly strongly in moments of crisis. Distance also increases feelings of guilt for not fulfilling one’s moral duty to be present or take care of the loved one and other family members. Despite the fact that funeral rituals and responsibilities surrounding the death of a family member differ greatly according to one’s culture or religion, the impossibility of practicing certain significant rites and ceremonies makes the mourning process more difficult for many migrants. The death of a loved one in the country of origin augments the sense of loss and absence associated with the act of migration. For many grieving migrants, the death of a parent who is abroad is generally seen as a tragedy, a moment they apprehend with great concern. Indeed, it symbolizes all the losses related to migration and reminds them of the impossibility of getting back the time spent away from their homeland. For many, this hardship is also seen as the price they pay for their decision to start a new life elsewhere.
Alonso, Andoni and Oiarzabal, Pedro. 2010. *Diasporas in the New Media Age: Identity, Politics, and Community*. Reno: University of Nevada Press.
Bacigalupe, Gonzalo and Camara, Maria. 2012. “Transnational Families and Social Technologies: Reassessing Immigration Psychology.” *Journal of Ethnic and Migration Studies*, 38: 1425–1438.
Baldassar, Loretta, Nedelcu, Mihaela, Merla, Laura and Wilding, Raelene. 2016. “ICT-based Co-Presence in Transnational Families and Communities: Challenging the Premise of Face-to-face Proximity in Sustaining Relationships.” *Global Networks*, 1: 133–144.
Baldassar, Loretta. 2007. “Transnational Families and the Provision of Moral and Emotional Support: The Relationship between Truth and Distance.” *Identities*, 14, 4: 385–409.
Baldassar, Loretta. 2008. “Missing Kin and Longing to be Together: Emotions and the Construction of Copresence in Transnational Relationships.” *Journal of Intercultural Studies*, 29, 3: 247–266.
Baldassar, Loretta. 2010. “Ce ‘sentiment de culpabilité’: Réflexion sur la relation entre émotions et motivation dans les migrations et le soin transnational.” *Recherches sociologiques et anthropologiques*, XLI, 1: 15–37.
Baldassar, Loretta. 2015. “Guilty Feelings and the Guilt Trip: Emotions and Motivation in Migration and Transnational Caregiving.” *Emotion, Space and Society*, 16: 81–89.
Baldassar, Loretta, Baldock, Cora and Wilding, Raelene. 2007. *Families Caring Across Borders: Migration, Ageing and Transnational Caregiving*. New York: Palgrave Macmillan.
Boccagni, Paolo and Baldassar, Loretta. 2015. “Emotions on the Move: Mapping the Emergent Field of Emotion and Migration.” *Emotion, Space and Society*, 16: 73–80.
Conradson, David and Mckay, Deirdre. 2007. “Translocal Subjectivities: Mobility, Connection, Emotion.” *Mobilities*, 2, 2: 167–174.
Cornillot, Pierre and Hanus, Michel, editors. 2000. *Parlons de la Mort et du Deuil*. Paris: Frison-Roche.
Deschaux, Jean-Hugues, editor. 1998. *Les familles face à la mort*. Paris: L’esprit du temps.
De Montigny, Johanne. 2004. “Les derniers mots du mourant. Un legs inespéré dans la vie du survivant.” *Gérontologie et Société*, 1, 108: 213–220.
Gardner, Katy. 2002. “Death of a Migrant: Transnational Death Rituals and Gender Among British Sylhetis.” *Global Networks*, 2: 191–204.
Gardner, Katy and Grillo, Ralph. 2002. “Transnational Households and Rituals: an Overview.” *Global Networks*, 2, 3: 179–190.
Gennep, Arnold van. 1909 [1981]. *Les rites de passage*. Nourry and Paris: Picard.
Hanus, Michel. 1998. “Les deuils en famille aujourd’hui.” In *Les familles face à la mort. Entre privatisation et resocialisation de la mort*, edited by Jean-Hugues Déchaux, Frédéric Jésu and Michel Hanus, 231–248. Paris: L’Esprit du temps.
Hétu, Jean-Luc. 1997. *Vivre un deuil*. Liège, Bartholomé.
Hétu, Jean-Luc. 1989. *Psychologie du mourir et du deuil*. Sherbrooke: Éditions du Méridien.
Le Gall, Josiane. 2017. “La mort d’un proche au pays d’origine.” In *Quand la mort frappe l’immigrant: défis et adaptations*, edited by Lilyane Rachédi and Beatrice Halsouet, 51–59. Montréal: Presses Universitaires de Montréal.
Legros, Patrick and Herbe, Carine. 2006. *La mort au quotidien. Contribution à une sociologie de l’imaginaire, de la mort et du deuil*. Paris: Érès.
Maddrell, Avril. 2016. “Mapping Grief. A Conceptual Framework for Understanding the Spatial Dimensions of Bereavement, Mourning and Remembrance.” *Social & Cultural Geography*, 17, 2: 166–188.
Madianou, Mirca. 2016. “Ambiant Co-presence: Transnational Family Practices in Polymedia Environments.” *Global Networks*, 16, 1: 183–201.
Mai, Nicola and King, Russel. 2009. “Love, Sexuality and Migration: Mapping the Issue(s).” *Mobilities*, 4, 3: 295–307.
Mason, Jennifer. 2004. “Managing Kinship over Long Distances: the Significance of the Visit.” *Social Policy & Society*, 3, 4: 421–429.
Masselot, Annick. 2011. “Highly Skilled Migrants and Transnational Care Practices: Balancing Work, Life and Crisis over Large Geographical Distances.” *Canterbury Law Review*, 17, 2: 299–315.
Mazzucato, Valentina, Kabbi, Mirjam and Smith, Lothar. 2006. “Transnational Migration and the Economy of Funerals: Changing Practices in Ghana.” *Development and Change*, 37, 5: 1047–1072.
Merla, Laura and Baldassar, Loretta. 2010. “Les dynamiques de soin transnationales Entre émotions et considérations économiques.” *Recherches sociologiques et anthropologiques*, 41, 1: 83–103.
Nedelcu, Mihaela and Wyss, Malika. 2016. “Doing Family Through ICT-mediated Ordinary Co-presence: Transnational Communication Practices of Romanian Migrants in Switzerland.” *Global Networks*, 16, 2: 202–218.
Olwig, Karen Fog. 2002. “A Wedding in the Family: Home Making in a Global Network.” *Global Networks*, 2, 3: 205–218.
Rachédi, Lilyane, Le Gall, Josiane and Leduc, Véronique. 2010. “Familles immigrantes au Québec, deuils et liens transnationaux: réflexions pour la pratique.” *Lien social et politiques*, 64: 175–187.
Rachedi, Lilyane, Montgomery, Catherine, Le Gall, Josiane, Mongeau, Suzanne, Boisvert, Mathieu and Vatz Laaroussi, Michèle. “Deuil des immigrants au Québec: pratiques rituelles funéraires et réseaux transnationaux”, research funded by Social Sciences and Humanities Research Council 2013–2015 (SSHRC).
Ryan, Louise, Klekowski Von Koppenfels, Amanda and Mulholland, Jon. 2015. “The Distance between Us: a Comparative Examination of the Technical, Spatial and Temporal Dimensions of the Transnational Social Relationships of Highly Skilled Migrants.” *Global Networks*, 15, 2: 198–216.
Skrbis, Zlatko. 2008. “Transnational Families: Theorizing Migration, Emotions and Belonging.” *Journal of Intercultural Studies*, 29, 3: 231–246.
Svasek, Maruska. 2008. “Who Cares? Families and Feelings in Movement.” *Journal of Intercultural Studies*, 29, 3: 213–230.
Thomas, Louis-Vincent. 1985. *Rites de mort, pour la paix des vivants*. Paris: Fayard.
Thomas, Louis-Vincent. 2000. “Le renouveau de la mort.” In *Parlons de la Mort et du Deuil*, edited by Pierre Cornillot and Michel Hanus, 31–75. Paris: Frison-Roche.
Urry, John. 2002. “Mobility and Proximity.” *Sociology*, 36, 2: 255–274.
Zontini, Elisabetta and Reynolds, Tracey. 2007. “Ethnicity, Families and Social Capital: Caring Relationships across Italian and Caribbean Transnational Families.” *International Review of Sociology*, 17, 2: 257–277.
Communities II
Behind an apartment building somewhere in the Koreatown district of Los Angeles, a crowd of mourners assembled to pay their last respects to Roman Maldonado Cisneros, who passed away after an unforeseen accident. His body, which had been in the morgue for nearly two weeks, was released to the family for several hours before it was finally returned to his hometown of Yalálag in Mexico’s southern state of Oaxaca. As a Yalalteco,\(^2\) Roman had participated in hometown celebrations and events during his life-time and was a well-respected man. Thus, before leaving the ceremony, men, women, and children came to offer condolences to his family and say goodbye to this beloved community member. People crowded into the open space behind the apartment building, spilling onto the driveway and the sidewalk. Members of different brass bands, typical of Oaxaca, played melancholy music; his good friends sang his favorite songs in-between reminiscing. The next day, the space was again filled with friends and family as they gathered to bid farewell when his body was taken away, to be sent back to Mexico. A band played funerary marches as his corpse was carried into the street and to a truck that would transport it to the airport. Meanwhile, the crowd watched, many of them holding their phones and cameras in the air.\(^3\) Soon thereafter, friends and family posted these last images on Facebook. One remarked, “This is how you bid farewell to a friend in Los Angeles, CA en route to Yalálag, Roman Maldonado Cisneros. Rest in Peace.”\(^4\)
This is how Indigenous people from the mountains of Oaxaca, including Yalálag, pay their respects. When a person dies, they are mourned privately and publicly. In Oaxaca, immediately after death, the body of the deceased is washed and clothed and placed on a table surrounded by flowers, candles, and other objects that will help guide their spirit to its final destination. An
---
1 We would like to thank all the Yalaltecos who kindly invited us into their homes to share their experiences. We extend our gratitude to the broader Yalalteco community in Los Angeles, Oaxaca, and cyberspace. This paper could not have been written without their collaboration. The authors would also like to thank Claudia Rueda and the editors of this volume for their insightful comments.
2 This is the name that individuals who claim membership in the natal community use to call themselves, regardless of where they live.
3 This vignette is a reconstructed event based on information from the individuals we interviewed and Facebook posts.
4 C. Yalálag’s Facebook page, June 25, 2016. Status translated by author.
intricate blanket of flowers with a symbolic cross is placed on the floor where the body last touched the ground before death. On the first day, following a person’s passing, it is customary for family and friends to hold a vigil all night, celebrating the life of the deceased. Mourners are invited to recite the rosary along with the family.\(^5\) Throughout the night, people come in and out, offering condolences to the relatives left behind and accompanying the body as a sign of respect. Food and drink are offered to guests, and somber funerary music accompany the mourners into the night. On the second day, the casket is carried into the town church where a special Mass is conducted for the deceased followed by a procession to the cemetery, led by members of a brass band playing somber tunes. Close behind are the deceased’s male friends, on whose shoulders the casket is carried. Last are the family and other members of the community. Once at the gravesite, the body is buried.
In Los Angeles, observing the memorial to Maldonado, we were reminded that hometown practices *han cruzado fronteras* (“have crossed borders”).\(^6\) This is significant since Zapotecs constitute the largest group of Mexican Indigenous migrants now living in the United States, primarily in California. They bring distinct languages and cultural traditions, which continue to bind them together as members of particular towns, regions, and ethnic groups. Through their cultural practices and traditions, migrants not only reinvigorate their home-based regional and ethnic identities, they also actively transform already ethnically marked spaces into distinct Zapotec spaces. In Koreatown, for example, their residence in a previously Asian neighborhood physically transformed its landscape. Traditional brass band music now permeates the air. Finally, funerary practices, like those illustrated above, reveal how the physical landscape, such as a parking lot or a street, may be transformed into ethnically and racially (i.e., Zapotec and Indigenous) marked transnational spaces of death, mourning, and communality spanning Mexico and the United States.
In this chapter, we are particularly interested in the transnational dimensions of death and mourning. We approach this topic through an examination of the importation of natal funerary practices by Mexican Indigenous persons in Los Angeles. Our study builds on linguistic anthropology and ethnographic insights on Zapotec experiences with death. Specifically, we analyze Zapotec notions of reciprocity following a death (*wlhue lhaollo*) and “burying oneself” (*llkach kuinllo*) to show how these Indigenous migrants maintain durable ties to their hometowns through these social practices. Yet, despite some continuities, we also highlight ways in which funerary practices are being transformed. Further, we examine the role of social media, via Facebook, to demonstrate how these new forms of engagement create alternative spaces of mourning, transcending national boundaries and generational divides.
---
5 The Catholic rosary is a series of prayers and reflections made in honor of the deceased. In this context, Catholic rosaries and prayers are offered over the span of nine days. During this time, mourners offer penitence in the name of the deceased so that they may find peace on their journey after death.
6 This idea came up in casual conversations among Zapotec migrants we interviewed in Los Angeles.
Research setting
The Koreatown district in Los Angeles is home to thousands of Zapotec Indigenous migrants, originally from the Sierra Norte region of Oaxaca, Mexico.\textsuperscript{7} Among them are Yalaltecos from the Sierra Norte, who first established themselves in this part of Los Angeles during the 1960s.\textsuperscript{8} Today there are several thousand Yalaltecos, comprising several generations, living in the city. In spite of working and residing several thousand miles from their natal homes, Indigenous migrants presently in Los Angeles actively participate in the economic, social, and political lives of their \textit{pueblos}.\textsuperscript{9,10} But in this as in other processes, Yalaltecos participate unevenly. In part, our motivation for carrying out this research was to determine the extent to which there are intergenerational differences in the transmission and celebration of funerary rituals among Zapotecs in Los Angeles. Are some migrants more deeply committed to maintaining their links to their natal towns and Indigenous identities through such rituals and practices? Among Yalaltecos living in Los Angeles, we conclude, the answer is not clear.
Methods
This research is based on personal interviews, content analysis of Facebook images and posts, and ethnographic observation. While this chapter focuses primarily on the experiences of Zapotecs living in Los Angeles, the authors have spent time observing and documenting Indigenous traditions and customs, including ritual ceremonies celebrating life and death in both Los Angeles and Oaxaca. In this capacity, we have also taken part in the everyday lives of Yalaltecos, accompanying people into and outside of their homes. These observations have allowed us to assess the transnationalization of funerary rituals and probe more deeply as interviewees responded to our questions. In July 2016, we interviewed ten persons, including both first-generation and second-generation immigrants. Interviews were conducted
\textsuperscript{7} Jonathan Fox and Gaspar Rivera-Salgado, eds., \textit{Indigenous Mexican Migrants in the United States} (La Jolla, CA: Center for U.S.-Mexican Studies and Center for Comparative Immigration Studies, University of California at San Diego, 2004).
\textsuperscript{8} Equipo Pueblo, \textit{Yalálag: Testimonios Indígenas} (Mexico City: Equipo Pueblo, 1988).
\textsuperscript{9} Among Mexicans, the term ‘pueblo’ is commonly used to refer to a town (place), nation, citizens, or people. In this paper, the use of ‘pueblo’ exclusively references the hometown.
\textsuperscript{10} See M. Bianet Castellanos, “Idealizing Maya Culture: The Politics of Race, Indigeneity, and Immigration Among Maya Restaurant Owners in Southern California,” \textit{Dialogo} 18, no. 2 (Fall 2015): 67–78; Fox and Rivera-Salgado, \textit{Indigenous Mexican Migrants in the United States}; Lourdes Gutiérrez Nájera. “Hayandose: Zapotec Migrant Expressions of Membership and Belonging,” in \textit{Beyond El Barrio: Everyday Life in Latina/o América}, ed. Adrian Burgos, Jr., Frank Guridy, and Gina Perez (New York: New York University Press, 2010), 63–80; Lynn Stephen, \textit{Transborder Lives: Indigenous Oaxacans in Mexico, California, and Oregon} (Durham, NC: Duke University Press, 2007).
in numerous languages – including Zapotec, English, and Spanish – according to the subject’s preference. Altogether, the interviews allowed us to better gauge the continuity of Zapotec funerary traditions practiced in Los Angeles and how they are being transformed as they cross national boundaries. Although we formally interviewed ten persons, we spoke to at least twenty more about funerary rites.
Our research also builds on the work of recent scholarship that demonstrates the usefulness of engaging social media in ethnographic research.\(^{11}\) In particular, we drew on Facebook to supplement our interviews and ethnographic observations within a transnational landscape.\(^{12}\) Specifically, we followed Yalaltecos who are “friends” or persons whom we are “following” on Facebook, and we examined posts that announced individual deaths and burials over a period of six months. We took screenshots of uploaded Facebook posts, photos, and videos commemorating the deaths of community members. As part of this project, we analyzed the images along with sentiments expressed through language and non-verbal cues (like emojis) in the posts. Our findings are presented below.\(^{13}\)
**Reciprocity, “burying oneself,” and communality**
Migrants living in Los Angeles forge durable ties to their community through the emotional, financial, and social aid that accompanies the death of a *paisano*.\(^{14}\) Not surprisingly, each interviewee reiterated the importance of providing direct support to the grieving family. This support is offered immediately after learning that someone from the hometown has passed away. The level of commitment may vary, but each person described a compelling sense of responsibility. We suggest that this form of participation is intimately connected to an Indigenous expression of communality or
---
\(^{11}\) Sally Baker, “Conceptualising the use of Facebook in ethnographic research: As tool, as data and as context,” *Ethnography and Education*, 8, no. 2 (2013): 131–145; Nicole Bridges, “Facebook as Netnographic Research Tool,” *Global Media Journal*, 10, no. 2 (2016); Steffen Dalsgaard, “The Ethnographic Use of Facebook in Everyday Life,” *Anthropological Forum: A Journal of Social Anthropology and Comparative Sociology*, 26, no. 1 (2016), 96–114.
\(^{12}\) David J. Piacenti, Luis B. Ríos, and Josef Garrett, “Facebook Ethnography: The Poststructural Ontology of Transnational (Im)migration Research,” *International Journal of Qualitative Methods*, 13, no.1 (February 2014): 224–236, accessed March 1, 2017.
\(^{13}\) A note on the citation of oral and Facebook sources: since it is not uncommon for migrants from Mexico to be living in the United States with undocumented status, and our interviewees also mention status as a barrier to travel, our interviews conducted in Los Angeles only contain first names in order to maintain a safe level of anonymity. The only interviewee cited with a full name is a public figure who was interviewed in Mexico. For similar reasons, the issue of anonymity is also of concern vis-à-vis the Facebook pages of individuals in Los Angeles. Thus, we do not include citations with references or URLs of the authors’ pages.
\(^{14}\) *Paisano* is a term used in Mexico to refer to a person from the same country or region.
collective belonging\textsuperscript{15} reflected through \textit{gwzon},\textsuperscript{16} a system of reciprocity. Of particular interest is how migrants now living in Los Angeles (re)define borders of communal belonging through these practices.
Among Indigenous scholars in Mexico, Floriberto Díaz Gómez – a Mixe Indigenous thinker from Tlahuitoltepec, Oaxaca – first defined communality as a form of belonging that takes into account holistic elements of Indigenous experience. According to him:
Communality defines the immanence of the community to the extent that communality defines other key concepts to understand the Indigenous reality, which should be understood not in opposition to but as different from Western society. To understand each of its elements we must take into account certain notions, such as: the communal, the collective, complementary and wholeness… Having said this we can understand the defining elements of communality:
The Earth as mother and territory.
Consensus in a decision-making assembly.
Non-remunerated service as an exertion of authority.
Collective labor as a recreational act.
Rituals and ceremonies as an expression of a communal gift.\textsuperscript{17}
In line with the thought of Díaz Gómez, funerary rites create forums for the expression of communality, specifically through systems of reciprocity that support families as they grieve the loss of a loved one. A successful manifestation of communality is called \textit{bkwach kuinbe}, a Zapotec expression that literally translates into “he buried himself.” This complex phrase can only be understood by examining the importance of reciprocity as a fundamental part of communal belonging.
In Zapotec towns, people build strong relations within the family and members of the broader society through active involvement and visibility in social and religious events, such as weddings and patron saint celebrations. Community members are expected to be present and actively participate in social and religious events by helping out, to the best of their ability, in actions such as making tortillas, distributing food, carrying firewood, setting up equipment, or providing a cash donation to help defray costs.
\textsuperscript{15} Communality is a complementary aspect of community extending beyond the physical and territorial dimensions to incorporate an Indigenous phenomenological understanding of collective experiences and practice. Communality is an expression that reflects belonging to, or forming part of, a collective that we associate with community. See Juan José Rendón Monzón, \textit{La comunalidad: Modo de vida en los pueblos indios, Tomo 1} (Mexico City: CONACULTA, 2003).
\textsuperscript{16} A Zapotec concept that indicates ways of helping out that are based on reciprocity or providing mutual aid.
\textsuperscript{17} Floriberto Día Gómez, “Comunidad y comunalidad,” in \textit{La comunalidad: Modo de vida en los pueblos indios, Tomo 1}, ed. Juan José Rendón Monzón (Mexico City: CONACULTA, 2003), 96.
In the case of the death of a *paisano*, reciprocity involves *wlhue lhaollo*,\(^{18}\) an offering of support made to the grieving family or person hosting the funerary rites. As Eloy explained:
My mom would say, “So long as they see your face. You go and do your part…” There are many people, like me, for example, who like to go and give support by helping out in any way, even if it means passing out drinks. Others just show up and show moral support but you have to be seen by members of the community.\(^{19}\)
In this system of reciprocity, each participant will ideally receive the same assistance in kind at some point in the future when they have a similar need. It is in this context that we can better understand the meaning of *bkwach kuinbe*. Here, in the sense of burying oneself, *bkwach kuinbe* refers to the moment, upon one’s passing, of receiving all the benefits of reciprocity accumulated throughout a person’s lifetime. If a person has been generous, then the total aid received on their behalf should cover most, if not the entire, cost of the funeral. This is as true in the hometown as it is in Los Angeles, as was mentioned by our interviewers. In the case of Roman, the man described in the opening vignette, for example, numerous interviewees mentioned the idea of *bkwach kuinbe*, either in Zapotec or Spanish, to make clear his status as a beloved Yalalteco. At the moment of his death, his presence and participation at social functions and events did not go unnoticed. As stated by a young woman we interviewed:
That’s the way it is. People notice who helps out and who does not. That is how it works here… When Roman died, many people came together to lend their support. A lot of people came. They offered emotional and economic support. Many people. Many people came, and they helped a lot.\(^{20}\)
Indeed, Yalaltecos mentioned that thousands of dollars were raised, enough to cover the costs associated with repatriation and the funeral arrangements incurred in Los Angeles, as well as the burial in Yalálag.
The importance of lending aid cannot be overstated. As another person iterated, as long as the Yalaltecos see you providing support they will reward you in the same way. Otherwise, no one will show up. Interviewees mentioned going to several funerals where very few people attended, because the person who died was not an active participant in social events commemorating the hometown and organized by *paisanos*. Consequently, the cost of the burial process becomes more difficult to handle. As one interviewee explained: “If you don’t go, then people don’t see you and they will ask, ‘Is he not a member of the community?’ They will not be swayed to lend their support because they don’t know you.”\(^{21}\) The practice of reciprocity in Los Angeles is
---
\(^{18}\) A Zapotec expression that indicates showing or providing support.
\(^{19}\) Eloy, interview by Ana D. Alonso Ortiz and Lourdes Gutiérrez Nájera, July 14, 2016.
\(^{20}\) Kenia, interview by Ana D. Alonso Ortiz and Lourdes Gutiérrez Nájera, July 13, 2016.
\(^{21}\) Eloy, interview by Ana D. Alonso Ortiz and Lourdes Gutiérrez Nájera, July 14, 2016.
fundamental not only for defining community but also to meet the costs of funeral arrangements and burials.
While Yalaltecos in Los Angeles maintain durable ties to community through practices of reciprocity and funerary traditions, these are being transformed. People frequently provide mutual support in kind to the family of the deceased. As described by Kenia, “People bring water, they bring bread… They bring everything and when people realize that everyone has already given [and there is still need], they go out and help again.”\textsuperscript{22} People we spoke with mentioned that \textit{paisanos} participate by providing refreshments, food, disposable plates and cups, chairs, and event tents, even if they cannot attend the rosary or wake. This is particularly noteworthy in terms of shifting traditions. Indeed, the practice among migrants in Los Angeles of providing goods in kind stands in stark contrast to that of the hometown, where it is now customary to give the grieving family a monetary donation. Consequently, and perhaps unexpectedly, Yalaltecos living in Los Angeles continue to maintain a longstanding tradition of reciprocity in kind, even though it is no longer practiced in the hometown. While the hometown is often viewed as a space of tradition and places of destination become associated with change, this example precisely points to how the way in which traditions may be maintained or modified through migration is unpredictable.
In the hometown, active participation by all members of the community is also expected upon the death of a \textit{paisano}. Men and women accompany the family after someone passes, keeping a vigil and offering prayers in solidarity with the family throughout the night. At the time of the funeral, the church bells ring so that all may attend Mass and accompany the body to the burial. This is a time-consuming process that involves every Yalalteco who is able to come. In Los Angeles, however, Yalaltecos are spread out throughout the city, and many of them cannot take time off work to be with the family of the deceased during the night and at the time of the funeral. Accordingly, not all \textit{paisanos} can be present. Consequently, there are other interesting modifications to the funerary process in Los Angeles. For example, migrants eliminate aspects of traditional funerary practices such as “\textit{la levantada de la cruz},” a ritual to help guide the spirit of the deceased to its final resting place, which involves prayers and laying a cross made of flowers in the location where the body touched the ground at death and its spirit returned to Mother Earth. On the ninth day after death, this cross is swept up and the remains are taken to the cemetery, where they are laid to rest on the grave of the deceased.
While in Yalálag this is a necessary part of any funerary practice, in Los Angeles \textit{paisanos} often skip this process due to a lack of time. Alternatively, they may decide to do it on the same day of the burial. Migrants simply cannot afford to take nine days out of their work schedule to accompany the family of the deceased as they carry out other rites associated with death practices such as the washing of the deceased’s clothing and daily rosaries. Thus, they
\textsuperscript{22} Kenia, interview by Ana D. Alonso Ortiz and Lourdes Gutiérrez Nájera, July 13, 2016.
shorten the process. Another modification involves the physical location of reciting the rosary and holding the wake. While funerary rituals take place in the home of the deceased in the hometown, living in an apartment in Los Angeles is not always conducive to maintaining the tradition. Subsequently, it is not uncommon for someone to offer their home to hold the rosary ceremonies and wake for the dead. In fact, while we were in Los Angeles, we attended a rosary ceremony at the home of a *paisano* who had made their home available so that community members could come together.
Another interesting shift involves the brass bands found in Oaxacan Indigenous towns. In Yalálag, the brass band was originally founded by town members and then integrated into the municipal government structure. Thus, band members often offered their condolences and support by playing funerary music without any remuneration. Today in Oaxaca there are five brass bands competing for business and there is no longer a “municipal” band, so the family of the deceased now pays to have a band play during the wake and also attend the funeral. There are still occasions in which bands may play without compensation, but by and large, these are exceptions to the rule. In contrast, brass bands among Zapotecs in Los Angeles often play at funerals without remuneration. Through these comparisons, one can say that Yalaltecos have transformed their cultural practices, adapting them to the urban context of Los Angeles, while reinserting themselves into a broader transnational collective through funerary rites and practices. Thus, in quite significant ways, they are reaffirming the spirit of Zapotec communality outlined above by Díaz Gómez.
Yet, while migrants in Los Angeles are able to claim collective membership, the bonds of communality are being tested as they begin to question the limits of reciprocal aid. As stated in our interviews, Yalaltecos have been praying rosaries for every deceased person, even if they did not die in Los Angeles, with the ultimate aim of raising money for families who could not afford the funeral. But now migrants living in Los Angeles argue over whether they should continue to offer rosaries when either the family of the deceased is financially solvent or the deceased has not spent a significant amount of time in Los Angeles.
Rosaries are fundamental for gathering funds… Its [purpose] is practical, to gather funds and help out the family, though today there are a lot of people who criticize the practice of offering a rosary here [in Los Angeles] for those who have died in the pueblo. Some agree that those people who have been here [in L.A.], who have come, who have worked, who have come for some time, should have a rosary given in their name. But they ask why those who have never been in this country should also receive a rosary. The same is true if they are economically solvent. But when the family lacks resources and is poor then they should receive that type of support… But when we are talking about a person who dies here, we all provide support.\(^{23}\)
\(^{23}\) Claudia, interview by Ana D. Alonso Ortiz and Lourdes Gutiérrez Nájera, July 12, 2016.
This discussion represents a break from the tradition of *gwzon* as practiced in Yalálag. Regardless of economic solvency, *gwzon* is an expression of communality. Thus, current discussions among migrants in Los Angeles appear to reflect a paradoxical relationship to communality. While on the one hand the reproduction of reciprocity in Los Angeles forges transnational bonds of communality, at the same time discussions about eliminating rosary practices and economic aid for those in the hometown create fissures in communality. With this in mind, we must consider the degree to which communality may or may not continue as an organizing principle for future generations.
At present, second- and third-generation immigrant youth in the U.S. are not as active as their parents in communal events and celebrations, but this does not mean that they have lost interest in or no longer identify strongly with their Indigenous communities. Young people with immigrant parents and grandparents are transforming the structure of Indigenous Oaxacan brass bands in Los Angeles. While in the past the composition of these bands was exclusively adult males, today there are bands that have incorporated youth into them. There are also bands comprised exclusively of youth who have grown up listening to this music and who have a strong desire to continue this tradition. In a similar fashion, dance troupes that previously were largely made up of young men and women performing at patron saint and life cycle celebrations have also been incorporating children into their groups. These young participants, who are now second- and third-generation Oaxacan-Americans, will continue to integrate themselves into their Zapotec communities of origin and experience the benefits of *comunalidad* through music.
As we reflected on funerary practices, we noted that even within the immigrant generation there is a sense of ambivalence about whether they will be buried in the U.S. or Oaxaca. While some of our interviewees expressed a wish to be buried in their hometown, where their umbilical cords are buried and their Indigenous identities were forged, others frankly shared their desire to be buried in Los Angeles. This came out in a revealing conversation with Francisco, a second-generation youth, at his parents’ home. He recounted his surprise when his parents, who immigrated to L.A. in the 1960s but often return to their hometown, told him that they wanted to be buried in Los Angeles. As he shared, “It was surprising. I always thought they’d want to be buried in Yalálag. But then my mom explained that in Yalálag, they would be lonely because they wouldn’t have anyone to visit them and take care of them. I guess we’re supposed to go hang out with them at their graves. They have an expectation I wasn’t aware of.” We found that other persons who had made Los Angeles their home and raised their families here felt similarly. They pointed out that even if they were buried in Los Angeles, it would still be a Zapotec burial because the traditions for burial practices have survived there. The second generation is also likely to be buried in L.A., though one of our interviewees mentioned wanting to be buried in her parents’ hometown, where her father was laid to rest. She joked that her husband has already been initiated as a member of her natal home (he is from another Oaxacan town) so that he can have burial rites reserved for him as well. Her views in
terms of burial location appear to be exceptional, but it was clear that she and her husband desired to be acknowledged by community members and have some type of Zapotec burial accompanied by music, food, and loved ones.
**Extending virtual spaces of mourning**
If the transnational nature of the Yalalteco community is challenging the bonds of communality, then the use of information technologies and social networking sites has allowed for more fluid contact across space and time among transnational migrants. As scholars\(^{24}\) confirm, “[d]igital media is transforming diasporic cultural contexts”\(^{25}\) by fostering linkages between natal homes and places of settlement. Additionally, social networking sites like Facebook are easily accessible and they appeal across generations. For migrants and their loved ones separated by great distances, Facebook provides an ideal platform for communicating and maintaining connection. There are individual pages, group pages, community pages, and events pages so that one can easily glean and share information about what is happening across locations. As argued by Rianne Dekker and Godfried Engbersen, social media provide an infrastructure with strategic information that shapes migrant networks.\(^{26}\) Applied to Zapotec funerary practices, Facebook supports images, videos, and emojis that simulate contact and strengthen communal bonds. Among Yalaltecos, Facebook has gained popularity since it began to be used both in the United States and in Oaxaca. In the hometown of Yalalag, its use became widespread after a massive landslide in October 2010 that left residents without road access or essential resources for survival. In an unexpected turn, Yalaltecos in Mexico began to post messages and circulate photographs of the disaster via Facebook. The online platform allowed news to spread more quickly, which meant that migrants living elsewhere could respond.\(^{27}\) Today Facebook continues to be
---
24 Andoni Alonso and Pedro Oiarzabal, *Diasporas in the New Media Age: Identity, Politics, and Community* (Reno, NV: University of Nevada Press, 2010); Cheryl A. McLean, “A Space Called Home: An Immigrant Adolescent’s Digital Literacy Practices,” *Journal of Adolescent & Adult Literacy* 54, no.1 (September 2010): 13–22; David J. Piacenti, Luis B. Ríos, and Josef Garrett, “Facebook Ethnography: The Poststructural Ontology of Transnational (Im)migration Research.”
25 Cheryl A. McLean, “A Space Called Home: An Immigrant Adolescent’s Digital Literacy Practices.”
26 Rianne Dekker and Godfried Engbersen, “How social media transform migrant networks and facilitate migration,” *Global Networks* 14, no. 4 (2014): 401–418; Laura Hirvi, “Multi-sited Fieldwork Amongst Sikhs in Finland and California: Reaching the Offline via the Online,” in *Where is the Field? The Experience of Migration Viewed Through the Prism of Ethnographic Fieldwork*, ed. Laura Hirvi and Hanna Snellman (Helsinki: Finnish Literature Society, 2012), 23–44.
27 Joel Aquino Maldonado, interviewed by Lourdes Gutiérrez Nájera, December 2010.
a critical source of social support.\textsuperscript{28} Not only do family members exchange posts and pictures that help them maintain their relationships across the miles, but in a state that is dependent on migrant remittances for local and regional development projects, Facebook also facilitates social support and community transparency.
Regardless of where one is located within the transnational network, Facebook is used to share knowledge. This type of information sharing reinforces the sense of communal spirit described previously. As other scholars have noted, new media technologies facilitate community building in a placeless, deterritorialized environment.\textsuperscript{29} In this way, social media sites like Facebook allow individuals to establish a “presence” despite geographic distances.\textsuperscript{30} Among the people we interviewed, Facebook is increasingly becoming \textit{the} medium through which to announce and disseminate information important to community formation and maintenance, including the passing of a loved one. These announcements posted on Facebook spread rapidly; thus, the social media platform offers users the latest news. As Claudia recounted:
More than anything, [Facebook is] used to let people know that this person has died. The person may be in the pueblo or here, in this country… They advise you that someone has died, at what time, and when. They also give you an address if there will be a rosary offered [for the deceased] and let you know when the wake will take place, and when the funeral will take place. If the body is being returned to the pueblo, they will let you know when the wake will take place. So, it’s practically to give knowledge, give information of what is happening. Since most of us are connected, it facilitates communication more easily for Yalaltecos spread out throughout the city.\textsuperscript{31}
Photographs of the deceased often accompany obituaries or death notices. In some cases, photographs are superimposed with text identifying the person and giving their dates of birth and death. At other times, there may also be emojis superimposed on the photograph. This was the case, for example, when a friend’s grandmother, Doña Enriqueta, passed away. We were alerted
\textsuperscript{28} Aida Quintar, “Redes sociales y comunidades virtuales,” in \textit{Los usos de las TICs: Una mirada multidimensional}, ed. Aída Quintar et al. (Buenos Aires: Promete, 2007): 71–85.
\textsuperscript{29} Heather Bromberg, “Are MUDs Communities? Identity, Belonging and Consciousness in Virtual Worlds,” in \textit{Cultures of the Internet: Virtual Spaces, Real Histories, Living Bodies}, ed. Rob Shields (London: Sage Publications, 1996), 143–152; Myria Georgiou, \textit{Diaspora, Identity and the Media: Diasporic Transnationalism and Mediated Spatialities} (Cresskill, NJ: Hampton Press, Inc., 2006); Pedro J. Oiarzabal, “Basque Diaspora Digital Nationalism: Designing ‘Banal’ Identity,” in \textit{Diasporas in the New Media Age: Identity, Politics and Community}, edited by Andoni Alonso and Pedro Oiarzabal (Reno, NV: University of Nevada Press, 2010), 338–349; Lynn Stephen, \textit{Transborder Lives}.
\textsuperscript{30} David J. Piacenti, Luis B. Rívs, and Josef Garrett, “Facebook Ethnography: The Poststructural Ontology of Transnational (Im)migration Research.”
\textsuperscript{31} Claudia, interview by Ana D. Alonso Ortiz and Lourdes Gutiérrez Nájera, July 12, 2016.
of her passing when her granddaughter posted a single photograph of the deceased framed in the lower corners by two sad emojis with tears running down their faces. While emojis (such as happy faces and sad faces) may be seen as trivializing content, in a context in which not everyone may be fully able to communicate effectively through writing due to language and literacy barriers, they can be powerful tools for conveying emotions. Emojis may also be used to respond quickly through the use of a pictogram with the appropriate sentiment. In the case discussed here, the emojis actually simulated real emotions around a tremendous loss that our friend could not yet verbalize. To use words to express her grandmother’s words was still too painful. The emojis could express her deep sadness and even her weeping in lieu of words and without losing meaning. Indeed, her post was easily understood, and people began to post messages expressing their condolences. Some people responded with emojis while others responded in Spanish, posting on her Facebook page. One person living in Los Angeles wrote, “God give you solace and resignation. I send you a big hug,” with a picture of an orchid attached. Another individual, living in Texas, posted, “My condolences to the family. These are difficult moments but she has passed to a better life. She was a strong woman. Rest in Peace.” Similarly, a friend living in Oaxaca wrote, “I ask God for a speedy resignation for all of you because in these moments there are no words that can console you for this loss.” Images of Doña Enriqueta continued to circulate for several days, sharing a multitude of sympathies for the grieving family.
In this fashion, Facebook extends the social fields of grief across national boundaries. For all our interviewees, Facebook provides a way to participate in the lives of those that remain in the hometown, even from afar. When scanning Facebook pages, one will find frequent postings with uploaded videos of important events and celebrations in the hometown and in Los Angeles. This is no less true of funerary practices. Eloy commented:
A while ago I mentioned video recording. Let me be clear that they are not for mere pleasure or entertainment. They are posted either here or there in the pueblo, depending on where they were recorded. If they were recorded there, it is for us to watch here, and if we recorded here for them to see there. They offer a way to share these moments. They [the people living in Yalálag] understand our situation as migrants and that it is not always easy. For example, if a family member dies in the pueblo I may not be able to accompany them there, or if someone dies here they may not be able to accompany our family members here. This type of posting is simply a way of sharing.\(^{32}\)
This type of mutual sharing across geographic space, so that community members in the U.S. and Mexico can see what is happening, is evident across postings. In one instance, after the death of an elder in the hometown, we found two side-by-side images (one on top of the other) announcing the man’s passing. One was posted in the pueblo, the other in Los Angeles. The
\(^{32}\) Eloy, interview by Ana D. Alonso Ortiz and Lourdes Gutiérrez Nájera, July 14, 2016.
top image shows a funeral procession led by a group of roughly 15 young men and one young woman, members of a brass band, playing funerary marches. Immediately behind them, and plainly visible, is a wooden coffin being carried on the shoulders of several men. Behind them a large crowd is carrying white flowers. In the background stands the town’s main church, whence they began this final procession towards the burial spot in Yalalag’s cemetery. The caption underneath the image reads, “April 3, 2016, Yalalag, Mexico. Burial of Jose Fernandez Ruiz, 87 years old.”\textsuperscript{33} Immediately below this, the second image uploaded in Los Angeles is dated April 2, 2016. A rectangular table draped with a blue tablecloth provides the focal point. On top of the table there is a framed photograph of the deceased and a box in the right-hand corner. Behind the table are white drapes with two white doves centered just above the photograph. The message attached to this post says, “We are grateful to all the persons who have come to show their support yesterday and this morning to prepare the rosary for the deceased, Jose Fernandez Ruiz.”\textsuperscript{34}
Our respondents suggest that this kind of communication has altered the relationships they maintain with friends and relatives from whom they are geographically separated. Facebook posts corroborate this idea. Their interactions are now mediated not only by instantaneous communication through chats and posts, but also through pictures, videos, and other rich content that has become easily accessible. Thus, while Facebook does not erase geographical distances, it eases the burden of separation, providing viewers with simulated experiences, “almost as if you were there,” to quote another interviewee.\textsuperscript{35} Indeed, we would add that while communality is strengthened through virtual bonds, it is also produced through affective ties mediated by social technologies.\textsuperscript{36} In times of personal loss, the messages conveyed are intimate, and their circulation aids in the reproduction of collective identity and a shared sentiment of belonging, despite separation across geographic space. One can only imagine the importance Facebook must play in a sociopolitical context where migrants are unable to mourn in person the passing of loved ones because they lack proper documentation or legal status.\textsuperscript{37}
\begin{itemize}
\item[33] Francisco’s Facebook page, April 3, 2016.
\item[34] Lisvella’s Facebook page, April 3, 2016.
\item[35] Dekker and Engbersen, “How social media transform migrant networks and facilitate migration.”
\item[36] See Lourdes Gutiérrez Nájera, “Reconstructing Zapotec Transnational Identities and Localities in a Virtual Environment,” in \textit{Indigenous Peoples in Urban Centers: Tracing Mobility in a Post NAFTA World}, ed. M. Bianet Castellanos and Ivonne Vizcarra Bordi, Proceedings, \textit{Cahiers DIALOG}, Cahier 2 (2012): 9–13.
\item[37] The undocumented status of immigrants in the United States was mentioned by all of our interviewees as a barrier to traveling and visiting family in Mexico.
\end{itemize}
Conclusions
In this chapter, we have focused on the ways in which the transnational perpetuation of funerary practices, intimately connected to an Indigenous expression of communality, are being reproduced and modified by Zapotec migrants living in Los Angeles to redefine borders of collective belonging. In Los Angeles, migrants continue to mourn and bury their *paisanos* following traditions, such as reciprocity following a death (*wlhue lhaollo*), they brought with them, though these are modified to accommodate an urban environment and new social context. One innovative way to express grief and mourning is through the use of social media. Indeed, the use of Facebook, a social space that facilitates fluid contact across space and time, has provided a forum for announcing deaths and expressing grief within a transnational context. The use of videos, photographs, and even emojis by community members facilitates emotional responses that are posted online. As we demonstrate, funerary rituals between Los Angeles and Oaxaca are transformed and transnationalized. At times their continued practice reaffirms communal bonds, while at other times those are challenged. The continuity of communal bonds being extended into future generations through funerary practices is yet unclear.
Bibliography
Interviews
Amado. Interviewed by Ana Alonso and Lourdes Gutiérrez Nájera. Personal interview. Los Angeles, California, July 15, 2016.
Anaís. Interviewed by Ana Alonso. Personal interview. Los Angeles, California, July 14, 2016.
Aquino Maldonado, Joel. Interviewed by Lourdes Gutiérrez Nájera. Personal Interview. Yalalag, Oaxaca, Mexico, 2010.
Claudia. Interviewed by Ana Alonso and Lourdes Gutiérrez Nájera. Personal interview. Los Angeles, California, July 12, 2016.
Eloy. Interviewed by Ana Alonso and Lourdes Gutiérrez Nájera. Personal interview. Los Angeles, California, July 14, 2016.
Federico. Interviewed by Ana Alonso and Lourdes Gutiérrez Nájera. Personal interview. Los Angeles, California, July 12, 2016.
Lourdes and Brenda. Interviewed by Ana Alonso and Lourdes Gutiérrez Nájera. Personal interview. Los Angeles, California, July 13, 2016.
Marcela y esposo. Interviewed by Ana Alonso and Lourdes Gutiérrez Nájera. Personal interview. Los Angeles, California, July 13, 2016.
Margarita. Interviewed by Lourdes Gutiérrez Nájera. Personal interview. Los Angeles, California, July 17, 2016.
Maclovio. Interviewed by Ana Alonso and Lourdes Gutiérrez Nájera. Personal interview. Los Angeles, California, July 14, 2016.
Paula and Kenia. Interviewed by Ana Alonso and Lourdes Gutiérrez Nájera. Personal interview. Los Angeles, California, July 13, 2016.
Literature
Alonso, Andoni and Oiarzabal, Pedro. 2010. *Diasporas in the New Media Age: Identity, Politics, and Community*. Reno: University of Nevada Press.
Baker, Sally. 2013. “Conceptualising the Use of Facebook in Ethnographic Research: As Tool, As Data and As Context.” In *Ethnography and Education*, 8, 2: 131–145.
Bromberg, Heather. “Are MUDs Communities? Identity, Belonging and Consciousness in Virtual Worlds.” In *Cultures of the Internet: Virtual Spaces, Real Histories, Living Bodies*, edited by Rob Shields, 143–52. London: Sage Publications, 1996.
Castellanos, M. Bianet. 2015. “Idealizing Maya Culture: The Politics of Race, Indigeneity, and Immigration among Maya Restaurant Owners in Southern California,” *Dialogo*, 18, 2: 67–78.
Dekker, Rianne and Godfried Ferghuson. 2014. “How Social Media Transform Migrant Networks and Facilitate Migration,” *Global Networks*, 14, 4: 401–418.
Día Gómez, Floriberto. 2003. “Comunidad y comunalidad.” In *La comunalidad: Modo de vida en los pueblos indios*, Tomo 1, edited by Juan José Rendón Monzón, 91–107. Mexico City: CONACULTA.
Equipo Pueblo. 1988. *Yalálag: Testimonios Indígenas*. Mexico City: Equipo Pueblo.
Fox, Jonathan and Rivera-Salgado, Gaspar, editors. 2004. *Indigenous Mexican Migrants in the United States*. La Jolla, California: Center for U.S.-Mexican Studies and Center for Comparative Immigration Studies, University of California-San Diego.
Georgiou, Myria. 2006. *Diaspora, Identity and the Media: Diasporic Transnationalism and Mediated Spatialities*, Cresskill, NJ: Hampton Press.
Gutiérrez Nájera, Lourdes. 2012. “Reconstructing Zapotec Transnational Identities and Localities in a Virtual Environment.” *Proceedings, Cahiers Dialog* 2: 9–13.
Gutiérrez Nájera, Lourdes. 2010. “Hayandose: Zapotec Migrant Expressions of Membership and Belonging.” In *Beyond El Barrio: Everyday Life in Latina/o América*, edited by Adrian Burgos Jr., Frank Guridy, and Gina Perez, 63–80. New York, NY: New York University Press.
Hirvi, Laura. 2012. “Multi-sited Fieldwork Amongst Sikhs in Finland and California: Reaching the Offline via the Online.” In *Where is the Field? The Experience of Migration Viewed through the Prism of Ethnographic Fieldwork*, edited by Laura Hirvi and Hanna Snellman, 23–44. Helsinki: Finnish Literature Society.
McLean, Cheryl A. 2010. “A Space Called Home: An Immigrant Adolescent’s Digital Literacy Practices.” *Journal of Adolescent & Adult Literacy*, 54, 1: 13–22.
Oiarzabal, Pedro J. 2010. “Basque Diaspora Digital Nationalism: Designing “Banal” Identity.” In *Diasporas in the New Media Age: Identity, Politics and Community*, edited by Andoni Alonso and Pedro Oiarzabal, 338–349. Reno: University of Nevada Press.
Piacenti, David Joseph, Rivas Luis Balmore and Garrett, Josef. 2014. “Facebook Ethnography: The Poststructural Ontology of Transnational (Im)migration Research.” *International Journal of Qualitative Methods*, 13, 1: 224–236.
Quintar, Aída. 2007. “Redes sociales y comunidades virtuales.” In *Los usos de las TICs. Una Mirada multidimensional*, edited by Aida Quintar, Gustavo Aprea, Tomás Calello, 71–85. Buenos Aires: Promete.
Rendón Monzón and Juan José. 2003. *La comunalidad: Modo de vida en los pueblos*. Mexico City: CONACULTA.
Stephen, Lynn. 2007. *Transborder Lives: Indigenous Oaxacans in Mexico, California, and Oregon*. Durham, NC: Duke University Press.
In late February last year, at around 8pm, U Pyinya Zawta, the abbot of the Mettaparami Buddhist Monastery in Buffalo, New York, asked me to go with him to the Center for Hospice and Palliative Care in Cheektowaga. In response to my question why, he dejectedly told me that the wife of one of his devotees was hospitalized and taking her last breath. We needed to perform our Buddhist prayer for her at the hospital. At around 8:30pm, a man came to the monastery and took us to the hospice center. Soon we arrived and her husband and his friends prepared seats for the monks to sit and a ritual mandala or space to chant. The monks put a *civara* (monastic robe) and other religious items on the dying woman’s chest. Then, the monks chanted a prayer in Pāli, the language of the Theravāda Buddhist sacred scriptures. While the monks were praying, she was holding the *civara*. The next morning, at around 8am, we were informed that she died peacefully in the early morning. The monks were invited again for the funerary prayer for the dead at the Center for Hospice and Palliative Care before taking the dead body to the funeral home.
This is one of fifteen death-related events I have observed and participated in, related to the traditional Buddhist practices for the dead, the treatment of dying, and funerary rites in North America in the last seven years. These observations were part of my earlier independent research.\(^1\) In all these observations, I was both an ethnographer as well as a participant. As a monk I was an insider, but as a researcher/ethnographer I was an outsider in these communities. In this chapter, I have made an attempt to integrate both insider and outsider perspectives. In addition to my observation and ethnographic account, and along the lines of autoethnographic theory,\(^2\) I also draw upon my substantial knowledge of Theravāda religiosity. The data described in this chapter is mostly derived from the Mahādhammika Vihāra in Toronto, Canada, and the Mettaparami Monastery in Buffalo, New York, U.S.A.
The word “transnational” covers a wide range of issues, topics, and agendas. Here, I simply see transnational as an idea that transcends the
---
\(^1\) A portion of this study was presented at the Finnish Anthropology Conference, University of Tampere, May 16–17, 2013.
\(^2\) Heewon Chang, *Autoethnography As Method* (Walnut Creek, CA: Left Coast Press, 2008).
notion of nationality and state and its use to refer to immigrant people, in this case Burmese, living in another country without complete detachment from their country of origin. I also use it to understand how the practices of death are negotiated transnationally by Burmese immigrants in North America. Like other Asian diasporas in the West, most members of the Burmese diaspora also maintain strong cultural, economic, social, and religious links to their home country. As in the country of their origins, they have common religious/spiritual leaders. Although the monks live in a different country, their religious practices remain the same, except for some minor changes.
The above story demonstrates that death does not just represent a concept, social practice, and ideology but also cultural imaginaries of a Burmese Buddhist community in North America. It also suggests that the rituals and rites associated with death and for the dead are central religious components. Interpreting Buddhism and death, George Bond rightly argues that “death has a paradoxical status in Theravāda Buddhism for it stands both at the heart of the human predicament and at the heart of the solution to that predicament.” The concepts of life and death are central in Buddhist philosophy and concerns as suggested by Cuevas and Stone. Jan Assmann describes death as the “origins and center of culture,” while Marcel Mauss considers death to be the “social fact.” Both Mauss’s and Assmann’s statements carry profound insight and particular relevance to the study of death in transnational Buddhist social history.
Throughout the history of Buddhist civilization in Asia, death is the center of human inquiry, reflection, meditation, practice, and appreciation. The notion of death is central to the philosophy of the Pāli Canon, the texts of the Theravāda. The Pāli texts view death as the disintegration of life. The Pāli discourses state that non-enlightened individuals are subject to repeated death and rebirth, but an enlightened person (an arahant) is described as being beyond death and rebirth. The Buddha and his immediate disciples are said to have attained the state of deathlessness, whereby they destroyed the need to take future rebirth (*punabhava*). The biography of the Buddha describes that, along with other factors of life such as aging and illness, the image of death made Prince Siddhattha leave his palace and embrace the ascetic life in order to find liberation from death. At the age of thirty-five, Prince Siddhattha was liberated from death when he attained Buddhahood and *Nibbāna* (Sanskrit: *nirvāṇa*). For Buddhists, the cause of death is rebirth, which itself is born of ignorance and craving for the continuity of
---
3 George Bond, “Theravada Buddhism’s Meditations on Death and the Symbolism of Initiatory Death,” *History of Religions* 19, no.3 (February 1980): 237.
4 Brian Cuevas and Jacqueline Stone, ed., *The Buddhist Dead: Doctrine, Practices and Representations* (Honolulu: University of Hawai’i Press, 2007), 12.
5 Jan Assmann, *Death and Salvation in Ancient Egypt*, trans. D. Lorton (Ithaca and London: Cornell University Press, 2005), 1; Marcel Mauss, *The Gift: The Form and Reason for Exchange in Archaic Societies*, trans. W.D. Hall (London: Routledge, 1990), 3.
6 Bhikkhu Bodhi, *A Comprehensive Manual of Abhidhamma* (Seattle, WA: PBS Pariyatti Editions, 2000), 210–223, 336.
the existence of life. If there is no birth, there is no death. Employing a wide range of textual, anthropological, ethnographic, liturgical art, and historical sources, scholars of Buddhism have recently begun to study the Buddhist concept of death and ritual practices.\textsuperscript{7} These studies on Buddhist death argue that death is fundamentally human and central to all forms of Buddhism, including its moral and political institutions. In the Burmese immigrant religious world, the honoring of the dead and proper funerary practices are as vital in importance as they are in Myanmar itself.\textsuperscript{8}
Since death in Buddhism encompasses a broad spectrum of aspects, in this chapter I focus on only three which are particularly important to Theravāda Buddhist communities in North America: namely, 1) pre-death customs, 2) funeral practices, and 3) post-funeral rituals. Special focus is given to the roles of the immigrant monks and monasteries and how they respond to death, negotiating between the living and the dead through ritual enactments and prayers for the dead. In so doing, I want to illustrate how Burmese Buddhism in North America has assimilated to North American society in the light of displacement, adaptation, and integration. As they are directly interrelated, I use the terms “funeral rites,” “death rituals,” and “mortuary ceremonies” to cover the full spectrum of Burmese Buddhist responses and practices related to death.
\textit{The Burmese Buddhist diaspora in North America}
Regardless of their different ethnicities, the majority of settled immigrants in North America from Myanmar are Theravāda Buddhists. Theravāda Buddhism is the predominant religion in Myanmar, Sri Lanka, Thailand, Laos, Cambodia, Bangladesh, and Nepal.\textsuperscript{9} The word Theravāda is derived
\textsuperscript{7} Alan Klima, \textit{The Funeral Casino: Meditation, Massacre, and Exchange With Death in Thailand} (Princeton: Princeton University Press, 2002); Karma Lakse Tsomo, \textit{Into The Jaws of Yama, Lord of Death: Buddhism, Bioethics and Death} (Albany: State University of New York Press, 2006); Jacqueline Stone and Mariko Walter, \textit{Death and Afterlife in Japanese Buddhism} (Honolulu: University of Hawaii Press, 2009); Rita Langer, \textit{Buddhist Rituals of Death and Rebirth: Contemporary Sri Lankan Practice and Its Origins} (London and New York: Routledge, 2007); Margaret Gouin, \textit{Tibetan Rituals of Death} (Abingdon and New York: Routledge 2010); Paul Williams and Patrice Ladwig, eds., \textit{Buddhist Funeral Cultures of Southeast Asia and China} (Cambridge: Cambridge University Press, 2012); Erik Davis, \textit{Deathpower: Buddhism’s Ritual Imagination in Cambodia} (New York: Columbia University Press, 2016).
\textsuperscript{8} Melford E. Spiro, \textit{Buddhism and Society: A Great Tradition and Its Burmese Vicissitudes} (University of California Press), 1981, 248–254.
\textsuperscript{9} Sukomal Choudhuri, \textit{Contemporary Buddhism in Bangladesh} (Calcutta: Atisha Memorial Pub Society, 1982); Donald Swearer, \textit{The Buddhist World of Southeast Asia} (Albany: State University of New York Press, 1995); Sarah LeVine and David Gellner, \textit{Rebuilding Buddhism: The Theravada Movement in Twentieth-Century Nepal} (Cambridge and London: Harvard University Press, 2005); Asanga Tilakaratne, \textit{Theravada Buddhism: The Ways of Elders} (Honolulu: University of Hawaii Press, 2012).
from the Pāli compound words: *thera* (elders) and *vāda* (doctrine, ways, words, or advice). The followers of Theravāda trace their religious identity to the historical Gotama Buddha himself and his immediate disciples, although the usage of Theravāda still remains highly ambiguous and contentious in modern historical research.\(^{10}\) Without knowledge of its historical formation and gradual development, Burmese Theravāda is adamantly believed in North America to be the oldest surviving institutionalized Buddhist tradition. For Burmese immigrants, Theravāda is not just an idea or religion, but also an ethno-political identity.
Similar to other Buddhist traditions today, Theravāda is also taking root globally, including in North America, Europe, and Australia, breaking barriers of geographic distinction, nationality, and ethnic background.\(^{11}\) This global expansion of Theravāda—as well as the migration of Theravāda monks to the West, their resettlement and reconstruction of the new Theravāda Buddhist identity in the West—is what one may call “transnational Theravāda.” Accordingly, transnational Theravāda is represented by a group of international Theravāda communities living in the West, collaboratively working together for the preservation of Theravāda principles, values, and practice. Because of the geographical proximity to Asia and Theravāda identity, Burmese Buddhist belief and practice are fundamentally connected to the Buddhist practices of Sri Lanka, Thailand, Laos, Cambodia and Bangladesh. Hence, the Burmese Theravāda community cooperates with other Theravāda communities. For example, Sri Lankan Theravāda shares many commonalities with Burmese Theravāda, and they support and participate in each other’s religious events in enclaves, such as in Toronto.
The majority of the Buddhist population in North America consists of Asian immigrants and political refugees. President Lyndon Johnson’s 1965 Immigration Reform Act allowed many religious figures of the world to migrate to the United States for religious freedom, helping the U.S. to arguably become the most socially, culturally, and religiously diverse nation.\(^{12}\) Following this immigration policy of liberalization, like millions of Laotian,
---
\(^{10}\) Peter Skilling, “Theravāda in History,” *Journal of the Institute of Buddhist Studies*, 11 (November 2009): 61–94.
\(^{11}\) Christina Rocha and Michelle Barker, eds., *Buddhism in Australia: Tradition in Change* (New York: Routledge, 2011); Robert Bluck, *British Buddhism: Teachings, Practice and Development* (New York: Routledge, 2006); Joseph Cheah, *Race and Religion in American Buddhism: White Supremacy and Immigrant Adaptation* (Oxford: Oxford University Press, 2011); Janet McLellan, *Many Petals of the Lotus: Five Asian Buddhist Communities in Toronto* (Toronto: University of Toronto Press, 1999); Paul Numrich, *Old Wisdom in the New World: Americanization in Two Immigrant Theravada Buddhist Temples* (Knoxville: University of Tennessee Press, 1996); Windy Cadge, *Heartwood: The First Generation of Theravada Buddhism in America* (Chicago: University of Chicago Press, 2004); John S. Harding, Victor Sōgen Hori, and Alexander Soucy, eds., *Wild Geese: Buddhism in Canada* (Montreal and Kingston: McGill–Queen’s University Press, 2010).
\(^{12}\) Diana Eck, *A New Religious America: How a “Christian Country” Has Become the World’s Most Religiously Diverse Nation* (New York: HarperCollins, 2001).
Cambodian, and Vietnamese refugees in the 1970s,\textsuperscript{13} thousands of Burmese Buddhist (and also non-Buddhist) refugees were relocated and resettled in the U.S., particularly in the aftermath of the Saffron Revolution in 2007. There they established many religious institutions, social organizations, temples, and meditation centers.\textsuperscript{14} According to unofficial surveys, there are more than 100 Burmese temples and meditation centers across the United States. Although the San Francisco Bay Area and counties in the Los Angeles area in California are the two largest Burmese diasporas living outside of Myanmar, sizable Burmese communities are found in many metropolitan areas in New York, Denver, Phoenix, Fort Wayne, Boston, Seattle, Miami, Chicago, Washington, D.C., Houston, and Atlanta. Other smaller groups are located in many major cities and towns across the country, where they have recreated their own social and political institutions in contemporary American religious history. When Burmese refugees resettled in America, along with their culture, tradition, and social norms, they also reestablished cultural organizations, religious institutions, and temple networks through which they rebuilt Burmese Buddhism in America. Many people in the West interested in Buddhism, especially its traditions of meditation, have played roles in rebuilding Burmese Buddhism in North America. Many Western converts to Buddhism and sympathetic Buddhists alike have contributed to the establishment of monasteries, mostly by means of financial assistance. Many self-defined Western Buddhists or people who like the contemplative aspect of Buddhism regularly come to temples for weekly meditation.
The history of Buddhism in Canada is similar to the history of Buddhism in the United States. As in the U.S., most Buddhists in Canada are also Asian immigrants. With the explicit advocacy of the multiculturalism policy and cultural diversity in the 1970s by Prime Minister Pierre Trudeau, many immigrants from Buddhists countries arrived in Canada.\textsuperscript{15} Along with Tibetan, Japanese, and Chinese Buddhists, many Theravāda immigrants from Cambodia, Laos, Thailand, Sri Lanka, and Myanmar came to Canada and transplanted the seed of Buddhism. However, a large number of Canadians are already also practicing Buddhism. The academic study of Buddhism in Canada by social scientists and scholars of religion is new and largely dominated by Chinese, Japanese, Tibetan, Cambodian, Laotian, Sri Lankan,
\textsuperscript{13} Penny Van-Esterik, \textit{Taking Refuge: Lao Buddhists in North America} (Toronto: York Lanes Press, 1992); Janet McLellan, \textit{Cambodian Refugees in Ontario: Resettlement, Religion, and Identity} (Toronto and London: University of Toronto Press, 2009); Kathryn Poethig, “Locating the Transnational in Cambodia’s Dhammayātrā,” in \textit{History, Buddhism, and New Religious Movements in Cambodia}, ed. John Marston and Elizabeth Guthrie (Honolulu: University of Hawai’i Press, 2004), 171–197; Carola A. Mortland. \textit{Cambodian Buddhism in the United States} (Albany: State University of New York, 2017).
\textsuperscript{14} Cheah, \textit{Race and Religion in American Buddhism}, 80–128.
\textsuperscript{15} Victor Hori, “How Do We Study Buddhism in Canada,” in \textit{Wild Geese: Buddhism in Canada}, ed. John Harding, Victor Sōgen Hori and Alexander Soucy (Montreal and Kingston: McGill-Queen’s University Press, 2010), 27.
and Vietnamese Buddhism.\textsuperscript{16} Despite the news about Burmese refugees in Canadian media and in popular public discourses, the subject of Burmese Buddhism in Canada has unfortunately not begun to draw much scholarly attention. Except for one article, there are no scholarly contributions to the study of the Burmese Buddhist community in Canada.\textsuperscript{17} For the history of Burmese Buddhist immigrants and temple history in Toronto, I have relied totally on their oral history and the publications of temples.
In order to fulfill the need for religious/spiritual services for the lay communities, the migration of Theravāda monks to Canada has continuously taken place. This has necessitated establishing places for worship, social gatherings, religious ceremonies, events, and activities. As Burmese immigration has increased across Canada, the number of monasteries has also increased. There are four Burmese monasteries: Mahādhammika Vihāra in Toronto, Ontario; Manawmaya Theravada Buddhist Society in British Columbia; the Buddhist temple in Calgary, Alberta; and the monastery of the Burmese Buddhist Community in Saskatoon, Saskatchewan. As in their country of origin, these Burmese monasteries celebrate many religious and cultural events, such as Burmese New Year, water festivals, the \textit{kathina} (offering robe-ceremony to the monks), \textit{Abhidhamma} recitation day, and ordination ceremonies in which laypeople become temporary monks. Like in Myanmar, they celebrate the \textit{wasa} festival (the first sermon of the Buddha) in July. During this time, the Burmese monks enter into a three-month rain retreat.
Before analyzing the three customary practices of death among the Burmese Buddhist immigrants, the research sites of Mahādhammika Vihāra in Toronto, Canada, and Mettaparami Monastery in Buffalo, U.S., are introduced to provide context for this study.
\textit{Mahādhammika Vihāra in Toronto}
For Burmese Buddhist immigrants, monasteries are the main sites for maintaining and enhancing their religion and culture. The temple and its community also help the bereaved family through a variety of death-related services, including chanting, funerary feeding, prayers, the memorial service, sermons, and caregiving. In fact, most post-death rituals are performed at the temple. To meet this need, the Mahādhammika temple was first established in 1989 by a few devoted Burmese Buddhists. The Burma Buddhist Association of Toronto’s Mahādhammika Vihāra is one of the oldest and largest Burmese Buddhist networks in Canada. The old monastery was
\textsuperscript{16} See also Deba Mitra Bhikkhu, \textit{Dhamma Education: The Transmission and Reconfiguration of the Sri Lankan Buddhist Tradition in Toronto}, Ph.D. diss. (Waterloo: Wilfrid Laurier University, 2010); John Harding, Victor Sōgen Hori and Alexander Soucy, eds., \textit{Flowers on the Rock: Global and Local Buddhsisms in Canada} (Montreal and Kingston: McGill–Queen’s University Press, 2014).
\textsuperscript{17} Bandu Madanayake, “Sri Lankan and Myanmar Buddhism,” in \textit{Asian Religions in British Columbia}, eds. Larry DeVries, Don Baker, and Dan Overmyer (Vancouver: The University of British Columbia, 2010), 136.
much smaller and unable to accommodate more people. As the number of Burmese immigrants in Ontario increased, they needed a place for bigger communal gatherings and Buddhist ceremonies and events. In 2004, the temple moved permanently to North York, northwest of Toronto. The main shrine hall of the Mahādhammika temple is decorated with colorful murals painted by a local Burmese artist, depicting the Burmese iconographic imagination of the biographical life of the Buddha. The murals and images of the Buddha provide visitors with a vivid visual experience of Burmese Buddhist religious life and ritual cosmology. As of 2015, three monks reside at the temple: U Kovida, U Nandavamsa, and U Nandasiri. The latter two divide their time between Canada and Taiwan, spending six months in each place. Beside religious services, U Kovida played a critical role after the Saffron Revolutions in 2007, campaigning for democracy in Myanmar. He was also one of the founding members of the International Burmese Monks Organization.
**Mettaparami Monastery in Buffalo, New York**
To meet the spiritual needs of Burmese refugees in the area, the Mettaparami Monastery was first opened in Utica, New York, in 2008. It moved to Brooklyn in 2010, and then it relocated permanently to Buffalo in 2013. The Venerable U Pyinya Zawta is the founder and spiritual director of the temple. Many Western converts and sympathetic Buddhists helped to establish the monastery. The other two founding monks have left the monkhood. Buffalo is the second largest home of Burmese immigrants in the state of New York, and it has three temples. As a monastic democracy activist and former political prisoner, U Pyinya and the other monks of the All Burma Monks’ Alliance (ABMA) also played an important role during the Saffron Revolution in 2007.\(^{18}\) Upon arriving in the United States in 2008, U Pyinya traveled across North America, giving talks on the political crisis and the need for democracy in Myanmar. The ABMA and the Mettaparami Monastery have helped more than 200 political prisoner monks in Myanmar, and most of them are now free. As transnational religious institutions, the Mettaparami Monastery and Mahādhammika Vihāra have helped – and are still helping – the Burmese religious diaspora to reaffirm and strengthen their Buddhist faith.\(^{19}\) Thus, Burmese Buddhism is no longer a national religion in Myanmar but a transnational Buddhism. The daily practice of Buddhism has
---
\(^{18}\) See Susie Poppick, “The Last of the Saffron Monks: A Group of Exiled Burmese Monks as They Research America for a New Sense of Purpose,” *First Things*, January 2011. https://www.firstthings.com/article/2011/01/saffron-monks (Accessed April 15, 2017.)
\(^{19}\) The largest transnational Burmese religious networks in America are the America-Burma Buddhist Association (ABBA) established in New York in 1981, the Burma-America Buddhist Association (BABA) in Maryland in 1981, the Burmese Buddhist Association of Chicago (BBA) in Chicago in 1984, the Theravada Dhamma Society of America (TDSA) in 1996 in Texas, and the Dhammaloka Buddhist Society in Florida (DBS) in 2000.
been vitally important to most of the resettled Burmese in North America, just as in their country of origin. There is no significant difference between Burmese Buddhism in its country of origin and in the West. Except for some minor changes, Burmese immigrants retain exactly the same practices of Burmese Buddhism in North America. There are some inevitable difficulties faced by the monastic members and lay Buddhists. Because of work and transportation problems (due to not having a car), some lay practitioners are unable to visit the temple regularly. The monks, on the other hand, encounter some difficulties in practicing Buddhism, especially maintaining the traditional monastic discipline and practices. In Myanmar, the monks walk around to seek alms for their daily food. In North America, they cannot do this. When laypeople are unable to bring food to the temple, the monks have to cook, which is prohibited by monastic law (*vinaya*).
Some Burmese immigrants have converted to Christianity, as their resettlement was sponsored by Christian organizations in the U.S., yet also remain faithful to Buddhism and continue to participate in major traditional Buddhist ceremonies and religious events held at the temple. One distinctive character of transnational Buddhism in the Burmese religious diaspora is the mutual respect, tolerance, and support found among interreligious marriages. In the case of death, funerary rituals are conducted in both Christian and Buddhist ways. Christian priests and Buddhist monks are summoned to officiate at funerary practices. Similar to other Theravāda immigrant temples in North America,\(^{20}\) Burmese temples in Toronto and Buffalo are used as the key site for cultural preservation and the continuation and transmission of Burmese Buddhism among Burmese North Americans. Besides spiritual and religious services, temples also provide other services, such as education for children, mediation, and emergency assistance.
Burmese Buddhist death rituals are multifaceted and generally done communally, often lasting several days and nights. These rituals include diverse practices, such as chanting, preaching, offering funerary food to the community, sharing merit making/giving merit for the dead, making coffin prayers, and offering alms to the monks on behalf of the dead. All of these ritual events can be summarized in three categories: 1) pre-death customs, 2) funeral rites, and 3) post-death rituals. In all of these death rituals, the monks are involved and the Pāli language and texts are used as a medium of prayers. The ritual chanting takes place during burial, at the hospital, at home, at the temple, near the coffin, and even at the cremation ground.
**Caring for the dying: Pre- and near-death customs**
In the Burmese religious diaspora, Buddhist monks (*phongyi*) perform a pastoral role for the lay Buddhist community. In times of difficulty, such as sickness, dying, and death, the monks are sought out by family members to give emotional support to the dying and bereaved persons and to give
\(^{20}\) Numrich; Cadge; See also Cheah, “Cultural Identity and Burmese American Buddhists,” *Peace Review*, 14, no. 4 (2008): 415–419.
guidance for proper funeral services. The monks provide grief counseling, therapeutic preaching, and bereavement therapy. Most importantly, however, they provide a method for how to face death and prepare for peaceful dying, which mainstream hospice and palliative caregivers term a “good death.”\textsuperscript{21} Like the practice of transnational death in Theravāda culture in the West, preparation for a good death is an essential feature among Burmese immigrant Buddhists. It is a custom that the laypeople must invite the monks to visit the dying or sick person and perform \textit{piyit} (\textit{paritta} in Pali), or chanting, either at the hospital or at home. The dying person takes refuge in the Buddha, Dhamma (teaching of the Buddha), Sangha (monastic community), and the five precepts (\textit{pañcasīla}). The later, which form the foundation of Buddhist ethics, consist of refraining from killing, stealing, lying, sexual misconduct, and drinking alcohol.\textsuperscript{22} This is followed by prayer and blessing for the dying/sick person through ritual \textit{piyit} chanting or the Pāli sutta—the discourse of the Buddha, namely the \textit{Karaṇiyametta Sutta}, \textit{Mahāmaṅgala Sutta}, \textit{Satipatthāna Sutta}, \textit{Bojjhaṅga Sutta}, and other smaller blessing verses from the \textit{Paritta Sutta}. The custom of \textit{piyit} chanting is the universal character of the pre-death ritual in the Theravāda society of South and Southeast Asia.\textsuperscript{23} After chanting, a monk—usually the senior monk—gives a \textit{Dhamma} (spiritual) talk on how a Buddhist should act and prepare for a good death and rebirth. His talk mainly focuses on the dying person’s spiritual wellbeing.
In the spiritual talk, the monk emphasizes that the dying person should remember his/her good \textit{kamma} (Sanskrit: \textit{karma}) and meritorious deeds, such as giving donations to the temple and monks, going on pilgrimages, observing the Buddhist precepts, and leading a virtuous life. At the end of the \textit{Dhamma} talk, the dying person offers a gift or donation to the invited monks. If the sick person is unable to get up or is unconscious, the donation is offered by his or her family. For instance, at the Center for Hospice and Palliative Care in Cheektowaga, which we visited, the husband of the dying person offered the monastic robe (\textit{civara}) and a monetary donation to the monks for their services. Unlike the Japanese/Zen Buddhist community in North America, which has developed Buddhist chaplaincy programs and hospice initiatives to deal with death, as well as sick and dying persons,\textsuperscript{24} the Burmese immigrant Buddhists have never felt such a need, because the temples and monks generally provide hospice-related services for the lay
\begin{itemize}
\item[21] John Baugher, “Facing Death: Buddhist and Western Hospice Approaches,” \textit{Symbolic Interaction}, 31, 3 (2008): 261.
\item[22] See Hammawala Saddhatissa, \textit{Buddhist Ethics} (Boston: Wisdom Publications, 1997), 59–78.
\item[23] For details, see Langer, “Chanting as ‘Bricolage Technique’: A Comparison of South and Southeast Asian Funeral Recitation,” in \textit{Buddhist Funeral Cultures of Southeast Asia and China}, ed. Paul Williams and Patrice Ladwig (Cambridge: Cambridge University, 2012), 21–58.
\item[24] Jonathan Watts and Yoshiharu Tomatsu, eds., \textit{Buddhist Care for the Dying and Bereaved} (Boston: Wisdom Publications, 2012); see also Adele Smith-Penniman, \textit{Buddhist Resources in Pastoral Care}, Ph.D. diss. (Newton, Mass: Andover Newton Theological School, 2006).
\end{itemize}
community. This also applies to other Theravāda communities in North America.
For Burmese Buddhists, the moment of consciousness (*citta*), which is nothing but a series of memories (good or bad), is of paramount importance before a person dies, because this final thought-moment determines his or her future rebirth. Monks and family members, as well as close relatives, encourage the dying person to think of all of their good and meritorious deeds, even the smallest one, performed in the past. In Thailand, having a calm, peaceful, and pure mind at the moment of death is crucial for a happy rebirth because it takes away the fear of dying.\(^{25}\) A similar belief is found in Tibetan Buddhism: “One’s last thought exercises a powerful influence on one’s subsequent rebirth: dying with a calm mind full of virtuous thoughts will lead to a good rebirth.”\(^{26}\) Listening to Dhamma talks and thinking of the Buddha and Dhamma are considered to be virtuous actions, which helps the dying person to be reborn in a happy destination or a good human rebirth. Theravāda doctrinal texts support this practice of pre-death rituals and the importance of the moment of death.\(^{27}\) Rita Langer arrived at similar findings in her study of contemporary practices of death in Sri Lanka. Langer writes, “This was considered ‘the perfect death’ and it was generally agreed that he must have been reborn as a god. The fact that someone died while listening to chanting seems to be a great comfort for family members and friends and is frequently mentioned in a funeral house.”\(^{28}\) Scholars of Buddhism describe the idea of the “positive dying thought.”\(^{29}\) In Toronto, I saw non-stop chanting of the *paritta* for a 90-year-old woman who was resting on her deathbed. For her, as well as other immigrant Buddhists, it was an effective, powerful, and good way of dying.
**All ends with fire: Funeral customs and rites**
Treatment of the dead by Burmese immigrants involves crematory rites and a funerary ceremony. The funeral rites signify the final veneration for the dead, and they should be done professionally. The management, veneration, and crematory rites of a Buddhist death are articulated in Buddhist literary and archeological sources.\(^{30}\) Although the mortuary custom is considered
---
25 Phaisan Visal, “The Seven Factors of a Peaceful Death: A Theravada Buddhist Approach to Dying,” in *Buddhist Care for Dying and Bereaved*, ed. Jonathon Watts and Yoshiharu Tomatsu (Boston: Wisdom Publications, 2012), 131–148.
26 Gouin, 13–14.
27 Bodhi, 185–229; Rupert Gethin, “Bhavaṅga and Rebirth According to the Abhidhamma,” in *Buddhist Forum, Vol. III, 1991–1993*, ed. T. Skorupski and U. Pagel (London: School of Oriental and African Studies, 1994), 11–35.
28 Langer, *Buddhist Rituals of Death and Rebirth*, 12.
29 Richard Gombrich, “Merit Transference in Sinhalese Buddhism: A Case Study of the Interaction between Doctrine and Practice,” *History of Religions*, 11, 2 (1991): 257.
30 Julia Shaw, “Buddhist and Non-Buddhist Mortuary Traditions in Ancient India: Stūpas, Relics, and the Archaeological Landscape,” in *Death Rituals, Social Order*
by Burmese Buddhists to be an extremely important ritual event, there is no ancient prescriptive text of ritual manual providing descriptive references for how Burmese immigrants should conduct mortuary rites. Since there is no formal text, both the Toronto and Buffalo Burmese communities rely heavily on memory and the oral history of funeral practices conducted in Myanmar. Due to their involvement in mortuary practices back in the home country, the monks guide the laypeople on how to perform the funeral rites and cremation. They also officiate and lead the funeral services at the crematorium. As the ultimate rite of passage, the funeral rites are highly ritualized and ceremonial but less memorial in character. In fact, I have not encountered any Burmese Buddhist memorial or commemorative service; everything involves ritualization of death. Unlike, the practice of memorial services in the West, in the Burmese immigrant society there is a post-cremation event, usually after or in seven days, when the family members invite the monks and seek to generate merit on behalf of the deceased person.
Depending on economic factors and social status, funerary practices greatly vary among Burmese immigrants. Regardless of economic disparity, however, the monks must be present to perform and navigate the funeral ceremony and disposal of the dead body. The role of the Buddhist monks in funeral practices has a twofold purpose. As Frederick Shih-Chung Chen observed:
First, the priest conducts the purgatory rite for the deceased. Assisted by the efficacy of the sacred Buddhist scriptures, the priest preforms the funeral ceremony on behalf of the deceased with the aim of making him or her repent of any wrongdoings committed during his or her lifetime. Second, he represents the deceased and related family members in mediation with the Underworld Bureau.\(^{31}\)
In some cases, on the day of cremation, alms food is offered to the monks on behalf of the dead.
When a person dies, his or her family immediately calls the monks to hold a death ritual and contacts the funeral home in order to receive instructions about funerary matters. Then, the dead body is taken to the cemetery. Food, flowers, and candles are offered to the deceased, who is dressed in his or her best clothes. The time between death and cremation
\(^{31}\) Frederick Shih-Chung Chen, “Buddhist Passports to the Other World: A Study of Modern and Early Medieval Chinese Buddhist Mortuary Documents,” in *Buddhist Funeral Cultures of Southeast Asia and China*, ed. Paul Williams and Patrice Ladwig (Cambridge: Cambridge University Press, 2012), 262.
is marked by many religious and social events. In the case of the religious events, the monks are summoned for a pre-funeral rite and merit-making ceremony for the dead. This is done either at the burial place or at home, depending on suitability and communal accessibility. As for the social event, the relatives and friends visit the deceased’s home for two to three nights in order to support the bereaved family. Back home in Myanmar, I was told that astrological calculations and one’s horoscope generally determine the day of cremation. However, this practice does not apply in North America, as it conflicts with funeral home practices and leads to greater expenditures if the dead body needs to be kept for a longer period. Generally, the dead body is kept for three to four days. Burmese immigrants believe that the spirit of the deceased remains at home, and this can be frightening to people. These beliefs are imported from the home country.\textsuperscript{32} Hence, in some cases, the monks are called to recite the \textit{paritta} at home to prevent and to protect the bereaved from the spirit of the deceased.
Generally, all funeral rites commence with honoring the Buddha and taking refuge in the Triple Gem (i.e., Buddha, Dhamma, and Saṅgha), and they end with pouring of water. This is the standard formula for mortuary practice among Theravāda communities in North America. In the middle of the funeral ceremony, the \textit{pamsukūla civara} (the shroud/rag or dust-heap robe), which was placed on the top of the coffin, is offered to the monk. At the time of the Buddha in India, this \textit{pamsukūla civara} used to be the monk’s original robe.\textsuperscript{34} As Erik Davis describes, today this has become an essential part of the funeral ritual imagination and practice of Buddhists in Southeast Asia.\textsuperscript{33} In fact, it is the most important aspect of the ritual in the funerary process and practice that I have observed in Laotian and Thai Buddhist funeral rites in Colorado. In the Sinhalese diaspora, the \textit{pamsukūla civara} is replaced by the \textit{matakavatthu} (a white cloth).\textsuperscript{34} Burmese Theravāda immigrants do not use either of these. Instead of the \textit{pamsukūla}, a simple \textit{civara} (robe) is presented to the monks during the funeral services and also during the post-funeral rituals.
Next, the monks hold the coffin and chant the verse of the contemplation of death (\textit{marañassati}: \textit{aniccā/dukkha/anattā vata samkhārā// uppādavayadhammino// uppajītvā nirujjhanti/ tesamvūpasamo sukho// (“Impermanent/suffering/no-self are conditioned things// it is their nature to arise and fall// having arisen they cease// their complete stilling is happiness”), which is followed by this Pāli verse: \textit{sabbe sattā maranti ca// marimsu ca marissare// tathevāhaṃ marissāmi// natthi me etha samsayo// (“In the present every being dies// they will die in future, always died// in the
\textsuperscript{32} See Spiro, 249.
\textsuperscript{33} Erik Davis, \textit{Deathpower}, 138–155; for details, see Davis, “Weaving Life Out of Death: The Craft of the Rag-Robe in Cambodian Ritual Technology,” in \textit{Buddhist Funeral Cultures of Southeast Asia and China}, ed. Paul Williams and Patrice Ladwig (Cambridge: Cambridge University Press, 2012), 59–78. See also Mark Rowe “Contemporary Buddhism and Death,” in \textit{The Oxford Handbook of Contemporary Buddhism}, ed. Michael Jerryson (Oxford: Oxford University Press, 2017), 623–625.
\textsuperscript{34} Langer, \textit{Buddhist Rituals of Death and Rebirth}, 64.
same way then I shall surely die// there is no doubt in me regarding this”\textsuperscript{35} The religious ritual of the funerary rite concludes with the pouring of water from a cup as a solemn act. While the family and participants pour water, the monks engage in Burmese vernacular chanting and recite the following Pāli verse: \textit{Yathā vārivahā pūrā paripūrenti sāgaram// evameva ito dinnam petānam upakappati/unnamme udakam vaṭtam yathā ninnam pavattati// evameva ito dinnam petā nam upakappati//} (“Just as rivers full of water fill the ocean full, even so does what is given here benefit the dead// just as water rained on high ground moves [down] to the low land// even so does what is given here benefit the dead”). At the end, everyone utters \textit{ahmya, amhya, amhya}, meaning “I share, I share, I share.” The chanting of the Pāli verses and the offering of the robe constitute the core feature of the Burmese funeral rite in North America. Burmese Buddhists believe that through a proper religious funeral service, the dead will have a better rebirth.
At the end of the funeral rite at the funeral home, the monks and family take the dead body to the crematory. The funeral procession is very short because the body is cremated at the burial home. Like Hindus in South Asia and the Hindu diaspora in the West, Burmese Buddhists cremate their dead. Save for on a single occasion, I did not see any alternative to the Burmese Buddhist way of cremation. In Toronto, one person was buried because he was a Christian; his wife was a Buddhist. His funeral rite was conducted in accordance with both religious traditions: Christian and Buddhist. A Christian priest and a Buddhist monk performed the funeral rite together.
\textit{Merit-making for the dead: post-funeral rites}
The Burmese ritual interpretation of death offers a unique understanding of the relationships between the monks, the people, and the religion and ritual entities. More importantly, it also reveals the relationship between the dead and the living. For Burmese immigrants, functionally speaking, the social relationship between the dead and the living does not end with separation. In contrast, it reinforces social bonds and strengthens the communal relationship through ritual expressivity and performance, as we have already noted. The continual presence of the dead among the living has been recognized by social anthropologists. Brian Cuevas and Jacqueline Stone reiterate “the ongoing relationship between the dead and the living, whether mediated by religious specialists or by funerals and memorial rites, in which concern for the well-being of the deceased becomes a powerful motive for moral conduct and merit-making.”\textsuperscript{36} Additionally, the post-death/funeral rituals come to play another important role for both the deceased and the surviving family. In the Burmese community in North America, the post-death ritual occurs usually on the seventh day following death and
\textsuperscript{35} Translations are taken from Langer, \textit{Buddhist Rituals of Death and Rebirth}, 64, and Narada Thera, \textit{The Mirror of the Dhamma: A Manual of Buddhist Chanting and Devotional Texts} (Kandy: BPS, 2008), 15.
\textsuperscript{36} Cuevas and Stone, \textit{The Buddhist Dead}, 24.
continues to be performed every six months or year. The prime objective of the post-death ritual in the Burmese diaspora is to generate religious merit for the dead and the living members of the deceased’s family. Again, the Pāli chanting and the monks’ involvement remain an integral part in all these post-funerary rites. Most post-death ritual events are done communally.
Marcel Mauss’s idea of the gift\textsuperscript{37} and its communal obligations—to give, to receive and, most importantly, to reciprocate—are very helpful for understanding the Burmese desire to make merit and create good kamma. The communal practice of making and sharing merit is the main post-death ritual in South and Southeast Asia.\textsuperscript{38} The immigrant Buddhists from South and Southeast Asia have brought this practice to North America and incorporated it in their transnational death rituals.\textsuperscript{39} For making and sharing merit with the dead, again Burmese people invite the monks, offer provisions of goods to them, and listen to their spiritual talk and chanting. Whatever merits they acquire by doing this, they share with the dead and other departed relatives. Burmese Buddhists believe that it is through family members giving merit that the deceased person secures a better rebirth. They also believe that even if the departed have been reborn in an unfortunate realm, such as hell or among the hungry ghosts who subsist on the offerings of others, they can be lifted from that unpleasant state of existence through the sharing of merit by family members.
\textit{Conclusion}
Three aspects of death practice and their related rituals not only represent Burmese Buddhist religious piety but also provide emotional support, liberation, and hope to the bereaved members of the family. They also demonstrate improvisation and revitalization of Burmese Buddhism among the first generation of Burmese Buddhist immigrants in North America. Central to the Burmese Buddhist practice of death rituals and funerals in America and Canada is the belief that life does not terminate with physical death, but it is instead the opening to another life. This points to two essential facts of Burmese religious life: 1) the relationship between the living and the dead, and 2) the value of death and the afterlife. Certainly, the funeral rite in the Burmese diasporic society functions to fulfill the needs of both the
\textsuperscript{37} Mauss, 39–42.
\textsuperscript{38} John Holt, “Assisting the Dead by Venerating the Living: Merit Transfer in the Early Buddhist Tradition,” \textit{Numen} 28, no.1 (1981): 1–28; Yukio Hayashi, “The Reciprocal Help and the Sharing of Merit in a Thai-Lao village: An Anthropological Study of Theravada Buddhism in Thailand,” \textit{Sociology} 105 (1989): 65–86; Charles Keyes, “Merit-Transference in the Kammic Theory of Popular Theravada Buddhism,” in \textit{Karma: Anthropological Inquiry}, ed. Charles Keyes and Valentine Daniel (Berkeley: University of California Press, 1983), 261–287; Gombrich, “‘Merit Transference’ in Sinhalese Buddhism” (1991), 203–219.
\textsuperscript{39} Jiemin Bao, “Merit-Making Capitalism: Re-territorializing Thai Buddhism in Silicon Valley, California,” \textit{Journal of Asian American Studies} 8, no. 2 (2005): 115–142.
dead and the living. While the Buddhist ideas of death, dying, and rebirth remain unchanged, the practices of mortuary, funerary rites, mourning rituals, burial, and commemorative practices have undergone substantial changes in North America. These changes have occurred as the result of the encounter between Burmese immigrants and the funeral industries, medical institutions, hospice care providers, and mortuary economics in North America.
Temples are an important space for children to learn the fundamentals of Burmese Buddhism, culture, heritage, and language. They are not only a space for worship and quiet meditation, but also a place for social and political functions. For the Burmese religious diaspora, Buddhism is not only transnational but transcultural in its sociopolitical scope. For instance, after the Saffron Revolution, the Mahādhammika Vihāra in Toronto and the Mettaparami Monastery in Buffalo have organized many political assemblies. Often the temples also hold weddings and marriage ceremonies. Similar to how Cambodians view their temples in America, Burmese Buddhists regard their temples as a center for moral and spiritual development as well as a place for communal gathering and Burmese cultural events. Thus, these transnational temples serve as loci of symbolic unity and strength for the continuity of Burmese social and cultural integrity in diasporic society. While operating as international Buddhist networks, they also represent the uniqueness of Canadian and U.S. Buddhism, although scholars are still struggling to define what North American Buddhism is.
Through the extensive ritualization of death, funeral practices, and making merit for the departed, they maintain their distinctive Burmese Buddhist identity in North America. The rituals help them to reaffirm their Buddhist faith and reproduce Theravāda cultural values in their diasporic society. Furthermore, these death ritual events are also significantly important for both the Theravāda Buddhist diaspora and the vision of cultural diversity of North America. In terms of the former, they serve to strengthen the role of the Buddhist temple in a non-Buddhist country. However, as the second generation becomes more secular, as elsewhere and among other religious traditions in the West, despite its strong sense of religiousness, preservation, adaptation, and continuity, Burmese Buddhism in the United States and Canada will encounter serious challenges in the future, such as confusion around what is and what is not essential to the religion and its practice.
Bibliography
Assmann, Jan. 2005. *Death and Salvation in Ancient Egypt*, translated by D. Lorton. Ithaca and London: Cornell University Press.
Bao, Jiemin. 2005. “Merit-Making Capitalism: Re-territorializing Thai Buddhism in Silicon Valley, California.” *Journal of Asian American Studies*, 8, 2: 115–142.
40 Carol Mortland, *Cambodian Buddhism in the United States* (Albany: State University of New York 2017), 217.
Baugher, John. 2008. “Facing Death: Buddhist and Western Hospice Approaches.” *Symbolic Interaction*, 31, 3: 259–284.
Bhikkhu, Deba Mitra. 2010. *Dhamma Education: The Transmission and Reconfiguration of the Sri Lankan Buddhist Tradition in Toronto*. Ph.D. diss. Waterloo: Wilfrid Laurier University.
Bodhi, Bhikkhu. 2000. *Abhidhammattha Sangaha: A Comprehensive Manual of Abhidhamma*. Seattle: BPS Pariyati Editions.
Bond, George. 1980. “Theravada Buddhism’s Meditations on Death and the Symbolism of Initiatory Death.” *History of Religions*, 19, 3: 237–258.
Bluck, Robert. 2006. *British Buddhism: Teachings, Practice and Development*. New York: Routledge.
Cadge, Windy. *Heartwood: The First Generation of Theravada Buddhism in America*. Chicago: University of Chicago Press, 2004.
Chang, Heewon. 2008. *Autoethnography as Method*. Walnut Creek: Left Coast Press.
Cheah, Joseph. 2011. *Race and Religion in American Buddhism: White Supremacy and Immigrant Adaptation*. Oxford: Oxford University Press.
Cheah, Joseph. 2008. “Cultural Identity and Burmese American Buddhists.” *Peace Review*, 14, 4: 415–419.
Chen, Frederick. 2012. “Buddhist Passports to the Other World: A Study of Modern and Early Medieval Chinese Buddhist Mortuary Documents.” In *Buddhist Funeral Cultures of Southeast Asia and China*, edited by Paul Williams and Patrice Ladwig, 261–286. Cambridge: Cambridge University Press.
Choudhuri, Sukomal. 1982. *Contemporary Buddhism in Bangladesh*. Calcutta: Atisha Memorial Pub Society.
Cuevas, Brian and Stone, Jacqueline, editors. 2007. *The Buddhist Dead: Doctrine, Practices and Representations*. Honolulu: University of Hawai‘i Press.
Davis, Erik. 2016. *Deathpower: Buddhism’s Ritual Imagination in Cambodia*. New York: Columbia University Press.
Davis, Erik. 2012. “Weaving Life Out of Death: The Craft of the Rag-Robe in Cambodian Ritual Technology.” In *Buddhist Funeral Cultures of Southeast Asia and China*, edited by Paul Williams and Patrice Ladwig, 59–78. Cambridge: Cambridge University Press.
Dickie, Bryan. “Portraits of Burmese Refugees and the Things They Couldn’t Leave Behind.” Available at: https://www.vice.com/en_us/article/photos-of-burmese-refugees-and-what-they-couldnt-leave-behind
Eck, Diana. 2001. *A New Religious America: How a “Christian Country” Has Become the World’s Most Religiously Diverse Nation*. New York: HarperCollins.
Fogelin, Lars. 2013. “The Place of Veneration in Early South Asian Buddhism.” In *The Oxford Handbook of the Archeology of Death and Burial*, edited by Sarah Tarlow and Liv Nilsson Stutz, 227–240. Oxford: Oxford University Press.
Gethin, Rupert. 1994. “Bhavaṅga and Rebirth According to the Abhidhamma.” In *Buddhist Forum–Vol. III, 1991-03*, edited by T Skorupski and U Pagel, 11–35. London: School of Oriental and African Studies.
Gombrich, Richard. 1991. “Merit Transference” in Sinhalese Buddhism: A Case Study of the Interaction between Doctrine and Practice.” *History of Religions*, 11, 2: 203–219.
Gouin, Margaret. 2010. *Tibetan Rituals of Death*. Abingdon and New York: Routledge.
Holt, John. 1981. “Assisting the Dead by Venerating the Living: Merit Transfer in the Early Buddhist Tradition.” *Numen*, 28, 1: 1–28.
Harding, John, Sōgen Hori, Victor and Soucy, Alexander, editors. 2010. *Wild Geese: Buddhism in Canada*. Montreal and Kingston: McGill-Queen’s University Press.
Harding, John, Sōgen Hori, Victor and Soucy, Alexander, editors. 2014. *Flowers on the Rock: Global and Local Buddhisms in Canada*. Montreal and Kingston: McGill-Queen’s University Press.
Hayashi, Yukio. 1989. “The Reciprocal Help and the Sharing of Merit in a Thai-Lao Village: An Anthropological Study of Theravada Buddhism in Thailand.” *Sociology*, 105: 65–86.
Hori, Victor. 2010. “How do we study Buddhism in Canada.” In *Wild Geese: Buddhism in Canada*, edited by Harding, Hori and Soucy, 12–38. Montreal and Kingston: McGill-Queen’s University Press.
Keyes, Charles. 1983. “Merit-Transference in the Kammic Theory of Popular Theravada Buddhism.” In *Karma: Anthropological Inquiry*, edited by Charles Keyes and Valentine Daniel, 261–287. Berkeley: University of California Press.
Klima, Alan. 2002. *The Funeral Casino: Meditation, Massacre, and Exchange with Death in Thailand*. Princeton: Princeton University Press.
Langer, Rita. 2007. *Buddhist Rituals of Death and Rebirth: Contemporary Sri Lankan Practice and Its Origins*. London and New York: Routledge.
Langer, Rita. 2012. “Chanting as ‘Bricolage Technique’: A Comparison of South and Southeast Asian Funeral Recitation.” In *Buddhist Funeral Cultures of Southeast Asia and China*, edited by Paul Williams and Patrice Ladwig, 21–58. Cambridge: Cambridge University.
LeVine, Sarah and Gellner, David. 2005. *Rebuilding Buddhism: The Theravada Movement in Twentieth-Century Nepal*. Cambridge and London: Harvard University Press.
Madanayake, Bandu. 2010. “Sri Lankan and Myanmar Buddhism.” In *Asian Religions in British Columbia* edited by Larry DeVries, Don Baker and Dan Overmyer, 124–140. Vancouver: The University of British Columbia.
Matthews, Bruce, editor. 2005. *Buddhism in Canada*. London and New York: Routledge.
Mauss, Marcel. 1990. *The Gift: The Form and Reason for Exchange in Archaic Societies*, translated by W D Hall. London: Routledge.
McLellan, Janet. 1999. *Many Petals of the Lotus: Five Asian Buddhist Communities in Toronto*. Toronto: University of Toronto Press.
McLellan, Janet. 2009. *Cambodian Refugees in Ontario: Resettlement, Religion, and Identity*. Toronto and London: University of Toronto Press.
Mortland, Carola A. 2017. *Cambodian Buddhism in the United States*. Albany: State University of New York.
Numrich, Paul. 1996. *Old Wisdom in the New World: Americanization in Two Immigrant Theravada Buddhist Temples*. Knoxville: University of Tennessee Press.
Poethig, Kathryn. 2004. “Locating the Transnational in Cambodia’s Dhammayātrā.” In *History, Buddhism, and New Religious Movements in Cambodia*, edited by John Marston and Elizabeth Guthrie, 171–197. Honolulu: University of Hawai’i Press.
Poppick, Susie. “The last of the saffron monks: A Group of Exiled Burmese Monks as They Research America for a New Sense of Purpose.” Available at: https://www.firstthings.com/article/2011/01/saffron-monks
Rocha, Christina and Barker, Michelle, editors. 2011. *Buddhism in Australia: Tradition in Change*. New York: Routledge.
Rowe, Mark. 2017. “Contemporary Buddhism and Death.” In *The Oxford Handbook of Contemporary Buddhism*, edited by Michael Jerryson, 619–633. Oxford: Oxford University Press.
Saddhatissa, Hammawala. 1997. *Buddhist Ethics*. Boston: Wisdom Publications.
Shaw, Julia. 2016. “Buddhist and Non-Buddhist Mortuary Traditions in Ancient India: Stūpas, Relics, and the Archaeological Landscape.” In *Death Rituals, Social Order and the Archaeology of Immortality in the Ancient World*, edited by Colin Renfrew, Michael J. Boyd and Iain Morley, 382–403. Cambridge: Cambridge University Press.
Schopen, Gregory. 2006. “A Well-Sanitized Shroud: Asceticism and Institutional Values in the Middle Period of Buddhist Monasticism.” In *Between the Empires: Society in India 300 BCE to 400 CE*, edited by Patrick Olivelle, 315–348. New York: Oxford University Press.
Skilling, Peter. 2009. “Theravāda in History.” *Journal of the Institute of Buddhist Studies*, 11: 61–94.
Smith-Penniman, Adele. 2006. *Buddhist Resources in Pastoral Care*. Ph.D. diss. Newton, Mass: Andover Newton Theological School.
Stone, Jacqueline and Walter, Mariko, editors. 2009. *Death and Afterlife in Japanese Buddhism*. Honolulu: University of Hawaii Press.
Swearer, Donald. 1995. *The Buddhist World of Southeast Asia*. Albany: State University of New York Press.
Thera, Narada. 2008. *The Mirror of the Dhamma: A Manual of Buddhist Chanting and Devotional Texts*. Kandy: BPS.
Tilakaratne, Asanga. 2012. *Theravada Buddhism: The Ways of Elders*. Honolulu: University of Hawaii Press.
Tsomo, L. Karma. 2006. *Into the Yama, Lord of Death: Buddhism, Bioethics and Death*. Albany: State University of New York Press.
Van-Esterik, Penny. 1992. *Taking Refuge: Lao Buddhists in North America*. Toronto: York Lanes Press.
Visal, Phaisan. 2012. “The Seven Factors of a Peaceful Death: A Theravada Buddhist Approach to Dying.” In *Buddhist Care for Dying and Bereaved*, edited by Jonathon Watts and Yoshiharu Tomatsu, 131–148. Boston: Wisdom Publications.
Watts, Jonathan and Tomatsu, Yoshiharu, editors. 2012. *Buddhist Care for Dying and Bereaved*. Boston: Wisdom Publications.
Williams, Paul and Ladwig, Patrice, editors. 2012. *Buddhist Funeral Cultures of Southeast Asia and China*. Cambridge: Cambridge University Press.
Wilson, Liz. 2003. “Human Torches of Enlightenment: Autocremation and Spontaneous Combustion as Marks of Sanctity in South Asian Buddhism.” In *Living and the Dead: Social Dimensions of Death in South Asian Religions*, edited by Liz Wilson, 29–50. Albany: State University of New York.
Moroccan and Senegalese migration to Catalonia (Spain) started in the nineteen-seventies. It is estimated that the majority of Moroccans and Senegalese who died during this four-decade period were repatriated to their homeland. Yet why have these groups, with a long-standing presence in Catalan society, continued to send their deceased back to their country of origin? This chapter examines “reverse migration” in the form of corpse repatriation as a component of cross-border relations between the migrants’ origin and settlement countries. Repatriation is a complex process to manage, and it incurs a high cost, both in economic terms and because community solidarity must be activated. Its analysis requires the development of a transnational perspective that understands the moving of a body as part of an intense circulation of material goods and symbolic universes.
This chapter follows the work of the two authors on the Moroccan and Senegalese communities in Catalonia and how they respond to circumstances connected to death in migration. Jordi Moreras has conducted fieldwork among the Moroccan communities in the framework of a long-standing study on Islam in Catalonia.\(^1\) Ariadna Solé based her doctoral dissertation on what she calls transnational funerary rituals, as reflected in Catalonia and the region of Kolda in Senegal; this research was a multi-sited ethnography conducted both in Catalonia and in Senegal.\(^2\) Together, the authors have analyzed the spaces that Spanish and Catalan town halls have allocated for Muslim burial and how these institutions manage religious diversity in relation to burial spaces and funerary rituals.\(^3\) Research was conducted using
---
1 Jordi Moreras, *Musulmanes en Barcelona: espacios y dinamicas comunitarias*. (Barcelona: Cidob Edicions, 1999); Jordi Moreras, *Musulmans a Catalunya. Radiografia d’un islam implantat*. (Barcelona: Institut Europeu de la Mediterrània, 2008); and Jordi Moreras, ed. *Diaspores i rituals. El cicle festiu dels musulmans de Catalunya*. (Barcelona: Generalitat de Catalunya-Inventari del Patrimoni Etnologic de Catalunya, 2017).
2 Ariadna Solé Arraràs, *Rituals funeraris islamics transnacionals. La repatriació de difunts entre Catalunya i Kolda (Senegal)*. (Barcelona: Universitat de Barcelona, 2015).
3 Moreras and Solé Arraràs 2014.
ethnological, qualitative methods that include documentation (on Catalan and local laws, Islamic *fatwas*, etc.) and semi-structured interviews.\(^4\)
According to the latest demographic census (2017), 206,779 Moroccans and 20,273 Senegalese live in Catalonia, which has a total population of 7.5 million.\(^5\) For Moroccans, Catalonia and the city of Barcelona began as pathways to other parts of Europe (France, Belgium, and the Netherlands). However, over the years, Catalonia itself became a destination for Moroccan workers. Family reunification started two decades later, and today Moroccans are the main foreign group in Catalonia (and in Spain). Since the early 2000s, Spain, and particularly Catalonia, has become a popular destination for Senegalese migrants, many of them coming from the region of Kolda in southern Senegal. The vast majority of migrants from Kolda arrived in Catalonia in the first decade of the 21st century and mostly through “irregular” entry.\(^6\) Both Moroccans and Senegalese are primarily Muslims, and this raises the question of how cultural and religious diversity has been incorporated into funeral services and burial places in Catalan society.
The aim of this chapter is to explain by means of a threefold analysis the shared preference of Moroccans and Senegalese for returning the deceased to their respective countries of origin. We first analyze the costly and bureaucratically complex procedures that repatriation entails; secondly, the principle of symbolic reappropriation that is implicit in this practice; and, lastly, the mechanisms of community solidarity activated among these groups at times of death. We understand the repatriation of the dead as a transnational ritual that includes three types of processes: genealogical reconstruction, symbolic reappropriation, and community reciprocity (or solidarity).
Our hypothesis is that repatriation is not an evasive response to the difficulties of being buried in Europe in accordance with Islamic requirements, but rather that it is the expression of a desire for genealogical reconstruction and an occasion for identity expression and “community building.” Death becomes the last chance for a migrant to be reconciled with their family history, even if it means going against Islamic doctrine. This requires the development of a ritualization of repatriation of deceased migrants. Repatriation has to be considered as part of the funerary ritual itself and a mechanism for reinforcing migrant communities, which are based both on religious identity and common origin.
---
4 This project of analyzing the social and cultural implications of the repatriation of deceased migrants is shared with our colleague Sol Tarrés (Huelva University, Spain) in the framework of the international project “Morts en contexte migratoire (MEMCI)” (2017–2020), coordinated by Professor Lilyane Rachédi (UQAM) and financed by ANR-FRSCQ (Québec-Canada) and CNRS (France).
5 Furthermore, 60,620 people of Moroccan origin and 2,629 people of Senegalese origin who have acquired Spanish citizenship in the last decade must be added to these figures. See Statistics National Institute, www.ine.es, accessed May 10, 2017.
6 We prefer to use the term “irregular migrants” rather than “illegal migrants,” since entering Spain without a proper permit is considered an administrative offense and not a criminal offense.
Genealogical death: Between group loyalty and religious observance
In his classic essay on the stranger, Alfred Schutz wrote that “graves and reminiscences can neither be conquered nor transferred.” He was referring to the individual nature of everything a person feels outside their country, which necessarily shapes their identity: the fact of living far from their most intimate references, periodically recalling them in the company of other displaced compatriots, and cherishing the consolation of recreating them in order to be able to pass them on to new generations. For society, the foreigner is an unknown person – a “man without history,” in Schutz’s words – because his footprint is still very recent. Not having shared the history of this society, the foreigner can only be evaluated by their current actions. The foreigner’s desire to reclaim their original community references is, on occasion, seen as a breach of the tacit and permanent commitment to their integration as an individual and as part of a group. Without their memory being recognized, and given the weight of present obligations, foreigners may find that life paths are the only capital granted to them to assert their uniqueness.
We think that for a foreigner, death is a way to connect oneself, perhaps for the last time, with a memory of their past, with a genealogy that involves the individual and those close to them, whether they are in the host society or the place they once left behind. Depending on the way the person has lived before, after having emigrated, death can pose a significant dilemma.
Death does not often figure into the plans a person makes before emigrating. Abdelmalek Sayad highlighted the fact that death reverses some of the suppositions involved in the emigration-immigration duality. For Sayad, the death of the immigrant is a death that causes discomfort for all involved, as it is unclassifiable and asks questions of everyone on the dual condition of the immigrant person “here” and the emigrant from “there.” Approaching the issue of dying “away from home,” a colloquial expression that acquires an ambiguous meaning when a person has immigrated to another country, means going deeper into the knowledge of migration processes, especially the kinds of relationships maintained with the society of origin and constructed in the host society. Paradoxically, death serves to insist – for the last time in someone’s life – on the links made by the “emigrant/immigrant” (in Sayad’s words) in one or the other direction. The same is true of the level of responsibility assumed by the immediate social
---
7 Schutz, Alfred “The Stranger: An Essay of Social Psychology,” Conference at the New School for Social Research (1945).
8 The tragedy of those who have perished attempting to cross the Mediterranean through the Strait of Gibraltar or via other maritime routes should not be buried in collective European amnesia. The photographer Sebastián Conejo’s work on the unnamed gravestones in the cemetery in Tarifa are a challenge to the memory of these people, see, http://www.diariosur.es/v/20111129/campo-gibraltar/desafio-memoria-20111129.html, accessed August 30, 2018.
9 Sayad Abdelmalek, “Preface,” in Lémigre et la mort, ed. Yassine Chaib (Marsella: CIDIM / Edisud, 2000), 9.
network (family, friends and acquaintances, and the reference community in general) upon the death of one of its members. Death is thus an important occasion for identity expression for both individuals and groups.
It is well known that death has a dimension that is more social than intimate, and its biological component is transcended by the cultural meanings that endow it with social purpose.\(^{10}\) Perhaps death in the migratory context includes those significant components to a greater degree than in the case of those buried in the same town where they were born. What is different is the degree of social responsibility that seems to be established within communities of foreigners in relation to the loss of one of their members.
First, it is understood among both Moroccan and Senegalese families that the relatives of the deceased are responsible for providing care and fulfilling ritual obligations. In the migratory context, with family being absent or only reconstructed on a nuclear model – that is, without relations based on the extended family – other members of the migrant community often end up taking on the responsibility for the care of the deceased. In such a way, the structures of solidarity that are activated have an undeniable component of reciprocity, as it is understood that the support offered will be returned in the future. The fact that this solidarity is conditioned by a scarcity of resources due to the (more or less precarious) wage-worker condition of the majority of the members of migrant communities gives greater significance to the expression of common efforts to attend to the death of one of its members.
In this context, it is important to bear in mind that the first initiatives developed by the Moroccan and Senegalese communities in Catalonia to address the death of their members were not oriented toward Muslim burial solutions, but to facilitating the body’s transfer to the country of origin. This is still the case. Requests for Muslim cemeteries form part of their claims, but the fact is that repatriation remains the first option considered. That this option is maintained, even when both groups have been demographically settled for decades, suggests that the allegiance aspect of the act of repatriation of the dead remains very strong.\(^{11}\)
Second, and as a consequence of the above, relatives and friends must decide what should be done when the deceased has not expressed their last wishes. By understanding that the issue of repatriating the body becomes a community responsibility and that it is the default option chosen, in spite of involving significant expenses and the transgression of religious rules, we may also understand the extent to which the death of a group member represents the strength of the community’s solidarity structures.
\(^{10}\) Antonius Robben, *Death, Mourning and Burial: A Cross-Cultural Reader* (London: Wiley-Blackwell, 2005).
\(^{11}\) In other work, we have proposed that the increase of demands by Muslims in the early 2000s to obtain a place in the cemeteries to bury their deceased is the result of a general claim of recognition of Muslim religious rights in Spain. See, Sol Tarres and Jordi Moreras, “Topografía de la otra muerte. Los cementerios musulmanes en España (siglos XX–XXI),” in *Religio in labyrintho*, ed. Jose J. Caerols (Madrid: Sociedad Española de Ciencias de las Religiones-Escolar y Mayo Editores, 2013).
Third, in line with this principle of community responsibility, it is understood that the handling of the deceased (the elements of Islamic thanatopraxy, from the farewell ceremony to the processing and accompanying of the body to its final destination) should remain in the hands of the members of the group, especially the closest relatives. Funeral homes usually provide Muslim communities with access to their facilities so that they may perform the ritual cleansing of the body, and it is members of the family or the community that perform the ritual. There are also unavoidable administrative procedures related to the transport of the body. When it comes to financing repatriation, cooperative initiatives set up by the communities themselves are usually preferred to insurances or bank loans.
Fourth, it is to be expected that a person who has lived in accordance with the precepts formulated by Islamic doctrine and membership in a Muslim community will also want their death to be in keeping with these. In fact, cleansing the body of the deceased and holding communal prayer, which are the two fundamental principles of the Islamic funeral ritual, are performed for most of the deceased, whether the person is buried where they died or repatriated to their country of origin. There is intense doctrinal debate on the issue of whether to follow the Islamic stricture that a Muslim be buried where they die (see “no soul perceives what it will earn tomorrow, and no soul perceives in what land it will die,” in Quran 31:34) or to guarantee that their burial is carried out correctly in a Muslim country (or, by default, in a non-Muslim one, in accordance with clear requirements). The overwhelming prevalence of repatriation requires further examination, because it is rarely viewed as a transgression, despite contradicting doctrinal principles.
According to Atmane Aggoun, repatriation is a way of respecting the genealogical order by being buried alongside one’s family graves in the place of origin.\(^{12}\) The ideological sentiment expressed in this choice to be transported to the place of birth has more components of national and cultural affiliation than religious devotion. Death becomes the last occasion to be connected with one’s family history and homeland. In the decisions that lead to repatriation, the attraction of a never-forgotten land seems to prevail over loyalty to religious instructions. According to Chaïb, the body is a “genealogical support, a proof of identity,” and death is a chance to perform a process of “genealogical repair” and “reappropriation of the individual life path.”\(^{13}\) It is a desire that is often fed by the fear of dying a long way from the family unit and worrying that in the future one may be forgotten in its memory.
Finally, however, death may also be presented as proof of the deceased having established roots in the society in which they arrived some time before. This society may take comfort in the fact that the last desire expressed by the deceased – to be buried in the country to which they emigrated – is the perfect culmination of a process of integration begun in life. This produces
---
12 Atmane Aggoun, *Les musulmans face a la mort en France*. (Paris: Espace ethique, 2006), 77.
13 Yassine Chaïb, *L’émigre et la mort*. (Marsella: CIDIM / Edisud, 2000), 23.
an idealized recreation of a process that is interpreted in a linear, cumulative way and which depends, in the end, on the will of the person involved. It is well known that social integration processes are much more complex. Nevertheless, making the decision to be buried on different soil than where one was born provides a dual proof: the testimony of the deceased to belong to the adopted society, by means of their last wish, and the conditions the society has provided for immigrants to feel part of it, whether in life or death.
The death of migrants presents host societies with the challenge of adjusting services, legislation, and structures to meet this new reality. In a paradoxical way, death reminds societies of migrants’ presence through their absence, and it becomes a test of these societies’ capacities to provide response mechanisms and generate a sufficiently strong feeling of belonging in all those who settled there. Behind the idea that closely connects burial with integration (as opposed to repatriation) is the question of immigrants’ loyalty to the society that welcomed them. The same is true when we speak of repatriation: the genealogical reclamation of family references is proof of the continued existence of strong loyalty to the society in which they were born and one day left. In both senses, the decision the individual makes may be read as a slight against one or the other type of belonging. That is why the community normally plays an important role in the decision-making process, especially in the case of the death of a person without close family members, and the social pressure that positions repatriation as the most appropriate option, as evidenced in the Moroccan and Senegalese communities analyzed here. As explained by a leader of a religious Senegalese association: “Often it’s [members] of the family of the deceased […] who are the legitimate people to collect money [for repatriation] but, actually, we see people that do not have family here. There are organizations like ours […] that play the first role […] and] we fix an amount that each person must give […] or you see people of good will who give large sums directly […] They do it anonymously because when you do something good you must do it only before God, selflessly.”
Thus, many different factors tilt the balance of a decision that, we insist again, is not always taken by the deceased person but by their relatives and acquaintances. Until now, this balance has continued mainly because repatriation is favored as a way of keeping genealogical links alive. According to the data provided by FuneCat, a funeral services company that performs the repatriation of emigrants to their countries of origin, over 90% of the deceased of Moroccan and Senegalese origin are sent back to their home country. Ultimately, it seems that genealogical connections are more significant to the migrant community than remaining faithful to the proscriptions of religious dogma.
14 Lleida (Catalonia), April 2008.
15 FuneCat is a funerary company that has specialized in repatriation since 1993. The majority of foreign groups use their services. See www.funecat.com. Interview, April 15, 2015.
Repatriation as a community responsibility
Although repatriation is the preferred option of the members of both these two communities in Catalonia, it has not always been the case. Attempts to reconstruct through documents the settlement of these groups show that the absence of minimally consolidated community structures obliged them to handle deaths in the 1970s and 1980s without the guarantee of burials according to Islamic principles. Analysis of the death records in the Moroccan consulate in Barcelona revealed that the habitual practice was to bury the Moroccan dead in charity graves in municipal cemeteries.\textsuperscript{16} From the 1990s onwards, this type of burial practically disappeared – although not totally – due to the intervention of the Moroccan communities themselves, who favored the repatriation of the body or managed to secure burial in one of the existing cemeteries.\textsuperscript{17} The first repatriation initiatives we found were linked to the increasing tendency to contract repatriation insurance offered by banks in the countries of origin as a way of guaranteeing that emigrants’ foreign currency would return to their country.\textsuperscript{18} Various consular delegations also recommended these family insurance companies’ services. However, there were still people without any insurance coverage, for whom the costs of sending the corpse to its country of origin were covered by solidarity collections. More recently, mutual initiatives have arisen in communities, so that the repatriation of the deceased can be guaranteed in a cooperative manner. Therefore, the increasingly prevalent response of Moroccan and Senegalese groups where repatriation is the preferred option is indicative of the progressive consolidation of their communities’ organizational structures.
Repatriation is a bureaucratic process in which various actors intervene: the deceased person, their family members and next of kin, family members in the place of origin, members of their community, companies and associations, consular delegations, funeral companies, and the public administrations of the two countries between which the body’s transport is made. Its analysis involves considering the interactions generated between them. In this section, we will principally analyze the ways in which Moroccan and Senegalese communities have themselves organized the repatriation of their deceased.
First of all, repatriating a corpse is a complex process that usually takes
\textsuperscript{16} Jordi Moreras, “Morir lejos de casa”, in \textit{Atlas de la inmigración marroquí en España}, eds. Bernabé López García and Mohamed Berriane (Madrid, Ministerio de Trabajo y Asuntos Sociales y Universidad Autónoma de Madrid, 2004).
\textsuperscript{17} The Muslim plot in Collserola started to function in 1997. In principle, this was meant to serve the Muslim community living in Catalonia at that time. But the cemetery was sponsored mainly by members of the Arab community in Barcelona, without the participation of representatives of the Moroccan and Senegalese communities. Also, a Muslim mortuary was opened in 2007 in the cemetery of Montjuïc in Barcelona, so that Muslim communities could have a space where Islamic thanatopraxy could be carried out on their deceased, see Moreras and Arraràs.
\textsuperscript{18} Moreras, “Morir lejos de casa”.
between 10 and 15 days, though with delays it can take up to a month. The international transport of dead bodies is regulated by the multilateral Agreement on the Transfer of Corpses (1973). First, the law requires that any corpse that will not be buried within forty-eight hours following death must be embalmed; in practice, this means that every repatriated corpse is embalmed. International regulations also require that corpses be transported inside hermetically sealed coffins. Funeral companies in Catalonia have adapted to take care of this process.
In accordance with diplomatic law, consulates take responsibility for the bureaucratic procedures arising from the repatriation of their nationals in the case of their death. Despite the fact that a so-called funeral passport is granted by the health authorities of the country in which the death occurs, the consular delegations provide the documentation required to identify the deceased and determine their region of origin. Depending on each consulate’s organizational capacity, it is possible to find a service that specifically attends to the death of its citizens. Historically, the Moroccan consulate in Barcelona has developed a support program in the case of deaths, establishing a death register and defining a protocol for action. The Senegalese consulate in Barcelona also facilitates the administrative processes that correspond with transport to the country of origin, without taking on the expenses of repatriation.
Repatriation is very expensive. Repatriating a body to Morocco or Senegal costs between €5,000 and €8,000. These costs can be covered by repatriation insurance but also through community solidarity. Various banks and companies engaged in sending currency offer their clients products aimed at covering the possibility of repatriation in the case of the death of a family member. Among Moroccans in Catalonia, the most significant is Banque Populaire, by means of its insurance company Maroc Assistance, which offers various products, including savings programs, the handling of remittances, and repatriation. They have been supported by consulates and migrant associations such as the Amical de Trabajadores y Comerciantes Marroquíes (Amical of Moroccan Workers and Traders). Others are Wafa Bank, BNCE (Banque Nationale de Commerce Extérieur), and Attijariwafa Bank, which offer extensive coverage of the deceased as one of their main financial products aimed at Moroccan communities living in Europe. Some Senegalese insurance companies also provide this service in Catalonia, such as the Compagnie Senegalaise d’Assurance et Reassurance (CSAR).
Alongside these business initiatives, other community activities have emerged to offer an alternative handling of repatriation that eschews any economic profit and is directed by mutual interest. Nevertheless, in the case of the Moroccan community, some of these projects have fallen into disrepute due to poor management and lack of economic transparency. We
19 It is interesting to note the fact that Catalan financial institutions in the late 1990s incorporated repatriation insurance in financial services specifically aimed at foreign customers. In the case of Muslim communities, this type of product has not been very successful, since it is considered to incur interest (riba), which is contrary to Islamic doctrine.
will compare two specific initiatives to assess how they legitimate themselves as alternatives in the business of handling repatriation. The first case (Image 005) was proposed midway through the first decade of the 2000s by a series of local Muslim communities – mainly Moroccan – in order to carry out repatriation that would adhere to Islamic requirements as much as possible. The fact that the different communities that participated in this initiative share the same doctrinal line – Salafism – allows the orientation of this proposal to be understood: it sought to set itself apart from the economic interests of repatriation and the delegation of the care for the body of the deceased into non-Muslim hands.
Image 005: Pastoral Islamic Community of Tarragona, 2010. Photo by Jordi Moreras.
The second case is a much more recent initiative proposed in 2014 by an Islamic cultural center in Barcelona in order to make it possible to include burial and the handling of repatriation in their activities and services. The information poster reproduced (Image 006) combines a series of elements that contradict each other somewhat. On one side is quoted a fragment of the Quran that recalls the unpredictable nature of death and how nobody knows where they will die, but it also features an image of a passenger plane. The other side includes an image of a coffin, the use of which is obligatory.
in Spanish legislation but not permitted in Islamic burial practice, which requires that the deceased be interred in direct contact with the earth.
In accordance with the regulation of funeral and repatriation services in Spain, both initiatives have had to depend on recognized companies. This means, they do not intend to become Islamic funerary companies or insurers, but merely promoters of a model of repatriation directed exclusively towards their community.\footnote{The reasons why Spain has still not created Islamic funeral service companies like other European countries are related to the particular characteristics of the sector, which in recent decades has witnessed a strong trend towards the monopolization of the management of cemeteries and funeral services by large companies, thereby leading to the closing of traditional funeral parlors.}
Despite these initiatives and the relatively widespread subscription to repatriation insurance among Moroccan families established in Catalonia, community collections are still organized, as some people continue to die without insurance policies, and there is a desire to send money to families in Morocco. News of the death of a member of the community activates collective mechanisms of solidarity. A death is announced by family and friends, and the mosque is often responsible for organizing the collection of voluntary contributions, as well as taking care of ritual procedures for the body’s purification at local funeral homes. In these circumstances, it may be observed how the death of one member can actively involve the local community, which acts on the basis of a principle of reciprocity that guarantees that similar situations will also be taken care of in the future.
Some Senegalese also individually purchase this kind of insurance (usually with local banks), but, unlike Moroccans, they tend to prefer community solidarity instead of individual insurance. This community solidarity mainly takes two forms: solidarity savings and spontaneous money collections. Senegalese people tend to organize themselves in different kinds of associations that play a key role in community building but also in constructing transnational networks. These associations contribute to corpse repatriation. \textit{Dahiras} are religious associations where followers of the same spiritual leader gather to pray. Members of Mouridiyya and Tijaniyya, the two most important Islamic orders in Senegal, organize themselves in \textit{dahiras} both in Senegal and abroad. One also finds associations where members come from the same village or region. Some of these function exclusively as a means of gathering savings in order to pay for repatriation. \textit{Tontines} (\textit{nadd} in Wolof, \textit{tege} in Pulaar) are another kind of association, which collects savings and gives credit without interest on the basis of mutual trust.\footnote{Similar organizations exist in different countries and are known internationally as ROSCAs (\textit{Rotating Savings and Credit Associations}). In the African context, they are groups of people sharing different links (profession, neighborhood, etc.) that gather to regularly invest a constant sum of money on the basis of mutual trust (e.g., €50 every month). Following an established order, a different member of the group in turn receives the total gathered amount.} Finally, there are other associations—more visible in Catalan society—that engage in cultural events, language classes, and other activities to help the Senegalese adapt to Catalan society. Some of these also participate in co-development
projects in Senegal. There is a federation of these Senegalese associations called *Coordinadora d’Associacions Senegaleses de Catalunya* (CASC).
As noted above, some Senegalese associations provide help by maintaining solidarity savings to aid sick members and to assist with corpse repatriations. Members contribute a small amount (five, ten, or twenty euros) every month to the common savings of these associations.\(^{22}\) In some cases, these funds are also used for the associations’ other expenses, like festivals or cultural activities. When the deceased is a member of an association and has regularly paid its fees, an allotment of money from the common funds is dedicated to their repatriation. Occasionally, some funds are dedicated to repatriating the corpses of compatriots who were not members of the association. In any event, because these funds are usually insufficient to cover the total cost of the repatriation of a body to Senegal, collections have to be organized as well.
Everyone is invited to participate in the collection of funds for repatriation: neighbors, family, friends—whether Senegalese or not—and members of the Senegalese diaspora from all over Spain and Europe. These collections are important community events and mobilize a great number of people. In fact, it is not necessary for those who contribute to have known the deceased personally. Though it is not their function, *dahiras* usually contribute to the repatriation of their own members, as well. Collections are usually organized voluntarily by someone who knew the deceased and has prestige among the community, such as the leader of an association or a religious leader. The amount gathered, therefore, depends mainly on the social capital of the deceased, their status within the migrant community and participation in religious or community events.
Among both Moroccans and Senegalese, the community solidarity that flourishes when money is collected to transport the body of the deceased is based on a form of reciprocity: the donor knows that this will be repeated when they die.\(^{23}\)
When interviewed, public servants, authorities, and funeral home managers usually see this kind of solidarity, especially spontaneous collections, as evidence of a lack of foresight and disorganization among Moroccan and Senegalese groups. It is not appreciated that it is instead proof of the internal solidarity of these groups, as well as a way of observing the vitality of community bonds. Today, despite the fact that most Moroccans do have insurance that covers most of the expenses of repatriation, the community continues to collect a sum of money to send to the family in Morocco. What is most significant is that the forms of insurance are essentially individual and personal, while community solidarity connects the deceased with the group.
Thus, the community response to organizing repatriation can be understood as what Françoise Lestage calls “reappropriation.”\(^{24}\) Participating
---
\(^{22}\) Similar practices are reported by other authors. See for example, Agathe Petit, “Des funerailles de l’entre-deux. Rituels funéraires des migrants Manjak en France,” *Archives de Sciences Sociales des Religions* 131 (2005).
\(^{23}\) Aggoun, 95.
\(^{24}\) Lestage, Francoise, “Le dernier voyage des migrants mexicains. Ethnographie du retour des defunts.” *Caravelle* 91 (2008).
is a way of showing oneself to be a member of the community, but also a way of claiming the deceased as a member of the community and symbolically “reappropriating” them. We would argue that the mobilization to organize repatriation has to be seen as a ritual in itself or as part of the funerary ritual.
**Repatriation as the last ritual**
Systematic repatriation produces what Ruba Salih calls a “transnational ritual,” which takes place in a transnational division of ritual space.\(^{25}\) The transnational funerary rituals between Catalonia and Senegal or Morocco are an example of a ritual transforming itself, and one that we can truly call “transnational” because it takes place partly in Catalonia and partly in the country of origin. As said before, the aspects of the Muslim funerary ritual that are always performed in Catalonia, regardless of whether the body is repatriated or not, are the ritual ablution of the body and a funeral prayer that usually follows the cleansing. Moroccan and Senegalese groups commonly organize gatherings for performing invocations (\textit{du’ā}) and reading the Quran. What is more, in the local mosques during Friday midday prayers, the names of the dead are normally read aloud, especially when they are people who acquired importance in the group, in this way making an appeal for solidarity between the community and the deceased and their relatives.
The decision of whether to be buried in Catalonia or in the country of origin can create some doctrinal conflicts around the difficulties of performing a proper Muslim burial in Catalonia. Outside of religious debates, however, the decision made regarding the place of burial can be seen as a way to link oneself to a reference group and to a reference space. This reference group and space is, on one hand, the country, family, or town of origin and, on the other, the migrant community that mobilizes to organize and pay for the repatriation.
Repatriation also allows for the performance of a proper funerary ritual in the country of origin. As argued by those who support a transnational perspective on migration, phenomena linked to migrant groups also take place in the country of origin. The demands made by the family in the country of origin for the body to be repatriated have to be taken into account when analyzing repatriation. Death in a distant place can hinder bereavement and the realization of the funerary ritual.\(^{26}\) Thus, repatriation of the corpse is a socially sanctioned way of ending the transitory state that migration causes, facilitating bereavement, while the funerary ritual offers a symbolic return that was not possible when the migrant was alive.
---
\(^{25}\) Ruba Salih, “Reformulating Tradition and Modernity: Moroccan Migrant Women and the Transnational Division of Ritual Space,” \textit{Global Networks} 2, no. 3 (2002).
\(^{26}\) Katy Garnder, “Death, Burial and Bereavement among Bengali Muslims in Tower Hamlets, East London.” \textit{Journal of Ethnic and Migration Studies} 24, no. 3 (1998), and “Death of a migrant: transnational death ritual and gender among British Sylhetis,” \textit{Global Networks} 2, no. 3 (2002).
Lestage’s words, families need to symbolically “reappropriate” the deceased.\textsuperscript{27} Due to the economic and administrative reasons that make it difficult for Senegalese to travel to Europe, this usually requires the return of the body. By returning the body of the deceased and allowing their funerary ritual to take place, the absent person enters the family and society again.\textsuperscript{28} The reception of the body of the related person means beginning to close the mourning process, which starts with the announcement of the death of the loved one and lasts until they can be buried. In the case of Moroccans and Senegalese in Catalonia, there results a situation that is very common in other contexts: double funerals. One funeral takes place in the country of emigration (involving a ritual bath and prayer) and the other surrounds the burial of the corpse once the deceased has been repatriated to their place of origin (prayer, burial).
Additionally, seeing the deceased allows any doubts about the identity of the dead person to be removed. For this purpose, repatriated bodies normally travel in a casket that has a window through which the dead person’s face can be seen. This is especially important for families in the countries of origin, for whom losing a family member to emigration may be almost the same as their disappearing forever. The loss of all practical contact with the person and their remains can only be compensated by their return, the sight of their body, and positive confirmation of their identity.
In Morocco, the arrival of the body of a person who has died abroad is seen as the culmination of the final return of that person, who at some point decided to migrate to another country and who, perhaps, occasionally returned to visit their relatives for a few weeks per year. In the cemeteries of many rural villages in northern Morocco (where the majority of Moroccans living in Catalonia come from), the graves of the returned now have a prominent place. In Senegal, funerals are large events requiring great effort and huge amounts of money. Feeding and hosting family members and other participants are the biggest expenses for the bereaved family. For the duration of the funeral, the family of the deceased has to prepare food for all the attendees. Guests may stay for several days or even weeks. This is especially true in the case of repatriation, when it may take a long time for the body to arrive.
Ruba Salih points out how transnational rituals are used to distribute symbolic and economic resources between the country of settlement and the country of origin, with each being “simultaneously crucial in the cultural and political economy of migrants’ lives.”\textsuperscript{29} The repatriation of the corpse and the performance of the funerary ritual thus allow the relatives to acquire a degree of symbolic capital or, in any case, not to lose it by suffering the shame of not fulfilling their obligations to the deceased and their family. In Senegal, this makes it possible to acquire honor or prestige for the relatives and the migrant community. Gift exchange (\textit{sadaka}) during funerals has
\textsuperscript{27} Lestage.
\textsuperscript{28} Abdelmalek Sayad, \textit{La double absence. Des illusions de l’émigre aux soufrances de l’inmigre} (Paris: Editions du Seuil, 1999).
\textsuperscript{29} Salih, 222.
great importance as a means of maintaining family bonds, and the return of a dead body has to be seen as one of these exchanges.
In principle, according to Islam, the body has to be buried quickly. Only men may dig the grave and accompany the body to the cemetery. The body is placed on its right side, facing in the direction of Mecca. Bodies are usually buried directly in the ground, covered only with a shroud, but corpses that come from abroad tend to be buried in the coffin they were transported in, as these are sealed and very hard to open.
The presence of graves of the emigrated in the places of origin can also be understood as one of the manifestations of this “reproduction.” Friday mornings are the preferred time to visit the cemetery and pray for the deceased. In Morocco, it is common for migrants returning for summer holidays to visit the graves of family members and other acquaintances who died after emigration and were then repatriated. These visits encourage conversations that strengthen the conviction—and public announcement to family members and acquaintances—of a desire to also be repatriated after death.\(^{30}\)
For all these reasons, the community organization of repatriation can be seen as a ritual in itself or as part of the funerary ritual. It is a ritual that is debated from the viewpoint of Islamic doctrine, yet nonetheless it also has great power for community building. No doubt, Islam is important when seeking to understand these rituals; however, it is not the key element that explains the preference for repatriation. While Islam provides these funeral rites with elements that shape them and elements that link them with sacredness, and it can help build a shared identity, the way in which rituals are performed is not a mere translation into action of the doctrine based on Islamic texts.
Repatriation is a means of accomplishing what are understood as obligations to the deceased as well as to relatives at home. Repatriation can, therefore, revitalize and strengthen links with the country of origin. In turn, it allows these ties to be used as references for community building through ritual. If, in accordance with classical theories about funerary rituals, they contribute to constructing and reconstructing groups that have lost members, a transnational ritual helps build a “transnational community.” Rituals that take place both in the country of settlement and the country of origin reveal the emergence of transnational identities and new scenarios of belonging. At the same time, they help to build bonds within the migrant community based on religious identity and common origin.
In this sense, Karen Fog Olwig’s reflections are especially useful. The author’s research on Caribbean migrants in the United Kingdom highlights how individual and family networks become part of self-perceived communities through the performance of funerary rituals. Ritual in this context generates a sense of community, providing “a context for reflecting on the meaning of belonging associated with both experiences and relationships that are connected with a place of origin.” She defines the
\(^{30}\) Interview with the father of a Moroccan family, Barcelona, May 25, 2015.
funerary ritual as a “context of community construction.”\textsuperscript{31} This definition may also be applied to this research, as the mobilization to move a corpse generates a self-perceived sense of community, a community built though ritual practice, which is created around the performance of this mobilization when “reappropriating” the deceased.
\textit{Conclusions}
The case of Muslims in Western countries is paradigmatic of migrant groups that tend to repatriate their deceased. However, among migrant groups there are numerous ethnographic examples of the preference for repatriation that cannot be explained using religious arguments. We suggest, then, that we should focus our interest on the construction of new transnational funerary rituals and what they mean for migrant communities and the ties with their homeland. In other words, having spaces for Islamic burial in Europe will not end repatriation.\textsuperscript{32}
Outside of religious debate, then, we can see decisions made in regard to the place of burial as a way to link oneself and be linked to a reference group and to a reference space. This reference group and space is, on one hand, the country, family, or town of origin and, on the other hand, the migrant community mobilized to organize and pay for the repatriation. We find Lestage’s (2008) notion of “reappropriation” especially pertinent. This reappropriation takes place both in the country of origin and in Catalonia. Taking control of the repatriation of a body is a way of reinforcing community among migrant groups, which in itself could be considered part of a ritual in constant flux.
This reappropriation usually entails the presence of the body in the country of origin, but forms of “compensation” may also be found. An interesting example is offered by Agathe Petit, who explains how Manjack migrants in France have a tradition of sending a suitcase containing the clothes and personal belongings of the deceased back to the country of origin.\textsuperscript{33} We also documented a similar practice in the region of Kolda in the south of Senegal, called “bringing the calabash” (\textit{artigool hoorde}), since a dried calabash was the traditional way of transporting personal belongings when traveling. Performing a funerary ritual in the country of origin is a means of “reappropriating” one member of society.
Different authors have also interpreted repatriation in terms of “genealogical repair” or “return to origins.” According to Atmane Aggoun, Yacine Chaïb, and Khadiyatoulah Fall, the feeling of identity expressed by the decision to be moved to the place of birth has more national and cultural dimensions than religious ones, even when the decision is validated.
\begin{footnotes}
\item[31] Karen Fog Olwig, “A Proper Funeral: Contextualizing Community among Caribbean Migrants,” \textit{Journal of the Royal Anthropological Institute} 15 (2009).
\item[32] See Moreras and Solé Arraràs.
\item[33] Petit 2005, “Des funérailles de l’entre-deux: Rituels funéraires des migrants Manjak en France,” in \textit{Archives de Sciences Sociales des Religions} 131: 87–99.
\end{footnotes}
religiously.\textsuperscript{34} In the foreword of \textit{L’émigré et la mort},\textsuperscript{35} which deals with the death of migrants, Abdelmalek Sayad provides some key ideas for the interpretation of the importance of solidarity and the reinforcement of community ties that every death generates. He states that solidarity around a death is “a matter of belief, a matter of faith, not of religious faith, but of faith and of belief in the affiliation to a country even when one has left or deserted it; it is the primacy of the group on each of its members individually; in short, in the religion of the group, or better, in the group as a religion.”\textsuperscript{36} Sayad insists on the principle that repatriating a body is a means of reconciling the process of emigration, immigration, and return, thereby restoring the ties with the family left in the country of origin.
This also means that repatriation is a process that cannot be understood by observing it only in the country of settlement, but one that has to be studied in a transnational context. The double dimension of the emigrant-immigrant reality makes it necessary to study the phenomenon in its transnational dimension as a multi-sited ethnographical study with two distinct yet interconnected contexts, in the country of origin and in the country of settlement.
In conclusion, repatriation is the expression of a desire for genealogical reconstruction and an occasion for identity expression and “community building.” Death becomes the last chance for reconciliation with one’s family history, even though it means going against Islamic doctrine. This entails the development of a process of ritualization for the repatriation of deceased migrants, creating a transnational ritual. Migrant communities assume the responsibility for repatriation, activating several forms of solidarity. Repatriation has to be considered as part of the funerary ritual itself and a mechanism for strengthening migrant communities that is based on both religious identity and common origin.
\section*{Bibliography}
Aggoun, Atmane. 2006. \textit{Les musulmans face à la mort en France}. Paris: Espace éthique.
Chaïb, Yassine. 2000. \textit{L’émigre et la mort}. Marsella: CIDIM / Edisud.
Fall, Khadiyatoulah, and Dimé, Mamadou Ndogo. \textit{La mort musulmane en contexte d’immigration et d’islam minoritaire}. Quebec: Presses de l’Université Laval.
Gardner, Katy 1998. “Death, Burial and Bereavement among Bengali Muslims in Tower Hamlets, East London.” \textit{Journal of Ethnic and Migration Studies}, 24, 3: 507–521.
Gardner, Katy 2002. “Death of a migrant: transnational death ritual and gender among British Sylhetis.” \textit{Global Networks}, 2, 3: 191–205.
\textsuperscript{34} Aggoun; Chaïb; Khadiyatoulah Fall and Mamadou Ndongo Dime, \textit{La mort musulmane en contexte d’immigration et d’islam minoritaire} (Quebec: Presses de l’Universite Laval, 2011).
\textsuperscript{35} Chaïb.
\textsuperscript{36} Sayad, “Preface,” 12 [our translation].
Lestage, Françoise 2008. “Le dernier voyage des migrants mexicains. Ethnographie du retour des défunts.” *Caravelle*, 91: 131–147.
Moreras, Jordi. 1999. *Musulmanes en Barcelona: espacios y dinámicas comunitarias*. Barcelona: Cidob Edicions.
Moreras, Jordi. 2004. “Morir lejos de casa.” In Bernabé López García and Mohamed Berriane (eds). *Atlas de la inmigración marroquí en España*. Madrid, Ministerio de Trabajo y Asuntos Sociales y Universidad Autónoma de Madrid, 2004.
Moreras, Jordi. 2008. *Musulmans a Catalunya. Radiografia d’un islam implantat*. Barcelona: Institut Europeu de la Mediterrània.
Moreras, Jordi, editor. 2017. *Diàspores i rituals. El cicle festiu dels musulmans de Catalunya*. Barcelona: Generalitat de Catalunya-Inventari del Patrimoni Etnològic de Catalunya.
Moreras, Jordi and Solé Arraràs, Ariadna. 2014. *Espais de mort I diversitat religiosa. La presència de l’islam en cementiris i tanatoris catalans*. Barcelona: Departament de Cultura and Generalitat de Catalunya (Estudis sobre el patrimoni etnològic de Catalunya, 5).
Olwig, Karen Fog. 2009. “A Proper Funeral: Contextualizing Community among Caribbean Migrants.” *Journal of the Royal Anthropological Institute*, 15: 520–537.
Petit, Agathe. 2005. “Des funéraillés de l’entre-deux. Rituels funéraires des migrants Manjak en France” *Archives de Sciences Sociales des Religions*, 131: 87–99.
Robben, Antonius. 2005. *Death, Mourning and Burial: A Cross-Cultural Reader*. London: Wiley-Blackwell.
Salih, Ruba. 2002. “Reformulating Tradition and Modernity: Moroccan Migrant Women and the Transnational Division of Ritual Space.” *Global Networks*, 2, 3: 219–231.
Sayad, Abdelmalek. 1999. *La double absence. Des illusions de l’émigré aux soufrances de l’immigré*. Paris: Editions du Seuil.
Sayad, Abdelmalek. 2000. “Préface.” In *L’émigré et la mort*, edited by Yassine Chaib, 5–16. Marsella: CIDIM / Edisud.
Solé Arraràs, Ariadna. 2015. *Rituals funeraris islàmics transnacionals. La repatriació de difunts entre Catalunya i Kolda (Senegal)*. Barcelona: Universitat de Barcelona.
Tarrés, Sol and Moreras, Jordi. 2013. “Topografía de la otra muerte. Los cementerios musulmanes en España (siglos XX–XXI),” in *Religio in labyrintho*, edited by José J. Caerols, 309–321. Madrid: Sociedad Española de Ciencias de las Religiones-Escolar y Mayo Editores.
Commemoration III
This chapter’s aim is to analyze how the unexpected death of a goalkeeper originally from Croatia became relevant for supporters of Allmänna Idrottsklubben (AIK), a Swedish football club. I argue that this particular event drew the attention of club supporters and influenced them, due to the larger context in which AIK was rooted.
The unexpected death of one Croatian player from this Stockholm club, which happened in 2013, resulted in different rituals as well as a flood of merchandise featuring the late goalkeeper. Fans even visit the player’s grave in Croatia. His tragic passing highlighted flexibility in national categories and let Swedish football supporters establish emotional connections that appear to simultaneously be both transnational and local, but omit the
national level. By looking at rituals, material culture, and narratives around Ivan Turina’s death, I shall investigate how symbols and meanings are created and tailored to fit a specific socially constructed space. In turn, this sheds light on how transnational elements of the rituals and cult of death gain meaning in specific contexts.
In professional sports, extensive research has been done on the impact that economics has on activities, and sports have been studied in relation to a range of phenomena, including their historical development, hooligan behavior, and female supporters’ participation,\(^1\) but football can be neglected within broader cultural perspectives. Tara Brabazon comments on the issue:
Sport is not an isolated social and political phenomenon: it is part of popular culture. While popular culture is too often dismissed as trash, study reveals the relativity of aesthetic values, the implications of technological change, the political conflicts of daily life. (…) While the racism, sexism and homophobia of sport are excessive and harmful, they also hold a teaching function, delivering lessons in how and why symbols gain power and applicability through time.\(^2\)
In other words, the “popular” element in popular culture, especially in football, makes it prone to change and offers endless possibilities for fans to engage and put their own mark on it.\(^3\) Because of their involvement and the creativity that they can express, fans do become active co-creators of their experience rather than passive, non-reflexive consumers.\(^4\) Thus, looking at supporters within this environment could be regarded as a snapshot analysis of voluntary collective engagement. The event of the goalkeeper’s death worked as a catalyst that revealed strategies for collective identity in a modern, urban Swedish society.
Methodologically, this chapter is based on fieldwork that took place between 2012 and 2017. The data was collected for a PhD thesis on performing and producing history in football.\(^5\) The event forming the core of this chapter is most closely connected to AIK, but voices of supporters from other clubs are used, too. The ethnography presented here consists of three semi-structured interviews, a focus group with three participants,
---
1 See, for example, David Kennedy and Peter Kennedy, “Towards a Marxist political economy of football supporters,” *Capital and Class* 34, no. 2 (2010): 181–198; David Kennedy and Peter Kennedy, “Football supporters and the commercialization of football: Comparative responses across Europe,” *Soccer & Society* 13, no. 3 (2012): 327–340; Svenja-Maria Mintert and Gertrud Pfister, “The FREE project and the feminization of football: The role of women in the European fan community,” *Soccer & Society* 16, nos. 2–3 (2015): 405–421; Jacco van Uden, “Transforming a football club into a ‘total experience’ entertainment company: Implications for management,” *Managing Leisure* 10, no. 3 (2005): 184–198.
2 Tara Brabazon, *Playing on the Periphery: Sport, Identity and Memory* (London and New York: Routledge, 2006), 2.
3 See Katarzyna Herd, “Constructing football through magic – an ethnographic account of football supporters,” *Soccer and Society* 18, no. 7 (2017): 1045–1057.
4 Herd, “Constructing football through magic”; Brabazon, 33.
5 The project focuses on four clubs: AIK, Djurgården’s IF, Malmö FF, and Helsingborgs IF.
observations, and internet ethnography, known as netnography.\textsuperscript{6} The netnography presented here includes articles from the Swedish newspaper \textit{Aftonbladet}, as well as posts and pictures from AIK’s official Facebook page and one Facebook conversation with an AIK supporter.\textsuperscript{7} The event of a sudden death within a sport context is rather unusual and only a handful of cases exist in Sweden.\textsuperscript{8} Because of its rare occurrence, there is no “norm” as to how such a tragedy should be handled. It does not always end with the deceased gaining an iconic status.
\textit{Football’s foreign legions}
One of the characteristics of modern football is the relative ease with which players can change clubs. Especially in the top leagues, teams have many foreign players who are regularly bought, sold, and exchanged within a globalized football market. After the famous Bosman case, which influenced the freedom of movement of players changing clubs when their contracts expire, players can leave on free transfers.\textsuperscript{9} This is a far cry from the “old days” when teams consisted of “local boys,” lads from the neighborhood.
Richer and bigger clubs prompt a certain “muscle drain,” which tends to prompt players to seek better paid positions abroad. This process has some characteristics of a modern “slave market,” with men bought and sold as valuable commodities, and with prices attached to people. There are voices calling for more “regional” teams with homegrown players rather than talented migrants. There has been a considerable amount of research into the commodification and commercialization of football, and the growing number of foreign players is often listed as one element that detaches clubs from their surroundings and their local fans.\textsuperscript{10} Supporters are often nostalgic about the past. Nevertheless, they take a pragmatic stand on the situation, and they accept that one needs foreigners to have a successful team. Foreign players have become a part of modern football.
\textsuperscript{6} Charlotte Aull Davies, \textit{Reflexive Ethnography: A Guide to Researching Selves and Others} (London and Ney York: Routledge, 2008), 151–170.
\textsuperscript{7} For ethical considerations about ethnography, online one can consult the Association of Internet Researchers at http://aoir.org/.
\textsuperscript{8} In 2014, Pontus Segerström, a player from the club IF Brommapojkarna, died from cancer. During the team’s match in Malmö, there was only one away fan in the stadium. He commemorated the deceased by placing a football shirt with Segerström’s name on it accompanied by two candles and a rose (reported here, for example; https://www.aftonbladet.se/sportbladet/fotboll/sverige/superettan/brommapojkarna/article19764604.ab).
\textsuperscript{9} The case concerns Jean-Marc Bosman, who in 1995 won a court case to be able to move from a Belgian club to a French one without any fee. The case had an impact on the transfer laws within the European football market. See also http://www.bbc.com/sport/football/35097223.
\textsuperscript{10} See, for example, Richard Giulianotti, “Sport Spectators and the Social Consequences of Commodification: Critical Perspectives from Scottish Football,” \textit{Journal of Sport and Social Issues} 29, no. 386 (November 2005): 386–410.
Swedish football became increasingly professionalized in the early 1990s, changing the relationship between clubs, footballers, and fans. Although many players are not local, they manage to build connections and relationships with fans. They are featured in chants and on banners, T-shirts, and flags.\textsuperscript{11} Still, the majority of interviewed supporters did not have a favorite player. “They will only disappoint you,” said one informant, Björn, in an interview.\textsuperscript{12} Fans might have a “seasonal idol,” one that is currently in the squad and somehow stands out, but they resist becoming attached to anybody in particular. During a focus group discussion, Alex, Tom, and Robin commented:
Interviewer: Do you have a favorite player?
Robin: I don’t like having any favorite players, because it is so easy to get disappointed.
Tom: No…
Alex: There are, of course, many good players…
Robin: When they stop playing, then you can like them or have a favorite one.
Alex: I think… I had… I can narrate this thing, eh, Lindström anecdote? (He looks at the others.) Lindström was my favorite player when I was like 15. I was in gymnasium. Mattias Lindström, he is from Helsingborg and liked the same music as I did. And he was like my total favorite. And then he played a couple of seasons and went away as “Bosman.” And I had never been so disappointed. Since then I have never had a favorite player.
Robin: You can like players because they are good for the team, make a good team. Then you can like them as a person, but not like the favorite player.\textsuperscript{13}
It was taken for granted by my informants that one appreciates players as long as they belong to a certain team. Not surprisingly, then, many people refer to footballers as “tools” for achieving victories and trophies, for forging connections, and for helping the club, but in the latter case, only up to the point of departure. In the quote above, Robin points to an interesting dimension: “When they stop playing, then you can like them.” In other words, once the player’s career is over, he can be admired without any fear that he would do something stupid. In line with this, Sean J. Gammon has pointed out that retired sport stars can fall from grace because of events in their private lives, but an aura of sporting achievements still attracts attention.\textsuperscript{14}
\textsuperscript{11} See Katarzyna Herd, \textit{Dream Factory: Magic and Myth-making in Football}, M. A. Thesis. (Lund: University of Lund, 2013). https://lup.lub.lu.se/student-papers/search/publication/3954704.
\textsuperscript{12} Interview with Björn, Malmö, September 2012.
\textsuperscript{13} Focus group interview with Alex, Tom, and Robin, Malmö, February 16, 2015.
\textsuperscript{14} Sean J. Gammon, “Heroes as heritage: The commoditization of sporting achievement,” \textit{Journal of Heritage Tourism} 9, no. 3 (2014): 246–256.
Death is by no means a prerequisite for a player to be meaningful for a club. There is a plethora of rites and creative involvement that fans engage in, and this chapter presents only a narrow view of processes in this field. Yet, a tragic event lends itself to creating rituals.\textsuperscript{15} Death does not guarantee long-lasting commemorations. The combination of such components as timeframe, place, and context has to be right, but there is a possibility to forge immortal links with a club.\textsuperscript{16} After suffering heart failure, Ivan Turina entered the ranks of AIK’s myths.
\textit{Narrating the foreign hero}
Ivan Turina was born in Zagreb, Croatia in 1980. He died on the 2\textsuperscript{nd} of May, 2013, in Solna, a suburb of Stockholm, Sweden. Throughout his career, he played in various clubs in Croatia. His international career included playing for clubs in Greece, Poland, and Sweden. At age 32, after having been diagnosed with heart failure, he was found dead in his home. His tragic fate was widely reported in the press. He was described as a great player and a person who won the hearts of AIK supporters with his brilliant saves and friendly attitude.\textsuperscript{17} In a Facebook conversation, one supporter remarked that fans could relate to Turina, who had always been friendly and liked the modern style of football culture, including flares.\textsuperscript{18} Numerous AIK supporters were able to say how and where they learned about his tragic death. For example, Kristian said:
\begin{quote}
I was actually working a late shift so I did not hear about it right away. It was a friend… a Hammarby supporter actually, that called me and told me then… and actually it was a Hammarby fan who first came with flowers to pay respect. So it was not only us, it was… everybody.\textsuperscript{19}
\end{quote}
The Swedish capital is divided between the football strongholds of AIK, Hammarby IF, and Djurgårdens IF. The constant rivalry between them is marked across the city. However, the star’s death brought football fans together. Turina was not caught up in the cultural boundaries of Swedish football. Consequently, his death evoked emotions even amongst football
\textsuperscript{15} See, for example, Robert Hertz, \textit{Death and The Right Hand} (Aberdeen: The University of Aberdeen Press, 1960); Arnold van Gennep, \textit{The Rites of Passage} (University of Chicago Press: Chicago, 1960).
\textsuperscript{16} There have been several instances of players dying suddenly. For example, David Longhurst died in 1990 while playing for York City. A stand was named after him and in 2010 there was an anniversary commemoration. See www.yorkpress.co.uk/news/4882932.Fans_pay_tribute_to_tragic_York_City_footballer_David_Longhurst/.
\textsuperscript{17} Anders Johansson, Robert Laul, Stefan Holm and Fredrik Falk, “AIK-målvakten Ivan Turina har avlidit,” \textit{Aftonbladet}, May 2, 2013. Available at: URL http://www.aftonbladet.se/sportbladet/fotboll/sverige/allsvenskan/aik/article16704035.ab.
\textsuperscript{18} Oskar, Facebook message to author, June 26, 2017.
\textsuperscript{19} Kristian, phone interview, April 28, 2016.
supporters who normally did not empathize with AIK. The tragedy of his death caused a shockwave that passed through the broader network of football supporters and affected actors entangled within complex relationships. As Kristian recalled, it was a supporter of another club who came first to pay him respect. Turina was also commemorated by all of the football clubs in Sweden. I witnessed this during a match in Malmö. Turina’s number on the football shirt was 27, and when the 27th minute of the match came, footballers stopped playing and spectators started clapping.\footnote{Field notes, 2013.} Football fans and clubs can be adversaries, but mutual respect exists.
People are often able to recollect their whereabouts at a specific moment in time in the occurrence of tragic, traumatic events. In psychology, such recollections are called “flashbulb memories.”\footnote{More details about the phenomenon are to be found, for example, on the web page of the American Psychological Association: http://www.apa.org/monitor/2011/09/memories.aspx.} Many remember, for example, where they were or what they were doing when the World Trade Center was attacked in 2001 in New York. Although Turina’s death had less meaning in terms of the global population, it was a real trauma for the football world in Stockholm, still manifesting moments of commemoration during matches.\footnote{Field notes, 2017.} Since the goalkeeper did not have deep roots in Sweden, and he spent only three years there his links to the country were predominantly in, through, and with football.\footnote{Margery Hourihan, commenting on the narrative structure of the hero’s quest, suggested that there is a pattern allowing the audience to identify a hero figure, with harshness and difficulties being aspects of it. She remarked further that the “notions of male physical strength, force, potency and skill constructed by sport are translated into social concepts of masculine authority and power” and that those elements lend themselves to hero stories. See Margery Hourihan, \textit{Deconstructing the Hero: Literary Theory and Children’s Literature} (Routledge, London, and New York, 1997), 15.}
Many reflected on how and when they learned about Ivan’s death while connecting to the collective memory of the club. Thus, this sudden death grew into a sort of traumatic event that became an important part of AIK’s mythology. Narratives told around the late keeper grew in number. When asked about Ivan’s death, Maria could recall a brief meeting she had with him:
I met him before he died. I met him on Monday. He was injured and was walking down the stairs… and then we heard that he died. During that match, I had to comfort people and they comforted me. When Turina died… Oh, he was there with us. We were losing and then we won in the end. So during the first half I cried for sorrow, and during the second half I cried for joy.\footnote{Maria, interview, Stockholm, March 5, 2015.}
gone, but his story continued. He became part of the textuality of the club. The presupposition here is that all cultural phenomena can be treated as text.\textsuperscript{25} The story of Turina’s death was appropriated through individual narratives, such as Maria’s and Kristian’s. His status as a player was \textit{decontextualized} from being “another foreign player,” \textit{textualized} to be used effectively (in the sense of “he died for us”), and used then in a \textit{recontextualized manner} in the following matches and seasons as a meaningful and important figure for the club and AIK’s identity.\textsuperscript{26}
Turina’s foreign background reflects an accepted, yet lamented characteristic of modern football. Players constitute a very mobile workforce. As mentioned above, fans are aware of the low commitment level in the “foreign legions” of football. This does not stop them from quickly forging tense emotional connections with players, no matter where they come from.\textsuperscript{27} Individual commitment does not depend on the place of origin of the fans themselves. One does not have to be born in Stockholm to be a true AIK supporter. The same logic can be applied to players. As my informant remarked, Turina seemed to embrace the spirit of AIK, of being very confident and ready for a challenge. He added that Turina understood and appreciated his supporters’ efforts.\textsuperscript{28} Instead of building a discourse around the origin of a player, connections are established based on each player’s commitment to the team, as well as the role they play in the club and the degree to which they demonstrate attitudes and a willingness to enter such relationships. Fans relate to players who, in their own words, show “some heart,” have respect for the club and supporters, and give that “little extra.”\textsuperscript{29} When asked about their preferred player in current squads, fans often point to players who are not the biggest star but who work patiently in the background, and who show some personality and try to connect with the club, even for a short period of time. In this way, heroes are chosen. Such a structure seems to free people, at least to some extent, from focusing on categories like nationality or ethnicity. It is related more to building something together, like the club’s identity and history.
The anthropologist Arnold van Gennep commented that strangers are regarded in many societies as possessing strange, magical powers.\textsuperscript{30} In this context, Turina’s transnational character can be seen as a strength rather than hindrance. It allowed him to enter the realm of AIK’s mythology. To create a myth, one cannot have a complete image closed in upon itself.\textsuperscript{31} Rather, it is an interplay of form and meaning that endures and keeps myths alive. A myth works on impoverished, “evaporated” meaning that “empties itself,” leaving the form open to the possibility of being further filled and
\textsuperscript{25} See, for example, Clifford Geertz, “Deep play: notes on the Balinese cockfight,” in \textit{The Interpretation of Cultures} (New York: Basic Books, 1973), 412–453.
\textsuperscript{26} Alf Arvidsson, \textit{Folklorens Former} (Lund: Studentlitteratur, 1999), 173.
\textsuperscript{27} See Herd, \textit{Dream Factory}.
\textsuperscript{28} Oskar, Facebook message to author, June 26, 2017.
\textsuperscript{29} Erik, interview, Malmö, February 10, 2015.
\textsuperscript{30} Van Gennep, 26.
\textsuperscript{31} Roland Barthes, \textit{Mythologies} (London: Random House, 1972), 127.
interpreted with new significance.\textsuperscript{32} Turina’s death provided a form that could be easily understood and moved further to produce new levels of meaning: a dead hero is a recognizable pattern. Furthermore, Turina was relatively removed from the Swedish context and the geographical/cultural background of the nation. This, in turn, provided his status as a player and person with a degree of ambiguity and lack of fixed meaning. It let AIK supporters claim ownership of Turina and the memories they had about him.
The narratives that were woven around the event entangled Turina in a series of emotional connections to the club. Narratives are described by David Herman as sources for “folk psychology,” being an attempt to understand the world and what is happening in it.\textsuperscript{33} Because of the sudden and final character of Turina’s death, fans made sense of it by treating the goalkeeper as a sort of “connector” between them and their club. Narratives transformed the body into a path for the ever-present current of emotions between people and the elusive institution of a football club. It should also be mentioned that this tragic death happened just a year after AIK’s beloved Råsunda stadium was closed and dismantled. The club had to move to a large, new arena called Friends Arena,\textsuperscript{34} which many fans criticize for being too generic, not good for football, and not belonging to AIK. Furthermore, this sudden change of location contributed to the growing importance of the dead goalkeeper. As the stadium was void of memories or glories, its emptiness was eagerly filled with Turina, the departed hero, who lent himself to the process of building connections between the new space and the club.
Stories about great dead figures are swiftly woven into the making of a specific social group or nation. In this way, a person is converted into a mystical being via their death, which marks the domain of heroes.\textsuperscript{35} Such a narrative leads the main character, Ivan Turina, into the realms of immortality, which is achieved through the help of those who compose the stories. As Aleida Assmann points out:
Physical death could be overcome by immortalizing the name and deeds of the individual, and in such a culture the poet was held to possess a special gift (or magic power) of long-distance communication, thanks to which he could address even the unborn generations of the future.\textsuperscript{36}
This short quote marks a very special ability that poets have, namely, to immortalize a dead person. As Assmann puts it, the “poet’s function was that of a gatekeeper to eternal glory.” But the emphasis on the protagonist of the narrative is only one side of the coin, and already in Renaissance writing
\textsuperscript{32} Barthes, 117–118.
\textsuperscript{33} David Herman, \textit{Basic Elements of Narrative} (Oxford: Wiley-Blackwell, 2009), 20.
\textsuperscript{34} Torbjörn Andersson, \textit{Spela fotboll bondjävlar, del 2. Svensk klubbkultur och lokal identitet från 1950 till 2000-talets början} (Stockholm/Höör: Östlings Bokförlag Symposion, 2016), 382–390.
\textsuperscript{35} Arvidsson, 38.
\textsuperscript{36} Aleida Assmann, \textit{Cultural Memory and Western Civilization: Functions, Media, Archives} (Cambridge: Cambridge University Press, 2011), 29.
the poets became equally celebrated for their ability to guide a dead person to eternity. In other words, composing these kinds of narratives celebrated not only the hero, but also the writer.\textsuperscript{37} This point translates also to Turina and the fans, the composers of his fame. Although supporters and the club continue to pay homage to their dead goalkeeper, they glorify themselves as well in their striking persistence and ability to compose narratives around his death. To grant immortality, one has to have special powers. Being able do it brings fame and recognition to fans and AIK as well.
\textit{Rituals for football immortals}
Any kind of fandom invites various forms of engagement and participation, and new opportunities to create artistic expressions are welcomed.\textsuperscript{38} Many of my interviewees claim that people come to watch the supporters and not the game on the pitch.\textsuperscript{39} Banners, chants, and various routines create a specific atmosphere at stadiums. The framing of a game has become very important, and many supporter organizations work actively to regularly create new
\begin{itemize}
\item \textsuperscript{37} Ibid., 37.
\item \textsuperscript{38} Jakob Löfgren, “For the company, the fun, I forgot that bit...the excuse to dress up – Discworld-fandom i Wincanton som intertextuell lek,” Budkavlen (2012), 26–44.
\item \textsuperscript{39} Jonatan, interview, Malmö, March 21, 2013.
\end{itemize}
songs and displays. They also need new themes. Drawing from Henry Glassie’s work, one can say that tradition sustains the process of deriving the future from the past.\textsuperscript{40} It creates an image of the club and its supporters; it also helps to establish stability when many drastic changes have happened. Turina’s death was an opportunity to create a ritual which would last and become a tradition that is future-oriented, consolidating fans for seasons to come. Rituals can be very diverse, as folklorists Sims and Stephens point out:
Rituals, then, require a set of beliefs and values that group members accept and want to have reinforced. The ritual works to teach their importance by emphasizing – even acting out – their values or beliefs. Like tradition in general, most rituals are simultaneously static and dynamic, with core features that are typically repeated and recognizable but with room for great variation, depending on the group.\textsuperscript{41}
Condolences to AIK and Turina’s family came from all across Sweden. Additionally, during the subsequent fixtures in the Swedish football season, matches were interrupted in the 27\textsuperscript{th} minute, as Turina’s number was 27. The routine was then adopted so that during every match, at home and away, AIK supporters would stop their usual chants and pay their respect to the late goalkeeper: fans raise their hands, shout Ivan Turina’s name, and clap rhythmically. This lasts for about a minute. If AIK plays at its home arena, Ivan’s picture is on display and the dates of his birth and death are shown in digital numbers around the stadium. This commemoration has become a routine part of how fans support their club, and it is integrated into the repertoire of chants and songs used by AIK. But as life goes on and Ivan’s death moves further back in time, some are concerned with the preservation of this emotional display. One supporter, Kristian, said:
And the chant that we have, we… well, it is so that you always think “the next match and the next match,” but we try to keep this one, to keep the feeling, and I know that people try so that it is really sung and stuff, done properly.\textsuperscript{42}
The routine has to be performed “properly,” as Kristian stated. Everyone in the standing section is supposed to raise their hands and shout the goalkeeper’s name. When fans stand together, they are aware of the powerful image they can create. Thousands of hands raised up, thousands shouting “Ivaaaaan Turina,” provide a strong and respectable display. Still, Kristian pointed to the past-present-future pattern that exists here. Although historical elements and narratives appear all the time, the focus is on the upcoming matches, possible victories, and titles to come. Keeping something like Ivan’s chant alive can be tricky. New songs, new players, and upheavals come at a fast, steady pace. Kristian elaborated further by explaining that
\textsuperscript{40} See Henry Glassie, “Tradition,” \textit{The Journal of American Folklore} 108, no. 430 (1995): 395–412.
\textsuperscript{41} Martha Sims and Martine Stephens, \textit{Living Folklore: An Introduction to the Study of People and Their Traditions} (Utah: Utah State University Press, 2011), 99.
\textsuperscript{42} Kristian, phone interview, April 28, 2016.
there was an awareness of this process amongst supporters, and because of this, some fans are particularly interested in doing it well and doing it right. He indicated that, in his opinion, as many people as possible should join in, concentrate for sixty seconds on the dead goalie, and perform the routine. This ritual is highly visual, and as with any kind of ritualizing behavior there is usually consciousness about the aesthetics of the performance.\textsuperscript{43} It is a loud statement of remembrance and the commitment to honor a dead player, but it also bears lineages of significance to the club.
One could also say that while performing the ritual, fans perform emotions. It is an emotional setting when several thousand people commemorate a player, and it stirs and creates a specific atmosphere.\textsuperscript{44} In this context, emotions are employed to function in the ritual. Expressions of grief and sadness after a death has occurred are acceptable displays of emotions. Furthermore, emotions undergo historical change in terms of the way they can be performed.\textsuperscript{45} While the chanting can be deemed an exaggerated form of behavior, it is nevertheless viewed as a beautiful and admirable way to remember Ivan Turina because the function of the ritual goes beyond Turina as a person. It becomes a statement of commitment to AIK and the supporters’ ability to forge a connection with the club.
\textit{Materializing a cult of the dead}
Another level of commitment emerged when some of the supporters traveled to Croatia in 2015, 2016, and 2017 to visit Turina’s grave on the anniversary of this death. In 2016, the grave was decorated with flowers and AIK memorabilia, like football scarves, and then photographed. Photos were then posted online on AIK’s Facebook page.\textsuperscript{46} A picture uploaded by a fan in 2017 lacked AIK-related decorations, but it was uploaded on the anniversary of Ivan’s death. An interviewed supporter commented that about eight to twelve people travel especially for the anniversary, whereas others combine it with other purposes, like vacation.\textsuperscript{47} This could be related to the ancient custom of caring for the dead.\textsuperscript{48}
Such behavior could be described as a pilgrimage. Alex Norman, a scholar writing about tourism and religion, provides a definition of pilgrimage that stresses the individual importance and the experience of a visiting traveler, rather than a connection to an official religious cult.\textsuperscript{49} Thus, visiting places related to celebrities can be classified as a pilgrimage. In the case of Turina’s grave, the visitors are few. His status for Swedish pilgrims is relevant because
\begin{itemize}
\item[43] Arvidsson, 155.
\item[44] Monique Scheer, “Are emotions a kind of practice (and is that what makes them have a history)? A Bourdieuvian approach to understanding emotions,” \textit{History and Theory} 51, no. 2 (2012): 209, 193–220.
\item[45] Ibid., 195.
\item[46] The picture was retrieved in 2016 from AIK’s Facebook page.
\item[47] Oskar, Facebook message to author, June 26, 2017.
\item[48] Aleida Assmann, 23–24.
\item[49] Norman 2011, 321.
\end{itemize}
of his final club, not his achievements per se. In that sense, he has a certain position as long as he is connected to AIK. The celebrity status is negotiated through a socially constructed context. In March 2018, an Italian player died suddenly after a short illness. He was a captain in a club called Fiorentina, having moved there in 2016 from another Italian club. His funeral was attended in mass by fans who chanted, flew banners, and threw scarves at his coffin.\footnote{See \url{http://www.bbc.com/news/av/world-europe-43338134/fiorentina-fans-sing-at-davide-astori-s-funeral}.}
Victor Turner referred to a pilgrimage as a liminal space, the sacred that is the center, compared to the profane periphery of everyday, secular life.\footnote{Turner 1973.} This, of course, presupposes Turner’s point, borrowed from van Gennep, about liminality.\footnote{Caroline Bynum Walker provided a constructive critique of liminality, showing that in some contexts it works only when one accepts a specific, privileged, and male point of view. See Bynum Walker, “Women’s Stories, Women’s Symbols: A Critique of Victor Turner’s Theory of Liminality,” in \textit{Readings in Ritual Studies}, ed. Roland L. Grimes (Upper Saddle River, NJ: Prentice Hall, 1996 (1984)), 71–86.} The journey to Turina’s grave is specific, and it does resemble more “religious” pilgrimages, which Turner described.\footnote{Victor Turner, “The Center out There: Pilgrim’s Goal,” \textit{History of Religions} 12, no. 3 (1973): 191–230.} First, there is a celebration of a migrant worker, who became important through his tragic passing. Second, it happens within a group of supporters. The pilgrimage gains meaning within the framework of the club.
Caring for the dead is not limited here to the family circle, but relative strangers take it up. One could note that in order for it to work, the ritual had to be shared through a media platform that connects AIK fans. It cannot
stand in isolation, as it has to enter the domain of AIK, the last context of relevance for Turina as a professional football player. Turina’s memory is fragile and dependent on upcoming events, situations, and even the new heroes who are going to appear. Thus, sharing photos is a reminder and a message that some of the fans take care of remembering. It creates an image of the club as caring for its players, even the dead ones, but it also transforms the dead person. In this case, it connects him strongly to the Swedish context through the performance of emotions constructed through help of the materiality of the grave and the black and yellow scarves.\textsuperscript{54}
Sharing pictures online allows for an intertextual reading of the symbols embedded in the visit.\textsuperscript{55} A grave that is placed in Croatia has been decorated in 2016 in the colors of a Stockholm team, representing some specific supporter organizations. The scarf featuring Turina has a text in Swedish: “Always missed, never forgotten.” Photographing this display allows others to do the reading and add meanings to it. Stockholm, AIK, the selected organizations, and a football player from Croatia are woven together to produce meanings relevant for a certain group in the Swedish population.\textsuperscript{56}
Maurice Halbwachs stated: “We can understand each memory as it occurs in individual thought only if we locate each within the thought of the corresponding group.”\textsuperscript{57} The deceased goalkeeper transcended national borders and transformed national divisions into connections in the context of football. Fans are used to displaying flags of players’ origins; for example, AIK has Finnish flags with texts about its Finnish players.\textsuperscript{58} After Turina’s death, fans came with Croatian flags. However, making a yearly pilgrimage calls for an almost inordinate commitment, considering the length and importance of Turina’s stay in the club. Furthermore, given the multitude of players who come and go, one cannot remember everyone who has ever played in an AIK shirt. It also contributes to the building and maintaining of AIK’s collective memory. Walter Burkert notes about traditions found among ancient cultures:
The burial, almost as important as the battle itself, was far more lasting in its consequences, for it left an enduring “monument.” It almost seems as though the aim of war is to gather dead warriors, just as the Aztecs waged war in order to take prisoners to use as sacrificial victims.\textsuperscript{59}
Burkert pointed out that the actual killing might not be the most important thing. It is the commemoration, the ability to transform a person of flesh
\textsuperscript{54} Scheer, 194.
\textsuperscript{55} Michael Worton and Judith Still, \textit{Intertextuality: Theories and Practices} (Manchester and New York: Manchester University Press, 1990), 1–44.
\textsuperscript{56} Ibid., 17.
\textsuperscript{57} Maurice Halbwachs, \textit{On Collective Memory} (Chicago: The University of Chicago Press, 1992), 53.
\textsuperscript{58} Field notes 2016.
\textsuperscript{59} Walter Burkert, “The Function and Transformation of Ritual Killing,” \textit{Readings in Ritual Studies}, ed. Roland L. Grimes (Upper Saddle River, NJ: Prentice Hall, 1996 (1983)), 67.
into a symbol for the entire group, which is of significance in this case for the club.
Since AIK supporters persist in commemorating their late goalkeeper, they create memories for the entire group. Turina persists because he has been applied and used on various occasions. This might be an example of a rather violent creation of a collective memory. The word “violent” here means quick and abrupt, disregarding the time needed for memories to consolidate. The historian Jan Assmann acknowledged Halbwachs’s statement that individuals compose memories that are transmitted socially and are relevant to a group.\(^{60}\) However, Assmann was also critical of Halbwachs’s approach because it offered few insights as to the evolutionary character of memories.\(^{61}\) Together with Aleida Assmann, Jan Assmann differentiated between communicative and cultural memory. The first is “based exclusively on everyday communications,”\(^{62}\) while the second is:
characterized by its distance from the everyday. Distance from the everyday (transcendence) marks its temporal horizon. Cultural memory has its fixed point; its horizon does not change with the passing of time. These fixed points are fateful events of the past, whose memory is maintained through cultural formation (texts, rites, monuments) and institutional communication (recitation, practice, observance).\(^{63}\)
Using Assmann’s terminology, one could say that the commemoration of Turina seems to be floating between communicative and cultural memory. Communicative memory, according to Jan Assmann, is handed down from generation to generation and can last about eighty years. Then it moves on to cultural memory, which has a less personal connection and is more of a cultural construct. Although Turina died only a few years ago, his death happened in a specific context in which new supporters appear every year; thus, it needed to be ingrained in the narratives, myths, and routines of AIK supporters. Because of the flood of events, symbols, and references, there is a tough selection process as to what should be kept and what should be left aside. A foreigner, one player among hundreds who had been with the club for only three years, became an icon because of his unfortunate fate. “Dwelling in the past,” as performed in the football context, has to have a purpose. Keeping Turina meaningful to AIK is not as easy a task as it might seem.
One of the scarves displayed on the grave features Turina himself. Scarves, shirts, banners, flags, and even tattoos commemorating him appeared after his death. The merchandise catered to the emotional connection that was suddenly established, but it also gave fans a context and permission to perform and produce this relationship. The memorabilia included objects with invested symbolic power. Sought out and cherished, the objects in turn
---
\(^{60}\) Jan Assmann, “Collective Memory and Cultural Identity,” *Kultur und Gedächtnis*, 9, 19 (1988), 127.
\(^{61}\) Ibid., 127–128.
\(^{62}\) Ibid., 126.
\(^{63}\) Ibid., 128–129.
evoke emotions and memories, strengthening the group through individual performance.\textsuperscript{64} Thus, the objects are happening as well; they gain their power when they are being used, like, for example, on Turina’s grave. The pilgrimage, documented in the form of digital blueprints or photographs, transforms the grave into a monument, since a grave “gives support to the private memories of the family, but a monument reaches out to a far wider community – a polis, or even a nation.”\textsuperscript{65} This transformation is possible because of the cult of death narrative created by supporters.
Turina has also appeared on two magnificent tifos – a big, elaborate canvas usually displayed at the beginning of a match. Supporters refer with pride to the large pictures depicting Turina.\textsuperscript{66} They made history of their own and showed the creativity and strength of the AIK tifo group. Such artifacts are emotionally loaded, but also ephemeral. They are used just once and then they are discarded. Still, they can develop a life of their own with the help of their digital footprint and sharing on social media. Maria said in the interview that “they worked very hard and quick” to get a tifo done for the next home match, and it took them five days to complete it.\textsuperscript{67} In a context of constant change, one has to act fast. With the intensity of the experience, the explosion of rituals and narratives manifests grief, but it also marks a pragmatic approach in using Turina after his death. Furthermore, fans were able to “work” with the situation, as they are familiar with the pattern of a fallen hero coded in the society.\textsuperscript{68}
The described process reflects van Gennep’s thoughts on how funerals become rites of passage. He noticed that the focus is not on separation, but rather on transition, as the dead has to be transported to the other world and his status has to be changed. That requires special magical techniques in order to make sure that it happens properly.\textsuperscript{69} The transition involves the group in mourning, while the length of the rites, their style, and the withdrawal from the mourning period are dependent on the participants’ connection to the dead.\textsuperscript{70} AIK fans used many techniques to ensure that Ivan Turina would be transformed from just an ordinary player into one of the important ones for the club’s identity.\textsuperscript{71}
\begin{itemize}
\item[64] Susan M. Stabile, “Biography of a box: Material culture and palimpsest memory,” in \textit{Memory and History: Understanding Memory as Source and Subject (Routledge Guides to Using Historical Sources)}, ed. Joan Tumblety (Abingdon, Oxon: Routledge, 2013), 196.
\item[65] Aleida Assmann, 33.
\item[66] Field notes 2016.
\item[67] Interview with Maria, Stockholm, March 3, 2015.
\item[68] Hourihan, 46.
\item[69] Van Gennep, 146–165.
\item[70] Ibid., 147.
\item[71] The mourning had not yet ceased as of 2019, which indicates the cultural importance of the goalkeeper.
\end{itemize}
Swedish death: Flexibility of rigid cultural markers
To sum up, Turina’s death served as a driver for forging a deeper connection between AIK, its fans, and its players. It is rare for the combination of all the factors that would allow a group to create a hero overnight to come together and fall into place, as they did in the case of Turina. As sad and regretful as his death was, the event entered the domain of AIK mythology with the potential of providing Turina with immortality. By reproducing a hero’s image, he became a canvas for developing new connections and emotions.\textsuperscript{72}
This event and its commemoration demonstrate that although sport may be viewed as trivial,\textsuperscript{73} it does generate grand symbolic meanings and it works as a catalyst to form emotional connections. In a sense, AIK supporters performed a creative and powerful cult of the dead.\textsuperscript{74} Although there are other instances of players being commemorated by fans, they often come from the same ethnic background, (e.g. Italy). It is of interest that some of the social markers, like Turina’s nationality, were neutralized, while others – namely, his connection to the club – were lifted up as the most meaningful. The narratives around Turina’s death were then designed to be read in a specific way. In other words, the instructions of how to treat and interpret the goalkeeper were inserted into texts, songs, and photos.\textsuperscript{75}
The connection that Turina had with AIK and the impact he had on the club was not obvious prior to his death or even immediately after it, nor could it be taken for granted. His story had to be constructed and performed in a specific way to fit the purposes of a modern football club like AIK.\textsuperscript{76} However, the intense rituals that did rapidly develop, as well as the care that was taken to preserve his fragile memory (which could have evaporated the week following his death), all managed to work together to make Turina into a living tradition. As they glorified and celebrated Turina, fans and also the club celebrated themselves, their commitments and structures, and their abilities to transform a mortal person into an immortal hero. An event denoting the past—namely, a sudden death—served as a marker pushing the club forward and thus, in Henry Glassie’s words, created a tradition.\textsuperscript{77}
\textsuperscript{72} Hourihan, 39.
\textsuperscript{73} Brabazon, 35.
\textsuperscript{74} Halbwachs, 85; van Gennep, 26; Burkert.
\textsuperscript{75} Dorothy Smith. “K Is Mentally Ill,” Sociology 12, 1 (1978).
\textsuperscript{76} See, Hayden White, \textit{Metahistory the Historical Imagination in Nineteenth –Century Europe} (Baltimore and London: The John Hopkins University Press, 1973).
\textsuperscript{77} Glassie, 395.
Bibliography
Online sources
Association of Internet Research. http://aoir.org/
Johansson, Anders, Laul, Robert Holm Stefan & Falk, Fredrik. “AIK-målvakten Ivan Turina har avlidit.” Aftonbladet, May 2, 2013. http://www.aftonbladet.se/sportbladet/fotboll/sverige/allsvenskan/aik/article16704035.ab
“Fiorentina fans sing at Davide Astori’s funeral.” March 8, 2018. http://www.bbc.com/news/av/world-europe-43338134/fiorentina-fans-sing-at-davide-astori-s-funeral
Murray Law, Bridget. “Seared in our memories,” September 2011. http://www.apa.org/monitor/2011/09/memories.aspx
Slayter, Matt. “Bosman ruling: 20 years on since ex-RFC Liege player’s victory.” December 15, 2015. http://www.bbc.com/sport/football/35097223
“Fans pay tribute to tragic York City footballer David Longhurst,” February 1, 2010. http://www.yorkpress.co.uk/news/4882932.Fans_pay_tribute_to_tragic_York_City_footballer_David_Longhurst/
Literature
Andersson, Torbjörn. 2016. *Spela fotboll bondjävlar, del 2: Svensk klubbkultur och lokal identitet från 1950 till 2000-talets början*. Stockholm/Höör: Östlings Bokförlag Symposion.
Assmann, Aleida. 2011. *Cultural Memory and Western Civilization: Functions, Media, Archives*. Cambridge: Cambridge University Press.
Assmann, Jan. 1988. “Collective Memory and Cultural Identity.” In *Kultur und Gedächtnis*, edited by Jan Assmann and Tonio Hölscher, 9–19. Frankfurt/Main: Suhrkamp.
Arvidsson, Alf. 1999. *Folklorens Former*. Lund: Studentlitteratur.
Barthes, Roland. 1972. *Mythologies*. London: Random House.
Brabazon, Tara. 2006. *Playing on the Periphery: Sport, Identity and Memory*. London and New York: Routledge.
Burkert, Walter. 1996 [1983]. “The Function and Transformation of Ritual Killing.” In *Readings in Ritual Studies*, edited by Roland L. Grimes, 62–71. New Jersey Upper Saddle River: Prentice Hall.
Bynum Walker, Caroline. 1996 [1984]. “Women’s Stories, Women’s Symbols: A Critique of Victor Turner’s Theory of Liminality”. In *Readings in Ritual Studies*, edited by Roland L. Grimes, 71–86. New Jersey Upper Saddle River: Prentice Hall.
Davies, Charlotte Aull. 2008. *Reflexive Ethnography: A Guide to Researching Selves and Others*. London and Ney York: Routledge.
Gammon, Sean J. 2014. “Heroes as Heritage: the Commoditization of Sporting Achievement.” *Journal of Heritage Tourism*, 9, 3: 246–256.
Geertz, Clifford. 1973. “Deep Play: Notes on the Balinese Cockfight.” In: *The Interpretation of Cultures*, 412–453. New York: Basic Books.
van Gennep, Arnold. 1960. *The Rites of Passage*. University of Chicago Press: Chicago.
Giulianotti, Richard. 2005. “Sport Spectators and the Social Consequences of Commodification: Critical Perspectives from Scottish Football.” *Journal of Sport and Social Issues*, 29, 386: 386–410.
Glassie, Henry. 1995. “Tradition.” *The Journal of American Folklore*, 108, 430: 395–412.
Halbwachs, Maurice. 1992. *On Collective Memory*. Translated by Lewis A. Coser. Chicago: The University of Chicago Press.
Herd, Katarzyna. 2017. “Constructing Football through Magic – an Ethnographic Account of Football Supporters.” *Soccer and Society*, 18, 7: 1045–1057.
Herd, Katarzyna. 2013. *Dream Factory: Magic and Myth-making in Football*. M. A. Thesis. Lund: University of Lund. Available at https://lup.lub.lu.se/student-papers/search/publication/3954704
Herman, David. 2009. *Basic Elements of Narrative*. Oxford: Wiley-Blackwell.
Hertz, Robert. 1960. *Death and the Right Hand*. Aberdeen: The University of Aberdeen Press.
Hourihan, Margery. 1997. *Deconstructing the Hero: Literary Theory and Children’s Literature*. London and New York: Routledge.
Kennedy, David and Kennedy, Peter. 2010. “Towards a Marxist Political Economy of Football Supporters.” *Capital and Class*, 34, 2: 181–198.
Kennedy, David and Kennedy, Peter. 2012. “Football Supporters and the Commercialization of Football: Comparative Responses across Europe.” *Soccer & Society*, 13, 3: 327–340.
Löfgren, Jakob. 2012. “For the company, the fun, I forgot that bit…the excuse to dress up – Discworld-fandom i Wincanton som intertextuell lek.” *Budakvilen 2012*, 26–44.
Mintert, Svenja-Maria and Pfister, Gertrud. 2015. “The FREE project and the feminization of football: the role of women in the European fan community.” *Soccer & Society*, 16, 2–3: 405–421.
Norman, Alex. “Celebrity Push, Celebrity Pull: Understanding the Role of the Notable Person in Pilgrimage.” 2011. *Australian Religious Studies Review. Special Issue Religion and Celebrity*, edited by Carele M. Cusak, 24, 3: 317–341.
Scheer, Monique. 2012. “Are Emotions a Kind of Practice? (And Is That What Makes Them Have a History?) A Bourdieuvian Approach to Understanding Emotions.” *History and Theory*, 51, 2: 193–220.
Sims, Martha C. and Stephens, Martine. 2011. *Living Folklore: An Introduction to the Study of People and Their Traditions*. Utah: Utah State University Press.
Smith, Dorothy. 1978. “K Is Mentally Ill.” *Sociology*, 12, 1: 23–53.
Stabile, Susan M. 2013. “Biography of a Box: Material Culture and Palimpsest Memory.” In *Routledge Guides to Using Historical Sources. Memory and History. Understanding Memory as Source and Subject*, edited by Joan Tumblety, 194–211. Abingdon, Oxon: Routledge.
Turner, Victor. 1973. “The Center out There: Pilgrim’s Goal.” *History of Religions*, 12, 3: 191–230. Chicago: The University of Chicago Press.
van Uden, Jacco 2005. “Transforming a Football Club into a ‘Total Experience’ Entertainment Company: Implications for Management.” *Managing Leisure*, 10, 3: 184–198.
White, Hayden. 1973. *Metahistory the Historical Imagination in Nineteenth –Century Europe*. Baltimore and London: The John Hopkins University Press.
Worton, Michael and Still, Judith. 1990. *Intertextuality: Theories and practices*. Manchester and New York: Manchester University Press.
Legends about Christian saints who were martyrs are central to identity construction among Coptic Orthodox Christians in Egypt and their worldwide diaspora, which has spread mainly to North America, Australia, and Europe. These narratives of holy martyrs represent a model of the conviction that one’s belief in Jesus Christ is worth being persecuted or even killed for. When I started ethnographic research on religious education among Coptic communities in Switzerland in 2008, I interpreted these popular stories about Coptic saints too quickly as a rhetoric of their diasporic imagination of homeland traditions.\(^1\) During a stay in Egypt in 2010–2011, however, my perspective changed profoundly when I witnessed the consequences of a bomb attack at al-Qiddissin Church in Alexandria, killing 23 Copts and seriously injuring 80 more. In the wake of this crisis, I observed that sacred icons, as well as popular icon pictures of Coptic saints and ancient martyrs, were incorporated into the complex visual and synaesthetic narratives that play a central role in contemporary mourning practices, not only on the local and regional levels but on a transnational level as well.
When analyzing this case in detail, I found that, specific Coptic martyr cults in the Middle East and North Africa (known as the MENA region) are embedded in the widespread practice of declaring death or murder as martyrdom for one’s community, either for national or ethno-religious identification. In particular, the revolutionary events since 2011 have revived and popularized the discourse on *national* martyrdom. Against this national and regional background, I ask whether it is still appropriate to characterize the narratives about Coptic Orthodox martyrs as a *culturally specific* coping strategy that supports collective remembering of the lost persons, as well as the continuity of identity constructions in the dual culture of Muslim and Christian belonging, particularly in Egypt.
However, it is important to stress that these practices of mourning and remembering about victims are not limited to Coptic Orthodox communities in the countries of origin; they have also been followed
---
\(^1\) William Safran, “Diasporas in Modern Societies: Myths of Homeland and Return” in *Diaspora* 1, 1 (1991): 83–99.
closely in the transnational networks of Coptic Orthodox Egyptians living abroad. The sociocultural spaces of Coptic websites, social media such as Facebook, and other forums of digital communication were intensively used to communicate about the terror attack in Alexandria in early 2011 and the following upheavals during the revolution, in which Coptic people organized special demonstrations in order to articulate formal and informal mechanisms of discrimination being waged against them in Egyptian society. In particular, the internet, which functions as a transnational social field,\(^2\) was activated by different groups of national diasporas (e.g., from Coptic churches in Canada, the U.S., or Australia) to express their grief and compassion for the victims in Egypt, and to demonstrate their solidarity with the Coptic Orthodox Christians and their authorities, presenting a unified group in need of international support in order to protect their rights as a religious minority, especially in predominantly Muslim societies. Within these transnational discourses and debates, references to ancient Coptic saints – most often to ancient Coptic martyrs – play a significant role. An important part of my path of anthropological understanding of these references to ancient martyrs was seeing them as an essential link in the contemporary sociocultural strategies of Coptic Christians globally coping with challenges and the consequences of violent attacks against them. Although the central part of this chapter focuses on historically transferred and contemporary narratives on Coptic martyrdom in Egypt, it is necessary to start with general remarks on death and dying in Christian Orthodox diasporas, especially as these are centered in relation to transnational life in destinations of immigration in the West.
**Concepts of dying in the immigration context**
The mourning and funeral practices of Coptic communities settled in Switzerland and Germany were not the primary topic of my original research.\(^3\) As Orthodox Christians in these immigration contexts made extensive use of Catholic and Protestant churches for their services and social gatherings, I expected that they would also use Christian cemeteries or other public burial places. During various conversations and study of the related literature, I had not come across special denominational needs or ritual obligations for the final rite of passage. Nor did people talk publicly about ordinary dying and what to do with corpses, such as whether they should be
---
\(^2\) Peggy Levitt and Nina Glick-Schiller, “Conceptualizing Simultaneity: A Transnational Social Field Perspective on Society,” in *International Migration Review* 38, no. 3 (2004): 1002–1039.
\(^3\) Thanks to funding from the Jacobs Foundation in Zurich, I spent three months in Switzerland as a member of the “Youth, religion, and migration” fellowship; see *Jugend, Migration, Religion*, ed. Brigit Allenbach, Urmila Goel, Merle Hummrich, and Cordula Weisskoeppel (Baden Baden: Nomos, 2011). This enabled me to start multi-sited research on practices of religious education in the transnational social space of Orthodox Christians living in Europe.
transported to their respective regions of origin in Egypt.\textsuperscript{4} Alistair Hunter’s recent research on this topic among different Orthodox Christian groups in Western immigration countries confirms that there are a number of attitudes on how to deal with the dead;\textsuperscript{5} a more pluralistic approach is apparent, and no strict religious or spiritual rules seem to exist. From the perspective of individuals, socio-emotional, spiritual, or practical reasons are articulated in support of preference for a burial location either in the country of origin or the country of one’s primary residence.\textsuperscript{6} According to Hunter, there was also a widespread attitude of indifference among his informants, attributed to Christianity’s belief that the human soul is transient at the moment of death: wherever the central process of transcendence occurs, the soul is believed to leave the material body and become one with God. The question of where this transformation is symbolically located and remembered varies according to different local habits and theological beliefs. However, some Orthodox Christians may articulate the wish to be buried at special or sacred places, like family tombs, where their ancestors’ remains are present, or monasteries close to the tombs of important saints.\textsuperscript{7} During my contact with mainly adolescent Copts in Switzerland during 2008 and 2009, I was informed about the popularity of Coptic saints who still have a far-reaching influence on the transnational communities, such as Saint Mena, a Coptic martyr who lived during the Roman Empire. It was strongly acknowledged that Copts from Europe and the U.S. combined their trips to Egypt with pilgrimages to this saint’s grave near Alexandria for the purpose of contemplation and prayer. These vivid stories about transnational pilgrimages to sacred sites of Coptic martyrs, along with other narratives about the country of origin, made me curious. I therefore decided to travel to the country of origin, and specifically to Alexandria on Egypt’s Mediterranean coast, as this city and region were historically highly important for the genesis of the Coptic Orthodox Church. Once there, I received deeply worrying news about events leading to contemporary incidents of “martyrdom.”
\textsuperscript{4} As soon as I talked to Muslim Egyptian people in Germany during another piece of research on Egyptian clubs (Cordula Weisskoeppel, \textit{Study and Mapping of the Egyptian Diaspora in Germany}, ed. Gesellschaft für Internationale Zusammenarbeit (Eschborn: GIZ 2015)), I realized that questions regarding where to bury the remains of family members were of special concern, especially in terms of how to finance and organize a transnational transfer.
\textsuperscript{5} Alistair Hunter, “Staking a Claim to Land, Faith and Family. Burial Location Preferences of Middle Eastern Christian Migrants,” \textit{Intercultural Studies} 32, 7 (2016): 179–194.
\textsuperscript{6} Hunter, 183.
\textsuperscript{7} Ibid., 186.
Ethnography in the aftermath of terror
During my fieldwork in Coptic Orthodox communities in Alexandria, suspected Islamist extremists set off a bomb at an important and large church on New Year’s Eve 2011. The bomb exploded in front of al-Qiddissin (in English: The Church of Saint Mark and Saint Peter) in the suburb of Sidi Bishr. Twenty-three Copts died in the explosion. They had just left the midnight prayer and were standing in front of the church. More than 80 other people were seriously injured. Around 1,000 people who had attended the midnight prayer in the church were witness to the attack and its tragic consequences. For this reason, I speak of a collective trauma.\(^9\) Not only did those who were directly involved have to cope with the traumatic experience of being the target of a strategically planned terror attack, but all the family members and friends of the victims and injured persons, as well as many members of different Coptic communities in Alexandria (and from other Christian congregations), did as well. While I was not present at the church during the attack, I was, of course, deeply shocked when I became aware of what had happened during the night. In the days that followed, I tried to stay in close contact with my mostly young informants from another Coptic church in Alexandria. It became clear that I had to change my research focus away from religious education and toward the question of how Coptic people expressed their feelings after this terror attack and what kind of mourning practices were observed.
Initially, I was irritated by the fact that many Copts with whom I talked were \textit{not} really concerned by the reports in the local and international media on the contested question of which organization or group could be identified as responsible for the terror attack. For many of my informants, it seemed quite clear that there were radical Islamic (i.e., also political) forces in Egypt who commit strategically planned violence against Christians, especially against Orthodox Copts.\(^{10}\) Copts have been the target of discriminatory acts and violent attacks for centuries. Especially since Egyptian nation-building during the 20th century was highly influenced by Islamic forces, the increased influence of radical movements like Salafism and Wahhabism, originating in Saudi Arabia, have become a reality. For many Copts, the
\begin{footnotes}
\item Many thanks to all my research partners in Alexandria, but especially to the Copts and friends who cared for me during these days of crisis. The extremely productive exchanges we had helped me to develop an ethnographic understanding how Coptic people cope with the traumatic realities of being a potential target of violent attacks.
\item Wulf Kansteiner, “Menschheitstrauma, Holocausttrauma, kulturelles Trauma: Eine kritische Genealogie der philosophischen, psychologischen und kulturwissenschaftlichen Traumaforschung seit 1945,” in \textit{Handbuch der Kulturwissenschaften}, ed. Friedrich Jaeger and Jörn Rüsen (Stuttgart, Weimar: J. B. Metzler, 2004), 109–139.
\item Especially the recent series of terror attacks carried out inside Coptic Orthodox churches (in Cairo in December 2016 and in Tanta in March 2017) supports this widespread belief that there is a strategically organized campaign of violence against the Coptic population in Egypt.
\end{footnotes}
question of what kind of terrorist network was responsible was, therefore, of secondary concern. Their primary focus centered much more on their identification as victims; in both formal and informal discourses, spread by Coptic institutions as well as the international media, there was no hesitation to characterize the twenty-three murdered victims as “martyrs” of the Christian faith. The fact that these persons were murdered in front of their own church during midnight prayer was sufficient for them to be called religious martyrs. From my perspective as a foreign, non-Coptic observer, I hesitated to label them as (active) martyrs, because they went there as unsuspecting believers. This first important insight was confirmed by my continued ethnographic documentation of public mourning during the aftermath of the bomb attack. During this crisis, after having experienced severe acts of violence against some of their members and the symbolic body of their church, the majority of Copts immediately referred to their historically established narrative of martyrdom, which is represented especially by images. Diverse representations of ancient martyrs, such as the popular Saint George, have been spread via icons throughout the Christian world since the 13th century.\footnote{Robin Cormack, \textit{Icons} (London: The British Museum Press, 2009), 74.} However, the glorification of martyrs to sainthood has a much longer tradition.
\textit{Contemporary reference to ancient martyrs}
Since the early spread of Christianity in Egypt during the 2nd and 3rd centuries CE under the leadership of the apostle Mark, Copts were accustomed to defending their faith against secular rulers from the Roman or Greek Empires, as well as against other Christian theological streams. A number of them were so devoted to the newly established religion that they were willing to die for their faith. Several sources report that under the Roman emperor Diocletian in the 3rd century, more than 800,000 Christians died as martyrs.\footnote{Fouad N. Ibrahim, \textit{Das wunderbare Wirken des koptischen Papstes Kyrillos VI (1902–1971)} (Fürth: Flacius Verlag 1990), 11; Saphinaz-Amal Naguib, “The Era of Martyrs: Texts and Contexts of Religious Memory,” in \textit{Between Desert and City: The Coptic Orthodox Church Today}, ed. Nelly van Doorn-Harder and Kari Vogt (Oslo: Novus Forlag, 1997), 124.} Even today, popular Orthodox icons relate the hagiographies of famous martyrs, like the story about St. Mena. He became a very popular saint in northern Egypt in the late 3rd century after his martyrdom by Emperor Diocletian, who persecuted all soldiers who openly proclaimed Christian convictions.\footnote{Naguib, 124; Yacoub Malaty Tadros, \textit{Introduction to the Coptic Orthodox Church} (Alexandria: St. Girgis, own publication, 2010), 26–28.} Legend has it that the corpse of Mena was found in the desert of Marriut (the region between Alexandria and Borg El Arab) by two camels taking a rest. During this incident, holy “sources”\footnote{One version of the legend is that it might be a water source, which made this place a sacred center which then became the focus of a “regional cult” (Pnina Werbner, “Langar: Pilgrimage, Sacred Exchange and Perpetual Sacrifice in a Sufi...
were also discovered at this place. From an art historian’s perspective, the image of St. Mena represents the prototype of a “portrait icon,”\textsuperscript{15} which shows the martyr as a human character stylized with symbols that communicate the main features of his story, namely, his transformation from a martyr into a holy being who made healing potentially accessible. Since the early beginnings of iconographic artifacts, they have served as representations of the living, as well as of a corpse that has transcended to a sacred condition.
Although the visual plays an important role in remembering the material condition of human beings, one should be aware that other sensual practices fuse into this process of reconstruction and imagination. Mieke Bal speaks of the “synaesthetics of visuality,”\textsuperscript{16} which “involves bodily sensations that cannot be reduced to perception through the eye.” Following the Orthodox Christian tradition of contemplation in front of icons, it is quite obvious that these religious pictures are combined with practices of narration as a kind of oral or written history and with practices of ritual performance, whereby icons are used as mediators toward their saints and as a means of communication with God (or the metaphysical). Referring to the synaesthetic or multisensual approach\textsuperscript{17} shared by many authors following the “iconic turn,”\textsuperscript{18} I documented ethnographically how these icon pictures were embedded in a wider landscape of symbolic and ritual practices of mourning among
Saint’s Lodge,” in \textit{Embodying Charisma: Modernity, Locality and the Performance of Emotion in Sufi Cults}, ed. Pnina Werbner and Helene Basu (London: Routledge, 1998), 95–116; it gained further popularity during the 5th and 6th centuries due to a special oil produced for healing purposes. This oil was spread throughout the Mediterranean Sea by so-called “St. Mena bottles,” which were decorated with the typical icon depicting the martyr always accompanied by two camels: See Martina Bagnoli, Holger A. Klein, Griffith C. Mann, and James Robinson, \textit{Treasures of Heaven: Saints, Relics and Devotion in Medieval Europe}, ed. The British Museum (London: The British Museum Press, 2011), 43; Gawdat Gabra and Marianne Eaton-Krauss, \textit{The Illustrated Guide to the Coptic Museum and Churches of Old Cairo}, ed. Supreme Council of Antiquities (Cairo, New York: The American University in Cairo Press, 2007), 221; Yacoub Malaty Tadros, 27.
\textsuperscript{15} Cormack, 63.
\textsuperscript{16} Mieke Bal, “Visual Analysis,” in \textit{The Sage Handbook of Cultural Analysis}, ed. Tony Bennett and John Frow (Los Angeles, London, New Delhi and Singapore: Sage, 2008), 171.
\textsuperscript{17} David Howes and Constance Classen, \textit{Ways of Sensing: Understanding the Senses in Society} (New York: Routledge, 2014).
\textsuperscript{18} Doris Bachmann-Medick, \textit{Cultural Turns: Neuorientierungen in den Kulturwissenschaften} (Reinbek: Rowohlt, 2007); Hans Belting, \textit{Faces: Eine Geschichte des Gesichts} (München: C. H. Beck, 2013); Peter Bräunlein, “Bildakte: Religionswissenschaft im Dialog mit einer neuen Bildwissenschaft,” in \textit{Religion im kulturellen Diskurs: Religion in Cultural Discourse}, ed. Brigitte Luchesi and Kocku Von Stuckrad (Berlin, New York: Walter de Gruyter, 2004), 195–234; W. J. T. Mitchell, “Der Pictorial Turn,” in \textit{Privileg Blick: Kritik Der Visuellen Kultur}, ed. Christian Kravanga (Berlin: Edition ID-Archiv, 1997), 15–40; David Morgan, \textit{The Sacred Gaze: Religious Visual Culture in Theory and Practice} (Berkeley, Los Angeles, London: University of California Press, 2005); Terence Wright, \textit{Visual Impact: Culture and the Meaning of Images} (Oxford: Berg, 2008).
contemporary Copts. The concept of *deathscape* may be applied here, which includes the spatial localization of the dead and interaction between the living and dying in sites of mourning and commemoration. From my reading, this concept focuses primarily on “death” as a spatial phenomenon, though as a boundary marker it is still flexible. However, I would like to emphasize much more the *practices*, the synaesthetic activities and performances of the
---
19 E. K. Teather, “The Case of the Disorderly Graves: Contemporary Deathscapes in Guangzhou,” *Social and Cultural Geography* 2, no. 2 (2001): 185–202.
20 Hunter, 180.
living in their strategies to cope with loss and their emotional struggle to make sense of the violent and sudden death of others. Therefore, I follow Terence Wright, who postulates on a more abstract level that religious pictures, including the practices of their production and presentation, operate within “systems” of representation that “can introduce and exploit novel means of communicating through pictures.”\textsuperscript{21} I would describe this system of representation as a kind of concatenation of visual and discursive practices performed at different public locations of mourning. While these geographical sites were used mainly by local Copts in Alexandria and in northern Egypt, the practices of visualization had a particular potential to reach audiences on the transregional and transnational level. Through the internet they were able to evoke worldwide compassion for those Coptic communities in Egypt who had become targets of violent terror, particularly among the diaspora.
**Visual narratives: The transformation from Bloody Victims to Holy Martyrs**
After I contacted my informants via smartphone and social media, they provided me with links to Coptic websites where I could find more detailed information about the church bombing. On the website of al-Qiddissin Church, photographs of wounded survivors and the disfigured bodies of the dead had been posted. I was shocked by the direct representation of violence through these images.\textsuperscript{22} They documented the bloody aftermath of the bomb attack and showed the grievous injuries, including bodies burned beyond recognition. One could also see how the survivors attended to the injured, accompanying them into ambulances or covering the bodies of the dead with linen or sheets of newspaper. Some photos showed the devastation of the church and entrance area. Well-known local priests were shown praying at the hospital beds of the injured, including both adults and children. I realized that many Coptic people who were not present at this midnight prayer – and, of course, also followers from the worldwide Coptic diaspora – would have done the same as me, looking at these horrible pictures on the internet and afterwards trying to come to terms with them, attempting to grasp the extreme violence of the attack.
After a few days, some of my Coptic informants directed my attention to the personal sites of deceased persons on social media and on the al-Qiddissin website. Family members had created visual life stories of those who had died. The different stages of their biographies were presented in the form of photographs showing moments of joy and celebration, “informal shots of everyday settings.”\textsuperscript{23} In most cases, a recent portrait of the dead
\textsuperscript{21} Wright, 10.
\textsuperscript{22} See Carolyn M. Ramzy, “To Die Is Gain: Singing a Heavenly Citizenship among Egypt’s Coptic Christians,” \textit{Ethnos: Journal of Anthropology} 80, no. 5 (2015): 641.
\textsuperscript{23} Daniel J. Gilman, “The Martyr Pop Moment: Depoliticizing Martyrdom,” \textit{Ethnos: Journal of Anthropology} 80, no. 5 (2015): 698.
person had been altered to show the individual wearing a white religious robe and a crown on his or her head.\textsuperscript{24} The grievously wounded victims, the evidence of which had been captured in photographs taken immediately after the attack, had been visually transformed into purified bodies and glorified persons who were now ready for the “passage into ‘Otherness,’” as Elizabeth Hallam and Jenny Hockey have formulated. This “passage,” they write, “engages memorial making that might, on the one hand, seek to represent the corpse as a perfected and stable body that refers back to the person in life, and on the other, attempts to portray the disappearance of the body in decompositions.”\textsuperscript{25} Even before the Coptic Orthodox Church in Cairo officially declared that those killed in the bombing should be classified as martyrs, the online visual narratives appeared to be part of a process of rehabilitation and transformation, paving the way for the dead to be glorified as Christian martyrs. Meanwhile, one could find a multimedia collage of almost all of the victims, portrayed in this purified style, on the official website of the al-Qiddissin Church. They were shown as a group, all dressed in the white robes usually worn by deacons during religious services, being guided by Jesus to “paradise” in an Eden-like setting. The collage was set in a lush green and flourishing landscape, including wild animals (e.g., a lion), flowers, trees, children, and adults.\textsuperscript{26} At this stage of the “passage to Otherness,” the dead were not wearing crowns; only Jesus had a crown as a sign of his holiness. Just one week after the attack, during the Coptic Christmas, this complex collage was reproduced as a large poster and placed in the entrance hall of al-Qiddissin Church, the very location of the bomb attack. There was a heavy presence of police and soldiers, and many people went there to mourn and memorialize. Expressing their grief in front of this poster, they then documented it by using their smartphone cameras. In this way, via social media, they were able to spread the image throughout their personal networks in Egypt, as well as among the transnational diaspora.
David Morgan underlines this complex, synaesthetic view when dealing with visual representations: “Images shape religious meaning by working in tandem with other artifacts, documents, and forms of representation, such as texts, buildings, clothing, food, and all manner of ritual.”\textsuperscript{27} To this list can be added contemporary digital technologies of visualization (and of sound production),\textsuperscript{28} which enabled members of Coptic communities to create, design, and interact with these images at the localized deathscape, as well as on a transregional and transnational level, through online reproduction and proliferation. “Turning victimhood into martyrdom requires much
\begin{itemize}
\item[24] See also photograph in André Aciman, “After Egypt’s Revolution, Christians Are Living in Fear,” \textit{The New York Times}, November 20, 2011, 6–7.
\item[25] Elizabeth Hallam and Jenny Hockey, \textit{Death, Memory and Material Culture} (Oxford: Berg, 2001), 133.
\item[26] See Ramzy, 652, 660.
\item[27] Morgan, 52.
\item[28] Charles Hirschkind, \textit{The Ethical Soundscape: Cassette Sermons and Islamic Counterpublics} (New York: Columbia University Press, 2006); see Ramzy, 649–670.
\end{itemize}
work,” argues Amira Mittermaier, emphasizing the performative act as being necessary to construct productive meaning out of the experience of sudden loss by violent terror. Following this constructionist-performative approach, from a long-term perspective it becomes clear that these digitally created posters of the murdered persons were used in different contexts: in the public space of the internet, as well as at sacred places for mourning and remembrance, especially at St. Mena Monastery. In the center of the commercial area for the pilgrims, another blown-up version of the poster of the al-Qiddissin victims was installed. This time, each of the deceased was shown wearing a golden crown, the assembled group gathered in front of a crowned Jesus, officially declaring that they were all Christian martyrs.
“Performances need to be constantly reaffirmed, and they require an audience—one that might change over time and that might pull the interpretation in different directions,” writes Mittermaier. For me, the central question is still whether these kinds of repeated representations of the al-Qiddissin victims to different audiences at different sites contributed to variations of interpretation or whether it was more a part of the reaffirmation of a hegemonic coping strategy within Orthodox Christianity, which transforms the worst possible event into something good or even something great. In this case, the terrible killing by terrorists led to the most desired form of status transformation, namely, to be changed from a pious and faithful believer into a heroic martyr defending the Christian faith against violent counterforces. In order to generate different approaches to this open question, it is also helpful to look at the specific burial and mourning rituals for the dead, both for contemporary victims and ancient martyrs. No place could be better suited for this than St. Mena Monastery.
The embedding of visual mourning practices into ritual-performative activities
Two days after the bomb attack, a mass funeral for the 23 victims was held outside Alexandria. People told me that St. Mena Monastery, 120 km west of Alexandria, next to Borg El Arab, was chosen for the funeral because officials from the Coptic Church wanted to avoid clashes between the
---
29 Amira Mittermaier, “Death and Martyrdom in the Arab Uprisings: An Introduction.” *Ethnos: Journal of Anthropology*, 80, no. 5 (2015): 588.
30 Among others, see Judith Butler, *Frames of War: When Is Life Grievable?* (Brooklyn: Verso, 2009) and *Gender Trouble* (Frankfurt am Main: Suhrkamp, 1991).
31 One could find these pictures also in written and visual documentaries (i.e., brochures and videos sold in bookshops) depicting the whole “event” of the terror attack.
32 Mittermaier, 588; see Ramzy, 657; see also John Fiske, “Wie ein Publikum entsteht: Kulturelle Praxis und Cultural Studies,” in *Widerspenstige Kulturen*, ed. Karl H. Hörring and Rainer Winter (Frankfurt am Main: Suhrkamp, 1999), 238–263.
33 I came across this expression in the article by Farha Ghannam, “Technologies of Immortality, ‘Good Endings,’ and Martyrdom in Urban Egypt,” *Ethnos: Journal of Anthropology* 80, no. 5 (2015): 630–648.
Coptic and Muslim populations in the megacity of Alexandria. However, for external observers\textsuperscript{34} as well as for domestic experts, it seemed very clear that the burial of the dead at St. Mena Monastery was a highly symbolic decision to incorporate the victims of al-Qiddissin into the Coptic Orthodox landscape of ritual remembrance for martyrs of past centuries. Building a collective tomb for the 23 victims of the terror attack at this site was the best opportunity to demonstrate continuity between ancient and contemporary forms of Christian martyrdom. The site, furthermore, connects Copts worldwide, through pilgrimage and the reverence of martyrs.
The legend of Saint Mena represents one of the oldest stories about a Coptic martyr in northern Egypt, yet even today Coptic people, including migrants from different countries of residence, turn to him for prayer and healing purposes. Some of his relics are stored in shrines within the monastery, and on special occasions throughout the year these shrines are visited by pilgrims for ritual purposes. It is important to note here that St. Mena Monastery was
\textsuperscript{34} Ramzy, 657; Angie Heo, “The Bodily Threat of Miracles: Security, Sacramentality, and the Egyptian Politics of Public Order,” \textit{American Ethnologist} 40, no. 1 (2013): 149–164.
founded and built by the Coptic Pope Kyrollos VI at the end of the 1950s.\textsuperscript{35} In a way, the worship of holy saints and priests has been encouraged and sanctified at St. Mena Monastery, and it is interesting that the performative acts at their tombs and reliquary shrines were quite similar to the practices at the newly built tomb of the victims of al-Qiddissin.\textsuperscript{36} One could observe
\textsuperscript{35} See Ibrahim; see also Nelly van Doorn-Harder, “Kyrillos VI (1902–1971): Planner, Patriarch and Saint,” in \textit{Between Desert and City: The Coptic Orthodox Church Today}, ed. Nelly van Doorn-Harder and Kari Vogt (Oslo: Nocus Forlag, 1997), 231–243. As a young monk, Pope Kyrollos VI developed an intense rapport with the spirit of St. Mena, thus acquiring his healing power, and was also able to perform miracles. Consequently, he became very popular among the poor and rural population, even among Muslims. Since his death in 1971, the monastery has prospered and grown. His personal tomb is found in one of the cathedrals, and local as well as translocal followers make pilgrimages there, especially on the anniversary of his death, March 9.
\textsuperscript{36} Being already sensitive to the complexity of aesthetics at such ritual sites, during two ethnographic visits to the monastery I took a number of photographs with my smartphone in order to add visual data to my written diary; see Marcus Banks and David Zeitlyn, \textit{Visual Methods in Social Research} (London, Thousand Oaks, New Delhi: Sage, 2015); Sarah Pink, \textit{Doing Sensory Ethnography} (Los Angeles,
how believers searched for direct physical contact with the remains of the late Pope Kyrollos VI, symbolized by the tomb in which his relics are said to be located. People surrounded the whole tomb, leaning on it, touching it with their hands, kneeling down, or having a rest between the wall and the tomb. People prayed silently or left written messages or intercessions on top. The surface of the tomb is decorated with a mimetic painting of the pope, dominated by a detailed portrait of his face. In addition, a number of black-and-white photographs on the walls surrounding the tomb show the pope at events with other religious or political authorities. People also touched these pictures to connect with his spirit, which is believed to act as a medium to God. Young deacons explained to me that this performative practice is done in order to stay in close contact with the spirit of the dead, thereby enhancing one’s relationship with God.
As an observant participant, I was impressed by the way in which different body techniques and sensual practices – like touching, feeling, seeing, and articulating – became one during individual contemplation at the shrines. It was an excellent example of the “synaesthetic character”\(^{37}\) of the ritual inclusion of icon pictures of saints and other holy men; the visual representations of the (dead) person were embedded in the different ways the living approached the dead. This inspired me to consider a double procedure of incorporation. On one hand, the living person tries to get as close to the dead as they can, and on the other hand, the space of the whole shrine encompasses the living, as the visitor has to expose themselves to the dead. Pinney,\(^{38}\) and later Coleman, speaks of a “corpotheric character” of ritual techniques: “how believers may not merely contemplate, but also bodily engage and elide the self with images.”\(^{39}\) These observations of body techniques to approach the dead – or, more precisely, their remains – were clearly confirmed when I analyzed the two-hour video documentation\(^{40}\) of the funeral ceremonies at St. Mena Monastery for the victims of al-Qiddissin: each of the 23 coffins was brought into the inner space of the cathedral, where a large crowd of Copts had gathered. In this final stage of the “passage to Otherness,” the living were in close contact with the dead. The many participants, as well as the priests of the funeral ceremony, represented the metaphorical body of the Coptic community, which included the corpses inside the coffins. Before transporting the coffins into the collective tomb, people could carry and touch them a final time. The synaesthetic-performative practices at tombs of ancient Coptic saints and
---
California: Sage, 2009). Although it is not possible to include these pictures here, my analysis is based on this visual documentation.
\(^{37}\) Bal, 171.
\(^{38}\) Christopher Pinney, “Piercing the Skin of the Idol,” in *Beyond Aesthetics: Art and the Technology of Enchantment*, ed. Christopher Pinney and Nicholas Thomas (Oxford, Berg: 2001), 157–179.
\(^{39}\) Simon Coleman, “Constructing the Globe. A Charismatic Sublime?,” in *Traveling Spirits: Migrants, Markets and Mobilities*, ed. Gertrud Hüwelmeier and Kristin Krause (London, New York: Routledge, 2010), 188.
\(^{40}\) The first time I watched this video was on January 7, 2011, when my Arabic teacher invited me to her family’s home to celebrate Coptic Christmas.
former popes or priests seemed very similar, therefore, when compared with the ritual gestures in the funeral ceremony and mourning practices at the newly established mass tomb. In both cases, the central task for living persons seemed to be to demonstrate close bodily contact with the dead martyrs, who were symbolically represented by the materiality of the coffins \textit{and} by different modern techniques of visualization.\footnote{See Peter Brown, \textit{The Cult of Saints: Its Rise and Function in Latin Christianity} (Chicago: Chicago University Press, 1981).} Copts in the diaspora were able to participate through virtual presence and observation. Offering these pictures, digital photos and collages, or video documentaries on the internet was only one step in the ongoing process of transformation.
The Copts depicted the stage of being victimized by means of detailed photo documentation of the disfigurement of the dead immediately after the attack. These horrible pictures were quickly replaced by the photo collage showing the victims as holy, purified martyrs.\footnote{It should be noted that there was nearly no public documentation of the suffering and grieving of the family members and friends who had survived, and there was little visual documentation about the lengthy and complicated treatment of the severely injured persons in hospitals; see Monika Maier-Albang, “Ausrufen in Frieden: Die beim Anschlag in Alexandria verletzten Kopten werden in Münchner Kliniken behandelt,” \textit{Süddeutsche Zeitung}, February 2, 2011, 35.} I have learned that this sudden creation of digital “icon portraits” was motivated by a dominant cultural “script”\footnote{Peter J. Bräunlein, \textit{Passion: Rituale des Schmerzes im europäischen und philippinischen Christentum} (München: Fink, 2010), 497. Bräunlein worked on public cults of self-victimization and self-crucifying among Catholics in the Philippines; he interprets these practices as an extreme act of subjective mimesis in order to experience authentic “Passion,” as represented by Jesus Christ. This kind of mimesis is acted out by the individual’s body, by ritual corpothetics, and by glorifying others who suffered and were tortured until they died. These latter provide the model or the culturally and religiously legitimized script. This path of interpretation inspired me to look at Coptic mourning practices in the context of martyrdom from the theoretical perspective of mimesis: see Michael T. Taussig, \textit{Mimesis and Alterity – a Particular History of the Senses} (London, New York: Routledge, 1991).} that assisted Coptic people in coping with their individual and collective traumas after the bomb attack (and after other historical experiences of violence). The suffering of the dead, which was so visible, but also the unspoken and unseen suffering of the survivors and all those who were involved, was channeled into this symbolic concept of religious salvation; they were suffering in the name of God, as exemplified in the stories of Jesus Christ and other martyrs in the past. The core promise of Christianity is that believers will reach salvation after this suffering. Therefore, contemplation before ancient and contemporary martyrs is not only a practice of remembrance of the dead person and their final salvation, but also a \textit{mimetic} performance in order to \textit{feel} closeness to the process of spiritual transformation on a subjective level. The still-living person tries to assimilate the condition of the dead as far as possible.
Final contextualization: Coptic martyrdom in the era of post-revolutionary transformation in Egypt and beyond
Traveling back and forth between Germany and Egypt in mid-January and March 2011, just when the scale of public protests against the Mubarak regime had dramatically increased, my attention was drawn in different directions. I realized that the primarily religious coping strategy of dealing with the consequences of contemporary terror by referring to ancient narratives of Coptic martyrdom was also embedded in nationwide practices and discourses to transform local victims into national martyrs. After the continued demonstrations in February 2011 and the subsequent fall of President Mubarak, I noticed a number of murals and graffiti in the city of Alexandria referring to common goals fought for in the revolution and reminding passers-by of their “local heroes.” One spoke of “martyrs for the nation.” Even an English-language newspaper published pictures and the names of young people who had died during the protests and demonstrations.\footnote{Very quickly, scientific attention as well was focused on this phenomenon of “national martyrdom.” See the online article by Armbrust in 2013 and articles by Ghannam, Ramzy, and Gilman published electronically in a special issue of \textit{Ethnos: Journal of Anthropology} 80, no. 5 (2015), ed. A. Mittermaier.}
The further post-revolutionary dynamics also produced a large number of victims:\footnote{It is difficult to find precise figures, as there are no statistics or definition of when the revolutionary events ended.} primarily political activists, often male, aged between 25 and 35 and educated. At this stage of their biographies, death was totally unexpected, and it was mainly their social environment, families, close friends, or teachers and spiritual masters who had to cope with the sudden loss. It seems plausible to speak of sociocultural “technologies of immortality”\footnote{Ghannam, 635f.} which are applied by the living in order to construct something good out of something horrible and unbearable. Especially in the context of a revolution, people make sense of loss through concepts of heroism: those young people died for their political goals, to change the political system and to fight for more liberty, democracy, and equality within Egyptian society. These ideals are highly valuable for those who are still alive and have to bear the reality of what happened.
In connection with my ethnographic analysis of collective mourning for the martyrs of al-Qiddissin, it became a crucial insight that the concept of martyrdom in Egypt, and in the wider region of MENA, is not limited to religious motives (either in Christianity or in Islam), but can be enacted in \textit{different} sociocultural settings. Taking part in political demonstrations, as well as attending a Christian mass, was in many cases \textit{not} a conscious decision to die.\footnote{As it would be conceptualized in the more radical concept of self-victimization (e.g., the Tunisian case of Mohammed Bouazizi; see Johnny West, \textit{Karama! Journeys through the Arab Spring} (London: Heron Books, 2011), 20; see also Talal Asad, \textit{On Suicide Bombing} (New York: Columbia University Press, 2007).} It was much more an expression of social belonging and cultural-political identity in a national (i.e., pluralistic) society. Dying or being killed
in these different contexts could be evaluated by certain reference systems afterwards, either in terms of religious conviction or nationalistic-patriotic identification, or by a combination of both.\textsuperscript{48} As Mittermeier et al. have also confirmed,\textsuperscript{49} diverse technologies of visualization (digital photos and videography, poster production, graffiti, and paintings) were very attractive for the living, especially in combination with genres of popular culture on TV (e.g., music videos), on the radio,\textsuperscript{50} or on the internet (e.g., YouTube and other social media) in order to create cultures of remembrance and accessible space for the afterlife of the dead. The digital-visual narratives of Coptic martyrs I analyzed among Coptic mourners are, therefore, part of popular cultures\textsuperscript{51} in Egypt and beyond—practices by visual and digital technologies which connect Copts in diaspora with the Egyptian middle class. These technologies enable people to further articulate, represent, and contextualize their perceptions of suddenly dying and (avoidable) loss. The research of Daniel Gilman and Walter Armbrust demonstrates that this process of reevaluation of those who were killed is contested by different audiences: the question of who exactly can be defined as a “martyr” is dependent on clerical or secular authorities, but also on social control and public rumor.\textsuperscript{52} Moreover, Gilman analyzed convincingly “how quickly a revolutionary moment can be reabsorbed into state hegemony”\textsuperscript{53} or transformed in a process of depoliticization by the dominant class or political elites. On the other hand, Ramzy’s analysis of Coptic protests during the post-revolutionary process provides further insight into the dynamics of politicization of religious martyrdom. Although official statements by Pope Shenouda III advised his communities to stay calm and politically distant,\textsuperscript{54} a number of Copts took part in the Tahrir demonstrations or at the Corniche in Alexandria, fighting for more democratic principles which would enable the Christian minorities to participate on a more appropriate level in the political and administrative institutions of Egyptian society.\textsuperscript{55} In spite of this strong sense of solidarity on a national-patriotic level among Christians and Muslims, it did not take long
\begin{itemize}
\item[48] See Ramzy, 657.
\item[49] Mittermeier et al. 2015.
\item[50] As Ramzy demonstrates, there are also numerous soundscapes at work: the special music and lyric production of Coptic prayers and songs (\textit{taratil} in Arabic) which refer to ancient martyrs and saints. These are not only activated by oral recitation (e.g., in front of the tombs) but also broadcast on Coptic radio, found on music tapes, and used as mobile ringtones; see also Hirschkind. My analysis is therefore also a contribution to the complex field of Media Anthropology; see, e.g., Cora Bender and Martin Zillinger, \textit{Handbuch der Medienethnographie} (Berlin: Reimer, 2015).
\item[51] Johannes Fabian, \textit{Moments of Freedom: Anthropology and Popular Culture} (Charlottesville, London: University Press of Virginia, 1998); Samuel Schielke, “Second Thoughts about the Anthropology of Islam and How to Make Sense of Grand Schemes in Everyday Life,” \textit{ZMO Working Papers}, no. 2 (2010): 1–16.
\item[52] See in Armbrust, for example, the case of the revolutionary Sally Zahran.
\item[53] Gilman, 694.
\item[54] Therefore, Ramzy speaks of a clear role model for political disengagement and, on the contrary, for spiritual engagement. See Ramzy, 659.
\item[55] See Guirguis.
\end{itemize}
before violent clashes occurred between Coptic and Muslim neighborhoods, especially in Cairo and in Upper Egypt.\textsuperscript{56} Beyond the level of national patriotism, the social micropolitics of cultural identities—that is, religious and ethnic differentiation—regained the attention of the public arena. The dualistic character of religious pluralism in Egypt, marked by centuries of coexistence of Christian minorities and the Muslim majority,\textsuperscript{57} became a site of public renegotiation.\textsuperscript{58} It became obvious, therefore, that declaring the dead bodies of different ethnic and religious groups as “martyrs” had become part of the political game between dominant and marginalized groups within Egyptian nationhood formation.\textsuperscript{59}
Simultaneously, one has to recognize that a number of different kinds of persecution and terror attacks against Coptic Orthodox and other Christian groups\textsuperscript{60} were conducted not only in Egypt, but in the whole MENA region since the revolutionary events in 2011. The recent bomb attacks against Coptic Orthodox churches and their followers in Cairo (2016), as well as in Tanta and Alexandria on Palm Sunday in April 2017, represent the same type of terroristic logic as the al-Qiddissin case, which I have analyzed in this chapter in detail. But as far as I am able to follow up these different events of public violence, it is still to be determined if the political message is only directed at local-regional conflicts and national politics. After the whole world witnessed the horrible killings by Islamic State/Daesh fighters of 21 Coptic Egyptian laborers in Libya in February 2015,\textsuperscript{61} which was documented
\textsuperscript{56} Cordula Weisskoeppel, “Transformation religiöser Kultur? Koptisch-Orthodoxe Christen im Kontext revolutionären Umbruchs,” in \textit{Transformationen des Kulturellen}, ed. Andreas Hepp and Andreas Lehmann-Wermser (Wiesbaden: Verlag Sozialwissenschaften, 2013), 57–76.
\textsuperscript{57} Lila Abu-Lughod, \textit{Dramas of Nationhood: The Politics of Television in Egypt} (Chicago, London: University of Chicago Press, 2005); Henrik L. Hansen, \textit{Christian-Muslim Relations in Egypt: Politics, Society and Interfaith Encounters} (London, New York: L. B. Tauris, 2015).
\textsuperscript{58} Ramzy, 657f. Especially the Maspero protests in July 2011 in front of the state-run television broadcasting building (where other mass-media production also took place), during which more than 28 Coptic members died and 200 were left injured after confrontations with the army, contributed to a new articulation of their self-consciousness as Coptic citizens, as “…the ‘true inhabitants’ of the land […] claiming Egypt as part of a larger sacral and Christian topography.”
\textsuperscript{59} This message was communicated strongly by another public mourning march, which was organized by Copts after the Maspero “massacre” at which Pharaonic symbols were used to demonstrate the link between Coptic traditions and Ancient Egypt; see photo in \textit{The New York Times}: Aciman.
\textsuperscript{60} The following websites offer a great deal of up-to-date information: www.kathtube.com; www.koptischwordpress.com; www.opendoors.press; accessed August 24, 2016.
\textsuperscript{61} The killings have become known as the case of the “21 Libyan Martyrs.” The video interview with Bishop Bovnotious, who stayed in close contact with the families of the victims, can be watched on YouTube, “Interview with Hg Bishop Bovnotious, Bishop of Samalout, El-Menya, Egypt,” February 21, 2015, https://www.youtube.com/watch?v=wKymdfot0mQ.
in highly graphic video footage posted on the internet, it is legitimate to ask whether the discourse on contemporary Christian martyrdom has reached a new level. It is not only spread among the transnational social space of the Coptic diaspora, but it is developing as a central ingredient of international and global discourses of “war against terror” and the counterforces these discourses and practices have evoked.
**Bibliography**
**Online Materials**
Google.de. *Pictures of 21 Libyan Martyrs*. Available at: www.google.de/search?q=koptische+M%C3%A4rtyrer+in+Libyen&biw=1440&bih=82&tbs=isch&tbo=u&source=univ&sa=X&ved=0ahUKEwjbyJuVidrOAhVDWSwKHaogB4oQsAQITw&dpr=1. Accessed August 24, 2016.
KathTube. *Interview mit Bishop Bovnotious, Hirte der Mehrzahl der 21 Kopt. Märtyrer*, 21.2.2015. Available at: http://www.kathtube.com/player.php?id=36907. Accessed August 24, 2016.
Opendoors.de. “Nur Gebet kann die Lage verändern,” March 3, 2015. Available at: https://www.opendoors.de/verfolgung/news/2016/maerz/libyen. Accessed September 14, 2016.
Saric, Nikolas. Icon. 2015. “Heilige Märtyrer von Libyen,” 100×70 cm, Aquarell, 2015; Available at: http://www.nikolasaric.de/portfolio/hl-maertyrer-von-libyen/. Accessed September 13, 2016.
YouTube. Interview with Hg Bishop Bovnotious, Bishop of Samalout, El-Menya, Egypt, February 1, 2015 Available at: https://www.youtube.com/watch?v=wKymdfot0mQ. Accessed August 24, 2016.
**Literature**
Abu-Lughod, Lila. 2005. *Dramas of Nationhood. The Politics of Television in Egypt*. Chicago, London: University of Chicago Press.
Aciman, André. 2011. “After Egypt’s Revolution, Christians are Living in Fear.” *The New York Times*, November 20, 2011, 6–7.
Allenbach, Brigit, Goel, Urmila, Humrichr Merle and Weisskoeppel, Cordula. 2011. *Jugend, Migration, Religion*. Baden Baden: Nomos.
Armbrust, Walter. 2013. “The Ambivalence of Martyrs and the Counter-Revolution.” *Hot Spots. Cultural Anthropology online*. Published 8.5.2013. Available at: https://culanth.org/fieldsights/213-the-ambivalence-of-martyrs-and-the-counter-revolution. Accessed September 6, 2016.
Asad, Talal. 2003. *Formations of the Secular. Christianity, Islam, Modernity. Cultural Memory in the Present*. Stanford, California: Stanford University Press.
---
62 Google.de. *Pictures of 21 Libyan Martyrs*, search on August 24th, 2016: www.google.de/search?q=koptische+M%C3%A4rtyrer+in+Libyen&biw=1440&bih=862&tbs=isch&tbo=u&source=univ&sa=X&ved=0ahUKEwjbyJuVidrOAhVDWSwKHaogB4oQsAQITw&dpr=1.
Asad, Talal. 2007. *On Suicide Bombing*. New York: Columbia University Press.
Bachmann-Medick, Doris. 2007. *Cultural Turns. Neuorientierungen in den Kulturwissenschaften*. Reinbek: Rowohlt.
Bagnoli, Martina, Klein, Holger A., Mann, Griffith C. and Robinson, James 2011. *Treasures of Heaven. Saints, Relics and Devotion in Medieval Europe*, edited by The British Museum. London: The British Museum Press.
Bal, Mieke. 2008. “Visual Analysis.” In *The Sage Handbook of Cultural Analysis*, edited by Tony Bennett and John Frow, 163–184. Los Angeles, London, New Delhi, and Singapore: Sage.
Banks, Marcus, and Zeitlyn, David. 2015. *Visual Methods in Social Research*. London, Thousand Oaks, and New Delhi: Sage.
Belting, Hans. 2013. *Faces. Eine Geschichte des Gesichts*. München: C. H. Beck.
Bender, Cora, and Zillinger, Martin. 2015. *Handbuch der Medienethnographie*. Berlin: Reimer.
Bräunlein, Peter. 2004. ”Bildakte. Religionswissenschaft im Dialog mit einer neuen Bildwissenschaft.” In *Religion im kulturellen Diskurs. Religion in Cultural Discourse. Festschrift für Hans G. Kippenberg zu seinem 65. Geburtstag*, edited by Brigitte Luchesi and Kocku Von Stuckrad, 195–234. Berlin and New York: Walter de Gruyter.
Bräunlein, Peter J. 2010. *Passion: Rituale des Schmerzes im europäischen und philippinischen Christentum*. München: Fink.
Brown, Nathan J. 2011. “Egypt: Cacophony and Consensus in the Twenty-First Century.” In *Sharia Politics. Islamic Law and Society in the Modern World*, edited by Robert W. Hefner, 94–120. Bloomington: Indiana University Press.
Brown, Peter. 1981. *The Cult of Saints. Its Rise and Function in Latin Christianity*. Chicago: Chicago University Press.
Butler, Judith. 2009. *Frames of War: When Is Life Grievable?* Brooklyn: Verso.
Butler, Judith. 1991. *Das Unbehagen der Geschlechter*, translated by Kathrina Menke. Frankfurt a. M.: Suhrkamp.
Cohen, Anthony. 1985. *The Symbolic Construction of Community*. London: Ellis Horwood and Tavistock.
Coleman, Simon. 2010. “Constructing the Globe. A Charismatic Sublime?” In *Traveling Spirits. Migrants, Markets and Mobilities*, edited by Gertrud Hüwelmeier and Kristin Krause, 186–202. London and New York: Routledge.
Cormack, Robin. 2009. *Icons*. London: The British Museum Press.
El Masry, Ingrid. 2013. “On the Logics of the Egyptian Transformation Process: Continuity and Change.” In *Euro-Mediterranean Relations after the Arab Spring*, edited by Jakob Horst, Annette Jünemann and Delf Rothe, 161–182. Farnham, Burlington: Ashgate.
Fabian, Johannes. 1998. *Moments of Freedom: Anthropology and Popular Culture*. Charlottesville, London: University Press of Virginia.
Fiske, John. 1999. “Wie ein Publikum entsteht. Kulturelle Praxis und Cultural Studies.” In *Widerspenstige Kulturen*, edited by Karl H. Hörning and Rainer Winter, 238–263. Frankfurt am Main: Suhrkamp.
Gabra, Gawdat, and Eaton-Krauss, Marianne. 2007. *The Illustrated Guide to the Coptic Museum and Churches of Old Cairo*, edited by the Supreme Council of Antiquities. Cairo and New York: The American University in Cairo Press.
Ghannam, Farha. 2015. “Technologies of Immortality, ‘Good Endings’, and Martyrdom in Urban Egypt.” *Ethnos: Journal of Anthropology*, 80, 5: 630–648.
Giddens, Anthony. 2004. *The Constitution of Society: Outline of the Theory of Structuration*. Cambridge: Polity Press.
Gilman, Daniel J. 2015 “The Martyr Pop Moment: Depoliticizing Martyrdom.” *Ethnos: Journal of Anthropology*, 80, 5: 692–709.
Guirguis, Magdi. 2012. “The Copts and the Egyptian Revolution. Various Attitudes and Dreams.” *Social Research*, 79, 2: 1–20.
Hallam, Elizabeth, and Hockey, Jenny. 2001. *Death, Memory and Material Culture*. Oxford: Berg.
Hansen, Henrik Lindberg. 2015. *Christian-Muslim Relations in Egypt. Politics, Society and Interfaith Encounters*. London, New York: L.B. Tauris.
Heo, Angie. 2013. “The Bodily Threat of Miracles: Security, Sacramentality, and the Egyptian Politics of Public Order” *American Ethnologist*, 40, 1: 149–164.
Hirschkind, Charles. 2006. *The Ethical Soundscape. Cassette Sermons and Islamic Counterpublics*. New York: Columbia University Press.
Howes, David, and Classen, Constance. 2014. *Ways of Sensing. Understanding the Senses in Society*. New York: Routledge.
Hunter, Alistair. 2016. “Staking a Claim to Land, Faith and Family. Burial Location Preferences of Middle Eastern Christian Migrants.” *Intercultural Studies*, 32, 7: 179–194.
Huntington, Samuel P. 1993. “The Clash of Civilizations?” *Foreign Affairs*, 72, 3: 22–49.
Ibrahim, Fouad N. 1990. *Das wunderbare Wirken des koptischen Papstes Kyrillos VI (1902–1971)*, edited by Koptisch-Orthodoxes Zentrum St. Antonius Kloster Waldsolms-Kröffelbach, Fürth: Flacius Verlag.
Kandil, Hazem. 2012. “Why Did the Egyptian Middle Class March to Tahrir Square?” *Mediterranean Politics*, 17, 2: 197–215.
Kansteiner, Wulf. 2004. “Menschheitstrauma, Holocausttrauma, kulturelles Trauma: Eine kritische Genealogie der philosophischen, psychologischen und kulturwissenschaftlichen Traumaforschung seit 1945.” In *Handbuch der Kulturwissenschaften*, edited by Friedrich Jaeger and Jörn Rüsen, 109–139. Stuttgart and Weimar: J.B. Metzler.
Kazanjian, David, Butler, Judith and Eng, David L. 2003. *Loss: The Politics of Mourning*. Berkeley: University of California Press.
Kymlicka, Will, and Eva Pföstl. 2014. *Multiculturalism and Minority Rights in the Arab World*. Oxford: University Press.
Mitchell, W. J. T. 1997. “Der Pictorial Turn.” In *Privileg Blick. Kritik Der Visuellen Kultur*, edited by Christian Kravanga, 15–40. Berlin: Edition ID-Archiv.
Mittermaier, Amira. 2015. “Death and Martyrdom in the Arab Uprisings: An Introduction.” *Ethnos: Journal of Anthropology*, 80, 5: 583–604.
Morgan, David. 2005. *The Sacred Gaze. Religious Visual Culture in Theory and Practice*. Berkeley, Los Angeles and London: University of California Press.
Naguib, Saphinaz-Amal. 1997. “The Era of Martyrs: Texts and Contexts of Religious Memory.” In *Between Desert and City: The Coptic Orthodox Church Today*, edited by Nelly van Doorn-Harder and Kari Vogt, 123–142. Oslo: Novus forlag.
Pinney, Christopher. 2001. “Piercing the Skin of the Idol.” In: *Beyond Aesthetics: Art and the Technology of Enchantment*, 157–179, edited by Christopher Pinney and Nicholas Thomas. Oxford: Berg.
Pink, Sarah. 2009. *Doing Sensory Ethnography*. Los Angeles, California: Sage.
Ramzy, Carolyn M. 2015 “To Die Is Gain: Singing a Heavenly Citizenship among Egypt’s Coptic Christians.” *Ethnos: Journal of Anthropology*, 80, 5: 649–670.
Said, Edward W. 2003. *Orientalism*. London: Penguin Books.
Schielke, Samuel. 2010. “Second Thoughts about the Anthropology of Islam and how to make Sense of Grand Schemes in Everyday Life.” *ZMO Working papers* No. 2: 1–16. Available at: https://www.zmo.de/publikationen/WorkingPapers/schielke_2010.pdf.
Tadros, Yacoub Malaty. 2010. *Introduction to the Coptic Orthodox Church*. Alexandria: St. Girgis, Eigenverlag.
Taussig, Michael. 1991. *Mimesis and Alterity – a Particular History of the Senses*. London, New York: Routledge.
Teather, Elizabeth Kenworthy. 2001. “The Case of the Disorderly Graves: Contemporary Deathscapes in Guangzhou.” *Social and Cultural Geography*, 2, 2: 185–202.
Doorn-Harder van, Nelly. 1997. “Kyrillos VI (1902–1971): Planner, Patriarch and Saint.” In *Between Desert and City: The Coptic Orthodox Church Today*, edited by Nelly van Doorn-Harder and Kari Vogt, 231–243. Oslo: Nocus forlag.
Weisskoeppel, Cordula. 2011. “Die Kultur der Väter verstehen. Ethnoreligiöse Sozialisation von Jugendlichen im Transnationalen Beziehungsgefüge der Koptisch-Orthodoxen Kirche in der Schweiz.” In *Jugend, Migration, Religion*, edited by Brigit Allenbach, Merle Hummrich, Urmila Goel and Cordula Weisskoeppel, 159–195. Baden Baden: Nomos.
Weisskoeppel, Cordula. 2013. “Transformation religiöser Kultur? Koptisch-Orthodoxe Christen im Kontext revolutionären Umbruchs.” In *Transformationen des Kulturellen*, edited by Andreas Hepp and Andreas Lehmann-Wermser, 57–76. Wiesbaden: Verlag Sozialwissenschaften.
Weisskoeppel, Cordula. 2015. *Study and Mapping of the Egyptian Diaspora in Germany*. Edited by Gesellschaft für Internationale Zusammenarbeit (GIZ), Eschborn 2015. Available at: https://www.giz.de/fachexpertise/downloads/giz2016-en-aegypten-diaspora.pdf
Werbner, Pnina. 1998. “Langar. Pilgrimage, Sacred Exchange and Perpetual Sacrifice in a Sufi Saint’s Lodge.” In *Embodying Charisma: Modernity, Locality and the Performance of Emotion in Sufi Cults*, edited by Pnina Werbner and Helene Basu, 95–116. London: Routledge.
West, Johnny. 2011. *Karama! Journeys through the Arab Spring. Exhilarating Encounters with Those Who Sparked a Revolution*. London: Heron Books.
Wright, Terence. 2008. *Visual Impact: Culture and the Meaning of Images*. Oxford: Berg.
On a fundamental level, war memorials always symbolize the extreme aggression of humans against other humans and their deaths at the hands of others. However, there is a range of multilevel meanings and interpretations that can be attached to war memorials. There are also various reasons why certain sites, such as battlefields or mass graves, are chosen to be commemorated or ignored. Furthermore, how these decisions are made fluctuates over time. The factors dictating and directing these choices and actions range from familial and communal memories, to shifting perspectives on nationalism and world politics, to a changing valuation of diverse types of material and immaterial memories and cultural heritage.\(^1\) War memorials can be seen, for instance, as “visual representations of modernity” tied to the development of nation-states\(^2\) or a “dark heritage” related to difficult and controversial pasts.\(^3\) In the case of military graves and installations left in the territories of other countries, memorials can also be viewed as an “orphan heritage,” whose ownership and origin are separated from their spatiality and whose value can be questioned by the local – potentially antagonistic or apathetic – population.\(^4\)
In this chapter, I present a case of orphaned and recently rediscovered transnational war heritage: the Russian re-remembering and marking of the (officially) long-forgotten mass graves of Soviet soldiers from the Second World War (WWII) Mäntyvaara battlefield in Kemijärvi, Finnish Lapland (Image 013, Top). Kemijärvi is situated along Finland’s eastern border and
---
1 Alexander Etkind, *Warped Mourning: Stories of the Undead in the Land of the Unburied* (Stanford: Stanford University Press, 2013); Jon Price, “Orphan Heritage: Issues in Managing the Heritage of the Great War in Northern France and Belgium,” *Journal of Conflict Archaeology*, 1 (2005); Andrew M. Shanken, “Research on Memorials and Monuments,” *Anales del Instituto de Investigaciones Estéticas* 84 (2004).
2 Siobhan Kattago, “War Memorials and the Politics of Memory: The Soviet War Memorial in Tallinn,” *Constellations* 16, no. 1 (2009): 149.
3 Eerika Koskinen-Koivisto, “Reminder of the Dark Heritage of Humankind – Experiences of Finnish Cemetery Tourists of Visiting the Norvajärvi German Cemetery,” *Thanatos* 5: no. 1 (2016): 23.
4 Price, 181.
up through the border checkpoint at the neighboring Salla municipality, it is the northernmost contact zone between the European Union and Russia, formerly the Soviet Union (USSR). Border changes in the aftermath of WWII had a huge impact on the area. For instance, a large portion of the Salla municipality was ceded to the Soviet Union, and through the Cold War years the Finno-Soviet border was a more or less closed part of the Iron Curtain. The border opened with the collapse of the USSR, which resulted in cross-border traffic and tourism. The local Finns started visiting their families’ old villages left on the Russian side of the border, and Russian tourists flocked to Finland on shopping and leisure trips. Simultaneously, some also started visiting the WWII battlefields and their ancestors’ graves. Russians have been a significant target group for the local tourism industry, a vital source of livelihood in this border region.\(^5\) However, with the onset of the economic recession, the number of Russian tourists has dwindled since 2008, although there are recent signs of recovery.\(^6\) The ambiguous nature of this border zone became evident most recently in the winter of 2015–2016 when an unprecedented stream of multinational refugees flowed through the border municipalities from Russia in search of asylum in the European Union.\(^7\)
The ignoring, re-remembering, and marking of the WWII mass graves illustrate well the ongoing reevaluations and negotiations of the “fault lines in the East European memory landscape”\(^8\) and changing attitudes toward the heritage of WWII – or the “Great Patriotic War,” as it is characteristically known in Russia – in a Russian context, and also locally in Finland and more widely in Europe. In this chapter, first I briefly describe the historical context of the Battle of Mäntyvaara and the Soviet mass graves. Then, I outline the post-war Soviet and Russian attitudes toward the WWII mass graves situated in what is currently Finnish territory, the prolonged period of denial and eventual re-remembering of them after the collapse of the Soviet Union, and the establishment of a Russian, state-sanctioned monument at Mäntyvaara. Finally, I discuss the various issues intertwined with and leading to the establishment of this memorial, such as the interest of the Russian state in emphasizing and promoting the historical continuities with modern-day Russia, as well as the local responses to these transnational processes.
We carried out archaeological documentation of the Mäntyvaara battlefield and the mass graves in the summer of 2016 as part of the wider
---
5 Jarkko Saarinen, “The Regional Economics of Tourism: A Case Study of the Economic Impacts of Tourism in Salla, Eastern Lapland,” *Nordia Geographical Publications* 30, no. 4 (2001).
6 Jorma Korhonen, “Sallalainen yrittäjä: venäläismatkailu Lappiin on hieman piristymässä,” *Yle Uutiset*, December 9, 2016, http://yle.fi/uutiset/3-9342575.
7 See Oula Seitsonen, Vesa-Pekka Herva, and Mika Kunnari, “Abandoned Refugee Vehicles ‘in the Middle of Nowhere’: Reflections on the Global Refugee Crisis from the Northern Margins of Europe,” *Journal of Contemporary Archaeology* 3, no. 2 (2017).
8 Kattago, 149.
project “Lapland’s Dark Heritage.” Our project approached the material remains of WWII in the northern half of Finland in a transdisciplinary manner, combining methodologies of archaeology, anthropology, ethnography, and cultural heritage studies to map, for instance, the various ways in which people perceive and engage with this legacy of the recent past. At Mäntyvaara, aside from conducting an archaeological survey and mapping, we also interviewed several informants, including the staff of the Salla War and Reconstruction Museum, the local search group for the fallen soldiers left on battlefields, and local war history enthusiasts. We arranged formal, recorded interviews with our informants at the museum, but most of the information pertinent to the Battle of Mäntyvaara and the graves came up during informal discussions when guided around the battlefield by Mr. Alpo Siivola from the neighboring Joutsijärvi village.
The battle of Mäntyvaara
Early in WWII, the Soviet Union invaded Finland on November 30, 1939. The Battle of Mäntyvaara on December 20, 1939, is one of the iconic fights of the commemorated Winter War of 1939–1940. Mäntyvaara fittingly exemplifies the mythologized legends of the Winter War as celebrated in Finland and also internationally: poorly equipped and heavily outnumbered Finnish ski troops fighting as underdogs against the colossal might of the Soviet Army, surviving in severe weather conditions in the gloomy, snow-shrouded winter wilderness, and, against all odds, prevailing (Image 013, Bottom).
Mäntyvaara Hill is a forested hillock on the northern side of the road to Rovaniemi, the capital of Lapland, not far from Finland’s current eastern border (about 150km from the pre-WWII border). Local Finnish soldiers, the so-called “Salla Battalion” (numbering about 1,500 men on November 30, 1939), as well as additional troops trickling into the Salla and Kemijärvi municipalities throughout early December, had retreated constantly fighting from the border after November 30 and were chased by an overwhelming number of Soviet troops (ca. 20,000 men). After strenuous weeks of fighting, on December 19, 1939, Salla Battalion was relieved from frontline responsibility and stationed in the farmhouses south of Mäntyvaara.
---
9 Researchers of Lapland’s Dark Heritage project from the Universities of Helsinki, Oulu, and Lapland, including, beside the current author, Vesa-Pekka Herva, Eerika Koskinen-Koivistio, Mika Kunnari, Wesa Perttola, and Suzie Thomas, as well as international colleagues Iain Banks (University of Glasgow), Gabriel Moshenska (University College London), and Jaisson Teixeira Lino (Universidade Federal da Fronteira Sul).
10 Pentti Airio, *Sallan suunnan taistelut 1939–1940* (Helsinki: Maanpuolustuskorkeakoulun Sotahistorian laitos, 2009).
11 See, e.g., Tiina Kinnunen and Markku Jokisipilä, “Shifting Images of ‘Our’ Wars: Finnish Memory Culture of World War II,” in *Finland in World War II: History, Memory, Interpretations*, ed. Tiina Kinnunen and Ville Kivimäki (Leiden and Boston: Brill, 2012).
12 Airio.
Unbeknownst to them, however, at the same time a heavily armed Soviet battalion was seeking to occupy Mäntyvaara Hill, after completing a roughly 10-kilometer-long flanking movement through the wilderness only hundreds of meters north of the Finns. The ground was covered by about 15 centimeters of snow and temperatures were around -20 degrees Celsius.
In the early afternoon of the next day, on December 20, 1939, the resting Finnish soldiers were surprised by a Soviet attack.\textsuperscript{13} The Soviets’ objective was to make a major breakthrough to celebrate Joseph Stalin’s birthday on December 21.\textsuperscript{14} The ensuing chaotic, close-range melee lasted several hours in the deepening darkness (at that time of year in that region, sunset is at 1pm). As a result of a successful flanking action by a small group, the fight eventually turned into a Finnish victory, despite those soldiers’ severe lack of equipment. By midnight, the hilltop was under Finnish control, while the defeated Soviet troops escaped under the cover of darkness through the wilderness. The Finns also captured large numbers of critically needed weaponry, such as rifles, machine-guns, and mortars.\textsuperscript{15} The Battle of Mäntyvaara effectively stopped the Soviet advance toward Rovaniemi, and it has been described as a textbook example of the small-unit tactics of the Winter War.\textsuperscript{16}
The battle’s death toll was over 400 Soviet and 17 Finnish soldiers, on top of which 29 Finns were wounded and a few dozen Soviet prisoners taken. The next day, a local Finnish work company started burying the Soviet dead in four large mass graves on the battlefield. This work was directed by the older brother of our informant, Mr. Alpo Siivola. His brother had later called it “an appropriate birthday present for Comrade Stalin.”\textsuperscript{17} The Soviet soldiers who had perished during their escape through the wilderness were buried the next summer when the melting snow revealed their bodies, but the locations of those gravesites are unknown.
\textit{Post-war years}
For several decades, the mass graves of Soviet soldiers at Mäntyvaara—and also elsewhere on the Winter War battlefields in Finland—were forgotten and denied by their own country and its successor, the Russian Federation.\textsuperscript{18} At Mäntyvaara, these gravesites were known and their locations maintained throughout the decades by the local Finnish villagers, many of whom (or at least their relatives) had taken part in the battle.\textsuperscript{19} We were privileged to be directed around the battlefield by two locals who were children during the
\begin{itemize}
\item \textsuperscript{13} \textit{War diary of Erillinen pataljoona 17 1939–1940 (SPK 534)}, date 20/12 “14.20 Yllätti vihollinen 2. komp:n miltei majapaikkaansa…” (“14.20 Enemy surprised 2nd company almost at their accommodations…”).
\item \textsuperscript{14} Airio, 28.
\item \textsuperscript{15} Ibid, 28.
\item \textsuperscript{16} Ibid., 28.
\item \textsuperscript{17} Interview with local war history enthusiast, August 8, 2016 (translations from Finnish by the author).
\item \textsuperscript{18} Elsewhere also, fallen Soviet soldiers were buried in mass graves on battlefields and at other places. On the contrary, whenever possible, the Finnish dead were taken back to their homes to be buried in the “cemeteries of heroes” typically found in each village. This was also the case at Mäntyvaara.
\item \textsuperscript{19} Interview, August 8, 2016.
\end{itemize}
Winter War: Alpo Siivola (mentioned above) and another, whose father led the decisive Finnish flanking action on the hill on December 20, 1939.\footnote{Interview, August 8, 2016.}
A Finnish war memorial bearing the text “The Lord helped here” was erected in 1960 to memorialize the battle. Next to it stands a smaller memorial stone commemorating two dead Swedish WWII volunteers. In the later part of WWII, there was also a German-run\footnote{In the later part of WWII, during the so-called “Continuation War” of 1941–1944, Finland was closely tied to a Nazi German attack on the Soviet Union (a \textit{de facto} ally), and there were over 200,000 German soldiers in the northern part of the country. After Finland entered into a ceasefire with the USSR, the Finno-German “Lapland War” of 1944–1945 broke out due to Soviet pressure. It resulted in widespread devastation of Lapland.} prisoner-of-war (POW) camp at Mäntyvaara, and the dead POWs were buried in a mass grave on the other side of the hill. This gravesite was officially marked by the Finns after the war, since as part of the peace treaty, the USSR demanded that Finland establish and maintain Soviet POW gravesites with memorials. Now in Lapland, the POW graves are kept up by the volunteers of the Finnish-Russian Society (previously the Finnish-Soviet Society), who annually receive a small amount of funding from the state.\footnote{Petri Hakkarainen, “Venäläisten sotavankien haudat ovat hyvässä hoidossa,” \textit{Kaleva}, September 30, 2012. Available at http://www.kaleva.fi/uutiset/pohjois-suomi/venalaisten-sotavankien-haudat-ovat-hyvassa-hoidossa/607344/.} However, the Finnish-Russian Society has never taken interest in the mass graves of the soldiers who fell in the Battle of Mäntyvaara.\footnote{Interview, August 8, 2016.} Instead, their memory was informally maintained over the decades by our informant and his family, who lived in the vicinity and practiced forestry on the hill. Alpo Siivola’s brother, who had directed the burying of Soviet dead in the first place, often recounted the proceedings of the battle and its aftermath while working at the site. The brother had also marked the four main mass graves with wooden posts, so as not to forget where they were, and he remembered and told how many bodies were placed in each one of them. In the 1980s, after uncovering one of these posts under the snow while felling trees in the forest, our informant decided to mark the corners of the mass graves with new wooden posts. He also numbered the graves and marked the number of deceased in each grave on the posts, so that the information would be there if he passed away before he could relate it to someone else. He perceived that in the Cold War years, nobody was interested in this information, and thus he felt obliged to manage the graves, although he had no “Soviet-Russki sympathies,” a point which he emphatically repeated to us several times. Later, he also placed central posts next to the graves with brass numbers, indicating the number of dead soldiers buried in them (Image 014).\footnote{Ibid.}
who was trying to buy a bag of cement and who carried an engraved memorial plaque. He had been sent to Finland to place the plaque somewhere on Mäntyvaara Hill, in order to commemorate the Russian soldiers who had died in the battle.\textsuperscript{25} R1 had no idea that he needed any permissions for this from the local landowner, the municipality of Kemijärvi; the task of placing the memorial plaque on the Finnish side of the border had been assigned to him by the Russian regional authorities, who also financially support a search for soldiers’ bodies on the battlefields.\textsuperscript{26} In the end, our informant and his colleague agreed with R1 that they would assist in the placing of this memorial plaque in cooperation with the Kemijärvi municipality.
\textit{Russian memorial at Mäntyvaara}
The Finnish officials were completely unprepared for a Russian memorial plaque to be placed at Mäntyvaara, and they did not want to make it too public. Thus, it was quietly assigned to Siivola and his colleague. At first, they took the task somewhat begrudgingly, their initial thought being: “Wasn’t it enough that they invaded? We already gave them a bullet and a shroud of soil, [but] do we now have to celebrate them also with a memorial stone?” However, after pondering his stance for a couple of days, Siivola came to the conclusion that: “Well, even so, I guess they were also as human as we are and young sons of some mother, so what the hell!” And he went ahead with raising the monument.\textsuperscript{27}
Siivola had immediately noted a typographic error in the Finnish translation of the engraved text. The Russian engraving states “Вечный покой 325 русским воинам 122 стрелковой дивизии погибшим в 1939–1940 гг” (“Eternal peace for the 325 Russian soldiers of the 122nd Infantry Division who died in 1939–1940 [sic]”), whereas the Finnish started “Kuinen rauha...”; there was a crucial ‘I’ missing at the beginning of the first word, changing its meaning into “Monthly peace...” This was fixed as “IKuinen rauha 122 ampumadivisioonan 325 kaatuneelle venäläiselle soturille” at a stone workshop in Rovaniemi, where the plaque was also fitted into a memorial stone paid for by the Kemijärvi municipality. Siivola also remarked that the number of dead soldiers was wrong, as Russian war historians had recently found from archival sources that the actual number seemed to be 417 soldiers. However, the stone mason did not fix that part of the inscription.
Our informant and his colleague were given free license in placing this memorial stone at Mäntyvaara. They decided that it was not their
\textsuperscript{25} Ibid.
\textsuperscript{26} И.Н. Сосна, ed., \textit{Патриотическое воспитание молодежи в Российской Федерации: состояние, актуальные проблемы и направления развития. Сборник материалов “круглого стола” на тему “Опыт субъектов Российской Федерации по военно-патриотическому воспитанию молодежи.” 21 мая 2015 года (Совет Федерации, Федерального Собрания Российской Федерации, 2015)}, 189–190; see below.
\textsuperscript{27} Interview, August 8, 2016.
responsibility to make any public announcement about the new memorial, and so they unceremoniously erected it deep in the forest of Mäntyvaara next to the largest of the Soviet mass graves (where 90 men and a horse were interred) (Image 014). The Russian monument at Mäntyvaara is a simple, grey, rough-cut block in which the black memorial plaque was attached. Siivola and his colleague dug it securely in place, enforced the foundation with natural rocks so that the frost heave would not move it, and placed two flagstones in front in an altar-like setting. Our informant remembered wondering when digging the foundation pit if anyone would ever even visit the place, but to his surprise a large official unveiling ceremony was organized by the Russians later in the summer of 2002. Officials from both sides of the border took part in the event, including the Mayor of Alakurtti (Russia), Russian WWII veterans, and members of the Russian search groups for the fallen soldiers. Subsequently, the Russian search groups have organized an annual delegation to the site on “Victory Day” (May 9).\footnote{See also Olga Davydova-Minguet, “Voitonpäivänjuhla Sortavalassa. Juhlinnan ja muistin politiikkaa rajakaupungeissa,” \textit{Elore} 22, no. 2 (2015).}
When we visited the memorial in August, their plastic flowers and wreaths were still scattered around the stone.\footnote{Interview, August 8, 2016.} Visitors have also assembled a small collection of mementos from the battlefield, such as Russian cartridges and ammo clips, and placed these at the foot of the memorial stone.\footnote{See the discussion of these mementos below.}
\textit{Denying and re-remembering the Soviet transnational dead of the Winter War}
Why, then, were the graves of Soviet soldiers from the Battle of Mäntyvaara ignored for decades? At first glance, it seems odd, since the USSR had demanded Finland to uphold the graves of POWs, essentially regarded as traitors of their own state,\footnote{Rolf-Dieter Müller and Gerd R. Ueberschär, \textit{Hitler’s War in the East, 1941–1945: A Critical Assessment} (New York/Oxford: Berghahn Books, 2002), 219.} and war memorials and the “cult of the fallen” had a very high status in the Soviet Union.\footnote{Johanna Dahlin, “De dog för att vi skulle leva’: Rysslands patriotiska fostran och de levandes plikter mot de döda,” \textit{Nordisk Østforum} 28, no. 1 (2014): 29; see also Johanna Dahlin, “‘Now you have visited the war’: The search for fallen soldiers in Russia,” in \textit{Heritage of Death: Landscapes of Emotion, Memory and Practice}, ed. Mattias Frihammar and Helaine Silverman (London and New York: Routledge, 2018). Catherine Merridale, “Soviet Memories: Patriotism and Trauma,” in \textit{Memory: Histories, Theories, Debates}, eds. Susannah Radstone and Bill Schwarz, (New York: Fordham University Press, 2010), 365.} The USSR had a complicated relationship with the Finnish Winter War, and following Hitler’s attack on the USSR in 1941, the overarching idea of the “Great Patriotic War” against fascism in 1941–1945 took over. This master narrative, ultimately leading up to Victory Day on May 9, 1945, in Berlin,\footnote{Antero Utto and Carl-Fredrik Geust, \textit{Mannerheim-Linja. Talvisodan Legenda} (Helsinki: Ajatus, 2006), 209.} fundamentally transformed the
Image 014: Top: Our informant Alpo Siivola, next to the Russian war memorial raised in 2002 in front of mass grave 2, the last resting place for 90 men and a horse, which he has marked with wooden posts. Plastic flowers and wreaths brought by a Russian delegation on “Victory Day”, May 9, 2016, litter the surroundings of the memorial. Bottom: Soviet WWII ammo clips and cartridges collected by the visitors from the battlefield and placed at the base of the memorial. Photo by the author.
Soviet image of WWII. It also meant that any events before 1941, including the Winter War, were largely suppressed and ignored. Consequently, in the Soviet post-war historical perspective, the Winter War became marginalized and separated from its wider context, and it was paralleled with some minor 1930s border skirmishes of the Far East and the “Sovietizing” of the Baltic countries in 1939–1940.\textsuperscript{34}
The USSR essentially denied its role as the aggressor in the Winter War and instead emphasized the “defensive nature” of Soviet acts to protect St. Petersburg. Accordingly, any memories of soldiers killed deep in northern Finnish territory were ignored, since they did not fit into this canonized “defensive doctrine.”\textsuperscript{35} This Soviet attitude effectively lasted until Perestroika and the Glasnost of the 1980s\textsuperscript{36} and the following collapse of the Soviet Union. In the 1990s, with the opening of formerly inaccessible archives, Russian historians (also in cooperation with Finnish historians) started reassessing the WWII histories.\textsuperscript{37} Thus, for the first time since 1941, the Winter War became widely recognized in Russia, and a flood of Russian books were published on its 60\textsuperscript{th} anniversary in 1999.\textsuperscript{38}
Siobhan Kattago,\textsuperscript{39} discussing the 2007 case of moving the so-called Soviet “Bronze Soldier”\textsuperscript{40} in Tallinn, Estonia, has described how modern Russian elites have established the Great Patriotic War, and especially the role of the May 9\textsuperscript{th} Victory Day over Nazi Germany, as a foundational myth of modern Russia and contemporary Russian identity. This normalizes the Soviet communist past into the longer sequence of the Russian state’s history.\textsuperscript{41} Soviet war memorials already often exploited an alleged continuity from pre-revolutionary Imperial Russia,\textsuperscript{42} and the rhetorical power of this connection is tapped into by the current Russian administration whenever beneficial. Lately, even longer historical continuities have been called on. As an example, President Vladimir Putin defended the annexation of Crimea from Ukraine in 2014 by invoking the enduring legacy of “sacred” sites related to Vladimir the Great (ca. 958–1015 CE) and the Christianization of Russia, the Crimean War (1853–1856), and WWII: “Each of these places are sacred to us as symbols of Russian military glory and unparalleled proficiency.”\textsuperscript{43} Alexander Etkind has aptly described the Russian historical memory as
\textsuperscript{34} Ibid.
\textsuperscript{35} Juri Kilin, “Rajakahakan hidas jäiden lähtö,” in \textit{Sodan totuudet: Yksi suomalainen vastaa 5.7 ryssää}, ed. Markku Jokisipilä (Helsinki: Ajatus, 2007); Uitto and Geust, 209; Timo Vihavainen, “Talvisota neuvostohistoriakirjoituksessa,” in \textit{Talvisodan pikkujättiläinen}, ed. Jari Leskinen and Antti Juutilainen (Helsinki: WSOY, 1999).
\textsuperscript{36} Kilin.
\textsuperscript{37} Uitto and Geust, 209.
\textsuperscript{38} Ibid.
\textsuperscript{39} Kattago, 158–159.
\textsuperscript{40} Est. “Pronkssõdur,” Ru. “Бронзовый Солдат.”
\textsuperscript{41} Ibid.
\textsuperscript{42} Ibid., 156.
\textsuperscript{43} “Обращение Президента РФ Владимира Путина (полная версия),” Первый канал, accessed December 24, 2015, https://www.1tv.ru/news/2014/03/18/46116-obraschenie_prezidenta_rf_vladimira_putina_polnaya_versiy.
“multihistorical.” It is represented by a fluid and de-centered combination of simultaneously experienced symbols, which can also contradict each other. However, these inconsistencies typically escape public awareness due to a lack of agreed upon historical anchor points, and they can be shaped to answer fluctuating political and cultural needs.
A new rise in public awareness and interest in the heritage of WWII could already be seen in the final years of the USSR with the opening up of Soviet society. This was exemplified, for instance, by the establishment of a national volunteer organization, the “Union of Russian Search Groups,” in 1988. The search groups are dedicated to the commemoration, search, and repatriation of the “unknown soldiers” lost on the battlefields. Their activities were revitalized at the beginning of Putin’s leadership, and they have now been promoted as an “all-Russian public ‘Search Movement in Russia.’”
In January 2001, the Russian state also launched its first five-year plan for the “Patriotic education of citizens.” Now it is engaged in the fourth such plan (2016–2020). Under Putin, a link between this patriotic education of youth and military service was formalized as well. This emphasis appears to have its roots in the legacy of Soviet-era ideals (for instance, in the Pioneer movement). According to Johanna Dahlin’s research, the search groups offer a popular way to take part in this “military-patriotic education.” Their work has been described in Russia as “a counterforce against neo-fascism,” as well as valuable in developing beneficial mental abilities through communal camp life and fieldwork “in mud and swamps.”
44 Etkind, 208.
45 Ibid, 208–209.
46 Ru. Союз Поисковых Отрядов России; the national organization consists of over 600 local search groups with over 40,000 members. The search groups have reportedly located the remains of over 450,000 soldiers. This organization had an indirect predecessor already during Soviet times in the Komsomol (Communist Party youth organization), “Red pathfinder”; Dahlin 2014, 2018.
47 President 2000–2008 and 2012 onwards, Prime Minister 2008–2012.
48 Сосна, 58; Ru. Поисковое движение России.
49 “О государственной программе ‘Патриотическое воспитание граждан Российской Федерации на 2016 – 2020 годы’. Утверждена постановлением Правительства Российской Федерации от 30 декабря 2015 г. № 1493,” Federal Archival Agency of Russian Federation, accessed July 17, 2016, http://archives.ru/programs/patriotic.shtml.
50 Dahlin, “De dog for att vi skulle leva”; Dahlin, “Now you have visited the war”.
51 See Catriona Kelly, “Shaping the ‘Future Race’: Regulating the Daily Life of Children in Early Soviet Russia,” in Everyday Life in Early Soviet Russia: Taking the Revolution Inside, ed. Christina Kiaer and Eric Naiman (Bloomington and Indianapolis: Indiana University Press, 2006); Margaret Peacock, Innocent Weapons: The Soviet and American Politics of Childhood in the Cold War (Chapel Hill: The University of North Carolina Press, 2014), 34–36.
52 Dahlin, “De dog for att vi skulle leva”; Dahlin, “Now you have visited the war”.
53 See Сосна, 17.
54 Dahlin, “De dog for att vi skulle leva”, 36.
55 Ibid, 33.; see Татьяна В. Яшкова, Вклад поискового движения в патриотическое воспитание современной молодежи – материалы межрегион (Киров:
appears to reproduce the Soviet rhetoric of a communal patriotic upbringing as a counterbalance to the harmful influences of Western youth culture.\textsuperscript{56} The responsibilities of children to the Motherland have also been compared to those to their own mothers and families, thus equating patriotism with love of the mother.\textsuperscript{57} As part of this, a duty to remember the past defenders of the Motherland is emphasized, representing an unpaid debt to the fallen, since subsequent generations did not fulfill their responsibility to bury their remains in a proper way.\textsuperscript{58} The honorary debt to the fallen is also often mentioned as an important incentive by the members of the Finnish search groups that we interviewed.
The placement of the memorial plaque at Mäntyvaara coincides temporally with both the new interest in the Winter War in Russia since the late 1990s, the revitalization of search groups, and the commemoration of fallen soldiers under Putin’s five-year plans on military-patriotic education. The Mäntyvaara memorial appears to be part of the wider ongoing Russian patriotic project,\textsuperscript{59} as underlined by the recurring visits of the Russian search group members at the battlefield. The renewed Russian emphasis on the remembrance of the war dead has also developed into a fruitful and ongoing transnational, cross-border cooperation with Finnish search groups organized under the national Association for Cherishing the Memory of the Dead of the War since 1998.\textsuperscript{60} However, the work of the enthusiastic volunteer search groups has provoked ethical alarm among heritage and forensics professionals in different countries, owing to the amateurish and rough field methods these groups often use when uncovering the graves.\textsuperscript{61} Having observed some of the Finnish and Russian search groups in the field in Russia, I can concur with these worries. From a professional perspective, the typically very coarse fieldwork techniques, an often total lack of documentation, and rough treatment of the deceased do raise ethical concerns. Furthermore, if the located bodies turn out to present some other nationality, there is also a tendency of lack of respect toward the deceased.
\begin{quote}
Старая Вятка, 2009), 9; Татьяна В. Яшкова, "Увековечение памяти погибших защитников Отечества как одна из форм военно-патриотического воспитания современной молодежи," Педагогическое образование в России 3 (2011).
\end{quote}
\textsuperscript{56} Dahlin 2014, 33.
\textsuperscript{57} Ibid., 34; see Яшкова, Вклад поискового движения в патриотическое воспитание, 213.
\textsuperscript{58} Dahlin, “De dog for att vi skulle leva”; Яшкова, Вклад поискового движения в патриотическое воспитание, 169.
\textsuperscript{59} Ibid.
\textsuperscript{60} “Association for Cherishing the Memory of the Dead of the War,” Association for Cherishing the Memory of the Dead of the War, accessed April 1, 2016, http://www.sotavainajat.net/in_english.
\textsuperscript{61} See Birgit Grosskopf, “Why? The Non-Archaeological Removal of Historic Conflict Related Mass Graves: Case studies,” paper presented on September 22, 2016, at the Fields of Conflict Conference, Dublin; personal observations while in the field with the Finnish and Russian search groups.
Russians nowadays have a strong interest in repatriating Soviet soldiers left on battlefields on the Finnish side of the border in Lapland. Newly located bodies are annually reburied on September 14 in the Alakurtti military graveyard with the appropriate military honors. As mentioned, on Victory Day, May 9, the Russian search group members also often visit and decorate Soviet soldiers’ mass graves in Finland, including at Mäntyvaara.\(^{62}\) However, this renewed interest has not extended to the dead Soviet POWs. Russians have not been interested in the repatriation of POWs and do not visit or decorate their gravesites, which is typically left to representatives of the Finnish-Russian Society.\(^{63}\) This may mirror the Soviet legacy of seeing POWs as traitors of the Motherland. However, contemporary Russian sentiments toward WWII prisoners are generally poorly known and warrant detailed research in the future.
During the war, most, if not all, of the Soviet POW graves were marked with Greek Orthodox crosses, some of which also bore the names of the fallen prisoners. Even though the Soviet Union was officially atheist, many soldiers showed religious faith on a personal level.\(^{64}\) They relied on religious trinkets and rituals in an otherwise uncontrollable situation, as is typical of wartime, in an apparent hope to gain some – no matter how illusory – sense of control over their own fate.\(^{65}\) Many common soldiers, for instance, wore crosses around their necks, prayed, and crossed themselves in battle,\(^{66}\) and they also marked their comrades’ graves with Orthodox crosses, at least in POW camp settings. After the war, the POW grave sites were marked by the Finns with anonymous, stereotypical, and secular tombstones. Often made of concrete, these were decorated with a Soviet star and engravings, ambiguously indicating the number of “Soviet soldiers” buried there, often only in Russian. In an extreme case, a mass grave of Russian civilian internees at the site of a former Finnish-run concentration camp\(^{67}\) in Miehikkälä, eastern Finland, is marked with the text “Here is buried … Soviet servicemen.”\(^{68}\) Lately, some of the POW gravesites have been refurbished with large orthodox crosses by the activists of the Finnish Orthodox Church and Finnish-Russian Society.\(^{69}\)
---
\(^{62}\) Interview, August 8, 2016.
\(^{63}\) Ibid.
\(^{64}\) Merridale, *Ivan’s War*, 89, 203.
\(^{65}\) Simon P. MacKenzie, “Beating the Odds: Superstition and Human Agency in RAF Bomber Command, 1942–1945,” *War in History* 22, no. 3 (2015): 382–400.
\(^{66}\) Merridale, *Ivan’s War*, 89, 203.
\(^{67}\) During the war, Finland established several camps for Russian civilian internees from the areas occupied by Finnish troops in 1941–1944. These were originally called concentration camps (Fi. *keskitysleiri*); except for the Miehikkälä camp, the other camps were renamed as “transfer camps” (Fi. *siirtoleiri*) in 1943 in order to avoid undesired associations with the Nazi concentration camps; see, e.g., Antti Laine, *Suur-Suomen kahdet kasvot. Itä-Karjalan siviiliväestön asema suomalaisessa miehityshallinnossa 1941–1944* (Helsinki: Otava, 1982).
\(^{68}\) “Здесь погребено … Советских военно-служащих”; see also Catherine Merridale, *Night of Stone: Death and Memory in Russia* (London: Granta Books, 2000), 348–349, for an analogous example of the Soviet Jews massacred at Babi Yar by the Nazis being ambiguously commemorated as “Soviet citizens.”
\(^{69}\) For example, at Hautaniemi in Salla and at Kankiniemi in Inari.
Finnish Orthodox priests have also carried out field services and blessings at some of these sites and battlefields. The Mäntyvaara memorial appears as something in-between secular and religious; although the memorial has no Christian symbols, “eternal peace” in the engraving does have Christian undertones. Put in the wider context, the Christian connotations reflected at the war memorials are tied to the Russian conceptual triad of “Orthodoxy, autocracy and nationality,” which was inherited from Czarist Russian ideals\textsuperscript{70} and invoked by officials whenever appropriate.\textsuperscript{71} Interestingly, the ambiguous term “Soviet,” used earlier, has been replaced in the recent memorial with the equally ambiguous “Russian.” In fact, many of the fallen (for example, at Mäntyvaara) were Belarusian.\textsuperscript{72} This reminds of an essential distinction made in Russia between what is seen, on the one hand, as harmful nationalism and, on the other, as positive patriotism within the frame of patriotic education, and the distancing of the mythologized Great Patriotic War from the Soviet communist heritage.\textsuperscript{73}
The location of the Russian memorial at Mäntyvaara is also noteworthy. If one does not know where it lies on the forested hill, the Russian memorial is very difficult to locate at the end of a small, unmarked footpath. The memorial itself is very inconspicuous in the landscape, being in the shadow of large spruce trees. In this sense, it is by both its placement and accessibility comparable with the POW gravesite, which is practically impossible to find on the other side of the hill without good knowledge of the local landscape. On the contrary, the Finnish and Swedish memorials have signposts in a prime spot along the main road, with a small parking lot and a large information board with maps of the battle. The location of the Russian memorial was decided, as mentioned above, by our local informant, and he justified selecting the site on the basis of the immediate proximity of the largest mass grave. However, in the light of a recent incident at Mäntyvaara, selecting this remote and discrete location does not appear fully coincidental.
In late summer 2014, the Mayor of Kemijärvi, the Chairman of the Kemijärvi City Council, and two National Coalition Party representatives visited the battlefield and noticed that near the Finnish memorial there had recently been erected a small Orthodox cross and a plaque with a Russian-language engraving: “For the memory of the 417 Red Army members of the 122. Division of the 596. Regiment who fell and were left on the battlefield in the Battle of Mäntyvaara on 20.12.1939.”\textsuperscript{74} The chairman of the local search group started investigating the case through his Russian contacts, and he found out “in an hour” that this was a private memorial placed in
\textsuperscript{70} Dahlin, “De dog for att vi skulle leva”, 36; Davydova-Minguet.
\textsuperscript{71} Dahlin, “De dog for att vi skulle leva”, 36.; Etkind; Merridale, \textit{Night of Stone}; Anatoli Rapoport, “Patriotic Education in Russia: Stylistic Move or a Sign of Substantive Counter-Reform?” \textit{The Educational Forum} 73, no. 2 (2009): 141–152; Vera Tolz, \textit{Russia: Inventing the Nation} (London: Arnold, 2001).
\textsuperscript{72} Airio, 28.
\textsuperscript{73} Dahlin, “De dog for att vi skulle leva”, 36 and “Now You Have Visited the War.”; Etkind.
\textsuperscript{74} “Luvaton muistomerkki Kemijärvellä – epätoivoinen venäläismies etsi ukkinsa hautaa,” \textit{Lapin Kansa}, August 1, 2014.
Mäntyvaara by a “desperate Russian man” (henceforth R2) from Moscow, who had been “searching desperately for his grandfather’s grave.”\textsuperscript{75} R2 had tried to contact the Russian search groups before his visit to Finland, wanting to consult them on how he should have acted in placing his own memorial, but could not reach them. Then, when R2 visited the battlefield at Mäntyvaara, he did not want to carry the memorial plaque back to Russia, so he decided to leave it and a small cross at the site to honor his grandfather and others who died in the battle. He apologized if the “memorial violated or hurt people’s feelings.”\textsuperscript{76} In the memorial plaque, the information about the number of fallen and the time of their death, which are both wrong in the Russian state-affiliated memorial, were accurate. Furthermore, the deceased were vaguely called “Red Army members”\textsuperscript{77} instead of (the perhaps more political) “Soviet” or “Russian”; at least in Finland, however, the notion of the Red Army has very strong associations with the USSR’s communist regime.
Despite R2’s public apology, this private act of commemoration caused an immediate local reaction\textsuperscript{78} and the municipality was quick to remove the memorial from the site.\textsuperscript{79} This rapid response to a private, small memorial project seems perhaps surprising almost 70 years after WWII, although legally the memorial was illegitimate and lacking proper permits from the landowner. It would be interesting to know what finally happened to the removed memorial; unfortunately, at the time of writing, I have not received answers to my questions regarding this matter from the municipality, and our informants did not mention anything about the 2014 incident when asked about the Russian commemorative policies at Mäntyvaara. Interestingly, this incident also became drawn into local political discussions.\textsuperscript{80} The public dialogue sparked by the removed Russian memorial became intertwined with a wider discussion about the rights of commemorating non-local Finnish troops (originating from southern Finland) at Mäntyvaara and the plans to raise a memorial for them. This was strongly opposed by some locals, including local politicians. Under the title “Battle over Mäntyvaara,” one of them objected in Lapland’s leading newspaper to the plan of raising a monument for the southern Finns.\textsuperscript{81} The locals apparently felt a need to protect the memory of local intrepidity at the Battle of Mäntyvaara, sensing that the southern Finns were trying to seize “their” glory and the battle fought on their “own land,” by unjustly invading their memoriescape. As a response, the advocates of this memorial questioned what rights the “small-souled” (right-wing) politicians had to “annex the Mäntyvaara memorial area as
\textsuperscript{75} Ibid.
\textsuperscript{76} Ibid.
\textsuperscript{77} Ibid.
\textsuperscript{78} Kalervo Björkbacka, “Pienisieluiset kokoomuspoliitikot,” \textit{Uusi Suomi}, August 11, 2014, accessed August 15, 2016, http://kalervokassubjrkbacka.puheenvuoro.uusisuomi.fi/173599-pienisieluiset-kokoomuspoliitikot; \textit{Lapin Kansa}.
\textsuperscript{79} \textit{Lapin Kansa}.
\textsuperscript{80} Björkbacka.
\textsuperscript{81} Björkbacka; Jaakko Ojaniemi, “Mäntyvaarasta taistellaan,” \textit{Lapin Kansa}, August 11, 2014; “Ei satakuntalaisia Mäntyvaaraan,” \textit{Suomi24}, accessed August 16, 2016, http://keskustelu.suomi24.fi/t/12413546/ei-satakuntalaisia-mantyvaaraan.
their own.” For now, the planned memorial for southern Finns seems to have been put to rest, possibly owing to the hostile local attitudes against it.
Leaving small mementos at war memorials is a relatively universal practice of commemorating and personalizing the dead. Typically these items are modern objects, such as small coins, cigarettes, or wreaths; in Russia, these mirror the simple, casual offerings of everyday items at Orthodox graves. However, placing martial finds recovered from the battlefields at the foot of battlefield memorials, such as those documented at Mäntyvaara and at several other Russian memorials on the Russian side of the border, appears to represent a more uniquely Russian tradition and a different approach to remembering than state-sanctioned memorials or rituals. These items relate directly to the individual soldiers who fought, suffered, and died at those places. The philosopher Maurice Merleau-Ponty has expressed that “to move one’s body is to aim at things through it; it is to allow oneself to respond to their call…,” referring to humans’ embodied immersion in their world. In this sense, perhaps the visitors who climbed to Mäntyvaara to pay homage to the deceased metaphorically answered the call of the dead soldiers through these small items. They possibly felt a more intimate and direct relationship with the past when they collected, touched, and held items that had been handled by the soldiers buried there, often their own ancestors. There can also be other interpretations of this, of course, since we have no direct information of the visitors’ motives. These originally deadly martial finds could also be seen as silent but persistent witnesses of what happened at a place, especially a battlefield denied for decades after the war. At the same time, they illustrate in a very concrete way the brutality of war and the suffering faced by the ordinary soldiers buried there, and they also remind us of the past political framework that their deaths relate to.
Conclusions
The mass graves of Soviet soldiers at Mäntyvaara illustrate well how the engagements with and attitudes toward the transnational, orphaned burials and associated war memorials from WWII have changed over the decades in Finnish Lapland, and also more widely in Finland and Eastern Europe.
82 Björkbacka.
83 See Davydova-Minguet, 17; Kristin Ann Hass, Carried to the Wall: American Memory and the Vietnam Veterans Memorial (Berkeley: University of California Press, 1998).
84 Davydova-Minguet, 17–18; Merridale 2010, 355.
85 Davydova-Minguet, 18.
86 Maurice Merleau-Ponty, Phenomenology of Perception (London/New York: Routledge, 1962), 161; see also David Seamon, “A Lived Hermetic of People and Place: Phenomenology and Space Syntax,” in Proceedings, 6th International Space Syntax Symposium; 12–15 June 2007, Istanbul, Vol. I, ed. Ayse S. Kubat, Özhan Ertekin, Yasemin İ. Güney, and Engin Eyüboğlu (Istanbul: Technical University Faculty of Architecture, 2007), iii-01–iii-16.
87 Kattago.
The decades-long official Soviet/Russian renunciation of these soldiers’ last resting places shows the political complications related to remembering, or rather ignoring, the Finnish Winter War until the last few decades. The years 1939–1940 are essentially lacking from the Soviet/Russian memorial landscape, which has been taken over by the “grand narrative” of the Great Patriotic War of 1941–1945.\textsuperscript{88} Consequently, the Winter War was dismissed as a minor “border skirmish” until the 1980s. The opening up of Russian society toward the end of the Soviet era allowed for the emergence of new perspectives on WWII, which also enabled recognition of the battles fought deep in modern Finnish territory, leading to memorialization of these battles and the soldiers fallen there. This is exemplified, for instance, by the placement of the Russian war memorial at Mäntyvaara.
The establishment of the memorial for Soviet soldiers at Mäntyvaara in 2002 coincides with both the public interest in the Winter War following its 60th anniversary and the revitalized military-patriotic education under Putin’s regime, reflected, for example, by the intensified activity of search groups.\textsuperscript{89} The memorial was authorized and funded by the Russian regional government, which also supports the search groups’ activities. This appears to be closely connected to the ongoing interest by the Russian government and elite in establishing and promoting the historical continuities behind modern Russia. Greek Orthodox Christianity is strongly present at recent war memorials and in the rituals surrounding the repatriation and reburial of fallen soldiers.\textsuperscript{90} This closely intertwines with the perceived continuity from the Czarist times, connecting the Orthodox religion, a strong autocratic ruler, and the “Motherland.”\textsuperscript{91}
Raising new war memorials and reburying fallen Soviet soldiers outside Russian borders seems to be part of a wider rearticulation of the Russian past in a form approved by the authorities, augmented by Orthodox rituals, and mediated by the material culture at the monuments.\textsuperscript{92} At these monuments, the political, cultural, and social capital is applied through the “cult of the
\textsuperscript{88} Kattago.
\textsuperscript{89} Dahlin 2014; Kilin; Uitto, and Geust, 209.
\textsuperscript{90} Lucy Ash, “Digging for their lives: Russia’s volunteer body hunters,” \textit{BBC News, Russia}, January 13, 2014, http://www.bbc.com/news/magazine-25589709; Davydova-Minguet; Merridale, “Soviet Memories: Patriotism and Trauma,” 380–381; “Austria: Remains of Soviet soldiers reburied in Oberwart to commemorate WWII,” YouTube, accessed September 15, 2016, https://youtu.be/TU5lgpa0QQQ; “Latvia: 107 Red Army soldiers reburied at Prieikule cemetery,” YouTube, accessed September 15, 2016, https://youtu.be/GieKa4Iygcz?t=30s; “Lithuania: Reburial ceremony held for 75 Soviet soldiers killed in WWII,” YouTube, accessed September 15, 2016, https://youtu.be/Y6XS9CdfUpo?t=1m12s; “WRAP Remains of Soviet soldiers reburied, Russian ceremony,” YouTube, accessed September 15, 2016, https://youtu.be/FJe2fsJsZGU?t=1m50s.
\textsuperscript{91} Dahlin 2014; Davydova-Minguet; Etkind; Merridale 2010; Rapoport; Tolz.
\textsuperscript{92} See Davydova-Minguet; YouTube, “Latvia: 107 Red Army soldiers reburied”; YouTube, “Lithuania: Reburial ceremony held for 75 Soviet soldiers”; YouTube, “Austria: Remains of Soviet soldiers”; YouTube, “WRAP Remains of Soviet soldiers reburied.”
fallen”\textsuperscript{93} in a “double process of identification”\textsuperscript{94} of these long-dead soldiers, who supposedly sacrificed their lives for causes defined by contemporary society and its claim for commemoration.\textsuperscript{95} Commemorations – as performed, for example, at Mäntyvaara every May 9 – also act as broader demonstrations of Russian state power.\textsuperscript{96} These public performances can be seen as manifestations of the state-sanctioned past in the present, projecting into the future.\textsuperscript{97} On the other hand, the small, outwardly insignificant, rusty cartridges and ammo clips collected by some visitors and carefully placed at the base of the memorial tell probably of very different, intimate, and personalized acts of remembrance. These differ noticeably from the state-organized approaches, also discussed, for example, by Olga Davydova-Minguet, in connection with “grassroots” war memorials in Russian Karelia.\textsuperscript{98} Offering martial items at the memorial could be interpreted, for instance, as individual visitors’ response to their “call” and, through them, the call of the dead soldiers from whose hands they had fallen. At the same time, these small finds act as concrete material witnesses to and evidence of what happened at the battlefield to the soldiers long neglected by their country.
Since commemorative presentations always affect and redefine the space where they are performed, they can also be understood as representational acts that accumulate cultural capital and ownership value.\textsuperscript{99} Thus, they might be interpreted as attempts to gain slivers of the public space and to stake commemorative claims on that space.\textsuperscript{100} In the transnational case of Mäntyvaara, these attempts take place within the Finnish villagers’ everyday lifeworld, which is, even after seven decades, a highly controversial social space to commemorate the Soviet military invasion in WWII. However, at Mäntyvaara the Russian memorial space is most likely not what it was originally intended to be by the Russian authorities, as their plans took an unexpected turn when our informant and the municipality took over the raising of the memorial. Then again, the remote location that our informant selected for the Russian memorial is a naturally beautiful spot deep in the silent forest and, as such, it offers excellent possibilities for quiet and intimate reflection and reckoning.\textsuperscript{101}
\begin{itemize}
\item[93] Kattago, 153.
\item[94] Kattago, 151.
\item[95] Shanken, 170; see also Etkind.
\item[96] Davydova-Minguet; Kattago, 153
\item[97] See Marie Smith-Solbakken and Hans-Jörgen Wallin Weihe, “Preserving the past and intervening in the future through memorials and gravestones,” in \textit{Painful Pasts and Useful Memories: Remembering and Forgetting in Europe}. CFE Conference Papers Series 5, ed. Niklas Bernsand and Barbara Törnquist-Plewa (Lund: Centre for European Studies at Lund University, 2012), 193–206; Yuliya Yurchuk, “The Nexus between Cultural Trauma, Collective Memory and Social Trust: A Glass Half-Full, Half-Empty or Shattered. The Case of post-1991 Ukraine,” in \textit{Painful Pasts and Useful Memories: Remembering and Forgetting in Europe}. CFE Conference Papers Series 5, ed. Niklas Bernsand and Barbara Törnquist-Plewa (Lund: Centre for European Studies at Lund University, 2012), 73–90.
\item[98] Davydova-Minguet, 18; see also Merridale 2010, 379–381.
\item[99] Shanken, 170.
\item[100] Ibid.
\item[101] Davydova-Minguet; Kattago, 155; Koskinen-Koivisto.
\end{itemize}
The easily accessible and well-marked central, dominant Mäntyvaara memorialscape with the Finnish and Swedish monuments appears to be of high symbolic importance for the locals. Thus, it is no surprise that our informant decided to place the Russian memorial in a less visible place, yet justifiably next to a mass grave; Soviet war memorials were often placed next to soldiers’ gravesites.\textsuperscript{102} However, the local public and official attitudes against commemorating the Russians at the main memorialscape, alongside the Finnish-Swedish memory, were manifestly displayed by the swift action taken by the municipality to remove the private memorial plaque and cross left at the site by R2 in 2014.
Compared to the other incidents surrounding the Mäntyvaara memorials, such as the objection to commemorating southern Finnish or Soviet soldiers as part of the central memorialscape, it is intriguing that it was in fact originally our local informant and his family who maintained the memory of the mass graves hidden deep on the forested hill throughout the decades of Soviet/Russian non-admission. He seems to have felt obliged to act as a somewhat reluctant custodian of this ignored heritage. Thus, he carried on his family knowledge about where the graves were located and how many bodies were buried in each grave, and he also marked them unobtrusively in the landscape. In our recent studies, we have come to comprehend how strongly the Indigenous northern Finnish perspectives on WWII often diverge from the generalized nationwide views. As an example, many locals have a strong sense of ownership and a need to act as stewards of their local heritage in their “own lands,” which they feel are too often ignored by typically southern authorities.\textsuperscript{103} However, the Soviet mass graves at Mäntyvaara differ from most of the other cases that we have documented, since there the locals felt, rather humanely yet at the same time somewhat reluctantly, a duty to preserve the memory of the invaders’ final resting places for future generations. Without their active contribution and caring approach toward the remains, the exact locations of these overgrown mass graves would most likely have been lost through the decades, and an intensive archaeological survey would have been needed to relocate them in the forests. However, despite the continued local stewardship and awareness, and the sites’ transnational importance, neither the Mäntyvaara battlefield nor the mass graves are at the moment recognized or protected as official, state-acknowledged heritage.
\textsuperscript{102} Kattago.
\textsuperscript{103} See Vesa-Pekka Herva, Eerika Koskinen-Koivisto, Oula Seitsonen and Suzie Thomas, “‘I have better stuff at home’: Treasure hunting and private collecting of World War II artefacts in Finnish Lapland,” \textit{World Archaeology} 48, no. 1 (2016), http://www.tandfonline.com/; Oula Seitsonen, \textit{Digging Hitler’s Arctic War: Archaeologies and Heritage of the Second World War German Military Presence in Finnish Lapland} (Helsinki: Unigrafia, 2018); Oula Seitsonen and Eerika Koskinen-Koivisto, “‘Where the F… is Vuotso?’: Heritage of Second World War Forced Movement and Destruction in a Sámi Reindeer Herding Community in Finnish Lapland,” \textit{International Journal of Heritage Studies} 24, no. 4 (2017).
Bibliography
Archive Materials
War diary of Erillinen pataljoona 17 1939–1940 (SPK 534). National Archives of Finland.
Newspapers and Online Media
Ash, Lucy. 2016. “Digging for Their Lives: Russia’s Volunteer Body Hunters.” BBC News, Russia, January 13, 2014. http://www.bbc.com/news/magazine-25589709.
Association for Cherishing the Memory of the Dead of the War. “Association for Cherishing the Memory of the Dead of the War.” Accessed April 1, 2016. http://www.sotavainajat.net/in_english.
Björkbacka, Kalervo. 2016. “Pienisieluiset kokoomuspoliitikot.” Uusi Suomi, August 11, 2014. Accessed August 15, 2016. http://kalervokassubjrkbacka.puheenvuoro.uussisuomi.fi/173599-pienisieluiset-kokoomuspoliitikot.
Hakkarainen, Petri. 2012. “Venäläisten sotavankien haudat ovat hyvässä hoidossa.” Kaleva, September 30, 2012. Available at: http://www.kaleva.fi/uutiset/pohjoissuomi/venalaisten-sotavankien-haudat-ovat-hyvassa-hoidossa/607344/.
Lapin Kansa. 2014. “Luvtaton muistomerkki Kemijärvellä – epätoivoinen venäläismies etsi ukkinsa hautaa.” Lapin Kansa, August 1, 2014.
Korhonen, Jorma. “Sallalainen yrityjää: venäläismatkaillu Lappiin on hieman piristymessä.” Yle Uutiset, December 9, 2016. Accessed December 24, 2016. Available at: http://yle.fi/uutiset/9342575.
Suomi24. 2016. “Ei satakuntalaisia Mäntyvaaraan.” Accessed August 16, 2016. Available at: http://keskustelu.suomi24.fi/t/12413546/ei-satakuntalaisia-mantyvaaraan.
Первый канал. “Обращение Президента РФ Владимира Путина (полная версия).” Accessed December 24, 2015. https://www.1tv.ru/news/2014/03/18/46116-obrashchenie-prezidenta-rf_vladimira_putina_polnaya_versiya
YouTube. “Austria: Remains of Soviet soldiers reburied in Oberwart to commemorate WWII.” Accessed September 15, 2016. https://youtu.be/TU5lgpa0QQQ.
YouTube. “Latvia: 107 Red Army soldiers reburied at Priekule cemetery.” Accessed September 15, 2016. https://youtu.be/GieKa4Iygzc?t=30s
YouTube. “Lithuania: Reburial ceremony held for 75 Soviet soldiers killed in WWII.” Accessed September 15, 2016. https://youtu.be/Y6XS9CdfUPo?t=1m12s.
YouTube. “WRAP Remains of Soviet soldiers reburied, Russian ceremony.” Accessed September 15, 2016. https://youtu.be/FJe2fsJsZGU?t=1m50s
Literature
Airio, Pentti. Sallansuunnan taistelut 1939–1940. Helsinki: Maanpuolustuskorkeakoulun Sotahistorian laitos, 2009.
Dahlin, Johanna. 2014. “De dog för att vi skulle leva’: Rysslands patriotiska fostran och de levandes plikter mot de döda.” Nordisk Østforum, 28, 1, 25–46.
Dahlin, Johanna. 2018. “Now You Have Visited the War.’ The Search for Fallen Soldiers in Russia.” In Heritage of Death: Landscapes of Emotion, Memory and Practice, edited by Mattias Frihammar and Helaine Silverman, 131–144. London and New York: Routledge.
Davydova-Minguet, Olga. 2015. “Voitonpäivänjuhla Sortavalassa. Juhlinnan ja muistin politiikkaa rajakaupungeissa.” Elore, 22, 2, 1–32. Available at http://www.elore.fi/arkisto/2_15/davydova-minguet.pdf.
Etkind, Alexander. 2013. *Warped Mourning. Stories of the Undead in the Land of the Unburied*. Stanford: Stanford University Press.
Großkopf, Birgit. 2016. “Why? The Non-Archaeological Removal of Historic Conflict Related Mass Graves: Case studies.” Paper presented on September 22, 2016, in the Fields of Conflict Conference, Dublin. Available at: https://fieldsofconflict.files.wordpress.com/2016/09/fields-of-conflict-september-2016.pdf
Hass, Kristin Ann. 1998 *Carried to the Wall: American Memory and the Vietnam Veterans Memorial*. Berkeley: University of California Press.
Herva, Vesa-Pekka, Koskinen-Koivisto, Eerika, Seitsonen, Oula and Thomas, Suzie. 2016. “‘I Have Better Stuff at Home’: Treasure Hunting and Private Collecting of World War II Artefacts in Finnish Lapland.” *World Archaeology*, 48, 1: 267–281.
Kattago, Siobhan. 2009. “War Memorials and the Politics of Memory: the Soviet War Memorial in Tallinn.” *Constellations*, 16, 1: 149–165.
Kelly, Catriona. 2006. “Shaping the ‘Future Race.’ Regulating the Daily Life of Children in Early Soviet Russia.” In *Everyday Life in Early Soviet Russia. Taking the Revolution Inside*, edited by Christina Kiaer and Eric Naiman, 256–281. Bloomington and Indianapolis: Indiana University Press.
Kilin, Juri. 2007. “Rajakahakan hidas jäiden lähtö.” In *Sodan totuudet: Yksi suomalainen vastaa 5.7 ryssää*, edited by Markku Jokisipilä, 83–84. Helsinki: Ajatus.
Kinnunen, Tiina and Markku, Jokisipilä 2012. “Shifting Images of ‘Our’ Wars: Finnish Memory Culture of World War II.” In *Finland in War II: History, Memory, Interpretations*, edited by Tiina Kinnunen and Ville Kivimäki, 435–482. Leiden and Boston: Brill.
Koskinen-Koivisto, Eerika. 2016. “Reminder of the Dark Heritage of Humankind – Experiences of Finnish Cemetery Tourists of Visiting the Norvajärvi German Cemetery.” *Thanatos*, 5, 23–41.
Laine, Antti. 1982. *Suur-Suomen kahdet kasvot. Itä-Karjalan siviiliväestön asema suomalaisessa miehityshallinnossa 1941–1944*. Helsinki: Otava.
MacKenzie, Simon P. 2015. “Beating the Odds: Superstition and Human Agency in RAF Bomber Command, 1942–1945.” *War in History*, 22, 3: 382–400.
Merleau-Ponty, Maurice. 1962. *Phenomenology of Perception*. Translated by Colin Smith. London and New York: Routledge.
Merridale, Catherine. 2000. *Night of Stone. Death and Memory in Russia*. London: Granta Books.
Merridale, Catherine. 2005. *Ivan’s War. Inside the Red Army 1939–1945*. London: Faber and Faber.
Merridale, Catherine. 2010. “Soviet Memories: Patriotism and Trauma,” In *Memory: Histories, Theories, Debates*, edited by Susannah Radstone and Bill Schwarz. New York: Fordham University Press, 376–390.
Müller, Rolf-Dieter and Gerd R. Ueberschär. 2002. *Hitler’s War in the East, 1941–1945: A Critical Assessment*. New York/Oxford: Berghahn Books.
Ojanиемi, Jaakko. 2014. “Mäntyvaarasta taistellaan.” *Lapin Kansa*, August 11, 2014.
Peacock, Margaret. 2014. *Innocent Weapons. The Soviet and American Politics of Childhood in the Cold War*. Chapel Hill: The University of North Carolina Press.
Price, Jon. 2005. “Orphan Heritage: Issues in Managing the Heritage of the Great War in Northern France and Belgium.” *Journal of Conflict Archaeology*, 1: 181–196.
Rapoport, Anatoli. 2009. “Patriotic Education in Russia: Stylistic Move or a Sign of Substantive Counter-Reform?” *The Educational Forum*, 73, 2: 141–152.
Saarinen, Jarkko. 2001. “The Regional Economics of Tourism: A Case Study of the Economic Impacts of Tourism in Salla, Eastern Lapland.” *Nordia Geographical Publications* 30, 4: 11–18.
Shanken, Andrew M. 2004. “Research on Memorials and Monuments.” *Anales del Instituto de Investigaciones Estéticas*, 84: 163–172.
Seamon, David. 2007. “A Lived Hermetic of People and Place: Phenomenology and Space Syntax.” In *Proceedings, 6th International Space Syntax Symposium; 12–15 June 2007, Istanbul, Vol. I*, edited by Ayse S. Kubat, Özhan Ertekin, Yasemin I. Güney and Engin Eyüboğlu, iii–01–iii–16. Istanbul: Technical University Faculty of Architecture.
Seitsonen, Oula. 2018. *Digging Hitler’s Arctic War: Archaeologies and Heritage of the Second World War German Military Presence in Finnish Lapland*. Academic Dissertation. Helsinki: Unigrafia.
Seitsonen, Oula and Koskinen-Koivisto, Eerika. 2018. “‘Where the F… is Vuotso?’: Material Memories of Second World War Forced Movement and Destruction in a Sámi Reindeer Herding Community in Finnish Lapland.” *International Journal of Heritage Studies*, 24, 4, 421–441.
Seitsonen, Oula, Herva, Vesa-Pekka and Kunnari, Mika. 2017. “Abandoned Refugee Vehicles ‘in the Middle of Nowhere’: Reflections on the Global Refugee Crisis from the Northern Margins of Europe,” *Journal of Contemporary Archaeology*, 3, 2: 244–260.
Smith-Solbakken, Marie and Wallin Weihe, Hans-Jørgen. 2012. “Preserving the Past and Intervening in the Future through Memorials and Gravestones.” In *Painful Pasts and Useful Memories. Remembering and Forgetting in Europe. CFE Conference Papers Series* 5, edited by Niklas Bernsand and Barbara Törnquist-Plewa, 193–206. Lund: Centre for European Studies at Lund University, 2012.
Tolz, Vera. 2001. *Russia: Inventing the Nation*. London: Arnold.
Uitto, Antero and Geust, Carl-Fredrik. 2006. *Mannerheim-Linja. Talvisodan Legenda*. Helsinki: Ajatus.
Vihavainen, Timo. 1999. “Talvisodan neuvostohistoriakirjoituksessa.” In *Talvisodan pikkujättiläinen*, edited by Jari Leskinen and Antti Juutilainen, 893–896. Helsinki: WSOY.
Yurchuk, Yuliya. 2012. “The Nexus between Cultural Trauma, Collective Memory and Social Trust: A Glass Half-Full, Half-Empty or Shattered. The Case of post-1991 Ukraine.” In *Painful Pasts and Useful Memories. Remembering and Forgetting in Europe. CFE Conference Papers Series* 5, edited by Niklas Bernsand and Barbara Törnquist-Plewa, 73–90. Lund: Centre for European Studies at Lund University.
Сосна, И.Н., editors. 2015. *Патриотическое воспитание молодежи в Российской Федерации: состояние, актуальные проблемы и направления развития. Сборник материалов “круглого стола” на тему “Опыт субъектов Российской Федерации по военно-патриотическому воспитанию молодежи.” 21 мая 2015 года*. Совет Федерации: Федерального Собрания Российской Федерации.
Яшкова, Татьяна В. 2019. *Вклад поискового движения в патриотическое воспитание современной молодежи – материалы межрегион*. Старая Вятка: Киров.
Яшкова, Татьяна В. 2011. “Увековечение памяти погибших защитников Отечества как одна из форм военно-патриотического воспитания современной молодежи *Педагогическое образование в России* 3: 192–197.
The Salla municipality, located in Eastern Lapland in the borderland between Finland and Russia, has a complex transnational history due to the events of the Second World War. The borderlines between Finland and Soviet Union were redrawn twice in the 1940s: first after the Winter War (1939–1940) and again after the end of the Continuation War (1941–1944). Additionally, as a result of the Moscow Peace Treaty, almost half of the territories of Salla were ceded to the Soviet Union. It has been argued that the WWII mass evacuations and territorial losses that Finland faced have turned into a national story of suffering.\(^1\) Karelians in the former southeastern parts of Finland as well as the residents of Salla and Pechenga (Petsamo) in Eastern Lapland lost their homes and the connection to their ancestors’ lands, consisting of farmland, lakes, and forests that had provided their livelihood for centuries. In particular, Karelia has become a place for nostalgic reminiscence and pilgrimages full of myths, utopias, and emotions. The heritage societies of former Karelian residents are still active after 70 years, organizing tours in the area, putting up memorials, and holding annual festivities.\(^2\)
Compared to the public memory culture of ceded Karelia, the evacuations and territorial losses of the area of Lapland have received much less attention.
---
1 Outi Fingerroos, “Karelia Issue: The Politics and Memory of Karelia in Finland,” in *Finland in Word War II: History, Memory, Interpretations*, eds. Tiina Kinnunen and Ville Kivimäki, (Leiden and Boston: Brill, 2012); Kristiina Korjonen-Kuusipuro and Anna-Kaisa Kuusisto-Arponen, “Emotional Silences. The Rituals of Remembering the Finnish Karelia,” in *Painful Pasts and Useful Memories. Remembering and Forgetting in Europe*. CFE Conference Papers Series 5, eds. Barbara Törnquist-Plewa and Niklas Bernsand (Lund: Centre for European Studies, 2012); Nina Sääskilahti, “Ruptures and Returns. From Loss of Memory to the Memory of Loss,” *Ethnologia Fennica*, 40 (2013): 40–53.; Davydova, Olga. Voitonpäivänjuhla Sortavalassa. Juhlinnan ja muustin politiikkaa rajakaupungissa. *Elore*, 22, 2 (2015), 2.
2 Fingerroos; Korjonen-Kuusipuro and Kuusisto-Arponen; Ulla Savolainen, *Muisteltu ja kirjoitettu evakkomatka: Tutkimus evakkolapsuuden muistelukerronnan poetiikasta*. (Joensuu: Suomen Kansantietoudun Tutkijain Seura, 2015).
in the national narrative.\textsuperscript{3} However, over the past decades, both official and unofficial heritage forums related to WWII in Lapland have become remarkably active, resulting in fruitful collaboration, for example, between museums and amateur history hobbyists.\textsuperscript{4} In the area of Salla and across the border in the ceded territories, these groups have created a range of activities to cherish the WWII heritage. The ceded parts, including the old village center where the Lutheran church of Salla (named Kuolajärvi until 1936) was located, were not accessible in Soviet times. For about 50 years, the ruined church and the surrounding cemeteries were not accessible to Finnish citizens and were left without maintenance.
After the collapse of the Soviet Union, the abandoned and overgrown churchyard and deserted cemeteries across the border were turned into scenes of regular commemorative rituals. In 1992, the Salla Society (Sallaseura ry) was created in order to take care of the cemeteries and church ruins and to cherish the memory of Old Salla and its many villages.\textsuperscript{5} The society offers a chance for the descendants of the former residents of the annexed territories to gather in Salla, to cross the border, and to pay their respects to their ancestors. This chapter explores the heritage work and the commemorative practices and rituals taking place in ceded areas. What kinds of meanings are attached to the transnational commemorative practices of the Salla region? How are they organized and who participates in them? What motivates the heritage activists, as well as the former Salla villagers and their children, to take part in the transnational heritage work?
As part of the research project “Lapland’s Dark Heritage,”\textsuperscript{6} I visited Salla, the local museum of war and reconstruction, and the many historical war sites on the Finnish side of the border. Furthermore, I conducted interviews with the history hobbyists and heritage activists who maintain the cemeteries and memorials in Kuolajärvi. These key members of the Salla society also organize guided visits to the historical war sites and hold a yearly commemorative service at the Old Salla churchyard. In addition
\textsuperscript{3} See for example, Marja Tuominen, “Lapin ajanlasku: menneisyys, tulevaisuus ja jälleenrakennus historian reunalla,” in Rauhaton rauha: Suomalaiset ja sodan päättyminen 1944–1950, eds. Ville Kivimäki and Kirsi-Maria Hytönen (Tampere: Vastapaino, 2015); Sääskilahti, and Nina Sääskilahti, “Konfliktijälkeiset kulttuuriympäristöt, muisti ja materiaalisuus,” \textit{Tahiti: taidehistoria tieteenä}, 1 (2016).
\textsuperscript{4} See Eerika Koskinen-Koivisto and Suzie Thomas, “Lapland’s Dark Heritage: Responses to the Legacy of World War II,” in \textit{Heritage in Action. Making the Past in the Present}, eds. by Helaine Silverman, Emma Waterton and Steve Watson. (New York: Springer, 2017); Vesa-Pekka Herva et al., “‘I Have Better Stuff at Home’: Treasure Hunting and Private Collecting of World War II Artefacts in Finnish Lapland,” \textit{World Archaeology}, 48, 1 (2016): 267–281.
\textsuperscript{5} See, Salla Society’s webpage, available at: http://sallaseura.fi/.
\textsuperscript{6} The material for the article was gathered in “Lapland’s Dark Heritage,” a multidisciplinary research project funded by the Academy of Finland, which seeks to understand the various engagements with the material heritage of German military presence in Finnish Lapland. The current research is part of independent projects funded by the Finnish Cultural Foundation and Emil Altonen Foundation, carried out at the University of Jyväskylä in 2016–2017. I would like to thank Dr. Eliza Kraatari for her insightful comments on this text.
to interviewing these heritage activists, I have analyzed media materials (videos, photos, and written reports) of visits to the Old Salla cemeteries and the annual commemorative services held across the border, as well as the web archives of the Salla Society’s activities.\(^7\) Instead of traditional ethnographic fieldwork, my approach uses a combination of different methodologies: ethnographic interviews and a close reading of media materials. I would have obtained different kinds of data by being there and taking part in a commemorative service and experiencing it for myself.\(^8\) However, written and recorded materials (edited video as well as reports and photos from different decades) highlight other dimensions of knowledge,\(^9\) bringing to the fore, for example, the agency of individuals who engage with the heritage work around commemorative practices and the social and cultural meanings of this participation.
**WWII and the heritage scene in Salla**
The municipality of Salla was a central stage of the WWII events of Finnish Lapland. Some of the most decisive battles of the Winter War between Finland and the Soviet Union took place there. When the Winter War broke out in 1939, the aim of the Soviet troops was to cut Finland in half at its narrowest point near Salla.\(^{10}\) This plan did not succeed, but the area suffered significant territorial losses: the municipality of Salla lost around half of its area – altogether nine villages – to the Soviet Union.\(^{11}\) In addition to these, the provisions of the subsequent peace treaty also required the construction of a railway line from Kemijärvi to Kelloselkä. The construction of this “Salla line” employed people during the period of Interim Peace (from March 13, 1940 to June 25, 1941), as did the construction of new defense fortifications, garrisons, and bunkers constructed at Joutsijärvi in Kemijärvi and the tank barriers that were built in Salla and Savukoski along the Salpa defense line (*Salpalinja*). The threat of a new war clearly hung in the air.\(^{12}\)
---
\(^7\) The photo and video materials are courtesy of the Salla Society and the Salla Museum of War and Reconstruction. I would like to specifically thank Jarkko Sipola, Pekka Moilanen, and Eeva-Liisa Vuonnala for their generous help in gathering the research material and enhancing my knowledge of the cultural heritage work in Salla.
\(^8\) See for example, Korjonen-Kuusipuro and Kuusisto-Arponen.
\(^9\) According to Sarah Pink, the modern project of ethnography is to translate the visual into words. Pink herself has introduced a different approach that explores the relationship between visual and other (including verbal) forms of knowledge making meaningful links between different research materials. See Sarah Pink, *Doing Sensory Ethnography* (Los Angeles, California: Sage 2007).
\(^10\) Pasi Tuunainen, “The Finnish Army at War: Operation and Soldiers, 1939–45,” in *Finland in War II: History, Memory, Interpretations*, eds. Tiina Kinnunen and Ville Kivimäki (Leiden and Boston: Brill, 2012).
\(^11\) Hanna Snellman, *Sallan suurin kylä – Göteborg. Tutkimus Ruotsin lappilaisista.* (Helsinki: Suomalaisen Kirjallisuuden Seura, 2003).
\(^12\) Pertti Airio, Minna Hamara, and Kaisa Hytönen, *Eastern Lapland during the Winter and Continuation Wars.* (Kemijärvi: The Local Federation of East Lapland, 2013).
At the start of the Continuation War, German troops arrived in Eastern Lapland. From the end of 1940, some 200,000 German troops were based in Finland, mostly in the northern parts. Together, Finland and Germany launched an offensive on the Soviet Union from the direction of Salla in the summer of 1941. The offensive, codenamed “Silver Fox,” was meant to proceed to Kandalaksha (Kantalahti) and later to Murmansk, but it was stopped for three years at the Verman River. The following period of trench warfare ended when the German troops, experiencing a counterattack by the Soviets, retreated back to Finland and toward northern Norway in autumn 1944. The German presence in Lapland, under Colonel General (Generaloberst) Eduard Dietl, enjoyed relative harmony with the locals until late 1944. In October 1944, however, Finland’s treaty with the Soviet Union required it to declare war with Germany. What was at first a “pretend” war escalated into actual conflict, the Lapland War (1944–1945), with devastating consequences for northern Finland. Retreating German troops adopted “scorched earth” tactics, destroying not only their own military settlements but about 90% of the infrastructure and dwellings of Lapland.\(^{13}\) In the area of Salla, the destruction was complete: all villages except two were fully destroyed. In addition to the dwellings, hay sheds, agricultural machinery, cellars, and even wells were smashed and burned.\(^{14}\)
\(^{13}\) Marja Tuominen, “A Good World after all? Recovery after the Lapland War,” in *The North Calotte: Perspectives on the histories and cultures of northernmost Europe*, eds. Maria Lahteenmaki and Paivi Maria Pihlaja (Helsinki: Publications of the Department of History 18, University of Helsinki, 2005).
\(^{14}\) Hanna Elo and Sirkka-Liisa Seppälä: *Raivaajien ja rakentajien Salla. Sallan kulttuuriympäristöohjelma*. Suomen ympäristö 31. (Helsinki: Ympäristöministeriö, 2012).
After the war, the people of Salla had to rebuild their lives from scratch. Those who had lived in the ceded parts of the municipality were moved to the western part and settled in villages where they had to clear new farmland from forests and wetlands. The center of the municipality had to be relocated, too.\textsuperscript{15} The effects of war on the local community were profound; the postwar years were characterized by a collective trauma, as well as silence and a sense of rupture. On the other hand, the process of resettlement and the reconstruction of Salla also rooted perseverance and a sense of community in the postwar generation.\textsuperscript{16} Interestingly, present-day Salla bases its identity strongly on the war and postwar time: local histories emphasize the postwar efforts, calling them “the miracle of Salla” (\textit{Sallan ihme}). The vast voluntary heritage work carried out in the area resulted in the establishment of the Salla Museum for War and Reconstruction (\textit{Sallan sota- ja jälleenrakennusajan museo}), henceforth the SMWR, in 2010.\textsuperscript{17}
The SMWR, which is now run by the municipality, employs three museum workers. The idea of having a local museum was already in the air in the 1950s, but it was not until 2003 that local heritage activists, including members of paramilitary and reservist organizations and the Salla Society, joined forces to convince the municipality that the local war heritage has both national and transnational significance, as well as the potential to lure tourists to the area.\textsuperscript{18} Together with municipal officials, the activists created three EU-funded projects to document and study the local WWII heritage.\textsuperscript{19} The museum was started mainly by amateurs with help received from the professionals of the Provincial Museum of Lapland. Collectively organized action on this scale around war heritage, including the establishment of a new museum, is rather unique in Finland. In the case of Salla, the key group of heritage activists also includes local military history hobbyists, such as members of the Salla search group for fallen Finnish soldiers (\textit{Lapin sotavainajain muiston vaalimisyhdistys ry}),\textsuperscript{20} which was established in 2002, as well as members of local reservist associations and guilds, who are experts in different fields of military history. The local hobbyists often act as experts and guides for visitors who wish to familiarize themselves with the war history of the surrounding area. Our research on the WWII history hobbyists of Lapland has indicated that the intersection of expertise in military history
\textsuperscript{15} Snellman, 39–40; Elo and Seppälä, 48–49.
\textsuperscript{16} Snellman.
\textsuperscript{17} Salla-wiki. As the local tourism site describes, the aim of the museum is to offer a realistic picture of the complex history of the Kuolajärvi-Salla region on the Russian border, which has lived through both good and bad times (http://loma.salla.fi/en): “Salla in the middle of nowhere.” While the emphasis of the museum exhibitions is clearly on war efforts and events, the prewar history of the municipality is also featured.
\textsuperscript{18} Interview 2.
\textsuperscript{19} See, Airio et al.
\textsuperscript{20} The group is a member of the national Association for Cherishing the Memory of the Dead of the War, which since 1998 has coordinated the search for and repatriation of remains of Finnish soldiers from battlefields currently located in Russia (http://www.sotavainajat.net/in_english).
and local knowledge of war historical sites in the wilderness personally motivates the hobbyists to engage in so-called *serious leisure* activities.\(^{21}\) In addition to enhancing local tourism, which is of crucial importance to the economy of the area, the other important motivation for safeguarding the local war heritage lies in “honorary debt,” a patriotic spirit that is still strong among the generation whose family members fought in WWII and struggled to rebuild the area after the war.\(^{22}\)
In the case of cultural heritage work and transnational encounters and rituals, patriotic ideologies do not exclude friendly collaboration between local Finnish and local Russian authorities who honor the victims of the war, regardless of their nationality. The current chair of the Salla Society speaks fluent Russian and has good relations with local Russian authorities, as well as heritage hobbyists from the local Russian search group for fallen soldiers. The SMWR has received a significant donation of objects from the Russian search group. The museum has also hosted a joint cross-border exhibition, created together with local Russian museums of the Kandhalaksa area.\(^{23}\)
**Heritage sites and practices of commemoration across the border**
The first section of the SMWR’s permanent exhibition introduces the destruction of the old Salla church, an eight-cornered log building designed by C. L. Engel and constructed in 1838. There are photos and a scale model of the church right next to the entrance of the exhibition hall. The church was set on fire during the first days of the Winter War in 1939, right after its renovation had been finished. The event was very tragic, as it was the local Finnish soldiers themselves who had to set the fire, because they did not want to leave the church for the Red Army.\(^{24}\) For a long time, the ruins of the church and the cemeteries around it were abandoned and overgrown with vegetation. Today, the churchyard is a large nature area with trees and wildflowers hiding the barely visible ruins of the church. The area of the hero cemetery is a cleared empty space encircled by a white fence. In 1995, an iron cross was put up inside the fence and, a year later, a stone memorial with the names of fallen soldiers was erected in front of the cemetery.
In the case of Finnish soldiers, it is rare for the hero cemetery to be located on foreign ground. The remains of fallen Finnish soldiers were evacuated from battlefields and, when possible, buried in the soldier’s home region with honorary rituals in so-called hero cemeteries. These cemeteries followed the model of the hero cemeteries of the 1918 Civil War in Finland, which were dedicated to the civil guards (*Suojeluskunnat*), also known as
---
\(^{21}\) Koskinen-Koivisto and Thomas. For more about the concept of serious leisure, see Robert A. Stebbins, “Volunteering: A Serious Leisure Perspective,” in *Nonprofit and Voluntary Action Quarterly*, 25 (1996): 211–224.
\(^{22}\) Interview 2.
\(^{23}\) Interview 2. For an overview of the goals of the joint museum project, see http://www.salla.fi/museohanke/Museohanke.pdf.
\(^{24}\) Interview 1; Elo and Seppä, 98.
the Whites, the winners of the Civil War.\textsuperscript{25} In the post–WWII years, the hero cemeteries became important sites for personal mourning, remembrance, and strengthening national identity. Today, the hero cemeteries continue to function as a central locus for rituals that construct the collective and national memory of war.\textsuperscript{26} At Old Salla, located apart from the church in Peterinselkä, there is also a cemetery of German soldiers established in 1941 during the Continuation War. There rest the remains of 7,000 Nazi soldiers who fell in the battles near Kandalaksha and in the battles near Kiestinki and Kalevala. In recent years, access to these places in the Russian border zone has become more restricted, especially for tourists of other nationalities than Finnish.
In Finland, the culture of death is centered on cemeteries, which are most often located in the proximity of Lutheran (or Orthodox) churches.\textsuperscript{27} It is a common habit to visit the graves of beloved ones and ancestors on special days such as Christmas Eve and Day, All Saints’ Day, Father’s and Mother’s Day, with people lighting candles or bringing flowers to the graves.\textsuperscript{28} In addition to this remembrance, official ceremonies by the Finnish army and reservist and paramilitary organizations take place at hero cemeteries during
\textsuperscript{25} Petri Raivo, “‘This is Where They Fought’ Finnish War Landscapes as a National Heritage,” in The Politics of War Memory and Commemoration, eds. by Timothy G. Ashplant, Graham Dawson and Michael Roper, London: Routledge, 2000), 150–151; Ilona Kemppainen, \textit{Isänmaan uhrit. Sankarikuolema Suomessa toisen maailmansodan aikana}. (Helsinki: Suomalaisen Kirjallisuuden Seura, 2006), 71, 73.
\textsuperscript{26} Raivo, 153–154; Tiina Kinnunen and Markku Jokisipilä, “Shifting Images of ‘Our’ Wars: Finnish Memory Culture of World War II,” in \textit{Finland in War II: History, Memory, Interpretations}, eds. Tiina Kinnunen and Ville Kivimäki. (Leiden and Boston: Brill, 2012), 235.
\textsuperscript{27} Ilona Pajari, “Kuoleman rituaalit Suomessa,” in \textit{Kuoleman Kulttuurit Suomessa}, edited by Outi Hakola, Sari Kivistö and Virpi Mäkinen. (Helsinki: Gaudeamus, 2014).
\textsuperscript{28} Marja-Terttu Knapas, “Vanhat hautausmaat – monien muistojen puistot,” in \textit{Puistot ja puutarhat – suomalainen puutarhaperinne}, ed. Anna-Maija Halme, 75–83. (Helsinki: Suomen Kotiseutuliitto, 2005).
national holidays and flag days, such as Independence Day (December 6) and the Flag Day of the Finnish Defense Forces (June 4). There are also several other official commemorative days such as National Veterans’ Day (April 27) and the Commemoration Day of Fallen Soldiers (the third Sunday in May). As explained earlier, visits to the Old Salla churchyard and cemeteries were allowed after the collapse of the Soviet Union, with the establishment of new national and regional administrations and the opening of the border station. In the beginning, lots of paperwork and negotiations with both border authorities and local administrations were required.\footnote{See descriptions and photos of the first visits by heritage activists and preparations of the festivities in 1991–1998 at Salla Society’s webpage (http://sallaseura.fi/?page_id=279) and the webpage of Kuolajärvi village (http://kuolajarvenkyla.nettisivu.org), updated by the members of the Kuolajärvi Facebook group, consisting of descendants of the annexed Salla.} Since 1991, however, visits have been possible with a visa. Since its foundation, the activists of the Salla Society have managed the paperwork with the help of local connections, and they have also begun to regularly organize trips to Old Salla, first clearing out and later maintaining the heritage sites.\footnote{Today, a visit to Old Salla in the border zone requires a tourist or permanent personal visa as well as notification for the border authorities.}
The annual commemorative ritual held in the Old Salla churchyard in July includes a Lutheran memorial service, a practice which is typical of the Finnish culture of commemorating the dead and paying respect to fallen soldiers.\footnote{Raivo; Knapas.} Typically, the event includes a coffee service and, in some cases, continues as a more informal festivity, similar to the tradition of Finnish village gatherings. In 1992, the governments of Finland and the Russian Federation ratified an agreement regarding visits to the cemeteries and memorials of fallen soldiers, as well as the treatment of their remains. This also made it easier to organize group visits and festivities across the border. Since 1993, a Lutheran liturgical (field) service has been held in the Old Salla churchyard every summer in July. In 1994–1995, the Salla Society rented some land next to the churchyard where they could put up a maintenance building. In 1996, the commemorative service also included an inaugural memorial to the fallen soldiers, which was attended by over 550 participants. The festivity offered many participants the first opportunity to cross the border.
Representatives of the local Russian authority and regional administration are always invited to the commemorative service. As part of the ritual, the organizers and the invited representatives also pay respect to the fallen Soviet soldiers. In the 1996 ceremony, official representatives of both countries included regional (provincial and municipal) and religious authorities (bishops of Oulu and Murmansk), and the service included both Lutheran and Orthodox liturgies. These, as well as the speeches by Russian representatives, were translated into Finnish.\footnote{The Lutheran ceremony was led by a respected bishop of Lapland, Olavi Rimpiläinen, who also officially dedicated the memorial statue for the fallen Finnish soldiers buried in the hero cemetery.}
In addition to the Lutheran service, the commemorative ceremony always features the placement of funeral wreaths and flowers to commemorate the ancestors buried on Russian soil. This part of the ritual is often very important to family members and relatives, who can thereby personally pay their respects to their loved ones. The event can be described as holy, as it ritually materializes the emotional bond to the deceased.\textsuperscript{33} For the Russian participants, this moment offers a chance to express empathy and solidarity. At the documented 1996 ritual, one of the most distinguished Russian representatives, Vladimir Ahremejko, the mayor of Kandalaksha, brought flowers and greetings from the people of the nearest Russian town. His words sought to express the collective condolences of his people and to articulate that they understood the difficult time that all the Salla residents had gone through. He also acknowledged that the war had been initiated by the Soviets and that, in his view, it had been unfair to the Finns. In my interpretation, his words reflected the spirit of the reestablishment of Finnish-Russian relations in the 1990s and the reevaluation of history that took place after the collapse of the Soviet Union, which enabled transnational collaboration in organizing memorial practices.\textsuperscript{34}
\textit{Reestablishing the connection to the ancestors’ lands}
In the 1990s, most of the participants of the annual memorial service still carried living memories of the Old Salla region from before WWII. As the generation who experienced the war and evacuation has now aged and can no longer take part in pilgrimages or the annual memorial service, their children, most of whom belong to the so-called Baby Boomers born in the end of the 1940s, have become more interested in this family heritage. Most of them have moved away from the Salla region, thereby losing the connection with some of their relatives, former neighbors, and friends. One of the ways of reconnecting with this transnational cultural heritage is to engage with the Salla Society through the internet, visiting the Society’s webpage, and leaving messages in the virtual guestbook. The activists of the Salla Society also maintain a separate webpage for those who are interested in the history of Old Salla and family histories, and a closed Facebook group entitled “Kuolajärvi village” (\textit{Kuolajärven kylä}), referring to the former name of the village center.
\textsuperscript{33} See also Kristiina Korjonen-Kuusipuro and Anna-Kaisa Kuusisto-Arponen, “Muistelun monet muodot. Kertomus, kehollisuus ja hiljaisuus paikan tietämisen tapoina,” \textit{Elore}, 24, 2 (2017): 10. Elsewhere I have analyzed the emotional ties expressed by placing objects with national symbols and colors on gravesites. See Koskinen-Koivisto.
\textsuperscript{34} This period of reevaluation did not last long. Since the beginning of the 2000s, the commemoration of WWII and the interpretation of history have returned to the highly patriotic tones emphasizing the victorious past of one nation, and a narrative that connects the heroic deeds of the Soviet Union in WWII with the success of Russia today. See Davydova.
The digital age helps people to engage and participate in heritage work in new ways, allowing people to cross geographical distances, and to autonomously create, publish, and distribute content through social media.\textsuperscript{35} The wider social and cultural impacts of this participatory heritage work are yet to be discovered. As discussed in many other chapters of this volume, transnational death often brings up questions of belonging and identity. In the case of Old Salla, digital platforms enable people to rebuild and engage with a village community that has disappeared and scattered around the country—and even across national borders, mainly to Sweden.\textsuperscript{36} The main activities of Kuolajärvi village’s webpage and the Facebook group are channeling genealogical information, sharing photos, and identifying dwellings and locations in the photos. Shared background and knowledge seem to foster a sense of belonging and regional identity in the second generation.
Kristiina Korjonen-Kuusipuro and Anna-Kaisa Kuusisto Arponen have studied the pilgrimages of former Karelian residents to the annexed territory, emphasizing the embodied, material, and emotional dimensions of place-making. They argue that the trips to the lost territories enable visitors to engage with the place through ritualized and embodied practices, such as walking in the landscape and collecting stones and flowers, which represent ways of knowing that transcend word and language.\textsuperscript{37} Indeed, connecting with the remaining physical landscape is regularly mentioned in the descriptions of trips to Old Salla. A female visitor who took part in the ritual at the Old Salla cemetery in 2016 described how crucial it was for her to visit the site and how it allowed her to understand the suffering and longing that she had heard in her parents’, aunts’, and uncles’ stories. For her, it made a difference to see and experience the pretty, unconstructed landscapes of Old Salla, which she likened to a natural park.
It seems that engaging virtually does not suffice when it comes to connecting with ancestors and their land. Instead, the personal physical and embodied experience of visiting the territory—“being there” and “seeing and sensing the place with one’s own eyes”—is also of crucial importance for the subsequent generations.\textsuperscript{38} The virtual guestbook of the Salla Society regularly features questions about the possibility to attend a journey to Old Salla and the next summer’s memorial service. The amount of participants in the annual ritual is not as high as it used to be in the 1990s and 2000s, but every year there are new people who want to join the trip.
\textsuperscript{35} Elisa Giaccardi, “Introduction: Reframing Heritage in a Participatory Culture,” in \textit{Heritage and Social Media: Understanding Heritage in a Participatory Culture}, ed. by Elisa Giaccardi (London: Routledge, 2012).
\textsuperscript{36} In the 1970s, Salla lost more residents than any other Finnish municipality. A significant amount of them immigrated to Sweden. For more information about the immigration, see Snellman 2003.
\textsuperscript{37} Korjonen-Kuusipuro and Kuusisto-Arponen 2017.
\textsuperscript{38} For visits to WWII sites as quests and pilgrimage in the Russian context, see Johanna Dahlin, “‘Now you have visited the war’: The search for fallen soldiers in Russia,” in \textit{Heritage of Death: Landscapes of Emotion, Memory and Practice}, eds. Mattias Frihammar and Helaine Silverman. (London and New York: Routledge, 2018).
Present and future of heritage work and transnational collaboration
Cherishing the cultural heritage of WWII and the ceded land is still very much alive—and even flourishing—in Salla. There are several heritage activists and societies working together in various organizations and collaborating cross-institutionally and transnationally. The work of the Salla heritage activists has resulted in a municipal local museum specialized in war heritage and reconstruction, employing two people fulltime and offering a place for official heritage work to be done in the area. The leading heritage organization, the Salla Society, is also active online, offering a chance for the second generation to reconnect with their families’ past and to explore the history of Old Salla. The annual commemorative service in the churchyard there has also become an important means of reconnecting for the children of the former residents of Old Salla.
The acts of commemoration across the border require transnational collaboration between Finnish activists and the Russian administration and heritage scene. In the area of Old and New Salla, these groups help each other in the search for the remains of fallen soldiers on foreign ground and take part together in commemorative rituals. This tendency of blurring the questions of victimhood and victory, along with approaching war as a universal human experience rather than simply in terms of national triumph, seems to characterize many contemporary practices of commemoration.\(^{39}\)
It has been argued that through commemorative rituals, people bond beyond themselves, connecting participants and generations to come with their ancestors.\(^{40}\) Thus, the rituals have both personal and collective meaning.\(^{41}\) In this vein, it is interesting to see how the future of heritage work will unfold in Salla: will there be continuity and interest among the third generation to continue engaging in active heritage work and transnational collaboration? Will those descendants also want to cross the border to see their ancestors’ land, maintain the gravesites, and hold commemorative ceremonies? Or perhaps the municipality and its official heritage institution, the Salla Museum of War and Reconstruction, will assume some of these responsibilities and continue to specialize in transnational war heritage and collaboration, enticing Russian and German tourists to learn about the manifold layers of war history in the region. Of course, this would require greater financial investment in heritage work, which currently relies on the keen and rather unique volunteer work of the local heritage activists, as well as smooth collaboration between organizations and individuals across the border.
\(^{39}\) Mattias Frihammar and Helaine Silverman, “Heritage of death – Emotion, memory and practice,” in *Heritage of Death: Landscapes of Emotion, Memory and Practice*, eds. Mattias Frihammar and Helaine Silverman (London and New York: Routledge, 2018), 7.
\(^{40}\) Barbara Myerhoff, “Rites and Signs of Ripening: The Intertwining of Ritual, Time and Growing Older,” in *Age and Anthropological theory*, eds. Keith Jennie and David Kertzer. (Ithaca, NY: Cornell University Press, 1984), 306.
\(^{41}\) Dahlin.
Bibliography
Interviews
Interview 1: Interview with Elina Jokinen, the female guide of Salla Museum, by Eerika Koskinen-Koivisto, Oula Seitsonen, and Suzie Thomas. August 8, 2016.
Interview 2: Group interview with Jarkko Sipola (the Curator of Salla Museum), Pekka Moilanen (the chairperson of the Salla Society), Pasi Purhonen (the treasurer of the Salla Society), and Martti Remes (history hobbyist). All four men are also active members of the Salla search group for fallen soldiers. Interview by Vesa Pekka Herva, Eerika Koskinen-Koivisto, and Oula Seitsonen. August 8, 2016.
Audiovisual Materials
Video of the 1996 commemorative service, inauguration of the memorial, and the summer festivity by Salla Society. Courtesy of the SMWR.
Online Material and Leaflets
Salla Society website: http://sallaseura.fi/
Reports and photos of the commemorative ceremonies of 1993–1998, 2008–2010, 2014
Website of Kuolajärvi village: http://kuolajarvenkyla.nettisivu.org/ (accessed April 28, 2017)
Salla-wiki: http://www.sallawiki.fi/wiki/%C3%A4lleenrakennus (accessed April 24, 2017)
Literature
Airio, Pentti, Hamara, Minna and Hytönen, Kaisa. 2013. *Eastern Lapland during the Winter and Continuation Wars*. Kemijärvi: The Local Federation of East Lapland. Available at: http://italappi.lappi.fi/c/document_library/get_file?folderId=26888&name=DL-19137.pdf.
Dahlin, Johanna. 2018. “Now you have visited the war”: The search for fallen soldiers in Russia. In *Heritage of Death: Landscapes of Emotion, Memory and Practice*, edited by Mattias Frihammar and Helaine Silverman, 131–144. London and New York: Routledge.
Davydova-Minguet, Olga. 2015. Voitonpäivänjuhla Sortavalassa. Juhlinnan ja muistin politiikkaa rajakaupungissa. *Elore*, 22, 2. Available at: http://www.elore.fi/arkisto/2_15/davydova-minguet.pdf.
Elo, Tiina & Seppälä Sirkka-Liisa. 2012. *Raivaajien ja rakentajien Salla. Sallan kulttuuriympäristöohjelma*. Suomen ympäristö 31. Helsinki: Ympäristöministeriö.
Fingerroos, Outi. 2012. “‘Karelia Issue’: The Politics and Memory of Karelia in Finland.” In *Finland in War II: History, Memory, Interpretations*, edited by Tiina Kinnunen and Ville Kivimäki, 483–517. Leiden and Boston: Brill.
Frihammar, Mattias and Silverman, Helaine. 2018. “Heritage of death – Emotion, memory and practice.” In *Heritage of Death: Landscapes of Emotion, Memory and Practice*, edited by Mattias Frihammar and Helaine Silverman, 3–19. London and New York: Routledge.
Giaccardi, Elisa. 2012. “Introduction: Reframing Heritage in a Participatory Culture.” In *Heritage and Social Media: Understanding Heritage in a Participatory Culture*, edited by Elisa Giaccardi, 1–10. London: Routledge.
Kinnunen, Tiina and Jokisipilä, Markku. 2012. “Shifting Images of ‘Our’ Wars: Finnish Memory Culture of World War II.” In *Finland in War II: History, Memory, Interpretations*, edited by Tiina Kinnunen and Ville Kivimäki, 435–482. Leiden and Boston: Brill.
Herva, Vesa-Pekka, Koskinen-Koivisto, Eerika, Seitsonen, Oula and Thomas, Suzie. 2016. “‘I Have Better Stuff at Home’: Alternative Archaeologies, Treasure Hunting and Private Collecting of World War II Artefacts in Finnish Lapland.” *World Archaeology*, 48, 2: 267–281.
Kattago, Siobhan. 2008. “Commemorating Liberation and Occupation: War Memorials along the Road to Narva.” *Journal of Baltic Studies*, 39, 4: 431–449.
Kemppainen, Ilona. 2006. *Isänmaan uhrit. Sankarikuolema Suomessa toisen maailmansodan aikana*. Helsinki: Suomalaisen Kirjallisuuden Seura.
Knapas, Marja Terttu. 2005. “Vanhat hautausmaat – monien muistojen puistot.” In *Puistot ja puutarhat – suomalainen puutarhaperinne*, edited by Anna-Maija Halme, 75–83. Helsinki: Suomen kotiseutuliitto.
Korjonen-Kuusipalo, Kristiina and Kuusisto-Arponen, Anna-Kaisa. 2012. “Emotional Silences. The Rituals of Remembering the Finnish Karelia.” In *Painful Pasts and Useful Memories. Remembering and Forgetting in Europe. CFE Conference Papers Series 5*, edited by Barbara Tornquist-Plewa and Niklas Bernsand, 109–126. Lund: Centre for European Studies.
Korjonen-Kuusipalo, Kristiina and Kuusisto-Arponen, Anna-Kaisa. 2017. “Muistelun monet muodot. Kertomus, kehollisuus ja hiljaisuus paikan tietämisen tapoina.” *Elore*, 24, 1. Available at: http://www.elore.fi/arkisto/1-17/korjonen-kuusipuro-kuusisto-arponen.pdf.
Koskinen-Koivisto, Eerika. 2016. “Reminder of Dark Heritage of Humankind – Experiences of Finnish Cemetery Tourists of Visiting the Norvajärvi German Cemetery.” *Thanatos*, 5, 1: 24–41.
Koskinen-Koivisto, Eerika and Thomas, Suzie. 2017. “Lapland’s Dark Heritage: Responses to the Legacy of World War II.” In *Heritage in Action. Making the Past in the Present*, edited by Helaine Silverman, Emma Waterton and Steve Watson, 121–133. New York: Springer.
Myerhoff, Barbara. 1984. “Rites and Signs of Ripening: The Intertwining of Ritual, Time and Growing Older.” In *Age and Anthropological theory*, edited by Keith Jennie and David Kertzer. 305–330. Ithaca, NY: Cornell University Press.
Pajari, Ilona. 2014. “Kuoleman rituaalit Suomessa.” In *Kuoleman Kulttuurit Suomessa*, edited by Outi Hakola, Sari Kivistö and Virpi Mäkinen, 87–122. Helsinki: Gaudeamus.
Pink, Sarah. 2007. *Doing Visual Ethnography: Images, Media and Representation in Research*. 2nd ed. London: Sage.
Raivo, Petri. 2000. “‘This is Where They Fought.’ Finnish War Landscapes as a National Heritage.” In *The Politics of War Memory and Commemoration*, edited by Timothy G. Ashplant, Graham Dawson and Michael Roper, 145–164. London: Routledge.
Rappaport, Roy. 1999. *Ritual and Religion in the Making of Humanity*. New York: Cambridge University Press.
Savolainen, Ulla. 2015. *Muisteltu ja kirjoitettu evakkomatka: Tutkimus evakkolapsuuden muistelukerronnan poeikasta*. Joensuu: Suomen Kansantietoudun Tutkijain Seura.
Snellman, Hanna. 2003. *Sallan suurin kylä – Göteborg. Tutkimus Ruotsin lappilaisista*. Helsinki: Suomalaisen Kirjallisuuden Seura.
Stebbins, Robert A. 1996. “Volunteering: A Serious Leisure Perspective.” *Nonprofit and Voluntary Action Quarterly*, 25: 211–224.
Sääskilahti, Nina. 2013. “Ruptures and Returns. From Loss of Memory to the Memory of Loss.” *Ethnologia Fennica*, 40: 40–53.
Sääskilahti, Nina. 2016. “Konfliktinjälkeiset kulttuuriympäristöt, muisti ja materiaalisuus. Tahiti: taidehistoria tieteenä, 1/2016.” Available at: http://tahiti.fi/01-2016/tieteelliset-artikkelit/konfliktinjalkeiset-kulttuuriymparistot-muisti-jamateriaalisuus/.
Tuominen, Marja. 2005. “A Good World after all? Recovery after the Lapland War.” In *The North Calotte: Perspectives on the histories and cultures of northernmost Europe*, edited by Maria Lähteenmäki and Päivi Maria Pihlaja, 148–161. Helsinki: Publications of the Department of History 18, University of Helsinki.
Tuominen, Marja. 2015. “Lapin ajanlasku: menneisyys, tulevaisuus ja jälleenrakennus historian reunalla.” In *Rauhaton rauha: Suomalaiset ja sodan päättyminen 1944–1950*, edited by Ville Kivimäki and Kirsi-Maria Hytönen, 39–70. Tampere: Vastapaino.
Tuunainen, Pasi. 2012. “The Finnish Army at War. Operation and Soldiers, 1939–45.” In *Finland in War II: History, Memory, Interpretations*, edited by Tiina Kinnunen and Ville Kivimäki, 139–188. Leiden and Boston: Brill.
Ana D. Alonso Ortiz (✉️ https://orcid.org/0000-0002-5059-0155) is a Zapotec woman from Oaxaca, Mexico. She is an anthropologist and a Ph.D. student in Hispanic Linguistics at the University of Massachusetts (USA). As a speaker and member of a Zapotec community, her work focuses on the linguistic description of the Zapotec language and in the bilingual child acquisition of Zapotec and Spanish in Oaxaca, Mexico. She also works on Language Assessment, generally researching ways to assess populations with low literacy skills in their native language. As an anthropologist, her work includes the relationship between language and culture across Zapotec borders.
Chipamong Chowdhury is a Theravada Buddhist monk and independent researcher. He is from the Marma community from the Chittagong Hill Tracts (Bangladesh) and currently teaches at Chautauqua Institution in New York State. He was a 2017–2018 Beyond the Bars Fellow at Columbia University’s Center for Justice. He studied Buddhist Studies in Myanmar and Sri Lanka, and Religious and South Asian studies at Naropa University (USA) and University of Toronto (Canada). His essays and reviews have appeared in the *Harvard Divinity Bulletin*, *Journal of Contemporary Buddhism*, *Buddhist Studies Reviews*, *Studies in Religion*, and *Journal of Religion and Popular Culture*. He is co-editor of the upcoming book *Human Dignity – Practices, Discourses, and Transformations: Essays on Dignity Studies in Honor of Evelin Lindner*.
Lourdes Gutiérrez Nájera (✉️ https://orcid.org/0000-0001-8040-5523) is a cultural anthropologist whose academic inquiries bridge the fields of Latinx, Latin American, Indigenous, and Migration Studies. Specifically, her research focuses on the ways that transnational mobility shapes Zapotec Indigenous experiences of belonging. In so doing, she recognizes the overlapping and distinct ways in which race, gender, nationalism, and capitalism shape these processes. Her research has been funded by the National Science Foundation, Social Science Research Council, and Fulbright. Her publications are featured in numerous academic journals and books including her co-edited,
Comparative Indigeneities: Toward a Hemispheric Approach (University of Arizona Press, 2012). Gutiérrez Nájera is Assistant Professor in the Fairhaven College of Interdisciplinary Studies at Western Washington University (USA).
Katarzyna Herd is a Doctor in Ethnology. Her Ph.D. dissertation, entitled “We can make new history here’: Rituals of producing history in Swedish football clubs,” was defended in 2018. Herd completed her first Master’s degree in English Language and Culture at the University in Jyväskylä (Finland) in 2008. She completed her second Master’s degree in Applied Cultural Analysis in 2013. Herd’s research interest lies in the production of history, collective memory, and the cultural production of emotions. Herd is currently a Lecturer and Researcher at the Department of Arts and Cultural Sciences, Lund University, Sweden.
Ethnologist Eerika Koskinen-Koivisto (https://orcid.org/0000-0001-9056-4982), Ph.D., is an Emil Aaltonen Foundation Research Fellow in the Department of History and Ethnology at the University of Jyväskylä (Finland). In her current research, she examines transnational destinies and family histories of WWII analyzing the ways in which displacement is transmitted and communicated through stories and mementoos. Koskinen-Koivisto is the Co-Editor-in-Chief of *Ethnologia Fennica*, the open access journal of the Association of Finnish Ethnologists. Her main publications include the monograph *Her Own Worth: Negotiations of Subjectivity in the Life Narrative of a Female Labourer* (2014) and the forthcoming co-edited volume *The Routledge Handbook of Memory and Place* (2019).
Josiane Le Gall is Adjunct Professor at the Anthropology Department of Université de Montréal and an investigator at the Centre intégré universitaire de santé et de services sociaux (CIUSSS) du Centre-Ouest-de-l’Île-de-Montreal (Quebec, Canada). Josiane Le Gall’s work centers on various dimensions of migration and family, in particular on transnational and mixed families. Her current research deals with the identity construction process of children of mixed couples. She is also co-conducting ethnographic projects on ‘good death’, dying and grief as experienced by migrants and minorities in Montreal. She also carries out empirical research related to religious pluralism issues in both hospital and community health settings.
Anna Matyska (https://orcid.org/0000-0002-2082-6438) is a Marie Curie Postdoctoral Fellow in social anthropology at IMMRC at the University of Leuven (Belgium) and was affiliated as a doctoral and postdoctoral researcher with the University of Tampere (Finland) for over a decade. She has researched and published on Polish transnational families and Polish labor mobilities. Her recent works on kinship include the monograph *Transnational families in the making: The Polish experience of living between Poland and Finland during and after the Cold War* (2014, Tampere University Press) and the journal article “A post-socialist legacy in transnational
families: Russian and Polish women in Finland,” co-authored with Tatiana Tiaynen-Qadir (Global Networks, forthcoming). Her recent research project concerns posted work mobility regimes from the transnational, family, and class perspectives.
Jordi Moreras (https://orcid.org/0000-0002-8557-821X) (Ph.D., Social Anthropology, 2009) is Professor and researcher in the Department of Social Anthropology, Philosophy and Social Work, at the University Rovira i Virgili (Catalonia, Spain). His research topics are the anthropology of Muslims in Spain and Europe, focusing on the study of imams and the Islamic religious authority, the (re)production of Islamic rituals in the diaspora, and the emergence of new xenophobic discourses. His latest works are: Guía para la gestión de la diversidad religiosa en cementerios y Servicios funerarios (2013, co-authored with Sol Tarrés); Espais de mort i diversitat religiosa. La presència de l’islam als cementiris i tanatoris catalans (2014, co-authored with Ariadna Solé); Diàspores i rituals. El cicle festiu dels musulmans a Catalunya (with A. Solé, M. Alonso, K. Ghali and A. López Bargados, 2017), and Identitats a la intemperie. Una mirada antropològica a la radicalització en Europa (2018). He coordinated, with Ariadna Solé Arrarás, the latest number of the Revista d’Etnologia de Catalunya, dedicated to the anthropology of death (May 2019).
Lilyane Rachédi (https://orcid.org/0000-0001-9024-9819) is a social worker in intercultural relations and works primarily with refugee families in Quebec. Her research focuses on immigration and intercultural issues. She holds a Ph.D. in Applied Human Sciences from the University of Montreal. She is the principal author of the book Quand la mort frappe l’immigrant: défis et adaptations (PUM) and the recent Intercultural Intervention (Cheneliere Edition, 2019). Dr. Rachédi is Professor in the School of Social Work at Université du Québec à Montréal.
Samira Saramo (https://orcid.org/0000-0002-7570-6177) is an Academy of Finland Postdoctoral Researcher at the University of Turku’s John Morton Center for North American Studies. Saramo’s interdisciplinary research focuses on ethnicity, gender, emotion, violence, place-making, and social movements in both historical and current contexts. Her research project, “Death and Mourning in ‘Finnish North America,’” explores Finnish immigrants’ personal narrations and everyday experiences with death and mourning in the years 1880–1939. She has recently published “‘I Have Such Sad News’: Loss in Finnish North American Letters” in European Journal of Life Writing (2018) and “Lakes, Rock, Forest: Placing Finnish Canadian History” in Journal of Finnish Studies (2018). Saramo holds a Ph.D. in History from York University (Canada).
Oula Seitsonen (https://orcid.org/0000-0003-3792-0081) is an archaeologist and geographer with broad research interests ranging from prehistoric pastoralism to contemporary archaeology and heritage studies. He finished
his Ph.D. at the University of Helsinki in 2018 on “Digging Hitler’s Arctic War: Archaeologies and Heritage of the Second World War German Military Presence in Finnish Lapland,” and has marveled at the landscapes and memoryscapes of war in northern Finland since 2006. Currently he is finishing a book manuscript based on his Ph.D. and studying the early phases of Sámi reindeer herding in the project “Domestication in Action” at the University of Oulu.
**Hanna Snellman** (https://orcid.org/0000-0003-1804-088X) is Vice Rector and Professor of Ethnology at the University of Helsinki. Snellman’s research since the 1990s has focused on the ethnography of mobility, especially Finnish Lumberjacks and Finnish immigrants to Sweden and North America, and the History of European Ethnology. In addition to several articles and book chapters, she has published four monographs including *Khants’ Time* (2000) and *The Road Taken* (2005), and co-edited several volumes and special issues such as *Journal of Finnish Studies* issues *The Making of Finland: The Era of the Grand Duchy* (2018) and *Bittersweet: Everyday Life and Nostalgia for the 1950s* (2016).
**Ariadna Solé Arraràs** holds a Ph.D. in Social Anthropology (Universitat de Barcelona) and currently she is Assistant Professor at Universitat Oberta de Catalunya (UOC). Her research has focused on Muslim rituals in Spain, particularly among the Senegalese community, Senegalese migration, and more recently on Islamophobic practices and discourses in Barcelona. In 2015 she defended her Ph.D. thesis entitled *Transnational Islamic Funeral Rituals: Corpse Repatriation between Kolda (Senegal) and Catalonia*. Amongst other publications she is co-author of the chapter “Invisible ritual: Religious practices and debates in Catalan Public Space” (2018) in *Observing Islam in Spain* (Leiden, Brill).
**Cordula Weisskoeppel**, (https://orcid.org/0000-0002-8823-9467) Dr. phil. habil., is Senior Lecturer at the Institute for Anthropology and Cultural Research at the University of Bremen (Germany). After her Ph.D. on multiculturalism in German schools (University of Hamburg, 2000) she has specialized in diaspora and transnational studies through broader research on Sudanese migrants in Germany (University of Bremen, 2011). Her focus is on religious communities within transnational spaces, for example a German-Sudanese Sufi-brotherhood and recently the Coptic Orthodox Church in Europe and Egypt. Since 2015 she had been involved in collaborations with voluntary organizations that provide assistance for refugees. Weisskoeppel’s publications include “Translocality in Transnational Space: Sudanese Migrants in a Protestant Church in Germany” (2013, Special Issue of *Urban Anthropology and Studies of Cultural Systems and World Economic Development*) and *Egyptian Diaspora in Germany* (2016).
Transnational Death
Edited by Samira Saramo, Eerika Koskinen-Koivisto and Hanna Snellman
With so much of the global population living on the move, away from their homelands, and in diasporic communities, death and mourning practices are inevitably impacted. *Transnational Death* brings together eleven cutting-edge articles from the emerging field of transnational death studies. By highlighting European, Asian, North American, and Middle Eastern perspectives, the collection provides timely and fresh analysis and reflection on people’s changing experiences with death in the context of migration over time. First beginning with a thematic assessment of the field of transnational death studies, readers then have the opportunity to delve into case studies that examine experiences with death and mourning at a distance from the viewpoints of Family, Community, and Commemoration. The chapters highlight complicated issues confronting migrants, their families, and communities, including: negotiations of burial preferences and challenges of corpse repatriation; the financial costs of providing end-of-life care, travel at times of death, and arranging culturally appropriate funerals and religious services; as well as the emotional and sociocultural weight of mourning and commemoration from afar. Overall, *Transnational Death* provides new insights on identity and belonging, community reciprocity, transnational communication, and spaces of mourning and commemoration.
**Studia Fennica Ethnologica**
*Memories of My Town*
*The Identities of Town Dwellers and Their Places in Three Finnish Towns*
Edited by Anna-Maria Åström, Pirjo Korkiakangas & Pia Olsson
*Studia Fennica Ethnologica 8*
2004
*Passages Westward*
Edited by Maria Lähteenmäki & Hanna Snellman
*Studia Fennica Ethnologica 9*
2006
*Defining Self*
*Essays on emergent identities in Russia Seventeenth to Nineteenth Centuries*
Edited by Michael Branch
*Studia Fennica Ethnologica 10*
2009
*Touching Things*
*Ethnological Aspects of Modern Material Culture*
Edited by Pirjo Korkiakangas, Tiina-Riitta Lappi & Heli Niskanen
*Studia Fennica Ethnologica 11*
2008
*Gendered Rural Spaces*
Edited by Pia Olsson & Helena Ruotsala
*Studia Fennica Ethnologica 12*
2009
*Laura Stark*
*The Limits of Patriarchy*
*How Female Networks of Pilfering and Gossip Sparked the First Debates on Rural Gender Rights in the 19th-century Finnish-Language Press*
*Studia Fennica Ethnologica 13*
2011
*Where is the Field?*
*The Experience of Migration Viewed through the Prism of Ethnographic Fieldwork*
Edited by Laura Hirvi & Hanna Snellman
*Studia Fennica Ethnologica 14*
2012
*Laura Hirvi*
*Identities in Practice*
*A Trans-Atlantic Ethnography of Sikh Immigrants in Finland and in California*
*Studia Fennica Ethnologica 15*
2013
*Eerika Koskinen-Koivisto*
*Her Own Worth*
*Negotiations of Subjectivity in the Life Narrative of a Female Labourer*
*Studia Fennica Ethnologica 16*
2014
*Transnational Death*
Edited by Samira Saramo, Eerika Koskinen-Koivisto and Hanna Snellman
*Studia Fennica Ethnologica 17*
2019
**Studia Fennica Folkloristica**
*Venla Sykäri*
*Words as Events*
*Cretan Mantinádes in Performance and Composition*
*Studia Fennica Folkloristica 18*
2011
*Hidden Rituals and Public Performances*
*Traditions and Belonging among the Post-Soviet Khanty, Komi and Udmurts*
Edited by Anna-Leena Siikala & Oleg Ulyashev
*Studia Fennica Folkloristica 19*
2011
*Mythic Discourses*
*Studies in Uralic Traditions*
Edited by Frog, Anna-Leena Siikala & Eila Stepanova
*Studia Fennica Folkloristica 20*
2012
*Cornelius Hasselblatt*
*Kalevipoeg Studies*
*The Creation and Reception of an Epic*
*Studia Fennica Folkloristica 21*
2016
*Genre – Text – Interpretation*
*Multidisciplinary Perspectives on Folklore and Beyond*
Edited by Kaarina Koski, Frog & Ulla Savolainen
*Studia Fennica Folkloristica 22*
2016
*Storied and Supernatural Places*
*Studies in Spatial and Social Dimensions of Folklore and Sagas*
Edited by Ülo Valk & Daniel Sävborg
*Studia Fennica Folkloristica 23*
2018
*Oral Tradition and Book Culture*
Edited by Pertti Anttonen, Cecilia af Forselles and Kirsti Salmi-Niklander
*Studia Fennica Folkloristica 24*
2018
**Studia Fennica Historica**
*Modernisation in Russia since 1900*
Edited by Markku Kangaspuro & Jeremy Smith
*Studia Fennica Historica* 12
2006
*Seija-Riitta Laakso*
*Across the Oceans: Development of Overseas Business Information Transmission 1815–1875*
*Studia Fennica Historica* 13
2007
*Industry and Modernism: Companies, Architecture and Identity in the Nordic and Baltic Countries during the High-Industrial Period*
Edited by Anja Kervanto Nevanlinna
*Studia Fennica Historica* 14
2007
*Charlotta Wolff*
*Noble conceptions of politics in eighteenth-century Sweden (ca 1740–1790)*
*Studia Fennica Historica* 15
2008
*Sport, Recreation and Green Space in the European City*
Edited by Peter Clark, Marjaana Niemi & Jari Niemelä
*Studia Fennica Historica* 16
2009
*Rhetorics of Nordic Democracy*
Edited by Jussi Kurunmäki & Johan Strang
*Studia Fennica Historica* 17
2010
*Fibula, Fabula, Fact: The Viking Age in Finland*
Edited by Joonas Ahola & Frog with Clive Tolley
*Studia Fennica Historica* 18
2014
*Novels, Histories, Novel Nations: Historical Fiction and Cultural Memory in Finland and Estonia*
Edited by Linda Kaljundi, Eneken Laanes & Ilona Pikkänen
*Studia Fennica Historica* 19
2015
*Jukka Gronow & Sergey Zhuravlev*
*Fashion Meets Socialism: Fashion industry in the Soviet Union after the Second World War*
*Studia Fennica Historica* 20
2015
*Sofia Kotilainen*
*Literacy Skills as Local Intangible Capital: The History of a Rural Lending Library c. 1860–1920*
*Studia Fennica Historica* 21
2016
*Continued Violence and Troublesome Pasts: Post-war Europe between the Victors after the Second World War*
Edited by Ville Kivimäki and Petri Karonen
*Studia Fennica Historica* 22
2017
*Personal Agency at the Swedish Age of Greatness 1560–1720*
Edited by Petri Karonen & Marko Hakanen
*Studia Fennica Historica* 23
2017
*Pasi Ihalainen*
*The Springs of Democracy: National and Transnational Debates on Constitutional Reform in the British, German, Swedish and Finnish Parliaments, 1917–19*
*Studia Fennica Historica* 24
2017
**Studia Fennica Anthropologica**
*On Foreign Ground: Moving between Countries and Categories*
Edited by Marie-Louise Karttunen & Minna Ruckenstein
*Studia Fennica Anthropologica* 1
2007
*Beyond the Horizon: Essays on Myth, History, Travel and Society*
Edited by Clifford Sather & Timo Kaartinen
*Studia Fennica Anthropologica* 2
2008
*Timo Kallinen*
*Divine Rulers in a Secular State*
*Studia Fennica Anthropologica* 3
2016
*Dwelling in Political Landscapes: Contemporary Anthropological Perspectives*
Edited by Anu Lounela, Eeva Berglund and Timo Kallinen
*Studia Fennica Anthropologica* 4
2019
**Studia Fennica Linguistica**
**Minimal reference**
*The use of pronouns in Finnish and Estonian discourse*
Edited by Ritva Laury
*Studia Fennica Linguistica 12*
2005
**Antti Leino**
*On Toponymic Constructions as an Alternative to Naming Patterns in Describing Finnish Lake Names*
*Studia Fennica Linguistica 13*
2007
**Talk in interaction**
*Comparative dimensions*
Edited by Markku Haakana, Minna Laakso & Jan Lindström
*Studia Fennica Linguistica 14*
2009
**Planning a new standard language**
*Finnic minority languages meet the new millennium*
Edited by Helena Sulkala & Harri Mantila
*Studia Fennica Linguistica 15*
2010
**Lotta Weckström**
*Representations of Finnishness in Sweden*
*Studia Fennica Linguistica 16*
2011
**Terhi Ainiala, Minna Saarelma & Paula Sjöblom**
*Names in Focus: An Introduction to Finnish Onomastics*
*Studia Fennica Linguistica 17*
2012
**Registers of Communication**
Edited by Asif Agha & Frog
*Studia Fennica Linguistica 18*
2015
---
**Studia Fennica Litteraria**
**The Emergence of Finnish Book and Reading Culture in the 1700s**
Edited by Cecilia af Forselles & Tuija Laine
*Studia Fennica Litteraria 5*
2011
**Nodes of Contemporary Finnish Literature**
Edited by Leena Kirstinä
*Studia Fennica Litteraria 6*
2012
**White Field, Black Seeds: Nordic Literacy Practices in the Long Nineteenth Century**
Edited by Anna Kuismin & M. J. Driscoll
*Studia Fennica Litteraria 7*
2013
**Lieven Ameel**
*Helsinki in Early Twentieth-Century Literature: Urban Experiences in Finnish Prose Fiction 1890–1940*
*Studia Fennica Litteraria 8*
2014
**Novel Districts: Critical Readings of Monika Fagerholm**
Edited by Kristina Malmio & Mia Österlund
*Studia Fennica Litteraria 9*
2016
**Elise Nykänen**
*Mysterious Minds: The Making of Private and Collective Consciousness in Marja-Liisa Vartio’s Novels*
*Studia Fennica Litteraria 10*
2017
**Migrants and Literature in Finland and Sweden**
Edited by Satu Gröndahl & Eila Rantonen
*Studia Fennica Litteraria 11*
2018
**Kaisa Häkkinen**
*Spreading the Written Word: Mikael Agricola and the Birth of Literary Finnish*
*Studia Fennica Linguistica 19*
2015
**Linking Clauses and Actions in Social Interaction**
Edited by Ritva Laury, Marja Etelämäki, Elizabeth Couper-Kuhlen
*Studia Fennica Linquistica 20*
2017
**On the Border of Language and Dialect**
Edited by Marjatta Palander, Helka Riionheimo & Vesa Koivisto
*Studia Fennica Linquistica 21*
2018
|
Progress in cell membrane chromatography
Langchong He*, Sicen Wang, Guangde Yang, Yanmin Zhang, Changhe Wang, Bingxiang Yuan, Xiaofang Hou
School of Medicine, Xi'an Jiaotong University, Xi'an, China.
ABSTRACT: Cell membrane chromatography (CMC) was first established by He et al. in 1996. A bioaffinity chromatography technique, CMC has since proven to be an important method for studying drug-receptor interactions and screening active compounds from medicinal herbs. This paper briefly reviews the characteristics of the cell membrane stationary phase (CMSP), the CMC analytical system, and its applications.
Key Words: CMC, preparation, characteristics, applications
Introduction
The receptor concept proposed by Ehrlich and Langley in the early 1900s had little immediate impact upon pharmacology until Clark posited the interaction between the drug and the receptor in 1937 (1,2). Since that time, drug-receptor interaction has been a major part of receptor pharmacology. Applications of various new techniques in this field, such as the widespread radioligand-binding assay (RBA), have brought about the formation and development of receptor pharmacology (3,4). However, RBA results have difficulty reflecting the type of force and stereoselectivity of drug-receptor interactions. There is also limited ability to incorporate radioactive atoms into the structures of most drugs. Thus, direct information on drug-receptor interactions cannot be obtained using the RBA method for drugs that are not radioactively labeled. In 1996 (5), the authors developed a new technique for bioaffinity chromatography called cell membrane chromatography (CMC). Since then, it has been used to study drug-receptor interactions and screen for active components from medicinal herbs. In the CMC system, the cell membrane stationary
*Correspondence to: School of Medicine, Xi'an Jiaotong University. No. 76, Yanta West Street, #120, Xi'an, Shanxi Province 710061, China;
e-mail: email@example.com
Accepted October 19, 2007
phase (CMSP) was prepared by immobilizing a cell membrane containing special receptors on a silica carrier. Interactions between drugs and receptors have been investigated directly using the CMC system. This system can readily identify active components acting on receptors in the CMSP. The CMC method is considered an important type of bio-membrane chromatography. The following briefly discusses several studies using the CMC method.
Characteristics of the CMSP
In contrast to normal liquid chromatography, an enzyme-activity-like cell membrane preparation must be maintained in RBA for the CMSP used in CMC. The procedures usually used for preparation of the CMSP and measurement of the surface features of the CMSP are described below (6-8).
Preparation of the cell membrane
Cells from tissues or cultured cells are dissociated by a hypoosmotic solution and centrifuged to remove nuclei and then centrifuged again to yield the cell membrane. The purity of the cell membrane is verified using a scanning electron microscope. The fact that the flaps of the cytoplasm membrane and the vesicles of the membrane structure can be clearly observed indicates that the procedure for preparing the cell membrane is suitable for use. The total ATPase activity and the protein level of the membrane should be determined when the cell membrane is stored.
Preparation of the CMSP
The key step in CMC is the preparation of the CMSP. Activated silica is placed in a reaction tube, which is followed by suspension of the cell membrane. Adsorption of the cell membrane on the activated silica surface takes place until equilibrium is reached. The whole adsorption process is carried out under vacuum and ultrasonication so that the cell membrane is distributed uniformly on the silica surface. Afterwards, the reaction mixture is diluted with an equal volume of deionized water. The phospholipids of the living cell membrane are able to fuse spontaneously with
each other (self-fusion) on the silica surface in the aqueous solution until a resealed cell membrane layer is obtained. The supernatant in the reaction mixture is removed by centrifugation and the CMSP is then washed with Tris-HC1 buffer until no residual free cell membrane is detected on its surface. The purity of the cell membrane is verified using a scanning electron microscope.
e-1
Surface characteristics of the CMSP
In an aqueous solution, silanol groups (Si-OH) on a silica surface are very strongly polar and usually display strong, irreversible adsorption of biopolymers. Thus, the cell membrane is immobilized on the silica surface. However, one of the characteristics of cell membranes is to have a phospholipid bilayer with two kinds of strong interactions: ionic interaction among membrane polar heads and hydrophobic interaction among carbon chains in the interior of the cell membrane. An ideal image and actual micrograph of the CMSP are shown in Figure 1.
CMC Model System
Chromatographic system
The cell membrane is an important type of biomembrane that has enzymatic activity. In the CMC model system, the chromatographic conditions must imitate the physiological state as much as possible in order to maintain the activity of the CMSP while this system is running. Thus, typical CMC conditions usually include a sodium phosphate buffer or doubledistilled water as a mobile phase and a column temperature of 37°C. Additional conditions include a lower flow rate and a detection wavelength suited to detection with a UV detector.
Analytical instruments in CMC
Figure 3. Combined system depicting CMC.
(1) CMC/UV system
The CMC/UV system is a general one (Figure 2). It can be used to study drug-receptor interactions. The results obtained from this system correspond well with those of RBA. The system can also be used to screen for active components.
(2) Combined system
A combined system can improve CMC qualitatively and quantitatively. This system is well-suited to screening for or identifying active components or compounds from traditional Chinese medicines, natural plants, and reaction mixtures in chemical synthesis through use of either an off-line or an on-line system as shown in Figure 3.
Typical Applications
Drug-receptor interactions
The CMC system has been applied extensively to the study of drug-receptor interactions and measurement of the affinity between drugs and receptors. Yuan and colleagues (9,10) used nine ligands of the α1-adrenergic receptor (AR) to investigate their chromatographic affinity for the α1D-AR subtype. Human embryonic kidney (HEK) 293 cells expressed by cDNA of α1D-AR subtypes were cultured and the CMSP was prepared. Then, the interactions between ligands and α1D-AR in the CMSP were investigated using CMC. Their results showed that the prepared CMSP and CMC method were useful in evaluating affinities of drug-receptor and drug-receptor subtypes and screening for drugs selective to αlD-AR. Yuan and He (11-13) prepared a CMSP and used it for rapid on-line chromatographic evaluation of ligand binding affinity to muscarinic acetylcholine receptor (mAChR) by immobilizing the rat cerebral cell membrane and guinea pig jejunum membrane on the surface of a silica carrier. Their data reflected the selectivity and specificity of interactions between drugs and mAChR and proved that CMC can be used to evaluate drug-receptor affinity for drug candidates. At the same time, Yuan and He (14) also prepared a CMSP of an expressed cell line and rabbit hepatocytes to study drug-receptor interactions.
In light of these findings, the CMC method can be used to investigate drug-receptor interactions. The results obtained from CMC correspond well with those of RBA.
Screening for active components from medicinal herbs
Medicinal herbs are very important natural resources for finding active compounds as part of new drug development. An effective screening technique is needed for such studies. The CMC method can be used for this purpose because it has both characteristics of chromatographic separation and active recognition from a mixture sample. In actual usage, different CMC models established for several target cells can be used for different medicinal herbs. Several CMC models were used to screen for the effective components from the following natural resources:
(1) Traditional Chinese medicines
Traditional Chinese medicines (TCMs) are clinically more effective at treating some diseases. The pharmacological effects of a TCM are usually produced by its active components. Thus, identifying components by means of modern screening techniques is crucial to elucidating the mechanisms and controlling the quality of TCMs. In this area, the CMC model has proven to be a useful screening tool ( 15 ).
In previous studies, Zhang et al. (16) and Liang et al. (17) used a cyno-blood vessel CMC model and rabbit arteriae aorta CMC model in pharmacological trials in vitro to screen for effective fractions and effective components of Angelica sinensis. They found that the effective fraction was the eluate of hexaneethyl acetate from the separated extract, and the effective components in the fraction were ligustilide, dimethyl phthalate, and diethyl phthalate, respectively. Li et al. (18) identified the effective components of Radix Notoginseng, Radix Salviae Miltiorrhizae, and Radix Angelicae with cardiac muscle, cerebrum, and blood vessel CMC models. In accordance with these screening results, a method of controlling the quality of Xinkangping as a TCM prescription for the treatment of coronary heart disease was studied. Zhao et al. (19) studied the effective components YYH-214 and YYH-216 in the roots and leaves of herba epimedii (Yin Yang Huo in Chinese, YYH) screened for using a blood vessel CMC model. They found that YYH-214 and YYH-216 exhibited potent vasodilatation in vitro. Screening results provided by the CMC model correlated well with pharmacological effects. Zhang et al. (20) screened for the effective components of Cladonia alpestris (Tai Bai Hua in Chinese, TBH) using a CMC model and studied their correlation with pharmacological effects. They found that TBHG8 was an effective component of TBH1 as an active fraction in TBH for cardiac muscle contractions in vitro. Liang et al. (21) identified the effective components ligustilide and butylidenephthalide from Ligusticum Chuanxiong, used as a traditional Chinese medicine, using a rat artery CMC model. Their results showed that the components effectively inhibited vasoconstriction of rat abdominal aorta segments in vitro. These effective components in Ligusticum Chuanxiong are mainly used to treat blood vessel diseases.
(2) Natural medicinal plants
In the research and development of new drugs, natural medicinal plants are another important resource in which to search for effective or leading compounds. Using a special target receptor in a CMC model allows the ready identification of bioactive components that react with receptors from natural medicinal plants. Zhang et al. (22) screened for the active components inhibiting HeLa cell proliferation in Libanotis buethorimensis using CMC and found that osthol in Libanotis buethorimensis may inhibit HeLa cell proliferation. He et al. screened the anti-angiogenesis activity of taspine from Leontice robustum using a human umbilical vein endothelial cell (HUVEC) CMC model (23,24). Further studies found that taspine may inhibit proliferation and migration of HUVEC and inhibit CAM neovascularisation. These results indicate
that there is a correlation between CMC screening results and a drug's pharmacological effects. In addition, the anti-inflammatory activity of atractylenolide I and atractylenolide Ш from the rhizomes of Atractylodes macrocephala Koidz was screened using a white blood CMC model (25,26). Atractylenolide I and atractylenolide Ш exhibited good anti-inflammatory action in later studies.
In summary, the CMC system provides an analytical method with a high level of performance, selectivity, and efficiency not only for the study of drug-receptor interactions but also for the identification of active compounds from medicinal herbs. The technique behind the system should prove extremely useful in areas like pharmaceutical analysis, receptor pharmacology, and pharmacochemistry.
References
1. Triggle DJ. Pharmacological receptors: a century of discovery-and more. Pharm Acta Helv 2000;74:79-84.
2. Bennett MR. The concept of transmitter receptors: 100 years on. Neuropharmacology 2000;39:523-546.
3. Testa R, Destefani C, Guarneri L, Poggesi E, Simonazzi I, Taddei C, Leonardi A. The αl-adrenoceptor subtype is involved in the noradrenaline-induced contractions of rat aorta. Life Sci 1995;57:159-163.
4. Bucker SA, Oheim KW, Morse PA, Knepper SM, Hancock AA. αl-adrenoceptor-subtype contractility in rat aorta is mediated by the αlD subtype. Eur J Pharmacol 1996;297:241-248.
5. He LC, Geng XD. Cell membrane chromatography-a new method for studying the drug-receptor interactions. New Progress for Biomedical Chromatography 1996;3:8-9.
6. He LC. Cell Membrane Chromatography. Thesis for Doctoral Degree in Science. Northwest University, 1998.
7. He LC, Yang GD, Geng XD. Enzymatic activity and chromatographic characteristics of the cell membrane immobilized on silica surface. Chin Sci Bull 1999;44:632-637.
8. He LC, Wang SC, Geng XD. Coating and fusing cell membrane onto a silica surface and their chromatographic characteristics. Chromatographia 2001;54:71-76.
9. Zhang D, Yuan BX, Deng XL, Yang GD, He LC, Zhang YY, Han QD. Chromatography studies on bio-affinity of nine ligands of α1-adrenoceptor to α1D subtypes over-expressed in cell membrane. Sci China C Life Sci 2004;47:376-381.
10. Wang Y, Yuan BX, Deng XL, He LC, Zhang YY, Han QD. The preparation of HEK293 α1A or α1B cell membrane stationary phase and the chromatography affinity study of ligands of α1-adrenoceptor. Anal Biochem 2005;339:198-205.
11. Hou J, Yuan BX, He LC, Yang GD, Mi M. Evaluation of drug-muscarinic receptor affinities by using cell membrane chromatography. Chinese J Pharmcol Toxicol 2003;17:70-73.
12. Yuan BX, Hou J, Yang GD, Zhao LM, He LC. Comparison of determination of drug-muscarinic receptor affinity by cell membrane chromatography and by radioligand-binding assay with the cerebrum membrane of the Rat. Chromatographia 2005;61:381-384.
13. Yuan BX, Hou J, He LC, Yang GD. Evaluation of drugmuscarinic receptor affinities using cell membrane chromatography and radioligand binding assay in guinea pig jejunum membrane. Acta Pharmacol Sin 2005;26:113-116.
14. Wang Y, Yuan BX, Deng XL, He LC, Wang SC, Zhang YY, Han QD. Comparison of alpha1-adrenergic receptor cell-membrane stationary phases prepared from expressed cell line and from rabbit hepatocytes. Anal Bioanal Chem 2006;386:2003-2011.
15. Huang X, Kong L, Li X, Chen X, Guo M, Zou H. Strategy for analysis and screening of bioactive compounds in traditional Chinese medicines. J Chromatogr B 2004;812:71-84.
16. Zhao HR, Yang GD, He LC, Yang YJ. Screening the effective component of Angelica sinensis by cell membrance chromatography. Chinese Pharm J 2000;35:13-15. (in Chinese with English abstract)
17. Liang MJ, He LC. Analysis of the effective part and effective component of angelica sinensis in Siwutang. Chinese Journal of Analytical Chemistry 2004;32:83-86.
18. Li HL, Yang GD, He LC. Identification and determination of Xinkangping. Chinese J Pharm Analysis 2001;21:348-351.
19. Zhao XJ, Dang GC, Yang GD, He LC. Analysis and comparation of effective component in the roots and leaves of herba eplmedii. Chinese J Anal Chem 2002;30:195-197. (in Chinese)
20. Zhang HL, Yang GD, He LC, Yang YJ. Studies on screening the effective components of Cladonia alpestris and its correlation with pharmacological effects. Chinese J Pharm analysis 2003;38:92-94.
21. Liang MJ, He LC, Yang GD. Screening, analysis and in vitro vasodilatation of effective components from Ligusticum Chuanxiong. Life Sci 2005;78:128-133.
22. Zhang YJ, He LC. Screening active component inhibiting HeLa cell proliferation in Libanotis buethorimensis by using the method of cell membrane chromatography. Chinese Pharm J 2005;40:463-465.
23. Gao K, He LC, Yang GD. Screening the effective component of Leontice robustum by cell membrane chromatography. Chinese J Pharm analysis 2003;38:14-16.
24. Li YP, He LC. Inhibitory effects of the alkaloids from Radix Caulophylli on the proliferation of human vascular endothelial cell. Acad J XJTU 2005;17:185-187.
25. Li CQ, He LC. Establishment of the model of white blood cell membrane chromatography and screening of antagonizing TLR4 receptor component from Atractylodes macrocephala Koidz. Sci China C Life Sci 2006;49:182-189.
26. Li CQ, He LC, Jin JQ. Atractylenolide I and atractylenolide Ш inhibit lipopolysaccharide-induced TNF-α and NO production in macrophages. Phytother Res 2007;21:347-353.
|
Bentley University
Scholars @ Bentley
Natural & Applied Sciences Faculty Publications Department of Natural and Applied Sciences
2019
Bordering work in contemporary political discourse: The case of the US/Mexico border wall proposal
Angela Garcia
Follow this and additional works at: https://scholars.bentley.edu/nas_facpubs
Part of the American Politics Commons, and the Social Influence and Political Communication
Commons research-article
870048 research-article2019
DAS0010.1177/0957926519870048Discourse & SocietyGarcia
Article
Bordering work in contemporary political discourse: The case of the US/Mexico border wall proposal
Angela Cora Garcia
Bentley University, USA
Abstract
In this article, I use a critical discourse analytic approach to investigate how President Trump's campaign goal to build a wall along the US/Mexico border has been discussed in United States political discourse. The data analyzed are 30 videotaped speeches and other public events which occurred between October 2016 and March 2018. These data are publicly available from the cable news channel C-SPAN's online video archive. The analysis focuses on the communicative techniques and strategies used to persuade others and justify one's position in the interactions and events studied. In this article, I show how the border wall proposal is reformulated into a debate about border security, and how diverse ways of referring to persons without approved documentation are used to support arguments on both sides of the debate.
Keywords
Border security, border walls, conversation analysis, discourse analysis, immigration policy, United States politics, US/Mexico border
Introduction
The proposal to build a wall on the US/Mexico border was a prominent issue in President Trump's election campaign and continued to be an issue after the election and into the first year of his presidency. In this article, I use a critical discourse analytic approach to investigate how President Trump's goal of building the wall is
Email: firstname.lastname@example.org
https://doi.org/10.1177/0957926519870048 Discourse & Society 2019, Vol. 30(6) 573–599 © The Author(s) 2019 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/0957926519870048 journals.sagepub.com/home/das
discussed in a variety of political and media events in order to understand recent US political discourse about this issue. The period covered by the analysis is from October 2016 through March 2018 (from shortly before the election through the beginning of the second year of the presidency). The data sources for this article are a collection of video recorded speeches, events and interactions involving such figures as President Trump, members of the Congress and Senate, immigration experts, journalists and members of the public who call in to televised talk shows. These data are all available on the website of the public cable television station C-SPAN. The purpose of the analysis is to explore how issues related to the proposed border wall are discussed, formulated and referenced in interactions about the border in contemporary American political events. The analysis will focus on the communicative techniques and strategies used to persuade others and justify one's position. In this article, I first show how the border wall goal is reformulated into a debate about border security and then show how diverse ways of referring to persons without approved documentation are used to support arguments on both sides of the debate. This analysis will contribute to our understanding of how boundaries between people, political parties and positions are created and maintained.
Literature review
Previous research on 'illegal immigration' in a variety of historical contexts has identified a number of common rhetorical techniques and strategies that are used to construct and justify arguments on this topic. 1 Strategies such as creating an 'us versus them' dynamic, using formulations that treat citizens as the norm and immigrants as the 'other' or as outsiders, or using referents that delegitimize the immigrant (such as negative membership categories and associated descriptors), are some of the common techniques that have been identified.
'Us' versus 'them' formulations
Researchers in a variety of fields have noted the use of dichotomous categories to create an 'us' versus 'them' model (Reyes, 2011). These rhetorical strategies are also used in discussions of migration across national boundaries. Jones et al. (2017) use a geographical approach to studying national border crossings and find that there is a tendency to exercise power over non-citizens, while protecting the rights of citizens. Dorner et al.'s (2017) study of attitudes toward immigrants in St. Louis, Missouri, shows how policies can be justified or argued against by choosing to use inclusive language or rhetoric that creates boundaries between groups of people based on immigration status. They refer to this 'us versus them' approach as 'boundary work'. This 'us versus them' boundary work can be done through the use of pronouns. Kranert (2017) argues that pronouns can be used strategically in political discourse. Cap's (2018) article on attitudes toward immigration in Poland addresses the rhetorical work done to create a positive depiction of citizens ('us') which is then contrasted with a depiction of immigrants ('them') which is tied to negative connotations.
'Othering' the 'illegal immigrant'
Formulations which create rhetorical distance between categories of people can be used to 'other' groups of people and construct and maintain boundaries between them and the general population (see Reyes, 2011; Román, 2013). For example, Burroughs (2015) describes how newspaper accounts about 'illegal immigration' can work to construct boundaries between legal and illegal citizens by 'othering' the illegal immigrant:
[N]ews-print media texts contain a large level of national rhetoric, which functions to reinforce the 'legitimate' identity of the citizen. Through this ongoing process, the 'subject' (the 'illegal immigrant') is placed into the role of the 'other' in order to justify practices of State control and exclusion. (Hall, 2001; Jager and Maier, 2009; Van Dijk, 2009; Wodak and Krzyzanowski, 2008; Wodak and Meyer, 2009: 167). (Burroughs, 2015: 167)
These strategies do not simply create boundaries between groups and categories of persons, and they can be used to justify unequal power or status relationships between them. For example, in her study of 'illegal immigration' in newspaper accounts in Ireland, Burroughs (2015) describes how discourse is related to power. These strategies can be used to justify laws, policies or actions against members of those groups that are seen as causing or being a social problem (see also Reyes, 2011; Van Dijk, 2000, 2008; Wodak and Meyer, 2009):
Examples of this include descriptions of 'illegal immigrants' as criminals, as a threat to society, and as an entity that requires regulation and control . . . These constructed identities allow for migrants to be placed within an unequal position in relation to those seen to be legitimate (citizens) within the Nation State rationale of governance. Therefore, discourses and the 'knowledges' that they (re)produce are employed to (re)establish and maintain unequal power relations within society (Van Dijk, 2009: 62–82), which can lead to 'justified' practices of control and exclusion. (Burroughs, 2015: 168)
Hochschild et al. (2012) describe how policies work to position 'undocumented immigrants' as outsiders. Heyer (2018) also describes the power of framing immigrants as 'outsiders' as a rallying cry for exclusionist policies:
Representations of the outsider as a social menace have been reinvented in moments of national crisis, with the general pattern evidencing xenophobia's productive function in the national imaginary. Portrayals of immigrants as public charges or of a dangerously porous border have long shaped US society's collective imagination. (Heyer, 2018: 153)
Membership categories and negative descriptors
Some choices of how to categorize or describe groups of people in discussions of immigration are more neutral than others. Bean and Lowell (2007: 70) found that terms such as 'illegals', 'illegal aliens', and 'illegal immigrants' have been used to describe people who cross national boundaries without appropriate documents. 2 Massey and Pren (2012: 6) describe the use of terms such as 'tidal wave' and 'alien invaders' to describe undocumented immigrants from Latin America. Some other less negative alternatives include 'unauthorized entries' or 'unauthorized immigrants' (Haynes et al., 2016; Hochschild et al., 2012) or 'unauthorized migration' (Bean and Lowell, 2007: 70). McNevin (2017: 255) uses the term 'irregular migration' to refer to 'the movement of people across borders without the explicit sanction of the receiving state'. Resnik (2017: 118) argues that categories such as 'illegal immigrant' or 'unlawful aliens' have very different connotations than do terms like 'irregular migrants', 'unauthorized migrants' and 'settled immigrants'.
In their historical study of newspaper articles about immigrants to the United States, Cabaniss and Cameron (2017) found that immigrants were categorized by using relatively neutral descriptors such as 'newcomers', 'immigrants' or 'foreigners'; however, negative descriptors were used along with these categories, especially when discussing immigration policy. Examples of these descriptors included 'undesirable', . . . 'dangerous', 'impoverished' and 'crazy' (Cabaniss and Cameron, 2017: 623).
US/Mexico border issues
Some recent research on political discourse around immigration focuses directly on the debate over the US/Mexico border and now President Trump's campaign proposals to build a wall across that border. Leary's (2017) essay on President Trump's proposed border wall notes that the main purpose of the wall proposal was a campaign strategy to attract the support of a subset of the American public. Heyer (2018) articulates this point:
Trump campaigned on promises to deport undocumented immigrants and secure the border with Mexico, a country he charged with sending its criminals, drug dealers, and rapists. Antiimmigrant sentiment helped elect Trump: the most consistent chant at his rallies was 'Build the wall!' (Heyer, 2018: 146–147)
Flores (2017) argues that building a wall across the US/Mexico border would not only be prohibitively expensive, it would fail to achieve the goals set for it. In addition, large increases in resources and personnel would be required to maintain and police it.
In short, previous studies of immigration issues on the US/Mexico border have not yet examined the public interactions in which this issue was discussed. This article will fill that gap by examining how arguments for and against the proposed wall are constructed and how people who cross the border without adequate documentation are referred to, categorized and described. In particular, I will analyze how the participants use reformulations, membership categories, footing shifts and other interactional strategies in the context of debate about the proposed wall.
Data and methods
The data analyzed in this article are public events which occurred during the 2016 US Presidential election campaign and in the months following the election (October 2016 through March 2018). All of the videos were obtained from C-SPAN's online video archive. A total of 30 events were included in the data set. These events included participants with a variety of different ranks, positions and institutional roles, including
President Trump, members of Congress and the Senate, government officials, journalists, immigration experts and members of the public. A wide range of types of events were included in the collection, such as Presidential campaign rallies, Congressional committee hearings, Senate debates, Presidential, Congressional, and Federal Administration press conferences, White House Press briefings, and research institute panels. C-SPAN TV news interviews and call in talk shows were also included (see Appendix 1 for a complete list of the events analyzed).
The video recordings of these events range from 5 minutes to more than 2 hours in length and involve a total of over 200 participants. For most of the events, transcripts are provided on the C-SPAN website. Many of these transcripts are well done, while some of the machine-generated transcripts required substantial editing or even re-transcribing in order to be useful for analysis.
In their study of immigration, Haynes et al. (2016) argue that media frames can influence public opinion and policy. The concept of framing was first developed by Goffman (1974) in his analysis of how participant's actions are shaped by the frame through which they view the social world they are acting within. Previous research on how events are framed in the media finds differences in the types of frames used and the institutional position of the writer (e.g. Haynes, et al., 2016; Wahutu, 2018). Fairhurst (2011) shows how organizational leaders can frame events, problems and potential approaches to solutions through how they interact with others. In this analysis, I will look at the types of frames used to describe undocumented immigrants (e.g. legality vs illegality) and examine how they are tied to the institutional role of the speaker, their political party affiliation and their position on the border wall.
Previous research on immigration and politics often uses a critical discourse approach. For example, Sahlane's (2015) analysis of newspaper coverage of Iraq War protests uses a critical discourse approach to analyze how word choice and formulations are used to construct arguments justifying positions and create boundaries between 'us' and 'them'. Conversation analysts have also studied how references to persons are done (e.g. Sacks and Schegloff, 1979) and how membership categories can be used to describe persons or groups of people (Hester and Eglin, 1997; Sacks, 1972). Persons can be referred to by identifying them with a category to which they belong (e.g. family member, Senator, immigrant). Since each individual is a member of many categories, the speaker chooses which categories to use to refer to or describe the person. Different impressions are conveyed depending on which categories are used. These methods of referring to people can be used strategically by claiming or excluding those referred to from group membership, characteristics or qualities (e.g. Winiecki, 2008). Speakers can also use formulations and reformulations to emphasize specific aspects of statements or to reframe arguments (Atkinson and Drew, 1979; Hutchby, 2005).
Reformulating other's constructions of facts can change their meaning or the implications drawn from them. Another interactional technique used in persuasive arguments is footing shifts (Goffman, 1981, see also Clayman, 1988). Through this technique speakers can make a point while deflecting responsibility for it or creating more credence for it. For example, a speaker could preface an argument with 'others say . . .', or could attribute the remark to an expert or other figure whose statements may hold more weight.
I analyzed the transcripts in the data set and located all utterances referring to the border wall and border security issue, as well as all references to persons who crossed the border without approved documents. I analyzed these utterances and ways of representing persons in the context of the interaction they occurred within, and took note, when possible, of the institutional role, party affiliation or expressed position relative to the border wall proposal.
In this article, I first analyze President Trump's campaign rhetoric and show how participants on both sides of the political debate over the border wall/border security issue articulated their positions. I will begin with a discussion of the process of formulating and reformulating the issue from 'the border wall' to 'border security' to 'partial wall plus'. The second part of the article will show how borders between individuals and groups can be created and maintained through how people who cross the US/Mexico border without documentation are identified, referred to, categorized and described. 3
Campaign rhetoric and political debate on the border wall/ border security issue
Participants in these data display, create and maintain borders between political groups, as well as between segments of the population, through their formulations of references to the border wall/border security issue. In this section, I analyze how participants use interactional techniques such as formulations and reformulations, membership categorization, footing shifts and other devices to convey their positions on the border wall issue. I will show that while President Trump's campaign statements typically framed the border wall issue in terms of oppositional dichotomous categories ('build the wall' vs 'don't build the wall'), when discussed in most of the political and journalistic contexts studied here, speakers usually reformulated it from 'the border wall' to 'border security'. This reformulated version transforms the political problem from whether to build the wall to how border security should be achieved. Once transformed from 'the wall' to 'border security', participants differed in how this goal should be accomplished. For many it is a 'partial wall plus' approach, which is a combination of infrastructure, personnel, technology and/or changes in immigration law.
Build the wall/don't build the wall
During President Trump's election campaign, he presented the border issue as a binary choice. He was for building a wall across the US/Mexico border, while his opponents were against building it. He thus presented building the wall as a clear-cut issue involving two opposing choices, rather than as a more complex issue requiring a variety of approaches to meet a wide range of needs. President Trump's typical formulation of the border wall issue during his presidential campaign is illustrated by Excerpt 1 from a campaign rally held in Ohio:
Excerpt 1: Event 29, Trump Campaign Rally Ohio (27 October 2016)
At this presidential campaign event, then candidate Mr Trump stated that his opponent, former Secretary of State Hillary Clinton ('Hillary'), 'wants totally open borders' (line 1). He then contrasts that claim with his position, which will 'secure and defend the borders of the United States' (line 5). He goes on to say that 'we will build a wall' (line 6), thus presenting 'a wall' as the solution to the problem of defenseless, open borders.
As campaign tactics, simple yes/no and for/against formulations may be more effective persuasive tools than more complex arguments (Holloway, 2009; Smith, 2009). However, in terms of the evolving debate over how to manage the US/Mexico border and undocumented immigration more generally, this formulation is neither accurate nor effective. This formulation may also contribute to the construction and maintenance of 'borders' or divisions between critical segments of the US government, political parties, the media and the general public. Presenting the issue in terms of being for or against building 'the wall' creates borders between supporters of President Trump and those who oppose him, between Republican and Democratic lawmakers, between citizens of different political parties, and between citizens and immigrants.
These choices about how the border issue is formulated can also be used to paint others in a negative way. For example, in a post-election event, President Trump refers to building the wall (Excerpt 2, line 1). He then justifies the need for the wall ('we will keep out the gang members, criminals, drug and human traffickers that threaten our citizens and that threaten security'; lines 1–3). He thus presents the wall as a simple cure-all for a wide range of social problems. This construction indirectly creates an 'us versus them' border between U.S. citizens and undocumented immigrants, who President Trump refers to as gang members, criminals and so on. He goes on to construct political barriers, drawing lines between those in Congress who agree with him as opposed to those who are against him (lines 5–7).
Excerpt 2: Event 22, Trump Trophy Presentation (2 May 2017)
these deadly and dangerous threats. And we will not put up with it,
8
and the public won't put up with it.
Even after the 2016 election campaign, those who opposed building 'the wall' still often referenced 'the wall' in their public statements on this issue rather than arguing for specific policy positions regarding border security. For example, in a post-election speech during a Senate debate, Democratic Senator Dick Durbin uses the 'border wall' formulation in a challenge of President Trump's formulation of the wall as an issue that 'we' (the American people) support (Excerpt 3):
Excerpt 3: Event 21, Sen D Durbin D-Illinois (12 February 2018)
Senator Durbin characterizes those in favor of building the wall as the 'other side' (lines 111–112) and links the President's proposal to build a wall across the southern US border with the 'other side' (lines 112–115). He goes on to present polling data supporting his claim that the American people oppose the border wall by a large margin (lines 115– 118). This formulation works to separate President Trump and the 'other side' from membership in the category 'the American people', thereby marginalizing their position.
Reformulating the border wall to border security
While candidate Trump initially proposed building a wall across the United State's entire southern border, in these data both Republicans and Democrats, as well as experts involved in immigration and border security issues, routinely reframe the issue in terms of 'border security'. This alternative formulation of the problem subtly but consequentially changes the nature of the debate from a binary choice ('build the wall' vs 'don't build the wall'), to a multifaceted debate over what border security is and how it can best be accomplished. While both Republicans and Democrats tend to acknowledge the need for border security, there is disagreement on what exactly border security means and how to best achieve it. These different perspectives, party affiliations and goals are both reflected in and constructed through how these issues are formulated, framed and justified during debate and discussion of the border and related issues.
While Mr Trump's presidential campaign rhetoric formulated the border issue as 'build the wall', most others argue for a partial wall extending across selected parts of the border rather than for a complete wall across the entire US/Mexico border. The 'partial wall' formulation implies a very different approach to the best ways to solve problems than does the 'build the wall' rhetoric of the Trump presidential campaign. However, a proposal to build a partial wall over some parts of the border may not be as effective a campaign slogan or rallying cry than is 'build the wall'.
There is some evidence that the framing of the issue as being about 'the wall' has shaped the political debate and the political strategies used by both sides. For example, in Excerpt 4 from a Senate Debate, Republican Senator Lankford protests against a Democratic proposal to provide some funding for 'the wall' in exchange for legislation protecting the DACA Dreamers (people brought to the United States as children without documentation). He argues that the wall is not the issue, border security is. Reframing the issue as border security implies a very different set of problems and proposed solutions to those problems. Note that at the beginning of this excerpt Senator Lankford attributes the points made to 'some of my democratic colleagues' (line 94), expressing their position as 'there is no benefit in the wall' (line 95), and their offer as a trade of DACA citizenship for money to build a wall (lines 97–99). He then marks a shift to his position with 'That has never been the request, and everyone knows it. The request has been border security' (lines 99–100). Reframing the issue from citizenship for DACA recipients to 'border security' doesn't just reject the Democrats' proposed solution, it also changes the subject matter of the debate from the needs of specific groups of people to a general concern for 'border security'.
Excerpt 4: Event 26, Senator Lankford, Senate Debate (14 February 2018)
Senator Lankford, in essence, also rejects President Trump's proposal to build 'the wall' and instead works to reformulate the issue as a need for 'border security'. He acknowledges President Trump's 'build the wall' campaign rhetoric (lines 101–102), but rejects the importance of that rhetoric in favor of a different formulation of the issue: 'But it has always been about border security, not just putting up a wall in certain places. There has never been an emphasis to build two thousand miles of wall' (lines 101–105).
Senator Lankford thus acknowledges the campaign rhetoric of 'build the wall', but denies that that has ever been the goal or the intent of his party, and instead argues for 'a wall in certain urban areas' (lines 105–106). He states that 'what's really needed is border security' (line 106). The 'wall' versus 'no wall' dichotomy is thus rejected by this Republican Senator and is replaced by a goal of 'border security'. His vision of how to improve border security includes a partial wall.
In the data analyzed in this article, Republican supporters of the wall almost uniformly argued for a 'partial wall plus' approach, a combination of a partial wall (often referred to as 'infrastructure'), personnel and technology. For instance, in Excerpt 5, Mr Brandon Judd (President, National Border Patrol Council), is testifying at a Congressional Subcommittee hearing on behalf of the Border Patrol.
Excerpt 5: Event 10, House Subcom Brandon Judd (27 April 2017)
318 BJ:
First off, I will not advocate for two thousand miles worth of
From the very beginning of his testimony, Mr Judd makes it clear that he is rejecting the 'build the wall' formulation, which involves building a solid wall across the entire US/Mexico border (lines 318–319). He instead argues for a wall in 'strategic locations' (line 320); in short, a partial wall. He also reframes the issue in terms of the goal of securing the border (lines 320–321), a subtle but important difference from candidate Trump's use of the wall as a device to keep what he characterizes as criminals and other dangerous people out.
In a press conference about the border wall held by the US Customs and Border Control, former administrator Ronald Vitiello conveys his support for the effectiveness of border walls while promoting other border security measures and resources (Excerpt 6):
Excerpt 6: Event 13, Ronald Vitiello, US Customs (28 August 2017)
Mr Vitiello refers to 'walls' (line 54), not 'the wall', thus subtly refraining from aligning himself with Trump's demand for a wall across the whole southern border. He immediately formulates his position as advocacy for a combination of walls ('physical infrastructure'; line 55) along with other measures to enhance security ('roads, technology and personnel to support missions'; lines 55–56).
Republican Senator Cornyn, speaking at a press briefing, also frames the issue as border security and includes walls within that category along with other resources to enhance security. He defines the needs for border security as infrastructure, technology and personnel. He specifies that walls are one part of border security (Excerpt 7):
Excerpt 7: Event 11, Senators press conference Senator John Cornyn (28 October 2017)
Senator Jeff Flake, a Republican who has often publicly disagreed with President Trump, speaks about the wall proposal in a town hall with his constituents (Excerpt 8):
Excerpt 8: Event 16, Sen Flake Town Hall (21 August 2017)
18 JF:
There are areas in some of the towns where we need better walls or
Senator Flake argues that 'better walls or fences' (lines 18–19) may be needed in some places. However, he does not say new walls or fences. He thus allows for the interpretation that he rejects Trump's call to build new wall across parts of the border not previously walled, implying that those who advocate that are uniformed. Note also his use of the false generic 'people' (line 22) to refer to Trump and others who insist on 'building the wall'. Senator Flake argues that geographical features make walls impractical at some points along the border and recommends alternative techniques (e.g. 'surveillance'). He is creating an opposition between people who have 'traveled' the border, and understand its issues, as opposed to people who have not, and hence do not understand border issues. He thus draws the boundaries between groups, policies, positions and issues in a way that subtly challenges the Trump position, while at least partially arguing within his framework. Another difference from President Trump's position is that Senator Flake speaks about 'walls or fences', thus taking the wind out of the 'build the wall' rhetoric.
A highly publicized meeting was held on 9 January 2018, in which President Trump met with both Republican and Democratic members of Congress to start a bipartisan negotiation on the DACA issue. The discussion in this meeting touched on the border wall issue several times. In Excerpt 9 President Trump's Secretary of Homeland Security, Kristin Nielsen, argues for including the border security issue in the agreement on DACA.
Excerpt 9: Event 29, Trump meets with Congress (9 January 2018)
Instead of referring to 'the wall', Secretary Nielsen refers to 'the wall system' (lines 918–919). She then goes on to define the wall system as ('some physical infrastructure as the President described, personnel and technology', lines 919–920). She thus pays homage to the president's campaign promise to 'build the wall', but reformulates 'the wall' into 'some physical infrastructure'; thus siding with the 'partial wall' position. Furthermore, she immediately adds 'personnel and technology' (line 920), thus positioning herself with the 'partial wall plus' side of the debate.
In contrast, consider Excerpt 10 from a brief statement by Mexican President Nieto during a press briefing held with President Trump. President Nieto, speaking through a translator, avoids mentioning the wall at all, and instead talks about border security and NAFTA, thus redirecting the focus to issues of concern to Mexico rather than just to President Trump's concern with the wall.
Excerpt 10: Event 1, Press Briefing, Pres. Trump and Mexican Pres. Nieto (through translator)
President Nieto avoids creating an 'us versus them' relationship between himself and President Trump and instead uses the pronouns 'we' and 'us' to create an affiliation or an alignment between Mexico and the United States. He also talks about 'dialogue', 'cooperation' and 'negotiation' instead of creating opposition, and about how 'both nations' can be affected or benefited by their actions on the border security issue. He thus side steps the issue of the wall and any attempts to divide the two countries via the wall (both literally and figuratively; in other words, the rhetoric of the wall can be just as 'divisive' as the actual wall could be).
In sum, while the Trump campaign's rhetoric about 'the wall' was prominent in news coverage and in the public's view of the issue, the analysis of these data suggest that its uses by those on both 'sides' of the political debate reject the proposal to 'build a wall' in favor of broader and more diverse views on how border security can be achieved. When Republicans use the term, they often pay lip service to the idea of building 'the wall' and then go on to advocate a 'partial wall plus' policy. When Democrats use the term, it may be used strategically to argue against the validity of President Trump's or the Republican's approach, but it is essentially a straw man argument because even the Republicans (and apparently now President Trump himself) do not advocate building a wall over the entire southern United States border. Instead, they may also argue that the partial wall and other security measures are needed. 4
Thus, participants both for and against Trump's campaign proposal to build the wall work to reformulate the dichotomous wall/no wall issue to the border security issue. Building a partial wall (sometimes referred to obliquely as 'infrastructure') is almost always specifically included in border security. The interactional techniques used to accomplish these shifts include reformulations, reframings and footing shifts. Speakers arguing for a Trump/Republican approach to the issue may begin with homage to the 'build the wall' rhetoric to display their political alignment, but then quickly or even immediately work to reframe the issue as border security and/or a partial wall. Even President Trump's own rhetoric shifts to the 'partial wall plus' formulation by the early 2018 events included in this data set. Across the data, a complete wall across the southern US/Mexico border is implicitly or explicitly rejected, except in the context of Trump campaign events. Most opponents of President Trump's proposal acknowledge at least some openness to partial walls as part of a larger border security package, but they typically choose to emphasize other aspects of the issue and may down play or belittle the border wall idea altogether. However, the idea of building the wall is still a powerful rhetorical construction in some contexts at the end of the period studied.
Another important component of the interactional techniques and strategies used to produce arguments on both sides of the debate is how these participants refer to people who cross borders without approved documentation. In the next section of this article, I explore how persons who cross borders without approved documents are referred to and how these formulations help create and maintain borders between people and political groups.
The politics of identification and description in references to persons
In this section, I analyze how people who cross the US/Mexico border without approved documentation are referred to and described in the context of discussions about the border wall/border security issue. The avowed goal of the proposed border wall is to prevent people from entering the southern border of the United States without approved documentation. Discourse about the border wall therefore often includes references to such people.
In these data a range of different formulations and membership categories is used to describe this group of people. Simply talking about 'building the wall' without mentioning the people whose movement it is intended to prevent is one way of referencing these people – by eliding them from the discussion. I found that references to them and their qualities and attributes are formulated strategically to support the speaker's positions. For example, they may be referred to as 'people', 'undocumented immigrants', 'border crossers', 'illegal aliens', 'criminal aliens' and so on. Some references to those who cross the border without documentation are formulated with neutral or positive connotations. However, the majority of references are formulated in negative ways which convey the impression of otherness or otherwise dehumanize people in this group.
Supporters of the wall or the 'wall plus enhancement of the US/Mexico border' perspective at times use membership categories and formulations which have the effect of accentuating the 'us versus them' nature of the relationship between American citizens and the undocumented people who cross the border. These formulations use membership categorizations emphasizing illegality rather than personhood, thus facilitating the use of negative descriptors and characterizations of the people referenced. For example, Maria Espinosa, the leader of an advocacy group that works on behalf of families of people killed by undocumented immigrants, testified at a Congressional subcommittee hearing on the border security issue. 5 Excerpt 11 shows part of Ms Espinosa's testimony in which she used extreme case formulations (Pomerantz, 1978) and other techniques to emphasize the danger and 'otherness' of those committing the crimes (as well as the nature of the crimes themselves). She argues that these negative consequences will continue if 'the wall' is not built:
Excerpt 11: Event 10, House Oversight and Government Reform Subcommittee Hearing, Maria Espinosa (27 April 2017)
Ms Espinosa's use of the phrase 'American holocaust' is extremely provocative; she argues that the homicides committed by immigrants in the United States is equivalent to the Holocaust – clearly an invalid comparison. In terms of formulations of the agent, she uses the term 'illegal alien killers' to refer to the undocumented people who have killed American citizens. Note that the way she has defined the problem implies that killing American citizens is worse than killing someone who is not an American citizen. She is not arguing that 'illegal aliens' kill people more often than American citizens do (which, as we have seen – footnote 5 – they do not), and she is not saying that they kill Americans more often than they kill other noncitizens or undocumented people. She also does not discuss the undocumented people in the United States who themselves are sometimes the victims of violent crime (see, for example, Eschbach et al. (1999) for information on migrants to the United States from Mexico who were victims of homicide).
Ms Espinosa then describes the 'invasion' (line 438) of these 'illegal alien killers' (line 435). Frequency of violent crime is not the problem in her representation of the issue. Rather, she presents the problem as the particular group of people responsible for the crimes. She goes on to describe these crimes as 'preventable killings' (line 439). Her goal is to remove this one category of perpetrator, the undocumented person who kills an American citizen, rather than to prevent crime in general or reduce homicide in general. In addition, when she says 'permanently separate families from their loved ones' (lines 440–441) her formulation obliquely mirrors pro-immigrant arguments that critique US immigration policies that separate families (e.g. when some family members are legal immigrants/citizens, and another family member, who is undocumented, is deported).
At the same hearing, Representative DeSantis argues that the solution to this problem is to not allow any 'criminal aliens' into this country (Excerpt 12):
Excerpt 12: Event 10, House Subcom Rep DeSantis (8 February 2017)
Representative DeSantis frames this point by moving from concern over cost ('securing the border is about more than dollars and cents'; line 55) and into the realm of government's role and responsibility ('the government's duty to secure its borders, defend our sovereignty, and most importantly, protect our citizens'; lines 56–57). He argues that the border security issue is an essential duty of the federal government, thus taking it out of the realm of partisan politics or debates over the budget, to both of which it has been tied. However, by referring to 'criminal aliens' who have killed Americans, he ends up with the same argument that Ms Espinosa made (Excerpt 12, lines 58–60).
Neither Ms Maria Espinosa nor Representative DeSantis directly claim that undocumented people in the United States are more likely to commit crimes or that all or most undocumented people are 'criminals'. However, the terms they use to refer to individuals and actions work to create this (false) impression. They use these provocative labels and terms and speak only about those who have committed violent crimes, while completely omitting references to the vast majority of undocumented people who are law abiding.
After his election, President Trump made similar claims to those he made during the campaign. For example, in Excerpt 13, President Trump mentions the building of the wall (line 1), followed immediately by the statement that 'we will keep out the gang members, criminals, drug and human traffickers . . .' (lines 1–3). He thus ignores the vast majority of law-abiding people without documents who cross the border and focuses only on the small minority who engage in criminal activity. Notice that 'we' (line 7) refers to his administration, while the members of Congress who oppose 'our plans' are portrayed as the enemy.
Excerpt 13: Event 22, Trump Trophy Presentation (2 May 2017)
Support for the wall does not always coincide with political party. For example, a member of the public who self-identifies as a Democrat called in to a C-SPAN political interview show and argued in favor of the wall (Excerpt 14):
Excerpt 14: Event 15, C-SPAN Open phones, Democratic Caller (8 January 2017)
Although speaking in support of the wall, this caller does not use the same rhetorical techniques as the speakers in Excerpts 11, 12 and 13 above. The caller makes a distinction between 'illegal aliens' and 'just immigrants in general'. The caller's argument is focused on financial losses to citizens, rather on negative qualities of immigrants.
In sum, how President Trump and others formulate references to people who cross the border without documentation often rely on negative membership categories to refer to these people (as criminals, drug dealers and so on), and erase from their arguments (by not mentioning) the vast majority who are law-abiding people. In the next subsection, I show how those who oppose President Trump's approach to border security are more likely to mention positive attributes of people who cross the border without documentation or to describe them in terms of membership categories with positive connotations.
References to positive aspects of immigrants and immigration
The techniques used to refer to and describe people who cross the border without documentation are sometimes positive formulations. These positive formulations are typically used by those who oppose President Trump's approach to border security or his 'build the wall' proposal. In these data I found that positive or at least more neutral forms of references to persons are generally produced by (1) Democrats or others arguing for border security measures which differ from President Trump's expressed vision and (2) other persons arguing for various aspects of the 'border security' perspective. Speakers in both these categories often used more neutral categories such as 'undocumented workers' or 'undocumented immigrants' and rarely used categories such as 'illegal aliens'.
Excerpt 16: Event 4, Brookings Institute Panel, Vanda Felbab-Brown, speaking against the proposed wall (11 January 2018)
Excerpt 17: Event 10, House Oversight and Government Reform Subcommittee Hearing, Congresswoman Val Demings (Democratic—speaking against wall); (27 April 2017)
Excerpt 18: Event 21, Democratic Senator Durbin (12 February 2018)
171 DD: The majority of Americans do not believe that undocumented
172
immigrants commit more crimes than American citizens.
In Excerpt 19 from a Senate Debate, Democratic Senator Dick Durbin first references the view of 'immigrants' as committing 'too many crimes' (lines 145–146). He performs a footing shift from the 'we' that conducted the survey (line 143) to 'they say' (starting in lines 145) to present these ideas as belonging to others. He goes on to problematize these claims and challenge their facticity. For example, he provides survey data which suggests that 'the public' is opposed to President Trump's positions on these issues (lines 150–163).
Excerpt 19: Event 21 Sen. Durbin (12 February 2018)
Later on in the debate, Senator Durbin gives another example to document his argument that immigrants are a positive factor for America. He recounts his mother's immigration story:
Excerpt 20: Event 21 Sen. Durbin (12 February 2018)
The gist of Senator Durbin's story is that immigrants are hard working, family-oriented people who deserve legal status. This excerpt differs from those advocating at least partial support of President Trump's position in that he presents a positive image of immigrants. Using an example from his own life, Senator Durbin tells the story of his family's immigration to the United States, emphasizing their goals and hopes and why coming to the United States was a good thing for them. He conveys a positive image of immigrants by showing their good intentions and what they have to contribute to the country. He then claims such immigration as an essential part of being American ('That is the story of this country'; line 201).
Another way of emphasizing the positive contribution of people without documents who cross the border is to recognize their role in increasing the diversity of American society:
Excerpt 21: Event 21, Sen. Durbin (12 February 2018)
199 DD: Now we are going to debate this week, in the United States Senate,
Again, Senator Durbin frames immigrants as making a positive contribution to this country, rather than referring to them as criminal aliens or listing examples of the crimes committed by a few. He elaborates his point from the excerpt above, by characterizing immigration as a source of 'the diversity that makes us unique in the world' (line 204).
In a televised news interview on C-SPAN's Washington Journal (Excerpt 22), David Bier (an immigration policy analyst from the Cato Institute) advocates that the United States reinstate a previous guest worker program (which he argues was successful), instead of building a wall to keep people without documents out of the United States. Mr Bier's solution is essentially that we prevent border crossings of people without documents by providing a way for them to obtain documents, thus making their border crossings legal (lines 248; 255–258). The continuation of his statement shows that he rejects the characterization of this category of people as criminals. He specifically separates out criminals as a group of people that must be dealt with because of their criminality (lines 258–262).
Excerpt 22: Event 24, WashJournal, David Bier (1 April 2017)
the United States to work temporarily and focus on the actual
262
threats to the United States.
David Bier is arguing as a representative of a libertarian research institute, and his perspective differs from those discussed above in that he, for the most part, avoids the 'build the wall/border security' formulations. In this excerpt he argues that neither a wall nor increased border security measures are what is needed to solve the problem of undocumented immigrants. He advocates for a 'temporary work visa program' (line 248) to give people documents to come to the United States to work for finite periods of time. 6
In sum, while there are some exceptions, the positive characterizations and formulations of people who cross the border without documents are typically produced by speakers who are in opposition to President Trump's formulation of the border issue during the period the analysis in this article covers. Those who either favor or are in some way sympathetic to his goals typically use negative characterizations and referents. These varying characterizations are used to justify or strengthen arguments in favor of specific positions.
Conclusion
In this article, I have investigated interactional techniques that can be used to create and maintain boundaries between people, political parties and positions. As campaign tactics, simple yes/no and for/against formulations may be more effective as persuasive tools than more complex arguments (Holloway, 2009; Smith, 2009). Reducing complex issues and potential solutions into dichotomous categories (as in for the wall or against the wall) may be persuasive politically but is likely to be less effective for developing solutions to problems. However, in terms of the evolving debate over how to manage the US/Mexico border and undocumented immigration more generally, these types of formulations are neither accurate nor effective. These formulations may also contribute to the construction and maintenance of 'borders' or divisions between critical segments of the US government, political parties, the media and the general public. Presenting the issue in terms of being for or against building 'the wall' creates borders between supporters of President Trump and those who oppose him, between Republican and Democratic lawmakers, between citizens of different political parties, and between citizens and immigrants.
In the political events studied in this article (which occurred in October, 2016; through March, 2018), the definition and meaning of the wall differed depending on who is describing it. A variety of opinions are displayed about what should be done about border crossings, border security and border issues in general. However, there is comparatively little disagreement on whether a wall should be built across the entire US/Mexico border in order to reduce border crossings by people without documentation: At most a partial wall is advocated by almost all speakers on both sides of the issue in this data set. Differences exist, however, in terms of the reasons why changes to the border, border laws and procedures should be made. There are also differences in the interactional techniques used to argue positions from different sides of this debate and to refer to people who cross the border without documents. In these data I found that those supporting President Trump's positions and those opposing them differ in several ways in terms of how their positions are formulated, framed and supported.
In her article on the history of law around migration, Resnik (2017: 118) writes, 'Neither the vocabulary of illegality nor hostility to migrants was inevitable; aliens did not have to come to be seen as "outlaws"'. Similarly, the use of the 'othering' techniques found in this article, which create and reinforce boundaries between groups of people through techniques which disparage or dehumanize others, or which link groups of people to negative characteristics such as criminality, are not inevitable strategies for arguing for specific types of solutions to border issues. It is to be hoped that this analysis of how the border wall is discussed can help reframe this debate. Rhetorical techniques that demonize (or, portray in an idealized way) may be successful persuasive strategies in specific political contexts, but discussion and debate based on facts is more likely to lead to effective solutions.
Acknowledgements
A previous version of this paper was presented at the Canadian Qualitatives 2018 conference in Fredericton, New Brunswick in May, 2018. I would like to thank Emily Cabaniss, Kristen Lucken, and Alexis Silver for providing helpful feedback on an earlier draft of this paper.
Declaration of conflicting interests
The author(s) declared no potential conflicts of interest with respect to the research, authorship and/or publication of this article.
Funding
The author(s) disclosed receipt of the following financial support for the research, authorship, and/ or publication of this article: A Summer Research Grant from Bentley University supported some of the work on this project.
Notes
1. Some studies of within-country migration (e.g. McHugh, 1984) reference the 'push-pull' explanation of migration (Lee, 1966), in which factors pushing a person away from their current place of residence and factors attracting them toward a new place (such as family and friends or a prospective job) play a major role in the decision to migrate or not. While McHugh's (1984) study illuminates the social psychological factors affecting decisions people make about migration, the social context of within-country migration is not necessarily comparable to between-country emigration. When immigration is due to a man-made or natural disaster, emergency, or long-term crisis, the push factors are of a different type and level of severity.
2. See Chavez (2013) and De Genova (2004) for a discussion of the history of the category 'illegal aliens' in the United States/Mexico context.
3. For an analysis of the historical context of immigration on this border, see De and Genova (2002) and Chomsky (2014).
4. For example, consider this excerpt from the 9 January 2018 meeting between President Trump and members of Congress:
Event 29, Trump meets with Congress (9 January 2018)
DT: I had the big meeting with ICE last week; I had a big meeting with the Border Patrol agents last week. Nobody knows it better than them. As an example, on the wall, they say, 'sir, we desperately need the wall'.
And we don't need a 2,000-mile wall. We don't need a wall where you have rivers and mountains and everything else protecting it. But we do need a wall for a fairly good portion. We also – as you know, it was passed in 2006, a essentially similar thing, which, a fence, a very substantial fence was passed. But, unfortunately, I don't know, they never got it done. But they need it.
5. Research shows that in general, immigrants to the United States are less likely to commit violent crimes than citizens (Light and Miller, 2018; Nowrasteh, 2018).
6. Massey and Pren (2012) discuss the history of the Bracero program and how its demise affected the rates of undocumented persons from Mexico in the United States.
References
Atkinson JM and Drew P (1979) Order in Court: The Organisation of Verbal Interaction in Judicial Settings. London: MacMillan Press.
Bean FD and Lowell BL (2007) Unauthorized migration. In: Waters MC, Ueda R and Marrow HB (eds) The New Americans: A Guide to Immigration Since 1965. Cambridge, MA: Harvard University Press, pp. 70–82.
Burroughs E (2015) Discursive representations of 'illegal immigration' in the Irish newsprint media: The domination and multiple facets of the 'control' argumentation. Discourse & Society 26(2): 165–183.
Cabaniss E and Cameron AE (2017) 'Unassimilable and undesirable': News elites' discursive construction of the American immigrant during the Ellis Island years. Discourse & Society 28(6): 614–634.
Cap P (2018) 'We don't want any immigrants or terrorists here': The linguistic manufacturing of xenophobia in the post-2015 Poland. Discourse & Society 29(4): 380–398.
Chavez LR (2013) The Latino Threat: Constructing Immigrants, Citizens, and the Nation Stanford, CA: Stamford University Press.
.
Clayman SE (1988) Displaying neutrality in television news interviews. Social Problems 35(4): 474–492.
Chomsky A (2014) Undocumented: How Immigration Became Illegal. Boston, MA: Beacon Press.
De Genova N (2002) Migrant 'illegality' and deportability in everyday life. Annual Review of Anthropology 31: 419–447.
De Genova N (2004) The legal production of Mexican/migrant 'illegality'. Latino Studies 2: 160– 185.
Dorner LM, Crawford ER, Jennings J, et al. (2017) I think immigrants 'kind of fall into two camps': Boundary work by U.S.-born community members in St. Louis, Missouri. Educational Policy 31(6): 921–947.
Eschbach K, Hagan J, Rodriguez N, et al. (1999) Death at the border. International Migration Review 33(2): 430–454.
Fairhurst GT (2011) The Power of Framing: Creating the Language of Leadership. San Francisco, CA: Jossey-Bass.
Flores E (2017) Walls of separation: An analysis of three 'successful' border walls. Harvard International Review 38: 10–12.
Goffman E (1974) Frame Analysis: An Essay on the Organization of Experience. Cambridge, MA: Harvard University Press.
Goffman E (1981) Forms of Talk. Philadelphia, PA: University of Pennsylvania Press.
Hall S (2001) Foucault: Power, knowledge and discourse. In: Wetherell M, Taylor S and Yates S (eds) Discourse Theory and Practice: A Reader. London: SAGE, pp. 72–81.
Haynes C, Merolla JL and Ramakrishnan SK (2016) Framing Immigrants: News Coverage, Public Opinion and Policy. New York: Russell Sage Foundation.
Hester S and Eglin P (eds) (1997) Culture in Action: Studies in Membership Categorization Analysis. Washington, DC: International Institute for Ethnomethodology and Conversation Analysis and the University Press of America.
Heyer KE (2018) Internalized borders: Immigration ethics in the age of Trump. Theological Studies 79(1): 146–164.
Hochschild J, Weaver V and Burch T (2012) Creating a New Racial Order: How Immigration, Multiracialism, Genomics, and the Young can Remake Race in America. Princeton, NJ: Princeton University Press.
Holloway RL (2009) The 2008 presidential nominating conventions: Fighting for change. In: Denton RE Jr (ed.) The 2008 Presidential Campaign: A Communication Perspective. Lanham, MD: Rowman & Littlefield, pp. 18–47.
Hutchby I (2005) 'Active listening': Formulations and the elicitation of feelings-talk in child counselling. Research on Language and Social Interaction 38(3): 303–329.
Jager S and Maier F (2009) Theoretical and methodological aspects of Foucauldian critical discourse analysis and dispositive analysis. In: Wodak R and Meyer M (eds) Methods of Critical Discourse Analysis. London: SAGE, pp. 34–61.
Jones R, Johnson C, Brown W, et al. (2017) Interventions on the state of sovereignty at the border. Political Geography 59(2017): 1–10.
Kranert M (2017) 'Today I offer you, and we offer the country a new vision': The strategic use of first person pronouns in party conference speeches of the third way. Discourse & Society 28(2): 182–203.
Leary JP (2017) Decoding 'build the wall': What liberal critics miss. NACLA Report on the Americas 49(2): 146–148.
Lee E (1966) A theory of migration. Demography 3(1): 47–57.
Light MT and Miller T (2018) Does undocumented immigration increase violent crime? Criminology 56(2): 370–401.
McHugh KE (1984) Explaining migration intentions and destination selection. The Professional Geographer 36(3): 315–325.
McNevin A (2017) Learning to live with irregular migration: Towards a more ambitious debate on the politics of 'the problem'. Citizenship Studies 21(3): 255–274.
Massey DS and Pren KA (2012) Unintended consequences of U.S. immigration policy: Explaining the post-1965 surge from Latin America. Population and Development Review 38(1): 1–29.
Nowrasteh A (2018) The White House's misleading & error ridden narrative on immigrants and crime. Cato at Liberty, 25 June. Available at: https://www.cato.org/blog/white-houses-misleading-error-ridden-narrative-immigrants-crime
Pomerantz A (1986) Extreme case formulations: A way of legitimizing claims. Human Studies 9(2–3): 219–230.
Resnik J (2017) Bordering by law: The migration of law, crimes, sovereignty, and the mail. In: Knight J (ed.) Immigration, Emigration and Migration. New York: New York University Press, pp. 79–201.
Reyes A (2011) Strategies of legitimization in political discourse: From words to actions. Discourse & Society 22(6): 781–807.
Román E (2013) Those Damned Immigrants: America's Hysteria over Undocumented Immigration. New York: New York University Press.
Sacks H (1972) On the analyzability of stories told by children. In: Gumperz U and Hymes D (eds) Directions in Sociolinguistics. New York: Holt, Rinehart and Winston, pp. 329–345.
Sacks H and Schegloff EA (1979) Two preferences in the organization of reference to persons in conversation and their interaction. In: Psathas G (ed.) Everyday Language: Studies in Ethnomethodology. New York: Irvington, pp. 15–21.
Sahlane A (2015) Dialectics of argument and rhetoric: Protesting the Iraq War in U.S.-British opinion press. Discourse & Society 26(6): 754–774.
Smith CA (2009) Constituting contrasting communities: The 2008 nomination acceptance addresses. In: Denton RE Jr (ed.) The 2008 Presidential Campaign: A Communication Perspective. Lanham, MD: Rowman & Littlefield, pp. 48–67.
Van Dijk TA (2000) Ideologies, racism, discourse: Debates on immigration and ethnic issues. In: Ter Wal J and Verkuyten M (eds) Comparative Perspectives on Racism. Aldershot: Ashgate, pp. 91–116.
Van Dijk TA (2008) Discourse and Power. Houndsmills: Palgrave Macmillan.
Van Dijk TA (2009) Critical discourse studies: A sociocognitive approach. In: Wodak R and Meyer M (eds) Methods of Critical Discourse Analysis. London: SAGE, pp. 62–82.
Wahutu JS (2018) The politics of representation: Wire agencies and local news organizations in the coverage of Darfur. Sociological Forum 33(2): 465–481.
Winiecki D (2008) The expert witnesses and courtroom discourse: Applying micro and macro forms of discourse analysis to study process and the 'doings of doings' for individuals and for society. Discourse & Society 19(6): 765–781.
Wodak R and Krzyzanowski M (eds) (2008) Qualitative Discourse Analysis in the Social Sciences New York: Palgrave Macmillan.
.
Wodak R and Meyer M (2009) Methods of Critical Discourse Analysis. London: SAGE.
Author biography
Angela Cora Garcia is a Professor of Sociology at Bentley University in Waltham, Massachusetts, with a secondary appointment in the Department of Global Studies. Her main areas of research are conversation analytic studies of mediation, emergency phone calls, and aviation communication. She also does qualitative studies in the sociology of leisure. She is the author of How Mediation Works: Resolving Conflict through Talk (Cambridge University Press, 2019) and a textbook on conversation analysis, An Introduction to Interaction: Understanding Talk in Formal and Informal Settings (Bloomsbury Press, 2013).
Appendix 1
List of events and participants analyzed (all available on C-SPAN website)
1. Press Conference (7 July 2017)
Presidents Donald Trump and Nieto (Mexico)
2. White House Press Briefing (24 August 2017)
Sarah Huckabee Sanders (White House Press Secretary) 7 Reporters asking questions
3. White House Press Briefing (2 August 2017)
Sarah Huckabee Sanders (White House Press Secretary)
Stephen Miller (Presidential Advisor)
15 reporters asking questions
4. Brooking Institute Panel (11 January 2018)
Vanda Felbab-Brown
Maria Pena
Representative Henry Cuellar (D-Texas)
Audience members asking questions: 2
5. C-SPAN 'Washington Journal' (8 February 2017)
Host: John McArdle
Guest: Representative Michelle L. Grisham (D-New Mexico)
Audience members calling in: 9
6. Excerpts from Press Conference (28 August 2017)
President Trump
President of Finland
Reporters asking questions: 2
7. C-SPAN 'Washington Journal' (28 October 2017)
Host: Kimberly Atkins
Guest: Rafael Carranza (Reporter, Arizona Republic)
Callers: 5
8. Donald Trump Election Victory Rally in Wisconsin (13 December 2016)
(brief excerpt relevant to the border wall)
President-Elect Trump
Audience (cheering and chanting)
9. White House Press Briefing
Sean Spicer (White House Press Secretary)
(6 excerpts relevant to border wall; 6 reporters asking questions)
10. House Subcommittee hearing on Border Wall Security (27 April 2017)
Steven A. Camarota, Director, Center for Immigration Studies, Research and Programs
James R. Comer, U.S. Representative, [R] Kentucky
Val Demings, U.S. Representative, [D] Florida
Ron DeSantis, U.S. Representative, [R] Florida
Mark DeSaulnier, U.S. Representative, [D] California
John James Duncan Jr., U.S. Representative, [R] Tennessee
Maria Espinoza, Co-Founder and National Director, Remembrance Project
Agnes Gibboney, Mother of son killed by illegal immigrant
Glenn Grothman, U.S. Representative, [R] Wisconsin
Jody B. Hice, U.S. Representative, [R] Georgia
Brandon Judd, President, National Border Patrol Council
Seth M. Stodder, Assistant Secretary (Former), Department of Homeland Security, Border, Immigration and Trade Policy
11. Press Conference on Border Security and Immigration Enforcement (3 August 2017)
Senator John Cornyn (R-Texas)
Senator John Barrasso (R-Wyoming)
Senator Ron Johnson (R-Wisconsin)
Senator Thom Tillis (R- North Carolina)
8 reporters asked questions
12. C-SPAN 'Washington Journal' (8 February 2017)
Host: John McArdle
Guest: Rep Blake Farenthold (R-Texas)
Callers: 6
13. U.S. Customs and Border Protection Briefing (30 March 2018)
Ronald Vitiello, Acting Chief of U.S. Border Patrol
Reporters asking questions: 12
14. C-SPAN 'Washington Journal' (24 April 2017)
Host: Pedro Echevarria
Callers: 26
15. C-SPAN Open Phones (8 January 2017)
Host: Steven Scully
Callers: 17
16. Senator Jeff Flake (R-AZ) Town Hall, Gilbert Arizona, (21 August 2017) (Excerpt from)
Participants: 2 (JF and one audience question in the excerpt)
17. White House Daily Briefing, Sarah Sanders (27 March 2018)
Participants: SHS and 6 different reporters in these excerpts from the Daily Briefing.
18. President Trump post-election rally in Melbourne, FL (16 February 2017)
Participants: DT and Audience applause
19. C-SPAN Washington Journal – Open Phones (2 May 2017)
Participants: Host: JM and 5 callers.
20. House Speaker Weekly Briefing (30 March 2017)
Participants: Paul Ryan (R-WI) and five reporters in these excerpts
21. Senator Minority Whip Durbin (D-Illinois) on Immigration Policy (12 February 2018)
22. Commander-in-Chief's Trophy Presentation (2 May 2017) (excerpts) Participants: DT
23. C-SPAN Congressional Week Ahead (24 April 2017) Participants: Host: SS, Bob Cusack, editor
24. C-SPAN Washington Journal (1 April 2017) Participants: Host: JM, guest: David Bier, 7 callers
25. C-SPAN Newsmakers (4 May 2017) Participants: Host: SSwain, 3 guests
26. Senate Floor Debate (14 February 2018) Participants: Senator Lankford, R-OK, Senator Coons, D-DW
27. C-SPAN Washington Journal, Week ahead in Congress. Participants: Host: PE, Guests: 2, Callers: 9
28. President Trump News Conference (16 February 2017) Participants: DT and one reporter in these excerpts
29. President meets with congressional leaders on immigration (9 January 2018) Participants in excerpts:
Participant: Senator Dick Durbin
DT, 8 senators, 7 congress people, department homeland security, 3 reporters
30. Presidential Candidate Trump Rally in Springfield, OH (27 October 2016) Participants: BE, DT, Audience responses in these excerpts
|
Title
Arginine plus proline supplementation elicits metabolic adaptation that favors wound healing in diabetic rats
Authors
1,2
Raynaud-Simon A , Belabed L
1
, Le Naour G
3
, Marc J
1
, Capron F
3
, Cynober L
1,4
, Darquy S
1
1
Department of Experimental, Metabolic and Clinical Biology, EA 4466, Faculty of Pharmacy, Paris
Descartes University, Paris, France.
2
Geriatric Department, Bichat Hospital AP-HP and Faculty of Medicine Denis-Diderot, Paris, France
3
Department of Anatomopathology, Pitié-Salpétrière Hospital AP-HP, Faculty of Medicine Pierre-et-
Marie-Curie, Paris, France
4
Clinical Chemistry Laboratory, Cochin and Hôtel-Dieu Hospitals AP-HP, Paris, France
Running Head
Arginine, proline and wound healing in diabetes
Address for correspondence
Prof. Agathe Raynaud-Simon, Geriatric Department, Bichat Hospital AP-HP, 46, rue Henri-Huchard, 75877 Paris, France.
Tel: + 33 1 40 25 87 48 Fax: +33 1 40 25 85 88
e-mail: firstname.lastname@example.org
Copyright © 2012 by the American Physiological Society.
Author Contributions:
ARS did the experimental animal work and wrote the manuscript, LB participated in the experimental animal work, GLN did the histological study, MJ did the amino acid measurements, FC directed the histological study, LC and SD reviewed the protocol design and the manuscript.
Abstract
AIMS/HYPOTHESIS: Diabetic patients with wounds are at risk of protein malnutrition, have low arginine plasma levels and suffer from delayed wound healing. We sought to determine the efficacy of
arginine plus proline supplementation on protein and amino acid metabolism and on wound repair in a model of diabetic rats. METHODS:
Eighteen 11-week-old Zucker Diabetic Fatty fa/fa male rats underwent a 7 cm abdominal skin incision with implantation of sponges and daily excision of full
thickness round sections of dorsal skin for 5 days. They were randomized to be fed with either a standard formula (S group, Clinutren Iso®), a high protein and arginine (ARG) plus proline (PRO)
enriched formula (ARG+PRO group, Clinutren Repair®) or an isonitrogenous isoenergetic control formula (IC group). Nitrogen balance was calculated daily. The rats were killed on day 5, and plasma
glucose, insulin and amino acids, and skin epithelialization and angiogenesis were measured. In macrophages, we assessed inducible nitric oxide synthase (iNOS) and arginase expression, production
of nitric oxide (NO) and amino acid metabolism. RESULTS: Both the ARG+PRO and IC groups showed improved nitrogen balance. ARG plus PRO supplementation increased proline and branched-
chain amino acid plasma concentrations and improved angiogenesis. Arginase and iNOS expressions in
macrophages were
reduced, together
with NO
and citrulline
production.
CONCLUSIONS/INTERPRETATION:
In diabetic rats, ARG plus PRO supplementation improves wound angiogenesis and favors whole body protein metabolism. Low macrophage iNOS expression at
day 5 may reflect a low inflammatory state in the wounds, favoring wound closure.
Keywords: amino acids, epithelialization, angiogenesis, macrophage.
Introduction
Diabetic foot ulcers are estimated to occur in 15% of all patients with diabetes (37), and precede 84% of all diabetes-related lower-leg amputations (36). In individuals with diabetes, many physiological factors contribute to wound healing failure. These factors include decreased or impaired growth factor production, angiogenic response, macrophage function, collagen accumulation, quantity of granulation tissue and keratinocyte and fibroblast migration and proliferation (5). Reduced arginine availability may also play an important role, given that in diabetic rats, in which arginine plasma levels are reduced (3, 41), arginine supplementation improves wound healing (38, 42). In diabetic rats with dorsal skin incision and implantation of polyvinyl alcohol sponges, supplementation with arginine has been shown to enhance wound breaking strength, hydroxyproline deposition and procollagen I and III mRNA content in the sponges (38, 42). In diabetic animals with burn wounds, arginine supplementation has led to an increase in the healing rate and in angiogenesis (16).
Arginine may improve wound repair through various mechanisms. It plays a key role as a substrate for protein synthesis, in collagen deposition, cell proliferation and T-lymphocyte function, and it promotes positive nitrogen balance (39, 43). Arginine-supplemented patients compared with non-supplemented controls demonstrated significantly greater hydroxyproline content – an indicator of collagen deposition – and protein accumulation at the wound site (21). Arginine is also the only single direct endogenous substrate for the synthesis of nitric oxide (NO), which is involved in many regulatory mechanisms relevant to wound healing, such as angiogenesis, cell proliferation, collagen synthesis and epithelialization (12). Diabetic rats have been found to have less NO in wound fluid than controls. Molsidomine, a drug that spontaneously releases NO, has been shown to increase NO urinary excretion, wound breaking strength and hydroxyproline deposition in wounds of diabetics, although plasma and wound NO fluid concentrations were not modified (42).
Macrophages play a critical role in wound healing (10, 25, 31). In diabetic mice, macrophages appear dysfunctional, displaying altered morphological appearance, sparsity, blunted phagocytal activity and reduced cytokine production (26, 27, 47). Metabolism of arginine through NO synthase (NOS) produces citrulline together with NO. Citrulline is reused for arginine synthesis (6,30). This argininecitrulline cycle is activated in peritoneal macrophages from diabetic rats, favoring arginine recycling and therefore NO production (44); NO production by macrophages is increased in both diabetic mice and rats (47). The production of NO by activated macrophages is regulated by the level of inducible NOS (iNOS) transcription and by substrate availability. The iNOS is induced by a range of cytokines, growth factors and inflammatory stimuli (22). Besides its metabolism through iNOS, arginine may be metabolized by arginase, producing ornithine, a precursor for aliphatic polyamine and proline synthesis (1). Polyamines promote cell proliferation and matrix synthesis (29). When arginase expression is upregulated, the amount of arginine available to iNOS is reduced, and vice versa. In diabetic rats, arginase activity has been shown to be either reduced in wound fluid (42), or abnormally elevated in wound tissue (19), but has not been specifically explored in macrophages.
It is not known whether supplying proline, an important substrate for collagen, helps to improve skin wound healing. However, proline, together with lysine and ascorbic acid, was found to reduce tibial shaft fracture healing time in diabetic rats (18).
There is no currently available efficient treatment of impaired wound healing in diabetes. Considering the high medical cost of impaired wound healing (e.g. diabetic foot), research into new therapeutic strategies is urgent. We hypothesized that supplying arginine and proline together might be useful for promoting wound healing in diabetes. We set out to determine the efficacy of arginine plus proline supplementation on protein metabolism and wound repair as assessed by a histological study (epithelialization and angiogenesis) and macrophage function in a model of diabetic rats.
Materials and methods
Animals
Animal care complied with the French regulations for the protection of animals used for experimental and other scientific purposes (D 2001-486) and with all applicable European Community regulations (Official Journal of the European Community, L538 12:18:1986). Luc Cynober is authorized to perform experiments with rodents (authorization No. 75.461).
Eighteen 11-week-old Zucker Diabetic Fatty (ZDF) fa/fa male rats (358 ± 4 g, Charles River, L'Arbresle, France) were brought to our central animal facility and caged individually for a 2-week acclimatization period in metabolic cages that allowed measurement of food intake and urine collection. The cages were maintained at constant temperature (21 ± 1 °C) and humidity on a 12-hour light-dark cycle. ZDF rats show hyperphagia and obesity-related diabetes, dyslipidemia, and hypertension (40). During this first 2-week period the rats were given free access to laboratory chow (17% protein, 3% fat, 59% carbohydrate, 21% water, vitamins and minerals) supplying 320 kcal/100 g (Purina, Genobios, Laval, France), and water.
Wounding
On day 1, after an overnight fast, the rats were anesthetized with isoflurane (3% in oxygen, Minerve, Esternay, France) and kept anesthetized by continuous isoflurane inhalation (1.5% in oxygen) throughout surgery. The abdominal area was shaved and a 7 cm abdominal skin incision performed. Ten preweighed (50 mg) saline-moistened, polyvinyl alcohol (PVA) sponges were inserted into subcutaneous pockets on each side of the incision, which was closed with 3.0 silk surgical sutures (Ethicon, Johnson and Johnson Intl, St-Stevens-Woluwe, Belgium). Two full-thickness round sections
of dorsal skin, each 3 mm in diameter, were cut with a biopsy punch and excised using scissors. Each wound was treated with a spray wound dressing that formed a transparent film (Urgo, Chenôve, France). The rats received a single subcutaneous injection of analgesic approximately 20 minutes before the end of surgery (Temgesic ® , 0.05 mg/kg, Schering-Plough, Levallois-Perret, France).
Two full-thickness round sections of dorsal skin were then cut every day from day 2 to 5, with 1.5 cm intervals of healthy skin between wounds to allow full analysis of the wound repair process. The rats were anesthetized with isoflurane and received a subcutaneous injection of analgesic each day.
Thus all the rats underwent both the abdominal skin incision and a total of ten dorsal excision wounds over the 5-day study period. The experimental design is shown in figure 1.
Postoperative care and nutrition program
On day 1 the rats were randomized to be fed with either a standard formula (Clinutren Iso®, Nestlé Clinical Nutrition, Noisiel, France), an arginine plus proline enriched formula (Clinutren Repair® Nestlé Clinical Nutrition) or an isonitrogenous isoenergetic control (Clinutren Iso® with added nonessential amino acids histidine (HIS), asparagine (ASP), serine (SER), alanine (ALA) and glycine (GLY) in equimolar amounts). Diet compositions are described in Table 1. The rats were fed via a 120 mL plastic bottle with a steel teat. The formulas were diluted in water (80:20, v/v) to prevent clogging in the teat. Every day for 4 days, 100 mL of formula was made available and the amounts left were recorded to calculate actual intake. The animals also had free access to water.
On day 5, nutrition was stopped and the rats were decapitated immediately after anesthesia with isoflurane and wounding.
Sample processing
From day 1 to day 5 (figure 1) the rats were weighed and urine was collected daily in a container on a preservative (Amukin, Gifrer Barbezat, France) for nitrogen balance. Blood, skin and wound fluid (sponges) were collected at the fasting state immediately after sacrifice.
Blood
Blood was sampled in heparin tubes and immediately centrifuged (10 min, 2500g, 4 °C). Part of the plasma was deproteinized with 30 mg/mL sulfosalicylic acid, and samples were stored at −80 °C for amino acid analysis (23).
Skin
The dorsal skin was excised and cut into 1 cm square strips. Each strip contained a healing scar. The strips were fixed on a polystyrene board and placed in 10% formaldehyde. The healing scars were cut in half and embedded in paraffin. Sections 2 µm thick were stained with hematein-eosin-safran (HES), Weigert hemalum-phloxine-safran (WHPS) and picro sirius red (PSR). Microscopic study of the strips was used to score epithelialization and angiogenesis; we used one scar corresponding to one rat on one day. Epithelialization was assessed semi-quantitatively on a scale from 0 to 4 on each side of the wound: 0 (no epithelialization), 1 (approximately 25% epithelialization), 2 (50%), 3 (75%) and 4 (total epithelialization), giving a 0 to 8 score for the whole wound (figure 2). Angiogenesis was scored according to the number of new vessels within the scar tissue. About 20 fields (×20) were screened for new blood vessels in each scar, We used a semi-quantitative method on a scale from 0 to 3: 0 (no angiogenesis), 1 (few new blood vessels), 2 (moderate number of new blood vessels) or 3 (many new blood vessels, figure 3). For both epithelialization and angiogenesis, results were validated by comparative analysis of two independent observers blinded to the nutritional supplementation.
Wound fluid
The subcutaneously implanted sponges were pooled, cut and squeezed to obtain wound fluid. Wound fluid was centrifuged and cells were re-suspended in 20 ml of DMEM culture medium (SigmaAldrich, La Verpillière, France) supplemented with fetal bovine serum (10%), penicillin (100 U/ml), and streptomycin (100 µg/ml) (Sigma-Aldrich). Macrophages were selected according to their capacity to adhere to wells: macrophage-rich cultures were obtained after a 2-hour incubation period
(37 °C, 5% CO2) and removal of non-adherent cells by washing twice with DMEM. Macrophages were incubated in DMEM medium overnight and this supernatant was removed for NO determination. For protein extraction, the macrophages were incubated at a density of 10 6 cells/ml in 6-well polystyrene culture plates (4 wells per experimental condition). Macrophages in microplates were washed with PBS (phosphate buffer saline) (Sigma) and dried before storage at −80 °C for protein extraction.
Analytical methods
Urinary variables
Urinary nitrogen was quantified using a pyrochemiluminescence-based method (Antek 7000, Antek, Houston, USA) (17). Nitrogen balance corresponded to the difference between daily total nitrogen intake and daily total nitrogen urinary output. Cumulative nitrogen balance on D2 was expressed as nitrogen balance on D1 + D2; cumulative nitrogen balance on D3 was expressed as nitrogen balance on D1 + D2 + D3, and so on.
Plasma variables
Glycemia was measured using a hexokinase endpoint method at 340–380 nm (Olympus AU600, Rungis, France).
Insulinemia was determined by radioimmunoassay using an INSIK-5 kit (Diasorin, Saluggia, Italy) and rat insulin (Linco, Saint-Charles, Mo, USA) as a standard.
Amino acid concentrations were determined by ion-exchange chromatography with ninhydrin detection (32) using a fully automated apparatus (Jeol JLC-500V, Tokyo, Japan). Our laboratory is registered under the European Quality Control Program (ERNDIM, Brussels, Belgium): measurement reliability is therefore guaranteed for all the amino acids studied. Amino acid concentrations were measured both in the plasma (results expressed in µmol/L of plasma) and the macrophage medium cultures (results expressed in nmol/h/5.10 5 cells). For amino acid concentrations in the macrophage medium cultures, culture supernatants corresponding to each rat included in the study were deproteinized with a 30% (w/v) sulfosalicylic acid solution before quantification by ion exchange chromatography. Citrulline and ornithine productions correspond to their concentrations in the medium at the end of the experiment, since the culture medium did not contain these amino acids. For other amino acids, consumption was calculated by subtracting the final concentration from the initial concentration in the medium.
NO assay
Nitrites and nitrates (final products of NO, noted NOx) were measured in cell supernatants by a modified Griess reaction (R&D systems, Lille, France). NOx was measured once for every rat and the mean value in each group was expressed in nmol/h/5.10 5 cells.
Protein extraction and Western blot analysis
The macrophages were homogenized in 150 µl of Laemli extraction buffer (62.5 mmol/l Tris-HCl, pH 6.8, 25% glycerol, 2% SDS, 0.01% bromophenol blue (Bio-Rad, Marnes-la-Coquette, France) with 5% β-mercaptoethanol (Sigma). The homogenates were incubated for 5 minutes at 100 °C and centrifuged at 12,000 rpm for 10 minutes at 4 °C. The total protein extracts underwent a 10% PAGE containing 0.1% SDS using 30 mA/gel for 40 min and were transferred to nitrocellulose membranes (Hybond TM -C Extra, Amersham Biosciences, Orsay, France) at 120 mA for 2 hours. Proteins were fixed on the membrane with Ponceau red solution.
The blots were incubated with the following primary antibodies in 5% milk-1 X TBST (Tris-HCl Buffer Saline Tween): purified polyclonal rabbit anti-iNOS at 1:2000 dilution (BD Transduction Laboratories, Lexington, UK), and anti-arginase I at 1:500 dilution (Interchim, Montluçon, France). The blots were washed in 1X TBST and incubated for 60 min with peroxidase-conjugated anti-rabbit IgG (dilution 1:10000) in 5% milk-1X TBST. They were washed in 1X TBST, and antibody binding was visualized using an ECL Western blotting kit (Amersham Biosciences) and Kodak X-MAT films (Eastman Kodak Co., Rochester, NY, USA). Exposure time was selected after testing a broad range of exposure times to select the conditions in which the band densities were below saturation (data not shown). Films were scanned and the intensity of the bands was estimated using the Gene Genius Bio Imaging System (Syngene, St-Quentin-en-Yvelines, France). Glyceraldehyde 3-phosphate dehydrogenase (GAPDH) was used as a standard.
Statistical analysis
Data are expressed as means ± SEM. Between-group comparisons were performed using an ANOVA test. When a variable was measured several times during the study (body weight, daily energy and protein intake and nitrogen balance), the effect of time was analyzed using an ANOVA on repeated measures. All tests were performed at the 5% type I error level, using Statview software (Abacus concepts, Berkeley, CA, USA). The number of rats used for the study (n = 6 per group) was set for practical reasons; no statistical power analysis was performed before the study.
Results
One arginine and proline-supplemented rat died during the study from severe hyperglycemia and dehydration. Accordingly, the data from 17 rats were analyzed: 6 fed with the standard diet (S), 5 fed with the arginine and proline-supplemented diet (ARG+PRO) and 6 with the isonitrogenous control diet (IC).
Rats consumed a mean of 73 ± 1, 60 ± 1 and 62 ± 1 ml/day of formula in the S, ARG+PRO and IC groups respectively over the study period. The rats' mean daily energy and protein intake are given in table 2. Owing to the composition of the diets, protein intake was significantly higher in the ARG+PRO and IC diet groups than in the S group. All the rats lost weight during the study (−39 ± 6 g from day 1 to day 5), but there was no significant difference between groups for weight at any time (data not shown). There was also no difference between groups for glycemia (19.8 ± 5.6; 19.3 ± 2.3 and 23.3 ± 4.9 mmol/L for S, ARG+PRO and IC respectively) or insulinemia (109 ± 23; 117 ± 37 and 95 ± 19 µU/mL for S, ARG+PRO and IC respectively) on day 5.
Protein accretion was assessed by cumulative nitrogen balance: both ARG+PRO and IC groups, fed with a diet richer in nitrogen than that of the S group, had better cumulative nitrogen balance than the S group (figure 4).
Plasma amino acid profile was modified in the ARG+PRO and IC groups compared with the S group (table 3). ARG+PRO supplementation increased proline but not arginine plasma concentrations. Branched-chain amino acid (leucine, isoleucine, valine) plasma concentrations were also significantly higher in the ARG+PRO group than in either the S or IC groups. As a result of non-essential amino acid supplementation in the IC group, histidine, asparagine, serine and glycine plasma concentrations (but not alanine) were higher in the IC group than in the S or ARG+PRO groups.
Histological studies showed that the progression of epithelialization was similar in the S and ARG+PRO groups, but was significantly reduced in the IC group on day 5 compared with the two other groups (figure 5). Angiogenesis on day 5 was significantly more marked in the ARG+PRO group than in the S and IC groups (figure 5).
Macrophages collected from the sponges in the abdominal wound were studied. First, amino acid concentrations in the macrophage culture medium were measured. There was no difference between groups for ARG and PRO consumption, but CIT production was significantly lower in the ARG+PRO group than in the S and IC groups (figure 6). Second, scanning of the Western blot bands showed reduced iNOS and arginase I expressions in macrophages from the ARG+PRO treated group at day 5: the difference was statistically significant between ARG+PRO and S for iNOS and between ARG+PRO and IC for arginase 1 (figure 7). Third, the macrophages in the medium culture of rats fed the ARG+PRO diet produced significantly less NO than those of the rats fed the S or IC diets (figure 8).
Discussion
Diabetic patients suffer from delayed wound healing, and the presence of wounds carries a risk of malnutrition. Our rats underwent multiple wounds and daily anesthesia, inducing stress and a metabolic response that might impair nutritional status and wound healing. The protocol did not prevent wound healing (wounds were almost completely epithelialized on day 5), but mean energy intake was lower than that of non-stressed ZDF fa/fa rats (310 kcal/kg/d, laboratory observation) and the rats lost weight during the study. However, this only mimics the clinical situation of patients that suffer from chronic wounds, presenting with inflammation and malnutrition (4, 13).
Because of the alterations in amino acid metabolism in diabetic patients, non-specific protein supplementation may not suffice to correct delayed wound healing. For example, standard protein and energy-rich oral supplements failed to improve wound healing in diabetic patients with foot ulcers (13). Similarly, in our study, the group of rats supplemented with a mixture of non-essential amino acids showed no improvement in wound epithelialization or angiogenesis compared with the standard diet group. Only the ARG-PRO group showed better angiogenesis than either standard or isonitrogeneous control groups. Thus a specific amino acid approach (i.e. a diseasebased diet) merits consideration.
In our model of experimental wounds in diabetic rats, a hyperprotein diet enriched with arginine plus proline significantly improved angiogenesis in wounds and favored whole body nitrogen accretion. First, the ARG+PRO group exhibited better nitrogen balance than the S group. However, this effect appeared to be nonspecific, since nitrogen balance was also better in the IC group. This incidentally enabled us to dismiss a possible limitation of our study, namely the fact that the ARG+PRO group was richer not only in both arginine and proline but also in several other amino acids, including leucine, which is known to stimulate protein synthesis (20). Interestingly, plasma amino acid concentrations were not necessarily related to their intake, suggesting that intake of the amino acids concerned did not match requirements (7). In particular, plasma alanine was not higher in the IC group (in contrast to the other non-essential amino acids given in supplementation) despite a large intake. This may be related to its use in gluconeogenesis and may explain why glycemia tended to be higher in this group than in the other two groups. In addition, plasma arginine was not higher in the ARG+PRO group than in the others. Arginine is largely extracted by the splanchnic area and the peripheral availability of arginine after an arginine load is limited compared with what is observed following loads of related amino acids (8). We note that Wu et al. (45) recently obtained very promising results for metabolic syndrome using a citrulline-enriched diet in non-wounded diabetic rats.
In our study, arginine plus proline supplementation significantly improved wound repair as assessed by angiogenesis. Many studies have focused on the beneficial effect of arginine on wound healing, as assessed by wound breaking strength or the hydroxyproline content of implanted sponges, but the effect of arginine on other markers of skin wound repair has been insufficiently researched. Only one study assessed the effect of arginine on epithelialization: in experimental wounds in healthy elderly subjects, arginine did not influence rate of epithelialization (21). Our model allowed an assessment of the daily progression of epithelialization, but as in Kirk's study (21), we observed no effect of arginine plus proline supplementation on epithelialization in our diabetic rats. However, angiogenesis did improve, and this is necessary for the process of tissue repair. The vasculature accounts for up to 60% of tissue repair (11). An abundant blood supply is mandatory to meet the enormous local metabolic demands; also, the endothelial cell plays a role in the organization and regulation of healing (2). Importantly, endothelial cell proliferation and angiogenesis are stimulated by NO, which can be produced only by the metabolization of arginine (24). However, data on the effect of arginine on angiogenesis are scarce. Angiogenesis has previously been assessed by measuring the number of capillaries in light microscopic histological sections of muscle in rabbits subjected to unilateral hindlimb ischemia (33), and by measuring microvascular density by CD34 immunohistochemistry staining in diabetic rats with burns (16). In both studies, arginine appeared beneficial to angiogenesis. We created a simple semi-quantitative scale to assess the number of new capillaries and formation of granulation tissue buds, with comparative analysis by two independent observers to validate our results. Our results extend those of the two previously cited studies, and show that arginine plus proline supplementation significantly improves angiogenesis in a model of excision skin wounds in diabetic rats.
In the group of arginine plus proline supplemented diabetic rats, the expressions of both iNOS and arginase 1 were clearly reduced in macrophages removed from the sponges on day 5. This unexpected finding was associated with a lower production of NOx and citrulline, but with no change in arginine or proline macrophage metabolism. To our knowledge, only one study has reported iNOS and arginase expression in macrophages in human wounds (9). In that study, iNOS and arginase 2 expressions were increased from day 2 to day 10, with no decrease over time, compared with that of unwounded skin macrophages, whereas arginase 1 expression was unchanged. However, arginase expression by macrophages seems to be species-specific, as rat macrophages only express arginase 1, and the time course in rats may be faster than in humans. In wounded diabetic animals, arginase activity has been shown to be either reduced in wound fluid (42) or abnormally elevated in wound tissue (as well as arginase expression) (19). In nondiabetic rats, the highest iNOS expression in the wound occurs in the early phases of wound repair, between 6 and 24 hours, persists for 1 to 5 days and decreases over the next 10 days (1, 14, 35, 46). Thus the low iNOS expression we observed in macrophages from the wound in ARG+PRO supplemented rats in our study at day 5 may be due to a faster decrease in iNOS in the ARG+PRO group, reflecting lower cytokine stimulation and less inflammation. Given that a chronic inflammatory state in the wound is associated with poor progression of healing, low iNOS expression at day 5 would suggest better regulation of the cytokine production and of the healing process. Both innate and alternative activation of the macrophages may stimulate arginase activity, but it seems that only the classic activation of the macrophages induces an increase in iNOS activity (28, 31). A limitation in our study is that we measured neither cytokine production, nor the markers that determine early vs. late, and innate and classic vs. alternative macrophage activation (28). Also, macrophages were selected according to their capacity to adhere to wells: we cannot exclude the possibility that adherence of the macrophages changes their activation state. Finally, arginine supplementation may also have induced an increase in endothelial nitric oxide synthase (eNOS) expression or activity in endothelial cells, not measurable in macrophages, resulting in a local production of NO that stimulates angiogenesis.
The interpretation of our results may be limited by the relatively small number of rats in each group. In particular, we found no effect on epithelialization. By contrast, in a model of Sprague Dawley diabetic rats with burns, Ge et al (15) observed that arginine increased the advancement of epithelial cells; in their study, there were 30 rats per group. Thus our negative results on epithelialization may be due to a lack of statistical power. However, the different results could equally arise from the use of different models (streptozotocin-induced diabetes in Sprague Dawley rats vs spontaneously diabetic Zucker Diabetic Fatty fa/fa rats).
Another limitation in our study is that for financial and technical reasons, we did not measure markers of collagen deposition in the wound, nor did we assess the quality of the scar. Thus the present study cannot confirm the previously reported beneficial effect of arginine on collagen deposition and wound breaking strength (38,42). Also, given that proline is an important substrate for collagen, it would be interesting to determine whether the effect of proline plus arginine led to more collagen deposition than arginine alone; this should be the aim of a future study.
In conclusion, a hyperprotein formula enriched with arginine plus proline improved the process of wound repair in our model of diabetic rats. Clinical studies are now required to determine the efficacy of arginine plus proline supplemented formulas in diabetic patients with wounds.
Acknowledgments
We thank Anne Gloaguen and Annette Lesot from the Department of Anatomopathology, PitiéSalpétrière hospital, for their technical help.
Disclosures
This work was supported by an unrestricted grant from Nestlé Clinical Nutrition.
References
1. Albina JE, Mills CD, Henry WL Jr, Caldwell MD. Temporal expression of different pathways of L arginine metabolism in healing wounds. J Immunol 144: 3877-3880, 1990.
2. Arnold F, West DC. Angiogenesis in wound healing. Pharmacol Ther 52: 407-422, 1991.
3. Belabed L, Senon G, Blanc MC, Paillard A, Cynober L, Darquy S. The equivocal metabolic response to endotoxaemia in type 2 diabetic and obese ZDF rats. Diabetologia 49: 1349-1359, 2006.
4. Bonnefoy M, Coulon L, Bienvenu J, Boisson RC, Rys L. Implication of cytokines in the aggravation of malnutrition and hypercatabolism in elderly patients with severe pressure sores. Age Ageing 24: 37-42, 1995.
5. Brem H, Tomic-Canic M. Cellular and molecular basis of wound healing in diabetes. J Clin Invest 117: 1219-1222, 2007.
6. Curis E, Nicolis I, Moinard C, Osowska S, Zerrouk N, Bénazeth S, Cynober L. Almost all about citrulline in mammals. Amino Acids 29: 177-205, 2005.
7. Cynober LA. Plasma amino acid levels with a note on membrane transport: characteristics, regulation, and metabolic significance. Nutrition 18: 761-766, 2002.
8. Cynober L. Pharmacokinetics of arginine and related amino acids. J Nutr 137 suppl: 1646S1649S, 2007.
9. Debats IB, Wolfs TG, Gotoh T, Cleutjens JP, Peutz-Kootstra CJ, van der Hulst RR. Role of arginine in superficial wound healing in man. Nitric Oxide 21: 175-183, 2009.
10. Di Pietro LA. Wound healing: the role of the macrophage and other immune cells. Shock 4: 233–240, 1995.
11. Dyson M, Young SR, Hart J, Lynch JA, Lang S. Comparison of the effects of moist and dry conditions on the process of angiogenesis during dermal repair. J Invest Dermatol 99: 729733, 1992.
12. Efron DT, Most D, Barbul A. Role of nitric oxide in wound healing. Curr Opinion Clin Nutr Metab Care 3: 197-204, 2000.
13. Eneroth M, Larsson J, Oscarsson C, Apelqvist J. Nutritional supplementation for diabetic foot ulcers: the first RCT. J Wound Care 13: 230-234, 2004.
14. Frank M, Madlener M, Pfeilschifter J, Werner S. Induction of inducible nitric oxide synthase and its corresponding tetrahydrobiopterin-cofactor-synthesizing enzyme GTPcyclohydrolase 1 during cutaneous wound repair. J Invest Dermatol 11: 1058-1064, 1998.
15. Ge K, Lu SL, Qing C, Xie T, Niu YW, Rong L, Wang MJ, Lin WD, Jin SW, Hua LN. [A study on the promoting effect of L-arginine on the burn wound healing of the rats with diabetes]. Zhonghua Shao Shang Za Zhi 19 Suppl:11-4, 2003.
16. Ge K, Lu SL, Qing C, Xie T, Rong L, Niu YW, Wang MJ, Liao ZJ, Shi JX. [The influence of L-arginine on the angiogenesis in burn wounds in diabetic rats]. Zhonghua Shao Shang Za Zhi 20: 210-213, 2004.
17. Grimble GK, West MF, Acuti AB, Rees RG, Hunjan MK, Webster JD, Frost PG, Silk DB. Assessment of an automated chemiluminescence nitrogen analyzer for routine use in clinical nutrition. JPEN 12: 100-106, 1988.
18. Jamdar J, Rao B, Netke S, Roomi MW, Ivanov V, Niedzwiecki A, Rath M. Reduction in tibial shaft fracture healing time with essential nutrient supplementation containing ascorbic acid, lysine, and proline. J Altern Complement Med 10: 915-916, 2004.
19. Kämpfer H, Pfeilschifter J, Frank S. Expression and activity of arginase isoenzymes during normal and diabetes-impaired skin repair. J Invest Dermatol 121: 1544-1551, 2003.
20. Kimball SR, Jefferson LS. Signaling pathways and molecular mechanisms through which branched-chain amino acids mediate translational control of protein synthesis. J Nutr 136: 227S-231S, 2006.
21. Kirk SJ, Hurson M, Regan MC, Holt DR, Wasserkrug HL, Barbul A. Arginine stimulates wound healing and immune function in aged humans. Surgery 114: 155-159, 1993.
22. Knowles RG, Moncada S. Nitric oxide synthases in mammals. Biochem J 298: 249-258, 1994.
23. Le Boucher J, Charret C, Coudray-Lucas C, Giboudeau J, Cynober L. Amino acid determination in biological fluids by automated ion-exchange chromatography: performance of Hitachi L-8500A. Clin Chem 43: 1421–1428, 1997.
24. Lee PC, Salyapongse AN, Bragdon GA, Shears LL 2nd, Watkins SC, Edington HD, Billiar TR. Impaired wound healing and angiogenesis in eNOS-deficient mice. Am J Physiol 277: H1600-1608, 1999.
25. Leibovich SJ, Ross R. The role of the macrophage in wound repair: a study with hydrocortisone and antimacrophage serum. Am J Pathol 78: 71–100, 1975.
26. Liu BF, Miyata S, Kojima H, Uriuhara A, Kusunoki H, Suzuki K, Kasuga M. Low phagocytic activity of resident peritoneal macrophages in diabetic mice: relevance to the formation of advanced glycation end products. Diabetes 48: 2074-2082, 1999.
27. Maruyama K, Asai J, Li M, Thorne T, Losordo DW, D'Amore PA. Decreased macrophage number and activation lead to reduced lymphatic vessel formation and contribute to impaired diabetic wound healing. Am J Pathol 170:1178-1191, 2007.
28. Menzies FM, Henriquez FL, Alexander J, Roberts CW. Sequential expression of macrophage anti-microbial/inflammatory and wound healing markers following innate, alternative and classical activation. Clin Exp Immunol 2010 Jan 5. [Epub ahead of print]
29. Moinard C, Cynober L, de Bandt JP. Polyamines: metabolism and implications in human diseases. Clin Nutr 24:184-197, 2005.
30. Morris SM Jr. Enzymes of arginine metabolism. J Nutr 134(10 Suppl):2743S-2747S, 2004
31. Mosser DM, Edwards JP. Exploring the full spectrum of macrophage activation. Nat Rev Immunol 8: 958-69, 2008.
32. Polverini PJ, Cotran PS, Gimbrone MA Jr, Unanue ER. Activated macrophages induce vascular proliferation. Nature 269: 804–806, 1977.
33. Murohara T, Asahara T, Silver M Bauters C, Masuda H, Kalka C, Kearney M, Chen D, Symes JF, Fishman MC, Huang PL, Isner JM. Nitric oxide synthase modulates angiogenesis in response to tissue ischemia. J Clin Invest 101: 2567-2578, 1998.
34. Neveux N, David P, Cynober L. Measurement of amino acid concentrations in biological fluids and tissues using ion exchange chromatography. In: Metabolic and therapeutic aspects of amino acids in clinical nutrition, edited by Cynober L, Boca Raton CRC Press, 2004.
35. Nill MR, Oberysyn TM, Ross MS. Quantification of inducible nitric oxide gene expression during incisional wound healing. Surg Forum 46: 753-755, 1995.
36. Reiber GE, Boyko EJ, Smith DG. Lower extremity foot ulcers and amputation in diabetes. In: Diabetes in America, edited by Harris MI and Stern MP. US Government printing office. Bethesda, Maryland, USA, 1995.
37. Reiber GE Vileikyte L, Boyko EJ, del Aguila M, Smith DG, Lavery LA, Boulton AJ. Causal pathways for incident lower extremity ulcers in patients with diabetes from two settings. Diabetes Care 22: 157-162, 1999.
38. Shi HP, Most D, Efron DT, Witte MB, Barbul A. Supplemental L-arginine enhances wound healing in diabetic rats. Wound Repair Regen 11: 198-203, 2003.
39. Stechmiller JK, Childress B, Cowan L. Arginine supplementation and wound healing. Nutr Clin Pract 20: 52-61, 2005.
40. Unger RH. How obesity causes diabetes in Zucker diabetic fatty rats. Trends Endocrinol Metab 8: 276-278, 1997.
41. Wijekoon EP, Skinner C, Brosnan ME, Brosnan JT. Amino acid metabolism in the Zucker diabetic fatty rat: effects of insulin resistance and of type 2 diabetes. Can J Physiol Pharmacol 82: 506-514, 2004.
42. Witte MB, Thornton FJ, Tantry U, Barbul A. L-Arginine supplementation enhances diabetic wound healing: involvement of the nitric oxide synthase and arginase pathways. Metabolism 51: 1269-1273, 2002.
43. Witte MB, Barbul A. Arginine physiology and its implication for wound healing. Wound Repair Regen 11: 419-423, 2003.
44. Wu G, Flynn NE. The activation of the arginine-citrulline cycle in macrophages from the spontaneously diabetic BB rat. Biochem J 294: 113-118, 1993.
45. Wu G, Collins JK, Perkins-Veazie P Siddiq M, Dolan KD, Kelly KA, Heaps CL, Meininger CJ. Dietary supplementation with watermelon pomace juice enhances arginine availability and ameliorates the metabolic syndrome in Zucker diabetic fatty rats. J Nutr 137: 2680-2685, 2007.
46. Zunić G, Supić G, Magić Z, Drasković B, Vasiljevska M. Increased nitric oxide formation followed by increased arginase activity induces relative lack of arginine at the wound site and alters whole nutritional status in rats almost within the early healing period. Nitric Oxide 20: 253-258, 2009.
47. Zykova SN, Jenssen TG, Berdal M, Olsen R, Myklebust R, Seljelid R. Altered cytokine and nitric oxide secretion in vitro by macrophages from diabetic type II-like db/db mice. Diabetes 49:1451-1458, 2000.
Figure legend
Figure 1. Experimental design. On D1, rats underwent both a 7 cm skin abdominal incision to implant sponges (wound 1) and two dorsal full skin excisions, 3 mm in diameter (wound 2). These two fullskin dorsal excisions (wound 2) were repeated each day to D5 for assessment of the progression of epithelialization and angiogenesis. Each day from D1 to D5, weight and formula intake were measured and urine was collected. At sacrifice, skin strips containing wound 2, sponges from wound 1 and blood were sampled.
Figure 2. Histological study: epithelialization. Microscopic study of the skin strips was used to score epithelialization semi-quantitatively on a scale from 0 to 4 on both sides of the wound: 0 (no epithelialization), 1 (approximately 25% epithelialization), 2 (50%), 3 (75%) and 4 (total epithelialization) giving a score from 0 to 8 for the whole wound.
Figure 3. Histological study: microscopic study of the skin strips was used to score angiogenesis semi-quantitatively from 0 (no new blood vessels in the scar tissue) to 3 (many new blood vessels in the scar tissue).
Figure 4. Cumulative nitrogen balance. Cumulative balance at D2 was expressed as nitrogen balance at D1+D2; cumulative nitrogen balance on D3 was expressed as nitrogen balance on D1+D2+D3 and so on. S: standard diet, ARG+PRO: Clinutren Repair®, IC: isonitrogenous control
Figure 5. Histologic study: epithelialization and angiogenesis. S: standard diet, ARG+PRO: Clinutren Repair®, IC: isonitrogenous control
Figure 6. Macrophage amino acid consumption and production. Citrulline production corresponds to its concentration in the medium and the end of the experiment, since the medium culture did not contain citrulline. For arginine and proline, consumption was calculated by subtracting the final concentration from the initial concentration in the medium. S: standard diet, ARG+PRO: Clinutren
Repair®, IC: isonitrogenous control
Figure 7. Macrophage study: iNOS and arginase 1 expressions. These were analyzed by Western blot after homogenization of the macrophages and protein extraction. The blots were quantified by scanning (arbitrary units, A.U.). S: standard diet, ARG+PRO: Clinutren Repair®, IC: isonitrogenous control
Figure 8. Macrophage study: NOxproduction in the medium culture. NOx
for nitrites and nitrates, final products of NO. S: standard diet, ARG+PRO: Clinutren Repair®, IC: isonitrogenous control
Tables
Table 1. Composition of the diets (/100 mL)
Table 2. Daily energy and nitrogen intake
Table 3. Plasma amino acid concentrations (nmol/mL)
Table 1. Composition of diets (/100 mL)
| Energy (kcal) | 100 | 125 | 125 |
|---|---|---|---|
| Protein (g) | 3.8 | 9.3 | 9.3 |
| Arginine (g) | 0.13 | 0.47 | 0.13 |
| Proline (g) | 0.31 | 1.15 | 0.31 |
| Asparagine (g) | 0.34 | 0.61 | 1.28 |
| Histidine (g) | 0.09 | 0.24 | 0.82 |
| Serine (g) | 0.21 | 0.46 | 1.71 |
| Glycine (g) | 0.08 | 0.16 | 1.15 |
| Alanine (g) | 0.16 | 0.26 | 1.43 |
| Leucine (g) | 0.37 | 0.83 | 0.37 |
| Isoleucine (g) | 0.21 | 0.43 | 0.21 |
| Valine (g) | 0.23 | 0.54 | 0.23 |
| Tyrosine (g) | 0.15 | 0.45 | 0.15 |
| Phenylalanine (g) | 0.15 | 0.41 | 0.15 |
| Cysteine (g) | 0.05 | 0.05 | 0.05 |
| Methionine (g) | 0.08 | 0.24 | 0.08 |
| Threonine (g) | 0.2 | 0.35 | 0.2 |
| Lysine (g) | 0.31 | 0.66 | 0.31 |
Table 2. Daily energy and nitrogen intake
S: Standard formula. ARG+PRO: arginine plus proline high energy and high protein formula. IC:
isonitrogenous isoenergetic control formula
* p < 0.0001 vs. S
Table 3. Plasma amino acid concentrations (nmol/mL)
S
ARG+PRO
IC
* p < 0.05 vs. S
§ p < 0.05 vs. IC
# p < 0.05 vs. ARG+PRO
|
SERVICESTRENGTHRESILIENCE
United Community Banks, Inc. | 2008 Annual Report
"We are stewards of your investment and take that responsibility very seriously." — Jimmy Tallent
Financial Highlights
1
*Amounts and ratios are prepared on a fully taxable equivalent and operating basis, which excludes the special fraud-related loan loss provision in 2007.
Of the 25 annual letters I have written to you, this one is by far the most difficult to write. Our 2008
operating loss, which is the first in United's history, is most disappointing to me and I know it is to you. Equally disappointing has been our stock performance. We are stewards of your investment and take that responsibility very seriously. My objective here is to provide you with a clear and concise assessment of the events of 2008 and how those events affected us.
Without a doubt, the recession has had a significant impact on our customers and our business results. That impact was greater than it should have been due to our concentration of residential construction loans, which I will explain in a moment. Like many banks in our markets, we saw great opportunity in the demand for housing, so we pursued that demand as part of our growth strategy. However, the operating environment changed almost overnight and accelerated the challenges for United and our industry. This is not an excuse; these are the facts.
My fellow shareholders, 2008 was a year like most of us have not seen in our lifetimes. While I refuse to lay blame for the disappointing results outside our doors, it is a simple fact that many of our challenges were products of the rapidly changing and vastly unpredictable environment.
Southeast Peer Group BB&T, Colonial BancGroup, Regions, South Financial Group, SunTrust, Synovus, United Community Banks
Housing and Residential Construction
For decades and through early 2007, our markets enjoyed a rapidly increasing population that created a dream scenario for developers, builders, homebuyers and banks. We made a substantial number of loans to well-qualified developers and contractors who were developing lots and building homes to meet the demand. We monitored trends and took comfort that housing prices within our markets were not experiencing the sharp increases of other U.S. boom regions. The delicate balance between supply and demand appeared to be in near-perfect equilibrium.
We did not make, and have never made, sub-prime mortgage loans. However, many of our customers sold their properties to people who received sub-prime loans from other institutions. These loans were attractive to, and initially affordable for, first-time and lower-income homebuyers who could not qualify for more traditional mortgage products. But, as the introductory 'teaser' rates on these sub-prime loans expired and rates began to rise, tens of thousands of borrowers across the country, including those in our markets, became unable to fulfill their monthly obligations.
Mortgage lenders began to adopt more conservative credit standards in this environment, making new mortgage loans more difficult to obtain. Large numbers of would-be homebuyers were no longer able to obtain mortgages and, with the equilibrium suddenly out of balance, sales and prices of residential real estate dropped dramatically.
Home Price Valuation Value of $100 invested in Atlanta homes compared to $100 invested in homes within 20 metropolitan cities in the US.
Atlanta 20 City Composite
Source: Case-Shiller Housing Index
The dominoes continued to fall as fewer home sales meant fewer new construction projects. With prices declining and a more limited number of qualified buyers, many developers, despite sincere intentions to repay their loans, simply could not survive the drought. The results for their banks, including United, were higher levels of foreclosed homes and increased inventories of vacant developed lots.
continued on page 5
David P. Shearrow| Executive Vice President | Chief Risk Officer
Managing Credit Challenges
Working successfully through our credit challenges is one of United's primary areas of focus in 2009. Our goal is early identification of potential problems, quick and thorough development of resolution strategies, intense execution of our strategy, and ultimately, providing the best economic outcome for United. Our entire senior management team is engaged in this process, and we remain committed to working through this credit cycle as efficiently and expediently as possible.
enable them to continue making payments and return to a more stable financial position while protecting the bank's interests.
improves. In most instances, we will choose to aggressively sell, recognize any loss and redeploy the capital in new loan opportunities as soon as possible.
In terms of early identification, we continuously review our loan portfolio, carefully assessing all the different categories and segments within it.We assess – in detail – the status of each credit, economic and industry trends, market dynamics and ownership capacity, with an intense focus on early identification of excessive risk. In the course of this continuous review process, if we determine that a customer is struggling or potentially having difficulty repaying a loan, we reach out to them. For those committed to meeting their obligations, we work closely with them to find creative solutions that
Unfortunately, in today's economic environment, many times a creative workout plan is not possible which often leads to foreclosure and guarantor recourse. The complexities of foreclosure, bankruptcy and asset disposition require technical expertise and savvy. Recognizing this, we have built an experienced team, comprising seasoned bankers and real estate professionals, who can quickly and wisely determine how best to handle each one. By utilizing a team with multiple areas of expertise, we are able to make well-educated decisions, so that at all times, we can attain the best economic result for our company.
4
Before we proceed with the foreclosure process, we complete an extensive market analysis to develop a disposition strategy tailored to each lot, house or land development. For example, we may write down and hold select properties in historically desirable areas, as we anticipate that they will regain value more quickly when the market
Once we have determined a course of action on a credit and move to the disposition phase, our highly focused sales management process takes over. We use multiple channels to market our properties, including direct outreach to potential investors, a website featuring bank-owned properties, a network of local realtors and employee referrals. By using multiple sales channels, we believe we have often been able to get better pricing than current market averages for various types of properties.
Although we have seen a rise in our total amount of bank-owned real estate, we continue to make very good progress in real estate sales while maximizing the economic returns to the company. There will certainly be ongoing credit challenges through 2009, but we remain committed to aggressively taking actions that will help United be among the first to get through this difficult credit cycle.
"We remain committed to working through this credit cycle as efficiently and expediently as possible.”
—David Shearrow
ENCE
RESILI
I mentioned earlier that our 2008 results were partly due to outside forces – but not entirely. The collapse of the housing and residential construction market was a broad external event; however, United had a heavy concentration in residential construction and development lending that made the impact greater than it otherwise would have been. We had been participating in a housing boom driven by years of strong population growth, especially in the Atlanta region. In late 2006, we recognized this growing exposure and began working to correct the imbalance in our loan portfolio. Over the past two years, we reduced our concentration of residential construction loans from 35 percent of outstanding loans to 26 percent. Better, but still a larger number than we would have liked.
Loan Portfolio Concentration
Residential Construction
As percentage of total loans
2007
2008
Aggressive Response
In the wake of these events our strategy has been, and continues to be, twofold: recognize losses and work problem assets off the books quickly, while evaluating each situation carefully and attaining the best possible outcome. We have a strong management team with the experience and skill to make sound economic decisions for the company, both wisely and quickly.
Margin
While credit issues were a major contributor to our disappointing financial performance, another significant factor was the compression of our margin – the difference between what we earn from making loans and what we pay for deposits.
continued on page 8
Building Liquidity and Capital
While a bank must always maintain appropriate levels of liquidity and capital, it was critically important in 2008 for United to bolster these resources. Strong liquidity and capital levels are vital for meeting the challenges that affected our company and the banking industry as a whole. In fact, the lack of liquidity was a determining factor in most of the bank failures in 2008. While capital is very important, liquidity is essential as it is our source of funds for meeting customer needs.
In the second half of 2008, a number of events occurred that caused financial markets to become very fragile and disrupted, and also caused customers to be concerned about the safety of their bank accounts. Prominent among these events were investment bank failures – Bear Stearns and Lehman Brothers – as well as the collapse of large financial institutions – Wachovia Bank, National City Bank and
Washington Mutual – and other smaller bank failures, several of them in the Southeast. With the sub-prime and credit crises worsening, not only were bank customers concerned but banks themselves were worried about lending to each other – what we commonly refer to as wholesale borrowings. The ability to borrow from, and place short-term funds with, other banks is imperative to fulfilling a bank's liquidity needs. This source of liquidity virtually came to a standstill during the third quarter of 2008.
As these sources of liquidity vanished and an increasing number of United customers inquired about the safety of their deposit balances, we knew that the lack of liquidity could be a threat to our company. We immediately developed a strategy to significantly build up liquidity, though we knew in the short-term it would result in a lower margin and reduce net interest revenue. Net interest revenue and margin, in simple terms, are driven by the interest we earn on our loans and investments, less the interest we pay on our deposits and borrowings.
ST Given the market conditions and customer concerns that were threatening the sources of liquidity and all of the uncertainties ahead of us, we believed that the decision to build liquidity was a prudent one. We looked at several alternatives. Typically the primary source of liquidity for a bank is customer deposits with supplemental funding available from several other sources including brokered deposits, interbank borrowings, Federal Reserve Bank, and the Federal Home Loan Bank. We knew that deposit customers and interbank borrowing sources were not readily available, so the only true incremental source of liquidity was brokered deposits.
From late August to early October, we added $525 million of brokered deposits. In addition, to ensure we would retain our customer deposits, we did not lower our deposit rates in October when the Federal Reserve lowered rates by 100 basis points. To the contrary, in early October we actually increased rates on money market accounts by 125 basis points to remain competitive with other banks in our markets.
These actions put us in an excellent position to ride out the limited supplies of liquidity through the end of the year; however, they severely reduced our margin. Nonetheless, we had prepared for a possible collapse in the liquidity market by building up over $2.3 billion of unused funding capacity.
Now that liquidity pressures have receded, we are able to focus on restoring those lost earnings. We implemented three key actions that already have increased our margin and will continue to have a positive impact throughout 2009:
* increase loan pricing by negotiating higher credit spreads and minimum rates (floors);
* lower deposit rates while retaining customers, a vital balance; and
* decrease the level of brokered deposits, which lowered the overall cost of funds.
Later in the fourth quarter, the government made a series of announcements that significantly eased liquidity in the marketplace. By late December, liquidity became more accessible and the potential threat to both our liquidity, and that of banking in general, decreased considerably. However, at the time of our earlier decisions, we were unsure of the government's actions, so we acted decisively to eliminate what we saw as a risk to our company's stability.
We accomplished our goal of adding capital in three separate transactions. In August, we issued $30 million of subordinated debt. In October, we privately placed $13 million of trust preferred securities. Then in December, we completed the sale of $180 million of preferred stock to the U.S. Treasury through its Capital Purchase Program. In total, we added about $225 million in capital, which significantly increased all of our regulatory capital ratios. At year-end, our Tier I Risk-Based Capital ratio was 11.2 percent, more than 5 percent above the regulatory wellcapitalized level. We are entering 2009 with a solid capital position to help us weather what lies ahead. We will be vigilant in how we preserve capital and will remain alert for cost-effective opportunities to further build our capital levels.
Raising liquidity and capital were the right things to do, though they came at a price to our short-term profitability. Our team remains prepared to make the right business decisions for the long-term interests of our shareholders.
7
Capital was another critical issue we addressed in 2008. During the summer, we began evaluating ways to further boost our regulatory capital, which we historically managed to be at least 100 basis points above what our regulators deem 'wellcapitalized.' Adding capital would strengthen our ability to continue to aggressively move problem credits off our books and pursue sales that made the most business sense, even if they caused a higher level of credit losses. Further, with additional capital we could absorb those credit losses with little impact on our overall financial stability. A strong capital position is, and continues to be, the key to our company being one of the first to emerge from this difficult credit cycle.
RENGTH "While a bank must always maintain appropriate levels of liquidity and capital, it was critically important in 2008 for United to bolster these resources." — Rex Schuette
Throughout the year our margin was squeezed on both ends. To preserve liquidity, we paid more interest on deposits so we would retain our customers' money market deposit accounts and certificates of deposit. At the same time, we liquidity would cause further margin compression, there were many pressing reasons to do so, not the least of which was a fragile and uncertain banking environment.
Investment and commercial banks began to fail in the
"Although we knew that building liquidity would cause further margin compression, there were many pressing reasons to do so, not the least of which was a fragile and uncertain banking environment."
earned less on our loans because the Federal Reserve repeatedly lowered interest rates during the year to unprecedented levels. High deposit pricing in a low loan interest environment – something I had never seen in my entire banking career – accounted for United's shrinking margin.
To give you a better sense of what this meant to our business results, over the course of 2008 our margin shrank 70 basis points. Currently, a single basis point represents $750,000 in pre-tax earnings. That means we would have had $53 million more in pre-tax earnings for 2008 had we been able to maintain our margin during the year at the same level as 2007.
third quarter, and banks became reluctant to lend to each other. Interbank, or 'overnight,' lending is normally a regular source of funding. By mid-September, we had reduced our overnight borrowings position to almost zero. At the same time, our overall core deposit levels began to fall as bank failures fed customer concern about the safety of deposits.
Liquidity
Insufficient liquidity is an even greater and more immediate threat to a bank's health than inadequate capital or increased credit losses. Although we knew that building
To bolster our liquidity position, we added over a half billion dollars in brokered deposits which replaced our overnight funds and wholesale borrowings. This provided a more reliable funding source and made collateral available for future wholesale borrowings as a source of contingent liquidity. These efforts to build liquidity followed a successful CD-gathering program that generated $400 million in new deposits during the second quarter.
In October, the FDIC raised its insurance coverage from $100,000 to $250,000, which helped restore confidence in the banking industry. Our core deposits stabilized, reducing both the urgency to add liquidity and the need for wholesale borrowing. At year-end, United had substantial liquidity with $2.3 billion of wholesale funding capacity. We are continuing to manage liquidity closely through 2009.
Capital
I am pleased to report that United's capital position remained strong through 2008. We replaced our cash dividend with a stock dividend in the third and fourth quarters – a difficult decision but one that enabled us to retain more than $4 million in capital each quarter.
During the second half of the year United received capital in other forms, including the issuance of $30 million in subordinated debt and $13 million in trust preferred securities. It is worth noting that these transactions were completed at a stressful time in our industry when such sources of regulatory capital were available only to very few banks. In the fourth quarter, the U.S. Treasury introduced its Capital Purchase Program (CPP) to inject capital quickly into selected banks across the country. United issued $180 million of preferred stock to the U.S. Treasury under this program.
Among the 8,500 banks and thrifts in the U.S., some 660 directly or as a member of a holding company, issued preferred stock under the CPP. A few banks chose not to participate. After much study and consideration, our Board unanimously approved participation in the CPP. Our decision was based on the fact that we are in the most uncertain economic environment since the Great Depression and a time when a financial company cannot have too much capital. Let me add that this capital is not free: It will cost our company $10.2 million each year until it is retired, and we plan to retire it within five years. But, without question, this is the most efficient and effective way to strengthen our capital position as we work through this recession.
Overall, during the second half of 2008 we were able to raise nearly $225 million of capital. This additional capital is allowing us to continue lending in our communities while at the same time aggressively disposing of foreclosed properties.
Earnings
Our net loss of $63.5 million for 2008 can be attributed primarily to higher credit costs and margin compression.
continued on page 12
New Opportunities for Success
The recipe for a successful business – both in good times and bad – is to boost revenue, reduce costs, attract and retain customers, strengthen customer relationships and make sure you have the people and processes in place to prosper and grow. Regardless of the business environment, there are always positive opportunities if you look for them. The current situation provides these types of opportunities.
Through two initiatives, 'We Are United' and 'United Express,' as well as important changes in our Atlanta Region, United Community Bank is making great strides in not only shoring up today's business, but also preparing for a swift and strong recovery. We fully intend to, and will, take advantage of the current opportunities.
A logical starting place for United has been to do some self-examination to ensure that our company is operating in the most cost-efficient way possible. With 'We Are United,' each United Community Bank employee has been charged with examining their own jobs, their processes,
SE individual departments, banks and the overall company in an effort to enhance revenues and reduce expenses. Slicing an organization is easy. Taking a thoughtful look at how we can improve efficiencies and reduce costs with no negative impact on our culture or customer service is another story altogether. That's why employees throughout the company have made great efforts since October to deliver improvement suggestions. With this initiative nearly complete, we expect to capture significant cost savings and efficiency improvements as well as revenue enhancements.
Among ideas that have been implemented thus far, we have:
* installed remote branch capture technology in our banks that benefits our customers with end-of-day processing and reduces the need for courier routes;
* sub-leased excess office space;
* renegotiated our debit card processing contract, adding the additional convenience of hundreds of PRESTO ® ATMs in Publix ® supermarkets throughout the Southeast as a free service for our customers, while saving money at the same time; and
* consolidated much of our outside legal costs and increased use of inside counsel.
'We Are United' has been a comprehensive and detailed activity with no part of the company or its processes left unexamined. The result will be a real, tangible increase in pre-tax, pre-provision earnings. As our credit costs decrease – and they will over time – United will be a very profitable company positioned for substantial growth.
RVICE A second initiative, 'United Express,' is aggressively addressing the need to secure new core deposits and to expand our relationship with existing customers – Additionally, the opportunity for growth also lies with our existing customers. For example, we currently have almost 11,000 loan customers who have a single Think of them as resource managers who have expertise in their customers' business and the ability to bring all of United's resources together to provide the "United Community Bank is making great strides in not only shoring up today's business, but also preparing for a swift and strong recovery." — Guy Freeman
Additionally, the opportunity for growth also lies with our existing customers. For example, we currently have almost 11,000 loan customers who have a single service relationships with United, and another 16,000 customers who have only CDs. As a part of the 'United Express' program we have established teams who are focused on expanding our customer relationship by providing needs-based solutions tailored to each customer.
That's why we now refer to our lenders as 'Relationship Managers.' Attracting new business plus growing and strengthening our relationships with existing customers are among the most important things we can do. I am so proud of the progress we're making and of our people for their commitment to each other, our shareholders and our customers. This is a winning combination.
11
A second initiative, 'United Express,' is aggressively addressing the need to secure new core deposits and to expand our relationship with existing customers – the lifeblood of any bank. Some banks have been built on a sales culture, with employees being only as valuable as the new business they bring in the door. With United Express, we have shifted that paradigm, creating a sense of excitement around core deposits and providing incentives for employees to not only attract new customers but help them deepen their relationships with the bank.
In my 42-year banking career, I have never seen so much excitement around growing our business as we have with this initiative. And this excitement has translated into results. For example, our North Carolina banks set a 2009 goal of $27 million in new core deposit accounts. As of March 1, they had already achieved $10 million. Incredible! And it doesn't stop in North Carolina … I've seen it in every bank and in all parts of the company. We are actually adding net new deposit accounts in the toughest economy we've ever seen – a remarkable achievement. This is yet another example that there are still many opportunities out there for us.
In metro Atlanta, where we operate seven distinct and locally-focused community banks, we have refined our approach based on input from our business customers. Our customers have told us that they prefer our business model of community-centric banks with strong leadership and local decision making. They also told us that as they grow and expand across the metro area themselves, they want to take their primary relationship manager with them. Therefore, we have enhanced our business banking model to include a line-of-business banking concept.
Think of them as resource managers who have expertise in their customers' business and the ability to bring all of United's resources together to provide the utmost in banking solutions. We believe this new approach better aligns the needs of the customer with the solutions we provide under the leadership of the best expert for each business. With this line-of-business structure, we will provide expertise in commercial and industrial lending, commercial real estate, business banking and retail consumer banking all working together across metro Atlanta and providing the best customer experience possible.
Jimmy speaks often about the importance of United being among the first banks to emerge from today's economic slump. With actions such as 'We Are United,' 'United Express' and our customer focused line-of-business enhancement in Atlanta, I am confident that not only will United Community Bank be first out of the gate, we will hit the ground running.
While I am disappointed to report a loss, rest assured we are doing everything we can to return to profitability. I will describe some of these activities in a moment.
Operating expenses were flat during 2008, and I am confident they will decrease even further in 2009. A companywide initiative, 'We Are United,' was launched in September
As we enter 2009, we are sharply focused on the challenges ahead – and we are taking action. While we will continue to work through problem assets decisively, we are pursuing a number of strategic initiatives that we expect to significantly strengthen our earnings and position us to emerge quickly from this economic environment.
"As 2009 unfolds, and we move toward 2010, a small handful of banks will have opportunities for growth and success, and I firmly believe that we will be one of those banks."
to identify opportunities for cost savings and revenue enhancement. We are already seeing results. This is a very exciting project, not only because of its large scope and great promise, but also because of its source: United bankers throughout our communities. I am very proud that our employees, most of whom are shareholders, are taking ownership in this important effort. Once again, they are showing why they are our organization's most precious asset.
Restoring our net interest margin is critical to improving earnings, and we are seeing progress toward that end. Liquidity is no longer an immediate threat and deposit pricing pressures are easing. Also, our bankers have renewed their focus on loan pricing to ensure that we are properly compensated for the credit risk we take.
Looking Forward
The economic challenges facing our country are as serious as they have been in 70 years, and they are expected to be with us through 2009. Unemployment is high, real estate values continue to decline and many people are struggling to make ends meet. Without a doubt, the financial services industry will feel the ongoing impact of these unusual circumstances.
Growing core deposits is another sure way to improve our net interest margin by providing a stable and low-cost source of funds. In early 2009, we kicked off 'United Express,' a program designed to add new checking and savings accounts through employee referrals. Within six weeks of kick-off, 500 employees brought in more than 1,500 new checking accounts – no small feat in this tough environment. I cannot overstate how much I appreciate their tremendous efforts.
As part of our company-wide mission to return to strong financial performance, we are finding ways to operate more efficiently. I am thrilled by the number of outstanding ideas identified by our employees in the 'We Are United' project, and we are implementing many of their creative recommendations. Expense savings and revenue enhancement opportunities identified to date total more than $5 million – with the promise of more to come.
Recently, we began to restructure our metro Atlanta banking operations to better meet the needs of our small business customers. We have talented and experienced people in the right places to execute this plan, which is significant to our future in this dynamic market. We expect the new structure, in combination with an aggressive calling program, will grow relationships with small businesses and other commercial companies. These relationships will, in turn, further diversify our loan portfolio and create an enormous opportunity to build core deposits.
I know it's been frustrating to look for a glimpse of blue sky and find nothing but stubborn dark clouds. But friends, this will end, and when it does our company will be in position to grow and thrive once again. We have a proven community-based business model. We are in markets that are ranked among the best anywhere for future growth. We have outstanding customer satisfaction – that's not just our opinion; it's well documented. And, most important, we have truly outstanding people. No matter what else changes in our environment, these things stay the same.
I don't want to end this letter without recognizing Charles
Hill, who has retired from our board of directors after 35 years, dating back to our days as Union County Bank. We are deeply grateful to Charles and wish him all the best in his retirement.
As 2009 unfolds, and we move toward 2010, a small handful of banks will have opportunities for growth and success, and I firmly believe that we will be one of those banks. This confidence is based on the reality that we are a service leader in a service business; one that is positioned in markets that are struggling now but that will return to form. We will not rest until this recession tires and plays itself out, as it inevitably will. After taking many of its best shots, we are still standing and more determined than ever to continue the fight until these markets, and this bank, are whole again.
Resilience describes the spirit of United bankers working together with care and passion. The story of United Community Banks is long and impressive, and without minimizing the current state of affairs, the experience of today is just one chapter. It requires perseverance, and we will persevere. It requires patience: it has ours and we thank you for yours. As fellow shareholders and stewards of your investment, we will not rest until we put this chapter behind us and return to our customary winning path.
Jimmy Tallent President and Chief Executive Officer
Consolidated Statement of Income
-
Consolidated Balance Sheet
Selected Financial Information
(1) Excludes provision for fraud-related loan losses and charge-offs of $18 million, or $.24 per diluted common share recorded in 2007; pre-tax merger-related charges totaling $.9 million, or $.02 per diluted common share recorded in 2004; and $2.1 million, or $.04 per diluted common share recorded in 2003.
(2) Net income available to common shareholders divided by average realized common equity which excludes accumulated other comprehensive income (loss).
(3) Excludes effect of acquisition-related intangibles and associated amortization.
DIRECTORS, CORPORATE OFFICERS AND AFFILIATE BOARDS
Board of Directors
Robert L. Head, Jr.
Chairman
Bill M. Gilbert Senior Vice President Retail Banking
Robert L. Head, Jr. W.C. Nelson, Jr. Paul B. Owenby
Owner, Head Westgate Corporation
James R. Pack Sam O. Penland, III Dennis E. Stover John W. Thomas Joe F. Wells
W.C. Nelson, Jr.
Vice Chairman
Owner, Nelson Tractor Company
Jimmy C. Tallent President and Chief Executive Officer
A. William Bennett Partner, Bennett, Davidson & Associates, LLP
Robert H. Blalock Owner, Blalock Insurance Agency, Inc.
Cathy Cox President, Young Harris College
Guy W. Freeman Executive Vice President Chief Operating Officer
Hoyt O. Holloway Owner, H and H Farms
Zell B. Miller Director Emeritus Retired U.S. Senator
John D. Stephens
Partner, Stephens MDS, LP
Tim Wallis
President and Chief Executive
Officer, Wallis Printing Company
Executive Officers
Jimmy C. Tallent
President and Chief Executive Officer
Guy W. Freeman
Executive Vice President
Chief Operating Officer
Rex S. Schuette Executive Vice President Chief Financial Officer
David P. Shearrow Executive Vice President Chief Risk Officer
Craig Metz
Executive Vice President
Corporate Marketing
Adairsville
Gary W. Floyd, President
Board Bill M. Gilbert, Chairman Robert Dudley Barton, IV Donna Howren Robert M. Painter Norman Parker Jim Pinkard
Blue Ridge
John W. Chastain, Jr., President
Board Hoyt O. Holloway, Chairman William L. Prather, Vice Chairman Don R. Clement Robert L. Cochran Norman E. Kaye Larry Lance Harold W. O'Dell Patricia M. Pittman
Brunswick
H. Mel Baxter, Chairman Gene Haskins, President
Board Mark Bearden Pat H. Cooper Carlton DeVooght Bruce Dixon Guy W. Freeman Russell Mentzer Rick Smith William Stembler
Dawson County
James N. Askew, President
Board Herb Burnsed, Chairman Ted Bearden Dwight Gilleland Deborah Pelfrey Robert Polatty Jimmy C. Tallent Jackie Townley
Gilmer County
Jamie C. Tallent, President
Board
Thomas M. Morgan, Chairman
Robert L. Cochran
Doug Faust
Harold W. O'Dell
Glenn S. White President Atlanta Region
Corporate Officers & Senior Vice Presidents
P. Shep Calhoun Chief Credit Officer – North Region
Carol A. Chastain Chief Compliance Officer
Carol J. Clark SBA Lending
Robert L. Cochran Community Banking
Lawrence F. DesPres Technology
Susie L. Hooper Human Resources
Chris Jones
Chief Credit Officer – South Region
Alan H. Kumler Controller
Stephen W. McCoy Chief Information Officer
Mark R. Mershon Treasurer
Brad Miller Legal Counsel
Jim Stewart Chief Technology Officer
David T. Sutton General Auditor
Kurtis Underwood Management Reporting and Analysis
Union County
Andrew M. Williams, III, President
Board
Jimmy C. Tallent, Chairman
Rick Davenport
Billy M. Decker
Dr. G. David Gowder, III
Habersham/Jackson County
James H. Burrell, President
Board James L. Bruce, Jr., Chairman Jefferson D. Hames John C. Lovell Dr. Robert M. Miller Jimmy C. Tallent James C. Watson
Hall County
Richard L. Valentine, CEO Burton R. Stephens, President
Board Joe T. Wood, Jr., Chairman Tom L. Bower Jack M. Chapman, Jr., MD Steven P. Gilliam James S. Latimer W. Scott McGarity C. Steve Parks Ricky L. Presley Joyce Stephens James V. Tipton, Jr.
Lumpkin County
Larry L. Odom, President
Board Dr. John H. Owen, Chairman Angela Clark Mike Cottrell W. Leon Davis Bill T. Hardman Joe B. Sartain, Jr. Jimmy C. Tallent
Pickens County
Jamie C. Tallent, Chairman Mary A. Osborne, City President
Board
Gary Copeland
James (Jay) Wesley Potter, Jr.
McCaysville
Billy Hyde, President
Board Don Clement, Chairman Doug Akins Johnny Farmer David Haight, III Roy Tipton
Rabun County
Jeffrey E. Fulp, President
Board
Rob Stockton, Chairman
Robert H. Blalock
T. Lamar Edwards
Elizabeth B. Fowler
Bill M. Gilbert
Rome
Steven E. Kemp, Chairman
David W. Johnson, President
Board F. Lynn Dempsey Bill M. Gilbert Wright Ledbetter Dr. Frank D. Stegall Stephen A. Stutts Brooke Temple Tim Wallis Charles S. Williams, Jr. Delos H. Yancey, III
Savannah
Michael T. Lee, President
Board
Michael Wakely, Chairman
Charles M. Aimone
Marvin A. Fentress
Sylvester Formey
Pankaj (Roy) V. Patel
Summerville
J. Scott Tucker, President
Board Bill M. Gilbert, Chairman Allen W. Eleam Robert L. Himes James R. Jackson, III Paul E. Meredith
Towns County
Richard E. Martin, Jr., President
Board Jimmy C. Tallent, Chairman Dr. Joey Arencibia Sheila T. Chapman Beverly T. Messer Edward W. Reynolds David Shook
White County
Eugene B. White, President
Board
Louise S. Nix, Chairman
Garrison Baker
Ricky Barrett
S. Keith Brady
Roger London
Jimmy C. Tallent
David Wilkins
Atlanta Region
Glenn S. White, President
C.B. Fair, Executive Vice President
T.L. (Chip) Smallwood, III, Executive
Vice President
Cherokee County
Steven L. Holcomb, President and Chairman
Board Irvin W. Aaron, Jr. Marshall L. Day Bill M. Gilbert Linda N. Hasty Dr. J. Thomas Isherwood Christopher M. McCurry James H. Turner Glenn S. White
Cobb County
Robert K. Walsh, Jr., President and Chairman
Board
Joe H. Daniell
Bill M. Gilbert
John B. Harwell
Bill Hutson
G. Conley Ingram
Jimmy W. Jones
Ed Mulkey
Dr. Daniel S. Papp
Bob M. Prillaman
A. McKoy Rose, Jr.
Dr. Wesley K. Wicker
Fairburn
Brad Murphey, President
Board
Edward C. Wyatt, Chairman
Robert W. Fuller, Jr., Vice Chairman
Dr. Ben Amoss
Douglas Fields
Richard P. Lindsey
Tim Parrott
Nina Ray
Dr. Howard Turner, Sr.
Howard (Bud) Turner, Jr. Glenn S. White
Forsyth County
Tim Heard, President
Board
Bill H. Barnett
Richard A. Bryan
Jay Land
William E. Lipscomb, III
Glenn S. White
Gwinnett
Steven W. Williams, President
Board John D. Stephens, Chairman Richard B. Chandler, Jr. Jacqueline Embry Chiusano Randall W. Dixon Thomas P. Hughes Doyle Johnson James S. Kennedy Randall W. Pierce Wayne T. Sikes David E. Snell Glenn S. White
Henry/Rockdale
Kenneth M. Palmer, Jr., President
Henry County Board
William N. Strawn, Jr., Chairman
William Douglas Coker, Sr.
L. Wayne Lowrey
William A. Moye
James William Strickland
Marcia Garrison Taylor
Andrew J. Welch, III
Steven W. Williams
Rockdale County Board
Troy A. Athon, Chairman
Julia W. Morgan, Vice Chairman
C. Dean Alford
William L. Daniel
Hazel E. Durden
John A. Fountain
Frances G. Jones
R. Flynn Nance
Steven W. Williams
West Georgia
Timothy I. Warren, President
Board
Phillip Kauffman, Chairman
Ann C. Carter
Ann M. Fazio
J. Wayne Garner
Lester Harmon
Charles J. Puckett
William C. Seaton
Joe Stone
M. S. (Buck) Swindle
Glenn S. White
North Carolina
Greg Hining, Chairman
John D. Goins, President
Dale Cable, Regional Manager
Bob Moore, Regional Manager
Board
Ronald C. Burch Larry Clark Billy M. Decker Lloyd G. Fisher J. Phillip Jerome Larry Kernea Jimmy Ray R. Maurice Sherrill Jimmy C. Tallent
Tennessee
Steve Hurst, President
Board Barry Gordon, Chairman Gary Kimsey, Vice Chairman William Crisp Bill M. Gilbert Bryan Jackson Bruce Martin R. Knick Myers Peter Stimpson, MD Ted Wampler, Jr. James W. Wilburn, III
Cleveland
Mickey Torbett, President and Chairman
Board Greg Calfee Joseph (Joe) E. Cate Chad Eslinger Bill M. Gilbert DeWayne Morrow W. Jerry Stout
Brintech, Inc.
Hal Oswalt, President
Board Rex S. Schuette, Chairman Sean Clark Larry Echelmeyer Geri Forehand John Matheny Craig Metz Ken Proctor
NASHVILLE
TN TN
CHATTANOOGA
KNOXVILLE
KNOXVILLE
NASHVILLE
NASHVILLE
TN
ASHEVILLE
ASHEVILLE
TN
TN
CHATTANOOGA
GREENVILLE
GREENVILLE
GREENVILLE
GREENVILLE
COLUMBIA
COLUMBIA
COLUMBIA
COLUMBIA
SAVANNAH
SAVANNAH
ATLANTA
ATLANTA
SAVANNAH
ATLANTA
SC
SC
GA
GA
SC
GA
HILTON HEAD
ISLAND
75
75
75
85
85
26
40
40
40
40
81
20
20
575
285
181
23
23
64
64
400
515
85
CHATTANOOGA
CHATTANOOGA
KNOXVILLE
KNOXVILLE
ASHEVILLE
ASHEVILLE
GREENVILLE
GREENVILLE
ATLANTA
ATLANTA
CHATTANOOGA
KNOXVILLE
ASHEVILLE
GREENVILLE
ATLANTA
SOUTH CAROLINA
SOUTH CAROLINA
GEORGIA
GEORGIA
TENNESSEE
TENNESSEE
NORTH CAROLINA
NORTH CAROLINA
SOUTH CAROLINA
GEORGIA
TENNESSEE
NORTH CAROLINA
95
95
95
10
COASTAL
COASTAL
GEORGIA
COASTAL
GEORGIA
FLORIDA
FLORIDA
FLORIDA
SOUTH
SOUTH
CAROLINA
CAROLINA
SOUTH
CAROLINA
SAVANNAH
SAVANNAH
HILTON HEAD
HILTON HEAD
ISLAND
ISLAND
SAVANNAH
HILTON HEAD
ISLAND
JACKSONVILLE
ST. SIMONS
17
17
17
Locations
Banking Office
Commercial Loan Office
Drive-Thru Only
KINGSTON
FARRAGUT
ALCOA
LOUDON
LENOIR CITY
MADISONVILLE
CLEVELAND
ATHENS
ROBBINSVILLE
CHEROKEE
BRYSON CITY
SYLVA
WAYNESVILLE
BURNSVILLE
BAKERSVILLE SPRUCE
NEWLAND
BLOWING ROCK
ANDREWS
McCAYSVILLE
HIAWASSEE
CLAYTON
BLAIRSVILLE
BLUE RIDGE
ELLIJAY
DAHLONEGA CLEVELAND
HELEN
CORNELIA
CLARKESVILLE
MURRAYVILLE
DAWSONVILLE
CUMMING
GAINESVILLE
COMMERCE
CANTON
ADAIRSVILLE
ROME
SUMMERVILLE
TRION
CAVE SPRING
CARTERSVILLE
HIRAM
POWDER SPRINGS
MARIETTA
JOHNS CREEK
LAWRENCEVILLE
SNELLVILLE
BUFORD
VILLA RICA
CARROLLTON
FAIRBURN
PALMETTO
NEWNAN
PEACHTREE CITY
TYRONE
FAYETTEVILLE
MCDONOUGH
STOCKBRIDGE
CONYERS
MONROE
JASPER
COVINGTON
HAYESVILLE
FRANKLIN
CASHIERS
BREVARD
ETOWAH
HENDERSONVILLE
TELLICO
VILLAGE
WAYCROSS
BRUNSWICK
MURPHY
DOUGLASVILLE
UNION CITY
PINE
LULA
SAVANNAH
SAVANNAH
ATLANTA
ATLANTA
SAVANNAH
ATLANTA
SC
SC
GA
SC
GA
HILTON HEAD
ISLAND
Morgan
Anderson
Union
Jefferson
Grainger
Hamblen
Sevier
Cocke
Greene
Washington
Carter
Johnson
Watauga
Caldwell
Burke
McDowell
Buncombe
Polk
Rutherford
Madison
Unicoi
Polk
Bradley
Hamilton
Meigs
Rhea
Bledsoe
Cumberland
Dade
Catoosa
Walker
Whitfield
Murray
Gordon
Pickens
Pickens
Oconee
Anderson
Greenville
Hart
Stephens
Franklin
Banks
Jackson
Barrow
Walton
Gwinnett
DeKalb
Clayton
Jasper
Butts
Lamar
Spalding
Pike
Meriwether
Heard
Haralson
Polk
Marion
Sequatchie
Spartanburg
Oconee
Clarke
Madison
Chattooga
Floyd
Bartow
Paulding
Cherokee
Forsyth
Dawson
Lumpkin
Hall
White
Union
Fannin
Gilmer
Towns
Clay
Cherokee
Macon
Jackson
Swain
Graham
Monroe
Loudon
Roane
Knox
McMinn
Blount
Haywood
Transylvania
Henderson
Yancey
Mitchell
Avery
Rabun
Habersham
Cobb
Douglas
Carroll
Coweta
Fulton
Fayette
Henry
Newton
Rockdale
Jasper
Beaufort
Effingham
Bryan
Chatham
Liberty
McIntosh
Pierce
Ware
Camden
Charlton
Nassau
Baker
Duval
Brantley
Glynn
Locations
Banking Office
Commercial Loan Office
20
KNOXVILLE
KNOXVILLE
NC
ASHEVILLE
ASHEVILLE
NC NC
Corporate Information
Corporate Headquarters
United Community Banks, Inc.
63 Highway 515
Blairsville, Georgia 30512
(706) 781-2265 (866) 270-7200
ucbi.com
Financial Information
Analysts and investors seeking financial information about United Community Banks, should contact:
Rex S. Schuette
Executive Vice President and
Chief Financial Officer
(706) 781-2265
email@example.com
Copies of the Annual Report filed with the Securities and Exchange Commission on Form 10-K and supplemental quarterly information are available at no cost on United's website at ucbi.com or by contacting: Lois Rich, Shareholder Relations Officer, at (866) 2705900 or firstname.lastname@example.org.
This Annual Report contains forward-looking statements that involve risk and uncertainty and actual results could differ materially from the anticipated results or other expectations expressed in the forward-looking statements. A discussion of factors that could cause actual results to differ materially from those expressed in the forward-looking statements is included in the Annual Report on Form 10-K filed with the Securities and Exchange Commission.
Dividend Payment Dates
Subject to the approval of the Board of Directors, quarterly stock or cash dividend payments are made on the first business day of January, April, July and October.
Stock Price
United Community Banks, Inc.'s common stock is traded on the Nasdaq Global Select Market under the symbol UCBI. Quarterly stock prices for 2008 and 2007 are provided in the following table.
Share Purchase Plan
Transfer Agent and Registrar
Shareholders can purchase shares directly from United without commissions or fees through United's Share Purchase Plan. To find out more about how to participate or to obtain a prospectus, contact Shareholder Relations at (866) 270-5900 or email@example.com.
Account Consolidation and Elimination of Duplicate Mailings
If you receive duplicate quarterly statements from United and wish to discontinue such mailings, or would like to consolidate your accounts, contact Shareholder Relations. This will enable United to avoid unnecessary cost for duplication and mailing.
Shareholders seeking information on stock-transfer requirements, lost certificates, dividends and other shareholder matters, should contact Shareholder Relations.
Annual Meeting
Annual Meeting of Shareholders will be held:
Wednesday, April 29, 2009, 2:00 p.m.
Brasstown Valley Resort
Young Harris, Georgia
Illinois Stock Transfer Company 209 West Jackson Blvd. Suite 903 Chicago, Illinois 60606 (800) 757-5755
Independent Registered Public Accountants
Porter Keadle Moore, LLP Atlanta, Georgia
Legal Counsel
Kilpatrick Stockton, LLP Atlanta, Georgia
Equal Opportunity Employer
United Community Banks is an equal opportunity employer. All matters regarding recruiting, hiring, training, compensation, benefits, promotions, transfers and other personnel policies will remain free from discriminatory practices.
,
|
Hair transplantation: Standard guidelines of care
Narendra Patwardhan, Venkataram Mysore
Members, IADVL Dermatosurgery Task Force # and Consultant Dermatologist, Shreyash Hospital, Pune, Maharashtra, India and *Venkat Charmalaya-Centre for Advanced Dermatology, Bangalore, India
Address for correspondence: Address for correspondence: Dr. Narendra Patwardhan, Consultant Dermatologist, Shreyash Hospitals, Garware bridge corner, Deccan Gymkhana, Pune, Maharashtra 411004, India. E-mail: firstname.lastname@example.org
ABSTRACT
Hair transplantation is a surgical method of hair restoration. Physician qualifi cation: The physician performing hair transplantation should have completed post graduation training in dermatology; he should have adequate background training in dermatosurgery at a centre that provides education training in cutaneous surgery. In addition, he should obtain specifi c hair transplantation training or experience at the surgical table(hands on) under the supervision of an appropriately trained and experienced hair transplant surgeon. In addition to the surgical technique, training should include instruction in local anesthesia and emergency resuscitation and care. Facility: Hair transplantation can be performed safely in an outpatient day case dermatosurgical facility. The day case theatre should be equipped with facilities for monitoring and handling emergencies. A plan for handling emergencies should be in place and all nursing staff should be familiar with the emergency plan. It is preferable, but not mandatory to have a standby anesthetist. Indication for hair transplantation is pattern hair loss in males and also in females. In female pattern hair loss, investigations to rule out any underlying cause for hair loss such as anemia and thyroid defi ciency should be carried out. Hair transplantation can also be performed in selected cases of scarring alopecia, eyebrows and eye lashes, by experienced surgeons. Preoperative counseling and informed consent:Detailed consent form listing details about the procedure and possible complications should be signed by the patient. The consent form should specifi cally state the limitations of the procedure and if more procedures are needed for proper results, it should be clearly mentioned. Patient should be provided with adequate opportunity to seek information through brochures, computer presentations, and personal discussions. Need for concomitant medical therapy should be emphasized. Patients should understand that proper hair growth can be expected after about 9 months after transplantation. Preoperative laboratory studies to be performed include Hb%, blood counts including platelet count, bleeding and clotting time (or prothrombin time and activated partial thromboplastin time), blood chemistry profi le including sugar. Methods: Follicular unit hair transplantation is the gold standard method of hair transplantation; it preserves the natural architecture of the hair units and gives natural results. Mini-micro-grafting is a method hair transplantation involving randomly assorted groups of hairs, with out consideration of their natural confi guration of follicular units, under loupe or naked eye examination. Mini-grafts consist of 4-5-6 hairs while micro-grafts consist of 1-3 hairs. Punch gives ugly cosmetically unacceptable results and should no longer be used. Patient Selection: Hair transplantation can be performed
#The Indian Association of Dermatologists, Venereologists and Leprologists (IADVL) Dermatosurgery Task Force consisted of the following members: Dr. Venkataram Mysore (coordinator), Dr. Satish Savant, Dr. Niti Khunger, Dr. Narendra Patwardhan, Dr. Davinder Prasad, Dr. Rajesh Buddhadev, Lt. Col. Dr. Manas Chatterjee, Dr. Somesh Gupta, Dr. MK Shetty, Dr. Krupashankar DS, Dr. KHS Rao, Dr. Maya Vedamurthy, Ex offi cio members: Dr. Chetan Oberai, President IADVL (2007-2008), Dr. Koushik Lahiri, Secretary IADVL, Dr. Sachidanand S, President IADVL (2008-2009), and Dr. Suresh Joshipura, Immediate Past president IADVL (2007-2008).
Evidence - Level A- Strong research-based evidence- Multiple relevant, high-quality scientifi c studies with homogeneous results, Level B- Moderate research-based evidence- At least one relevant, high-quality study or multiple adequate studies, Level C- Limited research-based evidence- At least one adequate scientifi c study, Level D- No research-based evidence- Based on expert panel evaluation of other information
For Disclaimers and Disclosures, please refer to the table of contents page (page 1) of this supplement.
The printing of this document was funded by the IADVL.
How to cite this article: Patwardhan N, Venkataram. M. Hair transplantation: Standard guidelines of care. Indian J Dermatol Venereol Leprol 2008;74:S46-S53.
Received: August, 2007. Accepted: May, 2008. Source of Support: Nil. Confl ict of Interest: Nil.
in any person with pattern hair loss, with good donor area, in good general health and reasonable expectations. Caution should be exercised in, very young patients whose early alopecia is still evolving, patients with Norwood grade VI or VII with poor density, patients with unrealistic expectations, and patients with signifi cant systemic health problems. Medical therapy: Most patients will need concurrent medical treatment since the process of pattern hair loss is progressive and may affect the remaining hairs. Manpower: Hair transplantation is a team effort. Particularly, performing large sessions, needs a well trained team of trained assistants. Anesthesia: 2% lignocaine with adrenaline is generally used for anesthesia; tumescent technique is preferred. Bupivacaine has been used by some authors in view of its prolonged duration of action. Donor dissection: Strip dissection by single blade is recommended for donor area. Steromicroscopic dissection is recommended for dissection of hair units in follicular unit transplantation; mini-micro-grafting does not need microscopic dissection. Recipient insertion: Different techniques and different instruments have been used for recipient site creation ;these depend on the choice of the operating surgeon and have been described in the guidelines. Graft preservation is important to ensure survival. Density: Minimum density of 35-45 units per sq cm is recommended. Results depend on donor characteristics, technique used and individual skills of the surgeon
Key Words: Hair loss, Alopecia, Minigrafts, Micrografts, Single hair transplant, Hair unit transplant
EXPLANATION AND EVIDENCE FOR THE RECOMMENDED GUIDELINES FOR HAIR TRANSPLANTATION
from the occipital area to the bald area.
INTRODUCTION
Hair transplantation has become popular in recent years as a method of treating male pattern hair loss. Medical treatment with drugs such as minoxidil, finasteride and dutasteride play a vital role in treating hair loss in addition to surgical treatments. Surgical hair restoration has had a chequred history, with the era of the punch transplants leaving a stigma on the technique. However recent techniques, such as follicular unit transplantation by mega sessions have restored much respectability to this methodology and it is now possible, by a properly trained and experienced team to give highly satisfactory cosmetic results.
RATIONALE AND SCOPE
The technique is still evolving and there is much variation in the techniques being followed by different surgeons. Evidence in the form of controlled data is not available for all techniques being used; an attempt is here made to summarize standard protocols with the available evidence. As hair transplantation is a procedure depending on the surgical skill of the team, much depends on the needs of the individual patients and the view of the operating surgeon. It should be understood that these recommendations are by no means binding and universal, and as in all surgical techniques, variations in techniques are possible.
DEFINITION
Hair transplantation involves relocation or transfer of hairs
Follicular unit hair transplantation is a surgical treatment of baldness in which follicular units of hair, (consisting of naturally occurring bundles of hairs), are dissected under a stereomicroscope and transplanted in the bald area so as to give natural look.
Mini-micro-grafting is a method hair transplantation involving randomly assorted groups of hairs, with out consideration of their natural configuration of follicular units, under loupe or naked eye examination. Mini-grafts consist of 4-5-6 hairs while micro-grafts consist of 1-3 hairs.
Punch transplantation is a method of hair transplantation using punch grafts extracted from occipital area and transplanted in to recipient sites created by punches. This method gives ugly cosmetically unacceptable results and should no longer be used.
EVIDENCE: LEVEL B
The History of hair transplantation Walter P. Unger, Dermatol Surge 2002, 28; 11, 1035-1042
Bernstein RM, Rassman WR, Seager D, Shapiro R, et al.: Standardizing the classification and description of follicular unit transplantation and mini-micro grafting techniques. Dermatol Surg 1998; 24:957-963,
Headington JT: Transverse microscopic anatomy of the human scalp. Archives of Dermatology 1984; 120:449-456,
Jimenez F, Rui Fernandez J. Distribution of human hair in follicular units. Dermatol Surg 1999; 25:294, 8.
RATIONALE OF HAIR TRANSPLANTATION
1. Occipital area is unaffected by balding process and
the hairs in this region last a life time; i.e. they are permanent. Since Male pattern hair loss shows donor dominance, they can be relocated to the bald area where they will grow in a normal pattern
EVIDENCE: LEVEL A
Alfredo Rebora. Pathogenesis of androgenetic alopecia Am Acad
Dermatol 2004: 50; 5; 777-779
Orentreich N: Autografts in alopecias and other selected dermatological conditions. Annals of the New York Academy of Sciences 1959; 83:463-479
Whiting DA; Possible mechanisms of miniaturization during androgenetic alopecia or pattern hair loss. J Am Acad Dermatol September 2001, part 2 ¥ Volume 45 ¥ Number 3 S81-86
2. Follicular unit transplantation preserves the normal pattern of the patient. Follicular units allow graft placement in smaller recipient sites, as the units have roughly the same size irrespective of the number of hairs in them; so dense packing is possible and this yields satisfactory cosmetic appearance. Hence this method is presently considered the gold standard method of hair transplantation.
3. However, follicular unit transplantation has the disadvantages of being slower, needing a bigger team of trained assistants and being more expensive. Hence many experts have continued to perform mini-micro-grafting or combination grafting (combining mini-grafts with follicular unit grafts) with satisfactory results as an alternative.
EVIDENCE: LEVEL A
Headington JT: Transverse microscopic anatomy of the human scalp. Archives of Dermatology 1984; 120:449-456,
Jimenez F, Rui Fernandez J. Distribution of human hair in follicular units. Dermatol Surg 1999; 25:294, 8.
Stough DM, Whitworth JM Methodology of follicular unit hair transplantation Derm Clin 1999; 17; 2; 287-306
Bernstein RM, Rassman WR The Logic of Follicular Unit Transplantation. Dermatol Clinics, 1999; 17; 2: 277-295
Bernstein RM, Rassman WR. Follicular unit hair transplantation
Dermatol Surg: 1997; 23; 771-784
INDICATIONS AND PATIENT SELECTION
Accepted indications include Androgenetic alopecia both in males and females. In females, the procedure should be undertaken after appropriate investigations to rule out underlying causes such as iron deficiency, thyroid disorders, other hormonal imbalances etc. The procedure may be performed in expert hands in the following special indications:
1. Eyebrow, beard, moustache reconstruction
2. Selected cases of Scarring alopecia
3. Eyelash transplantation
Patient Selection: Hair restoration can be performed in any person with pattern hair loss, with good donor area, in good general health and reasonable expectations. Caution should be exercised in:
* Young patients whose early alopecia which is still evolving
* patients with Norwood grade VI or VII with poor density
* Patients Unrealistic expectations
* Patients with Significant systemic health problems
EVIDENCE: LEVEL B
Bernstein RM, Rassman WR: Follicular Transplantation: Patient Evaluation and Surgical Planning. Dermatol Surg 1997; 23:771-784 Chartier MB, Hoss DM Grant-Kels JM. Approach to the adult female patient with diffuse nonscarring alopecia J Am Acad Dermatol 2002 47: 6
Marritt E. Transplantation of single hairs from the scalp as eyelashes. Review of literature and a case report. J Dermatol Surg Oncol 1980; 6: 271-3.
Muawyah D. Al-Bdour. Eyebrow to eyelid cilia transplant: a case report. Case Rep Clin Pract Rev 2005; 6: 351-353
INFORMED CONSENT
Informed consent should be obtained after detailed counseling session which should include:
a) discussion on the process of pattern hair loss, and different management options available
b) detailed explanation about the surgical procedure, possible postoperative complications
c) specific instructions that results would be seen only after 8-9 months
d) In young patients specific instruction that the existing hair may be lost in future and that continued drug therapy is necessary to preserve existing hair.
e) Patients should not expect to get the same amount of hair that they had before balding.
f) Patients should understand that hair transplantation is a cosmetic procedure and will not affect the underlying process of baldness, which may continue in future.
g) Any allergies or medical condition that the patient may have, should be recorded.
Need for medical treatment
Most patients will need concurrent medical treatment since the process of pattern hair loss is progressive and may
affect the remaining hairs. Patients should understand that the currently available drugs, finasteride, dutasteride and minoxidil need to be taken for long periods of time, without any definite time limit. This is particularly so in young patients, who need to be counseled properly, as compliance in these patients with drug therapy is poor.
EVIDENCE: LEVEL A
Bouhanna EP. Androgenetic Alopecia: Combining Medical and Surgical Treatments Dermatol Surg. 2002; 28; 02;E;136-142
Avram MR, E Cole JP, E ChaseC, GandelmanE M E, E Haber,
E Knudsen RE Eet al
The Potential Role of Minoxidil in the Hair Transplantation Setting E Dermatol SurgE: 2002;28: 10; 894-900.
MANPOWER REQUIREMENTS
Hair transplantation is a technique oriented procedure; skilled manpower is a basic requirement. Scalp is a site which bleeds heavily and the surgeon needs to be competent in the procedure. Hair transplantation, particularly donor dissection, needs appropriate surgical skills, which may not be part of routine postgraduate training in dermatology. Hence, Dermatological surgeon performing hair transplantation needs to have appropriate " In theatre" or " Hands on" training in the procedure, in a centre that routinely performs the procedure, under a surgeon who has the required experience and expertise in the procedure.
Hair transplantation is a team effort. Particularly, performing large sessions, needs a well trained team. Training of the team is a major exercise in organizing a transplant team and deserves particular attention. A team of assistants to cut the grafts and place the grafts in the recipient area is an absolute necessity to ensure large sessions. Most transplant sessions last up to 4-5 hours and team work is therefore essential
PREOPERATIVE CHECKLIST
These include:
1. Stop minoxidil 2 weeks prior to the procedure as it may increase bleeding.
2. Avoid alcohol 2 days before and after the procedure.
3. Preoperative tranquilizer in an anxious patient.
4. Avoiding smoking, NSAIDs at least 7 days prior to the surgery as these may increase bleeding.
5. Preoperative photographs; top, front, side and back views.
Preoperative laboratory studies to be performed include Hb%, blood counts including platelet count, bleeding and clotting time (or prothrombin time and activated partial thromboplastin time), blood chemistry profile including sugar. ECG , Antibodies for hepatitis B surface antigen and HIV screening tests may be performed if considered essential.
LOCAL ANESTHESIA
Two percent lignocaine with adrenaline is generally used for anesthesia. Bupivacaine has been used by some authors in view of its prolonged duration of action, usually in combination with lignocaine; however, its cardio toxicity is a concern and hence should be used carefully and if facilities for cardiac resuscitation are available. In addition, injection of tumescent saline solution with epinephrine has been generally, but not universally, recommended. Tumescence has the advantage that it produces vasoconstriction and reduces intraoperative bleeding. It also lifts the subcutis from the underlying vessels, and prevents damage to large vessels and nerves. There has been as yet no consensus as to the total dose of lignocaine that can be used in hair transplantation, though traditionally the upper limit has been accepted at 6-7mg/kg wt. However, because the donor strip is removed very soon after injection of the drug, preventing further systemic absorption, and most authors have felt that dosage in excess of 7 mg/kg is safe.(level C)
EVIDENCE: LEVEL C
Seager DJ, Simmons C. Local anesthesia in hair transplantation. Dermatol Surg. 2002;28:320-8.
MONITORING
Proper monitoring of the patient is important, as large amounts of lignocaine are used during the procedure and the procedure is prolonged. All emergency equipment including emergency drugs, intravenous fluids, ambu bag, oxygen cylinder are essential. A digital pulse oximeter is needed for proper monitoring. Presence of a doctor /nurse trained in emergency medical care and life support is desirable. It is recommended that standby anesthetist be available for any emergency requirement.
DONOR DISSECTION
Large punches should no longer be used to harvest donor hair. Single strip dissection, with strip centered around
occipital protuberance, is recommended. Though multibladed knife yields multiple strips and hence makes dissection easier, it also results in transection of hairs up to 20% and hence is to be avoided. A single strip is excised by elliptical excision. Width of the strip should preferably be about 1 cm though wider strips have been advocated by different authorities (level C). Width and the length also depends on the number of grafts needed and can be calculated by determining the density of follicular units by densitometer (level B).Tension and too much cauterization of vessels should be avoided while suturing to avoid a wide scar. Depth of dissection and undermining of the edges has been subject of much debate and at present no uniform recommendations can be made. However, deeper dissection and undermining is associated with greater risk of injury to vessels and therefore bleeding, needing greater surgical skills. Suturing of strip with sutures (either continuous or intermittent) or with staples may be performed, as each of these has its own advocates. Absorbable sutures such as monocryl (which gets absorbed in two weeks) can be used, particularly for outstation patients (level C).
EVIDENCE (LEVEL C)
Unger WP:Suturing of donor sites. In Unger WP,editor; Hair transplantation,New York:Marcel Dekke,1979. p. 64.
Seery GE. Hair transplantation: management of donor area. Dermatol Surg. 2002 ;28:136-42.
Brandy DA. Intricacies of the single-scar technique for donor harvesting in hair transplantation surgery. Dermatol Surg. 2004;30:837-44;
Bernstein RM, Rassman WR.A New Suture for Hair Transplantation:Poliglecaprone 25 Dermatol Surg 2001;27:5-11.
Brandy, D.A. New instrumentation for hair restoration surgery. Dermatol Surg, 1998;24:629 Ð 631
Bernstein RM. Measurements in Hair Restoration. Hair Transplant Forum International 1998;8:1-27
Chang SC. Estimation of number of grafts and donor area. Hair transplant Forum International 2001;11:101-3
DISSECTION OF HAIRS
The elliptical strip is first dissected in to small slivers of 1 or 2 follicular unit width (1-2 mm) under a stereomicroscope. This is a crucial step and needs microscopic dissection to avoid transection of hairs. The slivers are then dissected in to units of one, two or three or four hair units. It has been generally recognized that stereomicroscopic dissection is needed for proper identification and dissection to minimize transaction.(level B) However several surgeons from Asia have been performing excellent dissection for Asian hair, with out microscopic dissection(level C) In the authors' experience for Indian patients, dissection of slivers in to units can be performed, safely without significant transection, under loupe magnification, or even naked eyes, as the roots are pigmented (personal observation; level D). Whether the grafts should be skinny(thin) or chubby(thick with a little amount of dermis around them) is a matter of debate. Skinny grafts need smaller recipient sites, and can be packed densely, but very fine dissection, has the risk of damaging arrectores muscle, sebaceous glands and telogen hairs, which may be important in hair growth. Skinny grafts also need more careful handling to avoid damage. Grafts are very susceptible for drying and hence they should be kept in cold saline. (level B)Dissection of hairs is a skilled job, needing proper training for the dissectors. Proper lighting and seating arrangements for the dissecting team is important to ensure proper visualization and to avoid fatigue.
EVIDENCE
Seager D: Binocular stereoscopic dissecting microscopes: should we use them? Hair Transplant Forum International1996;6:2-5,
Bernstein RM, Rassman WR: Dissecting microscope vs. magnifying loops with transillumination in the preparation of follicular unit grafts: A bilateral controlled study. Dermatol Surg 1998 24: 875880.
Cooley J, Vogel J. Loss of the dermal papilla during graft dissection and placement: Another cause of x-factor? Hair Transplant Forum Int 1997; 7:20-21.
Kurata S, Ezaki T, ItamiES, Terashi H TakayusuEH. Viability of Isolated Single hair Follicles Preserved at 4¡C Dermatol Surg 1999;25(01); 26-29
Raposio E, Cella A, Panarese P, Mantero S, Rolf E. Nordstrom A et al Effects of Cooling Micrografts in hair transplantation Surgery. Dermatol Surg. 2001;27(01), 98-98
Saeger D. chubby vs. skinny Dermatol Surg 1997;23: 757Ð61
Beehner M. A comparison of hair growth between follicularunit grafts trimmed ÒskinnyÓ vs. Òchubby.Ó Dermatol surg 1999;09:16.
Cooley J, Vogel J. Loss of the dermal papilla during graft dissection and placement: Another cause of x-factor? Hair Transplant Forum Int 1997; 7:20-21.
RECIPIENT SITE-GRAFT INSERTION
There are several methods for insertion;
a) 'stick and place method' which involves making a recipient site, followed immediately by insertion of hairs in to the recipient sites by an assistant
b) creating all the required recipient sites at one time, and then placing the grafts one by one
c) use of implanters such as Choi or KNU implanters
Each of the methods has its advocates and any of these can be used by the surgeon as per his expertise. Different
instruments such as NoKor needles (size 16 for three hair units, size 18 for two hair units), 18/19 size needles (for 1-2 hair units), and blades of different sizes are used, each with its own advocates (level C). Punches are not generally preferred for creating recipient sites.
EVIDENCE: LEVEL C
Brandy, D.A., Meshkin, M., "Utilization of No-Kor Vented Needles for Slit-Micrografts. " J Dermatol Surg Onc 1994. 20:336 - 339,
Arnold J: Mini-blades and a Mini-blade Handle for Hair Transplantation. Am J Cosm Surg 1997; 14(2): 195-200.
Yung Chul Choi and Jung Chul Kim: Single hair transplantation using the Choi hair transplanter. J. Dermatol. Surg. Oncol., 1992. 18:945-948
Brandy DA. A Technique for Hair-Grafting in Between Existing Follicles in Patients with Early Pattern Baldness. Dermatol Surg;2002: 26: 08;801-805.
Unger W. Different grafts for different purposes. Dermatol surg 1997;14:177, 83.
Haddab AM, Kohn T, Sidloi M Effect of Graft Size, Angle, and Intergraft Distance on Dense Packing in hair Transplants. Dermatol Surg. 2004;30(06); 846-856
DENSITY IN HAIR TRANSPLANTATION
There is much debate on the desired density in hair transplantation. While it is generally agreed that minimum density required for good cosmetic results is about 35-40/ sq cm, several teams have claimed higher density, up to 55 and even 70 / sq cm (level C)
EVIDENCE: LEVEL C
Limmer B. The density issue in hair transplantation. 1997;23:747, 50. Unger WP. Density issue in hair transplantation. Dermatol Surg: 1998;297Ð297
Marritt EE. The Death of the Density Debate Dermatol Surg 1999; 25; 08;654-660
Brandy DA The Art of Mixing Follicular Units and Follicular Grouping in hair Restoration Dermatol Surg; 2002: 28, 04, 320-328
Haddab AM, Kohn T, Sidloi M Effect of Graft Size, Angle, and Intergraft Distance on Dense Packing in hair Transplants. Dermatol Surg. 2004;30(06); 846-856
MEGA SESSIONS
Definition of mega-sessions has varied with time as the capability of transplant teams to graft larger number of grafts improves. While five years back, a session in which more than 1000 units were grafted was called mega sessions, currently most established teams can transplant in excess of 2000 grafts in a single session. Transplanting large number of graft sessions has definite advantages:
1. Avoids multiple surgeries and resulting absence from work.
2. In multiple grafts, the first graft always yields the best results
3. Large session economizes donor supply.
For these reasons, small session, though technically easy, are discouraged and large sessions are performed in most centers worldwide.
EVIDENCE: LEVEL B
Rassman WR, Carson S. Micrografting in extensive quantities; the ideal hair restoration procedure. Dermatol Surg.1995;21(4):306Ð311. Uebel CO: The punctiform technique with the 1000-graft session. In Stough DB, Haber RS (eds): Hair Transplantation: Surgical and Medical. St. Louis, Mosby-Year Book, Inc. 1996, 172-177 Limmer BL. Thoughts on the extensive micrografting technique in hair transplantation. Dermatol surg: 1996;06:16; 8.
Factors determining outcome in hair transplantation
Several factors can affect the outcome in hair transplantation.
These include:
1. Hair density
2. Hair diameter
3. Colour of hair:
4. Curly hair
These factors need to be taken in to account while planning transplantation and also need to be explained to the patient during counseling session.
EVIDENCE: LEVEL B
Bernstein RM, Rassman WR: The Aesthetics of Follicular Transplantation. Dermatol Surg; 1997 23:785-79.
Bernstein RM. Measurements in Hair Restoration. Hair Transplant Forum International; 1998:8;1-27
Chang SC. Estimation of number of grafts and donor area. Hair transplant Forum International 2001:11;4;101-3
Postoperative instructions and complications
Postoperative care includes administration of appropriate antibiotics and analgesics. Complications are infrequent. Swelling over forehead may occur on day 3 of surgery, due to edema and the result of large amount of saline being injected during anesthesia. This is temporary and can be managed with ice compresses. Use of intradermal triamcinolone acetonide and short course of oral steroids has been advocated (level C). Infection and keloid formation are rare if proper procedures are
followed. Drug induced gastritis, persistence of crust at the recipient sites, persistent pain at door site, sterile pustules during 2 nd month (caused by irritant reaction during hair growth) are some of the other frequent complications. Delayed hair growth is another complication which can happen.
EVIDENCE: LEVEL C
David Perez Meza. Complications in Hair Restoration Surgery. Hair Transplant Forum Int 2000; 10(5);5
Bernstein RM,Rassman WR. What is Delayed Growth? Hair
Transplant Forum Int, 1997. 7(2);22
ACKNOWLEDGMENTS
The authors are indebted to Dr. Bryan Nobay for his inputs while preparing these guidelines.
SUMMARY
Hair transplantation is a rapidly evolving technique; while several steps have standardized procedures, many variations are being used by different surgeons. The procedure is a skill oriented technique and hence different results may be obtained by different procedures or even same procedure by different surgeons. Proper training of both the surgeon and the assisting team is therefore essential for good results.
CONSENT FORM FOR HAIR TRANSPLATION
I named _____________________, aged _____ years, address________________________________________________________ _________________________________________________________ Permanent address (If different) _______________________________ _____________________________________________________Telephone: (Resi)____________________ (Mobile)___________________ (Friend/parents)__________ Email______________________________have been advised to under go hair transplantation.
I also state that I have understood the following information:
1. I have understood the baldness that I have, is mediated by male hormones.
2. I am aware that hair transplation is only a cosmetic procedure and have been involved in decision making about the choice of treatment.
3. I understand that while every effort will be made by the operating doctors to ensure optimum result, a number of variable do exists and hence optimum results cannot always be guaranteed.
4. I have been explained that I will not have and cannot expect that I will have a full head after surgery. I understand that transplants are not perfect.
5. I am aware that the procedure will be performed under local anesthesia and give consent for the same.
6. I have been explained and understood the procedure of the surgery as follows:
The posterior scalp will serve as the donor area. A strip of skin will be removed and sutured; I understand that there will be a a) scar in this area.
The hairs from the donor area will be dissected and implanted on the bald area using special instruments. b)
I have been explained about the possible complications that may occur during and after the procedure; i) postoperative swelling c) of forehead on days 3-5, ii) suture will persist for 2 weeks. iii) Pustules / boils/pimple like lesions in 2-3 months. I have also been explained that keloids, complication in any surgery, may occur after transplants.
I have been shown chart/brochure about the procedure and hair loss, which I have understood. d)
7. I am aware that after the procedure, there may be a period of temporary hair loss. And that it may take 9-10 months after surgery for proper hair growth.
8. I have been explained that I may need _____no of operations for optimum cosmetic results. I am aware that good results will depend upon the necessary number of operation sessions to be undergone.
9. I am aware that the process of baldness may continue after the surgery in other areas of the scalp, which may affected the ultimate appearance. Also thinning of hair is a natural phenomenon, which occurs with age. I may need to take drugs to prevent further hair loss.
I have fully understood the above information after reading it/being transplanted the same by ________. I hereby give consent for DR._____________________________to perform the procedure and any other medical service that may become necessary during the procedure.
The consent form has been signed by when I was not under the infl uence of any drugs
Have you had any surgery before? 1.
Yes / no
Have you had local anesthesia before? 2.
Yes / no
Did you have tooth extraction before? 3.
Yes / no
Did you have any injury/wound, which was sutured? 4.
Yes / no
Did you have any problem with bleeding? 5.
Did you have stomach acidity problem? 6.
Do you smoke? If so how much? 7.
Do you drink alcohol? If so how much? 8.
Do you drink excess of tea / coffee? 9.
Do you have diabetes / asthma/any other disease? 10.
Have you recently taken injection tetanus toxoid in last 6 months ? 11.
Do you faint when seeing blood? Are you nervous person? 12.
13. Will you be able to come for stitch removal after 12 days?
Patwardhan and Venkataram: Hair transplantation
Yes / no
Yes / no
Yes / no
Yes / no
Yes / no
Yes / no
Yes / no
Yes/No
Yes/No
14. Have you received pre-op, post-op instruction sheet?
Yes/No
Patient's signature_______________________________________
Doctor's Signature_________________________
Date:
Witness Signature_______________________________________
|
Program: 730-S R-1
Term: October 1, 2020 to September 30, 2021
| | | | NPC INC. | |
|---|---|---|---|---|
| | | BASIS OF | Claysburg, PA | |
| ITEM NO. | DESCRIPTION | AWARD | UNIT RATE | COST |
| I. | PREPRESS OPERATIONS: | | | |
| (a) | Digital Color Content proof…………………………………..per trim/page-size unit… | | | |
| (1) | Up to and including 8-1/2 x 11" | 262 | $1.25 | $327.50 |
| (2) | Over 8-1/2 x 11" up to and including 17 x 11" | 12 | $2.50 | $30.00 |
| (3) | Over 17 x 11" up to and including 25-1/2 x 11" | 10 | $3.75 | $37.50 |
| (b) | PDF Soft Proof (Any Size Product)………………………….per file……………………….. | 240 | $5.00 | $1,200.00 |
| (c) | System Timework………………………………………………….per hour……………………… | 5 | $150.00 | $750.00 |
| II. | PRINTING AND BINDING | | | |
| 1. | Format A (Up to and including 5-1/2 x 8- 1/2") | | | |
| (a) | Cut Sheet Forms: Printing face only in one ink color, including binding………………………………………………….per cut sheet……………… | | | |
| (1) | Makeready and/or Setup | 32 | $70.80 | $2,265.60 |
| (2) | Running Per 1,000 Copies | 22 | $3.24 | $71.28 |
| 2. | Format B (Over 5-1/2 x 8-1/2" up to and including 8- 1/2 x 11") | | | |
| (a) | Cut Sheet Forms: Printing face only in one ink color, including binding……………………………………………….per cut sheet………………… | | | |
| (1) | Makeready and/or Setup | 76 | $70.80 | $5,380.80 |
| (2) | Running Per 1,000 Copies | 61 | $4.59 | $279.99 |
| (b) | Cut Sheet Forms: Printing face and back in one ink color, including binding……………………………………………….per cut sheet………………… | | | |
| (1) | Makeready and/or Setup | 64 | $80.40 | $5,145.60 |
| (2) | Running Per 1,000 Copies | 1,066 | $4.69 | $4,999.54 |
| 3. | Format C (Over 8-1/2 x 11" up to and including 17 x 11") | | | |
| (a) | Cut Sheet Forms: Printing face only in one ink color, including binding……………………………………………….per cut sheet…………………. | | | |
| (1) | Makeready and/or Setup | 8 | $70.80 | $566.40 |
| (2) | Running Per 1,000 Copies | 2 | $9.13 | $18.26 |
| (b) | Cut Sheet Forms: Printing face and back in one ink color, including binding…………………………………………………..per cut sheet……………….. | | | |
| (1) | Makeready and/or Setup | 32 | $80.40 | $2,572.80 |
| (2) | Running Per 1,000 Copies | 44 | $10.23 | $450.12 |
| 4. | Format D (Over 17 x 11" up to and including 25-1/2 x 11") | | | |
| (a) | Cut Sheet Forms: Printing face and back in one ink color, including binding…………………………………………………..per cut sheet………………. | | | |
| (1) | Makeready and/or Setup | 32 | $186.00 | $5,952.00 |
| (2) | Running Per 1,000 Copies | 5,001 | $15.35 | $76,765.35 |
| 5. | Format E (8-1/2 x 11") | | | |
| (a) | Booklet Forms: Printing in a single ink color, including binding…………………………………………………...per page………………….. | | | |
| (1) | Makeready and/or Setup | 1,264 | $6.79 | $8,582.56 |
| (2) | Running Per 1,000 Copies | 5,208 | $3.70 | $19,269.60 |
| 6. | Format F (8-1/2 x 11"): | | | |
| (a) | Fact Sheets: Printing face only in two ink colors, including binding……………………………………………………per fact sheet…………… | | | |
| (1) | Makeready and/or Setup | 12 | $184.00 | $2,208.00 |
| (2) | Running Per 1,000 Copies | 508 | $14.60 | $7,416.80 |
| (b) | Fact Sheets: Printing face and back in two ink colors, including binding…………………………………………………..per fact sheet…………… | | | |
| (1) | Makeready and/or Setup | 244 | $204.00 | $49,776.00 |
| (2) | Running Per 1,000 Copies | 3,858 | $15.60 | $60,184.80 |
1 of 4
Program:
Term:
730-S R-1
October 1, 2020 to September 30, 2021
Title:
SSA Printing, Receiving, and Fulfillment Program
| | | | NPC INC. | |
|---|---|---|---|---|
| | | BASIS OF | Claysburg, PA | |
| ITEM NO. | DESCRIPTION | AWARD | UNIT RATE | COST |
| 7. | Format G (8-1/2 x 11"): | | | |
| (a) | Multi-Part Forms: Printing face only in a single ink color, including binding……………………………………………………per page…………………… | | | |
| (1) | Makeready and/or Setup | 20 | $62.50 | $1,250.00 |
| (2) | Running Per 1,000 Copies | 185 | $45.00 | $8,325.00 |
| (b) | Multi-Part Forms: Printing face and back in a single ink color, including binding……………………………………………………per page…………………… | | | |
| (1) | Makeready and/or Setup | 176 | $125.00 | $22,000.00 |
| (2) | Running Per 1,000 Copies | 457 | $45.00 | $20,565.00 |
| (c) | Multi-Part Forms: Designation text printing in a single ink color……………………………………………………………………….per page………………….. | | | |
| (1) | Makeready and/or Setup | 160 | $125.00 | $20,000.00 |
| (2) | Running Per 1,000 Copies | 227 | $45.00 | $10,215.00 |
| 8. | Format H (7 x 8" flat): | | | |
| (a) | Leaflet Publications: Printing face and back in two ink colors, including binding…………………………………………………….per leaflet……………… | | | |
| (1) | Makeready and/or Setup | 16 | $180.00 | $2,880.00 |
| (2) | Running Per 1,000 Copies | 1,721 | $9.78 | $16,831.38 |
| 9. | Format I ( 10-1/2 x 8" flat): | | | |
| (a) | Leaflet Publications: Printing face and back in two ink colors, including binding…………………………………………………….per leaflet…………… | | | |
| (1) | Makeready and/or Setup | 56 | $300.00 | $16,800.00 |
| (2) | Running Per 1,000 Copies | 1,999 | $17.57 | $35,122.43 |
| 10. | Format J ( 14 x 8" flat): | | | |
| (a) | Leaflet Publications: Printing face and back in two ink colors, including binding……………………………………………………per leaflet………… | | | |
| (1) | Makeready and/or Setup | 40 | $300.00 | $12,000.00 |
| (2) | Running Per 1,000 Copies | 1,097 | $20.53 | $22,521.41 |
| 11. | Format K ( 17-1/2 x 8: flat); | | | |
| (a) | Leaflet Publications: Printing face and back in two ink colors, including binding……………………………………………………per leaflet………… | | | |
| (1) | Makeready and/or Setup | 52 | $300.00 | $15,600.00 |
| (2) | Running Per 1,000 Copies | 1,227 | $28.13 | $34,515.51 |
| 12. | Format L (21 x 8 " flat) | | | |
| (a) | Leaflet Publications: Printing face and back in two ink colors, including binding……………………………………………………per leaflet……… | | | |
| (1) | Makeready and/or Setup | 12 | $300.00 | $3,600.00 |
| (2) | Running Per 1,000 Copies | 20 | $31.60 | $632.00 |
| 13. | Format M (24-1/2 x 8" flat): | | | |
| (a) | Leaflet Publications: Printing face and back in two ink colors, including binding……………………………………………………per leaflet……… | | | |
| (1) | Makeready and/or Setup | 12 | $450.00 | $5,400.00 |
| (2) | Running Per 1,000 Copies | 115 | $65.89 | $7,577.35 |
| 14. | Format N (3-1/2 x 8"): | | | |
| (a) | Booklet Publications: Priniting in two ink colors, including binding…………………………………………………….per page…………….. | | | |
| (1) | Makeready and/or Setup | 976 | $31.14 | $30,392.64 |
| (2) | Running Per 1,000 Copies | 36,890 | $15.63 | $576,590.70 |
| 15. | Format O (5-1/4 x 8"): | | | |
| (a) | Booklet Publications: Priniting in two ink colors, including binding……………………………………………………per page……………… | | | |
| (1) | Makeready and/or Setup | 2,656 | $31.14 | $82,707.84 |
2 of 4
Program: 730-S R-1
| Title: | SSA Printing, Receiving, and Fulfillment Program | | | |
|---|---|---|---|---|
| | | | NPC INC. | |
| | | BASIS OF | Claysburg, PA | |
| ITEM NO. | DESCRIPTION | AWARD | UNIT RATE | COST |
| III. | PAPER: Per 1,000 leaves | | | |
| 1. | Format A (Up to and including 5-1/2 x 8-1/2"(flat)): | | | |
| (a) | White Writing (16-lb) | 7 | $10.40 | $72.80 |
| (b) | White Writing ( 20-lb.) | 7 | $10.40 | $72.80 |
| (c) | Colored Writing ( 20-lb.) | 1 | $14.40 | $14.40 |
| (d) | Colored Ledger (44-lb.) or, at contractor's option, Colored Index (90-lb.) | 7 | $36.80 | $257.60 |
| 2. | Format B (Over 5-1/2 x 8-1/2" up to and including 8-1/2 x 11" (flat)): | | | |
| (a) | White Writing (16-lb) | 1 | $13.00 | $13.00 |
| (b) | White Writing ( 20-lb.) | 953 | $13.00 | $12,389.00 |
| (c) | Colored Writing ( 20-lb.) | 2 | $18.00 | $36.00 |
| (d) | White Ledger (44-lb.) or, at contractor's option, White Index (90-lb.) | 170 | $42.00 | $7,140.00 |
| (e) | Colored Ledger (44-lb.) or, at contractor's option, Colored Index (90-lb.) | 1 | $46.00 | $46.00 |
| 3. | Format C (Over 8-1/2 x 11" up to and including 17 x 11" (flat): | | | |
| (a) | White Writing ( 20-lb.) | 46 | $19.50 | $897.00 |
| 4. | Format D (Over 17 x 11" up to and including 25-1/2 x 11" (flat)): | | | |
| (a) | White Writing ( 20-lb.) | 4,240 | $29.25 | $124,020.00 |
| (b) | Colored Writing ( 20-lb.) | 761 | $40.50 | $30,820.50 |
| 5. | Format E (8-1/2 x 11"): | | | |
| (a) | White Writing ( 20-lb.) | 822 | $13.00 | $10,686.00 |
| (b) | Colored Writing ( 20-lb.) | 1,782 | $18.00 | $32,076.00 |
| 6. | Format F (8-1/2 x 11"): | | | |
| (a) | White Uncoated Text (60-lb.) | 4,365 | $19.75 | $86,208.75 |
| 7. | Format G (8-1/2 x 11"): | | | |
| (a) | White Carbonless Bond CB, CF (13 - 15-lb.) | 125 | $60.00 | $7,500.00 |
| (b) | Colored Carbonless Bond CB, CF (13 - 15-lb.) | 90 | $70.00 | $6,300.00 |
| (c) | White Carbonless Bond CFB, (13 - 17-lb.) | 45 | $60.00 | $2,700.00 |
| (d) | Colored Carbonless Bond CFB, (13 - 17-lb.) | 61 | $80.00 | $4,880.00 |
| 8. | Format H ( 7 x 8" (flat): | | | |
| (a) | White Uncoated Text (60-lb.) | 1,721 | $13.50 | $23,233.50 |
| 9. | Format I ( 10-1/2 x 8"(flat) ): | | | |
| (a) | White Uncoated Text (60-lb.) | 1,999 | $19.75 | $39,480.25 |
| 10. | Format J (14 x 8" (flat) ): | | | |
| (a) | White Uncoated Text (60-lb.) | 1,097 | $24.88 | $27,293.36 |
| 11. | Format K (17-1/2 x 8" (flat) ): | | | |
| (a) | White Uncoated Text (60-lb.) | 1,227 | $27.65 | $33,926.55 |
| 12. | Format L (21 x 8" (flat) ): | | | |
| (a) | White Uncoated Text (60-lb.) | 20 | $34.83 | $696.60 |
| 13. | Format M (24-1/2 x 8" (flat) ): | | | |
| (a) | White Uncoated Text (60-lb.) | 115 | $38.70 | $4,450.50 |
| 14. | Format N (3-1/2 x 8"): | | | |
| (a) | White Uncoated Text (60-lb.) | 18,445 | $13.82 | $254,909.90 |
| 15. | Format O (5-1/2 x 8-1/2"): | | | |
| (a) | White Uncoated Text (60-lb.) | 45,117 | $15.80 | $712,848.60 |
3 of 4
| Program: | 730-S R-1 | | |
|---|---|---|---|
| Term: | October 1, 2020 to September 30, 2021 | | |
| Title: | SSA Printing, Receiving, and Fulfillment Program | | |
| | | BASIS OF | |
| ITEM NO. | DESCRIPTION | AWARD | UNIT RATE |
| IV. | ADDITIONAL OPERATIONS: | | |
| (a) | Perforating/ Scoring: | | |
| (1) | Makeready and/or Setup (each perforation or score)…..per line……………….. | 38 | $20.00 |
| (2) | Running (Maximum 3 lines per run)…………………………….per 1,000 leaves…… | 6,515 | $1.00 |
| (b) | Drilling………………………………………………………………………..per 1,000 leaves…… | 2,882 | $1.50 |
| (c) | Formats A through D: Additional folding (up to two folds: parallel or right angle folds)……………..per 1,000 leaves…. | 5,588 | $2.00 |
| (d) | Padding, including assembling leaves into pads, stacking, gum or gum/crash, backing, and slicing apart…………………………………………...per 1,000 leaves…. | 170 | $10.00 |
| (e) | Shrink-wrapping………………………………………………………….per package……….. | 412,000 | $0.52 |
| (f) | Storage of inventory…………………………………………………...per month…………… | 12 | $10,000.00 |
| (g) | Picking items for fulfillment…………………….per individual fullfillment……... | 12,500 | $18.72 |
| V. | PACKING AND DISTRIBUTION: | | |
| (a) | Single or multiple copies in kraft envelpe (up to 200 leaves)………………………………………………………..per envelope…………. | 1,100 | $2.00 |
| (b) | Single or multiple copies over 200 leaves, up to 12 pounds , in cushonied shipping bags, or wrapped in shipping bundles (maximum gross weight 14 pounds)……..........................per bag or bundle… | 9,300 | $3.00 |
| (c) | Quantities over 12 pounds, up to 36 pounds, packed in shipping containers maximum gross weight 40 pounds……………………………...per container………… | 33,550 | $4.00 |
| | CONTRACTOR TOTALS | | |
| | DISCOUNT | | 0.25% |
| | DISCOUNTED TOTALS | | |
4 of 4
U.S. GOVERNMENT PUBLISHING OFFICE Washington, DC
GENERAL TERMS, CONDITIONS, AND SPECIFICATIONS
For the Procurement of
SSA Printing, Receiving, and Fulfillment Program
as requisitioned from the U.S. Government Publishing Office (GPO) by the Social Security Administration (SSA)
Single Award
TERM OF CONTRACT: The term of this contract is for the period beginning October 1, 2020 and ending September 30, 2021, for the base contract year, plus up to four (4) optional 12-month extension period(s) that may be added in accordance with the "OPTION TO EXTEND THE TERM OF THE CONTRACT" clause in SECTION 1 of this contract.
BID OPENING: Bids shall be opened at 11:00 a.m., prevailing Washington, DC Time, on September 14, 2020, at the Government Publishing Office, Washington, DC. (Due to the COVID-19 pandemic, this will NOT be a public bid opening.)
BID SUBMISSION: Due to the COVID-19 pandemic, the physical office will NOT be open. Based on this, bidders must submit email bids to firstname.lastname@example.org for this solicitation. No other method of bid submission will be accepted at this time. The program number and bid opening date must be specified in the subject line of the emailed bid submission. Bids received after 11:00 a.m. on the bid opening date specified above will not be considered for award.
RESTRICTION ON LOCATION OF PRODUCTION FACILITIES: All production facilities used in the manufacture, storage, and fulfillment of the products ordered under this contract must be located within a 200-mile radius of Baltimore, MD.
THIS IS A NEW PROGRAM. THERE IS NO ABSTRACT AVAILABLE.
BIDDERS, PLEASE NOTE: These specifications have been extensively revised from the previous solicitation; therefore, all bidders are cautioned to familiarize themselves with all provisions of the specifications before bidding with particular attention to the following:
[x] FREQUENCY OF ORDERS, Print Orders
[x] NUMBER OF PAGES
[x] PROOFS
[x] STOCK/PAPER
[x] PRINTING
[x] STORAGE AND MAINTENANCE OF INVENTORY
[x] SECTION 3. – DETERMINATION OF AWARD
[x] SECTION 4. – SCHEDULE OF PRICES.
SECTION 1. – GENERAL TERMS AND CONDITIONS
GPO CONTRACT TERMS: Any contract which results from this Invitation for Bid will be subject to the applicable provisions, clauses, and supplemental specifications of GPO Contract Terms (GPO Publication 310.2, effective December 1, 1987 (Rev. 01-18)) and GPO Contract Terms, Quality Assurance through Attributes Program for Printing and Binding (GPO Publication 310.1, effective May 1979 (Rev. 09-19)).
GPO Contract Terms (GPO Publication 310.2) – https://www.gpo.gov/docs/default-source/forms-and-standardsfiles-for-vendors/contractterms2018.pdf.
GPO QATAP (GPO Publication 310.1) – https://www.gpo.gov/docs/default-source/forms-and-standards-files-forvendors/qatap-rev-09-19.pdf.
SUBCONTRACTING: The predominant production functions are the printing and binding of items with PII and the storage and fulfillment of all products. Any bidder that cannot perform the predominant production functions will be declared non-responsible.
The contractor is responsible for enforcing all contract requirements outsourced to a subcontractor.
If the contractor plans to enter into a "Contractor Team Arrangement" or Joint Venture, to fulfill any requirements of this contract, they must comply with the terms and regulations as detailed in the Printing Procurement Regulation – (GPO Publication 305.3; Rev. 2-11).
QUALITY ASSURANCE LEVELS AND STANDARDS: The following levels and standards shall apply to these specifications:
Product Quality Levels:
(a) Printing (page related) Attributes - Level II.
(b) Finishing (item related) Attributes - Level II.
Inspection Levels (from ANSI/ASQC Z1.4):
(a) Non-destructive Tests - General Inspection Level I.
(b) Destructive Tests - Special Inspection Level S - 2.
Specified Standards: The specified standards for the attributes requiring them shall be:
Attribute
Specified Standard
Special Instructions: In the event that inspection of press sheets is waived by the Government, the following listed alternate standards (in order of precedence) shall become the Specified Standards:
P-7. O.K Proofs; Average Type Dimension in Publication; Electronic Media; Camera Copy; Negatives.
P-8. O.K. Proofs; Electronic Media; Camera Copy; Negatives.
P-9. Pantone Matching System.
P-10. O.K. Proofs; Electronic Media.
OPTION TO EXTEND THE TERM OF THE CONTRACT: The Government has the option to extend the term of this contract for a period of 12 months by written notice to the contractor not later than 30 days before the contract expires. If the Government exercises this option, the extended contract be considered to include this clause, except, the total duration of the contract may not exceed five (5) years as a result of, and including, any extension(s) added under this clause. Further extension may be negotiated under the "EXTENSION OF CONTRACT TERM" clause. See also "ECONOMIC PRICE ADJUSTMENT" for authorized pricing adjustment(s).
EXTENSION OF CONTRACT TERM: At the request of the Government, the term of any contract resulting from this solicitation may be extended for such period of time as may be mutually agreeable to the GPO and the contractor.
ECONOMIC PRICE ADJUSTMENT: The pricing under this contract shall be adjusted in accordance with this clause, provided that in no event will any pricing adjustment be made that would exceed the maximum permissible under any law in effect at the time of the adjustment. There will be no adjustment for orders placed during the first period specified below. Pricing will thereafter be eligible for adjustment during the second and any succeeding performance period(s). For each performance period after the first, a percentage figure will be calculated as described below and that figure will be the economic price adjustment for that entire next period. Pricing adjustments under this clause are not applicable to reimbursable postage or transportation costs, or to paper, if paper prices are subject to adjustment by separate clause elsewhere in this contract.
For the purpose of this clause, performance under this contract will be divided into successive periods. The first period will extend from October 1, 2020 to September 30, 2021, and the second and any succeeding period(s) will extend for 12 months from the end of the last preceding period, except that the length of the final period may vary. The first day of the second and any succeeding period(s) will be the effective date of the economic price adjustment for that period.
Pricing adjustments in accordance with this clause will be based on changes in the seasonally adjusted "Consumer Price Index For All Urban Consumers – Commodities less Food" (Index) published monthly in the CPI Detailed Report by the U.S. Department of Labor, Bureau of Labor Statistics.
The economic price adjustment will be the percentage difference between Index averages as specified in this paragraph. An index called the variable index will be calculated by averaging the monthly Indexes from the 12month interval ending three (3) months prior to the beginning of the period being considered for adjustment. This average is then compared to the average of the monthly Indexes for the 12-month interval ending June 30, 2020, called the base index. The percentage change (plus or minus) of the variable index from the base index will be the economic price adjustment for the period being considered for adjustment.
The Government will notify the contractor by contract modification specifying the percentage increase or decrease to be applied to invoices for orders placed during the period indicated. The contractor shall apply the percentage increase or decrease against the total price of the invoice less reimbursable postage or transportation costs and separately adjusted paper prices. Payment discounts shall be applied after the invoice price is adjusted.
PAPER PRICE ADJUSTMENT: Paper prices charged under this contract will be adjusted in accordance with "Table 9 - Producer Price Indexes and Percent Changes for Commodity Groupings and Individual Items" in Producer Price Indexes report, published by the Bureau of Labor Statistics (BLS), as follows:
1. BLS code 0913 for All Paper will apply to all paper required under this contract.
2. The applicable index figures for the month of September 2020, will establish the base index.
3. There shall be no price adjustment for the first three (3) production months of the contract.
4. Price adjustments may be monthly thereafter, but only if the index varies by an amount (plus or minus) exceeding 5% by comparing the base index to the index for that month, which is two months prior to the month being considered for adjustment.
5. Beginning with order placement in the fourth month, index variances will be calculated in accordance with the following formula:
where X = the index for that month which is two months prior to the month being considered for adjustment.
6. The contract adjustment amount, if any, will be the percentage calculated in 5 above less 5%.
7. Adjustments under this clause will be applied to the contractor's bid price(s) for Item III., "PAPER" in the "SCHEDULE OF PRICES" and will be effective on the first day of any month for which prices are to be adjusted.
The Contracting Officer will give written notice to the contractor of any adjustments to be applied to invoices for orders placed during months affected by this clause.
In no event, however, will any price adjustment be made which would exceed the maximum permissible under any law in effect at the time of the adjustment. The adjustment, if any, shall not be based upon the actual change in cost to the contractor, but shall be computed as provided above.
The contractor warrants that the paper prices set forth in this contract do not include any allowance for any contingency to cover anticipated increased costs of paper to the extent such increases are covered by this price adjustment clause.
SECURITY REQUIREMENTS: Protection of Confidential Information –
(a) The contractor must restrict access to all confidential information obtained from the Social Security Administration in the performance of this contract to those employees and officials who need it to perform the contract. Employees and officials who need access to confidential information for performance of the contract will be determined at the postaward conference between the Contracting Officer and the responsible contractor representative.
(b) The contractor must process all confidential information obtained from SSA in the performance of this contract under the immediate supervision and control of authorized personnel, and in a manner that will protect the confidentiality of the records in such a way that unauthorized persons cannot retrieve any such records.
(c) The contractor must inform all personnel with access to the confidential information obtained from SSA in the performance of this contract of the confidential nature of the information and the safeguards required to protect this information from improper disclosure.
(d) For knowingly disclosing information in violation of the Privacy Act, the contractor and the contractor employees may be subject to the criminal penalties as set forth in 5 U.S.C. Section 552a (i)(1), which is made applicable to contractors by 5 U.S.C. 552a (m)(1) to the same extent as employees of the SSA. For knowingly disclosing confidential information as described in section 1106 of the Social Security Act (42 U.S.C. 1306), the contractor and contractor's employees may also be subject to the criminal penalties as set forth in that provision.
(e) The contractor must ensure that each contractor employee with access to confidential information knows the prescribed rules of conduct, and that each contractor employee is aware that he/she may be subject to criminal penalties for violations of the Privacy Act and/or the Social Security Act. When the contractor employees are made aware of this information, they will be required to sign form SSA-301, "Contractor Personnel Security Certification" (see Exhibit A). A copy of this signed certification must be forwarded to: Social Security Administration, Division of Printing Management, Attn: Matthew Thomas, Annex Building, 6401 Security Boulevard, Baltimore, MD 21235-6401.
(f) All confidential information obtained from SSA for use in the performance of this contract must, at all times, be stored in an area that is physically safe from unauthorized access.
(g) Performance of this contract may involve access to tax return information as defined in 26 U.S.C. Section 6103(b) of the Internal Revenue Code (IRC). All such information must be handled as confidential and may not be disclosed without the written permission of SSA. For willingly disclosing confidential tax return information in violation of the IRC, the contractor and contractor employees may be subject to the criminal penalties set forth in 26 U.S.C. Section 7213.
(h) The Government reserves the rights to conduct on-site visits to review the contractor's documentation and in-house procedures for protection of confidential information.
SSA EXTERNAL SERVICE PROVIDER SECURITY REQUIREMENTS: This resource identifies the basic information security requirements related to the procurement of Information Technology (IT) services hosted externally to SSA's Network.
See Exhibit B (SSA External Service Provider Security Requirements (ESP)) for References for External Service Providers (ESP).
The following general security requirements apply to all External Service Providers:
(a) The solution must be located in the United States, its territories, or possessions.
NOTE: "United States" means the 50 States, the District of Columbia, Puerto Rico, the Northern Mariana Islands, American Samoa, Guam, the U.S. Virgin Islands, Johnston Island, Wake Island, and Outer Continental Shelf Lands as defined in the Outer Continental Shelf Lands Act (43 U.S.C. 1331, et seq.), but does not include any other place subject to U.S. jurisdiction or any U.S. base or possession within a foreign country (29 CFR4.112).
(b) Upon request from the SSA Printing Management Branch, the contractor shall provide access to the hosting facility to the U.S. Government or authorized agents for inspection and facilitate an on-site security risk and vulnerability assessment.
(c) The solution must meet Federal Information Processing Standards (FIPS) and guidance developed by the National Institute of Science and Technology (NIST) under its authority provided by the Federal Information Security Management Act (FISMA) to develop security standards for federal information processing systems, and Office of Management and Budget's (OMB) Circular A-130 Appendix III.
(d) Solutions classified as Cloud Service Providers (CSP) must adhere to additional FedRAMP security control requirements. Further information may be found at: http://www.gsa.gov/portal/category/102371. As part of these requirements, CSPs must have a security control assessment performed by a Third Party Assessment Organization.
NOTE: A Third Party Assessment Organization (3PAO) is an organization that has been certified to help cloud service providers and Government agencies meet FedRAMP compliance regulations. Accredited 3PAOs can be found at https://marketplace.fedramp.gov/#/assessors?sort=assessorName.
(e) Before SSA provides data to the contractor, the contractor shall submit a System Security Plan (SSP) which documents how the solution implements security controls in accordance with the designated FIPS 199 security categorization and the Minimum Security Requirements for Federal Information and Information Systems which requires the use of NIST SP 800-53, or the contractor shall provide a Security Assessment Package (SAP) completed by either an independent assessor or another Federal agency.
The contractor will present the SSP, in writing, to the Contracting Officer within five (5) workdays of being notified to do so by the Contracting Officer or his/her representative, detailed plans for each of the following activities. The workday after notification to submit will be the first day of the schedule.
NOTE: An independent assessor is any individual or group capable of conducting an impartial assessment of security controls employed within or inherited by an information system.
(f) SSA will consider a self-assessment of security controls for solutions that do not involve sensitive information or Personally Identifiable Information (PII).
NOTE: PII is any information about an individual maintained by an agency, including: (1) any information that can be used to distinguish or trace an individual's identity, such as name, social security number, date and place of birth, mother's maiden name, or biometric records; and (2) any other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information.
References (refer to the most up to date revision):
[x] Federal Information Security Management Act (FISMA) of 2002.
[x] Clinger‐Cohen Act of 1996 also known as the "Information Technology Management Reform Act of 1996."
[x] Privacy Act of 1974 (5 U.S.C. § 552a).
[x] Homeland Security Presidential Directive (HSPD‐12), "Policy for a Common Identification Standard for Federal Employees and Contractors", August 27, 2004.
[x] Office of Management and Budget (OMB) Circular A‐130, "Management of Federal Information Resources", and Appendix III, "Security of Federal Automated Information Systems", as amended.
[x] OMB Memorandum M‐04‐04, "E‐Authentication Guidance for Federal Agencies."
[x] FIPS PUB 199, "Standards for Security Categorization of Federal Information and Information Systems."
[x] FIPS PUB 200, "Minimum Security Requirements for Federal Information and Information Systems."
[x] FIPS PUB 140‐2, "Security Requirements for Cryptographic Modules.
[x] NIST Special Publication 800-18, "Guide for Developing Security Plans for Federal Information Systems."
[x] NIST Special Publication 800-30, "Risk Management Guide for Information Technology Security Risk
Assessment Procedures for Information Technology Systems."
[x] NIST Special Publication 800-34, "Contingency Planning Guide for Information Technology Systems."
[x] NIST SP 800‐37 "Guide for the Security Certification and Accreditation of Federal Information Systems."
[x] NIST Special Publication 800-47, "Security Guide for Interconnecting Information Technology Systems."
[x] NIST Special Publication 800-53, "Recommended Security Controls for Federal Information Systems."
[x] NIST Special Publication 800-53A, "Guide for Assessing the Security Controls in Federal Information Systems, "CIO Council's Federal Identity, Credential, and Access Management (FICAM) Roadmap and Implementation Guidance"
[x] NIST Special Publication 800-60
[x] OMB M-07-16, AIMS Chapter 15: Personally Identifiable Information Loss and Remediation
All External Service Providers (ESP) are subject to the following security requirements:
[x] All ESPs are subjected to SSA's Security Authorization Process, which will entail security testing and evaluation of the in-place security controls. For more information see NIST SP 800-37, Revision 1.
[x] ESPs must follow NIST SP 800-53 Revision 4 Recommended Security Controls for Federal Information Systems and Organizations for protecting Low or Moderate impact level information as categorized by FIPS 199 for the information system. NOTE: Systems that contain PII are considered "Moderate."
[x] ESPs must document all deployed (applicable) and planned controls for an information system in a System Security Plan that is in NIST-compliant format. Refer to NIST SP 800-18.
[x] ESPs classified as Cloud Service Providers (CSP) must adhere to additional FedRAMP security control requirements. Further information may be found at: http://www.gsa.gov/portal/category/102371. As part of these requirements CSPs must have a security control assessment performed by a Third Party Assessment Organization (3PAO).
[x] Upon request from SSA, the ESP shall provide the following network security information and documentation for review and audit purposes:
o All information security control artifacts required to support the Security Assessment and Authorization (SA&A) process.
o Intrusion Detection Systems (IDS) configuration.
o Network firewall configuration.
o Server and network device patching schedules and compliance.
o Server, network device, and security logs.
o Detailed hardware inventory including servers, network devices, and storage.
ESPs are required to adhere to NIST 800-53, Rev. 4, security control framework based on their assigned categorization. The following sections outline additional security controls and SSA organizational defined parameters for NIST 800-53, Rev 4. Security requirements below are applicable to low and moderately categorized systems unless otherwise designated. For additional information or supplement guidance for these controls, refer Appendix F of NIST 800-53, Rev 4.
See Exhibit B: "SSA External Service Provider Security Requirements" for complete details regarding this requirement.
Templates for Required Security Documents:
[x] Exhibit C: Security Assessment Report (SAR) Template
[x] Exhibit D: Risk Assessment Report (RAR) Template
[x] Exhibit E: External Hosted Information System Plan (ESP) Template
PHYSICAL SECURITY: Contractor's facilities storing SSA assets and information are required to meet the Interagency Security Committee's standard for Federal facilities. This information can be found in the "Facility Security Plan: An Interagency Security Committee Guide," dated February 2015, 1 st Edition. SSA reserves the right to inspect contractor facilities to ensure compliance with the ISC guidelines. If facilities are found deficient, the contractor must implement corrective actions within 60 calendar days of notification. Requirements can include but not be limited to, the physical security countermeasures, such as access control systems, closed circuit television systems, intrusion detection systems, and barriers.
NOTE: Contractor must pass all External Service Provider Security and Physical Security requirements as specified above before the Government can award this contract. Any bidder who cannot obtain approval for any of these security requirements within 60 calendar days of approval of production plans and physical security inspection will be declared non-responsible.
Due to PII issues, the Government cannot provide production test files to the contractor until all Public Trust Security Requirements and Suitability Determination requirements, as specified herein, are met. If the contractor fails to meet these requirements within 90 calendar days of award, the contractor will be declared non-responsive.
SECURITY WARNING: It is the contractor's responsibility to properly safeguard personally identifiable information (PII) from loss, theft, or inadvertent disclosure and to immediately notify the Government of any loss of personally identifiable information.
NOTE: These requirements apply to all contractor's facilities (i.e., multiple plants) used for production of the products.
Contractor is cautioned that no Government provided information will be used for non-Government business specifically; no Government information will be use for the benefit of a third party.
All employees working on this contract must:
[x] Be familiar with current information on security, privacy, and confidentiality as they relate to the requirements of this contract.
[x] Obtain pre-screening authorization before using sensitive or critical applications pending a final suitability determination as applicable to the specifications.
[x] Lock or logoff their workstation/terminal prior to leaving it unattended.
[x] Act in an ethical, informed, and trustworthy manner.
[x] Protect sensitive electronic records.
[x] Be alert to threats and vulnerabilities to their systems.
[x] Be prohibited from having any mobile devices or cameras in sensitive areas that contain any confidential materials. This includes areas where shredding and waste management occurs.
Contractor's managers working on this contract must:
[x] Monitor use of mainframes, PCs, LANs, and networked facilities to ensure compliance with national and local policies, as well as the Privacy Act statement.
[x] Ensure that employee screening for sensitive positions within their department has occurred prior to any individual being authorized access to sensitive or critical applications.
[x] Implement, maintain, and enforce the security standards and procedures as they appear in this contract and as outlined by the contractor.
[x] Contact the SSA, Division of Printing Management, within 24 hours whenever a systems security violation is discovered or suspected.
Applicability:
The responsibility to protect personally identifiable information applies during the entire term of this contract and all option year terms, if exercised. All contractors must secure and retain written acknowledgement from their employees stating they understand these policy provisions and their duty to safeguard personally identifiable information. These policy provisions include, but are not limited to, the following:
[x] Employees are required to have locking file cabinets or desk drawers for storage of confidential material, if applicable.
[x] Material is not to be taken from the contractor's facility without express permission from the Government.
[x] Employees must safeguard and protect all Government records from theft and damage while being transported to and from contractor's facility.
The following list provides examples of situations where personally identifiable information is not properly safeguarded:
[x] Leaving an unprotected computer containing Government information in a non-secure space (e.g., leaving the computer unattended in a public place, in an unlocked room, or in an unlocked vehicle).
[x] Leaving an unattended file containing Government information in a non-secure area (e.g., leaving the file in a break-room or on an employee's desk).
[x] Storing electronic files containing Government information on a computer or access device (flash drive, CD, etc.) that other people have access to (not password-protected).
This list does not encompass all failures to safeguard personally identifiable information but is intended to act as an alert to the contractor's employees to situations that must be avoided. Misfeasance occurs when an employee is authorized to access Government information that contains sensitive or personally identifiable information and, due to the employee's failure to exercise due care, the information is lost, stolen, or inadvertently released.
Whenever the contractor's employee has doubts about a specific situation involving their responsibilities for safeguarding personally identifiable information, they should consult the GPO and/or SSA.
SECURITY AND SUITABILITY REQUIREMENTS FOR GOVERNMENT PRINTING (NOV 2018):
NOTE: For the purposes of this contract, the Contracting Officer's Representative (COR) or Contracting Officer's Technical Representative (COTR) is the SSA representative/Program Lead. The terms "vendor" and "contractor" are used interchangeably throughout this contract. Additionally, the terms "business days" and "workdays" are used interchangeably throughout this contract.
(a) Suitability Process
The background investigation and adjudication processes are compliant with 5 CFR 731 or equivalent. Any new vendor personnel (i.e., those who have not previously received a suitability determination under this contract) requiring access to a SSA facility, site, information, or system, must complete and submit, through the COR-COTR, the documents listed in (a)(1) at least 30 workdays prior to the date vendor personnel are to begin work. The suitability process cannot begin until the vendor submits, and SSA receives, accurate and complete documents.
(1) Suitability Document Submission
a. Immediately upon award, the Company Point of Contact (CPOC) must provide to the Center for Suitability and Personnel Security (CSPS) and a copy to the Contracting Officers Representative (COR) for all vendor personnel requesting a suitability determination using a secured/encrypted email* with a password sent separately to email@example.com:
(i) An e-QIP applicant listing including the names of all Vendor personnel requesting suitability;
(ii) Completed Optional Form (OF) 306, Declaration for Federal Employment; see Exhibit F.
(iii) Work authorization for non-United States (U.S.) born applicants, if applicable.
b. The e-QIP applicant listing must include the vendors name, the Social Security Administration vendor number, the CPOC's name, the CPOC's contact information, the COR's name, the COR's contact information, and the full name, Social Security Number, date of birth, place of birth (must show city and state if born in the U.S. OR city and country if born outside of the U.S.), and a valid email address for all vendor personnel requesting suitability. All spelling of names, email addresses, places, and numbers must be accurate and legible.
(2) e-QIP Application
a. Once SSA receives all completed documents, listed in (a)(1), the Center for Suitability and Personnel Security (CSPS) will initiate the e-QIP process using the e-QIP applicant listing. CSPS will email the e-QIP notification to the CPOC and COR inviting vendor personnel to the e-QIP website to electronically complete the background investigation form (Standard Form (SF) 85P, Questionnaire for Public Trust Positions (see Exhibit G).
b. Vendor personnel will have up to 10 business days to complete the e-QIP application. The 10-business day timeframe begins the day CSPS sends the invitation to the CPOC and COR. Vendor personnel must electronically sign the signature pages before releasing the application in e-QIP. Signature pages include the Certification, Release, and Medical Release pages for the SF 85P.
Find information about the e-QIP process in the e-QIP Quick Reference Guide for e-QIP Applicants at https://nbib.opm.gov/e-qip-background-investigations/.
c. If vendor personnel need assistance with e-QIP logon and navigation, they can call the e-QIP Hotline at 1-844-874-9940.
(3) Fingerprinting
a. The e-QIP notification email also provides vendor personnel with instructions to obtain electronic fingerprinting services. Vendor personnel must report for fingerprint services immediately upon completion and release of the e-QIP application and within 10 business days from the day CSPS sends the invitation.
b. If vendor personnel cannot report to the designated fingerprint locations (in the notification email), CSPS will accept completed Field Division (FD) 258 fingerprint cards (Exhibit H). The COR can provide the FD 258, if required. Vendor personnel must complete all fields on the FD 258. Incomplete fields may delay suitability processing.
c. If the vendor needs to mail completed FD 258 fingerprint cards, the vendor can send them, via certified mail along with a completed Vendor Personnel Suitability Cover Sheet to: Social Security Administration, Center for Suitability and Personnel Security, Attn: Suitability Program Officer, 6401 Security Boulevard, 2246 Annex Building, Baltimore, MD 21235.
(4) Status Check
If vendor personnel have completed each of the steps in (e) in their entirety and do not receive a suitability determination within 15 business days of their last submission, they are to call 1-844-874-9940 to determine suitability status.
(b) Suitability Determination
(1) CSPS uses a Federal Bureau of Investigation fingerprint check as part of the basis for making a suitability determination.
This determination is final unless information obtained during the remainder of the full background investigation, conducted by the Office of Personnel Management, is such that SSA would find the vendor personnel unsuitable to continue performing under this contract. CSPS will notify the CPOC and the COR of the results of these determinations.
(2) SSA will not allow vendor personnel access to a facility, site, information, or system until CSPS issues a favorable suitability determination. A suitability determination letter issued by CSPS is valid only for performance on the vendor specified in the letter.
(3) If personnel has been cleared at a previous contractor's facility and are to perform work under a new vendor, the CPOC must submit a fully completed, legible Contractor Personnel Rollover Request Form to the COR (see Exhibit I). CSPS will notify the CPOC, COR, and Contracting Officer (CO) of suitability to work under the new vendor.
(c) Vendor Personnel Previously Cleared by SSA or Another Federal Agency
If vendor personnel previously received a suitability determination from SSA or another Federal agency, the CPOC should include this information next to the vendor personnel's name on the initial applicant listing (see paragraph (a)(1)b.) along with the OF306. CSPS will review the information. If CSPS determines another suitability determination is not required, it will provide a letter to the CPOC and the COR indicating the vendor personnel was previously cleared under another Federal contract and does not need to go through the suitability determination process again.
(d) Unsuitable Determinations
(1) The vendor must notify the contractor personnel of any unsuitable determinations as soon as possible after receipt of such a determination.
(2) The vendor must submit requests for clarification for unsuitable determinations in writing within 30 calendar days of the date of the unsuitable determination to the email mailbox or address listed below. Vendor personnel must file their own requests; vendor may not file requests on behalf of vendor personnel.
firstname.lastname@example.org
OR
Social Security Administration, Center for Suitability and Personnel Security, Attn: Suitability Program Officer, 6401 Security Boulevard, 2246 Annex Building, Baltimore, MD 21235
(e) Vendor Notification to Government
The vendor shall notify the COR and CSPS within one business day if any vendor personnel is arrested or charged with a crime, or if there is any other change in the status of vendor personnel (e.g., leaves the company, no longer works under the vendor, the alien status changes, etc.) that could affect their suitability determination. The vendor must provide in the notification as much detail as possible, including, but not limited to: name(s) of vendor personnel whose status has changed, SSA vendor number, the type of charge(s), if applicable, date of arrest, the court date, jurisdiction, and, if available, the disposition of the charge(s).
*Email Procedures:
For the contractor's convenience, SSA has included the following instructions to send emails with sensitive documentation or messages containing personally identifiable information (e.g., SSNs, etc.) securely to an SSA email address. Contractor is to consult their local information technology staff for assistance. If the contractor utilizes an alternate secure method of transmission, it is recommended that the contractor contact the recipient to confirm receipt.
To Encrypt a File using WinZip:
i. Save the file to contractor's hard drive
ii. Open Windows Explorer and locate the file
iii. Right click on the file
iv. Select "WinZip"
v. Select "Add to Zip File"
vi. An Add box pops up. Near the bottom of the box is an "Options" area
vii. Click the "Encrypt added files" checkbox
viii. Click the "Add" button
ix. Check the "Hide Password" checkbox if not already checked
a. Enter a string of characters as a password composed of letters, numbers, and special characters (minimum 8 characters – maximum 64)
b. Select the 256-Bit AES encryption radio button
c. Click "OK"
x. The file has been successfully encrypted, and the new Zip file can now be attached to an email.
Providing the Recipient with the Password:
Send the password to the intended recipient in a separate email message prior to sending the encrypted file or after sending the encrypted file. Do not send the password in the same email message to which the encrypted file is attached.
If possible, it is recommended to provide the password to the COR-COTR by telephone or establish a predetermined password between the contractor and the COR-COTR.
The COR-COTR should also submit the password in a separate email from the documentation when submitting to ^DCHR OPE Suitability. Due to the large volume of submissions, the COR-COTR must always provide the password to ^DCHR OPE Suitability in a separate email, even if it is a pre-established password for a contract.
Sending an encrypted Zip File via email:
1. Compose a new message
2. Attach the Zip File
3. Send message
PREAWARD SURVEY: In order to determine the responsibility of the prime contractor or any subcontractor, the Government reserves the right to conduct an on-site preaward survey at the contractor's/subcontractor's facility or to require other evidence of technical, production, managerial, financial, and similar abilities to perform, prior to the award of a contract. As part of the financial determination, the contractor in line for award may be required to provide one or more of the following financial documents:
1) Most recent profit and loss statement
2) Most recent balance sheet
3) Statement of cash flows
4) Current official bank statement
5) Current lines of credit (with amounts available)
6) Letter of commitment from paper supplier(s)
7) Letter of commitment from any subcontractor
The documents will be reviewed to validate that adequate financial resources are available to perform the contract requirements. Documents submitted will be kept confidential, and used only for the determination of responsibility by the Government. Failure to provide the requested information in the time specified by the Government may result in the Contracting Officer not having adequate information to reach an affirmative determination of responsibility.
If the Government, during the preaward survey, concludes that the contractor does not or cannot meet all of the requirements as described in this contract, the contractor will be declared non-responsive.
Additionally, the preaward survey will include a review of all subcontractors involved, along with their specific functions; and the contractor's/subcontractor's mail, material, personnel, production, quality control/recovery program, security, and backup facility plans as required by this specification.
PREAWARD PRODUCTION PLANS: As part of the preaward survey, the contractor shall present, in writing, to the Contracting Officer within five (5) workdays of being notified to do so by the Contracting Officer or his/her representative, detailed plans for each of the following activities. The workday after notification to submit will be the first day of the schedule. If the Government requests additional information after review of plans, the contractor must submit updated plans within two (2) workdays of request.
NOTE: If award is predicated on the purchase of production and/or systems equipment to meet the file transmission requirements, the contractor must provide purchase order(s) with delivery date(s) at least 45 workdays prior to the start of live production on March 1, 2021.
Option Years - For each option year that may be exercised, the contractor will be required to review their production plans and re-submit in writing the above plans detailing any changes and/or revisions that may have occurred. The revised plans are subject to Government approval. The revised plans must be submitted to the Contracting Officer or his/her representative within five (5) workdays of notification of the option year being exercised. NOTE: If there are no changes/revisions, the contractor will be required to submit to the Contracting Officer or his/her representative a statement confirming that the current plans are still in effect.
THESE PROPOSED PLANS ARE SUBJECT TO REVIEW AND APPROVAL BY THE GOVERNMENT AND AWARD WILL NOT BE MADE PRIOR TO APPROVAL OF SAME. THE GOVERNMENT RESERVES THE RIGHT TO WAIVE SOME OR ALL OF THESE PLANS.
Backup Facility: The failure to produce and distribute the products produced on this program in a timely manner would have an impact on the daily operations of SSA. Therefore, if for any reason(s) (act of God, labor disagreements, national emergency, pandemic, etc.) the contractor is unable to perform at said locations for a period longer than five (5) workdays, contractor must have a backup facility with the capability for producing and distributing the products specified in this program. The backup facility must be operated by the contractor.
Plans for their contingency production must be prepared and submitted to the Contracting Officer as part of the preaward survey. These plans must include the location of the facility to be used, equipment available at the facility, and a timetable for the start of production at that facility.
Part of the plan must also include the transportation of Government materials from one facility to another.
NOTE: All terms and conditions of this contract will apply to the backup facility.
Quality Control Plan: Contractor shall provide and maintain within their own organization an independent quality assurance organization of sufficient size and expertise to monitor the operations performed, and inspect the products of each operation to a degree and extent that will ensure the Government's quality assurance inspection and acceptance provision herein are met. Contractor shall will perform, or have performed, the process controls, inspections, and tests required to substantiate that the products provided under this contract conform to the specifications and contract requirements. The contractor will describe in detail their quality control/quality assurance and recovery plans describing how, when and by whom the plans will be performed.
The quality control plan must also include examples and a detailed description of all quality control samples and their corresponding inspection reports or logs the contractor will keep, to document the quality control inspections performed on each run.
The plan will detail how the contractor will ensure that the correct address label with recipients address will be matched with the inserts to that same recipient inside the package.
Furthermore, the plan must include the names of all quality assurance officials and describe their duties in relationship to the quality control plan.
The plan will monitor all aspects of the job including material handling and mail flow, to assure the production and distribution of these items meet specifications and Government requirements.
The contractor must maintain quality control samples, inspection reports, and records for a period of no less than 120 calendar days subsequent to the date of the check tendered for final payment by the Government Publishing Office. The Government will periodically verify that the contractor is complying with the approved quality control plan through on-site examinations and/or requesting copies of the contractor's quality assurance records.
Computer System Plan: This plan must explain in detail how the contractor will receive task order files for fulfillment and replenishments as well as how the contractor will transmit data files back to SSA.
Mail Plan: This plan should include sufficient detail as to how the contractor will comply with all applicable U.S. Postal Service (USPS) mailing requirements as listed in the USPS Domestic and International Mail Manuals in effect at the time of the mailing and other USPS instructional material as the Postal Bulletin, etc. Contractor will be required to provide information on how and demonstrate their ability to achieve USPS automated postal rates prior to award of this contract. The plan must include USPS's anticipated mode of transportation (air/truck/rail) to each Area Distribution Center (ADC).
Material Handling and Inventory Control: This plan shall explain in detail how the following materials will be handled; incoming raw materials; receiving SSA materials; work-in-progress materials; quality control inspection materials; temperature and humidity controlled storage of sensitive materials (envelopes, decals, etc.); and all outgoing materials cleared for pickup. The plan must also include how the contractor will maintain accurate inventory of all stocked items.
Personnel Plan: This plan shall include a complete listing of all personnel who will be involved with this contract and their assigned duties. For any new employees, the plan should include the source of these employees, and a description of the training programs the employees' will be given to familiarize them with the requirements of the program. Contractor employees performing under this contract must be made aware of the "SECURITY REQUIREMENTS" and "SECURITY WARNING" as described in these specifications. Contractor employees performing under this contract will be subject to a thorough civil and criminal background check as detailed in "SECURITY AND SUITABILITY REQUIREMENTS FOR GOVERNMENT PRINTING (NOV 2018)." It is the responsibility of the contractor to ensure that only employees who have received clearance are selected to be involved with this contract.
730-S (R-1) (09/21)
Recovery System: The Government requires that a strict quality control mechanism be in place during the entire production period. The contractor is required to design a quality control system that will track the fulfillment of items and record back-order (out of stock) items for later fulfillment. A recovery system is required to ensure all items are being fulfilled accurately. This control system must use a unique sequential number to aid in the recovery program which has to be maintained in order to recover any missing or damaged items.
Security Control Plan: The contractor shall maintain in operation, an effective security system where items by these specification are manufactured and/or stored (awaiting distribution or disposal) to assure against theft and/or the product ordered falling into unauthorized hands.
Fulfillment Plan: This plan shall include how fulfillment task orders are received and processed at the contractor facility. The plan must also explain how the contractor will pick items from inventory, track them through an internal workflow, and ensure all requested items are shipped, reported as back-ordered, or reported as cancelled timely to the schedule.
The fulfillment plan must also detail how the contractor will determine the shipping method for each fulfillment order. A majority of fulfillment orders will ship via SSA's UPS account. The remaining orders will be shipped reimbursable.
Replenishment and Receiving Plan: This plan shall include how replenishment task orders are received and processed at the contractor facility. The plan will also explain how the contractor will fulfill stock replenishments and receive materials to be used for fulfillment orders.
Disposal of Waste Material: The contractor is required to demonstrate how all waste materials used in the production of sensitive SSA records will be definitively destroyed (ex., burning, pulping, shredding, macerating, or other suitable similar means). Electronic Records must be definitively destroyed in a manner that prevents reconstruction. Definitively destroying the records means the material cannot be reassembled and used in an inappropriate manner in violation of law and regulations. Sensitive records are records that are national security classified or exempted from disclosure by statue, including the Privacy Act or regulation.
If the contractor selects shredding as a means of disposal, it is preferred that a cross-cut shredder (one-quarter inch screen or finer) be used. If a strip shredder is used, the strips must not exceed one- quarter inch. The contractor must provide the location and method planned to dispose of the material.
A subcontractor may be used for the disposal of waste materials that do not contain PII. When a subcontractor is used, the same information is required, as well as how the material will be transported from the contractor's plant to the subcontractor. The plan must include the names of all contract officials responsible for the plan and describe their duties in relationship to the waste material plan.
NOTE: Non-sensitive materials such as blank forms and SSA publications will not be required to meet the same standards of sensitive (PII) SSA records.
100% Accountability Plan: The plan shall explain how the contractor will ensure accurate inventory counts, process and track order fulfillment, and replenishment of stock items.
Barcoding: Each packaged item must be labeled and barcoded. The barcode must contain information regarding the packaged contents and include at a minimum the Product ID, Edition Date, and quantity. This barcode will be used to scan items into inventory and to scan when pulled from inventory for fulfillment. This will allow the contractor to keep an accurate inventory count of stocked items as well as track items as they are pulled for fulfillment.
Fulfillment Tracking: Each item will be tracked independently to ensure that the entire requested quantity for each item is fulfilled for each request. Fulfillment tracking will be reported back to SSA via the daily Fulfillment Status Update Report, as specified under "DAILY FULFILLMENT STATUS UPDATE FILES." This report shall provide information back to SSA stating when an item is fulfilled, the volume that was fulfilled, the edition date of the fulfilled item (if applicable), and shipping/tracking information. The Fulfillment Status Report will also include items that are either on back order or that have been successfully cancelled. Cancelled items will no longer require fulfillment. Back order items will remain in the contractor's fulfillment queue until they are fulfilled, and the full quantity is reported back to SSA as fulfilled accurately.
Replenishment Tracking: Each replenishment item will be tracked independently to ensure that each replenishment item is printed or received and stocked for fulfillment. Replenishment tracking will be reported back to SSA via the daily Replenishment Status Update Reports, as specified under "DAILY REPLENISHMENT STATUS UPDATE FILES." This report will provide information back to SSA stating when an item has been printed or received and stocked for fulfillment.
Inventory Reporting: The contractor must provide a daily inventory report back to SSA stating what the inventory is for each stocked item. The report will be provided at the same time each day. SSA will use this report to initiate replenishment orders to the contractor so that back-order volumes remain at a minimum.
ON-SITE REPRESENTATIVES: One or two full-time Government representatives may be placed on the contractor's premises on a limited basis or throughout the term of the contract.
On-site representative(s) may be stationed at the contractor's facility to provide project coordination in receipt of transmissions; verify addresses; monitor the printing, folding, inserting, mail processing, quality control, sample selections, and inspections, and monitor the packing and staging of the shipments. These coordinators will not have contractual authority, and cannot make changes in the specifications or in contract terms, but will bring any and all defects detected to the attention of the company Quality Control Officer. The coordinators must have full and unrestricted access to all production areas where work on this program is being performed.
The contractor will be required to provide one private office of not less than 150 square feet, furnished with at least one desk, two swivel arm chairs, secure internet access for Government laptop computers, a work table and one four-drawer letter-sized files with combination padlock and pendaflex file folders or equal.
POSTAWARD CONFERENCE: Unless waived by the Contracting Officer, the total requirements of the job as indicated in these specifications will be reviewed by Government representatives with the contractor's representatives at the Social Security Administration, Baltimore, MD, immediately after award. At the Government's option, the postaward conference may be held via teleconference.
Person(s) that the contractor deems necessary for the successful implementation of the contract must attend.
PREPRODUCTION MEETING: A preproduction meeting covering the printing, inserting, and distribution shall be held at the contractor's facility after award of the contract, but prior to production, to review the contractor's production plan and to establish coordination of all operations. Attending this meeting will be representatives from the GPO and SSA. The contractor shall present and explain their final plan for both printing and shipping. The contractor shall be prepared to present detailed plans, including such items as quality assurance, materials handling, and inventory control.
ASSIGNMENT OF JACKETS, PURCHASE, TASK, AND PRINT ORDERS: A GPO Jacket Number will be assigned and a Purchase Order issued to the contractor to cover work performed. The Purchase Order will be supplemented by and individual "Task Order" for each job placed with the contractor. A Print Order will be issued weekly and will indicate the total number of task orders placed and total number of copies produced that week. The print order will indicate any other information pertinent to the particular task orders.
730-S (R-1) (09/21)
ORDERING: Items to be furnished under the contract shall be ordered by the issuance of weekly print orders supplemented by daily electronic task orders. Orders may be issued under the contract from October 1, 2020 through September 30, 2021, plus for such additional period(s) as the contract is extended. All print orders and task orders issued hereunder are subject to the terms and conditions of the contract. The contract shall control in the event of conflict with any print order or task order.
Task orders will be "issued" daily for purposes of the contract and shall detail the daily volume of notices required. A Print Order (GPO Form 2511) will be used for billing purposes, will be issued weekly, and will cover all daily task orders issued that week. A print order or task order shall be "issued" upon notification by the Government for purposes of the contract when it is electronically transmitted or otherwise physically furnished to the contractor in conformance with the schedule.
REQUIREMENTS: This is a requirements contract for the items and for the period specified herein. Shipment/delivery of items or performance of work shall be made only as authorized by orders issued in accordance with the clause entitled "ORDERING." The quantities of items specified herein are estimates only, and are not purchased hereby. Except as may be otherwise provided in this contract, if the Government's requirements for the items set forth herein do not result in orders in the amounts or quantities described as "estimated," it shall not constitute the basis for an equitable price adjustment under this contract.
Except as otherwise provided in this contract, the Government shall order from the contractor all the items set forth which are required to be purchased by the Government activity identified on page 1.
The Government shall not be required to purchase from the contractor requirements in excess of the limit on total orders under this contract, if any.
Orders issued during the effective period of this contract and not completed within that time shall be completed by the contractor within the time specified in the order, and the rights and obligations of the contractor and the Government respecting those orders shall be governed by the terms of this contract to the same extent as if completed during the effective period of this contract.
If shipment/delivery of any quantity of an item covered by the contract is required by reason of urgency prior to the earliest date that shipment/delivery may be specified under this contract, and if the contractor will not accept an order providing for the accelerated shipment/delivery, the Government may procure this requirement from another source.
The Government may issue orders which provide for shipment/delivery to or performance at multiple destinations.
Subject to any limitations elsewhere in this contract, the contractor shall furnish to the Government all items set forth herein which are called for by print orders issued in accordance with the "ORDERING" clause of this contract.
PRIVACY ACT NOTIFICATION: This procurement action requires the contractor to do one or more of the following: design, develop, or operate a system of records on individuals to accomplish an agency function in accordance with the Privacy Act of 1974, Public Law 93-579, December 31, 1974 (5 U.S.C. 552a) and applicable agency regulations. Violation of the Act may involve the imposition of criminal penalties as stated in 5 U.S.C. 552a (i)(1) CRIMINAL PENALTIES. It is incumbent upon the contractor to inform its officers and employees of the penalties for improper disclosure imposed by the Privacy Act of 1974, 5 U.S.C. 552a, specifically, 5 U.S.C. 552a (i)(1) CRIMINAL PENALTIES and m(1) GOVERNMENT CONTRACTORS.
PRIVACY ACT
(a) The contractor agrees:
(1) to comply with the Privacy Act of 1974 and the rules and regulations issued pursuant to the Act in the design, development, or operation of any system of records on individuals in order to accomplish an agency function when the contract specifically identifies (i) the system or systems of records and (ii) the work to be performed by the contractor in terms of any one or combination of the following: (A) design, (B) development, or (C) operation;
(2) to include the solicitation notification contained in this contract in every solicitation and resulting subcontract and in every subcontract awarded without a solicitation when the statement of work in the proposed subcontract requires the design, development, or operation of a system of records on individuals to accomplish an agency function; and
(3) to include this clause, including this paragraph (3), in all subcontracts awarded pursuant to this contract which require the design, development, or operation of such a system of records.
(b) In the event of violations of the Act, a civil action may be brought against the agency involved where the violation concerns the design, development, or operation of a system of records on individuals to accomplish an agency function, and criminal penalties may be imposed upon the officers or employees of the agency where the violation concerns the operation of a system of records on individuals to accomplish an agency function. For purposes of the Act when the contract is for the operation of a system of records on individuals to accomplish an agency function, the contractor and any employee of the contractor is considered to be an employee of the agency.
(c) The terms used in this clause have the following meanings:
(1) "Operation of a system of records" means performance of any of the activities associated with maintaining the system of records including the collection, use, and dissemination of records.
(2) "Record" means any item, collection or grouping of information about an individual that is maintained by an agency, including, but not limited to, his education, financial transactions, medical history, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph.
(3) "System of records" on individuals means a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.
ADDITIONAL EMAILED BID SUBMISSION PROVISIONS: The Government will not be responsible for any failure attributable to the transmission or receipt of the emailed bid including, but not limited to, the following:
1. Illegibility of bid.
2. Emails over 75 MB may not be received by GPO due to size limitations for receiving emails.
3. The bidder's email provider may have different size limitations for sending email; however, bidders are advised not to exceed GPO's stated limit.
4. When the email bid is received by GPO, it will remain unopened until the specified bid opening time. Government personnel will not validate receipt of the emailed bid prior to bid opening. GPO will use the prevailing time (specified as the local time zone) and the exact time that the email is received by GPO's email server as the official time stamp for bid receipt at the specified location.
730-S (R-1) (09/21)
PAYMENT: Upon completion of each order, prior to submitting billing invoice to GPO for payment, the contractor must submit an itemized billing invoice to the ordering agency (agency contact information to be provided after award) for verification, approval, and signature. After agency verification/approval, contractor must submit the signed billing invoice along with the print order to the U.S. Government Publishing Office.
Submitting invoices for payment via the GPO fax gateway (if no samples are required) utilizing the GPO barcode coversheet program application is the most efficient method of receiving payment. Instruction for using this method can be found at the following web address:
http://winapps.access.gpo.gov/fms/vouchers/barcode/instructions.html.
Invoices may also be mailed to: U.S. Government Publishing Office, Office of Financial Management, Attn: Comptroller, Stop: FMCE, Washington, DC 20401.
For more information about the billing process, refer to the General Information of the Office of Finance web page located at: http://www.gpo.gov/finance/index.htm.
Contractor's billing invoice must be itemized in accordance with the items in the "SCHEDULE OF PRICES."
SECTION 2. – SPECIFICATIONS
SCOPE: These specifications cover the production of various printed products requiring such operations as electronic prepress, printing (including four-color process), binding, construction, packing, storage, receiving, fulfillment, and distribution.
TITLE: SSA Printing, Receiving, and Fulfillment Program.
FREQUENCY OF ORDERS:
The Government reserves the right to increase or decrease the number of orders and number of items carried on this contract per year by 25% for both replenishment and fulfillment orders.
Print Orders: SSA intends to submit a print order for replenishments and a print order for fulfillments weekly to the contractor. Each print order issued will cover the daily task orders transmitted to the contractor Tuesday through Saturday.
A separate print order will be issued monthly for the storage charge.
Replenishment Task Orders: SSA will issue an initial print order to cover the costs of all initial stock required for start-up.
There will be two types of replenishments: Items to be produced by the contractor and items to be received by the contractor.
As stock reaches a replenishment point, as determined by SSA, SSA will issue replenishment task orders to the contractor for those items. The replenishment task orders will be sent to the contractor daily and will state if an item(s) is to be printed or received. As part of the replenishment task orders, the contractor will be notified of any upcoming deliveries that they will receive and stock as fulfillment items.
The contractor will provide daily reports for completed replenishments that they either printed or received, and SSA will issue the weekly replenishment print orders based on those completed replenishments.
Fulfillment Task Orders: Task orders will be issued daily for fulfillment and distribution of items to SSA's customers. Print orders will be issued weekly to cover all task orders placed the previous week. NOTE: There may be some days when a task order is not issued.
A daily task order will require approximately 20 to 120 individual fulfillment requirements. Each fulfillment will require the contractor to pick, pack, and ship numerous items to SSA customers at an average of 3 items per fulfillment. It is possible for some task orders to contain as little as 1 fulfillment requirement during an off-duty period (e.g., task orders issued around Federal Holidays).
PRODUCT SPECIFICATIONS FOR ITEMS PRODUCED BY THE CONTRACTOR: A spreadsheet containing all initially printed item specifications will be provided to the contractor.
NUMBER OF PRODUCTION ORDERS:
It is impossible to determine the number or frequency of orders which will be placed during the term of this contract. However, based on historical data, it is anticipated that approximately 1 to 5 replenishment requests will be placed each year for each item produced by the contractor via the replenishment task orders. NOTE: This includes the initial 90-day start-up inventory order.
The contractor will print an initial 90-day inventory of various items for contract start-up. (See Exhibit P).
```
SSA Printing, Receiving, and Fulfillment Program 730-S (R-1) (09/21)
```
Based on usage of these materials, the contractor will be notified via the daily replenishment task orders from SSA of what materials to print and replenish. The replenishment task orders will identify the product, volume, and packing for each printed replenishment item.
QUANTITY: SSA will identify the number of copies for each item in the replenishment task orders.
It is anticipated that the quantity will be approximately 500 to 1,000,000 copies per item per task order. Majority of replenishment requests issued will be for less than 100,000 copies per item.
TRIM SIZES:
Cut Sheet Forms –
Format A: Up to and including 5-1/2 x 8-1/2" (flat).
Format B: Over 5-1/2 x 8-1/2" up to and including 8-1/2 x 11" (flat).
Format C: Over 8-1/2 x 11" up to and including 17 x 11" (flat).
Format D: Over 17 x 11" up to and including 25-1/2 x 11" (flat).
Booklet Forms –
Format E: 8-1/2 x 11".
Fact Sheet Publications –
Format F: 8-1/2 x 11".
Multi-Part Forms -
Format G: 8-1/2 x 11".
Leaflet Publications –
Format H: 3-1/2 x 8" (folded down from 7 x 8" flat size).
Format I: 3-1/2 x 8" or 5-1/4 x 8" (folded down from 10-1/2 x 8" flat size).
Format J: 3-1/2 x 8" (folded down from 14 x 8" flat size).
Format K: 3-1/2 x 8" (folded down from 17-1/2 x 8" flat size).
Format L: 3-1/2 x 8" (folded down from 21 x 8" flat size).
Format M: 3-1/2 x 8" (folded down from 24-1/2 x 8" flat size).
Booklet Publications –
Format N: 3-1/2 x 8".
Format O: 5-1/2 x 8-1/2".
NUMBER OF PAGES (Applies to all formats specified for each product):
Cut Sheet Forms – 1 leaf (face only or face and back) per form.
Booklet Forms – Approximately 8 to 32 pages per booklet.
Fact Sheet Publications – 2 pages (1 leaf) per publication.
Multi-Part Forms – Approximately 2 to 10 pages per form.
Leaflet Publications – 1 leaf (face and back) per publication.
Booklet Publications – Approximately 8 to 48 pages per publication.
FULFILLMENT OF SSA CUSTOMER ORDERS: The contractor will receive fulfillment task orders daily, Tuesday through Saturday, from SSA. On average, the contractor can expect to receive 80 customer orders per day with an average of 3 items per order. The contractor's task will be to process the fulfillment orders by picking items out of inventory stock, pack items, ship items, and provide feedback and tracking via daily Fulfillment Status Update reports.
Back Order Items: The contractor will be required to provide status back to SSA on any item that is on back order (not in stock). Back order status updates are due on the same schedule as the initial fulfillment. Once an item is available for fulfillment, the contractor will fulfill the back order item and provide an updated status on the item.
Cancelling Items From a Fulfillment Order: Cancelled items will be indicated in the fulfillment task orders. The contractor will be required to provide status back to SSA on any items that the contractor was requested to cancel. If an item cannot be cancelled because it is already shipped, then the contractor will provide the shipped status back to SSA.
Fulfillment of SSA Replenishment Requests: The contractor will receive replenishment task orders daily, Tuesday through Saturday, from SSA.
The contractor's task will be to process these replenishment requests orders by printing and stocking items or receiving and stocking items listed in the replenishment task order. The contractor will be required to provide feedback via daily Replenishment Status Update reports.
GOVERNMENT TO FURNISH:
Contract Start-Up Specifications:
[x] Printed Items Specification Spreadsheet: This spreadsheet will include all specifications for all contractorproduced items that will be initially available for fulfillment.
[x] Initial 90-Day Inventory of Printed Stock Report: This report will outline the initial 90-day volume of items the contractor will need to produce and have in stock at the time of production start-up.
[x] Initial Retrieving Stock Report: This report will outline all items that the contractor will be required to retrieve from SSA Headquarters Warehouse, re-package, and label as specified in this report. These items will need to be stocked and ready for production start-up.
Daily Transmissions: Two Microsoft Excel files will be furnished via the contractor-hosted SFTP server on a daily basis, Tuesday through Saturday. One file will be the stock replenishment task order; the other file will be the fulfillment task order.
1. Stock Replenishment Task Order File (See Exhibit K):
[x] The purpose of this task order file is to authorize the contractor to replenish stocked items.
[x] The file will contain items that are both produced by the contractor and items that are scheduled to be received and stocked by the contractor.
[x] The Stock Replenishment task order files will follow a standard format (See Exhibit K).
[x] The contractor will be notified 20 workdays in advance of any file format changes.
[x] Example of Excel Format Name: "Taskorder replenishment_YY####-#.xls" (YY####-# will be replaced with the actional task order number each day.
2. Fulfillment Task Order File (See Exhibit J):
[x] The purpose of this task order file is to provide fulfillment information to the contractor.
[x] This file will contain fulfillment request information from SSA's customers.
[x] The contractor will use this file to package and ship items needed by SSA's customers.
[x] The fulfillment task order files will follow a standard format (See Exhibit J).
[x] The contractor will be notified 20 workdays in advance of any task order format changes.
[x] Example of Excel Format Name: "Taskorder fulfillment_YY####-#.xls" (YY####-# will be replaced with the actional task order number each day.
Furnished Inventory:
[x] Start-Up: The Government will furnish, and the contractor will stock, an initial inventory of items for contract start-up. These items will be identified to the contractor via the Initial Stock Retrieval Report (See Exhibit Q). The furnished items will be staged for the contractor to pick up from SSA's Headquarters in Baltimore, MD. (See "CONTRACT START-UP AND TRANSFER OF INVENTORY.")
Items to be furnished by the Government will include printed items and specialty items. Printed items will include current stock of printed forms and publications at SSA's warehouse facility. Specialty items will include, but are not limited to, envelopes, decals, publications packets, folders, posters, information cards, etc., at SSA's warehouse facility.
[x] Throughout Term of Contract: Based on usage of these materials, the contractor will be notified via the daily replenishment task orders from SSA of what items will be printed or delivered for receiving and stocking. The replenishment task orders will identify the product, volume, packing, edition date (if applicable), and arrival date the contractor can expect to receive an item.
NOTE: Printed items are products that will be furnished for initial inventory and furnished throughout the term of the contract, but may also be ordered for production by the contractor on this contract. Specialty items are items that will be furnished for initial inventory and furnished throughout the term of the contract. Specialty items will not be ordered for production by the contractor on this contract.
Furnished Materials for Contractor-Produced Products: Electronic media for SSA's products will be provided upon contract award. The contractor must hold and re-use furnished materials to produce replenishments. In the event of a change to the furnished files, SSA will furnish new materials to the contractor. Once revised files are approved, the contractor will hold and re-use the new files.
Electronic media will be furnished as follows:
Platform: Macintosh OSX; IBM or compatible using MS Windows.
Storage Media: Contractor-hosted SFTP server; on occasion, CD-R/RW, DVD-R/RW, or email.
Software: Adobe Creative Suite (InDesign, Photoshop, and Illustrator); QuarkXPress; Adobe Acrobat Professional with LiveCycle Designer; and Adobe Experience Manager (AEM). (NOTE: All files will be created in current versions or near current versions of the above mentioned programs.)
NOTE:All platform system and software upgrades (for specified applications) which may occur during the term of the contract must be supported by the contractor. The contractor must provide the upgrades within one (1) month of notification by the Government.
Fonts: All printer and screen fonts will be furnished/embedded, as applicable. All fonts used for this contract will be Adobe Type I and/or TrueType.
The contractor is cautioned that the furnished fonts are the property of the Government and/or its contractors. All furnished fonts are to be eliminated from the contractor's archive immediately after completion of the contract.
Additional
Information: Files will be furnished in PostScript, native application, and/or PDF format.
Electronic media will include all illustrations and graphics furnished in place.
Visuals of electronic files may be furnished.
CMYK and Pantone will be used for color identification.
GPO Form 952 (Desktop Publishing – Disk Information) will be furnished.
Camera copy and/or negatives may be furnished for the publications and forms.
Small package common carrier instructions and account number.
Exhibit A - Contractor Personnel Security Certification, SSA-301
Exhibit B - SSA External Service Provider Security Requirements (ESP)
Exhibit C - Security Assessment Report (SAR) Template
Exhibit D - Risk Assessment Report (RAR) Template
Exhibit E - External Hosted Information System Plan (ESP) Template
Exhibit F - Declaration of Federal Employment (Optional Form 306)
Exhibit G - Questionnaire for Public Trust Positions (Standard Form 85P)
Exhibit H - Sample of Fingerprint Card
Exhibit I - Contractor Personnel Rollover Request Form
Exhibit J - Sample Fulfillment Task Order*
Exhibit K - Sample Replenishment Task Order*
Exhibit L - Inventory Update File Template*
Exhibit M - Replenishment Status Update File Template*
Exhibit N - Fulfillment Status Update File Template*
Exhibit O - Packing Slip Template
Exhibit P - Initial 90-Day Inventory of Printed Stock Report*
Exhibit Q - Initial Stock Retrieval Report*
Exhibit R - Printed Items Specification data table*
Exhibit S - Yellow Label for Customer Random Copies
*These exhibits were originally in MS Excel and are available in that format upon request.
Identification markings such as register marks, commercial identification marks of any kind, etc., except GPO imprint, form number, and revision date, carried in the furnished electronic files, camera copy, or negatives, must not print on the finished product.
CONTRACTOR TO FURNISH: All materials and operations, other than those listed under "GOVERNMENT TO FURNISH," necessary to produce the products in accordance with these specifications.
The contractor must be able to accept files electronically via a contractor-hosted SFTP server. Appropriate log-on instructions and protocol must be provided at time of award. The SFTP site must have incoming and outgoing folders for transmission data and a proofing folder for the furnished electronic files and proofs. The incoming data files will be in Excel format and must be removed immediately upon receipt. Contractor's SFTP site must be available 24 hours a day, seven (7) days a week.
WORK PERFORMANCE TEST (Preproduction Test):
The purpose of this test is to determine if the end-to-end operations of the contractor's fulfillment workflow will meet the needs of SSA. This test will cover the receiving and processing of a test fulfillment task order, processing of data, fulfillment of SSA customer orders (picking, packing, and staging for shipment) in the fulfillment task order, and response to SSA with Fulfillment Status Update and Inventory Update files.
The contractor will be required to stock a predetermined portion of the initial inventory in order to perform the Work Performance Test. Once the pre-determined portion of the initial production of the products (as specified on the print order) is complete, the contractor will be required to demonstrate their ability to receive and generate data requirements from furnished data received via the contractor-hosted SFTP by completing a work performance test.
The contractor will be required to provide an inventory report prior to the work performance test to show inventory on hand prior to the test.
The contractor will be required to receive a test fulfillment task order file and prepare mock SSA customer orders (gathering and packing required items for fulfillment) from the file for shipping as described in these specifications as if they were in production mode. All elements of production are to be performed, including output of the Fulfillment Status Update File, and Inventory Update File. The only exception of this test is that the contractor will not actually ship orders, but will instead unpack and restock items once the test is complete.
At the end of the test, the contractor will provide SSA a Fulfillment Status Update file as well as an Inventory Report to show that all orders were completed, and the inventory levels had changed due to fulfillment. The contractor will then restock the test materials and apply the volumes back to their inventory.
Contractor must complete the test within three (3) workdays of receipt of furnished test fulfillment task order file.
NOTE: SSA will be on site for the test.
The Government will approve, conditionally approve, or disapprove the test the SAME day as the test occurs. Approval or conditional approval shall not relieve the contractor from complying with the specifications and all other terms and conditions of the contract. A conditional approval shall state any further action required by the contractor. A notice of disapproval shall state the reasons therefore.
If the test is disapproved by the Government, the Government, at its option, may require the contractor to perform an additional test, or just the failed portion of the test, in the time and under the terms and conditions specified in the notice of rejection. This additional test shall be at no additional cost to the Government. The Government will require the time specified above to inspect and test any additional samples required.
In the event that the second test is disapproved by the Government, the contractor shall be deemed to have failed to make delivery within the meaning of the default clause in which event this contract shall be subject to termination for default, provided however, that the failure of the Government to terminate the contract for default in such event shall not relieve the contractor of the responsibility to deliver the contract quantities in accordance with the shipping schedule.
730-S (R-1) (09/21)
In the event the Government fails to approve, conditionally approve, or disapprove the test within the time specified, the Contracting Officer shall automatically extend the shipping schedule in accordance with article 12 "Notice of Compliance with Schedules" of contract clauses in GPO Contract Terms (GPO Publication 310.2, effective December 1, 1987 (Rev. 01-18)).
All costs, including the costs of the test, shall be included in the contract price for the production and fulfillment quantity. The test shall be performed at the facilities in which the contract production quantities are to be stocked and fulfillment processed.
Daily Update Files: The following update files must be provided daily (Monday through Friday) to SSA by 7:00 a.m., EST:
Daily Fulfillment Status Update files (See Exhibit N) –
[x] The file format for Daily Fulfillment Status Updates must be Excel ".xls."
[x] The purpose of the Daily Fulfillment Status Update file is to provide information back to SSA on the previous day's fulfillments.
[x] The file will contain information on fulfillment items that were fulfilled, placed on back order, and cancelled the previous workday.
[x] The Daily Fulfillment Status Update files will follow a standard format (see Exhibit N).
[x] The contractor will be notified 20 workdays in advance of any file format changes.
[x] Example of Excel Format Name: "StatusUpdate_Fulfillment_YYYY-MM-DD.xls" (YYYY-MM-DD will be replaced with the actual date the file is being provided on.)
[x] These files will be transmitted to SSA via SFTP.
Daily Replenishment Status Update files (See Exhibit M) –
[x] The file format for Daily Replenishment Status Updates must be Excel ".xls."
[x] The purpose of the Daily Replenishment Status Update file is to provide information back to SSA on completed replenishment requests. For example SSA submits a replenishment request via the replenishment task order. Contractor either prints or receives the stock into inventory. The following day's daily Replenishment Status Update file will contain the replenished items.
[x] The file will contain information on Replenishment items that were both printed and received the previous workday.
[x] The daily Replenishment Status Update files will follow a standard format (see Exhibit M).
[x] The contractor will be notified 20 workdays in advance of any file format changes.
[x] Example of Excel Format Name: "StatusUpdate_replenishment_YYYY-MM-DD.xls" (YYYY-MM-DD will be replaced with the actual date the file is being provided on.)
[x] These files will be transmitted to SSA via SFTP.
Daily Inventory Update Files (See Exhibit L) –
[x] The file format for Daily Inventory Updates must be Excel ".xls."
[x] The purpose of the Daily Inventory Updates is to provide information back to SSA on the current volume of each item stocked for fulfillment.
[x] Any item that is on back order must be reported as a negative value to show that backorders are being collected for later fulfillment.
[x] The Daily Inventory Update will follow a standard format (see Exhibit L).
730-S (R-1) (09/21)
[x] The contractor will be notified 20 workdays in advance of any file format changes.
[x] Example of Excel Format Name: "StatusUpdate_InventoryReport_YYYY-MM-DD.xls" (YYYY-MM-DD will be replaced with the actional date the file is being provided on.)
[x] These files will be transmitted to SSA via SFTP.
CONTRACT START-UP AND TRANSFER OF INVENTORY:
Contractor will be responsible for the pickup of materials to be placed in the contractor's inventory for fulfillment of orders. (See "GOVERNMENT TO FURNISH, Furnished Inventory.")
Immediately after award, the contractor must contact the ordering agency to make arrangements for the transfer of materials from one address in Baltimore, MD, to the contractor's facility. The contractor will be reimbursed for all shipping costs by submitting all shipping receipts with the billing invoice.
ELECTRONIC PREPRESS (Orders Produced by Contractor): Prior to image processing, the contractor shall perform a basic check (preflight) of the furnished media and publishing files to assure correct output of the required reproduction image. The preflight must identify any problem areas with digital file submission, to include but not is not limited to, missing or damaged fonts, damaged discs, missing bleeds, improper trim size, and/or improper color definition. Any errors, media damage, or data corruption that might interfere with proper file image processing must be reported to: Matthew Thomas at (410) 965- 9620.
The contractor shall create or alter any necessary trapping, set proper screen angles and screen frequency, and define file output selection for the imaging device being utilized. Furnished files must be imaged as necessary to meet the assigned quality level.
All halftones are to be 150-line screen or finer.
For all orders issued for production by the contractor and camera copy and/or negatives are furnished, the contractor must scan the camera copy and/or negatives to a PDF file. (See "Digital Deliverables" below.)
When required by the Government, the contractor shall make minor revisions to the electronic files. It is anticipated that the Government will make all major revisions.
Prior to making revisions, contractor shall copy the furnished files and make all changes to the copy.
Digital Deliverables: For products for which any camera copy or negatives are furnished, or when the contractor makes a change to a furnished electronic file, the contractor must furnish a final Adobe Acrobat Portable Document Format (PDF) file of the Government furnished materials. The PDF must be an exact representation of the final printed product and shall be posted to the contractor-hosted SFTP site. The file name of the PDF should be the form/publication number. The PDF must be suitable for making press plates for subsequent reprinting without reformatting and must include any embedded fonts (must be press quality). The file created must be unlocked and OCR editable (by character, rule, and graphic elements, as well as font, spacing, and format changes). The contractor must remove any crop marks, color bars, specification bars, grayscales, slug lines, cross hairs, etc. If applicable, shading must comply with specification provided.
PROOFS:
NOTE: SSA uses many of the same publications and forms in several of its print contracts. To reduce the proofing requirements for any revisions, if it is determined after award that the awarded contractor is responsible for the production of any other SSA workloads containing the same publications and/or forms required for this program, then the revisions may be proofed using one of the other programs.
Once SSA provides an "O.K. to Print" on the initial proofs for an item, that approved proof will be the standard for all orders requiring production of that particular item. Should a new items be added, a proof of the new items will be required. Should any changes be made to an item (updated version, etc.), SSA will provide new copy, and a new proof will be required. (See "NEW AND UPDATED PRODUCTS.")
For Contractor Produced Products:
[x] When ordered, three (3) sets of digital color content proofs of the entire product. Direct to plate must be used to produce the final product with a minimum of 2400 x 2400 dpi. Proofs must be created using the same Raster Image Processor (RIP) that will be used to produce the product. Proofs shall be collated with all elements in proper position (not pasted up), imaged face and back, trimmed, and folded to the finished size of the product.
[x] When ordered, one (1) press quality PDF soft proof (for content only) using the same Raster Image Processor (RIP) that will be used to produce the final printed product. PDF proof will be evaluated for text flow, image position, and color breaks. Proof will not be used for color match.
If any contractor's errors are serious enough in the opinion of the GPO to require revised proofs, the revised proofs are to be provided at no expense to the Government. No extra time can be allowed for this reproofing; such operations must be accomplished within the original production schedule allotted in the specifications.
The contractor must not print prior to receipt of an "O.K. to Print."
NEW AND UPDATED PRODUCTS: Throughout the life of the contract, SSA will update items and add new items to be produced by the contractor. Requests to update current items and addition of new items will be submitted to the contractor via email.
When the contractor is required to update an item, proofs will be required in accordance with the requirements as specified under "PROOFS." Updated proofing will be billed against the next available replenishment print order once the contractor receives the "O.K. to Print" from SSA.
If a product is updated and contains a disposition instruction to "Destroy Old Stock," then the contractor will remove and destroy all old edition dated material upon receipt of the "O.K. to Print" of the new edition. Upon destruction of the outdated stock, the contractor will report a zero (0) inventory of the item in the next day's inventory report. The contractor will begin back ordering the item until SSA issues a replenishment for the item.
If a product is updated and contains a disposition instruction to "Use Prior Edition," then the contractor will use up the current edition of the materials. Once a replenishment for the item is requested, the contractor will only print the newest edition of the material.
STOCK/PAPER: The specifications of all paper furnished must be in accordance with those listed herein or listed for the corresponding JCP Code numbers in the "Government Paper Specification Standards No. 13" dated September 2019.
Government Paper Specification Standards No. 13 - https://www.gpo.gov/docs/default-source/forms-andstandards-files-for-vendors/vol_13.pdf.
Color of paper furnished will be of a uniform shade and a close match by visual inspection of the JCP and/or attached color sample(s). The Contracting Officer reserves the right to reject shipments of any order printed on paper the color of which, in their opinion, materially differs from that of the color sample(s) specified.
SSA Printing, Receiving, and Fulfillment Program 730-S (R-1) (09/21)
All paper used in each copy must be of a uniform shade. Color of paper should remain consistent between different print runs throughout the term of the contract. All cover paper must have the grain parallel to the spine.
The paper to be used for each printed product will be indicated on the furnished specification spreadsheet provided (see Exhibit R). As items are added, a revised specification spreadsheet will be provided.
Cut Sheet Forms (Formats A through D):
White Writing, basis weight: 16 lbs. per 500 sheets, 17 x 22", equal to JCP Code D10.
White, Blue, Buff, Green, Pink, Salmon, and Yellow Writing, basis weight: 20 lbs. per 500 sheets, 17 x 22", equal to JCP Code D10.
White, Blue, Buff, Green, Pink, Salmon, and Yellow Ledger, basis weight: 44 lbs. per 500 sheets, 17 x 22", equal to JCP Code J10; or, at contractor's option, Index, basis weight: 90 lbs. per 500 sheets, 25-1/2 x 30-1/2", equal to JCP Code K10.
Booklet Forms (Format E):
White Writing, basis weight: 20 lbs. per 500 sheets, 17 x 22", equal to JCP Code D10; or, at contractor's option, White Uncoated Text, basis weight: 50 lbs. per 500 sheets, 25 x 38", equal to JCP Code A60.
Blue, Buff, Green, Pink, Salmon, and Yellow Writing, basis weight: 20 lbs. per 500 sheets, 17 x 22", equal to JCP Code D10; or, at contractor's option, Uncoated Colored Text, basis weight: 50 lbs. per 500 sheets, 25 x 38", equal to JCP Code A63.
Fact Sheet Publications (Format F):
White Uncoated Text, basis weight: 60 lbs. per 500 sheets, 25 x 38", equal to JCP Code A60.
Multi-Part Forms (Format G):
Carbonless Bond Paper: All chemical transfer bond paper must be of sufficient density and graded sensitivity to ensure clear, legible copies on all parts when forms are filled in by any impact typewriter or ballpoint pen. Entries made with ballpoint and felt tip pens will be clear and free from excessive feathering.
The colors of the Carbonless Bond Paper that may be ordered are White, Blue, Buff, Green, Pink, Canary, and Goldenrod. Color may be produced by pulp dyeing or surface tinting, at contractor's option.
Carbonless Bond, CFB, basis weight: 13-17 lbs. per 500 sheets, 17 x 22", equal to JCP Code O-80.
Carbonless Bond, CB, CF, basis weight: 13-15 lbs. per 500 sheets, 17 x 22", equal to JCP Code O-80.
Leaflet Publications (Formats H through M):
White Uncoated Text, basis weight: 60 lbs. per 500 sheets, 25 x 38", equal to JCP Code A60.
Booklet Publications (Formats N and O):
White Uncoated Text, basis weight: 60 lbs. per 500 sheets, 25 x 38", equal to JCP Code A60.
PRINTING:
Cut Sheet Forms (Formats A through D): Print face only or face and back, head-to-head or head-to-side, in one ink color. Some forms may contain a screen tint.
Booklet Forms (Format E): Print head-to-head, head-to-foot, or head-to-side, as required, in a single ink color.
Fact Sheet Publications (Format F): Print face only or face and back, head-to-head in two ink colors. Match Pantone number as indicated on the GPO Form 952 provided with each fact sheet.
Multi-Part Forms (Format G): Print face only or face and back, as ordered in black ink. Some orders may require printing on the back of certain parts, but not all parts of the form. Copy designations (part-to-part changes) may be required and printed in black or red ink.
NOTE: Crash Printing is not acceptable. The printing on each part must be properly aligned so that the printing on each form will register when the forms are gathered into sets. The forms on all parts must register within 1/32".
Leaflet Publications (Formats H through M): Print face and back in two ink colors. Match Pantone number as indicated on the GPO Form 952 provided with each leaflet. Contractor may be required to create a graduation of a two-color blend on the front panel only. Contractor may be required to separate cover art if cover has a silhouette. Leaflets may contain halftones.
Booklet Publications (Formats N and O): Print head-to-head in two ink colors. Match Pantone number as indicated on the GPO Form 952 provided with each pamphlet. Bleed pages scattered throughout.
PRESS SHEET INSPECTION: Final makeready press sheets may be inspected and approved at the contractor's plant for the purpose of establishing specified standards for use during the actual press run. Upon approval of the sheets, contractor is charged with maintaining those standards throughout the press run (within QATAP tolerances when applicable) and with discarding all makeready sheets that preceded approval. When a press sheet inspection is required, it will be specified on the individual print order. See GPO Publication 315.3 (Guidelines for Contractors Holding Press Sheet Inspections) issued January 2015. NOTE: A press sheet inspection is for the purpose of setting specific standards that are to be maintained throughout the entire run. It does not constitute a prior approval of the entire run.
Press sheets must contain control bars for each color of ink on the sheet. Control bars must be placed parallel to the press's ink rollers. The control bars (such as BRUNNER, GATF, GRETAG, or RIT) must show areas consisting of 1/8 x 1/8" minimum solid color patches; tint patches of 25, 50, and 75%; dot gain scale; and gray balance patches for process color (if applicable). These areas must be repeated across the entire press sheet.
Viewing Light: Press sheets will be viewed under controlled conditions with 5000 degrees Kelvin overhead luminaries. The viewing conditions must conform to ISO 3664-2009; a viewing booth under controlled conditions with 5000 degrees Kelvin overhead luminaries with neutral gray surroundings must be provided.
MARGINS: Unless otherwise specified, margins will be as indicated on the GPO Form 952 or specified for each form product.
BINDING AND CONSTRUCTION: Various binding and construction styles will be ordered as follows:
Cut Sheet Forms (Formats A through D): Trim four sides.
When ordered, fold using up to four folds (one or two parallel folds and up to two right angle folds).
When ordered, forms may require padding of 100 sheets per pad (see "PADDING" below).
SSA Printing, Receiving, and Fulfillment Program 730-S (R-1) (09/21)
Booklet Forms (Format E): Paste on fold and trim three sides or saddle-wire stitch in two places and trim three sides. Each product must contain complete four-page signatures after trimming. Single leaves connected with a lip (i.e., binding stub) to left of right of stitches will not be allowed.
Fact Sheet Publications (Format F): Trim four sides.
Multi-Part Forms (Format G): Apply adhesive to hold the sets together at the specified edge. Adhesive must provide sufficient strength to guarantee that the parts will remain together under normal handling and storage, but will permit ready separation without damage to the parts.
Leaflet Publications (Format H through M): Fold from flat size 7 x 8", 10-1/2 x 8", 14 x 8", 17-1/2 x 8", 21 x 8", or 24-1/2 x 8" (as ordered) down to 3-1/2 x 8" with up to six (6) wraparound folds, title out.
Booklet Publications (Formats N and O): Saddle-wire stitch in two places and trim three sides. Each product must contain complete four-page signatures after trimming. Single leave connected with a lip (i.e., binding stub) to left or right side of stitches is not allowed.
Perforating/Scoring: One or more perforations/scores, as ordered, may be required on approximately 40 percent of all cut sheet forms, booklet forms, and multi-part forms that are ordered.
Drilling: Drill two round holes, 1/4" or 9/32" in diameter, at the top, left, and/or right, through some or all parts as indicated. Holes are to be 2-3/4" center to center. Center of holes to be 3/8" from top edge of form on the top dimension (centered); or 3/8" in from left or right side of the product and centered.
Padding: Approximately 1/2 percent of the multi-part and cut-sheet forms printed by the contractor will require padding. Padded dimensions and the number of leaves per pad will be indicated on the specification spreadsheet for each product requiring padding. Gum and crash or any suitable padding compound may be used. Back pads with chipboard, newsboard, or equal backing (0.020" thick).
PRODUCTION INSPECTION: Production inspection(s) may be required at the contractor's plant for the purpose of establishing that the receipt of transmitted files, the gathering of product items, inserting, and shipping/mailing is being accomplished in accordance with contract quality attributes, requirements, and 100% accountability.
NOTE: A production inspection is for the purpose of setting specific standards that are to be maintained throughout the duration of the contract. When production inspection is required, the Government will notify the contractor.
PACKING:
Shrink-film wrap the specified quantity of each contractor-produced item as specified in the specification spreadsheet.
Contractor will be required to pack furnished inventory items in a variety of ways. SSA will identify the packing of each item in the initial stocking report as well as in the replenishment task orders.
Furnished mounted posters are to be packed flat in appropriately sized containers. Furnished un-mounted posters are to be packed flat in appropriately sized containers or rolled and inserted into tubes, at contractor's option.
Padded items are to be packed based on the number of pages in the pad. A completed pad will not be considered a single copy.
It is the contractor's responsibility to assure that the correct package material is inserted into each kraft envelope, shipping bag, shipping bundle, and shipping container.
SSA Printing, Receiving, and Fulfillment Program
730-S (R-1) (09/21)
All shipments which fill less than a shipping container must be packaged with materials of sufficient strength and durability and in such a manner, which will guarantee that the product will not be damaged and the package will not open nor split when processed through the U.S. mail system or small package carrier delivery system.
Gather the items for a specific order and pack as applicable below:
Single and multiple copies up to 200 total leaves (for all products) must be inserted into kraft envelopes.
Quantities over 200 leaves, up to 12 pounds, must be inserted into cushioned shipping bags or wrapped in shipping bundles (maximum gross weight 14 pounds).
Quantities over 12 pounds, up to 36 pounds, must be packed in shipping containers (maximum gross weight 40 pounds).
Contractor must insert a packing slip for each order listing the contents of the shipment and any items that may be out of stock at the time of initial fulfillment. (See Exhibit O.)
LABELING AND MARKING: It is the contractor's responsibility to assure the correct label is affixed to each shipment. An occasional order may require the outputting of multiple address labels to a single destination
Create and affix a recipient address label to each unit of mail packaged in kraft envelopes, shipping bags, shipping bundles, and shipping containers. At contractor's option, addresses may be imaged directly onto the kraft envelopes, shipping bags, shipping bundles, and shipping containers.
CUSTOMER RANDOM COPIES (YELLOW LABEL): All replenishment requests must be divided into equal sublots in accordance with the chart below. A random copy must be selected from each sublot. Do not choose copies from the same general area in each sublot.
The contractor will be required to execute a statement furnished by the agency certifying that copies were selected as directed. The random copies constitute a part of the total quantity ordered, and no additional charge will be allowed.
These randomly selected copies must be packed separately and identified by a special Government-furnished YELLOW LABEL, affixed to each affected container. The container and its contents shall be recorded separately on all shipping documents and sent in accordance with the distribution list to the address indicated.
The Replenishment Task Order Number and a signed Government-furnished certificate of selection must be included. (See Exhibit S for Certificate of Selection for Yellow Labels.)
All yellow labels will be shipped to: SSA, Attn: Matthew Thomas, 3-B-9-E Annex Building, 6401 Security Boulevard, Baltimore, MD 21235.
DEPARTMENTAL RANDOM COPIES (BLUE LABEL) (Replenishment Requests on Task Orders Only):
All requests must be divided into equal sublots in accordance with the chart below. A random copy must be selected from each sublot. Do not choose copies from the same general area in each sublot. The contractor will be required to certify that the copies were selected as directed using GPO Form 917 – Certificate of Selection of Random Copies which can be located on GPO.gov. The random copies constitute a part of the total quantity ordered, and no additional charge will be allowed.
These randomly selected copies must be packed separately and identified by a special label, GPO Form 2678 – Departmental Random Copies (Blue Label), which must be printed on blue paper and affixed to each affected container. This form can be downloaded from GPO.gov. The container and its contents shall be recorded separately on all shipping documents and sent to: SSA, Attn: Matthew Thomas, 3-B-9-E Annex Building, 6401 Security Boulevard, Baltimore, MD 21235.
The Replenishment Task Order and a signed Certificate of Selection of Random Copies must be included.
A copy of the signed Certificate of Selection of Random Copies must accompany the invoice sent to U.S. Government Publishing Office, Financial Management Services, for payment. Failure to furnish the certificate may result in delay in processing the invoice.
QUALITY ASSURANCE RANDOM COPIES: In addition to the Departmental Random Copies (Blue Label), the contractor may be required to submit quality assurance random copies to test for compliance against the specifications. The print order will indicate the number required, if any. When ordered, the contractor must divide the entire order into equal sublots and select a copy from a different general area of each sublot. The contractor will be required to certify that the copies were selected as directed using GPO Form 917 – Certificate of Selection of Random Copies which can be located on GPO.gov. Copies will be paid for at the running rate offered in the contractor's bid, and their cost will not be a consideration for award. A copy of the print order must be included with the samples.
Business Reply Mail labels will be furnished for mailing the quality assurance random copies. The copies are to be mailed at the same time as the first scheduled shipment. A U.S. Postal Service approved Certificate of Mailing, identified by GPO program, jacket, and print order numbers must be furnished with billing as evidence of mailing.
DISTRIBUTION (Fulfillment Orders): Mail/ship f.o.b. contractor's city to addresses nationwide, including Alaska, Hawaii, and the American Territories and Possessions.
The contractor will be required to mail/ship via USPS Priority Mail or Small Package Common Carrier (SPCC) via 3 rd Party or Prepaid Billing to as many as 1,400 destinations. SSA will determine the SPCC billing option (3 rd Party or Prepaid) and provide instructions after award.
Shipments to the 48 Contiguous States, Alaska, Hawaii, and Puerto Rico are to be shipped using SSA provided Small package Common Carrier (SPCC).
Shipments to U.S. Territories and Possessions of American Samoa, Federated States of Micronesia, Guam, Marshall Islands, Northern Mariana Islands, Palau, U.S. Virgin Islands, Wake Island, and USPS P.O. Boxes must be made by reimbursable U.S. Postal Service First Class/Priority Mail. The contractor will be reimbursed for all U.S. Postal Service shipping costs by submitting all shipping receipts with the invoice for billing.
USPS Priority Mail:
The contractor is responsible for all costs incurred in transporting this product to the post office.
Reimbursable USPS Priority Mail will be used when shipping to the aforementioned U.S. Territories and Possessions. The contractor will be required to mail to the aforementioned U.S. Territories and Possessions via USPS Priority Mail rates.
730-S (R-1) (09/21)
The contractor is required to prepare mail in accordance with appropriate USPS rules and regulations, including the USPS domestic Mail Manual (DMM), Postal bulletins, and other USPS rules and regulations in effect at the time of mailing.
Mail pieces addressed to these U.S. Territories and Possessions will mail by USPS "Priority Mail." The contractor may use "free of charge" USPS "Priority" flat rate mail envelopes, bags, bundles, and containers (as allowed for Priority Mail). Contractor is responsible for ensuring adequate supplies of these envelopes/containers are available at all times. Contractor must use these flat rate envelopes/containers appropriately (fill to capacity).
Contractor will be reimbursed for all Priority Mailing costs upon receipt of all mailing receipts with their billing invoice.
Small Package Common Carrier (SPCC):
Packages weighing over 13 ounces and up to and including 499 pounds are to be made by SPCC (NO mailing via USPS) except those destined for Post Office Boxes, APO/FPO addresses, and U.S. Possessions and Territories as specified above.
The Social Security Administration will provide the name of the small package common carrier. When the service of a small package common carrier is used, the contractor will be responsible for providing the carrier with the following:
1. All packages are addressed and sorted to meet the requirements of the small package common carrier. NOTE: Contractor may be required to apply special SPCC barcode labels.
2. Separate common carrier pickup record(s) for each print order. The contractor must annotate the pickup record(s) with the requisition number and the print order number.
3. A shipping manifest which includes:
a) Name of contractor, the requisition number, the print order number, and the common carrier account/shipper number.
b) A listing which includes each addressee's account number or office code (when provided on SSA supplies address labels), address, city state, zip code, common carrier deliver zone, weight, and package identification number (if applicable) of each package shipped to each address.
c) Listing grouped by pickup. Each group will be identified with the pickup record number. This number should correspond to the number on the form(s), which the contractor is required to obtain from the carrier for compliance purposes. The listing should be either account number or zip code order within each group.
d) Summary information for each group, including total number of packages, total weight, and total shipping cost.
The contractor will be required to ship via SPCC via 3 rd Party or Prepaid Billing. SSA will determine the SPCC billing option (3 rd Part or Prepaid) and provide instructions after award. The contractor is cautioned that SSA's SPCC account is for "Ground Services" only.
Within seven (7) workdays of completion of a print order/task order, contractor must email a PDF copy of their billing invoice to: email@example.com.
Upon completion of the contract, contractor must return furnished camera copy and negatives to: SSA, Attn: Matthew Thomas, 1368 Annex Building, Baltimore, MD 21235.
All expenses incidental to picking up and returning materials (when applicable), submitting proofs, and furnishing sample copies must be borne by the contractor.
SSA Printing, Receiving, and Fulfillment Program 730-S (R-1) (09/21)
SCHEDULE: Adherence to this schedule must be maintained. Contractor must not start production of any job prior to receipt of the individual print order (GPO Form 2511) or task order, as applicable.
Print orders/task orders will be furnished via contractor-hosted SFTP.
Furnished material (when applicable) and hard copy proofs must be picked up from and delivered to: SSA, Attn: Matthew Thomas, 1368 Annex Building, Baltimore, MD 21235.
When applicable, furnished electronic media and visuals must be returned with hard copy proofs.
When required, PDF proofs will be transferred to the agency via a contractor-provided secure site or email, as specified. Contractor to follow up with phone call confirming receipt. If emailing, the subject line of the email must include the Product ID number and "PROOF."
Initial Product Proofing Schedule:
The following schedule begins the workday after receipt of the furnished materials. The workday after receipt will be the first workday of the schedule.
[x] The contractor will submit PDF soft proofs for all products within 10 workdays of receipt of furnished materials.
[x] Proofs will be withheld no more than 10 workdays from their receipt at the ordering agency until changes/corrections/"O.K. to Print" are furnished to the contractor (either by SFTP or email). (NOTE: The first workday after receipt of proofs at the ordering agency is day one (1) of the hold time.)
[x] If required due to AA's, the contractor must submit revised proofs within five (5) workdays of receipt of marked-up proofs. (No additional time will be allowed due to printer's errors (PE's).)
[x] Revised proofs will be withheld no more than five (5) workdays from their receipt at the ordering agency until changes/corrections/"O.K. to Print" are furnished to the contractor (either by SFTP or email). (NOTE: The first workday after receipt of revised proofs at the ordering agency is day one (1) of the hold time.)
[x] The contractor will keep the furnished material on file for each item that receives an "O.K. to Print" to produce the initial 90-day volumes and fulfill future replenishments.
Proofing Schedule for New and Updated Items (Contractor-Produced)
:
Throughout the life of the contract, SSA will either update existing items or add new items. The contractor will receive requests for update and new materials via email and/or SFTP. The following schedule begins the workday after receipt of the request. The workday after receipt will be the first workday of the schedule.
[x] The contractor will submit PDF soft proofs for new and updated items within three (3) workdays of receipt of update request and furnished materials.
[x] Proofs will be withheld no more than three (3) workdays from their receipt at the ordering agency until changes/corrections/"O.K. to Print" are furnished to the contractor (either by SFTP or email). The first workday after receipt of proofs at the ordering agency is day one (1) of the hold time.
[x] If required due to AA's, the contractor must submit revised proofs within three (3) workdays of receipt of marked-up proofs. (No additional time will be allowed due to printer's errors (PE's).)
[x] Revised proofs will be withheld no more than three (3) workdays from their receipt at the ordering agency until changes/corrections/"O.K. to Print" are furnished to the contractor (either by SFTP or email). The first workday after receipt of revised proofs at the ordering agency is day one (1) of the hold time.
[x] The contractor will keep the most current furnished materials on file for each item that receives an "O.K. to Print" to fulfill future replenishments.
Production Schedule:
For the Initial Stocking of Items: The contractor must receive an "O.K. to Print" and cannot begin production of the 90-day volume until notified by SSA. The schedule will begin the workday after receipt of "O.K. to Print" by SSA. The workday after receipt will be the first workday of the schedule.
[x] The contractor will have 20 workdays to complete the production of the initial 90-day volume after being notified by SSA.
o Label each unit of issue with an inventory label.
o Stock the items for fulfillment.
o Notify SSA of the item's status via the Replenishment Status Update File.
For Replenishment Items: The schedule will begin the workday after receipt of a replenishment task order. The workday after receipt will be the first workday of the schedule.
[x] The contractor will have 15 workdays to complete the production of each replenishment.
o Label each unit of issue with an inventory label.
o Stock the items for fulfillment.
o Notify SSA of the item's status via the Replenishment Status Update File.
Receiving Schedule:
The contractor will have two (2) workdays after an item is received to complete these tasks. The workday after receipt of an item will be the first workday of the schedule.
[x] Inspect the quality of the received items and report any damages back to SSA.
[x] Label each unit of issue with an inventory label.
[x] Stock the items for fulfillment.
[x] Notify SSA of the item's status via the Replenishment Status Update File.
Fulfillment and Distribution Schedule:
The following schedule begins the SAME workday as receipt of fulfillment task order file; the same workday as receipt will be the first workday of the schedule.
[x] Fulfillment task order files will be transmitted on a daily basis, Tuesday through Saturday.
[x] The contractor must complete fulfillment and distribution within three (3) workdays of receipt of each fulfillment task order.
o Each order shipment will include a packing slip specifying what is included in the order shipment. Any item that is out of stock at the time of initial fulfillment will be listed on the packing slip as "Backorder."
o If an item is out of stock, the contractor must include the item in their Daily Fulfillment Status Update files as on Backorder (Indicated as "B" for Status: See Exhibit N). Reporting an out of stock item as Backorder within the three (3) workday period will constitute as timely.
Press Sheet or Production Inspection
The contractor must notify the U.S. GPO of the date and time the press sheet or production inspection can be performed. In order for proper arrangements to be made, notification must be given at least 72 hours prior to the inspection. Notify the U.S. Government Publishing Office, Quality Control for Published Products, Washington, DC 20401 at (202) 512-0542. Telephone calls will only be accepted between the hours of 8:00 a.m. and 2:00 p.m., prevailing Eastern Time, Monday through Friday. NOTE: See contract clauses, paragraph 14(e)(1), Inspections and Tests of GPO Contract Terms (GPO Publication 310.2, effective December 1, 1987 (Rev. 01-18)). NOTE: When supplies are not ready at the time specified by the contractor for inspection, the Contracting Officer may charge to the contractor the additional cost of the inspection.
The ship/deliver date indicated on the print order is the date ordered for shipping/mailing f.o.b. contractor's city must be delivered to the U.S. Postal Service or picked up by small package common carrier.
Unscheduled material such as shipping documents, receipts or instructions, delivery lists, labels, etc., will be furnished with each order or shortly thereafter. In the event such information is not received in due time, the contractor will not be relieved of any responsibility in meeting the shipping schedule because of failure to request such information.
For compliance reporting purposes, the contractor is to notify the U.S. Government Publishing Office of the date of shipment or delivery. Upon completion of each order, contractor must contact the Shared Support Services Compliance Section via email at firstname.lastname@example.org. Personnel receiving email will be unable to respond to questions of a technical nature or to transfer any inquiries.
DAILY FULFILLMENT STATUS UPDATE FILES: A fulfillment status update file will be created by the contractor at the end of each workday summarizing what was packaged and shipped, put on back order, or cancelled.
The report will be transmitted to SSA via SFTP Monday through Friday. If the contractor elects to fulfill orders on Saturday and Sunday, then those updates will be included on Monday evening's fulfillment status update file.
DAILY REPLENISHMENT STATUS UPDATE FILES: A replenishment status update file will be created by the contractor at the end of each workday summarizing what was printed and stocked, or received and stocked for fulfillment. The report will be transmitted to SSA via SFTP Monday through Friday. If the contractor elects to replenish items on Saturday and Sunday, then those updates will be included on Monday evening's fulfillment status update file.
DAILY INVENTORY REPORTS: An inventory update file will be created by the contractor at the end of the workday summarizing what the current inventory of each item on hand is. The Inventory Report will be created and sent at the same time each day.
STORAGE AND MAINTENANCE OF INVENTORY: Title of Government-furnished materials shall remain in the Government. The contractor shall maintain adequate property control records of all Government-furnished materials in accordance with industrial practices.
The contractor will be required to store items in a manner that provides protection from any type of damage from the elements.
The Government anticipates that approximately 53,000 cubic feet of space will be needed for the storage of inventory for: 1) start-up inventory furnished by SSA at the beginning of the contract; 2) inventory furnished by SSA throughout the term of the contract; and, 3) products produced by the contractor that go into inventory for later fulfillment.
Unless otherwise provided in this contract, the contractor, upon receipt and acceptance of any Governmentfurnished material, assumes the risk of, and shall be responsible for loss thereof, or damage thereto, except to the extent that such material is consumed in the performance of this contract.
The contractor will be responsible for counting/verifying products furnished for start-up inventory and anytime throughout the term of the contract. Contractor must notify the Government of any shortage within 24 hours of receipt thereof.
Controlled Storage Area: Temperature and humidity controlled storage area is required for sensitive fulfillment items. Items requiring controlled storage will be received items and not printed items. Sensitive items requiring controlled storage will be flagged in the Initial Receiving Stock Report (Exhibit P). An example of items requiring controlled storage are envelopes and decals. Storage location must maintain a threshold of 30 to 50% humidity and 65 to 75 degrees Fahrenheit.
ON-SITE INSPECTION OF STORAGE FACILITY: On a quarterly basis, the ordering agency will conduct an on-site inspection of the contractor's storage facility to ensure that the products (both contractor-produced and Government-furnished) are being stored and fulfilled in accordance with these specifications.
At any point in the contract, the inspections may occur more frequently (bi-monthly or monthly).
The purpose of the inspections will be for SSA to check the inventory levels and edition dates of products. Additionally, SSA will inspect the quality of the products in inventory (both Government-furnished and contractorproduced).
The contractor will be notified 48 hours in advance of the inspection; however, SSA may have an unannounced onsite inspection.
SECTION 3. – DETERMINATION OF AWARD
The Government will determine the lowest bid by applying the prices offered in the "SCHEDULE OF PRICES" to the following units of production which are the estimated requirements to produce one (1) year's production under this contract. These units do not constitute, nor are they to be construed as, a guarantee of the volume of work which may be ordered for a like period of time.
The determination of award estimates specified below are based on historical data. However, due to the current global pandemic, the contractor is put on notice that the estimated amounts of work anticipated on this contract may be significantly impacted during the first period of performance.
The following item designations correspond to those listed in the "SCHEDULE OF PRICES."
II. 13. (a)
14. (a)
15. (a)
III. 1. (a)
(b)
(c)
(d)
2. (a)
(b)
(c)
(d)
(e)
3. (a)
4. (a)
(b)
5. (a)
(b)
6. (a)
7. (a)
(b)
(c)
(d)
8. (a)
9. (a)
10. (a)
11. (a)
12. (a)
(1)
12
976
2,656
7
7
1
7
1
953
2
170
1
46
4,240
761
822
1,782
4,365
125
90
45
61
1,721
1,999
1,097
1,227
20
13. (a) 115
14. (a) 18,445
15. (a) 45,117
(2)
115
36,890
90,234
SSA Printing, Receiving, and Fulfillment Program 730-S (R-1) (09/21)
IV. (a) (1)
38
(2)
(b)
(c)
(d)
(e)
(f)
(g)
V. (a)
(b)
(c)
6,515
2,882
5,588
170
412,000
12
12,500
1,100
9,300
33,550
THIS PAGE IS INTENTIONALLY BLANK.
SECTION 4. – SCHEDULE OF PRICES
Bids offered are f.o.b. contractor's city.
Prices must include the cost of all required materials and operations for each item listed in accordance with these specifications.
Bidder must make an entry in each of the spaces provided. Bids submitted with any obliteration, revision, or alteration of the order and manner of submitting bids may be declared non-responsive.
An entry of NC (No Charge) shall be entered if bidder intends to furnish individual items at no charge to the Government. Bids submitted with NB (No Bid), NA (Not Applicable), or blank spaces for an item may be declared non-responsive.
The Contracting Officer reserves the right to reject any offer that contains prices for individual items of production (whether or not such items are included in the DETERMINATION OF AWARD) that are inconsistent or unrealistic in regard to other prices in the same offer or to GPO prices for the same operation if such action would be in the best interest of the Government.
All invoices submitted to the GPO shall be based on the most economical method of production. Fractional parts of 1,000 will be prorated at the per-1,000 rate.
Contractor's billing invoice must be itemized in accordance with the line items in the "SCHEDULE OF PRICES."
Formats E, N, and O: A charge will be allowed for each text page of a single-color product, whether printed or blank. Unless otherwise specified, no more than three blank pages may be permitted at the end of the text for saddle-stitched products.
Cost of all required paper must be charged under Item III. "PAPER."
I. PREPRESS OPERATIONS:
Over
Over
8-1/2 x 11"
17 x 11"
Up to and including 8-1/2 x 11” (1)
up to and
up to and
including
including
17 x 11"
25-1/2 x 11"
(2)
(3)
(a) Digital color content proof ............................ per trim/page-size unit ......... $___________ $___________ $___________
(b) PDF Soft Proof (Any Size Product) .................................................................... per file ...... $___________
(c) System Timework .............................................................................................. per hour ...... $___________
Electronic prepress operations that cannot be properly classified under any other item will be charged as “System Timework.” Any charge made under “System Timework” must be supported by a statement outlining in detail the operation for which payment is claimed. In case of dispute, the contracting officer reserves the right to be the final judge as to the operations and/or number of hours chargeable under Item I.(c).
_______________
(Initials)
II. PRINTING AND BINDING: Prices offered shall include the cost of all required materials and operations (minus paper) necessary for the printing and binding of the product listed in accordance with these specifications.
_______________
(Initials)
Makeready and/or Setup
Running Per
1,000 Copies
(Initials)
Makeready
Running Per and/or Setup
1,000 Copies
(1)
(2)
12. Format L (21 x 8" flat):
(a) Leaflet Publications:
Printing face and back in two ink colors,
including binding .................................................... per leaflet ...... $___________
$___________
13. Format M (24-1/2 x 8" flat):
(a) Leaflet Publications:
Printing face and back in two ink colors,
including binding .................................................... per leaflet ...... $___________
$___________
14. Format N (3-1/2 x 8"):
(a) Booklet Publications: Printing in two ink colors, including binding ....................................................... per page ...... $___________ $___________
15. Format O (5-1/4 x 8"):
(a) Booklet Publications:
Printing in two ink colors,
including binding ....................................................... per page ...... $___________
$___________
III. PAPER: Payment for all paper supplied by the contractor under the terms of these specifications, as ordered on the individual print orders, will be based on the net number of leaves furnished for the product(s) ordered in the applicable trim-size group. The cost of any paper required for makeready or running spoilage must be included in the prices offered.
Computation of the net number of leaves will be based on the following:
Formats A through D (Cut Sheet Forms) - One basic charge will be allowed for each page-size leaf, as applicable to the format.
Format E (Booklet Forms) - One basic charge will be allowed for each page-size leaf.
Format F (Fact Sheets) - One basic charge will be allowed for each page-size leaf.
Format G (Multi-Part Forms) - One basic charge will be allowed for each page-size leaf.
Formats H through M (Leaflet Publications) – One basic charge will be allowed for each page-size leaf (flat size), as applicable to the format.
Formats N and O (Booklet Publications) – One basic charge will be allowed for each page-size leaf, as applicable to the format.
_______________
(Initials)
Per 1,000 Leaves
1. Format A (Up to and including 5-1/2 x 8-1/2" (flat)):
_______________
(Initials)
Per 1,000 Leaves
7. Format G (8-1/2 x 11"):
_______________
(Initials)
IV. ADDITIONAL OPERATIONS:
NOTE: Cost submitted for line item IV.(f) must include the cost for the labeling and stocking of items, both Government-furnished and contractor-produced.
(a) Perforating/Scoring:
(1) Makeready and/or Setup (each perforation or score): .................................. per line ...... $___________
(2) Running (Maximum 3 lines per run) ............................................. per 1,000 leaves ...... $___________
(b) Drilling ................................................................................................. per 1,000 leaves ...... $___________
(c) Formats A through D: Additional folding (up to two folds; parallel or right angle folds) ....... per 1,000 leaves ...... $___________
(d) Padding, including assembling leaves into pads, stacking, gum or gum/crash, backing, and slicing apart ....................... per 1,000 leaves ...... $___________
(e) Shrink-wrapping .......................................................................................... per package ...... $___________
(f) Storage of inventory ....................................................................................... per month ...... $___________
(g) Picking items for fulfillment ........................................ per individual fulfillment order ...... $___________
V. PACKING AND DISTRIBUTION: Prices offered must be all-inclusive, as applicable, and must include the cost of packing; all kraft envelopes, cushioned shipping bags, shipping bundles, and shipping containers; all necessary wrapping and packing materials; labeling and marking; and, complete distribution, in accordance with these specifications.
(a) Single or multiple copies in kraft envelope (up to 200 leaves) ............ per envelope ...... $___________
(b) Single or multiple copies over 200 leaves, up to 12 pounds, in cushioned shipping bags, or wrapped in shipping bundles (maximum gross weight 14 pounds) ............................................ per bag or bundle ...... $___________
(c) Quantities over 12 pounds, up to 36 pounds, packed in shipping containers maximum gross weight 40 pounds) .................................................... per container ...... $___________
LOCATION OF POST OFFICE: All mailing will be made from the __________________________________ Post Office located at Street Address _____________________________________________________________, City_____________________________, State___________________________, Zip Code__________________
_______________
(Initials)
SHIPMENTS: Shipments will be made from: City ________________________ State ____________________.
The city(ies) indicated above will be used for evaluation of transportation charges when shipment f.o.b. contractor’s city is specified. If no shipping point is indicated above, it will be deemed that the bidder has selected the city and state shown below in the address block, and the bid will be evaluated and the contract awarded on that basis. If shipment is not made from evaluation point, the contractor will be responsible for any additional shipping costs incurred.
DISCOUNTS: Discounts are offered for payment as follows: ___________ Percent ___________ Calendar Days. See Article 12 “Discounts” of Solicitations Provisions in GPO Contract Terms (Publication 310.2).
AMENDMENT(S): Bidder hereby acknowledges amendment(s) number(ed) ____________________________.
BID ACCEPTANCE PERIOD: In compliance with the above, the undersigned agree, if this bid is accepted within ____________ calendar days (60 calendar days unless a different period is inserted by the bidder) from the date for receipt of bids, to furnish the specified items at the price set opposite each item, delivered at the designated point(s), in exact accordance with specifications. NOTE: Failure to provide a 60-day bid acceptance period may result in expiration of the bid prior to award.
BIDDER’S NAME AND SIGNATURE: Unless specific written exception is taken, the bidder, by signing and submitting a bid, agrees with and accepts responsibility for all certifications and representations as required by the solicitation and GPO Contract Terms – Publication 310.2. When responding by email, fill out and return one copy of all pages in “SECTION 4. – SCHEDULE OF PRICES,” including initialing/signing where indicated. Valid electronic signatures will be accepted in accordance with the Uniform Electronic Transactions Act, §2. Electronic signatures must be verifiable of the person authorized by the company to sign bids. Failure to sign the signature block below may result in the bid being declared non-responsive.
Bidder _____________________________________________________________________________________ (Contractor’s Name) (GPO Contractor’s Code) ___________________________________________________________________________________________ (Street Address) ___________________________________________________________________________________________ (City – State – Zip Code) By ________________________________________________________________________________________ (Printed Name, Signature, and Title of Person Authorized to Sign this Bid) (Date) ___________________________________________________________________________________________ (Person to be Contacted) (Telephone Number) ___________________________________________________________________________________________ (Email) (Fax Number) ___________________________________________________________________________________________
THIS SECTION FOR GPO USE ONLY
Certified by: __________ Date: __________ Contracting Officer: __________ Date: __________
(Initials)
(Initials)
___________________________________________________________________________________________
|
IN THE UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF ILLINOIS EASTERN DIVISION
CEZARY WOJCIK,
Plaintiff,
v.
COUNTY OF COOK, PAUL
SKRIVAN, DAWN HOWELL,
REBECCA MASI, DRUCILLA
KILGORE individually, SHERIFF'S
DEPUTY KALOUDIS, SHERIFF'S
DEPUTY ALI, and COOK COUNTY
SHERIFF THOMAS DART, in his
official capacity,
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
No. 14-CV-4854
Judge John J. Tharp, Jr.
Defendants.
MEMORANDUM OPINION AND ORDER
Plaintiff Cezary Wojcik, also known as Anthony Avado, alleges that the defendants were deliberately indifferent to his serious medical needs during his four-day incarceration at the Cook County Jail ("CCJ") in June 2013. A Cook County judge had ordered that Wojcik serve his term of incarceration at Cermak Memorial Hospital ("Cermak") and receive certain prescription medications while incarcerated. It is undisputed that the judge's order was not implemented, but the evidence of record does not establish that any defendant named in this suit was responsible for that failure, much less that any defendant violated the Constitution by failing to see that the order was carried out. Accordingly, the defendants' motion for summary judgment is granted.
BACKGROUND
1
On June 27, 2013, Cook County Circuit Judge Sharon Sullivan sentenced Wojcik to serve four
2
days of incarceration at the Cermak Memorial Hospital ("Cermak") on a DUI conviction.
Judge Sullivan attached to the sentencing order (also, "mittimus") a letter from a medical doctor listing the medications that Wojcik was then taking and ordered “that during his incarceration,
Anthony Avado a/k/a Cezary Wojcik is to be administered the medications listed on the attached letter as per the orders of Jerry A. Jakimiec, M.D.” Defs.’ Statement of Facts (“DSOF”) Ex. B
Wojcik Dep. Ex. 2, Order & Letter from Jerry A. Jakimiec, M.D., ECF No. 129-3 (capitalization omitted). These medications consisted of: Alprazolam (Xanax), Clonazepam, Depakote ER,
Prozac, Mysoline, and Norvace. Defendant Sheriff's Deputy Steve Kaloudis processed Wojcik at the courthouse and placed Judge Sullivan’s order with the doctor’s letter in a plastic bag along
with Wojcik's other property. Wojcik was not allowed to personally carry the plastic bag with him to CCJ, but the plastic bag was processed by CCJ and held there until Wojcik was released on June
30.
Defendant Sheriff's Deputy Ali is one of the transport officers who drove Wojcik from the courthouse to CCJ. Wojcik contends that he was handcuffed with no safety belt and broke his back
during the bus ride to CCJ. To support the contention that he broke his back, Wojcik cites to non- pertinent paragraphs of the amended complaint; a doctor’s note that says Wojcik reported that he
was having constant low back pain after he fell when a bus suddenly stopped, but that mentions no broken bone; and X-rays, at least one of which appears to be from 2018 (nearly five years after
1
Because this is the defendants' motion for summary judgment, the Court construes all facts and draws all reasonable inferences in the light most favorable to Wojcik.
See Alexander v.
Casino Queen, Inc. , 739 F.3d 972, 977 (7th Cir. 2014).
2
Wojcik was originally sentenced to ten days, but his sentence was reduced to four days after accounting for good time credit and credit for time served.
the incident), unsupported by any medical interpretation of those X-rays. Wojcik does not allege or provide evidence that Ali or any other defendant knew he had fallen in the bus and injured his back.
Wojcik was using the alias "Anthony Avado" during his June 2013 incarceration at CCJ. But Wojcik claims that "[a]rriving at intake CCJ [he] stated [his] name as Cezary Wojcik and complained to the officer about [his] court order and health issues and concerns." Pl.'s Statement of Additional Facts ("PSOF") 3 ¶ 4, ECF No. 138. Wojcik does not, however, allege to whom he voiced his health issues and concerns, to whom he mentioned his court order, or to whom he stated his name as Cezary Wojcik. On June 27, the date of his arrival, and the next day, June 28, Wojcik was seen by the four individual CCJ defendants: Nurse Drucilla Kilgore, Rebecca Masi, 4 Physician Assistant Paul Skrivan, and Nurse Dawn Howell.
Nurse Kilgore performed Wojcik/Avado's 5 initial intake screening. Wojcik/Avado reported to Kilgore that he had a history of seizures, hypertension, and heart problems including irregular heartbeat. Kilgore noted that Wojcik/Avado "appeared normal" and that his vital signs
3 Wojcik did not support his Statement of Additional Facts with an affidavit. But because Wojcik declared under penalty of perjury that the factual assertions in his statement of facts and in his opposition statement (both at ECF No. 138) are true, and because a "document filed pro se is to be liberally construed," Erickson v. Pardus, 551 U.S. 89, 94 (2007) (internal quotation marks and citation omitted), the Court treats those factual assertions as if they were set forth in an affidavit from Wojcik. See Sealed Plaintiff v. Sealed Defendant # 1, 537 F.3d 185, 191 (2d Cir. 2008) ("[The obligation to construe pleadings of pro se litigants liberally] entails, at the very least, a permissive application of the rules governing the form of pleadings.").
4 The defendants assert that Rebecca Masi is a mental health specialist, but Wojcik contests that assertion as not reflected in the record. Pl.'s Resp. to DSOF ¶ 20, ECF No. 138. Resolution of this dispute is not material to the Court's ruling.
5 The defendants recorded Wojcik's name as Avado throughout his medical screening. Where a defendant identified the plaintiff by name, this opinion will use "Wojcik/Avado" to indicate that the defendant understood the plaintiff's name to be Avado at the time of their encounter with him.
were stable. Defs.' Statement of Facts ("DSOF") ¶ 17, ECF No. 129. 6 Kilgore also noted that Wojcik/Avado took medication for Parkinson's disease and Alzheimer's disease, and Wojcik/Avado recalls telling someone when he was being processed that he had Parkinson's and Alzheimer's. Pl.'s Resp. to DSOF ¶ 19, ECF No. 138. Kilgore's intake summary reflects that, at the outset of the assessment, Wojcik denied that he had ever been treated for mental health issues or prescribed medications for mental health problems. Several pages later, however, the intake report reflects that Wojcik/Avado's "current medication list" included "Psych Meds, Other: MEDS FOR PARKINSON, ALHEIMER." [sic]. DSOF Ex. D, SAO WOJCIK 00009, ECF No. 129-5. Wojcik/Avado does not allege, and the intake form does not reflect, that he told Kilgore about Judge Sullivan's order or the prescription list from his doctor. Because Wojcik/Avado indicated that he had previously been prescribed medications to address psychiatric problems, Kilgore referred Wojcik/Avado for a mental health assessment.
Defendant Masi performed the mental health assessment of Wojcik/Avado after Kilgore's initial screening. Wojcik/Avado claims that he "[a]dmitted to taking medications including Xanax 2 mg and Clonazepam 2 mg which was explained to Rebecca Masi that the documents were in a placed in sealed plastic bag with [his] clothes on June 27, 2013." PSOF ¶ 6 (grammatical errors preserved). Wojcik/Avado also "complained to Masi[] about experiencing a panic attack, confusion, palpitations, pounding of the heart, chest pain, discomfort, and anxiety." Id. ¶ 8. Masi noted that Wojcik/Avado said he had been prescribed Xanax and Clonazepam to be taken twice daily. Masi consulted a psychiatrist who checked the Illinois Controlled Substance Database to verify that Wojcik/Avado had the prescriptions he reported. The medications did not appear in the
6 Wojcik denies this fact but his denial fails to meet the substance of the statement; the cited exhibits do not contradict it.
database under "Anthony Avado," however, because they were listed under "Cezary Wojcik." (Wojcik does not allege or provide evidence that he told Masi that his name was Cezary Wojcik.) Before referring Wojcik/Avado back to the general population, Masi advised him that if his symptoms worsened before his follow-up appointment, he should fill out a Health Services Request Form.
Physician Assistant Skrivan performed another assessment of Wojcik/Avado shortly after Masi's. Wojcik/Avado told Skrivan that he took multiple medications but was unable to provide the names of those medications. Skrivan's assessment report describes Wojcik/Avado as a "poor historian" of his medical history, DSOF Ex. D, SAO WOJCIK 00014, 7 and that he attempted but was unable to verify Wojcik/Avado's prescriptions with Jewel's pharmacy; Skrivan also looked under the name "Avado" rather than "Wojcik." Skrivan noted that Wojcik/Avado did not appear to be in any distress but that his blood pressure was slightly elevated. Skrivan prescribed Wojcik/Avado with two blood pressure medications, Amlodipine and Propranolol, referred him for follow-up counseling regarding his medications, and marked the referral as urgent. Skrivan completed Wojcik/Avado's intake on June 27 and referred him to the medical infirmary for his housing assignment.
The next day, on June 28, Wojcik/Avado submitted the Health Services Request Form that Masi advised him to submit if his symptoms worsened. On that form, Wojcik/Avado hand wrote his name as "Anthony Avado"; the name "Cezary Wojcik" does not appear. Wojcik/Avado listed several medications he had taken the day before: Alprazolam, Clonazepam, Norvasc, Vicodin, and two other medications that are illegible. Nurse Howell responded to Wojcik/Avado's submission
7 For example: Wojcik, who had just been convicted and sentenced for driving under the influence, denied any history of alcohol use.
of the Health Services Request Form. Initially, Howell was unable to verify Wojcik/Avado's medication because it was listed under the name "Wojcik," but the medication was ultimately verified and needed to be delivered from the pharmacy. Wojcik/Avado also complained to Howell about back pain. Wojcik/Avado's medical records show that he was given Tylenol, but Wojcik, in his response to the defendants' statement of facts, denies being given Tylenol.
Also on June 28, Wojcik's attorney visited CCJ with Judge Sullivan's order and complained that Wojcik had been placed in the general population at CCJ rather than at Cermak. Wojcik does not allege to whom his attorney complained, or who his attorney made aware of Judge Sullivan's order. Wojcik contends that as a result of not receiving his prescribed medications, he experienced withdrawal symptoms, including heart and neurological problems that caused him to fall on a staircase at CCJ, resulting in injury to his back (which, he says, had already been broken during transport from the courthouse the day before) and knees and a "broken" hernia. PSOF ¶¶ 16, 25. Wojcik says that he was required to use the stairs even though there was an elevator nearby. Wojcik does not allege that any defendant was aware of this fall.
Wojcik did not seek medical attention at CCJ on June 29 or 30. When Avado was released from CCJ on June 30, however, he was experiencing shortness of breath, a racing heartbeat, and difficulty walking. After he was released, he took a taxi to Rush Hospital. Wojcik reported chest pain and shortness of breath at Rush, and his EKG performed there was abnormal, but Wojcik told his treating physician approximately two hours after arriving at Rush that he felt better.
Wojcik was again incarcerated at the CCJ several years later, in 2016, this time for 120 days. Pl.'s Opp'n to Def.'s Mot. for Summ. J. ¶ 1, ECF No. 138. 8 The judge in that case also
8
The defendants assert that this document, which is not authorized to be filed by the local rules, should be stricken for that reason and for its lack of relevance. The Court agrees that the
content of the document, which pertains almost entirely to events relating to Wojcik's subsequent
ordered that Wojcik be sent to Cermak. Id. In connection with his 2016 incarceration, Wojcik and his sentencing order were sent to Cermak, Wojcik was transported in a van for inmates with special needs, and Wojcik was given his prescription medication. Id. ¶¶ 1, 3, 5.
Wojcik, initially with retained counsel, brought suit alleging that the defendants were deliberately indifferent to his need for his prescription medications while he was incarcerated at CCJ from June 27 to 30, 2013. Wojcik's retained counsel filed both the initial complaint and the amended complaint but later filed a motion to withdraw citing irreconcilable differences, a breakdown in communications, and concerns about the viability of Wojcik's claims. This Court granted Wojcik's retained counsel's motion to withdraw contingent on their contacting Wojcik to inform him that he must find new counsel or enter a pro se appearance within 21 days. About two months later, Wojcik's retained counsel filed a status report reporting that Wojcik had not responded to attempts to contact him by certified mail, email, or phone. Wojcik then failed to appear at a status hearing the following month, and his counsel reported that they still had not received any response from Wojcik despite making every possible attempt to contact him. Magistrate Judge Kim then recommended that this Court dismiss the matter for failure to prosecute based on Wojcik's lack of cooperation with his attorneys and his failure to contact the court and comply with its orders.
Wojcik's retained counsel subsequently filed a letter with the Court explaining that Wojcik had just been released from prison, but that he had not informed his counsel the he would be going to jail in the near future. Wojcik appeared during the next status hearing and claimed that his counsel knew where he was going and how long he would be there. Wojcik was granted two incarceration at the CCJ in 2016, has no relevance to the claims in this case. It is not necessary to
strike the document from the record.
months to retain new counsel but was unable to retain replacement counsel. Wojcik subsequently filed a motion for attorney representation, which this Court granted. Appointed counsel moved to withdraw roughly two months after being appointed, reporting that they had diligently reviewed the record and had multiple conversations with Wojcik but could not go forward advancing Wojcik's claims consistent with their ethical obligations to the Court. This Court granted appointed counsel's motion to withdraw. Wojcik was granted another month to retain new counsel but filed another motion for attorney representation after he was unable to retain new counsel. In light of the inability of both retained and appointed counsel to continue asserting Wojcik's claims consistent with their ethical obligations, Wojcik's apparent lack of communication with his original counsel, and Wojcik's failure to explain why he was unable to proceed with this case on his own, this Court denied Wojcik's second motion for appointed counsel.
Wojcik alleges that Cook County Sheriff's deputies Kaloudis and Ali were deliberately indifferent to his serious medical needs by failing to ensure that his mittimus was properly delivered, and that CCJ defendants Kilgore, Masi, Skrivan, and Howell were deliberately indifferent to his serious medical needs by willfully disregarding his visible signs of distress and his medical needs as expressed in his mittimus. This Court previously granted in part the defendants' motion to dismiss Wojcik's amended complaint, dismissing Monell claims asserted against the County. See Mem. Op. and Order, ECF No. 37. The counts remaining in this case are Counts I–II, alleging that the individual Sheriff's deputy and CCJ defendants were deliberately indifferent to Wojcik's medical needs; Counts V–VI, alleging respondeat superior liability of Sheriff Dart and Cook County for wrongful conduct of the individual defendants committed within the scope of their employment; and Counts VII–VIII, alleging indemnification against Sheriff Dart and Cook County.
DISCUSSION
The defendants move for summary judgment, arguing that the effects of Wojcik not receiving his prescription medication did not rise to the level of a serious medical condition, that no defendant was deliberately indifferent to his serious medical needs, and that the Sheriff's deputy defendants are protected by qualified immunity. "Summary judgment is appropriate where there is no genuine issue as to any material fact and the moving party is entitled to judgment as a matter of law." Alexander v. Casino Queen, Inc., 739 F.3d 972, 977 (7th Cir. 2014). To show that a material fact is disputed, the party "must support the assertion by . . . citing to particular parts of materials in the record." Fed. R. Civ. P. 56(c)(1). Further, to show that there is a genuine fact issue, the party opposing summary judgment "must do more than simply show that there is some metaphysical doubt as to the material facts." Matsushita Elec. Indus. Co. v. Zenith Radio Corp., 475 U.S. 574, 586 (1986). "The mere existence of a scintilla of evidence in support of the plaintiff's position will be insufficient; there must be evidence on which the jury could reasonably find for the plaintiff." Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 250 (1986). Many of the fact disputes that Wojcik posits fail to satisfy these standards, others are irrelevant to his claim against the named defendants, and none (individually or collectively) would permit a reasonable jury to find in his favor.
The Eighth Amendment, as incorporated through the Fourteenth Amendment, imposes "a duty on states to provide adequate medical care to incarcerated individuals. Officials violate this duty if they display deliberate indifference to serious medical needs of prisoners." McGee v. Adams, 721 F.3d 474, 480 (7th Cir. 2013) (citations and internal quotation marks omitted). For Wojcik's claims to survive summary judgment, then, he must point to specific facts in the record that would allow a reasonable jury to conclude that both elements of a deliberate indifference claim have been satisfied. That is, Wojcik "must present evidence supporting the conclusion that he had an objectively serious medical need. A medical need is considered sufficiently serious if the inmate's condition has been diagnosed by a physician as mandating treatment or is so obvious that even a lay person would perceive the need for a doctor's attention." Id. Wojcik must also present evidence supporting a conclusion "that the defendants were aware of his serious medical need and were deliberately indifferent to it. Deliberate indifference is more than negligence and approaches intentional wrongdoing." Id. The state of mind required to establish deliberate indifference is "essentially a criminal recklessness standard, that is, ignoring a known risk. Even gross negligence is insufficient to impose constitutional liability" on the defendants. Id. at 481. To be liable for deliberate indifference, a defendant "must both be aware of the facts from which the inference could be drawn that a substantial risk of serious harm exists, and he must also draw that inference." Farmer v. Brennan, 511 U.S. 825, 837 (1994).
Here, although the evidence supports the existence of a serious medical need, 9 there is no evidence giving rise to a reasonable inference that any defendant knew about a significant risk to Wojcik's heath and deliberately or recklessly disregarded that risk. Wojcik alleges that deputies Kaloudis and Ali failed to present Wojcik's mittimus to officials at Cermak or to the individual CCJ defendants even though they knew about the mittimus and Wojcik's serious medical condition. See Am. Compl. ¶ 17, ECF No. 16 ("Defendant Kaloudis and/or Defendant Ali acted willfully and/or wantonly in failing to present plaintiff's mittimus to officials at Cermak Memorial Hospital notwithstanding their knowledge of the Court order and the plaintiff's serious medical condition as reflected in the court's mittimus.") (capitalization omitted); see also id. at ¶ 30
9 Wojcik had been prescribed six different medications to treat various conditions, and the state court judge ordered him to serve his sentence in a hospital, so the evidence is sufficient to support a finding that Wojcik suffered from serious medical needs that required ongoing treatment by means of the prescribed medication and hospitalization.
("While in the custody and care of one or more individual defendant Sheriff Deputies, one or more individual defendant Sheriff deputies failed to ensure plaintiff's mittimus reached the individual Cook County defendants.") (capitalization omitted). But to support this allegation, Wojcik offers nothing more than the facts that Kaloudis processed him at the courthouse and Ali transported him to CCJ. Wojcik has adduced no evidence that Kaloudis had any responsibility for transporting him, or the mittimus, to the CCJ or Cermak; so far as the record reflects, Kaloudis included the judge's order with Wojcik's property and the order went with him to the CCJ. See PSOF Ex. 2; see also Defs.' Resp. to PSOF ¶ 3, ECF No. 143. Kaloudis's involvement was over when Wojcik was taken from the courthouse.
As for Deputy Sheriff Ali, the evidence does not establish that he knew anything at all about Wojcik's medical condition or the judge's order. As with Kaloudis, no evidence has been offered to support the conclusion that Ali had any responsibility to ensure that the mittimus was delivered to Cermak or the individual CCJ defendants rather than to CCJ for processing. 10 Through Wojcik's opposition to summary judgment, he adds an allegation that he broke his back while Ali was transporting him to CCJ, 11 but he does not contend that Ali (or any other defendant) knew that he had injured his back during the bus ride. Accordingly, a reasonable jury could not conclude that either Deputy Kaloudis or Deputy Ali was deliberately indifferent to Wojcik's medical needs.
10 Further, Cermak is part of CCJ. Although Wojcik appears to dispute this, see Pl.'s Resp. to DSOF ¶ 6 ("The cited document says nothing about Cermark [sic] Hospital being on the ground [sic] of CCJ."), the Court can take judicial notice of that fact as it is not subject to reasonable dispute. See Orgone Capital III, LLC v. Daubenspeck, 912 F.3d 1039, 1048 (7th Cir. 2019); see also, e.g., https://www.inmateaid.com/visitation/cook-county-jail-ccdoc-cermak-hospital (providing visitation information for CCJ inmates housed at Cermak); https://www.jaildata.com/prison/cook-county-sheriff-jail-ccdoc-doc-cermak-hospital ("Cook County Sheriff Jail (CCDOC) – D.O.C. Cermak Hospital is a county jail facility").
11 The Amended Complaint makes no such allegation.
Wojcik alleges that he "attempted to inform one or more individual Cook County [Jail] defendants of his dire medical condition," Am. Compl. ¶ 22, ECF No. 16 (capitalization omitted), and that the individual Cook County defendants had "actual knowledge via plaintiff's mittimus" of Wojcik's objectively serious medical needs, id. at ¶ 34. He also alleges that the individual Cook County defendants consciously and deliberately disregarded the risk of substantial harm to Wojcik stemming from those medical needs. He offers no evidence, however, that any defendant had actual knowledge of his medical needs as expressed in his mittimus, let alone that any defendant was deliberately indifferent to those medical needs. To the extent that the Cook County defendants observed or were otherwise made aware of Wojcik's medical needs, the evidence supports the conclusion that they made efforts to understand and respond to those needs, not that they deliberately disregarded them. Just as with the deputy defendants, it does not follow from the mere fact that the CCJ defendants interacted with Wojcik that they must be responsible for Wojcik's mittimus not being properly processed or that they were deliberately indifferent to his medical needs as expressed therein.
Each of the CCJ defendants made efforts to verify the prescriptions Wojcik/Avado reported, referred him for further evaluation, or both. Those referrals ultimately led to Wojcik/Avado being referred to the medical infirmary for his housing assignment. Wojcik/Avado's medications were ultimately verified, and although those medications do not appear to have been delivered to Wojcik/Avado before the end of his brief term of incarceration, there is no evidence to suggest that the delay was the result of deliberate indifference on the part of any defendant identified in this case. The defendants' conduct is alleged to have been deficient only to the extent that they failed to take action that Wojcik has not provided a reasonable basis to believe the defendants should have known at the time to take.
Kilgore first evaluated Wojcik/Avado and noted that he "appeared normal" but referred him for further mental health evaluation anyway because of his self-report of having received prescriptions for "psych meds" in the past. Kilgore is not alleged to have known of the mittimus or the list of prescriptions that accompanied Wojcik to the CCJ. Wojcik/Avado was next evaluated by Masi. Wojcik/Avado claims that he "[a]dmitted to taking medications including Xanax 2 mg and Clonazepam 2 mg which was explained to Rebecca Masi that the documents were in a placed in sealed plastic bag with [his] clothes on June 27, 2013." PSOF ¶ 6 (grammatical errors preserved). The evidence to which Wojcik cites for this assertion suggests that he told Masi that he was taking Xanax and Clonazepam, see DSOF Ex. D, SAO WOJCIK 00011, ECF No. 129-5, but not that he told Masi about the court order. Further, the most natural reading of this assertion is that the documentation he claims he told Masi about related only to his Xanax and Clonazepam medications; nothing in that assertion would have alerted Masi that the documentation to which Wojcik/Avado was referring would show that his medical needs were more extensive than those he was expressing verbally. Perhaps Masi's best course of action would have been to immediately investigate what was reflected in those documents anyway. But to survive summary judgment, Wojcik must point to specific facts giving rise to a reasonable inference that a defendant acted with a state of mind akin to criminal recklessness. See McGee, 721 F.3d at 480–81. Failing to take a course of action that with the benefit of hindsight may appear to have been the best course of action does not, without more, give rise to an inference that Masi failed to investigate the contents of those documents with a state of mind akin to criminal recklessness. Masi was aware that Wojcik/Avado had an upcoming follow-up appointment and still advised him to submit a Health Services Request Form if he needed more immediate attention. See DSOF Ex. D, SAO WOJCIK 00013 (Masi "encouraged [Wojcik/Avado] to fill out a yellow Health Service Request form if symptoms worsen before [his] follow up appointment."). Wojcik/Avado filled out that form the next day and was further evaluated.
Masi, moreover, was hardly indifferent to whether Wojcik/Avado required prescription medications; she attempted to verify his medications but was unable to do so because he was using his "Avado" alias. The same is true for defendant Skrivan, who also attempted to verify Wojcik/Avado's claims about his prescription. There is no evidence, for example, that any defendant disregarded a suggestion that they should search prescription drug databases under the name "Wojcik" instead of "Avado." Skrivan's regard for Wojcik/Avado's medical needs is also evident from his referral of Wojcik/Avado to the medical infirmary for further medical evaluation, and marking of the referral as urgent, even though Skrivan is not alleged to have in any way been aware of Wojcik/Avado's mittimus.
The final defendant to evaluate Wojcik/Avado was Howell, who verified Wojcik/Avado's medications and requested those medications from the pharmacy. It appears that those medications were not delivered before Wojcik/Avado was released two days later, but there is no basis in the record to conclude that Howell or any other defendant could have (or should have) done more to ensure that the medications were delivered sooner.
As for his allegations concerning his back injury, the defendants contend, and the medical records support, that Wojcik/Avado "complained about lower back pain" to Howell, and that Wojcik/Avado "was given Tylenol." DSOF ¶ 37. Wojcik, in response to this statement of fact, "affirmatively states that he wasn't given Tylenol." Pl.'s Resp. to DSOF ¶ 37. But Wojcik offers no testimonial or other evidence in support of this denial, so it may not even clear the "scintilla" standard, but even if it did, the dispute would not be material for at least two reasons. First, Wojcik has not alleged or adduced evidence that Howell knew that he had fallen on the bus or on the stairs, that his pain was severe, 12 or that Howell was aware of the severity of his pain. And second, this dispute has nothing to do with Wojcik's claim. Wojcik's amended complaint says nothing about the failure to provide adequate care for his back injury and founds no claim on that basis.
What the record in this case establishes is that Judge Sullivan's order that Wojcik serve his time in the Cermak Hospital and that he be administered his prescription drugs was not carried out. That is unfortunate. That failure does not, however, mean that any defendant named in this suit violated Wojcik's constitutional rights by recklessly disregarding Wojcik's serious medical conditions. Others—the CCJ intake officer, for example—may have been aware of Judge Sullivan's order and the need to ensure that his prescription medications were administered, but the plaintiff has not identified them. 13 And several of the defendants could, perhaps, have done more to ferret out Wojcik's need for medications, but no reasonable jury could, on this record, conclude that any of the named defendants were recklessly indifferent to Wojcik's medical needs as expressed in his mittimus or otherwise. On this record, it is plain that the fundamental cause of the problem in identifying Wojcik's medications was not due to the indifference of any of the named defendants but to the Wojcik's own actions in using an alias that differed from the name in which his prescriptions had been issued. And because the deliberate indifference claims against the individual defendants fail and Wojcik has not asserted any other theory of relief against the individual defendants, the respondeat superior and indemnification claims premised upon the conduct of the individual defendants also fail. 14
12 Notably, in this regard, Wojcik did not complain of back pain or injury when he went to Rush hospital upon his release from custody.
13 The Court intends no finding that any other person would, in fact, be liable on Wojcik's claims.
14 The Court need not reach the question of whether the defendants' actions were protected by qualified immunity. Had Wojcik asserted facts giving rise to an inference that any defendant deliberately disregarded a court's order requiring that Wojcik receive prescription medication,
* * *
For the reasons stated above, the defendants’ motion for summary judgment, ECF No. 128, is granted. 15
______________________
Dated: August 30, 2019
John J. Tharp, Jr. United States District Judge J h J Th J
__ _ ______________
___
_ _
__
_
however, it is unlikely that such a defendant could establish that he or she did not violate Wojcik's clearly established rights.
15 Wojcik's motion to strike the defendants' motion for summary judgment, ECF No. 139, which is devoid of any explanation of the alleged deficiency in the defendants' motion, is also denied.
|
Neutrosophic Extended Triplet Group Action and Burnside's Lemma
Moges Mekonnen Shalla 1 and Necati Olgun 2
1 Department of Mathematics, Gaziantep University, Gaziantep 27310, Turkey; email@example.com
2 Department of Mathematics, Gaziantep University, Gaziantep 27310, Turkey; firstname.lastname@example.org
* Correspondence: email@example.com; Tel.: +905363214006
Abstract: The aim of this article is mainly to discuss the neutrosophic extended triplet (NET) group actions and Burnside's lemma of NET group. We introduce NET orbits, stabilizers, conjugates and NET group action. Then, we give and proof the Orbit stabilizer formula for NET group by utilizing the notion of NET set theory. Moreover, some results related to NET group action, and Burnside's lemma are obtained.
Keywords: NET group action; NET orbit; NET stabilizer; NET conjugate; Burnside's lemma; NET fixed points; The fundamental theorem about NET group action.
1. Introduction
Galois is well known as the first researcher associating group theory and field theory, along the theory particularly called Galois theory. The concept of groupoid gives a more flexible and powerful approach to the concept of symmetry (see [1]). Symmetry groups come out in the review of combinatorics outline and algebraic number theory, along with physics and chemistry. For instance, Burnside's lemma can be utilized to compute combinatorial objects related along symmetry groups. A group action is a precise method of solving the technique wither the elements of a group meet transformations of any space in a method such protects the structure of a certain space. Just as there is a natural similarity among the set of a group elements and the set of space transformations, a group can be explained as acting on the space in a canonical way. A familiar method of defining no-canonical groups is to express a homomorphism f from a group G to the group of symmetries ( an object is invariant to some of different transformations; including reflection, rotation) of a set . X The action of an element g G on a point x X is supposed to be similar to the action of its image ( ) ( ) f g Sym X on the point . x The stabilizers of the action are the vertex groups, and the orbits of the action are the elements, of the action groupoid. Some other facts about group theory can be revealed in [2-5].
Neutrosophy is a new branch of philosophy, presented by Florentic Smarandache [6] in 1980, which studies the interactions with different ideational spectra in our everyday life. A NET is an object of the structure ( ) ( ) ( , , ), neut x anti x x e e for , x N was firstly presented by Florentine Smarandache [7-9] in 2016. In this theory, the extended neutral and the extended opposites can similar or non-identical from the classical unitary element and inverse element respectively. The NETs are depend on real triads: (friend, neutral, enemy), (pro, neutral, against), (accept, pending, reject), and in general ( , ( ), ( )) x neut x anti x as in neutrosophy is a conclusion of Hegel's dialectics that is depend on x and ( ) anti x . This theory acknowledges every concept or idea x together
along its opposite ( ) anti x and along their spectrum of neutralities ( ) neut x among them. Neutrosophy is the foundation of neutrosophic logic, neutrosophic set, neutrosophic probability, and neutrosophic statistics that are utilized or applied in engineering (like software and information fusion), medicine, military, airspace, cybernetics, and physics. Kandasamy and Smarandache [10] introduced many new neutrosophic notions in graphs and applied it to the case of neutrosophic cognitive and relational maps. The same researchers [11] were introduced the concept of neutrosophic algebraic structures for groups, loops, semi groups and groupoids and also their N algebraic structures in 2006. Smarandache and Mumtaz Ali [12] proposed neutrosophic triplets and by utilizing these they defined NTG and the application areas of NTGs. They also define NT field [13] and NT in physics [14]. Smarandache investigated physical structures of hybrid NT ring [15]. Zhang et al [16] examined the Notion of cancellable NTG and group coincide in 2017. Şahın and Kargın [17], [18] firstly introduced new structures called NT normed space and NT inner product respectively. Smarandache et al [19] studied new algebraic structure called NT G-module which is constructed on NTGs and NT vector spaces. The above set theories have been applied to many different areas including real decision making problems [20-44]. Furthermore, Abdel Basset et al applied this theory to decision making approach for selecting supply chain sustainability metrics [48], an approach of TOPSIS technique [49, 51], iot-based enterprises [50, 52], calculation of the green supply chain management [53] and neutrosophic ANP and VIKOR method for achieving sustainable supplier selection [54].
The paper deals with action of a NET set on NETGs and Burnside's lemma. We provide basic definitions, notations, facts, and examples about NETs which play a significant role to define and build new algebraic structures. Then, the concept of NET orbits, stabilizers, fixed points and conjugates are given and their difference between the classical structures are briefly discussed. Finally, some results related to NET group actions and Burnside's lemma are obtained.
2. Preliminaries
Since some properties of NETs are used in this work, it is important to have a keen knowledge of NETs. We will point out some few NETs and concepts of NET group, NT normal subgroup, and NT cosets according to what needed in this work.
Definition 2.1 [12, 14] A NT has a form , , , a neu a t nti a a for , , a a N a neut anti , accordingly neut a and anti a N are neutral and opposite of , a that is different from the unitary element, thus: ( ) ( ) a neut a neut a a a and ( ) ( ) ( ) a anti a anti a a neut a respectively. In general, a may have one or more than one neut's and one or more than one anti's.
Definition 2.2 [8, 14] A NET is a NT, defined as definition 1, but where the neutral of a (symbolized by ( ) neut a e and called "extended neutral") is equal to the classical unitary element. As a consequence, the "extended opposite" of a , symbolized by ( ) anti a e is also same to the classical inverse element. Thus, a NET has a form ( ) ( ) ( , , ) neut a anti a a e e , for , a N where ( ) neut a e and ( ) anti a e in N are the extended neutral and negation of a respectively, thus : ( ) ( ) , neut a neut a a e e a a
```
which can be the same or non-identical from the classical unitary element if any and ( ) ( ) ( ). anti a anti a neut a a e e a e Generally, for each a ∊ N there are one or more ( ) neut a e 's and ( ) anti a e 's.
```
Definition 2.3 [12, 14] Suppose ( , ) N is a NT set. Subsequently ( , ) N is called a NTG, if the axioms given below are holds.
```
(1) ( , ) N is well-defined, i.e. for and ( , ( ), ( )),( , ( ), ( ) , a neut a anti a b neut b anti b N one has ( , ( ), ( )) ( , ( ), ( ) . a neut a anti a b neut b anti b N (2) ( , ) N is associative, i.e. for any
```
one has ( , ( ), ( )) ( , ( ), ( ) ( , ( ), ( )) . a neut a anti a b neut b anti b c neut c anti c N
Theorem 2.4 [46] Let ( , ) N be a commutative NET relating to and ( , ( ), ( )),( , ( ), ( )) a neut a anti a b neut b anti b N ;
(i) ( ) ( ) ( ); neut a neut b neut a b
(ii) ( ) ( ) ( ); anti a anti b anti a b
Definition 2.5 [8, 14] Assume ( , ) N is a NET strong set. Subsequently ( , ) N is called a NETG, if the axioms given below are holds.
(2) ( , ) N is associative,
(1) ( , ) N is well-defined, i.e. for any ( , ( ), ( )),( , ( ), ( ) , a neut a anti a b neut b anti b N one has ( , ( ), ( )) ( , ( ), ( ) . a neut a anti a b neut b anti b N
i.e. for any
( , ( ), ( )),( , ( ), ( )),( , ( ), ( )) ,
a neut a anti a b neut b anti b
c neut c anti c
N
one has
( ,
( ), ( )) ( , ( ), ( )) ( , ( ), ( ))
a neut a anti a b neut b anti b
c neut c anti c
( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )).
a neut a anti a b neut b anti b
c neut c anti c
Definition 2.6 [47] Assume that 1 ( , ) N and 2 ( , ) N are two NETG's. A mapping : f N N is called a neutro-homomorphism if:
```
1 2 (1) For any 1 ( , ( ), ( )),( , ( ), ( ) , a neut a anti a b neut b anti b N we have ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) f a neut a anti a b neut b anti b f a neut a anti a f b neut b anti b (2) If ( , ( ), ( )) a neut a anti a is a NET from 1 , N Then ( ) ( ) f neut a neut f a and ( ) ( ) . f anti a anti f a
```
Definition 2.7 [45] Assume that 1 ( , ) N is a NETG and H is a subset of 1 . N H is called a NET subgroup of N if itself forms a NETG under . On other hand it means : ( ) neut a
(2) For any ( , ( ), ( )),( , ( ), ( ) , a neut a anti a b neut b anti b H ( , ( ), ( )) ( , ( ), ( ) a neut a anti a b neut b anti b H ( ) anti a
(1) e lies in . H.
(3) If ( , ( ), ( )) , a neut a anti a H then . e H Definition 2.8 [45] A NET subgroup H of a NETG N is called a NT normal subgroup of N if ( , ( ), ( )) ( , ( ), ( )), ( , ( ), ( )) a neut a anti a H H a neut a anti a a neut a anti a N and we represent it as . H N (
3. NET Group Action
A NETG action is a representation of the elements of a NETG as a symmetries of a NET set. It is a precise method of solving the technique in which the elements of a NETG meet transformations of any space in a method that maintains the structure of that space. Just as a group action plays an important role in the classical group theory, NETG action enacts identical role in the theory of NETG theory.
Definition 3.1 An action of N on X (left NETG action) is a map N X X denoted
```
( , ( ), ( )),( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) n neut n anti n x neut x anti x n neut n anti n x neut x anti x as shown 1( , ( ), ( )) ( , ( ), ( )) x neut x anti x x neut x anti x and ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) n neut n anti n h neut h anti h x neut x anti x n neut n anti n h neut h anti h x neut x anti x
```
for all ( , ( ), ( )) x neut x anti x in X and ( , ( ), ( )),( , ( ), ( )) n neut n anti n h neut h anti h in . N Given a NET action of N on , X we call X a N set. A N map between N sets X and Y is a map : f X Y of NET sets that respects the N action, meaning that,
```
( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) f n neut n anti n x neut x anti x n neut n anti n f x neut x anti x for all ( , ( ), ( )) x neut x anti x in X and ( , ( ), ( )) n neut n anti n in . N To give a NET action of N on X is equivalent to giving a NETG neutro-homomorphism from N to the NETG of bijections of . X Note that a NETG action is not the same thing as a binary structure, we combine two elements of X to get a third element of X (we combine two apples and get an apple). In a NETG action, we combine an element of N with an element of X to get an element of X (we combine an apple and an orange and get another orange). It is critical to note that ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) n neut n anti n h neut h anti h x neut x anti x has two actions of N on elements of . X under other conditions ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) n neut n anti n h neut h anti h x neut x anti x has one multiplication in the NETG ( , ( ), ( ))( , ( ), ( )) n neut n anti n h neut h anti h and then one action of an element of N on . X Example 3.2 For a NET subgroup , H N consider the left NT coset space ( , ( ), ( )) :( , ( ), ( )) . N a neut a anti a H a neut a anti a N H (We do not care wether or not , H N as we are just thinking about N H as a set.) Let N act on N H by left multiplication. That is for ( , ( ), ( )) n neut n anti n N and a left NT coset ( , ( ), ( )) a neut a anti a H ( ( , ( ), ( )) a neut a anti a N ), set ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) : . ( , ( ), ( )) ( , ( ), ( )) n neut n anti n a neut a anti a H n neut n anti n a neut a anti a H n neut n anti n y neut y anti y y neut y anti y a neut a anti a H This is an action of N on , N H since ( , ( ), ( )) ( , ( ), ( )) 1 a neut a anti a H a neut a anti a H N and ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) 1 1 1 2 2 2 ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) 1 1 1 2 2 2 neut anti neut anti a neut a anti a H n n n n n n neut anti neut anti a neut a anti a H n n n n n n ( , ( ), ( ))( , ( ), ( ))( , ( ), ( )) 1 1 1 2 2 2 ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) . 1 1 1 2 2 2 neut anti neut anti a neut a anti a H n n n n n n neut anti neut anti a neut a anti a H n n n n n n Note: NET Groups Acting Independently by Multiplication All NETG acts independently like so, NET set N N and . X N Then for ( , ( ), ( )) n neut n anti n N and ( , ( ), ( )) , n neut n anti n X N we define ( , ( ), ( )) ( , ( ), ( )) n neut n anti n n neut n anti n ( , ( ), ( )) ( , ( ), ( )) . n neut n anti n n neut n anti n X N Example 3.3 Each NETG N acts independently X N by left multiplication functions. In other words, we set : ( , ( ), ( )) N N n neut n anti n by ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) h neut h anti h n neut n anti n h neut h anti h n neut n anti n for all ( , ( ), ( )) n neut n anti n N and ( , ( ), ( )) . h neut h anti h H Subsequently, the axioms for being a NETG action are ( , ( ), ( )) ( , ( ), ( )) 1 h neut h anti h h neut h anti h N for all ( , ( ), ( )) h neut h anti h N and ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( ) 1 1 1 2 2 2 neut anti neut anti h neut h anti h n n n n n n ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) 1 1 1 2 2 2 neut anti neut anti h neut h anti h n n n n n n
```
for all ( , ( ), ( )),( , ( ), ( )),( , ( ), ( )) , 1 1 1 2 2 2 neut anti neut anti h neut h anti h N n n n n n n which are both true whereby N is associative.
```
1 N is a neutrality and multiplication in The notation for the NET effect of N is ( , ( ), ( )) n neut n anti n or ( , ( ), ( )) ( , ( ), ( )) x neut x anti x n neut n anti n simply as ( , ( ), ( )) ( , ( ), ( )) n neut n anti n x neut x anti x or ( , ( ), ( ))( , ( ), ( )). n neut n anti n x neut x anti x In this explanation, the conditions for the left NETG action take the succeeding shape: i. for all ( , ( ), ( )) , ( , ( ), ( )) ( , ( ), ( )). 1 x neut x anti x X x neut x anti x x neut x anti x N ii. for every ( , ( ), ( )),( , ( ), ( )) 1 1 1 2 2 2 neut anti neut anti N n n n n n n an ( , ( ), ( )) , x neut x anti x X ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) 1 1 1 2 2 2 neut anti neut anti x neut x anti x n n n n n n ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )). 1 1 1 2 2 2 neut anti neut anti x neut x anti x n n n n n n Theorem 3.4 Let a NETG action N act on the NET set . X If ( , ( ), ( )) ,( , ( ), ( )) , x neut x anti x X n neut n anti n N and ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )), y neut y anti y n neut n anti n x neut x anti x then 1 ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )). x neut x anti x n neut n anti n y neut y anti y If ( , ( ), ( )) ( ', ( '), ( ')) x neut x anti x x neut x anti x then ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( ', ( '), ( ')). n neut n anti n x neut x anti x n neut n anti n x neut x anti x Proof : From ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) y neut y anti y n neut n anti n x neut x anti x we get 1 1 ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) n neut n anti n y neut y anti y n neut n anti n n neut n anti n x neut x anti x 1 ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) n neut n anti n n neut n anti n x neut x anti x ( , ( ), ( )) 1 x neut x anti x N ( , ( ), ( )). x neut x anti x To show ( , ( ), ( )) ( ', ( '), ( ')) x neut x anti x x neut x anti x ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( ))( ', ( '), ( ')), n neut n anti n x neut x anti x n neut n anti n x neut x anti x we show the contrapositive : if ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( ))( ', ( '), ( ')) n neut n anti n x neut x anti x n neut n anti n x neut x anti x then applying 1 ( , ( ), ( )) n neut n anti n to both sides gives 1 1 ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( ', ( '), ( ')) n neut n anti n n neut n anti n x neut x anti x n neut n anti n n neut n anti n x neut x anti x so 1 1 ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( ', ( '), ( ')) n neut n anti n n neut n anti n x neut x anti x n neut n anti n n neut n anti n x neut x anti x
```
so
( , ( ), ( )) ( ', ( '), ( ')).
x neut x anti x x neut x
anti x
On the other hand to imagine action of a NETG on a NET set is such it's a definite neutro-homomorphism. On hand are the facts.
Theorem 3.5 Actions of the NETG N on the NET set X are identical NETG neutro-homeomorphisms from ( ), N Sym X the NETG of permutations of . X
Proof: Assume we've an action of N on the NET set . X We observe ( , ( ), ( )) ( , ( ), ( )) n neut n anti n x neut x anti x as a function of ( , ( ), ( )) x neut x anti x (with ( , ( ), ( )) n neut n anti n fixed). That is, for each ( , ( ), ( )) n neut n anti n N we have a function : ( , ( ), ( )) X X n neut n anti n by
( ,
( ), ( ))
( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )).
n neut n anti n x neut x anti x
n neut n anti n x neut x anti x
The axiom ( , ( ), ( )) ( , ( ), ( )) 1 x neut x anti x x neut x anti x N says 1 is the neutrality function on . X The axiom
says
so structure of functions on X match multiplication in . N Additionally, ( , ( ), ( )) n neut n anti n is an invertible function whereby 1 ( , ( ), ( )) 1 1 1 neut anti n n n is an anti-neutral: the composite of ( , ( ), ( )) 1 1 1 neut anti n n n and 1 ( , ( ), ( )) 1 1 1 neut anti n n n is ,1 which is the neutral function on . X Therefore, 1 1 1 ( , ( ), ( )) ( ) neut anti Sym X n n n and 1 1 1 ( , ( ), ( )) ( , ( ), ( )) neut anti n neut n anti n n n n is a neutro-homomorphism ( ). N Sym X
Contrariwise, assume we've a homomorphism : ( ). f N Sym X For every ( , ( ), ( )), n neut n anti n we have a permutation ( , ( ), ( )) f n neut n anti n on , X and
f
( ,
(), ())( ,
(), ())
1 1 1 2 2 2
neut anti
neut anti
nnnnnn
introduces a NETG action of N on , X whereby the neutro-homomorphism properties of f submits the defining properties of a NETG action. From this view point, the NET set of ( , ( ), ( )) n neut n anti n N that act trivially
```
( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) n neut n anti n x neut x anti x x neut x anti x
```
for all ( , ( ), ( )) x neut x anti x X is straightforwardly the neutrosophic kernel of the neutro-homomorphism ( ) N Sym X related to the action. Consequently the above mentioned ( , ( ), ( )) n neut n anti n such act trivially on X are assumed to lie in the neutrosophic kernel of the action.
Example 3.6 To build N act independently by conjugation, take X N and let
```
( , ( ), ( )) ( , ( ), ( )) 1 ( , ( ), ( ))( , ( ), ( )) . ( , ( ), ( )) n neut n anti n x neut x anti x n neut n anti n x neut x anti x n neut n anti n Here, ( , ( ), ( )) n neut n anti n N and ( , ( ), ( )) . x neut x anti x N Since 1 ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) 1 1 1 x neut x anti x x neut x anti x x neut x anti x N N N and ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) 1 1 1 2 2 2 ( , ( ), ( )) 1 1 1 neut anti neut anti x neut x anti x n n n n n n neut anti n n n 1 ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) 2 2 2 2 2 2 ( , ( ), ( )) 1 1 1 1 ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) 2 2 2 2 2 2 1 ( , ( ), ( )) 1 1 1 ( , ( ), ( 1 1 1 neut anti x neut x anti x neut anti n n n n n n neut anti n n n neut anti x neut x anti x neut anti n n n n n n neut anti n n n neut anti n n n ))( , ( ), ( )) ( , ( ), ( )) 2 2 2 1 ( , ( ), ( ))( , ( ), ( )) 1 1 1 2 2 2 ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )), 1 1 1 2 2 2 neut anti x neut x anti x n n n neut anti neut anti n n n n n n neut anti neut anti x neut x anti x n n n n n n
```
neutrosophic conjugation is a NET action.
Definition 3.7 Assume such N is a NETG and X is a NET set. A right NETG action of N on X is a rule for merging elements ( , ( ), ( )) n neut n anti n N and elements ( , ( ), ( )) , x neut x anti x X symbolized by ( , ( ), ( )) ( , ( ), ( )), n neut n anti n x neut x anti x ( , ( ), ( )) ( , ( ), ( )) n neut n anti n x neut x anti x X for all ( , ( ), ( )) x neut x anti x X and
( , ( ), ( )).
n neut n anti n
N
We also need the succeeding conditions.
I. ( , ( ), ( )) ( , ( ), ( )) 1 x neut x anti x x neut x anti x N for all ( , ( ), ( )) . x neut x anti x X
II. ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) 2 2 2 1 1 1 ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) 2 2 2 1 1 1 x neut x anti x neut anti neut anti n n n n n n x neut x anti x neut anti neut anti n n n n n n for all ( , ( ), ( )) x neut x anti x X and ( , ( ), ( )),( , ( ), ( )) . 1 1 1 2 2 2 neut anti neut anti N n n n n n n Remark 3.8 Left NETG actions are not very distinct from right NETG actions. The only distinction exists in condition (ii). For left NETG actions, implementing ( , ( ), ( )) 2 2 2 neut anti n n n to an element and then applying ( , ( ), ( )) 1 1 1 neut anti n n n to the result is the same as applying ( , ( ), ( ))( , ( ), ( )) . 1 1 1 2 2 2 neut anti neut anti N n n n n n n For right NETG actions applying ( , ( ), ( )) 2 2 2 neut anti n n n and then ( , ( ), ( )) 1 1 1 neut anti n n n is the same as applying ( , ( ), ( ))( , ( ), ( )) . 2 2 2 1 1 1 neut anti neut anti N n n n n n n Let us see the example of a right NETG action (beyond the Rubik's cube example, which as we wrote things is a right NETG action). Also it is easy to do matrices multiplying vectors from the right. Example 3.9 (A NETG acting on a NET set of NT cosets). Assume such N is a NETG and H is a NET subgroup. Examine the NET set / ( , ( ), ( )) X Ha a neut a anti a N of right NT cosets of . H subsequently N acts on X by right multiplication, That is, we describe ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) H a neut a anti a n neut n anti n H a neut a anti a n neut n anti n for ( , ( ), ( )) n neut n anti n N and ( , ( ), ( )) . H a neut a anti a X First let's chect that this is well defined, hence assume such ( , ( ), ( )) ( ', ( '), ( ')), H a neut a anti a H a neut a anti a then 1 ( ', ( '), ( '))( , ( ), ( )) . a neut a anti a a neut a anti a H Now, we have to prove that for any ( , ( ), ( )) . n neut n anti n N But 1 ( ', ( '), ( '))( , ( ), ( )) a neut a anti a a neut a anti a H so that 1 ( ', ( '), ( '))( , ( ), ( )) ( , ( ), ( ', ( '), ( '))( , ( ), ( )) ( ))( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) a neut a anti a n neut n anti n a neut a a neut a anti a a neut a anti a anti a n neut n anti n H a neut a anti a n neut n anti n so that ( , ( ), ( ))( , ( ), ( ', ( '), ( '))( , ( ), ( )) . ( )) a neut a anti a n neut n a neut a anti a n neut n anti n H anti n But certainly ( ', ( '), ( '))( , ( ), ( )) H a neut a anti a n neut n anti n also contains ( , ( ), ( ))( , ( ), ( )) ( ', ( '), ( '))( , ( ), ( )) H a neut a anti a n neut n anti n H a neut a anti a n neut n anti n
```
( ', ( '), ( '))( , ( ), ( )) ( ', ( '), ( '))( , ( ), ( )). 1 a neut a anti a n neut n anti n a neut a anti a n neut n anti n N Thus the two cosets ( , ( ), ( ))( , ( ), ( )) H a neut a anti a n neut n anti n and ( ', ( '), ( '))( , ( ), ( )) H a neut a anti a n neut n anti n have the elements ( ', ( '), ( '))( , ( ), ( )) a neut a anti a n neut n anti n in common. This proves that ( , ( ), ( ))( , ( ), ( )) ( ', ( '), ( '))( , ( ), ( )) H a neut a anti a n neut n anti n H a neut a anti a n neut n anti n since NT cosets are either same or separate. Now we've proved that this is well defined, we have to show it is also an action. Definitely axiom (i) is holds since ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )). 1 1 H a neut a anti a H a neut a anti a H a neut a anti a N N Lastly, we have to show axiom (ii). Assume such ( , ( ), ( )),( , ( ), ( )) . 1 1 1 2 2 2 neut anti neut anti N n n n n n n Then ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) 2 2 2 1 1 1 ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) 2 2 2 1 1 1 ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) 2 2 2 1 1 1 ( H a neut a anti a neut anti neut anti n n n n n n H a neut a anti a neut anti neut anti n n n n n n H a neut a anti a neut anti neut anti n n n n n n H , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) 2 2 2 1 1 1 ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) 2 2 2 1 1 1 a neut a anti a neut anti neut anti n n n n n n H a neut a anti a neut anti neut anti n n n n n n
```
which proves (ii) and ends the proof. Of course, N also acts on the set of left NT cosets of H by multiplication on the left.
Definition 3.10 A NETG action of N on X is called NET faithful if distinct elements of N act on X in dis-similar methods: when ( , ( ), ( )) ( , ( ), ( )) 1 1 1 2 2 2 neut anti neut anti n n n n n n in , N there is an ( , ( ), ( )) x neut x anti x X such that
( ,
(), ()) ( , ( ), ( )) ( ,
(), ()) ( , ( ), ( )).
1 1 1
2 2 2
neut anti
x neut x anti x neut
anti x neut x anti x
n n n
n n n
Note that when we say
1
1
1
( ,
(), ())
neut anti
n n n
and
2
2
2
( ,
(), ())
neut anti
n n n
act distinctly, we signify they act distinctly somewhere, not all place. This is consistent with what it signifies to say two functions are disjoint. They take distinct values somewhere, not all place.
Example 3.11 The action of N independently by left multiplication is faithful: distinct elements send 1N to distinct places.
Example 3.12 When H is a NET subgroup of N and N acts on / N H left multiplication ( , ( ), ( )) 1 1 1 neut anti n n n and ( , ( ), ( )) 2 2 2 neut anti n n n in N act in the similar method on / N H exactly when
( , ( ), ( ))( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) 1 1 1 2 2 2 neut anti n neut n anti n H neut anti n neut n anti n H n n n n n n for all ( , ( ), ( )) , n neut n anti n N which means
So the left multiplication action of N on / N H is NET faithful in the case that the NET subgroups 1 ( , ( ), ( )) ( , ( ), ( )) n neut n anti n H n neut n anti n (as ( , ( ), ( )) n neut n anti n varies) have trivial intersection.
Viewing NETG actions as neutro-homeomorphisms, a NET faithful action of N on X is an injective neutro-homomorphism ( ). N Sym X Non faithful actions are not injective as NETG neutro-homeomorphisms, and many important homeomorphisms are not injective.
Remark 3.13 What we've been calling a NETG action could be a left and right NETG action. The difference among left and right actions is how a product ( , ( ), ( ))( ', ( '), ( ')) n neut n anti n n neut n anti n acts: in a left action ( ', ( '), ( ')) n neut n anti n acts first and ( , ( ), ( )) n neut n anti n acts second, while in a right action ( , ( ), ( )) n neut n anti n acts first and ( ', ( '), ( ')) n neut n anti n acts second.
We can introduce the NET conjugate of
( , ( ), ( ))
h neut h anti h by
( , ( ), ( ))
n neut n anti n as
( , ( ), ( ))( , ( ), ( ))( , ( ), ( ))
n neut n anti n h neut h anti h
n neut n anti n
Instead
1
( , ( ), ( ))( , ( ), ( ))( , ( ),
( )) , n neut n anti n
h neut h anti h n neut n anti n
and this convention fits well with the right NET conjugation action but not left action : setting ( , ( ), ( )) 1 ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) n neut n anti n h neut h anti h n neut n anti n h neut h anti h n neut n anti n
we have
1
( , ( ), ( )) ( , ( ), ( ))
N
h neut h anti h h neut h anti h
and
The distinction among left and right actions of a NETG is mostly unreal, whereby subsetituting ( , ( ), ( )) n neut n anti n with 1 ( , ( ), ( )) n neut n anti n in the NETG changes left actions into right
actions and contrarily since inversion backwards the order of multiplication in . N
Definition 3.14 Let a NETG act on NET set For each
So for us "NETG action" means "left NETG action". N . X ( , ( ), ( )) , x neut x anti x X its orbit is
( , ( ), ( ))( , ( ), ( )):( , ( ), ( )) ( , ( ), ( )) n neut n anti n x neut x anti x n neut n anti n N X Orb x neut x anti x and its stabilizer is
( ,
( , ( ), ( )):( , ( ), ( ))( , ( ), ( ))
( ), ( ))
n neut n anti n
N n neut n anti n x neut x anti x
Stab x neut x anti x
(The stabilizer of NET
( ,
NETG.) We call
( , x neut x anti x
( ),
( ), x neut x anti x
( ))
is symbolized by
( , ( , ( ), N x neut x anti x
( ))
a NET fixed point for the action when
( , ( ), ( )) ( , ( ), ( )) ( ,
( ), n neut n anti n
x neut x anti x x neut x anti x
for every ( , ( ), ( )) , n neut n anti n N that is, when
(or equivalently, when ). ( , ( ), ( )) N Stab x neut x anti x The orbit of NETs of a point is a geometric notion: it is the NET set of places where the points can be moved by the NETG action. Under other conditions, the stabilizer of a NET of a point is an algebraic notion: it is the NET set of NETG elements that fix the point. Mostly we'll denote the elements of X as points and we'll denote the size of a NET orbit as its length.
Definition 3.15 Let N be a NETG, ( , ( ), ( )) , n neut n anti n N and let H be a NET subgroup of . N
is called a NET conjugate of H and the NET center of N is
Remark 3.16 When we imagine about a NET set as a geometric object, it is useful to describe to its elements as points. For instance, when we imagine about / N H as a NET set on which N acts, it is helpful to imagine about the NT cosets of , H which are the elements / , N H as the points in / . N H simultaneously, though, a NT coset is a NET subset of . N
( ))
, where
( ))
N
N
is.
All of our applications of NETG actions to group theory will flow from the similarities among NET orbits, stabilizers, and fixed points, which we now build explicit in our the following fundamental examples of NETG actions.
Example 3.17 When a NETG N acts independently by conjugation,
a) the NET orbit of ( , ( ), ( )) a neut a anti a is
which is the conjugacy class of ( , ( ), ( )), a neut a anti a
is the NET centralizer of ( , ( ), ( )). a neut a anti a
d) ( , ( ), ( )) a neut a anti a is a NET fixed point when it commutes with all elements of , N and thus the NET fixed points of conjugation form the NET center of , N and thus the NET fixed points of NET conjugation form the center of . N
Example 3.18 When H acts on N by conjugation,
i. the orbit of ( , ( ), ( )) a neut a anti a is
which has no special name (elements of N that are H conjugate to ( , ( ), ( )) a neut a anti a ),
is the elements of H commuting with ( , ( ), ( )) a neut a anti a (this is ( , ( ), ( )) H Z a neut a anti a is the NET centralizer of ( , ( ), ( )) a neut a anti a in N ).
iii. ( , ( ), ( )) a neut a anti a is a NET fixed point when it commutes with all elements of , H so the NET fixed points of H conjugation on N shape the NET centralizer of H in . N
Theorem 3.19 the Fundamental Theorem about NETG Action
Let a NETG N act on a NET set . X
a. Different NET orbits of the action are disjoint and form a portion of . X
b. For each ( , ( ), ( )) , ( , ( ), ( )) x neut x anti x X Stab x neut x anti x is a NET subgroup of N and 1 ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) n neut n anti n Stab n neut n anti n x neut x anti x n neut n anti n Stab Stab x neut x anti x n neut n anti n
for all ( , ( ), ( )) n neut n anti n N .
c. For each ( , ( ), ( )) , x neut x anti x X there is a bijections
( , ( ), ( ))( , ( ), ( ))
n neut n anti n x neut x anti x
( , ( ), ( )).
( , ( ), ( ))
n neut n anti n Stab x neut x anti x
More concretely,
( , ( ), ( ))( , ( ), ( ))
n neut n anti n x neut x anti x
( ', ( '), ( '))( , ( ), ( ))
n neut n anti n
x neut x anti x in the case that ( , ( ), ( )) n neut n anti n and ( ', ( '), ( ')) n neut n anti n lie in the similar NET coset of , ( , ( ), ( )) Stab x neut x anti x and different NT left cosets of ( , ( ), ( )) Stab x neut x anti x correspond to different points in . ( , ( ), ( )) Orb x neut x anti x In particular, if ( , ( ), ( )) x neut x anti x and ( , ( ), ( )) y neut y anti y are in the same NET orbit then
is a NT left coset of , ( , ( ), ( )) Stab x neut x anti x and
.
Parts b and c Show the role of conjugate NET subgroups and neutrosophic triplet cosets of a NET subgroup when working with NETG actions. The formula in part c that relates the length of a NET orbit to the index in N of a NET stabilizer for a point in the NET orbit, is named the NET orbit-stabilizer formula.
Proof:
a) We show distinct NET orbits in a NETG action are not equal by showing that two NET orbits that overlap must coexist. Assume ( , ( ), ( )) Orb x neut x anti x and ( , ( ), ( )) Orb y neut y anti y have a common element ( , ( ), ( )). z neut z anti z
We want to show
( , ( ), ( ))
Orb x neut x anti x and.
( , ( ), ( ))
Orb y neut y anti y
It suffices to show
Orb( ,
( ), x neut x anti x
( ,
( ))
( ), x neut x anti x
( , ( ),
( ))
( , ( ), ( ))
Orb y neut y anti y
and
( ))
,
since then we can switch the roles of
( ),
( , y neut y anti y
( ))
to obtain the converse insertion. For each point,
( , ( ), ( ))
u neut u anti u
Orb x neut x anti x write
( , ( ), ( )) ( , ( ), ( ))( , ( ), ( ))
u neut u anti u n neut n anti n
x neut x anti x
( , ( ), ( )) . n neut n anti n N
which shows us that ( , ( ), ( )) . ( , ( ), ( )) u neut u anti u Orb y neut y anti y Therefore . ( , ( ), ( )) ( , ( ), ( )) Orb Orb x neut x anti x y neut y anti y Every element of X is in some NET orbit (its own NET orbits), so the NET orbits partition X into disjoint NET subsets. b) To see that ( , ( ), ( )) Stab x neut x anti x is a NET subgroup of , N we've 1 ( , ( ), ( )) Stab N x neut x anti x since ( , ( ), ( )) ( , ( ), ( )), 1 x neut x anti x x neut x anti x N and if ( , ( ), ( )),( , ( ), ( )) , 1 1 1 2 2 2 ( , ( ), ( )) neut anti neut anti n n n n n n Stab x neut x anti x then ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) 1 1 1 2 2 2 ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) 1 1 1 2 2 2 ( , ( ), ( ))( , ( ), ( )) 1 1 1 ( , ( ), ( )), neut anti neut anti x neut x anti x n n n n n n neut anti neut anti x neut x anti x n n n n n n neut anti x neut x anti x n n n x neut x anti x so ( , ( ), ( ))( , ( ), ( )) . 1 1 1 2 2 2 ( , ( ), ( )) neut anti neut anti n n n n n n Stab x neut x anti x Thus ( , ( ), ( )) Stab x neut x anti x is closed under multiplication. Lastly, ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) 1 1 1 neut anti x neut x anti x x neut x anti x n n n 1 1 1 ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )), n neut n anti n n neut n anti n x neut x anti x n neut n anti n x neut x anti x x neut x anti x n neut n anti n x neut x anti x so ( , ( ), ( )) Stab x neut x anti x is closed under inversion. To prove 1 ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( )) , ( , ( ), ( )) Stab n neut n anti n x neut x anti x n neut n anti n n neut n anti n Stab x neut x anti x for all ( , ( ), ( )) x neut x anti x X and ( , ( ), ( )) , n neut n anti n N observe that ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) h neut h anti h Stab n neut n anti n x neut x anti x h neut h anti h n neut n anti n x neut x anti x n neut n anti n x neut x anti x ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) h neut h anti h n neut n anti n x neut x anti x n neut n anti n x neut x anti x
so
( , n neut n anti n
( ,
( ),
( ),
( ))
( , h neut h anti h
( ,
( ),
( ),
( ))( , n neut n anti n
( ))
x neut x anti x
( ))
n neut n anti n
( , ( ),
( ,
1
( , n neut n anti n
1
( )) ( , n neut n anti n
( ), ( ))
( ),
( ),
( ))( , x neut x anti x
h neut h anti h
( , x neut x anti x
( ))
( ))( ,
( ),
( ),
( ),
( ), n neut n ant
( ))
x neut x anti x
( ,
( ), ( ))
n neut n anti n
( , ( ),
1
( ,
( ),
( ),
( ),
( ), h neut h anti h
( ))
Stab x neut x anti x
( , ( ),
( )) ( , h neut h anti h
n neut n anti n Stab x neut x anti x
( , ( n neut n),
( ,
1
( )) ,
anti n
( ), ( ))
Stab x neut x anti x
( , n neut n anti n
C) The condition
( ,
( ), n neut n anti n
is equivalent to
( ,
( ), x neut x anti x
which means
( ,
( ),
( ))( ,
( ,
( ))
x neut x anti x
( ,
( ))( ,
( ))
n neut n anti n
( ))
( ,
( ))
( ))
( ,
( , ( ), Stab x neut x anti x
( ), x neut x anti x
( )) ( ,
( ))
( ', n neut n anti n
( ), n neut n
1
( )) ( ', n neut n anti n
( ),
1
( )) ( ',
( '),
( ),
( '))( , anti n
( '), n neut n
( '), ( '))
1
( )) .
( ), x neut x anti x
( ')) ( ,
( ), anti n
( ))
( )), x neut x anti x
,
( , ( ), ( ))
n neut n anti n n neut n
anti n
Stab x neut x anti x
or
( ', ( '), ( ')) ( , ( ), ( )).
( , ( ), ( ))
n neut n anti n
n neut n anti n Stab x neut x anti x
Therefore ( , ( ), ( )) n neut n anti n and ( ', ( '), ( ')) n neut n anti n have the same effect on ( , ( ), ( )) x neut x anti x in the case that ( , ( ), ( )) n neut n anti n and ( ', ( '), ( ')) n neut n anti n lie in the similar NT coset of . ( , ( ), ( )) Stab x neut x anti x (Recall that for all NET subgroups H and
N,( ', ( '), ( ')) ( , ( ), ( ))
n neut n anti n
n neut n anti n H
( ', ( '), ( ')) ( , ( ), ( )).
n neut n anti n
H n neut n anti n H
Whereby ( , ( ), ( )) Orb x neut x anti x consists of the points ( , ( ), ( ))( , ( ), ( )) n neut n anti n x neut x anti x for varying ( , ( ), ( )), n neut n anti n and we showed elements of N have the similar effect on ( , ( ), ( )) x neut x anti x if and only if they lie in the similar
( ), ( ))
( ))
( )) i n
1
, we get a bijections between the points in the NET orbit of
NT left coset of ( , ( ), ( )) Stab x neut x anti x
( , ( ), ( )) x neut x anti x and the NT left cosets of ( , ( ), ( )) Stab x neut x anti x by
( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )) . ( , ( ), ( )) n neut n anti n x neut x anti x n neut n anti n Stab x neut x anti x
Therefore the
cardinality of
the NET
orbit of
( , ( ),
( )), x neut x anti x
which
( , ( ), ( ))
Orb x neut x anti x equals the cardinality of the NT left cosets of
( , is
( ), ( ))
Stab x neut x anti x in
. N
Remark 3.20 that the NET orbits of a NETG action are a partition results in a NETG theory: conjugacy classes are a partitioning of a NETG and the NT left cosets of a NET subgroup partition the NETG. The first result utilizes the action of a NETG independently by NET conjugation, having NET conjugacy classes as its NET orbits. The second result utilizes the right inverse multiplication action of the NET subgroup on the NETG.
Corollary 3.21 Let a finite NETG act on a NET set.
a) The length of every NET orbit divides the size of . N
b) Points in a common NET orbit have conjugate stabilizers, and in particular the size of the NET stabilizer is the similar for all points in a NET orbit.
Proof: a) The length of NET orbit is an index of a NET subgroup, so it divides . N
b) If ( , ( ), ( )) x neut x anti x and ( , ( ), ( )) y neut y anti y are in the same NET orbit, write ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )). y neut y anti y n neut n anti n x neut x anti x
Then,
so the NET stabilizers of ( , ( ), ( )) x neut x anti x and ( , ( ), ( )) y neut y anti y are conjugate NET subgroups.
A converse of part b is not generally true: points with NET conjugate stabilizers need not be in the same NET orbit. Even points with the same NET stabilizer need nor be in the same NET orbit. For example, if N acts on itself trivially then all points have NET stabilizer N and all orbits have size 1.
Corollary 3.22 Let a NETG N acts on a NET set , X where X is finite. Let the distinct NET orbits of
X
be symbolized by
( ,
(), ()),...,( ,
(), ()).
1 1 1
neut anti
neut anti
x x
x x x
x
t
t
t
Then
Proof: The NET set X can be written as the union of its NET orbits, which are mutually disjoint. The NET orbit-stabilizer formula tells us how large each NET orbit is.
Example 3.23 As an application of the NET orbit-stabilizer formula we describe why
HK
H K
H K
for NET subgroups
H
and
K
of a finite NETG
. N
At this point
is the NET set of products, which usually is just a subset of . N To count the size of , HK let the direct product of NETG H K act on the NET set HK like this :
which gives us a NETG action (the NETG is H K and the NET set is HK ). There is only 1 NET orbit where by 1 1 1 HK N N N and
So that the NET orbit-stabilizer formula shows us
The condition ( , ( ), ( )),( , ( ), ( )) 1 1 h neut h anti h k neut k anti k N N means
( , ( ), ( ))( , ( ), ( )) :( , ( ), ( )) . 1 Stab h neut h anti h h neut h anti h h neut h anti h H K N
Theorem 3.24 Burnside's Lemma
Let a finite NETG N act on a finite NET set X in relation to r NET orbits. Subsequently r is the average number of NET fixed points of the elements of the NETG.
where
is the NET set of elements of X fixed by ( , ( ), ( )). n neut n anti n
Don't confuse the NET set ( , ( ), ( )) n neut n anti n Fix X in relation to the NET fixed points of the action: ( , ( ), ( )) n neut n anti n Fix X is only the points fixed by the elements ( , ( ), ( )). n neut n anti n The NET set of NET fixed points for the action of N is the intersection of the NET sets ( , ( ), ( )) n neut n anti n Fix X as ( , ( ), ( )) n neut n anti n runs over the NETG.
Proof: we will count
in two ways. By counting over ( , ( ), ( )) n neut n anti n 's first we have to add up the number of ( , ( ), ( ))' x neut x anti x s with
Next we count over the ( , ( ), ( )) x neut x anti x 's and have to add up the number of ( , ( ), ( )) n neut n anti n 's with ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )), n neut n anti n x neut x anti x x neut x anti x i.e., with ( , ( ), ( )) ( , ( ), ( )) : x neut x anti x n neut n anti n Stab
Equating these two counts gives
Divide by N:
Let's examine the benefaction to the right side from points in a single NET orbit. If a NET orbit has n points in it, subsequently the sum over the points in that NET orbit is a sum of 1 n for n terms, and in other words equal to 1. Consequently the part of the sum over points in a NET orbit is 1, which makes the sum on the right side equal to the number of NET orbits, which is . r
Definition 3.25 Two actions of NETG N on a NET sets X and Y are called NET equivalent if there is a bijection : f X Y as shown
Actions of N on two NET sets are equivalent when N permutes elements in the similar method on the two NET sets following matching up the NET sets properly. When : f X Y is a NET equivalence of NETG actions on X and , Y
( , ( ), ( ))( , ( ), ( )) ( , ( ), ( ))
n neut n anti n x neut x anti x
x neut x anti x
if and only if
By the NET orbit-stabilizer formula,
N
Stab
( , ( ), ( ))
( , ( ), ( ))
x neut x anti x x neut x anti x
Orb
,
so
so the NET stabilizer subgroups of ( , ( ), ( )) x neut x anti x X and ( , ( ), ( )) f x neut x anti x Y are the same.
Example 3.26 Let H and K be NET subgroup of . N The NETG N acts by left multiplication on N H and . N K If H and K are NET conjugate subgroups then these actions are equivalent: fix
a representation
1
( ,
(), ()) ( ,
(), ())
0 0
0 0 0
0
K
neut anti
H
neut anti
n n
n n n
n
for some
( ,
(), ())
0 0 0
neut anti
N
n n n
and let
: N
N
f
H K
by
This is well-defined (independent of the NT coset representatives for ( , ( ), ( )) n neut n anti n H ) since, for ( , ( ), ( )) , h neut h anti h H
f
( , ( ), ( )) , ( ),
( ), ( )) , ( ), ( )) n neut n anti n h neut h anti h H
1
),
0 n
n
())
0
anti
K n
anti
1
1
( , n neut n anti n
n
( ,
( ),
( ),
( ))( , h neut h anti h
( ))( ,
( ),
( ),
( ))(
( ))(
,
0
neut,
(
neut(), ())
( ,
(), ())
0 0
0
0 0
0
n neut n anti n h neut h anti h
H
neut anti
n
n
n n
n
( , (
n neut
1
1
), ( )) ( ,
(), ()) ( , ( ), ( ))( ,
(), ())
0 0
0
0 0
0
n anti n H
neut anti
n neut n anti n neut
anti
n n
n
n n
n
There can be multiple equivalences between two equivalent NETG actions, just as there can be multiple neutro-isomorphisms between two isomorphic NETGs. If H and K are not NET conjugate then the actions have the same NET stabilizer subgroup, but the NET stabilizer subgroups of left NT cosets in , K and none of the former and the latter are equal.
Theorem 3.27 An action of N on some left NT coset space of . N
N H are NET conjugate to N that has one NET orbit is equivalent to the left multiplication action of
Proof : Assume that N acts on the NET set X in relation to one NET orbit. 0 0 0 ( , ( ), ( )) neut anti Fix X x x x and let 0 0 0 ( , ( ), ( )) . neut anti H Stab x x x We will Show the action of N on X is equivalent to the left multiplication action of N on . N H Every ( , ( ), ( )) x neut x anti x X has the form ( , ( ), ( ))( , ( ), ( )) 0 0 0 n neut n anti n neut anti x x x for some ( , ( ), ( )) , n neut n anti n N
K.
and all elements in a left NT coset ( , ( ), ( )) n neut n anti n H have the same effect on ( , ( ), ( )): 0 0 0 neut anti x x x for all ( , ( ), ( )) , h neut h anti h H
( , ( ), ( ))( , ( ), ( )) ( ,
(), ())
0 0
0
n neut n anti n h neut h anti h
neut anti
x
x
x
( , ( ), ( )) ( , ( ), ( ))( ,
(), ()) .
0 0
0
n neut n anti n h neut h anti h
neut anti
x
x
x
This is well defined, as we just saw. Moreover,
since both sides equal
( , ( ), ( ))( ', ( '), ( ')) ( , ( ), ( )) ( , ( ), ( )) . 0 0 0 n neut n anti n n neut n anti n n neut n anti n neut anti x x x
We will show f is a bijection. Since X has one NET orbit,
so
(
f,
is onto. If neut
( ,
(), ())
( ,
(), ())
1 1 1
2 2 2
f
neut anti
H f
neut anti
H
n n n
n n n
then
(), ())( ,
(), ()) ( ,
(), ())( ,
(), ()),
1 1 1 0 0 0 2 2 2 0 0 0
anti neut
anti neut
anti neut
anti
nnnx
x
xnnnx
x
x
so
1 ( , ( ), ( )) ( , ( ), ( ))( , ( ), ( )) ( , ( ), ( )). 2 2 2 1 1 1 0 0 0 0 0 0 neut anti neut anti neut anti neut anti n n n n n n x x x x x x Since ( , ( ), ( )) 0 0 0 neut anti x x x has NET stabilizer , H
Consequently f is one – to –one.
A special condition of this theorem tells that an action of N is equivalent to the left multiplication action of N independently in the case that the action has one NET orbit and the NET stabilizer subgroup are trivial.
5. Conclusion
The most important point of this research is first to define the NETs and subsequently use these NETs in order to describe the NETG action, NET orbits, stabilizers, and fixed point. We further
introduced the Burnside's Lemma. Finally, we allow rise to a new field called NET Structures (namely, the neutrosophic extended triplet group action and Burnside's Lemma. Another researchers can work on the application of NETG action to NT vector spaces (representation of the NETG), number theory, analysis, geometry, and topological spaces.
Acknowledgements
The authors are highly grateful to the Referees for their constructive suggestions.
Conflicts of Interest
The authors declare no conflict of interest.
References
1. Brown, R. Topology and groupoids. Booksurge PLC (2006), ISBN 1-4196-2722-8.
2. Dummit, D., Richard, F. Abstract algebra. Wiley (2004), ISBN 0-471-43334-9.
3. Rotman, J. An introduction to the theory of groups. Springer-Verlag: London (1995).
4. Smith, J. D.H. Introduction to abstract algebra. CRC Press (2008).
5. Aschbacher, M. Finite group theory. Cambridge University Press (2000).
6. Smarandache, F. Neutrosophy: neutrosophic probability, set, and logic: Analytic synthesis and synthetic analysis (1998).
7. Smarandache, F. Neutrosophic Theory and applications, Le Quy Don Technical University, Faculty of Information Technology, Hanoi, Vietnam (2016).
8. Smarandache, F. Neutrosophic Extended Triplets, Arizona State University, Tempe, AZ, Special Collections (2016).
9. Smarandache, F. Seminar on Physics (unmatter, absolute theory of relativity, general theory – distinction between clock and time, superluminal and instantaneous physics, neutrosophic and paradoxist physics), Neutrosophic Theory of Evolution, Breaking Neutrosophic Dynamic Systems, and Neutrosophic Extended Triplet Algebraic Structures, Federal University of Agriculture, Communication Technology Resource Centre, Abeokuta,Ogun State, Nigeria (2017).
10. Kandasamy, W.B., Smarandache, F. Basic neutrosophic algebraic structures and their application to fuzzy and neutrosophic models. Neutrosophic Sets and Systems (2004), Vol. 4.
11. Kandasamy, W.B., Smarandache, F. Some neutrosophic algebraic structures and neutrosophic N-algebraic structures. Neutrosophic Sets and Systems (2006).
12. Smarandache, F., Mumtaz, A. Neutrosophic triplet group. Neural Computing and Applications (2018), 29(7), 595-601.
13. Smarandache, F., Mumtaz, A. Neutrosophic Triplet Field used in Physical Applications. Bulletin of the American Physical Society (2017), 62.
14. Smarandache, F., Mumtaz, A. Neutrosophic triplet as extension of matter plasma, unmatter plasma, and antimatter plasma. APS Meeting Abstracts (2016).
15. Smarandache, F. Hybrid Neutrosophic Triplet Ring in Physical Structures. Bulletin of the American Physical Society (2017), 62.
16. Zhang, Xiaohong., Smarandache, F., Xingliang, L. Neutrosophic Duplet Semi-Group and Cancellable Neutrosophic Triplet Groups. Symmetry (2017), 9(11), 275.
17. Şahin, M., Kargın, A. Neutrosophic triplet normed space. Open Physics (2017), 15(1), 697-704.
18. Şahin, M., Kargın, A. Neutrosophic Triplet Inner Product. Neutrosophic Operational Research volume 2. Pons PublishingHouse (2017), 193.
19. Smarandache, F., Şahin, M., Kargın, A. Neutrosophic Triplet G-Module. Mathematics (2018), 6(4), 53.
20. Uluçay, V., Şahin, M., Olgun, N., & Kilicman, A. (2017). On neutrosophic soft lattices. Afrika Matematika, 28(3-4), 379-388.
21. Şahin, M., Olgun, N., Kargın, A., & Uluçay, V. (2018). Isomorphism theorems for soft G-modules. Afrika Matematika, 29(7-8), 1237-1244.
22. Ulucay, V., Sahin, M., & Olgun, N. (2018).Time-Neutrosophic Soft Expert Sets and Its Decision Making Problem. Matematika, 34(2), 246-260.
23. Uluçay, V.,Kiliç, A.,Yildiz, I.,Sahin, M. (2018). A new approach for multi-attribute decision-making problems in bipolar neutrosophic sets. Neutrosophic Sets and Systems, 2018, 23(1), 142-159.
24. Uluçay, V., Şahin, M., Hassan, N.(2018). Generalized neutrosophic soft expert set for multiple-criteria decision-making. Symmetry, 10(10), 437.
25. Sahin, M., Olgun, N., Uluçay, V., Kargın, A., & Smarandache, F. (2017). A new similarity measure based on falsity value between single valued neutrosophic sets based on the centroid points of transformed single valued neutrosophic numbers with applications to pattern recognition. Infinite Study.2018.
26. Şahin, M., Uluçay, V., & Acıoglu, H. Some weighted arithmetic operators and geometric operators with SVNSs and their application to multi-criteria decision making problems. Infinite Study.2018.
27. Şahin, M., Uluçay, V., & Broumi, S. Bipolar Neutrosophic Soft Expert Set Theory. Infinite Study.2018.
28. Sahin, M., Alkhazaleh, S., & Ulucay, V. (2015). Neutrosophic soft expert sets. Applied Mathematics, 6(1), 116.
29. Uluçay, V., Deli, I., & Şahin, M. (2018). Similarity measures of bipolar neutrosophic sets and their application to multiple criteria decision making. Neural Computing and Applications, 29(3), 739-748.
30. Şahin, M., Deli, I., & Uluçay, V. (2016). Jaccard vector similarity measure of bipolar neutrosophic set based on multi-criteria decision making. Infinite Study.
31. Hassan, N., Uluçay, V., & Şahin, M. (2018). Q-neutrosophic soft expert set and its application in decision making. International Journal of Fuzzy System Applications (IJFSA), 7(4), 37-61.
32. Şahin, M., Uluçay, V., & Acıoglu, H. (2018). Some weighted arithmetic operators and geometric operators with SVNSs and their application to multi-criteria decision making problems. Infinite Study.
33. Ulucay, V., Kılıç, A., Şahin, M., & Deniz, H. (2019). A New Hybrid Distance-Based Similarity Measure for Refined Neutrosophic sets and its Application in Medical Diagnosis. MATEMATIKA: Malaysian Journal of Industrial and Applied Mathematics, 35(1), 83-94.
34. Şahin, M., Uluçay, V., & Menekşe, M. (2018). Some new operations of (α, β, γ) interval cut set of interval valued neutrosophic sets. Journal of Mathematical and Fundamental Sciences, 50(2), 103-120.
35. Broumi, S., Bakali, A., Talea, M., Smarandache, F., Singh, P. K., Uluçay, V., & Khan, M. (2019). Bipolar complex neutrosophic sets and its application in decision making problem. In Fuzzy Multi-criteria Decision-Making Using Neutrosophic Sets (pp. 677-710). Springer, Cham.
36. Şahin, M., Ulucay, V., & Ecemiş, O. Çıngı, B. An outperforming approach for multi-criteria decision-making problems with interval-valued Bipolar neutrosophic sets. NEUTROSOPHIC TRIPLET STRUCTURES, 108.
37. Bakbak, D., Uluçay, V. (2019). Chapter Eight Multiple Criteria Decision Making in Architecture Based on Q-Neutrosophic Soft Expert Multiset. NEUTROSOPHIC TRIPLET STRUCTURES, 90.
38. Çelik, M., Shalla, M., Olgun, N. Fundamental homomorphism theorems for neutrosophic extended triplet groups. Symmetry (2018), 10(8), 321.
39. Şahin, M., Kargın, A. (2019). Chapter one, Neutrosophic Triplet Partial Inner Product Space. NEUTROSOPHIC TRIPLET STRUCTURES, 10-21.
40. Şahin, M., Kargın, A. (2019). Chapter two Neutrosophic Triplet Partial v-Generalized Metric Space. NEUTROSOPHIC TRIPLET STRUCTURES, 22-34.
41. Şahin, M., Kargın, A. and Smarandache, F., (2019). Chapter four, Neutrosophic Triplet Topology, NEUTROSOPHIC TRIPLET STRUCTURES, 43-54.
42. Şahin, M., Kargın, A. (2019). Chapter five Isomorphism Theorems for Neutrosophic Triplet G – Modules. NEUTROSOPHIC TRIPLET STRUCTURES, 54-67.
43. Şahin, M., Kargın, A. (2019). Chapter six Neutrosophic Triplet Lie Algebra. NEUTROSOPHIC TRIPLET STRUCTURES, 68-78.
44. Şahin, M., Kargın, A. (2019). Chapter seven Neutrosophic Triplet b - Metric Space. NEUTROSOPHIC TRIPLET STRUCTURES, 79-89.
45. Bal, M., Shalla, M., Olgun, N. Neutrosophic Triplet Cosets and Quotient Groups. Symmetry (2018), 10(4), 126.
46. Smarandache, F., Mumtaz, A. The Neutrosophic Triplet Group and its Application to Physics, presented by F. S. to Universidad Nacional de Quilmes, Department of Science and Technology, Bernal, Buenos Aires, Argentina (2014).
47. Smarandache, F. Neutrosophic Perspectives: Triplets, Duplets, Multisets, Hybrid Operators, Modal Logic, Hedge Algebras. And Applications. Pons Editions, Bruxelles (2017).
48. Abdel-Basset, M., Mohamed, R., Zaied, A. E. N. H., & Smarandache, F. (2019). A Hybrid Plithogenic Decision-Making Approach with Quality Function Deployment for Selecting Supply Chain Sustainability Metrics. Symmetry, 11(7), 903.
49. Abdel-Basset, M., Saleh, M., Gamal, A., & Smarandache, F. (2019). An approach of TOPSIS technique for developing supplier selection with group decision making under type-2 neutrosophic number. Applied Soft Computing, 77, 438-452.
50. Nabeeh, N. A., Abdel-Basset, M., El-Ghareeb, H. A., & Aboelfetouh, A. (2019). Neutrosophic multi-criteria decision making approach for iot-based enterprises. IEEE Access, 7, 59559-59574.
51. Abdel-Basset, M., Manogaran, G., Gamal, A., & Smarandache, F. (2019). A group decision making framework based on neutrosophic TOPSIS approach for smart medical device selection. Journal of medical systems, 43(2), 38
52. Abdel-Basset, M., Nabeeh, N. A., El-Ghareeb, H. A., & Aboelfetouh, A. (2019). Utilising neutrosophic theory to solve transition difficulties of IoT-based enterprises. Enterprise Information Systems, 1-21.
53. Abdel-Baset, M., Chang, V., & Gamal, A. (2019). Evaluation of the green supply chain management practices: A novel neutrosophic approach. Computers in Industry, 108, 210-220.
54. Abdel-Baset, M., Chang, V., Gamal, A., & Smarandache, F. (2019). An integrated neutrosophic ANP and VIKOR method for achieving sustainable supplier selection: A case study in importing field. Computers in Industry, 106, 94-110.
Received: Sep 17, 2019. Accepted: Dec 03, 2019
|
The
Where Education Shines!
Lion's Pride of West Islip Schools
www.wi.k12.ny.us Offi cial Publication of the West Islip School District Summer 2009
West Islip's Class of 2009 Graduation
Unforgettable Speeches by Unforgettable People
On June 27, 2009, four hundred and fi fty-six members of the West Islip Class of 2009 received their diplomas under an amazingly blue sky. The graduating seniors had much to celebrate. This year's graduating class has logged in over 30,000 hours of community service and has been awarded $4.5 million in scholarships.
Graduation began with a musical performance by the Graduation Ensemble of "Pomp and Circumstance," led by James Krais. The West Islip American Legion Post No. 1738 presented the fl ags as Student Senate President, Nicole Muller led the crowd in the Pledge of Allegiance. The National Anthem was sung by National School Choral Award winner Amanda Corey. The ceremony continued with speeches given by this year's Valedictorian Sherilyn Hellberg, and Co-Salutatorians James Criscuolo and Mary Priolo. Vocal Motion sang "This Day" under the direction of Dr. Salvatore Fiore, and Paige Engledrum gave a special tribute to retiring principal Mr. Ken Hartill, who has been with the school district for 17 years.
West Islip's Class Valedictorian Sherilyn Hellberg gave an unforgettable speech. This amazing young woman has forged and triumphed battles of her own. At the age of ten years old, she was diagnosed with alopecia areata, an aggressive autoimmune disease in which the body attacks its own hair follicles, suppressing hair growth.
"I can barely remember those fi rst years. I do remember a few things, however, unnaturally vividly: the fl urry of visits to the doctors and the helpless confusion. But more vividly than anything, I remember the refl ection I saw in the bathroom mirror one day, halfway through seventh grade, completely bare of eyebrows, of eyelashes, of any hair at all," states Sherilyn. "Everyone has something that he or she will have to overcome. And despite it all, I'm still me."
Pictured above (top), West Islip Class of 2009 graduation processional. Pictured above (bottom) Valedictorian Sherilyn Hellberg (center) celebrates graduation day with friends (l-r) Kelsey Paulsen, Emily Gleason, and Allison Graber.
Sherilyn added, "Be free to do what you know is right; be free to pursue what you love; and most importantly, be free to be who you truly are. Embrace every part of who you are and know that the things which you cannot control in your life DO NOT matter. Know that it is that knowledge and inner strength in every one of us that DOES matter. Never let some obstacle, be it physical, fi nancial, or emotional hold you back. Each and every one of you, somewhere inside you, has the power, the intelligence and the character to do and to be whatever and whomever you wish."
Graduation Highlights
Superintendent Dr. Beth Virginia Blau's Commencement Address Excerpts
"As a child growing up, my favorite movies were the black and white science fi ction fi lms. One such fi lm, The Day the Earth Stood Still, painted an intriguing alternative reality---a world where time could literally be stopped!
the ability to use hindsight to accurately predict upcoming events.
What if, I had the power just once, to stop time on the date of my choice, would I do it? If I could give that power to you, would you accept it?
Perhaps at fi rst, it would seem inviting. For example, the Lacrosse team might stop time on the date of its recent State championship, reliving its glory over and over again. Others might opt to have their fi rst kiss, their fi rst date, the day they received their fi rst college acceptances or fi rst driver's license, or their senior prom night permanently etched in stone.
But such a gift would come at a tremendous cost; for if time could be stopped, even on a date of our own choosing, never again would there be new human beings, new ideas, or new accomplishments.
As Confucius once wrote 'Study the past if you would divine the future' and the history of this class speaks volumes
about their achievements to come. Others have already praised their 30,000 hours of community service, their $4.5 million in scholarships, their recognitions from NYSSMA for musical excellence, and their accolades for athletic prowess coupled with sportsmanship and academics. But of equal or greater importance is their empathy, their determination, their ethics, and their passion for the environment. come. Others have already
Perhaps the more desirable and attainable skill would be
Think of tomorrow as a blank page, just waiting to be fi lled with your dreams. All you have to do is be yourselves and live the stories that are unique to you. Be proud. Be confi dent. And most of all be happy!"
High School Principal Ken Hartill to Retire After 17 Years of Dedicated Service
After seventeen years of service to our district, Mr. Ken Hartill has retired as High School Principal. Formerly a Social Studies teacher and Assistant Principal for the Sewanhaka Central High School District, he has been an educator for over forty years, devoted to the students, he aff ectionately calls "his kids." A s K H F te P w S b fo st c
Teacher of the Year, Carey High School PTSA Yearbook Dedication recipient and PAWS Annual Honoree. He has received numerous awards including the New York State Distinguished Service Award, Phoebe Apperson Hearts Outstanding Educator Award and the March of Dimes Golden Apple Award for Educational Leadership and Community Service. Additionally, he has published many articles including "Service with a Smile, Leadership for Student Activities."
He has been involved in many charitable causes including: hosting Suff olk County Special Olympics, co-chairing the Lionheart Fund, instituting a diploma/community service endorsement program, contributing to the Health and Wellness 5K Fun-Run, co-founding the West Islip Alumni Association and co-chairing the Hall of Fame Committee. He introduced the International Baccalaureate Program to West Islip, as well as having served on a number of committees including site-based team, PTSA, and Past President of the West Islip Association of Supervisors and Administrators. h b l d
Mr. Hartill is the recipient of the Jenkins Memorial Award and SAANYS award for Best Community Service Program. He has received the honor of being the Academic
High school senior Paige Engeldrum commented about Mr. Hartill in a graduation tribute speech. "Mr. Hartill has not only been a great leader, but has continuously strived to bring the best to West Islip. He has been an avid supporter of our musical programs, school plays and sporting events, to name a few. Mr. Hartill's endless dedication, support and commitment have made our experience at West Islip High School one that will never be forgotten."
During the graduation ceremony, Mr. Hartill spoke about the honor and privilege it has been as West Islip's high school principal. "Education is a sacred process. Every generation must take its children to the summit of its knowledge and state, 'This is what we know. This is what we believe to be important. Now, take it and add to it.' This is what we have been doing with your children for the last 13 years. Sooner than you realize, you will be transferring your knowledge and values to your children and you will demand that they add to it."
National Merit Winners
Pictured above (l-r) Superintendent of Schools Dr. Beth Virginia Blau congratulates Merit Scholar recipients Christopher Murray and Amanda Porter.
West Islip High School seniors Christopher Murray and Amanda Porter were awarded National Merit Scholarships. Christopher received $2,500 to the college of his choice and Amanda has accepted a full scholarship to State University at Stony Brook.
The National Merit Scholarship Program is a United States academic scholarship competition for academic recognition. College scholarships administered by National Merit Scholarship Corporation (NMSC), a privately funded, not-for-profi t organization, are awarded to the top fi nalists. The program uses the Preliminary SAT/National Merit Scholarship Qualifying Test as the initial screen of over 1.5 million program entrants.
Board of Education Honors Valedictorian and Salutatorians
Pictured above (l-r), Co-Salutatorian Mary Priolo, Superintendent of Schools Dr. Beth Virginia Blau, Co-Salutatorian James Criscuolo, Valedictorian Sherilyn Hellberg, Board of Education President George Smith and High School Principal Ken Hartill. Pictured above (l-r) Co-Salutatorian Mary Priolo Superintendent of Schools Dr Beth
The West Islip Board of Education honored the Class of 2009's Valedictorian Sherilyn Hellberg and Co-Salutatorians James Criscuolo and Mary Priolo during the June 11th Board of Education meeting.
1300+ SAT Club
Page 3
Top 10 Students
Sherilyn Hellberg - Valedictorian Mary Priolo - Salutatorian James Criscuolo - Salutatorian Christopher Murray Mariko Lytell Jacqueline Morley Christina Cuzzo Amanda Porter Kaitlyn Reilly
Daniela Cassataro
Graduates' Plans
Aff atigato Jr., James
College of St. Rose
Albanese, Samantha
Ali, Aaqil
Alvarez, Corey
Amato, Marissa
Andrews, Dana
Ankudavich, Aaron
Archer, Dillon
Astuto, Victoria
Austin, Nicole
Aviles, Anthony
Azzato, Samantha
Badolato, Bryan
Baierlein, Alexandra
Barker, Roseanna
Barrett, Melissa
Barth, Leslie
Bartley, Julie
Bassler, Heather
Beck, Richard
Benedetti, Gina
Benedetto, Jennifer
Bilella, Christianna
Bilello, Danielle
Birnbaum, David
Boland, Michael
Bollbach, Emily
Boniberger, Samantha
Bos, Ryan
Braddish, Ian
Brady, Brian
Brady, Lauren
Bresko, Emily
Brocking, Matthew
Brohan, Kasey
Bruckner, Gary
Bruno, John
Buonadonna, Anthony
Burch, Tyron
Burke, Colleen
Burke, Patrick
Buscemi, Stephanie
Butler, Jake
Bystry, Rafal
Cabibi, Deanna
Calamari, Karissa
Calero II, Gabriel
Camesas, Christopher
Campasano, Cassie
Campbell, Lauren
Cantante, Stephanie
Cantore, Michael
Capon, Anthony
Carey, Melissa
Carrigan, Talia
Cassagnau, Jacqueline
Cassataro, Daniela
Castro, Mary
Cestaro, Lauren
Cestaro, Nicholas
Suff olk County CC
SUNY @ Stony Brook
Suff olk County CC
Suff olk County CC
Quinnipiac University
SUNY @ Stony Brook
SUNY @ Oswego
SUNY @ Potsdam
Suff olk County CC
Suff olk County CC
Suff olk County CC
Sacred Heart University
SUNY @ Oswego
American Musical & Dramatic Academy
Boston University
New York College of Health Prof.
Suff olk County CC
Dowling College
CUNY - Brooklyn College
CUNY - Hunter College
Suff olk County CC
Suff olk County CC
Suff olk County CC
CUNY - John Jay
Suff olk County CC
Suff olk County CC
Hofstra University
SUNY @ Farmingdale
University of NC-Chapel Hill
Nassau County CC
Iona College
University of Colorado @ Boulder
Suff olk County CC
SUNY @ New Paltz
University of Central Florida
CUNY - John Jay
Suff olk County CC
Undecided
Sacred Heart University
Kean University
Pace University
Employment
CUNY - Queens College
Suff olk County CC
SUNY @ Cortland
Suff olk County CC
Bucknell University
Jacksonville University
Laboratory Institute of Merchandising
Adelphi University
Dowling College
Springfi eld College
Suff olk County CC
Suff olk County CC
BOCES - Adult Education
New York University
Adelphi University
St. Joseph's College
Kean University
Page 4
Chetta, Anthony
Chinkel, Caroline
Chiofalo, Jr., Anthony
Clark, Richard
Cliff ord, Thomas
Cochrane, Nicole
Coiro, Giancarlo
Coleman, Christopher
Conley, Dillon
Conner, Peter
Conrad, Darren
Constantine, Nicole
Conste, Donald
Cook, Courtney
Coppola, Natalia
Corey, Amanda
Corso, Christopher
Cosgrove, Claire
Costantino, Joseph
Costanza, Joseph
Costea, Christopher
Craig, Shane
Criscuolo, James
Cucceraldo, Gina
Cuzzo, Christina
Czurda, Megan
D'Alessio, Vincent
D'Antoni, Vincent
Damiani, Steven
Dannenfelser, Michael
Danziger, Catherine
DaSilva, Anthony
Day, Stephanie
Dean, Samantha
Degasero, Theresa
Deister, William
Del Giudice, Anthony
Delillo III, Anthony
Dellilo, Daryn
Delyra, Richard
Demaria, Jessica
Denninger, Ryan
Des Gaines, Andrew
Desena, Michaelene
Diaz, Cesar
De Sivo, Nicholas
DiLeo, Kristen
Di Iorio, Joseph
DiLevo, Danielle
Dimola, Tina
Distefano, Nicholas
Dolan, Kevin
Dolce Gagliardo, Krista
Dorfmeister, Stephanie
Doyle, Ashleigh
Eng, Melissa
Engebrethson, Steven
Engeldrum, Paige
Ergezer, Bilge
Esposito, Joseph
Suff olk County CC
Roger Williams University
Suff olk County CC
Suff olk County CC
Kean University
SUNY @ Oswego
SUNY @ Albany
Suff olk County CC
Suff olk County CC
United States Marine Corps
Job Corps
Suff olk County CC
United States Merchant Marines
Undecided
SUNY @ Albany
University of Miami
Briarcliff e College
University of Delaware
Sacred Heart University
SUNY @ Stony Brook
SUNY @ Albany
SUNY @ Cortland
Carnegie Mellon University
SUNY FIT
University of Pennsylvania
University of Delaware
Western Connecticut
Nassau County CC
Daytona Community College
Employment
Suff olk County CC
Suff olk County CC
Marywood University
Loyola College
Johnson & Wales University
SUNY @ Potsdam
Suff olk County CC
CUNY - Baruch
SUNY @ Farmingdale
Suff olk County CC
Suff olk County CC
SUNY @ Cortland
Suff olk County CC
Pace University
Suff olk County CC
St. John's University
Quinnipiac University
Undecided
SUNY @ Albany
Dowling College
Suff olk County CC
United States Air Force Academy
Suff olk County CC
Suff olk County CC
Dowling College
St. John's University
Employment
Hamilton College
Suff olk County CC
Suff olk County CC
Graduates' Plans
Estelle, Kasey
SUNY @ Farmingdale
Fannon, Heather
Fannon, Patrick
Fannon, Rory
Fargnoli, Katie
Fay, Angela
Fee, Meaghan
Feingold, Kelly
Feminella, Mary
Fernandez, Christopher
Ferraro, Alyssa
Ferrone, Joseph
Finnegan, Salliebeth
Fiordiliso, Vincent
Fiore, Danielle
Fisco, Jonathan
Flaherty, Kerri
Flanagan, Caitlin
Frame, Jesse
Franckowski, Rebecca
Frankevicz, Brian
Frodell, Daniel
Froelich, Jake
Gafa Jr., Charles
Galgano, Laurie
Gallagher, Cory
Galloway, Ryan
Gallucci, Joseph
Gancio, Steven
Gelling, Kyle
Gemellaro, Joseph
Genovese, Beth
Giambrone, Allison
Giever, Heather
Giever, Laura
Glass, Catherine
Gleason, Emily
Goetz, Christine
Goetz, Jonathan
Gonzalez, Peter
Goodwin, Lauren
Graber, Allison
Graff eo, John
Graham, Connor
Grawunder, Jacqueline
Greco, Anne
Greco, Rachel
Greene, Rebecca
Gregory, Jeff rey
Guadarrama, Manuel
Gude, Chelsea
Guerra, James P.
Guerra, James W.
Guido, Christopher
Haas, Shannon
Hanrahan, Kyle
Hantzschel, Shaun
Harrison, Steven
Harrison, Thomas
Harsch, Erick
Dowling College
SUNY @ Cortland
Suff olk County CC
SUNY @ Albany
SUNY @ Stony Brook
University of Arizona
SUNY @ Morrisville
Suff olk County CC
Suff olk County CC
Hofstra University
Fordham University
University of Oregon
Suff olk County CC
Suff olk County CC
SUNY @ Oswego
American University
Queens University - Charlotte
Suff olk County CC
SUNY @ Stony Brook
Employment
Worcester Polytechnic Institute
SUNY @ Albany
SUNY @ Buff alo College
Monmouth University
SUNY - Maritime
SUNY @ Purchase
Molloy College
University of Connecticut
George Washington University
Suff olk County CC
St. Joseph's College
University of Connecticut
Towson University
Towson University
Sacred Heart University
College of Charleston
Suff olk County CC
CUNY - Hunter College
SUNY @ Cobleskill
Adelphi University
George Washington University
Suff olk County CC
Suff olk County CC
SUNY @ Delhi
SUNY @ Oswego
Fairfi eld University
Fordham University
SUNY @ Binghamton
Suff olk County CC
Undecided
Suff olk County CC
Cornell University
Briarcliff e College
Suff olk County CC
SUNY @ Albany
Suff olk County CC - Honors Program
Suff olk County CC
Undecided
Dowling College
Harty, Thomas Harty Thomas
SUNY @ Farmingdale
Hassler, Amanda
Hatzel, George
Hecht, Kaila
Heilpern, John
Hellberg, Sherilyn
Hennessy, Paul
Henry, Lauren
Herman, Amanda
Herron, Kelsey
Hirt, Kaitlyn
Hock, Brandon
Hoff man, Chelsea
Holobinka, Nicole
Hopkins, Jillian
Hopkins, Veronica
Hubert, Vivien
Huntington, Daniel
Hussain, Alessandra
Ibrahim, Christine
Ingoglia, Anthony
Interlicchio, Stephanie
Jelardi, Deanna
Jenny, Alyssa
Johnson, James
Jones, Jaime
Joyce, Tara
Kanakis, Antonios
Kane, Danielle
Kaplan, Matthew
Kastanek, Virginia
Kastner, David
Katt III, Arthur
Keegan, Thomas
Keller, Sean
Keller, Taylor
Kelly, John
Kelly, Kaitlin
Kelly, Stacy
Kilfoyle, Michael
Kjeldsen, Kelsey
Klein, Kevin
Knuth, Donald
Kordich, Vanessa
Krais, Matthew
Kuhlwilm, William
Towson University
Niagara Community College
SUNY @ Oswego
University of Miami
Columbia University
Suff olk County CC
SUNY @ Albany
College of St. Rose
Adelphi University
Suff olk County CC
CUNY - Lehman
SUNY @ Farmingdale
Dowling College
University of Miami
Suff olk County CC
Adelphi University
U. of Massachusetts Amherst
Manhattan CC
Mass. College of Pharmacy
Suff olk County CC
SUNY @ Oswego
SUNY @ Fredonia
Suff olk County CC
Suff olk County CC
SUNY @ Albany
Suff olk County CC
Suff olk County CC
Utica College
SUNY @ Albany
SUNY @ Delhi
Rensselaer Polytechnic Institute
Suff olk County CC
Nassau County CC
Lehigh University
Suff olk County CC
Suff olk County CC
Hartwick College
Utica College
Suff olk County CC
Pennsylvania State University
SUNY @ Fredonia
Suff olk County CC
NY Institute of Technology
SUNY @ Fredonia
St. Joseph's College
Continued on page 6
Graduates' Plans
Kulmatycski, Kyle
Suff olk County CC Suffolk County CC
Kulmatycski Kyle
Kyc, Alexander
La Pierre, Corey
La Rocco, Matthew
Lacey, Richard
Lafond, Taryn
LaMarca, Julia
Lane, Chelsea
Lashinsky, Diana
Lee, Jenna
Lehnert, Nicholas
Lemaitre, Theresa
Leonard, Patrick
Lima, Christopher
Limitone, Jack
Loeb, Susan
Lohan, Korrie
Lorentzen, Dana
Lospinuso, Michael
Lotter, Bryanne
Luttenberger, Brian
Luttenberger, Eric
Lynaugh, Peter
Lyons, Lindsay
Lytell, Mariko
Maglione, Corine
Mall, Maxine
Malone, Daniel
Mann, Sabrina
Marino, Valerie
Marletta, Anthony
Marotta, Allison
Marter, Nicholas
Mattera, Scott
McCaff ery, Sean
McCarthy, Robert
McCarthy, Valerie
McCormack, Michael
McGrath, Steven
Medina, Brandon
Mellone, Michael
Merrill, Dylan
Michaelis, Corey
Miller, Alexandra
Suff olk County CC
Suff olk County CC
New York Institute of Technology
Suff olk County CC
SUNY @ Oneonta
Pratt Institute
Towson University
SUNY @ Oswego
Kingsborough Community College
Suff olk County CC
SUNY @ Binghamton
York College of Pennsylvania
Suff olk County CC
Suff olk County CC
Tulane University
Suff olk County CC
Suff olk County CC
Western New England
Franklin and Marshall College
SUNY @ Stony Brook
SUNY @ Farmingdale
Suff olk County CC
Quinnipiac University
University of Virginia
St. Joseph's College
SUNY@Albany
Wagner College
Nassau County CC
SUNY @ Stony Brook
Indiana University - Bloomington
Suff olk County CC
St. Joseph's College
SUNY @ Cortland
Marist College
Suff olk County CC
SUNY @ Morrisville
Yale University
Suff olk County CC
BOCES Adult Education
SUNY Maritime
Suff olk County CC
SUNY @ Binghamton
Marymount Manhattan College
M Mineo, Edward
Minieri, Matthew M
M Mirro, Joseph
M Mistretta, Robert
M Montgomery, Philip
Morales, Jonathan M
M Morgan, Christian
Morgan, Lindsay M
Morgano, Eric M
M Morley, Jacqueline
M Moruzzi, Ashley
Muller, Nicole M
M Multer, Matthew
Murphy, Sean M
M Murray, Candice
Murray, Christopher M
N Napolitano, Richard
Nappo, Arthur N
Neidig, Katherine N
Nenadich, Joseph
Newberg, Andrew
Nilsen, Alexander
Nobile, Gerald
Noble, Heather
Nohilly, Meagan
Nolan, Emily
Novello, Nicole
O'Brien, Kevin
O'Brien, Melissa
O'Connor, Caitlin
O'Gara, Aran
O'Gara, Richard
O'Grady, Annmarie
Ognibene, Garrett
Ormsby, Kyle
Pace, IV, Frank
Palminteri, Mitchell
Papa, John
Parro, Kaitlin
Passarelli, Dominic
Paterno, Michael
Paul, Kori
Paulsen, Kelsey
Pellegrino, Jennifer
Penna, Christina
Pepe, Philip
Pfi ngst, Kelly
Philips, Ashley
Piening, Kevin
Pilchman, Lisa
Pinna, Jessica
Pirkl, Gabrielle
Suff olk County CC
Brookdale Community College
SUNY @ Albany
Suff olk County CC
Georgia Institute of Technology
Suff olk County CC
Barry University
SUNY @ Oneonta
SUNY @ Canton
Princeton University
SUNY @ Albany
New School U-Parsons/ Eugene Lang
SUNY @ Albany
SUNY Maritime
Suff olk County CC
Harvard University
Employment
Dowling College
Suff olk County CC
Employment
SUNY @ Buff alo University
Dowling College
Hofstra University
Suff olk County CC
Suff olk County CC
SUNY @ Buff alo University
Nassau County CC
Adelphi University
Suff olk County CC
SUNY @ Albany
SUNY @ Albany
Siena College
Suff olk County CC
Suff olk County CC
Suff olk County CC
Employment
Suff olk County CC
Suff olk County CC
Suff olk County CC
SUNY @ Binghamton
St. John's University
Barry University
Bloomsburg University
Suff olk County CC
Suff olk County CC
Suff olk County CC
SUNY @ Binghamton
Suff olk County CC
SUNY @ Albany
University of Delaware
Nassau County CC
SUNY @ Brockport
Plate, Jessica
SUNY @ Oneonta
Poomchonghko, Nopawan University of Miami
Porcelli, Christopher St. John's University
Porter, Amanda
Power, Sheilah
Priolo, Mary
Prior, Amanda
Ragusa, Daniel
Raimondi, Marissa
Ramsbotham, Patrick
Page 6
SUNY @ Stony Brook
University of Delaware
CUNY - Baruch
Suff olk County CC
CUNY - Baruch
Dowling College
SUNY - Maritime
Continued on page 7
Graduates' Plans
Raschke, Derek
Suff olk County CC
Reilly, Kaitlyn
Reilly, Kelly
Remmers, William
Riccardella, Danielle
Richards, Kristin
Ricigliano, Gregory
Riegel, Laura
Rivera, David
Rivera, Emmanuel
Rivera, Nathalia
Rizzo, Amanda-Jo
Rode, Charles
Rodriguez, Jonathon
Rodriguez, Monique
Rolston, Christine
Romaka, Jacklyn
Rooney, Michelle
Rosenberg, Kayla
Rosenfi eld, Lee
Roy, Kelly
Rubino, Michael
Russo, Matthew
Ryan, Courtney
Ryan, Kevin
Saake, Chelsea
Sadkowski, Susan
Sagl, James
Salamone, Michael
Salanitri, Joseph
Salatto, Matthew
Sandalena, Anthony
Sangiorgio, Sara
Sannito, Megan
Santopetro, Joseph
Santoro, Paul
Santospirito, Laura
Sauerland, Alicia
Savona, Joseph
Scarpitta, Peter
Scarr, Julie
Schatzger, Kimberly
Schmidt, Kiersten
Schmitt, Derek
Schou, Joseph
Schultz, Brian
Scuderi, Alexandria
Segreto, Melanie
Sesto, Paul
Sgueglia, Joseph
Shaw, Victoria
Shay, Brian
Shelorke, Michelle
Shepard, Crystal
Sierra, Daniel
Simpson, James
Siniakowicz, Kamil
Sixsmith, Shannon
Skaliotis, Demetrios
Smith, Ian
Smith, Jeff rey
Smith, Thomas
Providence College
Suff olk County CC
School of Visual Arts & Des.
SUNY @ Buff alo State
St. Joseph's College
St. John's University
SUNY @ Stony Brook
Suff olk County CC
Suff olk County CC
Suff olk County CC
Nassau County CC
SUNY @ Buff alo
Briarcliff e College
BOCES Adult Education
St. John's University
Undecided
Utica College
University of Delaware
Suff olk County CC
Manatee County CC
SUNY @ Buff alo
Pepperdine University
St. Joseph's College
Hofstra University
Suff olk County CC
Syracuse University
Goucher College
Suff olk County CC
SUNY @ Albany
Colorado Mountain College
Suff olk County CC
Adelphi University
Suff olk County CC
Suff olk County CC
Pennsylvania State University
SUNY @ Stony Brook
York College of Pennsylvania
Suff olk County CC
Employment
SUNY @ Cortland
Dowling College
Suff olk County CC
Suff olk County CC
Pennsylvania State University
Iona College
SUNY @ Farmingdale
Siena College
Bucknell University
Suff olk County CC
St. Joseph's College
SUNY @ Farmingdale
Hofstra University
U.S. Army
Suff olk County CC
Suff olk County CC
Pennsylvania State University
Suff olk County CC
Suff olk County CC
SUNY @ Buff alo State
SUNY @ Albany
Thomas Edison State College
If there is a change in college designation, please notify the Counseling Offi ce at 504-5833 to request a fi nal transcript.
Soltan, Jessica
Suff olk County CC
Specht, Travis
Speziale, Chiara
Squitire, Kerianne
Stephenson, Robert
Stewart, Matthew
Suarez, Thomas
Sullivan, Catherine
Sullivan, Kaitlyn
Surace, Jaime
Surace, James
Taft, Malori
Tait, Alexander
Tait III, Thomas
Tanoff , Tracy
Tarantino, Matthew
Tavella, Lisa Marie
Teufel, Kelly
Teymour, Shereen
Thomas, Michael
Timmons, Christopher
Tinnirello, Alexis
Toohey, Eric
Traylor, Kurtis
Trovato, Peter
Troyano, Taylor
Turri, Wade
Valenti, Stephen
Valenti, Thomas
Valentine, Paul
Valentino, Anthony
Vandette, Shannon
Vaneron, Kristenlyn
Vansprundel, Kimberly
Vazquez, Eric
Verdone, Maria
Villone, Giorgio
Vollmer, Kelly
Von Toussaint, Robert
Wagner, Courtney
Waibel, Steven
Walsh, John
Walsh, Ryan
Waly, Omar
Wandzilak, Julie
Wanner, Brittany
Weatherly, Christopher
Weiner, Julie
Weisberg, Justin
Weitzman, Brianna
West, Jillian
Williams, Kenneth
Williamson, Derek
Winter, Kyle
Wisniewski, David
Wolf, Raymond
Wood, Joseph
Worley, Joseph
Wormuth, Katie
Yunas, Natasha
Zaremba, Ryan
Ziegler, Olivia
Page 7
Colorado Mountain College
American University
SUNY @ Stony Brook
Stevens Institute of Technology
SUNY @ Buff alo
SUNY @ Stony Brook
Suff olk County CC
SUNY @ Oswego
Assumption College
Suff olk County CC
Adelphi University
Suff olk County CC
New York University
SUNY @ New Paltz
Hofstra University
University of Rhode Island
SUNY @ Buff alo
Boston University
Employment
SUNY @ Oswego
SUNY @ Morrisville
SUNY @ Buff alo
Suff olk County CC
Undecided
SUNY @ Oneonta
Loyola College (MD)
Suff olk County CC
Adelphi University
SUNY @ Albany
SUNY @ Cortland
Iona College
Undecided
Nassau County CC
Suff olk County CC
Employment
Pennsylvania State - Hazelton
Siena College
Suff olk County CC
Suff olk County CC
Colorado Mountain College
Sacred Heart
Suff olk County CC
Undecided
Sacred Heart University
Bucknell University
College of Saint Rose
Mount Saint Mary's College
Employment
Pace University
Suff olk County CC
Suff olk County CC
SUNY @ Buff alo State College
SUNY @ Oneonta
Gettysburg College
SUNY @ Albany
Quinnipiac University
Suff olk County CC
Suff olk County CC
Hofstra University
West Point Prep (USMAPS)
Fairfi eld University
Senior Awards
ART
Excellence – Daniela Cassataro and Julia LaMarca Achievement – Nicole Muller and Malori Taft Excellence in Graphics – Anne Greco and Arthur Nappo
BUSINESS
Excellence – Kelsey Kjeldsen Academic Achievement – Melissa Barrett and Kasey Brohan Achievement – Kyle Gelling
DANCE
Excellence in Dance – Catherine Glass Excellence in Choreography – Chelsea Lane and Susan Loeb
ENGLISH
12 – Achievement – Tina Dimola
R – Academic Achievement – Jessica Pinna
H – Achievement – Laura Santospirito
H – Excellence – Kyle Gelling
AP – Excellence – Jacqueline Morley
AP – Excellence in Writing – Christina Cuzzo
SUPA Excellence – Bryanne Lotter
SUPA Excellence in Writing – Tracy Tanoff
FAMILY AND CONSUMER SCIENCE
Excellence – Valerie Marino Academic Achievement – Julie Weiner Achievement – Marissa Raimondi
HEALTH
Honors – Catherine Danziger Excellence – David Birnbaum Achievement – Giancarlo Coiro
MATHEMATICS
Excellence – AP Calculus – Christopher Murray Academic Achievement – Pre Calculus A – James Sagl Achievement – Pre Calculus B – Samantha Boniberger Excellence – AP Statistics – Claire Cosgrove Academic Achievement Statistics: Danielle Fiore National Council of Supervisors of Mathematics Excellence in Math – Amanda Porter Suff olk County Math Contest – High Score Level C – Christopher Murray
Suff olk County Math Contest – High Score Level C+ - Amanda Porter
MUSIC
National School Choral Award – Amanda Corey National School Orchestra Award – Kerri Flaherty John Philip Sousa Awards – Dana Andrews, Victoria Astuto and Donald Conste Louis Armstrong Jazz Award – Thomas Tait III
Distinguished Performance for Vocal Motion – Amanda Corey, Deanna Jelardi and Maxine Mall Di ti i h d P f f V l M ti A d
Distinguished Performance in Orchestra – Jennifer
Pellegrino, Laura Riegel and Victoria Shaw
New York State Council of Administrators of
Music Education (NYSCAME) Scholarship –
Amanda Corey
Suff olk Co. Music Educators' Award – Victoria Astuto
PHYSICAL EDUCATION
Excellence – Lindsay Lyons and Ryan Zaremba
SCIENCE
Excellence in Biology – Daniela Cassataro Excellence in Environmental Science – Mary Priolo Academic Achievement in Physics – Kasey Brohan and Lindsay Morgan Excellence in Physics (APB) – Amanda Porter Excellence in Physics (APC) – Christopher Murray Excellence in Research – Samantha Boniberger Suff olk County Science Teachers' Association Award – Daniela Cassataro
SOCIAL STUDIES
AP - Outstanding Student in Government – Sherilyn Hellberg and Mariko Lytell
H - High Honors in Government – Shereen Teymour
R - Excellence in Government – Brian Luttenberger
L - Achievement in Government – Jessica Soltan
AP - Outstanding Student in Economics – James Criscuolo
H - High Honors in Economics – Joseph Schou
R - Excellence in Economics – Thomas Valenti
L - Achievement in Economics – Taylor Keller
Excellence in Philosophy – Christopher Murray
TECHNOLOGY
Excellence – Michael Rubino and Donald Conste Achievement – Jake Froelich and Kyle Kulmatycski Academic Achievement – Michael Lospinuso Excellence in Cisco Networking Academy – Ryan Bos and Robert Stephenson
W.I. Robotics Booster Club, Inc. Scholarship Award – James W. Guerra and Robert Stephenson
Senior Awards
WORLD LANGUAGES
Excellence in Italian AP – Daniela Cassataro Excellence in Spanish AP – Christina Cuzzo Academic Achievement in Spanish 5 – Deanna Jelardi Syracuse University Project Advance in Spanish – Sean McCaff ery
Multi-lingual Award (French and Spanish) –
Rebecca Franckowski
Excellence in French AP – Rebecca Franckowki
Class of 2009 Recognition
New York State Scholarships for Academic Excellence
Samantha Boniberger
James Criscuolo
Christina Cuzzo
Rebecca Greene
Sherilyn Hellberg
Mariko Lytell
Jacqueline Morley
Christopher Murray
Dominic Passarelli
Christopher Porcelli
Amanda Porter
Mary Priolo
Kaitlyn Reilly
Brittany Wanner
CLASS OF 2009 Recognition of Class Offi cers
President – Nicole Muller, Vice President – Paige Engeldrum Treasurer – Lisa Tavella and Secretary – Rachel Greco
Recognition of Student Senate Seniors
Dillon Archer, Shane Craig, Paige Engeldrum - President, Rebecca Greene, Ashley Moruzzi, Nicole Muller - President, Kaitlyn Reilly, Michael Salamone, Alexandria Scuderi, Taylor Troyano, Wade Turri – President and Kelly Vollmer
SPECIAL AWARDS
National Merit Scholarships
Christopher Murray and Amanda Porter
The County Executive Public Service Award
Sherilyn Hellberg
State of N.Y. Offi ce of the Attorney General Triple "C" Awards
Shaun Hantzchel and Jessica Plate
State of New York Offi ce of the State Comptroller
Daniela Cassataro
Recognition of Executive Board of the National Honor Society
President – Gary Bruckner, Vice President – Emily Nolan Vice President for Tutoring – Kaitlyn Reilly, Vice President for Community Service – Jaime Surace, Treasurer – Sean Keller, Secretary – Daniela Cassataro and Historian – Kelsey Kjeldsen
Page 9
United States Military Appointments
Recognition of Appointment to US Air Force Academy: Kevin Dolan
Recognition of Appointment to Merchant Marine Academy: Donald Conste
Recognition of Appointment to US Military Academy Preparatory School: Ryan Zaremba
Army Reserve National Scholar Athletic Award: Sherilyn Hellberg and Christopher Porcelli
Marine Corps. Distinguished Athlete Award: Scott Mattera and Olivia Ziegler
Scholarships & Awards
Andrea's Haunted House Scholarships – Jillian Hopkins, Donald Knuth, Kaitlyn Reilly, Kelly Reilly, Kiersten Schmidt and Brianna Weitzman
Ann Amoia Scholarships – Twirling and Dance Assoc. – Christianna Bilella, Karissa Calamari, Stephanie Cantante, Talia Carrigan, Ashleigh Doyle, Mary Feminella, Veronica Hopkins, Vivien Hubert, Virginia Kastanek, Korrie Lohan, Maxine Mall, Katherine Neidig, Gabrielle Pirkl, Shannon Sixsmith, Kaitlyn Sullivan and Katie Wormuth
Marilyn Andia Memorial Scholarship – Kelly Pfi ngst
ASK US Scholarships – Theresa Degasero and Alexis Tinnirello
Babylon Chorale, Inc. Vocal Music Award – Amanda
Corey
Babylon Lion's Club – William L. Cassidy Scholarships – Shaun Hantzschel, Shannon Vandette
Babylon Rotary Scholarships – Jacqueline Morley and Kaitlyn Reilly
Connie Baird Islip Breast Cancer Memorial Scholarship – Jacqueline Morley and Kaitlyn Reilly
Frank Barba, Jr. Memorial Music Scholarship – Victoria Astuto
Beach Street Middle School PTA Scholarships – James W. Guerra and Mary Priolo
Kristian C. Becker Memorial Scholarship – Peter Gonzalez
Paul J. Bellew PTA Scholarships – Mariko Lytell and Gabrielle Pirkl P S a
The Jeremy Richard Best Class of 2009 Memorial Scholarships – Stephanie Day, Allison Graber and Nicole Muller T C S A M
Susan B. Bradley Memorial Scholarship – Gabrielle Pirkl S
Harvey B. Brownstein and Frederick J. Nicaise Business Memorial Scholarship – Gary Bruckner H F M B
Randolph A. Buckley Memorial Scholarship – Valerie McCarthy
Captree PTA Scholarships – Mary Priolo and Michael Rubino
Frederick J. Chapey Memorial Scholarship – Veronica Hopkins
Class of 1969 Memorial Award – Daniela Cassataro and Shaun Hantzschel Class of 1969 Memorial Award Daniela Cassataro and
Joseph Columbo Memorial Scholarship – Dana Andrews
Friends of William Cutillo Memorial Scholarship – Ryan Bos
Dante Foundation of Nassau County, Inc. Scholarship – Daniela Cassataro
DECA Scholarship "Outstanding Member of the Year" – Aaqil Ali
Paul Fauci Memorial Scholarship – Corey La Pierre
FBLA Outstanding Member of the Year Scholarship – Gary Bruckner
Christine & Michael Freyer Memorial Scholarship – James Criscuolo
Jesse Greenwald Science Scholarship – Sherilyn Hellberg
The Heilpern Family Scholarship – Katie Wormuth
E. W. Howell Co. Inc. Scholarship in Memory of Jeremy Best – Michael Rubino
Jostens Recognition Award – Brittany Wanner
Nick LaGiglia Memorial Scholarship – Andrew Newberg
Joseph Lite & Robert Annino Memorial Scholarship – W. I. Lions Club – Wade Turri
Long Island Blood Services Scholarship – David Rivera
Long Island Master Gardeners Scholarship – Thomas Harty
Manetuck Elementary Alumni PTA Scholarships – Dana Andrews and Lauren Brady
Elizabeth T. McNamee Memorial Scholarships – Leslie Barth, Theresa-Ann Degasero, Kerri Flaherty, Nicole Muller, Kaitlyn Reilly and Alexis Tinnirello
Scholarships & Awards
Terence A. McShane Memorial Scholarship – Shannon Vandette
Billy Morris Memorial Soccer Scholarship – Paul Valentine
National Honor Society Distinguished Service Award – Wade Turri
N.Y. Lottery Leaders of Tomorrow Scholarship – Nicole Muller
Oquenock PTA Scholarships – Kasey Brohan and Deanna Jelardi
Dr. Andrew Pecoraro Scholarship – Michael Rubino
The Mark Rosen Memorial SEPTA Scholarship – Anthony Capon
Sagtikos Historical Society Award – Sherilyn Hellberg
Lindsey Sangiorgio Memorial Scholarship – Lauren Cestaro
Darlene Schultheis Memorial Scholarships – Nicholas Cestaro and Caitlin O'Connor
Student Senate Ryan Hartley Memorial Scholarships – Paige Engeldrum, Nicole Muller and Wade Turri
Suff olk Transportation Scholarship – Gerald Nobile
Debbie Tibaldi Memorial Scholarship – Paige Engeldrum
Udall Road Middle School P.T.A. Scholarship – Deanna Jelardi
Wayne R. VanAcker Memorial Art Scholarship – Nicole Muller
Westbrook PTA Scholarship – Kiersten Schmidt
Westbrook PTA Scholarship in Memory of Paula Dewhurst – Shaun Hantzschel
Western Suff olk Counselors Association Scholarship – Nicole Muller
W. I. Alumni Association Scholarships – Daniela Cassataro, Stephanie Day, Nicole Muller, Gabrielle Pirkl, Kaitlyn Reilly and Paul Sesto
W. I. American Legion Post #1738 Scholarship – Kaitlyn Reilly
West Islip Administrators and Supervisors Association Scholarships – George Hatzel and Kiersten Schmidt
W.I. Beautifi cation Society – Dorothe Karwoski Memorial Scholarship – Cassie Campasano
W. I. Bicentennial Committee Scholarships – Christina Cuzzo, Christine Ibrahim, and Emily Nolan
W. I. Breast Cancer Coalition for Long Island, Inc. Science Scholarship – Daniela Cassataro
West Islip Chamber of Commerce Scholarships – Gary Bruckner and Ashley Moruzzi
WICCA-West Islip Community Cultural Arts Scholarships – Stephanie Day and Laurie Galgano
W. I. Council of PTA Scholarships – Leslie Barth, Gary Bruckner, Daniela Cassataro, Stephanie Day, Sherilyn Hellberg, Jillian Hopkins, Christine Ibrahim, Chelsea Lane, Mariko Lytell, Allison Marotta, Nicole Muller, Emily Nolan, Gabrielle Pirkl, Kaitlyn Reilly, Kiersten Schmidt, Paul Sesto and Shereen Teymour
W. I. High School Dollars for Scholars Scholarships – Veronica Hopkins, Daniel Malone, Nicole Muller and Christine Rolston
W. I. High School PTSA Scholarships – Daniel Frodell and Christine Ibrahim
W. I. Little League – Mike Lorentzen Memorial Scholarships – Dillon Archer, Kyle Gelling, Corine Maglione and Jaime Surace
West Islip Secretarial Unit Scholarship – William Kuhlwilm
W. I. SEPTA Scholarships – James W. Guerra, Amanda Prior and Jeff rey Smith
W.I. Soccer Club Community Service Scholarships – Giancarlo Coiro, Diana Lashinsky, Jacqueline Morley, Laura Riegel, Melanie Segreto and Kelly Vollmer
W. I. Symphony Orchestra Award – Laura Riegel
West Islip Teachers' Association Scholarships – Lauren Cestaro and Gabrielle Pirkl
You Color Our World Scholarship from the Heilpern Family – Nicole Muller
Richard Zocchia Memorial Scholarship – Paul Valentine
West Islip School District Freyer Administration Bldg. 100 Sherman Avenue West Islip, NY 11795
Superintendent of Schools Dr. Beth Virginia Blau
Board of Education George K. Smith, President Steven D. Gellar, Vice President Sharon Bieselin Eliot Bloom Annmarie LaRosa Robert Ulrich Michael Zotto
Non-Profi t Org. U.S. Postage PAID Permit #4 West Islip, NY 11795
*****ECRWSS** Residential Customer West Islip, New York 11795
Sarah Anker, Editor Public and Media Relations Director
Please be aware that West Islip High School's Lions Path will be closed during the month of August, due to Athletic Field construction. Primary access to the high school will be through Barberry Road.
Class of 2009 Awards
Senior Year Academic Achievement Awards
Gina Benedetti David Birnbaum John Bruno Caroline Chinkel Claire Cosgrove Joseph Costantino Michaelene DeSena Danielle Dilevo Jonathan Fisco Jake Froelich Nicole Holobinka Stephanie Interlicchio
Taryn Lafond Chelsea Lane Corrie Lohan Sean Murphy Alexander Nilsen Kelsey Paulsen Kevin Piening Jessica Plate Sheilah Power Amanda Prior Patrick Ramsbotham Kelly Reilly
Courtney Ryan Michael Salamone Alicia Sauerland Shannon Sixsmith Joseph Sgueglia Matthew Tarantino Christopher Timmons Stephen Valenti Anthony Valentino Christopher Weatherly Brianna Weitzman Raymond Wolf
Four Year Honors
Aaqil Ali Dana Andrews Aaron Ankudavich Victoria Astuto Melissa Barrett Richard Beck Samantha Boniberger Lauren Brady Emily Bresko Kasey Brohan Gary Bruckner Coleen Burke Stephanie Buscemi Christopher Camesas Daniela Cassataro Mary A. Castro Lauren Cestaro Giancarlo Coiro Amanda Corey James Crisculo Christina Cuzzo Megan Czurda Stephanie Day Samantha Dean
Jacqueline Morley Nicole Muller Matthew Multer Christopher Murray Andrew Newberg Emily Nolan Dominic Passarelli Kelly Pfi ngst Lisa Pilchman Jessicca Pinna Gabrielle Pirkl Nopawan Poomchonghko Christopher Porcelli Amanda Porter Mary Priolo Kaitlyn Reilly Kristin Richards Laura Riegel Michelle Rooney Kayla Rosenberg Michael Rubino Matthew Russo James Sagl Joseph Salanatri
Paul Santoro Laura Santospirito Joseph Schou Melanie Segreto Paul Sesto Victoria Shaw Michelle Shelorke Kamil Siniakowicz Chiara Speziale Robert Stephenson Matthew Stewart Jaime Surace Malori Taft Thomas Tait III Tracy Tanoff Lisa Marie Tavella Kelly Teufel Shereen Teymour Wade Turri Paul Valentine Shannon Vandette Brittany Wanner Natasha Yunas Olivia Ziegler
Anthony Delillo III Kristen DiLeo Paige Engeldrum Heather Fannon Joseph Ferrone Danielle Fiore Kerri Flaherty Rebecca Franckowski Daniel Frodell Kyle Gelling Beth Genovese Allison Giambrone Heather Giever Laura Giever Allison Graber Rachel Greco Rebecca Greene Jeff rey Gregory James W. Guerra Shaun Hantzschel Amanda Hassler John Heilpern Sherilyn Hellberg Lauren Henry
Amanda Herman Kelsey Herron Jillian Hopkins Christine Ibrahim Deanna Jelardi Jaime Jones Sean Keller Kelsey Kjeldsen Julia LaMarca Diana Lashinsky Theresa LeMaitre Susan Loeb Bryanne Lotter Brian Luttenberger Mariko Lytell Corine Maglione Maxine Mall Valerie Marino Anthony Marletta Sean McCaff rey Michael McCormack Alexandra Miller Joseph Mirro Lindsay Morgan
|
Second Follow-Up to the Ontario Child Health Study (OCHS2000)
Respondent Self-Complete Questionnaire
OCHS 3
Confidential document once completed.
Collected under the authority of the Statistics Act revised Statutes of Canada, 1985, Chapter S19.
Version française aussi disponible.
FOR OFFICE USE ONLY
HOUSEHOLD-ID
P/L 83
INTERVIEWER ASSIGNMENT #
RESPONDENT'S FIRST NAME
INTERVIEW DATE
Year
Month
Day
P/L 00
REGIONAL OFFICE
-
LANGUAGE
1
2 0 0
8-5300-406.1: 2000-09-25
STC/SSD-040-75182
Section A
1
The following statements describe people's feelings about themselves and others.
Strongly agree
On the whole, I am satisfied with myself.
a)
Disagree
Strongly disagree
Agree
2
3
4
1
At times, I think I am no good at all.
b)
6
7
8
5
I feel that I have a number of good qualities.
c)
10
11
12
9
I am able to do things as well as most other
people.
d)
14
15
16
13
I feel I do not have much to be proud of. e)
18
19
20
17
I certainly feel useless at times.
f)
22
23
24
21
I feel that I am a person of worth, at least on an equal level with others. g)
26
27
28
25
I wish I could have more respect for myself. h)
30
31
32
29
All in all, I am inclined to feel that I am a failure. i)
34
35
36
33
I take a positive attitude towards myself. j)
38
39
40
37
C3ROSN1
C3ROSN2
C3ROSN3
C3ROSN4
C3ROSN5
C3ROSN6
C3ROSN7
C3ROSN10
C3ROSN8
C3ROSN9
The next set of statements describe your relations with other people.
2
Strongly agree
I feel responsible for the well-being of those
around me.
a)
Disagree
Strongly disagree
Agree
2
3
4
1
There are people who depend on me for help. b)
6
7
8
5
It's not my job to meet the needs of people around
me.
c)
10
11
12
9
Many people come to me for help. d)
14
15
16
13
Very few people look to me for support. e)
18
19
20
17
Those close to me seldom ask for my help or advice. f)
22
23
24
21
People value my understanding. g)
26
27
28
25
C3SOCNR7
C3SOCNR1
C3SOCNR2
C3SOCNR3
C3SOCNR4
C3SOCNR5
C3SOCNR6
Thank you for answering these questions. Tell interviewer you have finished.
The following questions are about alcohol use. 3
In the past 12 months, how often did you have a drink containing alcohol?
1 Monthly or less
2 or 3 times a month 2
2 or 3 times a week 4
4 or more times a week 5
How many drinks containing alcohol do you have on a typical day when you are drinking? 4
6 1 or 2
3 or 4 7
5 or 6 8
7 to 9 9
10 or more standard drinks 10
5
Never
How often during the last year have you had
six or more drinks on one occasion?
Less than monthly
1
6
16
2
7
17
a)
How often during the last year have you found that you were not able to stop drinking once you had started? b)
How often during the last year have you failed to do what was normally expected from you because of drinking? c)
d) How often during the last year have you needed a first drink in the morning to get yourself going after a heavy drinking session?
3
Weekly
8
18
Daily or almost daily
Monthly
4
9
19
5
10
20
11
12
13
14
15
21
22
e) How often during the last year have you had a feeling of guilt or remorse after drinking?
23
24
25
26
27
f) How often during the last year have you been unable to remember what happened the night before because you had been drinking?
28
29
30
Once a week 3
C3AUD1
C3AUD2
C3AUD3
C3AUD4
C3AUD5
C3AUD6
C3AUD7
C3AUD8
Page 4
Page
Thank you for answering these questions. Tell interviewer you have finished.
The next questions are about drug usage. Please remember that all your answers are confidential. 8
How many times, if any, have you used marijuana or hash during the past 12 months?
1 Not at all
Once or twice in the last year 2
3 to 6 times in the last year 3
Monthly 4
Weekly 5
Daily or almost daily 6
From the following list, mark 'Yes' for those drugs you have used without prescription during the past 12 months and 'No' for those drugs you have not used during the past 12 months. 9
Cocaine or crack? a)
Yes
No
1
2
Psychedelics, hallucinogens (LSD, mescaline, peyote, psilocybin, DMT,
PCP)?
b)
3
4
Speed, amphetamines or uppers? c)
5
6
Heroin (dust, horse, junk, smack)? d)
7
8
Opiates other than heroin (demerol, morphine, methadone, darvon, opium)? e)
9
10
Barbituates, sedatives, downers, sleeping pills, seconal, quaaludes (without prescription)? f)
11
12
Sniffed or inhaled glue, solvents or gasoline? g)
13
14
Tranquilizers, valium, librium? h)
15
16
Some other illicit drug not named above? i)
17
18
Specify:
C3DRUG1
C3DRUG2A
C3DRUG2B
C3DRUG2C
C3DRUG2D
C3DRUG2E
C3DRUG2F
C3DRUG2G
C3DRUG2H
C3DRUG2I
Page 6
During the past 12 months, did your use of marijuana, or any of the drugs listed previously, interfere with your work at school, at a job or at home?
1 Yes
No 2
3 Did not use marijuana or any other drugs listed previously in the past year
During the past 12 months, were you ever under the influence of marijuana or any of the drugs listed "previously", and in a situation where you could get hurt - like when driving a car or boat, using knives or guns or machinery, or anything else? 11
4 Yes
No 5
During the past 12 months, did you have any emotional or psychological problems from using marijuana or any of the drugs listed "previously", such as feeling uninterested in things, feeling depressed, suspicious of people, paranoid, or having strange ideas? 12
7 Yes
No 8
Go to
question 13
C3DRUG3
C3DRUG4
C3DRUG5
The next questions are about your behaviour in different situations. Remember that all your answers are private and will be kept strictly confidential. Think of the past 12 months and choose whether or not this behaviour applied to you. 13
During the past year, you were loud, rowdy, or unruly in a public place so that
people complained or you got into trouble?
a)
Yes
No
1
2
You deliberately damaged or destroyed property that did not belong to you?
b)
3
4
You carried a hidden weapon?
c)
5
6
You stole or tried to steal, money, a car or other things?
d)
7
8
You shoplifted from a store?
e)
9
10
During the past year, you broke into or tried to break into a building to try and
steal something?
f)
11
12
You used a weapon or physical force to rob a person, shop, bank or other
business?
g)
13
14
You knowingly bought, sold, or held stolen goods or tried to do any of these
things?
h)
15
16
You took a motor vehicle, such as a car or motorbike for a ride or drive without
the owner's permission?
i)
17
18
You tried to use credit cards, bank cards, or cheques without the owner's
permission?
j)
19
20
k)
21
22
You were involved in physical fights with other adults?
l)
23
24
You threatened a spouse or partner with physical harm?
m)
25
26
During the past year, you were so angry with a child that you hit (him/her)?
You did something to injure a spouse or partner?
n)
27
28
You participated in gang activities?
o)
29
30
C3ASOCA
C3ASOCB
C3ASOCC
C3ASOCD
C3ASOCE
C3ASOCF
C3ASOCG
C3ASOCH
C3ASOCI
C3ASOCJ
C3ASOCK
C3ASOCL
C3ASOCM
C3ASOCN
C3ASOCO
Page 8
Page
(CONTINUED.)
You committed a serious driving offense, such as driving while drunk, driving recklessly or speeding 50km per hour over the posted speed limit? p)
31
32
You threatened or hurt someone to get them to have sex with you? q)
33
34
You avoided paying for things such as movies, bus or subway rides? r)
35
36
You made obscene telephone calls? s)
37
38
You sold illegal drugs? t)
39
40
You drove a vehicle when you did not have a driver's license or after your license had been suspended or disqualified? u)
41
42
You gave false information on a tax form, an insurance claim or an application for a loan or bank account? v)
43
44
Yes
No
13
C3ASOCV
C3ASOCU
C3ASOCT
C3ASOCS
C3ASOCR
C3ASOCQ
C3ASOC
C3ASOCP
Thank you for answering these questions. Tell interviewer you have finished.
Life History Calendar Work Calendar
Section B
62 14
Please use this calendar as an aid to recalling the periods of time when you were employed, unemployed, in school or engaged in other activities over the past three years.
Page 10
Section C
The next statements describe people's feelings about their partner. 15
How satisfied are you with your relationship? 16
In general, how well does your partner meet your needs?
1 Extremely well
Very well 2
Quite well 3
Fairly well 4
Not too well 5
How good is your relationship compared to most? 17
A little bit better 2
A lot better 1
About the same 3
A little bit worse 4
A lot worse 5
How often do you wish you hadn't entered into this relationship? 18
6 Almost always
Fairly often 7
Sometimes 8
Almost never 9
Never 10
6 Extremely satisfied
Very satisfied 7
Quite satisfied 8
Fairly satisfied 9
Not too satisfied 10
C3RAS1
C3RAS2
C3RAS3
C3RAS4
Page 12
To what extent does your relationship meet your original expectations?
1
To a very great extent
To a considerable extent 2
Somewhat 3
A little bit 4
Not at all 5
How much do you love your partner? 20
6 A very great deal
A great deal 7
Quite a bit 8
Somewhat 9
Very little 10
How many problems are there in your relationship? 21
1 None
Hardly any 2
Some 3
Quite a few 4
Quite a lot 5
C3RAS6
C3RAS7
C3RAS5
Please choose the response that best describes how often your (spouse/partner) behaves in the following ways. 22
Very
Often
Often
(He/She) drinks or uses drugs too much.
a)
Rarely
Never
Sometimes
3
4
5
2
(He/She) wastes money we need for other
things.
b)
8
9
10
7
(He/She) has affairs with other people.
c)
13
14
15
12
(He/She) is so depressed at times that it interferes with (his/her) normal activities.
d)
18
19
20
17
(He/She) is very moody and disagreeable.
e)
23
24
25
22
(He/She) threatens to end our relationship.
f)
28
29
30
27
(He/She) tries to control my life.
33
34
35
32
(He/She) avoids spending time with me.
h)
38
39
40
37
(He/She) has fits of anger.
i)
43
44
45
42
g)
1
6
11
16
21
26
31
36
41
C3SBEVI
C3SBEVA
C3SBEVB
C3SBEVC
C3SBEVD
C3SBEVE
C3SBEVF
C3SBEVG
C3SBEVH
Thank you for answering these questions. Tell interviewer you have finished.
Stop
Here
Page 14
For each statement, please tell me which response best describes your family.
Thank you for answering these questions. Tell interviewer you have finished.
Stop
Here
These next questions are being asked in order to learn more about hurtful things that happen to children as they grow up, so that more effort can be put into preventing them from happening in the future. If any question is too difficult for you to answer, you can move on to the next one. Please answer them as well as you can and remember that all your answers are private and will be kept strictly confidential.
Sometimes kids get hassled or picked on by other kids who say hurtful or mean things to them. How many times did this happen to you before age 16?
1
1 or 2 times 2
Never
3 to 5 times 3
6 to 10 times 4
More than 10 times 5
When did this happen... 25
MARK ALL THAT APPLY.
6
while you were in grade school?
7
before you began grade school?
while you were in high school?
8
Sometimes kids get pushed around, hit or beaten up by other kids or a group of kids. How many times did this happen to you before age 16?
26
1 Never
1 or 2 times 2
3 to 5 times 3
6 to 10 times 4
More than 10 times 5
Go to question 26
Go to
question 28
C3ABU3
C3ABU1
C3ABU2A
C3ABU2B
C3ABU2C
Page 16
When did this happen... 27
MARK ALL THAT APPLY.
6 before you began grade school?
C3ABU4A
How many times before age 16 did an adult spank you with their hand on your bottom (bum), or slap you on your hand? 28
1
1 or 2 times 2
Never
3 to 5 times 3
6 to 10 times 4
More than 10 times 5
When did this happen... 29
MARK ALL THAT APPLY.
6 before you began grade school?
while you were in grade school? 7
while you were in high school? 8
Go to
question 30
How many times before age 16 did an adult slap you on the face, head or ears or hit or spank you with something like a belt, wooden spoon or something hard? 30
1
1 or 2 times 2
Never
3 to 5 times 3
6 to 10 times 4
More than 10 times 5
Go to
question 32
while you were in grade school? 7
while you were in high school? 8
C3ABU7
C3ABU4C
C3ABU6
C3ABU5
C3ABU4B
When did this happen... 31
MARK ALL THAT APPLY.
6 before you began grade school?
C3ABU8A
Before age 16 did an adult push, grab, shove or throw something at you to hurt you? 32
1 Never
1 or 2 times 2
3 to 5 times 3
6 to 10 times 4
More than 10 times 5
When did this happen... 33
MARK ALL THAT APPLY.
6 before you began grade school?
while you were in grade school?
7
while you were in high school? 8
Go to question 34
Before age 16 how many times did an adult kick, bite, punch, choke, burn you, or physically attack you in some way? 34
1 Never
1 or 2 times 2
3 to 5 times 3
6 to 10 times 4
More than 10 times 5
Go to question 36
while you were in grade school? 7
while you were in high school? 8
C3ABU8C
C3ABU8B
C3ABU10C
C3ABU9
C3ABU10A
C3ABU10B
C3ABU11
Page 18
Before age 16 when you were growing up, did anyone ever do any of the following things when you didn't want them to: touch the private parts of your body or make you touch their private parts, threaten or try to have sex with you or sexually force themselves on you? 36
1 Never
1 or 2 times 2
3 to 5 times 3
6 to 10 times 4
More than 10 times 5
When did this happen... 37
MARK ALL THAT APPLY.
6 before you began grade school? C3ABU14A
while you were in grade school? 7
while you were in high school?
8
Stop here and tell interviewer you have finished.
When did this happen... 35
MARK ALL THAT APPLY.
6 before you began grade school?
while you were in grade school? 7 C3ABU12B
while you were in high school? 8
C3ABU14C
C3ABU13
C3ABU12C
C3ABU12A
C3ABU14B
Thank you for answering these questions. Tell interviewer you have finished.
Section D
About Being a Parent
Listed below are statements about raising children. Thinking about your (child/children), please indicate on a scale from "not at all true" to "completely true" the choice that describes how true each statement is. 38
In most families there are disagreements or arguments. How often do you and your (spouse/partner/other caregivers) disagree about... 39
A little
true
Being a parent is harder than I
thought it would be.
a)
Very
true
Completely
true
Somewhat
true
4
5
2
Not at all
true
1
I get a lot of satisfaction out of being
a parent.
b)
9
10
7
6
I feel trapped by my responsibilities
as a parent.
c)
14
15
12
11
I find that taking care of my (child/children)
is much more work than pleasure.
d)
19
20
17
16
Being a parent rarely gets me down.
e)
24
25
22
21
3
8
13
18
23
I often feel tired, worn out, or
exhausted from raising a family.
f)
29
30
27
26
28
I wouldn't trade being a parent for
anything.
g)
34
35
32
31
33
Being a parent is as satisfying as I
expected.
h)
39
40
37
36
38
Sometimes
how your children are raised?
a)
Never
Hardly
Ever
5
3
Often
2
disciplining children?
b)
10
8
7
how you spend money on children?
c)
15
13
12
d)
20
18
17
the amount of time (he/she) spends with
children?
e)
25
23
22
4
9
14
19
24
how (he/she) spends money on children?
1
6
11
16
21
Very
Often
C3PRAGRE
C3PRSATA
C3PRSATB
C3PRSATC
C3PRSATD
C3PRSATE
C3PRSATF
C3PRSATG
C3PRSATH
C3PRAGRA
C3PRAGRB
C3PRAGRC
C3PRAGRD
Page 20
When responding to the remaining questions please refer to "selected child".
How often do you praise this child, by saying something like "Good for you!" or "What a nice thing you did!" or "That's good going!"? 40
1 Never
About once a week or less 2
A few times a week 3
One or two times a day 4
Many times each day 5
How often do you and your child talk or play with each other, focussing attention on each other for five minutes or more, just for fun? 41
6 Never
7 About once a week or less
8 A few times a week
9 One or two times a day
10 Many times each day
How often do you and your child laugh together? 42
1 Never
2 About once a week or less
3 A few times a week
4 One or two times a day
5 Many times each day
How often do you get annoyed with this child for saying or doing something (he/she) is not supposed to? 43
6 Never
7 About once a week or less
8 A few times a week
9 One or two times a day
10 Many times each day
How often do you tell your child that (he/she) is bad or not as good as others? 44
1 Never
2 About once a week or less
3 A few times a week
4 One or two times a day
5 Many times each day
How often do you do something special with this child that (he/she) enjoys? 45
6 Never
7 About once a week or less
8 A few times a week
9 One or two times a day
10 Many times each day
C3PRST6
C3PRST5
C3PRST4
C3PRST3
C3PRST2
C3PRST1
If your child is less than 3 years old, please go to question 47. Otherwise, go to next question.
How often do you play sports, hobbies or games with this child? 46
C3PRST7
How often do you play games with this child? 47
C3PRST8
1 Never
About once a week or less 2
A few times a week 3
One or two times a day 4
Many times each day 5
6 Never
7 About once a week or less
8 A few times a week
9 One or two times a day
10 Many times each day
If your child is less than 2 years old, you have completed this section of the questionnaire. Please tell the interviewer. Otherwise, go to next question.
We know that when parents spend time together with their children, some of the time things go well and some of the time they don't go well. For the following questions, please mark what proportion of the time things turn out in different ways when you and this child are together. 48
Of all the times that you talk to this child about (his/her) behaviour, what proportion is praise?
1 Never
Less than half the time 2
About half the time 3
More than half the time 4
All the time 5
Of all the times that you talk to your child about (his/her) behaviour, what proportion is disapproval? 49
6 Never
7 Less than half the time
8 About half the time
9 More than half the time
10 All the time
When you give your child a command or order to do something, what proportion of the time do you make sure that (he/she) does it? 50
1 Never
2 Less than half the time
3 About half the time
4 More than half the time
5 All the time
C3PRST10
C3PRST9
C3PRST11
Page 22
8-5300-406.1
Go to question 48
If you tell your child that (he/she) will get punished if (he/she) doesn't stop doing something, and (he/she) keeps doing it, how often will you punish (him/her)? 51
6 Never
Less than half the time 7
About half the time 8
More than half the time 9
All the time 10
How often does (he/she) get away with things that you feel should have been punished? 52
1 Never
2 Less than half the time
3 About half the time
4 More than half the time
5 All the time
How often do you get angry when you punish this child? 53
6 Never
7 Less than half the time
8 About half the time
9 More than half the time
10 All the time
How often do you think that the kind of punishment you give this child depends on your mood? 54
1 Never
2 Less than half the time
3 About half the time
4 More than half the time
5 All the time
How often do you feel you are having problems managing your child in general? 55
6 Never
7 Less than half the time
8 About half the time
9 More than half the time
10 All the time
How often is this child able to get out of a punishment when (he/she) really sets (his/her) mind to it? 56
1 Never
2 Less than half the time
3 About half the time
4 More than half the time
5 All the time
C3PRST17
C3PRST16
C3PRST15
C3PRST14
C3PRST13
C3PRST12
How often when you discipline this child, does (he/she) ignore the punishment?
57
6 Never
Less than half the time 7
About half the time 8
More than half the time 9
All the time 10
How often do you have to discipline your child repeatedly for the same thing? 58
1 Never
2 Less than half the time
3 About half the time
4 More than half the time
5 All the time
C3PRST18
C3PRST19
About half the time 8
More than half the time 9
All the time 10
How often do you have to discipline your child repeatedly for the same thing? 58
1 Never
2 Less than half the time
3 About half the time
4 More than half the time
5 All the time
For each statement, please choose the answer that best describes your child now or within the past six months. 59
Can't sit still, is restless or hyperactive.
a)
Sometimes or
somewhat
true
Often or very true
Never or
not true
2
3
Destroys (his/her) own things.
b)
5
6
1
4
Steals at home.
c)
8
9
7
Gets into many fights.
e)
14
15
13
Is distractible, has trouble sticking to any activity.
f)
Is not as happy as other children.
g)
17
18
16
Destroys things belonging to (his/her) family, or other children.
h)
20
21
19
Fidgets.
i)
23
24
22
Is disobedient at school.
j)
26
27
25
29
30
28
Seems to be unhappy, sad or depressed.
d)
11
12
10
If your child is 6 years old or older, please go to next question. Otherwise, you have finished this section of the questionnaire. Please tell the interviewer.
C3PRST18
C3PRST19
C3CHKLA
C3CHKLB
C3CHKLC
C3CHKLD
C3CHKLE
C3CHKLF
C3CHKLG
C3CHKLH
C3CHKLI
C3CHKLJ
Page 24
Sometimes or
Please think about your child and choose the statement that applies to (him/her).
Thank you for answering these questions. Tell interviewer you have finished.
Page 26
|
Federal Government
The United States government provides student financial aid through various agencies and programs. Some of the major sources of federal aid are listed in this section.
For more information about programs administered by the U.S. Department of Education, call toll free (800) 4-FED-AID or visit www.ed.gov.
State Government
Federal Government
Public Universities
Private Colleges, Universities, and Seminaries
Two-Year Public Colleges
Alabama Companies and Organizations
Corporation for
National and
Community Service
Contact: Corporation for National and Community Service, 250 E Street, SW, Washington, DC 20525, 800.942.2677, www.nationalservice.gov; Alabama State Office, Corporation for National and Community Service, 950 22nd St., N., Suite 428, Birmingham AL 35203, 205.731.0030, email@example.com
National Service
AmeriCorps VISTA
q be a U.S. citizen or a permanent resident alien.
Eligibility: The recipient must:
q be at least 18 years old.
q agree to perform national com munity service before, during or after receiving postsecondary education.
q have a high school diploma or equivalent or agree to work to ward one by the time service is completed to earn the education award.
Award: Up to $5,550 for each year of completed service to pay current or fu ture education expenses or repay federal student loans
Number: Varies
KHEAA–Alabama KHEAA–Alabama
Internal Revenue Service
Contact: Internal Revenue Service Help Line 800.829.1040, www.irs.gov
Education Tax Credits
American Opportunity Credit
q The taxpayer must pay qualified tuition and related expenses of higher education for an eligible student (self, spouse or dependent claimed as an exemption on federal income tax return).
Eligibility: To claim the credit:
q The student must be enrolled at least half-time for at least 1 aca demic period during the year.
q The student must not have a felony
q The student must be pursuing an undergraduate degree or other recognized educational credential.
drug conviction.
______________________________________
Award: Up to $2,500 credit per eligible student
Number: All who are eligible
Deadline: Must file Form 8863 with recipient’s federal income tax return
Lifetime Learning Credit
Award: Up to a $2,000 credit per return. No limit on number of years credit can be claimed. For the most current information, visit www.irs.gov.
Eligibility: Must pay qualified tuition and related expenses of higher education for an eligible student (self, spouse or dependent claimed as an exemption on federal income tax return).
Number:
All who are eligible federal income tax return
Deadline: Must file Form 8863 with
9
U.S. Department
of
Agriculture
Loan Repayment Programs
Veterinary Medicine
Eligibility: The applicant must:
Loan Repayment Program
q be a veterinarian.
q have qualifying educational loan debt as defined in 7 CFR 3431 Section 3.
q have a doctor of veterinary medi cine degree or the equivalent from a college of veterinary medicine accredited by the AVMA Council on Education.
q secure an offer of employment or establish and/or maintain a practice in a veterinary shortage situation, as determined by the secretary of agriculture, within the time period specified in the VMLRP service agreement offer.
Award: Up to $25,000 of student loan debt per year
q provide certifications and verifica tions in accordance with 7 CFR 3431 Section 16.
Obligation: Must work at least 3 years, providing veterinary services in a desig nated shortage area
Contact: National Institute of Food and Agriculture, U.S. Department of Agriculture, STOP 2220, 1400 Inde pendence Avenue, SW, Washington, DC 20250, 202.401.4952, vmlrp@nifa. usda.gov, www.nifa.usda.gov/vmlrp
Deadline: May
Scholarships
National Scholars Program Scholarship
Eligibility: The applicant must:
q
q be a graduating high school senior,
be a U.S. citizen.
Affording Higher Education 2017–2018
a GED holder or a rising college sophomore or junior.
q have at least a 21 ACT composite or equivalent SAT score.
q have at least a 3.0 cumulative GPA.
q major in agriculture, food or natural resource sciences or other related discipline.
q demonstrate leadership and com munity service.
q attend Alabama A&M University, Tuskegee University or another 1890 Historically Black Land Grant Institution.
In addition, a current college student must submit:
q 2 letters of recommendation.
q a current résumé.
q a 500- to 800-word essay describ ing interest in USDA, how the scholarship will impact the student and student's experiences and perceptions about agriculture, food and natural resource sciences.
Contact: USDA liaison officer of the school the student plans to attend or USDA/1890 Programs, 202.205.4307, firstname.lastname@example.org, www.outreach.usda. gov/education/1890
Award: Full tuition; fees; books; room and board; use of a laptop computer, printer and software while on scholarship; em ployment; and employment benefits for 4 years while pursuing a bachelor's degree Obligation: Must work 1 year for the USDA for each year of financial support Deadline: Varies
KHEAA–Alabama
U.S. Department
of
Defense
Contact: Unless otherwise noted, indi vidual listed for each program
Scholarships
Air Force ROTC
Air Force Reserve Officers Training Corps (ROTC)
Contact: Unless otherwise noted, Air Force ROTC College Scholarship Selection Section, 551 East Maxwell Boulevard, Maxwell AFB, AL 36112; 866.4AFROTC; www.afrotc.com
General Scholarships
Eligibility: The applicant must:
High School Scholarship
q be a high school graduate or have an equivalent certificate.
q be 17 years old before scholarship activation and under 31 years old as of December 31 of the year student will commission.
q be or become a U.S. citizen.
q not be enrolled full-time at a col lege or a university except for a joint high school-college program.
q have at least a 3.0 cumulative GPA.
q complete the physical fitness as sessment and submit the letter of certification.
q have at least a composite 26 ACT score or equivalent SAT score.
Award: Type 1 — tuition, most fees and $900 per year for books.
q attend a personal interview.
Type 2 — tuition and most fees up to $18,000 and $900 per year for books. If student attends a school where the tuition exceeds $18,000 per year, the student pays the difference.
Type 7 — tuition, but the student must attend a public college in which the student
10
qualifies for in-state tuition, $900 per year for books and up to $400 monthly stipend. Obligation: The recipient must:
q enlist in the Air Force Reserve and enroll in Air Force ROTC.
q enroll in the academic major in which the scholarship is offered.
q satisfactorily complete a 4-week summer field-training course at an Air Force base.
q accept a commission as an Air Force officer.
q complete the Air Force ROTC Professional Officer Course.
q serve at least 4 years on active duty.
**********
Number: Varies
In-College Scholarship
q be a college freshman or sopho more.
Eligibility: The applicant must:
q be a U.S. citizen.
q pass the Air Force ROTC Physical Fitness Test.
q pass the Air Force Officer Qualify ing Test.
q have at least a 2.5 cumulative GPA.
q meet the age, moral and other scholarship eligibility require ments.
q not already be a contracted scholar ship recipient.
Award: Type 2 — up to $18,000 per year. $900 per year for books, and $300 to $500 monthly stipend
Type 6 — up to $3,000 per year
Type 3— up to $9,000.
Number: Varies
Minority School Scholarship Eligibility: The applicant must:
**********
q be a U.S. citizen.
q pass the Air Force ROTC Physical Fitness Test.
q pass the Air Force Officer Qualify ing Test.
q have at least a 2.5 cumulative GPA.
q not already be a contracted scholar ship recipient.
q complete a physical examination and be certified as commissionqualified by the Department of Defense Medical Examination Review Board.
q meet the age, moral and other scholarship eligibility require ments.
Student does not need to be a minority to qualify for scholarship.
q attend a historically black college or university or Hispanic-serving institution.
Award: Up to $18,000 per year plus $900 per year for books
Number: Varies
Contact: Detachment serving the school
Active Duty Personnel Scholarships
q be a U.S. citizen.
General Eligibility: In addition to any criteria under a particular scholarship, the applicant must:
q have at least 1 year Time-In-Ser vice and 1 year Time-On-Station.
q have at least a 2.5 cumulative GPA.
q be recommended by immediate commander.
q have at least 24 hours of college graded coursework (if student has not earned at least 24 hours of graded college work, student must have at least a 24 ACT composite score or an equivalent SAT score).
q earn Air Force Officer Qualifying Test scores of at least 15 on the verbal scale and at least 10 on the quantitative scale.
q be admitted to a school offering Air Force ROTC and the academic major chosen.
q meet the requirements for com missioning.
q meet the requirements for overseas retainability.
q not be selected for reassignment before submission of the applica tion.
q be an active duty enlisted person.
q separate from active duty Air Force to join an Air Force ROTC detachment and become a full-time college student.
KHEAA–Alabama KHEAA–Alabama
Airman Scholarship and Commissioning Program
q be under age 31 on December 31 of the year student will graduate and earn commission.
Eligibility: In addition to general require ments above, the applicant must:
q be able to complete degree within 2 to 4 years.
The majority of awards go to students majoring in nursing or a technical field (computer, electrical or environmental engineering, aeronautical, aerospace, architectural, astronautical, civil, meteo rology/atmospheric sciences, mechanical engineering, any other ABET-accredited engineering major, architecture, chemis try, computer science, mathematics, or physics).
q pass the Air Force ROTC Physical Fitness Test.
Other majors may also receive awards. List of majors is subject to change.
Number: Varies
Award: Up to $18,000 per year, $900 an nual book allowance, up to $500 monthly stipend
**********
Eligibility: In addition to general require ments above, the applicant must:
Professional Officer Course Early Release Program
q meet age requirements.
q pass the Air Force ROTC Physical Fitness Test.
q be able to complete degree within 2 years.
The majority of awards go to students majoring in nursing or a technical field (computer, electrical or environmental engineering, aeronautical, aerospace, architectural, astronautical, civil, meteo rology/atmospheric sciences, mechanical engineering, any other ABET-accredited engineering major, architecture, chemis try, computer science, mathematics, or physics).
Other majors may also receive awards. List of majors is subject to change. Award: $450-$500 monthly stipend Number: Varies
11
**********
Eligibility: In addition to general require ments above, the applicant must:
Scholarships for Outstanding Airmen to ROTC
q be under age 31 on December 31 of the year student will graduate and earn commission.
q pass the Air Force ROTC Physical Fitness Test.
q be able to complete degree within 2 to 4 years.
Award: Up to $18,000 per year, $900 per year for books, and $250-$500 monthly stipend
Number: Varies
Army ROTC
Army Reserve Officers Training Corps (ROTC)
Contact: Military Science Department of the school; 800.USA.ROTC; www. goarmy.com/rotc
College Scholarships
q be a U.S. citizen.
General Eligibility: In addition to any criteria under a particular scholarship, the applicant must:
q have a high school diploma or equivalent.
q agree to accept a commission and serve in the Army on active duty, the U.S. Army Reserve or Army National Guard.
q meet physical standards.
College Four-year Scholarship
Eligibility: In addition to the general requirements above, the applicant must:
q
q be a college freshman in the first year of a 4-year undergraduate program.
be age 17–26.
q have a high school GPA of at least 2.5.
q have at least a 19 ACT score or equivalent SAT score.
Award: Tuition, stipend of $300-$500 per month, and book allowance
Obligation: Must serve in the Army
Number: Varies
Affording Higher Education 2017–2018
**********
Eligibility: In addition to general require ments above, the applicant must:
College Three-year Scholarship
q be age 17–27.
q have a college GPA of at least 2.5.
q be enrolled in a college or uni versity with 3 academic years remaining.
q have at least a 19 ACT score or equivalent SAT score.
**********
Award: Tuition, stipend of $300-$500 per month, and book allowance
Obligation: Must serve in the Army
Number: Varies
College Two-year Scholarship
q be age 17–27.
Eligibility: In addition to general require ments above, the applicant must:
q be enrolled in a college or uni versity with 2 academic years remaining.
q have at least a 19 ACT score or equivalent SAT score.
q have a college GPA of at least 2.5.
Award: Tuition, stipend of $300-$500 per
Obligation:
Must serve in the Army month, and book allowance
Number: Varies
Green to Gold Scholarships
q be a U.S. citizen.
General Eligibility: In addition to any criteria under a particular scholarship, the applicant must:
q be an enlisted soldier.
q not have been convicted of a do mestic violence crime.
q be under 31 on December 31 of the year the soldier completes all requirements for a commission and a college baccalaureate degree.
q have at least 2 years of active duty as well as 3 months of active duty for every month of specialized training.
q have passed the Army Physical Fit ness Test within the last 6 months with a score of at least 180 (at least 60 points in each event).
q have a General Technical score of at least 110.
q be a high school graduate or equivalent.
KHEAA–Alabama
q have a cumulative high school or college GPA of at least 2.5.
q submit a letter of acceptance from the professor of military service of that Army ROTC battalion.
q submit a letter of acceptance to school of choice offering Army ROTC.
q have a favorable national agency check.
q be eligible to reenlist.
q demonstrate medical qualification.
q not be a conscientious objector.
Award: Tuition or room and board sup port; money for textbooks, supplies, and equipment; monthly stipend for up to 10 months each school year that increases each year based on student's military science class; attendance at Leader Development and Assessment Course between the junior and senior years of college; if qualified, Montgomery GI Bill/ Army College Fund benefits; and possible other incentives offered by the colleges and universities
q have no more than 3 dependents, including spouse.
Obligation: Must serve in the Army
Number: Varies
Green to Gold Four-year Scholarship Eligibility: In addition to the general eli gibility requirements above, must require 4 years to complete a degree.
Green to Gold
**********
Three-year Scholarship
**********
Eligibility: In addition to the general eli gibility requirements above, must require 3 years to complete a degree.
Green to Gold Two-year Scholarship Eligibility: In addition to the general eli gibility requirements above, must require 2 years to complete a degree.
Other Scholarships
q be a U.S. citizen.
High School Four-year Scholarship Eligibility: The applicant must:
q be age 17–26.
q have at least a 2.5 cumulative high school GPA.
12
q have at least a 19 ACT score or equivalent SAT score.
q agree to accept a commission and serve in the Army on active duty, the U.S. Army Reserve or Army National Guard.
q meet physical standards.
Award: Tuition, stipend of $300–$500
per month, and book allowance
Obligation: Must serve in the Army
Number: Varies
Nurse Program
**********
Eligibility:
Must be an undergraduate academic advisor or campus Military
nursing student. Contact high school
Science Department for more information per month, and book allowance
Award: Tuition, stipend of $300–$500
Obligation: Must serve in the Army
Number: Varies
Civil Air Patrol
Civil Air Patrol (CAP)
Eligibility: The applicant must:
Academic Scholarship
q be a CAP member.
q be accepted to a college or provide proof that an application has been made.
q be a high school senior or graduate or hold a GED.
q have earned the Billy Mitchell Award (cadets only) or attained a senior rating in any specialty track (seniors only).
q be enrolled in a full-time course of study during the academic year for which the scholarship is awarded.
q attend an accredited postsecondary school or college.
q have and maintain an academic and discipline standard acceptable to the school.
Award:
q not have received the scholarship in the past.
Number:
$1,000 to $2,500
Deadline: January 15, complete CAP's online application
Varies
Contact: CAP National Headquarters/ CP, Attn: Scholarships, 105 South Han sell Street, Maxwell AFB, AL 36112,
www.capmembers.com/cadet_programs/ library/scholarships/academic-scholar ships/
National Security Education Program
Contact: National Security Education Program, Institute of International Educa tion, 1400 K Street Northwest, Washing ton, DC 20005, 800.618.NSEP, boren@ iie.org, www.borenawards.org
David L. Boren Fellowship for Graduate Students
q be a U.S. citizen at the time of application.
Eligibility: The applicant must:
q have matriculated or been accepted into a U.S. advanced degree pro gram.
Open to all majors. Available for do mestic, international or a combination of domestic and international study. Cannot be used for study in Australia, Canada, New Zealand or countries in western Europe.
q plan to study a particular world region and language.
Award: Up to $12,000 for domestic study, up to $24,000 for international study, and up to $30,000 for a combination of both.
Deadline:
Recipients are required to provide ser vice for at least 1 year in a federal agency with national security responsibilities.
**********
Late January
David L. Boren Undergraduate Scholarship for Study Abroad
q be a U.S. citizen at the time of application.
Eligibility: The applicant must:
q have matriculated as a freshman, sophomore, junior or senior in a U.S. postsecondary institution, in cluding universities, colleges and community colleges accredited by an accrediting body recognized by the U.S. Department of Education.
Open to all majors. Available for study in all countries except Australia, Canada,
q apply to participate in a study abroad program that meets home institution standards.
KHEAA–Alabama KHEAA–Alabama
New Zealand, and those in Western Eu rope.
Award: Up to $10,000, for a semester; up to $20,000 for an academic year; up to $8,000 for at least an 8-week summer program for a science, technology, engi neering or mathematics student.
NSEP encourages applications from students proposing study in countries critical to U.S. national security. NSEP updates this list annually. For a complete up-to-date listing, contact NSEP.
Recipients are required to provide ser vice for at least 1 year in a federal agency with national security responsibilities.
Deadline: February 9
Naval ROTC
Contact: Unless otherwise noted, lo cal Navy recruiter; 800.NAV.ROTC; email@example.com; www.nrotc.navy.mil
Frederick C. Branch Marine Corps Leadership Scholarship
The 4-year program is open to civilians and Marines. The 3- and 2-year program is open to civilians and college program midshipmen who are attending or will attend an affiliated HBCU.
Eligibility: Must attend a historically black college or university (HBCU) af filiated with NROTC.
Not open to U.S. Navy Scholarship midshipmen or Marines in Active Reserve status.
Amount: Scholarships and benefits are the same as those of any NROTC Ma rine Option Scholarship student.
Available to men and women of any race or ethnic background.
Deadline: Nominations for fall enroll ment, accepted from October 1 to July 15 if applying through a NROTC unit. The deadline for online applications is January 31. Applicants for a 4-year scholarship must use the online applica tion if they are applying through a local Marine recruiting station.
Contact: Local Marine recruiter
13
**********
Note: Applicants can choose 1 of 3 op tions: Navy, nurse or Marine.
Four-Year Scholarship
Eligibility: The applicant must:
q
q be at least 17 years old by Septem ber 1 of the year starting college and less than 23 on June 30 of that academic year.
be a U.S. citizen.
q have at least a 21 math and 22 English on ACT or equivalent SAT for Navy and nurse options.
q meet physical requirements.
q have at least a 22 ACT score or equivalent SAT score for Marine option.
Applicants with previous active duty service may be eligible for age waivers.
Visit www.nrotc.navy.mil for additional requirements.
Applicants in the top 10% of their high school graduating class may apply for the Navy option with SAT/ACT scores below the above stated minimum.
Award: Tuition, fees, book allowance, uniforms, and monthly allowance
Deadline:
Number: Varies
**********
January 31
Minority Serving Institution Scholarship
Award: Tuition, fees, book allowance, uniforms, and monthly allowance
Number: Varies
Contact: 800.NAV.ROTC, pnsc_nrotc_
firstname.lastname@example.org
Eligibility: Must be U.S. citizen at least 17 years old by September 1 of the year starting college and less than 23 on June 30 of that academic year. Applicants with previous active duty service may be eli gible for age waivers. Must take SAT or ACT for Navy option. Must have a least a 22 ACT score or equivalent SAT score for Marine option. Must meet physical requirements. Visit www.nrotc.navy.mil for additional requirements.
**********
q be a U.S. citizen.
q be at least 17 years old by Septem ber 1 of the year starting college
Two- and Three-Year Scholarship Eligibility: The applicant must:
Affording Higher Education 2017–2018
and less than 27 on June 30 of the year applicant expects to graduate and complete NROTC training requirements.
q have at least a 2.5 GPA.
q be a college sophomore.
q have taken 2 semesters or 3 quar ters) of differential and integral calculus of 1 real variable with grades of C or better (precalculus does not meet this requirement).
Applicants with previous active duty service may be eligible for age waivers.
q meet physical requirements.
Visit www.nrotc.navy.mil for additional requirements.
Award: Tuition, fees, book allowance, uniforms, and monthly allowance
Number: Varies
Contact: Nearest NROTC unit; 800.NAV.
ROTC, ext. 2-9380
Deadline: March 15
U.S. Department
of Education
Contact: Unless otherwise noted, U.S. Department of Education, 800.433.3243; high school counselor; or college financial aid office
Fellowships
Mary Switzer Research Fellowship Eligibility: Must be a graduate student and experienced researcher.
Contact: Marlene Spencer, U.S. Depart ment of Education, OSERS, National Institute on Disability and Rehabilitation Research, 400 Maryland Avenue, South west, Room 6026, PCP, Washington, DC 20202, 202.245.7532, marlene.spencer@ ed.gov
KHEAA–Alabama
Grants
Federal Pell Grant
q be a U.S. citizen or eligible non citizen.
Eligibility: The applicant must:
q be an undergraduate student.
q be enrolled in an eligible program and pursuing a degree or certificate.
q have financial need.
q have a high school diploma or GED
q make satisfactory academic prog ress.
or have been home schooled.
An undergraduate student who holds a bachelor's or higher degree is not eligible. Students enrolled in a postbaccalaureate teacher certification or licensing program may be eligible.
Number: Unlimited
Award: For the 2016–2017 school year, up to $5,815. Students can receive no more than 6 awards. Part-time students are assessed accordingly.
______________________________________
Federal Supplemental Educational Opportunity Grant
q be a U.S. citizen or eligible non citizen.
Eligibility: The applicant must:
q be an undergraduate student.
q be enrolled in an eligible program and pursuing a degree or certificate.
q have exceptional financial need.
q have a high school diploma or GED or have been home schooled.
Eligibility may differ according to school policy.
q make satisfactory academic prog ress.
An undergraduate student who holds a
______________________________________
bachelor's or higher degree is not eligible. Award: Up to $4,000 per year Number: Varies by college
Iraq and Afghanistan Service Grant Eligibility: The applicant must:
q be under 24 years of age or be enrolled in college at least part-
q have had a parent or guardian die as a result of military service in Iraq or Afghanistan after September 11, 2001.
14
time at the time of the parent's or guardian's death.
Award: Up to $5,413, not to exceed the cost of attendance for the award year
q not be eligible to receive a Pell Grant.
Loans
Federal Direct Loan
q be a citizen, permanent resident or eligible noncitizen of the United States.
Eligibility: The applicant must:
q be an undergraduate, graduate or professional student.
q be enrolled or accepted for enroll ment at least half-time in an eligible degree or certificate program at an eligible school.
q have financial need.
q have a high school diploma or its equivalent.
q not be in default or owe a refund on any federal education grant or loan unless arrangements have been made to repay the debt.
q be in good standing and making satisfactory academic progress if currently enrolled.
Students must demonstrate financial need to qualify for a subsidized loan. Only undergraduate students may receive subsidized Direct Loans. The federal government pays the interest while the student is in school and during authorized deferment periods. The borrower begins paying the interest and principal when the loan enters repayment.
Financial need is determined for the subsidized loan before eligibility is de termined for the unsubsidized loan.
Students do not have to demonstrate financial need to qualify for an unsubsi dized loan. Unlike a subsidized loan, the borrower must begin paying the interest immediately. Interest on an unsubsidized loan may be paid monthly or quarterly or added to the principal balance.
The Direct Loan amount for an academic period cannot exceed the student's cost of attendance (as determined by the school) minus the student's estimated financial assistance and, if the loan is subsidized,
expected family contribution. Schools
Award: An undergraduate borrower may receive a subsidized loan, an unsubsidized loan or both for an academic period. How ever, the total amount received may not exceed the loan limits for each academic year based on the borrower's dependency status and grade level and the length of the program of study in which the borrower is enrolled. The current loan limits are:
will determine the student's eligibility. Repayment: Several repayment plans are available. Repayment begins 6 months after the borrower leaves school or drops below half-time status. On unsubsidized loans, interest begins to accrue upon disbursement. A new interest rate is set each year.
______________________________________
Aggregate Limit: $31,000 for dependent undergraduate students; $57,500 for independent undergraduate students; $138,500 for graduate and professional students
Federal Perkins Loan
The Perkins Loan program is currently funded only through the 2017–2018 ac ademic year. It may not be available for the 2018–2019 academic year.
Eligibility: Must be an undergraduate student who received a Perkins Loan disbursement after June 30, 2017, and be fore October 1, 2017, may receive further disbursements through June 30, 2018.
Repayment: Repayment begins 9 months after the borrower leaves school or drops below half-time status. The interest rate is 5%.
Aggregate Limit: $27,500 for undergrad uate students; up to $60,000 for graduate students, including the amount borrowed while an undergraduate
Award: Up to $5,500 per year for an undergraduate student; up to $8,000 per year for a graduate student
KHEAA–Alabama KHEAA–Alabama
______________________________________
Federal PLUS Loan
q be the parent or stepparent of a dependent undergraduate student as determined by the school or be a graduate or professional student.
Eligibility: The borrower must:
q be a citizen, permanent resident or eligible noncitizen of the United
q verify Social Security number and immigration status.
States.
q not be in default or owe a refund on any educational grant or loan.
A student must:
q not have an adverse credit history under federal regulations.
q be a citizen, permanent resident or eligible noncitizen of the United States.
q have a high school diploma or its equivalent.
q be enrolled or accepted for enroll ment at least half-time in an eligible degree or certificate program at an eligible school.
q be in good standing and making satisfactory academic progress if currently enrolled.
q not be in default or owe a refund on any federal education grant or loan unless arrangements have been made to repay the debt.
q not be attending elementary or secondary school.
Repayment: Repayment begins within 60 days after the loan is fully disbursed. Payments on principal may be deferred under certain circumstances. Interest begins to accrue upon disbursement and must be paid monthly or quarterly or be added to the principal. A new interest rate is set each year.
Award: The annual loan amount may not exceed the student's estimated cost of attendance minus any other financial aid the student receives. There is no limit on the total amount a parent can borrow during a student's college years. There is also no aggregate limit for graduate and professional PLUS Loan borrowers. Number: Unlimited
15
______________________________________
Federal Consolidation Loan
Borrowers can consolidate most de faulted education loans if they make sat isfactory repayment arrangements with the current loan holders or agree to re pay their new Consolidation Loan under 1 of the following repayment plans: In come Contingent, Income-Based;or Pay as You Earn.
Eligibility: Must have at least 1 federal student loan that is in grace, repayment, deferment or default status. Loans in an in-school status cannot be included in a Consolidation Loan.
The following loans can be consoli dated:
l Federal Direct Loans.
l Federal Stafford Loans.
l Federal Consolidation Loans (un der certain circumstances).
l Guaranteed Student Loans.
l Federal Insured Student Loans.
l loans converted from Teacher Education Assistance for College and Higher Education Grants.
l PLUS Consolidation Loans.
l Federal PLUS Loans.
l Federal Perkins Loans.
l National Defense Student Loans.
l National Direct Student Loans.
l Federal Supplemental Loans for Students.
l Health Professions Student Loans.
l Auxiliary Loans to Assist Students.
l Health Education Assistance Loans .
l Loans for Disadvantaged Students.
l Nursing Student Loans.
New loans may be added if the request is received within 180 days of the date the Consolidation Loan is made.
The interest rate on the HEAL part of the loan (if applicable) varies and is set each July 1. The variable rate for each
Repayment: The repayment period de pends on the amount of the Consolidation Loan. Other student loans are considered when calculating the repayment period. Except for the portion of the Consolidation Loan attributable to HEAL, the interest rate is the weighted average of the inter est rates on the loans being consolidated, rounded to the next higher 1/8 of 1%.
Affording Higher Education 2017–2018
12-month period is equal to the average of the bond equivalent rate of the 91-day Treasury bills auctioned for the quarter ending June 30, plus 3%.
Contact: U.S. Department of Education
Conversion Grants/Loans
Teacher Education Assistance for College and Higher Education Grant Eligibility: The applicant must:
q be a U.S. citizen or eligible non citizen.
q complete the FAFSA.
q be enrolled as an undergraduate, post-baccalaureate or graduate student in a college that has chosen to participate in the program.
q meet academic achievement requirements (generally, scoring above the 75th percentile on a col lege admissions test or maintaining a cumulative GPA of at least 3.25).
q be enrolled in coursework that is necessary to begin a career in teaching or plan to complete such coursework.
q sign an agreement to teach.
If student fails to complete service obligation, all amounts received will be converted to a Federal Direct Unsubsi dized Stafford Loan. Student must then repay this loan to the U.S. Department of Education. Student will be charged interest from the date each grant was disbursed.
Obligation: Must agree to serve as a full-time teacher in a high-need field in a public or private elementary or sec ondary school that serves low-income students for at least 4 academic years within 8 calendar years of completing the program of study.
Award: Up to $3,724 each year
Number: All who meet requirements
Contact: Financial aid office
Work-Study
Federal Work-Study
q be an undergraduate or graduate student.
Eligibility: The applicant must:
q be a U.S. citizen or eligible non citizen.
KHEAA–Alabama
q be enrolled in an eligible program and pursuing a degree or certificate.
q have a high school diploma or GED or have been home schooled.
q have financial need.
q make satisfactory academic prog ress.
Award: At least the current federal mini mum wage
Number: Varies by college
Eligibility may differ according to school policy.
U.S. Department of Health and Human Services
Contact: Unless otherwise noted, finan cial aid office of the school student plans to attend or www.hrsa.gov/
Loan Repayment Programs
Faculty Loan Repayment Program Eligibility: The applicant must:
q have a degree or be enrolled in an approved program in:
q be a U.S. citizen, national or lawful permanent resident.
l allopathic medicine.
l podiatric medicine.
l osteopathic medicine.
l veterinary medicine.
l pharmacy.
l dentistry.
l optometry.
l public health (graduate level).
l nursing (RN or advanced practice RN).
l physician assistant.
l allied health (dental hygiene, medical laboratory technology, occupational therapy, physical therapy, radiologic technology,
l behavioral and mental health (graduate level clinical psychol ogy, clinical social work, profes sional counseling, marriage and family therapy).
16
speech pathology, audiology, reg istered dietetics).
q have an employment commitment for a full- or part-time faculty posi tion for at least 2 years, beginning no later than July 31, from an eligible school.
q be from a disadvantaged back ground.
Award: Up to $40,000 toward repayment of student loans and provides funds to offset the tax burden
Contact: https://bhw.hrsa.gov/loansscholarships/flrp
Obligation: Agree to serve on the fac ulty of an accredited health professions college or university for 2 years
______________________________________
National Health Service Corps Students to Service Loan Repayment Program
q be a U.S. citizen or national.
Eligibility: The applicant must:
q be pursuing an M.D. or D.O. degree at an eligible medical school.
q be taking enough courses required for the qualifying degree program to have full-time status.
q be in the last year of medical school and graduate before July 1.
q submit proof of having passed Step/Level 1 of the United States Medical Licensing Examination or the Comprehensive Osteopathic Medical Licensing Examination.
q be eligible for federal employment.
q be planning to complete an ac credited primary medical care residency in an approved specialty.
q not have any judgment liens arising from federal debt.
Deadline:
Award: Up to $120,000 federal tax free in return for a 3-year commitment of full-time service
Contact: https://nhsc.hrsa.gov/loanrepay-
ment/index.html
Varies
______________________________________
NURSE Corps Loan Repayment Program
q be a registered nurse who has completed training (diploma, as sociate's, bachelor's or graduate).
Eligibility: The applicant must:
q be licensed and employed at least 32 hours per week at an eligible nonprofit facility.
q have received an education from an accredited school of nursing located in the U.S.
q be a U.S. citizen, national or lawful permanent resident.
Only nonprofit facilities of the fol lowing types are eligible:
l federally qualified health centers.
l hospitals.
l Indian health service health cen ters.
l rural health clinics.
l native Hawaiian health centers.
l nursing homes.
l hospice programs.
l state or local public health or hu man services departments.
l home health agencies.
l ambulatory surgical centers.
l skilled nursing facilities.
Preference given to qualified appli cants whose total qualifying educational loans are at least 40 percent more than their base annual salary and who work at one of the following:
l federally qualified health center, Indian health service health center, native Hawaiian health center or rural health clinic.
l disproportionate share hospital or critical access hospital.
l nursing home.
Award: 60 percent of total qualifying nursing education loan balance. For an optional third year of service, partici pants may receive 25 percent of original total qualifying nursing education loan balance. Participants also receive the salary and benefits negotiated with em ploying facility.
l state or local public health or hu man services department.
Obligation: 2 years of service
Contact: https://bhw.hrsa.gov/loans scholarships/nursecorps/
Loans
General Eligibility: In addition to any criteria under a specific loan program, the applicant must be a citizen, national
KHEAA–Alabama
KHEAA–Alabama or lawful permanent resident of 1 of the following:
l the District of Columbia.
l the United States.
l the Commonwealth of Puerto Rico.
l the U.S. Virgin Islands.
l the Commonwealth of the Mari anas Islands.
l Guam.
l the Republic of Palau.
l American Samoa.
l the Republic of the Marshall Is lands.
l the Federated State of Micronesia.
Health Professions Student Loan
q be a full-time student.
Eligibility: The applicant must:
q demonstrate financial need.
Repayment: Loans are repayable over a 10- to 25-year period (extension of the repayment schedule beyond 10 years is at the discretion of the school) starting 1 year after the student ceases full-time study. Interest is calculated at 5% (fixed rate) on the unpaid principal.
q be pursuing a degree in dentistry, optometry, pharmacy, podiatric medicine, or veterinary medicine.
Award: Varies; may not exceed the cost of attendance
Deadline: Varies by school
Number: Varies; dependent on funding
______________________________________
Loans for Disadvantaged Students Eligibility: The applicant must:
q
q have come from an environment that has made it difficult to obtain the knowledge, skills and abilities needed to complete education or training in a health professions school or be from a family with an annual income below a level set each year.
be a full-time student.
q be pursuing a career in allopathic medicine, osteopathic medicine, dentistry, optometry, podiatric medicine, pharmacy or veterinary medicine.
Repayment: Loans are repayable over a 10- to 25-year period (extension of the repayment schedule beyond 10 years is at the discretion of the school) starting
17
1 year after the student ceases full- time study. Interest accrues at the rate of 5% during repayment.
Number: Varies; dependent on funding
Deadline: Varies by school
Award: Varies; may not exceed the cost of attendance
______________________________________
Nursing Student Loan
q be enrolled at least half-time in a course leading to a diploma, degree (associate, bachelor's or graduate) in nursing.
Eligibility: The applicant must:
q demonstrate financial need.
Repayment: Monthly or quarterly over a 10-year period beginning 9 months after the borrower ceases to be at least a half-time student. Interest accrues at the rate of 5%.
q supply financial information about parents.
Extension of repayment beyond the 10-year schedule is dependent upon in dividual financial circumstances.
______________________________________
Award: Varies; dependent on funding
Number: Varies
Deadline: Varies by school
Primary Care Loan
q be a full-time student.
Eligibility: The applicant must:
q be pursuing a degree in allopathic or osteopathic medicine.
q not be in default on any federal loan and owe no federal grant refund.
q demonstrate financial need.
q be in good academic standing.
Obligation: Must agree to enter and complete a residency program in primary health care (defined as family medicine, pediatrics, internal medicine, combined medicine/pediatrics, preventive medicine or osteopathic general practice) within 4 years of graduation (including 3-year residency program) and practice in pri mary care until the loan is repaid in full. Repayment: Loans are repayable over a 10- to 25-year period (at the school's dis cretion if more than 10 years) beginning 1 year after the student ceases full-time enrollment.
q be registered with Selective Ser vice if required by law.
Affording Higher Education 2017–2018
Interest is 5% during repayment un less the student fails to select/complete and/or fails to practice in primary health care until the loan is paid in full.
Award: Varies; annual award may not exceed the cost of attendance
If recipient does not fulfill service agreement, the interest rate reverts to 18% for loans made before March 23, 2010. For loans made since that date, the interest rate is 2% above the regular interest rate.
Number: Varies; dependent on annual funds
Deadline: Varies by school
Scholarships
National Health Service Corps Scholarship
q be a U.S. citizen or national.
Eligibility: The applicant must:
q be a full-time student at an ac credited school.
Award: Tuition, fees, other reasonable educational costs and a taxable monthly stipend; for up to 4 years
q be pursuing a degree in an eligible discipline: medicine, dentistry, nurse practitioner, certified nursemidwife or physician assistant.
Obligation: In return for each school year or partial school year of financial support received, students agree to provide primary health care services for 1 year at an approved site located in a high-need health professional shortage area.
Deadline: May 8
For the first school year or partial school year, of support, there is at least a 2-year service commitment.
Contact: U.S. Department of Health and Human Services, Health Resources and Services Administration, Bureau of Clinician Recruitment and Service, 5600 Fishers Lane, Rockville, Mary land 20857, 800.221.9393, gethelp@ hrsa.gov, www.nhsc.hrsa.gov/scholarships
KHEAA–Alabama
______________________________________
National Institutes of Health (NIH) Undergraduate Scholarship Program for Individuals from Disadvantaged Backgrounds
q be a U.S. citizen, national or quali fied noncitizen.
Eligibility: The applicant must:
q be committed to a career in bio medical, behavioral or social sci ence health-related research.
q have at least a 3.3 GPA or be in the top 5% of class.
q be at least a college freshman enrolled or a community college transfer accepted for enrollment as a full-time student at a 4-year, accredited undergraduate institu tion.
q be from a disadvantaged back ground.
Number: About 10 each year
Deadline:
Award: Up to $20,000 a year, paid research training at the NIH during the summer and after graduation, mentoring, research experience, career guidance, and skill development
Deadline: March 1
Contact: National Institutes of Health, Undergraduate Scholarship Program, 2 Center Drive, Building 2, Room 2E20, MSC 0230, Bethesda, MD 20892, ugsp@ nih.gov, www.training.nih.gov/programs/ ugsp for more information
______________________________________
NURSE Corps Scholarship
q be a U.S. citizen, national or quali fied noncitizen.
Eligibility: The applicant must:
q be accepted for enrollment or en rolled in a professional registered nurse program at an accredited school of nursing located in a U.S. state or territory.
q be free from any federal judgment liens.
q begin classes no later than Sep tember 30.
q be free from existing service com mitments.
q not be delinquent on a federal debt. Preference given to student with greatest financial need who is enrolled full-time in an undergraduate nursing
18
program or master's nurse practitioner program.
Obligation: 2 years of service at a health care facility with a critical shortage of nurses
Award: Tuition, fees, other reasonable costs and a monthly stipend (entire amount is taxable)
Number: About 500
Deadline: April or May
______________________________________
Scholarships for Disadvantaged Students
q come from an environment that has made it difficult to obtain the knowledge and skills needed to complete education or training in a health professions school or come from a family with an annual income below a level set each year.
Eligibility: The applicant must:
q be a full-time student pursuing a degree in 1 of these fields:
l osteopathic medicine.
l medicine.
l dentistry.
l pharmacy.
l optometry.
l podiatric medicine.
l nursing.
l veterinary medicine.
l public health.
l allied health (bachelor's or gradu ate degree in dental hygiene, medical laboratory technology, occupational therapy, physical therapy, radiologic technology, speech pathology, audiology, and registered dietitics).
l chiropractic.
l a graduate program in behavioral and mental health practice, (clini cal psychology, clinical social work, professional counseling or marriage and family therapy).
q be a citizen, national or lawful permanent resident of 1 of the following:
l a program that trains physician assistants.
l the United States.
l the Commonwealth of Puerto Rico.
l the District of Columbia.
l the Commonwealth of the Mari anas Islands.
l the U.S. Virgin Islands.
l American Samoa.
l Guam.
l the Republic of Palau.
l the Federated State of Micronesia.
l the Republic of the Marshall Is lands.
Award: Depends on funding; maximum award may not exceed the cost of atten dance (tuition and reasonable education and living expenses)
Number:
Varies; depends on funding Varies by school
Deadline:
U.S. Department
of
Justice
Contact: Benefits Office, Bureau of Justice Assistance, 810 Seventh Street Northwest, Washington, DC 20531, toll free 888.744.6513, AskPSOB@usdoj. gov, www.psob.gov
Benefits
Public Safety Officers' Educational Assistance Program
q be the spouse or child of a federal, state or local police, fire or emer gency public safety officer killed in the line of duty after December 31, 1977.
Eligibility: The applicant must meet 1 of the following:
q be the spouse or child of a perma nently and totally disabled federal law enforcement officer who was injured in the line of duty after October 2, 1996.
q be a member of the family of a Federal Emergency Management Agency employee or a state, local or tribal emergency management
q be the spouse or child of a state and local police, fire or emergency public safety officer who was permanently and totally disabled in the line of duty after November 12, 1998.
KHEAA–Alabama and civil defense agency employee who was permanently and totally disabled after October 29, 2000.
Award: Set each year
U.S. Department
of
State
Contact: Institute of International Education, Gilman International Scholarship Program, 1800 West Loop South, Suite 250, Houston, TX 77027, www.iie.org/en/programs/gilmanscholarship-program
Scholarships
Benjamin A. Gilman International Scholarship
q be a U.S. citizen.
Eligibility: The applicant must:
q be an undergraduate in good aca demic standing.
q be applying to or have been ac cepted into a study abroad program eligible for credit by the student's accredited institution of higher education in the U.S.
q be receiving a Federal Pell Grant or provide proof that student will be receiving a Pell Grant at the time of application or during the term of study abroad.
q be studying abroad for at least 4 weeks in 1 country.
Award: Up to $5,000
Number: Over 2,700
Programs going to more than 1 country are eligible if the student will be studying in 1 country for at least 4 consecutive weeks.
Deadline: March 1
19
U.S. Department
of
Veterans Affairs
Contact: Veterans Affairs Office of the postsecondary school or the Veterans Administration Regional Office, 400 South 18th Street, St. Louis, MO 63103, 888.442.4551, https://benefits.va.gov/ gibill/
Benefits
Montgomery GI Bill Active Duty (MGIB-AD) – Chapter 30
q have served on active duty for at least 2 years.
Eligibility: The service member must:
q have an honorable discharge.
q meet the criteria in 1 of 4 catego ries.
q have a high school diploma, GED or, in some cases, at least 12 hours of college credit.
A less than honorable discharge dis qualifies an individual for all categories.
Eligibility generally ends 10 years after separation from active duty.
Discharge for convenience of govern ment, disability, hardship, medical condi tion that preexisted military service or one interfering with military job performance or reduction in force prior to completion of qualifying active duty may not be disqualifying.
Category I: Must have:
q have served continuously for 3 years (or for 2 years if that was the initial enlistment period) or for 2 years followed by 4-year enlistment in Selected Reserve if Selected Reserve service began within 1 year of leaving active duty.
q first entered active duty after June 30, 1985.
q had pay reduced by $100 per month for the first 12 months of enlistment.
Category II: Must have:
q have served at least 1 day between October 19, 1984, and June 30, 1985.
q entered active duty before January 1, 1977.
q have stayed on active duty through June 30, 1988 (or June 30, 1987, if 4-year Selected Reserve service began within 1 year of leaving ac tive duty).
Category III: Must not be eligible under Category I or Category II and have had military pay reduced by $1,200 before separation.
q have had entitlement left under the Vietnam Era GI Bill on December 31, 1989.
In addition, the service member must:
q have been involuntarily separated after November 29, 1993; or
q have been on active duty on September 30, 1990, and have been involuntarily separated after February 2, 1991; or
q have voluntarily separated under the Voluntary Separation Incen tive or Special Separation Benefit program.
In addition, the service member must:
Category IV: Must have had military pay reduced by $100 a month for 12 months or have made a $1,200 lump-sum contribution.
q have been on active duty on Octo ber 9, 1996, with money remain ing in a Post-Vietnam Veterans Educational Assistance Program (VEAP) account and have selected MGIB-AD by October 9, 1997; or
Benefits: Monthly benefits for training in degree and nondegree programs, ap prenticeship/on-job, correspondence, cooperative, and flight training for up to 36 months if eligible
q have entered full-time National Guard duty under Title 32 USC between July 1, 1985, and No vember 28, 1989, and have elected MGIB-AD between October 9, 1996, and July 8, 1997.
KHEAA–Alabama
______________________________________
Montgomery GI Bill Selected Reserve – Chapter 1606 Eligibility: The applicant must:
q have received a high school di ploma or GED before completing initial active duty for training.
q be a member of the Selected Reserve or National Guard who signed a 6-year obligation to serve after June 30, 1985.
q be in good standing in a Reserve or Guard unit.
______________________________________
Benefits: Up to $368 per month depending on the type of training
National Call to Service Program Eligibility: Must fulfill a 3-tiered service requirement.
(2): After completion of (1), must serve, without a break in service, either an additional period of active duty as determined by the secretary of defense or 24 months in the Selected Reserve.
(1): After completion of initial training, must serve 15 months on active duty in a military occupational specialty designated by the secretary of defense.
(3): After completion of (2), must serve, without a break in service, on active duty, in the Selected Reserve, in the Individual Ready Reserve or with Americorps on another domestic service program.
Benefits: Can choose 1 of the following:
(4): Any combination of (1), (2) and (3) if approved by the secretary of the military department concerned.
l repayment of up to $18,000 in qualifying student loans.
l allowance equal to 50% of the less than 3-year monthly MGIB-AD rate for 36 months.
l allowance equal to the 3-year monthly MGIB-AD rate for 12 month.
l coordination with MGIB-AD benefits.
______________________________________
l $5,000 cash bonus
Post-9/11 GI Bill – Chapter 33
Eligibility: Must have served at least 90 days of aggregate military service after September 10, 2001, and be on active duty, honorably discharged or honorably
20
released to an Armed Forces reserve component or to the retired or temporary disability retired lists.
Electing to receive Post-9/11 GI Bill benefits voids eligibility for Chapter 30, 1606 or 1607 benefits.
Veterans honorably discharged with a service-connected disability after at least 30 days of continuous service after September 10, 2001, are also eligible.
A service member may transfer unused benefits to dependents if the member:
q has at least 6 years of service in the Armed Forces and agrees to serve an additional 4 years.
q is still on active duty or serving in the Selected Reserve.
q has at least 10 years of service, cannot under standard policy or statute commit to an additional 4 years and agrees to serve the maximum time allowed by policy or statute; or became eligible for retirement (after 20 years of active duty or qualifying reserve service) between August 1, 2009, and Au gust 1, 2013, and agreed to serve 1 to 3 additional years.
The housing allowance and stipend are not payable to active duty personnel.
Benefits: Varies by length of service. Veterans with at least 36 months of service receive 100% of tuition and fees (not to exceed the most expensive in-state under graduate tuition at a public college; see Yellow Ribbon Program below), monthly housing allowance, and yearly books and supplies stipend of $1,000.
The housing allowance is not payable to student attending half-time or less or enrolled in distance learning.
May be used for up to 36 months and must be used within 15 years after the last period of active duty of at least 90 consecutive days, except in the case of a service-connected disability.
Veterans with between 3 and 35 months of service receive prorated amounts. Vet erans discharged with service-connected disability receive 100% of benefits.
______________________________________
Post-9/11 Marine Gunnery Sergeant John David Fry Scholarship – Chapter 33
Benefits: Up to the highest public, in-state undergraduate tuition and fees, plus a monthly living stipend and book allow ance, for up to 36 months
Eligibility: Must be the child under age 33 of an active duty member of the Armed Forces who died in the line of duty after September 10, 2001.
______________________________________
Post-Vietnam Veterans Educational Assistance Program (VEAP) – Chapter 32 Eligibility: The service member must:
q have contributed to VEAP before April 1, 1987.
q have first entered active duty after December 31, 1976, and before July 1, 1985.
q have completed the first period of service.
Eligibility extends for 10 years after release from active duty.
q have been discharged under condi tions other than dishonorable.
Benefits: Based on amount of contribu tions, matching funds from the VA, and any Department of Defense kickers; monthly amounts based on total avail able, number of months of contribution, type of training and whether full-time or part-time, for up to 36 months
______________________________________
Reserve Education Assistance Program (REAP) – Chapter 1607
National Guard members are eligible if their active service extends for 90 con secutive days or more and their service is authorized by the secretary of defense or president under Section 502(f), Title 32, U.S. Code.
Eligibility: Generally, the service member must be a member of a reserve component who served on active duty after September 10, 2001, under Title 10 USC for at least 90 consecutive days under a contingency operation.
Eligible service members are entitled to 36 months of benefits. All training available under Montgomery GI Bill is eligible under REAP.
KHEAA–Alabama
Benefits: Monthly amounts based on length of service and type of training
______________________________________
Restored Entitlement
Eligibility: Must be a surviving spouse or school-age child of a member or former member of the Armed Forces who died while on active duty before August 13, 1981, or died from disabilities incurred during or aggravated by active duty before August 13, 1981.
Programs for Survivors
Benefits to a surviving, unmarried spouse are payable when the youngest child in his or her care turns 16 and end when the child turns 18.
Benefits: Restoration of certain Social Security benefits that were reduced or terminated by the Omnibus Budget Rec onciliation Act of 1981
Benefits are payable to an unmarried child 18 to 22 years old who is a full-time student at an approved postsecondary school.
______________________________________
Student Work-Study Allowance Program
Benefits: Salary equal to the prevailing federal or state minimum wage, which ever is higher, for services performed at VA regional offices, educational institu tions, VA medical facilities, VA national cemeteries and certain other organizations approved for outreach activities.
Eligibility: Must be drawing education benefits under Chapter 30, 31, 32, 33, 35, 1606 or 1607 and be pursuing a program of education on at least a three-quarter training basis.
Eligible students may contract for a maximum of 1,200 hours of service in any 12-month period.
______________________________________
Survivors' and Dependents' Educational Assistance Program – Chapter 35 Eligibility:
Must be the child or spouse of:
(2): A veteran who died from any cause while such disability was in existence;
(1): A veteran who died or is perma nently and totally disabled as the result of a service-connected disability arising out of active service in the Armed Forces;
(3): A service member missing in action
21
or captured in line of duty by a hostile force;
(5): A service member hospitalized or receiving outpatient treatment for a service-connected permanent and total disability who is likely to be discharged for that disability.
(4): A service member forcibly de tained or interned in line of duty by a foreign government or power; or
A child generally may use this benefit between the ages of 18 and 26. A spouse generally has 10 years from the date eligibility is established.
Recipients may pursue the same train ing approved for Chapter 30 with the exception of flight programs.
Benefits: Up to 45 months of training and full-time monthly benefits.
______________________________________
Tutorial Assistance
q be an eligible person training under Chapter 30, 31, 32, 33, 35 or 1606.
Eligibility: The recipient must:
q be enrolled in a postsecondary educational program at least a half-time basis.
Benefits: Up to $100 per month to pay for tutorial assistance; maximum assistance available is $1,200.
q have a deficiency in a subject required as part of or prerequisite or indispensable to, the satisfactory pursuit of the approved program.
______________________________________
Vocational Rehabilitation and Employment Program – Chapter 31 Eligibility: The recipient must:
q have an employment handicap, according to VA.
q have a disability which VA has rated at least 10% compensable.
q be within period of eligibility (gen erally 12 years following separa tion from active duty or from the date of notification of entitlement to VA compensation for disability).
While in training or extended evalua tion, veteran may receive a subsistence allowance in addition to disability com pensation or military retired pay.
Benefits: Tuition, books, fees, supplies, and equipment.
______________________________________
Yellow Ribbon GI Education Enhancement Program
q qualify for Post-9/11 GI Bill – Chapter 33.
Eligibility: The recipient must:
q be attending a school that charges more in tuition and fees than are payable under Chapter 33.
Benefits: School contributes a specified amount toward tuition and fees (up to 50% of the difference between school's charges and Chapter 33 maximum), with matching contribution from VA.
q be attending a school that volun tarily participates in the Yellow Ribbon Program.
Number: Limited. Available on a firstcome, first-served basis
KHEAA–Alabama
22
|
Behavioral Health Rate Investment
Fee-For-Service Proposal Update
Presenters:
Dave Baden, Chief Financial Officer
Shawna McDermott, Behavioral Health Strategic Operations Director
Donny Jardine, Medicaid Transformation Programs Manager
August 4, 2022
HEALTH POLICY AND ANALYTICS DIVISION
This webinar is intended to:
* Provide an overview of the Oregon Medicaid behavioral health rate increase proposal that the OHA will be submitting to CMS for approval.
* Describe the goals and intended outcome of the rate increases.
* Provide time for questions about the proposal.
OHA Health Equity Definition
Oregon will have established a health system that creates health equity when all people can reach their full health potential and well-being and are not disadvantaged by their race, ethnicity, language, disability, age, gender, gender identity, sexual orientation, social class, intersections among these communities or identities, or other socially determined circumstances.
Achieving health equity requires the ongoing collaboration of all regions and sectors of the state, including tribal governments to address:
* The equitable distribution or redistribution of resources and power; and
* Recognizing, reconciling and rectifying historical and contemporary injustices.
Sustainable investment in Behavioral Health Rates are expected to create the financial conditions to:
* Reduce behavioral health inequities and elevate quality and accountability.
* Result in community centered engagement and person directed services.
* Result in better care coordination for people with intensive BH Service needs.
* Incentivize culturally responsive & linguistically specific services.
* Improve workforce diversity & increase staff retention.
* Improve parity of rates within Medicaid and compared with other payers.
FFS Behavioral Health Rate Increase: Policy Priorities
Adult Mental Health Residential
Children's Intensive Psychiatric Treatment Services
Substance Use Disorder Residential (Adult & Children)
Community Centered and Person Directed Services
Mental Health and SUD Parity
Funding Alignment to Professional Qualification and Complexity of Service
(screening, assessment, evaluation)
FFS Behavioral Health Rate Increase: GF Funding Estimates
* Services Excluded: Personal Service Workers, Adult Foster Homes, CCBHC, FQHC wrap around payment.
Rate Increase Reference Spreadsheet
Mental Health Residential
* Average 30% increase for Adult Mental Health Residential which includes:
─ 45% increase to Secure Residential Treatment Facility Class 1 to reflect higher intensity of services
─ An average 22% rate increase for Other Mental Health Residential
* Note: Adult Foster Homes receive rate increases through the collective bargaining process and are not included in this rate increase work.
Substance Use Disorder Services
* Average 32% increase for SUD Residential
─ Provides larger increases for assessment, counseling and residential services.
* Average 26% increase for SUD Non-Residential
─ Increases to improve parity with mental health outpatient.
─ Did not provide increases for services currently paying higher than for mental health outpatient and for other payers.
Children's Intensive Psychiatric Treatment Services
* Average 37% increase for Children's Intensive Treatment Services (ITS)
* ITS are specialized, demanding – both emotionally and physically – challenging work environments. There has been a workforce and program sustainability issue for many years that has been deeply exacerbated by the COVID crisis as well as increasing regulatory expectations.
* A rate study was conducted to address funding challenges faced by ITS providers, such as longstanding workforce sustainability concerns, to improve the financial viability of participating providers. Stakeholders were engaged in this study.
* The rate increases provided aim to bolster the workforce by promoting ongoing participation of Medicaid providers and expansion of new providers.
Peer Delivered Services
* Average 36% increase for Peer Delivered Services
─ Increase the self help/peer services [H0038] rate 40% to support increased wages for peer support specialists.
─ When self help/peer services [H0038] is provided in a residential based setting/community for complex care, there is an additional 35% increase (total of 75%)
* Increases intended to incentivize peer services to bolster workforce due to historically low rates and more closely align rates with other service types.
Culturally and Linguistically Specific Services
* 22% increase through a differential; additional 5% increase in rural areas
─ This allocation provides the opportunity to increase engagement and change the experiences of individuals receiving services and supports OHA's goal to eliminate health inequities by 2030.
─ OHA will continue to engage those who represent and experience the greatest health inequities, including culturally specific providers, to develop definition, guidance documents, and Oregon Administrative Rules.
* OHA will host a webinar on August 11 th to provide more detailed information about the culturally and linguistically specific differential
Mental Health Outpatient
* Average 29% increase for MH Outpatient services
─ Psychosocial Rehabilitation Services were doubled, positively affecting enhanced care services.
─ Screening, assessment and evaluation services are being increased appropriate to the service and providers qualified to deliver them.
─ Group services increased to reflect the complex nature of the service being provided to multiple recipients/families.
─ Administrative Exam assessments and evaluations are paid higher than the corresponding MH outpatient services; rates increased to maintain the intended differential.
Applied Behavior Analysis
* Average 13% increase for Applied Behavior Analysis
─ No increases for rates that received increases during the 2021 and 2022 legislative sessions (three total).
─ Larger increase on ABA assessment and service planning to provide parity with mental health assessment and service planning.
─ Provide increases for family treatment guidance and medical team conferences for parity with other payers and reimburse for the level of complexity and provider types delivering the services.
Provider and Community Feedback
OHA asked for provider feedback in early June regarding the initial rate proposals. Comments received included:
* General: Information about provider experiences with code utilization and/or suggestions for how OHA should go about rate increases in general.
* Medication Administration and Admin. Exams: Matching increases for codes that represent the same clinical activity
* SUD assessment: Considering the multiple OAR requirements of treatment admission, administration components and pending ASAM implementation
* SUD/MH Counseling: Capitalizing on group cohorts and peer connection
Provider and Community Feedback
| Code and Description | Initial Increase |
|---|---|
| H0001 – Alcohol and other dug assessment | 10% |
| H0005 – Alcohol and/or drug services; group counseling by a clinician | 10% |
| 90849 – Alcohol and/or drug services; group counseling by a clinician | 21% |
| T1502 – Alcohol Administration of oral, intramuscular and/or subcutaneous medication by health care agency/professional | 0% |
| 96131 – Psychological testing evaluation by qualified health care professional, additional 60 minutes; paired with 96130 | 0% |
| 96137 – Psychological or neuropsychological test administration and scoring by qualified health care professional, additional 30 minutes; paired with 96136 | 0% |
Overlap with other work/funding streams
Public Health Emergency (PHE) Funding:
* For MH residential providers who are receiving the PHE-related 10% rate increase, they will continue to receive the 10% rate increase on top of any additional rate increases included in the fee schedule while the public health emergency continues to be in effect.
Co-Occurring:
* Provides 2 enhancements: If provider is certified as a co-occurring organizational provider, they receive a 10% increase on top of the rate on the fee schedule. If they qualify as a co-occurring masters level counselor, they receive an additional 10%. This will be effective 1/1/2023.
Overlap with other work/funding streams
988 Mobile Crisis:
* H2011 (crisis intervention) is the main code that pays for a multidisciplinary team providing crisis services.
─ HB5202 funds will be used to increase rates for H2011 across service types.
* OHA is currently working with Optumas, in conjunction with CMHPs and CCOs, to conduct a rate study for mobile crisis services and set the final codes.
─ Once finalized rates will be retroactively billable to April 1, 2022.
* Mobile crisis rate setting will be coordinated with the Mobile Crisis SPA currently in the process of CMS approval. This is part of the 988 BH Crisis System enhancement efforts under HB2417 (2021).
Overlap with other work/funding streams
SUD 1115 Waiver:
* Allows the state to leverage federal funds for the treatment of SUD when provided in an SUD IMD as well as to leverage federal funds for community integration services, specifically Employment and Housing supports services for at risk Medicaid clients.
* Codes H0018 and H0019 received rate increases out of the SUD waiver that were effective 1/1/2022.
─ Increases outlined in this proposal are on top of the SUD waiver increase.
Overlap with other work/funding streams
Planning with CCOs:
* Currently, OHA is modeling scenarios for increasing reimbursement for behavioral health providers who contract with CCOs effective January 2023.
─ Payments are governed under 42 CFR § 438.6(c) and called a "Directed Payment."
─ This modeling will be informed by the FFS rate increases.
* If approved by CMS, this would increase the CCO capitation rates and direct CCOs to increase reimbursement to their behavioral health providers.
Planning with FQHC, RHC and CCBHC:
* Core focus and intent of BH Rate Increase is to support providers that do not have a structured mechanism to align costs and payment.
* FQHC, RHC and CCBHC can continue to sync through available options.
Medicaid Billing Guidance
Option 1: Wait to bill for services rendered until after OHA receives approval for rate increases from CMS and MMIS has been updated
* Ensures MMIS pays the correct rate
* No additional administrative burden due to denied claims
* To the degree feasible, this is the recommended approach
Medicaid Billing Guidance
Option 2: Bill at the Proposed Rate increase
* Use the Rate Increase reference spreadsheet to determine the Proposed Rate
* Providers will initially receive the current rate
* Once the new rates are approved by CMS and updated in MMIS, OHA will complete a System Mass Adjustment Process (SMAP)
─ OHA is unable to pay more than the provider's billed amount for services provided, even if the allowed amount is higher than the billed amount
─ SMAP allows OHA to pay the new approved amount with minimal manual processing
Note: Some codes are not appropriate for the SMAP and will require manual configuration
Medicaid Billing Guidance
Option 3: Bill at the Current Rate… and then Adjust to the New Rate
* Once the new rates are approved by CMS and updated in MMIS, use the web portal or 1036 form to adjust rates
─ 1036 Form: Requires OHA claims to enter manual adjustments (which takes additional time to reconcile)
─ Web Portal: May adjust billed amounts for up to 18 months after the date of service
Note: For Adult mental health residential services, OHA may need to adjust the Plan of Care through our contracted IQA, which may result in additional delays.
Medicaid Approval Timeline
* OHA plans to submit the Medicaid State Plan amendment (SPA) to CMS by August 15
* CMS has 90 days to review and approve the SPA
* We will provide notice and guidance, and system update timelines once CMS approval is granted
* Provider will then be able to retroactively bill or rebill for services rendered after July 1 and receive the new rates
Thank you for attending!
Questions?
Rate Increase Summary: SUD codes
Rate Increase Summary: MH Outpatient codes
| Service Type | 0% - 10% | 11% - 20% | 21% - 30% |
|---|---|---|---|
| MH Outpatient | 90836, 90838, 90839, 90840, 90867, 90868, 90869, 90882, 96131, 96133, 96136, 96137, 96156, 96158, 96159, 96164, 96165, 96167, 96168, 96170, 96171, 98966, 98967, 98968, 99211, G2012, H2000, Q3014, T1013, T2023, T2010, T2011 | 90833, 90837, 90838, 90882, H0036, | 90785, 90792, 90832, 90837, 90887, 96130, 96132, G0176, G0177, H0023, H0034, H0039, H0046, H2000, H2010, H2023, T1016, |
Rate Increase Summary: Other codes
| Service Type | 0% - 10% | 11% - 20% | 21% - 30% |
|---|---|---|---|
| Peer Services | | | |
| Admin. Exams | 96133, 96137, 99211, H0048 | 96136 | |
| ABA | 97153, T1013, 97155, 97156 | 97154, 97157, 99368 | 99366 |
|
MASON TROPHY Northwood Stadium, Stoke on Trent : Saturday 15 June 2024
Junior Boys Field
Position County
2
1
Warks
3
5
4
6
8
7
Derby
Her & Wor
Cheshire
NHants
Staffs
Gtr Man
9
Notts
Shrops
10
West Mid
Junior Girls Field
Position County
2
1
Warks
3=
5
3=
6
8=
7
8=
10
Her & Wor
Cheshire
Staffs
Shrops
Derby
NHants
Notts
Gtr Man
West Mid
Points
53
60
52
48
49
42
17
29
13
12
Points
37
54
36
35
36
33
25
26
25
15
Junior Boys Overall Position
Position County
2
1
Warks
3
5
4
6
8
7
Her & Wor
Derby
Staffs
Cheshire
NHants
Gtr Man
9
Notts
Shrops
10
West Mid
Junior Girls Overall Position
Position County
2
1
Her & Wor
3
5=
4
5=
8
7
9
10
Cheshire
Warks
Derby
Staffs
Gtr Man
Notts
NHants
Shrops
West Mid
Points
92
107
90
84
89
81
58
62
48
40
Points
81
86
74
66
68
66
57
59
55
Inter Boys Field
Inter Boys Overall Position
T6
IG 100m
NS 12.20 ES 12.50 CS 13.00 Record 11.80, Holder Ashleigh Nelson (Staffs) 2006
MedalsPosnNumName
County
Perf
G
S
B
1
2
3
4
5
6
7
8
9
10
1
2
3
4
5
6
7
8
9
57 Savannah Morgan
83
81
73
19
31
11
67
63
35
84
74
32
82
68
64
36
20
58
Shaiya Kenyon
Esme Du Bois
Sophie Hulse
Kaylah McKenzie
Emma Pimblett
Alba March
Kadisha Nwachukwu
Erykah Eze
Harriet Williams
Nancy Foster-Jones
Joyella Jeffries
Niamh Ridler
Olivia Monk
Fraya Vincent
Emma Nowak
Isabel Kingston
Isla Hiscocks
Abina Gama
Northamptonshire
West Midlands
Warwickshire
Staffordshire
Derbyshire
Greater Manchester
Cheshire
Shropshire
Nottinghamshire
Hereford & Worcestershire
West Midlands
Staffordshire
Greater Manchester
Warwickshire
Shropshire
Nottinghamshire
Hereford & Worcestershire
Derbyshire
Northamptonshire
12.23
12.28
12.37
12.52
12.58
12.69
12.72
12.91
13.03
13.15
12.50
12.72
12.80
12.82
12.91
13.12
13.39
13.40
13.44
Wind
+0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0 +0.0
ESAA
ES
ES
ES
CS
CS
CS
CS
CS
ES
CS
CS
CS
CS
Guests
Fraya Vincent, Nottinghamshire
| T7 JG 100m NS 12.40 ES 12.70 CS 13.20 Record 11.90, Holder Ashleigh Nelson (Staffs) 2005 Medals Posn NumName County Perf Wind ESAA Guests G 1 57 Jasmine Jessamy Northamptonshire 13.23 +0.1 S 2 36 Lissy Whitmore-Benjamin Hereford & Worcestershire 13.26 +0.0 B 3 84 Sevirren Griffin West Midlands 13.42 +0.0 4 19 Betsy Wilton Derbyshire 13.53 +0.0 5 63 Chyna-Rae Smart Nottinghamshire 13.56 +0.0 6 67 Keziah Bekoe Shropshire 13.68 +0.1 7 74 Larna Watkins Staffordshire 13.75 +0.0 8 82 Niamh Williams Warwickshire 13.99 +0.1 9 32 Audrey Asante-Afoakwa Greater Manchester 14.06 +0.0 Audrey Asante-Afoakwa, West Midla 10 12 Millie Warren Cheshire 14.14 +0.0 | |
|---|---|
| | SSTTRRIINNGG AA |
| B 1 35 Iseoluwa Odugbesam Hereford & Worcestershire 13.42 +0.0 2 83 Jhenaya Lawrence West Midlands 13.66 +0.0 3 73 Freya Manton Staffordshire 13.77 +0.0 4 20 Antoniah Kinsiona Derbyshire 13.86 +0.1 5 81 Summer Gussin Warwickshire 14.06 +0.0 6 68 Genesis Stewart Shropshire 14.08 +0.0 7 58 Leia Read Northamptonshire 14.17 +0.0 8 11 Imogen Fives Cheshire 14.24 +0.1 9 64 Lucia Bianchi Nottinghamshire 14.30 +0.0 | SSTTRRIINNGG BB |
| T8 JB 100m NS 11.40 ES 11.60 CS 12.20 Record 11.10, Holder Tony Cairns (Staffs) 1986 Medals Posn NumName County Perf Wind ESAA Guests G 1 64 Thomas Smith Nottinghamshire 11.86 +1.0 CS S 2 84 Iyinoluwa Lawal West Midlands 11.87 +1.0 CS B 3 82 Beniamin Chorazewicz Warwickshire 11.90 +0.0 CS 4 57 Jayden Mbu Northamptonshire 11.90 +0.0 CS 5 31 Declan Stevenson Greater Manchester 11.94 +0.0 CS 6 74 Aidan Read Staffordshire 12.04 +1.0 CS 7 67 Tyrese Djan Shropshire 12.06 +0.0 CS 8 20 Ethan Yeung Derbyshire 12.33 +1.0 9 36 Ruben Mabberley Hereford & Worcestershire 12.33 +1.0 10 11 Nathan Owen Cheshire 12.35 +0.0 | |
| | SSTTRRIINNGG AA |
| 1 58 Oliver Cropley Northamptonshire 11.92 +1.0 CS 2 81 Louie Foster Warwickshire 12.08 +0.0 CS 3 73 Noah Glover Staffordshire 12.29 +0.0 4 63 Abraham Adedayo Nottinghamshire 12.32 +0.0 5 68 Humphrey Tetteh Shropshire 12.34 +0.0 6 19 Joe Moss Derbyshire 12.35 +0.0 7 83 Noah Latusek West Midlands 12.36 +0.0 8 12 Ziggy Lockett Cheshire 12.38 +1.0 9 35 Kristian Husbands Hereford & Worcestershire 12.57 +0.0 | SSTTRRIINNGG BB |
MASON TROPHY Northwood Stadium, Stoke on Trent : Saturday 15 June 2024
| T17 JG 200m NS 25.50 ES 26.20 CS 27.20 Record 24.40, Holder Ashleigh Nelson (Gtr Man) 2000 Medals Posn NumName County Perf Wind ESAA Guests G 1 35 Lissy Whitmore-Benjamin Hereford & Worcestershire 26.44 +1.8 CS S 2 63 Chyna-Rae Smart Nottinghamshire 26.48 +1.8 CS B 3 81 Ava Hession Warwickshire 26.50 +1.8 CS 4 32 Oliva Jones Greater Manchester 26.98 +1.5 CS 5 73 Freya Manton Staffordshire 27.14 +1.8 CS 6 11 Freya Howells Cheshire 27.18 +1.6 CS 7 83 Jhenaya Lawrence West Midlands 27.25 +1.8 8 67 Sydney Purchase Shropshire 27.74 +1.6 9 19 Jasmine Shore Derbyshire 28.48 +1.8 10 57 Claudia Terrell Northamptonshire 29.31 +1.6 | |
|---|---|
| | SSTTRRIINNGG AA |
| 1 74 Mya McInnis Staffordshire 27.23 +1.5 2 82 Annabel Waters Warwickshire 27.46 +1.6 3 36 Anya Lenain-Thullen Hereford & Worcestershire 28.03 +1.5 4 12 Erin Barnard Cheshire 28.38 +1.5 5 20 Cecily Wright Derbyshire 28.73 +1.6 6 64 Gracie Baker Nottinghamshire 28.86 +1.5 7 58 Laura Goldberg Northamptonshire 29.38 +1.5 31 Princess Iwelu Greater Manchester DNF +1.6 | SSTTRRIINNGG BB |
| T18 JB 200m NS 23.20 ES 23.80 CS 24.80 Record 21.90, Holder Tony Cairns (Staffs) 1986 Medals Posn NumName County Perf Wind ESAA Guests G 1 63 Gabriel Oguagwu Nottinghamshire 23.03 +0.6 NS S 2 73 Noah Glover Staffordshire 23.91 +0.6 CS B 3 57 Oliver Cropley Northamptonshire 24.03 +2.0 CS 4 67 Tyrese Djan Shropshire 24.11 +0.6 CS 5 81 Beniamin Chorazewicz Warwickshire 24.15 +0.6 CS 6 36 Benjamin Adam Hereford & Worcestershire 24.65 +3.8 CS 7 83 Noah Latusek West Midlands 24.66 +2.0 CS 8 31 Roro Natufe Greater Manchester 24.93 +2.0 9 11 Thomas Darbyshire Cheshire 25.13 +2.0 10 20 Luca Brown Derbyshire 25.23 +3.8 | |
| | SSTTRRIINNGG AA |
| 1 58 Keanu Thomas Northamptonshire 24.15 +3.8 CS 2 82 Max Roberts Warwickshire 24.43 +2.0 CS 3 64 Abraham Adedayo Nottinghamshire 24.45 +3.8 CS 4 35 Liam Shekyls Hereford & Worcestershire 25.13 +0.6 5 19 Corey Fisher Derbyshire 25.25 +0.6 6 68 Alfie Humphries Shropshire 25.88 +2.0 7 12 Kieran Stafford Cheshire 26.05 +3.8 8 74 Dan Kolodziej Staffordshire 26.25 +3.8 | SSTTRRIINNGG BB |
| T19 IG 200m NS 25.10 ES 25.80 CS 26.80 Record 24.30, Holder Charlotte McLennaghan (Notts) 2014 Medals Posn NumName County Perf Wind ESAA Guests G 1 83 Shaiya Kenyon West Midlands 25.11 +1.4 ES S 2 73 Sophie Hulse Staffordshire 25.26 +1.4 ES B 3 81 Esme Du Bois Warwickshire 25.52 +1.0 ES 4 35 Isabella Davies Hereford & Worcestershire 25.77 +1.0 ES 5= 63 Tami Adesina Nottinghamshire 25.81 +1.0 CS 5= 31 Blessing Idoku Greater Manchester 25.81 +1.4 CS 7 11 Holly Bosworth Cheshire 26.17 +1.4 CS 8 19 Ellie Oscroft Derbyshire 26.26 +1.0 CS 9 67 Grace Gray Shropshire 26.36 +1.0 CS 10 57 Victoria Hall Northamptonshire 27.40 +1.0 | |
|---|---|
| | SSTTRRIINNGG AA |
| 1 84 Florence Thomas-Male West Midlands 25.68 +1.7 ES 2 32 Summer Eden Greater Manchester 26.02 +1.4 CS 3 74 Isla Swindlehurst Staffordshire 26.16 +1.7 CS 4 82 Olivia Monk Warwickshire 26.36 +1.7 CS 5 64 Emma Nowak Nottinghamshire 26.70 +1.7 CS 6 36 Harriett Williams Hereford & Worcestershire 27.37 +1.7 7 68 Kadisha Nwachukwu Shropshire 27.40 +1.4 8 58 Morinsola Idowu Northamptonshire 28.37 +1.4 9 20 Sabah Cresswell Derbyshire 29.83 +1.7 10 12 Abigail Perrine Cheshire 30.04 +1.7 | SSTTRRIINNGG BB |
| T20 IB 200m NS 22.20 ES 22.70 CS 23.70 Record 21.70, Holder Liam Clowes (Chesh) 2009 Medals Posn NumName County Perf Wind ESAA Guests G 1 83 Harvey Nelson West Midlands 22.03 +2.0 NS S 2 81 Ben Wyle Warwickshire 22.39 +2.7 ES B 3 11 Harrison Twigge Cheshire 22.75 +2.0 CS 4 73 Tom Stephens Staffordshire 23.43 +2.0 CS 5 63 Morgan Scott Nottinghamshire 23.43 +2.0 CS 6 67 Irvin Okonkwo Shropshire 23.45 +2.7 CS 7 35 Oscar Leyland Hereford & Worcestershire 23.57 +2.7 CS 8 57 Owura Mensah Northamptonshire 24.01 +2.7 9 19 Benjamin Lowe Derbyshire 24.04 +2.7 | |
| | SSTTRRIINNGG AA |
| 1 82 Kyle Enticott Warwickshire 23.20 +0.0 CS 2 64 Will Agar Nottinghamshire 23.57 +0.0 CS 3 36 Jay Myers-Narain Hereford & Worcestershire 23.69 +0.0 CS 4 12 Finn Coakley-Harding Cheshire 24.32 +0.0 5 58 Jacob Scott Northamptonshire 24.34 +2.0 6 74 Quai Quintyne Staffordshire 24.46 +0.0 7 20 Aaron Kurian Derbyshire 24.83 +0.0 | SSTTRRIINNGG BB |
| T25 IB 400m NS 49.70 ES 51.10 CS 53.50 Record 48.50, Holder Alex Cooper (Notts) 2019 Medals Posn NumName County Perf ESAA Guests G 1 81 Jimmy Ward Warwickshire 51.21 CS S 2 63 Miles Henry Nottinghamshire 52.18 CS B 3 35 Sebastian Hubbard Hereford & Worcestershire 52.34 CS 4 67 Dan Wood Shropshire 53.00 CS 5 11 Jake Rowley Cheshire 53.14 CS 6 19 Oliver Hume Derbyshire 53.34 CS 7 84 Ishan Bradstock West Midlands 53.48 CS 8 57 Owura Mensah Northamptonshire 53.57 9 74 Andrew Murray Staffordshire 54.72 10 32 Christopher Parikh Greater Manchester 54.76 | |
|---|---|
| | SSTTRRIINNGG AA |
| 1 64 Calvin O'Grady Nottinghamshire 52.92 CS 2 36 Oscar Leyland Hereford & Worcestershire 53.79 3 20 Joel Cantrill Derbyshire 53.83 4 82 Jacob Haddow Warwickshire 54.14 5 31 William Jones Greater Manchester 55.16 6 58 Trent Baker Northamptonshire 55.67 7 68 Niall Maguire Shropshire 56.01 8 12 Austin Rowley Cheshire 56.75 | SSTTRRIINNGG BB |
| T26 JG 300m NS 41.00 ES 42.00 CS 44.20 Record 40.51, Holder Isabella Davies (Her & Wor) 2023 Medals Posn NumName County Perf ESAA Guests G 1 35 Erin Davies Hereford & Worcestershire 42.64 CS S 2 12 Maya Jennings Cheshire 42.85 CS 3 31 lois Melling Greater Manchester 43.80 CS 4 63 Scarlett Jane Nottinghamshire 44.01 CS 5 73 Ava Wragg Staffordshire 44.36 6 82 Matilda Bean Warwickshire 44.56 7 67 Poppy Smith Shropshire 45.00 8 57 Claudia Terrell Northamptonshire 47.70 | |
| | SSTTRRIINNGG AA |
| B 1 11 Beth Manson Cheshire 42.86 CS 2 64 Shylah Barratt Nottinghamshire 44.60 3 74 Harriet Penn Staffordshire 45.55 4 68 Alice Parke Shropshire 45.58 5 36 Georgia Kiernan Hereford & Worcestershire 46.40 6 58 Stephanie Longdon Northamptonshire 48.36 81 Ava Bourton Warwickshire DNF 83 Lucy Horton West Midlands DNF | SSTTRRIINNGG BB |
| T27 JB 300m NS 36.80 ES 38.00 CS 40.00 Record 36.17, Holder Thomas Baines (Chesh) 2015 Medals Posn NumName County Perf ESAA Guests G 1 73 Lino Goodwin Staffordshire 37.07 ES S 2 57 Laike Favier Northamptonshire 37.32 ES B 3 81 Alex Wood Warwickshire 37.94 ES 4 19 Miles Heath Derbyshire 38.92 CS 5 31 Liam Collins Greater Manchester 39.03 CS 6 63 Okello Bartley Nottinghamshire 39.95 CS 7 67 Thomas Preston Shropshire 40.32 8 35 Edward Maxted Hereford & Worcestershire 40.39 9 11 Tomas Bedoya Cheshire 40.67 10 84 Akorede Raheem West Midlands 42.80 | |
|---|---|
| | SSTTRRIINNGG AA |
| 1 82 James Lappin Warwickshire 39.24 CS 2 74 Sam Roberts Staffordshire 40.00 CS 3 32 Jacob Scott Greater Manchester 40.05 4 36 Jamie Giles Hereford & Worcestershire 40.63 5 12 William Cattell Cheshire 40.75 6 68 Mason Brooks Shropshire 41.73 7 58 Harry Flowers Northamptonshire 42.66 8 20 Dyfan Hughes Derbyshire 42.71 | SSTTRRIINNGG BB |
| T28 IG 300m NS 40.20 ES 41.20 CS 43.50 Record 38.80, Holder E Caney (Her & Wor) 2000 Medals Posn NumName County Perf ESAA Guests G 1 11 Ruby Phillips Cheshire 40.23 ES S 2 19 Caitlin Hadfield Derbyshire 40.44 ES B 3 57 Nwando Ifeacho Northamptonshire 40.59 ES 4 73 Joyella Jeffries Staffordshire 40.66 ES 5 83 Ella Martin West Midlands 41.71 CS 6 63 Amelia Kuffour Nottinghamshire 42.85 CS 7 67 Menna Pugsley Shropshire 42.96 CS 8 35 Niamh McGee Hereford & Worcestershire 43.87 9 81 Cara Griffiths Warwickshire 44.02 10 31 Maddie Holt Greater Manchester 44.17 | |
| | SSTTRRIINNGG AA |
| 1 12 Ophelia Jones Cheshire 41.26 CS 2 84 Zainah Rasheed West Midlands 42.36 CS 3 58 Isabelle Smith Northamptonshire 42.52 CS 4 74 Rosie Tyler Staffordshire 42.87 CS 5 20 Daisy Oldridge Derbyshire 43.57 6 82 Holly Saunders Warwickshire 44.40 7 36 Georgia Clements Hereford & Worcestershire 47.07 | SSTTRRIINNGG BB |
T3
JG 1500m
NS 4:40.00 ES 4:48.00 CS 5:03.00 Record 4:35.48, Holder E Ward (Staffs) 1996
| | SSTTRRIINNGG AA |
|---|---|
| 1 19 Olivia Lee Derbyshire 4:52.53 CS 2 58 Millie Sharp Northamptonshire 4:57.05 CS 3 32 Caitlin Wetters Greater Manchester 4:57.81 CS 4 36 Nicole Bevan Hereford & Worcestershire 5:03.96 5 74 Hollie Turner Staffordshire 5:06.85 6 82 Esther Hutchins Morant Warwickshire 5:07.96 7 64 Emily Pares Nottinghamshire 5:09.47 8 11 Freya Fitton-Lawless Cheshire 5:13.69 | SSTTRRIINNGG BB |
| T4 JB 1500m NS 4:13.00 ES 4:20.00 CS 4:36.00 Record 4:06.08, Holder Archie Lane (Warks) 2023 Medals Posn NumName County Perf ESAA Guests G 1 19 Ewan Withnall Derbyshire 4:15.02 ES S 2 31 Adrian White Greater Manchester 4:16.00 ES B 3 67 Lewis Howard Shropshire 4:17.20 ES 4 81 Jacob Smith Warwickshire 4:19.77 ES 5 83 Noah Homer West Midlands 4:20.78 CS 6 63 Jack Pares Nottinghamshire 4:27.47 CS 7 12 Jake Ireland Cheshire 4:30.02 CS 8 35 James Longworth Hereford & Worcestershire 4:31.84 CS 9 57 Harlee Hooker Northamptonshire 4:39.39 10 73 Brandan Smart Staffordshire 4:40.97 | |
| | SSTTRRIINNGG AA |
| 1 20 Oscar Blake Derbyshire 4:25.41 CS 2 84 Sam Ball West Midlands 4:29.73 CS 3 68 William Hughes Shropshire 4:34.89 CS 4 11 Sam Conkie Cheshire 4:35.17 CS 5 82 Arthur Williamson Warwickshire 4:40.03 6 64 Lewis Marston Nottinghamshire 4:41.28 7 58 Craig Smith Northamptonshire 4:44.56 8 36 Freddie Giles Hereford & Worcestershire 4:46.59 9 74 HubertCeslinski Staffordshire 4:56.53 | SSTTRRIINNGG BB |
| T9 IB 3000m NS 8:50.00 ES 8:56.00 CS 9:35.00 Record 8:39.40, Holder R. Ellerton (Staffs) 1979 Medals Posn NumName County Perf ESAA Guests G 1 73 Owen Ulfig Staffordshire 8:53.90 ES S 2 84 Oliver Cresswell West Midlands 8:55.60 ES B 3 63 Sam Collins Nottinghamshire 8:57.96 CS 4 67 Jack Stockton Shropshire 9:04.57 CS 5 81 Zak Lambert Warwickshire 9:05.51 CS 6 31 Reuben Jago Greater Manchester 9:06.96 CS 7 19 Sam Watson Derbyshire 10:00.57 8 58 Dylan Mander Northamptonshire 10:03.92 | |
| | SSTTRRIINNGG AA |
| 1 83 Jack Price West Midlands 8:59.71 CS 2 74 Ben Allen Staffordshire 9:04.00 CS 3 82 William Mayes Warwickshire 9:35.98 4 68 Simon Bagshaw Shropshire 9:49.14 5 64 Luke McGarry-Kirk Nottinghamshire 10:28.03 | SSTTRRIINNGG BB |
T11
IG 1500m
NS 4:39.00 ES 4:45.00 CS 5:04.00 Record 4:29.13, Holder Tilly Simpson (Derby) 2016
| | SSTTRRIINNGG AA |
|---|---|
| B 1 12 Imogen Wharton Cheshire 4:48.91 CS 2 74 Lara Smith Staffordshire 4:55.76 CS 3 32 Jessica Taylor Greater Manchester 5:03.22 CS 4 20 Poppy Radbourne Derbyshire 5:07.65 5 36 Isobel North Hereford & Worcestershire 5:15.37 6 83 Albie Smith-Pena West Midlands 5:22.33 | SSTTRRIINNGG BB |
| T14 IB 1500m NS 4:03.00 ES 4:06.00 CS 4:20.00 Record 3:59.70, Holder S. Lawlor (West Mid) 1986 Medals Posn NumName County Perf ESAA Guests G 1 31 Pio Aron Greater Manchester 4:03.04 ES S 2 81 Archie Lane Warwickshire 4:03.13 ES B 3 63 Jude Ryan Nottinghamshire 4:07.58 CS 4 57 Joshua Orchard Northamptonshire 4:08.64 CS 5 35 Gabriel Wagstaff Hereford & Worcestershire 4:09.62 CS 6 83 Oscar Davis West Midlands 4:11.66 CS 7 19 Remi Clifford Derbyshire 4:32.19 8 73 Kamil Kolodziej Staffordshire 4:38.25 9 67 Leo Chilton-Wilcox Shropshire 4:45.63 | |
| | SSTTRRIINNGG AA |
| 1 32 Finlay Dobson Emmas Greater Manchester 4:11.36 CS 2 58 Nathan Lamb Northamptonshire 4:11.62 CS 3 36 Liam Hill Hereford & Worcestershire 4:14.93 CS 4 64 Ewan Collier Nottinghamshire 4:17.11 CS 5 82 Charlie Yates Warwickshire 4:32.94 6 20 Harry Tatham Derbyshire 4:34.37 | SSTTRRIINNGG BB |
| T16 IG 3000m NS 10:10.00 ES 10:20.00 CS 10:50.00 Record 9:56.80, Holder Jasmine Cooper (Derby) 2016 Medals Posn NumName County Perf ESAA Guests G 1 35 Ffion Collins Hereford & Worcestershire 10:42.05 CS S 2 83 Jorja Wright West Midlands 10:49.32 CS 3 63 Anna Bianchi Nottinghamshire 11:22.56 4 74 Isobel Harmon Staffordshire 11:50.63 | |
| | SSTTRRIINNGG AA |
| B 1 84 Amelia Jones West Midlands 10:55.52 2 36 Ella Purves Hereford & Worcestershire 12:01.56 | SSTTRRIINNGG BB |
T21
JG 800m
NS 2:15.00 ES 2:18.00 CS 2:26.00 Record 2:07.94, Holder Tilly Simpson (Derby) 2015
| | SSTTRRIINNGG AA |
|---|---|
| 1 32 Maddie Appleby Greater Manchester 2:24.74 CS 2 12 Lily Coates Cheshire 2:26.50 3 57 Peyton Almond Northamptonshire 2:27.13 4 64 Eleanor Brunning Nottinghamshire 2:27.90 5 74 Evie Marsh Staffordshire 2:28.30 6 36 Sofia Neale Hereford & Worcestershire 2:28.87 7 20 Jessica Whitehead Derbyshire 2:41.67 | SSTTRRIINNGG BB |
| T22 JB 800m NS 2:02.00 ES 2:05.00 CS 2:13.00 Record 1:57.90, Holder Michael Rimmer (Mersey) 2000 Medals Posn NumName County Perf ESAA Guests G 1 35 William Hapgood Hereford & Worcestershire 2:03.55 ES S 2 19 Logan Fairey Derbyshire 2:05.18 CS B 3 73 Callum Pearson Staffordshire 2:05.63 CS 4 11 Alfie Blizzard Cheshire 2:06.71 CS 5 81 Will Hovell Warwickshire 2:09.97 CS 6 63 Adam Paget Nottinghamshire 2:13.88 7 67 Arthur Pugh Shropshire 2:14.07 8 57 Josh Pinney Northamptonshire 2:14.93 9 83 Harry Daniels West Midlands 2:14.94 10 31 Alexander Glenn Greater Manchester 2:16.95 | |
| | SSTTRRIINNGG AA |
| 1 12 Don Oakes Cheshire 2:10.38 CS 2 20 Lewis Boyce Derbyshire 2:11.75 CS 3 82 Charlie Egerton Warwickshire 2:14.17 4 64 Tarun Balamurugan Nottinghamshire 2:14.45 5 84 William Bradburn West Midlands 2:15.47 6 74 Oskar Alsop Staffordshire 2:15.91 7 36 Lucas Seyler Hereford & Worcestershire 2:16.08 8 68 Jacob Smith Shropshire 2:19.39 | SSTTRRIINNGG BB |
| T23 IG 800m NS 2:13.00 ES 2:16.00 CS 2:25.00 Record 2:11.00, Holder E Jackson (Staffs) 2003 Medals Posn NumName County Perf ESAA Guests G 1 31 Imogen Hill Greater Manchester 2:14.26 ES S 2 11 Hannah Hull Cheshire 2:20.15 CS B 3 57 Orla Enright Northamptonshire 2:21.14 CS 4 73 Grace Burge Staffordshire 2:21.20 CS 5 81 Elizabeth Fleming Warwickshire 2:21.92 CS 6 63 Nyah Stretton Nottinghamshire 2:22.00 CS 7 19 Isabella Margiotta Derbyshire 2:27.97 8 36 Nancy Babb Hereford & Worcestershire 2:30.96 9 67 Scarlett Willoughby Shropshire 2:33.41 | |
| | SSTTRRIINNGG AA |
T24
IB 800m
NS 1:55.00 ES 1:57.00 CS 2:05.00 Record 1:54.20, Holder Fergus McAuliffe (Staffs) 2017
| | SSTTRRIINNGG AA |
|---|---|
| 1 68 Ralph Brown Shropshire 2:01.33 CS 2 36 Will Hembry Hereford & Worcestershire 2:02.55 CS 3 74 Max Loton Staffordshire 2:04.57 CS 4 12 Theo Wassall Cheshire 2:05.63 5 58 Jacob Palmer Northamptonshire 2:05.95 6 64 Marcus Wootton Nottinghamshire 2:06.76 7 19 Harry Beetham Grainger Derbyshire 2:12.92 8 83 Alex Taylor West Midlands 2:13.00 | SSTTRRIINNGG BB |
| T29 IG 1500m S/C NS 5:13.00 ES 5:23.00 CS 5:50.00 Record 5:12.57, Holder Katie Gardner (Notts) 2023 Medals Posn NumName County Perf ESAA Guests G 1 73 Georgia Griffiths Staffordshire 5:13.23 ES S 2 63 Amelia Arbon Nottinghamshire 5:52.00 | |
| | SSTTRRIINNGG AA |
| | SSTTRRIINNGG BB |
| T30 IB 1500m S/C NS 4:32.00 ES 4:37.00 CS 5:05.00 Record 4:19.00, Holder Spencer Duval (Staffs) 1986 Medals Posn NumName County Perf ESAA Guests G 1 31 Jay Hutchinson Greater Manchester 4:37.67 CS S 2 81 James Delahaye Warwickshire 4:43.67 CS B 3 73 Jack Hadley Staffordshire 4:45.97 CS 4 57 Ollie Walls Northamptonshire 4:55.89 CS 5 11 Sam Pickering Cheshire 5:01.71 CS 6 63 Tom Dinning Nottinghamshire 5:28.07 | |
| | SSTTRRIINNGG AA |
| | SSTTRRIINNGG BB |
| T1 IB 400m Hurdles (84cm) NS 56.50 ES 58.80 CS 64.00 Record 54.80, Holder Martin Briggs (Staffs) 1980 Medals Posn NumName County Perf ESAA Guests G 1 63 Euan Fraser Nottinghamshire 55.99 NS S 2 31 Liam o'Brien Greater Manchester 57.62 ES B 3 82 Elliott Godfrey Warwickshire 57.64 ES 4 11 Henry Smith Cheshire 59.52 CS 5 83 Christian Christian West Midlands 60.46 CS | |
|---|---|
| | SSTTRRIINNGG AA |
| 1 81 Robbie Dale Warwickshire 57.81 ES 2 32 Owen Baron Greater Manchester 58.45 ES 3 84 Jye Cope West Midlands 62.42 CS | SSTTRRIINNGG BB |
| T2 IG 300m Hurdles (76.2cm) NS 45.00 ES 46.40 CS 51.00 Record 43.27, Holder Zoe Smith (Notts) 2023 Medals Posn NumName County Perf ESAA Guests G 1 31 Molly Mills Greater Manchester 44.58 NS S 2 81 Isabelle Knight Warwickshire 45.09 ES B 3 11 Lizzie Pendrill Cheshire 45.98 ES 4 35 Winnie Padmore Hereford & Worcestershire 47.37 CS 5 57 Maia Thompson Northamptonshire 48.29 CS Maia Thompson, Warwickshire 6 67 Menna Pugsley Shropshire 50.07 CS 7 63 Ava Casterton Nottinghamshire 50.41 CS | |
| | SSTTRRIINNGG AA |
| 1 82 Lucy Boyes Warwickshire 46.59 CS 2 32 Evie Elliott Greater Manchester 47.73 CS 3 36 Molly Lazenbury Hereford & Worcestershire 48.73 CS 4 12 Mia O'Donnell Cheshire 51.93 | SSTTRRIINNGG BB |
| T10 JG 75m Hurdles (76.2cm) NS 11.50 ES 11.90 CS 12.50 Record 11.20, Holder Yasmin Miller (Derby) 2009 Medals Posn NumName County Perf Wind ESAA Guests G 1 11 Olivia Crawford Cheshire 11.49 +3.5 NS S 2 19 Imogen Hamilton Derbyshire 11.86 +1.5 ES B 3 67 Sydney Purchase Shropshire 11.87 +1.5 ES 4 31 Jess Seddon Greater Manchester 12.01 +1.5 CS 5 83 Isla Beasley West Midlands 12.05 +3.5 CS 6 81 Ava Hession Warwickshire 12.09 +1.5 CS 7 73 Matilda Williamson Staffordshire 12.28 +3.5 CS 8 35 Adrienne McCormack Hereford & Worcestershire 12.69 +1.5 9 57 Grace Kendrick Northamptonshire 13.13 +1.5 10 64 Scarlett Ashford Nottinghamshire 13.30 +1.3 | |
|---|---|
| | SSTTRRIINNGG AA |
| 1 32 Ava Broomes Greater Manchester 12.13 +3.5 CS 2 68 Grace Kinsey Shropshire 12.52 +1.3 3 12 Mia Broadhurst Cheshire 12.80 +3.5 4 84 Erin McDaid West Midlands 12.83 +1.3 5 74 Jessica Golder Staffordshire 12.95 +1.3 6 36 Heidi Powell Hereford & Worcestershire 13.08 +1.3 7 63 Sophie Peet Nottinghamshire 13.49 +3.5 8 82 Edie Hall Warwickshire 13.70 +1.3 9 20 Mamie Skipper Derbyshire 14.03 +1.3 0 58 Jessica Croft Northamptonshire | SSTTRRIINNGG BB |
| T12 IG 80m Hurdles (76.2cm) NS 11.60 ES 12.00 CS 13.00 Record 11.30, Holder Chelsea Cooper (Staffs) 2006 Medals Posn NumName County Perf Wind ESAA Guests G 1 31 Grace Aimiuwu Greater Manchester 11.67 +1.4 ES S 2 81 Grace McCollin Warwickshire 11.68 +1.4 ES B 3 57 Isabella Banks Northamptonshire 11.98 +1.4 ES 4 67 Grace Gray Shropshire 12.14 +1.4 CS 5 12 Darcie Nicholls Cheshire 12.37 +0.7 CS Darcie Nicholls, Warwickshire 6 63 Katie Biggs Nottinghamshire 12.52 +1.0 CS 7 36 Winnie Padmore Hereford & Worcestershire 12.72 +0.7 CS 8 20 Emie Miller Derbyshire 14.23 +0.7 9 73 Sydney Gillian Staffordshire 14.99 +1.0 | |
| | SSTTRRIINNGG AA |
| | SSTTRRIINNGG BB |
| T13 JB 80m Hurdles (84cm) NEW RECORD NS 11.70 ES 12.10 CS 12.80 Record 11.30, Holder Jack Merdith (Mersey) 2006 Medals Posn NumName County Perf Wind ESAA Guests G 1 11 Tristan Lamprecht Cheshire 11.22 +1.2 NS S 2 57 Sonny Briggs McKellar Northamptonshire 11.56 +1.2 NS B 3 31 Joel Stott Greater Manchester 12.16 +1.9 CS 4 81 Louis Reynolds Warwickshire 12.54 +1.2 CS 5 83 Andrew Irvine West Midlands 13.02 +1.2 6 67 Min Yen Hsieh Shropshire 13.10 +1.9 7 35 Struan Brockie Hereford & Worcestershire 13.50 +0.7 8 19 Sebastian McAughtrie Derbyshire 14.25 +0.7 | |
|---|---|
| | SSTTRRIINNGG AA |
| 1 12 Ben Jeffs Cheshire 12.84 +0.7 2 58 Reuben Walter Northamptonshire 12.91 +1.9 3 82 Jordan Thompson Warwickshire 13.16 +1.9 4 36 Thomas Humphries Hereford & Worcestershire 14.07 +1.9 5 20 Zac Booth Derbyshire 15.28 +1.9 | SSTTRRIINNGG BB |
| T15 IB 100m Hurdles (91.4cm) NS 13.50 ES 14.00 CS 15.20 Record 13.10, Holder Jordan Ricketts (West Mid) 2018 Medals Posn NumName County Perf Wind ESAA Guests G 1 57 Jayden Allen Bramble Northamptonshire 13.54 +2.4 ES S 2 11 Reece Bradley Cheshire 13.91 +2.4 ES B 3 82 Jacob Vural Warwickshire 13.97 +2.4 ES 4 83 Joel Bent West Midlands 14.30 +2.4 CS 5 35 Ethan Winning Hereford & Worcestershire 14.56 +2.4 CS 6 73 Muna Nweze Staffordshire 14.64 +2.4 CS 7 19 William Stimson Derbyshire 15.28 8 63 Freddie Marks Nottinghamshire 16.30 +2.4 | |
| | SSTTRRIINNGG AA |
| 1 81 Seb Hillard Warwickshire 14.54 CS 2 36 Thomas Edge Hereford & Worcestershire 14.68 CS 3 20 Jack Chen Derbyshire 15.95 4 74 Alex Glover Staffordshire 17.18 | SSTTRRIINNGG BB |
| F3 JG Shot 3Kg NS 11.20 ES 10.60 CS 9.00 Record 12.90, Holder L Millward (Staffs) 2003 Medals Posn NumName County Perf ESAA Guests G 1 83 Aisha Abdullah West Midlands 10.89 ES S 2 35 Neave Colley Hereford & Worcestershire 9.60 CS 3 81 Marisa Lumani Warwickshire 9.28 CS 4 19 Christiana Imonitie-Felix Derbyshire 8.89 5 11 Ash Bellis Cheshire 8.75 6 64 Esther Egberongbe Nottinghamshire 8.70 7 57 Peyton Egbegi Northamptonshire 8.69 8 73 Olivia Hepworth Staffordshire 7.46 9 67 Zoe Hudson Shropshire 6.97 | |
|---|---|
| | SSTTRRIINNGG AA |
| B 1 84 Emily Cox West Midlands 9.52 CS 2 36 Jess Austin Hereford & Worcestershire 8.25 3 20 Faith Baines Derbyshire 7.83 4 74 Nnenna Ananaba Staffordshire 7.15 5 68 Soraya Neville Shropshire 6.80 6 12 Annabelle Lerigo Cheshire 6.70 7 58 Grace Sinton Northamptonshire 6.40 8 63 Sophie Peet Nottinghamshire 6.06 | SSTTRRIINNGG BB |
| F4 JB Long Jump NS 5.95 ES 5.80 CS 5.30 Record 6.57, Holder Conrad Deacon (West Mid) 2005 Medals Posn NumName County Perf Wind ESAA Guests G 1 12 Tristan Lamprecht Cheshire 5.84 ES S 2 81 Isaac Byrne Warwickshire 5.73 CS B 3 19 Joe Moss Derbyshire 5.70 CS 4 73 Dan Kolodziej Staffordshire 5.48 CS 5 84 Adhvaith Prabhakaran West Midlands 5.42 CS 6 57 Keanu Thomas Northamptonshire 5.24 7 35 Louis Bekuore Hereford & Worcestershire 5.11 8 67 Min Yen Hsieh Shropshire 4.71 9 64 Liam Cockerill Nottinghamshire 4.62 | |
| | SSTTRRIINNGG AA |
| 1 11 Reuben Baxter Cheshire 5.15 2 58 Cam Irving Northamptonshire 5.13 3 36 Struan Brockie Hereford & Worcestershire 4.76 4 74 Carson Smith Staffordshire 4.45 5 20 Corey Fisher Derbyshire 4.40 6 63 Daniel Menakaya Nottinghamshire 4.36 | SSTTRRIINNGG BB |
| F15 JG High Jump NS 1.62 ES 1.56 CS 1.45 Record 1.70, Holder Claire Summerfield (Staffs) 1979 Medals Posn NumName County Perf ESAA Guests G 1 81 Saffey Easton Warwickshire 1.53 CS S 2 11 Ruby Billington Cheshire 1.53 CS B 3 67 Grace Kinsey Shropshire 1.50 CS 4 58 Jessica Croft Northamptonshire 1.47 CS 5 32 Elizabeth Knobl Greater Manchester 1.44 6 83 Emily Cox West Midlands 1.44 7 35 Sophia Bhardwaj Hereford & Worcestershire 1.36 8 63 Heidi Deane Nottinghamshire 1.36 9 19 Lily Briegel Derbyshire 1.36 10 73 Larna Watkins Staffordshire 1.31 | |
|---|---|
| | SSTTRRIINNGG AA |
| 1 57 Maisie Wood Northamptonshire 1.44 2 68 Elin White Shropshire 1.41 3 82 Dami Ajagunna Warwickshire 1.36 4 64 Isla Picker Nottinghamshire 1.31 5 12 Evie Smith Cheshire 1.31 | SSTTRRIINNGG BB |
| F16 JB Triple Jump NS 12.40 ES 12.00 CS 11.00 Record 13.56, Holder Delroy Ricketts (West Mid) 1988 Medals Posn NumName County Perf Wind ESAA Guests G 1 35 Benjamin Adam Hereford & Worcestershire 11.71 CS S 2 31 Josh Hill Greater Manchester 11.56 CS B 3 73 Martin Matalik Staffordshire 11.21 CS 4 58 Andrew Fasae Northamptonshire 11.16 CS 5 19 Ryan Ghai Derbyshire 10.65 6 11 Tom Elliott Cheshire 10.11 7 81 Louie Foster Warwickshire 9.53 | |
| | SSTTRRIINNGG AA |
MASON TROPHY Northwood Stadium, Stoke on Trent : Saturday 15 June 2024
| F17 IB Shot 5Kg NS 14.20 ES 13.00 CS 11.00 Record 18.71, Holder Chris Ellis (Avon) 1981 Medals Posn NumName County Perf ESAA Guests G 1 57 Moyo Stumpenhusen Northamptonshire 13.23 ES S 2 11 Jedeon Swanepoel Cheshire 13.13 ES 3 35 Jack Fletcher Hereford & Worcestershire 11.31 CS 4 73 George Kugelmann Staffordshire 11.03 CS 5 19 Alfie Ditchfield Derbyshire 10.93 6 63 Will Loverseed Nottinghamshire 10.74 7 67 Jacob Parry Shropshire 10.50 8 31 James Caine Greater Manchester 8.45 | |
|---|---|
| | SSTTRRIINNGG AA |
| B 1 12 Fergus Hayles Cheshire 11.45 CS 2 20 Jenson Corey Derbyshire 9.95 3 36 Diego Guzman Hereford & Worcestershire 9.87 4 58 Temisan Pinnock Northamptonshire 9.71 | SSTTRRIINNGG BB |
| F18 JG Long Jump NS 5.20 ES 5.10 CS 4.70 Record 6.10, Holder Margaret Cheetham (Mersey) 1983 Medals Posn NumName County Perf Wind ESAA Guests G 1 11 Tallie Sze Cheshire 4.97 CS B 2 35 Iseoluwa Odugbesan Hereford & Worcestershire 4.82 CS 3 63 Scarlett Jane Nottinghamshire 4.63 4 73 Matilda Williamson Staffordshire 4.59 5 57 Maisie Wood Northamptonshire 4.57 6 19 Betsy Wilton Derbyshire 4.53 7 31 Luna Elhassan Greater Manchester 4.34 8 82 Esha Finnegan Warwickshire 4.18 9 68 Alice Parke Shropshire 4.13 83 Isla Beasley West Midlands NM | |
| | SSTTRRIINNGG AA |
| F19 IB High Jump NS 1.94 ES 1.88 CS 1.70 Record 2.07, Holder Rory Dwyer (Warks) 2013 Medals Posn NumName County Perf ESAA Guests G 1 63 Taejan Blake Nottinghamshire 1.94 NS S 2 81 Andre Onyekwe Warwickshire 1.91 ES B 3 83 Finley Powell West Midlands 1.91 ES 4 35 Rohan Stewart Hereford & Worcestershire 1.85 CS 5 57 David Oduwusi Northamptonshire 1.79 CS 6 19 Rory Birtwistle Derbyshire 1.79 CS 7 73 Oliver Walker Staffordshire 1.69 8 31 Fraser Savage Greater Manchester 1.69 Fraser Savage, Cheshire 9 12 Seb Hulse Cheshire 1.64 | |
|---|---|
| | SSTTRRIINNGG AA |
| 1 64 Freddie Marks Nottinghamshire 1.74 CS 2 84 Luca Deakin West Midlands 1.74 CS 3 20 Ben Lowe Derbyshire 1.69 4 82 Oliver Battersby Warwickshire 1.69 5= 36 Will Higgs Hereford & Worcestershire 1.64 5= 74 Joe Ward Staffordshire 1.64 7 11 Alexander Calvert Cheshire 1.64 8 58 Selorm Agrah Northamptonshire 1.64 | SSTTRRIINNGG BB |
| F20 IB Pole vault NS 4.20 ES 3.90 CS 2.80 Record 4.65, Holder Steven Lewis (Staffs) 2002 Medals Posn NumName County Perf ESAA Guests G 1 81 Finn Williams-Stein Warwickshire 3.70 CS S 2 57 Rhys Owen Northamptonshire 3.50 CS B 3 19 Maxim Johnson Derbyshire 3.40 CS 4 84 Matthew Morris West Midlands 3.00 CS | |
| | SSTTRRIINNGG AA |
| | SSTTRRIINNGG BB |
| F25 IG Long Jump NS 5.55 ES 5.40 CS 4.90 Record 5.96, Holder Alexandra Russell (Mersey) 2006 Medals Posn NumName County Perf Wind ESAA Guests G 1 63 Freya Vincent Nottinghamshire 5.26 CS S 2 83 Imogen Lane West Midlands 5.10 CS B 3 67 Natalia Sheldon da Silva Shropshire 4.90 CS 4 73 Victoria Shrehorn Staffordshire 4.82 5 36 Isabel Kingston Hereford & Worcestershire 4.81 6 19 Grace Long Derbyshire 4.74 7 81 Penelope Jones Warwickshire 4.68 8 11 Polly Baxendell Cheshire 4.54 9 31 Chloe Budworth Greater Manchester 4.46 10 57 Imogen Scott Northamptonshire 3.75 | |
|---|---|
| | SSTTRRIINNGG AA |
| 1 74 Evie Holmes Staffordshire 4.47 2 20 Maya Rathling Derbyshire 4.45 3 35 Emma Hall Hereford & Worcestershire 4.41 4 12 Olivia Welch Cheshire 4.27 5 82 Mary Meraiyebu Warwickshire 4.24 | SSTTRRIINNGG BB |
| F26 JB High Jump NS 1.78 ES 1.72 CS 1.60 Record 1.94, Holder Feron Sayers (West Mid) 2009 Medals Posn NumName County Perf ESAA Guests G 1 81 Olisa McKenzie Warwickshire 1.71 CS S 2 11 Sam Jury Cheshire 1.68 CS B 3 35 Ruben Mabberley Hereford & Worcestershire 1.65 CS 4 58 Harry Bradley Brophy Northamptonshire 1.56 5 83 Dominic Moynihan West Midlands 1.56 6 20 Christopher Hall Derbyshire 1.53 7 74 Leo Candlin Staffordshire 1.50 31 Samuel Hodgkinson Greater Manchester NM 63 Jamie Hearnshaw Nottinghamshire NM 67 Charlie Lister Shropshire NM | |
| | SSTTRRIINNGG AA |
| F27 IG Triple Jump NS 11.30 ES 10.90 CS 10.00 Record 11.69, Holder Nikita Campbell-Smith (West Mid) 2012 Medals Posn NumName County Perf Wind ESAA Guests G 1 67 Annabel Dzwiza Shropshire 10.84 CS S 2 83 Haven Thomas West Midlands 10.81 CS B 3 81 Maia Thompson Warwickshire 10.48 CS 4 31 Sorcia Kajue Greater Manchester 9.81 5 35 Tessa Morgan Hereford & Worcestershire 9.76 6 11 Bella Varley Cheshire 9.68 7 19 Isla Hiscocks Derbyshire 9.38 8 63 Evelyn Acharya Nottinghamshire 9.05 9 58 Tori O'Dwyer Northamptonshire 8.74 10 74 Isla Hardistry Staffordshire 8.53 | |
|---|---|
| | SSTTRRIINNGG AA |
| F28 JB Hammer 4Kg NS 45.00 ES 38.00 CS 27.00 Record 63.64, Holder M. Sutton (Staffs) 1996 Medals Posn NumName County Perf ESAA Guests G 1 73 Alfie Rushton Staffordshire 43.97 ES S 2 35 Ted Freeman Hereford & Worcestershire 42.40 ES 3 81 Dexter Barrett Warwickshire 23.60 4 67 Felix Davies Shropshire 17.86 | |
|---|---|
| | SSTTRRIINNGG AA |
| 1 36 James Hoare Hereford & Worcestershire 27.32 CS | SSTTRRIINNGG BB |
| F29 IB Hammer 5Kg NS 56.00 ES 49.00 CS 30.00 Record 69.77, Holder Matthew Sutton (Staffs) 1998 Medals Posn NumName County Perf ESAA Guests G 1 67 Ethan Kendrick Shropshire 52.96 ES S 2 58 Jack Hancock Northamptonshire 42.62 CS B 3 31 Alfie Dodds Greater Manchester 42.47 CS 4 11 Dun Xue Cheshire 40.37 CS | |
| | SSTTRRIINNGG AA |
MASON TROPHY Northwood Stadium, Stoke on Trent : Saturday 15 June 2024
| F30 JG Hammer 3Kg NS 43.00 ES 37.00 CS 25.00 Record 51.40, Holder Lauren Hill (Derby) 2015 Medals Posn NumName County Perf ESAA Guests G 1 81 Sorrell Lockhart Warwickshire 39.41 ES S 2 19 Poppy Howard Derbyshire 29.22 CS 3 67 Ellie Lidster Shropshire 25.70 CS 4 63 Abigale Howell Nottinghamshire 23.03 | |
|---|---|
| | SSTTRRIINNGG AA |
| B 1 82 Marisa Lumani Warwickshire 27.73 CS 2 20 Isabella Parsons-Loades Derbyshire 21.38 | SSTTRRIINNGG BB |
| F31 IG Hammer 3Kg NS 53.00 ES 48.00 CS 34.00 Record 60.31, Holder Katie Lambert (Shrops) 2015 Medals Posn NumName County Perf ESAA Guests G 1 11 Kara Stoll Cheshire 49.50 ES S 2 31 Jessica Wilkins Greater Manchester 46.41 CS 3 83 Vienos Abdullah West Midlands 39.85 CS 4 19 Isabelle Gould Derbyshire 39.13 CS 5 64 Penelope Thornton Nottinghamshire 38.74 CS 6 73 Olivia Postles Staffordshire 29.48 7 35 Eve Hetherington Hereford & Worcestershire 23.53 | |
| | SSTTRRIINNGG AA |
| B 1 32 Jessica Higgins Greater Manchester 42.28 CS 2 84 Georgina Neilson West Midlands 37.65 CS 3 63 Rubie Slater-Rowley Nottinghamshire 25.72 4 20 Billie Kennedy Derbyshire 24.32 5 36 Esme Karakaya Hereford & Worcestershire 18.27 | SSTTRRIINNGG BB |
|
Chiba City Residential Newsletter 千葉市生活情報誌
Chiba City・ちば
2012 年 6 月号 英語版 English Edition June 2012
発 行：（公財）千葉市国際交流協会
Issued by: Chiba City International Association
〒260-0013千葉市中央区中央 2-5-1 千葉中央ツインビル 2号館 8階
Chiba Chuo Twin Building 2
nd
Tower 8F
2-5-1 Chuo, Chuo-ku, Chiba City
TEL：043-202-3000 FAX： 043-202-3111
この情報誌は、下記のアドレスよりダウンロードすることができます。
This newsletter is available at:
http://www.ccia-chiba.or.jp/005003jyoho/index.html
Additional information not listed in this publication can be found at the Chiba City International Association's blog which is updated regularly.
Chiba City International Association Blog (URL): http://cciachiba.blog21.fc2.com/
CITY NEWS
燃 も やせるごみを 減 へ らすために 協力 きょうりょく を！ Help Reduce Burnable Garbage!
One way that many cities have addressed the costs of dealing with burnable, household garbage is to have residents help pay for the costs. Chiba City has already decided to raise the cost of the garbage bags designated for burnable garbage disposal that everyone must use. The less garbage you
throw away, the less the city needs to charge in order to pay for garbage processing. That will also leave more money available for welfare and education programs. Chiba City established the goal of reducing its burnable garbage output by 1/3 over the course of ten years, starting in 2006. The goal is to create only 254,000 tons per year. Thanks to everybody's cooperation, we have come a long way in reducing our garbage output. But we still have 11,000 tons/year to go to reach our goal. We ask for your understanding and help.
はいきぶつたいさくか
Info：廃棄物対策課
Waste Management Section ☎ 245-5236
6月 がつ は 不法 ふほう 投棄 とうき 防止 ぼうし 強化 きょうか 月間 げっかん June is Illegal Waste Disposal Prevention Month
rules. It is also illegal to throw away business waste at residential waste disposal sites. ○ 2 Illegal Collection of Used Electronics There are several business owners that drive kei trucks around Chiba City offering to collect electronic equipment. These business often charge high fees and cause problems, so please be careful. Businesses must have permission from Chiba to collect furniture and household garbage. None of these companies would advertise their services by driving around with a loudspeaker. If somebody is offering a collection service for money without the city's permission, they are breaking the law. Protect yourself by calling the number below to find out how you can throw away your garbage with an approved company.
しゅうしゅうぎょうむか
Info：収集業務課
Waste Collection Operations Section ☎ 245-5246
節電 せつでん に協力 きょうりょく しましょう
Help Conserve Electricity
This summer, many are worried about electricity shortages. Help conserve power by:
★ Raise the temperature of the air conditioning your house by 1 degree to save 3-5% more power.
★ Disconnect plugs for devices you aren't using.
★ Use a fan instead of the air conditioner.
- 1 Do not / Don't allow illegal disposal! Illegal disposal means throwing garbage away in empty lots or on the street without following the
★ Turn off lights during the day and only use them when you need them at night.
★ Use curtains and shades to cool your home.
Info
：環境 かんきょう 保全課 ほぜんか Environmental Conservation
Section
☎245-5199
All services are in Japanese only unless otherwise noted. (043) is the area code for Chiba City.
こくみん
国民健康保険・介護保険の料金 が決定 National Health and Care Insurance Fees Have Been Decided
けんこうほけん かいご ほけん りょうきん けってい
You should receive a notification about your fees for 2012 in the mail. Please be sure to pay any amount you owe within the time allotted. If you are late, you will be charged an additional fee. Info:
①健康 けんこう 保険課 ほけんか National Health Insurance Section ☎ 245-5144
②
かいご ほけんか
介護保険課 Care Insurance Section
☎245-5061
小学 しょうがく 3年生 ねんせい 以下 い か の 子 こ どもが いる家庭 かてい 子 こ ども
いりょう ひ じょせいじゅきゅうけん あたら
医療費助成受給券を 新 しくする
手続 てつづ きをしてください
Re-Apply for Medical Fee Vouchers for Children Younger than Elem. Grade 3
If you currently have vouchers to help cover the costs of medical fees for children, they will expire on Tues., July 31. Your approval for these vouchers does not renew automatically. You will need to submit your application with proof of your income. If you had a valid voucher on May 16, we will send you an application form by June 10. Please submit it directly or mail it to your local Health and Welfare Center's Child and Family Section by Fri., June 29.
Info
：こども企画課 きかくか
Children’s Future Planning Section ☎ 245-5178
幼稚園 ようちえん での 長時間 ちょうじかん 預 あず かり保育 ほいく
Extended Care Hours at Day Care
The 15 day cares in Chiba City are offering extended hours for child care for children already
enrolled during normal hours on weekdays (normally 9:00
-14:00). These are usually outside regular hours, over
long weekends (except year end/new year holidays), etc.
Call for more information.
Info：こども企画課 きかくか
Children’s Future Planning Section ☎ 245-5659
4月 がつ から 子 こ ども手当 てあて 制度 せいど が 変 か わります
Child Allowance System Changes in April
June. If your income is higher than a certain level, you will receive ¥5,000 per child (age limit – children who have not yet graduated from middle school and younger) If you are currently receiving child allowance, you will be notified in June about how to apply for the new system. If you did not apply for child allowance by the March deadline, please do so as soon as possible.
Info
：こども企画課 きかくか
Children's Future Planning Section ☎ 245-5178
EVENTS
ジェフなでしこ選手 せんしゅ にチャレンジ！
１day サッカースクール
Learn from a JEF Nadeshiko Player at a
1 day Soccer School!
When: Saturday, June 16 from 13:00 – 15:00 Where: Inage Kaihin Park Sports Facility Ball Court (7 Takahama, Mihama-ku) Who: Elem. Students in Grades 1 – 3 Come directly to the field on the day of the event. No rain cancellations.
Apply/Info:
いなげかいひんこうえん
しせつ
稲毛海浜公園スポーツ施設
Inage Kaihin Park Sports Facility ☎ 247-2443
こうみんかん
公民館の講座
こうざ
Events at the Public Center
Fun events for parents and children!
★ Family Fureai Class
・Every Friday from 6/29 – 9/28 at 10:00 – 12:00
・At the Katsuragi Public Center
・For children ages 2-3 and parents
・Capacity: 17 pairs, first come, first serve.
・Cost: 500 yen per pair
・ Apply: Send a pre-paid postcard by Thurs. 6/14 to
260-0853
かつらぎこうみんかん
〒
ちばし ちゅうおうく かつらぎ
千葉市中央区葛城 2-9-2葛城公民館
Chibashi Chuo-ku Katsuragi 2-9-2 Katsuragi Kominkan
Information: 葛城公民館 Katsuragi Public Center
かつらぎこうみんかん
222-8554
☎
★ Family Furaei Class
・Every Friday from 6/15 – 7/6 at 9:30 – 11:30
・At the HanazonoPublic Center
・For children ages 1-2 and parents
・Capacity: 20 pairs, first come, first serve.
・Apply: in person at the Hanazono Public Center
The Child Allowance System will change names in April from being the kodomo teate seido to the jido teate seido. An income cap will also be instated in
(3-12-8 Hanazono, Hanamigawa-ku)
はなぞの
Information: 花園公民館 Hanazono Public Center
☎273-8842
こうみんかん
All services are in Japanese only unless otherwise noted. (043) is the area code for Chiba City.
★ Family Furaei Exercise Class
・June 12, 19 and 26 (Tues.) from 10:00 – 12:00
・At the Tsuga Public Center
・For children ages 2-3 and parents
・Capacity: 15 pairs, first come, first serve.
・Apply: call or come to the Tsuga Public Center (2-8-53 Sakusabe, Inage-ku)
つ
Information: 都賀公民館 Tsuga Public Center
☎251-7670
が こうみんかん
★ Family Exercise Class (Let's Relax!)
・Every Friday from 6/22- 7/13, 10:00 – 11:00
・At the Kasori Public Center
・For children ages 1½-3 and parents
・Capacity: 10 pairs, first come, first serve.
・Apply: call or come directly to the public center (892-6 Kasoricho, Wakaba-ku)
か
Information: 加曽利公民館 Kasori Public Center
☎232-5182
そ り こうみんかん
★
Family Class (Make Tanabata decorations, sing, and enjoy stories!)
・Sunday, July 1 from 10:00 – 12:00
・At the Ochi Public Center
・For children in elementary school and younger and their parents
・Capacity: 10 pairs, first come, first serve.
・Apply: call or come directly (822-7 Ochimachi, Midori-ku)
越智 お ち 公民館 こうみんかん
Information:
Ochi Public Center ☎294-6971
★ 3 Year Old Family Exercise Class
・Every Friday from 6/15 – 7/6, from 10:00 – 12:00
・At the Inahama Public Center
・For 3 year old children and their parents
・Capacity: 25 pairs, first come, first serve.
・Apply: call or come directly to the public center (3-4-1 Inage Kaigan, Mihama-ku)
Information:
☎247-8555
稲浜公民館 いなはまこうみんかん Inahama Public Center
わんぱく相撲 ずもう 千葉 ち ば 大会 たいかい
Children's Sumo Tournament
elementary school and younger. Individual matches will be held by grade level, and group matches will be held between schools that have enough competitors to form a team.
*Mawashi (belts worn by wrestlers) and pants will be provided. Girls should bring a t-shirt to wear. Apply: Come directly on the day of (with a parent) by 9:00 a.m.
しんこうか
Info: スポーツ振興課 Sports Promotion Section ☎ 245-5968
生涯 しょうがい 学習 がくしゅう センターの映画 えいが 上映会 じょうえいかい
Movies at the Lifelong Learning Center
- 1
Thursday Classic Cinema – "My Darling
Clementine"
When: Thursday, June 21
Capacity: 250 people, first-come, first-serve
- 2
Classic Movie Screening
– "Gunga Din"
When: Sunday, June 24
Capacity: 80 people, first-come, first-serve
Time: All films will be shown at 10:00 and 14:00.
Entry will begin 30 minutes prior to the showing.
Info:
生涯 しょうがい 学習 がくしゅう センター Lifelong Learning Center
(3 Benten, Chuo-ku, closed every 4
th
Sunday) ☎207-5820
HEALTH and CONSULTATIONS
食中毒 しょくちゅうどく の 予防 よぼう 対策 たいさく を しましょう
きん
にち しょくひんえいせい か き たいさくきかん
衛生
6/1(金)～9/30(日)は 食品 夏期対策期間
Prevent Food Poisoning!
Summer Food Safety Planning Period
There are three guidelines for preventing the spread of germs that cause food poisoning. "Don't touch, don't spread, and destroy!" Prevent food poisoning in your home with the following tips:
- 1 When buying food – raw foods like meat, fish, and vegetables should be as fresh as possible.
- 2
Storing food – Put foods that need freezing or
refrigerating away as soon as
possible.
- 3
Before cooking –disinfect utensils with a chlorine-based
When: Sunday, June 17 from
10:00 a.m.
Where: Chiba City Sumo Ring (Furuichiba-cho, Midori-ku)
Eligibility: Children in
bleach or boil them.
- 4
When cooking – Make sure all food is cooked thoroughly (1 min. or more at 75 degrees Celsius).
- 5 Wash your hands before eating.
- 6 Wash your hands and put leftovers in the
All services are in Japanese only unless otherwise noted. (043) is the area code for Chiba City.
refrigerator immediately. Make sure to reheat foods properly before eating.
Info: 市 し 保健所 ほけんじょ 食品 しょくひん 安全課 あんぜんか City Public Health Office Food Safety Section ☎ 238-9934
じょせい けんり ひゃくとおばん
女性の権利110番
Women's Rights Hotline
Saturday, June 23 from 10:00 – 16:00
Speak to an attorney on the phone about violence, divorce, trouble at work,
discrimination, etc.
Hotline Number: ☎ 224-6009
Info: 広聴課
こうちょうか
Public Comments
and Opinion Section ☎245-5609
じょせい
けんこうそうだん
女性のための 健康相談
Women's Health Consultation
Talk to a nurse about concerns for your health, emotional or physical wellbeing.
When: Monday – Friday (closed holidays) from
9:00 – 12:00 and 13:00 – 16:00.
Info and Hotline:
健康 けんこう 支援課 しえんか
Health Support Section ☎
238-1220
不妊 ふにん で 悩んで なや いる人 ひと の 相談 そうだん Infertility Consultation
When: Wednesday, June 27 from 14:45 – 17:00
Where: City Public Health Office (1 Saiwaicho,
Mihama-ku)
What: Consult with a doctor or midwife in private.
Capacity: 3 people (couples), by reservation only.
Apply/Info: 健康
けんこう
支援課
しえんか
Health Support Section
☎ 238-9925
せいしょうねん なやみごとそうだん
青少年の悩み事相談
Youth Consultation Services
What: Talk to someone about juvenile delinquency, problems at school, bullying, skipping classes, career counseling etc.
When: Mon. to Fri., 9:00 – 17:00
(Phone and in-person consultations available)
Information: Youth Support Center (Prefectural Education Center 4F, 4 Chuo, Chuo-ku) ☎ (227) 7830
心配ごと相談
しんぱい そうだん
Consultation Services
What: Consult with a welfare commissioner or a children’s welfare commissioner. Phone and in person consultations are available.
When: Monday through Friday from 10:00 – 15:00 (except holidays).
Where:
市 し 社会 しゃかい 福祉協 ふくしきょう 議会 ぎかい 心配 しんぱい ごと相談所 そうだんじょ （中央区 ちゅうおうく
ち ば でらちょう
ない
千葉寺町ハーモニープラザ内）
City Social Welfare Council Shinpaigoto Soudanjo (Chibaderacho, Chuo-ku in the Harmony Plaza)
心配 しんぱい ごと相談所 そうだんじょ
Information:
Shinpaigoto Soudanjo ☎209-8860
とくせつほうりつそうだん
特設 法律 相談 Special Legal Consultations
What: Speak to an attorney. Cases currently being tried in court or in arbitration will not be accepted.
By appointment only. No phone consultations.
When: Saturday, June 23 from 13:00 – 16:00
Where: Chuo Community Center 2F.
Apply: Call for an appointment after Thursday,
June 14 at 9:30. 16 individuals maximum.
Information:
市民 しみん 総務課 そうむか
General Affairs Section
of the Citizens' Affairs Bureau ☎245-5609
外 がい 国 こく 人 じん のための 法 ほう 律 りつ 相 そう 談 だん
Legal Consultation for Foreign Residents
Chiba City International Association ☎ 202-3000
When: Mon. June 18 from 13:00～16:00
Where: Chiba City International Exchange Plaza
Conference Room (2 Chuo, Chuo-ku)
Limit: 4 people, first-come,
first-serve
If you need an interpreter, say so
when you apply.
Info:
千葉市 ち ば し 国 こく 際 さい 交 こう 流 りゅう 協 きょう 会 かい
How to apply for things by post card:
(Put your own address on the return half of pre-paid postcards!)
- The course/event (date and name)
- Your postal code, name and address (with furigana)
- Your phone number and any other required information
*People who live, work, or go to school in Chiba city may apply. If there are many applications, a lottery will be used to determine who can attend.
All services are in Japanese only unless otherwise noted. (043) is the area code for Chiba City.
|
Time : 3 Hrs.]
QUANTUM POTENTIAL TEST
[Quality Nurturer & Mind Utilizer Test for Potential Enhancement]
(IPEC Scholarship-Cum-Admission Test)
For
CLASS-X
(For X to XI Moving Students)
[14-Oct-2018]
[Maximum Marks : 285
[PAPER-2]
Please read the instructions carefully. You are allotted 5 minutes specifically for this purpose.
INSTRUCTIONS
1. The booklet is your Question Paper. Do not break the seal of this booklet before being instructed to do so by the invigilator.
2. Blank spaces and blank pages are provided in the question paper for your rough work. No additional sheets will be provided for rough work.
3. Blank papers, clipboards, log tables, slide rules, calculators, cameras, cellular phones, pagers and electronic gadgets are NOT allowed inside the examination hall.
4. The answer sheet, a machine-readable Optical Response Sheet (ORS), is provided separately.
5. On breaking the seal of the booklet check that it contains 1 pages and all the 75 questions.
6. A candidate has to write his / her answers in the ORS sheet by darkening the appropriate bubble with the help of Black ball point pen as the correct answer of the question attempted.
7. Question Paper Format :
This question paper consists of Three Parts:
Part-I: (Physics)
- 25 Questions.
Part-II: (Chemistry)
- 25 Questions.
Part-III: (Mathematics)
- 25 Questions.
8. Marking Scheme :
Please see the marking scheme as mentioned in all sections.
PART -I [Physics]
6. The value of 1 R is
ipec sample paper [SECTION - I] [SINGLE CORRECT TYPE] This section contains 5 Multiple Choice Questions. Each question has four choices (A), (B), (C) and (D) out of which ONLY ONE is correct. [Marking Scheme: +3 marks for correct answer and –1 for wrong answer ] 1. The magnetic field lines due to a bar magnet are correctly shown in figure. 2. A current flows in a conductor from east to west. The direction of the magnetic field at a point above the conductor is (A) towards north (B) towards south (C) towards east (D) towards west 3. An electrical generator converts (A) electrical energy into chemical energy (B) mechanical energy into electrical energy (C) electrical energy into mechanical energy (D) mechanical energy into heat energy 4. Electrical energy can be produced from (A) mechanical energy (B) chemical energy (C) tradiant energy (D) all of these 5. In a nuclear power plant, uranium atoms (A) combine and give off heat energy (B) split and give off heat energy (C) burn and give off heat energy (D) split and give off electrons [SECTION - II] [COMPREHENSION TYPE] This section contains 6 comprehension (15 Multiple Choice Questions). Each question has four choices (A), (B), (C) and (D) out of which ONLY ONE is correct. [Marking Scheme: +4 marks for correct answer and –1 for wrong answer ] Comprehension#1 Four cells each of emf 2 V and internal resistance 0.1 are connected in series. The combination in series is joined to an ammeter of negligible resistance, a 1.6 resistor and unknown resistor 1 R as shown in figure. The current in the circuit is 2A.
(A) 1
(B) 2
(C) 3
(Space for rough work)
M5, CITY CENTRE , NEAR - JAI JAWAN PETROL PUMP , B S CITY,
Contact No. 9263636343
®
[ 4 ]
7.
The potential difference across
1
Ris
(A) 2 V
(B) 4 V
(C) 6 V
(D) 8 V
8. The total resistance of the circuit is
10. Find the value of
1
Rfor given condition
(A) 14
11. Find the current through10 resistance (i.e.
1
I)
(A) 10 J
14. Which of the four resistance generate the greatest amount of heat when a current flows from
A to B
(A) 1 (B) 2 (C) 3 (D) 4 Comprehension#2 Solve the question with the help of given circuit digram. 69 V 20 1A I 1 R 1 R 2 I 0.5A 9. Find the current flowing through the battery i.e, I (A) 3 A (B) 3.5 A (C) 5 A (D) 1.5 A 10. Find the value of 1 R for given condition (A) 14 (B) 40 (C) 42 (D) Data Insufficient 11. Find the current through 10 resistance (i.e. 1 I ) (A) 1 A (B) 2 A (C) 3 A (D) 4 A Comprehension#3 Heat generated in a resistance is H and it is given by 2 H i Rt . Where i is the current flows through the resiststor R in time t. Now solve the question with the help of given diagram 6 V A B R = 1 S = 2 Q = 4 P = 2 12. Find the heat generated in resistance P, P 2 in 2 sec (A) 2 J (B) 4 J (C) 8 J (D) 6 J 13. Find the total power supplied by the battery (A) 10 J (B) 9 J (C) 18 J (D) 20 J 14. A to B (A) P (B) Q (C) R (D) S (Space for rough work)
®
Three incandescent bulbs of 50 W each are connected in 100 W 100 W 100 W (i) (ii) V V series in an electric circuit. In another circuit another set of three bulbs of the same wattage are connected in parallel to the same source. 15. Which of the following statement is true for the bulbs in two circuits? (A) Bulbs in both circuits glow with the same brightness. (B) Bulbs in both circuits glow with different brightness. (C) Bulbs in series combination will glow more brightly. (D) Bulbs in parallel combination will glow more brightly. 16. If one of the blub in both the circuit get fused then (A) the rest of the bulbs in circuits (i) and circuit (ii) will stop working (B) the rest of the bulbs in circuits (i) and (ii) will continue to glow. (C) the rest of the blubs in circuit (i) will continue to glow and in circuit (ii) will stop working. (D) the rest of the blubs in circuit (i) will stop working and in circuit (ii) will continue to glow. Comprehension#5 A letter A consists of a uniform wire of resistance 1 ohm per cm. The sides of the letter are each 20 cm long and the cross-piece in the middle is 10 cm long while the apex angle is o 60 . The arrangement is as shown in the figure. 60o C B D A R1 R2 R3 R4 R5 17. The effective resistance between B and D is (A) 20 3 (B) 3 20 (C) 20 (D) 3 18. The effective resistance between the ends A and E is (A) 3 80 (B) 3 (C) 80 3 (D) 80 (Space for rough work)
80
®
The strength of the magnetic field produced by a current-carrying conductor depends on (i) Current flowing through the conductor . (ii) distance from the conductor . (iii) Angle between conductor and distance between them .
(A) south to north
If in the curcuit, power dissipation is 150 W, then R is (in
A and B as shown in the figure is (in
)
conductor and distance between them . 19. A long horizontal power line is carrying a current of 100 A in the east-west direction. The direction of magnetic field at a point 1.0 m below it is (A) south to north (B) north to south (C) east to west (D) west to east 20. If a current carrying straight conductor is placed is east-west direction, then the direction of the force experienced by the conductor due to earth's magnetic field is (A) downward (B) upward (C) east west (D) west east [SECTION - III] [INTEGER TYPE] This section contains 5 Subjective Questions. The answer to each of the questions is a single digits integer, ranging from 0 to 9 (both inclusive) [Marking Scheme: +3 marks for correct answer and –1 for wrong answer] 21. If in the curcuit, power dissipation is 150 W, then R is (in ) 15 V 2 R 22. The equivalent resistance between the points 20 6 9 18 8 8 A B A and B as shown in the figure is (in ) 23. A current of 2 A passing through conductor produces 80 J of heat in 10 seconds. The resistance of the conductor is (in ) 24. What is the current (I) in the circuit (in A)? 2 1 1 I I 2 V 25. A current of 0.1 A flows through a conductor of resistance 10 . The potential difference across the ends of the conductor is (in volt) (Space for rough work)
®
M5, CITY CENTRE , NEAR - JAI JAWAN PETROL PUMP , B S CITY,
Contact No. 9263636343
21.
PART -II [Chemistry]
[SECTION - I] [SINGLE CORRECT TYPE] This section contains 5 Multiple Choice Questions. Each question has four choices (A), (B), (C) and (D) out of which ONLY ONE is correct. [Marking Scheme: +3 marks for correct answer and –1 for wrong answer] 26. Which of the following properties is not a characteristic of metals? (A) Metallic lusture (B) High density (C) Hardness (D) Low melting and boiling point 27. 4 2 Zn (X) ZnSO H . Here X is (A) CuSO 4 (B) HCl (C) H 2 SO 4 (D) HNO 3 28. Which of the following is a strong acid? (A) Lactic acid (B) Ascorbic acid (C) Sulphuric acid (D) Formic acid 29. Which of the following reaction is a redox reaction as well as displacement reaction? (A) 2 2 2 2 4 2HgCl SnCl Hg Cl SnCl (B) ZnO C Zn CO (C) 3 2 2Al 6HCl 2AlCl 3H (D) 2 2 H S Cl 2HCl S 30. Rusting of iron is a chemical reaction. The reaction can be termed as (A) Displacement (B) Combination (C) Double decomposition (D) substitution [SECTION - II] [COMPREHENSION TYPE] This section contains 6 comprehension (15 Multiple Choice Questions). Each question has four choices (A), (B), (C) and (D) out of which ONLY ONE is correct. [Marking Scheme: +4 marks for correct answer and –1 for wrong answer] Comprehension#1 A solid compound X on heating gives CO 2 gas and a solid residue. The residue when mixed with water forms Y. On passing excess of CO 2 through Y in water a clear solution Z is obtained. 31. Identify the compound X. (A) CaCO 3 (B) Na 2 CO 3 (C) CaO (D) Ca(OH) 2 32. Identify the compound Y. (A) CaCl 2 (B) CaO (C) Ca(OH) 2 (D) CO 2 33. Identify the compound Z. (A) Ca(HCO 3 ) 2 (B) Ca(OH) 2 (C) CaCO 3 (D) CaO
(Space for rough work)
®
Oxidation and reduction always occur simultaneously. These reactions which involve simultaneous oxidation and reduction are called redox reactions. Therefore every redox reaction is made up of two half reactions. One half reaction represents oxidation and other half reaction represents the reduction. Oxidation and reduction of an atom, molecule or ion can also be defined in terms of electrons. The substance that gains electrons, is reduced to a lower oxidation state and acts as an oxidising agent. Similarly, the substance which loses electrons is oxidised to higher oxidation state, and is called a reducing agent.
ipec sample paper 34. In which of tfie following reaction hydrogen peroxide is acting as reducing agent? (A) 2FeCl 2 + 2HCl + H 2 O 2 2FeCl 3 + 2H 2 O (B) Cl 2 + H 2 O 2 2HCl + O 2 (C) 2HI + H 2 O 2 2H 2 O + I 2 (D) H 2 SO 3 + H 2 O 2 H 2 SO 4 + H 2 O 35. The reaction H 2 S + H 2 O 2 S + 2H 2 O indicates (A) oxidising action of H 2 O 2 (B) reducing nature of H 2 O 2 (C) acidic nature of H 2 O 2 (D) alkaline nature of H 2 O 2 . 36. In an acidic medium, Mn 7+ changes to Mn 2+ , it is (A) oxidation by 3 electrons (B) reduction by 5 electrons (C) oxidation by 5 electrons (D) reduction by 3 electrons. Comprehension#3 Corrosion may be defined as : The process of slow eating up of a metal by the gases and water vapours present in air due to formation of certain chemical compounds. Corrosion is favoured by the following factors : (i) Position of metal in the reactivity series: Active metals placed above hydrogen in the reactivity series are easily corroded as compared to the metals which are placed below hydrogen. (ii) Air and moisture: The presence of water vapours and gases like CO 2 , SO 2 etc. in air helps the process of corrosion. (iii) Uneven metal surface : If the surface of metal is uneven, it will have certain depressions. Water drops will stick in these and take part in the chemical process leading to corrosion. (iv) Presence of salts: Presence of salts or electrolytes in water promotes corrosion. For example, rusting of iron is faster in sea water (also called saline water) than in ordinary water or distilled water. 37. Chemically rust is (A) hydrated ferrous oxide (B) hydrated ferric oxide (C) only ferric oxide (D) None of these 38. Following processes are very common for checking rusting of iron (A) galvanisation (B) tinning (C) electroplating (D) All of these 39. Copper and silver get corroded in air by developing a coloured layer. The colour of the layers respectively is (A) green and black (B) brown and black (C) green and blue (D) black and green (Space for rough work)
®
I. Potassium bromide (aq) + Barium iodide (aq) Potassium iodide (aq) + Barium bromide (s) II. Zinc carbonate (s) Zinc oxide (s) + Carbon dioxide (g) 40. Reaction (I) represent (A) Displacement reaction (B) Combination reaction (C) Decompostion reaction (D) Double displacement reaction 41. Reaction (II) represent (A) Displacement reaction (B) Combination reaction (C) Decompostion reaction (D) Double displacement reaction Comprehension#5 A metal compound A reacts with dilute hydrochloric acid to produce effervescence. The gas evolved extinguishes a burning candle. 42. The balanced chemical equation for the reaction if one of the compounds formed is calcium chloride is (A) 4(s) (aq) 2(aq) 2 4(aq) CaSO 2HCl CaCl H SO (B) 3(s) (aq) 2(aq) 2 ( ) 2(g) CaCO 2HCl CaCl H O CO (C) (s) (aq) 2(aq) 2 ( ) CaO 2HCl CaCl H O (D) None of these 43. A is (A) CaCO 3 (B) CaO (C) CaSO 4 (D) None of these Comprehension#6 Metals occurs in nature in the free as well as in the combined state. The less reactive metals are generally found in the free state. Most of the metals, however are found in the combined form as minerals. The minerals from which metals can be obtained on a commercial scale are called ores. In other words, the minerals from which metals can be extracted profitably are called ores. Thus, bauxite (Al 2 O 3 ·2H 2 O) and clay (Al 2 O 3 ·2SiO 2 ·2H 2 O) are minerals of aluminium. However, it is bauxite that is chiefly used to obtain aluminium commercially. So, bauxite, and not clay, is an ore of aluminium. 44. Metal which occurs in native state is (A) Na (B) Ca (C) Mn (D) Ag 45. Which of the following is a sulphide ore? (A) Galena (B) Cryolite (C) Cuprite (D) Bauxite (Space for rough work)
Comprehension#4
®
[SECTION - III]
[INTEGER TYPE]
This section contains 5 Subjective Questions. The answer to each of the questions is a single digits integer, ranging from 0 to 9 (both inclusive)
sample paper i p e c [Marking Scheme: +3 marks for correct answer and –1 for wrong answer ] 46. The composition of aqua-regia is x parts of conc. HCl and y parts of conc. HNO 3 . The value of x + y is 47. The number of metals among the following elements are 24 19 31 12 9 15 X, Y and Z 48. The basicity of phosphorous acid is 49. Among the given acids, strong acids are H 2 SO 4 , H 2 CrO 4 , HCN, HCl, Phenol, HNO 3 50. The value of x in balanced equation is 6 12 6(aq) 2(g) 2(g) 2 ( ) C H O 6O xCO 6H O energy PART -III [ Mathematics ] [SECTION - I] [SINGLE CORRECT TYPE] This section contains 5 Multiple Choice Questions. Each question has four choices (A), (B), (C) and (D) out of which ONLY ONE is correct. [Marking Scheme: +3 marks for correct answer and –1 for wrong answer ] 51. If p q is a terminating decimal, what can you say about q ? (A) q must be in the from 2 n (B) q must be in the form 5 m (C) q must be in the form 2 5 n m (D) q must be in the form 2 5 n m , where n and m are non negative integers. (Space for rough work)
®
52. If
pxgx
qxrx
, then degree of
p x is equal to
(C) Mean cannot be determined by inspection (D) Mode can be determined graphically.
In the figure, D is the midpoint of BC and DE is the bisector
If
cos sin
2 sin ,
then cos
sin
If
, , are the zeroes of
3
2
x 5x 2x 24
and 12, then
(A) 2
If a
(A) Product of degrees of g x and q x (B) Product of degrees of g x and r x . (C) sum of degrees of g x and q x (D) sum of degrees of g x and r x . 53. Which of the following is a false statement ? (A) Median can be determined graphically (B) Mean can be determined from the graph (C) Mean cannot be determined by inspection (D) Mode can be determined graphically. 54. In the figure, D is the midpoint of BC and DE is the bisector of ADB and EF || BC. Then ____ (A) 90º EDF A E F D B C (B) 45º EDF (C) 60º EDF (D) 30º EDF 55. If cos sin 2 sin , then cos sin (A) 0 (B) 2 cos (C) 2sin (D) 1 [SECTION - II] [COMPREHENSION TYPE] This section contains 6 comprehension (15 Multiple Choice Questions). Each question has four choices (A), (B), (C) and (D) out of which ONLY ONE is correct. [Marking Scheme: +4 marks for correct answer and –1 for wrong answer] Comprehension#1 If , , are the zeroes of 3 2 ax bx cx d , then b c , a a , d a 56. If , , are the zeroes of 3 2 x 5x 2x 24 and 12 , then (A) 2 (B) – 2 (C) 3 (D) –3 57. If a b,a,a b are the roots of 3 2 x 3x x 1 , then 2 a b (A) 3 (B) 4 (C) 5 (D) 2 58. If two zeroes of the polynomial 3 2 x 5x 16x 80 are equal in magnitude but opposite in sign, then zeroes are (A) 4, 4,5 (B) 3, 3,5 (C) 2, 2,5 (D) 1, 1,5
(Space for rough work)
®
54.
55.
56.
57.
b
2
In figure, AD is a median of a triangle ABC and AM BC .
(A)
2
AC
(A)
In
2
AC
ABC
2
BC,
AB AC
right angled at B
9
cm and
BC 3
2
B
M B D 59. 2 2 . 2 BC AD BC DM (A) 2 AC (B) 2 AB (C) 2 BC (D) None of these 60. 2 2 . 2 BC AD BC DM (A) 2 AC (B) 2 AB (C) 2 BC (D) None of these 61. 2 2 1 2 2 AD BC (A) 2 2 AC BC (B) 2 2 AB BC (C) 2 2 AC AB (D) None of these Comprehension#3 In , ABC right angled at B A C B 9 AB AC cm and 3 BC cm . 62. The value of cot C is (A) 3 4 (B) 1 4 (C) 5 4 (D) None of these 63. The value of secC is (A) 4 3 (B) 5 3 (C) 1 3 (D) None of these 64. 2 2 sin cos C C (A) 0 (B) 1 (C) –1 (D) None of these (Space for rough work)
®
M5, CITY CENTRE , NEAR - JAI JAWAN PETROL PUMP , B S CITY,
Contact No. 9263636343
cm.
65.
The L.C.M of the fractions a x
1
1
1
b y c 0
a x
2
b y
2
c
2
0
5 15
16 24,
and
25
8
is i p e c sample paper LCM of several fractions = LCMof theirnumerators HCFof their denominators HCF of several fractions = HCFof theirnumerators LCMof their denominators (A) 5 48 (B) 5 8 (C) 75 48 (D) 75 8 66. The H.C.F. of the fractions 8 12 , 21 35 and 32 7 is (A) 4 105 (B) 192 7 (C) 4 7 (D) 5 109 Comprehension#5 A system of linear equations is given as follows : 67. Condition for two lines to have a unique solution is (A) 1 1 2 2 a b a b (B) 1 1 2 2 a c a c (C) 1 1 1 2 2 2 a b c a b c (D) 1 1 1 2 2 2 a b c a b c 68. Condition for two lines to have infinitely many solutions is (A) 1 1 1 2 2 2 a b c a b c (B) 1 1 2 2 a c a c (C) 1 1 1 2 2 2 a b c a b c (D) None of these (Space for rough work)
®
For a data set, the arithmetic mean is the central value of a discrete set of numbers : specifically, the mean of a set of numbers 1 2 , ,............. n x x x denoted by x is
(A) 4.25
(A) 43
In the given figure if AD BC AC
Mode of 5, 7, 7, 8, 6, 5, 8, 7 is i p e c 1 2 3 ........ n x x x x x n 69. Mean of all the factors of 18 is (B) 5 (C) 6.5 (D) 7.6 70. Mean of 9 observations was found to be 35. Later on, it was detected that an observation 80 was misread as 8. The correct mean is (B) 42 (C) 44 (D) 45 [SECTION - III] [INTEGER TYPE] This section contains 5 Subjective Questions. The answer to each of the questions is a single digits integer, ranging from 0 to 9 (both inclusive) [Marking Scheme: +3 marks for correct answer and –1 for wrong answer ] 71. The line 2 3 4 x y K meets the x axis at 1 1 , x y then the value of 1 1 x y is then 2 2 4 a b is equal to 73. If sin cos 2 x ecx then 10 10 sin cos x ec x is equal to 75. The LCM of two numbers is 630 and their HCF is 9. If the sum of the numbers is 153 and their difference is K, then K/3 is equal to. (Space for rough work)
sample paper
72.
74.
®
M5, CITY CENTRE , NEAR - JAI JAWAN PETROL PUMP , B S CITY,
Contact No. 9263636343,
4, BD 2, AB , a CD b ,
QUANTUM POTENTIAL TEST
[Quality Nurturer & Mind Utilizer Test for Potential Enhancement]
(IPEC Scholarship-Cum-Admission Test)
For
CLASS-X
(For X to XI Moving Students)
|
Cornell University School of Hotel Administration The Scholarly Commons
Articles and Chapters
School of Hotel Administration Collection
11-2014
The Effect of Tourism Clusters on U.S. Hotel Performance
Angel Peiró-Signes Universitat Politècnica de València
María-del-Val Segarra-Oña Cornell University
Luis Miret-Pastor Universitat Politècnica de València
Rohit Verma Ph.D. Cornell University School of Hotel Administration, email@example.com
Follow this and additional works at: http://scholarship.sha.cornell.edu/articles
Part of the Hospitality Administration and Management Commons, and the
Commons
Recommended Citation
Peiró-Signes, A., Segarra-Oña, M., Miret-Pastor, L., & Verma, R. (2014). The effect of tourism clusters on U.S. hotel performance. Cornell Hospitality Quarterly, 55, 1-13. doi: 10.1177/1938965514557354 Retrieved [insert date], from Cornell University, School of Hospitality Administration site:http://scholarship.sha.cornell.edu/articles/600/
This Article or Chapter is brought to you for free and open access by the School of Hotel Administration Collection at The Scholarly Commons. It has been accepted for inclusion in Articles and Chapters by an authorized administrator of The Scholarly Commons. For more information, please contact firstname.lastname@example.org.
Tourism and Travel
The Effect of Tourism Clusters on U.S. Hotel Performance
Abstract
A cluster is a geographical concentration of interrelated firms. Cluster theory states that the synergies created inside the cluster (by the interactions between firms that compete and those that collaborate) enhance the productivity and innovation of firms and therefore their economic performance. While manufacturing industries have been widely studied from the clustering perspective, service clusters and specifically touristic clusters have received less attention. In this paper, we identify U.S. touristic clusters using a concentration measure, the Location Quotient. Then we check whether hotels located in touristic clusters obtain higher economic results than those hotels located in areas where the level of touristic-related business concentration does not get the critical mass to consider it a cluster (instead of reducing their benefits due to the high level of competitors nearby). Our results find significant differences between the two sets of hotels. The effect is stronger for subsegments of hotels based on their star category, location, and management structure. Specifically, we demonstrate that the differences are more pronounced within luxury and upscale hotel categories and within chain-managed hotels. The differences are less important in resort and airport locations than in small-metro/town, urban, and suburban areas. These results have important location implications for managers. They also contribute to understanding that economies of agglomeration lead to benefits from being located closely and in highly concentrated industries. But there is still a lot of research needed to better understand the relations between cooperation and competition within touristic clusters and how these enhance the economic performance of hotels.
Keywords
travel, tourism and hospitality clusters, hotels' economic performance, U.S. hotel industry
Disciplines
Hospitality Administration and Management | Tourism and Travel
Comments
Required Publisher Statement
© Cornell University. Reprinted with permission. All rights reserved.
research-article
557354 2014
XXX10.1177/1938965514557354Cornell Hospitality Quarterly
CQX
Peiró-Signes et al.
The Effect of Tourism Clusters on U.S. Hotel Performance
Angel Peiró-Signes 1,2 , Maria-del-Val Segarra-Oña 1,2 , Luis Miret-Pastor 3 , and Rohit Verma 4
Abstract
A cluster is a geographical concentration of interrelated firms. Cluster theory states that the synergies created inside the cluster (by the interactions between firms that compete and those that collaborate) enhance the productivity and innovation of firms and therefore their economic performance. While manufacturing industries have been widely studied from the clustering perspective, service clusters and specifically touristic clusters have received less attention. In this paper, we identify U.S. touristic clusters using a concentration measure, the Location Quotient. Then we check whether hotels located in touristic clusters obtain higher economic results than those hotels located in areas where the level of touristicrelated business concentration does not get the critical mass to consider it a cluster (instead of reducing their benefits due to the high level of competitors nearby). Our results find significant differences between the two sets of hotels. The effect is stronger for subsegments of hotels based on their star category, location, and management structure. Specifically, we demonstrate that the differences are more pronounced within luxury and upscale hotel categories and within chainmanaged hotels. The differences are less important in resort and airport locations than in small-metro/town, urban, and suburban areas. These results have important location implications for managers. They also contribute to understanding that economies of agglomeration lead to benefits from being located closely and in highly concentrated industries. But there is still a lot of research needed to better understand the relations between cooperation and competition within touristic clusters and how these enhance the economic performance of hotels.
Keywords
travel; tourism and hospitality clusters; hotels' economic performance; U.S. hotel industry
Summary
A five-year analysis of tourism clusters finds that hotels generally benefit from being part of a cluster of tourist-related businesses. However, not all clusters or hotels benefit to the same extent—or at all in some cases. The cluster effect is stronger for luxury and upscale hotels, and chain-managed hotels also seem to benefit more than their independent competitors. Clusters in resort and airport locations seem to confer lower benefits than those in small-metro areas and towns, urban, or suburban areas. These results support the concept that economies of agglomeration lead to benefits from being co-located with other tourism businesses.
The impact of clusters on firms' competitiveness and location planning have been extensively studied (e.g., Asheim, Cooke, and Martin 2008; Bannister and Stolp, 1994; Karaev, Kohand, and Szamosi 2007; Michaelides and Papazian 2007; Piperopoulos and Scase 2009; Puig, Marques, and Ghauri 2009; Saxenian 1996; Spencer et al. 2010). Although it is well established that location is a key element of a hotel's strategy (Crotts, Mason, and Davis 2009; Jones 1999), we have so far seen little research that analyzes the effects of agglomeration for the service industries in general, and travel, tourism, and hospitality businesses in particular.
Introduction
The favorable economic effects of industrial clusters have been observed for nearly a century (Marshall 1920). Defined as a geographical concentration of interrelated firms and institutions (Porter, 1998), clusters result in enhanced returns and growth for firms in the cluster (for example, see Devereux, Griffith, and Simpson 2007; Ellison and Glaeser 1999).
1
2
Management Department, Universitat Politècnica de València, Spain
3
CHR Research Associates, Cornell University, USA
Research Institute for Integrated Management of Coastal Areas-IGIC,
Universitat Politècnica de València, Spain
Cornell University, Ithaca, NY, USA
4
Corresponding Author:
Rohit Verma, School of Hotel Administration, Cornell University Cornell University, 338 Statler Hall, Ithaca, NY 14853, USA. Email: email@example.com
Cornell Hospitality Quarterly 1–13 © The Author(s) 2014 Reprints and permissions: sagepub.com/journalsPermissions.nav DOI: 10.1177/1938965514557354 cqx.sagepub.com
Similar to Porter (1998), we use quantitative indicators to identify geographical concentrations of hotels and related institutions or organizations 1 .Porter found that these socalled industrial clusters demonstrably enhance productivity, innovation, and competitiveness through (1) better access to well-trained human resources, (2) proximity to clients and faster detection of their needs, (3) proximity to suppliers, and (4) collaboration between clustered firms in improving operational, production, and logistical methods. The competition between producers provokes good ideas and leads to innovation. To see if this type of enhancement applies to tourism clusters, we analyze the effects on hotels by comparing their revenues over a five-year period.
It is of both academic and applied interest to understand the drivers of economic performance of hotels located within and outside of clusters (Kim and Oh 2004). In this paper, we seek to test empirically whether the benefits for hotels of being located in a geographically concentrated cluster leads to better economic performance.
To make this assessment, we test whether the performance of hotels located within geographical clusters differs from those outside a cluster by analyzing hotel performance data from 2007 through 2011. We use workforce data available from the U.S. Bureau of Labor Statistics to identify geographically concentrated tourism clusters (as in Delgado, Porter, and Stern 2013; Peters 2005, for example). We also use industry-wide multi-year revenue per available room (RevPAR) data available from STR Global to compare hotel performances within and outside clusters (http://www. strglobal.com).
Studies on Clusters and Co-location
Although hospitality firms have long formed de facto clusters in successful destinations that offer natural features or an attractive heritage, in recent years, there has been a growing interest in studying location economies, or the advantages of concentrating in a particular venue. Henderson (1986) demonstrated that concentrated industries are able to increase their factors of productivity, a finding that fits Marshall's (1920) concept of externality. If an externality is due to the ability to acquire more and better resources (Tallman et al. 2004), then it is a resource-based externality or supply externality (Flyer and Shaver 2003).
Several authors have shown that the geographic concentration of the tourism industry was largely justified by the presence of significant economies of location (Capone and Boix 2008) or the reduction of consumers' searching costs (Chung and Kalnins 2001). In addition to confirming the importance of the so-called externalities of demand (Canina, Enz, and Harrison 2005; Freedman and Kosova 2012; Kuah 2002), these factors also help to explain the territorial agglomerations of the hospitality industry (Scott and Laws 2008). Those studies set the stage for a deep analysis of the economic performance of the hospitality industry taking into consideration its particularities and location.
The effects of industrial agglomerations and clustering have been extensively studied in manufacturing and other related industries (e.g., Buenstorf and Klepper 2010; Enright 1999; Maine, Shapiro, and Vining 2010; Mukkala 2007; Ottaviano and Thisse 2001; Porter 2000). Generally speaking, these studies show that firms located within industrial clusters perform better than firms located outside clusters, primarily due to location-related synergistic effects, despite the proximity to competitors and the collaborative relations established (Erkus-Öztürk 2009; Novelli, Schmitz, and Spencer 2006; Yang 2012). Although it is tempting to extend these results to the service industries, we note that the travel, tourism, and hospitality industries' idiosyncratic factors may either enhance or reduce the cluster effects commonly observed in manufacturing-related industries.
Canina, Enz, and Harrison (2005) and Enz, Canina, and Liu (2008) made a significant contribution in this area by analyzing the effect of hotels' co-location on price within a geographical cluster. They found that the benefits of colocation were greater for hotels belonging to lower-segmented competitors than for more luxurious properties. To define their clusters, these authors assumed the already classified tracts defined by STR 2 . To take this analysis to the next step, our study uses empirical indicators to measure the geographical concentration. Another characteristic of Canina, Enz, and Harrison's paper is that the analysis only considers hotels. To extend this, we determine the geographical cluster of tourism businesses using well-known concentration measures (as the Bureau of Labor Statistics 3 and The Harvard Institute for Strategy & Competitiveness 4 do, among others). Another interesting difference of our study is that we compare the economic performance of hotels belonging with those not belonging to clusters, considering their characteristics (i.e., market scale, company types, and location segments).
In light of the above, we argue that the synergistic effects that proximity generates justify the existence of localization economies. This should be reflected in the economic performance of the hotels located within tourism clusters. We believe that the synergistic effects are due to (1) the cooperation among dependent businesses (e.g., hotels and theatres, travel agencies, and public or private tourism developers), and (2) the vibrant competition among hotels that enhances productivity and innovation (Nordin 2003). Thus, our primary hypothesis tests the differences between the hotels located within and outside clusters and we formally state the following:
Hypothesis 1 (H1): The economic performance of hotels located within a geographical touristic cluster will be better than that of hotels located outside touristic clusters.
While H1 tests the basic premise of the geographical cluster effect, we also want to examine whether hotels' particular characteristics can affect how the hotels benefit from being in a cluster.
The specific location of a cluster may influence how it affects hotels. For example, an airport hotel may not benefit from being close to a theater or a cinema, as the client may be just looking for a place to rest. However, having touristattracting businesses nearby may be interesting for a city hotel whose clients are looking for cultural, gastronomic or leisure activities.
In this context, we argue that hotels located in relatively isolated environments will benefit less from the cluster effect as they do not have economic generators or touristrelated businesses nearby. Moreover, hotels that do not benefit from other firms' cooperation (such as airport or interstate hotels) will have less economic benefits. Therefore, we propose the following hypothesis:
Hypothesis 2 (H2): Economic benefits derived from being in a cluster will be lower for hotels less dependent on other touristic activities.
At the same time, and following the line of research of Enz, Canina, and Liu (2008) and Canina, Enz, and Harrison (2005), the economic benefits of a cluster may depend on a hotel's chain scale (which Canina and Enz term strategy). Their studies show that the benefits of co-location are higher for economy hotels than for luxury and upscale ones. Contrary to that finding, we would expect that hotels with a differentiating strategy (upscale and luxury) would have greater ability to enhance their economic performance due to the benefits of co-location.
Hotels with a more developed service offering, with a better trained workforce, and with a clientele more interested in culture would have a higher absorptive capacity to integrate the possibilities that the cluster effect creates into their value creation strategy (Cohen and Levinthal 1990; Zahra and George 2002). Thus, we propose the following hypothesis:
Hypothesis 3 (H3): Economic benefits derived from being in a cluster will be higher for luxury and upscale hotels.
With regard to the hotel industry's complex ownership and management structures, scholars have argued that the nature of the management structure can explain performance differences between hotels (e.g., Botti, Briec, and Cliquet 2009; O'Neill and Carlbäck 2011; Perrigot, Cliquet, and Piot-Lepetit 2009). However, if indeed the geographical clustering effect is present, then we should be able to recognize it regardless of the ownership structure. Therefore, we propose the following hypothesis:
Hypothesis 4 (H4): Regardless of the ownership structure, the economic performance of hotels within a geographical cluster will be better than those outside the clusters.
Research Approach
The outline of our study is as follows. To explore our four hypotheses, we first develop a procedure for classifying locations as inside or outside a geographical cluster. After we develop a measure for cluster concentration, we identify various characteristics of hotels (i.e., location, quality or price segment, and ownership structure). Finally, we compare the economic performance of U.S. hotels for 2007 through 2011.
Identification of Geographical Clusters
A well-established approach for calculating the level of clustering within a specific region (for this study, a county) is to measure the relative specialization of an industry in a particular location with respect to the entire population of interest (in this case, the United States; see Lazzeretti and Capone 2006; O'Donoghue and Gleave 2004; Porter 2003; Segarra-Oña et al. 2012). The relative specialization of a territory (also called "relative concentration") is calculated through the Location Quotient (LQ) or Hoover-Balassa index. LQ measures the ratio between the local and national percentage of workforce attributable to an industry, as follows:
,
So, the rate used to measure the specialization levels was the LQ, where Eis is the number of employees in state S in sector i; Es is the number of employees in state S; Ei is the number of employees in the United States in sector i; and E is the total number of employees in the United States.
LQ is one of the most used and well-supported measures of agglomeration (Delgado, Porter, and Stern 2013; MiretPastor, Segarra-Oña, and Peiró-Signes 2011; Segarra-Oña et al. 2012; U.S. Bureau of Labor Statistics 3 ). Although the adequacy of the agglomeration indices is currently under discussion, according to Kominers (2008), no index is perfect to completely characterize the determinants of agglomeration across industries. We used the data available from the U.S. Bureau of Labor Statistics 31 (last version available 2010) to calculate the LQ for each county within the United States.
Identifying tourism businesses involves certain assumptions, because there is no formal consensus to define tourism in a statistical fashion. To use appropriate statistical
data for calculation, some authors, such as Lazzeretti and Capone (2006), identify tourism with hospitality. Other studies include industries such as transport and recreational activities (European Commission 2003). We adopted an intermediate position as in Leidner (2004), and applied the following Nomenclature statistique des Activités économiques dans la Communauté Européenne (NACE) codes: "Travel agencies and tour operators, 633; Hotel and other accommodations, 551-552; Restaurants, bars, canteens, catering, 553-555" and their 2003 North American Industry Classification System (NAICS) equivalent codes, "Arts, entertainment, and recreation (NAICS 71) and Accommodation and food services (NAICS 72)."
We use counties as the unit of analysis for calculating geographic cluster specialization, because that is the smallest U.S. geographical unit for which there are data of this type. As concentration standards have not been established formally for the hospitality industry, we set concentration cutoff levels for differentiating cluster areas based on other studies. Miller et al. (2001) suggested inferring the presence of a cluster when the LQ is above 1.25, while Malmberg and Maskell (2002) suggested using an LQ over 3. O'Donoghue and Gleave (2004) tried to resolve this problem by developing a standard location quotient (SLQ), which identifies those locations that show extraordinary LQ concentration values (i.e., their residuals show statistical significance at a 5% confidence level with a residual value over 1.96). A study on the Spanish touristic clusters (Segarra-Oña et al. 2012) helped us to decide the cutoff levels as follows. We classified counties with an LQ higher than 3 as "highly concentrated clusters," counties with SLQ values between 1.98 and 3 were classified as "medium concentrated clusters," and the counties with an LQ between 1.25 and 1.98 were classified as "low concentrated clusters." The regions with LQ scores below 1.25 were considered to be outside of clusters. Exhibit 1 includes a map of the United States color-coded to show the relative locations of high, medium, and low clusters and non-cluster counties. Note that high concentrated clusters may not occupy an entire county, even if that county is all in red (especially due to the size of counties in the Western United States). Likewise, a low-concentrated or no-cluster county may have small clusters that are not sufficient to register in this measurement.
Not surprisingly, the map shows strong clusters in some well-known tourist areas such as Las Vegas, Atlantic City, Orlando, Yellowstone (West Yellowstone, Idaho), Grand Canyon National Park (South Rim and Tusayan, Arizona), and the Hawaiian Islands.
Hotel Performance Data and Analysis
STR Global's hotel performance data includes annual and monthly supply, demand, and revenues for each property for our study period of 2007 through 2011. For our performance measure, we used the well-accepted RevPAR (see, for example, Chung and Kalnins 2001). Furthermore, RevPAR is closely related to gross operating profit per available room (GOPPAR; Canina, Enz, and Harrison 2005), which takes into account operation costs.
We restructured the database so that data for each property were considered as a single case and created performance variables on a time basis (e.g., RevPAR2007 represents room RevPAR for the year 2007). The database contained comparable information for 27,208 hotel properties within the United States.
Next, we identified hotel properties within one of the four cluster categories based on the ZIP codes for the counties in question. To match ZIP codes with counties, we used U.S. Postal Service ZIP Codes compiled by the U.S. Census Bureau for 1999, the last year it tabulated its decennial data by ZIP code. The match of counties and ZIP codes put 4,339 properties into a county with one of the three cluster densities, while the remaining 22,867 properties were located outside of counties having clusters.
Results and Discussion
We conducted a series of analyses of variance (ANOVAs) to test the cluster effect on hotel performance by comparing RevPAR values for the properties inside the three cluster categories with those outside of any cluster. Then we split the sample according to location, ownership structure, and price and market segment categories. For the hotels' location, we used the commonly accepted categories for hotels developed by STR (namely, urban, suburban, airport, resort, small metro or town, and interstate). We distinguished three categories of ownership structure: chain-managed, franchised, or independent properties. We also used STR's hotel segment categories to clarify differences according to the property segment. Finally, we designated properties within clusters as belonging to a "high," "medium," or "low" concentrated cluster, and we used Scheffe's pairwise comparison procedure following the ANOVA. Summarized ANOVA results with sample sizes, means, and F values are reported in Exhibit 2.
Generally speaking, hotels within clusters show significantly (p < .001) greater RevPAR performance than those outside clusters over the five-year period. Mean RevPAR for properties in clusters was between $6.10 (USD) and $7.70 higher than RevPAR for properties outside the clusters, supporting H1, this paper's primary hypothesis.
Segmented results for specific locations show significant differences (p < .001) for airport, resort, and small-metro or town locations, but not always in the expected direction. We found that clustered airport and resort hotels do not perform as well as one would expect based on clustering theory. Airport properties in clusters, for example, perform on
Exhibit 1: Geographical Clusters within the United States for the Hospitality, Travel, and Tourism Industry.
average between $6.70 and $9.30 below airport hotels outside the clusters. Similarly, in-cluster resort hotels' mean RevPARs are significantly and consistently lower than those of resort properties outside the clusters. However, small-metro or town hotels in clusters performed on average $7.90 to $10.90 better than properties located in small towns outside tourism clusters. Overall, these results provide support for the second hypothesis, regarding the effects of clustering on hotels that do not rely on other tourism resources. Neither airport hotels nor resorts depend on secondary tourism activities to the extent that other types of property do. Resorts make a point of being as comprehensive as possible, and we have already mentioned the key function of airport hotels, which is to house travelers in transit.
Luxury properties in clusters achieved between $11.30 and $18.10 over the RevPAR values of luxury properties outside the clusters, and the difference for upscale hotels ranged from $5.70 to $9.10 (p < .001). These findings validate H3, particularly because midscale and economy in-cluster properties were not able to improve RevPAR over similar-level properties outside clusters. As shown in Exhibit 4, there is virtually no difference in the mean RevPAR values of the two groups.
These differences between hotels in clusters and those outside are depicted in Exhibit 3. We used solid lines to represent the mean RevPAR values for in-cluster hotels and dotted lines for out-of-cluster hotels. For comparison purposes, we established the same scale ratio in all the graphs, so we can visually compare the differences between the two groups among different segments.
The results using average daily rate as a measure of product quality or segmentation demonstrated consistently higher performances in luxury and upscale properties within clusters (compared with similar hotels outside of clusters).
With regard to the ownership structure of the hotels, only chain-managed hotels in clusters had consistently higher RevPARs, ranging $20.70 to $27.00 than those outside these clusters (p < .001), while franchisee-managed and independent hotels in clusters were not able to improve significantly over those outside the clusters. We note, however, that RevPAR values for independents in tourism clusters were higher than those outside (Exhibit 5). That said, these differences were significant only in 2011. Because these results suggest the presence of a moderating effect of ownership structure above and beyond the clustering effect, H4 is not validated. We are nevertheless able to draw important conclusions from these results.
Finally, we see that hotels do better in clusters with higher concentrations. To determine this, we segmented hotels in clusters according to the cluster concentration based on the LQ value of the county. Scheffe's pairwise
Note. RevPAR = revenue per available room.
Note. RevPAR = revenue per available room.
comparison shows significant differences (p < .001) between out-of-cluster properties and in-cluster properties. Exhibit 6 shows this result: the higher the concentration, the higher the RevPAR leve.
Even though ANOVA results indicate that, in general terms, RevPAR values are higher in properties located in tourism clusters, we cannot determine whether those results are caused by being located in clusters. Therefore, to address
Note. RevPAR = revenue per available room.
Exhibit 6:
Average RevPAR In-Cluster Concentration versus OutCluster.
Note. RevPAR = revenue per available room.
this issue, we conducted a regression analysis study creating dummy variables to isolate the effect of location (urban, suburban, airport, interstate, and small metro or town), affiliation (chain, franchised, and independent), and price level (luxury, upscale, midprice, economy, and budget). For the sake of clarity, we only report models for 2011, but we received similar results for the previous years. In the regression models, RevPAR is considered as being dependent on the cluster membership, the property location, affiliation, and price level.
The proposed model is as follows, being C the constant and E the error:
RevPAR Chain Franchise Luxury
1
2
3
= +
+
+
+
C β
β
β
Upscale Midprice 4 5 + β β ++ + β 6 Economy
β +
+
+
β
β
7
8
9
Urban Suburban Airport
+ β β 1 11 Interstate 0 Resort Cluster 12 + + β E.
The value of β 12 helps to determine whether the clustering itself creates a difference in the hotels' performance indicators. Similarly, β 2 and β 3 will help to evaluate whether property affiliation has a significant influence on RevPAR. For this analysis, we consider independent budget properties located in small towns outside the cluster as the base category.
We assessed the significance of dummy variables as a set, using the R 2 -change method and ignoring the individual t-tests produced by default for each dummy β coefficient. We then can evaluate the relative predictive power of location, affiliation, price level, and cluster membership by analyzing beta weights in the regression.
Regression results in Exhibit 7 indicate that acting in an isolated way, cluster membership has a positive effect on RevPAR, confirming our first hypothesis. Chain-managed and franchised hotels act negatively on RevPAR (compared with independents) in accordance with ANOVA results. This indicates that the advantage that properties get from increasing occupancies at whatever rate the brand sets is not enough to overcome the higher prices achieved by independents, even if they have lower occupancy. Regression results on location confirmed also that urban and resort locations generally perform better than the other locations, while interstate locations have the lowest RevPAR. Finally, it is no surprise that price level has a positive effect on RevPAR.
Although the regression analysis confirms the ANOVA results, we need to incorporate the joint effect of cluster membership and location, affiliation, and price level to assess the other hypotheses. Therefore, we added a set of interaction terms to the model. The significance of the change of R 2 for the two equations (i.e., the equation with the interaction terms and the equation without them) indicates that the new models constitute a significantly better fit. This indicates a linear relationship of each of these variables to the independent variables.
Analyzing cross effects, we find that price level empowers cluster effect on RevPAR. The higher the price level, the
Exhibit 7: Linear Regressions and Linear Regressions Considering Interaction Terms.
Note. ANOVA = analysis of variance; RevPAR = revenue per available room; ADR = Average Daily Rate; Occ= Occupancy. Values in parentheses refer to standardized beta coefficients.
*Statistically significant atp< .05. **Statistically significant atp< .01. ***Statistically significant atp< .001.
bigger the impact of cluster membership on RevPAR, validating H3.
Regarding affiliation, being chain managed in a cluster decreases the RevPAR gap over independent properties, which indicates a bigger cluster effect in chain-managed hotels. The cluster effect in franchised hotels is slightly smaller than in independents and its value is negative. This indicates a strong positive cluster effect for chain-managed properties, a small positive effect for independents, and a small negative effect for franchised properties. Therefore, we can say that affiliation moderates the cluster effect on performance, but the cluster effect is not positive whatever the affiliation, rejecting H4.
Finally, cluster membership has a heterogeneous impact on RevPAR. According to the results, the cluster effect is clearly stronger in interstate and small-metro or town properties and lower in resorts and airport properties. Thus, economic benefits derived from being in a cluster are lower for hotels that are less dependent on other tourism activities, confirming H2.
Conclusion
The analysis of hotels located inside and outside of clusters suggested that being located in a cluster improves a hotel's economic performance, in line with previous studies' results applied to service industries (Lazzeretti, Boix, and Capone 2008) and in support of our first hypothesis. Segmented results showed that luxury and upscale properties in clusters performed consistently better than similar properties
outside clusters. This confirmed our third hypothesis, but it also highlights the need for more research to see the extent to which well-structured hotels, with human and financial resources and previous experience, are taking advantage of their ability to identify and apply knowledge, as suggested by absorptive capacity theory (Cohen and Levinthal 1990; Zahra and George 2002). Likewise, chain-managed hotels inside clusters excel compared with chain-managed properties outside clusters. More to the point, the chain properties prospered when they were inside a cluster, while independent and franchised hotels did not. This finding echoes that of O'Neill and Carlbäck (2011), who pointed out that the intangible asset value of hotel brands (e.g., shared resources, guest loyalty programs, and yield management systems) allows chain-managed hotels to achieve better economic performance (both in recession and growth economic cycles). Further research is needed here to disentangle the practical implications.
Hotels in clusters in small-metro areas and towns performed consistently higher than their comparable segment properties out of the clusters, as compared with resort or airport locations. Those town-based hotels are more dependent on other tourism facilities, such as restaurants, shopping areas, nature spots, and recreation, to attract guests. Further research should analyze the type of relationship involved here.
These results have interesting implications for owners and operators, because the importance of location is amplified by the cluster effect. This suggests that hotel owners and operators should collaborate with other firms in the region to enhance the cluster concentration as a higher degree of clustering is also correlated with higher performance. Although the hotel industry is famously competitive, the cluster effect argues for an element of cooperation over competition. In this regard, the traditional microeconomic model of competition is not applicable due to the need to cooperate to promote a destination (Jackson and Murphy 2006). Research suggests that the collaborative and competitive interactions between local firms create geographic externalities that play an important role when tourism destinations compete with each other globally (Erkus-Öztürk 2009; Ferreira and Estevao 2009; Lazzeretti, Capone, and Cintiet 2010; Novelli et al., 2006; Richards and Wilson 2006).
When firms allocate resources, they consider a wide variety of variables such as, for example, economic, legal, and political issues, accessibility, basic services, site costs, environmental regulations, labor availability, taxes, and incentives (Jiang, Frazier, and Prater 2006; MacCarthy and Atthirawong 2003). However, a certain level of competitive advantage resides in the "know-how," in the capacities, in the information, in the motivation, or in the geographic externalities produced (Lazzeretti, Capone and Cinty, 2010). All of these are aspects related to the local business environment (Ingram and Roberts 2000) that the competitors located outside the cluster find it more difficult to obtain (Nassimbeni 2003). These results open a deep line of study. Intangible relations established among the different businesses that constitute a tourism cluster should be identified. This will let both policymakers implicated in the promotion of the destinations and business managers take decisions that enhance the economic performance of hotels, restaurants, and other tourism-related activities.
The challenge now is to use both qualitative and quantitative methodologies to analyze the relational function of the cluster—that is, how and why agglomeration economies arise. The roles of public, tourist, and educational institutions need to be disentangled.
One other aspect of this study is that it opens a window on the impact of the financial crisis on hotel performance between 2007 and 2008. All segments show a similar pattern, with a RevPAR decline until 2009 and a recovery period that goes through 2011. However, the smaller differences between the in-cluster and out-of-cluster properties that occurred in 2009 (shown in Exhibit 2) suggest that incluster hotels are more sensitive to a crisis environment than out-of-cluster properties. The clustered hotels also recovered more quickly, as shown by the increasing gap between the two groups in 2010, which continues in 2011. Moreover, significant differences appear in 2011 in segments such as economy, urban, franchise, and independent. These results suggest that properties in clusters recover more rapidly than properties outside clusters, and that opens a new line of study and further research is needed.
Declaration of Conflicting Interests
The author(s) declared no potential conflicts of interest with respect to the research, authorship, or publication of this article.
Funding
The author(s) received no financial support for the research, authorship, or publication of this article. The authors would like to thank the Center for Hospitality Research at Cornell University that hosted A. Peiró and M. Segarra as Visiting Scholars The authors also want to thank Donald Schnedeker from the Nestle library at the School of Hotel Administration at Cornell University and Russ Lloyd, and STR for providing us with the data used in this paper.
Notes
1. See Harvard University/Porter´s website, http://www.isc. hbs.edu/competitiveness-economic-development/researchand-applications/Pages/cluster-studies.aspx (see submarket) submarket: a geographic area that is a subset of a market. A market is made up of one or more submarkets.
2. http://www.strglobal.com/resources/glossary/en-gb (see sub market)
3. http://www.bls.gov/data/#calculators
4. http://www.clustermapping.us (see submarket) submarket-a geographic area that is a subset of a market. A market is made up of one or more submarkets
References
Asheim, B., P. Cooke, and R. Martin. 2008. Clusters and regional development: Critical reflections and explorations. Economic Geography 84 (1): 109-12.
Bannister, G. J., and C. Stolp. 1994. Regional concentration and efficiency in Mexican manufacturing. European Journal of Operational Research 80 (3): 672-90.
Botti, L., W. Briec, and G. Cliquet. 2009. Plural forms versus franchise and company-owned systems: A DEA approach of hotel chain performance. Omega 37 (3): 566-78.
Buenstorf, G., and S. Klepper. 2010. Why does entry cluster geographically? Evidence from the US tire industry. Journal of Urban Economics 68 (2): 103-14.
Canina, L., K. Enz, and J. Harrison. 2005. Agglomeration effects and strategic orientations: Evidence from the U.S. lodging industry. Academy of Management Journal 48 (4): 565-81.
Capone, F., and R. Boix. 2008. Sources of growth and competitiveness of local tourist production systems: An application to Italy (1991-2001). The Annals of Regional Science 42 (1): 209-24.
Chung, W., and A. Kalnins. 2001. Agglomeration effects and performance: A test of the Texas lodging industry. Strategic Management Journal 22 (10): 969-88.
Cohen, W. M., and D. A. Levinthal. 1990. Absorptive capacity: A new perspective on learning and innovation. Administrative Science Quarterly 35 (1): 128-52.
Crotts, J. C., P. R. Mason, and B. Davis. 2009. Measuring guest satisfaction and competitive position in the hospitality and tourism industry: An application of stance-shift analysis to travel blog narratives. Journal of Travel Research 48 (2): 139-51.
Delgado, M., M. E. Porter, and S. Stern. 2013. Defining clusters of related industries. Mimeo. Boston: Institute for Strategy and Competitiveness, Harvard Business School.
Devereux, M. P., R. Griffith, and H. Simpson. 2007. Firm location decisions, regional grants and agglomeration externalities. Journal of Public Economics 91 (3): 413-35.
Ellison, G., and E. L. Glaeser. 1999. The geographic concentration of industry: Does natural advantage explain agglomeration? The American Economic Review 89 (2): 311-16.
Enright, M. J. 1999. Regional clusters and firm strategy. In The dynamic firm, ed. A. Chandler, O. Solvell, and P. Hagstrom, 315-42. Oxford: Oxford University Press.
Enz, C., L. Canina, and Z. Liu. 2008. Competitive dynamics and pricing behavior in U.S. hotels: The role of co-location. Scandinavian Journal of Hospitality and Tourism 8 (3): 230-50.
Erkus-Öztürk, H. 2009. The role of cluster types and firm size in designing the level of network relations: The experience of the Antalya tourism region. Tourism Management 30 (4): 589-97.
European Commission. 2003. Structure, performance and competitiveness of European tourism and its enterprises. Luxembourg: European Communities.
Ferreira, J. M., and C. M. S. Estevao. 2009. Regional competitiveness of a toruism cluster: a conceptual model proposal (In portuguese, Competitividade regional de um cluster de turismo: uma proposta de modelo conceptual). Encontros Científicos 5:37-51.
Flyer, F., and J. M. Shaver. 2003. Location choices under agglomeration externalities and strategic interaction. In Geography and strategy—Advances in strategic management, vol. 20, ed. A. C. Baum and O. Sorenson, 193-214. Oxford: JAI Press.
Freedman, M., and R. Kosova. 2012. Agglomeration, product heterogeneity, and firm entry. Journal of Economic Geography 12 (3): 601-26.
Henderson, J. V. 1986. Urbanization in a developing country: City size and population composition. Journal of Development Economics 22 (2): 269-93.
Ingram, P., and P. W. Roberts. 2000. Friendships among competitors in the Sydney hotel industry. American Journal of Sociology 106 (2): 387-423.
Jackson, J., and P. Murphy. 2006. Clusters in regional tourism destinations: An Australian case. Annals of Tourism Research 33 (4): 1018-35.
Jiang, B., G. V. Frazier, and E. L. Prater. 2006. Outsourcing effects on firms' operational performance: An empirical study. International Journal of Operations & Production Management 26 (12): 1280-300.
Jones, P. 1999. Operational issues and trends in the hospitality industry. International Journal of Hospitality Management 18 (4): 427-42.
Karaev, A., S. C. L. Kohand, and L. T. Szamosi. 2007. The cluster approach and SME competitiveness: A review. Journal of Manufacturing Technology Management 18 (7): 818-35.
Kim, B. Y., and H. Oh. 2004. How do hotel firms obtain a competitive advantage? International Journal of Contemporary Hospitality Management 16 (1): 65-71.
Kominers, S. D. 2008. Measuring agglomeration. Harvard Urban and Social Economics Seminar (Economics 2800b) http:// www.scottkom.com/articles/measure_agglomeration.pdf.
Kuah, A. T. H. 2002. Cluster theory and practice: Advantages for the small business locating in a vibrant cluster. Journal of Research in Marketing and Entrepreneurship 4 (3): 206-28.
Lazzeretti, L., R. Boix, and F. Capone. 2008. Do creative industries cluster? Mapping creative local production systems in Italy and Spain. Industry and Innovation 15 (5): 549-67.
Lazzeretti, L., and F. Capone. 2006. Identification and analysis of tourist local systems: An application to Italy (1996-2001). In Tourism local systems and networking, ed. L. Lazzeretti and C. Petrillo, 25-42. Amsterdam: Elsevier.
Lazzeretti, L., F. Capone, and T. Cinti. 2010. The regional development platform and "related variety": Some evidence from art and food in Tuscany. European Planning Studies 18 (1): 27-45.
Leidner, R. 2004. The European tourism industry: A multi-sector with dynamic markets. Luxembourg: European Commission.
MacCarthy, B. L., and W. Atthirawong. 2003. Factors affecting location decisions in international operations—A Delphi study. International Journal of Operations & Production Management 23 (7): 794-818.
Maine, E. M., D. M. Shapiro, and A. R. Vining. 2010. The role of clustering in the growth of new technology-based firms. Small Business Economics 34 (2): 127-46.
Malmberg, A., and P. Maskell. 2002. The elusive concept of location economies: Towards a knowledge-based theory of spatial clustering. Environment and Planning A 34 (3): 429-49.
Marshall, A. 1920. Principles of economics: An introductory volume. 8th ed. London: Macmillan,
Michaelides, Z. M., and A. Papazian. 2007. Benefits of clustering for SME's suppliers in the aerospace and defence sector through the adaptation of enterprise portals. International Journal of Services and Operations Management 3 (2): 152-71.
Miller, P., R. Botham, H. Gibson, R. Martin, and B. Moore. 2001. Business clusters in the UK—A first assessment (Main report). London: Department of Trade and Industry.
Miret-Pastor, L., M. Segarra-Oña, and A. Peiró-Signes. 2011. Identification of service sectors and high technology in Valencia: A new cluster mapping [Identificación de sectores de servicios y de alta tecnología en la Comunidad Valenciana: Un nuevo cluster mapping]. Revista de Estudios Regionales 90:71-96. (In Spanish).
Mukkala, K. 2007. Agglomeration economies in the Finnish manufacturing sector. Applied Economics 36 (21): 2419-27.
Nassimbeni, G. 2003. Local manufacturing systems and global economy: Are they compatible?: The case of the Italian eyewear district. Journal of Operations Management 21 (2): 151-71.
Nordin, S. 2003. Tourism clustering and innovation—Paths to economic growth and development. Ostersund, Sweden: European Tourism Research Institute, Mid-Sweden University.
Novelli, M., B. Schmitz, and T. Spencer. 2006. Networks, clusters and innovation in tourism: A UK experience. Tourism Management 27 (6): 1141-52.
O'Donoghue, D., and B. Gleave. 2004. A note on methods for measuring industrial agglomeration. Regional Studies 38 (4): 419-27.
O'Neill, J. W., and M. Carlbäck. 2011. Do brands matter? A comparison of branded and independent hotels' performance during a full economic cycle. International Journal of Hospitality Management 30 (3): 515-21.
Ottaviano, G. I. P., and J. Thisse. 2001. On economic geography in economic theory: Increasing returns and pecuniary externalities. Journal of Economic Geography 1 (2): 153-79.
Perrigot, R., G. Cliquet, and I. Piot-Lepetit. 2009. Plural form chain and efficiency: Insights from the French hotel chains and the DEA methodology. European Management Journal 27 (4): 268-80.
Peters, D. J. 2005. Using labor-based industry complexes for workforce development in Missouri. Economic Development Quarterly 19 (2): 138-56.
Piperopoulos, P., and R. Scase. 2009. Competitiveness of small and medium sized enterprises: Towards a two dimensional model of innovation and business clusters. International Journal of Business Innovation and Research 3 (5): 479-99.
Porter, M. E. 1998. Clusters and the new economics on competition. Harvard Business Review 76 (6): 77-90.
Porter, M. E. 2000. Location, competition, and economic development: Local clusters in a global economy. Economic Development Quarterly 14 (1): 15-34.
Porter, M. E. 2003. The economic performance of regions. Regional Studies 37 (6-7): 549-78.
Puig, F., H. Marques, and P. N. Ghauri. 2009. Globalization and its impact on operational decisions: The role of industrial districts in the textile industry. International Journal of Operations & Production Management 29 (7): 692-719.
Richards, G., and J. Wilson. 2006. Developing creativity in tourist experiences: A solution to the serial reproduction of culture? Tourism Management 27 (6): 1209-20.
Saxenian, A. 1996. Regional advantage: Culture and competition in Silicon Valley and Route 128. Cambridge: Harvard University Press.
Scott, N., and E. Laws. 2008. Knowledge sharing in tourism and hospitality. Journal of Quality Assurance in Hospitality & Tourism 7 (1-2): 1-12.
Segarra-Oña, M., L. Miret-Pastor, A. Peiro-Signes, and R. Verma. 2012. The effects of localization on economic performance: Analysis of Spanish tourism clusters. European Planning Studies 20 (8): 1319-34.
Spencer, G. M., T. Vinodrai, M. S. Gertler, and D. A. Wolfe. 2010. Do clusters make a difference? Defining and assessing their economic performance. Regional Studies 44 (6): 697-715.
Tallman, S., M. Jenkins, N. Henry, and S. Pinch. 2004. Knowledge, clusters and competitive advantage. Academy of Management Review 29 (2): 258-71.
Yang, Y. 2012. Agglomeration density and tourism development in China: An empirical research based on dynamic panel data model. Tourism Management 33 (6): 1347-59.
Zahra, S. A., and G. George. 2002. Absorptive capacity: A review, reconceptualization, and extension. Academy of Management Review 27 (2): 185-203.
Author Biographies
Ángel Peiró-Signes, Ph.D., is an assistant professor at the Universitat Politècnica de València (firstname.lastname@example.org) and Research Associate of the CHR, Cornell University, USA (email@example.com).
María-del-Val Segarra-Oña, Ph.D., is an associate professor at the Universitat Politècnica de València (firstname.lastname@example.org). She is also a research associate of the CHR, Cornell University, USA.
Luis Miret-Pastor, Ph.D., is an assistant professor at Universitat Politècnica de València (email@example.com).
Rohit Verma is a professor of service operations management at the School of Hotel Administration (SHA) (firstname.lastname@example.org). He served as the executive director of the CHR, Cornell University, during 2009-2012 and is currently the Singapore Tourism Board Distinguished Professor in Asian Hospitality Management.
|
Interreg Estonia – Latvia Programme
Supported projects
2007- 2013
Table of Contents
Priority 1. Increased cohesion of the Programme area
1.1 Reducing isolation through improved internal and external connectivity of the Programme area
BayLink
Baltic Small Harbours Network
Lead partner: Mērsrags Port Authority (LV)
Partner(s): ADA Ltd. (LV) Island Lines Ltd. (Saarte Liinid) (EE) Kurland Ltd. (LV)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.1 Reducing isolation through improved internal and external connectivity of the Programme area
Start date and end date: 2010-01-01 - 2010-12-30
Description:
The small harbours of Mērsrags, Ringsu in Ruhnu and Roomasaare in Saaremaa carried out major technical improvements in their harbors in order to ensure small passenger ship connections between these harbors in future. Due to the relatively close locations, such passenger services are planned to be both time- and cost-efficient.
During the project, the harbors were deepened, quaysides were reconstructed and various other adjustments made following the needs of each harbor. In Mērsrags, bridge has been reconstructed for larger passenger ships and yachts, floating quaysides installed, as well as parking place and access road built for the passengers. This has already enabled the harbor to start yacht tourism, which was not possible before. In Roomassaare rainwater system has been installed in addition to quayside reconstruction. Ringsu harbor has also been deepened and prepared to receive larger boats.
To promote the new opportunities for marine connections, partners have organized two large yacht races between Mersrags – Ringsu – Roomassaare harbours with few hundred participants from both countries.
Budget: 1 857 080.00 EUR
ERDF contribution: 1 360 805.00 EUR
Estonian - Latvian, Latvian - Estonian Dictionary
Development of Estonian – Latvian and Latvian – Estonian dictionary
Lead partner: The Institute of the Estonian Language (EE)
Partner(s): The Latvian Language Agency (LV)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.1 Reducing isolation through improved internal and external connectivity of the Programme area
Start date and end date: 2012-10-01 - 2015-04-30
Description:
As a result of the future co-operation report between Latvia and Estonia, adopted by parties concerned and represented by both Prime Ministers – Valdis Dombrovskis (Latvia) and Andrus Ansip (Estonia) in conference, held in Riga, December 10, 2010, the most significant priority and area for future co-operation was concluded to be mobility and human communication. One of the tasks in this area is the development of Estonian-Latvian and Latvian-Estonian dictionary (hereinafter dictionary).
Taking into account that both countries share historical and cultural heritage and face similar financial, economic and other challenges, the dictionary is a great benefit for a wide range of users – translators, borderland inhabitants, public institutions and organizations, entrepreneurs, participants of cross-border co-operation projects, those employed in culture, education and other fields, and many others. This dictionary forms a substantial basis for enhancing cross-border co-operation between Latvia and Estonia.
Budget: 480 828.00 EUR
ICT DCNet
Unified ICT Network for Innovations
Lead partner: Riga Technical University (LV)
Partner(s): Latvian IT Cluster (LV) Tartu Science Park (EE) University of Tartu (EE) Ventspils High Technology Park (LV)
Priority and subpriority:Priority 1. Increased cohesion of the Programme area, 1.1 Reducing isolation through improved internal and external connectivity of the Programme area
Start date and end date: 2010-10-01 - 2012-09-30
Description:
The project is connecting Tartu, Riga and Venspils information and communication technology (ICT) demonstration centres in a Demo Centre network similar to ones existing in Scandinavia. The participating centres provide rotating exhibition of ICT hardware prototypes and software applications. Synchronizing of the study program module "Artificial intelligence" is also among the project objectives. In result of these activities, regional competitiveness and economic growth is increased, while more university and also school students get important experience exchange and develop higher interest in the field of ICT mechanics.
Budget: 632 330.00 EUR
Reconstruction of Ape-Mõniste Road
Improvement of traffic conditions on Ape-Mõniste connection road between RigaPskov and Võru-Valga-Valmiera transport corridors
Lead partner: Estonian Road Administration (EE)
Partner(s): Ministry of Transport (LV)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.1 Reducing isolation through improved internal and external connectivity of the Programme area
Start date and end date: 2014-04-01 - 2015-06-30
Description:
South-East region in Estonia and Vidzeme region in Latvia are strategically important regions for transport and logistics due to their geographical position in Baltic States using large and/or heavy motor vehicles. Two important transport corridors in the area are Pskov-Riga and VõruValga-Valmiera highways, which are actively used for haulage of goods in EU, West-East direction, and between South- Estonia and North-Latvia.
The average traffic density in Pskov-Riga highway is 600 vehicles per day, in Võru-ValgaValmiera highway 520 vehicles per day. These two roads are connected by Ape-Mõniste crossborder road, which is actively used for transportation and haulage of goods from Võru and Põlva counties to Vidzeme region in Latvia, and vice versa. The average traffic density in that road is 250 vehicles per day, 20% of them are heavy trucks.
Ape-Mõniste road is the most direct connection between Võru/Põlva counties and Vidzeme region. At the same time the poor condition of roads sets limits for usage, especially for heavy trucks.
Budget: 5 400 000.00 EUR
ERDF contribution: 4 200 000.00 EUR
Reconstruction of Road Karksi-Nuia – Seda River
Eliminating the Infrastructure Barriers on Development of Border Areas
Lead partner: Estonian Road Administration (EE)
Partner(s): Ministry of Transport (LV)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.1 Reducing isolation through improved internal and external connectivity of the Programme area
Start date and end date: 2010-04-09 - 2012-01-08
Description:
The project is helping to diminish the physical barrier between Latvia and Estonia by reconstructing the cross-border road from Karksi-Nuia to Rūjiena.
Previously, connections between Karksi-Nuia in Estonia and Rūjiena in Latvia were possible only by dusty gravel road, which was especially challenging in bad weather conditions. Now the local inhabitants, visitors and transit cars can enjoy a smooth drive on freshly laid asphalt. Also the local businesses benefit from the improved infrastructure, which is very important for economic development of this remote border area.
The reconstruction works involved the state road nr. 54 from Karksi-Nuia–Lilli to Latvian border, and Latvian state road P17 Valmiera – Rūjiena – Estonian border in the sections between Koņi - Estonian border and Seda River - Rūjiena.
Altogether 14 km long dust-free road was built in Estonia and 7,8 km - in Latvia. In addition, 6,4 km of old asphalt road was reconstructed in Latvia.
Budget: 3 194 787.00 EUR
ERDF contribution: 2 715 569.00 EUR
Reconstruction of Road Killingi-Nõmme – Mazsalaca
Eliminating the infrastructure barriers in Estonian-Latvian border areas
Lead partner: Estonian Road Administration (EE)
Partner(s): Ministry of Transport (LV)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.1 Reducing isolation through improved internal and external connectivity of the Programme area
Start date and end date: 2011-12-01 - 2013-06-30
Description:
The project intends to solve the problem of limited accessibility of the border region by reconstructing and paving the road from Killingi-Nõmme (Estonia) to Mazsalaca (Latvia) significantly improving the situation for the local inhabitants, who were suffering from the dust and bad road conditions, and make the region more attractive and accessible for tourists and cargo carriers.
Budget: 3 164 822.00 EUR
ERDF contribution: 2 626 802.00 EUR
Valga - Valka railway station renovation
Valga - Valka railway station renovation
Valga Town Government (EE)
Lead partner:
Partner(s): Valka Municipality (LV)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.1 Reducing isolation through improved internal and external connectivity of the Programme area
Start date and end date: 2012-08-06 - 2014-02-05
Description:
Riga-Pskov railway line was officially opened in 1889, had Riga as main station. Pskov and Valga operated as second-class stations. At the same year Valga railway junction was opened, which was seriously damaged in WWII. The new station building that Valga town has today was completed in 1949. On the border of Estonia-Latvia there are 2 railway stations. One is in Valga (Estonia) and the second in Lugaži (Latvia), but today primarily inhabitants on both sides of the border use the Valga Railway Station, from where there are trains in both directions to Tallinn on the Estonian and Rīga on the Latvian side. The project has set the aim to renovate the station, upgrade it to today's standards and improve services for Estonians and Latvians, using the station.
Budget: 481 927.00 EUR
Priority 1. Increased cohesion of the Programme area
1.2 Enhancing joint management of public services and resources
Active Through Passive!
Promotion of the Use of Sustainable and Low Energy Buildings and Constructions in Latvia and Estonia
Lead partner: Valga Town Government (EE)
Partner(s): Green Homes (Zaļās Mājas) (LV) Latvian Chamber of Commerce and Industry (LV) Passive House Latvia (LV) Strenči Regional Council (LV) University of Tartu (EE)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.2 Enhancing joint management of public services and resources
Start date and end date: 2010-02-01 - 2011-07-31
Description:
The overall objective of the project is to help to reduce the use of energy, thus contributing to a larger energy independence of Latvia and Estonia via using sustainable and low energy building principles. This is achieved by sharing of know-how among the professionals of both countries, joint tools and standard technical solutions for energy efficient building.
One of the major goals of the project is raising of professional capacity regarding the low energy consumption buildings. A special training module on low energy and passive house building for architects and engineers has been developed, including elaboration of a model building that is in line with the architectural design and climate conditions shared on both sides of the border. This training module has been already applied during six three-day pilot training courses/workshops for the specialists from both countries.
Project has also formed a working group developing evaluation guidelines and criteria for sustainable and low energy buildings, rating system for sustainable and low energy buildings and adjusted special procurement criteria for the design and construction of such buildings. These project specialists are also developing master solutions and draft drawings for three public buildings with low energy use (Tartu Technology Park in Estonia, kindergarten building in Strenči and Ērgļi vocational school in Latvia).
Read more under www.activethroughpassive.eu!
Budget: 340 617.00 EUR
Back to Nature
Elaborating Joint Tools for Environmental Education as Efficient Mean of Management of Protected Areas
Lead partner: Tartu Environmental Education Centre (EE)
Partner(s): Estonian Environmental Board (EE) Gauja National Park Foundation (LV) Nature Conservation Agency - Ķemeri National Park Administration (LV) Peipsi Center for Transboundary Cooperation (EE)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.2 Enhancing joint management of public services and resources
Start date and end date: 2009-06-16 - 2011-02-28
Description:
Within this project, five institutions dealing with nature conservation carried out numerous creative activities to educate students and raise public awareness on environmental issues, focusing specifically on the bogs and wetlands of our region. Project activities included field studies, trainings and joint camps for Latvian and Estonian students, as well as exhibits and developing of a large variety of attractive study materials to be used at class as well as in nature.
The volume of work carried out by the project is quite impressive – 15 outdoor education programs, 17 creative print or video materials for nature education, 57 outdoor classes and study trips, plus several international camps, student competitions and travelling exhibits.
If anyone thought that bogs and wetlands were just a boring reality of our geographic location, then this project forced to change the mind. It invited children and parents to follow the fairytale adventures of Kalli and Modris in wetlands, brought school children into exciting trips to bogs, while the comfort lovers got table and floor games to puzzle their minds about the bogs and wetlands while sitting inside. The secret life of bats is now revealed in an educational video. And anyone can still attend the travelling exhibit to test the healing effects of the different soil and flora samples.
All the various creative materials are available at the local school libraries, as well as online: Tartu Environmental Education Centre:
Estonian Environmental Board:
http://www.tartuloodusmaja.ee/?nodeid=357&lang=et
Latvian Nature Conservation Agency:
https://www.keskkonnaamet.ee/et?id=10780
https://www.daba.gov.lv/public/lat/vides_izglitiba/materiali_nodarbibam/
Peipsi Centre for Transboundary Cooperation: http://www.ctc.ee/kaimasolevad-projektid
Budget: 652 659.00 EUR
Best Teams
Bringing Estonia and Latvia Together on Emergency Ambulatory Medical Services
Lead partner: Estonian Health Board (EE)
Partner(s): Valga Hospital (EE) Vidzeme Hospital, Ltd. (LV)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area,
1.2 Enhancing joint management of public services and resources
Start date and end date: 2011-10-26 - 2013-04-25
Description:
In order to improve and harmonize the emergency medical services in the Estonian – Latvian border region, a cooperation project has been carried out between the Estonian Health Board, State Emergency Medical Service of Latvia, Vidzeme Hospital (LV) and Valga Hospital (EE). Managerial cooperation for harmonizing procedures and joint trainings for medical personnel enable EMS crews to provide services of equally high quality to residents throughout the region.
Budget: 115 000.00 EUR
ERDF contribution: 95 450.00 EUR
Coastal and maritime spatial planning
Coastal and maritime spatial planning in Pärnu Bay area in Estonia and coastal municipalities of Latvia
Lead partner: Estonian Ministry of the Interior (EE)
Partner(s): Engure Minicipality Council (LV) Kurzeme planning region (LV) Pärnu County Government (EE) Pāvilosta Municipality Self-Government (LV) Roja Minicipality Council (LV)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.2 Enhancing joint management of public services and resources
Start date and end date: 2012-07-09 - 2015-06-30
Description:
Sea space, including the Baltic Sea, is a limited resource. Conflicts arise on marine areas because of a large number of users of this limited resource with competing interests. Maritime spatial planning is a tool that helps solve conflicts on marine areas, integrate different sectorbased interests and co-ordinate spatial use of the sea. The use and impact of the sea does not end on the shore line. Coastal areas are interdependent with the sea in both human use and nature conditions. Many human activities on marine areas are functionally linked to the shore. For example, off shore wind parks and connection to the terrestrial electricity grid. In order to ensure the functional linkage between marine and terrestrial areas, minimize coastal erosion and its effects and ensure nature conservation and overall coastal development, spatial planning of marine and terrestrial parts of the coastal areas can be used.
The VASAB (Visions and Strategies Around the Baltic Sea) Long-Term Perspective for the Territorial Development of the Baltic Sea Region (BSR) states that protecting the Baltic Sea environment and securing sustainable use of the sea resources requires integrated planning and management actions by all BSR countries and relevant sectors of economy. It requires a pan-Baltic approach, based on a clear vision, goals and principles for planning and management of the sea space. In June 2011, the Baltic ministers responsible for regional development in the Baltic States put together an expert group in spatial planning. One of the main subjects of this expert group is maritime spatial planning in the Baltic Sea. A co-ordinated and cross-border process for maritime and coastal spatial planning is the best tool to further the idea of the Baltic Sea space with its coastline as a shared interest between Estonia and Latvia.
Budget: 518 072.29 EUR
Cultural Heritage
Unknown Cultural Heritage Values in Common Natural and Cultural Space
Lead partner: State Forest Management Centre (EE)
Partner(s): Nature Conservation Agency - North Vidzeme Biosphere Reserve Administration (LV) State Forest Service (LV)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area,
1.2 Enhancing joint management of public services and resources
Start date and end date: 2009-03-01 - 2011-04-28
Description:
Cultural heritage is much more than just castle ruins and manor houses – this was the general idea underlying the project. The numerous other objects of cultural heritage, such as cult springs, ancient clay mines, smithies, homesteads, stone fences, old forest trails, historic landmarks or wells also deserve their recognition and protection. Cultural heritage objects of this type tell important stories about the life of the previous generations, local culture and national identity.
A group of ethnographers, archeologists, foresters and other experts, as well as the local people with their local knowledge from various regions of Latvia and Estonia got involved in revealing and mapping such previously unidentified objects. The focus was primarily on cultural sites found in nature. Therefore the field researchers had to use GPS equipment and receive special training beforehand.
After a comprehensive field work, altogether around 20 000 cultural heritage sites were revealed in both countries. These objects were inserted in an electronic database, and their protection was further discussed with the relevant institutions responsible for cultural heritage preservation. Over 9 100 heritage cultural sites in Estonia (Põlva, Tartu, Valga and Võru Counties) and more than 10 800 sites in Latvia (Valka, Valmiera, Alūksne and Limbaži regions) can be viewed in a public database of the geo-website of the Estonian Land Board http://xgis.maaamet.ee and Latvian State Forest Service website http://mkt.vmd.gov.lv/cultural/.
Various public activities were organized to increase people's environmental awareness and knowledge on local cultural heritage. A special exhibit was developed based on the new findings, introducing people to the project results.
Budget: 947 495.00 EUR
DELMA
Developing Estonian-Latvian Medical Area
Lead partner: University of Tartu (EE)
Partner(s): Pauls Stradins Clinical University Hospital (LV) Põlva Hospital Ltd. (EE) South
Estonian Hospital Ltd. (EE) Valga Hospital (EE) Vidzeme Hospital, Ltd. (LV)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.2 Enhancing joint management of public services and resources
Start date and end date: 2010-10-01 - 2012-09-30
Description:
A project aimed to increase cohesion in the management of public services and resources in the health care sector. Among various activities related to closer cooperation and experience exchange, the hospitals are working on developments in the area of regenerative medicine. The long term goal is to generate tissues for transplant operations and cells for biopharmaceutical products.
Budget: 1 790 867.00 EUR
ERDF contribution: 1 522 237.00 EUR
Demo Farm
Development of Latvian-Estonian Network for Demonstration of Environmentally Friendly Farming Practices
Lead partner: Latvian Rural Advisory and Training Centre (LV)
Partner(s): Estonian Fund for Nature (EE) Latvian Fund for Nature (LV)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.2 Enhancing joint management of public services and resources
Start date and end date: 2009-10-01 - 2011-09-30
Description:
The project is aimed at development of Latvian – Estonian network for demonstration of environmentally friendly farming practices.
Following an open competition in both countries, a network of economically most successful and environmentally friendliest farms has been established. Altogether 20 successful farms (10 in each country) were selected and further provided with training and necessary practical adjustments to serve as demonstration farms for visitors. The status of a demonstration farm means that the farm can be visited as a good example by other farmers, field experts, as well as general public and media.
The selected farm owners got a chance to engage in series of joint practical training, as well as received farm management plans prepared by experts for each individual farm, providing economic and environmental analysis and suggesting new practices towards even more sustainable farming. Demonstration capacity was strengthen for the farms through trainings on environment, nature protection, economical aspects and visitor treatment, as well as basic Estonian and Latvian language lessons. There have been exchange trips organized for the Latvian farmers to Estonia and Estonians to Latvia, during which the participants could already apply their new knowledge - also ask about the farm animals in the other language. Networking activities have been very crucial part of the project.
Apart from the selected demonstration farms, the project "Demo Farm" has also collected the best experience in the field of nature friendly and economically sustainable farm management in Latvia and Estonia, to be distributed in a published format as recommendations for sustainable farming.
Budget: 888 554.00 EUR
Eagles
Eagles cross borders
Lead partner: Latvian Fund for Nature (LV)
Partner(s): Estonian Ornithological Society (EE)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.2 Enhancing joint management of public services and resources
Start date and end date: 2011-07-01 - 2013-06-30
Description:
Latvian Fund of Nature cooperated with Estonian Ornithology Society to carry out a joint research and monitoring of the White-tailed Eagle and Osprey in both countries. Project educated the relevant stakeholders, students and general public on these eagle species.
Budget: 360 502.00 EUR
Gauja/Koiva
Towards joint management of the transboundary Gauja/Koiva river basin district
Lead partner: Latvian Institute of Aquatic Ecology (LV)
Partner(s): Baltic Environmental Forum - Estonia (EE) Baltic Environmental Forum - Latvia (LV) Estonian University of Life Sciences (EE) Institute of Biology, Universtity of Latvia (LV) Ministry of the Environmental Protection and Regional Development (LV) Tallinn University of Technology (EE)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.2 Enhancing joint management of public services and resources
Start date and end date: 2011-07-01 - 2013-10-31
Description:
The river basin district Gauja/Koiva is transboundary, shared between two countries - Estonia and Latvia. Even a majority of the basin lies in Latvia, the waters from Latvia flow into Gulf of Riga, which is also shared by both countries. Due to stream directions, the waters from Latvia are brought to Estonian coasts, then to the open Baltic. Thus, it is essential to cooperate for agreeing on environmental objectives. Also, it is important that people living in the river basin know the waters, which they share and know how they can improve situation by using the resource better.
In the project "Gauja/Koiva", partners from Estonia and Latvia united efforts aiming at enhancement of the management of Gauja/Koiva river basin by implementing several joint actions and producing important outputs. For example, joint GIS maps for the whole Gauja/Koiva river basin district were created; an overview of existing methods on the water quality status and typology was produced, new data from monitoring and investigatory activities were obtained to assess the quality status, proposals for necessary changes to harmonize typology and quality classification were elaborated etc.
During the project a closer cooperation of Estonian and Latvia scientists was established in particular in development of the common classification system for biological elements of river and lake water bodies. Due to performed intensive investigations in lakes, rivers and coastal waters, the project obtained needed knowledge on the status of the transboundary water bodies shared between two countries, for which sufficient information has been lucking so far. Thus in long-term the inhabitants and business of the Gauja/Koiva basin will have more economical water management system.
The project provided very valuable results for state authorities for elaboration of the river basin management plan of Gauja/Koiva river. The project delivered proposals on coordinated and harmonised methodologies and tools for river basin management planning.
More information on project website: http://gauja.balticrivers.eu/
Budget: 865 585.00 EUR
GORWIND
Gulf of Riga as a Resource for Wind Energy
Lead partner: Marine Systems Institute at Tallinn University of Technology (EE)
Partner(s): Estonian Fund for Nature (EE) Estonian University of Life Sciences (EE) Latvian Fund for Nature (LV) Latvian Institute of Aquatic Ecology (LV) University of Latvia (LV) University of Tartu (EE)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.2 Enhancing joint management of public services and resources
Start date and end date: 2010-11-01 - 2012-10-31
Description:
The project carries out a comprehensive research for the future wind parks in the Gulf of Riga through analyzing the wind energy policies in both countries, obtaining reliable marine wind information, considering the environmental aspects, and involving in the discussions the relevant authorities, business partners and local people.
During the project, research institutes of both countries have been analyzing in detail the legislation and strategic plans for the wind parks in the Gulf of Riga, current situation with the use of wind energy, regulations related to building, environment, see management, fishery and territorial planning. Private and public stakeholders from different fields have been brought together in policy forums and started a more active discussion and cooperation for effective wind energy use in future.
The project also includes research on wind measurements, tracking of the wintering and habitat areas for seals migrating and breeding birds. It is planned to use the thorough results of the relevant studies and also involve the local people and various authorities in the process of selecting the most suitable areas for wind parks.
Read more on the project website http://gorwind.msi.ttu.ee/home/info!
Budget: 1 444 612.00 EUR
ERDF contribution: 1 227 920.00 EUR
Green Corridor
Tuned nature management in transboundary area of Estonia and Latvia
Lead partner: Nature Conservation Agency (LV)
Partner(s): Estonian Environmental Board (EE)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area,
1.2 Enhancing joint management of public services and resources
Start date and end date: 2011-11-01 - 2013-10-31
Description:
In a joint project of the Latvian Nature Conservation Agency and Estonian Environmental Board Põlva-Valga-Võru region administration, partners identify and map key ecosystems, habitats, and species in the border areas and develop a joint plan for protection of the biological and landscape diversity in the border region.
Budget: 331 056.00 EUR
JATE
Building Cross-border Capacity to Perform Joint Activities in Tough Environment
Lead partner: State Fire and Rescue Service of Republic of Latvia (LV)
Partner(s): Estonian Rescue Board (EE)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area,
1.2 Enhancing joint management of public services and resources
Start date and end date: 2014-01-01 - 2015-06-30
Description:
State Fire and Rescue Service of Latvia and Estonian Rescue Board are seeking to improve first responders' efficiency and effectiveness regarding response time to an emergency and at the same time develop capacity and capability to work in rough environment such as areas with a difficult or limited access and remote areas with a shortage of water resources. The main identified problems for such territories in the border area are grass wildfires, bush fires and open peat and forest fires.
Budget: 3 047 560.59 EUR
ERDF contribution: 1 199 996.16 EUR
Smart Gardens
Smart Botanic Gardens
Lead partner: National Botanic Garden of Latvia (LV)
Partner(s): Environmental Development Association (LV) Society of Friends of the BG of the University of Tartu (EE) University of Tartu (EE)
Priority and subpriority: Priority 1. Increased cohesion of the Programme area, 1.2 Enhancing joint management of public services and resources
Start date and end date: 2011-09-01 - 2014-03-31
Description:
Improved services for the visitors of the botanical gardens are ensured through cooperation between the Latvian National Botanic Garden, Tartu University Botanical Garden and its Society of Friends and the Environmental Development Association of Latvia. The project provides an interactive map for visitors, topographic maps, plant database, as well as important experience exchange for personnel of the Latvian and Estonian botanic gardens.
Budget: 506 200.00 EUR
Priority 2. Higher competitiveness of the Programme area
2.1 Facilitating business start-up and development
BaltOrgPotato
Baltic Organic Potato for the World Markets
Lead partner: Aloja Starkelsen, Ltd. (LV)
Partner(s): Association of Latvian Organic Agriculture (LV) Estonian Biodynamic Association
(EE) Institute of Economics, Latvian Academy of Science (LV) Jõgeva Plant Breeding Institute
(EE) Potato Growers and Producers Association (LV)
State Plant Breeding Institute in Priekuļi (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area, 2.1 Facilitating business start-up and development
Start date and end date: 2011-07-01 - 2013-06-30
Description:
Seven actors of the organic farming field jointly facilitate the competitiveness of the Estonian and Latvian organic potatoes and create a joint production chain. The project partners are Ltd. Aloja Starkelsen, Potato Growers and Producers Association, Association of Latvian Organic Agriculture, Estonian Biodynamic Association, State Plant Breeding Institute of Priekuļi, Jõgeva Plant Breeding Institute and Institute of Economics of the Academy of Science of Latvia. More information: www.baltorgpotato.com.
Budget: 354 576.00 EUR
Boost BioBusiness
Boosting Estonian-Latvian Cross-border Entrepreneurship in Life Sciences & Medicine Related to Biotechnology and Medical ICT
Lead partner: Entreprenuership Development Centre for Biotechnology and Medicine (EE)
Partner(s): Archimedes Foundation (EE) Business Innovation Centre of Latvian Electronic Industry (LV) Latvia Technology Park (LV) University of Latvia (LV) University of Tartu (EE)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area, 2.1 Facilitating business start-up and development
Start date and end date: 2010-02-01 - 2011-07-31
Description:
With the goal to boost business in the areas of biotechnology and IT focused life sciences, the project is forming a regional cluster of the relevant SMEs and research & development institutions in both countries. These relevant stakeholders are brought together in thematic seminars, cross-border matchmaking and experience exchange events. The international competitiveness of the regional biotechnology and IT focused life science businesses have been raised with the help of better cross-border networks and public-private partnerships.
Budget: 328 331.00 EUR
Buy Local
Sustainable Use of Local Natural Resources and Cultural Heritage for Business Development in Setomaa and Ape Regions
Lead partner: Union of Setomaa Rural Municipalities (EE)
Partner(s): Ape Regional Council (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area,
2.1 Facilitating business start-up and development
Start date and end date: 2009-08-01 - 2011-12-31
Description:
The needs and socio-economic circumstances of Setomaa and Ape regions are quite similar therefore cooperation is the best way to discover new perspectives for the local producers and increase sustainability and competitiveness of the common region. With this idea, the project has been actively researching the demands for the local production, revealing the potential of the local natural, renewable energy and human resources, and accordingly developing of skills and technologies to use these resources.
In co-operation with research institutions, partners have assessed the various types of local resources and selected 5 fields for further analysis - clay products, wood processing, sheep and goat farming, gardening products and use of renewable energy resources in public houses. Comprehensive analysis of each of these fields have been further carried out, drawing the perspectives for the local producers in the specific region.
A joint competence centre was developed in Obinitsa, Setomaa (EE), where the locally activated entrepreneurs, NGOs and municipality representatives from both countries have been meeting on a regular basis and discussing the results of the economic feasibility studies. Joint trainings have been provided for the local producers in the same premises and during field trips toGaujiena, Vireši, Trapene and Ape. Also a joint wood processing incubation centre is being developed for the local producers in Ape, to enable them applying their skills in the fields marked as promising by the timber sector feasibility study.
Besides the local training and networking activities, the local producers from Setomaa and Ape have participated in a field trip to food, wool and timber manufacturers in West Scotland, where they found various good examples of how to develop the local businesses.
Read more about the project here (in Latvian and Estonian).
Budget: 474 047.00 EUR
DELBI
Integrated Business Development in South Estonia and North Latvia
Lead partner: Estonian Business Chamber in Latvia (LV)
Partner(s): Latvian Chamber of Commerce and Industry (LV) Tartu City Government (EE) Valga Town Government (EE) Vidzeme Region Vocational Education Development Competence Centre (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area, 2.1 Facilitating business start-up and development
Start date and end date: 2012-01 - 2014-03
Description:
In order to help the small and medium size enterprises and start-ups to access the crossborder market, as well facilitate cross-borders partnership in different fields, a joint project with wide range of activities was carried out in cooperation between the Latvian Chamber of Commerce, Estonian Business Chamber in Latvia and Tartu and Valga Municipalities (EE).
Project noticed that on both sides of the border companies lack necessary contacts to act adequately in the neighbouring market, therefore a virtual joint contact point (one-stop-shop) for business support in Estonia and Latvia was established. Virtual platform helped to facilitate the activities of Latvian businesses in Estonia and vice versa. Altogether 29 events were organized with the aim to raise general awareness of the need of networking and general knowledge of the neighbouring country's economic and business culture. Events included informative seminars as well as training models.
During the project a survey about Estonia-Latvia cross-border small and medium size enterprises' cooperation for expansion to neighbouring markets was carried out in order to map companies' needs and challenges concerning their competitiveness, development and internationalization. Also now the survey with participation of 150 and 154 Latvian companies could serve as a good basis for understanding the business environment's situation better and developing network services based on the needs of enterprises.
Budget: 277 083.00 EUR
EstLat Pharma
Promotion of cross-border partnership between Estonia and Latvia for development of antiviral drugs
Lead partner: TBD-Biodiscovery (EE)
Partner(s): Grindeks, AS (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area,
2.1 Facilitating business start-up and development
Start date and end date: 2011-08-01 - 2012-07-31
Description:
This was a cooperation between two private companies: an Estonian contract research company TBD-Biodiscovery experienced in synthesis of chemicals for pharmaceutical markets, and a Latvian pharma company Grindex with extensive experience in pharmaceutical market and big scale production. This cross-border partnership allowed to combine the complementary competences promoting the development of innovative product - new generic antiviral drug, that is now available. The project contributed to the increased export sales of the region, originated from the economic activities with higher value added. Also the competitiveness and experience of the regional companies allowing to start projects for production of other niche pharmaceuticals for EU and other international markets increased. Success and remarkable results made it possible to create knowledge based and highly paid jobs in the region (e.g. 15 positions by 2015 for TBD-Biodiscovery).
Budget: 279 800.00 EUR
FoodArt
Developing rural food businesses competitivness by cross-border artisan food networking
Lead partner: Sigulda Regional Council (LV)
Partner(s): Estonian University of Life Sciences (EE) Latvian Rural Advisory and Training Centre (LV) Põlvamaa Development Center (EE)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area, 2.1 Facilitating business start-up and development
Start date and end date: 2011-09-01 - 2013-08-31
Description:
The project aims at strengthening the ties between the rural food producers and gourmet restaurants, promoting quality local products and culinary heritage in restaurants and gourmet sector. Joint trainings and experience exchanges for rural producers, as well as networking events with gourmet sector representatives have been organised.
Budget: 379 156.00 EUR
GoodFruit
Increasing Competitiveness of Estonian and Latvian Food Industry Based on New and Improved Local Fruit and Berry Product Development
Lead partner: Estonian University of Life Sciences (EE)
Partner(s): Berry Farming LLC (EE) Farm Lāses (LV) Farm Pīlādži (LV) Partnership of Kandava (LV) Pūre Horticultural Research Center (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area, 2.1 Facilitating business start-up and development
Start date and end date: 2008-07-01 - 2011-08-31
Description:
Partners of this project have been sharing their efforts and knowledge to raise the general competitiveness of the local fruit and berry businesses that form an important agricultural industry in both countries.To achieve this, project partners concentrated on both upgrading their infrastructure and building contacts with enterprises. The project introduced novel storage methodologies, upgraded infrastructure in both countries, as well as carried out active networking with enterprises (Estonian and Latvian SMEs), offering them know-how and various product development and storage related services.
Estonian-Latvian Fruit and Berry Product Development Competence Centre was established to address the common problem – failure of local fruit and berry producers to ensure accessibility and competitiveness of their production in the market due to obsolete technologies of storage and processing. In addition, a product development centre was opened in Polli and a modern storage centre in Pūre - for the use of both Estonian and Latvian producers.
A row of seminars on processing and storage issues have been held in both Latvia and Estonia alongside with field trips to local fruit and berry enterprises. These events were actively attended by local producers from both countries. To gain knowledge and international experience, project partners visited also international trade fairs "Interpoma" in Italy and "Fruit Logistics" in Germany. In the result of these intense cooperation activities, leading Estonian and Latvian horticultural researchers and experts (Pūre and Polli centres, their industrial partners, relevant public institutions and NGOs) have developed a strong cross-border network.
Enterprises have strarted to actively use the upgraded services provided by this network. To promote these services, project has organized local cross-border fruit and berry fairs in Pūre (Mikeļi Bazaar) and Polli (Apple Blossom Festival) and presented the Goodfruit Network in various thematic trade fairs.
Budget: 1 000 000.00 EUR
Protolab Network
Increasing Competitiveness of Estonian and Latvian Mechatronics Sector
Lead partner: Tartu Science Park (EE)
Partner(s): Ogre Business and Innovation Incubator (LV) Ventspils University College (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area, 2.1 Facilitating business start-up and development
Start date and end date: 2008-12-23 - 2010-12-22
Description:
During the project, a strong cross-border integrated network of Protolabs (Product Development, Training and Testing Centres) was created. These centres support development of relevant industries, helping to shift their focus from the traditional routes to more high tech and higher value added sectors for the benefit of the local entrepreneurs.
The partnership and the strong need for this kind of network arose from the common interests, yet distinctive strengths of the partners. The institutional and regional industry profiles were similar to some extent (metal and machinery industry, electronics industry), however, each organization had specific competence from the more advanced mechatronics-related sectors in their region.
During the project, local protolabs in Ventspils, Ogre and Tartu have been developed and equipped to provide various advanced mechatronics services to the local companies. Thanks to the special technologies and consultations provided by the protolabs, companies specializing in different technological fields are able to test and develop more competitive products.
The services provided by the protolab network have been widely promoted via professional circles and regional fairs. By the end of 2010, already more than 40 businesses had used them.
Visit also the project website: http://www.protolab.io/
Budget: 1 068 100.00 EUR
SIB-Net
Small Innovative Business Promotion Network
Lead partner: Riga Planning Region (LV)
Partner(s): Institute of Baltic Studies (EE) Stockholm School of Economics in Riga (LV) Tartu Science Park (EE) Ventspils High Technology Park (LV) Ventspils University College (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area, 2.1 Facilitating business start-up and development
Start date and end date: 2010-06-01 - 2012-05-31
Description:
The aim of the project is to promote new innovative high growth firms, e.g. "gazelles", by encouraging entrepreneurial creativity, providing the necessary support and evaluating needs for early stage risk finance. Project aims to solve the common market failure in the region to release innovative spinouts from regional research centres and higher education institutions.
The project is carrying out a complex activity package to increase creativity and readiness to start entrepreneurship. It also works on developing financial schemes for the support of perspective business ideas. During the project, already a number of creativity fostering seminars have been organized for potential business idea developers and relevant intermediaries.
As one of the main project activities, innovative business idea contest was carried out in two stages. It especially focused on various technological ideas with good business potential. The authors of the most promising ideas were awarded and provided with special training to carry their plans further.
Read more under project website www.sibnetwork.eu!
Budget: 561 788.00 EUR
Priority 2. Higher competitiveness of the Programme area
2.2 Increasing the attractiveness of the Programme area
Active Tourism - attractive feature of Madona and Põlva
Lead partner: Madona Regional Council (LV)
Partner(s): Põlva Municipality (EE)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area, 2.2 Increasing the attractiveness of the Programme area
Start date and end date: 2009-06-19 - 2010-11-19
Description:
The project addressed the challenges faced by the traditional winter recreation providers due to climate change and the increasing demands for modern tourism services.
One of the goals was to strengthen the co-operation network among different stakeholders dealing with active tourism in cross-border regions and eventually come up with a joint strategy and marketing plan. In addition, the activities included experience exchanges and joint trainings for tourism sector specialists, thematic camps for youth, and various other wintertourism related events for wider public.
Important aspect of the project was enhancement of the technical basis for active tourism in the winter season. New snow machines were purchased to ensure continuity of the provided winter recreation services in the partner municipalities.
Budget: 475 990.00 EUR
Beach Hopping
Towards the Blue Flag on Baltic Beaches
Lead partner: Saulkrasti Regional Council (LV)
Partner(s): Audru Municipality (EE) Carnikava Municipality (LV) Häädemeeste Municipality (EE) Jūrmala City Council (LV) Salacgrīva Regional Council (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area, 2.2 Increasing the attractiveness of the Programme area
Start date and end date: 2008-09-01 - 2011-06-30
Description:
The project has been implemented by 7 coastal municipalities situated around the Gulf of Riga in the Baltic, which decided to join their efforts and make the beaches along the coast of the Gulf of Rīga safer and more attractive.
Using the Blue Flag as a benchmark, municipalities worked to improve the lifeguard services and beach safety. Water safety seminars were held at the local schools, posters with basic water safety tips produced and posted in relevant places. A lot of effort was put into developing quality lifeguard services – a lifeguard training programme was developed, and certified trainers were prepared to lead further trainings. During series of outdoor and indoor trainings carried out within the project, a video training material was produced to serve the future training needs. Also the special equipment for lifeguards was provided by the project.
Numerous beach facilities were installed during the project, such as changing cabins, lifeguard towers, sport ground, parking lot, and public toilets. Project team also organized a number of clean-up campaigns, collecting the garbage from the beach and nearby woods jointly with the local inhabitants.
Through cooperation between the municipalities, all the different beaches represented in the project have been promoted as attractive destinations for the visitors of each local area.
Thanks to the overall improvements, people can enjoy nicely developed beaches along the coastal line from Jūrmala to Audru, which in turn helps the local businesses and further development of the area.
Budget: 1 894 194.00 EUR
ERDF contribution: 1 610 065.00 EUR
IAVV
Increasing Attractiveness of Valga and Valka
Lead partner: Valga Town Government (EE)
Partner(s): Valka Municipality (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area,
2.2 Increasing the attractiveness of the Programme area
Start date and end date: 2008-10-01 - 2010-12-31
Description:
The project has been implemented by the twin-towns of Valga and Valka to increase the attractiveness of the common areas and provide larger choice of public services for tourists, businesses, and local Latvian and Estonian communities.
During the project, public areas along the Pedele River were significantly improved, providing pleasant recreation places for inhabitants and visitors. A newly built children's playground has made the common area more family friendly, while a new cycling path attracts the active recreation lovers.
Among the project benefits are also technical projects for larger objects planned in future: joint Valga-Valka Visitor's Centre, ice hall for inhabitants from both sides of the border, as well as military bunkers reconstructed as a tourism object.
Budget: 2 318 194.00 EUR
ERDF contribution: 1 970 465.00 EUR
One Vacation - Two Countries
Raising the Attractiveness and Competitiveness of Northern Kurzeme in Latvia and Saaremaa Island in Estonia
Lead partner: Ventspils City Council (LV)
Partner(s): Kuressaare City Government (EE) Talsi RegionTourism Information Centre (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area, 2.2 Increasing the attractiveness of the Programme area
Start date and end date: 2009-06-01 - 2011-05-31
Description:
The project has been promoting the tourism offer in North Kurzeme and Saaremaa Island and emphasizing the natural advantages of the coastal municipalities. Beaches of the participating municipalities were improved during the project, allowing to meet the requirements for Blue Flag certificates. Joint visibility of the North Kurzeme region and Saaremaa Island was raised by various promotional activities. A special Baltic Sea related environmental competition between the schools of Ventspils and Kuressaare was organized in March 2011 as a way to reach out to the young audience (see the pictures below).
Budget: 839 876.00 EUR
Riverways
Development of water tourism as nature and active tourism component in Latvia and Estonia
Lead partner: Kurzeme planning region (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area,
2.2 Increasing the attractiveness of the Programme area
Start date and end date: 2013-01-15 - 2015-06-14
Description:
Rivers, lakes and coastline are important resources of the Programme area, which supports water tourism development. Both – in Latvia and in Estonia water tourism is part of active and nature tourism with high development potentials. Existing tourism offers so far is limited to the local market and is concentrated in most popular areas, but the number of rivers suitable for boating is larger, accessible starting from early spring till late autumn, decreasing also problem of seasonality. Lakes as water tourism elements are quite popular already, while sea kayaking is getting more and more popular and this requires corresponding infrastructure to be developed.
Domestic target market has great potential to grow. Focused offer, packages for different target groups (Families with children, 1-day leisure boaters, 2-5 day boating trips etc.) and joint marketing and cooperation between the boating tourism operators and other tourism stakeholders is precondition to attract foreign tourists to the area. Main target markets for the active tourism products, including boating, are Lithuania, Finland, Russia and Germany.
While planning increase of tourism flow and wise management of it, it is necessary to plan also proper infrastructure, in order to reduce negative impacts and load on nature resources and to ensure sustainable use of resources. This would also support growing needs of tourists for safety and qualitative services and would increase also spendings of tourists in local economies.
Nature and active tourism tourists interested in exploring nature values will benefit from developed infrastructure and will be target of marketing activities of the project.
Separate niche market segments will ensure effective use and load of developed infrastructure and bring benefit to the Programme area:
(1) Incentives, for which special packages are developed to enjoy and explore nature products; (2) Fishermen; (3) Rivers and lakes cruise leisure tourists; (4) 1 day -5 day boating tourists (families with children, adventure seekers, leisure tourists etc). Targeted marketing activities will be elaborated to address above mentioned niche segments.
Budget: 2 168 674.00 EUR
ERDF contribution: 1 800 000.00 EUR
ViSoEst by Bike
Go Cycling Through Vidzeme and Southern Estonia
Lead partner: Vidzeme Tourism Association (LV)
Partner(s): Amata Municipality Council (LV) Ape Regional Council (LV) Gulbene Municipality
Council (LV) Latvian Tourism Development Agency (LV) Madona Regional Council (LV) Mālpils Regional Council Ogre Regional Council (LV) Sigulda Regional Council (LV) Valga County Government (EE) Valka Municipality (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area, 2.2 Increasing the attractiveness of the Programme area
Start date and end date: 2009-04-01 - 2010-12-23
Description:
To strengthen cycling tourism in the region of Vidzeme and Southern Estonia, this project connected the bike roads and smaller routes in both countries and developed an impressive cross-border route Tour de LatEst. This route goes through both countries and its length is 1075 - 1296 km (with shorter and longer options). It is very versatile - by taking this route, one can learn about the heritage of cultural history of Latvians and Estonians, visit the most popular tourism objects, and see the daily lives of the local inhabitants. The route crosses several protected natural territories of European importance – national and nature parks, scenic areas, and the biosphere reserve.
The project involved comprehensive route preparation and testing work, as well as lots of technical adjustments - over thousand special road signs for Tour de LatEst route were installed in both countries, around 60 informative stands were placed throughout the whole route, and almost two hundred bicycle parking places and more than thirty resting places were created. Technical projects were made for improving also the road quality in future.
Tour de LatEst route has been widely promoted by route-map and guiding brochure in LAT, LIT, EST, ENG, FIN, RUS, GER languages. These materials have been distributed in tourism info centres and municipalities, as well as during route presentations in variety of international thematic events in Helsinki, Utrecht, Tartu, Riga, Hamburg, Tallinn and Vilnius. Tour de LatEst was officially launched with an opening marathon in July 2010, where around 100 participants tested the whole route. There has been extensive publicity for the route, as well as for its notable opening marathon. Also a promotional video material was made to show the whole route to the potential cycling tourists (watch below).
At the end of the project, a conference was organized to discuss the future of the cycling tourism in the region and fid good ideas to develop it further.
Read more: http://tourdelatest.vidzeme.com/en/
Budget: 1 703 139.00 EUR
ERDF contribution: 1 447 668.00 EUR
Priority 2. Higher competitiveness of the Programme area
2.3 Enhancing employable skills and human resources
Skills Centre
Increasing Competitiveness of Estonian and Latvian Mechatronics Sector
Lead partner: Ogre Business and Innovation Incubator (LV)
Partner(s): Tartu Science Park (EE) Ventspils University College (LV)
Priority and subpriority: Priority 2. Higher competitiveness of the Programme area,
2.3 Enhancing employable skills and human resources
Start date and end date: 2011-01-01 - 2012-06-30
Description:
The project aims to increase the local competitiveness in the industrial field of mechatronics. This is being achieved by creating strong cross-border Skills Centre for analysis, knowledge transfer and consulting, raising the competence of entrepreneurs, staff and students of vocational & higher education institutions in the field of product development. Skills Centre is being established to offer specialized trainings and provide the target industries with relevant know-how in different stages of the product development process.
Budget: 594 500.00 EUR
Priority 3. Active, sustainable and integrated communities
3.1. Improving the environment for active and sustainable communities
(D)rain for Life
Promoting Sustainable Urban Drainage Systems in Estonia-Latvia Cross-border Area to Improve the Environment for Active and Sustainable Communities
Lead partner: Latvian Association of Spatial Planners (LV)
Partner(s): Estonian University of Life Sciences (EE) Society Technologies Foundation (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.1. Improving the environment for active and sustainable communities
Start date and end date: 2012-09-01 - 2013-08-31
Description:
The project explored the best ways to develop sustainable urban drainage systems in Estonia and Latvia. Joint feasibility studies in Baldone (LV), Tartu (EE), Rīga (LV) and Pärnu (EE) have been carried out looking for the most efficient ways to drain surface waters back into the environment in ecological ways without expensive piping works. The local community groups have been actively involved in discussions and educated about these issues.
Budget: 114 010.00 EUR
ERDF contribution: 96 908.50 EUR
AHU
Activating Vital and Healthy Community by Promoting Winter Sports in Alūksne-Haanja Uplands
Lead partner: Haanja Municipality (EE)
Partner(s): Alūksne Regional Council (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.1. Improving the environment for active and sustainable communities
Start date and end date: 2008-09-03 - 2009-09-02
Description:
Local governments of Alūksne and Haanja have been strengthening the ties between Latvians and Estonians through the winter sport activities. Both places have traditionally become the centres for the winter sports thanks to the climate specifics in this border region. The project helped to further develop the skiing and biathlon traditions. Through joint efforts, the sport and training facilities were improved, meanwhile promoting the overall idea of healthy lifestyle in both communities. Winter camp for young sports fans, training course for beginner skiers and People's Ski Run were organized to activate community and promote vital and healthy lifestyle. On the level of professional sports, project held a camp for young biathletes, Study Day for biathlon referees and International Biathlon Competition. In addition to personal crossborder contacts and sharing of skills among the athletes and instructors the project ensured better material and technical standards of the sports centres.
Budget: 338 100.00 EUR
Art School "Walk"
Development of Valka Art School as Common Cross-border Cultural Education Centre
Lead partner: Valka Municipality (LV)
Partner(s): Valga Town Government (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.1. Improving the environment for active and sustainable communities
Start date and end date: 2012-03-01 - 2013-08-31
Description:
The project allows Estonian youth from Valga (EE) to study in the Valka Art School (LV). As there is no separate art school in the twinning town Valga, and Valka Art School is now developing as a joint arts education centre, offering educational programs in addition to Latvian also in Estonian and Russian languages. in 2013./2014. academic year there are 256 students at Valka Art School, 70 of them are from Valga on the Estonian side. 23 of them study in Estonian and 47 in Russian language. During the 1st milestone of the project several important activities have taken place. Most importantly the project team has decided to translate the Latvian art education programmes into Estonian and use them from September 1, 2012 in Valka Art School. The Ministry of Education of Estonia has given the "green light" for the project and for Estonian language programmes in Valka Art School to be implemented, and have insisted that no licence should be received from them to start the educational process in Valka Art School in Estonian language.
Budget: 144 035.00 EUR
Connecting Stende and Võhma
Promoting the Local Communities of Stende and Võhma
Lead partner: Talsi Regional Council (LV)
Partner(s): Võhma Town Council (EE)
Partner(s): Võhma Town Council (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.1. Improving the environment for active and sustainable communities
Start date and end date: 2011-01-06 - 2012-12-31
Description:
Stende and Võhma have been Twinning Towns since 2001, and the project aims at strenghtening their cooperation through thoroughly planned cultural exchange activities. The project involves different types of cultural exchange events - series of workshops for local singers, dancers and craftsmen, specially organized Latvian Days in Võhma and Estonian Days in Stende. These activities introduce the local people to the culture of the neighbouring country, meanwhile vitalizing the community life in both towns.
Budget: 324 312.00 EUR
Cross Border Ball
Promoting the Ball Sports Tradition in the Border Region
Lead partner: Alūksne Regional Council (LV)
Partner(s): Ape Regional Council (LV) Lasva Municipality (EE) Lasva Society of Recreational Sports (Lasva SRS) (EE) Võru Municipality (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.1. Improving the environment for active and sustainable communities
Start date and end date: 2009-07-14 - 2011-09-30
Description:
A project promoting the ball sports tradition in the border region has been carried out in cooperation of a number of municipalities. It aimed to develop the necessary conditions for the healthy lifestyle with the help of improved sports facilities - renovated sports halls, basketball and valleyball courts, new sports equipment. The renovated facilities are all located in the border area and used by both Estonian and Latvian communities.
Different types of sport events have been organized in all the participating municipalities during the project. Football, basketball and valleyball competitions, camps and general sport days have involved altogether a few hundred participants.
Budget: 343 500.00 EUR
House of Sounds
House of Sounds - Renovation of Instrumental Music Traditions in Vidzeme and South Estonia
Lead partner: Pārdaugava Folk Music Society (LV)
Partner(s): Traditional Accordion Society (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.1. Improving the environment for active and sustainable communities
Start date and end date: 2012-09-14 - 2013-11-13
Description:
The project aim to renew skills of creating and playing old traditional instruments (diatonic accordion "Ieviņa" and many-stringed instrument kokle / kannel) during trainings for interested musician groups in Krape (LV) and Põlva (EE). Trainings are accompanied by folk music festival with concerts, special workshops and exhibits. Traditional playing methodology are also be distributed via broadcasts and made available online.
Budget: 135 062.00 EUR
Seto-Suiti Renaissance
Supporting the renaissance of Seto and Suiti ethnic cultures
Lead partner: Sihtasutus Seto Instituut (EE)
Partner(s): Alsunga municipality (LV) Ethnical Cultur Center Suiti Foundation (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.1. Improving the environment for active and sustainable communities
Description:
Seto and Suiti are small ethnic groups, who share common problems and challenges related to the teaching of culture and traditions to new generations, to preservation traditional architecture and to making information about their history and culture available for different target groups. Partners together are looking for the best solutions and ideas for dissemination of information about heritage culture, for preservation and promotion of traditional architecture and for integration of heritage culture teaching to the educational programmes. Project supports social and cultural interaction of two communities.
Budget: 126 247.00 EUR
Sportborder
Towards Cross-border Sports Communities
Lead partner: Ape Regional Council (LV)
Partner(s): Rõuge Municipality (EE) Sports Society Skystar (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.1. Improving the environment for active and sustainable communities
Start date and end date: 2008-09-02 - 2012-03-01
Description:
Local governments of Ape and Rõuge and Sports Society Skystar have been working together on a project improving the accessibility and infrastructure of sports and recreational services for the rural communities on both sides of the border. Ice rinks and other joint facilities have been provided to the local Latvian and Estonian communities to bring them closer and develop further cooperation. Various thematic sports events and trainings have taken place within the project, involving schools, local authorities, sport societies, clubs and sport managers from both countries.
Visit also the website (http://sportborder.rauge.ee/) with pictures and more detailed descriptions (hosted by Rõuge Municipality).
Budget: 336 000.00 EUR
Priority 3. Active, sustainable and integrated communities
3.2 Promoting grass-root level actions
Artists for Development
Local Artists for Regional Development
Lead partner: Cēsis Culture and Tourism Center (LV)
Partner(s): Art Education Center "Trīs Krāsas" (LV) Tartu Centre for Creative Industries (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.2 Promoting grass-root level actions
Start date and end date: 2011-09-01 - 2013-01-31
Description:
Cēsis Culture and Tourism Centre (LV), Tartu Centre for Creative Industries (EE) and NGO Trīs krāsas (LV) work together to strengthen the role of artists in the community life. Estonian and Latvian activists of various creative fields have been engaged in cultural exchange, as well as jointly trained to get more actively involved in cooperation with businesses, regional development and solving of various locally important social issues.
During the project, series of trainings have been provided for the artists and creative entrepreneurs in Tartu and Cēsis. These trainings have been led by a number of popular artists, who have obtained relevant experience in Denmark. Also several joint cultural events are taking place during the year 2012 - concerts, exhibits and creative workshops in Cēsis and Tartu, involving also students from the local art and music schools. The project also aims to compile recommendations for the policy makers to improve the development of creative industries in both towns.
Budget: 137 075.00 EUR
Cooperation for Sustainability
Through Youth Cooperation Towards More Sustainable Societies
Lead partner: Jaan Tõnissoni Instituut (EE)
Partner(s): Radošās iniciatīvas centrs (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.2 Promoting grass-root level actions
Start date and end date: 2014-01-01 - 2014-12-31
Description:
In Latvia and Estonia there are 4 million people altogether. The youth is making around 2025% of them. It is an ambitious, dynamic and energetic social group. Bringing together the young people from Latvia and Estonia in the frame of a grass-root project will generate the best interpersonal relationships allowing the participants understand each-other better. Mutual understanding of the neighbours will build bridges for cooperation not only in the interpersonal sphere but also nationally in wider that could serve as a supporting factor for the regional development beneficial for the EU at large.
Cooperation of the Latvian and Estonian youth hasn't been active during recent years. Institutions working with the youth are mostly engaged into in-country activities. Institutional and financial problems cause obstacles for developing cooperation of the youth from two countries, especially on the regional and local level. Lack of contacts between the youth of Latvia and Estonia has negative impact not only for the two countries but also for the EU causing difficulties to integrate into work life, weak knowledge and low interest about public policy, un-sufficient participation skills etc.
Objectives of the project are:
1. to increase the grass-root cooperation between the youth from Estonia and Latvia,
2. to promote the young people's environmental learning and education for bettering the awareness about sustainable lifestyle,
3. to enhance the youth skills to participate in the community life, to elaborate new necessary skills using unique project-work method that developswide range of social skills,
4. to establish sustainable personal contacts between the people enabling them to develop joint actions and other types of cooperation in the future.
Budget: 26 848.00 EUR
ERDF contribution: 22 820.80 EUR
Cultural Cooperation for Intermediates
Continuous Cultural Cooperation in the Estonian-Latvian Border Area
Lead partner: Alūksne Regional Council (LV)
Partner(s): Haanja Municipality (EE) Rõuge Municipality (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.2 Promoting grass-root level actions
Start date and end date: 2008-08-08 - 2009-11-07
Description:
The border area municipalities carried out a range of cultural activities to promote permanent ties and cultural exchanges between the Estonian and Latvian communities in their crossborder region.
The following joint events were organized during the project: Estonian day in Veclaicene, Day of Culture and Language in Ziemeri, Song and Dance Festival in Rõuge, Let's Sing and Dance Together! in Mārkalne and Celebration of Suur Munamägi in Haanja. These events brought together the performers from all partner municipalities, thus developing cultural cooperation among the active participants and audience in both countries. In addition, two training seminars were organized for people from partner municipalities on traditions in folk culture and image-building for cultural institutions. Partners also jointly visited Finland (Vesilahti municipality) to gain information about Finnish cultural management and establish new connections.
For improving the environment for joint cultural events, repairs and smaller renovation in local cultural centres was done (installation of electrical cable, renovation of hall, stage, windows, foyer and toilets), as well as necessary equipment obtained.
Budget: 343 500.00 EUR
Easy Together
Cross-border Knowledge Transfer of the Best Special Teaching Methods and Social Protection
Lead partner: Võru Järve School (EE)
Partner(s): Gaisma Special Boarding School (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.2 Promoting grass-root level actions
Start date and end date: 2009-09-01 - 2011-06-30
Description:
The project helped to improve the situation for disabled people, especially young people with mental disabilities.
During the project, the two partners - specialized schools in Latvia and Estonia - organized a number of joint trainings and study tours for the disabled students and their parents. Experience was exchanged regarding specialized day centres, as well as villages created especially for young disabled people to help them develop independence, daily problemsolving and socialising skills.
Trainings and experience exchanges for teachers and parents helped to establish important networks, as well as come up with new jointly developed study materials, such as an easy-toread self-help student handbook in both languages.
Budget: 49 930.00 EUR
ERDF contribution: 42 441.00 EUR
Est-Lat Urban Activists
Improving Estonian-Latvian citizen education and urban development
Lead partner: Estonian Urban Lab (EE)
Partner(s): Society Technologies Foundation (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.2 Promoting grass-root level actions
Start date and end date: 2011-06-17 - 2012-04-30
Description:
Active community cooperation starts between the activists in Tartu and Riga, interested in participation in the planning of the urban living environment. There have been number of people-to-people cooperation activities and active networking among several non-profit organisations, including the main implementers - Estonian Urban Lab and Society Technologies Foundation in Latvia.
Budget: 57 050.00 EUR
ERDF contribution: 48 493.00 EUR
Est-O-Lat League
Improving Sustainability and Vitality of Orienteering on a Local Level
Lead partner: Estonian Orienteering Federation (EE)
Partner(s): Latvian Orienteering Federation (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.2 Promoting grass-root level actions
Start date and end date: 2010-08-16 - 2012-08-15
Description:
Given the considerable experience of both Estonian and Latvian orienteering federations and local orienteering clubs, a joint project has been developed to improve the orienteering as sport and hobby for the people of both countries. Series of activities are taking place within the project - study days in 30 schools, training days for map developers, creating of new and high quality orienteering maps (covered area 110 km2) and 20 orienteering league competitions with nearly 12 000 participants.
Budget: 166 304.00 EUR
Festival "Friendship Through Football"
Lead partner: FC Santos (EE)
Partner(s): FB Gulbene 2005 (LV) NGO FK Abuls Smiltene (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.2 Promoting grass-root level actions
Start date and end date: 2010-08-15 - 2011-02-14
Description:
Within this project, a group of local non-profit organizations from Estonia and Latvia organized joint football trainings and competitions for altogether approximately 1400 children from both countries. Using football as the main unifying theme, project also engagd youngsters in cultural and educational activities (including basic Estonian and Latvian language training) to develop closer ties between the Estonian and Latvian youth communities.
Budget: 59 525.00 EUR
ERDF contribution: 50 596.00 EUR
FireSafe
Raising Awareness About the Work of Voluntary Firemen and Fire Safety Issues
Lead partner: State Fire and Rescue Service of Republic of Latvia (LV)
Partner(s): Aloja Regional Council (LV) Association of Latvian Voluntary Firemen Unions (LV) Häädemeeste Municipality (EE) Salacgrīva Regional Council (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.2 Promoting grass-root level actions
Start date and end date: 2009-12-01 - 2011-06-30
Description:
The overall objective of the project was to support the voluntary firemen services as important local initiative, and to raise fire-safety in Estonian and Latvian societies.
This was done by special informative events and meterials developed for the general public and especially school students. Fire-safery seminars, open doors events at local fire and rescue services, special fire-safety trainings and camps were organized during the project.
Cooperation between Estonian and Latvian on voluntary firemen and chimney-sweepers was also developed through various joint events and conferences. In addition, the project developed museum expositions about the work of voluntary firemen unions in different historical periods and interactive public events.
Budget: 272 691.00 EUR
Hobby Slot Car Racing
Development of cooperation between Estonian-Latvian youth hobby modelists
Lead partner: Sindi Town Gowernment (EE)
Partner(s): Limbaži Regional Council (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.2 Promoting grass-root level actions
Start date and end date: 2011-09-14 - 2013-06-13
Description:
The project built up ties between the youth from Sindi (ee) and Limbaži (LV) neighbourhoods, who are united by the hobby of slot car racing. Within the project, the municipalities of Sindi and Limbaži developed slot car tracks and organized joint experience and cultural exchange camps for the youngsters.
Budget: 33 970.00 EUR
ERDF contribution: 28 875.00 EUR
Idea on the Border
Developing of Cross-border Trade Network
Lead partner: Ape Regional Council (LV)
Partner(s): Mõniste Municipality (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.2 Promoting grass-root level actions
Description:
Closely located communities of Ape (LV) and Mõniste (EE) cooperated to maintain handicraft skills and promote joint craft markets on the Estonian-Latvian border, which were common in old times. While carrying out these initiatives, the local Estonians and Latvians actively networked and learned each other's language.
Budget: 71 377 EUR
ERDF contribution: 60 670 EUR
MLEDU
Media Literacy - 21st Century Approach to Education
Lead partner: Tartu Municipality (EE)
Partner(s): Madona Regional Council (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.2 Promoting grass-root level actions
Start date and end date: 2010-09-23 - 2012-09-22
Description:
The project aims at increasing school students' media literacy and interest in local issues. This is done through improvement of media study programmes in local schools in the regions of Tartu and Madona, also attracting the media professionals. Seminars, practical workshops, study visits to media organizations and students' own creative activities are carried out within the project, and school exchanges help to improve the quality and attract higher interest of the Estonian and Latvian students in the media world. See also project coverage in Latvian National TV programme "iESpēja"
Budget: 58 756.00 EUR
ERDF contribution: 49 943.00 EUR
MOTO
Improving Sustainability and Vitality of Local Communities by Developing Cooperation in Youth Amateur Motocross
Lead partner: Motorcycle Club K&K (EE)
Partner(s): Latvian Amateur Motosport Association (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.2 Promoting grass-root level actions
Start date and end date: 2010-08-03 - 2011-08-02
Description:
This project helps two local motocross clubs to offer educative and interesting challenges like amateur training camps and competitions to youngsters (aged 5-16). The activities are targeted also to the local children living near the motocross tracks, as well as at improving the already existing contacts between the motocross clubs in both countries. In addition, the project is ensuring availability of easy and freely accessible, highly qualified and interactive study-materials of motocross.
Budget: 159 001.00 EUR
Radio Classics
Promotion of Youth Involvement in Professional Classical Music Performance
Lead partner: Latvian Radio (LV)
Partner(s): Estonian Public Broadcasting (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.2 Promoting grass-root level actions
Start date and end date: 2012-05-01 - 2013-04-30
Description:
Cooperation between the classical music channels of the Estonian and Latvian national radios ensured wide public education - through series of special broadcasts and reportages, people expanded their knowledge about classical music life in various regions of the neighboring country. Young artists from local music schools have been particularly spotlighted via specially organized concert recordings.
Budget: 122 600.00 EUR
Reviving Joint History
Reviving Joint History of Estonia and Latvia
Lead partner: War Graves Committee of Latvia (LV)
Partner(s): Eesti Sojahaudade Hoolde Liit (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.2 Promoting grass-root level actions
Start date and end date: 2014-04-01 - 2015-06-30
Description:
"Brāļu kapu komiteja" of Latvia in cooperation with the Estonian "Brāļu kapu komiteja" aim to bring to awareness the joint cultural historical heritage of Latvia and Estonia by utilizing the cultural and historical proof of WWI and Freedom fights, namely the joint burial places. Project objectives are bring to awareness the joint cultural and historical heritage of EE and LV by utilizing the historical testimonials of war soldier memorial burial places and monuments. 1. To teach youth about the joint history of Estonia and Latvia in the youth camps. 2. To develop a webpage informing the participants, media, families of the fallen soldiers, who died for our joint freedom. The web content have been integrated into the social media: Facebook, draugiem.lv, twitter.com, Google, netti.ee 3. To clean up the memorial burial sites of the fallen Estonian and Latvian soldiers. 4. To issue a research publication.
Budget: 109 820.00 EUR
ERDF contribution: 93 347.00 EUR
SDF - Song and Dance Festivals
Supporting the Song and Dance Festival Tradition in Estonian-Latvian Border Areas
Lead partner: Euregio Pskov-Livonia, Estonian Section (EE)
Partner(s): Euregio Pskov-Livonia, Latvian Section (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.2 Promoting grass-root level actions
Start date and end date: 2009-03-01 - 2011-12-09
Description:
The project was implemented to activate the cultural life and stimulate cultural exchange in the Estonian-Latvian border area. It mainly targeted Alūksne and Valka districts in Latvia and Valga, Võru and Põlva counties in Estonia. Part of the activities were especially focused on people with disabilities.
Altogether around 3000 participants from both countries participated in various singing and dancing events organized in Smiltene, Alūksne, Valka, Valga, Jaunanna, Sõmerpalu, Põlva, Parksepa, Misso, Paistu. Thanks to the project, people from small villages and remote boder areas were given the feeling of participation in cross-border activities, and many of them have established new contacts and friendships. Various amateur groups are continuing the cooperation also beyond the project.
Budget: 122 542.00 EUR
Singing Neighbours
Development of Cross-border Choir Singing Culture
Lead partner: Võru Municipality (EE)
Partner(s): Baldone Regional Council (LV) Jūrmala City Council (LV) Ogre Regional Council (LV) Võru Town Government (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.2 Promoting grass-root level actions
Start date and end date: 2009-03-19 - 2010-11-18
Description:
This cooperation project helped to build many new cross-border contacts, meanwhile strenghtening the local cultural identities and sustaining choral music traditions in Estonia and Latvia.
During the project, five children and youth choirs from Võru, Ogre, Baldone and Jūrmala developed a close cooperation. They spent time together in joint camps and rehearsals, where they learned both Latvian and Estonian songs, along with some basic things from each other's language. In the following joint concerts the Latvian children performed the Estonian music and vice versa with the same enthusiasm as when singing their own well-known songs.
Within the project, also workshops and trainings for conductors were organized, and a new Estonian-Latvian songbook was compiled and issued. The project closed with emotional festival in Baldone, where all the choirs joined in a parade and large concert.
Budget: 330 100.00 EUR
Still Active
Development of Cross-border Cooperation Among the Grassroots for Development of Sustainable Latvia-Estonia Borderland Communities
Lead partner: Latvian Community Initiative Foundation (LV)
Partner(s): Ape Regional Council (LV) Community House of Varstu (EE) Helme Municipality (EE) Mount Ķoņi Life School (LV) Naukšēni Regional Council (LV) Support Club for Ape Development (LV) Taagepera Society of Volunteers (EE) Varstu Municipality (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.2 Promoting grass-root level actions
Start date and end date: 2010-06-14 - 2011-09-13
Description:
Cooperation between community groups of people aged 45 and more in the border regions this is what the project „Still Active" aims at. The respective Estonian and Latvian community groups are jointly engaging in various social, cultural and economic activities - creative applied arts workshops, computer classes, entrepreneurship-focused seminars. Thanks to the large number of partners, the project activities take place in different border-area towns and villages, allowing the local communities to build new contacts and cooperation networks.
Budget: 217 643.00 EUR
Tolerance
Mentally Disabled Child Among Us
Lead partner: Anni Playground (EE)
Partner(s): Tartu University Hospital (EE) Wings of Hope (Cerību Spārni) (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.2 Promoting grass-root level actions
Start date and end date: 2010-01-01 - 2011-11-30
Description:
Enhancing the development of mentally disabled children and their integration in society, meanwhile increasing the tolerance of community members towards the disabled – this is the main goal of the project carried out by two active and highly experienced grass-root NGOs dealing with disabled children and their families and the Genetic Centre of the Tartu University Hospital.
The project involves wide range of activities, starting from joint camps and networking of the targeted families to high-level discussions between the policy makers and experts. A lot of efforts have been made to raise the public awareness of mental disabilities and increase social acceptance and self-confidence of the target families. Also various specialized materials have been developed together by the Latvian and Estonian partners, including a hadbook for families with disabled children.
Among the major project activities several joint Estonian-Latvian camps took place. Part of these were integration camps that brought together "regular" and mentally disabled children. In the mixed groups, the children learned to do various things together – engage in musical activities, applied arts workshops (using natural raw materials), special games, plays and presentations, as well as joint trips and recreation activities. Different joint camps were organized specifically for the families of the disabled children and field professionals (doctors, rehabilitation specialists, psychologists) - during those the parents have received the necessary advice, as well as formed international support networks.
To find out more, please visit the websates of the project partners!
Budget: 170 232.00 EUR
Young Active Creative
Vital Communities by Promotion of Youth Skills and Involvement
Lead partner: Põlva Town Government (EE)
Partner(s): Munalinn (EE) Ogre Regional Council (LV) Ogre Youth Club “Project Workshop” (LV) Rotaract Club of Ogre (LV)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.2 Promoting grass-root level actions
Start date and end date: 2012-02-01 - 2013-04-30
Description:
Youth from Põlva (EE) and Ogre (LV) have come together in this project to jointly learn cultural management skills for visual and performing arts events. Meanwhile the young Estonians and Latvians have actively networked and engaged in real organizing of two youth festivals.
The project has joined active and creative youth from Ogre and Põlva county areas to the joint learning-by doing proceess aiming to widen both young musicians and visual artists opportunities to learn and perform together as well as develop managerial skills to organise international youth events and festivals. Both, young people in Ogres Novads and Põlva County widening their opportunities in hobby-education, self-development and performing but also finding new contacts and making friends. Thus cross-border cultural ties are stronger.
More information on the festivals organized within this project:
In Estonia: http://uueajastufestival.ee/
In Latvia: http://www.citavide.lv/
Budget: 137 731.00 EUR
Young Sailors
Cooperation of Young Sailors and Coaches of Estonia and Latvia
Lead partner: LASER class association Latvia (LV)
Partner(s): Latvian Sailing Federation (LV) Pärnu Yacht Club (EE) Saaremaa Association of Marine Sport (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.2 Promoting grass-root level actions
Start date and end date: 2010-08-01 - 2012-01-31
Description:
A project promoting and facilitating training and competitive activities of young yachtsmen from Riga, Saaremaa and Parnu. Cooperation between young sailors, their parents and coaches in both countries is taking place in the form of joint training camps, regattas, seminars and public sailing events.
Budget: 152 501.00 EUR
Youth for Synergy
Development of Cross-Border Co-operation of Young People for Promotion of Sustainable Youth
Lead partner: Latvian Community Initiative Foundation (LV)
Partner(s): Naukšēni Regional Council (LV) Parksepa Keskkool (EE) Smiltenes ģimnāzija (LV) Varstu Keskkool (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities, 3.2 Promoting grass-root level actions
Start date and end date: 2014-04-22 - 2015-06-21
Description:
Cross-border regions will be able to develop only if young educated people want to live, work and participate in the socio-economic processes there. Target group of the project are young people - secondary school students - since it is they who will build and develop cross-border regions. The project aims at promotion of co-operation among schools and young people in the cross-border by creating new contacts, exchange of educational and cultural experience, training and activating young people and facilitating their stay in the cross-border regions.
The overall objective of the project is to create a synergy from co-operation of active youth in the Program's area and show that the results of co-operative interaction among schools and young people from Latvia and Estonia are greater than the sum of their individual performance. Sub-objectives are: 1. to facilitate young people's creativity, innovative approach in searching for opportunities, thinking without the borders; 2. to develop/strengthen ties of young people in cross-border; 3. to improve capacities of young people to initiate and implement crossborder initiatives.
Budget: 141 839.00 EUR
Youth Initiatives and Co-operation
Support to West Estonian-Latvian youth initiatives and co-operation
Lead partner: Ventspils Youth Council (LV)
Partner(s): Triigi Adventure Beach (EE)
Priority and subpriority: Priority 3. Active, sustainable and integrated communities,
3.2 Promoting grass-root level actions
Start date and end date: 2012-01-01 - 2013-10-31
Description:
Ventspils Youth Council (LV) and Leisi parish supported NGO Triigi Adventure Beach in Saaremaa (EE) jointly organized informal and interest education activities for youth, focusing on various social and economic topics – youth employment and entrepreneurship, youth media, health and social responsibility and cooperation in various creative fields.
Budget: 176 466.00 EUR
|
Note: The designations employed and the presentation of the material in this document do not imply the expression of any opinion whatsoever on the part of UNEP concerning the legal status of any State, Territory, city or area, or of its authorities, or concerning the delimitation of their frontiers or boundaries.
© 2008 United Nations Environment Programme (UNEP) Mediterranean Action Plan Regional Activity Centre for Specially Protected Areas (RAC/SPA) Boulevard du Leader Yasser Arafat BP 337 – 1080 Tunis Cedex – TUNISIA E-mail : firstname.lastname@example.org
This publication may be reproduced in whole or in part and in any form for educational or non-profit purposes without special permission from the copyright holder, provided acknowledgement of the source is made. UNEPMAP- RAC/SPA would appreciate receiving a copy of any publication that uses this publication as a source.
No use of this publication may be made for resale of for any other commercial purpose whatsoever without permission in writing from UNEPMAP- RAC/SPA.
For bibliographic purposes this volume may be cited as:
UNEP-MAP-RAC/SPA. 2008. Procedure for the revision of the areas included in the SPAMI List. RAC/SPA Edit., Tunis : 18 pp.
The draft version has been prepared for RAC/SPA, by: Members of the IUCN World Commission on Protected Areas (WCPA) Marine, Mediterranean Group
* Dr. Ameer Abdulla, IUCN Global Marine Program
* Dr. Fabio Badalamenti, CNR – IAMC – Castellammare del Golfo
* Dr. Carlo Franzosini, Miramare Marine Reserve – Shoreline Company
* Dr. Giuseppe Notarbartolo di Sciara, Tethys Institute
* Dr. Julian Roberts, IUCN Global Marine Program
* Dr. Tony Rouphael, Independent Consultant
Table of content
Procedure for the revision of the areas included in the SPAMI List
The Protocol concerning Specially Protected Areas and Biological Diversity in the Mediterranean (hereafter the 'Protocol') came into force in 1999. Annex I of the Protocol lists mandatory criteria for eligibility for inclusion within the SPAMI list.
The purpose of this procedure is to evaluate SPAMI sites in order to examine whether it they meet the Protocol's criteria (Annex I).
I. Ordinary review
1. The ordinary review procedure consists in two different sources of information about the status of SPAMIs:
a) A Periodic Review, following the Format proposed herein after, entrusted every six years to a mixed national/independent Technical Advisory Commission; and
b) The biannual National Reports from the NFP/SPA, serving as an early warning.
a) Periodic Review
2. A regular in depth review of the SPAMIs shall take place every six years, counting from the date of the inclusion of the site in the SPAMI List. Following the Format proposed ahead, this Periodic Review will assess the degree of conformity with the criteria defined in the Protocol. The Format concerns the existing threats, regulations, management, protection measures, resources, means, knowledge, cooperation and networking. Stakeholders should agree to the proposed subquestions in the format before they are used in the evaluation. The Technical Advisory Commission (TAC) / evaluation team should receive the completed Format for Periodic Review and supporting documentation prior to the site visit.
3. The Periodic Review would be entrusted to a mixed TAC integrated by:
- The NFP/SPA concerned and/or the person responsible for the SPAMI management;
- A national expert on the particular biology and ecology of the area;
- Two independent experts, who would have all the necessary qualifications among scientific rigor, regional experience in protected area management, independence and impartiality, and should not be national of the country in which the review is carried out.
At least one member of the evaluation team involved in the country visit must have a working knowledge of the language of that country (should not assume the PA staff can speak English, although this would be desirable).
The evaluation team should receive key SPAMI documents and prescriptive list of threats prior to the field site visit.
The evaluation team should make a preliminary assessment of SPAMI compliance based on the documents prior to the site visit.
4. To cover the costs of such Technical Advisory Commission a SPAMI Fund could be established, possibly allocating resources from the ordinary MAP budget, plus voluntary contributions from the States or other donor agencies. Expenses incurred by the experts during this visit shall be met by this Fund, as to ensure the appraisal is completely objective.
5. The Periodic Review will be based in an official format, for which a proposal is presented at the end of this document. The PA manager completes the Format for Periodic Review prior to the site visit by the evaluation team and that his/her responses to the sub-questions are crossed reference to supporting documentation. The completed format should be endorsed by signature from all the members of the Technical Advisory Commission. However, the format includes a final field in which each member can add his /her own comments, if deemed necessary.
6. The results of the review shall be forwarded to the Centre, to be surveyed and presented in the next NFP/SPA biannual Meeting for endorsement. In the case of a negative recommendation (see Format) the NFP/SPA will recommend the Meeting of the Parties to include the SPAMI in a period of provisional nature.
b) National Reports
7. According to Art. 21.2. in the Protocol, the Parties must, at the earliest opportunity, communicate any situation that might endanger the ecosystems of specially protected areas or the survival of protected species to the other Parties, to the States that might be affected, and to the SPA/RAC. Article 23 states the three basic items that the reports from the Parties should consider.
8. As an early warning procedure, it is proposed that the existing National Report formats include three additional questions in Section 15, concerning the mandatory criteria of Annex I to the Protocol. This would be a simple means to allow a frequent review highlighting any relevant changes in the initial conditions within the SPAMI. Section 15 of the National Report format may be completed as follows:
15. SPAMI list:
a) Any relevant modification in the s tatus of populati ons of protected species (acc ording to Annex II of the P rotocol) inside the SPAMI, in the status of its habitats or any adverse chages or potential changes in the functioning of its ecosystems (following Article 8.2.)
b) Any modification in the m anagement plan officially adopted, in the legal and institutional framework or in the management and protection measures (following Article 7.2.a).
c) Any modification in the management body, in its powers and means or in its human resources (following Annex I D.6.)
9. A significantly adverse change in any of the six items in the biannual National Report shall be presented at the NFP/SPA Meeting and –should the seriousness of the threat to the SPAMI recommend it- a decision by the NFPs would be taken on whether to inform the Meeting of the Parties, and/or require early support from other Parties or from the Centre, in taking any possible measures to solve the detected deficiencies. The assignment of an Extraordinary review, in order to objectively establish the sources and seriousness of the problem, is one of these possible measures.
10. In case of an ecological catastrophe, serious adverse event or emergency anytime within a SPAMI, the NFP may wish to request the Centre, anytime within the biannual period between two successive NFP Meetings, to proceed with an Extraordinary Review of the SPAMI as detailed ahead.
II. Extraordinary review
11. The Parties must be immediately informed of any important threat affecting the SPAMIs and of any relevant change in their legal, management or ecological status. The sources of this information may be any of the following:
a) A Periodic Review report declaring that the SPA MI presents severe deficiencies about which the Technical Advisory Commission recommends to take action (see para.3).
b) A biannual National Report recognizing relevant modifications in any of the questions already mentioned for point 15 (see para.8.).
c) A request from the NFP to the Centre anytime within the two years between two NFP Meetings, based on a serious emergency, change or event in the SP AMI (see para.10).
d) External sources (partner organizations, other international or national NGOs, or other interested bodies) (see para.12).
12. In the latter case d), should there be a threat or serious damage to the area, and subject to the approval of the government concerned, and also on case c) upon extraordinary request from the Party concerned, the Executive Secretary may appoint an independent expert to assess, in the company of a representative of SPA/RAC, the reality and seriousness of the threat to the SP AMI objectives, in which case it would recommend the NFP/MAP to proceed with a detailed appraisal in accordance to the procedures laid down in this proposal.
13. In any of the cases a) b) c) or d), should the adverse situation prove a real threat to the SPAMI objectives, the NFP/MAP may recommend the Meeting of the Parties to request the responsible authorities to take any appropriate corrective measures, while the SPAMI would enter into a provisional period of three years in which the necessary recommendations and measures must be taken and implemented.
III. The period of provisional nature
14. A SPAMI would enter the period of provisional nature either
a) After an ordinary -or an extraordinary- review recommends it, or
b) It has been provisionally accepted as a new SPAMI in the List without fully complying with all the necessary criteria.
15. In fact, candidate sites to the S PAMI List, for which the selection criteria required under the Protocol are not completely but close to be met, pending the provision of assistance to the country concerned (V Meeting of the NFPs, para. 97) should also fall into this provisional period. The aim would be "to stimulate Mediterranean solidarity and cooperation, and to encourage countries to identify and nominate relevant areas while awaiting assistance to finalize dossier" (para.94).
16. A SPAMI can stay within the period of provisional nature for a maximum of six years. The Party concerned must inform in the next NFPs Meeting, within 2 years time, about the identification and launching of the adequate corrective measures.
17. SPAMIs in this provisional period, when the Party concerned asks for it, shall constitute a priority for cooperation and sponsorship from:
c) Other Parties;
d) Other SPAMIs, particularly those with a Diploma;
e) Any tools specifically established for the case, such as expert commissions or the support from a SPAMI Fund.
18. Before the end of the six year period, an Extraordinary Review will be developed. Two options are envisioned for this review:
- Following the same procedure as for the Ordinary Review, or
- A rapid assessment (e. g. 2 days) entrusted to a simplified mission from the national SPAMI manager and an independent non-national expert
The results of this appraisal will be transmitted through the Centre to the next NFP/SPA Meeting.
19. If the Extraordinary Review concludes that the recommended measures were implemented and the legal, protection or ecological status has improved during the six years period (see Scoring and Resolution in the Format ahead), the SPAMI will leave the period of provisional nature and enter again into the regular review process.
20. Should the Extraordinary Review conclude that the damage is irremediable or that the necessary measures have not been implemented within the provisional period, the Parties may suggest the State concerned to remove the SPAMI from the List, considering -as established in Art.10 to the Protocol- that important reasons for doing so still remain. For this part of the procedure, a choice should be done between two options:
f) The Party concerned would be invited to compensate the loss of a SPAMI with another site proposed within the same country. The final decision would rest in the Party concerned; or
b) As provisionally set by the VI Meeting of the NFP/SPA (2003) in the "Draft Criteria and Procedures for Awarding the Mediterranean Diploma for SPAMIs" (Art.10.4), the decision for withdrawal "shall be taken by the Meeting of the Parties by a two-thirds majority of the votes cast. It shall be notified by means of a resolution, and the reasons for such a decision shall be transmitted to the government concerned and the authorities responsible for managing the area".
No relevant
changes
Periodic Review
every 6 years
NFP/SPA
Biannual
National Report
Parties are informed and require taking
appropriate measures
Party informs about taking appropriate
measures in the next NFP Meeting
SPAMI removed from the list or
replaced by a new SPAMI
proposal
ORDINARY REVIEW PROCESS
EXTRAORDINARY REVIEW
Party concerned may request
advice or cooperation
Non-Party sources
inform MAP about
relevant changes
NFP/SPA informs of
relevant changes
Negative
conclusion after
Periodic Review
Extraordinary Review
before
the end of the 6 years period
Parties are informed
Measures have been
implemented. End of
provisional period
Measures have not been
implemented
Rapid Appraisal
confirms changes
PERIOD OF PROVISIONAL NATURE
No relevant
deficiencies
IV. Format for the Periodic Review
a) Objectives
21. The purpose of the Format is to assess in a way as objective and homogeneous as possible, the degree of conformity that the sites included in the SP AMI list keep with the criteria provided in the Protocol, and to appraise the evolution of the SPAMIs by comparing the results obtained through consecutive reviews.
22. The Format shall be completed every six years by the Technical Advisory Commission (see para. 3 in previous Section).
23. The resulting completed format shall be signed by all the members of the Technical Commission. At the end of the format there is a blank space in which the individual members, if deemed necessary, may add his/her own comments.
b) Criteria set in the Protocol
24. The proposed Format responds to the pertinent Articles in the Protocol and Annex, and keeps a cross coherence and constant reference with the document "Annotated Format for the presentation reports for the areas proposed for inclusion in the SPAMI List" (UNEP(DEC)/MED WG.172/3). At the end of each question, a reference is given to the corresponding part in the Annotated Format (AF) in order to facilitate the search of the information.
25. Following the Protocol, two kinds of criteria have been considered in the Format:
Section I: Characteristics/features that the site must necessarily comply to be included in the SPAMI List. These features are specified in Article 8 of the Protocol, and in the Common Criteria of the Annex I. For these selected 9 features, a yes/no answer is requested.
Section II: Characteristics/features considered as a value-added for the SP AMIs (according to B.4. in Annex I and Articles 6 and 7 in the Protocol). These features receive 0-3 values. Their accumulative scoring provides an indication of the global performance of the SPAMI, permits comparative assessments with previous situations, and identifies thematic fields of strength and weaknesses allowing to objective recommendations.
c) TAC Conclusion
26. At the end of the format, the Technical Advisory Commission (TAC) will draw a Conclusion of consensus, signed by all of its members, including, if necessary, recommendations for improvement.
27. This Conclusion shall be forwarded through the SPA/RAC to the NFPs ordinary Meetings. The Meeting will decide whether the SPAMI remains in the ordinary review process or is considered for incorporation into the extraordinary review procedure.
SECTION I: CRITERIA WHICH ARE MANDATORY FOR THE INCLUSION OF AN AREA IN THE SPAMI LIST
(Art. 8.2. of the Protocol and General Principles and C and D of Annex I)
In each question, crossed references to the Annotated Format (AF) are given.
1. CONSERVATION STATUS
1.1. Does the SPAMI fulfill one of the criteria related to Mediterranean interest as presented in Protocol’s Annex I section B paragraph 2 ?strictly maintain the status of populations of its protected species (those i n Annex II to th e Protocol) , the status of its habitats and no adverse significant changes in the functioning of its ecosystems? ( Article 8. 2.) ( See 3.4. and 4 in the AF )
If “ no”, in dicate th e r easons th at h ave m otivated th e def iciencies, the ir r elative seriousness and, if possible, the date in which they are expected to be overcome.
1.2 If “yes”, are the objectives set out in the original SPAMI application for designation actively persued ?
2. LEGAL STATUS
2.1. Does the area maintain or has improved its legal protection status from the date of the previous report? (A-e and C-2, Annex I) See 7.1.2 in the AF
2.2. Does the legal declaration of this area consider the conservation of natural values as the primary objective? (A -a and D1 in Annex I) See 7.1.3 in the AF
N Y
N Y
N Y
N Y
2.3. Are competencies and responsibilities clearly defined in the texts governing the area? (D4 in Annex I) See 7.4.3 in the AF
2.4. Are external influences/threats been taken into account in the legal framework of the SPAMIDoes the legal text clearly establish coordination means between land and sea authorities ? (D4 in Annex I, Art.7.4. in the Protocol ) . In case there is no sea within the SPAMI, this question would be non-applicant. See 7.4.3. in the AF
Indicate measures that have been adopted to address these influences/threats case of any “no” answer, indicate the reasons that have motivated the deficiencies and the date in which they are expected to be overcome.
3. MANAGEMENT METHODS (General principles « D » in Annex 1)
3.1. Does the area have the same or an improved managenment body/authorithy as when the SPAMI was established and/or last evaluated ?Existence of a management body with sufficient powers (Art. 7.2.d, 7.2.f). D6 i n Annex I: To be included in the SPAMI List, a protected area must have a management body, endowed with sufficient powers as well as means and human resources to prevent and / or control activities likely to be contrary to the aims of the protected area) See 8.1. in the AF
3.2. Is the management plan in force ?Has the management plan been officially adopted?
(D7 in Annex I) See 8.2.1, 8.2.2. in the AF
3.3. Does the management plan address the requirements set out in article 7 of the Protocol and Section 8.2.3 of the Annotated format ?
More details useful for the evaluation of the management plan are addressed in question 7.1 of this questionnaireIn case of an y “ no” answ er, indicate th e reasons th at have motivated the deficiencies and the date in which they are expected to be overcome.
N
Y
N
Y
N
Y
N
Y
4. AVAILABILITY OF RESOURCES AND INFORMATION
4.1. Is there basic equipment, human and financial resources ensured to the management body?
(Art. 7.2.d, 7.2.f). D6 in Annex I: To be included in the SPAMI List, a protected area must have a management body, endowed with sufficient powers as well as means and human resources to prevent and / or control activities likely to be contrary to the aims of the protected area) See 9.1, 9.2. in the AF
4.2.. Does the area have a monitoring program?
(D8 in Annex I: The program should include the identification and monitoring of a certain number of significant parameters for the area in question, in order to allow the assessment of the state and evolution of the area, as well as the effectiveness of protection and management measures implemented, so that they may be adapted if need be.. See 9.3.3. in the AF
If yes, what are the monitoring parameters and the management objectives being addressed by these parameters ?
4.3 Is there a feedback mechanism that establishes an explicit link between the monitoring results and the management objectives, and which allows adaptation of protection and management measures ?
In case of any “no” answer, indicate the reasons that have motivated the deficiencies, their relative seriousness, and the date in which they are expected to be overcome.
N
Y
N
Y
N
Y
SECTION II: FEATURES PROVIDING A VALUE-ADDED TO THE AREA
(Section B4 of the Annex I, and other obligatory for a SPA (Arts. 6 and 7 of the Protocol)
5. THREATS AND SURROUNDING CONTEXT
5.1 Assess the level of threats within the site to the ecological,
biological, aesthetic and cultural values of the area (B4.a of the Annex I)
See 5.1., consider also 3.5.2.b, 6.3 & 6.4. in the AF
In particular: (0 means "no threats"; 3 means "very serious threats"):
Unregulated exploitation of natural resources (e.g. sand mining, water, timber, living resources) See 5.1.1. in the AF
2
1
0
Serious threats to habitats and species (e.g. disturbance, desiccation, pollution, poaching, introduced alien species ....) See 5.1.2. in the AF
Increase of human presence
(e.g. tourism, boats, building, immigration...) See 5.1.3. in AF
Historic and current conflicts
(between users or user groups) See 5.1.4., 6.2. in the AF
3
0
2 3
1
0
2 3
1
(0 = no threats; 3 = very high level of threats)
Please include a pr escriptive list of t hreats that a re o f co ncern and a re evaluated individually
5.2 Assess the level of external threats to the ecological, biological, aesthetic and cultural values of the area (B4.a of the Annex I) See 5.2. in the AF
(0 = no threats ; 3 = very high level of threats)
Please include a prescriptive list of external threats that are of concern and are evaluated individually. In particular:
Pollution problems from external sources (including solid waste and those affecting waters up-current) See 5.2.1. in the AF
Significant impacts on landscapes and on cultural values See 5.2.2
Expected development of threats upon the surrounding area See 6.1. in the AF
5.3. Is there an integrated coastal management plan or land- use laws in the area limiting or surrounding the SPAMI? (B4.e in the Annex I) See 5.2.3.
5.4. Does the management plan for the SPAMI have influence over the governance of the surrounding area ?. (D5-d in Annex I) See 7.4.4. in the AF
N
Y
N Y
2 3
1
6. REGULATIONS
6.1. Assess the degree of legal regulations See 7.4.2. in the AF
In particular, within the national framework:
a) Regulations concerning the strengthening of the application of the o ther Pro tocols to t he Barcelona Co nvention, particularly dumping, passage of ships and modification of the soil (Art. 6b, 6c, 6e in the Protocol, D5-a in the Annex I)
b) Regulations on the introduction of any species not indigenous to the sp ecially pr otected a rea in question, o r of a ny g enetically Y
modified species, (Art. 6 d in the Protocol, D5-b in the Annex I)
c) Re gulations con cerning t he Env ironmental Im pact Assess ment for the a ctivities a nd projects that co uld significantly a ffect the
protected areas(Art. 17 in the Protocol)
In particular, within the SPAMI framework:
d) Re gulations for fishing, hu nting, t aking of an imals and harvesting of pla nts or t heir d estruction, a s w ell as t rade with animals, parts of animals, plants, parts of plants, which originate in the area (Art. 6 g in the Protocol, D5-c in the Annex I)
N N
N
Y
N
Y
N
Y
7. MANAGEMENT
7.1. Assess the degree of detail of the management plan
(e.g. zoning, regulations for each zone, competencies and responsibilities, governing bodies, management programs as protection, natural resource management, tourism, public use, education, research, monitoring, maintenance, services and concessions....) See 8.2.3. in the AF
SCORE: 0 = No Mgmt.Plan / 1= Weak / 2 = Adequate / 3= Excellent
7.2. Assess to what extent is land ownership well determined
(undetermined land tenure regimes and registrations are a common source of conflicts in most protected areas world-wide) See 7.3. in the AF
SCORE: 0 = Undetermined / 1= Weak / 2 = Adequate / 3= Excellent
7.3. Is there a body representing the public, professional and nongovernmental sector and the scientific community linked to the
management body? (B4b, B4c of the Annex I) See 8.1.2. & 8.1.3
7.4. Assess the quality of the involvement by the public, and particularly of local communities, in the planning and management of the area (B4.b of the Annex I)
(e.g. adequate planning involves local stakeholders and accommodates within appropriate management regimes a spectrum of possible multiple uses and regulated human activities, within the primary objective of conservation of marine and coastal environments)
See 8.1.4. in the AF
SCORE: 0 = No involvement / 1= Low / 2 = Adequate / 3= Excellent
7.5. Is the management plan binding for other national/local administrations with competencies in the area? See 8.2.2 in the AF N Y
8. PROTECTION MEASURES
8.1. Assess the degree of enforcement of the protection measures
In particular:
2 3
1
0
N
Y
2 3
1
0
2 3
1
Are t he ar ea b oundaries ade quately m arked o n la nd an d, i f applicable, adequately marked on the sea? See 8.3.1. in the AF
Is there any collaboration from other authorities in the protection and sur veillance of the a rea and , if ap plicable, i s t here a coastguard service contributing to the marine protection ? See 8.3.2. 8.3.3. in AF
Are third party agencies also empowered to enforce regulations relating to the SPAMI protective measures ?
Are t here adequate penalties and po wers f or e ffective enforcement of regulations and is t he field st aff empowered to impose sanctions? See 8.3.4. in the AF
Has the area established a con tingency plan to face accidental pollution or other serious emergencies? (Art. 7.3. in the Protocol, recom. 13 th Parties Meeting)
9.HUMAN RESOURCES
9.1. Adequacy of the human resources available to the management body (Art.7.2-f in the Protocol, D6 in Annex I) (e.g. enough number of employees to ensure adequate management and protection of the area) See 9.1.1. in the AF
Is there a permanent field administrator of the area? See 9.1.2. in the AF
Are there other permanent staff in the field? (e.g. technicians, wardens, guides, ...) See 9.1.2. in the AF
9.2. Asses the adequacy of the training level of available staff
(Art.7.2-f in the Protocol, D6 in Annex I) (e.g. enough training level to ensure protection of the area) See 9.1.2. in the AF
SCORE training level: 0 = Very Insufficient / 1= Low / 2 = Adequate / 3= Excellent
N
Y
N
Y
N
Y
N
Y
N
Y
2 3
1
0
N
Y
N
Y
10. FINANCIAL AND MATERIAL MEANS
10.1. Assess the degree of adequacy of the financial means (Sufficient resources f or the develo pment and im plementation of the m anagement plan , including e. g. int erpretation, ed ucation, tr aining, research, s urveillance and enforcement of regulations) See 9.2.1. in the AF
SCORE: 0 = Very Insufficient / 1= Low / 2 = Adequate / 3= Excellent
2 1
0
10.2. Assess the basic infrastructure
Administrative premises in the site, visitors' facilities (reception centre, trails, signs...), specific information, education and awareness materials
(Art.7.2-f in the Protocol)
SCORE: 0 = Very Insufficient / 1= Low / 2 = Adequate / 3= Excellent
2 1
0
10.3. Assess the equipment. Guard posts and signs on the main accesses, means to respond to emergencies, marine and terrestrial vehicles, radio and communications equipment. See 9.2.3. in the AF
SCORE: 0 = Very Insufficient / 1= Low / 2 = Adequate / 3= Excellent
2 1
0
11. INFORMATION AND KNOWLEDGE
11.1. Assess the extent of knowledge about the area and its surrounding zones. (D3 of the An nex I) (considering at least specific maps, habitat distribution, species inventories, and socio-economical factors) See 9.3.1. in the AF
SCORE: 0 = Very Insufficient / 1= Low / 2= Adequate / 3= Excellent
1
0
11.2. Assess the adequacy of the program for data collection and the monitoring program See 9.3.2. in the AF
SCORE: 0 = Inexistent / 1= Insufficient / 2= Adequate / 3= Excellent
2 3 1 0
3
3
3
2 3
12. COOPERATION AND NETWORKING
12.1. Are other national or international organizations collaborating with human or financial resources? (e.g. researchers, experts, volunteers..) See 9.1.3. in the AF
SCORE: 0 = No / 1= Weakly / 2 = Satisfactory / 3= Excellent
12.2. Assess the level of cooperation and exchange with other SPAMIs (especially in other nations) (Art. 8, Ar t. 21.1, Art. 22.1., Art. 22.3, A.d in Annex I)
SCORE: 0 = No / 1= Insufficient / 2= Adequate / 3= Excellent
COMMENTS by the Technical Advisory Commission
CONCLUSION
2 3
1
0
2 3 1 0
RECOMMENDATIONS
SIGNATURES
National Focal Point
Independent Experts
SPAMI Manager(s)
(ADDITIONAL PAGES MAY BE ADDED FOR EACH MEMBER'S COMMENTS)
|
Ergonomics Society Annual Meeting Proceedings of the Human Factors and
http://pro.sagepub.com/
Truck Driving Distractions: Impact on Performance and Physiological Response
DOI: 10.1177/1541931214581456 2014 58: 2171 Proceedings of the Human Factors and Ergonomics Society Annual Meeting Brandon Sollins, Dar-Wei Chen, Lauren Reinerman-Jones and Ron Tarr http://pro.sagepub.com/content/58/1/2171 The online version of this article can be found at:
Published by:
http://www.sagepublications.com
Human Factors and Ergonomics Society can be found at: Proceedings of the Human Factors and Ergonomics Society Annual Meeting Additional services and information for
http://pro.sagepub.com/cgi/alerts
Email Alerts:
http://pro.sagepub.com/subscriptions
Subscriptions:
http://www.sagepub.com/journalsReprints.nav
Reprints:
http://www.sagepub.com/journalsPermissions.nav
Permissions:
http://pro.sagepub.com/content/58/1/2171.refs.html
Citations:
>>
- Oct 17, 2014
Version of Record
What is This?
at HFES-Human Factors and Ergonomics Society on October 23, 2014
pro.sagepub.com at HFES-Human Factors and Ergonomics Society on October 23, 2014
Truck Driving Distractions: Impact on Performance and Physiological Response
1
Brandon Sollins 1 , Dar-Wei Chen 2 , Lauren Reinerman-Jones 1 , Ron Tarr University of Central Florida Institute for Simulation and Training 1 Georgia Institute of Technology 2
Distracted driving is becoming more prevalent as automobile use is commonplace and technology use grows in pervasiveness. The present study investigated the impact of cell phone, touch MP3, and external environmental distractions on commercial truck driving performance. Commercial truck drivers' performance and physiological responses were monitored while they drove a simulated cab through various control and distraction scenarios. The results support previous findings that distractions, particularly the phone and touch MP3, reduce driving performance and increase cognitive resource allocation in truck drivers.
The car is a staple of modern American life. Research has shown that Americans have steadily increased their car travel to the tune of roughly 3 trillion vehicle miles per year in the mid-2000s (Federal Highway Administration, 2011). The cell phone, another ubiquitous item in the lives of many Americans, is on the rise as well. Global mobile data traffic in 2012 grew 70 percent from 2011 levels and the average smart phone in 2017 is expected to generate eight times as much traffic as that of 2012 (Cisco, 2013). With cars and cell phones dominating larger portions of the lives of many and people seeking to accomplish more in less time, growth in distracted driving is not surprising. According to a survey by the Center for Disease Control (2011), nearly seven in ten drivers reported talking on cell phones while driving in the last 30 days. Almost half of drivers have admitted to sending text messages while driving (AT&T, 2013), with the actual percentage likely being higher. This rise in distracted driving has manifested itself on America's roads – almost 20 percent of injury crashes are now related to distraction (National Highway Traffic Safety Administration, 2012).
collision rates when executing search tasks on a music player (Chisolm, Caird, & Lockhart, 2008), and search tasks also cause drivers to deviate significantly from lane centers (Salvucci, Markley, Zuber, & Brumby, 2007). Like phones, touch MP3 players also require drivers to allocate cognitive resources to non-driving tasks. Distraction and associated danger can also arise from factors out of the driver's control, such as the driving environment. For example, construction work zones create distractions that lead to more fatal crashes and multi-vehicle accidents than non-work zones (Zhao & Garber, 2001). Research shows that possible distractions are everywhere, but distractors that yield the greatest performance detriments have yet to be determined.
The fact that cell phone use can distract drivers is fairly intuitive and has been demonstrated through many studies. On a physiological level, driving-related brain activity is reduced by 37 percent for drivers talking on a cell phone (Just, Keller, & Cynkar, 2008). This finding demonstrates that, when distracted, drivers reallocate their limited cognitive resources and attention to nondriving behaviors. As a result, drivers monitor mirrors and instruments less frequently, resort to hard braking more often, and report feeling less safe (Harbluk, Noy, & Eizenman, 2002). Portable music players (e.g. iPod, MP3 player) are also common in-car distractions. Drivers have increased perception response times and
The present study investigated the impact of cell phones, touch MP3 players, and external environmental distractions on commercial truck driving performance. Previous investigations of distracted driving primarily used crash data statistics, naturalistic observation, driving simulators, or combinations thereof (Stutts et al., 2005). The present study extends that prior body of driver distraction research in a variety of ways. First, the participant pool consisted of licensed commercial truck drivers (as opposed to non-professional drivers) who are especially at risk for distraction because of the lengths of their journeys. Second, participants operated a realistic driving simulator in a controlled lab-setting to experience manipulated driving conditions and distractions without creating danger on the roads. Finally, electroencephalogram (EEG) and electrocardiogram (ECG) were used to measure physiological responses from participants while they drove through the scenarios, data not available in crash statistics or naturalistic studies. EEG sensors are able to objectively demonstrate changes in cognitive resource allocation, such as rises in frontal theta activity and at HFES-Human Factors and Ergonomics Society on October 23, 2014
decreases in parietal alpha activity (Lei & Roetting, 2011), while ECG sensors characterize cognitive resource allocation via heart rate measurements (Reimer & Mehler, 2011). It was hypothesized that cell phones, touch MP3 players, and external environmental distractions would increase the aforementioned resourcerelated physiological responses and decrease driving performance. This study sought to improve upon analyses of previously-collected commercial truck driving data, which are fraught with under-reporting of distractions by commercial drivers (Stutts et al., 2001) and improve on naturalistic studies that are limited by biased, incomplete, and tampered data from trucking companies.
METHODS
Participants
Twenty-two Commercial Motor Vehicle (CMV) operators (21 males, 1 female) were recruited from several truck companies.
Procedure
After completing a consent form, participants were given a brief demographics survey. Advanced Brain Monitoring's (ABM) X10 EEG and ECG sensors were attached to the participants. The participants were then given a brief tutorial on MP3 player usage; no tutorials were necessary for participants' own cell phones. Once the participant was familiar with the touch MP3, baseline physiological levels were measured with each participant sitting in the truck driving simulator, remaining relaxed and alert for five minutes. The simulator was a truck cab equipped with hydraulic Moog pistons. The pistons, along with the simulation, helped provide realistic environmental noises and responses to g-forces, bumps, and CMV movements. Additionally, the side mirrors were linked to the simulation, which allowed participants to use their mirrors per usual. The simulated highway was projected on three different screens with three CHRISTIE Projectors.
environmental distraction, or a combination of the three. Overall, the participant completed 12 different combinations of distraction segments and one type of non-distraction segment during the 8 scenarios (see Table 1). Scenario 1 contained no distraction segments to serve as the control, while scenarios 2-8 contained cell phone, MP3 player, and external environmental distraction segments, or a combination of the three. Scenarios containing the phone distraction required the participant to make a call and hold a conversation with a research assistant in another room. The conversation topics were initiated by the research assistant and chosen from a bank of questions related to truck driving. Scenarios containing the MP3 player distraction required the participant to listen to embedded instructions (e.g. finding a song by an artist, forwarding to the next track, or identifying the song's designation), adjust the volume of the song that was playing, or identify the current song. During the external environmental distraction scenarios, participants drove through an area of construction (one or both sides of the road) or an area with a car crash on one side of the road. All physiological responses from participants were measured with the attached EEG and ECG sensors to determine cognitive resource allocation in each scenario. Driving performance during each scenario was recorded by the simulator.
RESULTS
One-way repeated measures ANOVAs were conducted to evaluate performance and physiological metrics during the experimental distraction segments with Box's correction applied to correct for violations of sphericity.
Performance Measures
During the experimental sessions, participants completed eight randomized scenarios in which they drove a simulated truck on a 4-mile stretch of highway while being exposed to various distractions. Each scenario was divided into five segments (two with distractions and three without, alternating). During the non-distraction segments, participants drove without encountering any distractions. During the distraction segments, participants were exposed to a cell phone distraction, touch MP3 distraction, external
Driving performance was assessed through the driver's total number of driving errors during each segment. Errors included lane deviations, off-road driving, speed violations, random braking occurrences, and collisions. Due to outliers and missing data, 20 out of the 22 participants were used in the following analysis. A significant effect was found for the experimental segments, F(6.275, 119.219) = 13.601, p = .000, with drivers committing significantly more errors in each of the distraction segments compared to the segment without distractions. The segments requiring listening to the embedded instructions on the touch MP3 resulted in more errors compared to the other distraction types, with the "MP3 + Construction Two Sides" segment displaying the greatest total number of errors. Table 1 outlines the errors committed in each segment.
at HFES-Human Factors and Ergonomics Society on October 23, 2014
Table 1: Mean number of total errors per segment. *=sig. diff. (p<.05) from "No Distraction" segment
| Segment | Mean | Std. Dev. |
|---|---|---|
| No Distraction | 2.50 | 1.49 |
| Phone | 3.92* | 2.04 |
| MP3 | 7.75* | 3.48 |
| Phone + MP3 Volume Control | 4.30* | 2.34 |
| Phone + MP3 Song Naming | 5.30* | 2.88 |
| Construction Two Sides | 3.65* | 2.03 |
| Car Accident | 4.30* | 2.84 |
| Phone + Construction One Side | 6.45* | 2.87 |
| Phone + Car Accident | 4.35* | 3.01 |
| MP3 + Construction One Side | 7.55* | 2.74 |
| MP3 + Construction Two Sides | 8.50* | 3.74 |
| Phone + MP3 Volume Control + | | |
| | 5.60* | 2.03 |
| Construction Two Sides | | |
| Phone + MP3 Song Naming + | | |
| | 7.85* | 3.78 |
| Construction One Side | | |
Physiological Measures
Researchers collected EEG measures including frontal lobe theta (4-8hz recorded at sensor sites F4, F4, and Fz) and parietal lobe alpha (8-12hz recorded at sensor sites P3, P4, and POz). Due to outliers and missing data, 16 out of the 22 participants were used in the following analysis. A significant effect was found for frontal lobe theta, F(2.817, 42.259) = 4.138, p = .013 with drivers in all but three distraction segments experiencing significantly higher levels of frontal lobe theta compared to "No Distraction" segments. Overall, the "Phone + MP3 Song Naming + Construction One Side" segment induced the largest and most significantly different frontal lobe theta levels compared to the other distraction segments (Table 2).
| No Distraction | 970.75 | 2648.02 |
|---|---|---|
| Phone | 4679.66* | 4967.13 |
| MP3 | 4607.18 | 8776.75 |
| Phone + MP3 Volume Control | 6414.61* | 6734.44 |
| Phone + MP3 Song Naming | 6208.00* | 6804.35 |
| Construction Two Sides | 2226.96 | 4971.93 |
| Car Accident | 430.98 | 1932.01 |
| Phone + Construction One Side | 4374.29* | 4752.53 |
| Phone + Car Accident | 4025.88* | 3901.17 |
| MP3 + Construction One Side | 3189.54* | 5268.44 |
| MP3 + Construction Two Sides | 3436.69* | 6250.98 |
| Phone + MP3 Volume Control + | | |
| | 5400.60* | 7474.61 |
| Construction Two Sides | | |
| Phone + MP3 Song Naming + | | |
| | 6509.14* | 9224.96 |
| Construction One Side | | |
Table 2: Change from baseline Frontal Lobe Theta values per segment. *=sig. diff. (p<.05) from "No Distraction" segment different parietal lobe alpha levels compared to the other distraction segments.
Table 3: Change from baseline Parietal Lobe Alpha values per segment. *=sig. diff. (p<.05) from "No Distraction" segment
| Segment | Mean | Std. Dev. |
|---|---|---|
| No Distraction | 391.56 | 1765.00 |
| Phone | 1444.16* | 1601.64 |
| MP3 | 1517.05 | 3084.32 |
| Phone + MP3 Volume Control | 2453.14* | 2692.56 |
| Phone + MP3 Song Naming | 2526.29* | 3484.01 |
| Construction Two Sides | 159.55 | 1192.14 |
| Car Accident | -658.75 | 1038.49 |
| Phone + Construction One Side | 937.08 | 1358.94 |
| Phone + Car Accident | 747.82 | 1126.31 |
| MP3 + Construction One Side | 811.37 | 2088.55 |
| MP3 + Construction Two Sides | 420.84 | 1694.11 |
| Phone + MP3 Volume Control + | | |
| | 1233.91 | 1617.66 |
| Construction Two Sides | | |
| Phone + MP3 Song Naming + | | |
| | 1149.47* | 1530.60 |
| Construction One Side | | |
ECG measures including heart rate (HR) and heart rate variability (HRV) were collected during each scenario. Due to outliers and missing data, 17 out of the 22 participants were used in the following ECG analysis. A significant effect for HRV was found, F(4.801, 76.823) = 2.436, p = .044, with the "MP3" and "Phone + MP3 Volume Control + Construction Two Sides" segments producing increased HRV in the participants compared to segments with no distractions (Table 5). The "Phone + MP3 Volume Control + Construction Two Sides" segments produced the greatest HRV.
| Segment | Mean | Std. Dev. |
|---|---|---|
| No Distraction | -12.17 | 69.12 |
| Phone | 23.21 | 91.89 |
| MP3 | 29.62* | 85.84 |
| Phone + MP3 Volume Control | 0.33 | 82.22 |
| Phone + MP3 Song Naming | 12.30 | 90.91 |
| Construction Two Sides | -2.68 | 76.47 |
| Car Accident | -19.51 | 71.31 |
| Phone + Construction One Side | 12.99 | 80.73 |
| Phone + Car Accident | 1.93 | 81.97 |
| MP3 + Construction One Side | 14.29 | 95.75 |
| MP3 + Construction Two Sides | 18.59 | 83.17 |
| Phone + MP3 Volume Control + | | |
| | 31.33* | 73.78 |
| Construction Two Sides | | |
| Phone + MP3 Song Naming + | | |
| | 16.06 | 80.98 |
Table 5: Change from baseline Heart Rate Variability values per segment.
*=sig. diff. (p<.05) from "No Distraction" segment
No significant effects were found for HR, F(3.724, 59.577) = 2.120, p = .094.
A significant effect was found for parietal lobe alpha, F(2.307, 34.607) = 6.601, p = .003, with four distraction segments producing higher mean levels of parietal lobe alpha than those from segments with no distractions (Table 3). Overall, the "Phone + MP3 Song Naming" segment induced the largest and most significantly
DISCUSSION
Unlike other studies related to distracted driving, the present study used licensed commercial truck drivers to examine the individual and combined effects of cell phone, touch MP3, and external environmental distractors in a controlled lab setting. Participants at HFES-Human Factors and Ergonomics Society on October 23, 2014
completed several realistic driving scenarios that contained visual, auditory, and tactile feedback in a high-fidelity simulator. Furthermore, participants were attached to EEG/ECG sensors that objectively measured their physiological responses. The results indicate that cell phone, touch MP3, and environmental distractions induce decreased driving performance and increased non-driving cognitive resource allocation in truck drivers. More specifically, cell phones and touch MP3 players, used individually as well as together, were shown to impact performance and cognitive resource allocation more than any other driving condition.
According to the driving performance measures, participants in any of the experimental scenarios committed more driving errors than were induced in the control scenario. Drivers reallocated their limited driving-related cognitive resources and attention during the distraction conditions to accommodate for the secondary distraction tasks, which affected primary driving task performance (Posner & Boies, 1971). These results corroborate previous findings that cell phone (Just, Keller, & Cynkar, 2008), MP3 player (Chisolm, Caird, & Lockhart, 2008), and environmental distractions (Zhao & Garber, 2001) can decrease driving performance by diverting attention away from drivingrelated behaviors.
Not only did the drivers make more driving errors, they were shown to use more cognitive resources when driving distracted, according to EEG and ECG results. Increased EEG frontal theta activity has been linked to increased activation of cognitive resources during effortful task performance (Smith, Gevins, Brown, Karnik, & Du, 2001). In the present study, frontal theta activity was increased during the "Phone", "MP3", and "Environmental" distraction segments, with the combined "Phone + MP3 Song Naming + Construction One Side" segment exhibiting the greatest frontal theta activity values. These findings demonstrate that the two devices (Just, Keller, & Cynkar, 2008), as well as external distractions (Zhao & Garber, 2001), drew cognitive resources away from driving-related behaviors.
When conversing with the experimenter, participants were required to focus on internal cognitive processes (i.e. answering questions) and therefore pay less attention to sensory information coming from the driving environment.
The results diverged somewhat from the literature in terms of HRV. Participants experienced increases in HRV (compared to the "No Distraction" segments) during two distraction segments, a finding not consistent with previous results on HRV and cognitive resource allocation (Hjortskov, Rissen, Blangsted, Fallentin, Lundberg, & Sogaard, 2004). The difference in findings could be explained by methodology: Previous reports used a power spectral density analysis (PSD) to decompose the HRV signal into various frequencies that correspond with parasympathetic or sympathetic activity, while the frequencies were grouped together for this study. Future research should investigate the effects of distractors on the differing HRV frequencies.
In the present study, several of the individual distractors varied across conditions. For example, touch MP3 use in the "Phone + MP3 Song Naming" condition required participants to identify the song that was currently playing, while touch MP3 use in the "Phone + MP3 Volume Control" condition required participants to adjust the volume on the touch MP3 player. As a result, each condition had to be evaluated separately and the impact of each individual distractor is unclear. Future research should control distractor types more consistently across conditions to analyze distractors' individual effects.
Overall, the present results demonstrate that distractions, particularly in-cab distractions, are detrimental to driving performance. Regulations are currently in place for cell phone use and commercial driving, but not for items such as the touch MP3. The performance and physiological results suggest that touch MP3 use diminishes driving-related cognitive resources similar to phone use, and that regulations should be considered for music player devices.
Additionally, decreased parietal alpha activity has been linked to increased used of cognitive resources during effortful task performance (Smith et al. 2001). The present study challenges this finding by demonstrating increased EEG parietal alpha activity (compared to the "No Distraction" segments) for drivers in four of the distraction segments. According to existing research, this change in brain activity reflects decreased sensory perception and a need for increased attention to internal processing (Klimesch, Sauseng, & Hanslmayr, 2007). The phone, which is the common thread in each of the four conditions, decreases sensory perception and increases attention allocation to internal processing.
ACKNOWLEDGEMENT
This report was prepared as an account of work sponsored in part by Florida Department of Transportation. Neither the U.S. Government nor any agency thereof, nor any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product, or process disclosed in this report, or represents that its use by such third party would not infringe privately owned rights. The views expressed in this at HFES-Human Factors and Ergonomics Society on October 23, 2014
paper are not necessarily those of the Florida Department of Transportation.
REFERENCES
AT&T. (2013). The Facts about Texting while Driving. Retrieved from http://www.att.com/gen/pressroom?pid =23181
Center for Disease Control. (2011). Distracted Driving in the United States and Europe. Retrieved from http://www.cdc.gov/features/dsdistracteddriving/
Cisco. (2013). Cisco Visual Networking Index: Global Mobile Data Traffic Forecast Update, 2012-2017. Retrieved from http://www.cisco.com/en/US/solutions/collateral/ns341/ns525/ns537/ns705 /ns827/ white_paper_c11-520862.html
Chisholm, S. L., Caird, J. K., & Lockhart, J. (2008). The effects of practice with MP3 players on driving performance. Accident Analysis & Prevention, 40(2), 704-713
Federal Highway Administration. (2011). Historical Monthly VMT Report. Retrieved from http://www. fhwa.dot.gov/policyinformation/travel/tvt/history/
Harbluk, J. L., Eisenman, M., & Noy, Y. I. (2002). The impact of cognitive distraction on driver visual behaviour and vehicle control (No. TP# 13889 E). Transport Canada.
Hjortskov, N., Rissen, D., Blangsted, A. K., Fallentin, N., Lundberg, U., & Søgaard, K. (2004). The effect of mental stress on heart rate variability and blood pressure during computer work. European Journal of Applied Physiology, 92(1-2), 84-89.
Just, M. A., Keller, T. A., & Cynkar, J. (2008).A decrease in brain activation associated with driving when listening to someone speak. Brain Research, 1205, 70-80.
Klimesch, W., Sauseng, P., & Hanslmayr, S. (2007). EEG alpha oscillations: the inhibition–timing hypothesis. Brain Research Reviews, 53(1), 63-88.
Lei, S., & Roetting, M. (2011). Influence of task combination on EEG spectrum modulation for driver workload estimation. Human Factors: The Journal of the Human Factors and Ergonomics Society, 53(2), 168-179.
National Highway Traffic Safety Administration. (2012). Distracted Driving 2010. Retrieved from http://www.distraction.gov/download/researchpdf/2010FactSheet.pdf
Posner, M. I., & Boies, S. J. (1971). Components of attention. Psychological Review, 78(5), 391.
Reimer, B., & Mehler, B. (2011). The impact of cognitive workload on physiological arousal in young adult drivers: a field study and simulation validation. Ergonomics, 54(10), 932-942.
Salvucci, D. D., Markley, D., Zuber, M., & Brumby, D. P. (2007, April). iPod distraction: Effects of portable music-player use on driver performance. In Proceedings of the SIGCHI conference on Human factors in computing systems (pp. 243-250). ACM.
Smith, M. E., Gevins, A., Brown, H., Karnik, A., & Du, R. (2001). Monitoring task loading with multivariate EEG measures during complex forms of human-computer interaction. Human Factors: The Journal of the Human Factors and Ergonomics Society, 43(3), 366-380.
Stutts, J.C., Reinfurt, D.W., Staplin, L., & Rodgman, E.A. (2001). The role of driver distraction in traffic crashes. Report prepared for AAA Foundation for Traffic Safety, Washington, DC.
Stutts, J., Feaganes, J., Reinfurt, D., Rodgman, E., Hamlett, C., Gish, K., & Staplin, L. (2005). Driver's exposure to distractions in their natural driving environment. Accident Analysis & Prevention, 37(6), 1093-1101.
Zhao, M., & Garber, N. J. (2001). Crash characteristics at work zones (No. UVA/29472/CE01/100,). Pennsylvania Transportation Institute, Pennsylvania State University.
at HFES-Human Factors and Ergonomics Society on October 23, 2014
|
Crown Holdings - Water Security 2023
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, and specialty packaging products to consumer marketing companies around the world. Additionally, through the acquisition of Signode Industrial Group Holdings, Crown has expanded its business to include Signode transit packaging systems and solutions, consisting of strap, stretch, and protective packaging. In 2020, Crown established our Twentyby30 initiative, a Company-wide program to bring our sustainability performance to the next level. As we look toward 2030, we are advancing our commitment in this area and have developed a comprehensive water stewardship strategy. Recently, Crown signed onto the United Nation’s CEO Water Mandate, which offers a powerful avenue for companies to collaborate to address urgent water challenges related to scarcity, quality, governance and access to water and sanitation. Crown is committed to supporting collective action to replenish 100 watersheds.
W0.2
(W0.2) State the start and end date of the year for which you are reporting data.
Start date
End date
Reporting year
January 1 2022
December 31 2022
W0.3
CDP
Page of 35 1
(W0.3) Select the countries/areas in which you operate.
Australia
Barbados
Belgium
Brazil
Bulgaria
Cambodia
Canada
China
Colombia
Denmark
Finland
France
Germany
Greece
India
Indonesia
Ireland
Italy
Jamaica
Jordan
Kenya
Malaysia
Mexico
Myanmar
Netherlands
Poland
Republic of Korea
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 operational 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
(W0.6a) Please report the exclusions.
Exclusion
Please explain
For 2022 Crown is reporting 218 production sites. Excluded to that, 35 sites are part of the Transit Packaging division that have small offices and warehouses where water is not used or consumed for production purposes so these 35 sites are not
contemplated in this report.
The Transit Packaging division have small sales offices that do not have significant amounts of water usage to report, the amount is estimated to be less than 0.01% of our
total water withdrawal.
CDP
Page of 35 2
| Indicate whether you are able to provide a unique identifier for your organization. | Provide your unique identifier |
|---|---|
| Yes, an ISIN code | 2283681060 |
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 | Vital |
| 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 | Frequency of measurement | Method of measurement |
|---|---|---|---|
| Water withdrawals – total volumes | 100% | Continuously | Municipality meter (invoiced) and factory meter. |
| Water withdrawals – volumes by source | 100% | Continuously | Meter readings. In some locations the meter is connected with the local agency, so they keep track of Groundwater withdrawn for compliance purposes. Other locations use the reding provided by the water company in the invoices. |
| Entrained water associated with your metals & mining and/or coal sector activities - total volumes [only metals and mining and coal sectors] | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Produced water associated with your oil & gas sector activities - total volumes [only oil and gas sector] | <Not Applicable> | <Not Applicable> | <Not Applicable> |
CDP
Page of 35 3
| | % of sites/facilities/operations | Frequency of measurement | Method of measurement | Please explain |
|---|---|---|---|---|
| Water discharges – total volumes | 100% | Continuously | Meter readings and in a few cases estimate. For offices where there is only sewage discharge we adopt estimations based on employee number/hours worked. | All Crown's plants that require a wastewater treatment system have records of wastewater quantity and quality discharged. The effluent parameters and volume meet local compliance requirements and the limits given in the permit. The plants that discharge directly to municipal waste water treatment system comply with the municipal discharge requirements as well. |
| Water discharges – volumes by destination | 100% | Continuously | Meter reading. | The facilities that discharge into rivers have their volumes in 100% compliance with their permits. Crown has 18 sites that discharge water into rivers, 7 sites report no discharge and 1 site discharges in the ocean. 9% of plants discharge to rivers (and ocean) and 88% discharge to municipal waste water treatment plants and 3% of sites have no discharge. Data regarding wastewater volumes and discharge destination is tracked and recorded at the plant level and controlled at regional and corporate level. Crown teams work every day to improve the accuracy and measurements of the volumes read. |
| Water discharges – volumes by treatment method | 100% | Continuously | Meter reading | Crown's wastewater is treated according to their type of manufacturing processes. 30% of plants treat wastewater using an on-site wastewater treatment system before they send it to the city system, 52% send wastewater to municipal wastewater treatment plants (city system), 18% do not use water in production processes so their effluent is sewage discharged directly to the sewage system. |
| Water discharge quality – by standard effluent parameters | 100% | Other, please specify (Depends on the plant, for manufacturing sites with a Discharge permit and a wastewater Treatment system on site the tests are more often than the plants that do not use water in their productive process. It can vary from monthly to annually.) | Meter reading | All plants manage discharge parameters that 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 , COD, Oil & Grease parameters, in addition to parameters required by local agency. |
| Water discharge quality – emissions to water (nitrates, phosphates, pesticides, and/or other priority substances) | 100% | Other, please specify (The plants discharging water to the body of water, rivers and ocean follow the frequency required of the laboratory analysis frequency. It can be monthly, twice a year or annually.) | Laboratory testing done by a third party following the methodology and frequency of sampling imposed on the discharge permit. | All plants manage discharge parameters required by the local regulations, according to the type of wastewater treatment used and discharge location. Pollutants are measured and discharged in accordance with the allowed in the permits. |
| Water discharge quality – temperature | 100% | Other, please specify (Crown does not discharge wate r in temperature higher than 150) | Laboratory testing done by a third party following the methodology and frequency of sampling imposed on the discharge permit. | By nature of our manufacturing processes, our facilities do not yield high temperature water upon discharge, that is, no water is discharged higher than 150 Farenheit. Wastewater discharge temperatures comply with local regulation. All of our manufacturing sites that treat water on site discharge accordingly to their permits if applicable. That is not projected to change in the future. |
| Water consumption – total volume | 100% | Continuously | Meter reading - the effluent water reading can be extract with the water withdrawal. | All of Crown sites keep track of their total water inputs. Municipal, groundwater, rain and surface water volumes are monitored. We also monitor the discharge, with that we can get the consumption figures aper the following methodology: Consumption = Withdrawal - Discharge. |
| Water recycled/reused | 26-50 | Continuously | Meter readings. | Crown recycles/reuses water in all the beverage production plants and in some of its transit packaging sites. The amount of recycled water in our operations has increased ever since the launch of our Twentyby30 program. One example is our site in Karawang, where the site is utilizing the rejected water from RO water processing. The water withdrawn by Crown sites that recycle/reuse water corresponds to approximately 89% of our 2021 total water withdrawals. |
| The provision of fully- functioning, safely managed WASH services to all workers | 100% | Continuously | Verified in person, audits. in 2023 third quarter there is a plan to implement the | Crown offers clean water access, sanitation and hygiene to its employees globally. Crown has set a goal to verify access to WASH annually and the information is verified annually by internal audits. |
W1.2b
(W1.2b) What are the total volumes of water withdrawn, discharged, and consumed across all your operations, how do they compare to the previous reporting year, and how are they forecasted to change?
| | Volume (megaliters/year) | Comparison with previous reporting year | Primary reason for comparison with previous reporting year | Five- year forecast | Primary reason for forecast |
|---|---|---|---|---|---|
| Total withdrawals | 9102.78 | Lower | Increase/decrease in efficiency | Unknown | Facility expansion |
| Total discharges | 6562.56 | Higher | Divestment from water intensive technology/process | About the same | Divestment from water intensive technology/process |
| Total consumption | 2540.22 | Lower | Divestment from water intensive technology/process | Lower | Divestment from water intensive technology/process |
W1.2d
CDP
Page of 35 4
(W1.2d) Indicate whether water is withdrawn from areas with water stress, provide the proportion, how it compares with the previous reporting year, and how it is forecasted to change.
W1.2h
(W1.2h) Provide total water withdrawal data by source.
| | Relevance | Volume (megaliters/year) | Comparison with previous reporting year | Primary reason for comparison with previous reporting year |
|---|---|---|---|---|
| Fresh surface water, including rainwater, water from wetlands, rivers, and lakes | Relevant | 664.01 | Lower | Increase/decrease in efficiency |
| Brackish surface water/Seawater | Not relevant | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Groundwater – renewable | Relevant | 1920.85 | Lower | Please select |
| Groundwater – non-renewable | Not relevant | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Produced/Entrained water | Not relevant | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Third party sources | Relevant | 6517.93 | Higher | Facility expansion |
W1.2i
(W1.2i) Provide total water discharge data by destination.
| | Relevance | Volume (megaliters/year) | Comparison with previous reporting year | Primary reason for comparison with previous reporting year |
|---|---|---|---|---|
| Fresh surface water | Relevant | 1216.55 | Higher | Increase/decrease in efficiency |
| Brackish surface water/seawater | Relevant | 107.31 | About the same | Change in accounting methodology |
| Groundwater | Not relevant | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Third-party destinations | Relevant | 5238.71 | Lower | Increase/decrease in efficiency |
W1.2j
CDP
Page of 35 5
| | Relevance of treatment level to discharge | Volume (megaliters/year) | Comparison of treated volume with previous reporting year | Primary reason for comparison with previous reporting year | % of your sites/facilities/operations this volume applies to |
|---|---|---|---|---|---|
| Tertiary treatment | Relevant | 5986.7 | Higher | Change in accounting methodology | 21-30 |
| Secondary treatment | Not relevant | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Primary treatment only | Relevant | 5.69 | About the same | Please select | Less than 1% |
| Discharge to the natural environment without treatment | Not relevant | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Discharge to a third party without treatment | Relevant | 570.17 | About the same | Increase/decrease in business activity | 61-70 |
| Other | Relevant | 0 | Please select | Please select | 1-10 |
W1.2k
(W1.2k) Provide details of your organization's emissions of nitrates, phosphates, pesticides, and other priority substances to water in the reporting year.
W1.3
(W1.3) Provide a figure for your organization's total water withdrawal efficiency.
W1.4
(W1.4) Do any of your products contain substances classified as hazardous by a regulatory authority?
W1.4a
(W1.4a) What percentage of your company's revenue is associated with products containing substances classified as hazardous by a regulatory authority?
W1.5
CDP
Page of 35 6
| | Engagement | Primary reason for no engagement |
|---|---|---|
| Suppliers | Yes | <Not Applicable> |
W1.5a
(W1.5a) Do you assess your suppliers according to their impact on water security?
Row 1
Assessment of supplier impact
Yes, we assess the impact of our suppliers
Considered in assessment
Basin status (e.g., water stress or access to WASH services)
Number of suppliers identified as having a substantive impact
0
% of total suppliers identified as having a substantive impact
None
Please explain
Where possible, we assess the impacts of our key suppliers in terms of water stress. We do so through the World Resource Institute's (WRI's) Water Stress Aqueduct tool and assess our suppliers' water stress rating, noting especially which suppliers operate in areas of high water stress and extremely high water stress. No key suppliers assessed operate in regions of high or extremely high water stress.
W1.5b
(W1.5b) Do your suppliers have to meet water-related requirements as part of your organization's purchasing process?
W1.5c
(W1.5c) Provide details of the water-related requirements that suppliers have to meet as part of your organization's purchasing process, and the compliance measures in place.
Water-related requirement
Conducting water-related risk assessments on a regular basis (at least once annually)
% of suppliers with a substantive impact required to comply with this water-related requirement 100%
% of suppliers with a substantive impact in compliance with this water-related requirement
51-75
Mechanisms for monitoring compliance with this water-related requirement
Supplier self-assessment
Response to supplier non-compliance with this water-related requirement
Retain and engage
Comment
On an annual basis, Crown conducts a supplier survey of its major suppliers. In this survey, we ask whether our suppliers have water savings or water quality goals in place, ask them to describe what their process for identifying water-related risks is, and also to share whether they are open to the mutual sharing of water-related best management practices. The percentages provided for those suppliers with a substantive impact reflect our aluminum suppliers.
W1.5d
CDP
Page of 35 7
(W1.5d) Provide details of any other water-related supplier engagement activity.
Type of engagement
Innovation & collaboration
Details of engagement
Encourage/incentivize innovation to reduce water impacts in products and services
% of suppliers by number
1-25
% of suppliers with a substantive impact
100%
Rationale for your engagement
Our aluminum suppliers reflect the vast majority or approximately 90% of our purchased materials by volume and by Scope 3 impacts and so this is why we engage with these suppliers.
Impact of the engagement and measures of success
Impact of the engagement is better understanding of our suppliers processes including their emphasis and priority on water use reduction. The measure of success is response and engagement.
Comment
Impact of the engagement is better understanding of our suppliers processes including their emphasis and priority on water use reduction. The measure of success is response and engagement.
W1.5e
(W1.5e) Provide details of any water-related engagement activity with customers or other value chain partners.
Type of stakeholder
Investors & shareholders
Type of engagement
Education / information sharing
Details of engagement
Run an engagement campaign to educate stakeholders about your water-related performance and strategy
Rationale for your engagement
Crown has partnered through one of its investors' third-party engagement platforms to engage in direct conversations and communications with key investors on our water strategy. These conversations took place as part of a pformal investment educational program and ran the course of two years over 2022 and 2023.
Impact of the engagement and measures of success
The impact of the engagement has been that Crown has modified its approach to some of its water strategy and the measure of success of the program has been in the positive responses received from those participating in the collaboration. Our knwoeldge base has increased and that has been a good measure of success.
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?
W2.2a
CDP
Page of 35 8
(W2.2a) Provide the total number and financial value of all water-related fines.
Row 1
Total number of fines
2
Total value of fines
13405.18
% of total facilities/operations associated
1
Number of fines compared to previous reporting year
Higher
Comment
Crown experienced instances of permit non-conformances related to its wastewater operations in the reporting year. These are all in compliance currently and have had no impact to the operations. Crown paid two (2) fines in the reporting year.
W2.2b
(W2.2b) Provide details for all significant fines, enforcement orders and/or other penalties for water-related regulatory violations in the reporting year, and your plans for resolving them.
Type of penalty
Fine
Financial impact
3303.5
Country/Area & River basin
Turkey
Other, please specify (Black Sea, South Coast)
Type of incident
Spillage, leakage or discharge of potential water pollutant
Description of penalty, incident, regulatory violation, significance, and resolution
The incident was about lacquer that made its way into the local watercourse. The penalty received was two fines. The resolution of the incident is that the site is in compliance and the first fine was paid by the company and the second fine was challenged by the company.
Type of penalty
Fine
Financial impact
10101.68
Country/Area & River basin
Mexico
Type of incident
Failure to monitor effluent
Description of penalty, incident, regulatory violation, significance, and resolution
The incident was about wastewater permit limitations that were exceeded for solids, fats, and oils. The penalty received was a fine. The resolution of the incident is that the site is in compliance and the fine was paid by the company.
W3. Procedures
W3.1
(W3.1) Does your organization identify and classify potential water pollutants associated with its activities that could have a detrimental impact on water ecosystems or human health?
| | Identification and classification of potential water pollutants | How potential water pollutants are identified and classified |
|---|---|---|
| Row 1 | Yes, we identify and classify our potential water pollutants | Yes, we identify the pollutants. Crown productive sites that use water in their processes do have a wastewater discharge permit and each specific local agency describe the pollutants that are not allowed or what are the limits of discharge. No permit is the same. For each region and states it changes, for example in the United States, Crown follows the National Pollutant Discharge Elimination System (NPDES) permitting program. Internally Crown also have in each unit the hazardous waste identified on site and make sure they all have the correct destination. |
CDP
Page of 35 9
Other, please specify (Rio Lerma)
CDP
(W3.1a) Describe how your organization minimizes the adverse impacts of potential water pollutants on water ecosystems or human health associated with your activities.
Water pollutant category
Oil
Description of water pollutant and potential impacts
Coolant, lubricant and hydraulic oil are used in the front end. Potential impacts include leaks, spills and incorrect drainage contaminating the water that is discharged.
Value chain stage
Direct operations
Actions and procedures to minimize adverse impacts
Implementation of integrated solid waste management systems
Industrial and chemical accidents prevention, preparedness, and response
Provision of best practice instructions on product use
Please explain
The identification of environmental aspects and impacts englobe the identification of the hazardous waste and chemicals/pollutants. This identification is done from the reception of aluminium coils to the water treatment to spot per section of the productive process the steps that offer potential water contamination.
Crown's Water Program which is based on The Clean Water Act, contains in the ECFR part 465 that speaks to Coil Coating point source category, stablishes the Toxic Organics Compounds and the list of pollutants and their limitation in the effluent the site will produce. The EPA's pre-treatment program imposes three types of restrictions upon industrial facilities that discharge wastewater to POTWs: 1) National Categorical Standards; 2) Prohibited Discharge Standards; and 3) Local Limits Wastewater discharge permits reflect the intent of that imposition. For that reason, no two permits are the same. However, all permits will contain at least the national categorical standards listed in a table. The organization minimizes the adverse impacts of potential water pollutants by safely handling, storing, disposing all chemicals and products in all processes of the manufacturing process by creating procedures, instructive and training employees on their roles. Crown has a Global safety Program called Crown SAFE, where the objective is to reinforce safety practices and make safety at workplace a culture.
W3.3
(W3.3) Does your organization undertake a water-related risk assessment?
Yes, water-related risks are assessed
W3.3a
(W3.3a) Select the options that best describe your procedures for identifying and assessing water-related risks.
Value chain stage
Direct operations
Supply chain
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?
More than 6 years
Type of tools and methods used
Tools on the market
International methodologies and standards
Databases
Tools and methods used
EcoVadis
SEDEX
WRI Aqueduct
ISO 14001 Environmental Management Standard
Contextual issues considered
Water availability at a basin/catchment level
Water quality at a basin/catchment level
Implications of water on your key commodities/raw materials
Water regulatory frameworks
Access to fully-functioning, safely managed WASH services for all employees
Stakeholders considered
Employees
Investors
Local communities
Regulators
Other water users at the basin/catchment level
Comment
Crown takes into consideration the water availability for the community and the business as well as its efficient water usage ratio. This issue is not relevant to specific organizational levels, but rather applies to our entire organization. With that, Crown is targeting to reduce water usage and replenish the consumption levels to the watersheds located in areas with water stress. The identification of sites is done using the WRI Aqueduct tool.
This first identification helps to conduce the following steps that are identifying the sites and its basins and finding a partner for water replenishment projects in that area. Secondly, we use external tools. Crown consults an external third party consultant, to make a global screening to validate what was found in the first identification with the WRI Aqueduct. Next step is to prioritize the basins that will be subject to replenishment. We consult the Action HUB list of priority basins. One example is our first project held in Brazil, replenishing water to the Tiete Basin through a nature-based solution. The identification of sites in areas with water scarcity direct us so we can target our next areas to work in, through replenishment partnerships and water savings projects. In addition, for each new site, flood risks are assessed with help of a third party. Our risk assessment includes regulators, local communities and other water users at the basin/catchment level because our beverage sites engage with the local agencies and prior to opening the site has all the permit regarding water withdrawal and discharge, which involves not compromising local communities and other water users. Our risk assessment includes monitoring current and emerging regulation. Our risk assessment includes employees for the very reason of their employment and also in keeping with our WASH goals. Our risk assessment considers investors as a stakeholder group because we have open dialogue with some of our investors around our water goals and performance, including discussions related to water-stress.
Value chain stage
Supply chain
Coverage
Partial
Risk assessment procedure
Other, please specify (The water risk the plant is located is assessed through WRI, Aqueduct.)
Frequency of assessment
Annually
How far into the future are risks considered?
1 to 3 years
Type of tools and methods used
Tools on the market
Tools and methods used
WRI Aqueduct
Contextual issues considered
Water availability at a basin/catchment level
Water quality at a basin/catchment level
Impact on human health
Implications of water on your key commodities/raw materials
Water regulatory frameworks
Access to fully-functioning, safely managed WASH services for all employees
Stakeholders considered
Employees
Local communities
Other water users at the basin/catchment level
Comment
Crown assesses water related risks within our supply chain to ensure there is no risk of business interruption due to supply chain availability. This issue is not relevant to specific organizational levels, but rather applies to our supply chain as a whole. Crown access our supply chain sites through WRI Aqueduct tool and identify the physical water stress of the basins these sites are located.
W3.3b
(W3.3b) 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.
| | Rationale for approach to risk assessment | Explanation of contextual issues considered | Explanation of stakeholders considered | Decision-making process for risk response |
|---|---|---|---|---|
| Row 1 | First, we conduct an annual risk assessment using the WRI Aqueduct tool to identify the sites located in regions with high and extremely high- water stress. We also conduct a Global Water Risk Screening with an external third party - Impact 52 - consultant approximately every 3 years to confirm the results of the screening. | We consider the water availability at the basin and the technologies we can invest to reduce water withdrawal. When a site is identified to be in a water scarce region, we look for local partners to help with land conservation for example - and invest in the community to preserve the land around and engage in water replenishment projects. | We consider our employees and the availability of freshwater for their proper conditions of work and day- today cleanliness and comfort, the community around, the local government sometimes can be engaged in water replenishment initiatives. | The research and identification of the region comes from our local and corporate engineering teams, goes through the Director of Global Sustainability and VP of Global Sustainability & Regulatory Affairs and the decisions are made to invest/partner in water replenishment, reforestation, land conservation and water reuse/savings projects. The identification also directs decisions on where the Sustainability Capex flow towards to. |
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? Yes, only within our direct operations
CDP
(W4.1a) How does your organization define substantive financial or strategic impact on your business?
Crown's Risk Management team assesses financial and strategic impacts on the business on at least an annual basis and water is one of the assessed risks. A quantifiable financial indicator used at Crown to define substantive impact is any identified risk with a potential impact that could result in over $1 million in operational costs. Crown defines substantive financial or strategic impact on our business as anything that substantively affects customer or consumer demand of our products. Additionally, we evaluate financial or strategic impacts as being substantive, based on our assessment of the likelihood that a risk event could impact the organization, the velocity or how quickly it will affect the organization, and the potential severity of the impact.
W4.1b
(W4.1b) What is the total number of facilities exposed to water risks with the potential to have a substantive financial or strategic impact on your business, and what proportion of your company-wide facilities does this represent?
| | Total number of facilities exposed to water risk | % company- wide facilities this represents |
|---|---|---|
| Row 1 | 1 | 1-25 |
W4.1c
(W4.1c) By river basin, what is the number and proportion of facilities exposed to water risks that could have a substantive financial or strategic impact on your business, and what is the potential business impact associated with those facilities?
Country/Area & River basin
Mexico
Other, please specify (Rio Lerma)
Number of facilities exposed to water risk
1
% company-wide facilities this represents
Less than 1%
Production value for the metals & mining activities associated with these facilities
<Not Applicable>
% company's annual electricity generation that could be affected by these facilities
<Not Applicable>
% company's global oil & gas production volume that could be affected by these facilities
<Not Applicable>
% company's total global revenue that could be affected
1-10
Comment
The number of facilities is one (1) and it corresponds to 0.46% of the total number of facilities in Crown. The percentage of the Company's total revenue that could be affected is between 1-10%.
W4.2
CDP
CDP
(W4.2) Provide details of identified risks in your direct operations with the potential to have a substantive financial or strategic impact on your business, and your response to those risks.
Country/Area & River basin
Mexico
Other, please specify (Lerma)
Type of risk & Primary risk driver
Chronic physical
Water stress
Primary potential impact
Constraint to growth
Company-specific description
Our facility in Mexico, in the River Lerma - minor basin Lerma Toluca - is located in an area of extremely- high water stress however according to WRI Aqueduct the drought risk is medium and riverine risk flood is low. This plant has recently replaced its water-cooled system for more efficient adiabatic systems. The team in Mexico is continuously working in water efficiency improvements and the location has been developing plans for a water champion for the region so that new water projects can be implemented in this plant. This facility is also in our target list for a water replenishment project over the next couple of years. The plant is projected to increase its efficiency but also the water recirculation capacity, so that it will be able to adapt in the basin without compromising the water availability for the site and to the community around.
Timeframe
More than 6 years
Magnitude of potential impact
Medium-low
Likelihood
Unlikely
Are you able to provide a potential financial impact figure?
Yes, an estimated range
Potential financial impact figure (currency)
<Not Applicable>
Potential financial impact figure - minimum (currency)
20000000
Potential financial impact figure - maximum (currency)
60000000
Explanation of financial impact
The estimated figures are considering a scenario where the facility had to shut its operations from 1 to 3 months due to extreme water shortage. The impact on the quality and quantity of the water available will be a push to the site to depend less on groundwater and increase the reuse of water in the plant what could cause increase in the cost of operation or in a worst-case scenario constraint to grow.
Primary response to risk
Increase investment in new technology
Description of response
Continuous management of water efficiency, continuous improvement of efficiency and CAPEX release for water projects.
The ability of the plant to operate with higher amounts of recirculated water, reduce losses and run the process more efficiently relieves pressure on the water available in the basin for the community.
Cost of response
3000000
Explanation of cost of response
Commission a new treatment system to reuse water in the process and implement continuously efficiency projects to reduce water withdrawals. The cost of a water system to decrease water usage would cost upwards of $3 million USD as a maximum.
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?
| | Primary reason |
|---|---|
| Row 1 | Evaluation in progress |
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
CDP
CDP
(W4.3a) Provide details of opportunities currently being realized that could have a substantive financial or strategic impact on your business.
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's main strategy to achieve this goal include the below actions, which are already underway 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
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 leaks in the washer tanks.
One example is our Jordan plant that 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 withdrawal by more than 2.5 million gallons in 2020, which is crucial, especially in this water-scarce region. We aim to replicate this in the full operational region.
Estimated timeframe for realization
More than 6 years
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)
75000
Potential financial impact figure – minimum (currency)
<Not Applicable>
Potential financial impact figure – maximum (currency)
<Not Applicable>
Explanation of financial impact
The financial impact figure provided is for our Lacrosse plant. The water conservation project developed by the plant reduced the amount of water usage in the washers. The figure provided is based on water savings, landfill savings, water treatment savings and wastewater treatment savings. Volumes of water withdrawal reduction times the price in USD per gallons.
Projections calculated using 2021 Baseline Totals at a 22% savings Rate
Type of opportunity
Resilience
Primary water-related opportunity
Increased resilience to impacts of climate change
Company-specific description & strategy to realize opportunity
Our goal to replenish 100% of the levels consumed by our plants located in areas with water stress back to those watersheds by 2030.
Estimated timeframe for realization
More than 6 years
Magnitude of potential financial impact
High
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
At this moment, Crown is aiming to reestablish the water balance in areas of high and extremely high-water stress that we operate. We are currently partnering and looking for more partnerships so through forest conservation, reforestation, nature-based solutions and others we can promote the soil integrity which leads to the protection of water bodies. The forest and vegetation around are what keeps the balance, where the biodiversity and the water flow can be reestablished.
W5. Facility-level water accounting
W5.1
CDP
Facility reference number
Facility 1
Facility name (optional)
Toluca
Country/Area & River basin
Mexico
Latitude
19.292341
Longitude -99.599106
Located in area with water stress
Yes
Primary power generation source for your electricity generation at this facility
<Not Applicable>
Oil & gas sector business division
<Not Applicable>
Total water withdrawals at this facility (megaliters/year)
169.51
Comparison of total withdrawals with previous reporting year
Higher
Withdrawals from fresh surface water, including rainwater, water from wetlands, rivers and lakes
0
Withdrawals from brackish surface water/seawater
0
Withdrawals from groundwater - renewable
169.51
Withdrawals from groundwater - non-renewable
0
Withdrawals from produced/entrained water
0
Withdrawals from third party sources
0
Total water discharges at this facility (megaliters/year)
83.06
Comparison of total discharges with previous reporting year
Lower
Discharges to fresh surface water
83.06
Discharges to brackish surface water/seawater
0
Discharges to groundwater
0
Discharges to third party destinations
0
Total water consumption at this facility (megaliters/year)
86.45
Comparison of total consumption with previous reporting year
Higher
Please explain
The water consumption increased in the critical months prior to replacing the plant's older, more inefficient cooling tower, the commissioning adjustments from which also added to the water consumption. The system was replaced mid 2022 so we expect to see future water savings when comparing 2022 with 2023. The consumption in 2021 was of 41.3 megalitres. The consumption in 2022 over 2021 is higher but this does not reflect actual residual from the plant. This variation is explained by a large rainstorm that occurred in March, 2021, which caused the effluent reading to spike due to overflows of the system during the storm. In 2022, the data does not reflect any of these anomalies and reflects more accurately the water data.
W5.1a
(W5.1a) For the facilities referenced in W5.1, what proportion of water accounting data has been third party verified?
CDP
Other, please specify (Rio Lerma)
CDP
% verified
76-100
Verification standard used
The facility has water controls through internal procedures that are audited according to ISO 14001 management requirements, additionally, the plan has a certification called Industria Limpia (Mexican env government certification) audit through the third part auditor (Certifying House).
Please explain
<Not Applicable>
Water withdrawals – volume by source
% verified
76-100
Verification standard used
The facility has water controls through internal procedures that are audited according to ISO 14001 management requirements, additionally, the plan has a certification called Industria Limpia (Mexican env government certification) audit through the third part auditor (Certifying House).
Please explain
<Not Applicable>
Water withdrawals – quality by standard water quality parameters
% verified
76-100
Verification standard used
The facility has water controls through internal procedures that are audited according to ISO 14001 management requirements, additionally, the plan has a certification called Industria Limpia (Mexican env government certification) audit through the third part auditor (Certifying House).
Please explain
<Not Applicable>
Water discharges – total volumes
% verified
76-100
Verification standard used
The facility has water controls through internal procedures that are audited according to ISO 14001 management requirements, additionally, the plan has a certification called Industria Limpia (Mexican env government certification) audit through the third part auditor (Certifying House).
The wastewater is tested quarterly and compliant with Local agency permit.
Please explain
<Not Applicable>
Water discharges – volume by destination
% verified
76-100
Verification standard used
The facility has water controls through internal procedures that are audited according to ISO 14001 management requirements, additionally, the plan has a certification called Industria Limpia (Mexican env government certification) audit through the third part auditor (Certifying House). The facility continuously measures the volumes of discharge through water meters.
The wastewater volume is verified as part of the wastewater inform and compliant with Local agency permit.
Please explain
<Not Applicable>
Water discharges – volume by final treatment level
% verified
76-100
Verification standard used
The facility has water controls through internal procedures that are audited according to ISO 14001 management requirements, additionally, the plan has a certification called Industria Limpia (Mexican env government certification) audit through the third part auditor (Certifying House). The facility continuously measures the volumes of discharge through water meters.
The wastewater is tested quarterly and compliant with Local agency permit.
Please explain
<Not Applicable>
Water discharges – quality by standard water quality parameters
% verified
76-100
Verification standard used
Wastewater compliance is done through third party laboratories verification. Additionally, the facility is subject to ISO 14001 Audits and is Compliant with the permit issued by local agency. Frequency of lab tests - Quarterly
Data is verified by a third-party auditor.
Please explain
<Not Applicable>
Water consumption – total volume
% verified
76-100
Verification standard used
The water consumption calculation is done through the balance between Withdrawals and discharge - two validated data. It is controlled on site level and at corporate level.
Please explain
<Not Applicable>
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
(W6.1a) Select the options that best describe the scope and content of your water policy.
| | Scope | Content | Please explain |
|---|---|---|---|
| Row 1 | Company- wide | Description of business dependency on water Commitment to reduce water withdrawal and/or consumption volumes in direct operations Commitment to safely managed Water, Sanitation and Hygiene (WASH) in the workplace Commitment to stakeholder education and capacity building on water security Commitment to water stewardship and/or collective action Commitments beyond regulatory compliance Reference to company water-related targets Acknowledgement of the human right to water and sanitation Recognition of environmental linkages, for example, due to climate change | As a can manufacturer, Crown acknowledge the vital role that water plays in the success of the business. The plants located in areas with water stress are in the spotlight, subject to minimum water inputs, water usage improvements and in line for water replenishment projects to lower or avoid negative impact in those regions. In our direct operations, our most intense water user plants are under a scorecard where the water efficiency of the plants is managed and the water efficiency is watched closely. In our water policy we acknowledge the importance of water for the company to continue to thrive, as well as the impacts of climate change in the current and future world scenario. Through our public goals contained in our Twentyby30 sustainability program, Crown has commitments in driven by the commitment to responsible sourcing, water savings, water efficiency, water stewardship, wastewater compliance and ethical water usage. These goals are based on the SDG’s 3, 6,12, 14 and 17. The program also contemplates new technologies like ZLD, WASH in the workplace, stakeholder awareness and education, commitments beyond regulatory compliance such as water replenishment projects in watershed located in high water stress. Crown has signed to the CEO Water Mandate and through the Water Resilience Coalition that is committed to collectively replenish 100 basins. We have explored the Action Hub list of basins that are priorities and are working to complete new water replenishment partnerships. Technologies like ZLD are contemplated in Crown's Twentyby30 goals. – efficiency Goes in the policy – we are committed to stakeholder awareness both internally through educating employees and sharing best practices, and externally through our endorsement and action by joining the CEO water mandate. |
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.
CDP
(W6.2b) Provide further details on the board's oversight of water-related issues.
| | Frequency that water- related issues are a scheduled agenda item | Governance mechanisms into which water-related issues are integrated |
|---|---|---|
| Row 1 | Scheduled - some meetings | Monitoring implementation and performance Reviewing and guiding business plans Reviewing and guiding corporate responsibility strategy Reviewing and guiding major plans of action Reviewing and guiding strategy |
W6.2d
(W6.2d) Does your
organization have at least one
board member with competence on 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.)
Water-related responsibilities of this position
Setting water-related corporate targets
Monitoring progress against water-related corporate targets
Integrating water-related issues into business strategy
Frequency of reporting to the board on water-related issues
Quarterly
Please explain
The CEO receives regular updates on the progress on Crown's water-related corporate targets through the Twentyby30TM program. The CEO had the ultimate approval in setting the water targets and any updates to the program must be approved by the CEO. Progress toward all Twentyby30 goals, including water goals of reducing water withdrawal in 20% by 2025 and be replenishing 100% of the levels of water consumed in areas with water stress back to those watersheds by 2030 are part of the annual performance evaluation that the Board completes for the CEO. With Sustainability being a priority at Crown, water-related issues are integrated into our overall business strategy. The CEO's commitment to the Twentyby30TM program ensures strong alignment of water goals within all operations.
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 | Contribution of incentives to the achievement of your organization’s water commitments |
|---|---|---|---|
| Monetary reward | Chief Executive Officer (CEO) Chief Sustainability Officer (CSO) | Reduction of water withdrawals – direct operations Improvements in water efficiency – direct operations | The incentives provided to C-suite employees for the management of water- related issues are pivotal to the achievement of our organization's water commitments. The incentives allow for the importance of sustainability to be cascaded down from our Chief Executive Officer's task list to all others in the company, including employees in our manufacturing facilities. The incentives have helped Crown to elevate the importance of our water savings targets as top-level management is all aware of the importance now of saving water in the context of these larger goals. |
| Non- monetary reward | Chief Executive Officer (CEO) Other, please specify (plant level employees) | Reduction of water withdrawals – direct operations Reduction in water consumption volumes – direct operations Improvements in water efficiency – direct operations Improvements in wastewater quality – direct operations | These non-monetary incentives contribute a great deal to the achievement of our organization’s water commitments insofar as they encourage the sharing of best practices and put focus and attention on our processes which utilize water to encourage less water usage. |
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?
Yes, trade associations
W6.5a
(W6.5a) What processes do you have in place to ensure that all of your direct and indirect activities seeking to influence policy are consistent with your water policy/water commitments?
Crown, a member of the industry association, Can Manufacturers Institute (CMI), has indirectly supported public education on the topic of chemicals in food products. CMI has worked to directly influence lawmakers regarding public policy touching issues of water quality. For example, in 2021 in the United States, CMI provided direct feedback to the State of Washington Department of Ecology regarding public policy that the State of Washington is considering enacting which evaluates products that are significant sources of exposure to people and the environment. Recently, Crown signed onto the United Nation's UNGC, and the CEO Water Mandate, which offers a powerful avenue for companies to collaborate to address urgent water challenges related to scarcity, quality, governance and access to water and sanitation. and the UN's Water Resilience Coalition, which Crown is committed to supporting collective action to replenish 100 watersheds. In order to ensure that all of Crown's direct and indirect activities seeking to influence policy with our water policy/water commitments, we have the process in place to have our corporate legal counsel review any external industry associations any external commitments to which Crown may sign onto supporting, such as the UNGC.
Page21 of 35
CDP
(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) CCK_2022_Annual_Report_0.pdf
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 |
W7.2
(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)
0
Anticipated forward trend for CAPEX (+/- % change)
0
Water-related OPEX (+/- % change)
0
Anticipated forward trend for OPEX (+/- % change)
0
Please explain
Crown does have a dedicated CAPEX of several millions for sustainability projects and prioritize water savings/reuse/efficiency projects especially in the plants we operate that are located in basins with water scarcity.
W7.3
(W7.3) Does your organization use scenario analysis to inform its business strategy?
| | Use of scenario analysis |
|---|---|
| Row 1 | Yes |
W7.3a
CDP
| | Type of scenario analysis used | Parameters, assumptions, analytical choices | Description of possible water-related outcomes |
|---|---|---|---|
| Row 1 | Water- related Climate- related | In-line with Crown's Twentyby30 program, our current scenario analysis focuses on an 8-year time horizon, in line with our target year for our current corporate sustainability targets, which are set out to the year 2030. As well, we also did a future scenario analysis out to the year 2050. The scope includes the entire organization. Both qualitative and quantitative scenario analysis is used. Current scenario analysis is based on the RCP2.6 and RCP8.5 concentration pathways modelling as our selected modelling. | We assumed the following: • Water prices that are in place by 2030, may operate within tax and/or emissions trading frameworks and will vary based on global location. • Water demand continues to rise and improvements are made for both supply and end-use; there will still be a mix of fresh water inputs but the future scenario is to replace freshwater by recycled water and implement water reuse in higher scales. • Commodity pricing reflect standard inflation; pricing of our own products may shift due to market demand trends and less availability of current raw materials such as water. • Macro-economic and demographic variables remain flat and geographical tailoring remain at 2021 rate, including cost of water and usage per capita • Level of policy movement remains similar to now, with some additional water- related policies in select regions in the U.S., Europe, and those global locations with water insecurity • Sea level and Temperature changes were assessed on available RCP2.6 RCP8.5 concentration pathway modelling |
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
Crown is currently monitoring the price of water through the invoices. Cost of water are different in different locations and regions. With the introduction of our new replenishment goal, to replenish the levels of consumption of water for the sites located in areas with water stress there is an additional indirect cost for water in the plant. Crown understands now that price of water is complex and not only limited to the invoice but to all intrinsic needs for each location so the site can operate accordingly; wastewater discharge cost, price of treatment prior to use in the process when needed, price of treatment previous to discharge, price of internal projects to recirculate water - including electricity - and now the cost of the project to replenish the water in that basin. Crown is starting on the path of accounting for the real price of water and understand that an internal water price can help the company to hedge against risks.
W7.5
CDP
W8. Targets
W8.1
(W8.1) Do you have any water-related targets?
Yes
W8.1a
(W8.1a) Indicate whether you have targets relating to water pollution, water withdrawals, WASH, or other water-related categories.
| Water pollution | No, but we plan to within the next two years | |
|---|---|---|
| Water withdrawals | Yes | <Not Applicable> |
| Water, Sanitation, and Hygiene (WASH) services | Yes | <Not Applicable> |
| Other | Yes | <Not Applicable> |
W8.1b
(W8.1b) Provide details of your water-related targets and the progress made.
Target reference number
Target 1
Category of target
Water withdrawals
Target coverage
Company-wide (direct operations only)
Quantitative metric
Reduction in total water withdrawals
Year target was set
2020
Base year
2019
Base year figure
9428.69
Target year
2025
Target year figure
7542.96
Reporting year figure
9102.79
% of target achieved relative to base year
17.2824317373113
Target status in reporting year
Underway
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 3.5% using the 2019 baseline. The goal is to reduce 20%.
Page24 of 35
CDP
CDP
Target reference number
Target 2
Category of target
Target coverage
Company-wide (direct operations only)
Quantitative metric
Other, please specify (100% Compliance on wastewater discharge)
Year target was set
2020
Base year
2019
Base year figure
Target year
2025
Target year figure
Reporting year figure
% of target achieved relative to base year
<Calculated field>
Target status in reporting year
Achieved
Please explain
Last year Crown had no penalties due to non- compliance with water quality discharge. Crown monitors this compliance on a site, regional and corporate level to ensure compliance.
Target reference number
Target 3
Category of target
Water, Sanitation and Hygiene (WASH) services
Target coverage
Company-wide (direct operations only)
Quantitative metric
Other, please specify (Ensure all employees have continued access to safe water, sanitation and hygiene)
Year target was set
2020
Base year
2019
Base year figure
Target year
2025
Target year figure
Reporting year figure
% of target achieved relative to base year
<Calculated field>
Target status in reporting year
Underway
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. Crown surveys its facilities on a global scale every year to ensure compliance.
Target reference number
Target 4
Category of target
Watershed remediation and habitat restoration, ecosystem preservation
Target coverage
Company-wide (direct operations only)
Quantitative metric
Other, please specify ( By 2030, be replenishing 100% of water consumed from high scarcity watersheds back to those watersheds)
Year target was set
2020
Base year
2022
Base year figure
735.4
Target year
2030
Target year figure
735.4
Reporting year figure
58.8
% of target achieved relative to base year
<Calculated field>
Target status in reporting year
Underway
Please explain
Crown has partnered with The Nature Conservancy in the Sao Paulo Water Fund and through a nature based solution is currently replenishing in the Tiete basin what corresponds to 8% of the levels of total water consumed by our operations that are located in areas with water scarcity and 45% of the levels consumed in that basin.
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
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. or local authority) |
| W1 Current state | Water discharge by quality | Other, please specify (Data is verified by a Third part Auditor or local authority..) |
W10. Plastics
W10.1
(W10.1) Have you mapped where in your value chain plastics are used and/or produced?
W10.2
(W10.2) Across your value chain, have you assessed the potential environmental and human health impacts of your use and/or production of plastics?
| | Impact assessment | Value chain stage | Please explain |
|---|---|---|---|
| Row 1 | Yes | Direct operations Supply chain | The company has assessed for potential human health impacts. |
CDP
(W10.3) Across your value chain, are you exposed to plastics-related risks with the potential to have a substantive financial or strategic impact on your business? If so, provide details.
| | Risk exposure | Value chain stage | Type of risk |
|---|---|---|---|
| Row 1 | Yes | Direct operations Supply chain | Please select |
W10.4
(W10.4) Do you have plastics-related targets, and if so what type?
| | Targets in place | Target type | Target metric |
|---|---|---|---|
| Row 1 | Yes | Plastic packaging | Increase the proportion of post-consumer recycled content in plastic packaging |
W10.5
(W10.5) Indicate whether your organization engages in the following activities.
| | Activity applies |
|---|---|
| Production of plastic polymers | No |
| Production of durable plastic components | Yes |
| Production / commercialization of durable plastic goods (including mixed materials) | Yes |
| Production / commercialization of plastic packaging | Yes |
| Production of goods packaged in plastics | Yes |
W10.7
(W10.7) Provide the total weight of plastic durable goods/components sold and indicate the raw material content.
Row 1
Total weight of plastic durable goods/components sold during the reporting year (Metric tonnes)
2590
Raw material content percentages available to report
% post-consumer recycled content
% virgin fossil-based content
<Not Applicable>
% virgin renewable content
<Not Applicable>
% post-industrial recycled content
<Not Applicable>
% post-consumer recycled content
30
Please explain
The company purchases approximately 30% recycled plastic for use in its raw materials. The figures provided in these responses are estimates and have not been verified.
W10.8
CDP
| | Total weight of plastic packaging sold / used during the reporting year (Metric tonnes) | Raw material content percentages available to report | % virgin fossil- based content | % virgin renewable content | % post-industrial recycled content | % post-consumer recycled content |
|---|---|---|---|---|---|---|
| Plastic packaging sold | 171171 | % post-consumer recycled content | <Not Applicable> | <Not Applicable> | <Not Applicable> | 30 |
| Plastic packaging used | 171203 | % post-industrial recycled content | <Not Applicable> | <Not Applicable> | | <Not Applicable> |
W10.8a
(W10.8a) Indicate the circularity potential of the plastic packaging you sold and/or used.
| | Percentages available to report for circularity potential | % of plastic packaging that is reusable | % of plastic packaging that is technically recyclable | % of plastic packaging that is recyclable in practice at scale |
|---|---|---|---|---|
| Plastic packaging sold | % reusable % technically recyclable % recyclable in practice and at scale | 40 | 100 | 100 |
| Plastic packaging used | % reusable % technically recyclable % recyclable in practice and at scale | 40 | 100 | 100 |
W11. 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.
W11.1
(W11.1) Provide details for the person that has signed off (approved) your CDP water response.
| | Job title |
|---|---|
| Row 1 | Chief Executive Officer |
SW. Supply chain module
SW0.1
(SW0.1) What is your organization's annual revenue for the reporting period?
SW1.1
(SW1.1) Could any of your facilities reported in W5.1 have an impact on a requesting CDP supply chain member?
Yes, CDP supply chain members buy goods or services from facilities listed in W5.1
SW1.1a
CDP
(SW1.1a) Indicate which of the facilities referenced in W5.1 could impact a requesting CDP supply chain member.
Facility reference number
Facility 1
Facility name
Toluca
Requesting member
The Coca-Cola Company
Description of potential impact on member
This facility is located in a basin of water scarcity and therefore there is the potential risk to have a potential impact on the supply to Coca Cola in the event of extreme water depletion.
Comment
Crown is currently looking at replenishments projects in the watershed where the facility is located.
SW1.2
(SW1.2) Are you able to provide geolocation data for your 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 |
| Alsip, USA | 41.6831 | -87.7619 | 41° 40' 9.9012'' N 87° 45' 50.5236'' W |
| Bangi, MALAYSIA | 2.93582 | 101.757 | 2° 55' 38.388'' N 101° 46' 5.304'' E |
| Barbados, BARBADOS | 13.1256 | -59.456 | 13° 7' 32.2818'' N 59° 27' 21.7974'' W |
| Bowling Green, USA | 37.0385 | -86.3087 | 37° 2' 18.5136" N 86° 18' 31.4388" W |
| Batesville, USA | 34.3447 | -89.922 | 34° 20' 40.9812'' N 89° 55' 19.074'' W |
| Botcherby , UK | 54.8884 | -2.90527 | 54° 53' 18.384'' N 2° 54' 18.972'' W |
| Belcamp, USA | 39.4772 | -76.2326 | 39° 28' 38.0244'' N 76° 13' 57.4068'' W |
| Bogota, COLOMBIA | 4.96525 | -73.9611 | 4° 57' 54.8886'' S 73° 57' 40.0788'' W |
| Bangpoo, THAILAND | 13.5691 | 100.645 | 13° 34' 8.616'' N 100° 38' 43.08'' E |
| Braunstone, UK | 52.631 | -1.19704 | 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 |
| Calgary, CANADA | 50.9867 | -113.971 | 50° 59' 13.7502'' N 113° 58' 13.9506'' W |
| Cambodia, CAMBODIA | 11.5294 | 104.849 | 11° 31' 24.816'' N 104° 50' 13.6608'' E |
| Cheraw, USA | 34.6853 | -79.8909 | 34° 41' 4.0014'' N 79° 53' 28.1358'' 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 |
| CMB Lancaster | 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 | 16.0854 | 108.134 | 16° 5' 7.5834" N 108° 8' 2.6412" 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 |
CDP
Identifier
Decatur, USA
Dong Nai, VIETNAM
Dubai, UNITED ARAB EMIRATES
Latitude
39.934831
10.919716
25.045655
Longitude
-89.076085
106.868249
55.13293
Comment
39° 56' 1.2552'' N
89° 4' 33.8268'' W
10° 55' 10.977" N
106° 52' 5.7" E
25° 2' 44.358'' N
| Ensenada, MEXICO | 31.874713 | -116.609248 | 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 |
| 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 |
| 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 | 7.00281 | 100.489 | 7° 0' 10.101" N 100° 29' 21.4584" |
| Hadyai Food Packaging, THAILAND | 6.95806 | 100.556 | 6° 57' 29.016'' N 100° 33' 22.824'' 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 |
| 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 |
| 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' 4.6794'' E |
| 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 |
| Carnaud Metalbox, UK | 53.8412 | -1.76032 | 53° 50' 28.2294" N 1° 45' 37.1628" |
| 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 |
| 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 |
| Mill Park, USA | 39.7292 | -82.6684 | 39° 43' 44.9616" N 82° 40' 6.3408 W |
| Monterrey End, MEXICO | 25.6963 | -100.155 | 25° 41' 46.6254'' N 100° 9' 17.1504'' W |
| Myanmar, MYANMAR | 16.9478 | 96.199 | 16° 56' 51.9828'' N 96° 11' 56.4174'' E |
| Nakhon Pathom, THAILAND | 13.6472 | 100.573 | 13° 38' 49.8048'' N 100° 34' 23.4732'' E |
| Nichols, USA | 42.0556 | -76.3192 | 42° 3' 22.428'' N 76° 19' 13.836'' W |
| 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 | -122.845 | 47° 2' 16.116'' N 122° 50' 49.02'' W |
CDP
Identifier
Oshkosh, USA
Osmaniye, TURKEY
Owatonna, USA
Latitude
44.062106
37.007726
44.08239
Longitude
-88.538113
36.092412
-93.262306
Comment
44° 3' 43.5816'' N
88° 32' 17.2068'' W
37° 0' 27.8172'' N
36° 5' 32.6832'' E
44° 4' 56.604'' N
| Parma Beverage, ITALY | 44.847979 | 10.364136 | 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 |
| Ponta Grossa, BRAZIL | -25.1894 | -50.0954 | 25° 11' 21.8364'' S 50° 6' 25.92'' W |
| Saigon, VIETNAM | 10.8427 | 106.771 | 10° 50' 45.9846'' N 106° 46' 40.8684'' E |
| Samrong, THAILAND | 13.6472 | 100.573 | 13° 38' 49.8048'' N 100° 34' 23.4732'' E |
| Sevilla, SPAIN | 37.2839 | -5.99169 | 37° 17' 2.1552'' N 5° 59' 30.0726'' W |
| Sihanoukville, CAMBODIA | 10.6251 | 103.555 | 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 Shanghai, CHINA | 31.2112 | 121.564 | 31° 12' 40.284'' N 121° 33' 48.78'' E |
| SMP Singapore Benoi, 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 |
| Spartanburg, USA | 34.9737 | -81.9331 | 34° 58' 25.3812'' N 81° 55' 59.2968'' W |
| Suffolk, USA | 36.7689 | -76.5404 | 36° 46' 8.04'' N 76° 32' 25.476'' W |
| Sugarland (Fort Bend), USA | 29.6388 | -95.6121 | 29° 38' 18.1098'' N 95° 36' 43.3146'' W |
| Teresina, BRAZIL | -4.90479 | -42.8656 | 4° 54' 17.2404'' S 42° 51' 56.2926'' W |
| Toledo, USA | 41.7122 | -83.5208 | 41° 42' 43.956'' N 83° 31' 14.88'' W |
| Toluca, MEXICO | 19.2923 | -99.5991 | 19° 17' 32.4312" N 99° 35' 56.7852" 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 |
| Valencia, SPAIN | 39.6409 | -0.261273 | 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 |
| Weirton , USA | 40.3875 | -80.6213 | 40° 23' 14.892'' N 80° 37' 16.644'' W |
| Weston, CANADA | 43.7582 | -79.5366 | 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 |
| Wissota Tools, USA | 44.8968 | -91.4133 | 44° 53' 48.12'' N 91° 24' 47.592'' W |
| Worland, USA | 44.0236 | -107.961 | 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 - Darlington 1 | 34.2953 | -79.9282 | 34° 17' 42.972'' N 79° 55' 41.628'' W |
| Angleboard, USA - Darlington 2 | 34.2968 | -79.9286 | 34° 17' 49.38'' N 79° 55' 45.516'' W |
| Angleboard - Elizabethtown, USA | 40.1575 | -76.6529 | 40° 9' 26.892'' N 76° 39' 15.012'' W |
CDP
Identifier
Angleboard - Elkhart, USA
Angleboard - Loveland, USA
Latitude
41.702142
39.222468
Longitude
-86.0053
-84.288403
Comment
41° 42' 7.668'' N
86° 0' 19.08'' W
39° 13' 20.532'' N
84° 17' 16.98'' 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 | 35.6801 | -80.5002 | 35° 40' 48.684'' N 80° 30' 0.684'' W |
| Angleboard Paper, Kankakee, USA | 41.0866 | -87.8698 | 41° 6' 43.236'' N 87° 52' 1.056'' W |
| Angleboard Plastics, Kankakee, USA | 41.0866 | -87.8698 | 41° 6' 43.236'' N 87° 52' 1.056'' W |
| BATES, Noerresundby, DENMARK | 57.0594 | 9.94309 | 57° 3' 33.912'' N 9° 56' 35.124'' E |
| Brighton, MI (Main Building), USA | 42.4999 | -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 |
| 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 | 12° 58' 43.0314'' N 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 | 41.6333 | -87.6748 | 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 | 33.7683 | -84.7173 | 33° 46' 16.356'' N 84° 43' 3.576'' W |
| Glenview, IL, USA | 42.0876 | -87.8459 | 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 | 55.4485 | 13.8492 | 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 | 52.5087 | -2.16234 | 52° 30' 31.3806" N 2° 9' 44.409" 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 | 58.3119 | 14.2861 | 58° 18' 43.2000'' N 14° 17' 12.9120'' E |
CDP
Identifier
LCMRDN Soenderborg, DENMARK
LITEC Tournus, FRANCE
Lock N Pop, Carrollton, USA
Latitude
54.9188
46.551741
33.60689
Longitude
9.82079
4.910495
-85.10081
Comment
54° 55' 7.6800'' N
9° 49' 14.8440'' E
46° 33' 6.2706'' N
4° 54' 37.7856'' E
33° 36' 24.8040'' N
| Loveshaw, South Canaan, USA | 41.508062 | -75.412213 | 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 |
| 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 |
| 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 (Blue Ridge), Eden, USA | 36.5145 | -79.718 | 36° 30' 52.3440'' N 79° 43' 4.7280'' W |
| PRIME Prime Bulk Packaging, Bangalore, INDIA | 12.9845 | 77.5996 | 12° 59' 4.2000'' N 77° 35' 58.4160'' E |
| SAMJUN Signode Korea, Pohang, SOUTH KOREA | 35.9999 | 129.366 | 35° 59' 59.7552'' N 129° 21' 57.135'' E |
| San Antonio, TX, USA | 29.5519 | -98.3662 | 29° 33' 6.6600'' N 98° 21' 58.1400'' W |
| SCYBL Castelsarrasin, FRANCE | 44.044 | 1.11225 | 44° 2' 38.5332'' N 1° 6' 44.1036'' E |
| Shippers Fordyce, Fordyce, ARIZONA | 33.8068 | -92.4232 | 33° 48' 26.1720'' N 92° 25' 25.2120'' W |
| Shippers Sheridan, Sheridan, USA | 34.3016 | -92.3928 | 34° 18' 3.3840'' N 92° 23' 25.6920'' W |
| SIGBRS Signode Brasileira Ltda, Cabreuva, BRAZIL | -23.2431 | -47.0498 | 23° 14' 35.3436'' S 47° 2' 59.406'' W |
| SIGCOL Signode Colombia, Malambo, COLOMBIA | 10.8852 | -74.7646 | 10° 53' 6.5760'' N 74° 45' 52.5960'' W |
| SIGKEN Signode Kenya, Nairobi, AFRICA | -1.37167 | 36.9183 | 1° 22' 18.8178'' S 36° 54' 5.4048'' E |
| Signode - Bridgeview, Bridgeview, USA | 41.7612 | -87.8124 | 41° 45' 40.2480'' N 87° 48' 44.5320'' W |
| Signode - Florence, Florence, USA | 38.9793 | -84.608 | 38° 58' 45.6600'' N 84° 36' 28.6920'' W |
| Signode - Latta, Latta, USA | 34.3231 | -79.4397 | 34° 19' 23.1240'' N 79° 26' 22.8840'' W |
| Signode Canada, Markham, CANADA | 43.8368 | -79.3237 | 43° 50' 12.4440'' N 79° 19' 25.3200'' W |
| Signode Packaging Espana, S.L.U., Barcelona, SPAIN | 41.3458 | 2.08631 | 41° 20' 44.7720'' N 2° 5' 10.7160'' E |
| SINDIA Dahej, Dahej, INDIA | 21.7012 | 79.4045 | 21° 42' 4.4100'' N 72° 57' 42.1416'' E |
| SINDIA Rudrapur, Pantnagar, INDIA | 29.0186 | 79.4045 | 29° 1' 20.'0028' N 79° 24' 23.4354'' E |
CDP
| Identifier | Latitude | Longitude | Comment |
|---|---|---|---|
| SINDIA Wintek-BLR, Bangalore, INDIA | 12.8988 | 77.5764 | 12° 53' 55.5828'' N 77° 34' 35.1718'' E |
| SMB Goldkronach, Goldkronach, GERMANY | 50.0134 | 11.6715 | 50° 0' 48.2760'' N 11° 40' 17.3280'' E |
| SMP Weischlitz, Weischlitz , GERMANY | 50.4486 | 12.0535 | 50° 26' 54.8520'' N 12° 3' 12.5640'' E |
| STPIND Stopak, Bangalore, INDIA | 12.8159 | 77.6794 | 12° 57' 28.728'' N 77° 24' 4.3452'' E |
| VACNET Neunen, Neunen, NETHERLANDS | 51.4461 | 5.55911 | 51° 26' 46.0428'' N 5° 33' 32.8026'' E |
| VACNET Zwijndrecht, Zwijndrecht, NETHERLANDS | 51.8155 | 4.63434 | 51° 48' 55.6482" N 4° 38' 3.6132" E |
| Multiwall - Gary, Gary, USA | 41.6114 | -87.364 | 41° 36' 41.0400'' N 87° 21' 50.5080'' W |
| PKGFN Liljendal, Liljendal, FINLAND | 60.5732 | 26.0611 | 60° 57' 23.4120'' N 26° 3' 40.1040'' E |
| SINDIA Rudraram, Telangana, INDIA | 17.5558 | 78.1832 | 17° 33' 20.916'' N 78° 10' 59.6094'' E |
| SINDIA Silvassa, Dadra and Nagar Haveli, INDIA | 20.1809 | 73.0169 | 20° 10' 51.1206'' N 73° 1' 0.8898'' E |
| STMEXI Syn-Tex Bag, Amatlan de los Reyes, MEXICO | 18.8427 | -96.9182 | 18° 52' 21.5652'' N 96° 51' 29.736'' W |
| VACNET Best, Best, NETHERLANDS | 51.5013 | 5.41402 | 51° 30' 4.7916'' N 5° 24' 5.413989'' E |
| Lacrosse, USA, WH -Urbancrest | 39.9031 | -83.0883 | 39° 54' 11.3286" N 83° 5' 17.8686" W |
| Lancaster, USA, WH - Urbancrest | 39.9048 | -83.0907 | 39° 54' 17.1468" N 83° 5' 26.6274" W |
| Belcamp, USA, WH | 39.4681 | -76.2329 | 39° 28' 5.2788" N 76° 13' 58.3854" W |
| Cheraw, USA, WH | 34.6967 | -79.9034 | 34° 41' 48.2418" N 79° 54' 12.0702" W |
| Singapore SF, SINGAPORE, Harbour Front | 1.26452 | 103.819 | 1° 15' 52.257" N 103° 49' 9.3756" E |
| Dubuque, USA | 42.4886 | -90.7732 | 42° 29' 18.8736" N 90° 46' 23.4804" W |
| Rio Verde, BRAZIL | -17.7331 | -50.8684 | 17° 43' 59.2968'' S 50° 52' 6.1284'' W |
| TCP, THAILAND | 14.3895 | 100.922 | 14° 23' 22.2504" N 100° 55' 19.0158" E |
| Vung Tao, VIETNAM | 10.6477 | 107.064 | 10° 38' 51.7200" N 107° 3' 49.032" E |
| Celcor, CANADA | 43.4344 | -80.3132 | 43° 26' 4.344'' N 80° 18' 46.476'' W |
| 10 BOLENESS, UK | 52.6527 | 0.161755 | 52° 39' 5.2128" N 0° 9' 34.7538" E |
| 12 BOLENESS, UK | 52.6523 | 0.160193 | 52° 39' 8.1108" N 0° 9' 36.6978" E |
| 9 BOLENESS, UK | 52.6527 | 0.161755 | 52° 39' 9.5976" N 0° 9' 42.318" E |
| HALTON HILLS, CANADA | 43.55 | -79.8712 | 43° 33' 0.0894" N 79° 52' 16.4568" W |
| APT Roselle, USA | 41.9829 | -88.1197 | 41° 58' 58.5942" N 88° 7' 10.7934" W |
| UNIT 22 EUROPA WAY | 52.653 | 0.152081 | 52° 39' 10.9296" N 0° 9' 7.4946" E |
| Tinley Park, USA | 41.5528 | -87.8287 | 41° 33' 10.19 N 1" 87° 49' 43.41" W |
| Uberaba, BRAZIL | -19.7364 | -47.9829 | 19° 44' 11.0718" S 47° 58' 58.3926" W |
| Pittsburg, CA - WH, USA | 38.0261 | -121.889 | 38° 1' 34.0206 N 121° 53' 21.8076" W |
| Petrovany, SLOVAKIA | 48.7255 | 18.5539 | 48° 43' 31.6842" N 18° 33' 13.8744" E |
| CMB Wortley | 53.7895 | -1.57917 | 53° 47' 22.2936" N 1° 34' 45.0156" W |
| Signode - Simplimatic | 37.3071 | -79.3379 | 37° 18' 25.5168" N 79 20'° 16.3212" W |
| Signode - Simplimatic 2 | 37.2341 | -79.1824 | 37 ° 14' 2.7198" N 79 °10' 56.625" W |
SW2.1
(SW2.1) Please propose any mutually beneficial water-related projects you could collaborate on with specific CDP supply chain members.
SW2.2
CDP
SW3.1
(SW3.1) Provide any available water intensity values for your organization's products or services.
Product name
12 oz Aluminium Beverage Can
Water intensity value
Numerator: Water aspect
Water withdrawn
Denominator
One thousand 12 oz cans.
Comment
North America division water intensity average is 0.05713 cubic meters of water consumed per thousand 12 oz cans. Water intensity is given by water withdrawn by production, there is no water in the final product. Global average 0.0898 cubic meters per thousand cans.
Submit your response
In which language are you submitting your response?
English
Please confirm how your response should be handled by CDP
Please indicate your consent for CDP to share contact details with the Pacific Institute to support content for its Water Action Hub website.
Yes, CDP may share our Main User contact details with the Pacific Institute
Please confirm below
I have read and accept the applicable Terms
CDP
|
LTS
Spring 2010 | Vol 46, No. 1 Bulletin The Newsletter of Lexington Theological Seminary The
President James P. Johnson
this seminary.
lifelong learning and ministry opportunities for Master of Divinity and Doctor of Divinity students, as well as those who desire continuing education to equip them for lay service.
The technological systems are in place to connect our faculty to students where they are -physically and figuratively in their individual journeys through life and the congregations they serve. Course schedules are taking shape. Applications are being processed. Faculty and staff are busily readying themselves for the months ahead as we begin a new chapter in the life of
This new model is flexible and adaptable. It is designed especially for students who cannot move to a residential seminary setting, and it provides students with a holistic approach to pastoral development in which the intellectual, practical and spiritual are fully integrated throughout the curriculum. This model is designed to provide
And yet the halls of the Seminary are not empty. Our classrooms and library remain active with current students and will serve future students who will engage in intensive on-site courses during their journey through seminary.
For the person wanting a Master of Divinity Degree, this new model:
* Establishes the congregation as a primary center for learning
* Uses short-term modules of two to eights weeks rather than three-month courses.
* Provides a pastoral mentor to each student
* Incorporates distance learning and short-term residency experiences.
(Continued)
The new model of education at LTS is no longer a concept as the months of careful planning are now growing toward fruition.
Tim Graves, a second-career student from Wheeling, W.Va., engages in a class discussion.
New program takes shape
(continued from page 1)
* Develops online, interactive covenant groups with students and professors.
themselves empowered and equipped to answer that call. Founded in 1865, LTS is the oldest seminary of the Christian Church (DoC), now embracing the newest form of shaping church leaders.
* Operates on a year-round schedule and monthly registration.
* Involves parish ministers in the modules and covenant groups to provide practical counsel.
* Offers flexibility to a variety of students, from those seeking a degree to lay leaders who want to enhance their service to the church by furthering their education. It also reaches more students who represent the textured, diverse face of today's church and the depth of voices needed to shape the church of tomorrow.
In this issue, you'll meet two of our new students and see how this program is indeed making a difference in their lives and in the lives of those they serve now and will serve in the years to come. They are part of a growing number of people who are telling us that they are grateful for the opportunity to gain a theological education in this way.
We believe many who feel called to ministry will now find
If you know someone who is interested in the pastoral life or in serving God's church in other meaningful ways, please refer them to our web site, www.lextheo.edu. Students may now apply online.
Commencement speaker 2010
Dr. William L. Lee, senior pastor at Loudon Avenue Christian Church in Roanoke, Va., will be the commencement speaker Friday, May 14, at Memorial Hall.
a dynamic motivational speaker, lecturer, mediator and clinical counselor.
A former Disciples of Christ moderator, Dr. Lee is a graduate of Duke Divinity School and serves as
Dr. Lee is active in community outreach in the Roanoke area, helping to meet health & wellness and educational needs as well as providing spiritual guidance.
Latest @ LTS
GILLETT NAMED VP OF ADMINISTRATION AND SPECIAL PROJECTS
Dr. Charisse L. Gillett joined LTS in February as Vice President of Administration & Special Projects. Dr. Gillett will supervise student recruitment and work with staff and faculty on admissions and scholarships. She will also develop a special project with the Pension Fund of the Christian Church, with the goal of creating programs and materials to equip ministers with the skills to weather the rigors of ministry and enable them to make better choices about their own health and wellness over a lifetime of ministry.
SUMNEY HONORED
Dr. Jerry Sumney, professor of biblical studies, is among Lipscomb University's 2010 Distinguished Alumni. Sumney was selected as the distinguished alumnus from the College of Bible and Ministry.
WYATT JOINS LTS
LTS welcomes Ben Wyatt, the instructional designer/education technologist. Ben brings his expertise in instructional technology in higher education to enhance the Seminary's new education model.
IN PRINT
Dr. Jerry Sumney: The Bible, an Introduction, Fortress Press.
Dr. Margie Ralph, Director of the Program for Roman Catholic Students, A Walk Through the New Testament: An Introduction for Catholics, Paulist Press. Dr. Ralph also is a contributor to The Catholic Faith and Family Bible, HarperCollins Publishers. Lastly, Dr. Ralph wrote "Scripture insights for ordinary time" in At Home with the Word, 2010, Liturgy Training Publications.
Dr. O. Wesley Allen, Associate Professor of Homiletics and Worship, editor, Elements of Preaching, a series including Dr. Allen's Determining the Form, Fortress Press.
A new light A new light SPRING 2010 | VOL 46, NO. 1
S ometimes God speaks in a still, small voice. At other times, God speaks through a rear-end collision with a compact car.
Beth Goins LTS Communications
At least, that's how it happened for Trudy Betts.
"I kept saying to myself, 'Surely this isn't right,'" Betts recalled. "I kept feeling nudges from God, but I didn't want to tell anyone."
A young wife and mother of three, Betts had been quietly wrestling with a call to ministry.
On the way home from a spiritual retreat in which the theme was "Nudges from God," Betts was rearended by a small car. When she got out of the car to inspect the damage, she was stunned to see the woman driving the other car was wearing a priest's collar.
"Oh, no, I'm just a representative," the woman, an Episcopal priest, told her.
"This is all God's fault," Betts told her.
Betts explained that she was feeling conflicted about her call to ministry, and the priest responded, "You'd better answer it. I'm a car. Next time, God will send a Mack truck!"
Betts relented and embarked on her education with the goal of attending seminary. Betts will graduate with a BA in History and a Judaic Studies Certificate in May 2010. She became a licensed minister through the Disciples of Christ in 2006 and is now serving her second Disciples congregation as Associate Pastor at Tropical Sands Christian Church (Disciples of Christ), a growing congregation with four services each weekend. Her desire to attend seminary has not wavered, but Betts worried how to balance seminary education with her service to her congregation, her children's n e e d s and her husband's job in the local school district.
When Betts learned of the Seminary's plan to offer a new model of theological education, she wept for joy.
"When I read the mission statement of LTS, I just knew it was the place for me, and when I made a campus visit, it felt like home," Betts said. "But getting there was going to be very tough."
"It's all in God's perfect timing," Betts said. "It's an answered prayer-a great relief financially and emotionally. "
Betts will take her first seminary course at LTS in the fall. In the meantime, she has hardly tried to contain her excitement about the new M.Div. program at LTS. At a recent youth event, she shared her plans with a colleague who is also an associate minister but has been searching for a way to attend a seminary with a rich tradition of pastoral training like LTS.
3
physical divide between Disciples congregations scattered throughout the U.S., she noted.
"I can already see the sense of community this is creating," she said. "It demonstrates how seminary is still relevant to our churches, and that together, we're much stronger than we can ever be standing alone. I think we have to be open to seeing things in a whole new light."
NEW TRADITIONS
"I have always had a call to ministry," Harper said. "I grew up watching my father, an ordained minister, and now both my parents are ministers. It has always been my passion, my goal, to be a pastor."
The son of Disciples ministers, Peter Harper already had a sense of what it means to be a pastor when he made the decision to answer a lifelong call to ministry.
Harper's father is an LTS graduate who had impressed upon his son the importance of the Seminary's focus on the pastoral life and caring for a community.
"Because of this new program, it is now possible for him to attend seminary. This is going to fill a lot of needs," Betts said.
Now 22 and a senior majoring in religion and philosphy at Barton College in North Carolina,Harper isn't alone in his journey, however. His fiancée, Abigail Walton, was offered a promising job in her own calling, working with the elderly, and with
It also will help span the
(continued from page 3) (Continued)
Trudy Betts, Associate Pastor
Tropical Sands Christian Church
WHAT ARE YOU READING?
Nadine Burton New Church Ministries/ Church Extension Indianapolis, Ind. The Missional Renaissance: Changing the Scorecard for the Church by Reggie McNeal
Susan Gabbard
St. John's United Church of Christ Mifflinburg, Pa. Tending to the Holy: The Practice of the Presence of God in Ministry By Bruce & Katherine Epperly
Willard Knipp
First United Methodist Church Henderson, Ky. Momentum for Life by Michael Slaughter
Don McLaughlin
First Christian Church Madisonville, Ky. The Practicing Congregation: Imagining A New Old Church By Diana Butler Bass
Mary Baber Reed
The Presbyterian Church of Dover Dover, Del. Bodies in Motion and at Rest: On Metaphor and Mortality by Thomas Lynch
Ruben Rodriguez
Iglesia Cristiana (Discipulos de Cristo) El Aposento Alto Forest Park/Lake City, Ga. An Unstoppable Force by Erwin Raphael McManus
Cindy Stratton
Bon Air Christian Church Richmond, Va. Becoming a Praying Congregation by Rueben P. Job.
David Yonker
First Christian Church Sterling, Ill. Leading Beyond the Walls by Adam Hamilton a wedding approaching, moving to Lexington wasn't a prospect easily within reach for the young couple. Harper is also ministering to youth in his congregation at Rocky Mount First Christian Church, where he leads a weekly youth worship service, teaches a high school Sunday school class, and is worship leader for a weekly program.
Most important, Harper said, is the Seminary's continued focus on preparing students to pastor a faith community.
"I didn't want to ask her to move," Harper said. "When I learned about the distance learning program, I felt it would be very supportive to where I am at this stage in my life."
"That being one of my central roles, I'm glad that will be the focus of my education," Harper said.
initially was a perceived lack of community or a sense of isolation, but the Seminary has done a very good job of addressing that. I think they are working very hard to promote open discussion, community groups and involving other pastors so that we are very connected to one another and our congregations through this process," Harper said.
"I have a great love for youth and look forward to working with them and also moving into a senior role when the time is right," Harper said. "One of the reasons I'm thankful for this program is that I'm blessed to be in a congregation that's so supportive of me.
As he moves toward beginning seminary this fall, Harper is committed to developing a sense of community with his classmates.
"One of my biggest concerns
"I'm looking forward to getting into the program, and it's very exciting that I will be able to go to my father's alma mater and follow in his footsteps."
WHAT ARE "I think they are working very hard to promote open discussion, community groups and involving other pastors so that we are very connected through this process."
Peter Harper, student intern
Rocky Mount First Christian Church
Barton College senior
Harper eventually hopes to be a senior pastor. For now, he is happy working with youth.
Alumni/ae notes 1964 Larry Pigg's wife of 50 years, Nancy, passed away suddenly in June 2009. He is the Chi Rho Camp Director for the Christian Church in Ohio. 1966
Craig Frederickson returned to his prior job as director of YouthBuild after serving 10 years as the founder/administrator at the MAAC Community Charter School.
Thomas Norvell is serving as Interim Minister of Century Christian Church, Owensboro, Ky. 1967
Donald Mertz is retired and doing wood carvings. Visit www.woodbeecarver.com 1970
Robert Parvin is serving as pastor of Pfafftown Christian Church, Pfafftown, N.C. 1976
Nik Donges will complete his service as Intentional Interim at First Christian Church in Wilmington, Ohio in mid-April 2010.
Bruce Merton is the minister of Peace Community Church, Fort Myers, Fla. Robert Stauffer is serving as Interim Minister for First Christian Church, Corbin, Ky. 1978
1979
Herb Lynskey retired as the Coastal Plains Area Minister in the Southwest. He is currently serving as Interim Minister at Central Christian Church, Austin, Texas.
Johnny Wray is a part-time associate minister at Lindenwood Christian Church, Memphis, Tenn. 1980
Charles Ellis is part-time minister of Ledbetter Christian Church, Meherrin, VA and Relief Chaplain at Centra Health, Lynchburg, Va.
In memoriam
Janis W. Bell, FS
Caroline A. Bloomfield '77
October 29, 2009
January 1, 2010
March 7, 2009
Franklyn Brooks '61
M. Tim Browning '86
January 26, 2010
Former LTS Librarian
Rose Mary C. Brooks,
Trustee Emerita March 4, 2009
1981
1982
Betsy Steier Goehrig is the Senior Minister of First Christian Church in Richmond, Ky.
Kathy Ellis is Executive Director of Miriam's House, a half-way shelter for homeless woman and their children, Lynchburg, Va.
Linda Kemp is doing a yoked interim ministry at First Christian Church, Smith Center, Kan., and Gaylord Community UCC at Gaylord, Kan.
1982
1983
1987
Phil Nevius retired in June 2009 from Old State Road Christian Church in Charleston, Ill. He has been supply preaching since then and serves as a volunteer Chaplain for Sarah Bush Lincoln Hospital in Coles Co., Ill. and Sarah Bush Lincolnland Hospice.
Lori Lynn Martin Wachter is serving at Orlando Regional Medical Center as the Chaplain in a Level One Trauma Center.
Martha Hutchinson Rucker has moved positions from Chaplain at Our Lady of Bellefonte Hospital, Ashland, Ky., to Christian Care Communities, Hopkinsville, Ky.
1988
1991
1996
Mary Anne Glover was called to be the Interim Regional Minister of the Northeastern Region effective Feb. 1, 2010.
Kristen Bentley is the Senior Minister of Arlington Christian Church, Lexington, Ky.
Nathan Day Wilson is Senior Minister at First Christian Church in Shelbyville, IN. He earned the Certificate in Fund Raising Management (CFRM) and is now consulting with congregations about fundraising and conflict resolution,
1997
1998
Rev. Mary Baber Reed became the pastor of
Theophilus M. Carroll '58
Virginia A. Cully,
February 1, 2010
of Religious Education
Professor Emerita
February 24, 2010
August 22, 2009
Marilyn G. Digweed '62
Jack R. Hudson, FS
Alberta E. Jones, FS
June 5, 2009
January 26, 2010
September 10, 2009
Ronald T. Keaton, FS
Fred W. Nall,Former Trustee
January 28, 2010
5
the Presbyterian Church of Dover in January 2009. 1999
2000
M. Douglas Harvey, Chaplain with Christian Care Communities, Louisville, Ky., earned board certification with the Association of Professional Chaplains in 2009. As of February 2010, he is also serving as interim pastor of Third Central United Christian Church in Louisville, Ky.
Joby Brown is a Chaplain at Christian Care Communities, Hopkinsville, Ky.
Beth Rupe became the Senior Minister of First Christian Church in Moline, Ill. in November 2009.
2002
2003
2006
Susan Warren is the Senior Pastor at Beamont Presbyterian Church, Lexington, Ky.
Elizabeth McManis is the Associate Minister, First Christian Church, Frankfort, Ky.
Barbara Murray is the Adult Faith Formation Coordinator for Saint Luke the Evangelist Parish in Beavercreek, Ohio.
2007
2008
Greg Kupar is the pastor at Summersville Presbyterian Church, Summersville, W.Va. 2009
Miranda Dolive is Pre-K/Kindergarten Music Teacher at Jessamine Early Learning Village in Wilmore, Ky.
Jake Caldwell was called to be a Minister in Residence at Central Christian Church, Lexington, Ky., following graduation in 2009.
Susan Ellis has been called to serve as the minister of North Side Christian Church in Omaha, Neb., beginning May 2010.
Evan Dolive is a chaplain with Hospice of the Bluegrass, Lexington, Ky. The Dolives welcomed their first child, a daughter, Violet, in February.
Send your updates to email@example.com.
Brook Schneitman '08
Sally A. Smith '53
January 21, 2009
February 5, 2010
October 1, 2009
Jean D. Stewart, FS
Jack T. Vaughn '62
Richard C. White '55
February 15, 2009
Professor Emeritus of Homiletics June 6, 2009
Lively M. Wilson, Trustee Emeritus July 22, 2009
Appreciation Gifts
December 1, 2009 - March 15, 2010
James A. Hilton Mrs. Carolyn J. Fuller
In memory of... Louise F. Allen Harry R. and Emily Ann Allen
Rev. M. Tim Browning Dr. and Mrs. David Sharrard
William D. Carpe Ellis Fowler, Newton Fowler, III and Allen Fowler
Frank & Anna Bales
Marjorie C. Rouse
Congleton
Charles Crafton Don and Stephanie McLaughlin
Charles E. Crank, Jr. Melba C. Crank
Sarah G. Cromer
Marvin O. Cromer
Anthony L. Dunnavant
Bruce and Esther Breeding Terry and Patricia Dunnavant L. Leon and Nellie D. Durham
Ezra L. Dunnavant
Terry and Patricia Dunnavant
Martha Featherson
Richard Featherston
Newton "Fig" Fowler
Bruce and Esther Breeding Ellis Fowler, Newton Fowler, III and Allen Fowler
Dr. Ronald W. Graham
Charles H. and Lou Brooks Mr. and Mrs. William D. Kirkland
Dewey Grant
Don and Stephanie McLaughlin
Dana Bly Horan Mr. and Mrs. R. Michael Bales
Alberta E. Jones
James C. Suggs Harold R. and Evelyn N. Watkins
Thomas Jones Harold R. and Evelyn N. Watkins
Patty Justice Mr. and Mrs. Ted Kuster
Marcia Kump Charles H. and Lou Brooks
Olive B. & John C. Long Rhodes and Lois Thompson
Dr. Jane E. McAvoy Charles H. and Lou Brooks
Carl Merritt
Mrs. Carl S. Merritt
Fred Nall
Harold R. and Evelyn N. Watkins
Sally Osborn Mr. and Mrs. Paul R. Whitworth
Roscoe M. Pierson
Allen Fowler
Ellis Fowler, Newton Fowler, III and
Dr. Calvin H. Sydnor, III
Rev. and Mrs. L.M. Sanders Ann and Leonard Kaufman
Charles W. Schoeninger Mrs. Kathleen Schoeninger Frank
Rev. and Mrs. Ronald B. Scriven Mary Scriven Haley
Rev. Edward N. Spry Rev. Marilyn Williams Spry
Dr. Dwight Stevenson Dr. and Mrs. Marcus D. Bryant
Frances C. and Rhodes Thompson, Sr. Rhodes and Lois Thompson
John A. Ward, Jr.
Mrs. Kate H. Ward
Rufus T. Mills
Dr. and Mrs. H.T. Wood
Mrs. Sharon Anderson
Mr. Steve D. Wood
Peter Harper, student intern
Rocky Mount First Christian Church
Barton College senior
The cross in the
Mary Anne Sanders Chapel
In honor of... Dr. and Mrs. Edwin C. Linberg
Dr. William Baird
Dr. and Mrs. Wayne Bell
Charles H. and Lou Brooks Revs. Steven and Donna Doan
Loren and Catherine Broadus
Charles H. and Lou Brooks
Bud and Lou Brooks
Mrs. Peggy Ann Brooks
Cathy P. Brown
Dr. Charisse L. Gillett
Jake Caldwell
Harry and Carolyn Richart
David Clark, Sr.
Dr. Charisse L. Gillett
Alan and Lynn Cole
Steve and Sandy Monhollen
Lee Cox
Jean and Edward Cox
Cropper Christian Church Former Student Ministers: Minor Bottom, Ed Bruce, Harvey Quenette, John Jackson, H.C. Hillard, Don Richardson, Richard Stone, Ben Poage, & Lon Oliver
Given by the Children of Charles and Doris Barnett: Wayne, Sue, Sally & Lee
Phil and Nancy Dare
Charles H. & Lou Brooks
Phil Dare
Bruce and Esther Breeding
John Davidson
Sharla and John M. Davidson
Dr. Sharyn E. Dowd
Bruce and Esther Breeding Rev. Anne E. Gregory Molly and Leon Smothers
7
From left: Chris Stark,
Kimberley Proctor and
Lakeya Chase, Social
Ministries Leadership
students, listen to a
panel of parent mentors
who have children with
disabilities.
Dr. Michael Kinnamon
Bruce and Esther Breeding Rev. Anne E. Gregory
Marvin Osborn Mr. and Mrs. Paul R. Whitworth
LTS Faculty, Staff
Harold R. & Evelyn Watkins
And Students
Revs. Crystal and Keith McAliley
Bridgeport Christian Church
Dawn Montgomery
Mrs. Ruth L. Martin
Mary Nall
Harold R. and Evelyn N. Wakins
Dr. Donald A. and Lillian Nunnelly
Don Richardson
Don and Jo Richardson
Transy & TEAM
Transylvania University
Revs. Charles and Ruth Wallace
Roland W. and Phyllis D. Jones
Dr. Robert K. Welsh
Rev. and Mrs. William H. McDonald
Rev. David M. Woods
Mr. and Mrs. Daniel L. Woods
Mrs. Lola B. Wright
Steve and Sandy Monhollen
Roland W. and Phyllis D. Jones
ATLAS for ALUM is also partnered with The Text This Week web site (http://textweek.com). Please contact Ronda McClain (rmcclain@ lextheo.edu) or Barbara Pfeifle (firstname.lastname@example.org) for the LTS ATLASforALUM username and password.
Through ATLAS for ALUM, LTS graduates will have access to ATLASerials®, the American Theological Library Association's full-text collection of more than 140 major religion and theology journals.
e
xington
HE
OLOGICAL SEMINARY
Spring 2010 • VOL 46, NO. 1
Published by Lexington Theological Seminary 631 S. Limestone St. Lexington, KY 40508 (859) 252-0361 www.lextheo.edu
Non-Profit Org. U.S. Postage PAID Lexington, KY Permit No. 399
e
xington
HE
OLOGICAL SEMINARY
631 South Limestone, Lexington, Kentucky 40508 w w w . l e x t h e o . e d u
(859) 252-0361 | (866) 296-6087-toll-free a d m i s s i o n s @ l e x t h e o. e d u
* The new M.Div. program at LTS provides students with a holistic approach to pastoral development. The intellectual, practical and spiritual are fully integrated throughout the curriculum.
* In partnership with pastors and congregations throughout the program, the seminary will apprentice students into ways of thinking, doing and being that are central to the vocation of a pastor.
* Students will serve in an accountable ministry in a congregational setting and participate in a covenant group of seminarians led by a faculty member and a pastor.
Lexington Theological Seminary admits students of any race, color, sexual orientation, national and ethnic origin to all the rights, privileges, programs, and activities generally accorded or made available to students at the school. It does not discriminate on the basis of race, color, sexual orientation, national and ethnic origin in the administration of its educational policies, admissions policies, scholarship and loan programs, and other school administered programs.
|
high
JUNE JUNE
Solstice chillout
Solstice chillout tide
SCARBOROUGH'S ESSENTIAL GUIDE 2008 2008
The choo choo cha boogie
The choo choo cha boogie
AND: AND:
The hypnotist:
The hypnotist:
Geno Washington
Geno Washington www.hightidemagazine.com
music arts theatre
music arts theatre
comedy
comedy
film exhibitions poetry
film exhibitions poetry
food
food&
&
dr
dr
ink
ink
high tide
Another of Scarborough's Victorian splendours is also
Is there such a thing as the soul of Scarborough?
If it's been missing, it is certainly making a comeback. There’s a buzz about town these days,
and so many great events it's hard to keep up.
We talk this month to a man who knows something about how to enjoy life full-on. Rompin’ stompin’ Geno
Washington is back on a rare visit and if you've got a pulse you’ll be going wild. The Big G is the real deal.
There's more music than you can twang a guitar string at on offer at the Summer Solstice festival. This brand new
offering is in the great setting of Hayburn Wyke. Let's hope it’s a big hit.
SCARBOROUGH'S ESSENTIAL GUIDE
making a comeback. Now you can take a little train ride and eat in the relaxed atmosphere of the station’s new
High Tide Publishing CIC, Woodend, The Crescent, Scarborough YO11 2PW
bistro. It's all shaping up as the place to be for a long, hot summer.
02 firstname.lastname@example.org
High Tide is edited by Janis Bright and published by Roger Osborne
JU UNE E2 2
boogie
Listings
All the happenings for June
Choo choo cha
Roger Osborne takesa
trip back to the track
6 8
Chillout time
The brand new
Solstice Festival gets going
The hypnotist
Janis Bright interviews soul legend
Geno Washington
4 5
d
3
June 2008
008
This month
News
A Snake in the shed, strings for Ryedale an
Filey gets festmania
NEWS
Shed celebrations mark anniversary
June 2008 and Tom Robinson, plus poet Ian McMillan. This year's festival runs from 11 to 27 July at venues all over Ryedale, including Malton, Norton, Pickering, Helmsley, Ampleforth, Hovingham and Lastingham. The festival has made a virtue of necessity, turning small indoor spaces and intimate outdoor sites into
very special music venues. The music is mostly classical, from opera to chamber pieces and solo recitals, with performances by brass, silver and steel bands. Poetry and film have their day too. For full programme visit: www.ryedalefestival.co.uk
The festival season swings in www.hightidemagazine.co.uk with Filey hosting comedy, music, dance and art exhibitions and workshops from 28 June to 6 July. The festival combines traditional seaside jollities with some cutting edge comedy and visual art.
Ryedale offers classical action Is 16 a significant birthday? It is for the Shed, one of Yorkshire's most improbable and successful venues. Director Simon Thackray has arranged celebrations for 7 June, with the Snake Davis Band. As gigs go, this promises to be one of the Shed's more conventional outings. Past triumphs have included knitted Elvis wigs, saxophonist Lol Coxhill in a skip, the fish 'n' chip van tour, and of course the one and only Yorkshire pudding boat race. A previous anniversary saw the tiny venue branch out into Malton market place for a day capped in tremendous form by John Otway. Many other big names have made the trip to Ryedale and keep coming back for more, including Hank Wangford, Norma Waterson, Labi Siffre
Comedy, dance, art
on in Filey
03
Chillout
Chillout time
time
The Rosedale venue was no longer available, and Hayburn Wyke was a natural choice for Tom: 'The pub puts on regular live music in the summer, and Sharon [the Hayburn landlady] was taken with the idea of a festival.' The location is fabulous, not just in and around the inn, but with the woods and the wyke all within a short magical walk. Bands and solo artist from around the area will perform on a stage in the garden in front of the pub, with a second stage indoors or in 04 email@example.com cycle or walk to the venue along the old railway line, and just spend time enjoying themselves in this beautiful location.' Solstice Weekend Festival Friday 20 & Saturday 21 June, Hayburn Wyke Tickets £5 for the weekend, plus £3 per car for parking. Camping is free Tickets are on sale at Mojo's and the Hayburn Wyke Inn www.solsticeweekend.co.uk
Take the weekend off and enjoy the Solstice festival, says Roger Osborne
N
ow that mega- festivals like Glastonbury have become hang-outs for D-list celebs and paparazzi, the mini-festival is where the true spirit of summer lies. As ever Scarborough is at the leading edge. The idea of a festival to mark the summer solstice came to Tom Watton a couple of years ago. 'I was thinking of a festival based around a country pub, like the old Rosedale Festival, and saw that the 2008 solstice fell on a weekend,' he says.
the camping field. Yes folks, it's your chance get out the festival tent for a whole weekend in the great outdoors. There'll be a jam session on the Friday evening, and music from 12 noon 'til late on Saturday. The line-up includes Billy Nielsen, Carl Woodford, Grand Theft Audio, Raven, Slinkymalink, Amaya Huntley and a host of others. The site will be decorated in solstice fashion, Dave Hutchinson will be providing charcoal burners and there are the woods and wyke to explore. Tom says 'We're hoping people come for the weekend, maybe
COVER STORY: GEN
A
ltogether now: oh-wo- woh Geno-o! Yes, that man, the great US soul stomper, the Big G, is about to shake a tail feather in that most English of towns, Scarborough. It's not quite so incongruous as it seems. Geno Washington has had an on-off love affair with Blighty ever since he arrived here on 12 December 1961 as a rookie in the US air force. In those days the music scene was 'heavy duty Shadows,' he recalls. But later he was to get a big surprise and learn a few things about his own culture from over here. He was in Ipswich, where US personnel
June 2008 were big supporters of the local clubs. 'It was changing to the blues – old black music. It was so real,' he says. And the local kids knew everything about those musicians like Fats Domino, Muddy Waters – their biography, even the B- sides to their records. Geno admits it was an education even for someone from the States. His own heroes included Little Richard, Chuck Berry and Jerry Lee Lewis, types who knew how to rip it up. When he saw white kids doing black music and with girls throwing their knickers on the stage, Geno – until then a Hipsters, flipsters and funky tim Geno Washington and the Ram Jam Band had two of the biggest selling albums of the sixties - both recorded live. Hand Clappin, Foot Stompin, Funky Butt
O WASHINGTON
One of
theU
ni ted States’
mes Live was in the charts for
48 weeks and was only out-sold by The Sound of
Music and Bridge Over
my chops and study the game, and people are stealing and all that,' he says. 'All the responsibilities came on to me. Look at Amy Winehouse now. The thing is, suddenly all your demons – well, you can afford them.'
Troubled Water.
June 2008
t
gr e atest expo r t s comes to Sca r b o rough t hi s mon t h. J ani s Bri g ht talked to s o ul st o mper a n d almost Engli s hma n Geno W a s hingto n The hypnotis scholarship athlete – decided that was the job for him. 'I thought well, I'm black enough. All I need to do is learn how to sing.' His first effort with a band got off to a rocky start. The singing was brilliant, the crowd went wild. So they asked for a pay rise. But the manager took umbrage. 'Fifteen guineas? You ain't worth the twelve. You're fired!' He laughs in that unstoppable, infectious way like Muttley crossed with Eartha Kitt. When life is one big riot, you have to take it with a strong sense of humour. Telling folks his sister was Dinah Washington and his cousin Martha Reeves finally got him onstage for his true vocation. Since then he's played with everyone from Jimi Hendrix to Jack Bruce to Georgie Fame to this year's tour with Eddie Floyd. Becoming the real deal with his Ram Jam Band brought all the classic music biz problems though. In the 1970s Geno walked away from music to return to the States for what he calls the spiritual way. Why? 'Money changes people. I'm there trying to brush up That laugh again. However hard things got, you can't believe this man would stay away for long. In 1981 Dexy's Midnight Runners brought out their smash tribute to the great man, and he was back. Geno returned to England and and reinvented himself as a top hypnotist – 'I got your body, mind and soul then. I loved it, man!' All through it he's had wife Frenchie by his side: her sister is married to www.hightidemagazine.com 0 5 Peter Noone of Herman's Hermits. Now they live in London and all in all, Geno has spent most of his adult life in this country. 'I like the attitude of the UK,' he says. 'If you are a foreigner, people say just muck in like the rest of us, go with the flow. I admire that.' Well, you know what he means. But Geno going with the flow? Nah, this man makes the river flow.
06 firstname.lastname@example.org
HIGH FIVES
end it in the company of Justin Moorhouse. May 3 to July 13 David White Coffee Lounge Scarborough Art Gallery Free with pass May 23 to Aug 17 British Surrealism: The Sherwin Collection mima, Middlesbrough Free Art shows are listed first. Timings are as correct as we can make them, but check our website for updates or call the venue.
A cracking month with excellent events in every art form known to humanity (well, almost). On the music front we are itching to see the great Geno Washington, intrigued by Albert Nyathi, and already packing our tents for the Solstice Weekend at Hayburn Wyke. For more outdoors how about the Zutons or Status Quo in the forest, or spend One Big Summer indoors at Vivaz. Visual art returns to Blandscliff and mima and Scarborough Art Gallery are showing major works. The SJT has kicked off its Things That Go Bump season with the literally spine-tingling Haunting Julia. And if that wasn't enough there's Bernard O'Donoghue and Fiona Shaw talking about classic literature, and you can start the month with a wine tasting and
May 23 to Aug 17
Material Culture: Recent
Donations
Stephen Joseph Theatre
Modern Art) Free mima (Middlesbrough Institute of
7:45 pm
May 24 to July 6
Curious Collecting
Vivaz
Scarborough Art Gallery
Modern Art) Free Scarborough Art Gallery Free with pass June 1 and continuing
Sigma at The Cask never visited
Australia revisited,
Free
Blandscliff Gallery
Scarborough Art Gallery Free with pass Blandscliff Gallery Free June 1 Plants and Bees
Herbal Apothecary, Whitby
Stephen Joseph Theatre
12:00 pm
7:30 pm £18.50 to £12
June 1
Geoff Laycock Big Band
Stephen Joseph Theatre
Vivaz 8:00 pm £2
7:45 pm
June 2 Red Wine Tasting
Le Chat Noir
6:00 pm £3
Vivaz 10:00 pm
Workshop
June 2 to 5
The Orphanage
£6 (£5)
Cask 8:45 pm £6 (£5)
June 3
Grand Theft Audio
8:00 pm
Valley Bar 8:00 pm Free
June 4 Scarborough
Jazz: Players Night
8:45 pm
June 2008
Sigma at The
Scarborough Poetry
£6 (£5)
June 12
Howe, Unity 4
June 11
Scarborough Jazz: Dylan
June 7 One Big Summer
June 6 to 12
In Bruges
Snake In The Grass
25, 26, 28, 30
June 5 to 14, then 19, 20,
EXHIBITION REVIEW - CURIOUS COLLECTING
using light and lenses. Sitting in the middle of all this is the monumental installation by Tony Cragg, titled New Stones, Newton's Tones, in which bits of discarded plastic are arranged into a majestic and aesthetically beautiful work. The note on Damien Hirst's piece acknowledges the task of the curator in bringing objects together, in much the same way as the artists in this exhibition. So how does this work? For me there is a bit too much variation in the motives and goals of the artists for this all to hang
Art for argument
June 2008
Free
£6 (£5)
IN RECOGNITION of last month's Rotunda re-opening, Curious Collecting contains various artists' responses to the notion of collecting and exhibiting. Works by Rebecca Warren and Nick Martin focus on museums, inviting us to ask ourselves what we are looking for in those peculiar glass cases; while Abigail Lane puts her camera inside a museum case to look out at the visitors. Alex Hartley puts a Monet behind frosted glass, frustrating our instinct to look at pictures just because they're famous, and Mariele Neudecker imposes a solar eclipse on an existing scene June 13 Bernard O'Donoghue St Mary's Parish Hall, Beverley 7:30 pm £5 June 13 to 21 (not Sun) Happy Go Lucky Stephen Joseph Theatre 7:45 pm £6 (£5) June 14 Classics Readers' Day Bridlington Spa 10:00 am £5 June 15 Dancing Queen Futurist 7:30 pm £19.50 (£18) June 16 to 18, 21, 23, 24, 27, 28 Haunting Julia Stephen Joseph Theatre 7:30 pm £18.50 to £12 June 18 Creative Coast Merchant 6:00 pm June 18 Scarborough Jazz: Thom Whitworth Sigma at The Cask 8:45 pm
June 20 & 21 Solstice Weekend Festival Hayburn Wyke 12:00 pm £5 June 20 Martin Stephenson Whitby Coliseum 8:00 pm £9 (£7) June 21 Northern Soul Night Vivaz 8:00 pm June 22 Geno Washington Stephen Joseph Theatre 7:30 pm £16 to £14 June 25 Scarborough Jazz: Sara Littlefield Sigma at The Cask 8:45 pm Free June 26 Scarborough Poetry Workshop Valley Bar 8:00 pm Free June 26 Albert Nyathi & Imbongi Whitby Coliseum 8 pm £10 (£8) together, and there is a divide between the pieces that respond to museums and those that are collections of objects
June 26 Global I Con Live Vivaz 8:00 pm June 27 and various dates to Aug 27 Cover Her Feet SJT Restaurant 1:10 pm £6 June 27 Natalie Rudd Art Gallery 12:30 pm Free June 27 Zutons Dalby Forest 7:00 pm £26 June 28 Status Quo Dalby Forest 7:00 pm £30 June 30 to July 3 Son Of Rambow Stephen Joseph Theatre 7:45 pm June 30 Comedy Club: Justin Moorhouse & Pete Firman Blue Lounge 8:00 pm £7 (£5) www.hightidemagazine.com or thoughts. Cragg's work fits well with David White in the coffee lounge. Both are looking at everyday throwaway stuff (in White's case, hundreds of TV programmes) and making it into something both endearing and enduring. These adventurous exhibitions present art that offers real, meaningful responses to the world. Not everything is going to work perfectly but these are shows we can get our teeth into and argue about. Get to them while you can. Curious Collecting: 23 May to 6 July; 433 Television drawings by David White 3 May to 13 July See our website for full event details
07
EATING OUT
Cho oo c c
hoo cha
bo oogie
They use local suppliers for everything from building work to food, and their site now includes the just-reopened Water Chute and boating lake that was part of Kinderland. So get along to North Bay, have a ride out to Scalby Mills, a brisk walk and then back to the bistro; it could become the thing to do in Scarborough. Café shop and trains: 10 to 4:30 £2.80 return trip, Café bistro 10 am to 11 pm June 2008
O
nce upon a time the traditional British seaside holiday seemed to be in terminal decline. But change is afoot and people are rediscovering the delights of the paddle, pier and prom, though this time around they want a bit of sophistication along with authenticity. Cue Lesley and David Humphreys, together responsible for the revival of a neglected corner of Scarborough's former glories. Lesley Humphreys wants to take us right back to the track with her Station House Café and bistro
The Humphreys took over the running of the North Bay railway 18 months ago, and recently took on a 25-year lease. That encouraged them to invest in the project and this month they will be opening a new café and bistro, The Glasshouse, to go alongside the also new Station House café. 'When we arrived,' Lesley explained, 'there was just the tiny green hut, used as a ticket office.' The new chalet-style buildings are impressive, with lots of outside seating, and give the whole area a lift. The Humphreys have also bought new locos for the railway as well as all-weather carriages. 'We intend to be open all year, with the bistro in particular appealing to Scarborough people,' says Lesley. The couple have long Scarborough connections and clearly relish being part of the revival of the town.
|
ADR Bulletin
Volume 11 | Number 6
Article 2
11-1-2009
Defining 'best practices of international arbitration': Perspectives from Australia: Part 2
Clyde Croft
Recommended Citation
Croft, Clyde (2009) "Defining 'best practices of international arbitration': Perspectives from Australia: Part 2," ADR Bulletin: Vol. 11: No. 6, Article 2.
Available at: http://epublications.bond.edu.au/adr/vol11/iss6/2
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.
Best practices of international arbitration for Asia
Defining 'best practices of international arbitration': Perspectives from Australia Part 2
Dr Clyde Croft SC
Globalisation has made international commercial arbitration more popular as a means of dispute resolution. In the Asia-Pacific region and since the early 1990s the number of arbitration requests received by the region's largest arbitral institutions has trebled.
This article looks at best practice for international arbitration and in particular how it works in Australia. Part 1 discussed the legal regime in Australia (including a current review) in the international context. It began to look at 'Interim measures of protection'. Part 2 focuses on 'Ex parte applications for interim protection measures' before reaching a conclusion about international arbitration in Australia.
Interim protection measures
Ex parte applications for interim protection measures
There is significant debate in the international arbitration community on whether arbitral tribunals ought to have jurisdiction to grant interim measures of protection on the basis of ex parte hearing, that is a hearing in the absence of all parties, particularly the parties expected to oppose the application.
The arguments in favour of a power to grant ex parte interim measures focus on the imperative of maintaining the status quo with respect to assets and other matters so that arbitration proceeding are not rendered nugatory as a result of assets being disposed of or placed outside the reach of the tribunal or court or courts enforcing a tribunal's award. It is also said that arbitral tribunals are in a position to deal with ex parte applications for interim measures more expeditiously than courts and are likely to be more familiar with a dispute, depending on the stage at which application is made. Opponents argue that conferring powers of this nature on tribunals undermines the consensual basis of arbitration processes and may lead to real or imagined concerns in relation to natural justice and procedural fairness, because in the ex parte application one party only (or one side of the dispute only) is communicating with the tribunal 'privately'. Opponents concede that a transcript or detailed notes of ex parte proceedings can and should be supplied to opposing parties subsequently but observe that they will not necessarily convey the nuances or all things said in an ex parte proceeding. Consequently an absent party may feel concerned that comments or submissions made at the hearing could have been rebutted by explanation but have been left unchallenged, possibly 'poisoning' the minds of the tribunal. Although generalisations are risky it seems that European civil law jurisdictions have less difficulty with ex parte applications for interim measures than those from common law countries.
Some jurisdictions seem to favour granting interim measures ex parte, Swiss law being an example. It is noted that, 73
Swiss authors have … favoured the arbitral tribunal's competence to issue ex parte interim measures. They maintain that ex parte applications to the tribunal and the taking of interim measures by the tribunal without hearing the affected party should be allowed … if a request for interim measures is urgent and/or if the communication of the request to the other party is likely to prejudice the effectiveness of the measure. [However] … the tribunal would be under an obligation to reassess its decision (shortly after the ex parte order is issued), giving both parties the opportunity to plead their case … This position corresponds to the solution provided for by most Swiss civil procedure rules. However, there seems to be no authoritative confirmation that, under Swiss law, an arbitral tribunal may actually order ex parte interim measures, following the described procedure.
Opponents of ex parte applications to tribunals for interim relief have also argued that such a power is unnecessary because parties can already make application to courts for interim measures on an ex parte basis. For reasons already alluded to it is said that allowing such applications to be heard could adversely affect perceptions of fairness and even-handedness of tribunals, and also of equal bargaining power between parties, contrary to the fundamental, underlying, 'consensual nature' of arbitration.
Arbitration's consensual nature generally dictates that both parties must agree on the manner in which the arbitration will be conducted and where it will be held. By conducting proceedings in the absence of one party, or one side, who will not hear or be able to respond to arguments with respect to interim relief it is said that the principle is offended. Nevertheless it should be kept in mind that arbitrations are usually conducted according to arbitration rules which all parties have agreed to apply. Consequently the rules may be said to be a manifestation of the consensual basis of arbitration — a consensus which may, in turn, limit parties' rights in accordance with agreed rules.
One opponent of allowing tribunals to grant interim measures ex parte has identified 10 reasons why applications should not be entertained on this basis. 74
120
........................................................................................................................................................................................................
Produced by The Berkeley Electronic Press, 2009
UNCITRAL developments
The UNCITRAL Working Group II (Arbitration) '… has devoted a considerable amount of time and effort to the issue of arbitral ordered interim measures and court enforcement of those measures.' 73 In 2000 some delegates made the point that it was important for parties to be able to apply to courts for interim measures before tribunals were established. Consequently the Working Group decided to address the uncertainty over whether and in what circumstances a court could order this type of measure.
As a result of growing problems and criticisms of Art 17 of the Model Law (in its original 1985 form) the Working Group began preparing a new article. One of the most controversial provisions relating to the article has been the proposal to empower arbitral tribunals to hear applications for interim measures ex parte. Swiss author Christian Oetiker noted: 76
Within the UNCITRAL Working Group on Arbitration, the Secretary-General of the ICC International Court of Arbitration has submitted an intermediary proposal supported by some authors and deserves profound consideration. Instead of granting arbitral tribunals the power to issue interim measures on an ex parte basis enforceable by state courts, the proposition is to put the tribunal in a position to issue so called preliminary measures if it believes that it must act upon an inter partes application for interim measures before the other side has had a full opportunity to respond. This approach has the advantage that the preliminary interim measures are granted in the open, the other party being notified of the request.
At its 38th Commission session in 2005 UNCITRAL noted the progress of the 41st session of the Working Group in 2004 and also of the 42nd session in 2005 in preparing and discussing a draft text for revision of Art 17, para 7 of the Model Law on the power of tribunals to grant interim measures of protection on an ex parte basis, the discussion of a draft provision on recognition and enforcement of interim measures of protection issued by a tribunal, and discussion of a draft article dealing with interim measures issued by state courts in support of arbitration.
principle of equal access by parties to arbitral tribunals and might expose such a revised Model Law to criticism.
UNCITRAL also noted at its 38th session that there had been a wide divergence of views expressed at the 42nd session of the Working Group in 2006 but that a compromise had been reached with respect to the draft of the text of Art 17 para 7, which contained a number of elements 77 with respect to preliminary orders. The first was that draft art 17 para 7 would apply unless otherwise agreed by parties; secondly that it should be made clear that preliminary orders had the nature of procedural orders and not awards and that no enforcement procedure would be provided for such orders in art 17 bis; and, thirdly that the issue of ex parte
The position reached by the Working Group in Vienna in 2005 is set out in the Report of the Working Group (A/CN9/589). This work was completed at the 44th session in New York in 2006 (see the Annotated Provisional Agenda for New York (A/CN.9/WG.11/WP.140 and the Report of the Working Group on Arbitration and Conciliation on the work of its forty-fourth session, New York, 2006 ('2006 New York Report')). 78
A significant issue that remained to be discussed in New York was the general style and extent of the proposed new art 17. This arose from the fact that the proposed additions are very extensive, particularly in comparison with a relatively short and concise drafting style of other articles
A provision which, in language and style, emphasised the unenforceability of interim measures of protection granted by arbitral tribunals might have the effect of discouraging the use of measures of this type and hence negate the effect of the proposed new provisions which are, nevertheless, intended to be 'binding' on parties to arbitration.
measures of protection remained contentious. The position adopted by the Working Group at the 43rd session in 2005 was that a compromise was reached at the 42nd session in 2006 and that ex parte interim measures of protection were not to be enforceable. The alternative position, but not one taken to be the compromise, was that if ex parte interim measures were to be enforceable the relevant provisions should be drafted as opt-in rather than opt-out provisions, so that they would only apply where parties had expressly agreed to their application. Critics of the ex parte interim measure proposals at the Working Group sessions were of the view that they were contrary to the in the Model Law. Consequently it was decided in New York that the new provisions should be located in a new Chapter IV [A]. A more substantive issue was the manner in which a proposed new art 17 might express the position that interim measures of protection granted by arbitral tribunals are not 'enforceable'.
Although this reflects the so-called, New York compromise, the language and style of drafting used to express the position has implications in terms of perceptions. A provision which, in language and style, emphasised the unenforceability of interim measures of protection granted by arbitral tribunals might have the effect of discouraging
ADR
the use of measures of this type and hence negate the effect of the proposed new provisions which are, nevertheless, intended to be 'binding' on parties to arbitration.
In a similar vein, care needed to be taken in proposed changes to avoid confusion between interim measures of protection and interim orders by arbitral tribunals so that the binding and enforceable character of the latter was not compromised. Similarly, the relationship between the power of state courts to make interim orders and the power of arbitral tribunals to grant interim measures and make interim orders generally needed to be made clear. These matters were resolved in the final draft provisions in New York by seeking to distinguish clearly between interim measures (which reflect the approach of the present provisions of Art 17) and preliminary orders, which may be obtained ex parte. Consistently with the 'compromise', draft Art 17 [C] provides in paragraph (5) that: 'A preliminary order shall be binding on the parties but shall not be subject to enforcement by a court. Such a preliminary order does not constitute an award.'
Another issue in relation to the proposed Art 17[C](5) provisions of the Model Law is the possible effect of a provision that provides for unenforceability of preliminary orders granted by tribunals on the position of a party in relation to state courts. At least in common law jurisdictions there appears to be a risk that in the absence of specific provision in the proposed art 17 dealing with the issue, a state court may take the view that a party has, or must make, an election to seek a preliminary order from the arbitrator or the state court. The consequence of this view would be that if a preliminary order has been obtained from the arbitral tribunal no further similar relief would be available from a state court even though the tribunal order is not enforceable, particularly as revised draft Model Law Art 17C(5) provides that it is 'binding'. A similar issue may arise in the state court's mind on the basis of a res judicata.
As a result of these deliberations a new Chapter IVA — Interim Measures and Preliminary Orders was adopted by UNCITRAL and subsequently the UN General Assembly in 2006. 79 The new Chapter IVA is as follows:
Section 1 — Interim measures Article 17. Power of arbitral tribunal to order interim measures
(1) Unless otherwise agreed by the parties, the arbitral tribunal may, at the request of a party, grant interim measures.
(2) An interim measure is any temporary measure, whether in the form of an award or in another form, by which, at any time prior to the issuance of the award by which the dispute is finally decided, the arbitral tribunal orders a party to:
(a) Maintain or restore the status quo pending determination of the dispute;
(b) Take action that would prevent, or refrain from taking action that is likely to cause, current or imminent harm or prejudice to the arbitral process itself;
(c) Provide a means of preserving assets out of which a subsequent award may be satisfied; or
(d) Preserve evidence that may be relevant and material to the resolution of the dispute.
Article 17A. Conditions of granting interim measure
(1) The party requesting an interim measure under article 17(2)(a), (b) and (c) shall satisfy the arbitral tribunal that:
(a) Harm not adequately reparable by an award of damages is likely to result if the measure is not ordered, and such harm substantially outweighs the harm that is likely to result to the party against whom the measure is directed if the measure is granted; and
(b) There is a reasonable possibility that the requesting party will succeed on the merits of the claim. The determination on this possibility shall not affect the discretion of the arbitral tribunal in making any subsequent determination.
article shall apply only to the extent the arbitral tribunal considers appropriate.
Section 2 — Preliminary orders Article 17B. Applications for preliminary orders and conditions for granting preliminary orders
(1) Unless otherwise agreed by the parties, a party may, without notice to any other party, make a request for an interim measure together with an application for a preliminary order directing a party not to frustrate the purpose of the interim measure requested.
(2) The arbitral tribunal may grant a preliminary order provided it considers that prior disclosure of the request for the interim measure to the party against whom it is directed risks frustrating the purpose of the measure.
(3) The conditions defined under article 17A apply to any preliminary order, provided that the harm to be assessed under article 17A(1)(a) is the harm likely to result from the order being granted or not.
Article 17C. Specific regime for preliminary orders
(1) Immediately after the arbitral tribunal has made a determination in respect of an application for a preliminary order, the arbitral tribunal shall give notice to all parties of the request for the interim measure, the application for the preliminary order, the preliminary order, if any, and all other communications, including by indicating the content of any oral communication, between any party and the arbitral tribunal in relation thereto.
(2) At the same time, the arbitral tribunal shall give an opportunity to any party against whom a preliminary order is directed to present its case at the earliest practicable time.
(3) The arbitral tribunal shall decide promptly on any objection to the preliminary order.
(2) With regard to a request for an interim measure under article 17(2)(d), the requirements in paragraphs (1)(a) and (b) of this
(4) A preliminary order shall expire after twenty days from the date on which it was issued by the arbitral tribunal. However, the arbitral tribunal may issue an interim
122
........................................................................................................................................................................................................
Produced by The Berkeley Electronic Press, 2009
measure adopting or modifying the preliminary order, after the party against whom the preliminary order is directed has been given notice and an opportunity to present its case.
(5) A preliminary order shall be binding on the parties but shall not be subject to enforcement by a court. Such a preliminary order does not constitute an award.
Section 3 — Provisions applicable to interim measures and preliminary orders
Article 17D. Modification, suspension, termination
(1) The arbitral tribunal may modify, suspend or terminate an interim measure or a preliminary order it has granted, upon application of any party or, in exceptional circumstances and upon prior notice to the parties, on the arbitral tribunal's own initiative.
Article 17E. Provision of security
(1) The arbitral tribunal may require the party requesting an interim measure to provide appropriate security in connection with the measure.
(2) The arbitral tribunal shall require the party applying for a preliminary order to provide security in connection with the order unless the arbitral tribunal considers it inappropriate or unnecessary to do so.
Article 17F. Disclosure
(1) The arbitral tribunal may require any party promptly to disclose any material change in the circumstances on the basis of which the measure was requested or granted.
(2) The party applying for a preliminary order shall disclose to the arbitral tribunal all circumstances that are likely to be relevant to the arbitral tribunal's determination whether to grant or maintain the order, and such obligation shall continue until the party against whom the order has been requested has had an opportunity to present its case. Thereafter, paragraph (1) of this article shall apply.
Article 17G. Costs and damages The party requesting an interim measure or applying for a preliminary order shall be liable for any costs and damages
ADR
caused by the measure or the order to any party if the arbitral tribunal later determines that, in the circumstances, the measure or the order should not have been granted. The arbitral tribunal may award such costs and damages at any point during the proceedings.
Section 4 — Recognition and enforcement of interim measures Article 17H. Recognition and enforcement
(1) An interim measure issued by an arbitral tribunal shall be recognized as binding and, unless otherwise provided by the arbitral tribunal, enforced upon application to the competent court, irrespective of the country in which it was issued, subject to the provisions of article 17I.
(2) The party who is seeking or has obtained recognition or enforcement of an interim measure shall promptly inform the court of any termination, suspension or modification of that interim measure.
(3) The court of the State where recognition or enforcement is sought may, if it considers it proper, order the requesting party to provide appropriate security if the arbitral tribunal has not already made a determination with respect to security or where such a decision is necessary to protect the rights of third parties.
Article 17I. Grounds for refusing recognition or enforcement 80
(1) Recognition or enforcement of an interim measure may be refused only: (a) At the request of the party against whom it is invoked if
the court is satisfied that:
(i) Such refusal is warranted on the grounds set forth in article 36(1)(a)(i), (ii), (iii) or (iv); or
(ii) The arbitral tribunal's decision with respect to the provision of security in connection with the interim measure issued by the arbitral tribunal has not been complied with; or
Bulletin of Bond University DRC
tribunal or, where so empowered, by the court of the State in which the arbitration takes place or under the law of which that interim measure was granted; or
(b) If the court finds that:
(i) The interim measure is incompatible with the powers conferred upon the court unless the court decides to reformulate the interim measure to the extent necessary to adapt it to its own powers and procedures for the purposes of enforcing that interim measure and without modifying its substance; or
(ii) Any of the grounds set forth in article 36(1)(b)(i) or (ii) apply to the recognition and enforcement of the interim measure.
Any determination made by the court on any ground in paragraph (1) of this article shall be effective only for the purposes of the application to recognize and enforce the interim measure. The court where recognition or enforcement is sought shall not, in making that determination, undertake a review of the substance of the interim measure.
Section 5 — Court-ordered interim measures Article 17J. Court-ordered interim measures
A court shall have the same power of issuing an interim measure in relation to arbitration proceedings, irrespective of whether their place is in the territory of this State, as it has in relation to proceedings in courts. The court shall exercise such power in accordance with its own procedures in consideration of the specific features of international arbitration.
The provisions of Article 1, paragraph (2) of the Model Law are also noted:
(iii) The interim measure has been terminated or suspended by the arbitral
(2) The provisions of this Law, except articles 8, 9, 17H, 17I, 17J, 35 and 36, apply only if the place of arbitration is in the territory of this State.
UNCITRAL Arbitration Rules
At the 50th Session of the UNCITRAL Working Group II (New York, 2009) extensive discussions continued in relation to the revision of the provisions of Art 26 of the Arbitration Rules and, particularly, whether they should be revised to clarify the circumstances, conditions and procedure for granting interim measures consistently with Chap IVA of the Model Law. 81 In any event, the proposed revised Art 26 was modelled on the new provisions on interim measures of protection contained in Chap IVA of the Model Law. Proposed Art 26 of the Arbitration Rules is in the following terms: 82
Article 26
1. The arbitral tribunal may, at the request of a party, grant interim measures.
2. An interim measure is any temporary measure by which, at any time prior to the issuance of the award by which the dispute is finally decided, the arbitral tribunal orders a party to:
(a) Maintain or restore the status quo pending determination of the dispute;
(b) Take action that would prevent, or refrain from taking action that is likely to cause, current or imminent harm or prejudice to the arbitral process itself;
(c) Provide a means of preserving assets out of which a subsequent award may be satisfied; or
(d) Preserve evidence that may be relevant and material to the resolution of the dispute.
3. The party requesting an interim measure under paragraph 2(a), (b) and (c) or a temporary order referred to under paragraph 5 shall satisfy the arbitral tribunal that:
party against whom the measure is directed if the measure is granted; and
(b) There is a reasonable possibility that the requesting party will succeed on the merits on the claim. The determination on this possibility shall not affect the discretion of the arbitral tribunal in making any subsequent determination.
4. With regard to a request for an interim measure under paragraph 2(d), the requirements in paragraph 3(a) and (b) shall apply only to the extent the arbitral tribunal considers appropriate.
prior notice to the parties, on the arbitral tribunal's own initiative.
7. The arbitral tribunal may require the party requesting an interim measure or applying for an order referred to in paragraph 5 to provide appropriate security in connection with the measure or the order.
8. The arbitral tribunal may require any party promptly to disclose any material change in the circumstances on the basis of which the interim measure or the order referred to in paragraph 5 was requested or granted.
5. If the arbitral tribunal determines that disclosure of a request for an interim measure to the party against whom it is directed risks frustrating that measure's purpose, nothing in these Rules prevents the tribunal, when it gives notice of such request to that party, from issuing a temporary order that the party not frustrate the purpose of the requested measure. The arbitral tribunal shall give that party the
9. The parties requesting an interim measure or applying for an order referred to in paragraph 5 may be liable for any costs and damages caused by the measure or the order to any party if the arbitral tribunal later determines that, in the circumstances, the measure or the order should not have been granted. The arbitral tribunal may award such costs and damages at any point during the proceedings.
10. A request for interim measures or an application for an order referred to
At the 50th Session of the UNCITRAL Working Group II ... extensive discussions continued in relation to the revision of the provisions of Art 26 ... and, particularly, whether they should be revised to clarify the circumstances, conditions and procedure for granting interim measures ...
earliest practicable opportunity to present its case and then determine whether to grant the requested measure. [15].
(a) Harm not adequately reparable by an award of damages is likely to result if the measure is not ordered, and such harm substantially outweighs the harm that is likely to result to the
124
6. The arbitral tribunal may modify, suspend or terminate an interim measure or an order referred to in paragraph 5 it has granted, upon application of any party or, in exceptional circumstances and upon
in paragraph 5 addressed by any party to a judicial authority shall not be deemed incompatible with the agreement to arbitrate, or as a waiver of that agreement. [16].
The position reached at previous sessions of the Working Group is recorded in the Secretariat Note as follows: 83
14. Paragraphs 1 to 4 and 6 to 9 are modelled on the provisions on
........................................................................................................................................................................................................
Produced by The Berkeley Electronic Press, 2009
vol
* 11no
❻
November 2009
interim measures contained in chapter IV A of the Model Law. The Working Group adopted in substance those paragraphs (A/CN.9/641, paras. 46-51), save for the addition of the reference to the 'order referred to in paragraph (5)', which has been inserted for the sake of consistency with the proposed new paragraph (5).
15. The Working Group noted that chapter IV A of the Model Law deals with preliminary orders and agreed to consider a draft paragraph expressing the notion that the arbitral tribunal was entitled to take appropriate measures to prevent the frustration of an interim measure that has been requested and that may be ordered by the arbitral tribunal (A/CN.9/641, para. 60). It is recalled that the Working Group was generally of the view that, unless prohibited by the law governing the arbitral procedure, bearing in mind the broad discretion with which the arbitral tribunal was entitled to conduct the proceedings under article 15, paragraph (1), the Rules, in and of themselves, did not prevent the arbitral tribunal from issuing preliminary orders (A/CN.9/641, para. 59).
16. Paragraph (10) corresponds to article 26, paragraph (3) of the 1976 version of the Rules which the Working Group agreed to retain in the Rules (A/CN.9/641, para.52). A reference to 'an application for an order referred to in paragraph 5' is proposed to be added for the sake of consistency with paragraph (5).
See also the APRAG Report on the 47th session. 84
In an attempt to shorten Art 26, the view having previously been expressed that the version in the Secretariat Note is out of proportion to the length of other Rules, a short version was proposed, in the following terms: 85
Article 26 — proposed short version
1. The arbitral tribunal may, at the request of a party, grant interim measures that it considers necessary for a fair and efficient resolution of the dispute. Upon application of any party or, in exceptional circumstances, on its own initiative, it may also modify, suspend or
ADR
terminate the measures granted.
2. Before ruling on a request for interim measures, the arbitral tribunal may order any other party not to frustrate the requested measure. Such preliminary orders may be made before the request has been communicated to any other party, provided the communication is made at the latest together with the preliminary order and such other party is afforded immediately an opportunity to be heard. [alternatively: delete article 15(3) which in any event is in conflict with the practice of those arbitral institutions and arbitral tribunals which require the parties to make their submissions to the institution or tribunal which then passes copies to the other parties.]
3. The arbitral tribunal may require the party requesting an interim measure or a preliminary order to provide appropriate security.
4. The arbitral tribunal may require any party promptly to disclose any material change in the circumstances on the basis of which the interim measure or preliminary order was requested or granted.
5. The arbitral tribunal may rule at any time on claims for compensation of any damage wrongfully caused by the interim measure or preliminary order.
6. A request for interim measures of whatever kind addressed by any party to a judicial authority shall not be deemed incompatible with the agreement to arbitrate, or as a waiver of that agreement.
In the course of the initial discussion in relation to the proposed short version of Art 26 it was noted that the detailed provisions of Art 26 in relation to interim measures as set out in the Secretariat Note reflected the regime adopted with respect to interim measures and preliminary orders in Chap IVA of the Model Law as adopted by UNICTRAL and the 39th session in 2006. The intention of what might be termed the long form proposed Art 26 was to give guidance to arbitral tribunals as to the sort of interim measures they could grant. 86
provisions in the Rules rather than the Model Law but that the Law provisions arose out of a need, or perceived need, to provide a regime for interim measures. The reasons behind the Model Law revisions in this respect remain and it was said that it is still a real problem in determining when interim measures might be granted and this issue was, it was suggested, addressed in the core provisions of paras (2) and (3) of the longer form proposed Art 26, which have been deleted in the proposed short version. It was suggested that arbitral tribunals would benefit from guidance in the Rules in relation to the scope of their powers to order interim measures, hence the desirability of provisions such as proposed paras (2) and (3) of the longer form version.
There was significant support for the view that the longer version of proposed Art 26 was desirable because it provides further guidance to tribunals. The further comment was made that were the provisions of the Rules in Art 26 to differ markedly from provisions of the Model Law in Chapter IVA there is a risk that the Rules provision would be interpreted differently from Model Law provisions, on the basis that differences in drafting must indicate different intended meaning. In support of the proposed short version it was suggested that there was no need for coincidence as between the Rules and Law because it did not necessarily follow that the Model Law would be the applicable law in any particular case, and to the extent to which that is mandatory it would apply in spite of any provisions in the Rules. Consequently it was said that there was no need for paras (2) and (3) as set out in the longer form version of Art 26, noting that the provisions were deleted from the proposed short version. It was also noted that these matters would be regulated by applicable law and developed in practice.
The comment was made that it might have been more logical to include these
It was further suggested that specific Rules may constrain powers conferred by the applicable law as the Rules may not include powers otherwise available under that law. In this respect it was observed again that the applicable law may not necessarily be the revised
Model Law containing the Chapter IVA provisions with respect to interim measures and preliminary orders. 87
The comment was also made that Art 26(2) in its longer form might possibly be restrictive by reference to the applicable law. Nevertheless, it was said that it is desirable to characterise the nature of interim measures which might be granted by a tribunal in the way proposed because in the debates with respect to Model Law modification there were not thought to be any interim measures outside these categories. Consequently it was suggested that the provisions of para (2) are unlikely to be restrictive in practice and are desirable for guidance.
Supporting and contrary views were expressed in this respect. In support it was suggested that the provisions of para (2) would create certainty in relation to what might be done by an arbitral tribunal by way of an interim measure as the position may otherwise vary significantly due to variations in applicable law. Although there was substantial support for the proposed short version of Art 26 it appeared that the support was based on different grounds and, consequently, it was thought better to follow the longer form text proposed in the Secretariat Note, and to address matters arising out of the short form version.
There was no objection to Art 26(1) as proposed in the Secretariat Note, 88 and broad support for keeping the definition of interim measures as set out in Art 26(2) as broad as possible. In order to ensure that para (2) was not interpreted restrictively the view was expressed that it would be desirable to redraft the introductory provisions to read that: 'an interim measure includes any temporary measure'.
The comment was made that this list of possible interim measures was made an exclusive list in the revised Model Law revisions 89 on the basis that courts might otherwise be reluctant to enforce interim measures and would be reassured if they knew that an order of the type granted fell within the enumerated list. Nevertheless, to ensure that the paragraph was not interpreted restrictively it was suggested that 'includes' should instead read 'includes without limitation'.
More generally it was said that the provisions of para (2) as proposed are practical and useful and will give guidance, noting that the guidelines in para (2) have been distilled from a wide variety of jurisdictions. Additionally, in order to ensure the flexibility of the para (2) provisions it was suggested that a further para (e) be added which would read: '(e) any other measure that the arbitral tribunal considers necessary for a fair and efficient resolution of the dispute'. The consensus was in favour of retaining Art 26(2) as set out in the Secretariat Note with the addition of 'includes without limitation' in the first sentence after the words 'an interim measure'.
In relation to para (3) of proposed Art 26 in the longer form, it was suggested that para (3) could be removed completely on the basis that the matter could be left to the applicable law. In opposition to this it was said that the main part of para (3) is para (a) and the main thrust of that provision is circumstance of current or imminent harm. In relation to para (b) the outcome of the Working Group discussion in relation to the Model Law was, in this respect, that it was most unlikely an arbitral tribunal would want to grant relief to a party that was not likely to succeed in arbitration on the merits.
Nevertheless, it was suggested that it is useful to give guidance to tribunals. 90 In the context of the para (3) discussion reference was made again to para (2), particularly para (b). More generally in relation to para (2) it was said that the whole point of retaining that paragraph would seem to be lost if the guiding principles contained in para (3) were removed. In relation to para (2)(b) it was said that there is some ambiguity as to whether these provisions are limited in their application to the arbitration process only. It was suggested that in order to avoid this confusion it would be helpful to recast para (2)(b) as follows:
(b) take action that would prevent, or refrain from taking action that is likely to cause:
(i) current or imminent harm; or
(ii) prejudice to the arbitration process itself;
As a result of ongoing discussion the consensus position reached was that para (3) of the longer form of proposed Art 26 should remain as in the Secretariat Note. Further comment was made that the key provisions of para (3)(a) resolve an issue upon which arbitral laws generally say very little until the 2006 revisions to the Model Law in Chapter IVA.
Consequently, it was said that it would be helpful to state the position as set out in para (a) because that matter is not likely to be dealt with in the applicable law. Further, it was said that removal of this clearly drafted solution at this stage might suggest that the Working Group did not think the test was appropriate which, it was suggested, is not the case.
The further comment was made that if these provisions were not retained in the Rules there is a risk that the arbitral tribunal would apply the 'irreparable harm' test rather than the 'balance of inconvenience' test now provided for in the Model Law; 91 and which may not be inconsistent with any applicable law which does not provide a test. It was said that para (3) is really an addendum to power conferred in para (1) and as a qualifier to the empowering provisions is properly included in the Rules. It was suggested that it might be appropriate to include a 'reminder' in para (3) which notes the possibility that there may be another test or tests required under the applicable law.
Para 26(4) as set out in the longer form version of Article 26 of the Secretariat Note was adopted without change. 92
It was noted that the para (5) provisions of the longer form proposed Art 26 in the Secretariat Note which provide for temporary orders ex parte do not mirror the provisions of Arts 17B and 17C of the 2006 Model Law which make provision for preliminary orders and conditions for granting them ex parte. In the debate the comment was made that it would be desirable to harmonise the terminology of the Rules and the revised Model Law and refer to a 'temporary order' in the Rules as a 'preliminary order, consistent with the revised Model Law provisions.
126
........................................................................................................................................................................................................
Produced by The Berkeley Electronic Press, 2009
The preliminary orders provisions included in the new Chap IVA of the revised Model Law have, in many jurisdictions, been regarded as controversial on the basis that the power of an arbitral tribunal to grant orders ex parte is contrary to the generally accepted position in many jurisdictions, where the view is that orders of this nature can and ought to only be granted by courts. In this vein objection was raised to proposed para (5) on the basis that ex parte preliminary orders are contrary to the consensual nature of arbitration and the proper venue for ex parte applications of this kind is a court.
It was noted that only a court order of this kind is enforceable and that even under the revised Model Law provisions a preliminary order, though binding on the parties, is not subject to court enforcement. 93 It was also noted that only a few countries had adopted the Model Law modifications contained in the new Chap IVA, because they took the view that ex parte preliminary orders were matters exclusively for courts. 94
traditions and jurisdictions provisions do exist for granting ex parte preliminary orders by tribunals. Consequently, it was suggested that para (5) might be acceptable as long as it was 'quarantined' to apply only to countries where applicable law permitted orders of this nature.
More generally, the comment was made that the present revision of the UNCITRAL Rules was called for as a result of concern over a number of defects which needed addressing. It was noted that interim ex parte measures was not a defect that had been identified. Further, it was noted that an important difference between an ex parte application for a preliminary order in a court, and a similar application in a tribunal, was that a judge hearing the ex parte application would not hear the case.
The position, it was said, is different with arbitration because the arbitrator or tribunal would also hear the main proceedings and may be prejudiced by hearing the ex parte application. Further, it was said that States are likely to be concerned at the prospect
inclusion of a provision such as para (5), but it was noted that amendments had been agreed by the Working Group in relation to the Rules' application provisions which would prevent retrospectivity.
A number of interventions were made from representatives of civil law jurisdictions indicating that arbitral tribunals are empowered to grant preliminary orders on ex parte applications in those systems. The further point was made that the provisions of para (5) are directed to 'real life' situations. It was observed that it might prove to be worthless to obtain a final award if the subject matter of the dispute has been disposed of — the example being that of the departing ship. It was also noted that the device eventually arrived at in the revised (2006) Model Law provisions, and the proposed provisions of Art 26 in longer form, was to recognise what has been happening in practice for some time. It was suggested that the practical step is that the tribunal will say to parties that it needs to hear both sides and
It was suggested that the practical step is that the tribunal will say to parties that it needs to hear both sides and consider the position but in the meantime would the 'offending' party not do [x]. It was suggested that the Rules' provisions should not prejudice that authority.
of arbitral tribunals hearing interim ex parte applications for preliminary orders under an arbitration clause adopting the UNCITRAL Arbitration Rules contained in a BIT. There was further discussion in relation to whether BITs would be 'amended retrospectively' in this respect as a result of revision of the Rules and
On this basis it was also suggested that inclusion of provisions for ex parte measures would affect the universality of the UNICTRAL Rules because some countries would not agree to a bilateral investment treaty (BIT) which adopted rules such as the proposed Art 26(5) providing for ex parte preliminary orders. It was suggested, however, that the proposed para (5) could be acceptable if redrafted to permit the granting of preliminary orders only and so long as the applicable law permitted their grant by a tribunal. However, it was also said the provision was ambiguous and could also be read as conferring power on an arbitral tribunal to grant interim ex parte orders where the applicable law did not confer the power.
consider the position but in the meantime would the 'offending' party not do [x]. It was suggested that the Rules' provisions should not prejudice that authority.
There was support for these views but it was noted that in different
Further, it was said that reliance on state courts for orders of this nature is not the answer because there may be delays and access to courts may be
ADR
difficult. Further, it was said that it is not always true that a judge who rules on a preliminary matter will not also rule on the merits at the end of trial. Concluding these comments it was said that there was no reason why the UNCITRAL Rules should not respect traditions of countries in which the mandatory law prevents granting ex parte preliminary orders by tribunals but that this caveat should not affect the inclusion of an empowering provision applicable to jurisdictions where this was not the position. In this respect it was also suggested that one solution might be to delete para (5) entirely and leave the whole matter to be determined by the applicable law.
proposed paragraph (5) of the longer form of Art 26 should be replaced with the following:
(5) Nothing in these Rules shall have the effect of creating (where it does not exist) or of limiting (where it does exist) any right of a party to apply to the arbitral tribunal for, and any power of the arbitral tribunal to issue, an interim measure without notice to a party.
As a result of further discussion and consultation it was suggested that the
As noted previously it was suggested that the expression 'interim measure' be replaced with 'preliminary order' to be consistent with revised Model Law provisions. Further suggestions were that the better solution was to delete the proposed provisions of para (5) completely, but there was consensus in favour of proposed para (5) that was
ADR RECENT DEVELOPMENTS
Court-ordered mediation of civil disputes in NZ
A pilot project in which private mediators will undertake courtordered mediation in some civil disputes has been recently launched in Auckland, New Zealand, by Courts Minister Georgina te Heuheu. 'Reducing the number of full hearings and freeing up judicial time for other matters will lead to faster resolution of disputes, which will be cheaper for the parties and the court,' Mrs te Heuheu said.
The pilot will involve the equivalent of 50 day-long mediations and it is anticipated that each mediation will take less than one day. The parties' agreement will be required.
'Mediation is currently carried out by Associate Judges', the Minister said. 'While this has resulted in a high success rate, Associate Judges are now spending large amounts of time mediating, rather than on cases that require judicial attention.'
Fifteen mediators have been appointed. The pilot will be funded by the Ministry of Justice and it will be reviewed before a decision is made to continue. ●
It's a dangerous business — Part II
Earlier in the year the ADR Bulletin reported on a woman who was charged with hitting and biting her mediator: see (2009) 11(2) ADR 26. During the mediation the woman threatened to kill her her ex-partner before attacking the mediator. The woman is now on a one-year good behaviour bond and has been ordered by the court to undergo anger management counselling and pay damages of $321.13 to the victim. ●
Mediation before foreclosure is working
the result of discussions and consensus in September 2007. 96
Reference was also made to the empowering provisions of Art 15 of the Rules (which in para 1 provide, inter alia, for parties to be treated with equality and be given full opportunity to present their case) as indicative of the problems in adopting the proposed para (5) of Art 26. As a result of further discussion it was agreed that the expression 'preliminary order' should be substituted for 'interim measure' in the proposed text set out above and it was agreed that there should be further clarification of the above text by adding after the words 'any power of the arbitral tribunal' the following words in place of those set out above:
use mediation to help reduce foreclosures during the current economy situation: see (2009) 11(4) ADR 87. The program gives homeowners who receive a default notice from lenders the right to seek mediation.
Nevada has had the most success in the US with 26% fewer foreclosures being reported. So far 60% of mediations have had positive outcomes. ●
Post-trial mediation to reduce appeals
The Arkansas Court of Appeals in the US, has started offering post-trial mediation. This mediation is aimed at reducing costly appeals. If both parties agree to mediation the parties have 60 days to come to an agreement, if they do not the case reverts to the normal appeals process.
Although post-trial mediation has been available in Arkansas since September 2008, the majority of lawyers and clients are still choosing the normal appeal process. It is believed this is because the waiting time for trials in Arkansas is less than that in other US jurisdictions.
The ADR Bulletin also reported earlier on the US scheme developed to
Pre-appellate mediation is also found in other jurisdictions. ●
128
........................................................................................................................................................................................................
Produced by The Berkeley Electronic Press, 2009
'in either case without prior notice to a party, a temporary order that the party not frustrate the purpose of a requested preliminary order'. It was also agreed to make further changes to the text set out above, as amended, by adding the words 'which exists outside these rules' after the words 'any right' and to delete the two sets of prior brackets.
Proposed paras (6), (7), (8) and (10) of the proposed longer form Art 26 set out in the Secretariat Note were agreed to without change, notwithstanding the removal of the reference to para (5). In relation to proposed para (9) of Art 26 it was agreed that the Secretariat would prepare on the way in which civil law jurisdictions deal with liability for damages when preliminary orders are subsequently not continued and the Working Group will decide whether this whole issue can be left to the applicable law or whether para (9) needs to become a substantive provision of the Rules.
The proposed short version of Art 26 deals with the issue addressed in para (9) of the longer form in more general terms providing that the 'arbitral tribunal may rule at any time on claims for compensation that any damage wrongfully caused by the interim measure or preliminary order'. In this respect the comment was made that it might be dangerous to adopt a proposal in this form and to delete the words 'wrongfully caused'.
The comment was made that it is not clear that if 'wrongfully' is omitted there is a further objective standard to apply, and that there might be costs in preserving evidence which, if characterised as damages, may be recoverable. Consequently the longer form para (9) approach was said to be preferable. Additionally, it was said that it may be desirable to include some reference in para (9) or its equivalent which says something along the lines of 'in light of the outcome of the case' — a provision which does not have the effect of providing that awards of costs and damages depend on the outcome of cases but means, in effect, that 'in light of the outcome of the case it turns out to have been an undue
ADR
measure'. 97 It was suggested that this provides a reminder that there is a substantive standard to assist determinations on this issue.
Conclusion
Australia is currently supported by internationally recognised and consistently applied international arbitration law.
The current review aims to achieve an even more comprehensive legal framework that best supports effective and efficient international arbitration by ensuring international best practice. ●
Clyde Croft is Director and Treasurer, Australian Centre for International Commercial Arbitration; Owen Dixon Chambers (Melbourne), Falcon Chambers (London). He can be contacted at firstname.lastname@example.org >.
This is part 2 of a two-part article. Part 1 appeared in ADR Bulletin 11.5. This article is based on a paper presented at the APRAG Conference, Seoul, 2009.
Endnotes
73. Christian Oetiker, 'Interim Measures of Protection' in Swiss Rules of International Arbitration: Commentary (2005) 234; see also K Hober, 'The trailblazers v the conservative crusaders, or why arbitrators should have the power to order ex parte interim relief' in Albert Van den Berg (ed), International Council for Commercial Arbitration — New Horizons for International Commercial Arbitration and Beyond (Kluwer, 2005) 273.
bar ethics. (10) Ex parte decisions and the arbitrator's liability.
75. Donovan, above note 57, 234
76. Oetiker, above note 73, 235.
77. See A/60/17, ¶175.
78. And see the APRAG Report on this session (<www.aprag.org>).
79. See above.
80. Note to 2006 Model Law revisions: 'The conditions set forth in article 17 I are intended to limit the number of circumstances in which the court may refuse to enforce an interim measure. It would not be contrary to the level of harmonisation sought to be achieved by these model provisions if a State were to adopt fewer circumstances in which enforcement may be refused'.
81. See the APRAG Report on the Fiftieth Session of UNCITRAL Working Group II (<www.aprag.org>).
82. See notes prepared by UNCITRAL Secretariat A/CN.9/WGII/WP.151 (6 August 2008), ¶14 to ¶16 (Secretariat Note).
83. Secretariat Note, ¶14 to ¶16.
84. Secretariat Note, ¶18 to ¶24 (<www.aprag.org>).
85. A/CN.9/WG.II/WP.152 (Annex).
86. As do provisions of ACICA Arbitration Rules, Art 28.2; and provisions of the ACICA Expedited Rules, Art 24.2.
87. As in Australia (and most other countries) where the 2006 Model Law revisions have not yet been adopted.
88. Secretariat Note, ¶14 to ¶16.
89. See Art 17(2) of the revised
Model Law provisions (2006).
74. Hans Van Houtte, 'Ten reasons against a proposal for ex parte interim measures of protection in arbitration' (2004) 20 Arbitration International 85. The reasons are: (1) The UNCITRAL Model Law is an improper vehicle. (2)Is there a need for ex parte measures? (3) Incompatibility with the consensual nature of arbitration. (4)\ Incompatibility with respect for the rights of defence. (5) Ex parte measures are difficult to enforce. (6) Ex parte decisions make prejudiced arbitrators. (7) Ex parte measures and the party-appointed arbitrator. (8) Some ex parte measures are irreversible. (9) Ex parte measures and
90. As do the provisions of ACICA Arbitration Rules, Art 28.3 and ACICA Expedited Arbitration Rules, Art 24.3.
91. See Art 17A(1) of the revised Model Law (2006); which is also the test applied in the provisions.
92. Secretariat Note, ¶14 to ¶16.
93. See Art 17C(5).
94. See above.
95. See the APRAG Report of the 48th session; ¶8 to ¶10
(<www.aprag.org>).
96. See the APRAG Report of the
47th session, ¶24 (<www.aprag.org>).
97. Note the provisions of the ACICA Arbitration Rules, Art 28.7 and Expedited Arbitration Rules, Art 24.7.
|
research-article
701025 research-article2017
HIS
0010.1177/1178632917701025Health Services InsightsOhsfeldt et al
Outcomes of Surgeries Performed in Physician Offices Compared With Ambulatory Surgery Centers and Hospital Outpatient Departments in Florida
Robert L Ohsfeldt 1 , Pengxiang Li 2 , John E Schneider 3 , Ivana Stojanovic 3 and Cara M Scheibling 3
1School of Public Health, Texas A&M University, College Station, TX, USA. 2Perelman School of Medicine, University of Pennsylvania, Philadelphia, PA, USA. 3 Avalon Health Economics LLC, Morristown, NJ, USA.
ABSTRACT
Background: The proportion of outpatient surgeries performed in physician offices has been increasing over time, raising concern about the impact on outcomes.
Objective: To use a private insurance claims database to compare 7-day and 30-day hospitalization rates following relatively complex outpatient surgical procedures across physician offices, freestanding ambulatory surgery centers (ASCs), and hospital outpatient departments (HOPDs).
Methods: A multivariable logistic regression model was used to compare the risk-adjusted probability of hospitalization among patients after any of the 88 study outpatient procedures at physician offices, ASCs, and HOPDs over 2008-2012 in Florida.
Results: Risk-adjusted hospitalization rates were higher following procedures performed in physician offices compared with ASCs for all procedures grouped together, for most procedures grouped by type, and for many individual procedures.
Conclusions: Hospitalizations following surgery were more likely for procedures performed in physician offices compared with ASCs, which highlights the need for ongoing research on the safety and efficacy of office-based surgery.
Keywords: Ambulatory surgery, office-based surgery, outcomes, hospitalization rates, surgical quality, quality of care
RECEIVED: September 23, 2016. ACCEPTED: December 16, 2016.
Peer Review: Four peer reviewers contributed to the peer review report. Reviewers' reports totaled 886 words, excluding any confidential comments to the academic editor.
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.
TYPE: Original Research
Funding: The author(s) disclosed receipt of the following financial support for the research, authorship, and/or publication of this article: This research was funded in part by an unrestricted research grant from the Florida Society of Ambulatory Surgery Centers.
Introduction
There have been some concerns, however, regarding the quality of surgical procedures provided in physician offices relative to more fully equipped and staffed hospital outpatient department (HOPD) and ambulatory surgery center (ASC) settings. Although some studies based on state-level adverse event reporting systems have not revealed any major quality problems, studies with more rigorous study designs have uncovered some quality differences between surgical procedures performed in physician offices and other outpatient settings.
The number of outpatient surgeries performed in physician offices in the United States has risen dramatically over the past 30 years, increasing from about 110 000 procedures in 1981 to 12 million procedures in 2009. 1,2 Growth in officebased surgical procedures is attributable to a number of factors, most notably physicians seeking greater autonomy, technological advances making office-based surgery feasible for more procedures, as well as the potential to enhance physician office revenue. 3,4
In this article, we build on the existing research on outcomes for office-based surgery, as summarized in the "Background" section. Specifically, we conduct a retrospective study of the likelihood of hospitalization following outpatient surgery in
CORRESPONDING AUTHOR: Robert L Ohsfeldt, Texas A&M University, 212 Adriance Lab Rd, 1266 TAMU, College Station, TX 77843-1266, USA. Email: email@example.com
Florida, from 2008 through 2012, using a large private insurance claims database. Our study compares the risk-adjusted rates of all-cause hospitalizations occurring within 7 and 30 days after procedure across facility type (physician offices, ASCs, or HOPDs) for one of the 88 relatively complex outpatient surgical procedures included in the study.
Background
Conceptual context
There are important differences between physician officebased surgery and surgery performed in ASCs and HOPDs, in several dimensions: (1) regulation, (2) surgeon volume and learning, (3) credentialing and peer review, and (4) facilities and equipment. Concerns about the safety and efficacy of officebased surgery are largely predicated on these differences. 5–10
Physician office-based surgery is largely unregulated, with fewer requirements for adverse event reporting, risk management, and quality improvement processes in physician offices as opposed to ASCs and HOPDs. 7,11 Regulation does not guarantee safer or better outcomes, but it does establish uniform minimum standards and reporting requirements which are generally designed to reduce variation in practice patterns and improve adherence to best clinical practices. 12–14
https://doi.org/10.1177/1178632917701025 Health Services Insights Volume 10: 1–21 © The Author(s) 2017 Reprints and permissions: sagepub.co.uk/journalsPermissions.nav DOI: 10.1177/1178632917701025
Surgeon volume and learning-by-doing are also likely to play an important role in differential outcomes between physician offices and more intensive settings. 15 One of the defining characteristics of office-based surgery is that it is less resource intensive. But lower resource intensity can also limit the number of surgeries that can be performed in the office setting, which in turn may lessen the ability of officebased surgeons to capture the learning-by-doing benefits of higher volume. Lower volumes are likely to affect other members of the surgery team; in physician offices where surgery is largely a part-time activity, it may be difficult to attract higher quality anesthesiologists and surgical assistants.
The lower resource intensity of physician offices has potentially important implications for safety. Medical equipment and buildings are expensive but play an important role in clinical outcomes and safety. 7,16–18 Without a requirement to construct or equip a surgical suite according to uniform minimum standards consistent with the construction and equipping of ASCs and HOPDs, it is possible for some office-based surgical suites to be underequipped and less prepared for adverse events. Even routine equipment can also have implications for outcomes. A specific example is sterilization. Immediate-use steam sterilization (IUSS), formerly referred to as "flash sterilization" is relatively inexpensive, requires fewer instrument sets, and is commonly used in office-based surgery practices. However, IUSS has been shown to be a less effective sterilization technique than using a full-cycle sterilizer, which is the norm for ASCs and HOPDs. 19–22
A related and important difference between offices and other settings is that office-based surgeons are generally not subject to detailed credential review, in contrast to surgeons seeking access to surgical facilities at an ASC or HOPD. 16 They are also less likely to be subject of a formal review process for their adverse outcomes, particularly for office-based surgeons practicing solo or in small groups, where even informal peer review is less likely to occur. Moreover, office surgeons are the prime authority in their surgical suite; the checks and balances that are normally present in ASCs and HOPDs may or may not be present in office settings (eg, physician offices may not have autonomous medical directors and administrators). 14
Prior studies
Most existing studies of this issue do little or nothing to adjust for differences in the clinical factors affecting the risk of complications among patients who presented to different types of surgery sites. For example, a survey-based study of officebased liposuction by Housman et al 23 used data from members of the American Society for Dermatologic Surgery listed as performing liposuction. A total of 261 dermatologic surgeons provided data on 66 570 liposuction procedures. No deaths were reported. The overall serious adverse event (SAE) rate was 0.68 per 1000 cases. The SAE rates were higher for hospitals and ASCs than for nonaccredited office settings. Serious adverse event rates were also higher for tumescent liposuction combined with intravenous or intramuscular sedation than combined with oral or no sedation. However, no risk adjustment was performed in this study. Given the likelihood of higher case complexity for ASCs and HOPDs, higher observed complication rates are expected and may not indicate differences in quality across settings.
One of the more rigorous comparative observational studies to date is by Fleisher et al. 25 The authors conducted a claims analysis of patients undergoing 16 different surgical procedures in a nationally representative (5%) sample of Medicare beneficiaries (1994-1999). Mortality rates, emergency department risk, and admission to a hospital within 7 days of outpatient surgery were compared across physicians' offices, ASCs, and HOPDs. Rates were risk-adjusted for age, sex, race, and comorbidity using multivariable logistic regression. The analytic data file contained information on 564 267 outpatient surgical procedures: 360 780 at an HOPD, 175 288 at an ASC, and 28 199 at a physician's office. The risk-adjusted 7-day mortality rate was 35 per 100 000 outpatient procedures at physicians' offices, 25 per 100 000 outpatient procedures at ASCs, and 50 per 100 000 outpatient procedures at HOPDs. The risk-adjusted rate of admission to a hospital within 7 days of outpatient surgery was 9.08 per 1000 outpatient procedures at physicians' offices, 8.41 per 1000 outpatient procedures at ASCs, and 21 per 1000 outpatient procedures at HOPDs.
Comparative retrospective studies with more rigorous study designs incorporating some form of risk adjustment enable more meaningful conclusions about outcomes. For example, using the Florida adverse event registry data, Vila et al 24 found that adverse incidents occurred at a rate of 66 per 100 000 procedures in physician offices compared with 5.3 per 100 000 procedures in ASCs (relative risk = 12.4; 95% confidence interval [CI]: 9.5-16.2). Similarly, the death rate per 100 000 procedures performed was 9.2 in offices compared with 0.78 in ASCs (relative risk = 11.8; 95% CI: 5.8-24.1). The authors concluded that "if all office procedures had been performed in ASCs, approximately 43 injuries and 6 deaths per year could have been prevented."
In this article, we expand on the analytic approach used by Fleisher et al 25 in several aspects beyond the use of commercial claims data rather than Medicare claims data. First, we employ a more comprehensive set of risk measures in our risk adjustment model. Second, we examine a wider range of specific outpatient surgical procedures (88 compared with 15). Finally, we use more recent data. The goal of the article is to build on existing research to expand understanding of the role of surgical facility type on outcomes of relatively complex outpatient surgical procedures.
Methods
Data
We conducted a retrospective study of surgical outcomes using a large private insurance claims database, specifically the Truven Health MarketScan Commercial Claims and Encounters Database, for Florida over the period 2008 through 2012, which was the most recent 5-year period available when this research was conducted. Florida was chosen because of its large population overall, its relatively large share of residents aged 65 years and older (19.4% compared with 14.9% for the United States in 2015), and its relatively high proportion of expenditures for physicians and other professional services (30.9% compared with the US average of 27.4% in 2009). 26 The MarketScan database contains individual-level, de-identified, health care claims information from employers, health plans, hospitals, Medicare, and Medicaid programs. These databases reflect the real world of treatment patterns and costs by tracking millions of patients as they travel through the health care system offering detailed information about all aspects of care. Data from individual patients are integrated from all providers of care, maintaining all health care utilization connections at the patient level.
Procedure complexity was measured using the work RVU, which is a component of the Medicare (Part B) physician payment system based on the Current Procedure Terminology (CPT) code for the procedure. The payment formula contains 3 RVU components: physician work, practice expense, and malpractice expense. A code with a higher work RVU generally takes more time, more intensity, or some combination of the 2. Thus, our underlying assumption in using the work RVU cutoff is that, in general, work RVU approximates procedure complexity. A total of 88 surgical procedures met these criteria (see Table A1 for descriptions). This represents a wider range of procedures compared with the 15 procedures included in the Fleischer et al 25 study.
There were thousands of different surgical procedures performed at outpatient facilities during the time period, so one of the first tasks was to reduce the number of index surgical procedures for analysis and reporting purposes. We selected outpatient procedures using the following criteria: (1) we only selected procedures that had at least 100 office-based procedure claims over 2008-2012 (ie, at least an average of 20 procedures per year) and (2) a "work relative value unit" (work RVU) of at least 4.0 (ie, relatively complex procedures). 27 The volume threshold was selected to eliminate procedures with an insufficient sample of office-based cases for analysis. The focus on relatively complex procedures was applied because, as noted in the "Background" section, theory predicts that differences in outcomes across types of surgery settings are least likely to be observed for low-complexity procedures. 28
The location of services (physician office, ASC, or HOPD) was determined by the place of service code in the claims. In addition, patients with claims for study procedures were required to have insurance coverage during the month of and the month after the procedure.
The initial study sample consisted of 4 080 800 claims with CPT codes for one of the 88 study procedures in Florida for 2008-2012. From this initial sample, 139 243 claims were excluded because the surgical facility type was not one of the 3 study facility types. After combining claims with the same patient number, CPT code, data of service, and location of service, the sample included 2 807 857 unique surgical procedures. From this total, 148 531 procedures were excluded because the patients did not have insurance coverage in both the month before and the month after surgery, leaving a final study sample of 2 757 016 procedures (see Figure 1).
Measurement
Dependent variable.The main outcome measure used as the dependent variable in our multivariable logistic regression model was hospitalization within 7 days (or alternatively hospitalization within 30 days) of the surgical procedure index date. Postprocedure hospitalization is a standard measure of surgery outcomes 29,30 and was used as an outcome measure in the Fleisher et al 25 study. All-cause hospitalizations were identified based on inpatient claims with admission dates within 7 or 30 days of the selected index procedures.
Independent variables.Risk adjustment facilitates a more meaningful comparison of hospitalization rates across surgical sites, given the likelihood of differences in patient severity or complexity across surgical sites. To implement risk adjustment, in addition to categorical variables for types of surgical sites, our multivariable logistic regression model included as independent variables a comorbidity index, patient age, patient sex, Major Diagnostic Category (MDC), geographic region, employment status, and year. 31–33 The specific comorbidity index used was the Centers for Medicare and Medicaid Services-Hierarchical Condition Category (CMS-HCC), which was developed by the CMS as a summary index based on 189 medical condition indicators. 34 Although designed to be used for risk-adjusted payments, it has demonstrated better performance relative to the commonly used Charlson and Elixhauser indices. 35 In general, patients with higher scores are less healthy and therefore at higher risk of future hospitalizations.
Statistical analysis
We first performed a descriptive analysis of the extent of transition from HOPD or ASC-based settings to officebased settings for the 88 study procedures from the beginning of the study period (2008-2009) to the end of study period (2011-2012). The risk-adjusted hospitalization rates across settings were estimated by multivariable logistic regression models using Stata Version 14.2 (www.stata.com). A HuberWhite robust standard error estimation procedure was used to account for potential variance components when estimating standard errors, such as the potential for repeated
Figure 1.Sample flowchart. CPT indicates Current Procedure Terminology.
outcome measures for the same patients (ie, some patients might have received multiple treatments for study procedures during the study period).
Three sets of logistic regression models were estimated. The first was a model with data for all 88 procedures as a pooled group. The pooled model included as independent variables a set of dummy variables for each CPT code procedure. The second is a set of models for CPT procedures grouped by the type of condition being treated (eg, CPT 40490-49999 for "Digestive" procedures). The final set of models examined each of the 88 procedure codes as separate models.
Results
Utilization by setting
Work RVU, volume, and utilization by setting for the procedure groups are shown in Table 1. The overall change in procedure setting from ASCs and HOPDs to office settings was relatively low among the procedures selected for analysis, most likely attributable to exclusion of less complex procedures (RVU < 4) that might have been most likely to move to physician offices. The total proportion of all of the 88 study procedures performed in physician office settings in the earlier period (2008-2009) was 6.7% and grew to 8.0% in the later period (2011-2012), with an aggregate change of about 1.2%.
The procedures with the highest levels of change to office settings were in the cardiovascular system group (CPT 33010-37799), increasing from 30.3% in physician offices in the earlier period (2008-2009) to nearly 50% by the later time period (2011-2012). This change was mainly due to an overall 79% increase in volume for CPT 36475 over this period, coupled with a high physician office volume share for this procedure (87%). In addition, procedures of the female genital system and integumentary system had relatively high levels of change to office settings (4.88% and 4.64%, respectively) in the period 2008-2012. Procedure volumes and the physician office share of procedures for individual procedures within CPT groupings are reported in Table A2.
Hospitalization rates
Risk adjustment models for the likelihood of hospitalization converged for a model with all of the 88 study procedures pooled together and also converged for models for 12 CPT groupings based on standard body system categories (eg, cardiovascular). Risk adjustment models also converged for 71 of the 88 individual CPT procedures. Failure to converge for the remaining 17 study procedure models was a result of a very low procedure volume for the specific procedure in 1 or more of the 3 site categories, or a very low rate of postprocedure hospitalization overall, or a combination of both. Rates of 7-day and 30-day hospitalizations were compared between office, ASC, and HOPD settings for the study of all 88 study procedures as a group, by 12 CPT groupings, and for the 71 individual procedure models. Differences in risk-adjusted rates across sites were tested for statistical significance.
All study procedures.The rates of hospital admissions (7-day and 30-day) for all 88 study procedures are reported in Table 2. The table also shows the differences between observed (unadjusted) rates and risk-adjusted rates. For the 7-day admission measure, observed rates are lowest for ASCs (0.59%), with observed rates for physician offices only slightly higher at 0.68%, and HOPD observed rates are substantially higher at 2.02%. After adjustment for the observed risk factors included in our multivariable logistic regression model (see Table A4), the office-based rate more than doubles (to 1.57%), whereas the ASC rate increases by 39% (to 0.82%) and the HOPD rate decreases by 15% (to 1.71%). The 30-day admission measure shows a similar pattern, with observed rates roughly similar for ASCs and physician offices but substantially higher for HOPDs and with risk adjustment increasing the physician office and ASC rates but reducing the HOPD rate.
Procedure groups.A comparison of risk-adjusted hospitalization rates (7-day and 30-day post-index procedure) by setting and by procedure group is reported in Table 3. The physician
Table 1.Surgical procedures performed in physician offices, by surgery code group, 2008–2012.
Abbreviations: CPT, Current Procedure Terminology; RVU, relative value unit.
Authors' analysis of Truven MarketScan commercial claims data; see text for description.
Table 2.Observed rates and risk-adjusted rate of hospital admissions within 7 and 30 days after procedure.
| | Office | ASC | HOPD | Office | ASC | HOPD |
|---|---|---|---|---|---|---|
| Total (N) 195 530 748 802 1 711 684 195 530 748 802 1 711 684 | | | | | | |
| Overall observed rate, % 0.68 0.59 2.02 1.62 1.69 3.33 | | | | | | |
| Overall risk-adjusted rate, % 1.57 0.82a 1.71a 2.72 2.03a 2.98a | | | | | | |
Abbreviations: ASC, ambulatory surgery center; HOPD, hospital outpatient department.
Authors' analysis of Truven MarketScan commercial claims data; see text for description.
a
Difference between rates of office setting and rates of other settings statistically significant at office risk-adjusted 7-day hospitalization rate is higher than the ASC rate for 8 of the 12 procedure groups ( P < .05), with no statistically significant difference for 3 of the procedure groups, and a higher ASC rate ( P < .05) for 1 procedure group (cardiovascular). Similarly, the physician office risk-adjusted 30-day hospitalization rate is higher than the ASC rate for 8 of the 12 procedure groups ( P < .05), with no statistically significant difference for 2 of the procedure groups, and a higher ASC rate ( P < .05) for 2 procedure groups (cardiovascular and integumentary). Among the procedure groups with a lower risk-adjusted 30-day hospitalization rate for ASCs, the largest absolute difference is a 7.4 percentage point lower risk of ASCs in the "hemic and lymphatic" procedure group (22.3% vs 14.9%), whereas the largest proportional differences are a 83% lower rate for the "auditory" group (0.90% vs 0.15%) and a 68% lower rate for the "nervous" procedure group (5.1% vs 1.6%).
P⩽.05.
For HOPDs, the risk-adjusted 7-day and 30-day hospitalization rates were lower than the physician office rates (P< .05) for 2 procedure groups (hemic and lymphatic; eye and ocular). The risk-adjusted HOPD 7-day admission rate was higher than the physician office rate (P< .05) for 4 procedure groups, with no statistically significant difference for the remaining 8 procedure groups. Similarly, the risk-adjusted HOPD 30-day admission rate was higher than the physician office rate (P< .05) for 5 procedure groups, with no statistically significant difference for the remaining 7 procedure groups.
Specific procedures.Among the specific procedures within groupings (Table A3), the risk-adjusted rate of 7-day hospitalization for office-based procedures was greater than the ASC rate (P< .05) for 30 of the 71 individual CPT code models, with no statistically significant difference for the remaining 41
Table 3.Risk-adjusted hospital admission rates within 7 and 30 days after the procedure.
| CPT groups | Group/system | Office | | ASC | | |
|---|---|---|---|---|---|---|
| | | 7-day | 30-day | 7-day | 30-day | 7-day |
Abbreviations: ASC, ambulatory surgery center; CPT, Current Procedure Terminology; HOPD, hospital outpatient department.
Authors' analysis of Truven MarketScan commercial claims data; see text for description.
a
Difference between rates of office setting and rates of other settings statistically significant at
CPT models. Similarly, the risk-adjusted 30-day hospitalization rate for office-based procedures was greater than the ASC rate (P< .05) for 27 of the 71 individual CPT code models, with no statistically significant difference for the remaining 44 CPT models. None of the models indicated a statistically significant higher risk-adjusted ASC rate for either hospitalization measure.
P⩽.05.
bladder defect) had a P value of about 6.6e−80 (ie, a t ratio of 19.1). Applying the adjustment factor to .05 for k= 1 yields a significance criterion of .00074 (ie, .05 × (1/71)), which is larger than the P value for the ASC coefficient, so the null hypothesis of no difference is rejected. Similarly, for the procedure model with the 24th smallest P value (CPT = 20926, removal of tissue for graft), applying the adjustment factor to .05 for k= 24 yields a significance criterion of .0169 (ie, .05 × (24/71)), which in this case is smaller than the P value for the ASC coefficient (P= .0173), so the null is not rejected.
To be conservative, statistical significance for the 71 individual procedure models was reassessed using a false discovery rate control approach suggested by Glickman et al, 36 as an alternative to the traditional Bonferroni adjustment for multiple comparisons. This approach entails sorting the 71 procedure models from the smallest to the largest P value for the estimated ASC coefficient and then applying an adjustment factor of (k/N) to the significance level (.05) to test the statistical significance for the kth model, where k is the rank order of the sorted models. For example, the procedure model with the smallest P value for the ASC coefficient (CPT 57288, repair
Focusing on specific procedures, the largest significant difference in outcomes between an office setting and ASC was tissue removal for graft (CPT 20926), which had risk-adjusted 7-day postsurgery hospitalization in the office setting nearly 12 times higher than that of ASCs (78.70% vs 6.59%, respectively) and 30-day hospitalization rates more nearly 11 times higher than that of ASCs (78.50% vs 7.28%, respectively). Similarly, the difference in outcomes for the same procedure was 2 times higher in an office setting compared with an HOPD setting for both risk-adjusted 7-day and 30-day hospitalizations, although the work RVU for this procedure is a relatively low 5.79.
After applying this adjustment to the P< .05 significance level for all 71 procedures, the risk-adjusted rate of 7-day hospitalization for office-based procedures was statistically greater than the ASC rate for 23 of the 71 individual CPT code models, and the risk-adjusted 30-day hospitalization rate for officebased procedures was statistically greater than the ASC rate (P< .05) for 21 of the 71 individual CPT code models.
The risk-adjusted 7-day hospitalization rate for officebased procedures was greater than the ASC rate (P< .05) for 7 of the 12 most complex procedures (work RVU > 10) and was greater than the ASC rate (P< .05) in 8 of the 12 models for the risk-adjusted 30-day hospitalization rate. In contrast, for the 12 least complex procedures included in the study (work RVU between 4.0 and 4.9), the risk-adjusted hospitalization rate for office-based procedures was greater than the ASC rate (P< .05) for 3 of the 12 models for 7-day hospitalization and for 4 of the 12 models for 30-day hospitalization.
The individual surgical procedure in which there was the largest significant difference in outcomes between an office setting and HOPD was shoulder arthroscopic surgery (CPT 29824), which had risk-adjusted 7-day postsurgery hospitalization in the office setting more than 4 times higher than that of HOPD (4.51% vs 0.94%, respectively) and 30-day hospitalization rates more than 3 times higher than that of HOPD (5.55% vs 1.67%, respectively). In addition, the same procedure had a risk-adjusted 7-day hospitalization rate in an office setting 9 times higher than that of the ASC setting (4.51% vs 0.46%, respectively) and 30-day hospitalization rate nearly 5 times higher than that of the ASC setting (5.55% vs 1.18%, respectively). The work RVU for this procedure is 8.98, which implies a more complicated and lengthy surgical process.
Discussion
In addition, our analysis of risk-adjusted rates of hospitalizations following procedures performed in physician offices, ASCs, and HOPDs found significantly higher hospitalization rates after procedures performed in physician office settings compared with ASCs for most of the procedures studied. Across all 88 procedures included in the study, 7-day hospitalization rates were nearly 2 times higher for patients receiving procedures in an office setting compared with an ASC setting (P< .05). Similarly, 30-day hospitalization rates for surgical procedures performed in office settings were about 34% higher than the ASC rate for the total of 88 procedures (P< .05).
Using a retrospective analysis of more than 1 million private health insurance claims in Florida from 2008 to 2012, we found high rates of change in the volume of procedures by facility type—moving from ASCs and HOPDs to physician offices—for a small number of the 88 surgical procedures examined in the analysis. However, for most of the 88 procedures, change rates were relatively low. These low observed rates of procedure volume shift to physician office settings probably reflects the focus on 88 relatively high-complexity procedures included in this study.
Similar, though, less consistent results were obtained for models where procedures were grouped by CPT code category or for models focused on specific procedures. Point estimates usually indicated that risk-adjusted hospitalization rates were higher for office-based procedures compared with ASC procedures, but the estimated differences were often not statistically significant, particularly for relatively low-complexity procedures.
One inconsistent finding is for the cardiovascular CPT code group, where the results indicate a statistically significant higher 7-day and 30-day hospitalization rate for ASC compared with office-based procedures. However, the cardiovascular group consisted of only 2 CPT codes: 36475, which is usually performed in physician offices (87% volume share), and 36561, which is rarely performed in physician offices (2.2% volume share), as shown in Table A2. When estimated separately, the model for CPT 36475 fails to converge, due in part to very low overall postprocedure hospitalization rates (<0.5%), which coupled with a low HOPD volume share (2.6%) results in no post-HOPD procedure hospitalizations observed in the data. The point estimate ASC coefficient in the CPT 36561 model is positive (consistent with the cardiovascular group result) but not statistically significant (see Table A3).
With respect to the 71 individual procedure models, the results indicated a statistically significant lower hospitalization rate for ASC compared with office-based procedures for about one-third of the 71 procedures, but none of the remaining individual procedure models indicated statistically significant differences in physician office and ASC hospitalization rates.
Another inconsistent result is for the integumentary CPT code group, where a statistically significant higher 30-day hospitalization rate for ASC compared with office-based procedures was found. The integumentary CPT code group consists of 10 CPT codes, which not only includes 5 procedures (17311, 14060, 14040, 15823, and 19350) with physician volume shares ranging from 12% to 93% and an average work RVU value of 8.0 but also includes 4 procedures (19318, 19380, 19125, and 19301) with an average work RVU value of 11 and low physician volume shares (<3%). Individual CPT code models converged for 8 of the 10 integumentary group codes, but only 2 models (19120 and 19318) had statistically significant ASC coefficients, both of which indicated lower 7-day and 30-day hospitalization rates for ASC compared with office-based procedures.
Taken as a whole, our results are consistent with those of Fleischer et al, 25 who used Medicare data to examine postsurgery hospitalization rates and mortality rates in offices, ASCs, and HOPDs. In that study, the rate of admission to an inpatient hospital within 7 days of outpatient surgery was 9.08 per 1000 outpatient procedures at physicians' offices, 8.41 per 1000 outpatient procedures at ASCs, and 21 per 1000 outpatient procedures at HOPDs. Our study finds substantially larger differences between the physician office and ASC settings in the privately insured population, but the direction of the results across studies is consistent.
Limitations
This study has several important limitations. First, our study sample is limited to Florida and may not be representative of other states or national trends. Second, unlike Fleisher et al, the Truven MarketScan database did not support any assessment differences in mortality across settings. Instead, our analysis focused on all-cause postprocedure hospitalizations (which also were analyzed in Fleischer et al) as our outcome measure. Of course, postprocedure hospitalizations may or may not be directly attributable to the index procedures. This limitation is not as serious as it might seem because if postprocedure hospitalizations are completely unrelated to index procedures, we would expect to find no significant differences in the rates of hospitalizations between the 2 settings. Thus, any significant
differences in risk-adjusted postprocedure hospitalizations that we detect across settings should be, on average, attributable to differences in some types of complication related to the index procedure across settings.
Fortunately, we may be able to infer the potential direction of bias-based information presented in Table 2. Risk-adjusted hospitalization rates for office-based procedures were substantially higher than observed rates, whereas risk-adjusted rates were lower than actual rates for HOPDs. The ASCs fell in between, with risk-adjusted rates slightly higher than actual rates. This suggests that the lowest risk cases would tend to be treated in an office-based setting, and the highest risk cases would tend to be treated in an HOPD (with ASCs somewhere in between). Indeed, a recent unpublished study confirms that patients undergoing surgery from HOPDs were more likely to have serious comorbid conditions and more likely to have been hospitalized or have an emergency department visit 1 year prior to the date of surgery, compared with patients undergoing surgery in physician offices. 37 Under this assumption, if the true quality of care is approximately equal across settings, we would expect the lowest (unadjusted) hospitalization rates to be for office-based sites and the highest (unadjusted) rates for HOPD. Furthermore, under these assumptions, with "perfect" risk adjustment (no nonignorable unobserved risk factors), the risk-adjusted hospitalization rates would be similar across settings (ie, if true quality is assumed to be equal).
However, the occurrence of a complication ultimately resulting in hospitalization could be attributable to either errors in the process of care or specific clinical characteristics of patients placing them at higher risk of complications. As an observational study (instead of a randomized clinical trial), we cannot assume that patient risk factors were similar for patients receiving index procedures across settings. We used multivariable logistic regression to adjust for differences in observed patient risk factors among patients receiving index procedures across settings, but differences in unmeasured patient risk factors may remain. This creates the potential for bias when making inferences about differences in outcomes attributable to differences in settings.
The fact that the risk-adjusted rates were not found to be equal across settings suggests some combination of treatment quality heterogeneity or imperfect risk adjustment—riskadjusted hospitalization rates consistently were higher in office and HOPD settings compared with ASCs.
Unfortunately, the results do not allow us to make much of an inference regarding HOPD vs ASC quality (ie, the higher HOPD rate could result from higher unmeasured risk for HOPD patients with equal quality, or inferior quality, or some elements of both). However, the adjusted rates are worse for office-based care vs ASC care, which (given the likely favorable selection into office-based care) cannot be dismissed as an artifact of imperfect risk adjustment. In other words, the fact that ASCs had lower risk-adjusted hospitalization rates compared with office-based sites, even though ASCs treated higher risk patients, implies that ASCs on average provide a higher quality of care than office-based settings.
Summary
Our findings update and expand on, but generally confirm, the findings reported in the Fleischer et al 25 study using Medicare claims data. For the 88 relatively complex outpatient surgical procedures included in our study, the risk-adjusted rate of hospitalization generally was higher for patients undergoing procedures at a physician's office compared with those treated at an ASC, for both 7-day and 30-day postprocedure hospitalization measures. This pattern was most consistent for higher complexity procedures, consistent with theory. Risk-adjusted hospitalization rates also generally were higher for HOPDs compared with ASCs, but that result may be an artifact of unmeasured risk factors not accounted for in our risk adjustment model.
Conclusions
Using a rich data set of more than 1 million private health insurance claims in Florida from 2008 to 2012, we found high rates of change in setting from ASCs and HOPDs to physician offices for some of the study procedures, but low rates of change for many other procedures. This suggests that the observed high rate of growth in office-based outpatient procedures overall is dominated by growth in relatively low-complexity procedures not included in our study. For the more complex procedures included in our analysis, we found that risk-adjusted rates of hospitalizations following procedures in physician offices were significantly higher compared with ASCs for many of the procedures studied. These findings do not necessarily imply that office-based surgery universally results in poor outcomes but do suggest a need for ongoing research on the safety and efficacy of office-based surgery to facilitate guidance for determining, given patient severity, specific outpatient procedures that are appropriate for the less-intensive office-based setting and specific procedures that should ideally remain in the relatively more intensive ASC and hospital outpatient settings.
Author Contributions
RLO, PL, and JES conceived and designed the experiments, jointly developed the structure and arguments for the paper, and made critical revisions and approved the final version. PL, IS, and CS analyzed the data. RLO, PL, IS, and CS wrote the first draft of the manuscript. JES contributed to the writing of the manuscript. RLO, PL, JES, IS, and CS agree with the manuscript results and conclusions. All authors reviewed and approved the final manuscript.
Disclosures and Ethics
As a requirement of publication, author(s) have provided to the publisher signed confirmation of compliance with legal and ethical obligations including, but not limited to the, following:
authorship and contributorship, conflicts of interest, privacy and confidentiality, and (where applicable) protection of human and animal research subjects. The authors have read and confirmed their agreement with the ICMJE authorship and conflict of interest criteria. The authors have also confirmed that this article is unique and not under consideration or published in any other publication, and that they have permission from rights holders to reproduce any copyrighted material. Any disclosures are made in this section. The external blind peer reviewers report no conflicts of interest.
References
2. Urman RD, Shapiro FE. Improving patient safety in the office: the Institute for Safety in Office-Based Surgery. APSF Newslett. 2011;26:3–4.
1. American Hospital Association. The migration of care to non-hospital settings: have regulatory structures kept pace with changes in care delivery? TrendWatch, July 2006. http://www.aha.org/research/reports/tw/twjuly2006migration.pdf.
3. Henderson JA. Physician office-based surgery: significant growth opportunity. Health Ind Today. 1989;52:18–19, 22, 30.
5. Hancox JG, Venkat AP, Hill A. Why are there differences in the perceived safety
4. Pike IM. Outpatient endoscopy possibilities for the office. Gastrointest Endosc Clin N Am. 2002;12:245–258.
of office-based surgery? Dermatol Surg. 2004;30:1377–1379.
7. Urman RD, Punwani N, Shapiro FE. Patient safety and office-based anesthesia. Curr Opin Anaesthesiol. 2012;25:648–653.
6. Bert JM. Pros and cons of practice-owned and office-based ambulatory surgery centers. Am J Knee Surg. 2000;13:245–248.
8. Melloni C. Morbidity and mortality related to anesthesia outside the operating room. Minerva Anestesiol. 2005;71:325–334.
Curr Opin Anaesthesiol. 2008;21:480–485.
9. Perrott DH. Anesthesia outside the operating room in the office-based setting.
10. Van De Velde M, Kuypers M, Teunkens A, Devroe S. Risk and safety of anesthesia outside the operating room. Minerva Anestesiol. 2009;75:345–348.
12. Brown S. Accreditation of ambulatory surgery centers. AORN J. 1999;70: 814–818, 821.
11. Quattrone MS. Is the physician office the wild, wild west of health care? J Ambul Care Manage. 2000;23:64–73.
13. Brownstein GM, Baker PA. Outpatient facility standards: what is necessary for satisfactory outcomes? Clin Plast Surg. 2013;40:363–370.
15. Chukmaitov AS, Devers KJ, Harless DW. Is there a relationship between physician and facility volumes of ambulatory procedures and patient outcomes? J Ambul Care Manage. 2008;31:354–369.
14. Urman RD, Philip BK. Accreditation of ambulatory facilities. Anesthesiol Clin. 2014;32:551–557.
16. Evron S, Ezri T. Organizational prerequisites for anesthesia outside the operating room. Curr Opin Anaesthesiol. 2009;22:514–518.
17. Hatlestad D. Surgery: not just for hospital anymore. Part I: responding to the surgical patient in distress. Emerg Med Serv. 2002;31:67–70, 72, 74 passim.
19. Hutzler L, Kraemer K, Iaboni L. A hospital-wide initiative to eliminate preventable causes of immediate use steam sterilization. AORN J. 2013;98:597–607.
18. Sutton JH. Office-based surgery regulation: improving patient safety and quality care. Bull Am Coll Surg. 2001;86:8–12.
20. Leonard Y, Speroni KB, Atherton M, Corriher J. Evaluating use of flash sterilization in the OR with regard to postoperative infections. AORN J. 2006;83:672–680.
22. Smart JD, Belkoff SM, Mears SC. The effectiveness of a program to reduce the rate of flash sterilization. J Arthroplasty. 2012;27:1267–1270.
21. Shelby D, Kras B, Bryant S. Reducing the frequency of immediate-use sterilization: a systematic multidisciplinary approach. AORN J. 2012;96:496–506.
23. Housman TS, Lawrence N, Mellen BG. The safety of liposuction: results of a national survey. Dermatol Surg. 2002;28:971–978.
25. Fleisher LA, Pasternak LR, Herbert R. Inpatient hospital admission and death after outpatient surgery in elderly patients: importance of patient and system characteristics and location of care. Arch Surg. 2004;139:67–72.
24. Vila H Jr, Soto R, Cantor AB, Mackey D. Comparative outcomes analysis of procedures performed in physician offices and ambulatory surgery centers. Arch Surg. 2003;138:991–995.
26. Kaiser Family Foundation. State health facts. http://kff.org/statedata/.
28. Paruch JL, Merkow RP, Bentrem DJ. Impact of hepatectomy surgical complexity on outcomes and hospital quality rankings. Ann Surg Oncol. 2014;21:1773–1780.
27. Bergersen L, Gauvreau K, McElhinney D. Capture of complexity of specialty care in pediatric cardiology by work RVU measures. Pediatrics. 2013;131:258–267.
29. Shnaider I, Chung F. Outcomes in day surgery. Curr Opin Anaesthesiol 2006;19:622–629.
.
30. Herrera FJ, Wong J, Chung F. A systematic review of postoperative recovery outcomes measurements after ambulatory surgery. Anesth Analg. 2007;105:63–69.
32. DeLong ER, Peterson ED, DeLong DM. Comparing risk-adjustment methods for provider profiling. Stat Med. 1997;16:2645–2664.
31. Jones RH, Hannan EL, Hammermeister KE. Identification of preoperative variables needed for risk adjustment of short-term mortality after coronary artery bypass graft surgery. The Working Group Panel on the Cooperative CABG Database Project. J Am Coll Cardiol. 1996;28:1478–1487.
33. Iezzoni LI. Range of risk factors. In: Iezzoni LI, ed. Risk Adjustment for Measuring Health Care Outcomes. Chicago, IL: Health Administration Press; 2003.
35. Li P, Kim MM, Doshi JA. Comparison of the performance of the CMS Hierarchical Condition Category (CMS-HCC) risk adjuster with the Charlson and Elixhauser comorbidity measures in predicting mortality. BMC Health Serv Res. 2010;10:245.
34. Pope GC, Kautter J, Ellis RP. Risk adjustment of Medicare capitation payments using the CMS-HCC model. Health Care Financ Rev. 2004;25:119–141.
36. Glickman ME, Rao SR, Schultz MR. False discovery rate control is a recommended alternative to Bonferroni-type adjustments in health studies. J Clin Epidemiol. 2014;67:850–857.
37. Demiralp B, Belausteguigoitia D, Zhang Q , Koenig L. Comparison of care in hospital outpatient departments and physician offices. Final report, KNG Health Consulting, LLC. http://www.aha.org/content/15/hopdcomparison. pdf. Published 2015.
Appendix 1
Table A1.Descriptions of 88 procedures selected for analysis.
Current Procedural Terminology (CPT) 2014, American Medical Association.
Table A2.Proportion of procedures performed in physician offices, 2008-2012.
(Continued)
CPT
Short description
Work RVU
Total number
Proportion of
| CPT | Short description | Work RVU | Total number of surgeries (2008–2012) | Proportion of procedures in office (2008–2012), % |
|---|---|---|---|---|
| 31254 Revision of ethmoid sinus 4.64 9127 0.9 | | | | |
| 31288 Nasal/sinus endoscopy surg. 4.57 8905 1.1 | | | | |
| 28090 Removal of foot lesion 4.55 4131 8.9 | | | | |
| 69610 Repair of eardrum 4.47 5089 20.1 | | | | |
| 45380 Colonoscopy and biopsy 4.43 487 571 1.4 | | | | |
| 42820 Remove tonsils and adenoids 4.22 48 730 0.4 | | | | |
| 45381 Colonoscopy submucous inj. 4.19 18 866 0.9 | | | | |
| 57520 Conization of cervix 4.11 6394 5.5 | | | | |
| Total N/A 2 382 127 7.3 | | | | |
Table A3.Risk-adjusted hospital admission rates within 7 and 30 days after the procedure, 71 procedure models with risk adjustment.
| CPT | Short description | Office | | ASC | | |
|---|---|---|---|---|---|---|
| | | 7-day | 30-day | 7-day | 30-day | 7-day |
Abbreviations: ASC, ambulatory surgery center; CPT, Current Procedure Terminology; HOPD, hospital outpatient department.
Authors' analysis of Truven MarketScan commercial claims data; see text for description.
a Difference between office setting rates and rates of others settings statistically significant at P ⩽.05. Based on 71 procedures for which risk adjustment regressions converged. Ranked from highest work RVU to lowest work RVU.
Table A4.Full regressions of hospital admissions within 7 and 30 days after procedure on main sample.
| 7-day | | | | |
|---|---|---|---|---|
| OR | P > z | 95% CI | OR | P > z |
(Continued)
| 7-day | | | | |
|---|---|---|---|---|
| OR | P > z | 95% CI | OR | P > z |
(Continued)
| | 7-day | | | 30-day | | |
|---|---|---|---|---|---|---|
| | OR | P > z | 95% CI | OR | P > z | 95% CI |
| Male reproductive 1.77 .015 1.12–2.79 1.66 .006 1.16–2.37 | | | | | | |
| Female reproductive 1.44 .006 1.11–1.87 1.50 0 1.21–1.87 | | | | | | |
| Pregnancy, childbirth 3.11 0 2.24–4.33 2.46 0 1.85–3.28 | | | | | | |
| Blood 1.78 .002 1.24–2.54 2.57 0 1.97–3.34 | | | | | | |
| Myeloproliferative diseases 2.51 0 1.86–3.38 2.15 0 1.68–2.74 | | | | | | |
| Injuries, poisonings 3.14 0 2.21–4.47 2.64 0 1.96–3.54 | | | | | | |
| Health status 1.39 .023 1.05–1.84 1.07 .58 0.85–1.35 | | | | | | |
| Others 6.11 0 4.03–9.26 4.93 0 3.47–7.00 | | | | | | |
| Cons 0.00 0 0.00–0.00 0.00 0 0.00–0.01 | | | | | | |
Abbreviations: ASC, ambulatory surgery center; CI, confidence interval; CMS-HCC, Centers for Medicare and Medicaid Services-Hierarchical Condition Category; CPT, Current Procedure Terminology; MDC, Major Diagnostic Category; OR, odds ratio.
|
UNIVERSITI PUTRA MALAYSIA
DEVELOPMENT OF KENAF BAST FIBER-BASED INSULATION PAPER FOR POWER TRANSFORMER APPLICATIONS
MUHAMMAD UMAIR
FK 2022 85
DEVELOPMENT OF KENAF BAST FIBER-BASED INSULATION PAPER FOR POWER TRANSFORMER APPLICATIONS By MUHAMMAD UMAIR Thesis Submitted to the School of Graduate Studies, Universiti Putra Malaysia, in Fulfilment of the Requirements for the Degree of Doctor of Philosophy January 2022
All material contained within the thesis, including without limitation text, logos, icons, photographs and all other artwork, is copyright material of Universiti Putra Malaysia unless otherwise stated. Use may be made of any material contained within the thesis for non-commercial purposes from the copyright holder. Commercial use of material may only be made with the express, prior, written permission of Universiti Putra Malaysia.
© COPYRIGHT UPM Copyright © Universiti Putra Malaysia
Abstract of thesis presented to the Senate of Universiti Putra Malaysia in fulfilment of the requirement for the degree of Doctor of Philosophy
DEVELOPMENT OF KENAF BAST FIBER-BASED INSULATION PAPER FOR POWER TRANSFORMER APPLICATIONS By MUHAMMAD UMAIR January 2022 Chair : Norhafiz Bin Azis, PhD Faculty : Engineering Due to the shortage of wood for paper and other applications, non-wood fibers such as Kenaf are utilized for papermaking. Kenaf bast fiber is known as one of the common non-wood fibers used for this purpose. Currently, there are only a few studies that are carried out for Kenaf papers as solid insulation in transformers. Furthermore, the impact of beating and Polyvinyl Alcohol (PVA) on Kenaf paper is quite limited, necessitating further investigation into its feasibility to improve the physio-mechanical and electrical properties. First, the Kenaf bast fibers were collected locally and pulping was carried out using soda pulping methods. The resulting Kenaf pulp was then subjected to various beating revolutions to improve the pulp's strength properties. The beating process was carried out at 3,000, 6,000, 9,000, and 12,000 beating revolutions. PVA was added to the Kenaf pulp after 12,000 beating revolutions. The internal PVA was carried out by adding PVA at weight percentage concentrations of 3%, 6%, 9%, and 12% after the beating stage. The external PVA was obtained by coating the Kenaf paper with 12,000 beating revolutions with PVA at weight percentage concentrations of 2%, 4%, and 6%. Next, the Kenaf papers with different treatments were examined for the physio-mechanical and electrical performances. Apparent density, Tensile Index (TI), Burst Index (BI), and Tear Index (TeI) measurements were carried out to observe the impact of beating and PVA on the physio-mechanical properties of Kenaf paper. Surface resistivity and dielectric constant were measured to determine the dielectric properties of Kenaf paper. An oil-impregnated Kenaf paper was prepared in Mineral Oil (MO) for the measurement of AC breakdown voltage and Partial Discharge (PD) activities. The AC breakdown voltage measurement was carried out based on spherical electrodes with a diameter of 12.5 mm, with both sides facing each other. A Scanning Electron Microscopy (SEM) image was obtained after the AC
breakdown voltage to observe the effect of electric discharge on Kenaf bast fibers. The maximum PD amplitude and PD repetition rate were measured based on a needle-plane electrode configuration at a gap distance of 50 mm for an applied voltage of up to 30 kV. The Partial Discharge Inception Voltage (PDIV) was obtained at different voltage levels.
© COPYRIGHT UPM It is observed that beating improves the apparent density, TI, and BI of Kenaf paper due to enhancement of fibrillation in Kenaf bast fibers. The beating decreases the average surface resistivity while the average dielectric constant and AC breakdown voltage increase. The PDIV of Kenaf paper decreases as the beating revolutions increase, while the maximum PD amplitude and repetition rate increase. The addition of internal and external PVA further improves the apparent density, TI, and BI of Kenaf paper. The surface resistivity, dielectric constant and AC breakdown voltages, and strength of Kenaf paper are also enhanced with the internal and external PVA. The PDIV of Kenaf paper slightly decreases with the internal and external PVA. The maximum PD amplitude and PD repetition rates of Kenaf paper slightly increase with internal PVA at all applied voltages but decrease with external PVA at voltages of 20 kV, 25 kV, and 30 kV. The TI and BI of the Kenaf paper increased by 197% and 364% with 6% external PVA. Similarly, the highest AC breakdown voltage is observed for the 3 layers of Kenaf paper with 6% external PVA with a value of 36.30 kV. The highest improvement of dielectric constant can be up to 211% for the Kenaf paper with 12% internal PVA. The findings of this study present the minimum thickness, apparent density, and TeI requirements for solid insulation materials in power transformers. However, the TI of Kenaf paper is slightly lower than the required criteria for power transformers, which can be improved with enhancement materials. On the other hand, the AC breakdown strength of Kenaf paper is higher than Kraft paper, while the dielectric constant is comparable. Based on mechanical and electrical properties, Kraft paper has a potential that can be explored further for use in power transformers.
Abstrak tesis yang dikemukakan kepada Senat Universiti Putra Malaysia sebagai memenuhi keperluan untuk ijazah Doktor Falsafah
PEMBANGUNAN KERTAS PENEBAT BERASASKAN GENTIAN BAST KENAF UNTUK APLIKASI PENGUBAH KUASA Oleh MUHAMMAD UMAIR Januari 2022 Pengerusi : Norhafiz bin Azis, PhD Fakulti : Kejuruteraan Disebabkan oleh kekurangan kayu untuk kertas dan aplikasi lain, gentian bukan kayu seperti Kenaf digunakan untuk pembuatan kertas. Gentian kulit kayu kenaf diketahui sebagai salah satu gentian bukan kayu yang biasa digunakan untuk tujuan ini. Pada masa ini, hanya ada beberapa kajian yang dijalankan untuk penggunaan kertas Kenaf sebagai penebat pepejal dalam pengubah. Tambahan pula, kesan rentakan dan Polivinil Alkohol (PVA) pada kertas Kenaf agak terhad, yang memerlukan penyelidikan lebih lanjut mengenai kebolehlaksanaannya untuk meningkatkan sifat fisio-mekanikal dan elektrikal. Pertamanya, gentian kulit kayu Kenaf dikumpulkan di sini dan pembuatan pulpa dilakukan menggunakan kaedah soda pulping. Pulpa Kenaf yang dihasilkan kemudian mengalami berbagai putaran rentakan untuk meningkatkan sifat kekuatan pulpa. Proses rentakan dilakukan pada 3,000, 6,000, 9,000 dan 12,000 putaran rentakan. PVA ditambahkan kepada pulpa Kenaf selepas 12,000 putaran rentakan. PVA dalaman dilakukan dengan menambahkan PVA pada kepekatan peratus berat iaitu 3%, 6%, 9%, dan 12% selepas tahap rentakan. PVA luaran diperoleh dengan melapisi kertas Kenaf dengan 12,000 putaran rentakan dengan PVA pada kepekatan peratus berat iaitu 2%, 4%, dan 6%. Seterusnya, kertas Kenaf dengan rawatan yang berbeza diperiksa untuk prestasi fisio-mekanikal dan elektrikal. Pengukuran ketumpatan ketara, Indeks Tegangan (TI), Indeks Pecah (BI) dan Indeks Koyak (TeI) dilakukan untuk melihat kesan rentakan dan PVA terhadap sifat fisio-mekanikal kertas Kenaf. Keberintangan permukaan dan pemalar dielektrik diukur untuk menentukan sifat dielektrik kertas Kenaf. Kertas Kenaf yang disi tepu dengan minyak disediakan dalam Minyak Mineral (MO) untuk pengukuran aktiviti voltan pemecah arus ulang alik (AU) dan Pelepasan Separa (PD). Pengukuran voltan pemecah AU dilakukan dengan elektrod sfera yang berdiameter 12.5 mm, dengan kedua sisi
saling berhadapan. Imej Mikroskopi Elektron Pengimbasan (SEM) diperoleh selepas voltan pemecah AU untuk memerhatikan kesan pelepasan elektrik kepada gentian kulit kayu Kenaf. Amplitud maksimum PD dan kadar pengulangan PD diukur berdasarkan konfigurasi elektrod satah jarum pada sela jarak 50 mm untuk voltan kenaan hingga 30 kV. Voltan Permulaan Pelepasan Separa (PDIV) diperoleh pada tahap voltan yang berbeza.
© COPYRIGHT UPM Diperhatikan bahawa rentakan meningkatkan ketumpatan ketara, TI dan BI kertas Kenaf disebabkan oleh peningkatan fibrilasi pada gentian kulit kayu Kenaf. Rentakan mengurangkan purata keberintangan permukaan sementara purata pemalar dielektrik dan voltan pemecah AC meningkat. PDIV kertas Kenaf menurun ketika putaran rentakan meningkat, sementara amplitud maksimum dan kadar pengulangan PD meningkat. Penambahan PVA dalaman dan luaran meningkatkan lagi ketumpatan ketara, TI dan BI kertas Kenaf. Keberintangan permukaan, pemalar dielektrik, voltan pemecah AC dan kekuatan kertas Kenaf juga ditingkatkan dengan PVA dalaman dan luaran. PDIV bagi kertas Kenaf sedikit menurun dengan PVA dalaman dan luaran. Amplitud maksimum PD dan kadar pengulangan PD bagi kertas Kenaf sedikit meningkat dengan PVA dalaman pada semua voltan kenaan, tetapi menurun dengan PVA luaran pada voltan 20 kV, 25 kV, dan 30 kV. TI dan BI bagi kertas Kenaf meningkat sebanyak 165% dan 217% dengan 6% PVA luaran. Begitu juga, voltan pemecah AC tertinggi diperhatikan untuk tiga lapisan kertas Kenaf dengan 6% PVA luaran iaitu 36.30 kV. Peningkatan pemalar dielektrik tertinggi boleh mencapai 210% untuk kertas Kenaf dengan 12% PVA dalaman. Kajian ini membentangkan ketebalan minimum, ketumpatan ketara, dan keperluan TeI untuk bahan penebat pepejal dalam pengubah kuasa. Walau bagaimanapun, TI bagi kertas Kenaf adalah lebih rendah sedikit daripada kriteria yang diperlukan untuk pengubah kuasa, yang boleh diperbaiki dengan bahan penambahbaik. Sebaliknya, kekuatan pecahan AC bagi kertas Kenaf lebih tinggi daripada kertas Kraft, manakala pemalar dielektrik pula adalah setanding. Berdasarkan sifat mekanikal dan elektrik, kertas Kraft mempunyai potensi yang boleh diterokai lebih lanjut untuk digunakan dalam pengubah kuasa.
ACKNOWLEDGEMENTS
First of all, I would like to praise and thank the Almighty God, the all great without whom I could not have completed my research work successfully. I would like to express my deep and sincere gratitude and appreciation to my supervisor, Associate Professor Dr. Norhafiz Azis for the continuous support of my Ph.D. study and related research, for his patience, motivation, and immense knowledge. His dynamism, vision, sincerity, and motivation have deeply inspired me. I could not have imagined having a better supervisor and mentor for my Ph.D. study. Thanks to UPM for the financial support given. I would like to express my gratitude to my co-supervisors Dr. Professor Rasmina Halis and Associate. Prof. Dr. Jasronita Jasni for their guidance that helped me in the Ph.D. journey. I would like to thank my parents Abdul Qayoom and Rasheeda Qayoom; and my wife Sadaf Umair for their love, prayers, and sacrifices. My special thanks go to my younger brother Muhammad Azhar for his continuous support, love, motivation, prayers, and caring. Last but not least, special thanks to my friends Avinash Srikanta Murthy and my other lab colleagues for their support and advice throughout my Ph.D. journey.
This thesis was submitted to the Senate of Universiti Putra Malaysia and has been accepted as fulfilment of the requirement for the degree of Doctor of Philosophy. The members of the Supervisory Committee were as follows:
Philosophy. The members of the Supervisory Committee were as follows: Norhafiz bin Azis, PhD Associate Professor, Ir. Faculty of Engineering Universiti Putra Malaysia (Chairman) Jasronita binti Jasni, PhD Professor Faculty of Engineering Universiti Putra Malaysia (Member) Rasmina Binti Halis, PhD Associate Professor, Ts. Faculty of Forestry and Environment Universiti Putra Malaysia (Member) _______________________________ ZALILAH MOHD SHARIFF, PhD Professor and Dean School of Graduate Studies Universiti Putra Malaysia Date: 19 May 2022
Declaration by Members of Supervisory Committee
of Supervisory
This is to confirm that: • the research conducted and the writing of this thesis was under our supervision; • supervision responsibilities as stated in the Universiti Putra Malaysia (Graduate Studies) Rules 2003 (Revision 2015-2016) are adhered to. Signature: Name of Chairman of Supervisory Committee: Assoc. Prof. Dr. Norhafiz Azis Signature: Name of Member of Supervisory Committee: Prof. Dr. Jasronita Jasni Signature: Name of Member of Supervisory Committee: Assoc. Prof. Ts. Dr. Rasmina Binti Halis
TABLE OF CONTENTS
© COPYRIGHT UPM CHAPTER
4.5 Effect of PVA on Kenaf fiber
2.5.7 Fiber shortening 35 2.6 Chemical additives for paper strength 36 2.6.1 Mechanism of additives 37 2.6.2 Polyvinyl Alcohol (PVA) and cellulose composite paper 38 2.7 Summary 40 3 RESEARCH METHODOLOGY 42 3.1 Introduction 42 3.2 Experimental workflow 42 3.3 Phases of development of Kenaf paper 44 3.3.1 Phase 1 - Papermaking process 44 220.127.116.11 Preparation of raw materials 44 18.104.22.168 Pulping of Kenaf fibers 44 22.214.171.124 Freeness of pulp 46 126.96.36.199 Classification of Kenaf fibers 47 188.8.131.52 Beating process 48 184.108.40.206 Kenaf papermaking process 49 3.3.2 Phase 2 - Enhancement with PVA 50 220.127.116.11 Enhancement with internal PVA 50 18.104.22.168 Enhancement with external PVA 52 22.214.171.124 PVA coating procedure 53 3.3.3 Phase 3 - Experimental measurements 53 126.96.36.199 Apparent density calculation 53 188.8.131.52 Tensile Index (TI) measurement 54 184.108.40.206 Burst Index (BI) measurement 55 220.127.116.11 Tear Index (Tel) measurement 56 18.104.22.168 Scanning Electron Microscopy (SEM) 57 22.214.171.124 Surface resistivity measurement 58 126.96.36.199 Dielectric constant measurement 59 188.8.131.52 Pre-processing of oil and paper 60 184.108.40.206 AC breakdown voltage measurement 61 220.127.116.11 PD measurement 63 3.4 Summary 64 4 RESULTS AND DISCUSSION PART I: KENAF PULP CHARACTERISTICS 66 4.1 Introduction 66 4.2 Kenaf pulp characteristics 66 4.3 Impact of beating on Kenaf pulp 67 4.3.1 Internal fibrillation 68 4.3.2 External fibrillation and fines 68 4.3.3 Impact of beating on the freeness of pulp 70 4.4 Morphological changes after beating 71 4.5 Effect of PVA on Kenaf fiber 74
5 RESULTS AND DISCUSSION PART II: PHYSIOMECHANICAL PROPERTIES OF KENAF PAPER 77 5.1 Introduction 77 5.2 Physio-mechanical properties of unbeaten Kenaf paper 77 5.2.1 Physical properties with beating revolutions 78 5.2.2 Mechanical properties with beating revolutions 79 5.3 Physio-mechanical properties with internal PVA 82 5.3.1 Physical properties with internal PVA 82 5.3.2 Mechanical properties with internal PVA 83 5.4 Physio-mechanical properties with external PVA 85 5.4.1 Coating weight with the concentration of PVA coating 85 5.4.2 Mechanical properties with external PVA 86 5.5 Effect of Oil impregnation on Tensile Index (TI) 88 5.6 Discussion 89 5.7 Summary 93 6 RESULTS AND DISCUSSION PART III: ELECTRICAL PROPERTIES OF KENAF PAPER 94 6.1 Introduction 94 6.2 Surface resistivity of Kenaf paper 94 6.2.1 Surface resistivity with beating revolutions 94 6.2.2 Surface resistivity with internal PVA 95 6.2.3 Surface resistivity with external PVA 96 6.2.4 Discussion 97 6.3 Dielectric properties at different frequencies 98 6.3.1 Dielectric constant with beating revolutions 98 6.3.2 Dielectric constant with internal PVA 100 6.3.3 Dielectric constant with external PVA 101 6.3.4 Dielectric loss factor at beating revolutions 102 6.3.5 Dielectric loss factor with internal PVA 103 6.3.6 Dielectric loss factor with external PVA 104 6.3.7 DDF with beating revolutions 105 6.3.8 DDF with internal PVA 107 6.3.9 DDF with external PVA 107 6.3.10 Discussion 108 6.4 AC Breakdown Voltage of Kenaf Paper 110 6.4.1 AC breakdown voltage with beating revolutions 110 6.4.2 AC breakdown voltage with internal PVA 113 6.4.3 AC breakdown voltage with external PVA 115
© COPYRIGHT UPM
LIST OF TABLES
© COPYRIGHT UPM
LIST OF FIGURES
© COPYRIGHT UPM
© COPYRIGHT UPM
© COPYRIGHT UPM
© COPYRIGHT UPM
© COPYRIGHT UPM
© COPYRIGHT UPM
LIST OF ABBREVIATIONS
NaOH Sodium Hydroxide PVA Polyvinyl Alcohol AC Alternating Current PD Partial Discharge PDIV Partial Discharge Inception Voltage MO Mineral Oil TI Tensile Index BI Burst Index TeI Tear Index SEM Scanning Electron Microscopy DDF Dielectric Dissipation Factor OH Hydroxyl CH2OH Carboxyl EFPB Empty Fruit Palm Bunch OD Oven Dry TAPPI Technical Association of Pulp and Paper Industry IEC International Electrotechnical Commission IMC Impedance Matching Circuit VNA Vector Network Analyzer CSF Canadian Standard Freeness
CHAPTER 1
INTRODUCTION 1.1 Research background Kraft paper has been used for decades as insulation materials in transformers owing to its good physio-mechanical properties [1]. Kraft paper can withstand the high electrical and physical stresses experienced around core and windings in transformers [2]. Kraft paper is produced from wood fibers, which are sustainable but can be subjected to shortages under severe deforestation [4]. The principal component for wood and non-wood fibers is cellulose, which is widely used in electrical machines for centuries [4, 5]. The length of wood fibers is slightly longer than non-wood fibers [6]. The morphological properties and chemical composition, such as fiber length and width determine the paper quality [7]. The average length of non-wood fiber plants ranges between 0.6 mm and 30 mm [8, 9]. Lumen width and cell wall thickness affect the rigidity and strength of non-wood fiber papers [6]. Fibers with large lumens and thin walls could be flattened after the pulping [9]. The process of pulping enhances the contact between fibers, which leads to an increase in the strength of paper. Nowadays, papermaking based on non-wood fibers has attracted demands in a wide range of applications. Previously, the usage of non-wood fibers is mainly for writing papers. However, in recent years, its applications have expanded in other areas such as tissue, printing papers, and corrugated boards. Significant efforts have recently been made to investigate the feasibility of nonwood fibers for electrical insulation purposes [10]. Currently, non-wood fibers have been mainly used in the pulp and paper industries. Although the mechanical strength of non-wood-based papers is inferior to wood-based papers, its strength can be improved by several treatments [11]. Several nonwood plants have been utilized by papermaking industries to make papers, such as Kenaf, bamboo, bagasse, jute, and cereal straws. As an alternative, nonwood fibers including cotton, manila, hemp, and flax have been utilized as insulation materials in various electrical insulation applications [11, 13]. Previously, cotton rag, silk, jute, and asbestos are used for different purposes of electrical insulation [11-14]. A blend of Kraft wood and manila hemp fibers has been utilized as insulation material for telephone insulation in 1920 [12]. The electrical grade papers are mainly used for cables and capacitors before being mainly utilized as the primary insulation in transformers [13]. Linen has been used as insulation in capacitors until the 1920s. Resin impregnated paper is introduced for transformer application in the early 20th century which was later dominated by oil-impregnated paper. Non-wood fibers are strong, low-cost, and
have good elasticity and flexibility. Cotton fiber has been employed in transformer insulation; however, it has low thermal capacity and are very absorbent of moisture. On the other hand, flax fiber has been utilised for capacitor insulation. The mixture of manila hemp and wood fibers have also been utilised for insulation in telephones [12].
© COPYRIGHT UPM The production of papers from non-wood fibers is carried out using the two steps. The first step is to convert the fibrous raw materials into pulps. The second step is to convert the pulps into papers [9]. The pulping process separates fibers from dust and other unwanted substances [14]. The fiber network is stretched out on a thin sheet of paper and compressed to increase density. The fiber network is further dried to extract residual moisture [9]. The beating process increases the bonding between fibers by fibrillation, thus increasing the fiber surface contact area. The pulping of non-wood plants can be carried out based on Kraft and soda processes. The soda process is mostly preferred for the pulping non-wood fibers since it requires only Sodium Hydroxide (NaOH) and the production time is shorter than the Kraft process. The soda process can produce high yields, without affecting the overall quality of the end products [15]. This process results in pulps with high insoluble carbohydrates. It is also found that the strength and lignin contents of pulps made from the soda process are almost identical to the Kraft process [16]. Kenaf is a non-wood plant that has been utilized in the manufacturing of animal bedding, twine, coarse cloth, rope, packaging, and paper [16]. The mechanical properties of Kenaf fibers depend on the physical composition, environmental condition, place of origin, and the methods of storing fiber. Due to its high strength characteristics, Kenaf fibers have also been used for writing papers, bonds, surface sizes, and newsprints [17]. The core and bast fibers of Kenaf plants are short and long, respectively. The length of bast fibers ranges from 1.15 mm to 4.03 mm. Bast fibers have a large cell wall and small lumen width, which are favorable to have high strength properties in paper [18]. The long fibers play an essential role in determining the paper's mechanical strength. The mechanical strength is the prime requirement for transformer insulation papers to resist the possible mechanical movements and heat while in operations. Since bast fibers are long fibers, the paper produced from bast fibers has higher mechanical strength. The strength properties of Kenaf paper can be enhanced using the introduction of chemical additives [19]. There are 2 types of chemical additives known as functional and process chemicals. The functional chemicals directly improve paper qualities while process chemicals influence operations on or near paper machines [20]. Process chemicals include retention aids, biocides, dispersants, and defoamers, whereby functional chemicals include fillers, sizing agents,
dyes, optical brighteners, and wet-strength/dry-strength additives. The functional chemicals can be added internally in pulp or applied externally on the surface of the paper [5, 22-24]. Hydrogen bonds and friction forces between fibers are the main forces that determine the strength of fiber interactions in the papers whereby it can be improved by the functional chemicals.
© COPYRIGHT UPM Polyvinyl Alcohol (PVA) is one of the chemical additives which can be utilized in pulping and papermaking industries to improve the properties of pulp and paper [24]. It is a common synthetic polymer that is subjected to partial or complete polyvinyl acetate hydrolysis to remove the acetate groups, whereby other vinyl polymers are produced via polymerization of its constituent monomers. PVA has been extensively utilized in a variety of industries including textiles, papermaking, and pulping industries. PVA may improve the resistance of paper to oils and fats. Since it has excellent hydrophilic properties and structural compatibility, it has also been employed with biopolymers and hydrophilic polymers to improve the mechanical strength and electrical properties of paper. 1.2 Problem statement Kraft insulation paper is made of wood fibers, joined with hydrogen bonds, which are broken by heat and electrical stress during transformer operation. Kraft insulation paper must have strong mechanical and electrical properties to withstand the insulating safety of power transformers. Due to the increasingly industrialized environment and demand, the availability of wood fibers may be limited in the future. There is a need to find an alternate source that can meet the increasing demand for transformer insulation and improve transformer insulation with alternative materials. Non-wood fibers provide the suitable option as the source for pulp and papermaking which can act as an alternative for wood fibers due to the strong mechanical strength of fibers. Currently, the application of non-wood fibers such as Kenaf as insulation material in transformers has yet been highlighted in previous studies. One of the main issues with the development of insulation paper for transformer application is its ability to be impregnated with insulation oil. The insulation paper must have good Alternating Current (AC) breakdown strength and Partial Discharge (PD) characteristics after impregnation in oil. The current process of Kenaf papermaking does not consider this requirement, which is crucial to ensure the electrical performance, would not be affected due to the insufficient impregnation procedure. Furthermore, there is no investigation related to the impact of chemical additives such as PVA on the oil impregnation process of Kenaf paper. Currently, several studies have been carried out to examine the physiomechanical properties of Kenaf paper. However, no investigation has been
carried out to examine the physio-mechanical properties of Kenaf paper in the presence of PVA concerning transformer requirements. The physio-mechanical properties of insulation paper are important for transformers since the insulation paper is expected to withstand the movement either due to faults or power system events.
© COPYRIGHT UPM Apart from physio-mechanical properties, a good insulation paper should possess good electrical properties to avoid any instantaneous failure. At the moment, there is no comprehensive study that has been performed on Kenaf paper with and without PVA concerning the electrical properties including the AC breakdown voltage, PD characteristics, and dielectric constant. By addressing the stated issues, it is anticipated that the suitability of Kenaf paper as electrical insulation for transformers can be further explored which provides exciting potential applications in the future. 1.3 Research objectives The main aim of this research is to develop and examine the physio-mechanical and electrical properties of Kenaf paper for transformer insulation with consideration of PVA. Several objectives are devised to achieve the primary objective. 1. To develop Kenaf paper with and without PVA for electrical insulation application in transformers. 2. To analyze the physio-mechanical and morphological properties of Kenaf paper with and without PVA. 3. To evaluate the electrical properties, AC breakdown voltage, and Partial Discharge (PD) characteristics of Kenaf paper with and without PVA. 1.4 Scope of work The scope and limitations of this research are as follows. 1. The type of insulation fluids examine in this research is Mineral Oil (MO). MO is the common insulation fluid used in transformers. 2. This research only examines bast fibers for the development of Kenaf paper for electrical insulation purposes in transformers. Bast fibers are chosen due to long fiber characteristics which can contribute to high tensile strength.
3. This research only considers PVA as the enhancement material for the Kenaf paper, because PVA is a semi-crystalline polymer with plenty of Hydroxyl (OH) groups that form intramolecular hydrogen bonds with cellulose. Since, both PVA and cellulose are hydrophilic polymers, they form strong molecular interactions through van der Waals forces, resulting in high paper strength. PVA has strong cohesive forces with fibers as compared to other chemical additives.
© COPYRIGHT UPM 4. The percentage concentration of internal PVA for Kenaf paper ranges from 0% to 12% with a 3% interval, while the percentage concentration of external PVA ranges from 0% to 6% with a 2% interval. The addition of PVA up to 10% to the pulp improves the mechanical and dielectric properties of paper. 5. The research only focuses on Tensile Index (TI), Burst Index (BI), Tear Index (TeI), apparent density, Scanning Electron Microscopy (SEM), AC breakdown strength, dielectric constant, surface resistivity, and PD properties of Kenaf paper with and without PVA. These properties are commonly associated with the insulation paper used in transformers. 1.5 Contribution of research The details of the contributions of this research study are as follows: 1. The process to develop the Kenaf paper for electrical insulation purposes in transformers can be used and replicated by the relevant industries for mass production. 2. The knowledge on the physio-mechanical and electrical properties of Kenaf paper can be further utilized for research and development to improve its competitiveness as compared to Kraft paper 3. Papermaking manufacturers can further utilize the techno information on the PVA's role for process optimization to cope with the increasing need for electrical insulation industries. 1.6 Thesis organization This thesis consists of seven chapters, namely, the introduction, literature review, methodology, Kenaf pulp characteristics, physio-mechanical properties of Kenaf papers, electrical properties of Kenaf papers, conclusion, and recommendations for future work. Chapter 1 introduces the study's background and problem statement. The objectives, scope, limitations, and contributions of the research are described.
Chapter 2 provides a thorough overview of related research, including insulations in transformer, non-wood fibers for pulp and papermaking, Kenaf fiber characteristics, physio-mechanical and electrical properties of Kraft paper, and chemical additives for the paper strength. Chapter 3 describes the procedure of the development of Kenaf paper and the experimental workflow. The process of pulping Kenaf fibers and papermaking is discussed in detail. The procedure to develop the Kenaf paper in the presence of PVA is explained in this chapter. The TI, BI, TeI, apparent density measurement, grammage calculation, SEM, AC breakdown voltage and strengths, surface resistivity, dielectric constant, dielectric loss factor, Dielectric Dissipation Factor (DDF), and PD test setup and configuration for measurement of Partial Discharge Inception Voltage (PDIV) are explained in detail. Chapter 4 presents the morphological analysis of Kenaf pulp, which is used to produce Kenaf papers. The effect of beating and PVA on the Kenaf pulp is observed using SEM imaging. Chapter 5 presents the physio-mechanical properties of Kenaf paper with beating revolutions and with internal/external PVA. The experimental results on the apparent density, TI, BI, and TeI of Kenaf paper are discussed. Chapter 6 presents the experimental results and discussions on the surface resistivity, dielectric constant and DDF, AC breakdown voltage and strengths, PDIV, maximum PD amplitudes, and repetition rates of Kenaf paper with beating revolutions and internal/external PVA. After the results and discussion, chapter 7 presents the conclusion and recommendations for future work.
REFERENCES
[1] Hao, J., Liao, R., Chen, G., Ma, Z. and Yang, L. (2012). Quantitative analysis ageing status of natural ester-paper insulation and mineral oilpaper insulation by polarization/depolarization current. IEEE Trans. Dielectr. Electr. Insul., 19(1), 188–199. doi: 10.1109/TDEI.2012.6148518. [2] Moravej, Z. and Bagheri, S. (2015). Condition monitoring techniques of power transformers : A review. J. Oper. Autom. Power Eng., 3(1), 71–82. [3] Aripin, A. (2014). Potential of non-wood fibres for pulp and paper-based industries. Johor, Malaysia: Universiti Tun Hussein Onn Malaysia. [4] Lawson, W.G., Simmons, M.A. and Gale, P.S. (2016). Thermal ageing of cellulose paper insulation. Conf. Rec. 1976 IEEE Int. Symp. Electr. Insul. ISEI 1976, no. 1, (pp. 14–18). doi: 10.1109/EIC.1976.7464159. [5] Jusner, P., Schwaiger, E., Potthast, A. and Rosenau, T. (2021). Thermal stability of cellulose insulation in electrical power transformers – A review. Carbohydr. Polym., 252, 117196. doi: 10.1016/j.carbpol.2020.117196. [6] Youngquist, J.A., English, B.E., Scharmer, R.C., Chow, P. and Shook, S. R. (1994). Literature review on use of nonwood plant fibers for building materials and panels. Retrieved from http://18.104.22.168/documnts/fplgtr/fplgtr80.pdf. [7] Law, K.N., Daud, W.R.W. and Ghazali, A. (2007). Morphological and chemical nature of fiber strands of oil palm empty-fruit-bunch (OPEFB). BioResources, 2(3), 351–362. doi: 10.15376/biores.2.3.351-362. [8] Abdul Khalil, H.P.S., Siti Alwani, M., Ridzuan, R., Kamarudin, H. and Khairul, A. (2008). Chemical composition, morphological characteristics, and cell wall structure of Malaysian oil palm fibers. Polym. Plast. Technol. Eng., 47(3), 273–280. doi: 10.1080/03602550701866840. [9] Wan, J., Yang, J., Ma, Y. and Wang, Y. (2011). Effects of pulp preparation and papermaking processes on the properties of OCC fibers. BioResources, 6(2), 615–1630. [10] Schaible, M. (1987). Electrical insulating papers - An overview. IEEE Electr. Insul. Mag., 3(1), 8–12. doi: 10.1109/MEI.1987.290616. [11] Mcshane, C.P., Rapp, K.J. and Luksich, J. (2003). Aging of cotton / kraft blend insulation paper in natural ester dielectric fluid degree of polymerization. Retrieved from https://www.yumpu.com/en/document/read/45687912/aging-of-cotton-akraft-blend-insulation-paper-in-natural-ester.
[12] Sheppard, H.R. (1986). A century of progress in electrical insulation. Electr. Insul. Mag. IEEE, 2(5), 20–30. doi: 10.1109/MEI.1986.290490.
[13] Prevost, T.A. and Oommen, T.V. (2006). Cellulose insulation in oil-filled power transformers: Part I - History and development. IEEE Electr. Insul. Mag., 22(1), 28–34. doi: 10.1109/MEI.2006.1618969. [14] Peng, P. and She, D. (2014). Isolation, structural characterization, and potential applications of hemicelluloses from bamboo: A review. Carbohydr. Polym., 112, 701–720. doi: 10.1016/j.carbpol.2014.06.068. [15] Wanrosli, W.D., Zainuddin, Z., Law, K. N. and Asro, R. (2007). Pulp from oil palm fronds by chemical processes. Ind. Crops Prod., 25(1), 89–94. doi: 10.1016/j.indcrop.2006.07.005. [16] Sellers, T., Miller, G.D. and Fuller, M.J. (1993). Kenaf core as a board raw-material. For. Prod. J., 43(7–8), 69–71. [17] Ramesh, M. (2016). Kenaf (Hibiscus cannabinus L.) fibre based biomaterials: A review on processing and properties. Prog. Mater. Sci., 78– 79, 1–92. doi: 10.1016/j.pmatsci.2015.11.001. [18] Udohitinah, J.S. and Oluwadare, A.O. (2011). Pulping properties of kraft pulp of Nigerian-grown kenaf (Hibiscus cannabinus L.). BioResources, 6(1), 751–761. doi: 10.15376/biores.6.1.751-761. [19] Mossello A.A., Jalaludin, H., Tahir, P.M. and Resalati, H. (2010). A review of literatures related of using kenaf for pulp production (beating, fractionation, and recycled fiber). Mod. Appl. Sci., 4(9). doi: 10.5539/mas.v4n9p21. [20] Auhorn, W.J. (2006). Chapter 3 - Chemical Additives. In Holik, H. (ed.), Handbook Paper Board (pp. 62–149). doi: 10.1002/3527608257.ch3. [21] Environmental Protection Agency (1993). Papermaking additives 1, No. 3. [22] Anderson, J.E., Kim, B.R., Mueller, S.A. and Lofton, T.V. (2003). Composition and analysis of mineral oils and other organic compounds in metalworking and hydraulic fluids. Crit. Rev. Environ. Sci. Technol., 33(1), 73–109. doi: 10.1080/10643380390814460. [23] Hubbe, M. (2006). Bonding between cellulosic fibers in the absence and presence of dry-strength agents – A review. BioResources, 1(2), 281– 318. doi: 10.15376/biores.1.2.281-318. [24] An, Q., Li, F., Ji, Y. and Chen, H. (2011). Influence of polyvinyl alcohol on the surface morphology, separation and anti-fouling performance of the composite polyamide nanofiltration membranes. J. Memb. Sci., 367(1–
2), 158–165. doi: 10.1016/j.memsci.2010.10.060.
[25] Chandrashekar, R., Chaudhari, S.E. and Bajpai, P.K. (2011). Developments in insulating paper for power transformers. J. Chem. Eng. [26] Ming, L., Jaksts, A., Liu, R., Owman, F. and Leijon, M. (2000). Recent trends within insulation systems for transmission and distribution apparatus. Proc. IEEE Int. Conf. Prop. Appl. Dielectr. Mater., 2, 849–855. doi: 10.1109/ICPADM.2000.876362. [27] Lecuna, R., Delgado, F., Ortiz, A., Castro, P.B., Fernandez, I. and Renedo, C.J. (2015). Thermal-fluid characterization of alternative liquids of power transformers: A numerical approach. IEEE Trans. Dielectr. Electr. Insul., 22(5), 2522–2529. doi: 10.1109/TDEI.2015.004793. [28] Van Bolhuis, J.P., Gulski, E. and Smit, J.J. (2002). Monitoring and diagnostic of transformer solid insulation. IEEE Trans. Power Deliv., 17(2), 528–536. doi: 10.1109/61.997930. [29] Hill, D.J.T., Le, T.T., Darveniza, M. and Saha, T. (1996). A study of the degradation of cellulosic insulation materials in a power transformer. Part III: Degradation products of cellulose insulation paper. Polym. Degrad. Stab., 51(2), 211–218. doi: 10.1016/0141-3910(95)00204-9. [30] Jalbert, J., Rodriguez-Celis, E., Duchesne, S., Morin, B., Ryadi, M. and Gilbert, R. (2015). Kinetics of the production of chain-end groups and methanol from the depolymerization of cellulose during the ageing of paper/oil systems. Part 3: Extension of the study under temperature conditions over 120 o C. Cellulose, 22(1), 829–848. doi: 10.1007/s10570014-0516-8. [31] Shroff, D.H. and Stannett, A.W. (1985). A review of paper aging in power transformers. IEE Proc. C Gener. Transm. Distrib., 132(6), 312. doi: 10.1049/ip-c.1985.0052. [32] Suleiman, A.A., Nazri, F., Muhamad, N.A., Bashir, N. and Mohamad, Z. (2014). Wetting characteristics for kraft paper immersed in mineral and biodegradable insulation oils. Proc. 2014 IEEE 8th Int. Power Eng. Optim. Conf. PEOCO 2014, October 2015, pp. 194–198. doi: 10.1109/PEOCO.2014.6814424. [33] Saha, T.K. and Purkait, P. (2017). Chapter 1 - Transformer Insulation Materials and Ageing. Transformer Ageing: Monitoring and Estimation Techniques. Singapore: Wiley. pp. 1–33. doi: 10.1002/9781119239970.ch1. [34] Marković, M. and Ćućić, B. (2018). Transformer lifetime management through solid and liquid insulation assessment. Euro TechCon 2018, pp. 1–25. Retrieved from
https://www.researchgate.net/publication/330925194_Transformer_Lifet ime_Management_through_Solid_and_Liquid_Insulation_Assessment.
[35] Emsley, A.M. and Stevens, G.C. (1994). Review of chemical indicators of degradation of cellulosic electrical paper insulation in oil-filled transformers. Sci. Meas. Technol. IEE Proc., 141(5), 324–334. doi: 10.1049/ip-smt:19949957. [36] Darveniza, M., Hill, D., Le, T. and Saha, T.K. (1991). Studies of the condition of insulation in aged power transformers. 2. Fundamental electrical and chemical considerations. Proceedings of the 3rd International Conference on Properties and Applications of Dielectric Materials, pp. 1120-1123. doi: 10.1109/ICPADM.1991.172273. [37] Richards, H.L., Baker, P.G.L. and Iwuoha, E. (2012). Metal nanoparticle modified polysulfone membranes for use in wastewater treatment: A critical review. J. Surf. Eng. Mater. Adv. Technol., 02(03), 183–193. doi: 10.4236/jsemat.2012.223029. [38] Hollertz, R. (2017). Preparation, morphology and structure of cellulose nanocrystals from bamboo fibers. Cellulose, 19(5), 1527–1536. [39] Selyanchyn, O., Selyanchyn, R. and Lyth, S.M. (2020). A review of proton conductivity in cellulosic materials. Front. Energy Res., 8. doi: 10.3389/fenrg.2020.596164 [40] Jalbert, J., Gilbert, R., Tétreault, P., Morin, B. and Lessard-Déziel, D. (2007). Identification of a chemical indicator of the rupture of 1,4-βglycosidic bonds of cellulose in an oil-impregnated insulating paper system. Cellulose, 14(4), 295–309. doi: 10.1007/s10570-007-9124-1. [41] Emsley, A.M. (1994). The kinetics and mechanisms of degradation of cellulosic insulation in power transformers. Polym. Degrad. Stab., 44(3), 343–349. doi: 10.1016/0141-3910(94)90093-0. [42] Brito, B.S.L., Pereira, F.V., Putaux, J.L. and Jean, B. (2012). Preparation, morphology and structure of cellulose nanocrystals from bamboo fibers. Cellulose, 19(5), 1527–1536. doi: 10.1007/s10570-012-9738-9. [43] Mahjoub, R., Yatim, J.M., Mohd Sam, A.R. and Hashemi, S.H. (2014). Tensile properties of kenaf fiber due to various conditions of chemical fiber surface modifications. Constr. Build. Mater., 55, 103–113. doi: 10.1016/j.conbuildmat.2014.01.036. [44] Syamani, F.A., Kurniawan, Y.D. and Suryanegara, L. (2014). Cellulose fibers from oil palm fronds reinforced. Proceeding ASEAN Conf. Sci. Technol., pp. 1–5. [45] Bajpai, P. (2018). Pulping Fundamentals. Biermann's Handbook of Pulp
and Paper (Third Edition). Elsevier Inc.
[46] Arsène, M.A., Bilba, K., Savastano Jr, H. and Ghavami, K. (2013). Treatments of non-wood plant fibres used as reinforcement in composite materials. Mater. Res., 16(4), 903–923. doi: 10.1590/S151614392013005000084. [47] Abdelmalik, A.A. (2015). Analysis of thermally aged insulation paper in a natural ester-based dielectric fluid. IEEE Trans. Dielectr. Electr. Insul., 22(5), 2408–2414. doi: 10.1109/TDEI.2014.004824. [48] Krause, C. (2012). Power transformer insulation - History, technology and design. IEEE Trans. Dielectr. Electr. Insul., 19(6), 1941–1947. doi: 10.1109/TDEI.2012.6396951. [49] Timberlake, A. (2013). Grammage of paper and paperboard (weight per unit area) (Revision of T 410 om-08). Retrieved from https://www.tappi.org/content/tag/sarg/t410.pdf [50] Fithriyah, N.H. and Erdawati (2014). Mechanical properties of paper sheets coated with chitosan nanoparticle. AIP Conf. Proc., 1589, 195– 199. doi: 10.1063/1.4868781. [51] Shim, M.S., Il Jung, J., An, J.S., Choi, S.H., Seo, Y.J. and Huh, C.S. (2010). Tensile strength of electrical insulating paper in natural ester and mineral oil. PEOCO 2010 - 4th Int. Power Eng. Optim. Conf. Progr. Abstr., 8, 563–565. doi: 10.1109/PEOCO.2010.5559209. [52] Arroyo, O.H., Jalbert, J., Fofana, I. and Ryadi, M. (2017). Temperature dependence of methanol and the tensile strength of insulation paper: Kinetics of the changes of mechanical properties during ageing. Cellulose, 24(2), 1031–1039. doi: 10.1007/s10570-016-1123-7. [53] Anna, V. and Hannu, P. (2007). Interfiber bonding and fiber segment activation in paper. BioResources, 2(3), 442–458. [54] Main, N.M., Talib, R.A., Ibrahim, R., Rahman, R.A. and Mohamed, A.Z. (2015). Linerboard made from soda-anthraquinone (Soda-AQ) treated coconut coir fiber and effect of pulp beating. BioResources, 10(4), 6975– 6992. doi: 10.15376/biores.10.4.6975-6992. [55] Gärd, J. (2002). The influence of fibre curl on the shrinkage and strength properties of paper. Retrieved from http://www.divaportal.org/smash/get/diva2:1015864/FULLTEXT01.pdf. [56] Mohd Hassan, N.H., Muhammed, S. and Ibrahim, R. (2014). Properties of Gigantochloa scortechinii paper enhancement by beating revolution," J. Trop. Resour. Sustain. Sci., 2(2), 59–67. doi: 10.47253/jtrss.v2i2.497.
[57] Ishak, M.R., Leman, Z., Sapuan, S.M., Rahman, M.Z.A. and Anwar, U.M.K. (2011). Effects of impregnation time on physical and tensile properties of impregnated sugar palm (Arenga pinnata) fibres. Key Eng. Mater., 471–472, 1147–1152. doi: 10.4028/www.scientific.net/KEM.471472.1147.
© COPYRIGHT UPM [58] Kamata, Y., Ohe, E., Endoh, K., Furukawa, S., Tsukioka, H., Maejima, M., Fujita, H., Nozaki, M., Ishizuka, F. and Hyohdoh, K. (1991). Development of low-permittivity pressboard and its evaluation for insulation of oil-immersed EHV power transformers. IEEE Trans. Electr. Insul. , 26(4), 819–825. doi: 10.1109/14.83708. [59] Chen, S., Yue, C., Wang, W., He, D. and Yang, K. (2012). Volume resistivity and PDIV characteristics of polymer materials under electrothermal aging. ICHVE 2012 - 2012 Int. Conf. High Volt. Eng. Appl. , 50977025, 190–193. doi: 10.1109/ICHVE.2012.6357073. [60] Saha, T.K. and Purkait, P. (2008). Investigations of temperature effects on the dielectric response measurements of transformer oil-paper insulation system. IEEE Trans. Power Deliv. , 23(1), 252–260. doi: 10.1109/TPWRD.2007.911123. [61] Kohman, G.T. (1939). Cellulose as an insulating material. Ind. Eng. Chem. , 31(7), 807–817. doi: 10.1021/ie50355a005. [62] Yang, X., Liu, X., Yu, S., Gan, L., Zhou, J. and Zeng, Y. (2019). Permittivity of undoped silicon in the millimeter wave range. Electron. , 8(8). doi: 10.3390/electronics8080886. [63] Liao, R., Zhang, F., Yuan, Y., Yang, L., Liu, T. and Tang, C. (2012). Preparation and electrical properties of insulation paper composed of SiO2 hollow spheres. Energies , 5(8), 2943–2951. doi: 10.3390/en5082943. [64] Mo, Y., Yang, L., Zou, T., Hou, W. and Liao, R. (2019). Preparation of composite insulating paper with decreased permittivity, good mechanical and thermal properties by kevlar/nano cellulose fibrils/softwood pulp hybrid. IEEE Access , 7, 104258–104268. doi: 10.1109/ACCESS.2019.2930981. [65] Feng, D., Hao, J., Yang, L., Liao, R., Chen, X. and Li, J. (2020). Comparison of AC breakdown characteristics on insulation paper (pressboard) immersed by three-element mixed insulation oil and mineral oil. High Volt. , 5(3), 298–305. doi: 10.1049/hve.2019.0103. [66] Nor, S.F.M., Azis, N., Jasni, J., Ab KAdir, M.Z.A., Yunus, R., Ishak, M.T. and Yaakub, Z. (2016). A study on the AC breakdown voltages of asreceived palm oil and coconut oil under presence of TiO2. 2015 IEEE Conf. Energy Conversion, CENCON 2015 . pp. 354–357. doi:
10.1109/CENCON.2015.7409568.
[67] Tang, C., Liao, R.J., Yang, L.J. and Huang, F.L. (2010). Research on the dielectric properties and breakdown voltage of transformer oil-paper insulation after accelerating thermal ageing. 2010 Int. Conf. High Volt. Eng. Appl. ICHVE 2010. pp. 389–392. doi: 10.1109/ICHVE.2010.5640744. [68] Neusel, C., Jelitto, H., Schmidt, D., Janssen, R., Felten, F. and Schneider, G.A. (2015). Thickness-dependence of the breakdown strength: Analysis of the dielectric and mechanical failure. J. Eur. Ceram. Soc., 35(1), 113–123. doi: 10.1016/j.jeurceramsoc.2014.08.028. [69] Liao, R., Lv, C., Yang, L., Zhang, Y., Wu, W. and Tang, C. (2013). The insulation properties of oil-impregnated insulation paper reinforced with nano-TiO2. J. Nanomater., 2013. doi: 10.1155/2013/373959. [70] Dai, J., Wang, Z. and Jarman, P. (2010). Creepage discharge on insulation barriers in aged power transformers. IEEE Trans. Dielectr. Electr. Insul., 17(4), 1327–1335. doi: 10.1109/TDEI.2010.5539705. [71] Li, X., Li, J., Xiang, C., Zhang, J., Bao, L. and Ran, H. (2016). The influence of oil-impregnated insulation paper's thickness on electrical breakdown strength. Annu. Rep. - Conf. Electr. Insul. Dielectr. Phenomena, CEIDP, 2016-Decem, 392–395. doi: 10.1109/CEIDP.2016.7785511. [72] Liu, Z., Liu, Q. and Wang, Z.D. (2016). Effect of electric field configuration on streamer and partial discharge phenomena in a hydrocarbon insulating liquid under AC stress. J. Phys. D. Appl. Phys., 49(18). doi: 10.1088/0022-3727/49/18/185501. [73] Lesaint, O. and Massala, G. (1996). Transition to fast streamers in mineral oil in the presence of insulating solids. Conference Record of the 1996 IEEE International Symposium on Electrical Insulation. [74] Sun, J., Li, X., Zhu, L., Ji, S. and Cui, Y. (2017). Partial discharge of needle-plane defect in oil-paper insulation under AC and DC combined voltages: Developing processes and characteristics. Energies, 10(11). doi: 10.3390/en10111759. [75] Gharehkhani, S., Sadeghinezhad, E., Kazi, S.M., Yarmand, H., Badarudin, A., Safaei, M.R. and Zubir, M.N.M. (2015). Basic effects of pulp refining on fiber properties - A review. Carbohydr. Polym., 115, 785– 803. doi: 10.1016/j.carbpol.2014.08.047. [76] Ashori, A. (2006). Nonwood fibers — A potential source of raw material in papermaking. Polym. Plast. Technol. Eng., 45(10), 1133–1136. doi: 10.1080/03602550600728976.
[77] Han, J.S. (1998). Properties of nonwood fibers. Proc. Korean Soc. wood Sci. Technol. Annu. Meet., pp. 3–12.
© COPYRIGHT UPM [78] Aruna, M., Pattanshetti, V.V., Ravi, K.N. and Vasudev, N. (2011). Power transformer winding insulation : A review of material characteristics. Int. J. Mod. Eng. Res. , 1(2), 312–318. [79] Dhamodaran, T.K., Gnanaharan, R. and Pillai, K.S. (2003). Bamboo for pulp and paper - A state of the art review with annotated bibliography. Retrieved from http://www.inbar.int/sites/default/files/resources/inbar_working_paper_n o46.pdf. [80] Van Der Reyden, D. (1992). Recent scientific research in paper conservation. J. Am. Inst. Conserv. , 31(1), 117–138. doi: 10.1179/019713692806156394. [81] Lahr, F.A.R., Junior, H.S. and Fiorelli, J. (2015). Non-conventional building materials based on agro-industrial wastes. Retrieved from https://sites.usp.br/constrambi/wpcontent/uploads/sites/98/2016/03/Non-conventional-Building-Materials_ebook.pdf. [82] Judt, M. (1993). Non-wood plant fibres, will there be a come-back in paper-making?. Ind. Crops Prod. , 2(1), 51–57. doi: 10.1016/09266690(93)90011-W. [83] Ochi, S. (2008). Mechanical properties of kenaf fibers and kenaf/PLA composites. Mech. Mater. , 40(4–5), 446–452. doi: 10.1016/j.mechmat.2007.10.006. [84] Huang, J., Zhou, Y., Dong, L., Zhou, Z. and Zeng, X. (2017). Enhancing insulating performances of presspaper by introduction of nanofibrillated cellulose. Energies , 10(5). doi: 10.3390/en10050681. [85] Khudsar, T., Mahmooduzzafar, Soh, W.Y. and Iqbal, M. (2000). Morphological and anatomical variations of Cajanus cajan (Linn.) huth raised in cadmium-rich soil. J. Plant Biol. , 43(3), 149–157. doi: 10.1007/bf03030492. [86] Edeerozey, A.M.M., Akil, H.M., Azhar, A.B. and Ariffin, M.I.Z. (2007). Chemical modification of kenaf fibers. Mater. Lett. , 61(10), 2023–2025. doi: 10.1016/j.matlet.2006.08.006. [87] International Electrotechnical Commission (2004). International Standard. Semiconductor devices - Part 16-4: Microwave integrated circuits -Switches consolidated edition. Retrieved from webstore.iec.ch/preview/info_iec60747-16-4%7Bed1.0%7Den.pdf
[88] International Electrotechnical Commission (1987). International Standard. Amendment 1. Fixed resistors for use in electronic equipment. Part 6: Sectional specification: Fixed resistor networks with individually measurable resistors. Retrieved from https://www.sis.se/api/document/preview/120353/ [89] Huang, J., Zhou, Y., Jin, F., Sha, Y., Zhang, L. and Le, T.H. (2014). Electrical properties of oil-paper insulation affected by water conductivity during paper-making process. EIC 2014 - Proc. 32nd Electr. Insul. Conf., pp. 272–275. doi: 10.1109/EIC.2014.6869390. [90] International Electrotechnical Commission (1997). Internat-Ionale International. 1(June). [91] International Electrotechnical Commission (2001). International Standard. Document management – Part 1: Principles and methods. Retrieved from https://webstore.iec.ch/preview/info_iec82045- 1%7Bed1.0%7Db.pdf [92] International Electrotechnical Commission (1983). Amendment 1 Printed boards. Part 6: Specification for multilayer printed boards. [94] Aji, I.S., Sapuan, S.M., Zainudin, E.S. and Abdan, K. (2009). Kenaf fibres as reinforcement for polymeric composites: A review. Int. J. Mech. Mater. Eng., 4(3), 239–248,. [95] Takagi, H. and Ichihara, Y. (2004). Effect of fiber length on mechanical properties of 'green' composites using a starch-based resin and short bamboo fibers. JSME Int. J. Ser. A, 47(4), 551–555. doi: 10.1299/jsmea.47.551. [96] Kakoty, A., Sangma, W.S.N., Phukan, A.R. and Kalita, B.B. (2019). Extraction of kenaf fiber and its physico-chemical properties for various end uses. Int. J. Chem. Stud., 7(3), 2617–2620. [97] Nayeri, M.D., Md Tahir, P., Harun, J., Abdullah, L.C., Bakar, E.S., Jawaid, M., and Namvar, F. (2013). Effects of temperature and time on the morphology, pH, and buffering capacity of bast and core kenaf fibres. BioResources, 8(2), 1801–1812. doi: 10.15376/biores.8.2.1801-1812. [98] Ishak, M.R., Leman, Z., Sapuan, S.M., Edeerozey, A.M.M. and Othman, I.S. (2010). Mechanical properties of kenaf bast and core fibre reinforced unsaturated polyester composites. IOP Conf. Ser. Mater. Sci. Eng., 11, 012006. doi: 10.1088/1757-899X/11/1/012006. [100] Kibblewhite, R.P. and Brookes, D. (1977). Fibre, beating, and papermaking properties of kraft pulps from New Zealand beech (Nothofagus) species. New Zeal. J. For. Sci., 7(3), 425–444.
[101] Karlsson, H. (2010). Strength properties of paper produced from softwood kraft pulp – Pulp mixture, reinforcement and sheet stratification. Dissertation Chemical Engineering, Karlstad University Studies. [102] Shakhes, J., Zeinaly, F., Marandi, M.A.B. and Saghafi, T. (2011). The effects of processing variables on the soda and soda-AQ pulping of Kenaf bast fiber. BioResources, 6(4), 4626–4639. doi: 10.15376/biores.6.4.4626-4639. [103] Yue, F., Chen, K.L. and Lu, F. (2016). Low temperature soda-oxygen pulping of bagasse. Molecules, 21(1). doi: 10.3390/molecules21010085. [104] Hubbe, M.A., Becheleni, E.M.A., Lewis, A.E., Peters, E.M., Gan, W., Nong, G., Mandal, S. and Shi, S.Q. (2018). Recovery of inorganic compounds from spent alkaline pulping liquor by eutectic freeze crystallization and supporting unit operations: A review. BioResources, 13(4), 9180–9219. doi: 10.15376/biores.13.4.Hubbe. [105] Ibrahim, N.A., Hadithon, K.A. and Abdan, K. (2010). Effect of fiber treatment on mechanical properties of kenaf fiber-ecoflex composites. J. Reinf. Plast. Compos., 29(14), 2192–2198. doi: 10.1177/0731684409347592. [106] Kędzierski, M., Wiejak, A., Janiszewska, J., Wiśniewska, A., GrzywaNiksińska, I. and Kurzepa, K. (2020). Efficiency of selected biocide compounds in the protection of building coatings against colonization by mold fungi, cyanobacteria and algae. Polimery/Polymers, 65(5), 371– 379. doi: 10.14314/polimery.2020.5.5. [107] Ribeiro, R.A., Colodette, J.L. and Vaz Júnior, S. (2018). Effect of residual effective alkali on eucalyptus kraft pulp yield and chemistry. Cerne, 24(4), 408–419. doi: 10.1590/01047760201824042593. [108] Ibraheem, S.A., Ali, A. and Abdan, K. (2011). Development of green insulation boards from kenaf fibres part 1: Development and characterization of mechanical properties. Key Eng. Mater., 462– 463(April 2015), 1343–1348. doi: 10.4028/www.scientific.net/KEM.462463.1343. [109] Salleh, F.M., Hassan, A., Yahya, R., Mohd Isa, M.R. and Lafia-Araga, R.A. (2018). Physico-thermal properties of kenaf fiber/high-density polyethylene/maleic anhydride compatibilized composites. High Perform. Polym., 30(8), 900–910. doi: 10.1177/0954008318777574. [110] Tholibon, D., Sulong, A.B., Muhammad, N., Ismail, N.F., Tharazi, I. and Md Radzi, M.K.F. (2016). Tensile properties of unidirectional kenaf fiber polypropylene composite. J. Teknol., 78(6–9), 101–106. doi: 10.11113/jt.v78.9153.
[111] Millogo, Y., Aubert, J.E., Hamard, E. and Morel, J.C. (2015). How properties of kenaf fibers from Burkina Faso contribute to the reinforcement of earth blocks. Materials (Basel)., 8(5), 2332–2345. doi: 10.3390/ma8052332. [112] Emran Ismail, A., Khalid, S.N.A. and Muhd Nor, N.H. (2017). A review on the perforated impact energy absorption of kenaf fibres reinforced composites. J. Phys. Conf. Ser., 914(1). doi: 10.1088/17426596/914/1/012044. [113] Jusoh, A.F., Rejab, M.R.M., Siregar, J.P. and Bachtiar, D. (2016). Natural fiber reinforced composites: A review on potential for corrugated core of sandwich structures. MATEC Web Conf., 74, 7–11. doi: 10.1051/matecconf/20167400033. [114] Brännvall, E. (2009). Overview of pulp and paper processes. Pulping Chem. Technol., 1–11. doi: 10.1515/9783110213423. [115] Dwi, D. and Nugroho, P. (2012). Low consistency refining of mixtures of softwood & hardwood bleached kraft pulp: Effects of refining power. Master of Engineering, Asian Institute of Technology. [117] Kang, T. (2007). Role of external fibrillation in pulp and paper properties. Doctoral Thesis, Helsinki University of Technology. [118] W. H. Gao et al., "Effects of beating on tobacco stalk mechanical pulp," Cellul. Chem. Technol., vol. 46, no. 3–4, pp. 277–282, 2012. [119] N. N. Wai, H. Nanko, and K. Murakami, "A morphological study on the behavior of bamboo pulp fibers in the beating process," Wood Sci. Technol., vol. 19, no. 3, pp. 211–222, 1985, doi: 10.1007/BF00392050. [120] Wenhua, G., Chen, K., Zeng, J., Li, J., Yang, R., Yang, F., Rao, G. and Tao, H. (2012). Effects of beating on tobacco stalk mechanical pulp. Cellul. Chem. Technol., 46(3), 277-282. doi: 10.1016/j.carbpol.2015.04.005. [121] Arsène, K., Savastano Jr, M.A., Allameh, H., Ghavami, S.M. and Soboyejo, W.O. (2003). Cementitious composites reinforced with vegetable fibers. Proc. 1st Interam. Conf. Non-conventional Mater. Technol. Eco-construction Infrastruct. pp. 13–16. Retrieved from http://www.nku.edu/~allamehs1/Arsene-Natural Fibers fianl IAC NOCMAT.pdf. [122] Hassan, N.H.M., Muhammed, S. and Ibrahim, R. (2013). Effect of sodaanthraquinone pulping conditions and beating revolution on the mechanical properties of paper made from Gigantochloa scortechinii (Semantan bamboo). Malaysian J. Anal. Sci., 17(1), 75–84.
[123] Sandberg, C., Berg, J.E. and Engstrand, P. (2017). Process intensification in mechanical pulping. Nord. Pulp Pap. Res. J., 32(04), 615–622. doi: 10.3183/npprj-2017-32-04-p615-622. [124] González, I., Boufi, S., Pèlach, M.A., Alcalà, M., Vilaseca, F. and Mutjé, P. (2012). Nanofibrillated cellulose as paper additive in eucalyptus pulps. BioResources, 7(4), 5167–5180. doi: 10.15376/biores.7.4.5167-5180. [125] Huber, P., Lyannaz, L. and Carré, B. (2012). Specks masking by the coating layer in coated paper made from deinked pulp. Nord. Pulp Pap. Res. J., 27(2), 466–471. doi: 10.3183/NPPRJ-2012-27-02-p466-471. [126] Nikolaeva, M. (2010). Measurement and improvement of wet paper web strength. Master's Thesis, Lappeenranta University of Technology. [127] Ramezanzadeh, B., Vakili, H. and Amini, R. (2015). The effects of addition of poly(vinyl) alcohol (PVA) as a green corrosion inhibitor to the phosphate conversion coating on the anticorrosion and adhesion properties of the epoxy coating on the steel substrate. Appl. Surf. Sci., 327, 174–181. doi: 10.1016/j.apsusc.2014.11.167. [128] Zhang, P., Wang, Q., Guo, R., Zhang, M., Wang, S., Lu, C., Xue, M., Fan, J., He, Z. and Rao, W. (2019). Self-assembled ultrathin film of CNC/PVAliquid metal composite as a multifunctional Janus material. Mater. Horizons, 6(8), 643–1653. doi: 10.1039/c9mh00280d. [129] Zhang, C.H., Lin Yang, F., Wang, W.J. and Chen, B. (2008). Preparation and characterization of hydrophilic modification of polypropylene nonwoven fabric by dip-coating PVA (polyvinyl alcohol). Sep. Purif. Technol., 61(3), 276–286. doi: 10.1016/j.seppur.2007.10.019. [130] Schuman, T., Wikström, M. and Rigdahl, M. (2004). Coating of surfacemodified papers with poly(vinyl alcohol). Surf. Coatings Technol., 183(1), 96–105. doi: 10.1016/j.surfcoat.2003.09.059. [131] Shokrieh, M.M., Mahmoudi, A. and Shadkam, H.R. (2015). Hybrid polyvinyl alcohol and cellulose fiber pulp instead of asbestos fibers in cement-based composites. Mech. Compos. Mater., 51(2), 231–238. doi: 10.1007/s11029-015-9494-7. [133] Abdulkhani, A., Hojati Marvast, E., Ashori, A., Hamzeh, Y. and Karimi, A.N. (2013). Preparation of cellulose/polyvinyl alcohol biocomposite films using 1-n-butyl-3-methylimidazolium chloride. Int. J. Biol. Macromol., 62(September), 379–386. doi: 10.1016/j.ijbiomac.2013.08.050. [134] Schuman, T., Wikström, M. and Rigdahl, M. (2003). The effect of hot calendering of the substrate on the barrier properties of poly(vinyl alcohol)-coated papers. Nord. Pulp Pap. Res. J., 18(1), 81–89. doi:
10.3183/npprj-2003-18-01-p081-089.
[135] Millon, L.E. and Wan, W.K. (2006). The polyvinyl alcohol-bacterial cellulose system as a new nanocomposite for biomedical applications. J. Biomed. Mater. Res. - Part B Appl. Biomater., 79(2), 245–253. doi: 10.1002/jbm.b.30535. [136] Santi, R., Cigada, A., Del Curto, B. and Farè, S. (2019). Modulable properties of PVA/cellulose fiber composites. J. Appl. Biomater. Funct. Mater., 17(1). doi: 10.1177/2280800019831224. [137] Liu, D., Sun, X., Tian, H., Maiti, S. and Ma, Z. (2013). Effects of cellulose nanofibrils on the structure and properties on PVA nanocomposites. Cellulose, 20(6), 2981–2989. doi: 10.1007/s10570-013-0073-6. [138] Leitner, J., Hinterstoisser, B., Wastyn, M., Keckes, J. and Gindl, W. (2007). Sugar beet cellulose nanofibril-reinforced composites. Cellulose, 14(5), 419–425. doi: 10.1007/s10570-007-9131-2. [139] Bajpai, P. (2015). Green chemistry and sustainability in pulp and paper industry. Green Chem. Sustain. Pulp Pap. Ind., 1–258. doi: 10.1007/9783-319-18744-0. [140] Höglund, H. (2009). Mechanical pulping. Pulping Chem. Technol., 7(1990), 57–90. doi: 10.1515/9783110213423. [141] Moradbak, A., Tahir, P.M., Mohamed, A.Z. and Halis, R. (2016). Alkaline sulfite anthraquinone and methanol pulping of bamboo (Gigantochloa scortechinii). BioResources, 11(1), 235–248. doi: 10.15376/biores.11.1.235-248. [142] TAPPI Pulp Properties Committee (1999). Freeness of pulp (Canadian standard method). Retrieved from https://www.tappi.org/globalassets/t227-d-2-sarg.pdf [143] Rantanen, W. (2001). Fiber length of pulp by projection (Revision of T 232 cm-1). Retrieved from https://www.tappi.org/content/tag/sarg/t232.pdf [144] TAPPI Pulp Properties Committee (2008). Laboratory beating of pulp (PFI mill method). Retrieved from https://www.tappi.org/globalassets/t248-d-2-sarg.pdf [145] TAPPI Pulp Properties Committee (2006). Forming handsheets for physical tests of pulp. Retrieved from https://www.tappi.org/content/sarg/t205.pdf [146] Yang, C.Q. and Xu, G. (2002). Polymer-aldehyde additives to improve paper properties. United States Patent. Retrieved from
ttps://patentimages.storage.googleapis.com/38/a6/0b/6ed7688660df8e/ US6379499.pdf
[147] Botto-Tobar, M., León-Acurio, J., Cadena, A.D. and Diaz, P.M. (2011). Advances in Emerging Trends and Technologies. Springer. [148] School of Industrial Technology (2017). Stock preparation and papermaking. https://indtech.usm.my/index.php/academicprogramme/curriculum-structure-bioresource-1718/stock-preparationandpapermaking#:~:text=Stock%20preparation%20part%20involves%2 0the,cleaning%2C%20and%20de%2Dinking. [149] Kanimozhi, K., Khaleel Basha, S. and Sugantha Kumari, V. (2016). Processing and characterization of chitosan/PVA and methylcellulose porous scaffolds for tissue engineering. Mater. Sci. Eng. C, 61, 484–491. doi: 10.1016/j.msec.2015.12.084. [150] Satvekar, R.K., Phadatare, M.R., Karande, V.A., Patil, R.N., Tiwale, B.M. and Pawar, S.H. (2012). Influence of silane content on the optical properties of sol gel derived spin coated silica thin films. Int. J. Basic Appl. Sci., 1(4). doi: 10.14419/ijbas.v1i4.292. [151] TAPPI (1997). Thickness (caliper) of paper , paperboard , and combined board. Retrieved from http://grayhall.co.uk/BeloitResearch/tappi/t411.pdf [152] Muchorski, D. (2006). Tensile properties of paper and paperboard (using constant rate of elongation apparatus). Retrieved from https://www.tappi.org/content/sarg/t494.pdf. [153] TAPPI (1997). Bursting strength of paper. Retrieved from https://www.wewontech.com/testing-standards/200328002.pdf [154] Wistara, N. and Young, R.A. (1999). Properties and treatments of pulps from recycled paper. Part I. Physical and chemical properties of pulps. Cellulose, 6(4), 291–324. doi: 10.1023/A:1009221125962. [155] TAPPI (1998). Internal tearing resistance of paper (Elmendorf-type method). Retrieved from http://grayhall.co.uk/BeloitResearch/tappi/t414.pdf [156] Keithley (2001). "Volume and surface resistivity measurements of insulating materials using the 6517B electrometer/high resistance meter volume and surface resistivity measurements of insulating materials using the 6517B electrometer/high resistance meter. Application Note. Retrieved from https://download.tek.com/document/Volume- SurfaceResistivity_AppNote_1KW-61175-0.pdf [157] Baur, M., Knauel, J., Calcara, L.and Pompili, M. (2017). Insulating liquids breakdown voltage determination: Test method efficiency. 2017 IEEE
19th Int. Conf. Dielectr. Liq. ICDL 2017. pp. 1–4. doi: 10.1109/ICDL.2017.8124657.
[158] International Electrotechnical Committee (1993). Insulating liquids Determination of the partial. https://infostore.saiglobal.com/enau/standards/iec-61294-1-0-567723_saig_iec_iec_1295861/ [159] International Electrotechnical Committee (2000). High-voltage test techniques - Partial discharge measurements. https://webstore.iec.ch/publication/1247 [160] Riley, A. (2012). Paper and paperboard packaging. In Emblem, A. and Emblem, H. (Eds.), Packaging Technology. Woodhead Publishing Limited. [161] Maharana, M., Baruah, N., Nayak, S.K. and Sahoo, N. (2017). Comparative study of mechanical and electrical strength of kraft paper in nanofluid based transformer oil and mineral oil. Proc. Int. Symp. Electr. Insul. Mater., 2(September), 646–649. doi: 10.23919/ISEIM.2017.8166573. [162] Dhar, A. and Alford, T.L. (2013). Effect of silver thickness and annealing on optical and electrical properties of Nb2O5/Ag/Nb2O5 multilayers as transparent composite electrode on flexible substrate. Earth Environ. Sci. Trans. R. Soc. Edinburgh, 1552(1), 101–106. doi: 10.1557/opl.2013.641. [163] Provencher, H., Noirhomme, B. and David, E. (2009). Effect of aging on the dielectric properties of insulation paper of power transformers. IEEE Electr. Insul. Conf. EIC 2009, June, 473–477. doi: 10.1109/EIC.2009.5166393. [164] Norrman, K., Ghanbari-Siahkali, A. and Larsen, N.B. (2005). Studies of spin-coated polymer films. Annu. Reports Prog. Chem. - Sect. C, 101, 174–201. doi: 10.1039/b408857n. [165] He, J., Tang, Y. and Wang, S.Y. (2007). Differences in morphological characteristics of bamboo fibres and other natural cellulose fibres: Studies on X-ray diffraction, solid state 13C-CP/MAS NMR, and second derivative FTIR spectroscopy data. Iran. Polym. J., 16(12), 807–818. [166] Grzybowski, S. and Zahn, M. (2012). preparation of a vegetable oil-based nanofluid and investigation of its breakdown and dielectric properties. IEEE Electrical Insulation Magazine, 28(5), 43-50. doi: 10.1109/MEI.2012.6268441. [167] El Mansouri, N.E., Espinach, F.X., Julian, F., Verdaguer, N., Torres, L., Llop, M.F. and Mutje, P. (2012). Research on the suitability of organosolv semi-chemical triticale fibers as reinforcement for recycled HDPE composites. BioResources, 7(4), 5032–5047. doi:
10.15376/biores.7.4.5032-5047.
[168] Bai, W., Kong, L. and Guo, A. (2013). Effects of physical properties on electrical conductivity of compacted lateritic soil. J. Rock Mech. Geotech. Eng., 5(5), 406–411. doi: 10.1016/j.jrmge.2013.07.003. [169] Salman, A., Al-Ramadhan, Z.A., Bakr, N.A. and Nazal, Z.F. (2014). Electrical properties of polyvinyl alcohol (PVA) films doped with CoCl2 salt. Int. J. Curr. Res., 6(4), 6225-6227. [170] Yee, M.J., Mubarak, N.M., Khalid, M., Abdullah, E.C. and Jagadish, P. (2018). Synthesis of polyvinyl alcohol (PVA) infiltrated MWCNTs buckypaper for strain sensing application. Sci. Rep., 8(1), 1–16. doi: 10.1038/s41598-018-35638-3. [171] Gutiérrez, M.P., Li, H. and Patton, J. (2002). Thin film surface resistivity. Retrieved from http://citeseerx.ist.psu.edu/viewdoc/download?doi=10.1.1.528.6542&rep =rep1&type=pdf [172] Coursehero.com (n.d). Static electricity and charge: Conservation of charge. https://courses.lumenlearning.com/physics/chapter/18-1-staticelectricity-and-charge-conservation-of-charge/ [173] Document Center Inc. (2022). ASTM-D2413. Standard Practice for Preparation of Insulating Paper and Board Impregnated with a Liquid Dielectric. https://www.document-center.com/standards/show/ASTMD2413 [174] Borch, J., Lyne, M.B., Mark, R.E. and Habeger, C. (2002). Handbook of Physical Testing of Paper, Volume 2. CRC Press. [175] Liao, R., Liu, J., Yang, L., Wang, K., Hao, J., Ma, Z., Gao, J. and Lv, Y. (2015). Quantitative analysis of insulation condition of oil-paper insulation based on frequency domain spectroscopy. IEEE Trans. Dielectr. Electr. Insul., 22(1), 322–334. doi: 10.1109/TDEI.2014.004490. [176] Okabe, S., Ueta, G. and Tsuboi, T. (2013). Investigation of aging degradation status of insulating elements in oil-immersed transformer and its diagnostic method based on field measurement data. IEEE Trans. Dielectr. Electr. Insul., 20(1), 346–355. doi: 10.1109/TDEI.2013.6451376. [177] Tomago, A., Shimizu, T., Lijima, Y. and Yamauchi, I. (1977). Development of oil-impregnated, all-polypropylene-film power capacitor. IEEE Trans. Electr. Insul., EI-12(4), 293–301. [178] Zhao, D., Yang, F., Dai, Y., Tao, F., Shen, Y., Duan, W., Ma, H., Tang, L. and Li, J. (2017). Exploring crystalline structural variations of cellulose during pulp beating of tobacco stems. Carbohydr. Polym., 174, 146–153.
doi: 10.1016/j.carbpol.2017.06.060.
[179] Melander, E. (2011). The effect of charged groups on the beatability of pulp fibres. Retrieved from https://www.divaportal.org/smash/get/diva2:425918/FULLTEXT01.pdf [180] Oommen, T.V. and Andrady, T.L. (1996). Graft polymerization and other methods to reduce the hygroscopic\nnature of cellulose insulation. Conf. Rec. 1996 IEEE Int. Symp. Electr. Insul., 2, 538–541. doi: 10.1109/ELINSL.1996.549401. [181] Koch, M. and Krüger, M. (2009). The negative dissipation factor and the interpretation of the dielectric response of power transformers. Retrieved from https://www.omicronenergy.com/download/document/07E16ADBACBB-4639-AE5B-1642F15D4734/ [182] Magabane, P., Bokoro, P. and Jordaan, J. (2019). A review of detection and mitigation of negative dissipation factor in high voltage power transformers. IEEE AFRICON Conf., 2019-Septe. doi: 10.1109/AFRICON46755.2019.9134007. [183] Seong, J.K., Seo, I.J., Hwang, J.S. and Lee, B.W. (2012). Comparative evaluation between DC and AC breakdown characteristic of dielectric insulating materials in liquid nitrogen. IEEE Trans. Appl. Supercond., 22(3), 3–6. doi: 10.1109/TASC.2011.2178222. [184] Huang, J., Zhou, Y., Zhou, Z. and Liu, R. (2016). Dramatically enhanced electrical breakdown strength in cellulose nanopaper. AIP Adv., 6(9), 1– 17. doi: 10.1063/1.4964151. [185] Sinan, S.S., Shawaludin, S.N., Jasni, J., Azis, N., Kadir, M.Z.A.A. and Mohtar, M.N. (2014). Investigation on the AC breakdown voltage of RBDPO olein. 2014 IEEE Innov. Smart Grid Technol. - Asia, ISGT ASIA 2014, pp. 760–763. doi: 10.1109/ISGT-Asia.2014.6873888. [186] Yu, Z., Wang, X., Bian, H., Jiao, L., Wu, W. and Dai, H. (2018). Enhancement of the heat conduction performance of boron nitride/cellulosic fibre insulating composites. PLoS One, 13(7), 1–10. doi: 10.1371/journal.pone.0200842. [187] Li, Y., Zhang, Q., Gao, M., Ni, H., Zhao, Y., Liu, G. and Wang, K. (2017). Influence of fiber impurities on DC partial discharge process in oilpressboard insulation. 2017 IEEE 19th Int. Conf. Dielectr. Liq. ICDL 2017, vol. 2017-Janua, no. Icdl, pp. 1–5. doi: 10.1109/ICDL.2017.8124660.
|
Proceedings of the ICGL12 Πρακτικά του ICGL12
Thanasis Georgakopoulos, Theodossia-Soula Pavlidou, Miltos Pechlivanos, Artemis Alexiadou, Jannis Androutsopoulos, Alexis Kalokairinos, Stavros Skopeteas, Katerina Stathi (Eds.)
Proceedings of the 12 th International Conference on Greek Linguistics
Πρακτικα του 12 ου συνεδριου ελληνικης γλωσσολογιας
vol. 2
© 2017 Edition Romiosini/CeMoG, Freie Universität Berlin. Alle Rechte vorbehalten.
Vertrieb und Gesamtherstellung: Epubli (www.epubli.de)
Satz und Layout: Rea Papamichail / Center für Digitale Systeme, Freie Universität Berlin
Gesetzt aus Minion Pro
Umschlaggestaltung: Thanasis Georgiou, Yorgos Konstantinou
Umschlagillustration: Yorgos Konstantinou
ISBN 978-3-946142-35-5
Printed in Germany
Online-Bibliothek der Edition Romiosini:
www.edition-romiosini.de
περιεχομενα
Γεωργία Ανδρέου & Ματίνα Τασιούδη:
Dionysis Goutsos, Georgia Fragaki, Irene Florou, Vasiliki Kakousi & Paraskevi Savvidou:
Stathis Selimis & Demetra Katis:
Αλεξιάννα Τσότσου:
Do dialect variants (mis)behave? Evidence from the Cypriot Greek koine
Stavroula Tsiplakou & Spyros Armostis Open University of Cyprus, University of Cyprus firstname.lastname@example.org, email@example.com
Περίληψη
Η εργασία αυτή εξετάζει με ποσοτικά κριτήρια τη συμπεριφορά τριών μεταβλητών της κοινής κυπριακής, η καθεμία εκ των οποίων έχει διαφορετικές πραγματώσεις. Συγκεκριμένα, εξετάζονται (α) η εμφάνιση του μεταφατνιακού ([ʃ]) ή του ουρανικού ([ç]) αλλοφώνου, (β) η εμφάνιση του μεταφατνιακού προστριβούς ([t ͡ ʃ]) ή του ουρανικού ([c]) αλλοφώνου και (γ) η εμφάνιση αορίστου ή περιφραστικών χρόνων (παρακείμένου και υπερσυντέλικου), σε συνάρτηση τόσο με την εξωγλωσσική μεταβλητή της ηλικίας των συμμετεχουσών/συμμετεχόντων όσο και ως προς το βαθμό συνεμφάνισης των διαφορετικών πραγματώσεων των μεταβλητών. Βασικά ευρήματα της ανάλυσης είναι ότι τα ρεπερτόρια των διαφορετικών ηλικιακών ομάδων είναι εν γένει συνεκτικά όσον αφορά τη συνεμφάνιση συγκεκριμένων πραγματώσεων αλλά και ότι διαφορετικές μεταβλητές συμπεριφέρονται διαφορετικά ως προς τη γλωσσική μετατόπιση.
Keywords: Cypriot Greek, coherence, continuum, diglossia, koine, levelling, Standard Greek
1. Introduction
Dialect-internal variation in Cyprus has been the object of study since at least the 1960s. Newton (1972) presents data collected during that decade from 128 villages in Cyprus and plots in great detail a host of geographical variants, which are, however, mostly phonological. It is worth noting that most of Newton' s variants are spread in
ways that do not allow for the delineation of particular geographical dialect areas, and hence they cannot be treated as distinguishing isoglosses stricto sensu. Interestingly, other older studies of Cypriot Greek (Contosopoulos 1969, Newton 1983) make reference to registers of Cypriot Greek (Newton' s "stylistic levels") and they distinguish between local, basilectal ones, and a more 'urban' or 'metropolitan' register (Newton' s "town speech"), which displays (greater) approximation to Standard Greek. Such suggestions in the early studies point to the fact that internal variation in Cypriot Greek was not just geographical, but that speakers may have always had at their disposal a more varied repertoire, including a register that was supralocal, i.e. not geographically situated or constrained and sociolinguistically more prestigious due to its (partial) parity with Standard Greek, the 'H' variety in Cyprus' s diglossic context.
More recent research (Karyolemou & Pavlou 2001, Tsiplakou, Papapavlou, Pavlou & Katsoyannou 2006) has put forward the suggestion that the present-day Cypriot Greek dialect displays both rather significant internal variation and some interesting overlaps with Standard Greek in unexpected aspects of its phonology and morphosyntax. As regards dialect-internal variation, the argument has been made that this is no longer 'horizontal'/geographical but 'vertical'/sociolectal (Papapavlou & Sophocleous 2009, Tsiplakou, Papapavlou, Pavlou & Katsoyannou 2006) arguably, due to the levelling of local subvarieties, which is in turn due to a host of relevant socio-historical and demographic factors (Hadjioannou, Tsiplakou & Kappler 2011). As regards overlaps with Standard Greek, these have been viewed as a result of the prolonged diglossic situation between Cypriot and Standard Greek and of the pressure for convergence imposed upon the dialect by the standard due to the increased sociolinguistic prestige of the latter; this has not, however, led to full de-dialectization, arguably because of the emergence of the Cypriot Greek koine, a variety which is 'mixed' enough and pancypriot enough to carry (overt) prestige and thus to act as a robust buffer against full convergence with the standard (Arvaniti 2010, Rowe & Grohmann 2013, Tsiplakou 2009a, b, 2010, 2014a, b).
Koine production displays quite some hybridity, since it features structures such as the ones below:
```
(1) eˈɣo paˈʎːa ðe mːiˈlusa I.NOM in the past NEG speak.PAST.IMPF.1S tiɲ ɟipɾiaˈci ðːiˈalekto the. ACC Cypriot. ACC dialect.ACC
```
```
tin eθeˈoɾu ˈðːiɣman it.CL.ACC consider. PAST.IMPF.1S sign.ACC
```
amoɾ̥ foˈʃ
as illiteracy.
GEN
'In the past I did not speak the Cypriot dialect; I used to consider it a sign of lack of education.'
(2) a. ˈexo afipiɾeˈtisi ton ˈavɣusto have.PRES.1S retire.PPL.PERF the.ACC August.ACC 'I have retired (: retired) last August.'
b. eˈkama mːu
ˈintʰːeɾvʝu t ͡ʃe
do.
PAST.3S
ˈ
ixa have.
PAST.1S
tin me.
CL.GEN
tus them.
CL.GEN
ˈ
erevnam bu
interview and
anaˈ
feri mention.
ˈ
ekama the.
ACC
research.
ACC
that do.
PAST.1S
'They interviewed me, and I had mentioned (: mentioned) to them the research I did (: had done).'
The example in (1) contains an instance of unexpected standard-like proclisis (cf. Pappas 2014) in an utterance that is otherwise mostly couched in Cypriot phonology and morphology; similarly, the examples in (2) make it clear that periphrastic tenses such as Present Perfect and Past Perfect, which older studies report as absent from Cypriot Greek (Menardos 1925/1969), are becoming integrated in the koine, albeit without the semantics of the corresponding Standard Greek forms, as these innovative periphrastic tenses of the Cypriot koine are variants of the Simple Past, as has been shown in previous work (Melissaropoulou, Themistocleous, Tsiplakou & Tsolakidis 2013, Tsiplakou, Armostis & Evripidou 2016, Vasiliou 2014).
This paper addresses the role of such variation in the shaping of the linguistic repertoires of koine speakers. The purpose of the analysis conducted was to explore whether,
PERF
in a sociolinguistic context of dialect levelling, diglossia and koineization, the range of variants that speakers have at their disposal is used differentially for different indexical purposes, thereby putting paid to the reification of the notion of sociolect or register as a coherent clustering of variants (cf. Eckert 2008, Silverstein 2003, Tsiplakou & Ioannidou 2012) or, conversely, whether one ought to expect consistency and coherence vis-à-vis rates of occurrence of particular variants (Guy 2013); if the answer to the latter is in the affirmative, then an exploration is also required of the extralinguistic factors affecting or conditioning such coherence (cf. Hinskens 2014, Hinskens & Guy 2016, Tsiplakou, Armostis & Evripidou 2016).
2. The study
2.1. The variables
The study examines two phonological and one morphological variable, each with variants which are perceived as 'more Cypriot' or as 'more standard-like', i.e. as forms of relatively higher prestige, namely
(a) the postalveolar ~ palatal alternation: [ʃ] vs. [ç] and [t ͡ ʃ] vs. [c] before the front vowels [e] and [i];
(b) Simple Past vs. Present and Past Perfect; in the Cypriot koine the latter two are variants of the Simple Past Tense, as was shown above.
2.2.. Methodology
The data was collected through individual interviews with 51 participants, 25 males and 26 females, whose ages ranged from 26 to 90. The participants' profiles were similar as regards income and education. Following standard practice, participants were asked to recount a past experience, preferably exciting or emotionally loaded. The two interviewers were both young male speakers of Cypriot Greek and they took care to speak informally throughout the interviews.
2.3. Results
2.3.1. General results
Generally speaking, in the data there was a preponderance of the 'more Cypriot' variants:
All three variables, broken down into their corresponding variants, were tested for possible correlation with age. The results are shown in the following table:
| Fricatives | Non Continuants | Tenses | | |
|---|---|---|---|---|
| [ʃ] (vs [ç]) | [͡ tʃ] (vs [c]) | Simple Past | Present Perfect | Past Perfect |
| ρ = -.424, p = .002 | ρ = -.213, p = .066 | ρ = .536, p < .0005 | ρ = -.533, p < .0005 | ρ = -.502, p < .0005 |
Table 1 | Correlations of Age with the variants of the variables tested (Spearman' s rho and significance for onetailed tests). Significant correlations are marked in bold
The test indicated that there are significant correlations with age for four of the variants; the only exception was the use of the affricate [t ͡ ʃ], which showed negative correlation with age, but this result was not significant. The use of the fricative [ʃ] increased
significantly with age. Similarly, the use of Simple Past increased with age. The use of Present Perfect and Past Perfect decreased the older the participants were. The correlations show that age plays a role, and indeed, as shown in Figure 2, participants over 40 years or age did not use the Present Perfect at all.
2.3.2. Correlations by age group
Since the two age groups (younger vs older) differed from one another, correlations between the variants of the variables investigated were performed for each age group separately.
Figure 3 above shows the percentages of usage of the variants of the variables measured for the younger age group (≤40).
Correlation analyses were performed among the variants of the test variables. The results are shown in the following table:
͡
Table 2 | Correlations between the variants of the test variables for the younger age group
| | [t͡ ʃ] (vs [c]) | Simple Past | Present Perfect |
|---|---|---|---|
| [ʃ] (vs [ç]) | ρ = .794, p = .003 | ρ = -.460, p = .090 | ρ = .241, p = .251 |
| [͡ tʃ] (vs [c]) | | ρ = -.287, p = .196 | ρ = .095, p = .390 |
| Simple Past | | | ρ = -.764, p = .003 |
The results indicated a strong positive correlation between the two phonological variables: the more participants used the fricative [ʃ], the more they used the affricate [t ͡ ʃ]. The negative correlations between the use of Simple Past and the periphrastic tenses are as expected. The correlation between the two periphrastic tenses was positive but not significant.
It is interesting to note that the two phonological variables [t ͡ ʃ] and [ʃ] were negatively correlated with Simple Past but positively with the periphrastic tenses. This means that the more the younger participants used [t ͡ ʃ] and [ʃ], the more they used periphrastic tenses (and the less they used Simple Past), which may suggest that periphrastic tenses are already integrated in the system of younger speakers (as was also shown in Melissaropoulou, Themistocleous, Tsiplakou & Tsolakidis 2013, Vasiliou 2014). It ought to be noted that the periphrastic tenses were more often than not couched in Cypriot phonology and syntax; cf. the pronominal enclisis (as opposed to Standard-like proclisis, cf. (1) and (2b) above) and the use of [ʃ] (as opposed to Standard-like [ç]) in the example below (see also (2b)):
(3) ˈiʃe
mː
as ta
have.
PAST.3S
ˈpɾiksi us.
CL.GEN
me tin
CL.ACC
eˈ
oka swollen.
PERF
with the.
ACC
EOKA
'He had busted our balls about EOKA.'
However, the interpretation of this finding is only tentative, as none of the correlations are statistically significant.
The following graph shows the percentages of usage of the variables measured for the older age group (>40).
Correlation analyses were performed among the variants of the test variables. The results are shown in Table 3 on the next page.
Again, the results indicated a strong positive correlation between the two phonological variables: the more our participants used the fricative [ʃ], the more they used the affricate [t ͡ ʃ]. Present Perfect was not used at all by older participants (a fact requiring an independent explanation), thus it yielded no correlations.
them.
Table 3 | Correlations between the variants of the test variables for the older age group
| | [͡ tʃ] (vs [c]) | Simple Past | Present Perfect |
|---|---|---|---|
| [ʃ] (vs [ç]) | ρ = .695, p < .0005 | ρ = .187, p = .142 | NA |
| [͡ tʃ] (vs [c]) | | ρ = .118, p = .237 | NA |
| Simple Past | | | NA |
| Present Perfect | | | |
.
Regarding the phonological variables [t ͡ ʃ] and [ʃ], they were positively correlated with Simple Past but negatively with the periphrastic tenses (they displayed the opposite pattern of that in the younger age group). This means that the more our participants used [t ͡ ʃ] and [ʃ], the less they used periphrastic tenses (and the more they used Simple Past). In other words, the more the older speakers used the non-Cypriot variants [ç] and [c], the more they used periphrastic tenses. This may mean that for older speakers, periphrastic tenses, are perceived as non-Cypriot elements, on a par with [ç] and [c], i.e. as elements that may be indexicals of more acrolectal registers, or even outside the Cypriot dialect continuum. Thus, periphrastic tenses may be less integrated in their system compared to that of younger speakers. Again, these results are only tentative, as the correlations were not significant.
3. Conclusions
The analysis presented in this paper is a preliminary approach to variation internal to dialect speakers' repertoires in situations of levelling, koineization and dense language contact with the standard variety in the diglossic Greek Cypriot setting. As regards phonological choices, the contrast in the rates of use of [t ͡ ʃ] and [c] was striking in both age groups, and also similar in both. Interestingly, it was the [ʃ] - [ç] ratios that were different in the two age groups, as [ç] emerged much more frequently in the speech of the older informants. As regards the morphological variable, the picture was as expected: given the relative informality of the interview register, the ratio between periphrastic (prestige) and non-periphrastic (non-prestige) tenses indicated an overall
preference for the non-periphrastic ones. However, it appears that the periphrastic tenses were more frequent in the speech of younger informants- ceteris paribus, this may be taken as an indication that the periphrastic tenses are more of an 'extraneous' variant in the speech of older informants than in that of our younger ones.
As regards language shift, levelling and, concomitantly, innovation as convergence with the standard, the data present a complex picture: based especially on the behavior of the younger group, it would seem that [ʃ] and [t ͡ ʃ] are both resistant to levelling, and, in fact, especially as regards [ʃ], this allophone is more resilient in the speech of the younger group than in the speech of the older informants, which may lead us to assume the reversal of a levelling tendency. In contrast, the younger group is more innovative as regards the use of the periphrastic tenses. With respect to coherence within repertoires, while overall there is a preponderance of the 'more Cypriot' variants and overall parity among the rates of use of the 'more Cypriot' vs. 'less Cypriot' variants across both the phonological and the morphological variants examined, the breakdown into different age groups yields a first glimpse into a more complex picture, which requires further investigation by taking into account additional extralinguistic variables (cf. Tsiplakou, Armostis & Evripidou 2016) as well as linguistic factors such as register/ stylistic differences, which may in turn depend on the topic of conversation, aspects of the configuration of social relationships among participants, etc.
References
Arvaniti, Amalia. 2010. "Linguistic Practices in Cyprus and the Emergence of Cypriot Standard Greek." Mediterranean Language Review 17:15–45.
Epetiris tou Kentrou Epistimonikon Erevnon
Contosopoulos, Nikolaos. 1969. "Symvoli eis tin Meletin tis Kypriakis Dialektou."
Eckert, Penelope. 2008. "Variation and the Indexical Field." Journal of Sociolinguistics 12:453–476.
3:87–109.
Guy, Gregory R. 2013. "The Cognitive Coherence of Sociolects: How do Speakers Handle Multiple Sociolinguistic Variables?" Journal of Pragmatics 52:63–71.
Hadjioannou, Xenia, Stavroula Tsiplakou, and Matthias Kappler. 2011. "Language
Policy and Language Planning in Cyprus." Current Issues in Language Planning 12:503–569.
Hinskens, Frans L.M.P., and Gregory R. Guy. 2016. "Linguistic Coherence: Systems, Repertoires and Speech Communities." Lingua 172-173:1–9.
Hinskens, Frans L.M.P. 2014. "Despite or Because of Intensive Contact? Internal, External and Extralinguistic Aspects of Divergence in Modern Dialects and Ethnolects of Dutch." In Stability and Divergence in Language Contact: Factors and Mechanisms, edited by Kurt Braunmüller, Steffen Höder, and Karoline H. Kühl, 109–140. Amsterdam/Philadelphia: John Benjamins.
Karyolemou, Marilena, and Pavlos Pavlou. 2001. "Language Attitudes and Assessment of Salient Variables in a Bi-Dialectal Speech Community. " In Proceedings of the 1 st International Conference on Language Variation in Europe, edited by Joseph M. Fontana, Louise McNally, Maria Teresa Turell, and Enrik Vallduví, 110–120. Barcelona: Universitat Pompeu Fabra.
Menardos, Simos. 1925/1969. Kypriaki Grammatiki. G΄. Rimata. Athena 37:35–79. Reprinted in Menardos, Simos. 1969. Glossikai Meletai. Nicosia: Cyprus Centre for Scientific Research.
Melissaropoulou, Dimitra, Charalambos Themistocleous, Stavroula Tsiplakou, and Symeon Tsolakidis. 2013. "The Present Perfect in Cypriot Greek Revisited." In Studies in Language Variation - European Perspectives IV. Selected Papers from the 6 th International Conference on Language Variation in Europe (ICLaVE 6), University of Freiburg, edited by Peter Auer, Juan Caro Reina, J. and Goez Kaufmann, 159–172. Amsterdam: John Benjamins.
Newton, Brian. 1983. "Stylistic Levels in Cypriot Greek." Mediterranean Language Re view 1:55–63.
Papapavlou, Andreas, and Andry Sophocleous. 2009. "Language Attitudes and Folk Perceptions towards Linguistic Variation." In Studies in Language Variation - European Perspectives II. Selected Papers from the 5 th International Conference on Language Variation in Europe (ICLaVE 5), University of Cyprus, edited by Stavroula Tsiplakou, Marilena Karyolemou, and Pavlos Pavlou, 179–190. Amsterdam/Philadelphia: John Benjamins.
Newton, Brian. 1972. Cypriot Greek: Its Phonology and Inflections. The Hague: Mouton. Papapavlou, Andreas. 1998. "Attitudes toward the Greek Cypriot Dialect: Sociolinguistic Implications." International Journal of the Sociology of Language 134:15–28.
Pappas, Panayiotis A. 2014. "Exceptional Clitic Placement in Cypriot Greek: Results from an MET study." Journal of Greek Linguistics 14:190–211.
Rowe, Charley, and Kleanthes K. Grohmann, 2013. "Discrete Bilectalism: Towards Co-Overt Prestige and Diglossic Shift in Cyprus." International Journal of the Sociology of Language 224:119–142.
Tsiplakou, Stavroula. 2014a. "How 'Mixed' is a Mixed System? The Case of the Cypriot Greek Koiné." Linguistic Variation. Special Issue: Three Factors and Beyond, vol. 1 - Socio-Syntax and Language Ac quisition: 161–178.
Silverstein, Michael. 2003. "Indexical Order and the Dialectics of Sociolinguistic Life." Language and Communication 23:193–229.
Tsiplakou, Stavroula. 2014b. "Does Convergence Generate Stability? The Case of the Cypriot Greek Koiné." In Stability and Divergence in Language Contact: Factors and Mechanisms, edited by Kurt Braunmüller, Steffen Höder, and Karoline H. Kühl, 163–178. Amsterdam/Philadelphia: John Benjamins.
Tsiplakou, Stavroula. 2009a. "Code-Switching and Code Mixing Between Related Varieties: Establishing the Blueprint." The International Journal of Humanities 6: 49–66.
Tsiplakou, Stavroula. 2010. "Code-Switching and Code-Mixing in Situations of Language Contact: The Case of Contemporary Cypriot Greek." In The Greek Language in Cyprus from Antiquity to the Present, edited by Andreas Voskos, Dionysis Goutsos, and Amalia Moser, 228–241. Athens: National Capodistrian University of Athens.
Tsiplakou, Stavroula. 2009b. "Glossiki Enallagi, Antagonistikes Grammatikes kai Diaglossa: Akoma mia Diastasi tou «Kypriakou»." In Proceedings of the 8 th International Conference on Greek Linguistics (Ioannina, 30/8–2/9/2007), edited by Georgios K. Giannakis, Maria Baltazani, Georgios J. Xydopoulos, and Anastasios Tsangalidis, 1195–1209. Ioannina: University of Ioannina.
Tsiplakou, Stavroula, and Elena Ioannidou. 2012. "Stylizing Stylization: the Case of Aigia Fuxia." Multilingua 31:277–299.
Tsiplakou, Stavroula, Spyros Armostis, and Dimitris Evripidou. 2016. "Coherence 'in the Mix'? Coherence in the Face of Language Shift in Cypriot Greek." Lingua 172–173:10–25.
Tsiplakou, Stavroula, Andreas Papapavlou, Pavlos Pavlou, and Marianna Katsoyannou. 2006. "Levelling, Koineization and their Implications for Bidialectism." In Language Variation – European Perspectives. Selected Papers from the 3 rd International Conference on Language Variation in Europe (ICLaVE 3), University of Amsterdam, edited by Frans L.M.P. Hinskens, 265–276. Amsterdam: John Benjamins.
Vasiliou, Elena. 2014. The Pluperfect in Standard and Cypriot Greek. M.A. Dissertation, Open University of Cyprus.
|
PT Musim Mas - Forests 2020
F0. Introduction
F0.1
(F0.1) Give a general description of and introduction to your organization.
Headquartered in Singapore, Musim Mas Group is a fully integrated palm oil corporation that delivers the highest quality and innovative palm oil products and derivatives used across multiple industries worldwide.
As one of the most prominent players in the palm oil industry, we aspire to be a responsible leader in the evolution of the industry, driving a new era of sustainability with innovation across the globe. To that aim, our dedicated, global team of professionals across the entire palm oil supply chain work closely with local and international stakeholders, ensuring that our products are economically viable, socially responsible, and environmentally appropriate.
Since 1972, Musim Mas has established deep and long-standing relationships with our customers and stakeholders worldwide. Our multi-cultural and multi-disciplinary workforce, located in 13 countries, brings innovation to meet the growing needs of our customers.
We are proud to be the preferred supply chain partner for palm oil and its derivatives. From our plantations, mills, refineries, kernel crushing plants, oleochemicals, and specialty fats plants, we manufacture palm oil and value-added derivatives before exporting these to customers via our extensive fleet of tankers and barges. Today, Musim Mas is Indonesia's largest palm oil exporter to customers located all around the world.
The steady growth of Musim Mas is underpinned by the quality of our management and supported by professionals dedicated to the highest standards of quality, safety, and efficiency. Our global marketing activities are undertaken by Inter-Continental Oils and Fats (ICOF), a member of Musim Mas Group.
Despite these achievements our business continues to face new challenges. As we have progressed, so have expectations from stakeholders for a responsible supply base. To achieve this, environmental stewardship has been a core pillar of our sustainability measures. Musim Mas strives to minimise and mitigate adverse impacts on the environment, by regularly assessing the impact of our operations through tools or exercises such as RSPO PalmGHG and CDP. We initiated our first Life Cycle Assessment (LCA) in 2019, to evaluate the impact of our operations on the environment, as well as develop holistic mitigation plans to minimize those impacts.
Musim Mas takes the impact of climate change seriously and is strongly committed to minimising GHG emissions within our operations. Our sustainability teams, senior management and the Board, are involved in decision-making pertaining to our climate-related risks and opportunities to ensure emission reductions are adequately managed throughout our operations.
F0.2
(F0.2) State the start and end date of the year for which you are reporting data.
| | Start Date |
|---|---|
| Reporting year | January 1 2019 |
F0.3
(F0.3) Select the currency used for all financial information disclosed throughout your response. USD
F0.4
CDP
Page of 27 1
(F0.4) Select the forest risk commodity(ies) that you are, or are not, disclosing on. For each forest risk commodity selected, identify the stages of the supply chain which best represents your organization's area of operation.
| | Commodity disclosure | Stage of the value chain |
|---|---|---|
| Timber products | This commodity is not produced, sourced or used by our organization | <Not Applicable> |
| Palm oil | Disclosing | Production Processing Trading Manufacturing Retailing |
| Cattle products | This commodity is not produced, sourced or used by our organization | <Not Applicable> |
| Soy | This commodity is not produced, sourced or used by our organization | <Not Applicable> |
| Other - Rubber | This commodity is not produced, sourced or used by our organization | <Not Applicable> |
| Other - Cocoa | This commodity is not produced, sourced or used by our organization | <Not Applicable> |
| Other - Coffee | This commodity is not produced, sourced or used by our organization | <Not Applicable> |
F0.5
(F0.5) Are there any parts of your direct operations or supply chain that are not included in your disclosure?
No
F1. Current state
F1.1
(F1.1) How does your organization produce, use or sell your disclosed commodity(ies)?
Palm oil
Activity
Growing/production of raw materials
Harvesting
Milling
Crushing
Refining & processing
Refining & fractionation
Exporting/trading
Using as input into manufacturing process for power generation
Form of commodity
Fresh fruit bunches (FFB) Crude palm oil (CPO) Crude palm kernel oil (CPKO) Palm kernel meal (PKM) Refined palm oil Palm oil derivatives Palm kernel oil derivatives
Palm biodiesel
Source
Owned/managed land
Smallholders
Trader/broker/commodity market
Country/Area of origin
Indonesia
% of procurement spend
100%
Comment
Our business activities run the gamut of the palm oil supply chain: o Managing oil palm plantations to produce fresh fruit bunch (FFB) o Milling oil palm fruits to produce crude palm oil (CPO) and Palm Kernel (PK) o Crushing PK to obtain crude palm kernel oil (PKO) o Refining CPO and PKO o Further processing to produce value-added products such as specialty fats, oleochemicals, biodiesel, soap, palm wax and functional products such as emulsifiers o Manufacturing consumer goods such as cooking oil and personal care products o Shipping and merchandising value-added products to global destinations
F1.2
CDP
Page of 27 2
(F1.2) Indicate the percentage of your organization's revenue that was dependent on your disclosed forest risk commodity(ies) in the reporting year.
| | % of revenue dependent on commodity |
|---|---|
| Timber products | <Not Applicable> |
| Palm oil | 100% |
| Cattle products | <Not Applicable> |
| Soy | <Not Applicable> |
| Other - Rubber | <Not Applicable> |
| Other - Cocoa | <Not Applicable> |
| Other - Coffee | <Not Applicable> |
F1.3
(F1.3) Provide details on the land area you control and/or manage that is used for the production of your disclosed commodity(ies)?
Forest risk commodity
Palm oil
Type of control
Concession/lease
Country/Area
Indonesia
Land type
<Not Applicable>
Area (Hectares)
117000
% Area certified
71
Certification scheme
RSPO producer/grower certification
International Sustainability and Carbon Certification (ISCC)
Conversion of natural ecosystems during the reporting year
No
Area converted during the reporting year (hectares)
<Not Applicable>
% covered by natural forests
<Not Applicable>
Please explain
Forest risk commodity
Palm oil
Type of control
Scheme/Plasma smallholders
Country/Area
Indonesia
Land type
<Not Applicable>
Area (Hectares)
5500
% Area certified
54
Certification scheme
RSPO producer/grower certification
International Sustainability and Carbon Certification (ISCC)
Conversion of natural ecosystems during the reporting year
No
Area converted during the reporting year (hectares)
<Not Applicable>
% covered by natural forests
<Not Applicable>
Please explain
Page of 27 3
(F1.4) Provide details on the land you control and/or manage that was not used for the production of your disclosed commodity(ies) in the reporting year.
Forest risk commodity
Palm oil
Country/Area
Indonesia
Type of control
Concession/lease
Land type
Set-aside land
Area (hectares)
24000
% covered by natural forests
Please explain
In accordance with our Sustainability Policy, High Conservation Value (HCV) area and High Carbon Stock (HCS) forest are conserved. In addition, several areas such as, riparian zones, steep areas and slope areas are also conserved.
F1.5
(F1.5) Does your organization collect production and/or consumption data for your disclosed commodity(ies)?
F1.5a
(F1.5a) Disclose your production and/or consumption data.
Forest risk commodity
Palm oil
Data type
Production data
Volume
2584026
Metric
Metric tons
Data coverage
Full commodity production/consumption
Please explain
<Not Applicable>
F1.5b
(F1.5b) For your disclosed commodity(ies), indicate the percentage of the production/consumption volume sourced by national and/or sub-national jurisdiction of origin.
Forest risk commodity
Palm oil
Country/Area of origin
Indonesia
State or equivalent jurisdiction
Specify state/equivalent jurisdiction (Pelalawan Regency)
Page of 27 4
% of total production/consumption volume
21.02
Please explain
Percentage of Fresh Fruit Bunch (FFB) produced in Pelalawan Regency compared to total Musim Mas production.
Forest risk commodity
Palm oil
Country/Area of origin
Indonesia
State or equivalent jurisdiction
Specify state/equivalent jurisdiction (Pasaman Barat Regency)
% of total production/consumption volume
6.45
Please explain
Percentage of Fresh Fruit Bunch (FFB) produced in Pasaman Barat Regency compared to total Musim Mas production.
Forest risk commodity
Palm oil
Country/Area of origin
Indonesia
State or equivalent jurisdiction
Specify state/equivalent jurisdiction (Labuhan Batu Regency)
% of total production/consumption volume
0.35
Please explain
Percentage of Fresh Fruit Bunch (FFB) produced in Labuhan Batu Regency compared to total Musim Mas production.
Forest risk commodity
Palm oil
Country/Area of origin
Indonesia
State or equivalent jurisdiction
Specify state/equivalent jurisdiction (Musi Banyuasin Regency)
% of total production/consumption volume
10.61
Please explain
Percentage of Fresh Fruit Bunch (FFB) produced in Musi Banyuasin Regency compared to total Musim Mas production.
Forest risk commodity
Palm oil
Country/Area of origin
Indonesia
State or equivalent jurisdiction
Specify state/equivalent jurisdiction (Kotawaringin Timur Regency)
% of total production/consumption volume
44.03
Please explain
Percentage of Fresh Fruit Bunch (FFB) produced in Kotawaringin Timur Regency compared to total Musim Mas production.
Forest risk commodity
Palm oil
Country/Area of origin
Indonesia
State or equivalent jurisdiction
Specify state/equivalent jurisdiction (Sambas Regency)
% of total production/consumption volume
3.47
Please explain
Percentage of Fresh Fruit Bunch (FFB) produced in Sambas Regency compared to total Musim Mas production.
Forest risk commodity
Palm oil
Country/Area of origin
Indonesia
Page of 27 5
State or equivalent jurisdiction
Specify state/equivalent jurisdiction (Ketapang Regency)
% of total production/consumption volume
2.52
Please explain
Percentage of Fresh Fruit Bunch (FFB) produced in Ketapang Regency compared to total Musim Mas production.
Forest risk commodity
Palm oil
Country/Area of origin
Indonesia
State or equivalent jurisdiction
Specify state/equivalent jurisdiction (Indragiri Hilir Regency)
% of total production/consumption volume
8.48
Please explain
Percentage of Fresh Fruit Bunch (FFB) produced in Indragiri Hilir Regency compared to total Musim Mas production.
Forest risk commodity
Palm oil
Country/Area of origin
Indonesia
State or equivalent jurisdiction
Specify state/equivalent jurisdiction (Barito Utara and Murung raya Regency)
% of total production/consumption volume
3.07
Please explain
Percentage of Fresh Fruit Bunch (FFB) produced in Barito Utara dan Murung Raya Regency compared to total Musim Mas production.
F1.6
(F1.6) Has your organization experienced any detrimental forests-related impacts?
No
F2. Procedures
F2.1
(F2.1) Does your organization undertake a forests-related risk assessment?
Yes, forests-related risks are assessed
F2.1a
CDP
Page of 27 6
Palm oil
Value chain stage
Direct operations
Supply chain
Coverage
Full
Risk assessment procedure
Assessed as part of other company-wide risk assessment system
Frequency of assessment
More than once a year
How far into the future are risks considered?
> 6 years
Tools and methods used
Internal company methods
Global Forest Watch Pro
Sustainability Policy Transparency Toolkit (SPOTT)
Global Risk Assessment Services (GRAS)
Please explain
Palm oil and its derivatives are the main commodity of Musim Mas which accounts for almost 100% of its revenue therefore oil palm deforestation risk assessment is of great importance to Musim Mas. Musim Mas has put in place a monitoring system that monitor - Adherance to RSPO and POIG procedure to ensure no deforestation in new oil palm development - Traceability of purchased oils and palm fruits (FFB) (MM dashboard reflect transparently on third party supply chain and the progress of transformation) - New regulations and/or update of regulations on oil palm sustainability (RSPO, ISPO, EU RED, US RFS etc) - Occurrences of stakeholder conflicts - Oil palm news from the media Any problems that arise and their resolution are actively monitored. If there is an allegation of deforestation in our supply chain, we will study and analyse the allegation using our internal tools as well as publicly available tool such as GFW and GRAS. If the deforestation confirmed, we will engage with the suppliers in question. The results of this risk management system are communicated every quarter to the executive chairman of the board. Musim Mas has also joined the Palm Oil Innovation Group as a progressive front runner to look at potential innovations. This involves the commitment towards the High Carbon Stock Approach as well as fair labor principles.
F2.1b
(F2.1b) Which of the following issues are considered in your organization's forests-related risk assessment(s)?
Availability of forest risk commodities
Relevance & inclusion
Relevant, always included
Please explain
As we derive almost 100% of our revenue from oil palm and its derivative, the availability of oil palm (a forest risk commodities) is paramount to our operations and is always included in our risk assessment.
Quality of forest risk commodities
Relevance & inclusion
Relevant, always included
Please explain
In current business climate, the quality of the oil palm is important. Musim Mas has adopted a sustainability policy which consist of five major points: 1. Bring benefit to the community 2. No deforestation of the High Conservation Value (HCV) area and High Carbon Stock (HCS) forest 3. No development of peatland regardless of depth 4. Fully comply with local, national and international laws 5. Establish traceable supply chain See the full sustainability policy in:
https://www.musimmas.com/pdf/Musim%20Mas%20Sustainability%20Policy.pdf In line with our sustainability policy, we are concerned with the sustainability "quality" of our supply and this is always included in our risk assessment.
Impact of activity on the status of ecosystems and habitats
Relevance & inclusion
Relevant, always included
Please explain
As per point 2 and 3 of the sustainability policy mentioned above, we commit to - No deforestation of the High Conservation Value (HCV) area and High Carbon Stock (HCS) forest - No development of peatland regardless of depth Further, we also monitor hotspots on daily basis using data from three sources: NOAA, MODIS and VIIRS Accordingly, the impact of activity on ecosystems and habitats is important and is always included in our risk assessment. If our supplier is found not compliant with the policies, we will engage with the supplier in question.
Regulation
Relevance & inclusion
Relevant, always included
Please explain
As per point 4 of the sustainability policy mentioned above, we commit to: - Fully comply with local, national and international laws Accordingly changes in regulation is assigned a high priority in our risk assessment process.
Page of 27 7
Climate change
Relevance & inclusion
Relevant, always included
Please explain
Climate change may bring changes in precipitation pattern and cause increase in extreme weather conditions such as drought and flood. This will cause substantive impact on our operations. The awareness of climate change and its impact may also bring about a change in customers preference. This is why climate change is always included in our risk assessment
Impact on water security
Relevance & inclusion
Relevant, always included
Please explain
We started our first water footprint in 2018 using our 2016 and 2017 data. Since then, we always conducted water footprint calculation every year to ensure that positive water balance is always maintained in each of our plantations.
Tariffs or price increases
Relevance & inclusion
Relevant, always included
Please explain
Tariffs or other non tariffs barriers can impact the profitability of the company and is included in risk assesment
Loss of markets
Relevance & inclusion
Relevant, always included
Please explain
Loss of market has been a concern recently especially European market where the parliament has recently passed a resolution to restrict the import of palm oil. These issues are discussed in our risk assessment.
Brand damage related to forest risk commodities
Relevance & inclusion
Relevant, always included
Please explain
Oil palm has come under intense scrutiny and have been targeted by many negative campaign. This is a concern for us and is always included when we assess our risk.
Corruption
Relevance & inclusion
Relevant, always included
Please explain
A sizable part of Musim Mas operation is in Indonesia which is regarded as a high risk country when it comes to corruption. Musim Mas in its sustainability policy stated that Musim Mas will conduct its business in a fair and ethical manner, and discourage all forms of corruption and bribery. Corruption is always included in risk assessment.
Social impacts
Relevance & inclusion
Relevant, always included
Please explain
One of the main points in Musim Mas sustainability policy is to bring benefit to the community. Before we undertake any new enterprise, we always strive to ensure that that a social impact assessment has been conducted. We also provide assistance to the local communities in the form of corporate social responsibility (CSR) if requested. Social impact is always included in our risk assessment.
Other, please specify
Relevance & inclusion
Not considered
Please explain
F2.1c
CDP
Page of 27 8
Customers
Relevance & inclusion
Relevant, always included
Please explain
Customer's request and due diligence are part of our forest related risk assessment. For example, our customers had their own NDPE, or requirement such as to participate in CDP disclosure.
Employees
Relevance & inclusion
Relevant, always included
Please explain
Socializing our sustainability policy to our employees is important to ensure that our employee understood the commitments outlined in the sustainability policy and to minimize risk of employee breaching our policy. This is always included in the risk assessment.
Investors
Relevance & inclusion
Relevant, always included
Please explain
Recently, some banks are starting to require sustainability assessment before they provide funding. Forest-related issues are one of the topic considered.
Local communities
Relevance & inclusion
Relevant, always included
Please explain
Local community is a significant aspect on our forest related risk assessment. Stakeholder consultation is one method where we discuss with community about their perception and expectation on forest area and how forest is important for their lives. Through stakeholder consultation, we also provide training and socialization to local community regarding our approach such as our NDPE, HCV and HCS. In addition, we also do hotspot monitor in the areas around our concessions to prevent or minimize any fire occurence. Musim Mas has also developed a program called "Masyarakat Bebas Api/ Fire Free Village", in which we provide monetary incentive to the communities if there is no occurrence of fire in a certain period of time.
NGOs
Relevance & inclusion
Relevant, always included
Please explain
Musim Mas strives to be a leader in oil palm sustainability and we understand that NGOs are an important component of that journey. Musim Mas have worked with NGOs in various projects to advance the sustainability of oil palm and to alleviate the negative reputation of oil palm. This is included in our risk assessment.
Other forest risk commodity users/producers at a local level
Relevance & inclusion
Relevant, always included
Please explain
We engaged other forest risk commodity producers to developed a monitoring and management program, which goal is to ensure the conservation areas around the concession is preserved and maintained.
Regulators
Relevance & inclusion
Relevant, always included
Please explain
As per point 4 of the sustainability policy mentioned above, we commit to: - Fully comply with local, national and international laws We monitor and keep abreast of any new laws and regulations that affect the business. Accordingly regulators and changes in regulation is assigned a high priority in our risk assessment process.
Suppliers
Relevance & inclusion
Relevant, always included
Please explain
Musim Mas has a large downstream operations which depended on supplies from our multitudes of suppliers. Disruption to our suppliers will have significant impact on Musim Mas operations. This is always included in risk assessment. We have also set up a traceability system to map our suppliers, analyse their risk level and engage with them if necessary.
Other stakeholders, please specify
Relevance & inclusion
Please select
Please explain
F3. Risks and opportunities
CDP
Page of 27 9
(F3.1) Have you identified any inherent forests-related risks with the potential to have a substantive financial or strategic impact on your business?
| Timber products | <Not Applicable> |
|---|---|
| Palm oil | Yes |
| Cattle products | <Not Applicable> |
| Soy | <Not Applicable> |
| Other - Rubber | <Not Applicable> |
| Other - Cocoa | <Not Applicable> |
| Other - Coffee | <Not Applicable> |
F3.1a
(F3.1a) How does your organization define substantive financial or strategic impact on your business?
Musim Mas defines substantive financial impact as:
- Any impact which could potentially inflict financial loss around 10 percent or higher of current EBITDA estimates.
- Any climatic event that will drastically affect the yield and productivity of oil palm crop as well as palm oil supply.
- Any drastic drop in supply (of raw materials) of 20 percent or more, which affect our production cost as well as production volume.
F3.1b
CDP
(F3.1b) For your disclosed forest risk commodity(ies), provide details of risks identified with the potential to have a substantive financial or strategic impact on your business, and your response to those risks.
Forest risk commodity
Palm oil
Type of risk
Physical
Geographical scale
Plantation
Where in your value chain does the risk driver occur?
Direct operation
Supply chain
Primary risk driver
Increased severity of extreme weather events
Primary potential impact
Reduction or disruption in production capacity
Company-specific description
Change in precipitation patterns and increased occurrence of weather extremes such as drought and flooding will cause a drop in the productivity of oil palm. Some studies found that drought and flood may cause 10 - 30% drop in oil palm productivity. This has two substantive impacts on us: It reduce our plantations (upstream) production and revenue and it increase the production cost of our refineries (downstream).
Timeframe
1-3 years
Magnitude of potential impact
Medium
Likelihood
About as likely as not
Are you able to provide a potential financial impact figure?
No, we do not have this figure
Potential financial impact (currency)
<Not Applicable>
Potential financial impact figure - minimum (currency)
<Not Applicable>
Potential financial impact figure - maximum (currency)
<Not Applicable>
Explanation of financial
The impact has not been quantified financially.
Primary response to risk
Implementation of environmental best practices in direct operations
Description of response
Implementing best management practices to alleviate the impact of drought and flood such as: 1. Improve soil management by recycling back cut fronds and organic waste from palm oil mill such as EFB and decanter to improve the soil moisture retention capacity and to ameliorate the drought effects. 2. Install and maintain proper drainage to better deal with flood waters. 3. Research drought or flood resistant varieties of oil palm. These activities have been implemented since a few years ago and are expected to continue in the future. They are expected to help the company to better deal with drought and flooding condition. Improved moisture retention due to biomass application help provide buffer for the palms during drought while the improved drainage will help to reduce the incidence and severity of flooding during wet months.
Cost of response
Explanation of cost of response
Cost of response not quantified at corporate level
F3.2
(F3.2) Have you identified any forests-related opportunities with the potential to have a substantive financial or strategic impact on your business?
F3.2a
CDP
(F3.2a) For your selected forest risk commodity(ies), provide details of the identified opportunities with the potential to have a substantive financial or strategic impact on your business.
Forest risk commodity
Palm oil
Type of opportunity
Products & services
Where in your value chain does the opportunity occur?
Direct operation
Supply chain
Primary forests-related opportunity
Increased brand value
Company-specific description & strategy to realize opportunity
There is an opportunity for Musim Mas to establish itself as the leader in sustainable palm oil industry by activities such as: - Ensuring full certification of business units - Actively participating in oil palm sustainability initiatives and dialogues. Musim Mas is implementing those strategies: Musim Mas is one of first company to be RSPO certified. Musim Mas is the only Indonesian member of POIG. Musim Mas joins a select few companies who have implemented HCSA methodology. Musim Mas staffs are members of many working group supporting innovation and contribute the process of the RSPO, ISPO, POIG, and HCSA high forested landscape working group to put out guidelines for sustainable oil palm
Estimated timeframe for realization
Current - up to 1 year
Magnitude of potential impact
Medium
Likelihood
Likely
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 figure
The impact has not been quantified financially.
F4. Governance
F4.1
(F4.1) Is there board-level oversight of forests-related issues within your organization?
Yes
F4.1a
(F4.1a) Identify the position(s) of the individual(s) (do not include any names) on the board with responsibility for forests-related issues.
| Position of individual | Please explain |
|---|---|
| Director on board | The Musim Mas Board of Directors (‘Board’) considers sustainability a core component of our corporate integrity, ensuring that material environmental, social and governance (ESG) factors are embedded into business strategies and decisions. The Board is led by our Executive Chairman and Chief Executive Officer. Our sustainability teams, senior management and the Board, are involved in decision-making pertaining to our climate-related risks and opportunities. |
F4.1b
CDP
| | Frequency that forests-related issues are a scheduled agenda item | Governance mechanisms into which forests-related issues are integrated | Please explain |
|---|---|---|---|
| Row 1 | Scheduled - all meetings | Monitoring implementation and performance Overseeing acquisitions and divestiture Overseeing major capital expenditures Providing employee incentives Reviewing and guiding annual budgets Reviewing and guiding business plans Reviewing and guiding corporate responsibility strategy Reviewing and guiding major plans of action Reviewing and guiding risk management policies Reviewing and guiding strategy Reviewing innovation / R&D priorities Setting performance objectives | During the meeting, the sustainability committee will brief the board on the state of sustainability of the industry and the progress of Musim Mas sustainability initiative such as RSPO, ISPO, ISCC certification, POIG verification and supply chain traceability. The committee will also bring up any complaints that the company has received regarding sustainability to discuss the potential paths to resolution. The committee also discussed potential new sustainability initiative that can be undertaken with other stakeholders. |
F4.2
(F4.2) Provide the highest management-level position(s) or committee(s) with responsibility for forests-related issues (do not include the names of individuals).
F4.3
(F4.3) Do you provide incentives to C-suite employees or board members for the management of forests-related issues?
F4.3a
(F4.3a) What incentives are provided to C-Suite employees or board members for the management of forests-related issues (do not include the names of individuals)?
| | Role(s) entitled to incentive? | Performance indicator |
|---|---|---|
| Monetary reward | Board/Executive board Corporate executive team | Achievement of commitments and targets |
| Non-monetary reward | Board/Executive board Corporate executive team | Achievement of commitments and targets |
F4.4
CDP
(F4.4) Did your organization include information about its response to forests-related risks in its most recent mainstream financial report?
Yes (you may attach the report – this is optional)
Sustainability Report 2018.pdf
Musim Mas is a private company, and we do not publish financial report. However, we do include information about our response to forest-related risks in our Sustainability Report. We attached our Sustainability Report for 2018, forest-related discussion can be found in page 27-30.
F4.5
(F4.5) Does your organization have a policy that includes forests-related issues?
Yes, we have a documented forests policy that is publicly available
F4.5a
(F4.5a) Select the options to describe the scope and content of your policy.
| | Scope | Content |
|---|---|---|
| Row 1 | Company- wide | Commitment to eliminate deforestation Commitment to protect rights and livelihoods of local communities Commitments beyond regulatory compliance Commitment to transparency Commitment to stakeholder awareness and engagement Commitment to align with the SDGs Recognition of the overall importance of forests and other natural ecosystems Description of business dependency on forests Recognition of potential business impact on forests and other natural habitats Description of forest risk commodities, parts of the business, and stages of value- chain covered by the policy List of timebound milestones and targets Description of forests-related performance standards for direct operations Description of forests-related standards for procurement |
F4.5b
(F4.5b) Do you have commodity specific sustainability policy(ies)? If yes, select the options that best describe their scope and content.
| | Do you have a commodity specific sustainability policy? | Scope | Content | Please explain |
|---|---|---|---|---|
| Timber products | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Palm oil | Yes | Company- wide | Commitment to eliminate deforestation Commitment to no deforestation, to no planting on peatlands and to no exploitation (NDPE) Commitment to protect rights and livelihoods of local communities Commitments beyond regulatory compliance Commitment to transparency Commitment to stakeholder awareness and engagement Recognition of the overall importance of forests and other natural ecosystems Description of business dependency on forests Recognition of potential business impact on forests and other natural ecosystems Description of forest risk commodities, parts of the business, and stages of value- chain covered by the policy List of timebound commitments and targets Description of forests-related performance standards for direct operations Description of forests-related standards for procurement | The palm oil policy follows the general Musim Mas sustainability policy |
| Cattle products | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Soy | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Rubber | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Cocoa | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Coffee | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
CDP
F4.6
(F4.6) Has your organization made a public commitment to reduce or remove deforestation and/or forest degradation from its direct operations and/or supply chain?
Yes
F4.6a
(F4.6a) Has your organization endorsed any of the following initiatives as part of its public commitment to reduce or remove deforestation and/or forest degradation?
Tropical Forest Alliance 2020
Other, please specify (Palm Oil Innovation Group)
F4.6b
(F4.6b) Provide details on your public commitment(s), including the description of specific criteria, coverage, and actions.
Forest risk commodity
Palm oil
Criteria
Zero gross deforestation/ no deforestation
Zero net deforestation
No new development on peat regardless of depth
Avoidance of negative impacts on threatened and protected species and habitats
No trade of CITES listed species
No land clearance by burning or clearcutting
No conversion of High Conservation Value areas
No conversion of High Carbon Stock forests
Secure Free, Prior and Informed Consent (FPIC) of indigenous people and local communities
Promotion of gender equality and women's empowerment
Adoption of the UN International Labour Organization principles
Resolution of complaints and conflicts through an open, transparent and consultative process
Facilitate the inclusion of smallholders into the supply chain
No sourcing of illegally produced and/or traded forest risk commodities
No sourcing of forest risk commodities from unknown/controversial sources
Operational coverage
Direct operations and supply chain
% of total production/ consumption covered by commitment
100%
Cutoff date
2014
Commitment target date
2017
Please explain
PT. Musim Mas released a sustainability policy in December 2014. The sustainability policy consist of five major points: 1. Bring benefit to the community 2. No deforestation of the High Conservation Value (HCV) area and High Carbon Stock (HCS) forest 3. No development of peatland regardless of depth 4. Fully comply with local, national and international laws 5. Establish traceable supply chain The sustainability policy can be found in http://www.musimmas.com/sustainability/sustainabilitypolicy
F5. Business strategy
F5.1
CDP
(F5.1) Are forests-related issues integrated into any aspects of your long-term strategic business plan, and if so how?
| Long-term business objectives | Yes, forests-related issues are integrated | 5-10 |
|---|---|---|
| Strategy for long-term objectives | Yes, forests-related issues are integrated | 5-10 |
| Financial planning | Yes, forests-related issues are integrated | 5-10 |
F6. Implementation
F6.1
(F6.1) Did you have any timebound and quantifiable targets for increasing sustainable production and/or consumption of your disclosed commodity(ies) that were active during the reporting year?
Yes
F6.1a
(F6.1a) Provide details of your timebound and quantifiable target(s) for increasing sustainable production and/or consumption of the disclosed commodity(ies), and progress made.
Target reference number
Target 1
Forest risk commodity
Palm oil
Type of target
Third-party certification
Description of target
We are committed to sustainable production and or consumption along the supply chain from downstream to upstream level. Third party certifications namely RSPO, ISCC, ISPO, POIG and etc is important for our journey. We are targeting 100% of third party certification for all our own operations and associated scheme smallholders.
Linked commitment
Zero net/gross deforestation
Traceability point
<Not Applicable>
Third-party certification scheme
RSPO (any type)
Start year
2009
Target year
2022
Quantitative metric <Not Applicable>
Target (number)
<Not Applicable>
Target (%)
100
% of target achieved
93
Please explain
Musim Mas received its first RSPO and ISCC certification in 2009 and 2011, respectively and ISPO in 2012. We have successfully certified and maintained certification for our own operations and associated scheme smallholders. Musim Mas is now working with IFC to certify its independent smallholders.
Target reference number
Target 2
Forest risk commodity
Palm oil
Type of target
Assess and/or verify compliance
Description of target
We are 100% POIG verified by 2019 at group level
Linked commitment
Zero net/gross deforestation
Traceability point
<Not Applicable>
Third-party certification scheme
<Not Applicable>
Start year
2017
Target year
2019
Quantitative metric
<Not Applicable>
Target (number)
<Not Applicable>
Target (%)
100
% of target achieved
100
Please explain
We are 100% POIG verified by 2019 at group level
Target reference number
Target 3
Forest risk commodity
Palm oil
Type of target
Traceability
Description of target
By 2025 we are aiming to be 100% of the total supply traceable to the place of production. The latest development can be viewed in our website https://www.musimmas.com/sustainability/ndpe-roadmap/
Linked commitment
Other environmental commitments
Traceability point
Plantation
Third-party certification scheme
<Not Applicable>
Start year
2015
Target year
2025
Quantitative metric
<Not Applicable>
Target (number)
<Not Applicable>
Target (%)
100
% of target achieved
49
Please explain
By December 2019, we are traceable 100% to the Group's plantations, 85% to the Group's direct supply base of independent smallholders, 58% of third-party supply to plantations (excluding independent smallholders) and 49% of total supply to the place of production (plantations or smallholder plot). The latest development can be viewed in our website https://www.musimmas.com/sustainability/ndpe-roadmap/
F6.2
CDP
(F6.2) Do you have traceability system(s) in place to track and monitor the origin of your disclosed commodity(ies)?
| | Do you have system(s) in place? | Description of traceability system | Exclusions |
|---|---|---|---|
| Timber products | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Palm oil | Yes | Our traceability systems include traceable to the Group’s plantations, Group’s direct supply base of independent smallholders, third-party supply to plantations and suppliers independent smallholders supply base using risk-based traceability. | Not applicable |
| Cattle products | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Soy | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Rubber | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Cocoa | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Coffee | <Not Applicable> | <Not Applicable> | <Not Applicable> |
F6.2a
(F6.2a) Provide details on the level of traceability your organization has for its disclosed commodity(ies).
F6.3
CDP
(F6.3) Have you adopted any third-party certification scheme(s) for your disclosed commodity(ies)? Indicate the volume and percentage of your certified production and/or consumption.
Forest risk commodity
Palm oil
Third-party certification scheme
RSPO producer/grower certification
Certification coverage
Production volume
% of total production/consumption volume certified
90
Form of commodity
Crude palm oil (CPO)
Other, please specify (Palm Kernel (PK))
Volume of production/ consumption certified
871796
Metric
Metric tons
Please explain
We maintain our FFB and CPO production from our own plantations and associated scheme smallholders to be RSPO certified, whereas all new plantation or mill will be certified within 3 years of acquisition. The company has established a dedicated certification team to obtain and maintain RSPO certification.
Forest risk commodity
Palm oil
Third-party certification scheme
International Sustainability and Carbon Certification (ISCC)
Certification coverage
Production volume
% of total production/consumption volume certified
Form of commodity
Fresh Fruit Bunches (FFB)
Crude palm oil (CPO)
Other, please specify (Palm Kernel (PK))
Volume of production/ consumption certified
Metric
Metric tons
Please explain
We maintain our FFB and CPO production from our own plantations and associated scheme smallholders to be ISCC certified. The company has established a dedicated certification team to obtain and maintain ISCC certification.
Forest risk commodity
Palm oil
Third-party certification scheme
Other, please specify (ISPO)
Certification coverage
Production volume
% of total production/consumption volume certified
Form of commodity
Crude palm oil (CPO)
Other, please specify (Palm Kernel (PK))
Volume of production/ consumption certified
Metric
Metric tons
Please explain
We maintain our FFB and CPO production from our own plantations to be ISPO certified. The company has established a dedicated certification team to obtain and maintain ISPO certification.
F6.4
CDP
(F6.4) For your disclosed commodity(ies), do you have a system to control, monitor, or verify compliance with no conversion and/or no deforestation commitments?
| | A system to control, monitor or verify compliance |
|---|---|
| Timber products | <Not Applicable> |
| Palm oil | Yes, we have a system in place for our no conversion and/or deforestation commitments |
| Cattle products | <Not Applicable> |
| Soy | <Not Applicable> |
| Other - Rubber | <Not Applicable> |
| Other - Cocoa | <Not Applicable> |
| Other - Coffee | <Not Applicable> |
F6.4a
(F6.4a) Provide details on the system, the approaches used to monitor compliance, the quantitative progress, and the non-compliance protocols, to implement your no conversion and/or deforestation commitment(s).
Forest risk commodity
Palm oil
Operational coverage
Direct operations
Supply chain
Description of control systems
Musim Mas has its own NDPE to ensure the No Deforestation, No Peat and No Exploitation when performing its business. Standard Operational Procedures are also in place to monitor our compliance. We are also a member and committed to the RSPO, ISCC, ISPO, POIG as well as HCSA. HCV and HCS assessments are conducted in our operational units. We also have dedicated department and team to ensure compliance to these commitments. Internally, we also conduct our own risk assessment as well as monitoring using remote sensing method and groundtruthing checking. External and internal audits are also conducted regularly to maintain our compliance. We also aware that the conversion and/or deforestation may come from the local community, therefore we regularly conduct the stakeholder consultation to educate the local community on our NDPE. Together with the community, we also have Fire Free Program called "Masyarakat Bebas Api" to promote a fire-free and deforestation land conversion.
Monitoring and verification approach
Geospatial monitoring tool Ground-based monitoring system Community-based monitoring First-party verification Second-party verification Third-party verification
% of total volume in compliance
100%
% of total suppliers in compliance
61-70%
Response to supplier non-compliance
Other, please specify (We will immediately cease sourcing from companies who do not take immediate remedial action to correct violations including developing HCV area, HCS forest or peatland, burning, and who are not demonstrating real progress toward remedial action. )
Procedures to address and resolve non-compliance with suppliers
Developing time-bound targets and milestones to bring suppliers back into compliance
Providing information on appropriate actions that can be taken to address non-compliance
Re-integrating suppliers back into supply chain based on the successful and verifiable completion of activities
Please explain
We will review our business dealings with suppliers who are found to breach our sustainability policy. We recognise that suppliers may need time to implement the guidelines laid down by the policy. We believe that close cooperation and constructive dialogues with suppliers are necessary to integrate sustainable development principles with current business practices. We will work with suppliers through training, capacity building programmes and continuous positive support.
F6.6
(F6.6) For your disclosed commodity(ies), indicate if you assess your own compliance and/or the compliance of your suppliers with forest regulations and/or mandatory standards.
| | Assess legal compliance with forest regulations |
|---|---|
| Timber products | <Not Applicable> |
| Palm oil | Yes, from both suppliers and owned/managed land |
| Cattle products | <Not Applicable> |
| Soy | <Not Applicable> |
| Other - Rubber | <Not Applicable> |
| Other - Cocoa | <Not Applicable> |
| Other - Coffee | <Not Applicable> |
CDP
(F6.6a) For you disclosed commodity(ies), indicate how you ensure legal compliance with forest regulations and/or mandatory standards.
Palm oil
Procedure to ensure legal compliance
Beside our NDPE and SOP we also enter into Indonesian Sustainable Palm Oil Scheme to ensure our legal compliance. A relevant department and team is also dedicated to ensure and monitor our compliance to applicable legal, law and regulations.
Country/Area of origin
Indonesia
Law and/or mandatory standard(s)
ISPO
Comment
We maintain ISPO certification for our operational units.
F6.7
(F6.7) Are you working with smallholders to support good agricultural practices and reduce deforestation and/or conversion of natural ecosystems?
| | Are you working with smallholders? | Type of smallholder engagement approach | Smallholder engagement approach | Number of smallholders engaged | Please explain |
|---|---|---|---|---|---|
| Timber products | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Palm oil | Yes, working with smallholders | Supply chain mapping Capacity building Financial and commercial incentives | Supplier questionnaires on environmental and social indicators Developing or distributing supply chain mapping tool Offering on- site technical assistance and extension services Providing agricultural inputs Financial incentives for certified products | 38000 | Musim Mas is working with smallholders in various programs, for example: 1. Scheme smallholder program 2. Capacity building in terms of Best Management Practices and certified products 3. Fire Free Village program called Masyarakat Bebas Api 4. Joint monitoring of conservation area 5. CSR program to smallholders 6. Piloting a smallholder certification scheme with IFC (International Finance Corporation). 7. Musim Mas is working on the implementation of an Extension Service Platform for their landscape areas to also extend services to independent smallholders in the third party supply chain. This is to be piloted and is based on the principle of involving all stakeholders within such landscape. |
| Cattle products | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Soy | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Rubber | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Cocoa | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Coffee | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
F6.8
CDP
(F6.8) Are you working with your direct suppliers to support and improve their capacity to comply with your forests-related policies, commitments, and other requirements?
| | Are you working with direct suppliers? | Type of direct supplier engagement approach | Direct supplier engagement approach | % of suppliers engaged |
|---|---|---|---|---|
| Timber products | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Palm oil | Yes, working with direct suppliers | Supply chain mapping Capacity building Financial and commercial incentives | Supplier questionnaires on environmental and social indicators Developing or distributing supply chain mapping tool Offering on-site training and technical assistance Financial incentives for certified products | 100% |
| Cattle products | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Soy | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Rubber | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Cocoa | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Coffee | <Not Applicable> | <Not Applicable> | <Not Applicable> | <Not Applicable> |
F6.9
(F6.9) Are you working beyond your first-tier supplier(s) to manage and mitigate deforestation risks?
| Timber products | <Not Applicable> | <Not Applicable> | <Not Applicable> |
|---|---|---|---|
| Palm oil | Yes, working beyond first tier | Supply chain mapping | Developing or distributing supply chain mapping tools On-site meetings with indirect suppliers |
| Cattle products | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Soy | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Rubber | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Cocoa | <Not Applicable> | <Not Applicable> | <Not Applicable> |
| Other - Coffee | <Not Applicable> | <Not Applicable> | <Not Applicable> |
F6.10
(F6.10) Do you participate in external activities and/or initiatives to promote the implementation of your forests-related policies and commitments?
Forest risk commodity
Palm oil
Do you participate in activities/initiatives?
Yes
Activities
Involved in multi-partnership or stakeholder initiatives
Initiatives
Tropical Forest Alliance 2020 (TFA) High Conservation Value (HCV) Resource Network Roundtable on Sustainable Palm Oil (RSPO) Palm Oil Innovation Group (POIG) High Carbon Stock Approach Steering Group International Sustainability & Carbon Certification (ISCC)
Fire Free Alliance (FFA)
Jurisdictional approaches
<Not Applicable>
Please explain
Musim Mas joined various multi-stakeholder initiatives that aimed to increase awareness and demand for sustainable materials: - Palm Oil Innovation Group (POIG). POIG has developed a charter on no deforestation, no planting on peat, no exploitation which all members have to adhere to. - HCS Approach Steering Group. HCS Approach was developed as a tool to identify and protect forested areas in addition to HCV assessments and respecting FPIC, which are mandatory under RSPO. We encourage the RSPO to further strenghten its principles and criteria to include the protection of HCS forests. -RSPO and ISCC working groups. Our staffs are active in various RSPO and ISCC working groups
F6.11
(F6.11) Is your organization supporting or implementing project(s) focused on ecosystem restoration and protection?
Yes
F6.11a
CDP
(F6.11a) Provide details on your project(s), including the extent, duration, and monitoring frequency. Please specify any measured outcome(s).
Project reference
Project 1
Project type
Biodiversity offsetting
Primary motivation
Voluntary
Description of project
Initially we learned about biodiversity and set aside area from certification scheme, which prompted us to voluntarily set aside High Biodiversity area from development plan.
Start year
2008
Target year
Indefinitely
Project area to date (Hectares)
117000
Project area in the target year (Hectares)
117000
Country/Area
Indonesia
Latitude
Longitude
Monitoring frequency
Six-monthly or more frequently
Measured outcomes to date
Biodiversity
Please explain
We actively identify and monitor the biodiversity offsetting area within our concession and its landscape. We conduct our own internal monitoring to maintain the biodiversity area as it is. The monitoring is conducted every month by ground-based checking. In addition, we also installed trap cameras to monitor the activities of nocturnal species.
Project reference
Project 2
Project type
Set aside land
Primary motivation
Voluntary
Description of project
We forgo any planting on High Conservation Value (HCV) areas and High Carbon Stock (HCS) forest.
Start year
Target year
Indefinitely
Project area to date (Hectares)
24000
Project area in the target year (Hectares)
24000
Country/Area
Indonesia
Latitude
Longitude
Monitoring frequency
Six-monthly or more frequently
Measured outcomes to date
Carbon sequestration
Climate regulation
Please explain
Project area should increase following every new HCV and HCS assessment which we conduct. We could not provide a figure because the area of HCV and HCS are determined by the licensed assessors. Once the areas are set, mitigation and monitoring plans are developed to maintain and enhance its condition.
F7. Verification
CDP
(F7.1) Do you verify any forests information reported in your CDP disclosure?
No, we are waiting for more mature verification standards/processes
F8. Barriers and challenges
F8.1
(F8.1) Describe the key barriers or challenges to eliminating deforestation and/or conversion of other natural ecosystems from your direct operations or from other parts of your value chain.
Forest risk commodity
Palm oil
Coverage
Supply chain
Primary barrier/challenge type
Supply chain complexity
Comment
The palm oil supply chain in Indonesia is very complex. In addition to large growers, 40% of Indonesia's palm fruit is produced by millions of smallholders, each of whom manage only a few hectares of land.
F8.2
(F8.2) Describe the main measures that would improve your organization's ability to manage its exposure to deforestation and/or conversion of other natural ecosystems.
Forest risk commodity
Palm oil
Coverage
Direct operations
Supply chain
Main measure
Improved data collection and quality
Comment
Availability of accurate and inexpensive satellite images / remote sensing methods would help us better examine previous land cover to ensure no conversion of natural ecosystems both in our direct operations and supply chain.
F17 Signoff
F-FI
(F-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.
F17.1
(F17.1) Provide the following information for the person that has signed off (approved) your CDP forests response.
SF. Supply chain module
CDP
(SF0.1) What is your organization's annual revenue for the reporting period?
| | Annual revenue |
|---|---|
| Row 1 | |
Annual revenue
Row 1
SF0.2
(SF0.2) Do you have an ISIN for your organization that you are willing to share with CDP?
No
SF1.1
(SF1.1) In F6.3 you were asked “Have you adopted any third-party certification scheme(s) for your disclosed commodity(ies)? Indicate the volume and percentage of your certified production and/or consumption”. Can you also indicate, for each of your disclosed commodity(ies), the percentage of certified volume sold to each requesting CDP supply chain member?
Please select
SF2.1
(SF2.1) Please propose any mutually beneficial forests-related projects you could collaborate on with specific CDP supply chain members.
SF2.2
(SF2.2) Have requests or initiatives by CDP supply chain members prompted your organization to take organizational-level action to reduce or remove deforestation/forest degradation from your operations or your supply chain?
Yes
SF2.2a
(SF2.2a) Specify the requesting CDP supply chain member(s) that have driven organizational-level action to reduce or remove deforestation/forest degradation from your operations or your supply chain and provide details on how.
SF3.1
(SF3.1) For your disclosed commodity(ies), do you estimate the GHG emission reductions and/or removals from land use and land use change that have occurred in your direct operations and/or supply chain?
Palm oil
Estimate GHG emissions and removals from land use and land use change
Please select
Please explain
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
Public
Yes, submit Supply Chain Questions now
Please confirm below
I have read and accept the applicable Terms
|
St. Luke's Church, Maidenhead
www.stlukeschurchmaidenhead.org.uk
[This sheet is also available on the above website]
Church Office: 01628 622733
firstname.lastname@example.org
current preferred email address: email@example.com
Week commencing: 3 rd May 2020 Easter 4, Good Shepherd Sunday
I hope that you are continuing to hold-up under lock-down. Here is this week's offering from St. Luke's.
This week's attachments are:
- An order of service for tomorrow morning (An All Age service for Good Shepherd Sunday, with reading and prayers from our young people)
- A poster advertising an online Christian Aid service
These will also all be available on our website (address at top) with the recorded service, as usual. All our previous recorded services and orders of service are also still available on the website.
New this Sunday.. Zoom Morning Prayer. We offer Morning Prayer by Zoom Tuesday to Saturday at 9 am and it seemed only right to extend that to Sunday so that people who can't make it during the week can join in – and we can see and hear each other on the day that we usually gather for worship. Everyone is warmly invited to join us at 9am on Sunday. The Zoom link is:
ht ps://us02web.zoom.u s /j/868 77 300933?pwd=cmNKRS96SXBGMWpoa00yNVJva1NZ UT09
And the order of service for Eastertide can be found on our website, or via the Daily Prayer App (https://www.chpublishing.co.uk/apps/daily-prayer) or on the Church of England website (https://www.churchofengland.org/prayer-andworship/join-us-in-daily-prayer/morning-prayer-contemporary-sunday-3-may-2020).
The Apps and website put in all the relevant readings and prayers so all you have to do is log on. 😊
Lighting candles and prayers: As we are unable to access the church building, I have a candle tray and prayer basket in the vicarage. Do email me or call if you'd like me to light a candle for you or anyone you know, or add any prayer to the prayer basket. Some of these prayers are read at Morning Prayer and some by myself daily.
Today's worship from St. Luke's Church
This Sunday we have an All Age Word service for Good Shepherd Sunday. Natasha Sloan is reading the first reading and her sister Charlie is leading the prayers. Well done to mum, Nikola, for recording them. Phyl reads a version of the Gospel story suitable for all ages and there is a short reflection from me about sheep, including a photo (see order of service) of a 'lost' lamb, from Richard and Ann Burdett.
To access the service, and all our recorded worship, go onto our website and click on the right-hand side for 'recordings of Sunday worship', and 'order of services' . The order of service has links to hymns on YouTube so that you can pause the service and play the hymns (or sing for yourself – ask if you'd like a hymn book delivered to you). A new provision is being made available for free from copyright recorded hymns and we hope to be able to use that soon. The readings and collect for this week are in the order of service.
And during the week….Morning Prayer continues using Zoom at 9 am from Tuesday to Sunday. This link should get you into it daily:
https://us04web.zoom.us/j/77299700733?pwd=K01jTkdCZmh2WERXTldwSExsVnRZZz09
Readings for this week are: (including Monday if you are doing it at home)
Virtual worship and other activities coming up: everyone is welcome to join in any of these activities:
- Calendared Bible study 4 week series starts. 8pm, on Zoom. All welcome. Have a Bible in front of you. If you'd like a copy of the book we are studying email me. A study of Paul's letter to the Philippians. Link:
https://us02web.zoom.us/j/88495847133?pwd=eXEwVktCcGZqdDl3YXNiOFRRMldrUT09
- Saturday 9 th May: 9 am – 12.30 pm Quiet Morning on Zoom. Link: https://us02web.zoom.us/j/85442048860?pwd=OFNubi9BS3U2YjJJSTEvSUhXbXROQT09
Meet at 9 am on Zoom for a short Morning Prayer and opening reflection, spend reflective time alone at home or going for a walk, bring a coffee to Zoom at 11 am (if you wish) and then have more quiet before a Zoom closing payer at 12.15pm. No need to book, just Zoom in!
- An Agape Meal. We are not having communion services at the moment and many of us are missing that. As a way of at least eating together, we will offer an Agape meal from time to time, on a Tuesday evening, roughly when we would have had the community meal / Communion service. This will be Zoomed and you can join via the link below, or use the service on your own / as a family in your own time. You will need some bread and something to drink. The order of service is on our website. Our first was last week and the next Agape meal will be at 7pm on Tuesday 12 th May. Link:
https://us02web.zoom.us/j/89775909185?pwd=RXg3T0J6TjZSS2hjdm9PNlVlWWRtQT09
Prayer suggestions for this week:
See also our Facebook page for daily prayer intentions
- For all those currently affected by the coronavirus and for those who are now self isolating
- For those who are very sick in hospital and for those who have died,
- For the most vulnerable in our society
- For all NHS and medical staff, Police and Armed service personnel,
- For Dr. Harriett Burdett, Hannah Hirst (paramedic, TV Air Ambulance), Eleanor Kershaw (frontline nursing), Phyl Sopp (nurse practioner), Dr Chris Moulton
- For ALL leaders who have difficult decisions to make, especially our Government and our bishops
- For our PCC meeting this week
- For all in prison, finding life very tough with all visiting stopped
- For staff and patients at Huntercombe Clinic
- For all the volunteer counsellors at Number 22 and Youth Talk, supporting people in difficult times
- For Adam Went as he oversees care homes now under huge pressure
- For all Funeral Directors and arrangers, under huge pressure, and for families unable to attend funerals.
- For our schools as children learn at home and teachers under pressure teaching online, and parents / grandparents home schooling
- Those whose anniversary of baptism fall in May: Elise Rutland, Harry Portsmouth, Daisy Stevens, Travis Romero.
- For all those who live and work in Colby Gardens
- The sick and those who care for them: Stephen Sands, John Francis, Tony Lucas, Monica Olley, and Susan Smith
- Those who died recently, and those who mourn them: Pat Lovering, Merrick Dowson, Rita Redhead, Andrew Curtis, Brian Beard, Stella Lee, Reginald Jacobs and Maureen Williams
* Those whose anniversary of death falls in May: Bernard Kellerman, John Wells, Geoffrey Thrift, William Mayers, Helen Bailey, Kathleen Heskith, Gerald Gunner, John Crampin, Ronald Birch, Geoffrey Hutson, Michael Poynter, Terence Comley, Glyn Jackson, Alicia Teare, Patricia Kealey, Robert Ashby, Priscilla Evans, David Trinkwon, and Ivy Trillow.
The church is still floodlit at night.
This week the floodlighting has not been sponsored
To sponsor the floodlighting just email Revd. Sally
Diocesan worship continues to be offered via the usual link and Facebook and website. It is also available to people dialling in by phone as well.
* The number to dial each week is 01865 920930
* press zero for the short service and 1 for the full Church at Home service
* it takes a few seconds to retrieve the recording then the service will start.
This Sunday:
3 rd May, 10am - Church at Home
Bishop Colin presides at our 10am Church at Home service this Sunday at 10am. The order of service will be available on the website later today and the viewing link emailed to all subscribers on Sunday morning. All welcome.
3 May - UK Prays
Bishop Olivia will be among the contributors this Sunday for an inclusive unifying moment of prayer for humanity. This online event is open to all and takes place at 13:00-13:30 GMT. Details here:
https://www.youtube.com/watch?v=AdozSCNgK4M&feature=youtu.be
Roots at home this week:
www.rootsontheweb.com/adultsathome3may for adults and
www.rootsontheweb.com/familiesathome3may for families
For more worship options see our website.
Please do email me links to anything that you are finding really helpful so that we can share that with others.
(or recorded via their website) :
This week's suggestion: Taize worship live https://www.taize.fr/en_article27540.html
This week's news and information
A reminder that the church is now closed completely.
Do email prayer requests to: firstname.lastname@example.org
Or requests for books, DVDs and CDs
You should know who your contactor is. If you don't have one do also make contact and we will set you up with someone.
RBWM libraries have a online resource to listen to classical music for free including some sacred music. You just need to enter your library card number. https://rbwm.nml3.naxosmusiclibrary.com/login/library/card
Generous Giving: if you usually give to the work of the church through your bank, this is unaffected. If you give by cash or envelopes, we suggest that you out this aside somewhere safe and bring to church when we meet again. If you would like to start giving by direct debit please contact our treasurer: email@example.com You may also wish to give online / by bacs and Richard has kindly updated the details to allow for this. There are details on our website.
Thank you to everyone who is keeping giving.
Mission Planning Tool: PCC members and others may be aware that the diocese has launched a new Mission Planning Tool. We had hoped to start using this at the APCM but were side-tracked by the impending crisis. I am now drip feeding some aspects of it out by a midweek sheet, inviting responses. Please do take part in this. Please use the office email to respond to the Planning Tool question. For those without email, it is attached in hard copy and you may like to send a written response to me (save them up for when we meet again or ask someone to collect). Thank you to those who have replied to the second question this week … keep your thoughts coming in. And you might like to think about… what will church look like in a year, ten years, twenty years from now, given that going back to exactly what we were is not an option?
Faculty application: We have been kindly offered a gift of new legillium hangings in memory of May Reeve and to match the nave altar frontals. I draw your attention to the faculty application for these on the website (Under About us / Our Church Building). A copy is also on the main church noticeboard.
Christian Aid Week, 10 th – 16 th May
Roger Clarke reports:
Please be aware that Christian Aid Week has not been cancelled, but because of the COVID-19 outbreak it has been changed. This year none of the usual activities, including 'House to House' collections will take place but there will still be opportunities to worship together and to donate.
- Currently, an online service is being planned and will also be recorded for those unable to participate at the time. A poster giving details is attached.
- A Justgiving page has also been set up for donations, this can be found at: https://www.justgiving.com/fundraising/MAIDENHEADCHRISTIANAID2020 Although there will be other ways to donate, including E-envelopes and directly to the Christian Aid website or by post, it would be great if as many people as possible could use the Justgiving page. By so doing, Christian Aid will be able to monitor the response from our area, which in past years' has been excellent.
I would commend Christian Aid's work to you all and humbly ask you to respond both by prayer, and financially as much as you feel able to further the work with the poor and underprivileged of this world. Thank you for your prayer and for all you are able to do. Roger Clarke (Tel: 01628 632626)
Save the date : Week of accompanied prayer– an exciting opportunity to further our relationship with God through exploring prayer. Fun and rewarding. Sunday 25 th – Friday 30 th October. Details to come—do put the date in your diary now. There will be opportunities to help as well as. Watch this space to see if it happens, but at least this gives you something to put in your diaries!
Prayer booklets from the Church of England: the CofE has produced some useful little prayer booklets for this time of national concern. Phyl Sopp has kindly bought 50 and is distributing them across the parish. If you have not received one and would like one please ring or email me and we will get one to you.
Your news
Please email news of what you are up to at home to Revd. Sally so that we can share it!
If you are thinking of making a face mask, here is a pattern from Ruth Sheppard
Further information about online worship opportunities and local help information can be found on our website (under latest news).
_________________________________
If you know of someone who would like to receive this update and does not have access to the internet, please do print a copy for them.
Likewise, if you know of anyone who would like to receive this by email, please ask them to email me (not the office for now) to be added to the mailing list.
Please do keep us up to date with both how you are your family are faring at this time, and with you own health. You can call or email Revd. Sally or your contactor at any (reasonable!) time. Please note that the church office is now completely closed and all communication should be to the vicarage telephone and my email.
Vicar: The Reverend Sally Lynch (01628) 783033; Vicarage: 26 Norfolk Road, SL6 7AX
|
color TFT-LCD module
〞
(
◆
(
) Preliminary Specification
…..
Product Specification 7〞 color TFT-LCD module ( ◆ ) Preliminary Specification ( ….. ) Final Specification MODEL NAME: A070FW03 V2
Record of Revision
| Version | Revise Date | Page |
|---|---|---|
| 0.0 | 14/Oct./2004 | |
| | | ee nn |
| | ZZ | |
| | oo rr | |
| | FF | |
Page: 1 /21
Contents:
Page: 3 /21
A. Physical specifications
Dot pitch(mm) 0.107(W)×0.370(H) Color configuration R. G. B. stripe Overall dimension(mm) 165.02(W)×100.12(H)×5.76(D) Weight(g) TBD Surface treatment AG(5.5%) Backlight unit CCFL
| NO. | Item | Specification |
|---|---|---|
| 1 | Display resolution(dot) | 1440(W)×234(H) |
| 2 | Active area(mm) | 154.08(W)×86.58(H) |
| 3 | Screen size(inch) | 7.0(Diagonal) |
| 4 | Dot pitch(mm) | 0.107(W)×0.370(H) |
| 5 | Color configuration | ll nn R. G. B. stripe |
| 6 | Overall dimension(mm) | OO 165.02(W)×100.12(H)×5.76(D) |
| 7 | Weight(g) | ee TBD |
| 8 | Surface treatment | ss AG(5.5%) |
| 9 | Backlight unit | UU ll CCFL |
B. Electrical specifications
1.Pin assignment
a. TFT-LCD panel driving section
| Pin no | Symbol | I/O | Description | Remark |
|---|---|---|---|---|
| 1 | GND | - | Ground for logic circuit | |
| 2 | V CC | I | Supply voltage of logic control circuit for scan driver | |
| 3 | V GL | I | Negative power for scan driver | |
| 4 | V GH | I | yy ll Positive power for scan driver | |
| 5 | STVR | I/O | nn Vertical start pulse | Note 1 |
| 6 | STVL | I/O | OO Vertical start pulse | Note 1 |
| 7 | CKV | I | ee ss Shift clock input for scan driver | |
| 8 | U/D | I | UU UP/DOWN scan control input | Note 1,2 |
| 9 | OEV | I | ll aa Output enable input for scan driver | |
| 10 | VCOM | I | nn rr Common electrode driving signal | |
| 11 | VCOM | I | ee tt Common electrode driving signal | |
| 12 | L/R | I | nn II LEFT/RIGHT scan control input | Note 1,2 |
| 13 | MOD | I | nn Sequential sampling and simultaneous sampling setting | Note 3 |
| 14 | OEH | I | oo rr Output enable input for data driver | |
| 15 | STHL | nn I/O | tt ii Start pulse for horizontal scan line | Note 1 |
| 16 | STHR | ee I/O | Start pulse for horizontal scan line | Note 1 |
| 17 | ZZ CPH3 | I | Sampling and shifting clock pulse for data driver | |
| 18 | rr oo CPH2 | I | Sampling and shifting clock pulse for data driver | |
| FF 19 | CPH1 | I | Sampling and shifting clock pulse for data driver | |
| 20 | V CC | I | Supply voltage of logic control circuit for data driver | |
| 21 | GND | - | Ground for logic circuit | |
| 22 | VR | I | Alternated video signal input(Red) | |
| 23 | VG | I | Alternated video signal input(Green) | |
| 24 | VB | I | Alternated video signal input(Blue) | |
| 25 | AV DD | I | Supply voltage for analog circuit | |
Version
: 0.0
Page
: 5 /21
26
AV
SS
- Ground for analog circuit
Note 1: Selection of scanning mode (please refer to the following table)
| Setting of scan control input | | IN/OUT state for start pulse | | | | Scanning direction |
|---|---|---|---|---|---|---|
| U/D | L/R | STVR | STVL | STHR | STHL | |
| GND | V CC | OUT | IN | OUT | IN | From up to down, and from left to right. |
| V CC | GND | IN | OUT | IN | OUT | From down to up, and from right to left. |
| GND | GND | OUT | IN | IN | OUT | From up to down, and from right to left. |
| V CC | V CC | IN | OUT | OUT | IN | yy ll From down to up, and from left to right. |
| No. | Symbol | tt I/O | rr Description | Remark |
|---|---|---|---|---|
| 1 | HI | ii nn I | Power supply for backlight unit (High voltage) | -- |
| 2 | GND | ee - | Ground for backlight unit | -- |
For Zenitron Internal Use Only For Zenitron Internal Use Only IN: Input; OUT: Output. Note 2: Definition of scanning direction. Refer to figure as below: Note 3: MOD = H: Simultaneous sampling. MOD = L: Sequential sampling. Please set CPH2 and CPH3 to GND when MOD = H. b. Backlight driving section (Refer to Figure 1)
Page: 6 /21
2. Absolute maximum ratings
| Item | Symbol | Condition | Min. | Max. | Unit |
|---|---|---|---|---|---|
| Power voltage | V CC | GND=0 | -0.3 | 7 | V |
| | AV DD | AV =0 SS | -0.3 | 7 | V |
| | V GH | GND=0 | -0.3 | 18 | V |
| | V GL | | -15 | 0.3 | V |
| | V －V GH GL | | - | 33 | ll V |
| Input signal voltage | V i | | -0.3 | AV +0.3 DD | nn V |
| | V I | | -0.3 | V +0.3 CC | OO V |
| | VCOM | | -2.9 | ee ss 5.2 | V |
| Storage Temperature | Tstg | | -20 | UU +70 | ℃ |
| Operation Temperature | Top | Surface | ll aa -10 | +60 | ℃ |
GL VGH－VGL - 33 V Vi -0.3 AVDD+0.3 V Note 1 VI -0.3 VCC+0.3 V Note 2 Input signal voltage VCOM -2.9 5.2 V Storage Temperature Tstg -20 +70 ℃ Note 3 Operation Temperature Top Surface -10 +60 ℃ Note 3,4,5 Lamp Max. Rating Voltage VL 3000 V Note 1: VR, VG, VB. Note 2: STHL, STHR, OEH, L/R, CPH1~CPH3, STVR, STVL, OEV, CKV, U/D. Note 3: The temperature of panel surface must not exceed this rating Note 4: Maximum wet-bulb temperature must be less than 58℃. No dew condensation. Note 5: The operating temperature assure only driving. Contrast, response time, the other display quality is judgment at 25℃.
3. Electrical characteristics
a. Typical operating conditions (GND=AVss=0V, Note 4 )
| Item | | Symbol | Min. | Typ. | Max. | Unit |
|---|---|---|---|---|---|---|
| Power supply | | V CC | 3 | 5 | 5.5 | V |
| | | AV DD | 4.5 | 5 | 5.5 | V |
| | | V GH | 14.3 | 15 | 15.7 | V |
| | | V GL | -10.5 | -10 | -9.5 | V |
| Video signal amplitude (VR,VG,VB) | | V iA | 0.4 | - | AV -0.4 DD | V |
| | | V iAC | - | 3 | - | V |
| | | V iDC | - | AV /2 DD | - | V |
| VCOM | | V CAC | 3.5 | 5.6 | 6.5 | Vp-p |
| | | V CDC | 1.4 | 1.7 | 2.0 | V |
| | H Level | V IH | 0.8 V CC | - | V CC | V |
Note 1: Refer to Fig.4- (a).
| Parameter | Symbol | Condition | tt Min. | ee Typ. | Max. | Unit | Remark |
|---|---|---|---|---|---|---|---|
| Current for driver | I GH | V =15V GH | nn - | 0.2 | 0.5 | mA | |
| | I GL | V =-10V GL | II - | 0.8 | 1.5 | mA | |
| | I CC | V =5V CC | nn - | 3 | 6 | mA | |
| | I DD | oo rr AV =5V DD | - | 17 | 30 | mA | |
| Parameter | ee Symbol | Min. | Typ. | Max. | Unit | Remark |
|---|---|---|---|---|---|---|
| Lamp voltage | ZZ V L | - | 538 | 542 | Vrms | |
| Lamp current | I L | - | 6 | 7 | mArms | |
| rr oo Frequency | F L | - | 70 | 80 | kHz | Note 3 |
| FF Lamp starting voltage | V S | - | 844 | 860 | Vrms | Ta = 25℃,Note 5 |
| | | - | | TBD | Vrms | Ta =-10℃,Note 5 |
| Lamp life time | | 10,000 | - | - | Hr | Note 6 |
For Zenitron Internal Use Only For Zenitron Internal Use Only Note 2: The brightness of LCD panel could be changed by adjusting the AC component of VCOM. Note 3: STHL, STHR, OEH, L/R, CPH1~CPH3, STVR, STVL, OEV, CKV, U/D. Note 4: Be sure to apply GND, V CC and V GL to the LCD first, and then apply V GH . b. Current consumption (GND=AVss=0V) c. Backlight driving conditions
Note 1: The lamp frequency should be selected as different as possible from display horizontal synchronous signal to avoid interference.
Note 2: For starting the backlight unit, the output voltage of DC/AC's transformer should be larger than the maximum lamp starting voltage.
Note 3: The" Lamp life time" is defined as the module brightness decrease to 50% original brightness at Ta=25℃, IL=6mA.
Version: 0.0
Page
: 7 /21
Page: 8 /21
4. AC Timing
a. Timing conditions
| Parameter | Symbol | Min. | Typ. | Max. | Unit. | Remark |
|---|---|---|---|---|---|---|
| Rising time | t r | - | - | 10 | ns | Note 1 |
| Falling time | t f | - | - | 10 | ns | Note 1 |
| High and low level pulse width | t CPH | 99 | 103 | 107 | ns | CPH1~CPH3 |
| CPH pulse duty | t CW H | 40 | 50 | 60 | % | CPH1~CPH3 |
| CPH pulse delay | t C12 t C23 | 30 | t /3 CPH | t /2 CPH | ns | CPH1~CPH3 |
| STH setup time | t SUH | 20 | - | - | ns | yy ll STHR,STHL |
| STH hold time | t HDH | 20 | - | - | nn Ns | STHR,STHL |
| STH pulse width | t STH | - | 1 | - | OO t CPH | STHR,STHL |
| STH period | t H | 61.5 | 63.5 | ee 65.5 | μs | STHR,STHL |
| OEH pulse width | t OEH | - | 1.22 | ss - | μs | OEH |
| Sample and hold disable time | t DIS1 | - | 8.28 | UU - | μs | |
| OEV pulse width | t OEV | - | 5.40 | - | μs | OEV |
| CKV pulse width | t CKV | - | ll aa 4.18 | - | μs | CKV |
| Clean enable time | t DIS2 | - | nn 3.74 | - | μs | |
| Horizontal display start | t SH | - | rr 0 | - | T /3 CPH | |
| Horizontal display | t DH | ee tt nn - | 1440 | - | T /3 CPH | |
| ti i STV setup time | t SUV | II 400 | - | - | ns | STVL,STVR |
| STV hold time | nn t HDV | 400 | - | - | ns | STVL,STVR |
| STV pulse width | oo t STV | - | - | 1 | t H | STVL,STVR |
| Horizontal lines per field | rr tt t V | 256 | 262 | 268 | t H | Note 2 |
| nn Vertical display start | ii t SV | | 3 | - | t H | |
| ee Vertical display timing range | t DV | | 234 | - | t H | |
| ZZ VCOM rising time | t rCOM | | - | 5 | μs | |
| VCOM falling time | t fCOM | | - | 5 | μs | |
| rr oo VCOM delay time | t DCOM | | - | 3 | μs | |
| FF RGB delay time | t DRGB | | - | 1 | μs | |
Note 1: For all of the logic signals.
Note 2: Please don't use odd horizontal lines to drive LCD panel for both odd and even field simultaneously.
b. Timing diagram
Please refer to the attached drawing, from Fig.2 to Fig.6.
5. Power Sequence
Sequence for power on/off and Signal on/off
T1 ≦ 15ms (From 10%*VCC to 90%*VCC，when VCC is Low to High)； T2 ≦ 10ms (From 90%*VCC to 10%*VGH，when VCC is Low to High)； T3 ≦ 10ms (From 90%*VGH to Video signal，when VGH is Low to High)； T4 ≦ 10ms (From Video signal to 90%*VGH，when VGH is High to Low)； T5 ≦ 20ms (From 90%*VCC to 10%*VCC，when VCC is High to Low)； T6 ≦ 10ms (From 10%*VGH to 90%*VCC，when VCC is Low to High)； T7 ≧ 0.4s (From 10%*VCC is H→L to 10%*VCC is L→H)。 VGL VGL T1 T2 T4 T5 ON OFF T6 Video Signal, Logic Signal T1 T3 T5 T7
Page: 10 /21
C. Optical specification (Note 1, Note 2)
| Item | | Symbol | Condition | Min. | Typ. | Max. | Unit |
|---|---|---|---|---|---|---|---|
| Response time | Rise Fall | Tr Tf | θ=0° | - - | 12 18 | 24 36 | ms ms |
| Contrast ratio | | CR | At optimized Viewing angle | 200 | 300 | - | |
| Viewing angle | Top Bottom Left Right | | CR≧10 | 30 50 50 50 | 40 65 65 65 | - - - - | yy ll deg. nn OO |
| Brightness | | Y L | I =5mA, 25℃ L | 250 | 350 | ee - | cd/m2 |
| | | | I =6mA, 25℃ L | 300 | UU 400 | ss - | cd/m2 |
| White chromaticity | | X | θ=0° | 0.26 | ll 0.31 | 0.36 | |
| | | Y | θ=0° | 0.28 | aa 0.33 | 0.38 | |
Note 3. Definition of response time:
For Zenitron Internal Use Only For Zenitron Internal Use Only Note 1 : Ambient temperature =25 ℃ , and lamp current I L = 6 mArms. To be measured in the dark room. DC/AC inverter driving frequency: 70 kHz. Note 2 :To be measured on the center area of panel with a viewing cone of 1 ° by Topcon luminance meter BM-5, after 15 minutes operation. The output signals of photo detector are measured when the input signals are changed from "black" to "white"(falling time) and from "white" to "black"(rising time), respectively. The response time is defined as the time interval between the 10% and 90% of amplitudes. Refer to figure as below.
Note 4. Definition of contrast ratio:
Contrast ratio is calculated with the following formula.
ALL RIGHTS STRICTLY RESERVED. ANY PORTION OF THIS PAPER SHALL NOT BE REPRODUCED, COPIED, OR TRANSFORMED TO ANY OTHER FORMS WITHOUT PERMISSION FROM AU OPTRONICS CORP.
Page: 11 /21
Contrast ratio (CR)= Photo detector output when LCD is at "White" state Photo detector output when LCD is at "Black" state
Note 5. White Vi=Vi50 ＋ 1.5V
Black Vi=Vi50 ± 2.0V
"±" means that the analog input signal swings in phase with VCOM signal.
" " means that the analog input signal swings out of phase with VCOM signal.
Vi50 : The analog input voltage when transmission is 50%
The 100% transmission is defined as the transmission of LCD panel when all the input terminals of module are electrically opened.
Note 6. Definition of viewing angle, Refer to figure as below.
ternal Use Only ternal Use Only
Note 7. Measured at the center area of the panel when all the input terminals of LCD panel are electrically opened.
electrically opened.
Page: 12 /21
D. Reliability test items (Note 1):
Following the below condition for test criteria. Each items need 5 piece data.
| No. | Test items | Conditions | Remark |
|---|---|---|---|
| 1 | High temperature storage | Ta= 70℃ 240Hrs | |
| 2 | Low temperature storage | Ta= -20℃ 240Hrs | |
| 3 | High temperature operation | Tp= 60℃ 240Hrs | |
| 4 | Low temperature operation | Ta= -10℃ 240Hrs | |
| 5 | High temperature and high humidity | Tp= 40℃, 90% RH 240Hrs | yy Operation |
| 6 | Heat shock | ll nn -10℃~60℃/200 cycles 1Hrs/cycle | Non-operation |
| 7 | Electrostatic discharge | OO ±200V,200pF(0Ω), once for each terminal | Non-operation |
| 8 | Vibration | ee ss Frequency range : 8~33.3Hz UU Stoke : 1.3mm Sweep : 2.9G, 33.3 ~ 400Hz ll aa Cycle : 15 minutes nn 2 hours for each direction of X,Z 4 hours for Y direction | JIS D1601, A-10 Condition A |
| 9 | Mechanical shock | rr ee 100G, 6ms, ±X,±Y,±Z tt nn 3 times for each direction | JIS C0041, A-7 Condition C |
| 10 | II nn Vibration (with carton) oo | Random vibration: 0.015G2/Hz from 5~200Hz | IEC 68-34 |
| 11 | rr tt ii Drop (with carton) | Height: 60cm | JIS Z0202 |
For Zenitron Internal Use Only For Zenitron Internal Use Only Note1: In the standard conditions, there is not display function NG issue occurred. All the cosmetic specification is judged before the reliability stress.
For Zenitron Internal Use Only
For Zenitron Internal Use Only
|
Rural History Today is published by the British Agricultural History Society
Letter from the new chairman of The British Agricultural History Society
NEW PUBLICATION
Dr Paul Brassley School of Geography, University of Plymouth writes:
The Society exists to promote the study of rural history in its widest sense. It holds conferences, publishes the Agricultural History Review and other publications, and through these and other means aims to promote a lively and informed debate.
Its many and varied activities suggest that it is in a vigorous and healthy state. The winter and spring conferences attract lively and numerous audiences, and new faces are always welcome. The continued viability of the society is dependent upon a steady stream of new recruits, not only for their subscriptions but also for their contributions to its discussion.
Forthcoming events include an Anglo-French conference in September, the Winter meeting in London, and the next Spring conference in Exeter. (Further details elsewhere in RHT).
We shall shortly be producing a new publicity leaflet for distribution to museums, record offices etc. Assistance from members in getting them to the places that they might not otherwise reach will be appreciated.
The usual publication of the Review will again be accompanied by a supplement, this time on agriculture in the Second World War. These supplements are received free by members but are on sale to libraries, so please encourage them to order copies.
All this activity cannot happen by itself. It needs the not inconsiderable work of the editors, the secretary and treasurer, and the conference organizers, and an executive committee to support them. It is appropriate here to record our thanks to Dr Phillip Schofield, who has just retired from the committee, and to Professor John Beckett, who has just completed three busy and effective years as its chair. Dr Elizabeth Griffiths now joins the committee, and I have taken over in the chair.
Email: email@example.com
Rural History Today
The Society honours one of its most eminent founding members
Last year the BAHS published the third title in its Supplement Series in honour of the distinguished agricultural historian, founding member, twice past president of the Society, and editor of the Review, Dr Joan Thirsk.
Entitled People, Landscape and Alternative Agriculture it consists of the eight papers given at a conference held in Reading in September, 2002 to celebrate Joan's 80 th birthday. The papers cover some of the many subjects dear to her heart such as rural industries, economic policy, peasant economy and alternative agriculture, and almost all the authors were at some time, her students. To quote from J.M.Neeson's review 'These essays are a fitting tribute to an exceptional historian. They are meticulously researched, alert to large questions, and written with both wit and affection. Together, they add to the rich diversity of writing about rural history that Joan Thirsk did so much to encourage.'
Copies, price £17.50 available from: The Treasurer, BAHS, c/o Dept. of History, University of Exeter, Amory Building, Rennes Drive, EX4 4RJ
Issue 9 | July 2005
Issue 9 • July 2005
Above – Second World War poster. For agriculture in the Second World War see Chairman's letter
also in this issue
Fernando Collantes: Economic and Social History in Rural Spain – page 2
Conference Noticeboard – page 4
Richard Glass: Farm Developments in Nineteenth Century Suffolk – page 7
University News – page 6
Fernando Collantes (born 1976) studied Economics at the University of Cantabria. He obtained his doctorate in 2003 with a thesis on the economic and demographic decline of mountain districts in Spain during the period 1850–2000. Since 2001, he has taught economic history at the University of Zaragoza. His current research project is a comparative analysis of the evolution of the countryside economy in Europe in the last century and a half. E-mail: firstname.lastname@example.org
The economic and social history of rural Spain, 1800-2000: a review of recent research
In the second of our series on the state of agricultural studies across Europe, Dr Collantes describes recent research in modern agricultural and social history in Spain.
Sixteen years ago, Joseph Harrison explained to the readers of the Agricultural History Review that the agrarian and rural history of Spain had witnessed an extraordinary expansion in the 1980's. 1 The trend goes on – during the 1990's and the first years of the new century major advances have taken place in the traditional debates, while new lines of inquiry have been opened. Because agriculture remained a central sector in Spanish economy and society until well into the twentieth century, it is not surprising to find so many historians turning their attention to it.
agriculture, but has also been accused of downplaying the role of institutions. 4 However, Simpson's new book, co-authored by Juan Carmona, tends to argue that some institutions were a consequence (rather than a cause) of agricultural backwardness. 5
Traditionally, the main historiographical debate has been the one on the role of agriculture in Spain's relative backwardness during the nineteenth and twentieth centuries. This traditional debate goes on. Englishspeaking audiences know well James Simpson's book on Spanish agriculture from the mideighteenth to the mid-twentieth century. 2 Some of his conclusions have been challenged recently by Miguel Ángel Bringas and a team of scholars led by Josep Pujol. 3 The latter has stressed the role of environmental constraints in the poor performance of nineteenth-century
It is likely that the debate will go on for quite some time, but in the meantime our knowledge about Spanish rural society in the nineteenth century and up to the outbreak of civil war in 1936 has greatly expanded. Geography, social structure, production orientation and demography were diverse and led to different regional types, as has been stressed by Domingo Gallego. 6 In fact, the article by Gallego synthesizes a large amount of valuable local and thematically-specific studies, many of them related to the Sociedad Española de Historia Agraria (formerly Seminario de Historia Agraria, a sister association to BAHS) and published in Historia Agraria. These local studies have been important for the renovation of higher-level debates and they are very likely to remain so in the future. Thematically-specific studies have greatly increased our knowledge about issues such as living standards, social structure, forest and environmental history, agribusiness, family and demography, and more. 7
In the years to come, the great challenge facing agricultural and rural history in Spain is probably the incorporation of the period from
Footnotes
1 J. Harrison, 'The agrarian history of Spain, 1800–1960', Agricultural History Review 37 (1989), pp. 180–7.
2 J. Simpson, Spanish agriculture: the long siesta (1765–1965) (1995).
3 M. Á. Bringas, La productividad de los factores en la agricultura española (1752.1935) (2000); J. Pujol, M. González de Molina, L. Fernández, D. Gallego and R. Garrabou, El pozo de todos los males: sobre el atraso en la agricultura española contemporánea (2001).
4 See a lively debate about the above cited book in the journal Historia Agraria, 28 (2002).
5 J. Carmona and J. Simpson, El laberinto de la agricultura española: instituciones, contratos y organización entre 1850 y 1936 (2003).
6 D. Gallego, 'Sociedad, naturaleza y mercado: un análisis regional de los condicionantes de la producción agraria española (1800–1936)', Historia Agraria 24 (2001), pp. 11–57.
7 Very detailed states of the art were published in Historia Agraria in 2000–2002 (issues number 22 to 26). See also J. M. Martínez Carrión, El nivel de vida en la España rural, siglos XVIII–XX (2002); and J. A. Sebastián and R. Uriarte (eds.), Historia y economía del bosque en la Europa del sur (siglos XVIII–XX) (2003).
Issue 9 | July 2005
Rural History Today the end of the civil war in 1939 to the present day. 8 Although scholars are increasingly turning their attention to it, the last decade and a half has witnessed a relative stagnation of this area of research (at least, as compared to the lively debate on the prior period). However, this period of extraordinary change in the Spanish economy and society provoked major changes in the countryside, as taught by the early works of José Manuel Naredo and Carlos Barciela. 9 My own book addresses the end of peasant economies in upland Spain and the role played
by depopulation in such a process from a longrun perspective. 10 But a lot has yet to be done –we need to know more about non-upland Spain during the second half of the twentieth century, and not only about its economic and demographic trends but also about the social implications of such trends. In this way we may be able to fill the gap between our well-known, pre-1936 rural communities and the type of community depicted by rural sociologists for the late twentieth century.
8 The incorporation of previous periods would deserve a review of its own. Enrique Llopis has recently stressed the institutional and productive legacy of pre-industrial agriculture and its consequences for the development of subsequent stages in the evolution of the Spanish economy and the Spanish countryside. See E. Llopis, ed., El legado económico del Antiguo Régimen en España (2004).
9 J. M. Naredo, La evolución de la agricultura en España: desarrollo capitalista y crisis de las formas de producción tradicionales (1971; second edition with new material, 1996); C. Barciela, 'Introducción', in R. Garrabou, C. Barciela and J. I. Jiménez Blanco (eds.), Historia agraria de la España contemporánea. 3. El fin de la agricultura tradicional contemporánea (1800–1960) (1986), pp. 383–454.
10 F. Collantes, El declive demográfico de la montaña española (1850–2000). ¿Un drama rural? (2004).
NEW LIBRARY FACILITIES AT MERL
There can be few readers who have not at some time or other benefited from of the library and archives at the Museum of English Rural Life at Reading.
The first part of the multi-million pound MERL development which involves the moving of the museum from the Whiteknights University campus to the former St Andrews Hall of Residence opened on May 3rd when the first readers to the new library and reading room were welcomed with a bottle of champagne. The exhibition galleries will open in July. The museum archives contain business records of companies relating to agriculture including agricultural implement makers, Ransomes, Sims and Jefferies of Ipswich, and seed distributors, Suttons Seeds of Reading, records of agricultural organisations, such as the National Farmers' Union as well as estate and business records of individual farms throughout England. The library covers the whole range of agricultural history and rural life with particular strengths in farming techniques, equipment and dairying. The periodicals include major runs of journals on agricultural history, economics and engineering as well as popular magazines such as Farmers' Weekly and Country Life.
Rural History Today
One of the many Ransome's advertisements in the Museum's archives
Issue 9 | July 2005
CONFERENCE NOTICEBOARD
Interwar Rural History Research Group Study Day
17 September 2005
The Interwar Rural History Research Group will hold a Study Day at the Museum of English Rural Life (MERL), Reading, on 17 September 2005.
The theme of the day will be Education in Rural Areas in the Interwar Period, and this will be broadly interpreted to include not only school and agricultural education but also adult education, art and drama education, issues of gender, institutions and curriculum development, buildings, books and educational materials, and the experiences of students and teachers.
There will also be an opportunity to tour the MERL's impressive new building and to participate in a presentation on the archives it holds and its facilities for researchers in rural history.
For further information please contact Dr Caitlin Adams, Witan international College, London Road, Reading RG1 5AQ, tel: 0118 931 0152 (switchboard) or 0118 920 9345 (direct line), email: email@example.com
The International Commission for Research on European Food History Symposium
Berlin, September 2005
The International Commission for Research on European Food History was founded in 1989 and holds a Symposium every two years on a theme that often has relevance for members of the British Agricultural History Society. The next one will be in Berlin in September 2005. For details see http://www.vub.ac.be/SGES/ ICREFH.html
Every symposium leads to an edited volume, the most recent one being from the 2003 Prague meeting: Derek J. Oddy and Lydia Petranove (eds) The Diffusion of Food Culture in Europe since the late Eighteenth Century, Academia Press, Prague, forthcoming 2005. For further details please contact Peter Atkins, Dept Geography, Durham University, Durham DH1 3LE; firstname.lastname@example.org
Issue 8 | December 2004 Issue 9 | July 2005
XIV International Economic History Congress, Helsinki, Finland
21 to 25 August 2006
Session 9, Food quality: practices and rules (XIIth–XXth centuries)
The organizer, Dr Peter Atkins, Dept Geography, Durham University would welcome proposals by end August 2005. Edited volume likely. Further information can be found at http://www.helsinki.fi/iehc2006/sessions.html
Although they are frequently in the news at the moment, problems of food safety and food quality are of course of long-standing. Historical and comparative analyses help to put them into an appropriate context and explain their origins and outcomes.
Our starting point is that economic actors – producers, distributors, and consumers – do not necessarily, and in fact rarely, share the same notion of quality. Heterogeneous viewpoints are also characteristic of public institutions. The way in which these agents agree on a given definition of quality and the implications of their possible disagreements require examination.
While the history of food quality is largely that of the forms of institutional regulation, it is necessary to distinguish between professional and administrative institutions, because their aims and rules do not always coincide. Colleagues giving papers will be asked to show how co-operative agreements on food quality have been reached for their particular case study.
More specifically, the pursuit of public health and the goals of business regulation happen at times to be at odds. When cases of incompatibility arise, actors work out hierarchies in economic policies as well as in economic action. Compromises are different at different moments and in different places.
In order to explain these outcomes we suggest a focus on three main issues:
* The role of science (or morality, religion, cosmologies in ancient times) and the construction of rules and quality norms.
* The construction and the enforcement of quality norms (central and local laws, social and professional norms).
* The relationship between health and market rules.
Our scope is from medieval times to the present. We seek to distinguish between quantitative and qualitative notions of food security. Under the
Rural History Today
Ancien Regime, quantity control was barely different from the quality supervision of foodstuffs, but the industrialization process was usually followed by an increasing distance between the two. However, outcomes are not predictable and historical enquiries help us to specify the determinants that influence solutions to food quality and food safety problems. Variations and differences are due to a mix of various factors: different legacies such as the sets of rules inherited from the past and the ways in which food quality, technical progress in agriculture, and the economic activities of administrative institutions are defined during the industrialisation process.
8th European Urban History Association
Stockholm, September 2006,
Session on 'Animals in the city', organizer Peter Atkins, Durham University. Both the topic and the format are flexible, but the plan at the moment is as follows:
* A 3-hour session;
* 6-9 papers, with 1 page abstracts to be submitted by end August 2005;
* Timing will depend on the number of presenters, but the emphasis will be on short presentations and plenty of time for discussion;
* Possibility of a book to follow, with an agreed deadline in 2007 for submission of manuscripts.
Scope:
* Working animals, e.g. horses;
* Live animals as part of the food economy: cows, pigs, small livestock;
* Slaughtering and other animal-related industries;
* Live cattle and dead meat markets;
* Animal products;
* Companion animals;
* Zoos;
* 'Wild' animals;
* Vermin;
* Human interest: vets, butchers, stockkeepers, medical/sanitary officers, etc.;
* Theoretical papers, e.g. recent non-human turn;
Comparative papers welcome: through time or across space. See: http://www.historia. su.se/urbanhistory/eauh/invitation.htm
Rural History Today
British Agricultural History Society Winter Conference
10th December 2005, Institute of Historical Research, Malet Street, London WC1,
The theme of landownership in the 19th and 20th centuries has been chosen to mark Professor F.M.L.Thompson's 80th birthday and speakers will include Professor David Cannadine on the 20th century country house and Professors John Beckett and Michael Turner returning to one of Michael Thompson's research interests, the sale of large numbers of landed estates after the first world war. Two other papers examine different sides of the continuing tensions between the landed aristocracy and the rest of society in the 19th century: Anthony Taylor's discussion of anti-aristocratic sentiment and land utopianism nicely complements Mark Rothery's paper on the financial diversification amongst the landed gentry. Further information about the conference, and a booking form can be obtained from the Society's web site www.bahs.org.uk or from Dr Jane Whittle, the conference organiser at the Department of History, Amory Building, Rennes Drive, University of Exeter, EX4 4RJ.
2nd Anglo-French Conference on Rural History,
9–11 September, Darwin College, University of Kent
Following the pattern set at the successful conference held at Le Mans in 2002, the British Agricultural History Society, in collaboration with L'Association d'Histoire et societies rurales are organising a second conference with speakers from both France and Britain discussing three vital themes of interest to rural historians on both sides of the Channel. Sessions will focus on the peasant producer in the 19th and 20th centuries, on agricultural diversification and marketing from the middle ages to the 18th century and the impact of different kinds of technical change on rural society before the 20th century. The conference will begin with papers by Joan Thirsk and Nadine Vivier on the diffusion of agricultural ideas in Europe since 1500. There is a line-up of well-known experts and there will be ample time for lively discussion. Summaries of papers will be available in advance. For further details see www.bahs.org.uk or contact Dr John Broad, Department of Humanities, Arts and Languages, London Metropolitan University, 166-220 Holloway Road, London N7 8DB, Tel. 0207 1332781
Issue 9 | July 2005
You can now read and browse all issues of the Review that are more than five years old on the BAHS website
PLACE is a unique initiative within Yorkshire, which links the academic world and the general public.
A registered charity, PLACE aims to promote research into the people, landscape & cultural environment and to educate the general public about the natural and cultural heritage of Yorkshire.
A selection of PLACE publications
UNIVERSITY NEWS
PLACE — the People, Landscape & Cultural Environment Education and Research Centre
Based at York St John College, but with links to the universities of Bradford and York and twenty other partner organisations, PLACE is an independent company managed by a Board of nine Trustees. The Board is supported by a larger Advisory Committee whose members are known as Fellows of PLACE. Many of our Fellows often publish the results of their research through the PLACE Occasional Papers.
Research projects
In 1996, PLACE initiated a major research project on environmental change on the North York Moors. This project focused on the past two thousand years and uses a combination of scientific and historical approaches.
In 1998, PLACE coordinated a major project in collaboration with seventeen partner organisations, known as the Vale of Pickering Wetlands Project. The wetland and drainage history of the region was assessed, the remaining wetland wildlife resources evaluated and the potential for restoration of wetland habitats in the Vale considered.
PLACE Fellows have been active since 1999 in archaeological and paleo-environmental research inUpper Wharfedale, where pllen diagrams have been produced from two sites close to areas of prehistoric activity.
Conferences and publications
PLACE has held at least one conference every year since 1997. Audiences of up to 200 people have been attracted by leading national speakers, whose brief was to make the results of their research accessible to a non-specialist audience. Themes have included agriculture, old orchards, the rural/urban interface, the Yorkshire landscapes part and future, and sustaining historic urban heritage. The proceedings of most of these conferences have been published. PLACE sponsored production of the 'Historic Atlas of North Yorkshire', edited by Professor Robin Butlin and published by Smith Settle in 2003. It was launched at a special conference in autumn 2003, organised jointly by PLACE, the Yorkshire Philosophical Society and
Issue 8 | December 2004 Issue 9 | July 2005
the Royal Geographical Society.
Our next conference will be held in York on 1st October 2005 on the theme of 'Yorkshire Names and Dialects'. A new venture in spring 2006 will be a short course on Yorkshire Monasteries, led by Dr Robert Wright. If this is successful, we hope to mount similar courses on a regular basis.
The PLACE Occasional Papers series is designed as a vehicle for the publication of popular accounts of research on a wide range of topics. They are short, inexpensive publications, written in non-technical language. The range of themes can be seen from the following list:
* Climate Change on the North York Moors (Noël James)
* Threatened Ants, Wasps & Bees in Watsonian Yorkshire (Michael Archer)
* Assault and Battery in North Yorkshire Pews (John Addy)
* 'Heaven consists on Working Men's Clubs' (Glyn Edwards)
* Change in the High Street (Michael Hopkinson)
* 'Thinking Space, Discovering Place' (Michael Hopkinson).
Conclusion
The success of PLACE to date has been the result of the interactions between a wide range of people and organisations. Its future success will depend on the continuing input of new ideas and the production of events and publications that engage with the general public. Membership as a Friend of PLACE costs just £5.00 per year and is open to anyone with an interest in the people, landscape & cultural environment of Yorkshire. Friends and partner organisations receive regular newsletters and can take part in a series of special events and field visits. Details of PLACE activities and publications will be found on our website: www.place.uk.com
For further information, please contact the Chief Executive of PLACE, Dr Margaret Atherden, at York St John College, Lord Mayor's Walk, York, YO31 7EX (Tel; 01904 716753. E-mail: email@example.com
Rural History Today
Farm Developments in Nineteenth Century Suffolk
By Richard Glass
Suffolk can claim many 'firsts' in farming development from Jethro Tull's drills to Charles Poppy's original farmers' club, Arthur Young's statistics, Garrett's engines and Fison's fertilisers. A number of new livestock breeds are also associated with the county including the Black Faced Sheep, the Suffolk Punch horse, Red Poll Cattle and Black Pig. Improved plant types include Chevalier Barley which rapidly became the dominant strain in British cultivation. Interest was also given to fruit growing with the Greengage, Lady Heniker's Pear, and a regional Apple evolving in Suffolk. The region produced secretaries and governors of the leading national and regional agricultural organisations.
The establishment of the extent to which the county was at the forefront of agricultural change and innovation in the mid-nineteenth century is one of the aims of this research. Nationally farming was becoming increasingly commercialised and one indication of this is the adoption of industrial-style premises. Model farms were built, from scratch, to plans drawn up by architects and agriculturalists. They were widely publicised and readers of The Farmers' Magazine and The Journal of the Royal Agricultural Society of England could see plans and engravings of the finished complexes as well as learn about their productivity and effectiveness. New machinery was employed, using new sources of power, New fertilisers were utilised. This whole enterprise was housed in large purpose-built, specialised model farms, or farmeries. They were expensive to create and depended upon highly capitalised landlords, or individual farmers of vision. New buildings included covered stockyards, ventilated dairies, narrow gauge rail systems, underground manure tanks and engine/wheel houses.
Experimental farms were run by some of the larger agricultural associations and tested out some of the new ideas publicised in the name of high farming. They too were expensive, but in the maintenance rather than the founding as they were more likely to be adaptations of existing facilities rather than entirely new constructions. These farms carried
Rural History Today out carefully planned experiments designed to test the effectiveness of high farming's new techniques. Such exercises may have involved the yield of crop and animal varieties, efficiency of new machinery and power sources, fertiliser improvement both natural and man made, soil improvement and drainage. Such experimental farms were run by the national agricultural bodies of England and Scotland and were investigative in nature and reported the results of their trials in widely read periodicals.
Tenant farmers had access to these changes via the professional literature, national and local newspapers, and the network of local farmers' clubs and societies. Such clubs of which there were several in Suffolk, ran libraries, lectures, visits and discussions. This flow of information was lubricated in the mid 1800s by rapid developments in printing technology, progress in image reproduction, rapid expansion of the railway and telegraph networks.
Through these means small farmers were exposed to the new ways in farming and many were inclined to adopt some features of high farming. Not all practitioners were convinced however, and debate between practical and theoretical farmers filled many letters' pages in local and regional newspapers. The bona fide Suffolk farmer found the forces of high farming much easier to resist than the forward looking experimentalist. Those small farmers who did take on the new methods opened up the possibility of radical change in their workplace, surroundings and techniques.
The extent to which farmers invested in new buildings was by no means consistent across the county of Suffolk. The change in farmsteads was piecemeal and incremental rather than radical and wholesale. Examples of model farming were instigated in Suffolk by the aristocracy (Duke of Grafton) large landowners (Chevalier) and entrepreneurs (Webb).
The methods employed to investigate the Victorian farm changes in Suffolk were threefold. Firstly, a sample was drawn up representing the three main soil types found in the county. These samples represented a
Continued overleaf
Issue 9 | July 2005
Richard Glass lectures in geography at West Suffolk College and is a part-time PhD student at Anglia Polytechnic University in Cambridge studying 'High Farming' in Suffolk. He claims that Suffolk agriculture has long been at the centre of innovation and this article emphasises the importance of changes in farm buildings and fields to the progress of intensive farming.
A note from the editor
Rural History Today is published by the British Agricultural History Society. The editor will be pleased to receive short articles, press releases, notes and queries for publication. She would particularly like articles on European projects, kindred societies and news from museums, all of which she hopes will become regular features. Articles for the next issue should be sent by 30 November 2005 to Susanna Wade Martins, The Longhouse, Eastgate Street, North Elmham, Dereham, Norfolk NR20 5HD or preferably by email firstname.lastname@example.org
Membership of the BAHS is open to all who support its aim of promoting the study of agricultural history and the history of rural economy and society. Membership enquries should be directed to the Treasurer, BAHS, c/o Dept. of History, University of Exeter, Amory Building, Rennes Drive, Exeter EX4 4RJ. Enquiries about other aspects of the Society's work should be directed to the Secretary, Dr John Broad, Dept. Humanities, Arts and Languages, London Metropolitan University, 166–220 Holloway Road, London, N7 8DB, Tel: 020 7753 5020; Fax: 020 7753 3159, email@example.com.
Continued from page 7
range of farm sizes and tenures. The farm buildings were visited, sketched, measured and photographed. The farms were then located on the 1830 Tithe Survey maps as well as the 1840 Ordnance Survey maps. Scale drawings were made of the farms and buildings from these map sources. By this range of methods it was hoped that changing patterns of fields and buildings in the period of so called high farming would be revealed. In particular how far was development and change limited by physical factors. Overall 50 farms were investigated, based upon the three core areas of Bury St Edmunds, Hadleigh, and Wickham Market. Each of these represents a discrete and successful farmers' club catchment area, based respectively upon Sand/Chalk, Alluvium, and Clay/Sand.
The data thus collected was presented as a set of maps, sketches, photographs and graphs. Overall a number of trends were noted with some interesting differences both between and within the three sample areas.
Fields were categorised as having become more or less regular in shape, and smaller or larger. The degree to which buildings become more or less regular was also assessed. The result should be therefore an analysis of the
Issue 9 | July 2005
to which Victorian farm buildings and fields became more geometric and spacious during the drive toward greater efficiency and intensity in the nineteenth century.
In all three areas the number of scattered buildings dropped by half and linear farmsteads vanished. All three areas also show a marked move toward geometric arrangements of buildings. This clearly charts the evolution of the courtyard farm.
There were great regional differences. The area of late enclosure around Bury St Edmunds was already dominated by huge planned complexes by 1830. Change in the Hadleigh and Wickham Market area was much more piecemeal with a development toward the geometric symmetrical ideal of modern efficiency.
Field shapes and sizes appear to have remained more stable, with fewer obvious changes than in the buildings. There was a ten to fifteen percent change in the size of fields and their shape. This remodelling was consistently to regularise field shapes and increase their size and was more likely in the areas of small fields and early enclosure in the heavy clays than in the light soils of Breckland and the Sandlings.
Rural History Today
|
About this Document
This manual is intended for administrators and users of AXIS P3225-LV Network Camera, and is applicable to firmware 6.10 and later. It includes instructions for using and managing the product on your network. Previous experience of networking will be of use when using this product. Some knowledge of UNIX or Linux-based systems may also be useful when developing shell scripts and applications. Later versions of this document will be posted at www.axis.com. See also the product's online help, available through the web-based interface.
Legal Considerations
Video surveillance can be regulated by laws that vary from country to country. Check the laws in your local region before using this product for surveillance purposes.
This product includes one (1) H.264 decoder license. To purchase further licenses, contact your reseller.
Liability
Every care has been taken in the preparation of this document. Please inform your local Axis office of any inaccuracies or omissions. Axis Communications AB cannot be held responsible for any technical or typographical errors and reserves the right to make changes to the product and manuals without prior notice. Axis Communications AB makes no warranty of any kind with regard to the material contained within this document, including, but not limited to, the implied warranties of merchantability and fitness for a particular purpose. Axis Communications AB shall not be liable nor responsible for incidental or consequential damages in connection with the furnishing, performance or use of this material. This product is only to be used for its intended purpose.
Intellectual Property Rights
Axis AB has intellectual property rights relating to technology embodied in the product described in this document. In particular, and without limitation, these intellectual property rights may include one or more of the patents listed at www.axis.com/patent.htm and one or more additional patents or pending patent applications in the US and other countries.
This product contains licensed third-party software. See the menu item "About" in the product's user interface for more information.
This product contains source code copyright Apple Computer, Inc., under the terms of Apple Public Source License 2.0 (see www.opensource.apple.com/apsl). The source code is available from https://developer.apple.com/bonjour/
Equipment Modifications
This equipment must be installed and used in strict accordance with the instructions given in the user documentation. This equipment contains no user-serviceable components. Unauthorized equipment changes or modifications will invalidate all applicable regulatory certifications and approvals.
Trademark Acknowledgments
AXIS COMMUNICATIONS, AXIS, ETRAX, ARTPEC and VAPIX are registered trademarks or trademark applications of Axis AB in various jurisdictions. All other company names and products are trademarks or registered trademarks of their respective companies.
Apple, Boa, Apache, Bonjour, Ethernet, Internet Explorer, Linux, Microsoft, Mozilla, Real, SMPTE, QuickTime, UNIX, Windows, Windows Vista and WWW are registered trademarks of the respective holders. Java and all Java-based trademarks and logos are trademarks or registered trademarks of Oracle and/or its affiliates. UPnP TM is a certification mark of the UPnP TM Implementers Corporation.
SD, SDHC and SDXC are trademarks or registered trademarks of SD-3C, LLC in the United States, other countries or both. Also, miniSD, microSD, miniSDHC, microSDHC, microSDXC are all trademarks or registered trademarks of SD-3C, LLC in the United States, other countries or both.
Regulatory Information
Europe
This product complies with the applicable CE marking directives and harmonized standards:
* Electromagnetic Compatibility (EMC) Directive 2014/30/EU. See Electromagnetic Compatibility (EMC) on page 2 .
Restrictions of Hazardous Substances (RoHS) Directive 2011/65/EU.
* Low Voltage (LVD) Directive 2014/35/EU. See Safety on page 3 .
* See Disposal and Recycling on page 3 .
A copy of the original declaration of conformity may be obtained from Axis Communications AB. See Contact Information on page 3 .
Electromagnetic Compatibility (EMC)
This equipment has been designed and tested to fulfill applicable standards for:
* Radio frequency emission when installed according to the instructions and used in its intended environment.
* Immunity to electrical and electromagnetic phenomena when installed according to the instructions and used in its intended environment.
USA
Using an unshielded network cable (UTP) – This equipment has been tested using an unshielded network cable (UTP) and found to comply with the limits for a Class A digital device, pursuant to part 15 of the FCC Rules. These limits are designed to provide reasonable protection against harmful interference when the equipment is operated in a commercial environment. This equipment generates, uses, and can radiate radio frequency energy and, if not installed and used in accordance with the instruction manual, may cause harmful interference to radio communications. Operation of this equipment in a residential area is likely to cause harmful interference in which case the user will be required to correct the interference at his own expense.
Using a shielded network cable (STP) – This equipment has also been tested using a shielded network cable (STP) and found to comply with the limits for a Class B digital device, pursuant to part 15 of the FCC Rules. These limits are designed to provide reasonable protection against harmful interference in a residential installation. This equipment generates, uses and can radiate radio frequency energy and, if not installed and used in accordance with the instructions, may cause harmful interference to radio communications. However, there is no guarantee that interference will not occur in a particular installation. If this equipment does cause harmful interference to radio or television reception, which can be determined by turning the equipment off and on, the user is encouraged to try to correct the interference by one or more of the following measures:
* Reorient or relocate the receiving antenna.
* Consult the dealer or an experienced radio/TV technician for help. To be used in a residential area or a demanding electrical environment, the product shall be connected using a shielded network cable (STP) that is properly grounded.
* Increase the separation between the equipment and receiver. • Connect the equipment into an outlet on a circuit different from that to which the receiver is connected.
Canada
This digital apparatus complies with CAN ICES-3 (Class B). The product shall be connected using a shielded network cable (STP) that is properly grounded. Cet appareil numérique est conforme à la norme CAN NMB-3 (classe B). Le produit doit être connecté à l'aide d'un câble réseau blindé (STP) qui est correctement mis à la terre.
Europe
This digital equipment fulfills the requirements for RF emission according to the Class B limit of EN 55022. The product shall be connected using a shielded network cable (STP) that is properly grounded.
This product fulfills the requirements for emission and immunity according to EN 50121-4 and IEC 62236-4 railway applications.
This product fulfills the requirements for immunity according to EN 61000-6-1 residential, commercial and light-industrial environments.
This product fulfills the requirements for immunity according to EN 61000-6-2 industrial environments.
This product fulfills the requirements for immunity according to EN 55024 office and commercial environments.
Australia/New Zealand
This digital equipment fulfills the requirements for RF emission according to the Class B limit of AS/NZS CISPR 22. The product shall be connected using a shielded network cable (STP) that is properly grounded.
Japan
この装置は、クラスB 情報技術装置です。この装置は、家 庭環境で使⽤することを⽬的としていますが、この装置が ラジオやテレビジョン受信機に近接して使⽤されると、受 信障害を引き起こすことがあります。取扱説明書に従って 正しい取り扱いをして下さい。本製品は、シールドネット ワークケーブル(STP)を使⽤して接続してください。また 適切に接地してください。
Korea
이기기는가정용(B급) 전자파적합기기로서주로가정에 서사용하는것을목적으로하며, 모든지역에서사용할수 있습니다. 적절히접지된STP (shielded twisted pair) 케이 블을사용하여제품을연결하십시오.
Safety
This product complies with IEC/EN/UL 60950-1, Safety of Information Technology Equipment. If its connecting cables are routed outdoors, the product shall be grounded either through a shielded network cable (STP) or other appropriate method.
Photobiological Safety
This product fulfills the requirements for photobiological safety according to IEC/EN 62471 (risk group 1).
Battery
The Axis product uses a 3.0 V CR2032 lithium battery as the power supply for its internal real-time clock (RTC). Under normal conditions this battery will last for a minimum of five years.
Low battery power affects the operation of the RTC, causing it to reset at every power-up. When the battery needs replacing, a log message will appear in the product's server report. For more information about the server report, see the product´s setup pages or contact Axis support.
The battery should not be replaced unless required, but if the battery does need replacing, contact Axis support at www.axis.com/techsup for assistance.
Lithium coin cell 3.0 V batteries contain 1,2-dimethoxyethane; ethylene glycol dimethyl ether (EGDME), CAS no. 110-71-4.
WARNING
* Risk of explosion if the battery is incorrectly replaced.
* Dispose of used batteries according to local regulations or the battery manufacturer's instructions.
* Replace only with an identical battery or a battery which is recommended by Axis.
Disposal and Recycling
When this product has reached the end of its useful life, dispose of it according to local laws and regulations. For information about your nearest designated collection point, contact your local authority responsible for waste disposal. In accordance with local legislation, penalties may be applicable for incorrect disposal of this waste.
Europe
This symbol means that the product shall not be disposed of together with household or commercial waste. Directive 2012/19/EU on waste electrical and electronic equipment (WEEE) is applicable in the European Union member states. To prevent potential harm to human health and the environment, the product must be disposed of in an approved and environmentally safe recycling process. For information about your nearest designated collection point, contact your local authority responsible for waste disposal. Businesses should contact the product supplier for information about how to dispose of this product correctly.
This product complies with the requirements of Directive 2011/65/EU on the restriction of the use of certain hazardous substances in electrical and electronic equipment (RoHS).
China
This product complies with the requirements of the legislative act Administration on the Control of Pollution Caused by Electronic Information Products (ACPEIP).
Contact Information
Axis Communications AB Emdalavägen 14 223 69 Lund Sweden
Tel: +46 46 272 18 00
Fax: +46 46 13 61 30
www.axis.com
Support
Should you require any technical assistance, please contact your Axis reseller. If your questions cannot be answered immediately, your reseller will forward your queries through the appropriate channels to ensure a rapid response. If you are connected to the Internet, you can:
* download user documentation and software updates
* report problems to Axis support staff by logging in to your private support area
* find answers to resolved problems in the FAQ database. Search by product, category, or phrase
* chat with Axis support staff
* visit Axis Support at www.axis.com/techsup/
Learn More!
Visit Axis learning center www.axis.com/academy/ for useful trainings, webinars, tutorials and guides.
Table of Contents
Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Table of Contents
Safety Information
Safety Information
Hazard Levels
DANGER
Indicates a hazardous situation which, if not avoided, will result in death or serious injury.
WARNING
Indicates a hazardous situation which, if not avoided, could result in death or serious injury.
CAUTION
Indicates a hazardous situation which, if not avoided, could result in minor or moderate injury.
NO NOTICE TICE
Indicates a situation which, if not avoided, could result in damage to property.
Other Message Levels
Important
Indicates significant information which is essential for the product to function correctly.
Note
Indicates useful information which helps in getting the most out of the product.
Hardware Overview
Hardware Overview
1 Network connector (PoE)
2 SD memory card slot
3 Part number (P/N) & Serial number
4 Control button
5 Status LED indicator
Connectors and Buttons
For technical specifications, see page 61.
Network Connector
RJ45 Ethernet connector with Power over Ethernet (PoE).
NO NOTICE TICE
Due to local regulations or the environmental and electrical conditions in which the product is to be used, a shielded network cable (STP) may be appropriate or required. All cables connecting the product to the network and that are routed outdoors or in demanding electrical environments shall be intended for their specific use. Make sure that the network devices are installed in accordance with the manufacturer's instructions. For information about regulatory requirements, see Electromagnetic Compatibility (EMC) on page 2 .
SD Card Slot
NO NOTICE TICE
* Risk of damage to SD card. Do not use sharp tools, metal objects or excessive force when inserting or removing the SD card. Use your fingers to insert and remove the card.
* Risk of data loss and corrupted recordings. Do not remove the SD card while the product is running. Disconnect power or unmount the SD card from the Axis product's webpages before removal.
This product supports microSD/microSDHC/microSDXC cards (not included).
For SD card recommendations, see www.axis.com
Control Button
For location of the control button, see Hardware Overview on page 7 .
The control button is used for:
Hardware Overview
* Resetting the product to factory default settings. See page 57.
* Connecting to an AXIS Video Hosting System service. See page 49. To connect, press and hold the button for about 3 seconds until the Status LED flashes green.
* Connecting to AXIS Internet Dynamic DNS Service. See page 49. To connect, press and hold the button for about 3 seconds.
LED Indicators
i
| Unlit | Connection and normal operation. |
|---|---|
| Green | Shows steady green for 10 seconds for normal operation after startup completed. |
| Amber | Steady during startup. Flashes during frimware upgrade. |
| Amber/Red | Flashes amber/red if network connection is unavailable or lost. |
Access the Product
Access the Product
To install the Axis product, see the Installation Guide supplied with the product.
The product can be used with most operating systems and browsers. We recommend the following browsers:
* Internet Explorer ® with Windows ®
* Safari ® with OS X ®
* Chrome TM or Firefox ® with other operating systems.
To view streaming video in Internet Explorer, allow installation of AXIS Media Control (AMC) when prompted.
The Axis product includes one (1) H.264 decoder license for viewing video streams. The license is automatically installed with AMC. The administrator can disable the installation of the decoders to prevent installation of unlicensed copies.
Note
* QuickTime TM is also supported for viewing H.264 streams.
Access from a Browser
1. Start a web browser.
2. Enter the IP address or host name of the Axis product in the browser's Location/Address field.
To access the product from a Mac computer (OS X), go to Safari, click on Bonjour and select the product from the drop-down list.
If you do not know the IP address, use AXIS IP Utility to locate the product on the network. For information about how to discover and assign an IP address, see the document Assign an IP Address and Access the Video Stream on Axis Support web at www.axis.com/techsup
To show Bonjour as a browser bookmark, go to Safari > Preferences.
3. Enter your user name and password. If this is the first time the product is accessed, the root password must first be configured. For instructions, see Set the Root Password on page 10.
4. The product's Live View page opens in your browser.
Note
Note
The controls and layout of the Live View page may have been customized to meet specific installation requirements and user preferences. Consequently, some of the examples and functions featured here may differ from those displayed in your own Live View page.
Access from the Internet
Once connected, the Axis product is accessible on your local network (LAN). To access the product from the Internet you must configure your network router to allow incoming data traffic to the product. To do this, enable the NAT-traversal feature, which will attempt to automatically configure the router to allow access to the product. This is enabled from Setup > System Options > Network > TCP/IP Advanced.
For more information, see NAT traversal (port mapping) for IPv4 on page 51. See also AXIS Internet Dynamic DNS Service at www.axiscam.net
For Technical notes on this and other topics, visit the Axis Support web at www.axis.com/techsup
Set the Root Password
To access the Axis product, you must set the password for the default administrator user root. This is done in the Configure Root Password dialog, which opens when the product is accessed for the first time.
To prevent network eavesdropping, the root password can be set via an encrypted HTTPS connection, which requires an HTTPS certificate. HTTPS (Hypertext Transfer Protocol over SSL) is a protocol used to encrypt traffic between web browsers and servers. The HTTPS certificate ensures encrypted exchange of information. See HTTPS on page 46.
The default administrator user name root is permanent and cannot be deleted. If the password for root is lost, the product must be reset to the factory default settings. See Reset to Factory Default Settings on page 57.
To set the password via a standard HTTP connection, enter it directly in the dialog.
To set the password via an encrypted HTTPS connection, follow these steps:
1. Click Use HTTPS.
A temporary certificate (valid for one year) is created, enabling encryption of all traffic to and from the product, and the password can now be set securely.
2. Enter a password and then re-enter it to confirm the spelling.
3. Click OK. The password has now been configured.
Camera Orientation
This setting is defined the first time the product is accessed. Depending on how the Axis product is installed, select ceiling or wall .
To change these settings, the product must be restored to the original factory default settings. To reset or restore the product, go to Setup > System Options > Maintenance in the product's web pages. For information about reset and restore, see Maintenance on page 55.
Configure Capture Mode
Capture mode defines the maximum resolution and maximum frame rate available in the Axis product. The capture mode setting also affects the camera's angle of view.
Select the desired capture mode from the drop-down list and click OK.
See also Capture Mode on page 19.
Set Power Line Frequency
Power line frequency is set the first time the Axis product is accessed and can only be changed from Plain Config (see page 57) or by resetting the product to factory default.
Access the Product
Select the power line frequency (50 Hz or 60 Hz) used at the location of the Axis product. Selecting the wrong frequency may cause image flicker if the product is used in fluorescent light environments.
Note
Power line frequency varies depending on geographic region. The Americas usually use 60 Hz, whereas most other parts of the world use 50 Hz. Local variations could apply. Always check with the local authorities.
The Live View Page
The controls and layout of the Live View page may have been customized to meet specific installation requirements and user preferences. Consequently, some of the examples and functions featured here may differ from those displayed in your own Live View page. The following provides an overview of each available control.
Controls on the Live View Page
Click the View size buttons to show the image in full size (right button) or to scale down the image to fit the browser window (left button).
Click WDR on to enable WDR in intense backlight conditions. Click WDR off to disable WDR in low light conditions for optimal exposure.
Select a stream profile for the Live View page from the Stream Profile drop-down list. For information about how to configure stream profiles, see page 18.
The Manual Trigger button is used to trigger an action rule from the Live View page. For information about how to configure and enable the button, see Manual Trigger on page 11 .
Click Snapshot to save a snapshot of the video image. This button is primarily intended for use when the AXIS Media Control viewer toolbar is not available. Enable this button from Live View Config > Action Buttons.
Activate or de-activate IR illumination from Setup > Video > Camera Settings. Enable this button from Live View Config > Action Buttons.
Move the slider to increase or decrease the intensity of the LEDs.
Manual Trigger
The Manual Trigger is used to trigger an action rule from the Live View page. The manual trigger can for example be used to validate actions during product installation and configuration.
To configure the manual trigger:
1. Go to Setup > Events.
2. Click Add to add a new action rule.
3. From the Trigger drop-down list, select Input Signal.
4. From the second drop-down list, select Manual Trigger.
5. Select the desired action and configure the other settings as required.
For more information about action rules, see Events on page 37.
To show the manual trigger buttons in the Live View page:
Access the Product
1. Go to Setup > Live View Config.
2. Under Action Buttons, select Show manual trigger button.
AXIS Media Control viewer toolbar
The AXIS Media Control viewer toolbar is available in Internet Explorer only. See AXIS Media Control (AMC) on page 13 for more information. The toolbar displays the following buttons:
ThePlaybutton connects to the Axis product and starts playing a media stream.
TheStopbutton stops the media stream.
The Snapshot button takes a snapshot of the video image.
Click the View Full Screen button and the video image will fill the entire screen. Press ESC (Escape) on the computer keyboard to cancel full screen view.
The Record button is used to record the current video stream on your computer. The location where the recording is saved can be specified in the AMC Control Panel. Enable this button from Live View Config > Viewer Settings.
PTZ Controls
Note
These controls are available if digital PTZ is enabled in the selected view area, see View Area on page 21.
With the PTZ Control Queue enabled the time each user is in control of the PTZ settings is limited. Click the buttons to request or release control of the PTZ controls. The PTZ Control Queue is set up under PTZ > Control Queue.
Click the Emulate joystick mode button and click in the image to move the camera view in the direction of the mouse pointer.
Click the Center mode button and click in the image to center the camera view on that position.
The center mode button could also be used to zoom in on a specific area. Click in the image and drag to draw a rectangle surrounding the area to be magnified. To zoom out, rotate the mouse wheel.
To view a specific view area or preset position, select it from the Source list.
Pan and Tilt bars – Use the arrows to pan and tilt the camera view, or click on a position on the bar to steer the camera view to that position.
Zoom bar – Use the arrows to zoom in and out, or click on a position on the bar to zoom to that position.
The PTZ controls can be disabled under PTZ > Advanced > Controls, see Controls on page 27.
Media Streams
Media Streams
The Axis product provides several video stream formats. Your requirements and the properties of your network will determine the type you use.
The Live View page in the product provides access to H.264 and Motion JPEG video streams, and to the list of available stream profiles. Other applications and clients can access video streams directly, without going via the Live View page.
How to Stream H.264
H.264 can, without compromising image quality, reduce the size of a digital video file by more than 80% compared with the Motion JPEG format and as much as 50% more than the MPEG-4 standard. This means that much less network bandwidth and storage space are required for a video file. Or seen another way, much higher video quality can be achieved for a given bit rate.
Deciding which combination of protocols and methods to use depends on your viewing requirements, and on the properties of your network. The available options in AXIS Media Control are:
| Unicast RTP | This unicast method (RTP over UDP) is used for live unicast video, especially when it is important to have an up-to-date video stream, even if some frames are dropped. | Unicasting is used for video-on-demand transmission so that there is no video traffic on the network until a client connects and requests the stream. Note that there are a maximum of 10 simultaneous unicast connections. |
|---|---|---|
| RTP over RTSP | This unicast method (RTP tunneled over RTSP) is useful as it is relatively simple to confgiure firewalls to allow RTSP traffci. | |
| RTP over RTSP over HTTP | This unicast method can be used to traverse firewalls. Firewalls are commonly confgiured to allow the HTTP protocol, thus allowing RTP to be tunneled. | |
| Multicast RTP | This method (RTP over UDP) should be used for live multicast video. The video stream is always up-to-date, even if some frames are dropped. Multicasting provides the most efficient usage of bandwidth when there are large numbers of clients viewing simultaneously. A multicast cannot however, pass a network router unless the router is confgiured to allow this. It is not possible to multicast over the Internet, for example. Note also that all multicast viewers count as one unicast viewer in the maximum total of 10 simultaneous connections. | |
i
AXIS Media Control negotiates with the Axis product to determine the transport protocol to use. The order of priority, listed in the AMC Control Panel, can be changed and the options disabled, to suit specific requirements.
Note
H.264 is licensed technology. The Axis product includes one H.264 viewing client license. Installing additional unlicensed copies of the client is prohibited. To purchase additional licenses, contact your Axis reseller.
MJPEG
This format uses standard JPEG still images for the video stream. These images are then displayed and updated at a rate sufficient to create a stream that shows constantly updated motion.
The Motion JPEG stream uses considerable amounts of bandwidth, but provides excellent image quality and access to every image contained in the stream. The recommended method of accessing Motion JPEG live video from the Axis product is to use the AXIS Media Control in Internet Explorer in Windows.
AXIS Media Control (AMC)
AXIS Media Control (AMC) in Internet Explorer in Windows is the recommended method of accessing live video from the Axis product.
Media Streams
The AMC Control Panel can be used to configure various video settings. Please see the AXIS Media Control User's Manual for more information.
The AMC Control Panel is automatically installed on first use, after which it can be configured. Open the AMC Control Panel from:
* Windows Control Panel (from the Start screen or Start menu)
* Alternatively, right-click the video image in Internet Explorer and click Settings.
Alternative Methods of Accessing the Video Stream
You can also access video and images from the Axis product in the following ways:
* Motion JPEG server push (if supported by the client, Chrome or Firefox, for example). This option maintains an open HTTP connection to the browser and sends data as and when required, for as long as required.
* Windows Media Player. This requires AXIS Media Control and the H.264 decoder to be installed. The following paths can be used:
* QuickTime TM . The following paths can be used:
* <ip>= IP address
* The Axis product supports QuickTime 6.5.1 and later.
* QuickTime may add latency to the video stream.
* It may be possible to use other players to view the H.264 stream using the paths above, although Axis does not guarantee this.
Note
Set Up the Product
Set Up the Product
The Axis product can be configured by users with administrator or operator rights. To open the product's Setup pages, click Setup in the top right-hand corner of the Live View page.
* Administrators have unrestricted access to all settings.
* Operators have restricted access to settings, see Users on page 45
See also the online help.
Basic Setup
Basic Setup provides shortcuts to the settings that should be made before using the Axis product:
1. Users. See page 45.
2. TCP/IP. See page 48.
3. Date & Time. See page 47.
4. Video Stream. See page 16.
5. Focus & Zoom. See page 15.
The Basic Setup menu can be disabled from System Options > Security > Users.
Set focus and zoom
1. Install the camera as described in the Installation Guide.
2. Go to Video > Focus & Zoom.
3. On the Basic tab, set the zoom level using the slider.
Click the<or>button to move the zoom position one step.
Click the<<or>>button to move the zoom position in multiple steps.
Movements in front of the camera should be avoided when performing autofocus.
4. Click Perform autofocus.
5. If the autofocus was not satisfying, go to the Advanced tab.
On the Advanced tab, focus can be adjusted manually:
1. Click Open iris to open the iris to its maximum position. This gives the smallest depth of field and provides the best conditions for focusing.
2. Focus is set in the Focus window. Use the mouse to move and resize the focus window.
3. Click in the Focus position bar to focus on a desired location.
Click the < or > button to move the focus position one step.
Click the << or>> button to move the focus position in multiple steps.
4. When satisfied, click Enable iris to enable the iris.
Note
Video
Video
It is possible to configure the following video features in your Axis product:
* Video stream. See page 16 .
* Stream profiles. See page 18 .
* ONVIF Media Profiles. See page 18 .
* Camera settings. See page 18 .
* View areas. See page 21 .
* Overlay image. See page 22 .
* Privacy mask. See page 23 .
Set Up Video Streams
To set up the product's video streams, go to Video > Video Stream.
The video stream settings are divided into the following tabs:
* Image. See page 16.
* H.264. See page 17 .
* Zipstream. See page 17
* MJPEG. See page 18 .
Pixel Counter
The pixel counter shows the number of pixels in an area of the image. The pixel counter is useful in situations where there is a specific size requirement, for example in face recognition.
The pixel counter can be used:
* When setting up a video stream, see Set Up Video Streams on page 16. Under Preview, click Open and select the Show pixel counter option to enable the rectangle in the image. Use the mouse to move and resize the rectangle, or enter the number of pixels in the Width and Height fields and click Apply.
* When accessing the Live View page in Internet Explorer with AXIS Media Control (AMC) in Windows. Right-click in the image and select Pixel counter. Use the mouse to move and resize the rectangle.
Image
The default image settings can be configured under Video> Video Stream. Select the Image tab.
The following settings are available:
* Resolution. Select the default resolution.
* Compression. The compression level affects the image quality, bandwidth and file size of saved images; the lower the compression, the higher the image quality with higher bandwidth requirements and larger file sizes.
* Mirror image. If required, the image can be mirrored.
* Rotate image. If required, the image can be rotated.
Video
* Maximum frame rate. To avoid bandwidth problems, the frame rate allowed to each viewer can be Limited to a fixed amount. Alternatively, the frame rate can be set as Unlimited, which means the Axis product always delivers the highest frame rate possible under the current conditions.
* Overlay settings. See About overlay text on page 22.
Click Save to apply the new settings.
H.264
H.264, also known as MPEG-4 Part 10/AVC, is a video compression standard that provides high quality video streams at low bit rates. An H.264 video stream consists of different types of frames such as I-frames and P-frames. An I-frame is a complete image whereas P-frames only contain the differences from previous frames.
The H.264 stream settings can be configured from the Video > Video Stream page. Select the H.264 tab. The settings defined in this page will apply to all H.264 streams that do not use a stream profile.
The GOP length is the number of frames between two consecutive I-frames. Increasing the GOP length may save considerably on bandwidth requirements in some cases, but may also have an adverse affect on image quality.
The Axis product supports the following H.264 profile(s):
* Baseline. The Baseline profile is recommended for clients that don't support CABAC entropy coding.
* Main. The Main profile provides higher compression with maintained video quality compared to the Baseline profile but requires more processing power to decode.
* High. The High profile provides reduced bit rate and higher compression with maintained video quality compared to the Main profile but requires more processing power to decode.
The bit rate can be set as Variable bit rate (VBR) or Maximum bit rate (MBR). VBR adjusts the bit rate according to the image complexity, using up more bandwidth for increased activity in the image, and less for lower image activity. When the activity in the scene increases, the bit rate would usually increase as well. If there is a surplus in bandwidth, this may not be an issue and selecting Variable bit rate (VBR) will be sufficient. But if bandwidth is limited, it is recommended to control the bit rate by selecting Maximum bit rate (MBR). When the activity in the scene increases, VBR adjusts the bit rate according to the complexity, using up more bandwidth for increased activity in the scene, and less for lower scene activity. MBR allows you to set a target bit rate that limits the bandwidth consumption.
The MBR target bit rate works like the ceiling of a tent. It limits the bit rate, while maintaining some flexibility. The bit rate may bounce up and down within the set target but when it nears the set target value, the limitation kicks in. However, because MBR will always prioritize a continuous video stream, it allows temporary overshoots from the target bit rate. Because setting a target value prevents the bit rate from increasing, frame rate and image quality are affected negatively. To partly compensate for this, select which variable shall be prioritized, frame rate or image quality. Not setting a priority means that frame rate and image quality are equally affected.
The current bit rate can be set to appear as text overlay. Under Overlay Settings, select Include text and enter the modifier #b in the field.
To apply the settings, click Save.
Axis' Zipstream Technology
Zipstream is a bit rate-reduction technology optimized for video surveillance. Zipstream reduces the average bit rate in the H.264 stream by removing unnecessary data and makes it possible to allow higher resolutions, reduce storage cost or to keep recordings for a longer time. To reduce the bit rate, Zipstream reduces the number of bits in the areas of the image that are less interesting from a video surveillance perspective, for example the background. Image details that are important for forensic video analysis, for example faces and license plates, are preserved with enough number of bits.
These Zipstream strength options are available:
* Off. Zipstream disabled.
* Lowest Zipstream strength. Low bandwidth reduction. No visible quality degradation in most scenes
Video
* Medium Zipstream strength. Medium bandwidth reduction. Limited visual quality degradation in not prioritized areas in some scenes
* Highest Zipstream strength. High bandwidth reduction. Visible quality degradation in not prioritized areas in many scenes
Lowest Zipstream strength is the default setting for the product. This configuration is very safe to use in all applications while still reducing the bit rate.
For cloud-connected cameras or cameras using edge storage that need to limit the bit rate for increased storage time it is recommended to select the Highest Zipstream strength. This setting is very good to combine with motion detection triggering and variable bit rate (VBR) where the bit rate is allowed to adapt to changes in complexity in the scene.
Axis' Zipstream Technology for H.264 conforms to the H.264 standard and is compatible with third-party clients and VMS solutions that decode H.264 video.
The bit rate controller built into the product can be combined with Zipstream to enforce a maximum bit rate (MBR) limit. Axis Communications recommends using VBR or MBR with a rather high bit rate limit to enable the full potential of Axis' Zipstream Technology.
MJPEG
Sometimes the image size is large due to low light or complex scenery. Adjusting the maximum frame size helps to control the bandwidth and storage used by the Motion JPEG video stream in these situations. Setting the frame size to the Default setting provides consistently good image quality at the expense of increased bandwidth and storage usage in low light. Limiting the frame size optimizes bandwidth and storage usage, but may give poor image quality. To prevent increased bandwidth and storage usage, the maximum frame size should be set to an optimal value.
Stream Profiles
A stream profile is a set of predefined stream settings including resolution, compression, frame rate and overlay settings. Stream profiles can be used:
* When setting up recording using action rules. See Events on page 37.
* When setting up continuous recording. See Continuous Recording on page 43.
* In the Live View page – select the stream profile from the Stream profile drop-down list.
For quick setup, use one of the predefined stream profiles. Each predefined profile has a descriptive name, indicating its purpose. If required, the predefined stream profiles can be modified and new customized stream profiles can be created.
To create a new profile or modify an existing profile, go to Setup > Video > Stream Profiles.
To select a default stream profile for the Live View page, go to Setup > Live View Config.
ONVIF Media Profiles
An ONVIF media profile consists of a set of configurations that can be used to change media stream settings. ONVIF media profiles can be set through the ONVIF Media Profile Settings page and be used by a client to configure media stream properties.
The ONVIF Media Profiles page lists all such pre-configured profiles. These profiles cannot be removed. Pre-configured media profiles have been included in the product for quick setup. It is also possible to configure new ONVIF media profiles as per required specifications. To add a new ONVIF media profile, click Add and enter the required information. You can also modify or remove a profile from this page.
Camera Settings
The Video > Camera Settings page provides access to advanced image settings for the Axis product.
Video
Capture Mode
Capture mode defines the maximum resolution and maximum frame rate available in the Axis product. A capture mode with a large maximum resolution has a reduced maximum frame rate and vice versa. The capture mode setting also affects the camera's angle of view as the effective size of the image sensor differs between capture modes.
Important
Changing capture mode when the product has been configured is not recommended as most other settings will be either removed or reset.
To change capture mode, follow these steps:
1. Go to Setup > Video > Camera Settings.
2. Select the new capture mode.
3. Click Save.
Image Appearance
To change Image Appearance go to the menus under Setup > Video > Camera Settings.
Increasing the Color level increases the color saturation. The value 100 gives maximum color saturation and the value 0 gives minimum color saturation.
The image Brightness can be adjusted in the range 0–100, where a higher value produces a brighter image.
Increasing the Sharpness can increase bandwidth usage. A sharper image might increase image noise especially in low light conditions. A lower setting reduces image noise, but the whole image will appear less sharp.
The Contrast changes the relative difference between light and dark. It can be adjusted using the slidebar.
Local Contrast applies contrast to a specific area of the image. Use the slider to adjust the contrast, where a higher value produces an image with high contrast between the dark and light areas and is suitable for scenes with wide dynamic range.
White Balance
To change this setting go to Setup > Video > Camera Settings
White balance is used to make colors in the image appear the same regardless of the color temperature of the light source. The Axis product can be set to automatically identify the light source and compensate for its color. Alternatively, select the type of light source from the drop-down list. For a description of each available setting, see the online help .
The white balance window is enabled for the Automatic and Automatic outdoor options that appear in the White balance drop-down list. Select one of the options from the drop-down list to set the white balance window properties. Select Automatic to use the default settings for the Automatic and Automatic outdoor options (in the White balance drop-down list). Select Custom to manually set a reference window for white balance in the view area.
Wide Dynamic Range
Wide dynamic range (WDR - Forensic Capture) provides balanced images in scenes when there is a considerable contrast between light and dark areas in the image. The camera automatically handles the transition between such scenes and low-light conditions. In rare light conditions disabling WDR might give a better image.
Important
Use WDR in combination with automatic exposure control. Other exposure settings could give undesirable results.
Exposure Settings
Exposure is the amount of light the camera's sensor captures for a scene. Too much light results in a washed out image and too little light results in a dark image.
Video
Exposure value - Use the Exposure value slider to adjust the overall brightness of the image.
Exposure control - Select a suitable option to control exposure.
For most scenes the Automatic option will provide the best results. The shutter speed is automatically set to produce optimum image quality.
If the image flickers that can be caused by fluorescent lamps or other light sources. To reduce flicker in the image, select the Flicker option that matches the power line frequency.
The Hold current option locks the current exposure settings.
Max exposure time - Shutter speed, also called 'exposure time' stands for the length of time the camera shutter is open, thereby exposing the camera sensor to light. If shutter speed is fast it can freeze action effectively. If shutter speed is slow, it can cause moving objects to appear blurred. Decreasing the exposure time will reduce motion blur.
Exposure zones - This setting determines which part of the image is used to calculate the exposure. For most situations, the Auto setting can be used.
You can select a predefined area by defining Include and Exclude windows within the image. Exclude windows exclude areas that are too bright or dark, and Include windows include areas in the scene that have better lighting which will contribute to the exposure data. There must be at least one Include window. There can be a total of ten Include and Exclude windows to tailor the exposure zone. Note that an Exclude window is effective only when placed inside an include window.
Tip: If an area is extremely bright draw an Include window to cover the whole area and define Exclude windows within it to block out the bright areas.
Shutter & Gain
Normal Light - Use the slider to set the Priority between Low motion blur and Low noise. When prioritizing low noise (slider all the way to the left) the Axis product will automatically decrease shutter speed as brightness decreases. When the shutter speed reaches 1/30 s the Axis product will increase gain until the set maximum gain for normal light is reached. Select the Max gain value from the drop-down list. This defines the upper limit for gain in the context of normal light. Max fast shutter sets shutter speed limit in normal light conditions. Depending on a scenario, the shutter speed limit may need to be defined. This is done through System Options > Advanced > Plain Config.
Low Light - Use the slider to set the Priority between Low motion blur and Low noise. When prioritizing low motion blur (slider all the way to the right) the camera will automatically increase gain as brightness decreases. When the gain reaches the set maximum gain for low light, the camera will decrease shutter speed until the set maximum shutter for low light is reached. This is the default priority setting for low light.
Iris adjustment
Select Enable automatic iris adjustment to automatically compensate for changing light conditions. This option is not available if a fixed iris is used.
Use the Iris adjustment slider to set the preferred F-value. The scale represents the amount the iris is open. If set to 0, the iris is opened as much as possible. If set to 100, the iris is closed as much as possible. The actual F-value is shown below the slider. If automatic iris adjustment is enabled, the iris will stay at this position as long as light conditions are favorable. If light conditions change, the iris will adjust itself to the best iris settings. If automatic iris adjustment is disabled, the iris will lock on the set position regardless of light conditions
Day/Night
The IR cut filter prevents infrared (IR) light from reaching the image sensor. In poor lighting conditions, for example at night, or when using an external IR lamp, set the IR cut filter to Off. This increases light sensitivity and allows the product to "see" infrared light. The image is shown in black and white when the IR cut filter is off.
If using automatic Exposure control, set the IR cut filter to Auto to automatically switch between On and Off according to the lighting conditions.
The Day/Night shift level bar helps determine when the camera will shift from day mode to night mode. Normally, the camera automatically changes mode from day to night when very dark (level 100 in the slider). By setting Day/Night shift level to a lower value, the camera will change to night mode earlier.
Video
Built-in IR Illuminations LEDs
WARNING
Risk of eye injury. Do not look directly into the IR LED at short distance. Since the light provided from the IR LED is outside of the visible range, it is not possible to see if it is active. Use the camera to check if the IR illumination is active.
The IR illumination can be activated or de-activated, and its intensity can be increased or decreased by moving the slider, from the product's Live View page.
Other settings can be defined from Setup > Video > Camera Settings.
De-select the Enable IR illumination option to disable IR illumination altogether. If you disable the Synchronize IR illumination with day/night option, IR illumination will not be synchronized with day/night changes.
To configure IR illumination click Edit.
The IR Illumination window displays the approximate area the IR light will illuminate given the current settings. When Angle of illumination is set to Auto, the IR illumination is automatically adjusted according to the camera's zoom. When this 'Auto' behavior is disabled, it is possible to manually adjust the angle of the IR light by moving the Angle of illumination slider.
View Area
A view area is a cropped part of the full view. Each view area is treated as a video source in Live View and has its own video stream and PTZ settings.
When setting up a view area it is recommended that the video stream resolution is the same size as or smaller than the view area size. Setting the video stream resolution larger than the view area size implies digitally scaled up video after sensor capture, requiring more bandwidth without adding image information.
To enable, go to Video > Camera Settings and select Enable View Areas.
To add a new view area:
1. Go to Video > View Area.
2. Click Add.
3. The new view area appears under Selected view area. Enter a descriptive name in the Name field.
4. Select an Aspect ratio and a Video stream resolution.
5. A new view area covers the whole image. Use the mouse to move and resize the view area.
6. Select Enable PTZ to enable digital PTZ for the view area.
7. Click Save to save the settings.
To modify a view area, select the view area in the list and modify the settings as required. Click Save.
To remove a view area, select the view area and click Remove.
Note
The PTZ functionality is useful during installation of the Axis product. Use a view area to crop out a specific part of the full view.
About overlays
Overlays are superimposed over the video stream. They are used to provide extra information during recordings, such as a timestamp, or during product installation and configuration.
Video
About overlay text
An overlay text can display the current date and time, or a text string. When using a text string, so-called modifiers can be used to display information such as the current bit rate or the current frame rate.
It is also possible to display text when an action rule is triggered, see How to include overlay text in an action rule on page 22.
How to include overlay text
1. Go to Video > Video Stream and select the Image tab.
2. To include date and time, select Include date and Include time.
3. To include a text string, select Include text and enter the text in the field. Modifiers can be used, see File Naming & Date/Time Formats in the online help .
4. Select size, color, and placement of the text string.
5. Click Save.
To modify the date and time format, go to System Options > Date & Time. See Date & Time on page 47.
How to include overlay text in an action rule
Note
To display overlay text in multiple view areas, overlay text must be enabled in each view area.
1. Go to Video > Video Stream and select the Image tab.
2. Under Overlay Settings, select Include text.
3. Enter the modifier #D. When the rule is triggered, #D is replaced by the text specified in the action rule. Additional text in this field will be displayed also when the action rule is not active.
4. Go to Events > Action Rules and create your action rule.
5. From the Actions list, select Overlay Text.
6. Enter the text to display in the Text field.
7. Specify the Duration. The text can be displayed while the rule is active or for a fixed number of seconds.
About overlay images
An overlay image is a static image superimposed over the video stream. The image, for example a company logo, is first uploaded to the Axis product and then used to provide extra information or to mask a part of the image.
Image specifications:
* The uploaded image should be a Windows 24-bit BMP image with maximum 250 colors.
* The image width and height, in pixels, must be exactly divisible by four.
* The image cannot be larger than the maximum image resolution.
* If combining text and image overlays, take into consideration that the text overlay occupies 16 or 32 pixels in height (depending on the resolution) and has the same width as the video image.
Since it is static, the position and size of an overlay image will remain the same regardless of resolution and pan, tilt or zoom movements.
To always cover a selected part of the monitored area, use a privacy mask. See Privacy Mask on page 23.
Video
How to upload an overlay image
1. Go to Video > Overlay Image.
2. Click Browse and browse to the file.
3. Click Upload.
4. The Transparency Settings page is now displayed:
- To make a color in the overlay image transparent, select Use transparency and enter the RGB hexadecimal value for the color. Example: To make white transparent, enter FFFFFF.
For more examples of hexadecimal values, see the online help.
- To scale the image automatically, select Scale with resolution. The image will be scaled down to fit the resolution used by the Axis product.
5. Click Save.
How to include an overlay image
1. Go to Video > Overlay Image.
2. Select the image to use from the Use overlay image list and click Save.
3. Go to Video > Video Stream and select the Image tab.
4. Under Overlay Settings, select Include overlay image at the coordinates.
5. To control the image's position, enter the X (horizontal) and Y (vertical) coordinates. The X=0 and Y=0 position is the top left corner. If a part of the image is positioned outside the video image, the overlay image will be moved so that the whole image is visible.
6. Click Save.
Privacy Mask
A privacy mask is a user-defined area that prevent users from viewing parts of the monitored area. Privacy masks appear as blocks of solid color or blurred image elements and are applied on the video stream. Privacy masks cannot be bypassed using the VAPIX® application programming interface (API).
The Privacy Mask List (Video > Privacy Mask) shows all the masks that are currently configured in the Axis product and indicates if they are enabled.
You can add a new mask, re-size the mask with the mouse, choose a color for the mask, and give the mask a name.
For more information, see the online help
Important
Adding many privacy masks may affect the product's performance.
Configure the Live View Page
Configure the Live View Page
You can customize the Live View page and alter it to suit your requirements. It is possible to define the following features of the Live View page.
* Stream Profile. See page 18.
* Default Viewer for Browser. See page 24.
* Viewer Settings. See page 24.
* Action Buttons. These are the buttons described in Controls on the Live View Page on page 11 .
* User Defined Links. See page 25.
Default Viewer for Browsers
From Live View Config > Default Viewer select the default method for viewing video images in your browser. The product attempts to show the video images in the selected video format and viewer. If this is not possible, the product overrides the settings and selects the best available combination.
| Browser | Viewer | Description |
|---|---|---|
| Windows Internet Explorer | AMC | Recommended viewer in Internet Explorer (H.264/Motion JPEG). |
| | QuickTime | H.264. |
| | Still image | Displays still images only. Click the Refresh button in your browser to view a new image. |
| Other browsers | Server Push | Recommended viewer for other browsers (Motion JPEG). |
| | QuickTime | H.264. |
| | Still image | Displays still images only. Click the Refresh button in your browser to view a new image. |
For more information, please see the online help.
Viewer Settings
To configure options for the viewer, go to Live View Config > Viewer Settings.
* Select Show viewer toolbar to display the AXIS Media Control (AMC) or the QuickTime viewer toolbar under the video image in your browser.
* H.264 decoder installation. The administrator can disable installation of the H.264 decoder included with AXIS Media Control. This is used to prevent installation of unlicensed copies. Further decoder licenses can be purchased from your Axis reseller.
* Select Show crosshair in PTZ joystick mode to enable a cross that will indicate the center of the image in PTZ joystick mode.
* Select Use PTZ joystick mode as default to enable joystick mode. The mode can be changed temporarily from the PTZ control panel.
* Select Enable recording button to enable recording from the Live View page. This button is available when using the AMC viewer. The recordings are saved to the location specified in the AMC Control Panel. See AXIS Media Control (AMC) on page 13.
Configure the Live View Page
User Defined Links
To display user-defined links in the Live View page, select the Show custom link option, give the link a name and then enter the URL to link to. When defining a web link do not remove the 'http://' from the URL address. Custom links can be used to run scripts or activate external devices connected to the product, or they can link to a web page. Custom links defined as cgi links will run the script in the background, in a hidden frame. Defining the link as a web link will open the link in a new window.
PTZ (Pan Tilt Zoom)
PTZ (Pan Tilt Zoom)
The PTZ menu is available if digital PTZ (pan, tilt and zoom) is enabled in the selected view area. For more information on view areas, see View Area on page 21.
Preset Positions
A preset position is a saved view that can be used to quickly steer the camera to a specific position. A preset position consists of the following values:
* Pan and tilt positions
* Zoom position
Each view area has its own preset positions.
Access the Preset Positions
Preset positions can be accessed in several ways:
* By selecting the preset from the Source drop-down list in the Live View Page.
* When setting up action rules. See page 37.
* When setting up guard tours. See page 26.
Add a Preset Position
1. Go to PTZ > Preset Positions.
2. Click in the image or use the controls to steer the camera view to the desired position, see Preset Positions.
3. Enter a descriptive name in the Current position field.
4. Click Add to save the preset position.
To include the preset position name in the overlay text, go to Video, select Include overlay text and enter the modifier #P in the field. For more information about modifiers, see File Naming & Date/Time Formats in the online help .
Set the Home Position
The entire view area is treated as the Home position which is readily accessible by clicking the Home button on the Live View page and in the Preset Positions setup window.
The product can be configured to return to the Home position when the PTZ functionality has been inactive for a specified length of time. Enter the length of time in the Return to home after field and click Save. Set the time to zero to prevent the product from automatically returning to the Home position.
Guard Tour
A guard tour displays the video stream from different preset positions, one-by-one, in a predetermined order or at random and for configurable time periods. The enabled guard tour will keep running after the user has logged off or closed the browser.
To add a guard tour:
1. Go to PTZ > Guard Tour and click Add.
2. Enter a descriptive name.
PTZ (Pan Tilt Zoom)
3. Specify the pause length between runs.
4. Select an available preset position and click Apply.
5. Specify the View Time in seconds or minutes.
6. Specify the View Order or select the Random view order option.
7. Click Save.
To modify or remove guard tours, go to PTZ > Guard Tour, select the guard tour in the Guard Tour List and click Modify/Remove.
Note
For products that support Limited Guard Tour, the product has a fixed minimum view time
For more information see the online help.
Advanced
Controls
Advanced PTZ settings can be configured under PTZ > Advanced > Controls.
The Panel Shortcut Command Buttons list shows the user-defined buttons that can be accessed from the Live View page's Ctrl panel. These buttons can be used to provide direct access to commands issued using the VAPIX® application programming interface. Click Add to add a new shortcut command button.
The following PTZ controls are enabled by default:
* Pan control
* Tilt control
* Zoom control
To disable specific controls, deselect the options under Enable/Disable controls.
If using multiple view areas, deselecting a control will only disable the control in the selected view area.
Note
Disabling PTZ controls will not affect preset positions. For example, if the tilt control is disabled, the product can still move to preset positions that require a tilt movement.
Control Queue
Note
* The administrator can enable and disable PTZ controls for selected users.
* To identify different users in the viewer group, cookies must be enabled on the client.
* The Control queue polltime is measured in seconds. For more information see the online help.
The administrator can set up a queue for PTZ controllers from PTZ > Control Queue. Once set up, the PTZ Control Queue buttons appear in the Live View page offering one viewer exclusive control for a limited period of time. Other users will be placed in queue.
) with a higher PTZ priority can go before other users in the queue and take
A user who belongs to a group (see Users on page 45 control of the product. The order of priority is as follows:
1. Administrator — An administrator takes over PTZ control regardless of who is first in queue. The administrator will be removed from the queue 60 seconds after the last PTZ control command.
PTZ (Pan Tilt Zoom)
2. Event — The Axis product can be configured to go to a preset position when triggered by an alarm (see Events on page 37). The event will immediately be placed first in the queue except when an administrator is in control.
3. Operator — Same as administrator but with lower priority
4. Guard Tour — A guard tour (see page 26) has PTZ control for an indefinite period of time. It may be overridden by an operator, event or administrator. The guard tour will resume when higher priority groups leave the queue.
5. Viewer — Multiple viewers must wait for their turn. The viewer has 60 seconds PTZ control before control is passed on to the next viewer in queue.
Detectors
Detectors
Camera Tampering
Camera Tampering can generate an alarm whenever the camera is repositioned, or when the lens is covered, spray-painted or severely defocused. To send an alarm, for example an email, an action rule must be set up.
To configure tampering detection:
1. Go to Detectors > Camera Tampering.
2. Set the Minimum duration, that is, the time that must elapse before an alarm is generated. Increase time to prevent false alarms for known conditions that affect the image.
3. Select Alarm for dark images if an alarm should be generated if lights are dimmed or turned off, or if the lens is sprayed, covered, or rendered severely out of focus.
4. Click Save.
To configure the product to send an alarm when tampering occurs:
1. Go to Events > Action Rules.
2. Click Add to set up a new action rule.
3. Enter a Name for the action rule.
4. Under Condition, select Detectors from the Trigger list.
5. Select Tampering from the list of detectors.
6. Optionally, select a schedule and set additional conditions.
7. Select the action. To send an email, select Send Notification and select a Recipient from the list of defined recipients.
Note
The While the rule is active option under Duration cannot be used with camera tampering, since camera tampering does not have a duration and once it has been triggered it will not automatically return to its untriggered state.
For more information on actions rules, see Events on page 37.
AXIS Video Motion Detection
AXIS Video Motion Detection
AXIS Video Motion Detection is an application that detects moving objects in the camera's field of view. When a moving object is detected, AXIS Video Motion Detection sends an alarm that can be used by the Axis product or by third-party software, to, for example, record video or send a notification.
AXIS Video Motion Detection 3 is included with the Axis product and is available under Setup > Applications. To use AXIS Video Motion Detection, the application must first be started. To avoid detecting unwanted objects, the application should be configured. During configuration, visual confirmation can be used to help understand the effect of the different filters. When visual confirmation is enabled, red polygons show which objects the application detects and green polygons show which objects the application ignores.
Considerations
Before using AXIS Video Motion Detection 3, take the following into consideration:
* Small and distant objects might not be detected.
* Detection accuracy may be affected by weather conditions such as heavy rain or snow.
* Make sure that the lighting conditions are within the Axis product's specification. Add additional lighting if needed.
* Make sure that the camera is not subject to excessive vibrations. Vibrations might cause false detections.
Start and Stop the Application
To start the application, select it in the Installed Applications list on the Applications page and click Start.
To stop the application, select it in the list and click Stop.
Configure Application
The application is available from Setup > Applications > Motion Detection 3. Go to Settings and then click AXIS AXIS AXIS Video Video Video Motion Motion Detection Detection settings settings to open the application's webpage.
To configure AXIS Video Motion Detection 3, follow these steps:
1. Modify the size and position of the include area. This is the area in which moving objects will be detected. See Include Area on page 30.
2. Optionally, add one or more exclude areas. Objects in an exclude area will be ignored. See Exclude Area on page 31.
3. Click Save to apply the changes.
4. Use visual confirmation to verify the settings. See Visual Confirmation on page 31.
5. If too many unwanted objects are detected, enable and configure one or more of the ignore filters. See Ignore Filters on page 32.
After modifying a setting, click Save to apply the changes. The video stream will be restarted and it may take a few seconds before the change is applied.
Include Area
The include area is the area in which moving objects will be detected. Objects moving outside the include area will be ignored. The object will be detected also if only a part of the object is inside the include area.
Note
To modify the include area, Internet Explorer and AXIS Media Control (AMC) must be used.
AXIS Video Motion Detection
The default include area is a square that covers the whole image. Click on the icon to highlight the area.
Use the mouse to reshape and resize the area so that it only covers the part of the image in which moving objects should be detected. The default square can be changed to a polygon with up to 20 points (corners).
* To add a new point, click on the include area border. Drag the point to the desired position.
* To remove a point, right-click on the point.
* To move a point, drag the point to the new position.
* To move the entire include area, place the mouse pointer inside the area. When the pointer becomes a cross, drag the area to the new position.
* To select the include area, click on the border.
To reset the include area to its default size, click Reset.
Exclude Area
An exclude area is an area in which moving objects will be ignored. Use exclude areas if there are areas inside the include area that trigger a lot of unwanted detected objects. Up to 10 exclude areas can be used.
Note
To add and modify exclude areas, Internet Explorer and AXIS Media Control (AMC) must be used.
To add an exclude area, click Add. The default exclude area is a rectangle placed in the center of the image. Use the mouse to move, reshape and resize the area so that it covers the desired part of the image. The default square can be changed to a polygon with up to 20 points (corners).
* To move the exclude area, place the mouse pointer inside the area. When the pointer becomes a cross, drag the area to the new position.
* To add a new point, click on the exclude area border. Drag the point to the desired position.
* To remove a point, right-click on the point.
* To move a point, drag the point to the new position.
* To select an exclude area, click on the border.
To remove an exclude area, select the area and then click Remove.
To highlight the exclude areas, click on the icon.
Visual Confirmation
Visual confirmation is used to validate that the settings are correct, that is, that all objects that should be detected are detected.
Note
To use visual confirmation, Internet Explorer and AXIS Media Control (AMC) must be used.
When visual confirmation is enabled, all moving objects found by the application will be encircled and followed by polygons. A red polygon indicates that the object is found and is detected as a moving object. A green polygon indicates that the object is found but is ignored because it is not in the include area or because of one of the ignore filters.
To enable visual confirmation:
1. Select the Enable visual confirmation option.
2. Click Save.
AXIS Video Motion Detection
Note
* Visual confirmation is disabled after 15 minutes.
* After modifying a setting, click Save to apply the change. The video stream will be restarted and it may take a few seconds before the change is applied.
* Enabling visual confirmation may introduce video latency.
Ignore Filters
If AXIS Video Motion Detection 3 detects too many unwanted objects, start by modifying the include and exclude areas. If still too many objects are detected, use one or more of the ignore filters.
Supported ignore filters:
* Swaying objects — Used to ignore objects that only move a short distance
* Short-lived objects — Used to ignore objects that only appear in the image for a short period of time
* Small objects — Used to ignore small objects
Ignore filters are applied to all moving objects found by the application and should be configured with care to ensure that no important objects are ignored.
Only use ignore filters if needed and use as few filters as possible. Enable and configure one filter at a time and use visual confirmation to verify the settings before enabling another filter. When configuring a filter, start with a small filter size, click Save and use visual confirmation to verify the settings. If required, increase the filter size in small steps until the number of unwanted objects is reduced.
Swaying Object Ignore Filter
The swaying object filter is used to avoid detecting objects that only move a short distance, for example moving trees, flags and their shadows. Use the filter if such objects cause a lot of false detections. If the swaying objects in the scene are large, for example large ponds or large trees, use exclude areas instead of the filter. The filter will be applied to all moving objects in scene and, if set to a value too large, important objects might not be detected.
When the swaying object filter is enabled and the application finds a moving object, the object will not be reported as detected (red polygon in visual confirmation) until it has travelled a distance larger than the set filter size. The alarm sent by the application will be sent when the object is detected. If the alarm is used to start a recording, configure the pre-trigger time so that the recording also includes the time the object moved in the scene before being detected.
To enable the filter:
1. Select the Swaying objects option.
2. Click on the icon to show the filter size in the image.
3. Use the mouse to adjust the filter size. Start with a small size. Objects moving a distance shorter than the distance from the center of the cross to one of the arrowheads will be ignored. The filter can be moved to the location of a swaying object to make it easier to adjust the size. Note that the filter will be applied to all objects in the image, not only to the ones at the location where the filter is placed.
4. Click Save to apply the filter.
5. Use visual confirmation to verify the settings.
6. If the result is not satisfactory, increase the filter size in small steps.
The filter size can also be set by entering a value between 10 and 50 in the field. The value corresponds to the distance from the center of the cross to one of the arrowheads. The value 100 implies that an object must travel from its initial point to one third of the image width or height before being detected. The value 50 implies half that distance, that is, the object must travel a distance of one sixth of the image width or height before being detected.
AXIS Video Motion Detection
Short-Lived Object Ignore Filter
The short-lived object filter is used to avoid detecting objects that only appear for a short period of time, such as light beams from a passing car and quickly moving shadows. Use the filter if such objects cause a lot of false detections.
When the short-lived object filter is enabled and the application finds a moving object, the object will not be reported as detected (red polygon in visual confirmation) until the set time as passed. The alarm sent by the application will be sent when the object is detected. If the alarm is used to start a recording, configure the pre-trigger time so that the recording also includes the time the object moved in the scene before being detected.
To enable the filter:
1. Select the Short-lived objects option.
2. Enter the number of seconds in the field. The number of seconds is the minimum time that must pass before the object is detected. Start with a small number.
3. Click Save to apply the filter.
4. Use visual confirmation to verify the settings.
5. If the result is not satisfactory, increase the filter size in small steps.
Small Object Ignore Filter
The small object filter is used to avoid detecting objects that are too small. For example, if only moving cars should be detected, the small object filter can be used to avoid detecting people and animals.
If using the small object filter, take into consideration that an object far from the camera appears smaller than an object close to the camera. If the filter is set to ignore objects the size of a person, people that are close to be camera can still be detected because they are larger than the filter size.
To enable the filter:
1. Select the Small objects option.
2. Click on the icon to show the filter size in the image.
3. Use the mouse to adjust the filter size. Start with a small size. Moving objects that fit inside the rectangle will be ignored. The filter displayed in the image can be moved to make it easier to compare the filter size with the size of objects in the image. Note that the filter will be applied to all objects in the image, also to objects that are not located at the position of the displayed filter.
4. Click Save to apply the filter.
5. Use visual confirmation to verify the settings.
6. If the result is not satisfactory, increase the filter size in small steps.
The filter size can also be set by entering the width and height in the fields. The width and height are the maximum width and maximum height of the objects to ignore and are measured in percent of the image width and height. Values between 5 and 100 can be used.
Using the Application in an Action Rule
The following example shows how to configure the Axis product to record video when AXIS Video Motion Detection 3 detects motion.
1. Insert an SD card in the Axis product, or go to Setup > System Options > Storage in the Axis product's webpages and configure the product to use a network share.
2. Optionally, go to Setup > Video > Stream Profiles and create a stream profile to use for recording.
3. Go to Setup > Events > Action Rules and click Add to create a new action rule.
AXIS Video Motion Detection
4. From the Trigger drop-down list, select Applications and then select VMD 3.
5. Configure other settings as required. For example, to only record video during certain time periods, select a Schedule.
6. Under Actions, select Record Video from the Type drop-down list.
7. Select the stream profile and storage device to use and configure the pre- and post-trigger times.
8. Make sure that the rule is enabled and then click OK.
To appear in the Trigger list, the application must be started and its status must be Idle or Running.
Note
Applications
Applications
AXIS Camera Application Platform (ACAP) is an open platform that enables third parties to develop analytics and other applications for Axis products. For information about available applications, downloads, trials and licenses, go to www.axis.com/applications
Note
* The application AXIS Video Motion Detection is included with this product. See AXIS Video Motion Detection.
* Several applications can run at the same time but some applications might not be compatible with each other. Certain combinations of applications might require too much processing power or memory resources when run in parallel. Verify that the applications work together before deployment.
Application Licenses
Some applications need a license to run. Licenses can be installed in two ways:
* Automatic installation — requires access to the Internet
* Manual installation — obtain the license key from the application vendor and upload the key to the Axis product
To request a license, the Axis product serial number (S/N) is required. The serial number can be found on the product label and under System Options > Support > System Overview.
Upload Application
To upload and start an application:
1. Go to Setup > Applications.
2. Under Upload Application, click Browse. Locate the application file and click Upload Package.
3. Install the license (if applicable). For instructions, see the documentation provided by the application vendor.
4. Start the application. Go to page Applications, select the application in the list of installed applications and click Start.
5. Configure the application. For instructions, see the documentation provided by the application vendor.
* Applications can be uploaded by product administrators.
* Applications and licenses can be installed on multiple products at the same time using AXIS Camera Management, version 3.10 and later.
To generate a log file for the application, go to Applications. Select the application and click Log.
Application Considerations
If an application is upgraded, application settings, including the license, will be removed. The license must be reinstalled and the application reconfigured.
If the Axis product's firmware is upgraded, uploaded applications and their settings will remain unchanged, although this is not guaranteed by Axis Communications. Note that the application must be supported by the new firmware. For information about firmware upgrades, see Upgrade the Firmware.
If the Axis product is restarted, running applications will restart automatically.
If the Axis product is restored, uploaded applications remain unchanged but must be restarted. To start the application, go to Setup > Applications. Select the application in the list of installed applications and click Start. For information about restoring the Axis product, see Maintenance.
Note
Applications
If the Axis product is reset to factory default, uploaded applications and their settings are removed. For information about factory default, see Reset to Factory Default Settings.
Events
Events
The Event pages allow you to configure the Axis product to perform actions when different events occur. For example, the product can start a recording or send an email notification when motion is detected. The set of conditions that defines how and when the action is triggered is called an action rule.
Convert Event Types to Action Rules
If the Axis product is upgraded to firmware version 5.40 or later, it is recommended to convert Event Types to Action Rules. The legacy user Event Types in the camera will continue to work but will not be visible in the user interface of the camera. The Event Types need to be converted to Action rules to become visible in the user interface.
To convert Event Types to Action Rules go to Events > Action Rules and click Convert.
NO NO NOTICE TICE TICE
This is not recommended when using a VMS based on the old Event Management System.
Set Up Action Rules
An action rule defines the conditions that must be met for the product to perform an action, for example record video or send an email notification. If multiple conditions are defined, all of them must be met to trigger the action.
For more information about available triggers and actions, see Triggers on page 38 and Actions on page 39.
The following example describes how to set up an action rule to record video to a network share if there is movement in the camera's field of view.
Set up motion detection and add a network share:
1. Go to Applications to start and configure AXIS Video Motion Detection 3. See AXIS Video Motion Detection.
2. Go to System Options > Storage and set up the network share. See page 55.
Set up the action rule:
1. Go to Events > Action Rules and click Add.
2. Select Enable rule and enter a descriptive name for the rule.
3. Select Applications from the Trigger drop-down list and then select VMD3
4. Optionally, select a Schedule and Additional conditions. See below.
5. Under Actions, select Record Video from the Type drop-down list.
6. Select a Stream profile and configure the Duration settings as described below.
7. Select Network Share from the Storage drop-down list.
To use more than one trigger for the action rule, select Additional conditions and click Add to add additional triggers. When using additional conditions, all conditions must be met to trigger the action.
To prevent an action from being triggered repeatedly, a Wait at least time can be set. Enter the time in hours, minutes and seconds, during which the trigger should be ignored before the action rule can be activated again.
The recording Duration of some actions can be set to include time immediately before and after the event. Select Pre-trigger time and/or Post-trigger time and enter the number of seconds. When While the rule is active is enabled and the action is triggered again during the post-trigger time, the recording time will be extended with another post-trigger time period.
For more information, see the online help.
Events
Triggers
Available action rule triggers and conditions include:
* Applications – Use installed applications to trigger the rule. See Applications on page 35.
- VMD3 – Trigger the rule when AXIS Video Motion Detection detects a moving object. See AXIS Video Motion Detection.
* Detectors
- Day/Night Mode – Trigger the rule when the product switches between day mode (IR cut filter on) and night mode (IR cut filter off). This can for example be used to control an external infrared (IR) light connected to an output port.
- Live Stream Accessed – Trigger the rule when any stream is accessed and during edge storage playback. This can for example be used to send notifications.
- Tampering – Trigger the rule when tampering is detected. See Camera Tampering on page 29.
* Hardware
- Network – Trigger the rule if network connection is lost or restored. This can for example be used to start recording to the SD card.
- Temperature – Trigger the rule if the temperature falls outside or inside the operating range of the product. This can for example be used to send maintenance notifications.
* Input Signal
- Manual Trigger – Trigger the rule using the Manual Trigger button in the Live View page. See Controls on the Live View Page on page 11 . This can for example be used to validate actions during product installation and configuration.
- Virtual Inputs – can be used by a VMS (Video Management System) to trigger actions. Virtual inputs can, for example, be connected to buttons in the VMS user interface.
- Moving – Trigger the rule when the camera view moves due to a PTZ operation. This can for example be used as an additional condition to prevent an action rule triggered by motion detection to record video while the camera view moves due to a PTZ operation.
- Preset Reached – Trigger the rule when the camera stops at a preset position. This can be for example be used with the Send Images action to upload images from the preset position.
* Storage
- Disruption – Trigger the rule if storage problems are detected, for example if the storage device is unavailable, removed, full, locked or if other read or write problems occur. This can for example be used to send maintenance notifications.
- Recording – Triggers the rule when the Axis product records to the storage device. The recording status trigger can be used to notify the operator, for example by flashing LED lights, if the product has started or stopped to record to the storage device. Note that, this trigger can be used only for edge storage recording status.
* System
- System Ready – Trigger the rule when the product has been started and all services are running. This can for example be used to send a notification when the product restarts.
* Time
* PTZ
- Recurrence – Trigger the rule periodically. See Set Up Recurrences on page 41. This can for example be used to upload an image every 5 minutes.
Events
- Use Schedule – Trigger the rule according to the selected schedule. See Create Schedules on page 41.
Actions
Available actions include:
* IR Illumination – Activate or deactivate IR light.
* Day/Night Vision Mode – Set day mode (IR cut filter on) or night mode (IR cut filter off).
* Overlay Text – Display an overlay text. See How to include overlay text in an action rule on page 22.
* PTZ Control
- Preset Position – Go to a preset position.
- Guard Tour – Start a guard tour. See Guard Tour on page 26.
* Record Video – Record video to a selected storage.
* Send Images – Send images to a recipient.
* Send Notification – Send a notification message to a recipient.
* Send SNMP Trap – Send an SNMP trap message to the operator. Make sure that SNMP is enabled and configured under System Options > Network > SNMP.
* Send Video Clip – Send a video clip to a recipient.
* WDR Mode – The WDR Mode can be turned on or off when the action rule is triggered.
Add Recipients
The product can send media files and messages to notify users about events. Before the product can send media files or notification messages, you must define one ore more recipients. For information about available options, see Recipient Types on page 39.
To add a recipient:
1. Go to Events > Recipients and click Add.
2. Enter a descriptive name.
3. Select a recipient Type.
4. Enter the information needed for the recipient type.
5. Click Test to test the connection to the recipient.
6. Click OK.
Recipient Types
The following recipients are available:
Events
i
| FTP | Send Images Send Video Clip | |
|---|---|---|
| SFTP | Send Images Send Video Clip | Encrypted flie transfer using SSH File Transport Protocol (SFTP). SFTP is a more secure method than FTP but flie transfer might be slower, especially for large flies such as high resolution video. Specify login information for the SFTP server and the server’s public key MD5 fnigerprint (32 hexadecimal digits). The SFTP recipient supports SFTP servers using SSH-2 with RSA and DSA host key types. RSA is the preferred method. To use DSA, disable the RSA key on the SFTP server. |
| HTTP | Send Images Send Notifciation Send Video Clip | |
| HTTPS | Send Images Send Notifciation Send Video Clip | Encrypted file transfer using HyperText Transfer Protocol Secure (HTTPS). Specify login information for the HTTPS server and validate the server’s certifciate. If there is a proxy between the Axis product and the HTTPS server, also specify the proxy settings. |
| Network Share | Send Images Send Video Clip | A network share can also be used as a storage device for recorded video. Go System Options > Storage to configure a network share before setting up a continuous recording or an action rule to record video. For more information about storage devices, see Storage on page 53. |
| TCP | Send Notifciation | |
Set Up Email Recipients
Email recipients can be configured by selecting one of the listed email providers, or by specifying the SMTP server, port and authentication used by, for example, a corporate email server.
Note
Some email providers have security filters that prevent users from receiving or viewing large amount of attachments, from receiving scheduled emails and similar. Check the email provider's security policy to avoid delivery problems and locked email accounts.
To set up an email recipient using one of the listed providers:
1. Go to Events > Recipients and click Add.
2. Enter a Name and select Email from the Type list.
3. Enter the email addresses to send emails to in the To field. Use commas to separate multiple addresses.
4. Select the email provider from the Provider list.
5. Enter the user ID and password for the email account.
6. Click Test to send a test email.
To set up an email recipient using for example a corporate email server, follow the instructions above but select User defined as Provider. Enter the email address to appear as sender in the From field. Select Advanced settings and specify the SMTP server address, port and authentication method. Optionally, select Use encryption to send emails over an encrypted connection. The server
Events
certificate can be validated using the certificates available in the Axis product. For information on how to upload certificates, see Certificates on page 47.
Create Schedules
Schedules can be used as action rule triggers or as additional conditions, for example to record video if motion is detected outside office hours. Use one of the predefined schedules or create a new schedule as described below.
To create a new schedule:
1. Go to Events > Schedules and click Add.
2. Enter a descriptive name and the information needed for a daily, weekly, monthly or yearly schedule.
3. Click OK.
To use the schedule in an action rule, select the schedule from the Schedule drop-down list in the Action Rule Setup page.
Set Up Recurrences
Recurrences are used to trigger action rules repeatedly, for example every 5 minutes or every hour.
To set up a recurrence:
1. Go to Events > Recurrences and click Add.
2. Enter a descriptive name and recurrence pattern.
3. Click OK.
To use the recurrence in an action rule, first select Time from the Trigger drop-down list in the Action Rule Setup page and then select the recurrence from the second drop-down list.
To modify or remove recurrences, select the recurrence in the Recurrences List and click Modify or Remove.
Recordings
Recordings
The Axis product can be configured to record video continuously or according to an action rule:
* To start a continuous recording, see page 43.
* To set up action rules, see page 37.
* To access recordings, see Find Recordings on page 42.
* To play recordings, see Play Recording on page 42.
* To export a recording as a video clip, see Export Video Clip on page 43.
* To configure camera controlled storage, see Storage on page 53.
Find Recordings
Recordings stored on the SD card or network share can be accessed from the Recordings > List page. The page lists all recordings on the storage device and shows each recording's start date and time, duration and the event that triggered the recording.
Note
The recording's start date and time is set according to the Axis product's date and time settings. If the Axis product is configured to use a time zone different from the local time zone, make sure to configure the Recording time filters according to the product's time zone. Date and time settings are configured under System Options > Date & Time, see Date & Time on page 47.
To find a recording, follow these steps:
1. Go to Recordings > List.
2. To reduce the number of recordings displayed, select the desired options under Filter:
Recording time – List recordings that started between the From and To times.
Event – List recordings that were triggered by a specific event. Select continuous to list continuous recordings.
Storage– List recordings from a specific storage device.
Sort– Specify how recordings should be sorted in the list.
Results – Specify the maximum number of recordings to display.
3. To apply the filters, click the Filter button. Some filters may take a long time to complete.
4. The recordings are displayed in the Recording list.
To play a recording, select the recording and click Play. See also Play Recording on page 42.
To view detailed information about a recording, select the recording and click Properties.
To export a recording or a part of a recording as a video clip, select the recording and click Export. See also Export Video Clip on page 43.
To remove a recording from the storage device, select the recording and click Remove.
Play Recording
Recordings on the SD card or network share can be played directly from the Axis product's webpages.
Recordings
To play a recording, follow these steps:
1. Go to Recordings > List.
2. To reduce the number of recordings displayed, select the desired options under Filter and click the Filter button to apply the filters. See also Find Recordings on page 42.
3. Select the recording and click Play. The recording will be played in a new browser window.
Export Video Clip
Recordings on the SD card or network share can be exported as video clips. It is possible to export a complete recording or a part of a recording.
Note
The exported recording is a Matroska video file (.mkv). To play the recording in Windows Media Player, AXIS Matroska File Splitter must be installed. AXIS Matroska File Splitter can be downloaded from www.axis.com/techsup/software
To export a video clip, follow these steps:
1. Go to Recordings > List.
2. To reduce the number of recordings displayed, select the desired options under Filter and click the Filter button to apply the filters. See also Find Recordings on page 42.
3. Select the recording and click Export. The Export Recording dialog opens.
4. By default, the complete recording is selected. To export a part of the recording, modify the start and stop times.
5. Optionally, enter a file name for the recording.
6. Click Export.
Note
Recordings can also be exported from the playback window.
Continuous Recording
The Axis product can be configured to continuously save video to a storage device. For information about storage devices, see Storage on page 53. To prevent the disk from becoming full, it is recommended to configure the disk to automatically remove old recordings.
If a new stream profile is selected while a recording is ongoing, the recording will be stopped and saved in the recording list and a new recording with the new stream profile will start. All previous continuous recordings will remain in the recording list until they are removed manually or through automatic removal of old recordings.
To start a continuous recording, follow these steps:
1. Go to Recordings > Continuous.
2. Select Enabled.
3. Select the type of storage device from the Storage list.
4. Select a Stream profile to use for continuous recordings.
5. Click Save to save and start the recording.
Languages
Languages
Multiple languages can be installed in the Axis product. All web pages including the online help will be displayed in the selected language. To switch languages, go to Setup > Languages and first upload the new language file. Browse and locate the file and click the Upload Language button. Select the new language from the list and click Save.
Note
* Resetting the product to factory default settings will erase any uploaded language files and reset the product language to English.
* Clicking the Restore button on the Maintenance page will not affect the language.
* A firmware upgrade will not affect the language used. However if you have uploaded a new language to the product and later upgrade the firmware, it may happen that the translation no longer matches the product's web pages. In this case, upload an updated language file.
* A language already installed in the product will be replaced when a current or a later version of the language file is uploaded.
System Options
System Options
Security
Users
User access control is enabled by default and can be configured under System Options > Security > Users. An administrator can set up other users by giving them user names and passwords. It is also possible to allow anonymous viewer login, which means that anybody may access the Live View page.
The user list displays authorized users and user groups (access levels):
* Viewers have access to the Live View page
* Operators have access to all settings except:
- creating and modifying PTZ presets
- creating and modifying PTZ control settings
- creating and modifying privacy mask settings
- uploading applications and language files
- any of the settings included in the System Options
* Administrators have unrestricted access to all settings. The administrator can add, modify and remove other users.
Note
Note that when the option Encrypted & unencrypted is selected, the webserver will encrypt the password. This is the default option for a new unit or a unit reset to factory default settings.
Under HTTP/RTSP Password Settings, select the type of password to allow. You may need to allow unencrypted passwords if there are viewing clients that do not support encryption, or if you upgraded the firmware and existing clients support encryption but need to log in again and be configured to use this functionality.
Under User Settings, select the Enable anonymous viewer login option to allow anonymous users access to the Live View page.
Select the Enable anonymous PTZ control login to allow anonymous users access to the PTZ controls.
Deselect the Enable Basic Setup option to hide the Basic Setup menu. Basic Setup provides quick access to settings that should be made before using the Axis product.
ONVIF
ONVIF (Open Network Video Interface Forum) is a global interface standard that makes it easier for end users, integrators, consultants, and manufacturers to take advantage of the possibilities offered by network video technology. ONVIF enables interoperability between different vendor products, increased flexibility, reduced cost and future-proof systems.
By creating a user you automatically enable ONVIF communication. Use the user name and password with all ONVIF communication with the product. For more information see www.onvif.org
IP Address Filter
IP address filtering is enabled on the System Options > Security > IP Address Filter page. Once enabled, the listed IP address are allowed or denied access to the Axis product. Select Allow or Deny from the list and click Apply to enable IP address filtering.
The administrator can add up to 256 IP address entries to the list (a single entry can contain multiple IP addresses).
System Options
HTTPS
HTTPS (HyperText Transfer Protocol over Secure Socket Layer, or HTTP over SSL) is a web protocol providing encrypted browsing. HTTPS can also be used by users and clients to verify that the correct device is being accessed. The security level provided by HTTPS is considered adequate for most commercial exchanges.
The Axis product can be configured to require HTTPS when users from different user groups (administrator, operator, viewer) log in.
To use HTTPS, an HTTPS certificate must first be installed. Go to System Options > Security > Certificates to install and manage certificates. See Certificates on page 47.
To enable HTTPS on the Axis product:
1. Go to System Options > Security > HTTPS
2. Select an HTTPS certificate from the list of installed certificates.
3. Optionally, click Ciphers and select the encryption algorithms to use for SSL.
4. Set the HTTPS Connection Policy for the different user groups.
5. Click Save to enable the settings.
To access the Axis product via the desired protocol, in the address field in a browser, enter https:// for the HTTPS protocol and http:// for the HTTP protocol.
The HTTPS port can be changed on the System Options > Network > TCP/IP > Advanced page.
IEEE 802.1X
IEEE 802.1X is a standard for port-based Network Admission Control providing secure authentication of wired and wireless network devices. IEEE 802.1X is based on EAP (Extensible Authentication Protocol).
To access a network protected by IEEE 802.1X, devices must be authenticated. The authentication is performed by an authentication server, typically a RADIUS server, examples of which are FreeRADIUS and Microsoft Internet Authentication Service.
In Axis implementation, the Axis product and the authentication server identify themselves with digital certificates using EAP-TLS (Extensible Authentication Protocol - Transport Layer Security). The certificates are provided by a Certification Authority (CA). You need:
* a CA certificate to authenticate the authentication server.
* a CA-signed client certificate to authenticate the Axis product.
To create and install certificates, go to System Options > Security > Certificates. See Certificates on page 47. Many CA certificates are preinstalled.
To allow the product to access a network protected by IEEE 802.1X:
1. Go to System Options > Security > IEEE 802.1X.
2. Select a CA Certificate and a Client Certificate from the lists of installed certificates.
3. Under Settings, select the EAPOL version and provide the EAP identity associated with the client certificate.
4. Check the box to enable IEEE 802.1X and click Save.
For authentication to work properly, the date and time settings in the Axis product should be synchronized with an NTP server. See Date & Time on page 47.
Note
System Options
Certificates
Certificates are used to authenticate devices on a network. Typical applications include encrypted web browsing (HTTPS), network protection via IEEE 802.1X and secure upload of images and notification messages for example via email. Two types of certificates can be used with the Axis product:
Server/Client certificates - To authenticate the Axis product.
CA certificates - To authenticate peer certificates, for example the certificate of an authentication server in case the Axis product is connected to an IEEE 802.1X protected network.
Note
Installed certificates, except preinstalled CA certificates, will be deleted if the product is reset to factory default. Preinstalled CA certificates that have been deleted will be reinstalled.
A Server/Client certificate can be self-signed or issued by a Certificate Authority (CA). A self-signed certificate offers limited protection and can be used before a CA-issued certificate has been obtained.
To install a self-signed certificate:
1. Go to Setup > System Options > Security > Certificates.
2. Click Create self-signed certificate and provide the requested information.
To create and install a CA-signed certificate:
1. Create a self-signed certificate as described above.
2. Go to Setup > System Options > Security > Certificates.
3. Click Create certificate signing request and provide the requested information.
4. Copy the PEM-formatted request and send to the CA of your choice.
5. When the signed certificate is returned, click Install certificate and upload the certificate.
Server/Client certificates can be installed as Certificate from signing request or as Certificate and private key. Select Certificate and private key if the private key is to be upload as a separate file or if the certificate is in PKCS#12 format.
The Axis product is shipped with several preinstalled CA certificates. If required, additional CA certificates can be installed:
1. Go to Setup > System Options > Security > Certificates.
2. Click Install certificate and upload the certificate.
Date & Time
The Axis product's date and time settings are configured under System Options > Date & Time.
Current Server Time displays the current date and time (24h clock). The time can be displayed in 12h clock in the text overlay (see below).
To change the date and time settings, select the preferred Time mode under New Server Time:
* Synchronize with computer time – Sets date and time according to the computer's clock. With this option, date and time are set once and will not be updated automatically.
* Synchronize with NTP Server – Obtains date and time from an NTP server. With this option, date and time settings are updated continuously. For information on NTP settings, see NTP Configuration on page 50.
If using a host name for the NTP server, a DNS server must be configured. See DNS Configuration on page 50.
* Set manually – Allows you to manually set date and time.
System Options
If using an NTP server, select your Time zone from the drop-down list. If required, check Automatically adjust for daylight saving time changes.
The Date & Time Format Used in Images is the date and time format displayed as a text overlay in the video stream. Use the predefined formats or see File Naming & Date/Time Formats in the online help for information on how to create custom date and time formats. To include date and time in the overlay text, go to Video and select Include date and Include time.
Network
Basic TCP/IP Settings
The Axis product supports IP version 4 and IP version 6. Both versions can be enabled simultaneously, and at least one version must always be enabled.
IPv4 Address Configuration
By default, the Axis product is set to use IPv4 (IP version 4) and to obtain the IP address automatically via DHCP. The IPv4 settings are configured under System Options > Network > TCP/IP > Basic.
DHCP (Dynamic Host Configuration Protocol) allows network administrators to centrally manage and automate the assignment of IP addresses. DHCP should only be enabled if using dynamic IP address notification, or if the DHCP can update a DNS server. It is then possible to access the Axis product by name (host name).
If DHCP is enabled and the product cannot be accessed, run AXIS IP Utility to search the network for connected Axis products, or reset the product to the factory default settings (see page 57) and then perform the installation again.
To use a static IP address, check Use the following IP address and specify the IP address, subnet mask and default router.
IPv6 Address Configuration
If IPv6 (IP version 6) is enabled, the Axis product will receive an IP address according to the configuration in the network router.
To enable IPv6, go to System Options > Network > TCP/IP > Basic. Other settings for IPv6 should be configured in the network router.
ARP/Ping
The product's IP address can be assigned using ARP and Ping. For instructions, see Assign IP Address Using ARP/Ping on page 48.
The ARP/Ping service is enabled by default but is automatically disabled two minutes after the product is started, or as soon as an IP address is assigned. To re-assign IP address using ARP/Ping, the product must be restarted to enable ARP/Ping for an additional two minutes.
To disable the service, go to System Options > Network > TCP/IP > Basic and clear the option Enable ARP/Ping setting of IP address.
Pinging the product is still possible when the service is disabled.
Assign IP Address Using ARP/Ping
The product's IP address can be assigned using ARP/Ping. The command must be issued within 2 minutes of connecting power.
1. Acquire a free static IP address on the same network segment as the computer.
2. Locate the serial number (S/N) on the product label.
3. Open a command prompt and enter the following commands:
Linux/Unix syntax
```
arp -s <IP address> <serial number> temp ping -s 408 <IP address>
```
System Options
Linux/Unix example
arp -s 192.168.0.125 00:40:8c:18:10:00 temp ping -s 408 192.168.0.125 Windows syntax (this may require that you run the command prompt as an administrator) arp -s <IP address> <serial number> ping -l 408 -t <IP address> Windows example (this may require that you run the command prompt as an administrator) arp -s 192.168.0.125 00-40-8c-18-10-00
```
ping -l 408 -t 192.168.0.125
```
4. Check that the network cable is connected and then restart the product by disconnecting and reconnecting power.
5. Close the command prompt when the product responds with Reply from 192.168.0.125:... or similar.
6. Open a browser and type http://<IP address> in the Location/Address field.
For other methods of assigning the IP address, see the document Assign an IP Address and Access the Video Stream on Axis Support web at www.axis.com/techsup
Note
* To open a command prompt in Windows, open the Start menu and type cmd in the Run/Search field.
* To use the ARP command in Windows 8/Windows 7/Windows Vista, right-click the command prompt icon and select Run as administrator.
* To open a command prompt in Mac OS X, open the Terminal utility from Application > Utilities.
AXIS Video Hosting System (AVHS)
AVHS used in conjunction with an AVHS service, provides easy and secure Internet access to live and recorded video accessible from any location. For more information and help to find a local AVHS Service Provider go to www.axis.com/hosting
The AVHS settings are configured under System Options > Network > TCP IP > Basic. The possibility to connect to an AVHS service is enabled by default. To disable, clear the Enable AVHS box.
One-click enabled - Press and hold the product's control button (see Hardware Overview on page 7 ) for about 3 seconds to connect to an AVHS service over the Internet. Once registered, Always will be enabled and the Axis product stays connected to the AVHS service. If the product is not registered within 24 hours from when the button is pressed, the product will disconnect from the AVHS service.
Always - The Axis product will constantly attempt to connect to the AVHS service over the Internet. Once registered the product will stay connected to the service. This option can be used when the product is already installed and it is not convenient to use the one-click installation.
AXIS Internet Dynamic DNS Service
AXIS Internet Dynamic DNS Service assigns a host name for easy access to the product. For more information, see www.axiscam.net
To register the Axis product with AXIS Internet Dynamic DNS Service, go to System Options > Network > TCP/IP > Basic. Under Services, click the AXIS Internet Dynamic DNS Service Settings button (requires access to the Internet). The domain name currently registered at AXIS Internet Dynamic DNS service for the product can at any time be removed.
Note
AXIS Internet Dynamic DNS Service requires IPv4.
System Options
Advanced TCP/IP Settings
DNS Configuration
DNS (Domain Name Service) provides the translation of host names to IP addresses. The DNS settings are configured under System Options > Network > TCP/IP > Advanced.
Select Obtain DNS server address via DHCP to use the DNS settings provided by the DHCP server.
To make manual settings, select Use the following DNS server address and specify the following:
Domain name - Enter the domain(s) to search for the host name used by the Axis product. Multiple domains can be separated by semicolons. The host name is always the first part of a fully qualified domain name, for example, myserver is the host name in the fully qualified domain name myserver.mycompany.com where mycompany.com is the domain name.
Primary/Secondary DNS server - Enter the IP addresses of the primary and secondary DNS servers. The secondary DNS server is optional and will be used if the primary is unavailable.
NTP Configuration
NTP (Network Time Protocol) is used to synchronize the clock times of devices in a network. The NTP settings are configured under System Options > Network > TCP/IP > Advanced.
Select Obtain NTP server address via DHCP to use the NTP settings provided by the DHCP server.
To make manual settings, select Use the following NTP server address and enter the host name or IP address of the NTP server.
Host Name Configuration
The Axis product can be accessed using a host name instead of an IP address. The host name is usually the same as the assigned DNS name. The host name is configured under System Options > Network > TCP/IP > Advanced.
Select Obtain host name via IPv4 DHCP to use host name provided by the DHCP server running on IPv4.
Select Use the host name to set the host name manually.
Select Enable dynamic DNS updates to dynamically update local DNS servers whenever the Axis product's IP address changes.
For more information, see the online help.
Link-Local IPv4 Address
Link-Local Address is enabled by default and assigns the Axis product an additional IP address which can be used to access the product from other hosts on the same segment on the local network. The product can have a Link-Local IP and a static or DHCP-supplied IP address at the same time.
This function can be disabled under System Options > Network > TCP/IP > Advanced.
HTTP
The HTTP port used by the Axis product can be changed under System Options > Network > TCP/IP > Advanced. In addition to the default setting, which is 80, any port in the range 1024–65535 can be used.
HTTPS
The HTTPS port used by the Axis product can be changed under System Options > Network > TCP/IP > Advanced. In addition to the default setting, which is 443, any port in the range 1024–65535 can be used.
To enable HTTPS, go to System Options > Security > HTTPS. For more information, see HTTPS on page 46.
System Options
NAT traversal (port mapping) for IPv4
A network router allows devices on a private network (LAN) to share a single connection to the Internet. This is done by forwarding network traffic from the private network to the "outside", that is, the Internet. Security on the private network (LAN) is increased since most routers are pre-configured to stop attempts to access the private network (LAN) from the public network (Internet).
Use NAT traversal when the Axis product is located on an intranet (LAN) and you wish to make it available from the other (WAN) side of a NAT router. With NAT traversal properly configured, all HTTP traffic to an external HTTP port in the NAT router is forwarded to the product.
NAT traversal is configured under System Options > Network > TCP/IP > Advanced.
Note
* For NAT traversal to work, this must be supported by the router. The router must also support UPnP TM .
* In this context, router refers to any network routing device such as a NAT router, Network router, Internet Gateway, Broadband router, Broadband sharing device, or a software such as a firewall.
.
Enable/Disable - When enabled, the Axis product attempts to configure port mapping in a NAT router on your network, using UPnP TM Note that UPnP TM must be enabled in the product (see System Options > Network > UPnP).
Use manually selected NAT router - Select this option to manually select a NAT router and enter the IP address for the router in the field. If no router is specified, the product automatically searches for NAT routers on your network. If more than one router is found, the default router is selected.
Alternative HTTP port - Select this option to manually define an external HTTP port. Enter a port in the range 1024–65535. If the port field is empty or contains the default setting, which is 0, a port number is automatically selected when enabling NAT traversal.
Note
* An alternative HTTP port can be used or be active even if NAT traversal is disabled. This is useful if your NAT router does not support UPnP and you need to manually configure port forwarding in the NAT router.
* If you attempt to manually enter a port that is already in use, another available port is automatically selected.
* When the port is selected automatically it is displayed in this field. To change this, enter a new port number and click Save
FTP
The FTP server running in the Axis product enables upload of new firmware, user applications, etc. The FTP server can be disabled under System Options > Network > TCP/IP > Advanced.
Note
This FTP server has nothing to do with the product's ability to transfer images via FTP to other locations and servers.
RTSP
The RTSP server running in the Axis product allows a connecting client to start an H.264 stream. The RTSP port number can be changed under System Options > Network > TCP/IP > Advanced. The default port is 554.
Note
H.264 video streams will not be available if the RTSP server is disabled.
SOCKS
SOCKS is a networking proxy protocol. The Axis product can be configured to use a SOCKS server to reach networks on the other side of a firewall or proxy server. This functionality is useful if the Axis product is located on a local network behind a firewall, and notifications, uploads, alarms, etc need to be sent to a destination outside the local network (for example the Internet).
SOCKS is configured under System Options > Network > SOCKS. For more information, see the online help.
.
System Options
QoS (Quality of Service)
QoS (Quality of Service) guarantees a certain level of a specified resource to selected traffic on a network. A QoS-aware network prioritizes network traffic and provides a greater network reliability by controlling the amount of bandwidth an application may use.
The QoS settings are configured under System Options > Network > QoS. Using DSCP (Differentiated Services Codepoint) values, the Axis product can mark different types of traffic.
SNMP
The Simple Network Management Protocol (SNMP) allows remote management of network devices. An SNMP community is the group of devices and management station running SNMP. Community names are used to identify groups.
AXIS Video MIB (Management Information Base) for video hardware can be used to monitor Axis-specific, hardware-related issues that may need administrative attention. For more information about AXIS Video MIB and to download MIB files, go to www.axis.com/techsup
To enable and configure SNMP in the Axis product, go to the System Options > Network > SNMP page.
Depending on the level of security required, select the version on SNMP to use.
Traps are used by the Axis product to send messages to a management system on important events and status changes. Check Enable traps and enter the IP address where the trap message should be sent and the Trap community that should receive the message.
Note
If HTTPS is enabled, SNMP v1 and SNMP v2c should be disabled.
Traps for SNMP v1/v2 are used by the Axis product to send messages to a management system on important events and status changes. Check Enable traps and enter the IP address where the trap message should be sent and the Trap community that should receive the message.
The following traps are available:
* Cold start
* Warm start
* Link up
* Authentication failed
Note
All AXIS Video MIB traps are enabled when SNMP v1/v2c traps are enabled. It is not possible to turn on or off specific traps.
SNMP v3 provides encryption and secure passwords. To use traps with SNMP v3, an SNMP v3 management application is required. To use SNMP v3, HTTPS must be enabled, see HTTPS on page 46. To enable SNMP v3, check the box and provide the initial user password.
Note
The initial password can only be set once. If the password is lost, the Axis product must be reset to factory default, see Reset to Factory Default Settings on page 57.
UPnP TM
The Axis product includes support for UPnP TM . UPnP TM is enabled by default and the product is automatically detected by operating systems and clients that support this protocol.
UPnP TM can be disabled under System Options > Network > UPnP
System Options
RTP/H.264
The RTP port range and multicast settings are configured under System Options > Network > RTP.
The RTP port range defines the range of ports from which the video ports are automatically selected. For multicast streams, only certain IP addresses and port numbers should be used.
Select Always Multicast Video to start multicast streaming without opening an RTSP session.
Bonjour
The Axis product includes support for Bonjour. Bonjour is enabled by default and the product is automatically detected by operating systems and clients that support this protocol.
Bonjour can be disabled under System Options > Network > Bonjour.
Storage
SD Card
NO NOTICE TICE
To prevent data corruption, the SD card should be unmounted before removal.
Note
For SD card recommendations see www.axis.com
The Axis product supports microSD/microSDHC/microSDXC cards.
The following SD card file systems are supported:
* ext4 — recommended due to its resilience against data loss if the card is ejected or if there is abrupt power loss. To access data stored on the card from the Windows operating system, a third-party ext4 driver or application is required.
* vFAT — supported by most operating systems for personal computers.
The SD card is managed on the System Options > Storage page. Click SD Card to open Storage Management.
If the card's status shows as failed, click Check disk to see if the problem can be found and then try Repair. This option is only available for SD cards with ext4. For SD cards with vFAT, use a card reader or computer to troubleshoot the card.
To avoid filling the card, it is recommended to remove recordings continuously. Under General Settings, select Remove recordings older than and select the number of days or weeks.
To stop writing to the card and protect recordings from being removed, select Lock under General Settings.
Mount and Unmount SD Card
NO NOTICE TICE
To prevent corruption of recordings, the SD card should always be unmounted before it is ejected.
The SD card is automatically mounted when the card is inserted into the Axis product or when the product is started. A manual mount is only required if the card has been unmounted and not ejected and re-inserted.
To unmount the SD card:
1. Open the Axis product's webpages and go to Setup > System Options > Storage.
2. Click SD Card.
3. Click Unmount.
System Options
4. The card can now be removed.
Format SD Card
NO NOTICE TICE
Formatting the SD card will remove all data and recordings stored on the card.
The Axis product can be configured to automatically format SD cards that are inserted into the product. If autoformat is enabled and an SD card is inserted, the product will check if the SD card has the ext4 file system. If the card has a different file system, the card will automatically be formatted to ext4.
Important
If autoformat is enabled, only use new or empty SD cards. Any data stored on the card will be lost when the card is inserted into the Axis product.
To enable automatic formatting, follow these steps:
1. Open the Axis product's webpages and go to Setup > System Options > Storage.
2. Click SD Card.
3. Under General Settings, select Autoformat to.
4. Click OK to save settings.
An SD card inserted into the product can be manually formatted to one of the supported file systems. To manually format the SD card, follow these steps:
1. Insert the SD card in the SD card slot.
2. Open the Axis product's webpages and go to Setup > System Options > Storage.
3. Click SD Card.
4. Click Format and select the desired file system.
5. Click OK to start formatting the card.
Encrypt SD Card Data
To prevent unauthorized individuals and systems from accessing recorded video, the SD card content can be encrypted. Encryption can only be enabled when the card is unmounted. After enabling encryption, the SD card must be formatted so that no unencrypted data remains on the card. The card must also be mounted before it can be used.
Note
If autoformat is enabled, the card will be formatted and mounted automatically when encryption is enabled. The format and mount steps below should then be skipped.
To encrypt the SD card content:
1. Open the Axis product's webpages and go to Setup > System Options > Storage.
2. Click SD Card to open Storage Management.
3. If the SD card is mounted, click Unmount to unmount the card.
4. Click Encrypt.
5. Select Enable SD card encryption and enter a passphrase.
6. Back in Storage Management, click Format to format the SD card.
System Options
7. Click Mount to mount the SD card.
It is possible to change the passphrase without reformatting the card. Open Storage Management, click Encrypt and enter the old and new passphrases. The passphrase can only be changed when the card is mounted. Ongoing recordings will not be affected if the passphrase is changed.
To disable encryption, unmount the SD card and follow the steps above but clear the Enable SD card encryption option. The card must be formatted and mounted when encryption has been disabled.
Network Share
Network share allows you to add network storage such as a NAS (network-attached storage). The NAS shall be dedicated for recordings and data from the Axis products connected to the network. For information about reference NAS devices, go to www.axis.com/products/axis-camera-companion/support-and-documentation
Note
For NAS recommendations see www.axis.com
To add a network share:
1. Go to System Options > Storage.
2. Click Network Share.
3. Enter the IP address, DNS or Bonjour name to the host server in the Host field.
4. Enter the name of the share in the Share field. Sub folders cannot be used.
5. If required, select The share requires login and enter the user name and password.
6. Click Connect.
To clear all recordings and data from the Axis product's folder on the designated share, click Clear under Storage Tools.
To avoid filling the share, it is recommended to remove recordings continuously. Under Recording Settings, select Remove recordings older than and select the number of days or weeks.
To stop writing to the share and protect recordings from being removed, select Lock under Recording Settings.
Maintenance
The Axis product provides several maintenance functions. These are available under System Options > Maintenance.
Click Restart to perform a correct restart if the Axis product is not behaving as expected. This will not affect any of the current settings.
Note
A restart clears all entries in the Server Report.
Click Restore to reset most settings to the factory default values. The following settings are not affected:
* the boot protocol (DHCP or static)
* the static IP address
* the default router
* the subnet mask
* the system time
* the IEEE 802.1X settings
System Options
* uploaded applications are kept but must be restarted
Click Default to reset all settings, including the IP address, to the factory default values. This button should be used with caution. The Axis product can also be reset to factory default using the control button, see Reset to Factory Default Settings on page 57.
For information about firmware upgrade, see Upgrade the Firmware on page 58.
Support
Support Overview
The System Options > Support > Support Overview page provides information on troubleshooting and contact information, should you require technical assistance.
See also Troubleshooting on page 58.
System Overview
To get an overview of the Axis product's status and settings, go to System Options > Support > System Overview. Information that can be found here includes firmware version, IP address, network and security settings, event settings, image settings and recent log items. Many of the captions are links to the proper Setup page.
Logs & Reports
The System Options > Support > Logs & Reports page generates logs and reports useful for system analysis and troubleshooting. If contacting Axis Support, please provide a valid Server Report with your query.
System Log - Provides information about system events.
Access Log - Lists all failed attempts to access the product. The Access Log can also be configured to list all connections to the product (see below).
Server Report - Provides information about the product status in a pop-up window. The Access Log is automatically included in the Server Report.
You can view or download the server report. Downloading the server report creates a .zip file that contains a complete server report text file in UTF–8 format. Select the Include snapshot with default image settings option to include a snapshot of the product's Live View. The server report .zip file should always be included when contacting support.
Parameter List - Shows the product's parameters and their current settings. This may prove useful when troubleshooting or when contacting Axis Support.
Connection List - Lists all clients that are currently accessing media streams.
Crash Report - Generates an archive with debugging information. The report takes several minutes to generate.
Advanced
Scripting
Scripting allows experienced users to customize and use their own scripts.
NO NO NOTICE TICE TICE
Improper use may cause unexpected behavior and loss of contact with the Axis product.
Axis strongly recommends that you do not use this function unless you understand the consequences. Axis Support does not provide assistance for problems with customized scripts.
System Options
To open the Script Editor, go to System Options > Advanced > Scripting. If a script causes problems, reset the product to its factory default settings, see page 57.
For more information, see www.axis.com/developer
File Upload
Files, for example webpages and images, can be uploaded to the Axis product and used as custom settings. To upload a file, go to System Options > Advanced > File Upload.
Uploaded files are accessed through http://<ip address>/local/<user>/<file name> where <user> is the selected user group (viewer, operator or administrator) for the uploaded file.
Plain Config
Plain Config is for advanced users with experience of Axis product configuration. Most parameters can be set and modified from this page.
To open Plain Config, go to System Options > Advanced > Plain Config. Axis Support does not provide assistance.
Reset to Factory Default Settings
Important
Reset to factory default should be used with caution. A reset to factory default will reset all settings, including the IP address, to the factory default values.
Note
The installation and management software tools are available from the support pages on www.axis.com/techsup
To reset the product to the factory default settings:
1. Disconnect power from the product.
2. Press and hold the control button and reconnect power. See Hardware Overview on page 7 .
3. Keep the control button pressed for 15–30 seconds until the status LED indicator flashes amber.
4. Release the control button. The process is complete when the status LED indicator turns green. The product has been reset to the factory default settings. If no DHCP server is available on the network, the default IP address is 192.168.0.90
5. Using the installation and management software tools, assign an IP address, set the password, and access the video stream.
It is also possible to reset parameters to factory default via the web interface. Go to Setup > System Options > Maintenance and click Default.
Troubleshooting
Troubleshooting
Check the Firmware
Firmware is software that determines the functionality of network devices. One of your first actions when troubleshooting a problem should be to check the current firmware version. The latest version may contain a correction that fixes your particular problem. The current firmware version in the Axis product is displayed in the page Setup > Basic Setup and in Setup > About.
Upgrade the Firmware
Important
* Your dealer reserves the right to charge for any repair attributable to faulty upgrade by the user.
* Preconfigured and customized settings are saved when the firmware is upgraded (providing the features are available in the new firmware) although this is not guaranteed by Axis Communications AB.
* After the upgrade process has completed, the product will restart automatically. If restarting the product manually after the upgrade, wait 10 minutes even if you suspect the upgrade has failed.
* When you upgrade the Axis product with the latest firmware from Axis website, the product receives the latest functionality available. Always read the upgrade instructions and release notes available with each new release before upgrading the firmware.
To upgrade the product's firmware:
1. Download the latest firmware file to your computer, available free of charge at www.axis.com/techsup
2. Go to Setup > System Options > Maintenance in the product's webpages.
3. Under Upgrade Server, click Browse and locate the file on your computer.
4. Click Upgrade.
5. Wait approximately 10 minutes while the product is being upgraded and restarted. Then access the product.
AXIS Camera Management can be used for multiple upgrades. See www.axis.com for more information.
Symptoms, Possible Causes and Remedial Actions
Problems setting the IP address
Note
Troubleshooting
The IP address is being used by another device
Disconnect the Axis product from the network. Run the Ping command (in a Command/DOS window, type ping and the IP address of the product):
* If you receive: Reply from <IP address>: bytes=32; time=10... this means that the IP address may already be in use by another device on the network. Obtain a new IP address from the network administrator and reinstall the product.
* If you receive: Request timed out, this means that the IP address is available for use with the Axis product. Check all cabling and reinstall the product.
Possible IP address conflict with another device on the same subnet.
The static IP address in the Axis product is used before the DHCP server sets a dynamic address. This means that if the same default static IP address is also used by another device, there may be problems accessing the product.
The product cannot be accessed from a browser
Cannot log in
When HTTPS is enabled, ensure that the correct protocol (HTTP or HTTPS) is used when attempting to log in. You may need to manually type http or https in the browser's address field.
If the password for the user root is lost, the product must be reset to the factory default settings. See Reset to Factory Default Settings on page 57.
IP addresses obtained from a DHCP server are dynamic and may change. If the IP address has been changed, use AXIS IP Utility or AXIS Camera Management to locate the product on the network. Identify the product using its model or serial number, or by the DNS name (if the name has been configured).
If required, a static IP address can be assigned manually. For instructions, see the document Assign an IP Address and Access the Video Stream on Axis Support web at www.axis.com/techsup.
Certificate error when using IEEE 802.1X
For authentication to work properly, the date and time settings in the Axis product should be synchronized with an NTP server. See Date & Time on page 47.
The product is accessible locally but not externally
Router configuration
To configure your router to allow incoming data traffic to the Axis product, enable the NAT-traversal feature which will attempt to automatically configure the router to allow access to the Axis product, see NAT traversal (port mapping) for IPv4 on page 51. The router must support UPnP TM .
Firewall protection
Check the Internet firewall with your network administrator.
Default routers required
Check if you need to configure the router settings from System Options > Network > TCP/IP > Basic.
Problems with streaming H.264
Problems with AXIS Media Control (Internet Explorer only)
To enable the updating of video images in Internet Explorer, set the browser to allow ActiveX controls. Also, make sure that AXIS Media Control is installed on your computer.
No H.264 displayed in the client
Multicast H.264 only accessible by local clients
No multicast H.264 displayed in the client
Check that the relevant H.264 connection methods and correct interface are enabled in the AMC Control Panel (streaming tab). See AXIS Media Control (AMC) on page 13.
In the AMC Control Panel, select the H.264 tab and click Set to default H.264 decoder.
Check that RTSP is enabled under System Options > Network > TCP/IP > Advanced.
Check if your router supports multicasting, or if the router settings between the client and the product need to be configured. The TTL (Time To Live) value may need to be increased.
Check with your network administrator that the multicast addresses used by the Axis product are valid for your network.
Check with your network administrator to see if there is a firewall preventing viewing.
The IP address has been changed by DHCP
Troubleshooting
Poor rendering of H.264 images
Ensure that your graphics card is using the latest driver. The latest drivers can usually be downloaded from the manufacturer’s website.
Color saturation is different in H.264 and Motion JPEG
Modify the settings for your graphics adapter. Refer to the adapter’s documentation for more information.
Lower frame rate than expected
See Performance Considerations on page 63.
Reduce the number of applications running on the client computer.
Limit the number of simultaneous viewers.
Check with the network administrator that there is enough bandwidth available.
Check in the AMC Control Panel (H.264 tag) that video processing is NOT set to Decode only key frames.
Lower the image resolution.
Set a Capture Mode that prioritizes frame rate. Changing the capture mode to prioritize frame rate will lower the maximum resolution. See Capture Mode on page 19.
The maximum frames per second is dependent on the utility frequency (60/50 Hz) of the Axis product. See Technical Specifications on page 61.
Video and image problems, general
Image unsatisfactory
Check the video stream and camera settings under Setup > Video > Video Stream and Setup > Video > Camera Settings.
Storage and disk management problems
Storage disruption
A storage disruption alarm is sent if a storage device is unavailable, removed, full, locked or if other read or write problems occur. To identify the source of the problem, check the System Log under System Options > Support > Logs & Reports. Depending on the problem, it might be necessary to re-mount the storage device.
For information on how to set up a storage disruption alarm, see Events on page 37.
Check that the SD card is not write protected (that is, read only).
Reformat the SD card and then click Mount.
NO NO NOTICE TICE TICE
Formatting the card will remove all content, including all recordings, from the SD card.
Video cannot be recorded
SD card cannot be mounted
Technical Specifications
Technical Specifications
i
i
i
Analytics
AXIS Video Motion Detection 3, Active tampering alarm
Technical Specifications
Support for AXIS Camera Application Platform enabling installation of AXIS Cross Line Detection, AXIS Digital Autotracking and third-party applications, see www.axis.com/acap
Event triggersAnalytics, Edge storage events
Event actions
File upload: FTP, SFTP, HTTP, HTTPS, network share and email
Notification: email, HTTP, HTTPS, TCP and SNMP trap
Video recording to edge storage
Pre- and post-alarm video buffering
Send video clip
Overlay text
IR illumination on/off
Data streaming
Event data
Built-in installation aids
Remote zoom, Remote focus, Pixel counter, OptimizedIR with adjustable IR illumination angle and intensity
General
Casing
Aluminum inner camera module with encapsulated electronics IP52-rated, IK08 impact-resistant casing with dehumidifying membrane
Color: white NCS S 1002-B For repainting instructions of skin cover or casing and impact on warranty, contact your Axis partner.
Sustainability
PVC free
Memory
512 MB RAM, 256 MB Flash
Power
Power over Ethernet IEEE 802.3af/802.3at Type 1 Class 3,
max 10.2 W, typical 3.9 W
Connectors
RJ45 10BASE-T/100BASE-TX PoE
IR illumination
OptimizedIR with power-efficient, long-life 850 nm IR LEDs with adjustable angle of illumination and intensity. Range of reach up to 25 m (82 ft) depending on scene
Storage
Support for microSD/microSDHC/microSDXC card
Support for recording to dedicated network-attached storage (NAS)
For SD card and NAS recommendations seewww.axis.com
Operating conditions
0 °C to 50 °C (32 °F to 122 °F)
Humidity 10 to 85% RH (non-condensing)
Storage conditions
-40 °C to 65 °C (-40 °F to 149 °F)
Approvals
EN 55022 Class B, EN 61000-6-1, EN 61000-6-2, EN 55024, EN 50121-4, IEC 62236-4,
FCC Part 15 Subpart B Class A and B, ICES-003 Class B, VCCI Class B, RCM AS/NZS CISPR 22 Class B,
KCC KN22 Class B, KN24
IEC/EN/UL 60950-1, IEC/EN 62471 IEC 60068-2-1, IEC 60068-2-2, IEC 60068-2-14
IEC 60068-2-6 (vibration), IEC 60068-2-27 (shock), IEC 60068-2-78, IEC/EN 60529 IP52, IEC/EN 62262 IK08
Dimensions
Height: 101 mm (4 in)
ø 149 mm (5 7/8 in)
Weight
580 g (1.3 lb)
Included accessories
Installation Guide, Windows decoder 1-user license, Mounting bracket, Cable gasket, Resistorx T20 L-key, Drill template
Optional accessories
AXIS ACI Conduit Bracket B
AXIS ACI Conduit Adapters
AXIS T94K01L Recessed Mount Kit
AXIS T94K01D Pendant Kit
AXIS T91 Mounts
Technical Specifications
AXIS Skin Cover C, Black
Warranty
Axis 3-year warranty and AXIS Extended Warranty option, see www.axis.com/warranty
a. This product includes software developed by the OpenSSL Project for use in the OpenSSL Toolkit. (www.openssl.org), and cryptographic software written by Eric Young (email@example.com).
Environmental responsibility:
www.axis.com/environmental-responsibility
Performance Considerations
When setting up your system, it is important to consider how various settings and situations will affect performance. Some factors affect the amount of bandwidth (the bit rate) required, others can affect the frame rate, and some affect both. If the load on the CPU reaches its maximum, this will also affect the frame rate.
The following factors are among the most important to consider:
* High image resolution and/or lower compression levels result in images containing more data. Bandwidth affected.
* Access by large numbers of Motion JPEG and/or unicast H.264 clients. Bandwidth affected.
* Simultaneous viewing of different streams (resolution, compression) by different clients. Effect on frame rate and bandwidth.
* Accessing Motion JPEG and H.264 video streams simultaneously. Frame rate and bandwidth affected.
* Heavy usage of event settings affect the product's CPU load. Frame rate affected.
* Using HTTPS may reduce frame rate, in particular if streaming Motion JPEG.
* Heavy network utilization due to poor infrastructure. Bandwidth affected.
* Viewing on poorly performing client computers lowers perceived performance. Frame rate affected.
* Running multiple AXIS Camera Application Platform (ACAP) applications simultaneously may affect the frame rate and the general performance.
Ver. M5.2
Date: February 2016
Part No. 1493507
|
Agenda Item
DATE: February 8, 2022
TO:
Templeton Community Services District Board of Directors
FROM: Bettina Mayer, PE District Engineer
SUBJECT: Water Supply Model Update/ Release of 36 Water Units
_____________________________________________________________________________
RECOMMENDED ACTION:
That the Board of Directors receive the Water Supply Model Update and, by motion, authorize the release of 36 Water Units of Use for sale to applicants on the wait list in accordance with District Code Section 14.08.520 Water Allocation System.
FISCAL IMPACT:
Revenues from the sale of 36 water units @ $41,225.00 = $1,484,100.00, and once connected, will generate approximately $1,460.00 in monthly fees at 2022 rates.
BACKGROUND:
The District's water supply portfolio relies on various water supply sources that consist of: two water permits; a water license; riparian agency agreements; deep aquifer groundwater; treated wastewater retrieval; and Nacimiento water. Both the wastewater and Nacimiento water flows are variable and only available 28 or 35 months after discharge at the Selby ponds. In 2021 wastewater discharges to the Selby ponds increased slightly and a limited amount of Nacimiento water discharge was resumed.
In 2016, the District established a 20% Water Supply Buffer Policy to ensure District water supply reliability and redundancy for current and future District residents and customers. Staff created a water supply model and the model is updated annually to reflecting current production and water use trends.
In 2021, some updates were made to the Water Supply Buffer Policy. These updates included the clarification of the calculation of the outstanding water units to reflect the actual allocation of 300, 430 or 575 gallons per day (gpd); and the omission of the riparian agency agreements in the calculation of the water supply capacity.
DISCUSSION:
This annual model update includes the production and consumption values from 2010 through 2021. The current model update removes the riparian agency agreement water amounts from both the production and predicted supply calculations, so these numbers are slightly lower than shown in previous years.
Overall, water production increased in 2021, reaching a high of 1479.4 AFY total production, or 1383 AFY excluding riparian production.
The projected future water production average is based on the last 12 years of production, subtracting the highest and lowest years resulting in an average of 1298 AFY using the remaining 10 points. Existing water unit commitments represented by virtual meter agreements, zero use meter accounts and outstanding water units subject to a water capacity fee add an additional 332 AFY, bringing the water demand forecast to 1630 AFY. The forecast reflects a continuing downward trend in projected demand based on actual production and water usage in the District. The projected average will continue to be re-calculated annually.
The number of new meters set in 2021 was very low and do not yet reflect the completion of approximately 42 active construction permits issued in 2019/2020. An additional 52 water units are committed to pending building permits and 53 water units are assigned to projects actively moving through the county planning process. These 147 units represent approximately 93 AFY of the 332 AFY reserved water supply.
This year's model update indicates that a 20% water supply buffer has been achieved at the current supply levels, freeing up 23 AF (~36 water units) of unallocated water. The model continues to predict that additional water units will become available once the Nacimiento water is relocated to the Creekside site, targeted for 2027 for the purposes of this model, however significant infrastructure is required to implement this additional supply. As the community continues to build out, the additional wastewater flows will also gradually increase available supply over time.
Based on the results of the model update, it is staff's recommendation that the Board of Directors authorize the release of 36 water units for sale to the Water Wait List. The wait list can be found here: http://templetoncsd.org/DocumentCenter/View/1325/WAIT-LIST---JAN-2022?bidId=
Attachments:
1. Water Buffer Chart updated through December 2021
2. 2021 Water Buffer Policy for reference
3. Water Supply Sources Overview
4. Dec 2021 Updated List of Outstanding Water Units by Allocation
5. Code Section 14.08.520 Water Allocation System Flow Chart
3000
2500
2500
2000
2000
1500
1500
1000
VIRTUAL WATER METER AGREEMENTS
| APN | Physical Address | R or G | Type | No. Units | GPD |
|---|---|---|---|---|---|
| 040-270-010 | 740 S Bethel Rd | G | Virtual | 11 | 300 |
| 040-270-010 | 740 S Bethel Rd | G | Virtual | 3 | 300 |
| 040-280-056 | 1155 Las Tablas Rd | G | Virtual | 9 | 300 |
| 040-280-064 | Roya Ave | G | Virtual | 2 | 300 |
| 040-282-029 | 639 S Bethel Rd | G | Virtual | 3 | 300 |
| 040-289-015 | Las Tablas Rd | G | Virtual | 46 | 300 |
| 040-289-046 | 1310 Las Tablas Rd | G | Virtual | 15 | 300 |
| 040-311-012 | 765 Santa Rita Rd | G | Virtual | 1 | 300 |
| 040-372-006 | Lot 7 of Tract Map 2992 - Phase 2 Las Tablas Rd | G | Virtual | 1 | 300 |
| 040-372-007 | Lot 8 of Tract Map 2992 - Phase 2 Las Tablas Rd | G | Virtual | 1 | 300 |
| 040-372-010 | PTN Lot CC, Parcel 1 of LLA Las Tablas Rd | G | Virtual | 2 | 300 |
| 040-372-011 | PTN Lot FF, Las Tablas Rd | G | Virtual | 10 | 300 |
| 040-372-014 | Lot 4 Tract 2992, Parcel 3 of LLA Las Tablas Rd | G | Virtual | 9 | 300 |
| 040-372-015 | Lot 10 Tract 2992, Parcel 4 of LLA Las Tablas Rd | G | Virtual | 100 | 300 |
| 040-372-016 | Lot 3 Tract 2992, Parcel 2 of LLA Las Tablas Rd | G | Virtual | 3 | 300 |
| 041-011-010 | 710 Florence Ave | G | Virtual | 12 | 300 |
| 041-064-036 | 777 Las Tablas Rd | G | Virtual | 4 | 300 |
| 041-101-055 | Forest Ave, Lot 1 Block 48 | G | Virtual | 1 | 300 |
| 041-101-057 | Forest Ave, Lots 3 and 4 Block 48 | G | Virtual | 2 | 300 |
| 041-112-002 | 212 5th St | G | Virtual | 1 | 300 |
| 041-131-086 | 749 Gough Ave | G | Virtual | 1 | 300 |
| | SUMMARY: | GROUNDWATER | VIRTUAL | 237 | 300 |
ZERO USE METERS
| APN | Physical Address | R or G | Type | No. Units | GPD |
|---|---|---|---|---|---|
| 040-214-063 | Tract 2639, N Main St | G | Zero Use | 8 | 300 |
| 040-282-030 | 1480 Burning Hills Ln | G | Zero Use | 1 | 300 |
| 041-011-008 | Williams St | G | Zero Use | 2 | 300 |
| 041-083-032 | 72 S Main St | G | Zero Use | 1 | 300 |
| 041-083-033 | 70 S Main St | G | Zero Use | 1 | 300 |
| 041-101-043 | 799 Forest Ave (Lot 8 Block 47) | G | Zero Use | 1 | 300 |
| 041-101-047 | Forest Ave, Lot 1 Block 47 | G | Zero Use | 1 | 300 |
| 041-202-039 | Tract 2743 common area, James St | G | Zero Use | 1 | 300 |
| 041-024-003 | 160 N Main | G | Zero Use | 14 | 300 |
| | SUMMARY: | GROUNDWATER | ZERO USE | 30 | 300 |
SUBJECT TO WATER CAPACITY FEE
| APN | Physical Address | R or G | Type | No. Units | GPD | Type of Development |
|---|---|---|---|---|---|---|
| 039-301-021 | Plum Orchard Lane | G | Wtr Cap | 1 | 300 | |
| 040-289-014 | Las Tablas Rd | G | Wtr Cap | 1 | 300 | |
| 041-083-041 | 115, 117 Gibson Rd | G | Wtr Cap | 8 | 300 | commercial |
| | SUMMARY: | GROUNDWATER | WTR CAP | 10 | 300 | |
VIRTUAL WATER METER AGREEMENTS
| APN | Physical Address | R or G | Type | No. Units | GPD |
|---|---|---|---|---|---|
| 040-280-056 | 1155 Las Tablas Rd | G | Virtual | 2 | 430 |
| 040-280-064 | Roya Ave | G | Virtual | 4 | 430 |
| 040-280-066 | Roya Ave | G | Virtual | 6 | 430 |
| 040-280-067 | Roya Ave | G | Virtual | 5 | 430 |
| 040-363-042 | Tract 2549 Lot 42 Calle de Pueblo (open space) | G | Virtual | 1 | 430 |
| 040-363-043 | Tract 2549 Lot 43 Calle de Pueblo (open space) | G | Virtual | 1 | 430 |
| 040-363-044 | Tract 2549 Lot 44 Calle de Pueblo (open space) | G | Virtual | 2 | 430 |
| 041-083-038 | 30 S Main St | G | Virtual | 2 | 430 |
| 041-083-039 | 20 S Main St | G | Virtual | 2 | 430 |
| 041-173-013 | behind Main St along UPRR | G | Virtual | 4 | 430 |
| 041-211-011 | Vineyard Dr | G | Virtual | 20 | 430 |
| | SUMMARY: | GROUNDWATER | VIRTUAL | 49 | 430 |
ZERO USE METERS
| APN | Physical Address | R or G | Type | No. Units | GPD | Type of Development |
|---|---|---|---|---|---|---|
| 040-153-014 | 3233 La Cruz Way | G | Zero Use | 3 | 430 | commercial |
| 040-216-001 | 221 N. Main Street | G | Zero Use | 9 | 430 | |
| 040-301-025 | 1230 Vineyard Dr | G | Zero Use | 1 | 430 | SFR |
SUBJECT TO WATER CAPACITY FEE
| APN | Physical Address | R or G | Type | No. Units | GPD | Type of Development |
|---|---|---|---|---|---|---|
| 040-061-017 | unknown | G | Wtr Cap | 1 | 430 | |
| 040-289-019 | 930 Templeton Hills Rd | G | Wtr Cap | 1 | 430 | |
| 041-171-013 | Lots 7, 8, & 9 on 7th St | G | Wtr Cap | 3 | 430 | |
| 041-171-014 | 707 S Main St | G | Wtr Cap | 1 | 430 | |
VIRTUAL WATER METER AGREEMENTS
| APN | Physical Address | R or G | Type | No. Units | GPD |
|---|---|---|---|---|---|
| 040-201-009 | 690, 691 Peterson Ranch Rd | G | Virtual | 12 | 575 |
| 040-201-033 | 301 N Main St | G | Virtual | 23 | 575 |
| 040-201-055 | Parcel 1, Main St | G | Virtual | 1 | 575 |
| 040-201-057 | Theater Dr (Parcel 3, Championship Way) | G | Virtual | 3 | 575 |
| 040-280-056 | 1155 Las Tablas Rd | G | Virtual | 5 | 575 |
| 040-280-056 | 1155 Las Tablas Rd | G | Virtual | 38 | 575 |
| 040-289-012 | 1041 Petersen Ranch Rd (Building 100) | G | Virtual | 3 | 575 |
| 040-289-012 | 1043 Petersen Ranch Rd (Building 200A) | G | Virtual | 6 | 575 |
| 040-289-012 | 1045 Petersen Ranch Rd (Building 200B) | G | Virtual | 6 | 575 |
| 040-289-012 | 1047 Petersen Ranch Rd (Building 200C) | G | Virtual | 6 | 575 |
| 040-289-012 | 1049 Petersen Ranch Rd (Building 200D) | G | Virtual | 6 | 575 |
| 040-289-012 | 1051 Petersen Ranch Rd (Building 200E) | G | Virtual | 4 | 575 |
| 040-289-012 | Petersen Ranch Rd (Building 200F) | G | Virtual | 1 | 575 |
| 040-289-012 | 1055 Petersen Ranch Rd (Building 300A) | G | Virtual | 3 | 575 |
| 040-289-012 | 1035 Petersen Ranch Rd (Building 300B) | G | Virtual | 3 | 575 |
| 040-289-012 | 1057 Petersen Ranch Rd (Building 400) | G | Virtual | 2 | 575 |
| 040-289-020 | 246 Bennett Way | G | Virtual | 23 | 575 |
| 040-311-014 | Bennett Rd | G | Virtual | 19 | 575 |
| 040-311-017 | Casper Rd | G | Virtual | 2 | 575 |
| 040-311-049 | Vineyard Dr | G | Virtual | 4 | 575 |
| 040-311-049 | Vineyard Dr | G | Virtual | 4 | 575 |
| 040-311-050 | Vineyard Dr | G | Virtual | 7 | 575 |
| 040-372-004 | Lot 5 of Tract Map 2992 - Phase 2 Las Tablas Rd | G | Virtual | 6 | 575 |
| 040-372-005 | Lot 6 of Tract Map 2992 - Phase 2 Las Tablas Rd | G | Virtual | 3 | 575 |
| 040-372-006 | Lot 7 of Tract Map 2992 - Phase 2 Las Tablas Rd | G | Virtual | 7 | 575 |
| 040-372-007 | Lot 8 of Tract Map 2992 - Phase 2 Las Tablas Rd | G | Virtual | 7 | 575 |
| 040-372-008 | Lot 9 of Tract Map 2992 - Phase 2 Las Tablas Rd | G | Virtual | 4 | 575 |
| 040-372-010 | PTN Lot CC, Parcel 1 of LLA Las Tablas Rd | G | Virtual | 3 | 575 |
| 041-075-006 | 316 Old County Rd | G | Virtual | 1 | 575 |
| 041-075-010 | Cayucos Ave | G | Virtual | 1 | 575 |
| 041-131-018 | 718 Gough | G | Virtual | 1 | 575 |
| 041-154-002 | 55 2nd St (not 55 Main St!) | G | Virtual | 35 | 575 |
| 041-181-017 | 400 Crum Rd | G | Virtual | 2 | 575 |
| 041-181-018 | 400 Crum Rd | G | Virtual | 2 | 575 |
| 041-181-021 | 400 Crum Rd | G | Virtual | 2 | 575 |
| 041-181-022 | 400 Crum Rd | G | Virtual | 4 | 575 |
| | SUMMARY: | GROUNDWATER | VIRTUAL | 259 | 575 |
ZERO USE METERS
| APN | Physical Address | R or G | Type | No. Units | GPD |
|---|---|---|---|---|---|
| 040-201-047 | Championship lot 8 open space | G | Zero Use | 1 | 575 |
| 039-281-021 | 1050 Santa Rita Rd | G | Zero Use | 3 | 575 |
| 039-381-028 | 995 S Main St | G | Zero Use | 2 | 575 |
| 041-011-008 | Duncan | G | Zero Use | 2 | 575 |
| 041-211-012 | 710 Vineyard Dr, 720 Vineyard Dr | G | Zero Use | 6 | 575 |
| | SUMMARY: | GROUNDWATER | ZERO USE | 14 | 575 |
SUBJECT TO WATER CAPACITY FEE
| APN | Physical Address | R or G | Type | No. Units | GPD |
|---|---|---|---|---|---|
| 040-182-055 | 1645 Shiloh Pl | G | Wtr Cap | 1 | 575 |
| 039-201-021 | Plum Orchard Land | G | Wtr Cap | 1 | 575 |
| 039-281-019 | 1331 Plum Orchard Ln | G | Wtr Cap | 1 | 575 |
| 040-271-053 | 1720 Vineyard Dr | G | Wtr Cap | 1 | 575 |
| 040-289-020 | 246 Bennett Way | G | Wtr Cap | 6 | 575 |
| 040-289-020 | 246 Bennett Way | G | Wtr Cap | 1 | 575 |
| 040-311-009 | 988 Vineyard Dr | G | Wtr Cap | 1 | 575 |
| 040-271-052 | 890 Hopkins St | G | Wtr Cap | 5 | 575 |
| | SUMMARY: | GROUNDWATER | WTR CAP | 17 | 575 |
WATER UNIT PURCHASE AGREEMENT
| APN | Physical Address | R or G | Type | No. Units | GPD | Type of Development |
|---|---|---|---|---|---|---|
| 040-313-023 | Bennett/Turkey Ranch Rd | G | Agmt | 5 | 575 | Open space lot |
| 040-372-015 | Lot 10 Tract 2992 - Phase 2 Las Tablas Rd | G | Agmt | 20 | 575 | Hotel |
| | SUMMARY: | GROUNDWATER | AGREEMENT | 25 | 575 | |
District Code Section 14.08.520 Water Allocation System
|
G 06
How to look after diabetes when unwell How to look after diabetes when unwell
Every child becomes unwell some time. During illness diabetes can become more unstable, with high or low blood glucose results. This can be worrying, but most people can be looked after at home, and you can always call for help if you need it.
Illness causing a low blood glucose Illness causing a low blood glucose
The most common problem causing low blood glucose is a diarrhoea and vomiting illness. Vomiting may make it difficult to keep down enough carbohydrate, and diarrhoea can reduce absorption of food. Both can make it difficult for the blood glucose to stay at a reasonable amount.
Someone in this situation will already have a falling blood glucose, and will probably not feel like eating or drinking properly to increase the blood glucose again. It is often difficult to take the usual meals and snacks, but the same amount of carbohydrate might be taken in a simpler, more easily absorbed form. For example, jelly with sugar in it might be more easily swallowed and kept down than a sandwich or some pasta. The blood glucose will also increase more quickly.
Even if not well enough to eat, children can often take fluids. A day's carbohydrate can be given as sugary drinks, such as Lucozade® (50 ml hourly), non-diet soft drinks (100 ml hourly), or original Ribena® (1 tablespoon diluted in water), and so on. If a child is vomiting or has diarrhoea, it is important to give enough fluid to prevent dehydration, so non-sugary drinks should also be frequently offered. Something light such as a slice of toast or a dry biscuit could be tried if the child is hungry. See Pages 50-52 in the "Food for Life" diet book for ideas on giving carbohydrate when ill.
A person with diabetes should never stop insulin or carbohydrate during health or illness!
The body makes ketones when there is too little insulin available for its needs, and not because of high blood glucose results. This means that ketones may occur even when the blood glucose is normal or low. To prevent hypoglycaemia, and to allow enough insulin to be given to prevent ketone production, enough carbohydrate must be taken. Never stop insulin, and never stop carbohydrate.
Illness causing a high blood glucose Illness causing a high blood glucose
Illness may have no impact on diabetes at all. On the other hand, a sore throat or a chest infection might cause problems with high blood glucose results because the body needs more insulin when it is ill. The pancreas would normally just make more insulin, but when someone has injected insulin, they must increase the doses taken.
It is very important to look for ketones when someone with diabetes is not well, or whenever the blood glucose result is over 14 mmol/l. The urine can be tested, and some meters will also directly measure ketones in the blood. If an increase in ketones is found, this shows that the body urgently needs more insulin. The guidelines on the next page must be followed closely, or the situation can become very serious.
What to do when unwell or blood glucose over 14 What to do when unwell or blood glucose over 14
Check blood glucose before meals, before bed, and every 3 to 4 hours overnight
2. vomiting persists
3. child looks ill (sleepy, dry mouth, sunken eyes), or
4. YOU ARE WORRIED FOR ANY REASON
For more on ketones and illness, see page I 25 in the Information section!
G 07
Insulin, Illness and Ketones Insulin, Illness and Ketones
Just as a car needs petrol to run, so the body needs fuel to keep going. Food is the body's fuel, and the energy comes from the carbohydrate, fat and protein found in food. Glucose is a type of sugar, and is a basic, or "simple", form of carbohydrate.
Muscles generally use glucose for energy, and insulin allows that glucose to move from blood into the muscles. Insulin also helps store glucose in the liver for later use (such as when sleeping overnight). Insulin, then, acts like a "key" to a door, allowing carbohydrate to pass from the blood into muscle and liver.
Insulin … acts like a "key" to a door …
There are times when the body can no longer use carbohydrate for energy - there is either not enough glucose available, or not enough insulin to move the glucose into the muscles. Another energy source is used - the body's reserves of fat. For short periods, this is useful. However, using fat for energy produces ketones - acids that poison the body, and cause a person to become very ill. Ketones can be extremely dangerous, and large amounts may even be life-threatening.
When someone is ill (such as with a viral illness, like the 'flu or gastroenteritis) their body becomes "stressed". Steroids are released that help cope with this stress, and these release glucose from the liver to provide extra energy. Steroids also increase fat breakdown for energy, and so also increase ketone production.
… during illness normal daily insulin doses may not be enough ...
During illness, someone without diabetes simply makes whatever insulin is needed to keep blood glucose normal. Less energy from fat is needed, and fewer ketones are produced. However, if someone has diabetes normal daily insulin doses may not be enough to stop fat breakdown and ketone production - this is why more insulin is needed during times of illness or stress.
The problem is too little insulin - not too much sugar! Glucose results usually do rise with illness, but ketone production is the main concern. Too little insulin usually causes both a rise in glucose and a rise in ketones. Urine or blood should always be tested for ketones when blood glucose rises above 14 mmol/l, or when someone with diabetes becomes unwell - this is when ketones are most likely to develop.
Even if unable to eat normally, someone with diabetes usually needs more insulin to stop ketones forming. If they cannot take enough carbohydrate (as Lucozade ® , sugary drinks or ice cream if not eating normally), or take enough sugar-free fluids to avoid dehydration, admission to hospital may be needed. The "Food for Life" diet book has more information on food and drink choices for times of illness.
I 25
I 26
Diabetic Ketoacidosis Diabetic Ketoacidosis ---- an avoidable emergency! an avoidable emergency!
What is it, and how is it recognised? What is it, and how is it recognised?
As discussed on Page I 25, when the body has too little insulin for its needs, fat is used to provide energy instead of carbohydrate. Ketones are produced, which are acidic and poison the body. If large amounts of ketones are made the situation can worsen dramatically. This dangerous situation is known as Diabetic Ketoacidosis, or "DKA". Features of ketoacidosis include:
The common symptoms of Ketoacidosis are:
* Urine ketone results "moderate" or "large" OR
* High blood sugar results (usually)
* Blood ketone results 1 mmol/l or higher
* Vomiting
* Dehydration
* Abdominal pain
* Sweet smelling breath
* Rapid breathing rate
* Increasing sleepiness/drowsiness, lack of energy
What usually happens to someone in ketoacidosis? What usually happens to someone in ketoacidosis?
Extra insulin is needed to stop ketones being made during ketoacidosis. Insulin often has to be given directly into a vein using a "drip". Ketones may cause abdominal pain, vomiting, and affect the normal function of the gut, and so taking fluids by mouth can make a bad situation even worse. Large volumes of fluid are given into the vein, along with insulin, correcting the dehydration that also occurs.
Ketoacidosis is extremely dangerous, and should never be taken lightly. At best it needs careful medical review, and admission to hospital is likely. Severe cases may need intensive care. Severe ketoacidosis can cause permanent brain injury, and may be life-threatening.
"Sick Day Rules" aim to increase insulin doses safely before ketones can poison the body. Hopefully at this stage ketoacidosis can be prevented. Everyone in the family should know when and how to use the Sick Day Guidelines (Page G 07), and the hospital can be called if nay more information is needed. Extra insulin when ill may prevent the need to come into hospital for treatment.
When most people are first diagnosed with diabetes, they have the basic symptoms of thirst, passing urine more often, feeling tired and losing weight. Some, however, arrive at hospital very unwell, already in ketoacidosis. Features include abdominal pain, dehydration, vomiting, drowsiness, breathing rapidly or with deep breaths, sweetsmelling breath, or drowsiness. This is an emergency situation, and needs urgent hospital treatment with insulin and extra fluids.
Ketoacidosis at diagnosis does not mean someone's diabetes is more severe - it can happen to anyone with Type 1 diabetes. It simply shows there has not been enough insulin present to prevent ketones forming. This also means someone who is not very unwell at diagnosis has just as much chance of developing ketoacidosis at some stage when they are older as someone needing urgent admission. They may still become very unwell if they do not have the right amount of insulin for their body's needs.
Some common causes of ketoacidosis Some common causes of ketoacidosis
The best way to prevent ketoacidosis occurring is to look after diabetes well. If eating healthily and adjusting insulin doses regularly, even during times of illness and stress ketoacidosis is unlikely to occur. Ketones may be made, but the situation rarely progresses to the more serious ketoacidosis.
If diabetes control is good … ketoacidosis is much less likely to occur ...
Ketoacidosis may happen at the time of first diagnosis, but it is also likely to develop during illness - a vomiting illness or a chest infection, for example. Problems are unlikely if someone's HbA1c is lower than 8%, but the risk of ketoacidosis increases as diabetes control worsens. If a person's HbA1c is 10% or higher, the risk becomes very high indeed, and a simple cold may be enough to cause ketoacidosis.
While everyone forgets to take an insulin injection at one time or another, many young people deliberately miss insulin injections. One study in Scotland showed that two thirds of teenagers regularly and deliberately missed one or more injections every day. This means missing insulin is actually normal in this age group, although clearly it is not a good way to remain healthy. It certainly increases the risk of ketoacidosis, and is probably the main reason young people with diabetes are admitted to hospital.
… continued parental involvement in diabetes care remains very important.
There are many reasons young people find it difficult to take all their insulin. Some find injections and testing glucose boring, and some find them embarrassing in front of their friends. Others feel badly about the situation, and themselves, when day after day they find high blood glucose results. It may seem easier not to face up to the fact they have a life-long medical condition, and so many deliberately miss some insulin injections altogether. This is dangerous, as ketoacidosis and longer-term complications are much more likely to occur. Even though many teens wish to be fully independent, continued parental involvement in diabetes care remains very important.
Testing for ketones in urine or blood Testing for ketones in urine or blood
Ketostix are used to test for ketones in urine, and a special ketone meter can be used to test for ketones in blood. If unwell or blood glucose 14 mmol/l and above, testing for ketones is essential. A urine result of moderate-large ketones, or a blood ketone result over 1.0 mmol/l, is dangerous and should be treated the same as (see Page G07)
1. Dip test strip in fresh urine sample and remove at once
2. Draw edge of strip against container rim to remove urine.
3. At 15 seconds compare strip colour with chart on side of Ketostix bottle.
4. Use "sick day rules" if moderate or large
Negative, Trace or Small Ketones
Moderate or Large Ketones
NEVER DELAY using Sick Day Guidelines (Page G 07) or seeking advice.
Ketones are a danger sign
- Always call if situation not improving, or if worried at any time..
I 27
Illness
At some stage, most children will get colds, sore throats, viruses, tummy bugs and vomiting illnesses. There is no reason why a child with diabetes should become unwell any more often than a child without the condition, but having diabetes certainly won't prevent you from catching the usual childhood illnesses.
Illness will probably affect blood glucose results and your appetite. The body responds to the stress of illness by increasing the amount of glucose in the blood. The body's metabolic rate increases, and therefore so does its need for an adequate energy supply. Normally the pancreas gland would simply produce more insulin in this situation, but for someone with diabetes, they have to increase the insulin amount themselves, by injecting increased doses.
Without an increase in the amount of insulin injected during illness, the body will be unable to use carbohydrate properly, and so will start to use its alternative energy supply – fat. This only provides a short term solution, as the result of using fat as an energy source is that ketones are produced. These acids steadily poison the body, making the person with diabetes even more ill, and only insulin will halt this situation developing.
Care must be taken at a time of illness, however, as during a vomiting illness or if the child has diarrhoea, the blood glucose may fall, even as the body continues to produce ketones from the consumption of fat. In this situation, and at any time someone with diabetes becomes ill, it is essential to check blood glucose results frequently, and also to test the urine for ketones. Keep a record of these results and follow "The Sick Day Rules" advised by your team.
Seek advice from the Diabetes Team whenever you are uncertain or concerned in any way.
Do not wait for the Diabetes to get out of control.
What to do...
Remember the golden rule:
Never stop insulin AND Never stop carbohydrate
It is important to always have insulin and carbohydrate every day, even during illness when appetites are poor and even if you are on basal bolus insulin regimen. As mentioned above, you usually need more insulin during illness. Carbohydrate is needed to stop the body using its fat stores as a source of energy, and is essential to prevent the formation of ketone acids.
During minor illnesses, the usual diet may be tolerated but if the child feels unable to eat as normal, carbohydrate will need to be given in a different form – simple, sugary carbohydrates or fluids. A vomiting illness can be a real cause for concern. Contact your Diabetes Team if the child is vomiting to the extent that all fluids are being brought back.
Remember, always seek medical advice if you are in any way concerned.
Can't face food?
If usual foods cannot be eaten, replace the usual carbohydrate amount in the diet with sugary carbohydrates or fluids that will be more easily tolerated.
Here are some ideas for providing 10g portions of carbohydrate:
Tips
* Sugary foods and drinks may be necessary to ensure sufficient carbohydrate is taken.
* Many children prefer to drink than eat when unwell.
* If fluids are all that can be managed, sip them slowly throughout the day - little and often is best.
* Let the gas go out of fizzy drinks as it may upset the stomach further.
* Encourage low calorie/sugar free drinks including water, in addition to any fluids used to provide carbohydrates. This prevents dehydration, and will help to "flush out" ketones and excess sugar.
* Never cut down on carbohydrate but if you feel unable to eat your usual meals and snacks divide the total daily carbohydrate into 10g portions spread throughout the day.
|
LIGHTING
USR2
FEATURES
SECOND GENERATION GLARE CONTROL FLOOD.
The USR2 luminaire provides replacement of up to 2000W HID in a form factor that is smaller and lighter allowing safe and easy retrofit of existing systems. With standard diode level internal glare control, the USR2 provides a vast reduction in on and off field glare that is not available in any other product. Available in 800W, the USR2 is an extremely versatile sports lighter ideal for arenas, sporting complexes and professional stadiums.
» Industry Leading, Diode Level Glare Control
» Dim to Off Technology
» Standard DALI-2 D4i Drivers
» Available 0-10V Dimming
» Controls Ready 24V Auxiliary
» Integral and Remote Driver Operation
» Standard Stainless-Steel Aiming Device
» Designed and Manufactured in Texas, USA
ORDERING GUIDE
PRODUCT
OUTPUT
USR2
USR2 2ND GEN USR
800
800 777W
FINISH
Standard Configuration
GY GREY
Custom Configuration
DB DARK BRONZE
CC CUSTOM
*
CCT/CRI
5070 5000K 70CRI
3070
4070
5080
3000K 70CRI
4000K 70CRI
5000K 80CRI
5770 5700K 70CRI
1. Selection requires one of the following accessories: 36021, 36022, 36023, 36001, 36004
3. FT option allows factory reduction in drive current to meet project specific need. Contact factory for more details
2. Remote Driver option requires separate driver enclosure to be ordered separate from luminare. Input voltage and phasing to be specified on RDE.
*Additional costs and lead times may apply. Contact factory for more information
ACCESSORIES
19013 6' SS SAFETY CABLE
24151 USR2 ANODIZED TOP VISOR
36021 120-277V PHOTOCELL
36022347V PHOTOCELL
36004120-480V SHORTING CAP
36023480V PHOTOCELL
81098GALVANIZED SLIP FITTER FOR 2" PIPE
36001120-480V WILUME TWIST-LOCK CONTROLLER
SPECIFICATIONS AND DETAILS ARE SUBJECT TO CHANGE WITHOUT NOTIFICATION.
CONTACT CHM LIGHTING FOR UP TO DATE DETAILS. CHM LIGHTING IS A DIVISION OF CHM INDUSTRIES, INC.
REV20240409
PAGE 01 / 03
OPTIC
N2 NEMA 2
N3
N4
NEMA 3
NEMA 4
700 E. MCLEROY BLVD | SAGINAW, TX 76179 | 682-286-0046 | CHMLIGHTING.COM
INPUT VOLTAGE
GLARE CONTROL
DRIVER
DIMMING
GC
GC GLARE CONTROL
A 120V - 240V
B 277V - 480V
I INTEGRAL
R
2
REMOTE
Project:
D4i DALI-2 D4i
DTO 0-10V
USR2
DIMENSIONS
SPECIFICATIONS
GENERAL DESCRIPTION
The complete luminaire is ETL/cETL Listed in conformance to standards ANSI/UL1598 and CSA22.2 No. 250.0 with an ambient temperature rating of -40°C to 40°C and is suitable for wet locations. The complete assembly is designed to fit within the same packaging dimensions and weigh less than previous HID technology permitting safe, easy and straightforward retrofit of existing installations. All critical components are easily replaced with commercially available, off-the-shelf components within the tool-less entry driver housing including the driver, surge protective device (SPD) and control units. Thermal management of the LED, drivers and internal components is passive in design and does not utilize any active methods of cooling. Providing high beam efficiency and available peak candela greater than 900,000, the USR2 is ideal for sporting venues, aprons and general outdoor lighting applications. Every USR2 comes standard with a stainless-steel aiming device for easy target aiming in the field and a high visibility label on the glass that indicates the photometric distribution of the luminaire that is visible from the playing surface. The USR2 is available pre-wired and pre-aimed as part of a complete sports lighting system from CHM Sports.
HOUSING
The complete housing assembly is precision, heavy duty diecast aluminum with a rugged power coat finish that has a salt spray rating of 2,500 hours per ASTM B117. The driver housing cover utilizes (4) stainless steel draw latches to secure the cover to the driver housing which permits tool-less entry even while wearing work gloves. The integral driver housing cover includes a stainless-steel leash that attaches the cover to the driver housing such that the cover cannot be lost, damaged or dropped during service. Each driver is secured to the housing using a sliding, aluminum driver clip which permit replacement of the driver without having to remove any fasteners thereby eliminating the risk of dropping hardware during service. The remote specification unit includes a gasketed and powder coated wiring junction box that provide simple access to the wiring compartment without having to open the LED housing.
ELECTRICAL SYSTEM
In integral specification, the unit includes (4) premium, Class P drivers each powering a dedicated LED module which provides redundancy to the luminaire wherein a driver failure will only extinguish one quarter of the luminaire. Each driver includes integral transient surge protection in accordance with IEEE C62.41 6kV/6kV. The LED drivers have a minimum power factor of 0.95 with a Total Harmonic Distortion no greater than 20%. The drivers come standard with DALI-2 D4i Dimming, dim-to-off technology and 24V auxiliary output that can be used to power secondary sensors or controls installed in the future or at the factory. All drivers utilized by the USR2 are constant current in design where the output current to the LED is precisely controlled for predictable and accurate light output while the output voltage is automatically adjusted to compensate for operating temperature of the diode and driver-to-LED distance in remote applications. Each unit also includes a secondary surge protection device (SPD) that is fully potted, IP66 rated and UL1449 Listed. The SPD provides a maximum discharge current of 20kA and meets ANSI c82.77-5-2015: High C, ANSI C136.2-2015: Extreme Level and IEEE C62.41.2 Location C High. In remote specification, the unit is provided with a factory wired, diecast aluminum housing with pre-wired and labeled landing terminals for DC input from a CHM Remote Driver Enclosure (RDE).
LED ASSEMBLY
Each LED is provided with a precision cast, TIR optic. Standard internal glare control optic holders block unwanted glare in all viewing angles to improve comfort for players and spectators. The glare control is provided in a flat black finish to absorb, rather than reflect, spill light thereby eliminating secondary glare. The LED array is comprised of (4) metal core printed circuits boards (MCPCBs) that provide redundancy to the overall system such that failure of one PCB will not extinguish the other PCBs in the system. The USR2 uses high performance graphite thermal interface material (TIM) that provides high thermal conductivity while allowing for easy field replacement without having to clean or scrape the heat sink. Wiring connection to the PCB is via a poke-in connector that allows easy removal and replacement of the LED modules without the need to solder or splice. The entire LED housing is enclosed with an anti-reflective coated, 4mm thick high-performance glass utilizing silicon gasket-on-glass technology. This allows straight forward removal of the glass in the field and easy replacement of the lens. The LED housing includes (2) IP68 rated breather vents that allow the pressure inside the LED housing to stabilize during normal heating-cooling cycles. This technology extends the life of the gaskets utilized in the system and thereby extends the life of the unit. Utilizing (2) breathers allows for proper circulation of air throughout the system but prohibits ingress of water or particles into the assembly. The breather vents are installed under the trunnion mount casting and are completely shielded from UV exposure, rain and sprayed water. The entire assembly is IP67 rated. The LED utilized is a high power, ceramic base LED which is suitable for outdoor, harsh environments. All stated CRI values for the USR2 are listed as minimums. The typical CRI, in most instances, will be 2 to 5 points higher than the published minimum. To ensure long life, minimal lumen depreciation, high efficacy and cooler operating temperatures the 800W unit utilizes a LED drive current of 700mA, the 600W unit operates at 550mA.
WARRANTY
The entire product is covered by a minimum five (5) year limited fixture warranty. Supplementary warranty coverage is provided when supplied as part of a complete lighting solution from CHM. Longer term warranties are available, contact CHM Lighting for additional details.
700 E. MCLEROY BLVD | SAGINAW, TX 76179 | 682-286-0046 | CHMLIGHTING.COM
LIGHTING
LIGHTING
USR2
SUPPLEMENTARY
480V AMPS
| WATTAGE | CRI | CCT | LUMENS | LPW | BEAM ANGLE |
|---|---|---|---|---|---|
| 800 | 70 | 3000K | 88,260 | 114 | |
| | 70 | 4000K-5700K | 100,616 | | |
| | 80 | 5700K | 90,555 | 117 | |
| 800 | 70 | 3000K | 87,058 | 112 | 21.4 |
| | 70 | 4000K-5700K | 99,246 | 128 | |
| | 80 | 5700K | 89,322 | 115 | |
| 800 | 70 | 3000K | 83,549 | 108 | |
| | 70 | 4000K-5700K | 95,273 | | |
| | 80 | 5700K | 85,721 | 110 | |
Contact CHM for lumen output of CCT/CRI combinations not shown on the above table.
| LUMEN MAINTENANCE FACTORS | | | | |
|---|---|---|---|---|
| @ 25,000 HRS | @ 50,000 HRS | @ 100,000 HRS | L70 @ 25C (CALCULATED) | L70 @ 25C (REPORTED) |
700 E. MCLEROY BLVD | SAGINAW, TX 76179 | 682-286-0046 | CHMLIGHTING.COM
|
Lesson 12: Nonlinear Models in a Data Context
Classwork
Example 1: Growing Dahlias
A group of students wanted to determine whether or not compost is beneficial in plant growth. The students used the dahlia flower to study the effect of composting. They planted eight dahlias in a bed with no compost and another eight plants in a bed with compost. They measured the height of each plant over a 9-week period. They found the median growth height for each group of eight plants. The table below shows the results of the experiment for the dahlias grown in non-compost beds.
| Week | Median Height in Non-Compost Bed (inches) |
|---|---|
| 1 | 9 |
| 2 | 12.75 |
| 3 | 16.25 |
| 4 | 19.5 |
| 5 | 23 |
| 6 | 26.75 |
| 7 | 30 |
| 8 | 33.75 |
| 9 | 37.25 |
9
37.25
Exercises 1–15
1. On the grid below, construct a scatter plot of non-compost data.
2. Draw a line that you think fits the data reasonably well.
commoncore.org
© 2014 Common Core, Inc. Some rights reserved.
3. Find the rate of change of your line. Interpret the rate of change in terms of growth (in height) over time.
4. Describe the growth (change in height) from week to week by subtracting the previous week's height from the current height. Record the weekly growth in the third column in the table below. The median growth for the dahlias from Week 1 to Week 2 was 3.75 inches (i.e., 12.75 −9.00 = 3.75 ).
9
| Week | Median Height in Non-Compost Bed (inches) |
|---|---|
| 1 | 9 |
| 2 | 12.75 |
| 3 | 16.25 |
| 4 | 19.5 |
| 5 | 23 |
| 6 | 26.75 |
| 7 | 30 |
| 8 | 33.75 |
37.25
5. As the number of weeks increases, describe how the weekly growth is changing.
6. How does the growth each week compare to the slope of the line that you drew?
7. Estimate the median height of the dahlias at 8 1 2 weeks. Explain how you made your estimate.
commoncore.org
© 2014 Common Core, Inc. Some rights reserved.
The table below shows the results of the experiment for the dahlias grown in compost beds.
| Week | Median Height in Compost Bed (inches) |
|---|---|
| 1 | 10 |
| 2 | 13.5 |
| 3 | 17.75 |
| 4 | 21.5 |
| 5 | 30.5 |
| 6 | 40.5 |
| 7 | 65 |
| 8 | 80.5 |
| 9 | 91.5 |
8. Construct a scatter plot of height versus week on the grid below.
9
91.50
9. Do the data appear to form a linear pattern?
commoncore.org
© 2014 Common Core, Inc. Some rights reserved.
10. Describe the weekly growth from week to week by subtracting the height from the previous week from the current height. Record the weekly growth in the third column in the table below. The median weekly growth for the dahlias from Week 1 to Week 2 is 3.5 inches. (i.e., 13.5 −10 = 3.5 ).
9
| Week | Compost Height (inches) | Weekly Growth (inches) |
|---|---|---|
| 1 | 10 | − |
| 2 | 13.5 | 3.50 |
| 3 | 17.75 | |
| 4 | 21.5 | |
| 5 | 30.5 | |
| 6 | 40.5 | |
| 7 | 65 | |
| 8 | 80.5 | |
| 9 | 91.5 | |
91.50
11. As the number of weeks increases, describe how the growth changes.
12. Sketch a curve through the data. When sketching a curve do not connect the ordered pairs, but draw a smooth curve that you think reasonably describes the data.
13. Use the curve to estimate the median height of the dahlias at 8 1 2 weeks. Explain how you made your estimate.
14. How does the weekly growth of the dahlias in the compost beds compare to the weekly growth of the dahlias in the non-compost beds?
commoncore.org
© 2014 Common Core, Inc. Some rights reserved.
15. When there is a car accident how do the investigators determine the speed of the cars involved? One way is to measure the skid marks left by the car and use this length to estimate the speed.
The table below shows data collected from an experiment with a test car. The first column is the length of the skid mark (in feet) and the second column is the speed of the car (in miles per hour). Skid-Mark Length (𝐟𝐟𝐟𝐟.) Speed (𝐦𝐦𝐦𝐦𝐦𝐦)
265
80
| Skid-Mark Length (𝐟𝐟𝐟𝐟.) | Speed (𝐦𝐦𝐦 𝐦𝐦𝐦) |
|---|---|
| 5 | 10 |
| 17 | 20 |
| 65 | 40 |
| 105 | 50 |
| 205 | 70 |
| 265 | 80 |
a. Construct a scatter plot of speed versus skid-mark length on the grid below.
b. The relationship between speed and skid-mark length can be described by a curve. Sketch a curve through the data that best represents the relationship between skid-mark length and speed of the car. Remember to draw a smooth curve that does not just connect the ordered pairs.
commoncore.org
© 2014 Common Core, Inc. Some rights reserved.
c. If the car left a skid mark of 60 ft., what is an estimate for the speed of the car? Explain how you determined the estimate.
d. A car left a skid mark of 150 ft. Use the curve you sketched to estimate the speed at which the car was traveling.
e. If a car leaves a skid mark that is twice as long as another skid mark, was the car going twice as fast? Explain.
commoncore.org
© 2014 Common Core, Inc. Some rights reserved.
Lesson Summary
When data follow a linear pattern, the rate of change is a constant. When data follow a nonlinear pattern, the rate of change is not constant.
Problem Set
1. Once the brakes of the car have been applied, the car does not stop immediately. The distance that the car travels after the brakes have been applied is called the braking distance. The table below shows braking distance (how far the car travels once the brakes have been applied) and the speed of the car.
| 10 | 5 |
|---|---|
| 20 | 17 |
| 30 | 37 |
| 40 | 65 |
| 50 | 105 |
| 60 | 150 |
| 70 | 205 |
| 80 | 265 |
𝐦𝐦𝐦 𝐦𝐦
𝐦𝐦
𝐟
80
265
a. Construct a scatterplot of distance versus speed on the grid below.
commoncore.org
This work is licensed under a
Creative Commons Attribution-NonCommercial-ShareAlike 3.0 Unported License.
© 2014 Common Core, Inc. Some rights reserved.
b. Find the amount of additional distance a car would travel after braking for each speed increase of 10 mph. Record your answers in the table below.
𝐦𝐦𝐦 𝐦𝐦
𝐦𝐦
𝐟
80
265
| Speed (𝐦𝐦𝐦 𝐦𝐦𝐦) | Distance Until Car Stops (𝐟𝐟𝐟𝐟.) | Amount of Distance Increase |
|---|---|---|
| 10 | 5 | − |
| 20 | 17 | |
| 30 | 37 | |
| 40 | 65 | |
| 50 | 105 | |
| 60 | 150 | |
| 70 | 205 | |
| 80 | 265 | |
c. Based on the table, do you think the data follow a linear pattern? Explain your answer.
d. Describe how the distance it takes a car to stop changes as the speed of the car increases.
2. The scatter plot below shows the relationship between cost (in dollars) and radius length (in meters) of fertilizing different sized circular fields. The curve shown was drawn to describe the relationship between cost and radius.
e. Sketch a smooth curve that you think describes the relationship between braking distance and speed. f. Estimate braking distance for a car traveling at 52 mph. Estimate braking distance for a car traveling at 75 mph. Explain how you made your estimates.
a. Is the curve a good fit for the data? Explain. b. Use the curve to estimate the cost for fertilizing a circular field of radius 30 m. Explain how you made your estimate. c. Estimate the radius of the field if the fertilizing cost were $2,500. Explain how you made your estimate.
commoncore.org
© 2014 Common Core, Inc. Some rights reserved.
3. A dolphin is fitted with a GPS system that monitors its position in relationship to a research ship. The table below contains the time (in seconds) after the dolphin is released from the ship and the distance (in feet) the dolphin is from the research ship.
𝐟
𝐬
𝐟
300
1,122
| Time (𝐬𝐬𝐬 𝐬𝐬 𝐬.) | Distance from Ship (𝐟𝐟𝐟𝐟.) |
|---|---|
| 0 | 0 |
| 50 | 85 |
| 100 | 190 |
| 150 | 398 |
| 200 | 577 |
| 250 | 853 |
| 300 | 1,122 |
a. Construct a scatter plot of distance versus time on the grid below.
c. Based on the table, do you think that the data follow a linear pattern? Explain your answer.
b. Find the additional distance the dolphin traveled for each increase of 50 seconds. Record your answers in the table above.
d. Describe how the distance that the dolphin is from the ship changes as the time increases.
f. Estimate how far the dolphin will be from the ship after seconds? Explain how you made your estimate.
e. Sketch a smooth curve that you think fits the data reasonably well. 180
Lesson 12: Date:
Nonlinear Models in a Data Context 2/6/15
commoncore.org
© 2014 Common Core, Inc. Some rights reserved.
|
Cuba Chronicle
Mission Trip, 2020
Cuba Chronicle Spring Mission Report IGLESIA EPISCOPAL REFORMADA 2020
The Rev. Barclay Mayo: Trip Coordinator
T his was my 6th mission trip to Cuba, 5th as the trip coordinator. Our team included: Mrs. Claudia Dorrington, the Rt. Rev. Trevor Walters, the Rt. Rev. Water Banek, the Rev. Ben Bernier, the Rev. Jason & Sara Patterson, Mr. Nelson Buffet & Mrs. Gay Welsman. This was, without a doubt the most difficult trip to date. While there was much to be encouraged about, as you can see from the Seminary report below, the new acquisition of a house church (el Sinai) in Florida and the impending com pletion of the car/taxi project, there was also an air of great caution as country hunkers down and looks to survive in the midst of massive shortages of fuel, transportation, food and medical supplies. Our presence was noted and, in some sectors, not overly appreciated. For the immediate future, as
we seek to continue to serve the Cuban REC church, it will be necessary to look for different ways to be present and to deliver the supplies and services that are so desperately needed. Please pray for favour with the officials, ease of access and the perfect love of Christ Jesus that casts out fear for all concerned.
Anaysa now recovering.
thrown from her bicycle and suffered a severe neck injury. It is only by the grace of God that she survived! Her neck needed to be immobilized, but there was no access to the proper-sized neck brace in their medical system. I managed to track down the required brace from a medical supplier in Winnipeg, Manitoba and have it delivered to a Christian sister, Angela in Victoria, who was headed to Cuba on a
As we were preparing to return home, Archdeacon Alexei Gonzalez Rodriguez's daughter, Anaysa, was
IGLESIA EPISCOPAL REFORMADA
holiday. She met up with one of our clergy and was able to deliver the brace for Anaysa. Thank you, Jesus!
struggles with the effects of his Diabetes. He has just had a toe amputated and is home recovering. The health of Willian's wife, Reina, is failing. She is almost totally blind and having issues with her kidney function. We were indeed blessed to be able to spend time with her this year… and praying for healing and restoration for them both.
Please also continue to pray for Bishop Willians as he
SPRING 2020 Mission Report
1
Claudia's Dorrington's Notes
MOA Seminary
Seminary, together with Bishop Willians and The Rev. Dr. Ben Bernier of Cranmer Theological College have developed a program from the Seminary Theological Curriculum designed to train lay leaders. The Seminary Programme has been invaluable in preparing the pastors. They, now in turn, are teaching their people and growing a core of stronger maturing believers who know and understand the true gos pel of Jesus Christ crucified for us.
We rejoice and give thanks that the Lord provided all the materials to be secured to build the seminary on land the
T he leaders of the Cuban Diocese have completed the required Moore College courses. Twenty-five people took courses last year. The pastors have realized that their vestry members and parishioners also have eager hearts to learn and grow in their faith in knowledge and in wisdom. Therefore, Archdeacon Alexei, Dean of the
diocese already owned in Moa in an area where it seemed impossible to do so. As soon as the necessary permits are issued, they will begin to teach classes in the new facility. We hope and pray that it will not only be a blessing for Cuba, but also for seminarians and lay leaders throughout central America! It is a miracle—God IS a God of the impossible!
The Taxi
Archdeacon Alexei in Seminary.
M uch time, energy and expense has gone into re-building the taxi. When we were in Moa, it was stripped down and waiting for final painting! All the body and mechanical work has been completed. There is just some minor electrical to be done as it is reassembled. Because there is no access to an interior body shop, they require 2-3 dry days to paint it. Bishop Willians believes that once he has the 4 new tires, it will keep run ning reliably for the next 15 years. Then, it will be 'on the road'. Praise our God, ARDF Canada and all others who have contributed to this project!
The Rev. Miguel Martin-Barreto- (el Sinai)
W e were able to visit with Miguel Martin Barreto in Florida. They are pastoring 4 House Churches throughout the Florida Countryside. He was pleased to introduce us to one of his newly Baptized Church members who is a nurse, Sonja. She greeted us and accompanied us with Miguel to see a wooden house, newly purchased in partnership with the Diocese. The members of the 4 House Churches saved 10,000 Cuban pesos ($388 usd/$552 cnd) and the Diocese added 5,000cp more towards this project. This new Church House is in the midst of the four congregations and has great potential for development as a ministry centre. As you can see, the structure requires a lot of repair, but it is a great beginning. It was delightful to see Miguel's and Sonja's enthusiasm.
SPRING 2020 Mission Report
2
IGLESIA EPISCOPAL REFORMADA
The Reverend Jason and Sara Patterson
the theological education of the Cuban clergy and lay-leaders.
Pastor's Salaries: Owing to the massive economic restrictions, it seems completely unrealistic to expect the church in Cuba to become financially independent anytime in the immediate future. It is therefore import ant that we, in Canada and the United States, not only continue to support this work, but that we double or triple the amount of money that is currently being raised annually for them. A primary objective should be an increase in the clergy's salaries. The pastor's present
Cuba is unlike any other thirdworld country that I (we) have visited. Shortages of basic neces sities are a daily reality. While we were there, for instance, there was no toothpaste, laundry detergent, or gasoline. Pharmacy shelves are barren. Doctors do not have access to even the most basic of medicines, such as Tylenol, and clean bandages are very difficult to find. Food is scarce and with little variety. Beef, sugar, vegetables (etcetera) are not to be found on the average Cuban's table. What few goods are available are too expensive for most people to purchase.
T his past January, my wife (Sara) and I had the pleasure of accompanying a team of Americans and Canadians on a trip to Cuba. We visited churches in the eastern region of the island, spent time with Bp. Mendez and his Archdeacon, and had many opportunities to fellowship with the clergy and their wives. We were impressed by the humility, generosity, and joyfulness of the people – even though they are liv ing in a very challenging environment. In what follows I will share some of my impressions and also highlight a few opportunities that we each have to support this important work.
Income inequality is extreme and thus a small percentage of individ uals live very well, while the rest of the nation suffers. A recent opinion piece in The Wall Street Journal (March 1, 2020) observed: "It's obvious to a visitor that (the majority of) Cubans live in abject poverty…" A privileged few live in gated com munities and enjoy what most North salaries are barely a living wage. Many of them must work additional jobs and their wives must also find employment. Seeing the needs in the community around them, they often share what little is given them with those in need. The church would be greatly strengthened if their wages were to be increased, thus freeing these dedicated men to give their full time and energy to the work to which they have been called. Only $240 a month would go a long way to meet the need!
Americans would regard as middle-class standards.
Theological Education: The Great Commission calls us to preach the gospel and to do the hard work of evangelism. Thanks be to God that many people are coming to faith in Cuba! But after conversion, it is essential that discipleship be char acterized by the type of catechetical instruction that is possible only with an educated and competent clergy. The new seminary in Moa is a critical and substantial means by which pas tors and lay-leaders alike will be able to be equipped to teach and disciple others to the end that the church in Cuba not only grow in size, but in depth of learning. The seminary needs professors, books, and an endowment in order that it might become a place of learning for the growing Cuban church.
Please prayerfully consider making a commitment to: (1) pray for our clergy and people in Cuba, (2) do your part to raise awareness as to their needs, and (3) make a generous financial gift in support of this important ministry.
SPRING 2020 Mission Report
We also observed that, despite these significant challenges, the Church in Cuba is growing, and seems poised for the accomplishment of great things in the years ahead. But for this to happen, I believe that we in the states and in Canada will need to do more to support the wonderfully unique, and overwhelmingly challenging ministry that is underway in Cuba. In particular, I believe that we must endeavor to increase our financial support of this work, and also invest in
IGLESIA EPISCOPAL REFORMADA
3
CUBAN CHURCH UPDATE el Olivo, Central Havana
The Rt. Rev Walter Banek
The spread of early Christianity around the Mediterranean in the city centers of the Roman empire is a pattern replicated in over fifteen years of growth of the Missionary Dio cese of Cuba, REC. The early church had a few key figures in the Apostles Paul, Peter and John as has our church in Cuba grown through the diligent ministries of Bishop Charles Dorrington and his wife Claudia partnering with Bishop Willians Mendez.
el Olivo house-church is located in Central Havana, close to the heart of the city, and has been pastored by the Rev. Enrique Melchor, who has also served as the Chancellor for the Cuban REC. The building has been the home of Enrique's family, and has gone through extensive exterior repair and interior remodeling to create a space large enough to accommodate their growing congregation.
As the early church was primarily established around the key urban centers of the Mediterranean in house churches, so also the Cuban house churches have clustered around three regional hubs: Holguin/Moa (11 loca tions in eastern Cuba); Florida (16 locations in the center); and Havana (16 locations in the west). Although Bishop Willians is located in the far eastern region of Holguin/Moa, Havana in the west is one of the most important sectors for the Cuban diocese, with the el Olivo house-church as the central hub for that region. At this hub, the rest of the church's life and growth can be most effectively nurtured and sup ported by the larger church outside of Cuba.
The Rev. Enrique Melchor finds himself in a moral dilemma in regard to the education of his children. His young son is on the autistic spectrum, needing specialized instruction not available in the public system and home-schooling in Cuba is illegal. Relocation away from
SPRING 2020 Mission Report
Havana, to Mexico, is the only viable option. To facilitate his move, he must recover his personal investment from his home, the el Olivo house. Enrique was offered $180,000 for the property, which he refused because he discovered that the buyer was planning to use the house for the satanic rites of the Sante ria religion. Father Enrique's desire is to see el Olivo retained as a house church in the Diocese of Cuba, protecting the investment of so much money donated to its refurbishing, and retaining it as a key hub of ministry in Havana.
ing the urgency of retaining el Olivo as a critical beachhead to future ministry in support of the Diocese of Cuba, a proposal was brought to the Reformed Episcopal Board of Foreign Missions, and approved, to make a timely advance of $20,000 to this cause on behalf of Father Enrique, who would make final payment arrangements for the balance of money with the Diocese of Cuba.
For that to happen the house would need to be sold to the Cuban Reformed Episcopal Church. The Melchor-Ramos family requires an immediate $20,000 from that sale to facilitate their depar ture from Cuba before their daughter's 18 th birthday…after which she would be unable to leave. After much prayer and deliberation with the Diocesan leadership and advisory team, it was decided that Archdeacon Alexei would move with his family to Havana and re-establish the el Olivo congregation. With this understanding of the el Olivo property transfer and also understand
However, these BFM funds need to be replenished. We are praying for ten parishes who have the ability to provide generously from their mission funds, to each give $2000. Those who have the vision for mission and have been blessed in their stewardship with the needed resources in their parish will, I'm confident, respond to this need. The Board of Foreign Mission heard this as a kind of Macedonian call (Acts 16:9) for the continued remarkable advance of the gospel in Cuba. The leadership of our Cuban Missionary Diocese rec ognizes that it is not yet self-sustaining, nor will it likely be under current com munist governance and economy. They must look to the parent church for help. Will your parish respond to the call?
For more info about the Cuba Mission please contact:
The Rt. Rev. Charles Dorrington, REC Diocese of Western Canada, 70-7570 Tetayut Rd. Saanichton, BC v8m 2h4 | 250-507-0730 | firstname.lastname@example.org | rec-canada.com
The Rt. Rev. Trevor Walters, ANiC Assisting Bishop, email@example.com | 250-532-1105
The Rt. Rev. Walter Banek, REC Cuba Mission Advisor, firstname.lastname@example.org | 903-592-5152
To explore how you can become more involved, please contact:
The Rev. Barclay Mayo, Mission Partnerships Coordinator, email@example.com | 604-815-8309
How You Can Give to the Cuba Mission
Canadian donations should now be sent to:
157 Haddon Avenue North, Hamilton, Ontario, l8s 4a7
The Central and Eastern REC Diocese of Canada, or in the USA
23501 Cinco Ranch Blvd, Ste H120 #642, Katy, TX 77494
Reformed Episcopal Church www.recbfm.org
4
IGLESIA EPISCOPAL REFORMADA
|
THE CONNECTICU T
E CONOMIC D IGEST Vol.21 No.9 A joint publication of the Connecticut Department of Labor & the Connecticut Department of Economic and Community Development
September 2016
Long Term Industry and Occupational Projections: 2014-2024
By Matthew Krzyzek and Patrick J. Flaherty, DOL
N ATIONAL PROJECTIONS Every two years, the U.S. Bureau of Labor Statistics produces 10 year projections of the U.S. labor force and employment by industry and occupation. The latest projections are for the period 2014 to 2024.
2014. This age cohort traditionally has a lower labor force participation rate than prime-aged workers, but as quality of life and life expectancy increase, labor force participation is expected to rise from 21.7% in 2014 to 24.8% in 2024.
Labor Force
The U.S. labor force is projected to increase by 9.8 million workers from 2014 to 2024 (a 0.6% annualized growth rate) with the 2024 labor force projected to be older and more diverse. The number of workers aged 55 and older is expected to increase by more than 6.7 million (+19.8%) while the number aged 16 to 24 is projected to decrease by 2.8 million (-13.1%) with the largest labor force cohort – those aged 25 to 54 (also known as prime-age workers) up just 3.9 million (+3.9%). As a percent of the labor force, the 16-24 cohort will fall 2.1 percentage points to 14.1% in 2024; increased postsecondary enrollment is a primary cause of this share decrease.
The increase of older workers as a share of the labor force has been a long-term trend in recent decades and is projected to continue through 2024. In 1994, workers aged 55 and over were 11.8% of the labor force, but their share increased to 15.6% ten years later and was 21.7% in
Overall labor force participation is expected to decrease from 62.9 percent in 2014 to 60.9 by 2024. Participation has been declining since the early 2000s and is expected to level off to just below 59 percent by about 2050.
Other characteristics of the labor force are changing as well. The portion of the workforce classified as White Non-Hispanic is projected to decline 4.9 percentage points to 59.6% by 2024. Other race and ethnic groups are expected to increase: Hispanic ethnicity (+3.6 percentage points to 19.8%), Asian (+1.0 percentage points to 6.6%) and Black/African American (+0.6 percentage points to 12.7%). Overall, the non-white proportion of the labor force has been steadily increasing for decades, increasing from 23.3% in 1994, to 30.0% in 2004, 35.4% in 2014 and expected to be 40.4% by 2024.
Industry
The demographic changes outlined in the previous section will have corresponding impacts on expected industrial shifts. The aging population will continue to
ECONOMIC DIGEST
The Connecticut Economic Digest is published monthly by the Connecticut Department of Labor, Office of Research, and the Connecticut Department of Economic and Community Development. Its purpose is to regularly provide users with a comprehensive source for the most current, up-to-date data available on the workforce and economy of the state, within perspectives of the region and nation.
The annual subscription is $50. Send subscription requests to: The Connecticut Economic Digest , Connecticut Department of Labor, Office of Research, 200 Folly Brook Boulevard, Wethersfield, CT 06109-1114. Make checks payable to the Connecticut Department of Labor. Back issues are $4 per copy. The Digest can be accessed free of charge from the DOL Web site. Articles from The Connecticut Economic Digest may be reprinted if the source is credited. Please send copies of the reprinted material to the Managing Editor. The views expressed by the authors are theirs alone and may not reflect those of the DOL or DECD.
Managing Editor: Jungmin Charles Joo
Associate Editor: Erin C. Wilkins
We would like to acknowledge the contributions of many DOL Research and DECD staff and Rob Damroth to the publication of the Digest.
Connecticut Department of Labor
Scott D. Jackson, Commissioner Kurt Westby, Deputy Commissioner
Andrew Condon, Ph.D., Director
Office of Research
200 Folly Brook Boulevard
Wethersfield, CT 06109-1114
Phone: (860) 263-6275
Fax: (860) 263-6263
E-Mail: firstname.lastname@example.org
Website: http://www.ctdol.state.ct.us/lmi
Connecticut Department of Economic and Community Development
Catherine Smith, Commissioner Tim Sullivan, Deputy Commissioner Bart Kollen, Deputy Commissioner
505 Hudson Street
Hartford, CT 06106-2502
Phone: (860) 270-8000
Fax: (860) 270-8200
E-Mail: email@example.com
Website: http://www.decd.org
Chart 1: U.S. Industry History and Projections
Health care and social assistance
Professional and business services
Leisure and hospitality
Construction
Retail trade
State and local government
Financial activities
Educational services; private
Wholesale trade
Other services
Transportation and warehousing
Mining
Information
Utilities
Federal government
Manufacturing
2014 to 2024
2004 to 2014
increase demand for Health Care, which is the fastest growing industry sector and is projected to increase 3.8 million jobs, or 1.9% per year through 2024 (Chart 1). This increase is more than triple the 0.6% compound annualized growth expected for total employment.
(-7.2%), -383,400 (-16.3%), -47,900 (-9.5%) and -27,100 (-1.0%).
Additional sectors with large expected growth include Professional and Business Services, which is projected to increase by 1.9 million jobs to 21 million. Leisure and Hospitality is also expected to increase by 9.4 million, or 0.6% annualized growth, the same rate as the overall economy. After significant employment losses in the wake of the housing bubble and recession, where employment fell by 838,000 from 2004 to 2014, Construction is expected to increase by 790,000 to 6.9 million, which will bring employment in that sector back to near pre-recession levels.
Four industry sectors have negative employment forecasts through 2024, which are Manufacturing, Federal Government, Utilities, and Information. These four sectors have respective projected employment change of -814,100
2
2
THE CONNECTICUT ECONOMIC DIGEST
In terms of labor market share, Service Providing industries have increased from 83.5% of nonfarm employment in 2004, to 86.3% in 2014 and are expected to be 87.1% by 2024, while Goods Producing industries have experienced and will experience corresponding declines.
Occupation
Six occupations are projected to increase by over 300,000 jobs in the next ten years: Personal Care Aides (+458,100, +25.9%), Registered Nurses (+439,300, +16.0%), Home Health Aides (+348,400, +38.1%), Combined Food Preparation and Serving Workers (+343,500, +10.9%), Retail Salespersons (+314,200, +6.8%) and Nursing Assistants (+262,000 +17.6%). Of these occupations, four are in the health care sector, and those four occupations show significant occupational growth, increasing between 16.0 percent and 38.1 percent through 2024. This trend is driven in large part by aforementioned demographic
September 2016
Chart 2: U.S. Occupational Change 2014‐2024
‐400
0
400
800
1,200
1,600
Production
Farming, fishing, and forestry
Legal
Architecture and engineering
Life, physical, and social science
Arts, design, entertainment, sports, and media
Protective service
Community and social service
Building and grounds cleaning and maintenance
Installation, maintenance, and repair
Office and administrative support
Transportation and material moving
Management
Computer and mathematical
Business and financial operations
Construction and extraction
Education, training, and library
Sales and related
Personal care and service
Food preparation and serving related
Healthcare support
Healthcare practitioners and technical
Thousands of Jobs
shifts as the population ages. The other two occupations, Retail Salespersons and Combined Food Preparation and Serving Workers, have in recent years been steadily increasing, a trend projected to continue. Nearly every occupational group is expected to experience an employment increase over the next ten years (see Chart 2), with the exception of the Farming, Fishing, and Forestry sector and the Production occupations.
CONNECTICUT PROJECTIONS
Connecticut projections are prepared using the national
projections, forecasts of state employment growth, and an analysis of trends affecting industries and occupations in the Connecticut economy. The long term (2014 to 2024) projections assume a full-employment economy at the end of the period because the Labor Department does not attempt to forecast the ups and downs of the business cycle that far into the future.
Industry
The largest sector, and the one expected to add the most jobs over the next ten years, is Health Care (Chart 3). Driven by the aging population, employment is projected to grow by nearly 25,000 jobs by 2024. Most of that growth is expected to be in Ambulatory Care settings – offices of practitioners and outpatient centers. Home health care services are also expected to add employment. Assisted Living Facilities are also expected to grow, but employment at General Hospitals and Nursing Care Facilities (nursing homes) is expected to contract.
Professional, Scientific, and Technical Services, which gained 7,600 jobs from 2004 to 2014, is projected to add nearly another 12,000 jobs by 2024 with a majority of the new jobs coming in the Computer Systems Design and Related Services industry. Management, Scientific and Technical Consulting Services is also projected to post significant gains in the coming years. Architectural, Advertising, and Legal Services are projected to end the 10-year period about where they started.
The sectors that lost the most jobs in the past ten years (Manufacturing, Finance & Insurance, Construction and Retail Trade) are all projected to expand significantly by 2024 but will not regain 2004 levels by 2024. Manufacturing, in particular, has experienced decades of employment declines. Even the relatively modest 4,400 projected ten-year gain is a dramatic turnaround from previous trends.
September 2016
THE CONNECTICUT ECONOMIC DIGEST
3
Chart 4: Projected Employment Growth by Educational Requirements 2014‐2024
On the other hand, Educational Services, which grew by nearly 20,000 over the past ten years, is projected to see growth slow down significantly. Employment is still projected to increase by over 7,000 jobs but this growth is only a bit more than one-third the growth of the previous decade. The slowdown is driven by slower projected growth in the schoolaged population with elementary and secondary schools projected to show employment growth just above zero.
Three sectors that are expected to decline over the next ten years are Utilities, Arts, Entertainment, and Recreation and Government (excluding Education and Hospitals). The Utilities decline is small and represents productivity improvements in that sector. Arts, Entertainment and Recreation will be held back by increased competition in the casino gaming industry. Continued fiscal pressures are projected to lead to further reductions in government
4
4
THE CONNECTICUT ECONOMIC DIGEST
employment at both the federal and state levels.
In the ten years ending 2014 (a period that included the "great recession") employment grew significantly less than 2%. Overall, Connecticut employment is expected to grow more than three times faster (on average) for the 2014-2024 period to achieve a full employment economy at that time.
Occupation
All of the major occupational groups are expected to increase over the next ten years. The occupational group projected to add the most jobs is the Personal Care and Service Occupations which include Personal Care Aides and Childcare Workers. The second largest increase is in Management Occupations, a group that includes a wide variety of executives and managers. Computer and Information Systems Managers are expected to show particularly rapid growth. Rounding out the top three is Healthcare Practitioners and Technical Occupations. Consistent with the aging population, Connecticut will need more nurses, physicians, and physical therapists.
In addition to growth, the projections include estimates of openings due to replacement needs as workers retire or move on to new occupations. The occupations with the most openings (Retail Salespersons, Cashiers, Waiters & Waitresses, and Food Preparation & Serving workers) are those with high replacements needs. While some workers make their careers in these occupations, for many these jobs are held for a few years before the workers move on in their careers. Interestingly, the growth in demand for health care workers is such that Registered Nurses, a career-oriented occupation, is sixth in terms of total openings.
Education and Training
Each occupation is assigned a minimum education category based on our best knowledge of
September 2016
the minimum education required to enter the occupation. Particular jobs within an occupation may have different requirements but in most cases these requirements will be at or above the minimum for the occupation. In addition, some occupations require work experience in a related occupation. Finally, some additional on-the-job training, an apprenticeship, or an internship might be required to become proficient in the occupation. The projections show significant growth in many occupations that require a college or even a professional or advanced degree in fields such as health care, education, finance, and information technology. As Chart 4 shows, more than 60% of the additional employment will be in occupations that require some education beyond high school. On average, those occupations that require an Associate's, Bachelor's, or Advanced or Professional Degree will grow significantly faster than overall employment.
Education and Wages
The projections suggest that education will remain valuable over the next ten years. While we are projecting thousands of annual openings in occupations with a minimum education requirement of less than a high school diploma, the current median wage for these occupations is less than $30,000 per year (assuming full-year, full- time work). On the other hand, most of the openings in highpaying occupations (those with a current median annual wage of $75,000 or more) require a college degree or even a professional or advanced degree. Chart 5 shows the number of annual growth openings projected for occupations by current median annual wage and minimum education and training requirements. The chart shows that there will be opportunities for workers in lowskill, low-paying jobs to increase their incomes by gaining a credential and entering a Middle Skill occupation, while those who are able to graduate from college will greatly increase their chances of a high-paying career. (Middle Skill jobs are those that require at least a high school diploma plus some additional training or education – such as an Associate's Degree – but don't require a 4-year college degree.)
Accuracy of the Projections – Data Limitations
When evaluating the projections it is important to keep a few things in mind. The projections are based on the assumption of a full employment economy in 2024. Given the ups and downs of the business cycle, it is possible that the economy will not be at full employment at that time. The average annual openings are not attempting to predict how many openings there will be in a given occupation in any particular year. As the word "average" suggests, some years will be higher, others will be lower. Finally, while the projections take into account as much currently available economic and labor market data as we can evaluate, there will be changes over the next ten years which no one can anticipate. Our projections are for industries and occupations that currently exist. New industries and occupations that we cannot even imagine today may well become significant by 2024.
Connecticut's economy has been adding jobs since the recession ended in early 2010. The assumption of full employment in 2024 requires employment growth of less than 1% per year for ten years. While some years will have slower growth – and some faster – the average growth rate is realistic and attainable. Connecticut projection details are available on the Connecticut Department of Labor's Labor Market Information page at http://www1.ctdol.state.ct.us/ lmi/projections.asp. More detailed national projections are available at www.bls.gov/emp.
GENERAL ECONOMIC INDICATORS
Sources: *Dr. Steven P. Lanza, University of Connecticut **Farmington Bank ***Federal Reserve Bank of Philadelphia
General Drift Indicators are composite measures of the four-quarter change in three coincident (Connecticut Manufacturing Production Index, nonfarm employment, and real personal income) and three leading (housing permits, manufacturing average weekly hours, and initial unemployment claims) economic variables, and are indexed so 1996 = 100.
The Farmington Bank Business Barometer is a measure of overall economic growth in the state of Connecticut that is derived from non-manufacturing employment, real disposable personal income, and manufacturing production.
The Philadelphia Fed's Coincident Index summarizes current economic condition by using four coincident variables: nonfarm payroll employment, average hours worked in manufacturing, the unemployment rate, and wage and salary disbursements deflated by the consumer price index (U.S. city average).
September 2016
THE CONNECTICUT ECONOMIC DIGEST
5
|
The Monitor and Principals
By
Edwin A. Melendez
Contents
Dedication
My family provides me with inspiration and support. In part, I am who I am thanks to them. I am a lucky person to have such a loving family. My father, Edwin, is always there to give me advice and lend a helping hand. My mother, Carmen, never fails to show me the bright side of life and put a smile on my face. My brother, Jeffrey Melendez, is my role model. He impresses me and I look up to him for motivation. Finally my little brother and teen sister, Jonathan and Mariela live far away from me but I still keep them close to my heart.
Acknowledgments
I would like to thank Dr. Alec Yasinsac, my major professor, for all his effort in mentoring me. The weekly meetings and many discussions that we shared were necessary for the successful completion of this project. I am also grateful to the Systems group for their administration of the security lab. Lastly, I would like to thank my other two lab members, Sachin Goregaoker and Nikhil Patel, for their feedback and motivation.
Abstract
With the unprecedented growth of computer networks in the past decade, the need for security is now bigger than ever. An intrusion detection system or IDS can add a level of security to a computer network by monitoring all the users in its environment. Generally, an IDS detects attack by analyzing the payload in messages or commands. Recently, a way of detecting intruders without looking at the contents of a message was introduced [1]. The technique is applied to the specific problem setting of security protocols.
Security protocols are used for authentication and encryption key exchange. However, many of these protocols are flawed and vulnerable to attacks. The Secure Enclave Attack Detection System or SEADS examines the pattern of send and receives events in the execution of a protocol to detect intruders. This detection system consists of three major parts: the monitor, intrusion detection engine and knowledge base.
Since network messages may be encrypted, until now there was no known method of collecting information for security protocol intrusion detection. However, the SEADS's monitor uses a novel technique of gathering meta-information of network messages to detect attacks.
My master's project involves the creation of the monitor. In addition to this, I have developed a principal simulation environment used to test SEADS.
1. Introduction
In the 1990's we experienced the dawn of the Internet revolution. Now the Internet is growing at an unprecedented rate and is embedding itself in the fabric of our society. The average American can now trade stocks, check bank accounts, and buy goods online. Unfortunately, this new convenience comes with a price. Network security has not grown in par with the Internet and as a result many Internet users are vulnerable to attacks.
An intrusion detection systems or IDS can add a level of security to a computer network by monitoring all the users and activity in its environment. Generally an IDS detects attack by analyzing the payload in messages or commands. However, in many cases this is not practical due to the fact that messages are often encrypted. Recently, a novel way of detecting intruders without looking at the contents of a message was introduced [1]. This system is called the Secure Enclave Attack Detection System or SEADS and it analyses meta-information about packets on the network. SEADS is applied specifically to the domain of security protocols.
Security protocols are commonly used on networks for authentication purposes and for the distribution of encryption keys. Since these protocols are used when secure channels of communication are established, they must be designed to be free from attack. Nevertheless, the literature shows that many of these protocols are vulnerable to intrusion by sophisticated intruders [4].
Normally, formal methods of verification are used whenever new security protocols are introduced. Nevertheless, formal methods have lacked the power to prove the absence of errors in protocols. Another limitation of formal methods is that they examine protocols offline, most likely in someone's research lab. As of now, there are no methods available to check a protocol online while it is being executed. These limitations make the implementation and use of security protocols vulnerable to attacks.
My master's project entails the development of a monitor that gathers events from encrypted sessions. The monitor uses a novel technique of gathering meta-information about network messages. Until now there existed no known method of collecting information for security protocol intrusion detection.
An integral element of my master's project was to develop a principal simulation environment. Principals are the names given to the processes that participate in the execution of security protocols. This simulated environment is used to test the functionality of the monitor by simulating normal, suspicious and attack behavior.
The rest of this paper is organized with the following objective in mind: present background information about intrusion detection systems, explain the inner workings of SEADS as described in [1] and finally provide a detailed description of the monitor and the principal simulation environment.
2. Background on Intrusion Detection Systems
Numerous intrusion detection systems have been created and applied to a wide range of problems [2]. They can be used on networks to provide an extra layer of security. However, they do not provide security alone. IDSs are designed to complement and assist other forms of security. This interoperability between security systems is essential and represents the time-tested principle of defense in depth.
The Common Intrusion Detection Framework or CIDF is a movement to develop ways to allow intrusion detection engines to interoperate with other programs [5]. One of their attempts is to architecturally divide the IDS into 4 major independent components that can be reused in other systems. These components consist of the following:
1. Event Generator
2. Event Analyzer
3. Event Database
4. Response Unit
The event generator is the component that samples activity from the network environment and convert the information into objects that can be used by other components. After converting the information into objects, the generator stores the objects in the event Database. The event analyzer retrieves the objects from the event database and analyses them in order to detect intrusions.
There are two main designs that are available to the event analyzer for detecting attacks: 1) the knowledge-based design and 2) the behavioral-based designs [6]. In theory, an IDS can use either or both design approaches to detect intruders.
The knowledge-based design detects intruders by pattern-matching user activity to known attack signatures. The signatures are kept in a database containing a repertoire of information describing normal, suspicious or attack behavior. A signature is a description of a behavior. For instance, in an operating system, an attack signature may consist of the following sequence of user commands:
…
su <correct password>
rm –R /*
If the event analyzer detects a sequence of events that matches a corresponding attack signature, then an attack has been detected.
The behavioral-based design uses statistical methods or artificial intelligence in order to detect attacks. Profiles of normal activity are created and stored in a database. Any activity gathered by the event generator that deviates from the normal profile in a statistically significant way can be deemed as suspicious activity or an attack.
3. Secure Enclave Attack Detection System (SEADS)
3.1 The Needham-Schroeder Protocol
To show how an intrusion detection program can detect an attack on a security protocol an example will be shown. The Needham-Schroeder Protocol or NSP is a popular and widely used key distribution and authentication protocol. This protocol was first introduced in [12] in 1978 and now countless papers show how intruders can spoof the participants by replaying messages. Nevertheless, this protocol is still widely used. The protocol contains the following messages:
This protocol achieves two-way authentication between participants A and B plus A and B are now in the possession of a common private key, which can be used to create a secure connection between the two. The protocol uses public-key encryption and the assistance of a central authentication server. In the first step of the protocol, A tells the authentication server S that he wishes to communicate with B. In return, the server replies with a message encrypted with A's public-key, kas.
{na,B,kab,{kab,A}kbs}kas
Inside the encrypted message lie the following items:
1. na – a generated random number called a nonce. The nonce is used to show the freshness of subsequent messages.
2. B – B's identification name.
3. kab - A private key whom A and B will share after the protocol has concluded.
4. {kab,A}kbs – A message destined for B encrypted with B's public key.
On step three, A sends to B the encrypted message received from S. B in turn replies to A with a nonce, nb, encrypted with the new private key, kab. A then proofs to B that he has the new key by sending to B a modified nb encrypted with kab.
The NSPKP protocol consists of 5 messages and it involves the participation of three parties. Since the messages in this protocol are encrypted, the contents of the message cannot be used to detect attacks. We must use other type of information. For instance, every message in the NSPKP protocol is sent by one participant and received by another. This series of send and received events are valuable information that does not involve the decryption of messages. The NSPKP protocol is shown below as a series of send and receive events:
1. A -> S
2. S <- A
3. S -> A
4. A <- S
5. A -> B
6. B <- A
7. B -> A
8. A <- B
9. A -> B
10. B <- A
Notice that the number of events in the protocol is twice the number of messages. This is due to the obvious fact that every message has a sender and receiver.
3.2 Detecting an Attack on NSPKP
It is now time to show an attack on NSPKP and show how the intrusion is detected. This particular attack was conceived in [3] and is referred to as the Lowe's attack. It requires the intruder to intercept messages from one session, opening a second session and replaying the intercepted messages on the second session.
Recall the last three message of the NSPKP.
3. A -> B: {kab,A}kbs
4. B -> A: {nb}kab
5. A -> B: {nb-1}kab
The attack on NSPKP is shown below:
Even though NSPKP encrypted the messages, the intruder, M, was still able to obtain authentication from both parties, A and B. The intruder does not have to decipher the payloads in order to perform this attack. Instead, the intruder relies on copying and replaying messages. In the example shown above, M intercepts a message from A that was destined for B. He then opens a new session with B using the message he obtained from A. Subsequently, B replies to M with its reply, which in turn M uses to reply back to A. This technique of copying and replying messages continues in steps 1-3 and 2-3.
In order for this attack to be possible, the intruder needs to be sophisticated enough to remove and insert messages in the network at will. Unfortunately, the technology to do this is available to many intruders.
The attack on the NSPKP protocol shown above, can be describe with the following series of send and receive events:
| Session 1 | Session 2 |
|---|---|
| 1. A -> S 2. S <- A 3. S -> A 4. A <- S 5. A -> B 6. --- 7. --- 8. A <- B 9. A -> B 10. --- | 1. --- 2. --- 3. --- 4. --- 5. --- 6. B <- A 7. B -> A 8. --- 9. --- 10. B <- A |
The absence of events 1-5 in session 2 is not necessarily an attack signature since A can open multiple sessions with B using the reply it obtained from the authentication server, S, on session 1. However, the missing events 6,7 and 10 in session 1 and events 8 and 9 in session 2 are enough to declared the presence of an intruder.
3.3 The Topology of SEADS
SEADS assumes secure communication between the monitor and principals. Inside this protected environment, the principals can safely forward information to
SEADS. However, the principals communicate between one another via public networks such as the Internet.
Secure Enclave Attack Detection System (SEADS)
Internet
Intruder
SEADS
Internet
Intruder
SEADS
Internet
Intruder
SEADS
Principals
Principals
Figure 3.3
According to this topology, the intruder only interacts with the principals on the public network.
Since SEADS is such a large program, a divide and conquer approach was used in its design. The program was conceptually divided into three parts similar to the ones described in the CIDF model presented in section 2. The three parts are:
1. The Monitor
2. The Intrusion Detection Engine (IDE)
3. The Knowledge Base (KB)
If we compare these components to the ones in the CIDF model, the monitor in SEADS is equivalent to the event generator and the event database. This is because the monitor gathers information from the network, converts the information to objects and stores these into an internal database. The intrusion detection engine and the knowledge base together are analogous to the event analyzer. The IDE uses the knowledge-base design described in section 2. It retrieves objects from the monitor's database and searches for the presence of attacks by comparing these with signatures stored in the KB. The KB is a repository of normal, suspicious and attack signatures.
3.4 Creating SEADS
The creation of SEADS began in a software engineering class taught by Dr. Alec Yasinsac in the fall of 2000. In this class, the project requirements were gathered, a preliminary design constructed and a crude prototype was developed. Three students, Sachin Goregaoker, Nikhil Patel and I continued the work on SEADS in the spring and summer of 2001. During this time, almost all of what is now SEADS was redesigned and recoded because the software produced in the software engineering class was not expandable. There were a few reasons for this. The main two reasons were: 1) our inexperience in programming for the Win32 platform and 2) the time constraint of developing a complicated piece of software in one class.
The project was divided into three parts. Sachin and Nikhil were responsible for creating the intrusion detection engine and knowledge base respectively. I was involved in the development of the monitor. In addition to this, I developed the Principal Simulation Environment.
The software that was developed runs on the Windows 2000 platform. It was written in C++ on the MS Visual C++ compiler. The code also uses the Win32 API, the Microsoft Foundation Classes (MFC) and the Standard Template Library (STL).
4. The Monitor
4.1 The Monitor's Database
In an intrusion detection system, the monitor is the component that gathers network traffic between principals. It packages this information into objects and stores them in the monitor's internal database.
The monitor is novel because it gathers information without looking at the contents of the network traffic. The information that is collected is meta-information about the traffic. In order to accomplish this, the principals are required to report events to the monitor. You may recall from section 3, that during the execution of a protocol, a series of messages are exchanged between principals. Each message in the protocol consist of two events: a send and a receive event. These send and receive events are the ones forwarded to the monitor.
Each time a principal reports to the monitor it packages the event in the following format:
[PN][Parties][Nonce][Event]
Each field in the packet has a purpose. Their description is listed below:
1. PN – the name of the protocol executed by this principal in this session
2. Parties – this is a list of all the principals participating in the session
3. Nonce – this number is used to differentiate between sessions among the same group of principals
4. Event – a send or receive event. This information also contains the two principals involved. For instance, A->B or A<-B.
A session represents one execution of a security protocol. At any given time, the monitor can be gathering information from countless of sessions involving different principals. It is crucial for the monitor to efficiently convert the packet into an event object and store it in its database. Figure 4a shows how an event object is stored
Figure 4.1
As shown above, a session can be identified from any other session with its PN, Parties and Nonce fields. Each session in turn has a collection of events.
It is worth noting that this organization of events by the monitor aids the intrusion detection engine in detecting attacks. This is due to the fact that many known attacks span multiple sessions involving the same group of principals [4]. Since the monitor's database stores events according to the group of principals involved, it is easy and fast for the IDE to retrieve this information.
4.2 The Monitor's Threads
The monitor was designed to be robust and able to handle a multitude of sessions. One possible scenario for the monitor is handling hundreds of sessions concurrently. To accomplish this, a multi-threaded design was chosen for the monitor. This design is commonly referred to in the literature as the consumer-producer thread design. In this case, the consumer is a thread, which is constantly listening to network socket connections and managing all the open sockets. Any information the consumer reads from a socket is quickly placed in a queue. The producer thread takes the packets waiting in the queue, checks them for proper format, converts them to event objects and then stores the objects in the monitor's database. After storing an object in the database, the producer thread signals the IDE engine about the presence of new events. In turn, the IDE uses a well-defined interface provided to it by the monitor to retrieve events from the monitor's database. This consumer-producer thread design helps the monitor handle many concurrent sessions by shifting the bottleneck from the network socket's I/O and into the internal, dynamic queue of the monitor. Figure 4.2 illustrates the monitor's threads collaborating in a consumer-producer thread design.
The Monitor's Use Case Scenario
4.3 The Monitor's Code
The monitor was coded in Visual C++ for the Win32 platform. Win32 kernel objects such as sockets, threads, events and critical sections were used extensively in the code. The sockets allowed the monitor to listen for network traffic and the threads were used in the coding of the consumer-producer monitor design. The events were used for signaling and synchronizing and the critical sections were used to assure the integrity of the monitor's data structures.
Standard Template Library containers were also used. For instance, the monitor's database was created with maps, linked-lists, and vectors. Since these containers grow dynamically, the monitor's database can hold as much data as possible limited only by the computer's memory. To learn more about the coding of the monitor please refer to the sections on the Appendix titled "Computer Skills Needed For The Project".
5. The Principal Simulation Environment
5.1 The Components of the Principal Simulation Environment
In order to test the functionality and correctness of SEADS, a network environment of principals was developed. These principals were created with the intelligence to initiate and engage in sessions involving other autonomous principals. The principals run on any Windows computer and they have the ability to execute any given protocol signatures over the network. As required, the principals always report the completion of events to the monitor. In addition, the principals have the ability to engage in different types of activity such as normal, suspicious or attack behavior.
The Principal Simulation Environment is a sizable system and is therefore divided into three different programs:
1. The Principal Simulator
2. The Principal Dispatcher
3. The Principals
The Principal Simulator provides the user-interface for creating an environment of principals. Each simulation requires the input of parameters that are used to configure the system. Some of the configuration parameters that the user can customize are the number of sessions to be executed, the computers involved in the simulation and the protocols and signatures that the principals will execute. After the simulation has been created, it is the job of the Principal Dispatcher to instantiate the principals at a given computer when instructed to do so by the Principal Simulator. The autonomous principals then communicate with each other, execute protocols and report events to the monitor. The figure 5.1 illustrates how the three components interact to produce a simulation.
The Principal Simulation Environment's Use Case
Figure 5.1
Principal
Simulator
1. The user interacts with
the Principal Simulator to
create and configure a
simulation.
PD
PD
PD
PD
PD
2. When the user clicks on run, the Principal Simulator
instructs the Principal Dispatchers at every participating
computer to create the principals according to the
configuration parameters entered by the user.
3. The Principal
Dispatcher creates
the principals
4. The Principals
communicate
with each other
Principal
Simulator
1. The user interacts with
the Principal Simulator to
create and configure a
simulation.
PD
PD
PD
PD
PD
PD
PD
PD
PD
PD
2. When the user clicks on run, the Principal Simulator
instructs the Principal Dispatchers at every participating
computer to create the principals according to the
configuration parameters entered by the user.
3. The Principal
Dispatcher creates
the principals
4. The Principals
communicate
with each other
5.2 The Principal Simulator
The Principal Simulator is the program that configures the network environment of principals. This is a GUI program that provides the user with an easy to use interface to create and run simulations.
All the commands necessary to work with the simulator are presented as menu items in the menu bar. The toolbar also contains the most commonly used commands such as run, new, edit, save and print. The user can create a new simulation by clicking on the new command. This command will show a dialog box that permits the user to add activities to the simulation. A simulation consists of activities and each activity requires the following configuration parameters:
1. Protocol name
2. Number of Sessions.
3. Do all sessions consist of the same group of principals? (Check box)
4. Configure Sessions – What signature will the principals execute? (normal, suspicious or attack)
5. Start time
In order to assist the user in selecting a protocol name, the program reads the file containing the protocol signatures and populates the "Protocol Name" combo box with the available protocols.
When the user clicks on the "Configure Sessions" button the following dialog box is displayed:
Again the program reads the protocol signature file to populate another combo box listing the attack signatures available for this particular protocol. The attack signatures are numbered from 0 to (n-1) where n is the total number of signatures given for the protocol. Once the user has finished adding activity to the simulation, all the configuration parameters are printed to the screen as shown below:
After the creation of a simulation, the user has the choice of editing, saving, printing or deleting the simulation. If he clicks on the edit button, a dialog box is shown that will allow the user to add or remove activities from the simulation.
Once the user has finally loaded a simulation in the Principal Simulator he is ready to run it. When the user clicks on run, the Principal Simulator communicates with every Principal Dispatcher running on all the Participating computers. The Principal Dispatcher in turns creates the principals that will run on his computer.
5.3 The Principal Dispatcher
Why is there a need to have a Principal Dispatcher? The reason for having a Principal Dispatcher has to do with the inability of creating processes on a computer remotely. This inability is expected since the ability to start remote processes on a computer can be seen as a security breach.
One solution around this problem is to create a process in every computer that listens to the network on a pre-established port number. The Principal Simulator sends instructions to each Principal Dispatcher at this port number. The instructions contain the number of Principals to be created and configuration parameters for each. After getting the instructions, the dispatcher creates each Principal. Below is a figure showing what the Principal Dispatcher looks like.
5.4 The Principals
Principals are autonomous network programs that engage in sessions with other principals. They execute protocols and report events to the monitor. The design issue for this program was figuring out the easiest way to create a principal that could engage in normal and attack behavior when instructed? The answer was to provide a file containing signatures of normal, suspicious and attack behavior that the principals could read and execute.
This file, named "Simulation_File.txt", is almost identical to the one provided to the intrusion detection engine by the knowledge base. The file is divided by protocols and each protocol contains at most one normal signature. Any additional signatures in the file represent suspicious or attack scenarios. An example of a signature present in the file is the one shown below executing a normal session of the Denning-Sacco Protocol or DSP:
begin DSP -1
A -> S
S <- A
S -> A
A <- S
A -> B
B <- A end
When the Principal Dispatcher creates the Principal the first step is to read "Simulaiton_File.txt". After picking the selected signature from the database the Principal determines the number of other Principals involved. This number may differ
The Monitor and Principals since different security protocols differ in the number of participating entities. However, all protocols involve at least two principals.
The next step is to determine the initiating principal. The initiator is responsible for creating a random number called a nonce. As you may recall, the monitor identifies
sessions by using the protocol name, group of principals and nonce. The initiating principal is now ready to send the first message to the corresponding party. During the
execution of the protocol signature the principals report the event to the monitor. Figure
5.4 shows the flow chart of the Principal program.
The Principal's Use Case
Figure 5.4
Send the next message
to the corresponding
principal. Forward
message to the monitor
Start
Read knowledge database
Open network connections to
monitor and other principals
Process configuration information
supplied by the principal simulator
Initialization
If Initiator?
send the first message
to the corresponding
principal. Forward
message to the
monitor
Yes
Wait for
messages
from other
principals
No
Message
received
If protocol
is over or
timeout?
No
Yes
End
Send the next message
to the corresponding
principal. Forward
message to the monitor
Start
Read knowledge database
Open network connections to
monitor and other principals
Process configuration information
supplied by the principal simulator
Initialization
If Initiator?
send the first message
to the corresponding
principal. Forward
message to the
monitor
Yes
Wait for
messages
from other
principals
No
Message
received
If protocol
is over or
timeout?
No
Yes
End
The principals have the special ability to open multiple sessions with the same group of principals. They can accomplish this feat with the assistance of threads. This feature is necessary since some protocols require the execution of parallel sessions. In addition, opening multiple sessions allows for the simulation of particular sophisticated attacks. These types of attacks usually involve the intruder opening multiple sessions with the same group of principals.
6. Test and Results
Extensive testing and demos were conducted to test the functionality of the Monitor and the Principal Simulation Environment. In all the tests, the software executed according to specifications. In addition, the monitor was successfully integrated with the intrusion detection engine. In all the tests, SEADS detected the simulated suspicious and attack behavior.
Stress tests were also conducted to test the robustness of the software. These tests primarily involved overloading the network with a multitude of sessions executing different protocols and involving different principals. The Principals were successful at generating a large volume of traffic and the monitor was able to gather all event information from the principals.
Some of the most significant tests are listed on the Appendix under "Test and Results".
7. Conclusion
Why implement the monitor? How can the creation of this software contribute to security research? This monitor program shows that relevant and useful information can be gathered without having to examine the payload of messages exchanged between principals. This is very significant since encryption is becoming increasingly popular and will be widely used by computers in the future.
An integral part of my project was the creation of the Principal Simulation Environment. The monitor needs the active participation of the principals in order to collect the meta-information from the network traffic. The principals are autonomous network programs that execute signatures between each other and report the events to the monitor.
If future work were to be done, what kind of improvements would the monitor obtain? One thing that would be useful is to recreate the interface of the monitor according to the specifications listed by the Common Intrusion Detection Framework. In this way, the monitor could theoretically be reused in other intrusion detection systems looking for a Windows monitor program. As you may recall, CIDF is a movement to divide intrusion detection systems into portable parts that can be reuse in other systems. CIDF was discussed in section 2. Another possible modification to the monitor would be to make it platform independent and mobile. In this way, the monitor could be deployed in different systems running a variety of operating systems.
Appendix
1. Test and Results
All tests were conducted in the newly created Computer Science Security Lab called SAIT. During the tests, six workstations running Windows 2000 were used. Two of the workstations were SUN Microsystems running Windows 2000 via a SUNPCI card. All the PCs were equipped with a Pentium III processor and 128MB of RAM. The tests were created using the Principal Simulator program presented in this paper. After the tests were created they were saved to files with .sop extensions. These tests are listed below:
Test # 1 – "StressTest_5.sop"
The file "StressTest_5.sop" contains a compilation of 11 sessions divided into 5 activities. The session parameters are listed in the following table:
| Activity # and Protocol Name | Session # | Signature | Group of Principals | Starting Time | Total # of Principals |
|---|---|---|---|---|---|
| 1. DSP | 1 | Attack #0 | Different Groups | 0 seconds | 3*3 = 9 |
| | 2 | Normal | | 2 seconds | |
| | 3 | Normal | | 4 seconds | |
| 2. DSP | 1 | Attack #0 | Same Group | 0 seconds | 3 |
| | 2 | Attack #0 | | 2 seconds | |
| 3. ISKOPUAP | 1 | Attack #0 | Different Groups | 4 seconds | 2*2 = 4 |
| | 2 | Attack #0 | | 6 seconds | |
| 4. ISKTPUAP | 1 | Attack #0 | Same Group | 5 seconds | 2 |
| | 2 | Attack #0 | | 7 seconds | |
| 5. ORP | 1 | Attack #0 | Different Group | 8 seconds | 2*3 = 6 |
| | 2 | Attack #1 | | 10 seconds | |
| Total # of Principals | | | | | 24 |
Note that the number of principals involved in each session is determined by the protocol being executed. For instance, the DSP protocol requires the participation of three principals.
The main objective of this test was to examine the correctness of the simulator. Could the Principal Simulation Environment create principals that executed according to the parameters entered by the user? Specifically, the principal's starting time and its attack signature.
Test # 2 – "ParallelStress.sop"
The file "ParallelStress.sop" contains a compilation of 8 sessions divided into 4 activities. The session parameters are listed in the following table:
| Activity # and Protocol Name | Session # | Signature | Group of Principals | Starting Time | Total # of Principals |
|---|---|---|---|---|---|
| 1. WLAPF | 1 | Attack #0 | Same Group | 0 seconds | 3 |
| | 2 | Normal | | 3 seconds | |
| 2. WLAPF | 1 | Attack #0 | Same Group | 1 seconds | 3 |
| | 2 | Normal | | 13 seconds | |
| 3. ORP | 1 | Normal | Same Group | 2 seconds | 3 |
| | 2 | Attack #1 | | 4 seconds | |
| 4. ORP | 1 | Normal | Same Group | 4 seconds | 3 |
| | 2 | Attack #1 | | 16 seconds | |
| Total # of Principals | | | | | 12 |
| Status of Test | | | | | Success |
The main objective of this test was to show that the Principal Simulation Environment is capable of simulating parallel and replay session attacks. These types of attacks involve the same group of principals engaging in multiple sessions. In parallel session attacks, the first session starts and then blocks for a predefined amount of time. While the first session is blocking, the second session executes. Once the second session is finished, the first session unblocks and continues executing until it finishes. Replay session attacks are similar to parallel session attacks except that the two sessions do not interleave. Recall
that information about any given attack is available on the signature file. The principal's job is to read the proper signature and execute it accordingly. This test showed that the principals were able to execute complicated signatures available on the file "Simulation_File.txt".
Test # 3 – Combination
This test consisted of running the monitor for one hour and seeing if it could handle a magnitude of sessions. In this test, several test files were executed repeatedly. The "Other Files" listed below are test files that are variations of the StressTest_5.sop and ParallelStress.sop files.
| Test File | Number Of Times Executed | Total # of Principals |
|---|---|---|
| 1. StressTest_5.sop | > 25 | > 24 * 5 |
| 2. ParallelStress.sop | > 10 | > 12 * 5 |
| 3. Other Files | > 10 | > #P * 10 |
| Status of Test | | Success |
This test showed that the monitor is robust, stable and accurate. It handled a great deal of information and operated for a prolonged period of time. The large number of sessions generated a great deal of network traffic, which the monitor had to store in its database. After the test, the monitor's database was analyzed and as hoped, there was no loss of information. In addition, all the events were accurately organized in the database.
2. Computer Skills Needed For The Project
The Monitor and the Principal Simulation Environment are network and multithreaded software that runs on the Windows platform. They use complex data structures and algorithms. Moreover, the Principal Simulation Environment uses GUI programming for its user interface. In all, this was complicated software to write and it required the learning of new programming skills. The following is a list of skills used during the coding phase of this project:
I. STL Containers – The Standard Template Library containers are template classes that can contain literary any data type including other containers. The containers can grow dynamically as you add elements and their interface is standardized and easy to use. The containers used in my project are listed below:
a. Maps – these are associative arrays implemented as binary trees. They are also called dictionaries. They are convenient since they allow the programmer to index the array with different data types.
b. Linked-lists – these containers are useful if you require a data structure that can efficiently delete or add items anywhere on the list.
c. Vectors – useful if you need a dynamic array.
d. Queues and Strings
One of the fundamental designs of STL is based on the separation between data and operations. All the containers provide iterators with similar interfaces to read the containers. Therefore, if the programmer wishes to change the container type in the middle of the project the code changes little. This idea is shown pictorially below:
STL is based on a separation of data and operations
Your Code
Containers
Containers
Iterator
Iterator
Your Code
Containers
Containers
Iterator
Iterator
Your Code
Containers
Containers
Containers
Containers
Iterator
Iterator
Iterator
Iterator
Iterator
Iterator
II. Win32 Programming – It was very rewarding and convenient programming for Windows thanks to the many tools and documentation available. First of all, credit has to be given to the Visual C++ compiler. It is superb. It really helps the programmer be more productive. Its debugger, color coded text, wizards, controls and pop-up combo-boxes and other features makes the life of the programmer a lot easier. The Visual C++ compiler also has the assistance of the MSDN library, which documents the Win32 API. The library contains hyperlinks that makes it easy to navigate the documentation.
The Win32 API was also convenient. Threads, network sockets, events and critical sections are all considered kernel objects. They are robust and well documented. Event objects were used as signal for reading sockets, and synchronizing threads. The critical section objects were used to maintain the integrity of the data structures when multiple accesses by different threads were a possibility.
The Microsoft Foundation Library or MFC was used to create the GUI of the program. MFC provides the programmer the ability to easily create user-interfaces with features that users have come to expect from software. One of these features is printing capability. In general, MFC allows the programmer to create programs that have the "look and feel" and streamline characteristics of popular Window programs.
One drawback about Win32 programming in general is its propriety nature. It refuses to be POSIX compliant. POSIX is an interface standard and it stands for Portable Operating System Interface. If a program is written with the POSIX interface when using sockets, threads and other kernel objects then the program can easily be ported to other computer platforms. However, Microsoft worst nightmare would be if Windows programs were easily ported to other computers. Therefore, it is very hard or nearly impossible to write program for windows that are platform independent.
Bibliography
[1] Alec Yasinsac, "Detecting Intrusions in Security Protocols", Proceedings of First Workshop on Intrusion Detection Systems, in the 7th ACM Conference on computer and Communication Security, June 2000
[2] Alec Yasinsac, "Active Protection of Trusted Security Services", Technical Report TR--000101, Department of Computer Science, Florida State University, Jan 2000
[3] Gavin Lowe, "Breaking and Fixing the Needham-Schroeder Public Key Protocol Using FDR", In Proceedings of TACAS, Vol. 1055 of Lecture Notes in Computer Science, pp147-166, Springer-Verlag, 1996
[4] John Clark and Jeremy Jacob, "A Survey of Authentication Protocol Literature: Version 1.0", 1997
[5] Brian Tung, Common Intrusion Detection Framework (CIDF)-website, www.gidos.org
[6] Dorothy E. Denning, "An Intrusion-Detection Model", From 1986 IEEE Computer Society Symposium on Research in Security and Privacy, pp118-131
[7] Aaron Cohen and Mike Woodring, Win32 Multithreaded Programming, O'Reilly Press, 1998
[8] Nicolai M. Josuttis, The C++ Standard Library , Addison-Wesley, 1999
[9] Chuck Sphar, Learn Microsoft Visual C++ 6.0 Now, Microsoft Press, 1999
[10] Anthony Jones, Network Programming for Microsoft Windows, Microsoft Press, 1999
[11] Robert C. Martin, "UML Tutorial", www.uml.org, Nov. 1998
[12] Roger M. Needham, Michael D. Schroeder, "Using Encryption for Authentication in Large Networks of Computers", Communications of the ACM December 1978 vol. 21 #12, pp.993-999
|
408096 TurneyJournal of Social Health and Behavior
HSBXXX10.1177/0022146511408096
Maternal Depression and Childhood Health Inequalities
Kristin Turney 1
Abstract
An increasing body of literature documents considerable inequalities in the health of young children in the United States, though maternal depression is one important, yet often overlooked, determinant of children's health. In this article, the author uses data from the Fragile Families and Child Wellbeing Study (N = 4,048) and finds that maternal depression, particularly recurrent or chronic depression, puts children at risk of having unfavorable health when they are five years old. This finding persists despite adjusting for a host of demographic characteristics of the mothers and children (including children's prior health) and is consistent across multiple health outcomes. Family instability, maternal health, and socioeconomic status account for the association between maternal depression and children's health. Given that poor childhood health may lead to poor health and low socioeconomic status in adulthood, maternal depression may contribute to the intergenerational transmission of inequality.
Keywords
children's health, Fragile Families, intergenerational transmission of disadvantage, maternal depression
An increasing body of literature documents considerable inequalities in the health of young children in the United States (Aber et al. 1997). These inequalities begin as early as infancy (Braveman et al. 2001) and intensify as individuals progress throughout the life course (Bloom, Cohen, and Freeman 2009). It is well documented that racial minorities, children in single-mother families, and children in poor households experience vulnerabilities with respect to their health status (Bloom et al. 2009). Children in poor households, for example, are more than five times as likely as children in nonpoor families to have parent-reported fair or poor health, creating a large public health burden in already disadvantaged families and communities (Bloom et al. 2009). Because poor health in childhood may lead to poor health and low socioeconomic status in adulthood, it is especially crucial to understand the determinants of early childhood health (Case, Fertig, and Paxson 2005; Haas 2006).
depression may lead to impairments in young children's health. Symptoms of depression—including fatigue, difficulty concentrating, or losing interest in daily activities—may influence a mother's ability to make and keep doctor's appointments for her children, adhere to treatment regimes for sick children, or notice health problems as they arise. In addition, research consistently finds that depression may increase economic insecurity (Marcotte and Wilcox-Gok 2001), impede union formation or contribute to conflict in already established unions (Kim and McKenry 2002; Teitler and Reichman 2008), and foster additional health problems (Aneshensel, Frerichs, and Huba 1984), all of which are independently linked to health problems
1University of California, Irvine, CA, USA
Corresponding Author:
Maternal depression is one important, yet often overlooked, determinant of children's health. However, there is reason to believe that maternal
Kristin Turney, University of California, Irvine,
Department of Sociology, 3151 Social Science Plaza,
Irvine, CA 92697-5100, USA
E-mail: email@example.com
at UNIV CALIFORNIA IRVINE on May 17, 2014
hsb.sagepub.com
Downloaded from
Journal of Health and Social Behavior 52(3) 314–332 © American Sociological Association 2011 DOI: 10.1177/0022146511408096 http://jhsb.sagepub.com
in children. Indeed, though little research links maternal depression to children's health, a large body of literature suggests that depression among mothers can have other harmful consequences for children. Children of depressed mothers are more likely than other children to have impaired social, behavioral, and cognitive outcomes in infancy, childhood, adolescence, and adulthood (Augustine and Crosnoe 2010; Goodman and Gotlib 2002; Meadows, McLanahan, and Brooks-Gunn 2007; Turney 2011). Though maternal depression is consistently associated with more mental health problems and behavioral problems in young children, we know little about how maternal depression may matter for children's physical health.
Thus, in this article, I examine how maternal depression may be linked to children's health, using data from the Fragile Families and Child Wellbeing Study. The Fragile Families study is a longitudinal, recent cohort of about 5,000 children born in urban areas between 1998 and 2000. I examine how chronic, persistent maternal depression and intermittent or short-term maternal depression may lead to inequalities in five-year-old children's health. The main analyses examine mother-reported general child health, and additional analyses consider specific health conditions (e.g., asthma) and health care utilization (e.g., going to the emergency room). The analyses also adjust for a lagged indicator of child health to better estimate the causal direction of the relationship between maternal depression and children's health. I also extend prior research by examining the mechanisms underlying the association between maternal depression and children's health. In addition, this article contributes to the literature by using a diverse sample of children, many born to unmarried mothers. Understanding the outcomes of children born to unmarried parents is important, as this is an increasing demographic group (Hamilton, Martin, and Ventura 2010), these children may be particularly vulnerable (Sigle-Rushton and McLanahan 2004), and we know little about the consequences of maternal depression for these children (Goodman and Gotlib 2002).
Background
Importance of Understanding Child Health
course. Some argue that early childhood health sets the stage for school readiness (Padilla, Hamilton, and Hummer 2009), and research shows that poor childhood health is associated with cognitive difficulties (Eide, Showalter, and Goldhaber 2010). In addition, children with health problems experience more school absences than their healthy counterparts and are less likely to be involved in school activities (Blanchard, Gurka, and Blackman 2006). Given that experiences in elementary school place children on a trajectory to experience additional advantages or disadvantages in the educational system, these early health disparities may have implications for stratification across the life course (Entwisle and Alexander 1989). Thus, it is not surprising that poor health in childhood has also been linked to a host of disadvantages in adulthood. Those who experience poor health as children, for example, are likely to have poor health and lower socioeconomic status in adulthood (Case et al. 2005; Haas 2006).
Maternal Depression and Children's Health
The life course perspective has emerged as the dominant framework for understanding human development. This perspective highlights the intergenerational transmission of advantage and disadvantage as well as the interdependence of social relationships; thus, the mental health of mothers may be linked to the well-being of their children (Elder 1998). As discussed earlier, a growing body of literature documents the consequences of maternal depression for children's mental health, including behavioral problems. Among young children, maternal depression leads to both internalizing and externalizing behavior problems (Meadows et al. 2007; Turney 2011).
Though a robust body of literature suggests depression in mothers may lead to mental health problems in their children, researchers have paid less attention to the consequences of maternal depression for children's physical health. Theoretically, there are strong reasons why maternal depression may lead to impairments in child health. Symptoms of depression—including fatigue, difficulty concentrating, or losing interest in daily activities—may influence a mother's ability to make and keep doctor's appointments for her children, notice health problems in children, and adhere to treatment regimes for sick children.
Understanding the correlates of physical health in young children is important because early health inequalities are reproduced throughout the life
There are several examinations linking maternal depression and child health. Angel and Worobey (1988), in their cross-sectional study of Mexican at UNIV CALIFORNIA IRVINE on May 17, 2014
children in the Hispanic Health and Nutrition Examination Survey (Hispanic HANES), find that maternal depression is one of the largest predictors of poor health among children ages six months to 11 years. Regional studies come to similar conclusions. One study finds that maternal depression is associated with fair or poor health among children under the age of three, though this study uses a cross-sectional, convenience sample of children visiting hospital clinics or emergency departments (Casey et al. 2004). Evidence from a sample of 150 mostly white, middle- to upper-class children with a family history of asthma shows that asthma diagnoses by age eight are higher in children of depressed mothers (Klinnert et al. 2001). Greater depressive symptoms in mothers are associated with more visits to hospital emergency departments (Bartlett et al. 2004; Minkovitz et al. 2005), more hospitalizations (Casey et al. 2004), and fewer well-child visits (Minkovitz et al. 2005). Thus, though there is evidence that maternal depression may lead to health problems in children, the existing literature is often based on small, cross-sectional, or homogenous samples of children and does not examine the mechanisms linking maternal depression and children's health.
Children who reside with chronically depressed mothers may be more vulnerable than children of mothers who experience short-term, fleeting depression. When depression is chronic and recurrent, mothers may experience a more persistently stressful and less supportive social context than when depression is intermittent (Turner and Lloyd 1999), which may reduce mothers' capacities to engage in preventive health measures with their children. Research points to the detrimental consequences of chronic maternal depression for children's behavioral outcomes (Turney 2011), and these consequences may extend to children's physical health outcomes. Indeed, other research shows that mothers chronically but not intermittently depressed are more likely to smoke and less likely to have a car seat for their child (Leiferman 2002).
Potential Mechanisms Linking Maternal Depression to Children's Health
they provide a useful starting point for understanding the intergenerational transmission of health.
Socioeconomic status. To begin with, there is a robust link between depression or depressive symptoms and socioeconomic status. Though low socioeconomic status may lead to depression (Heflin and Iceland 2009), there is also evidence that depression contributes to low socioeconomic status (Marcotte and Wilcox-Gok 2001). Low socioeconomic status is also associated with less favorable health outcomes in children (Bloom et al. 2009), and employed mothers generally have healthier children (Osborne and Knab 2007). Health insurance may also link maternal depression to children's physical health, as maternal mental illness is associated with a lower likelihood of having private health insurance (Noonan et al. 2010). Health insurance may make it easier to engage in preventive health care for children (Berk and Schur 1998).
Family instability and change. Family instability may be another mechanism through which maternal depression is associated with children's outcomes. A robust literature addresses the consequences of psychological well-being for union formation, documenting that depressed individuals are less likely to form unions and more likely to divorce (Simon 2002). Another body of literature describes the protective effects of marriage for children's physical health (Angel and Worobey 1988; Harknett 2009). Multipartnered fertility and relationship quality are also associated with maternal depression and children's outcomes (Bronte-Tinkew, Horowitz, and Scott 2009; Turney and Carlson 2011; Wade and Pevalin 2004).
Maternal health and health behaviors. Finally, maternal health and health behaviors may mediate the association between maternal depression and child health. Depression is associated with health problems (Aneshensel et al. 1984). Substance use is correlated with depression and children's outcomes (Osborne and Berger 2009), and depression may inhibit a mother's ability to engage in physical activity with her child (Frech and Kimbro 2011).
Additional Correlates of Maternal Depression and Children's Health
Depression may lead to low socioeconomic status, family instability, or less favorable health among mothers, all of which may contribute to poor health outcomes in children. Though these proposed mechanisms are not exhaustive of all pathways,
Additional individual-level characteristics may render the association between maternal depression and children's health spurious. Race and immigrant status are important correlates of both depression and child health. Black and Hispanic children have at UNIV CALIFORNIA IRVINE on May 17, 2014
worse general health than white children (Bloom et al. 2009), and children of immigrants have worse physical health than their native-born counterparts (Crosnoe 2006). The association between age and depression is nonlinear (Kessler and Zhao 1999), and children of older mothers may have more favorable health outcomes (Furstenberg, BrooksGunn, and Chase-Lansdale 1989). Additional characteristics of the family environment such as number of siblings may be inversely associated with child well-being (Downey 1995). The multivariate analyses also control for whether the child is the mother's first birth, given that first-time mothers likely encounter more challenges in parenting (Cowan and Cowan 1992), as well as whether the mother smoked while pregnant (Fox, Sexton, and Hebel 1990). Child characteristics such as gender and birth weight are known correlates of health (Bloom et al. 2009).
Research Questions
In this article, I examine two research questions. First, what is the relationship between maternal depression over time and five-year-old children's health? Second, to what extent do socioeconomic status, family instability and change, and maternal health and health behaviors explain the association between maternal depression and children's health? The main analyses operationalize children's health as mother-reported general health status. Though adult self-reported health status is considered a valid indicator of well-being and an important predictor of mortality (Idler and Benyamini 1997), much less research examines the validity of parent-reported child health. Some evidence, though, shows parentreported health is a reliable indicator of wellbeing. Parent-reported health, for example, is correlated with doctor reports of child health (Case, Lubotsky, and Paxson 2002). Others find that parental reports of child health are associated with health care utilization (Monette et al. 2007), children's functional limitations (Arcia 1998), asthma (Monette et al. 2007), and other acute and chronic medical conditions (Arcia 1998; McCormick et al. 1993). Because depressed mothers may have negative, distorted perceptions of their children, I also consider a series of additional, more objective indicators of health (asthma attack, hay fever or respiratory allergy, and eczema or skin allergy in the past year) and health care utilization (dentist visit, emergency room visit, and doctor visits due to illness, accident, or injury in the past year) that may be subject to environmental influences.
Method Data
I use data from the Fragile Families and Child Wellbeing Study, a longitudinal survey of nearly 5,000 new and mostly unmarried parents in 20 U.S. cities that were stratified by labor market conditions, welfare generosity, and child support policies (Reichman et al. 2001). Births to unmarried mothers were oversampled and comprise about 76 percent of the initial sample; therefore, the sample overrepresents minority children, economically disadvantaged children, and children with nonresidential fathers. Mothers completed an in-person interview after the birth of their child, between February 1998 and September 2000. Fathers were interviewed as soon as possible after the child's birth. Mothers and fathers were interviewed by telephone when their children were approximately one, three, and five years old. About 86 percent of mothers participated in the baseline interview, and of these, about 90 percent, 88 percent, and 87 percent completed the one-, three-, and five-year surveys, respectively (Bendheim-Thoman Center for Research on Child Wellbeing 2008).
The analytic sample comprises 4,048 observations, as I delete 850 observations missing data on children's general health at the five-year survey (including 91 cases excluded because the child was not living with the mother). Importantly, mothers in the analytic and full samples report similar levels of depression, child health, and most demographic and socioeconomic characteristics. Mothers in the analytic sample have greater educational attainment (p < .05).
Measures
Child health. The main analyses consider a measure of general child health. At the one-, three-, and five-year surveys, mothers were asked to rate their at UNIV CALIFORNIA IRVINE on May 17, 2014
child's general health (poor, fair, good, very good, or excellent). Because relatively few children were in fair or poor health, I collapse these response categories (1 = fair or poor, 2 = good, 3 = very good, 4 = excellent). In additional analyses, I examine three specific, more objective indicators of children's health at the five-year survey: asthma attack in the past year, hay fever or respiratory allergies in the past year, and eczema or skin allergies in the past year. I also examine three indicators of health care utilization in the past year: visit dentist for a check-up, visit emergency room, and number of doctor's visits due to illness, accident, or injury. All are dummy variables except for number of doctor's visits, which ranges from 0 to 25.
Maternal depression. Maternal depression is measured with the Composite International Diagnostic Interview Short Form (CIDI-SF; Kessler et al. 1998). Mothers were asked if, at some time during the past year, they had feelings of depression or were unable to enjoy normally pleasurable things. Those who experienced at least one of these two conditions most of the day, every day for a two-week period were asked additional questions (about losing interest in things, feeling tired, experiencing a change in weight of at least 10 pounds, having trouble sleeping, having trouble concentrating, feeling worthless, or thinking about death), and those who answered affirmatively to three or more of these questions are considered depressed. Although limitations to the CIDI-SF exist (Link 2002), it is commonly used in large-scale community surveys. Based on mothers' responses at the one-, three-, and five-year surveys, I create mutually exclusive variables that capture the chronicity of depression: never depressed (reference category), depressed at one time period, depressed at two time periods, and depressed at three time periods.
some point in the past 12 months, they experienced certain events because there was not enough money, such as received free food or meals or did not pay the full amount of rent or mortgage. Mothers' answers to these 12 questions were summed to create an indicator of material hardship, with greater values indicating more material hardship. Finally, a series of dummy variables represents children's health insurance status: private health insurance, public health insurance, and no health insurance (reference category).
Family instability and change. The multivariate analyses include seven indicators of family instability and change. First, a series of dummy variables captures the relationship between the child's biological mother and father at the five-year survey: married, cohabiting, and nonresidential or no relationship (reference category). I also control for the number of family structure transitions the child experienced through the five-year survey: no transitions (reference category), one transition, and two or more transitions. Dummy variables indicate the child's mother has a new romantic partner at the fiveyear survey, the mother has children by more than one partner, and the presence of a new child in the household. Hostility in the current relationship comprises an average of responses to the following questions (0 = no relationship, 1 = never, 2 = sometimes, 3 = often): he/she insults or criticizes your ideas; he/she tries to keep you from seeing friends or family; he/she tries to prevent you from going to work or school; and he/she withholds money or tries to take your money (α = .926). Finally, number of residential moves the child made through the five-year survey is a continuous variable.
Socioeconomic status. The multivariate analyses include five indicators of socioeconomic status at the five-year survey. First, a dummy variable indicates the respondent worked during the week prior to the interview. Dummy variables capture educational attainment: less than high school diploma (reference category), high school diploma or GED, and postsecondary education. Income-to-poverty ratio is the ratio of the total household income to the official poverty thresholds established by the U.S. Census Bureau. Mothers were asked if, at
Health and health behaviors. The four indicators of health and health behaviors are measured at the five-year survey. I include a dummy variable indicating the mother reports a serious health problem (defined as asthma, diabetes, high blood pressure, or heart disease) that limits her work, as well as a dummy variable indicating she smoked cigarettes in the past month. I also control for the mother having a substance abuse problem, defined as an affirmative response that drinking, being hungover, or using drugs interfered with school, work, or home in the last 12 months. Finally, I include a variable that captures how many days in a typical week the mother plays outside with her child. 1
at UNIV CALIFORNIA IRVINE on May 17, 2014
Controls. I control for a host of maternal characteristics measured at baseline, ensuring they are as exogenous as possible from the dependent variable and measured prior to depression. Mother's race is represented by a series of dummy variables: white (reference category), black, Hispanic, and other race. A dummy variable indicates the respondent was born outside of the United States. I control for mother's age, a continuous variable, and include a squared term in the multivariate analyses. Dummy variables represent the mother's and father's relationship status at birth: married, cohabiting, and nonresidential or no relationship (reference). Number of children in the household is a continuous variable, and a dummy variable indicates the child was the mother's first birth. I control for several indicators of socioeconomic status, including a series of dummy variables for education (less than high school diploma, [reference category], high school diploma or GED, and postsecondary education), a dummy variable indicating the birth was paid for by Medicaid, and a continuous income-to-poverty ratio. Dummy variables indicate the mother reported fair or poor health and that the mother reported smoking during her pregnancy. Finally, the multivariate analyses include dummy variables indicating the child is male and the child was born with low birth weight (less than 2,500 grams). 2
Analytic Strategy
estimated cutpoint of the latent variable used to distinguish the categories (Borooah 2002). I include maternal depression in all ordered logistic regression models. Model 1 presents the unadjusted association between chronicity of maternal depression and child health. Model 2 includes a host of covariates measured at baseline, and Model 3 adds a lagged indicator of child health (measured when children were about one year old). Table 3, which displays predicted probabilities for each of the four categories of child health by maternal depression, is based on estimates from Table 2.
One potential limitation of ordered logistic regression models is that they may be subject to unobserved heterogeneity. Fixed-effects models, which would estimate child health net of timevarying observed characteristics and all timeinvariant characteristics, may provide a better opportunity to estimate a causal relationship between maternal depression and child health. However, fixed-effects models would drop all observations in which maternal depression does not change over time (including the chronically depressed and the never depressed), making it impossible to examine the differential effect of chronic and transitory depression. Fixed-effects models also do not have the ability to estimate constant factors such as race. I do, however, include a lagged indicator of child health in the ordered logistic regression models, which is another appropriate way to measure change (Allison 1994).
In Table 1, I present descriptive statistics of all variables for the full sample and by the chronicity of maternal depression. The multivariate analyses proceed in three parts. In the first part, in Table 2, I estimate the relationship between maternal depression and children's general health with ordered logistic regression models, which estimate the cumulative probability of being at or below a particular category (e.g., very good health) as a function of the covariates. Ordered logistic regression models are appropriate because higher values indicate more favorable health and because the distance between categories may not be the same. The coefficients can be used to interpret the direction, statistical significance, and magnitude of the relationship between maternal depression and child health. The distance between the health categories is unknown, and the intercepts presented show the
In the second part of the analyses, presented in Table 4, I estimate six additional indicators of health and health care utilization. I use logistic regression models to predict all outcomes except the number of doctor visits; for this outcome, I use Poisson regression models to account for this variable's skewed distribution. These analyses have two limitations. First, with the exception of asthma, these questions were only asked of the subsample of mothers who participated in the in-home survey. In addition, these questions were only asked at one point in time, making it impossible to adjust for lagged dependent variables.
In the final stage, presented in Table 5, I examine mechanisms that may explain the association between maternal depression and children's health. In this table, models include all covariates from Model 3 of Table 2. Model 1 adjusts for socioeconomic status at at UNIV CALIFORNIA IRVINE on May 17, 2014
Table 1. Descriptive Statistics of Variables Included in Analyses, Entire Sample and by Maternal Depression
(continued)
at UNIV CALIFORNIA IRVINE on May 17, 2014
Table 1. (continued)
(continued)
at UNIV CALIFORNIA IRVINE on May 17, 2014
Table 1. (continued)
Note: Sample sizes across groups do not sum to the total N (4,048) because of missing data on maternal depression. Asterisks compare never depressed mothers to all other groups of mothers. b = measured at baseline survey; y1 = measured at one-year survey; y3 = measured at three-year survey; y5 = measured at five-year survey. *p < .05. **p < .01. ***p < .001.
the five-year survey, Model 2 adjusts for family instability and change, and Model 3 adjusts for maternal health and health behaviors. The last model includes all potential mechanisms.
Because observations are clustered within 20 cities, I use clustered standard errors and city fixedeffects in all models. I present weighted and unweighted descriptive statistics. The multivariate estimates do not use survey weights because I adjust for all variables used in creating the weights (race/ethnicity, education, marital status, and age), though multivariate results are robust when using the survey weights. All control variables are missing fewer than 3 percent of observations, and I use the ice command in Stata to impute missing data (Royston 2004). I produce 10 data sets and in the imputation model include all variables used in the analyses (Allison 2002).
past year. Notably, more than 27 percent of children in the weighted analytic sample have a mother who reported at least one episode of depression during the first five years of their lives. The majority of mothers in the weighted analytic sample are minorities; about 34 percent are black, 29 percent are Hispanic, and 8 percent are other race. About 27 percent of mothers are foreign-born. They are 27 years old, on average, at the birth of the focal child, and about 40 percent are first-time parents. About 60 percent did not receive education beyond high school, and about 54 percent of births were paid for by Medicaid.
Sample Description
I present descriptive statistics in Table 1. About 64 percent of children in the weighted analytic sample are in excellent health at the five-year survey, 25 percent are in very good health, 10 percent are in good health, and 2 percent are in fair or poor health. With respect to specific health conditions, about 7 percent of children had an asthma attack, 13 percent had hay fever or respiratory allergies, and 16 percent had eczema or skin allergies in the
Table 1 displays sharp differences in five-yearold children's health by the chronicity of maternal depression. When mothers experience chronic depression (i.e., report depression at the one-, three-, and five-year surveys), their children are more likely than children of never depressed mothers to be in fair or poor health (5 percent, compared to 1 percent) and less likely to be in excellent health (47 percent, compared to 65 percent). Children of chronically depressed mothers, compared to their counterparts with never depressed mothers, are about twice as likely to have had an asthma attack, hay fever or respiratory allergies, or eczema or skin allergies in the past year. Children's health also suffers when their mothers report depression that is recurrent (reported at one or two time periods) but not chronic.
at UNIV CALIFORNIA IRVINE on May 17, 2014
Table 2. Ordered Logistic Regression Models Estimating Five-Year-Old Children's General Health as a Function of Maternal Depression
Note: All models include city fixed-effects and use robust standard errors. b = measured at baseline survey; y1 = measured at one-year survey; y3 = measured at three-year survey; y5 = measured at five-year survey. *p < .05. **p < .01. ***p < .001.
Both chronic and recurrent depression is associated with additional disadvantages for mothers and children. Children of never depressed mothers, compared to their counterparts with mothers who report at least one episode of depression, have a greater income-to-poverty ratio, experience less material hardship, and are more likely to have private health insurance at the five-year survey. These
at UNIV CALIFORNIA IRVINE on May 17, 2014
Table 3. Predicted Probabilities of Five-Year-Old Children's General Health by Maternal Depression, Estimated from Table 2
Note: Predicted probabilities presented for first imputed data set.
children also experience more stability in their familial environment (i.e., fewer family structure transitions and residential moves) and their mothers are less likely to smoke or have a substance abuse problem.
Results
Children's General Health as a Function of Maternal Depression
The prior table suggests inequalities in children's general health by maternal depression. These descriptive differences may be driven by additional factors associated with children's health or maternal depression, which I consider in Table 2. In Model 1, the difference in health between children of never depressed mothers and children of mothers depressed at one time period is only marginally significant (p < .10). However, when mothers report depression at two or three time periods, compared to when mothers never report depression, children have worse health. Depression at two points in time is associated with
0.652 (exp −.427 ) times the odds of rating children's health above a given category (p < .05). When mothers are depressed at three points in time, they have .447 times the odds of rating children's health above a given category (p < .001). In Model 2, which accounts for a host of covariates, the coefficients for maternal depression at two and three time periods remain statistically significant. The final model, the most rigorous test of this association, includes covariates from Model 2 and a lagged indicator of children's health. 3 Compared to children of never depressed mothers, children of mothers who report depression at two time periods (OR = .718, p < .05) or three time periods (OR = .569, p < .001) have worse health. Table 3 shows that the predicted probability of being in excellent health is .923 for children of never depressed mothers and .871 for children of chronically depressed mothers.
The models in Table 2 compare children of never depressed mothers to all other groups of children. When I rotate the reference category (results not shown), I find chronic depression is especially detrimental to children's health. In the full model, at UNIV CALIFORNIA IRVINE on May 17, 2014
Table 4. Logistic and Poisson Regression Models Estimating Five-year-old Children's Health and Health Care Utilization as a Function of Maternal Depression
Note: All models include city fixed-effects and use robust standard errors. Poisson regression models estimate the number of doctor's visits in the past year, and logistic regression models estimate the other outcomes. Model 2 includes all variables from Model 2 of Table 2.
*p < .05. **p < .01. ***p < .001.
children of chronically depressed mothers have worse health than children of mothers depressed at one time period (−.472, p < .05). Children are also disadvantaged when mothers report depression at two time periods. These children have worse health than children of never depressed mothers (-.332, p < .05) and have similar health as when mothers are chronically depressed (-.256, n.s.). Supplemental analyses also show that the timing of depression is not associated with children's health independently of depression chronicity. Also, there is no evidence the association between maternal depression and children's health varies by mother's education, poverty status, or marital status at birth (results not shown).
Robustness of Association between Children's Health and Maternal Depression
In Table 4, I present estimates for additional health and health care utilization outcomes. Turning first at UNIV CALIFORNIA IRVINE on May 17, 2014
Table 5. Ordered Logistic Regression Models Estimating Five-Year-Old Children's General Health as a Function of Maternal Depression and Mechanisms
at UNIV CALIFORNIA IRVINE on May 17, 2014
Table 5. (continued)
Note: All models include city fixed-effects and use robust standard errors. All models include all variables from Model 3 of Table 2. b = measured at baseline survey; y1 = measured at one-year survey; y3 = measured at three-year survey; y5 = measured at five-year survey. *p < .05. **p < .01. ***p < .001.
to the three health outcomes, results are generally consistent with estimates of mother-reported general health. Adjusting for baseline characteristics, children of mothers depressed at two time periods are more likely to have had hay fever or a respiratory allergy (OR = 1.889, p < .001) and eczema or a skin allergy (OR = 1.492, p < .01) than their counterparts with never depressed mothers. When mothers are chronically depressed, children are more likely to have had an asthma attack (OR = 1.946, p < .01), a respiratory allergy (OR = 2.237, p < .01), and a skin allergy (OR = 2.020, p < .01).
I turn next to the three health care utilization outcomes. Children of mothers depressed at one time period, compared to their counterparts with never depressed mothers, are less likely to have been to the dentist for a regular check-up in the past year. The coefficient for maternal depression at two time periods is only marginally statistically significant and, contrary to expectations, children of chronically depressed mothers and never depressed mothers are equally likely to have gone to the dentist. Children of mothers depressed at two or three survey waves are more likely to have gone to the emergency room in the past year, and the association between maternal depression and doctor visits is only marginally significant.
health are only moderately correlated (r = .238). Interestingly, the correlation is stronger for depressed mothers (r = .265) than nondepressed mothers (r = .233). In the final model, maternal depression at two points in time is associated with worse fatherreported health in children (-.478, p < .01). The association between chronic maternal depression and father-reported general health in children falls below statistical significance, though this is likely an artifact of the reduced sample size (only 49 mothers are in this category) because the magnitude of the coefficient is similar to the prediction of mother-reported health.
Finally, it is possible that having a child with health problems may lead to depression in mothers. I address this in Table 2 by including a lagged indicator of children's health. In addition, in supplemental analyses, I estimate maternal depression at the five-year survey as a function of children's health at the three-year survey. Net of demographic controls, children's health is inversely associated with maternal depression; worse health in children is associated with a greater likelihood of depression among mothers (p < .01). However, this association disappears after adjusting for a lagged indicator of depression, suggesting children's health problems do not lead to depression.
I perform two additional robustness checks. First, I substitute maternal reports of children's general health with paternal reports of children's general health. Given that nonresidential fathers likely have different perspectives on children's health than residential fathers or mothers, I restrict this analysis to children with coresidential parents and nonmissing data on paternal reports of children's health at the five-year survey (n = 1,619). These reports of children's health are not a perfect substitute for maternal reports, as mothers' and fathers' reports of children's
Mechanisms Underlying Association between Maternal Depression and Children's Health
The analyses presented in Tables 2, 3, and 4, as well as a series of robustness checks not presented, suggest that maternal depression, especially chronic depression, is associated with impaired health in children. The next set of analyses, presented in Table 5, considers the mechanisms at UNIV CALIFORNIA IRVINE on May 17, 2014
linking maternal depression and children's health. Accounting for five-year socioeconomic status in Model 1 completely attenuates the negative consequences of depression. Compared to the final model in Table 2, the coefficients for depression at two and three time periods, respectively, decrease by 38 percent and 28 percent. Maternal depression at two or three time periods is no longer significantly associated with children's health. The next two models adjust for family instability and maternal health. Both sets of mechanisms attenuate the coefficient for depression at two time periods. However, these proposed mechanisms do little to attenuate the link between chronic maternal depression and children's health, reducing this coefficient by only 9 percent (family instability) and 4 percent (health). The final model, which includes all possible mechanisms, shows no statistically significant association between maternal depression, even chronic maternal depression, and child health. Combined, the mechanisms explain 57 percent of the effect of depression at two time periods and 34 percent of the effect of depression at three time periods.
Discussion
I use data from the Fragile Families survey, a birth cohort of children born in urban areas between 1998 and 2000, to examine the link between maternal depression and children's health at the beginning of elementary school, a period in the life course repeatedly linked to future life course trajectories. The first goal of the article was to document the association between maternal depression over time and children's health. Consistent with a life course perspective that highlights the interdependency of parents and children, as well as how an accumulation of disadvantages may render children vulnerable, I find that maternal depression, particularly depression that is recurrent or chronic, puts children at risk of having unfavorable health when they are five years old. This finding persists despite accounting for a host of characteristics of the mothers and children, as well as adjusting for a lagged indicator of children's health. However, when maternal depression is short-lived, children's health does not suffer.
of health outcomes and is robust to several different model specifications, which strengthens the argument that maternal depression may render children vulnerable. When mothers experience persistent depression, children are more likely to have asthma, hay fever or respiratory allergies, and eczema or skin allergies. Results also provide some evidence that children of depressed mothers are less likely to receive preventive care (e.g., a dentist visit in the past year) and more likely to receive acute care (e.g., going to the emergency room). Children of chronically depressed mothers are not more or less likely to go to the doctor because of an illness, accident, or injury. Though children of depressed mothers are more likely to experience health conditions that may warrant a doctor's visit (e.g., asthma or allergies), depression may impair a mother's ability to take her child to the doctor.
Taken together, these findings are consistent with a growing body of literature that suggests wide-ranging consequences of maternal depression for child well-being. Prior research has found maternal depression to be a risk factor for young children's mental health (Goodman and Gotlib 2002; Turney 2011), and I find similar patterns with respect to children's physical health. These findings are also consistent with other research that documents an association between maternal depression and children's health (Angel and Worobey 1988; Casey et al. 2004). In addition, the fact that chronic or recurrent maternal depression is more harmful than short-lived, episodic depression for children's general health is consistent with other research suggesting detrimental effects of chronic depression for children (Turney 2011).
The association between maternal depression and children's health is consistent across a variety
There are many reasons to expect why maternal depression may influence children's health, as discussed earlier, and a second goal of this article was to examine the mechanisms underlying this association. I find that socioeconomic status at the five-year survey, net of baseline socioeconomic status, accounts for a large portion of the association between maternal depression and children's health. Given that socioeconomic status is linked to both depression and children's health (Case et al. 2002; Marcotte and Wilcox-Gok 2001), it is not surprising that socioeconomic status is one pathway through which maternal depression influences children. Depression may hinder a mother's ability to maintain a steady income, and this financial at UNIV CALIFORNIA IRVINE on May 17, 2014
insecurity may impede a mother's ability to provide her child care for acute or chronic conditions.
Family instability and maternal health and health behaviors attenuate the association between recurrent but not chronic depression and children's health. Depression may destabilize partner relationships (Simon 2002), and family instability may undermine child health (Angel and Worobey 1988). Similarly, mothers coping with their own health conditions may be less attuned to problems in their children or may be unable to engage in health-promoting behaviors with their children. These mechanisms, though, do not independently ameliorate the negative consequences of chronic depression. Perhaps the origins of depression and family instability, of which a thorough examination is beyond the scope of this article, are similar, and thus accounting for instability only marginally diminishes the already deleterious consequences of depression. Future research would benefit from examining the upstream factors associated with depression among mothers of young children. Also, given that the three sets of mechanisms examined are not exhaustive, future research would benefit from exploring additional mechanisms such as social support or parenting behaviors.
Several limitations exist, including shortcomings regarding the measurement of some variables. The dichotomous measure of depression does not allow for the possibility of examining mothers who do not meet the criteria for major depressive disorder but still exhibit some symptoms of depression (Mirowsky and Ross 2002). In addition, it is possible depressed mothers have distorted, negative views of their children's health. The use of additional, more objective indicators of health partially guards against, but does not eliminate, this problem. Finally, as discussed earlier, these analyses are subject to unobserved heterogeneity and do not provide causal conclusions about the effect of maternal depression on children's health.
and to address the potential endogeneity between depression and child health by adjusting for a lagged indicator of child health in the analyses. Finally, this article contributes to the existing literature by examining mechanisms linking maternal depression to child health. Findings suggest maternal depression has detrimental consequences for the health of five-year-old children, and these inequalities may become more pronounced as children age (and experience the onset of additional health problems and persistence of chronic conditions). Given that poor childhood health may lead to additional disadvantages throughout the life course, such as difficulty progressing through the educational system and reduced socioeconomic status in adulthood, maternal depression may contribute to the intergenerational transmission of inequality.
Acknowledgments
The author thanks Adrianne Frech, Hedwig Lee, four anonymous reviewers, and the editor of this journal, Debra Umberson, for their helpful feedback.
Funding
The authors disclosed receipt of the following financial support for the research and/or authorship of this article: This study was supported by the Robert Wood Johnson Foundation Health & Society Scholars Program. Funding for the Fragile Families and Child Wellbeing Study was provided by NICHD through grants R01HD36916, R01HD39135, and R01HD40421, as well as a consortium of private foundations (see http://www.fragilefamilies .princeton.edu/funders.asp for the complete list).
Notes
Despite these limitations, this article contributes to a growing body of literature on the consequences of maternal depression for children and families. To begin with, to my knowledge, this is one of the first studies to use a large, diverse sample of mothers and their children to examine the link between maternal depression and children's health. In addition, the longitudinal data allow me to examine both chronic and transitory depression
1. It is possible that some of the mechanisms (e.g., incometo-poverty ratio) are endogenous to maternal depression. However, because the indicator of depression is cumulative—capturing depression when children are about one, three, and five years old—the mechanisms, in many cases, are measured after the mother reports depression. If endogeneity exists, the mechanisms underlying the association between maternal depression and children's health may be overestimated.
2. Children's mental health may be associated with their general health. Thus, in supplemental analyses not
at UNIV CALIFORNIA IRVINE on May 17, 2014
presented, I control for maternal reports of children's internalizing and externalizing behaviors. Including these behaviors does not attenuate the association between maternal depression and children's general health, so I omit these indicators in the models presented because they are only available for a subset of children.
3. In supplemental analyses, I instead use an indicator of child health measured temporally closer to the outcome variable, when children are about three years old. These results are consistent with those presented in Table 2.
References
Aber, J. Lawrence, Neil G. Bennett, Dalton C. Conley, and Jiali Li. 1997. "The Effects of Poverty on Child Health and Development." Annual Review of Public Health 18:463–83.
Allison, Paul 1994. "Using Panel Data to Estimate the Effects of Events." Sociological Methods and Research 23:174–99.
Allison, Paul D. 2002. Missing Data. Thousand Oaks, CA: Sage.
Aneshensel, Carol S., Ralph R. Frerichs, and George J. Huba. 1984. "Depression and Physical Illness: A Multiwave, Nonrecursive Causal Model." Journal of Health and Social Behavior 25:350–71.
Angel, Ronald and Jacqueline Lowe Worobey. 1988. "Single Motherhood and Children's Health." Journal of Health and Social Behavior 29:38–52.
Arcia, Emily. 1998. "Latino Parents' Perception of Their Children's Health Status." Social Science & Medicine 46:1271–274.
Augustine, Jennifer March and Robert Crosnoe. 2010. "Mothers' Depression and Educational Attainment and Their Children's Academic Trajectories." Journal of Health and Social Behavior 51:274–90.
Bartlett, Susan J., Jerry A. Krishnan, Kristin A. Riekert, Arlene M. Butz, Floyd J. Malveaux, and Cynthia S. Rand. 2004. "Maternal Depressive Symptoms and Adherence to Therapy in Inner-City Children with Asthma." Pediatrics 113:229–37.
Bendheim-Thoman Center for Research on Child Wellbeing. 2008. Introduction to the Fragile Families Public-Use Data: Baseline, One-Year, Three-Year, and Five-Year Telephone Data. Princeton, NJ: Office of Population Research, Princeton University.
Blanchard, Laura T., Matthew J. Gurka, and James A. Blackman. 2006. "Emotional, Developmental, and Behavioral Health of American Children and Their Families: A Report from the 2003 National Survey of Children's Health." Pediatrics 117:e1203–212.
Bloom, Barbara, Robin A. Cohen, and Gulnar Freeman. 2009. "Summary Health Statistics for U.S. Children: National Health Interview Survey, 2008." Vital Health Statistics 10.
Braveman, Paula, Catherine Cubbin, Kristen Marchi, Susan Egerter, and Gilberto Chavez. 2001. "Measuring Socioeconomic Status/Position in Studies of Racial/Ethnic Disparities: Maternal and Infant Health." Public Health Reports 116:449–63.
Bronte-Tinkew, Jacinta, Allison Horowitz, and Mindy E. Scott. 2009. "Fathering with Multiple Partners: Links to Children's Well-Being in Early Childhood." Journal of Marriage and Family 71:608–31.
Borooah, Vani K. 2002. Logit and Probit: Ordered and Multinomial Models. Thousand Oaks, CA: Sage.
Case, Anne, Angela Fertig, and Christina Paxson. 2005. "The Lasting Impact of Childhood Health and Circumstance." Journal of Health Economics 24: 365–89.
Case, Anne, Darren Lubotsky, and Christina Paxson. 2002. "Economic Status and Health in Childhood: The Origins of the Gradient." The American Economic Review 92:1308–334.
Casey, Patrick, Susan Goolsby, Carol Berkowitz, Deborah Frank, John Cook, Diana Cutts, Maureen M. Black, Nieves Zaldivar, Suzette Levenson, Tim Heeren, and Alan Meyers, and the Children's Sentinel Nutritional Assessment Program Study Group. 2004. "Maternal Depression, Changing Public Assistance, Food Security, and Child Health Status." Pediatrics 113:298–304.
Cowan, Carolyn Pape and Philip A. Cowan. 1992. When Partners Become Parents: The Big Life Change for Couples. New York: Routledge.
Crosnoe, Robert. 2006. "Health and the Education of Children from Racial/Ethnic Minority and Immigrant Families." Journal of Health and Social Behavior 47:77–93.
Berk, Marc L. and Claudia L. Schur. 1998. "Access to Care: How Much Difference Does Medicaid Make?" Health Affairs 17:169–80.
Downey, Douglas B. 1995. "When Bigger Is Not Better: Number of Siblings, Parental Resources, and Educational Performance." American Sociological Review 60:746–61.
Eide, Eric R., Mark H. Showalter, and Dan D. Goldhaber. 2010. "The Relation between Children's Health and
at UNIV CALIFORNIA IRVINE on May 17, 2014
Academic Achievement." Children and Youth Services Review 32:231–38.
Elder, Glen H., Jr. 1998. "The Life Course and Human Development." Pp. 939–91 in Handbook of Child Psychology: Volume 1: Theoretical Models of Human Development, edited by W. Damon and R. M. Lerner. New York: John Wiley.
Entwisle, Doris R. and Karl L. Alexander. 1989. "Early Schooling as a 'Critical Period' Phenomenon." Pp. 27–55 in Sociology of Education and Socialization, Vol. 8, edited by K. Namboodiri and R. G. Corwin. Greenwich, CT: JAI Press.
Fox, Norma Lynn, Mary Sexton, and J. Richard Hebel. 1990. "Prenatal Exposure to Tobacco: Effects on Physical Growth at Age Three." International Journal of Epidemiology 19:66–71.
Frech, Adrianne and Rachel Tolbert Kimbro. 2011. "Maternal Mental Health, Neighborhood Characteristics, and Time Investments in Children." Journal of Marriage and Family 73:605–620.
Furstenberg, Frank F., Jeanne Brooks-Gunn, and P. Lindsay Chase-Lansdale. 1989. "Teenage Pregnancy and Childbearing." American Psychologist 44:313–20.
Goodman, Sherryl H. and Ian H. Gotlib. 2002. Children of Depressed Parents: Mechanisms of Risk and Implications for Treatment. Washington, DC: American Psychological Association.
Haas, Steven. 2006. "Health Selection and the Process of Social Stratification: The Effect of Childhood Health on Socioeconomic Attainment." Journal of Health and Social Behavior 47:339–54.
Hamilton, Brady E., Joyce A. Martin, and Stephanie J. Ventura. 2010. "Preliminary Births for 2008." National Vital Statistics Reports 58. Hyattsville, MD: National Center for Health Statistics, Center for Disease Control.
Harknett, Kristen. 2009. "Why Are Children with Married Parents Healthier? The Case of Pediatric Asthma." Population Research and Policy Review 28:347–65.
Heflin, Colleen M. and John Iceland. 2009. "Poverty, Hardship, and Depression." Social Science Quarterly 90:1051–071.
Idler, Ellen L. and Yael Benyamini. 1997. "Self-Rated Health and Mortality: A Review of Twenty-Seven Community Studies." Journal of Health and Social Behavior 38:21–37.
International Journal of Methods in Psychiatric Research 7:171–85.
Kessler, Ronald C. and Shanyang Zhao. 1999. "Overview of Descriptive Epidemiology of Mental Disorders." Pp. 127–50 in Handbook of the Sociology of Mental Health, edited by C. S. Aneshensel and J. C. Phelan. New York: Springer.
Kim, Hyoun K. and Patrick C. McKenry. 2002. "The Relationship between Marriage and Psychological WellBeing." Journal of Family Issues 23:885–911.
Klinnert, Mary D., Harold S. Nelson, Marcella R. Price, Allen D. Adinoff, Donald Y. M. Leung, and David A. Mrazek. 2001. "Onset and Persistence of Childhood Asthma: Predictors from Infancy." Pediatrics 108:e69–76.
Leiferman, Jenn. 2002. "The Effect of Maternal Depressive Symptomatology on Maternal Behaviors Associated with Child Health." Health Education and Behavior 29:596–607.
Link, Bruce. 2002. "The Challenge of the Dependent Variable." Journal of Health and Social Behavior 43: 247–53.
Marcotte, Dave E. and Virginia Wilcox-Gok. 2001. "Estimating the Employment and Earnings Costs of Mental Illness: Recent Developments in the United States." Social Science and Medicine 53:21–7.
McCormick, Marie C., Jeanne Brooks-Gunn, Kathryn Workman-Daniels, and George J. Peckham. 1993. "Maternal Rating of Child Health at School Age: Does the Vulnerable Child Syndrome Persist?" Pediatrics 92:380–88.
Meadows, Sarah O., Sara S. McLanahan, and Jeanne Brooks-Gunn. 2007. "Parental Depression and Anxiety and Early Childhood Behavioral Problems across Family Types." Journal of Marriage and Family 69:1162–177.
Minkovitz, Cynthia, Donna Strobino, Dan Scharfstein, William Hou, Tess Miller, Kamila B. Mistry, and Karen Swartz. 2005. "Maternal Depressive Symptoms and Children's Receipt of Health Care in the First 3 Years of Life." Pediatrics 115:306–14.
Mirowsky, John and Catherine E. Ross. 2002. "Measurement for a Human Science." Journal of Health and Social Behavior 43:152–70.
Kessler, Ronald C., Gavin Andrews, Daniel Mroczek, Bedirhan Ustun, and Hans-Ulrich Wittchen. 1998. "The World Health Organization Composite International Diagnostic Interview Short-Form (CIDI-SF)."
Monette, S., L. Seguin, L. Gauvin, and B. Nikiema. 2007. "Validation of a Measure of Maternal Perception of the Child's Health Status." Child: Care, Health and Development 33:472–81.
Noonan, Kelly, Anne Carroll, Nancy E. Reichman, and Hope Corman. 2010. "Mental Illness as a Risk Factor
at UNIV CALIFORNIA IRVINE on May 17, 2014
for Uninsurance among Mothers of Infants." Maternal and Child Health Journal 14:36–46.
Osborne, Cynthia and Lawrence M. Berger. 2009. "Parental Substance Abuse and Child Well-Being: A Consideration of Parents' Gender and Coresidence." Journal of Family Issues 30:341–70.
Osborne, Cynthia and Jean Knab. 2007. "Work, Welfare, and Young Children's Health and Behavior in the Fragile Families and Child Wellbeing Study." Children and Youth Services Review 29:762–81.
Padilla, Yolanda C., Erin R. Hamilton, and Robert A. Hummer. 2009. "Beyond the Epidemiological Paradox: The Health of Mexican-American Children at Age Five." Social Science Quarterly 90:1072–088.
Reichman, Nancy E., Julien Tietler, Irv Garfinkel, and Sara S. McLanahan. 2001. "Fragile Families: Sample and Design." Children and Youth Services Review 23:303–26.
Royston, Patrick. 2004. "Multiple Imputation of Missing Values." Stata Journal 4:227–41.
Sigle-Rushton, Wendy and Sara McLanahan. 2004. "Father Absence and Child Well-Being: A Critical Review." Pp. 116–55 in The Future of the Family, edited by D. P. Moynihan, T. M. Smeeding, and L. Rainwater. New York: Russell Sage Foundation.
Simon, Robin. 2002. "Revisiting the Relationships among Gender, Marital Status, and Mental Health." American Journal of Sociology 107:1065–096.
Teitler, Julien O. and Nancy E. Reichman. 2008. "Mental Illness as a Barrier to Marriage among Mothers with
an Out-of-Wedlock Birth." Journal of Marriage and Family 70:770–82.
Turner, R. Jay and Donald A. Lloyd. 1999. "The Stress Process and the Social Distribution of Depression." Journal of Health and Social Behavior 40:371–404.
Turney, Kristin. 2011. "Chronic and Proximate Depression among Mothers: Implications for Child Well-being." Journal of Marriage and Family 73:149–163.
Turney, Kristin and Marcia J. Carlson. 2011. "Multipartnered Fertility and Mental Health among Fragile Families." Journal of Marriage and Family 73: 570–587.
Wade, Terrance J. and David J. Pevalin. 2004. "Marital Transitions and Mental Health." Journal of Health and Social Behavior 45:155–70.
Bio
Kristin Turney is an Assistant Professor of Sociology at the University of California, Irvine. Broadly, her research investigates intragenerational and intergenerational social inequalities in health and well-being. Her current research projects include the following: the link between maternal depression and child well-being, the collateral consequences of mass imprisonment for family life, the heterogeneous association between romantic relationships and mental health in early adulthood, and how health inequalities reproduce disadvantage in early childhood.
at UNIV CALIFORNIA IRVINE on May 17, 2014
|
The Nifty ended 1.24% down at 17560.20. It opened flat and remained extremely choppy with negative bias towards ending with a bearish candle. Resistance placed around 17800 remained unharmed. Closing below 17600 suggesting the Benchmark Index may again come down to the pivotal support placed in the price range 17450-17400 levels. Short-term trading range likely to be 17400-17800.
On the Nifty hourly chart, direction of the leading indicators suggesting range-bound oscillation with positive bias. Immediate trading range likely to be 17400-17800.
Nifty patterns on multiple periods suggest; it ended the day on a weaker note. However, thick support placed in the price range of 17450-17400 is still intact.
Nifty Crucial Supports & ResistancesSupports- 17450, 17400 Resistances- 17800, 17900
| Key Contents | Page No. |
|---|---|
| Concall Update | 4 |
| Result Update | 8 |
Open Positional Calls-
T+14 INST POSITIONAL BUY|Cash Segment| BATA @ 19701960, TGT- 2160, Closing SLbelow 1860
T+10 INST POSITIONAL BUY|Cash Segment| PNB HOUSING @ 435-430, TGT- 470, Closing SL - below 410
T+7 BUY |Cash Segment| SIEMENS @ 2410-2400, TGT- 2520, SLclosing below 2340
T+3 BUY|Cash Segment| SHRIRAM TRANSPORT @ 1280-1270, TGT-
1330, Closing SL- below 1240
Nifty Intraday Chart
Market in Retrospect
India's stock benchmarks snapped three-day winning streak, dragged by losses in information technology, banking, energy and realty stocks.
Nifty index ended 1.24% lower at 17,560. The broader markets represented by the Nifty 500 Index ended 1.03% lower, ending at 15,136. Among the sectorial indices, only one indices ended positive. Nifty Auto was the top gainer, gaining by 0.44%. Nifty IT was the top loser losing by 2.05%.
Indusind Bank was the top gainer, gaining by 5.75%, followed by Bajaj Finserv and HCL Tech gained by 5.04% & 3.37% respectively. Tech Mahindra was the top loser, losing by 1.51%, followed by Ultratech Cement and Britannia Industries which fell by 1% & 0.97% respectively.
The Advance : Decline ratio stood at 986:1148
https://www.nseindia.com/products/content/equities/equities/bulk.htm http://www.bseindia.com/markets/equity/EQReports/BulknBlockDeals.aspx
Sensex Intraday Chart
Name
Sensex
Nift
BSE S Cap
Nift
BSE Auto
BSE Metal
BSE Bank
BSE IT
Name
US
UK
Brazil
Japan
Australia
India
Germany
| Name | Rate | Net Chng | %1D | %5D | %1M | %3M |
|---|---|---|---|---|---|---|
| INR | 74.86 | 0.02 | 0.03 | 0.28 | 0.8 | 0.53 |
| USD Index | 96.23 | 0.29 | 0.31 | 1.05 | 0.02 | 2.52 |
| YUAN | 6.36 | 0.01 | 0.11 | 0.35 | 0.12 | 0.48 |
| GBP | 1.35 | 0 | 0.21 | 1.23 | 0.5 | 1.02 |
| EUR | 1.13 | 0 | 0.24 | 1.19 | 0.17 | 2.88 |
| YEN | 114.77 | 0.31 | 0.27 | 0.52 | 0.48 | 0.66 |
Freight
Name
Balti
Balti
%1Y
15.97
5.93
19.82
16.41
27.47
11.52
18.38
6.54
2.92
4.91
17.62
12.57
3.49
9.02
2.60
9.97
7.63
12.64
%1Y
56.35
62.27
74.53
%1Y
1.67
16.72
52.35
26.85
42.03
12.30
%1Y
78.99
58.27
19.61
15.90
36.90
3
t
Blue Star Ltd
- Encouraging traction from the products portfolio and service solutions, coupled with the revival of business and economic activities, enabled the Company to end Q3FY22 on a strong note with all the business segments witnessing robust volume growth.
- Each of the segments during the quarter surpassed revenue achieved in the pre-pandemic period. The Revenue/ EBITDA/ PAT grew by 34%/11%/ 29.4% YoY at Rs 15,062mn/ Rs 906mn/ Rs 476mn, respectively.
- However, the EBITDA margins were lower by ~124bps at 6% during Q3FY22, due to increases in commodity prices, cost of raw materials and ocean freight and roll back of FY21 cuts in discretionary spends.
- Unitary Products segment revenue grew by ~23.7% YoY at Rs 6,097 mn during Q3FY22. However, segment EBIT was flat at Rs 388 mn primarily due to input cost pressures.
- Focus on expansion of distribution footprint contributed to the robust revenue growth in the Room ACs business. Blue Star's RAC volume grew by ~28%, faster than market growth rate of ~25% during Q3FY22. Market share for the company stood at ~13. 5%. Festival demand was not great initially during Q3FY22. Majority of the demand came during part of Nov-21 and Dec-21.
- Improvement in demand for modular cold rooms from the Pharma, Healthcare, E-commerce, and Food & Beverages segments coupled with a revival in demand for Kitchen Refrigeration equipment with the opening up of hotels and restaurants enabled growth in revenue for the Commercial Refrigeration business during Q3FY22.
- Company has taken 3 price hikes during last year; last price hike was taken in Sep-21. It is not considering any further price increase.
- Order Book grew by 4.5% YoY at Rs 33,013 mn for Q3FY22 end.
- Net debt increased marginally to Rs 1,651 mn (D/E ratio at ~0.18x) compared to Rs 1,310 mn YoY, owing to planned advancement in inventory levels to meet the demand for the upcoming season and investments in the expansion projects at Sri City and Wada.
- The capex plan at Sri City, AP is going as per schedule. The production expected to start from Oct-22
- Company's PLI application for manufacturing RAC components has been proved. It will be manufacturing Sheet Metal component and Heat Exchanger.
- Factors like hybrid working environment approach, and schools operating in online mode since last two years across the country, is positive for demand.
- Overall demand environment for RACs is encouraging. Company don't see any impact on Q4FY22 demand due to pandemic.
- Demand will also be guided by the summer intensity in the upcoming season; summers expected to set in staring Mar-22.
- Company expect the market growth rate to be back to ~15-20% in FY23; may reach ~20% growth during good year.
- Company endeavour to grow faster than the market in FY23; increase market share from ~13.5 to ~15%.
Varun Beverages Ltd.
Demand and Pricing:
- The India volume growth during the quarter was 27% while international territories witnessed a volume growth of 32%. The realisation growth in international territories have been higher than India as price increases were taken in international territories earlier than India where modest price increase was made in December 2021. Both rural and urban markets did equally well during the quarter. South and West territories grew by 33% YoY in CY21 and contributed to 142 mln cases.
- On-the-go consumption during the quarter was 65% while at-home consumption was 35%. The proportion is more or less the same as was witnessed during pre-Covid period. Demand has more or less revived to pre-Covid levels, however, sales from restaurants are suffering because of restrictions and reluctance among consumers.
- Varun is looking forward to excellent growth in CY22 as it expects Q2CY22 to be very strong assuming that there is no new wave of Covid during that period. It must be noted that Q2CY20 and Q2CY21 were very soft due to the first and second wave of Covid respectively. High volume growth in CY22 would lead to operating leverage, which would enable the Company to maintain EBITDA margin around 20%. Varun does not expect further raw material cost escalation in CY22. There would also be increase in realisation in CY22 given the price increase taken in December 2021 and more contribution from premium products like Sting, dairy beverages and Tropicana juices and nectars. Further price increases may also be taken after assessing the market conditions and competition.
- Varun believes that its new product profile including Sting, dairy beverages and Tropicana (excluding Slice) has immense growth potential. Sting contributed to 5% of the annual volume in CY21 and enjoyed a YoY growth of 440% in CY21. Dairy beverages have the potential of doubling or tripling in CY22 from the low levels of CY21 as more efforts on distribution of dairy beverages would be made in CY22. Tropicana (excluding Slice) contributed to 2.3% of CY21 volumes.
- 40,000 visicoolers were placed with retailers during CY21. This is the normal rate of visicooler addition per year.
- Underpenetrated states, Bihar, Odisha, Chattisgarh and Jharkhand grew by 50% YoY in CY21.
- While Varun did not share the market share data on a pan-India basis it confirmed that it has not lost market share to competitors.
Other Matters:
- Varun would test the Congo market by initially exporting products in Congo from Morocco and Zambia. This would help in improving the utilisation of Morocco and Zambia. The off season in Morocco coincides with the strong season in Congo. After testing the Congo market for a year or two, if Varun sees significant traction then it might open up production facilities in Congo.
- Varun has maintained the long term guidance of capex per year equaling that of depreciation per year.
- Varun believes that its balance sheet is very strong and foresees debt reduction by 30-40% in CY22 and thus it will not shy away from entering into new territories through acquisition or organic capex if the opportunities are compelling.
- Working capital days increased to ~ 35 days as on Dec 31, 2021 primarily because of higher stocking of Pet Chips/Preforms for the next season in order to mitigate against logistics and pricing risks.
- The impact of the Bihar and J&K plants will be felt in production numbers from April 2022 onwards.
VRL Logistics Ltd
- VRL Logistics reported highest ever revenues at Rs 6,833 mn during Q3FY22, which increased ~20.2% YoY; strong margins at 19.6% (vs 18.3%), while PAT jumped ~52% YoY at Rs 605 mn.
- 'Goods Transport (GT)' segment recorded highest revenue (Rs 5961 mn, +19% YoY) due to increase in volume, better realisations, geographical expansion, business shift from unorganised to organised fleet operators due to GST & E-way Bill reforms, higher operational Efficiencies and increase in sector wise revenue contribution. Increase in tonnage was ~4% YoY during Q3FY22, while realization/ tonne increased by ~1%. Freight rate has improved by ~7% YoY during the quarter.
- 'Bus operations' segment revenue up ~44% YoY at Rs 748 mn, despite decline in number of buses in operations by ~44 due to increase in number of passenger and revenue/ passenger. Expect the revenue run-rate and EBITDA to be back at previous level of ~Rs 800-850 mn and ~16-17%, respectively from Q1FY23. Passenger utilization at ~80%; realization at Rs 1100/ passenger.
- Total fleet stood at 4,994 as on Q3FY22 end (GT vehicles numbers at 4,706 with total capacity of 69,270 tonnes, Buses - 288); added 54 GT vehicles in Q3FY22; net GT vehicle addition for 9MFY22 at 131.
- Added ~29 branches in Q3 and ~60 during 9MFY22. Company to continue expand network by opening new branches in untapped market. Looking to expand network in North and East; ~42 branches are in pipeline. Contribution from branches is expected to increase with increase in numbers.
- The average diesel prices for Q3FY22 is at ~Rs 88/ L, based on monthly trend for Oct-21, Nov-21 and Dec-21 at Rs 95/L, Rs 87/L and Rs 83/L, respectively. Starting Jan-22, the prices are at the same level mom. Hence, the prices are down ~6% from the average of Q3FY22 and 12.6% or ~Rs 12/L from Oct21 level, leading to decline in diesel cost as percentage of revenue at ~26.4% vs 29.4%.
- Procurement of bio-fuel as percentage total quantity stood at ~1.95% in Q3FY22; and ~8.01% during 9MFY22 against ~32.79% YoY. After the recent decline in diesel prices, the procurement of bio-fuel is not viable. Company might look at blending bio-fuel only if the prices are cheaper by ~Rs 5-6/ L from current level.
- To focus on expanding network of own fuel stations and fuel storage capacity at key locations thereby reducing the impact of rising fuel costs and improve profitability margin; currently, company has 6 pumps at own location.
- Company has incurred capex of ~Rs 1,370 mn so far during 9MFY21; out of which Rs 1,100 mn was done towards GT. Company intend to further spend ~Rs 250-300 mn towards capex during Q4FY22. For FY23, it has envisaged capex plan of Rs 1,500-1,600 mn.
- The monthly run-rate for cash profit is ~Rs 1,000 mn, ~Rs 4000 mn annually; ~Rs 700 mn is the divided distribution expenses for the company. Thus, company will be able to meet its capex requirements, payment of dividend and debt reduction target through internal cash.
- Company has taken salary increment from Jan-22, hence the employee cost is set to increase by ~10% starting Q4FY22. However, the company is confident to maintain its margins as the reduction in diesel cost will help offset the increase in employee cost.
- The tonnage contribution from textile sector has increased from ~16-17% earlier to ~19%, from ~10% to ~12% for agricultural commodities. The industry goods, spare parts, others accounts for ~5%. The ~95% of the business is B2B.
- The company is not into 3PL logistics model yet, as it is not providing inventory management or warehousing facilities as of now. However, it is carrying items from warehouses for distribution into multiple areas.
- Company expect double digit growth in tonnage for FY23; Confident to maintain current pricing in freight.
Adani Green
Adani Green Energy posted a nearly 20 per cent rise in its consolidated net profit to Rs 49 crore in the October-December quarter compared to the year-ago period mainly on the back of higher revenues. The company had reported a consolidated net profit of Rs 41 crore in the quarter ended on December 31, 2020. Total income of the company rose to Rs 1,471 crore in the quarter from Rs 843 crore in the same period a year ago. The company sold 2,504 million units of electricity in the December quarter, up from 1,273 MU in the same period a year ago. During April to December 2021, it sold 6,456 MU which is higher than 3,857 MU in the nine months period a year ago.
Adani Total Gas
Adani Total Gas reported consolidated net profit slipped 9.3% to Rs 131.58 crore on a 78% jump in net sales to Rs 883.27 crore in Q3 FY22 over Q3 FY21. Consolidated profit before tax (PBT) fell 9.4% to Rs 176.95 crore in Q3 FY22 from Rs 195.34 crore in Q3 FY21. Total sales volume grew 25% to 192 MMSCM (Million Metric Standard Cubic Meter) in Q3 FY22 as against 153 MMSCM in Q3 FY21. CNG Sales jumped 47% to 101 MMSCM in Q3 FY22 as compared to 68 MMSCM in Q3 FY21. PNG Sales rose 7% to 91 MMSCM in Q3 FY22 over 85 MMSCM in Q3 FY21.
Alkyl Amines
Alkyl Amines Chemicals reported net profit declined 45.70% to Rs 45.88 crore on 16.30% increase in revenue from operations to Rs 376.66 crore in Q3 December 2021 over Q3 December 2020. Profit before tax fell 46.24% to Rs 62.26 crore in Q3 December 2021 over Q3 December 2020. EBITDA fell 46% year-onyear to Rs 66.6 crore in Q3 FY22. EBITDA margin stood at 17.7% in Q3 FY22, lower than 21.6% in Q2 FY22 and 38% in Q3 FY21. Total expenses jumped 52.09% to Rs 318.97 crore with cost of materials consumed soaring 71.12% to Rs 218.54 crore during the period under review.
Apollo Tyres
Apollo Tyres reported a 49.5% decline in consolidated net profit at Rs 224 crore for the third quarter ended Dec 31, 2021. The company had posted net profit of Rs 444 crore in the corresponding period of the last financial year. Revenues from operations, however, increased 10% to Rs 5,707 crore as against Rs 5,195 crore in the third quarter of FY21, Apollo Tyres said in a statement. Operating profit in the period under rewrite stood Rs 743 crores, as against Rs 1030 crores in the year-ago period.
Dabur India
Dabur India reported standalone quarterly numbers, Net Sales at Rs 2,224.43 crore in December 2021 up 7.4% from Rs. 2,071.08 crore in December 2020. Quarterly Net Profit at Rs. 393.62 crore in December 2021 down 1.47% from Rs. 399.51 crore in December 2020. EBITDA stands at Rs. 567.78 crore in December 2021 up 8.99% from Rs. 520.95 crore in December 2020. Dabur India EPS has decreased to Rs. 2.23 in December 2021 from Rs. 2.26 in December 2020.
Balaji Amines
Net profit of Balaji Amines rose 19.46% to Rs 89.56 crore in the quarter ended December 2021 as against Rs 74.97 crore during the previous quarter ended December 2020. Sales rose 44.06% to Rs 564.90 crore in the quarter ended December 2021 as against Rs 392.13 crore during the previous quarter ended December 2020.
Indian Overseas Bank
Net profit of Indian Overseas Bank rose 113.33% to Rs 454.11 crore in the quarter ended December 2021 as against Rs 212.87 crore during the previous quarter ended December 2020. Total Operating Income declined 1.08% to Rs 4197.69 crore in the quarter ended December 2021 as against Rs 4243.72 crore during the previous quarter ended December 2020.
JK Lakshmi Cement
Net profit of JK Lakshmi Cement declined 43.75% to Rs 64.12 crore in the quarter ended December 2021 as against Rs 114.00 crore during the previous quarter ended December 2020. Sales rose 2.05% to Rs 1285.68 crore in the quarter ended December 2021 as against Rs 1259.84 crore during the previous quarter ended December 2020.
GE T&D India
GE T&D India reported standalone quarterly numbers, Net Sales at Rs 914.08 crore in December 2021 down 11.62% from Rs. 1,034.21 crore in December 2020. Quarterly Net Loss at Rs. 0.10 crore in December 2021 down 100.18% from Rs. 55.92 crore in December 2020. EBITDA stands at Rs. 30.61 crore in December 2021 down 61.87% from Rs. 80.27 crore in December 2020.
eClerx Services
Net profit of eClerx Services rose 50.06% to Rs 106.60 crore in the quarter ended December 2021 as against Rs 71.04 crore during the previous quarter ended December 2020. Sales rose 41.80% to Rs 559.17 crore in the quarter ended December 2021 as against Rs 394.33 crore during the previous quarter ended December 2020.
Future Consumer
Future Consumer reported standalone quarterly numbers, Net Sales at Rs 450.73 crore in December 2021 up 152.04% from Rs. 178.83 crore in December 2020. Quarterly Net Loss at Rs. 46.50 crore in December 2021 up 58.84% from Rs. 112.97 crore in December 2020. EBITDA stands negative at Rs. 13.80 crore in December 2021 up 83.77% from Rs. 85.05 crore in December 2020.
Sheela Foam
Net profit of Sheela Foam declined 32.65% to Rs 66.87 crore in the quarter ended December 2021 as against Rs 99.28 crore during the previous quarter ended December 2020. Sales rose 6.71% to Rs 881.30 crore in the quarter ended December 2021 as against Rs 825.88 crore during the previous quarter ended December 2020.
MAS Financial Services
Net profit of MAS Financial Services rose 12.86% to Rs 40.63 crore in the quarter ended December 2021 as against Rs 36.00 crore during the previous quarter ended December 2020. Sales rose 20.13% to Rs 180.22 crore in the quarter ended December 2021 as against Rs 150.02 crore during the previous quarter ended December 2020.
Somany Ceramics
Somany Ceramics reported standalone quarterly numbers, Net Sales at Rs 586.98 crore in December 2021 up 19.19% from Rs. 492.49 crore in December 2020. Quarterly Net Profit at Rs. 32.17 crore in December 2021 up 14% from Rs. 28.22 crore in December 2020. EBITDA stands at Rs. 67.18 crore in December 2021 up 0.87% from Rs. 66.60 crore in December 2020. Somany Ceramics EPS has increased to Rs. 7.57 in December 2021 from Rs. 6.66 in December 2020.
Welspun Enterprises
Net profit of Welspun Enterprises declined 67.09% to Rs 12.55 crore in the quarter ended December 2021 as against Rs 38.13 crore during the previous quarter ended December 2020. Sales declined 42.93% to Rs 241.58 crore in the quarter ended December 2021 as against Rs 423.27 crore during the previous quarter ended December 2020.
Titan Company
Titan Company reported a standalone net profit of Rs 987 crore in Q3 FY22 as against a net profit of Rs 419 crore Q3 FY21, recording a growth of 136% on YoY basis. The company's revenue excluding bullion sales grew by 36% in Q3 FY22 compared to Q3 FY21. The total income for the quarter was Rs 9,570 crore, registering a growth of 31% as compared to Rs 7,324 crore in Q3 FY21. The Jewellery business registered an income of Rs 8,563 crore with 37% YoY growth in Q3 FY22. The Watches and Wearables business recorded an income of Rs 708 crore with 29% YoY growth in Q3 FY22. The Eyewear business recorded an income of Rs 156 crore with 26% YoY growth in Q3 FY22. The other segments of the company comprising Indian dress wear and fragrances & accessories recorded an income of Rs 52 crore in Q3 FY22 compared to Rs 36 crore in Q3 FY21, a growth of 44%.
Adani Transmission
Net profit of Adani Transmission declined 32.45% to Rs 267.03 crore in the quarter ended December 2021 as against Rs 395.31 crore during the previous quarter ended December 2020. Sales rose 14.02% to Rs 2613.35 crore in the quarter ended December 2021 as against Rs 2292.10 crore during the previous quarter ended December 2020.
GAIL
Net profit of GAIL (India) rose 100.72% to Rs 3780.78 crore in the quarter ended December 2021 as against Rs 1883.61 crore during the previous quarter ended December 2020. Sales rose 66.97% to Rs 26145.09 crore in the quarter ended December 2021 as against Rs 15658.37 crore during the previous quarter ended December 2020.
Coromandel International
Net profit of Coromandel International rose 14.31% to Rs 381.58 crore in the quarter ended December 2021 as against Rs 333.80 crore during the previous quarter ended December 2020. Sales rose 43.61% to Rs 5073.60 crore in the quarter ended December 2021 as against Rs 3533.01 crore during the previous quarter ended December 2020.
Emami
Emami, recorded a 5.05 per cent increase in consolidated profit after tax (PAT) to Rs 219.52 crore in the quarter ended December 31. The company's PAT in the year-ago period had stood at Rs 208.96 crore. Consolidated revenues grew by 4 per cent to Rs 971.85 crore. The quarter witnessed high inflation leading to a deceleration in consumer demand and gross margins at 67.4 per cent contracted by 300 basis points due to spike in key raw material prices. EBITDA at Rs 342 crore was however flat over last year. The company said that its domestic business grew by 3 per cent on a year-on-year basis over a base of 16 per cent growth in previous year, translating into a 2 year CAGR of 9 per cent. Modern trade grew by 14 per cent and e-commerce continued its robust run growing by 75 per cent over previous year.
3M India
Net profit of 3M India rose 12.38% to Rs 66.74 crore in the quarter ended December 2021 as against Rs 59.39 crore during the previous quarter ended December 2020. Sales rose 11.44% to Rs 826.28 crore in the quarter ended December 2021 as against Rs 741.44 crore during the previous quarter ended December 2020.
AAVAS Financiers
Net profit of AAVAS Financiers rose 3.86% to Rs 88.76 crore in the quarter ended December 2021 as against Rs 85.46 crore during the previous quarter ended December 2020. Sales rose 10.52% to Rs 342.58 crore in the quarter ended December 2021 as against Rs 309.98 crore during the previous quarter ended December 2020.
EIH Associated Hotels
Net profit of EIH Associated Hotels rose 11328.57% to Rs 16.00 crore in the quarter ended December 2021 as against Rs 0.14 crore during the previous quarter ended December 2020. Sales rose 108.17% to Rs 76.65 crore in the quarter ended December 2021 as against Rs 36.82 crore during the previous quarter ended December 2020.
Kennametal India
Net profit of Kennametal India reported to Rs 21.60 crore in the quarter ended June 2021 as against net loss of Rs 9.50 crore during the previous quarter ended June 2020. Sales rose 121.65% to Rs 211.90 crore in the quarter ended June 2021 as against Rs 95.60 crore during the previous quarter ended June 2020. For the full year,net profit rose 116.22% to Rs 73.30 crore in the year ended June 2021 as against Rs 33.90 crore during the previous year ended June 2020. Sales rose 21.09% to Rs 853.70 crore in the year ended June 2021 as against Rs 705.00 crore during the previous year ended June 2020.
Lux Industries
Net profit of Lux Industries rose 34.10% to Rs 101.30 crore in the quarter ended December 2021 as against Rs 75.54 crore during the previous quarter ended December 2020. Sales rose 23.55% to Rs 661.58 crore in the quarter ended December 2021 as against Rs 535.48 crore during the previous quarter ended December 2020.
Mahindra Holidays & Resorts India
Net profit of Mahindra Holidays & Resorts India rose 7970.59% to Rs 13.72 crore in the quarter ended December 2021 as against Rs 0.17 crore during the previous quarter ended December 2020. Sales rose 13.14% to Rs 553.44 crore in the quarter ended December 2021 as against Rs 489.15 crore during the previous quarter ended December 2020.
Varun Beverages
On a consolidated basis, the company reported a net profit of Rs 16.49 crore in Q4 December 2021 as against net loss of Rs 19.73 crore in Q4 December 2020. Net sales rose 30.31% to Rs 1,734.33 crore in Q4 December 2021 over Q4 December 2020, primarily on account of strong volume growth. Total sales volumes were up by 28.5% YoY at 112.0 million cases in Q4 CY 2021. Pre-tax profit stood at Rs 41.85 crore in Q4 December 2021 as against pre-tax loss of Rs 18.86 crore in Q4 December 2020. EBITDA increased 20.5% to Rs 207.57 crore in Q4 CY 2021 from Rs 172.23 crore.
Radico Khaitan
The company sold total volume of 6.98 million cases in its Indian Made Foreign Liquor category during the quarter, up by 7.4% from the year-ago period. Its Prestige & Above brands' volume grew to 2.36 million cases, up by 18.2%. The prestige category contributed about 33.8% to the total IMFL volume versus the 30.7% in the previous year. The net sales of prestige brands accounted for Rs. 349.89 crore up by 21.5% in the same quarter in FY21. Prestige brands contributed to the total IMFL sales value of 55.6% versus 51.5% the year before.
CORPORATE ACTION BONUS / RIGHTS / STOCK SPLIT / DIVIDEND / FCCB / M&A / WARRANTS ETC.
| Growington Ventures India Ltd | Corporate meeting effective 04-02-2022 |
|---|---|
| Siemens Ltd | Corporate meeting effective 04-02-2022 |
| Industrial & Prudential Investment Co Ltd | Corporate meeting effective 04-02-2022 |
Domestic Events
- India Foreign Exchange Reserve for January 28, 2022.
Global Events
- Euro Area Construction PMI for January 2022.
- Euro Area Retail Sales for December 2021.
- The U.S. Unemployment Rate for January 2022.
Analyst Certification:
We /I, Jaydeb Dey and Deepankar Saha Research Analyst(S) of SMIFS Limited (in short "SMIFS / the Company"), authors and the names subscribed to this Research Report, hereby certify that all of the views expressed in this Research Report accurately reflect our views about the subject issuer(s) or securities and distributed as per SEBI (Research Analysts) Regulations 2014. We also certify that no part of our compensation was, is, or will be directly or indirectly related to the specific recommendation(s) or view(s) in this Research Report. It is also confirmed that We/I, the above mentioned Research Analyst(s) of this Research Report have not received any compensation from the subject companies mentioned in the Research Report in the preceding twelve months and do not serve as an officer, director or employee of the subject companies mentioned in the Research Report.
Terms & Conditions and Other Disclosures:
SMIFS Limited is engaged in the business of Stock Broking, Depository Services, Portfolio Management and Distribution of Financial Products. SMIFS Limited is registered as Research Analyst Entity with Securities & Exchange Board of India (SEBI) with Registration Number – INH300001474.
SMIFS and our associates might have investment banking and other business relationship with a significant percentage of companies covered by our Research Analysts. SMIFS generally prohibits its analysts, persons reporting to analysts and their relatives from maintaining a financial interest in the securities or derivatives of any companies that the analysts cover.
The information and opinions in this Research Report have been prepared by SMIFS and are subject to change without any notice. The Research Report and information contained herein is strictly confidential and meant solely for the selected recipient and may not be altered in any way, transmitted to, copied or distributed, in part or in whole, to any other person or to the media or reproduced in any form, without prior written consent of SMIFS Limited. While we would endeavor to update the information herein on a reasonable basis, SMIFS is under no obligation to update or keep the information current. Also, there may be regulatory, compliance or other reasons that may prevent SMIFS from doing so. Non-rated securities indicate that rating on a particular security has been suspended temporarily and such suspension is in compliance with applicable regulations and/or policies of SMIFS, in circumstances where SMIFS might be acting in an advisory capacity to this company, or in certain other circumstances.
This Research Report is based on information obtained from public sources and sources believed to be reliable, but no independent verification has been made nor is its accuracy or completeness guaranteed. This Research Report and information herein is solely for informational purpose and shall not be used or considered as an offer document or solicitation of offer to buy or sell or subscribe for securities or other financial instruments. Securities as defined in clause (h) of section 2 of the Securities Contract Act, 1956, includes Financial Instruments, Currency and Commodity Derivatives. Though disseminated to all the customers simultaneously, not all customers may receive this Research Report at the same time. SMIFS will not treat recipients as customers by virtue of their receiving this Research Report. Nothing in this Research Report constitutes investment, legal, accounting and tax advice or a representation that any investment or strategy is suitable or appropriate to your specific circumstances. The securities discussed and opinions expressed in this Research Report may not be suitable for all investors, who must make their own investment decisions, based on their own investment objectives, financial positions and needs of specific recipient. This may not be taken in substitution for the exercise of independent judgment by any recipient. The recipient should independently evaluate the investment risks. The value and return on investment may vary because of changes in interest rates, foreign exchange rates or any other reason. SMIFS accepts no liabilities whatsoever for any loss or damage of any kind arising out of the use of this Research Report. Past performance is not necessarily a guide to future performance. Investors are advised to see Risk Disclosure Document
to understand the risks associated before investing in the securities markets. Actual results may differ materially from those set forth in projections. Forward-looking statements are not predictions and may be subject to change without notice. The information given in this report is as of date of this report and there can be no assurance that future results or events will be consistent with this information. The information provided in this report remains, unless otherwise stated, the copyright of SMIFS. All layout, design, original artwork, concepts and intellectual Properties remains the property and copyright of SMIFS and may not be used in any form or for any purpose whatsoever by any party without the express written permission of the SMIFS.
SMIFS shall not be liable for any delay or any other interruption which may occur in presenting the data due to any reason including network (Internet) reasons or snags in the system, breakdown of the system or any other equipment, server breakdown, maintenance shutdown, breakdown of communication services or inability of SMIFS to present the data. In no event shall SMIFS be liable for any damages, including without limitation direct or indirect, special, incidental, or consequential damages, losses or expenses arising in connection with the data presented by the SMIFS through this report.
Participants in foreign exchange transactions may incur risks arising from several factors, including the following: (a) Exchange Rates can be volatile and are subject to large fluctuations; (b) the value of currencies may be affected by numerous market factors, including world and notional economic, political and regulatory events, events in Equity & Debt Markets and changes in interest rates; and (c) Currencies may be subject to devaluation or government imposed Exchange Controls which could affect the value of the Currency. Investors in securities such as Currency Derivatives, whose values are affected by the currency of an underlying security, effectively assume currency risk.
Since associates of SMIFS are engaged in various financial service businesses, they might have financial interests or beneficial ownership in various companies including the subject company/companies mentioned in this Research Report.
SMIFS and its Associates, Officers, Directors, Employees, Research Analysts including their relatives worldwide may: (i) from time to may have long or short positions in, and buy or sell the Securities, mentioned herein or (ii) be engaged in any other transaction involving such Securities and earn brokerage or other compensation of the Subject Company/ companies mentioned herein or act as an Advisor or Lender/Borrower to such Companies or have other potential/material Conflict of Interest with respect to any recommendation and related information and opinions at the time of the publication of the Research Report or at the time of Public Appearance.
SMIFS does not have proprietary trades but may at a future date, opt for the same with prior intimation to Clients/ Investors and extant Authorities where it may have proprietary long/short position in the above Scrip(s) and therefore should be considered as interested.
The views provided herein are general in nature and do not consider Risk Appetite or Investment Objective of any particular Investor; Clients/ Readers/ Subscribers of this Research Report are requested to take independent professional advice before investing, however the same shall have no bearing whatsoever on the specific recommendations made by the analysts, as the recommendations made by the analysts are completely independednt views of the Associates of SMIFS even though there might exist an inherent conflict of interest in some of the stocks mentioned in the Research Report.
The information provided herein should not be construed as invitation or solicitation to do business with SMIFS.
SMIFS or its subsidiaries collectively or Research Analysts or their relatives do not own 1% or more of the equity securities of the Company mentioned in the Research Report as of the last day of the month preceding the publication of the Research Report.
Disclaimer
SMIFS encourages independence in Research Report preparation and strives to minimize conflict in preparation of Research Report. Accordingly, neither SMIFS and their Associates nor the Research Analysts and their relatives have any material conflict of interest at the time of publication of this Research Report or at the time of the Public Appearance, if any.
SMIFS or its associates might have managed or co-managed public offering of securities for the subject company or might have been mandated by the subject company for any other assignment in the past twelve months.
SMIFS or its associates might have received any compensation from the companies mentioned in the Research Report during the period preceding twelve months from the date of this Research Report for services in respect of managing or comanaging public offerings, corporate finance, investment banking, brokerage services or other advisory service in a merger or specific transaction from the subject company.
SMIFS or its associates might have received any compensation for products or services other than investment banking or brokerage services from the subject companies mentioned in the Research Report in the past twelve months.
SMIFS or its associates or its Research Analysts did not receive any compensation or other benefits whatsoever from the subject companies mentioned in the Research Report or third party in connection with preparation of the Research Report.
Compensation of Research Analysts is not based on any specific Investment Banking or Brokerage Service Transactions.
The Research Analysts might have served as an officer, director or employee of the subject company.
SMIFS and its Associates, Officers, Directors, Employees, Research Analysts including their relatives worldwide may have been engaged in market making activity for the companies mentioned in the Research Report.
SMIFS may have issued other Research Reports that are inconsistent with and reach different conclusion from the information presented in this Research Report.
A graph of daily closing prices of the securities/commodities is also available at www.nseindia.com and/or www.bseindia.com, www.mcxindia.com and/or www.icex.com.
SMIFS submit' s that no material disciplinary action has been taken on the Company by any Regulatory Authority impacting Equity Research Analysis activities in last 3 years.
This Research Report is not directed or intended for distribution to, or use by, any person or entity who is a citizen or resident of or located in any locality, state, country or other jurisdiction, where such distribution, publication, availability or use would be contrary to law, regulation or which would subject SMIFS and affiliates to any registration or licensing requirement within such jurisdiction. The securities described herein may or may not be eligible for sale in all jurisdictions or to certain category of investors. Persons in whose possession this document may come are required to inform themselves of and to observe such restriction.
Disclaimer
Specific Disclosures
- SMIFS, Research Analyst and/or his relatives does not have financial interest in the subject company, as they do not have equity holdings in the subject company.
- SMIFS, Research Analyst and/or his relatives do not have actual/beneficial ownership of 1% or more securities in the subject company.
- SMIFS, Research Analyst and/or his relatives have not received compensation/other benefits from the subject company in the past 12 months.
- SMIFS, Research Analyst and/or his relatives do not have material conflict of interest in the subject company at the time of publication of research report.
- Research Analyst has not served as director/officer/employee in the subject company
- SMIFS has not acted as a manager or co-manager of public offering of securities of the subject company in past 12 months.
- SMIFS has not received compensation for investment banking/ merchant banking/brokerage services from the subject company in the past 12 months
- SMIFS has not received compensation for other than investment banking/merchant banking/brokerage services from the subject company in the past 12 months.
- SMIFS has not received any compensation or other benefits from third party in connection with the research report.
- SMIFS has not engaged in market making activity for the subject company
Analyst holding in stock: NO
Key to SMIFS Investment Rankings
Buy: Return >15%, Accumulate: Return between 5% to 15%, Reduce: Return between -5% to +5%, Sell: Return < -5%
Contact us:
SMIFS Limited. (https://www.smifs.com/)
Compliance Officer:
Sudipto Datta,
Vaibhav, 4 Lee Road, Kolkata 700020, West Bengal, India.
Contact No.: +91 33 4011 5401 /91 33 6634 5401
Email Id.: firstname.lastname@example.org
|
high
SCARBOROUGH'S ESSENTIAL GUIDE 2008 2008
tide
APRIL APRIL
AND:
Porthole's touring world
Litfest goes walkabout Porthole's touring world
Litfest goes walkabout
AND:
music arts theatre music arts theatre
film exhibitions poetry film exhibitions poetry
food comedy
comedy food
& &
drink drink
www.hightidemagazine.com Catching the moment with Sarahphotogirl high
tide spread for a preview.
Barely out of snowtime and the great outdoors beckons. Plans are underway for a great new
summer festival, to join that excellent line-up of events that are becoming a regular fixture for the
area.
We get out and about with this year's literature festival too. This month sees a host of established writers
appearing in Scarborough, and a special walk will showcase past authors’ links with the town too.
If you can't bear all that fresh air stuff, just get along to the latest photography show at the Stephen Joseph
Theatre, where you can catch some famous faces in forest and moorland settings around here. See our centre
SCARBOROUGH'S ESSENTIAL GUIDE
Cover pic: Dave Rowntree's drums, Sarahphotogirl
High Tide is edited by Janis Bright and published by Roger Osborne
High Tide Publishing CIC, 70 High Street, Snainton, Scarborough YO13 9AJ
02 email@example.com
M MARCH 2008
This month
News
A solstice celebration, critical acclaim and a
new beginning
3
Porthole's touring world
A Whitby organisation is
spreading world music
across the UK
Catching the moment
Sarahphotogirl's new show promises new ta
kes on familiar faces
4 5
April 2008 Judi Dench and Cate Blanchett star in the Oscar-nominated Notes on a Scandal. We've a copy of the DVD for a lucky winner from our email newsletter subscribers list – we'll draw a name from the hat on Wed 23 April. So see our website home page and get signed up for a chance to win.
Listings
All the happenings for April
Walkin' the talk
This year's litfest gets out and about with
generations of writers
This month's special offer
6 8
NEWS
Dreams come true
at summer solstice
gathering
Top critic lined up
for litfest
www.hightidemagazine.co.uk This year's jazz festival is taking shape with Courtney Pine, Guy Barker, Clare Teal, Tango Siempre and Empirical among the acts already booked. The festival is now a major fixture in the jazz calendar, and brings crowds of jazz fans to Scarborough from all over Britain and Europe. Scarborough Jazz Festival 2008 runs from 26 to 28 September at the Spa.
April 2008 Woodend is nigh Jazz fes up for a Writer and critic Terry Eagleton is among the starstudded lineup for this year's Scarborough Literature Festival happening on 17 to 20 April. On the final day the Manchester University professor will give a lecture at the Scarborough Campus on The Death of Criticism. Eagleton is Professor of English and Cultural Theory at Manchester University, and is more widely known as the UK's most influential literry critic. He is a Catholic turned Marxist, a theorist who has turned against theroy. More importantly, he is an exhilirating and passionate writer. Eagleton promises to be one of the most interesting speakers to visit Scarborough in recent years. There are related events planned during the month to run alongisde the main litfest sessions. On 10 April North Yorkshire 199 features the book of poems and photographs awarded the Yorkshire Non-fiction Book of the Year prize. Jack Binns presents a further rogues' gallery on 14 April. After battles with Japanese knotweed and providing tender loving care to a family of bats, Woodend Creative Workspace will finally be open for business this month. The staff should be in the building by mid-April, with artists and work-space tenants following soon after. Work on the garden folly will continue.
Plans are being laid for a festival to mark the summer solstice at Hayburn Wyke. The aim is to have an evening of indoor entertainment, followed by a day of music in glorious summer sunshine. The Solstice weekend will attempt to recreate the magical atmosphere of the much-loved Rosedale festival, by featuring local musicians in a beautiful setting. There will be camping facilities and people will be encouraged to use the old railway line to get to and from the venue. Organiser Tom Watton said 'We have got good support from local residents, and it promises to be a very special event.' More news will follow in next month's High Tide, but make a date in your diary for 20 and 21 June.
t lines blast
03
Porthole's prolific touring world
between the musicians and the venues in order to help them reach their audience.' Some bands have been doing this for themselves, but without the necessary expertise and contacts; while others are based abroad and need UK representation (Porthole has three UK based artists and three based in Europe, see below). Jim says: 'Bear in mind we are working with established professional artists. We establish what they should be charging for gigs, then it's up to us to get them booked in.' 04 firstname.lastname@example.org
T
he Musicport people have earned their wings by organising the best indoor world music festival in Britain, putting on regular concerts featuring a range of amazingly high quality acts and running a string of education workshops, as well as managing Whitby's Fairtrade shop, the Porthole. Not satisfied with all this, last November they set up Porthole Productions as an agent and tour manager for world m usic bands. Jim McLaughlin ( a bove) told us that, once last ye a r's festival was over, they saw there was a need. 'We come across lots of artists who deserve and need more exposure. We act as a lin k Sounds easy, but there is no substitute for hard graft. There is a huge variety of music venues in Britain, from pubs to arenas. I asked Jim where he would begin to look for bookings. 'You develop a sense for which venues suit which artists. There are directories We hear that live music is thriving as people go in search of interesting downloads and real live experience. But how does the live music business, with its networks of artists, agents, managers and venues, actually work? Roger Osborne went to Skinner Street in Whitby to find out. audience. Some places are always good for world music.' Like where? 'Bangor, Glossop, Hebden Bridge . . .' All places with a bohemian reputation, and now he is beginning to book artists into college venues too. To rouse up interest Porthole Productions send out hundreds of CDs, and spend endless hours on email and phone calls. It's not the glamorous side of the business, but it's an essential and satisfying part of the process of bringing live
you can look up, but a lot of it is to do with reputation, knowing what music goes well in what places . . . and contacts.' The Porthole acts could be loosely described as world music; so where does that go down well? 'It doesn't fill arenas but there is a good April 2008 Porthole represents the following artists: Samay [UK] Maalstroom [Netherlands] The Hut People [UK] Moussu T e lei Jovents [France] Galina Durmushliyska [Bulgaria] Muntu Valdo [Cameroon, based in UK] – pictured www.portholeproductions.com music to its audience.
COVER STORY: SARAHPHOTOGIRL
er name may be an enigma but her subjects are instantly familiar. Sarahphotogirl specialises in photographing the assorted mayhem of the music biz. So there's Paul Weller over there, the Zutons here, Thom Yorke like a standing stone on bands and their agents, getting shots where she could, and building a portfolio. Pictures of Madonna at a very urban red-carpet bash rub shoulders with bands appearing in the great outdoors of Dalby Forest. Sarah often uses bold, hyperexample – Sarah specialises in backstage and studio portraits. Now she's turning to a new venture with photomontage, building a picture from hundreds of images. Some will be included in her show at the SJT this month. 'It's early
April 2008 Fylingdales Moor. It all started when she was at York University and had a bunch of rock posters on her wall. Looking at them endlessly, she thought: 'I could do that. But better.' So she started approaching real colour, which is a big change from her starting point with black and white. 'I didn't like colour initially. I think it has to be really stunning for it to work,' she explains. Though there are shots on stage – a nice one of the Kaiser Chiefs' Ricky Wilson leaping into the vivid blue, for
Catching the moment
H
www.hightidemagazine.com 05 days yet,' she says, 'but I need to move on. I'm trying to use photography and writing together, to create something a little bit magical.' Janis Bright Sarahphotogirl's show at the SJT starts on 31 March and runs to 6 May.
06 email@example.com
HIGH FIVES
Marzona Collection mima (Middlesbrough Institute of Modern Art) 10:00 am Mar 1 to April 18 Branching Out South Street Gallery 10:00 am Free Mar 31 to April 5 Our House Stephen Joseph Theatre 7:30 pm £17.50 - £9 Apr 2 Scarborough Jazz: Frank Brooker Sigma at The Cask 8:45 pm Free
Last year's inaugural literature festival was a welcome addition to the Scarborough cultural calendar; this year's programme is bigger and has built brilliantly on last year's success. Renowned writers are clearly keen to come here – it should be a feast of good things. If you fancy your chances as a bard, give the poetry slam a visit, and if you want to hear the finest literary critic in Britain don't miss Terry Eagleton. Northern Broadsides also make a welcome return, while the regular comedy, film and jazz clubs go from strength to strength. And if you're wondering what digital media is all about, then get along to the On The Edge final show. Feb 29 to May 11 Based On Paper: The Art shows are listed first. Timings are as correct as we can make them, but check our website for updates or call the venue.
Apr 4 Rafiki Jazz
Coliseum,
Whitby 8:00 pm £10 (£8)
SJT Restaurant 8:30 pm £7
Stephen Joseph Theatre 7:45 pm
Apr 7 to 8 Artefacts
Stephen
Whitby 8:00 pm £10 (£8) £12.50 - £10 Apr 7 Comedy Club:
Roger Monkhouse, Pete
Firman
Blue Lounge 8 pm £7
Scarborough Library
Newell, PAT Testing
Apr 9 On The Edge: Chris
7:30 pm
Scarborough Campus 7:30 pm
Free, book in advance
Apr 9
Stephen Joseph Theatre
Scarborough Jazz: Ben
7:30 pm £17.50 - £9
Crosland Quartet
Sigma at The Cask 8:45 pm £5
Apr 11
Film Society:
Sigma at The Cask 8:45 pm Free
Away From Her
Scarborough Library 7:45 pm £4
Apr 11
Scarborough Library See Panel
Mojo's Music Cafe Night
Apr 12 Brian Rix
Scarborough Art Gallery 2:00 pm
Joseph Theatre 7:30 pm £15-£13
Free, book in advance
Apr 14 Archaeology and
History Society:
Scarborough Rogues,
Jack Binns
Scarborough Campus 7:30 pm £4
Free
Apr 15 to 19
April 2008
Analogue
Apr 23
On The Edge: Mile End by
Apr 19 Fairy Tales &
Fantasy Workshop
Literature Festival
Apr 17 to 20
Julie Edwards & Kevin
Dearden
Apr 16 Scarborough Jazz:
Northern Broadsides presents Romeo & Juliet
REVIEW - ART GALLERY Scary fairy tales
April 2008
2.00 pm Workshop: Magazine and on-line writing with Janis Bright 4.00 pm Workshop: Writing history, travel and memoirs for publication with Roger Osborne 7.00 pm Taking the Train 8.00 pm Poetry Slam Friday 18th April 10 am Simon Armitage 12 noon Literary Lunch at The Crescent Hotel with Susan Hill 3.30 pm Joanne Harris 6 pm Literary walk 7.30 pm Ian Rankin www . h ightidemagaz i ne.com 4.30 pm Blake Morrison 7.30 pm Saturday panel with Christopher Brookmyre, Justin Cartwright and Jasper Fforde Sunday 20th April 10 am Breakfast with Simon Hoggart and James Nash 1 pm Carol Drinkwater 4 pm Louis de Bernieres and Ilone Antonius-Jones Sunday 20th April (Children's Events) 10.30 am Steve Cole 1 pm Cartoon Creations 2.30 pm Puppet making with Animated Objects Theatre
seemed to see kids as either way too cute, or as factory fodder. If this exhibition betrays some of the fussiness that comes with idealising their little darlings, let's be thankful that there is evidence of some artists using the medium to their own advantage. My only real complaint is that, in a show about commercial art, there is no mention, let alone explanation, of any of the industrial processes involved – and these are surely the key to the whole business. Roger Osborne Fairy Tales and Fantasy Scarborough Art Gallery
14 March to 11 May Saturday 19th April 10.30 am Helen Dunmore and Deborah Moggach 12 noon Literary Lunch at The Crescent Hotel with Sarah Dunant 2.30 pm Crime Panel with Mark Billingham, Stephen Booth, Natasha Cooper and Denise Mina
07
I have to declare an interest here – me and books go back a long way together. I'm just about old enough to have trained on hot-metal typesetting machines, transferred illustrations to letterpress blocks by meticulously etching metal with acid, and stamped images onto cloth book covers through hot foil. These commercial processes place the same kinds of limitations on artists as 14-line sonnets or threeminute singles; the joy of commercial art comes from seeing how they cope. Judging from this exhibition, Victorian artists went in quite different directions. Some, like Apr 23 Danel Quartet Stephen Joseph Theatre 7:30 pm £15-£11 Apr 23 Scarborough Jazz: Joel Purnell Sigma at The Cask 8:45 pm Free Apr 25 Lunchtime Talk: Lara Goodband Scarborough Art Gallery 12:30 pm Free Apr 28 to May 10 Laurel & Hardy Stephen Joseph Theatre 7:30 pm £17.50 - £9 Apr 30 Terry Eagleton Scarborough Campus 6 pm Free Apr 30 On The Edge: Digital Media Showcase Scarborough Campus 7:30 pm Free Apr 30 Scarborough Jazz: Martin Jones Sigma at The Cask 8:45 pm Free
C. Wilhelm and Lilian Pollock, saw the potential of black line on white paper to produce extraordinarily intricate scenes, crowded with imagery. To the modern eye these are much less appealing than the simple, and extraordinarily effective, William Heath Robinson illustrations to the Arabian Nights. You might have a weakness for Harry Rowntree's comic nasties, or the oriental flavour of Warwick Goble. There aren't many book cases here, but the striking red wolves on Aesop's Fables show how art can be rendered from a crude industrial process. Victorians and children have a dodgy relationship – they Literature Festival Programme www.scarboroughliterature festival.co.uk Thursday 17 April 10.00 am G. P. Taylor 12.30 pm Concert with Scarborough Poetry Workshop 2.00 pm Writers' Café 2.00 pm Workshop: Poetry and writing for therapy with Kate Evans
LITERARY WALK
Wa al l
ki the
e talk
festival a Literary Walk around the town. Suzanne Potter (pictured above left), who leads the walk, is a seasoned professional. In 1999 she co- founded Step Back In Time, specialising in historic walks and talks around Scarborough, catering for all kinds of visitors and working through hotels and the Tourist Information Centres. The business has extended to shepherding coach parties, and they now work 08 www.hightidemagazine.com
in'
such as Wilfred Owen. The war poet was stationed here for several months during the First World War, before returning to the front and being tragically killed just a week before the armistice. The Sitwells are familiar figures in Scarobourgh, where their father was MP, and with
distinguished tradition. The town's reputation as a beautiful place to visit – for inspiration, rest or even convalescence – has drawn artists and writers for centuries. A good chapter-full of these writers will be brought to life during the
T
his year's Scarborough Literature Festival has attracted a host of important writers to Scarborough, writes Roger Osborne. The likes of Joanne Harris and Sarah Dunant will be joining a long and mainly with organ of visitors. Suzanne is a lingu training, and has a strong interest in literature. She bel Readers Group at library, so when p This year's literature festival breaks out of the library to explore the town's history with Suzanne Potter
ised groups ist by lways had a history and ongs to the Scarborough lans were being laid for last year's festival, she was r eady and able to lead both a history and a literary walk. The walks were ex tremely popular, and this year the literary walk retur ns. It will start at St Mary's church with the grave of Anne Bronte, and wind through the town before ending up at the library in time for Ian Rankin. Along the way walkers are likely to come across literary luminaries a family home at Wood End. Charles Dickens, an exceptionally well-travelled writer, came to Scarborough to give some of his famous readings. Susan Hill – who is also appearing at the festival will also feature, as the town's most eminent modern literary native. As Suzanne says, 'The walk is a great way to learn more about Scarborough's history and its literary connections.' April 200 8 Above: Wilfred Owen Left: Anne Bronte Below: Susan Hill
|
Coastal Carolina University CCU Digital Commons
Honors Theses
Honors College and Center for Interdisciplinary Studies
Fall 12-15-2012
One Art with Two Sides: Theatre and Performance Art
Jacob Watts Coastal Carolina University
Follow this and additional works at: https://digitalcommons.coastal.edu/honors-theses
Part of the Theatre and Performance Studies Commons
Recommended Citation
Watts, Jacob, "One Art with Two Sides: Theatre and Performance Art" (2012). Honors Theses. 69. https://digitalcommons.coastal.edu/honors-theses/69
This Thesis is brought to you for free and open access by the Honors College and Center for Interdisciplinary Studies at CCU Digital Commons. It has been accepted for inclusion in Honors Theses by an authorized administrator of CCU Digital Commons. For more information, please contact email@example.com.
Introduction
There is a divide within the performing arts between "actors" and "performance artists." While in discussion with Performance Artists, Paul David Young said that Theatre is "a dead art form, one that can often be excruciating" (Young,3). The artists within the two schools see each other as very different, in both theory and function. This seems, at first, a reasonable assumption; visual performance art requires no technical training and can be created by anyone, while acting is a process of refining specific abilities. There are similarities and differences between Theatre and Performance Art that this paper will identify.
Theatre is typically a scripted performance, performed by actors within a "Theatre space" and observed by an audience. When capitalized, "Theatre" refers to a field of art and study. It is produced to tell a story, or create meaning. Theatre contains elements of plot and characters, often using the characters to tell a story. Visual performance art is art that focuses on live human performance and defines itself in terms of "visual art" and not in terms of "Theatre performance." Performance art does not always occupy a specific place or use a specific kind of script. It often lacks character, plot, and sometimes even a structure of any kind. It usually created without a story and without meaning, sometimes with and sometimes without a definitive audience, and carries the title of "performance art piece."
Are the two arts fundamentally different? I will demonstrate that the divide between the arts is unnecessary because the two schools are historically and functionally the same; they are only seen as different because they are two slightly differing modes of the same human interaction. In order to do this, I will define both forms of art by describing their history and use. I will also describe how interactions between the two help define the arts. In order to best compare the arts, the time period of Theatre I will focus on in the paper is Theatre from the
beginning of the 20 th century until the early 21 st century. This is the same time period I will focus on in visual performance arts.
Literature Review
Over time the scholarship of Performance became two separate schools: Performance Art studies and Theatre studies. In most cases, a scholar will write within only one of these schools.
Defining Theatre
In "From the Postdramatic to the Poly-Dramatic," Natalie Meisner and Donia Mounsef discuss the relationship between text and Theatre performances. The authors unwaveringly consider "dance, music, multimedia and installation art" (86) to be Theatre. The article discusses historical uses of the text, or absence of text, in Theatre, noting certain theoreticians who were known for their distance from Theatric text. It discusses the triangulation in ownership of speech between the text, the audience, and the performer. Triangulation in this case is the way the character is perceived by the audience, as a character defined by the understanding of the actor, the text, and the understanding of the audience.
Theatre is further defined in Aaron Meskin's "Scrutinizing the Art of Theatre," a review, criticism, and analysis of a book called The Art of Theatre by James Hamilton Ph.D. Hamilton is a philosopher with a specialization in aesthetics. The book is about the relationship between the concept of an "art form" and the performance element and text element of Theatric production. Meskin quotes Hamilton as defining Theatre as "the social practice in which audiences attend to the physical and verbal expressions and behavior as well as the 'non-expressive' movements and sounds of performers (human or mechanical) who, by those means, occasion audience responses to whatever the performers arrange for the audience to observe about human life (for example, stories and characters, or sequences of images and/or symbolic acts)" (Meskin, 53). This definition is specific enough to adequately define not only Theatre, but all performance, without including too much. Meskin notes here that this definition has nothing to do with the space (like a Theatre space or museum space). This definition helps to define Theatre beyond the limits of the reviewed book because it analyzes the role that location plays in performance. This analysis eliminates the importance of the location of performance.
The Art of Theater by James Hamilton is a philosophical analysis of Theatre. This analysis culminates in a collection of "general and obvious facts about theatrical performances" (Hamilton,50). These facts help define Theatre clearly. The three facts are: "(1), Theatrical performance is a social form of art, (2) performers and audiences are disposed to interact in the standard conditions under which theatrical performances are seen, and (3) theatrical performance is a temporal form of art" (Hamilton, 50). Each of these provides information as to what Theatre is without including too much. The first fact eliminates the possibility of performance when the performer is completely alone, which would not be considered Theatre, the second comments on the fact that there must be an audience and a performance, and the third limits the definition to at least including some element of live performance.
To define Theatre by its use, Sarah Bay-Cheng discusses Theatre history in context of modern technological media like film. She discussed the media, here meaning forms of video and their respective forms of private and public presentation, and how they are being used with (and sometimes against) the Theatre arts. She also explains the strengths and shortcomings of the medium of video in relation to Theatre. Video is capable of creating identically reproduced performances of a Theatre work for study and criticism of a specific performance, but can be viewed only on a two-dimensional plane, and any imperfection (acting or technical error) in the recorded performance is not necessarily a reflection of an imperfection in the show itself, or even the specific production. This is important because it cites this relationship as a new method of historical documentation. She labels Theatre and the recordings of live performances as a means to record history. There is much of history (and theory) known only through art. This medium strengthens the future resources for historical research in terms of the amount of content, but because of the distortion between live Theatre and recorded Theatre, the recording will not be a fair representation of the original performance.
Establishing Theatre's place in history, "Here We Are" by Guglielmo Schinina is about the history of Theatrical performances; Schinina does not cite Theatrical performance as a performance which happens in the Theatre space, but as a social ritual. Significantly, this definition would mean there is no difference between Theatre and performance art. It also cites the historical importance of Theatre as a tool of social change. Schinina covers different theories on the origin and use of Theatre in terms of a social historical (history of social events) or biological evolutionary historical (human biological history) context. Schinina discusses Theatre in terms of: origins, evolution, revolution, inclusion, recession, the definition of social Theatre, Theatre animation, and community-based Theatre, institution, and social disillusion. In the "inclusion" and "definition" sections, the Theatre companies allow non-actors (untrained performers) to act and use Theatre training methods to overcome individual or societal problems. In these cases, the production is for the performers, not an audience. This is still considered, but the role of "audience" is of little or no significance to the production. The "institution" section contains specific examples of Theatre produced for the benefit of the performers; "in Politics… for emergency relief, in rebuilding community capacities, and for democratization," in medicine, used as therapy, and in education, to distribute information (Schinina, 25).
Clarifying the history of Theatre, Stanton Garner Jr. places Dadaism in a historical context; he sees it as an occurrence within a society, with clear historical roots. He clarifies the parallel histories of art and society. The Dada movement appears to be the beginning of both
Performance Art and Postdramatic Theatre/Contemporary Theatre. If, as Garner postulates World War I was responsible for Dada, then it was largely responsible for the way Theatre and performance art are today. Not only does the physical disfigurement lead to questions of identity, but the war caused Dadaists to lash out and form avant-garde artistic and Theatric groups together as a response. Dada, in this article, cites the end of one artistic era and the beginning of another. In this way, contemporary art (whether performance or Theatre or visual or multimedia) can be traced to a single common ancestor: the Dada movement. This is important because he traces the apparent source of both forms of art to a single point, and that point is not within the world of art. This gives foundation in non-artistic history to an artistic movement.
Interactions with Non-Theatre Performance
Theatre's interaction with what is not considered Theatre strengthens the definition of "Theatre" and "non-Theatre performance." "Turning Theatre Into Art," a transcript from an interview of three performance artists hosted by Paul David Young, is part of the same series as the "Evolutions of the Performance Aesthetic." The artists who are documented in this article were very supportive of Theatre art and its use in Visual Performance Art. Though non-Theatre artists argue that performance art and Theatre art are entirely different, there seems to be an amorous relationship between Theatre and these artists, whereas the artists interviewed in "Evolutions" were disdainful toward Theatre. Ohad Meromi, who does not come from a Theatre background, expresses a fascination with the process of the creation of Theatre. Meromi used the process of Theatrical production as the work of art in and of itself. Pablo Helguera discussed a form of performance art based around the falsified biography and body of work of an artist who never existed, and the actors in the work regarded him as one of the most important artists of the nineties, claiming that he was unjustly forgotten. A false biography and falsified works of this artist were presented to the public in the form of a discussion panel, made up entirely of actors, focusing on his body of work. His body of work was forged by other artists. This is a very Theatrical way of working in that there is material from which the actors draw, but the fake biography and portfolio are presented as factual evidence of a life that never existed. It is a form of performance art that exclusively follows the path of a Theatrical production except for the fact that it is not presented as Theatre. This is evidence of the approval and use of Theatrical technique within the art world.
Another article documenting Theatre and "non-Theatre" interaction, "Filmed Scenery on the Live Stage" by Gwendolyn Waltz is a summary of the early relationship between onstage film and staged Theatre. She explains in some detail the methods of the use of onstage film in productions, generally between the late 1890s to the 1930s. This article is a report on findings supported by the previous findings of the author and her contemporaries. The purpose of the article is to identify the early uses of film in stage Theatre, and discuss their methods, creators, and progenitors. Instead of posing questions, Waltz shows holes in the field of research by citing other articles which pose questions. She depicts different methods of film use onstage with diagrams from previous journals. This article includes the first uses of the forward progressing train image in staged Theatre, and discusses the Japanese use of staged-interior filmed-exterior Theatre. This article challenges the definition of what is considered Theatre because, although the cited performances are considered Theatre, they include performance elements that are not live. This article shows that Theatre does not mean exclusively live performance.
Defining Performance Art
Catherine Larson's forms a definition in "What Do We Mean When We Talk About Performance?," an article about the word "performance" and its uses across languages, mainly focusing on English and Spanish. Larson immediately considers things like business, economics, and functionalism as performance. She then makes a transition to performance as a social occurrence, and cites gender performance, street vending, and role participation as performance. In this way, Theatre and performance art are exactly the same in that they are both an avenue of human performance which exists to be observed. An extremely helpful portion of the article was taken from Richard Schechner's "Drama, Script, Theatre, and Performance" (The Drama Review, 17.3, 1973, 5-36), which is a series of definitions which are a solid perspective on some words which are used often in the art and Theatre worlds without precise definitions. Schechner defines "performance" basically as anything that happens from the time the performer or spectator enters the space until the time the performer or spectator exits. This definition of performance is space-defined.
In Richard Schechner's "Drama, Script, Theatre, and Performance," the author defines Theatre with specific parameters. Schechner uses a play production to explore of the relationship of script to Theatre, and an eastern trance dance to illustrate the relationship between drama and performance. In the play example, Schechner explores the relationship between a playwright and a production, and in doing so explores the influence of the text of a play on the production of the play. In his conclusion, he says about the text "To some degree the theatre is the visible aspect of the script, the exterior topography of an interior map. But script and theatre do not necessarily relate in this way; a script may be the cause of the theatre, and the theatre may influence the shape of a script" (Schechner, 24). This defines Theatre as a combination of performance and text. Schechner defends in this article that the most important element of performance is the
audience. This clear definition places Performance Art outside the limits of Theatre because Performance Art is more about the performance than the audience, and often does not have a text.
Bruce McConachie takes a distinctly scientific view on play, performance, and rituals. Play here means the nature of being playful, not the Theatric term for a performance.
McConachie explains that in Theatre, the audience's understanding of a character is a combination of the character in the text, the character as portrayed by the actor, and the character as understood by the audience members individually. It also explores the nature of a role, which does draw a distinction between performance art and Theatre, because in Theatre, the roles are often clearly defined (audience, performer), whereas in performance art, they are often arbitrary or hard to define. This is another approach to the definition of performance. From a psychological approach, performance art and new Theatre appear to be very different because of the ideas of what the audience brings into the piece, and their preparedness to witness the spectacle (of the play or of the performance).
Mike Sell seeks to define the terms of modern performance in "Resisting the Question, 'What is Avant-Garde?'" Contrary to the title, Sell (apprehensively) embraces the question, and explores the nature of the avant-garde, not only in Theatre or art, but in many aspects in which it was applied, including business, politics, medicine, military strategy, and engineering. He comes up with a very interesting definition, or rather criteria, under which something can or cannot be labeled avant-garde. According to Sell, avant-garde is that which "First and fundamentally… challenges power. That challenge is as varied as the stratagems and technologies of power itself… second, to be avant-garde, one must be a minority…Third, to challenge power from a minoritarian perspective, the avantgarde [sic] must work with and within culture."(769-70). This is the role of performance art since its beginning, but also an area occupied by some Theatre. This illuminates some of the boundaries surrounding performance art and Theatre. If postdramatic Theatre and performance art were drawn as a venn-diagram, the center section would be avant-garde. Sell definitely helped to sanction a specific area of theory and label it, which helps to define Theatre and performance art.
Johannes Birringer, in "Dance and Not Dance," discusses the use of performance arts concepts in the world of contemporary dance. He discusses occurrences at recent dance conventions, which is one of the only means by which a community can take a snap shot of the current world of dance Reports, like this article, are useful tools for recording the history of –and advances within- an art form. Birringer focuses on pieces which are on the cutting edge of dance performances, which fit the avant-garde definition of performance art.
In "Dancing in the Museum," Birringer discusses the use of dancing in the museum space. He mainly cites three performance installations: Move: Choreographing You (Hayward Gallery, October 13, 2010), Dance with Camera (Contemporary Arts Museum, August 7, 2010), and Mike Kelley's Test Room Containing Multiple Stimuli Known to Elicit Curiosity and Manipulatory Responses (Hayward Gallery 1999). In these, dance is used as a tool to create immediate presence in the work in the cases in which the museum space itself is occupied by dancing or motion signified as dancing, with the exception of Dance with Camera, which is a recorded and edited dance piece presented as a video within the museum itself. These media reconsider the gallery space to be a performance space. Theatre and Theatric forms of dancing, presentational or representational, are not discussed in the piece except that they are used "to very different ends" from performance art. The lack of consideration for Theatric dance shows that Theatric dance is outside the scope of the dance avant-garde.
Defining the relationship between technology and performance, Scott deLahunta discusses the history and reasoning behind the use of virtual reality technologies in performance. He also discusses the relationship between actors/choreographers and the use of virtual reality. DeLahunta discusses a few installation pieces and how virtual reality technologies have been incorporated into their use either as a performance or kind of interactive experience for the audience, blurring the line between performer and audience member. DeLahunta only mentions Theatre in passing, but views these performances as a visual art, even though they are spectacles achieved through a performance. Because technology is constantly advancing, this leads the way for more exploratory performances in the future, and because the performers (or participants themselves) are not choreographed, each performance is unique. This is unlike traditional Theatre, which is structured to be repeatable. This article forces one to question the nature of video games in regard to the definition of the performance arts. The pieces discussed were very well recorded and the piece "Desert Rain" incorporated DeLahunta as a participant. This work uses story and actors, which are elements of Theatre. The performance is not within a Theatre space, and the audience is included in the performance. Because of the synthesis of devices, this performance is both Theatre and Performance Art, showing that the two are not mutually exclusive.
History of Performance Art
In "Theatres of Cruelty in Interwar Europe," Kimberly Jannarone discusses the technical aspects of early performance art and contemporary Theatre, by showing how theorists of the time tried to redefine the purpose and place of the performers and the audience. Jannarone explores the influence of crowd control theory on Theatre, and Theatre staging. An interesting part of the article compares the theories of Artaud and of Fascist Theatre, and finds them to be strikingly similar. Although for different reasons, both Artaud and the Fascist Theorists opposed the same concepts with extreme disgust. This led to a push for advances in Theater, leading to the birth of Performance Art. It also showed how thinkers such as Artaud and Mussolini sought to redefine Theatre and performance. Political theory and Theatre history crossed paths here, and as political speech theories are tested, so were new Theatre theories. Hitler was also discussed here, which raised an interesting question: although it is clear that history influenced Theatre, how did Theatre influence history? This article is important to my research because it gives further historical grounding for the phenomena in the art and Theatre worlds relevant to my topic. It shows the crossroads of history and Theatre from the late 1800s to World War II.
Performance Art Interaction with Theatre
Showing that Theatre can become Performance Art, another Paul David Young interview documented in "Evolutions of the Performance Aesthetic" is a discussion is held on the work of current "visual artists" (like painters, sculptors, and installationists) and how it relates to traditional text-based Theatre. This article reveals that traditional Theatre is perceived by many "visual artists" to be "a dead art form, one that can often be excruciating" (Young,3). Seeing this perception and how it appears to be accepted as fact indicates that visual artists (including live performance and film performance artists) see Theatre arts as a wholly separate art form. The artists discuss the successes and failures of different artistic performances which are not considered Theatre, and the interaction between "performance artists" in a sense of the visual arts and the different "performance artists" in terms of Theatre and film, and showing distinctions between them. Levine discusses the differences stating that Theatre uses with a false setting or biography (based in a text that is usually fictional in regards to the life of the
performers), and performance art is usually without those elements, making it an original existence onstage. Each artist uses their own understanding of both Theatre and art to form their opinions on the distinction.
Discussion/Conclusion
My research shows that the belief is supported by most artists and scholars that Performance Art and of Theatre are different. However, the way in which these arts are defined, and the way that their histories are documented, shows the evolution of one art form into two modes. Although Theatre usually is used to tell a story and performance art is usually not, these two modes, even in their most extreme contemporary forms, are still functionally the same.
A definition of "Theatre" synthesized from these authors would be, in its most certain terms, an action or series of actions performed with the intention of being observed. Through the avant-garde Theatre movements, the necessity for a defined performer/audience role has been removed, as has the need for a defined performance space. Although this definition is extremely vague, this is the only consistently agreed-upon definition of Theatre. This definition also encompasses performance art. The definition is specific enough to include all Theatre and performance art without including things that are not Theatre or performance art. The implication of this definition is that any instruction or dictation is considered performance. My research shows this to be the case (Larson, "What Do We Mean When We Talk About Performance…", 2012)
The reason these arts are seen as different is only because the artists within one mode tend to stay consistently within their mode. This is visible in the Paul David Young interview series. In Evolution of the Performance Aesthetic, Theatre is regarded by the interviewed artists as "a dead art form, one that can be excruciating" (Young, 3). The perceived distance between the arts comes not from a difference between them, but from an inaccurate definition of Theatre. If defined accurately, Theatre and Performance Art are identical. The statements of the artists in the Young interviews seem to be based on the understanding that "Theatre" refers strictly to a text-based performance within a Theatre space. My research shows that this definition is inaccurate because Theatre does not rely on a specific performance space, nor does it rely on a text in order to be performed. Although traditional Theatre includes text, the research shows that what the manner in which the artists in the Young interviews perform is defined as a form of Theatre.
Not only do the arts share definition, but in their current forms, they come from the same artistic movement. The movement responsible for Postdramatic Theatre and Performance Art is the Dada movement. In Garner's "The Gas Heart: Disfigurement and the Dada Body," Postdramatic Theatre is traced to Dada. Postdramatic Theatre challenged the need for text, characters, plot, or even Theatre setting. Because of this, what is considered Performance Art and what is considered Postdramatic Theatre are the same thing, born from the same movement, inspired by the same event, World War I (Garner).
There is a difference between Theatre and Performance Art in terms of function. Performance Art is often produced by the artists themselves without a story to present to the audience. Theatre is almost always produced by a Producer, who funds a work with the intention of generating income and an production crew (including actors) that use a text, usually a story, to give the audience purpose for their attendance. Theatre, in this way, has expectations put upon it that do not exist for a performance artist.
As seen in Schechner's "Drama, Script, Theatre, and Performance," a defining feature of Theatre is that it often uses a text. This difference is also discussed in Hamilton's The Art of Theatre, but text is cited as a tradition, not a necessary element of Theatre. According to Hamilton:
"The text-based tradition is a condition of theatrical performance in which performances are generated by a use of texts that, typically, are written for the purpose, and the written text is used to determine, reasonably precisely, what is said, who says what, and in what order, and sometimes who does what and when. The rest of the issues about which performers must deliberate are left open." (Hamilton, 204)
This definition describes the use of text as a traditional tool, but does not use it as a defining feature. The fact that text is considered a tool and not a necessity or essential feature of Theatre includes many works of Performance Art under the definition of theatre.
A problem in the field of research is that scholars either consider Theatre and Performance Art the same, or consider them different, without discussion. It seems as well that artists within each field consider the fields separate without considering the absence of differences or the abundance of similarities.
There isn't much to be found in the field of research addressing the interaction of the arts. Two exceptions are the Paul David Young interviews: "Turning Theatre into Art" and "Evolution of the Performance Aesthetic"; a few performance artists are investigating traditional Theatre techniques to create their works of Performance Art. The interview shows that the work of performance artists is so divorced from the work of Theatre artists that when there is play between the two it is seen as innovative and new. Because the two are the same, this should not be the reaction. This doesn't mean both modes should be practiced and performed in exactly the
same way, but the problem brought up by this is that the education of performance artists is lacking in Theatre, and the education of Theatre artists is lacking in Performance Art.
This misunderstanding is harmful to the arts because the artists in each field don't interact artistically, and this lack of interaction means an advance on one side will not as directly advance the other. This problem creates stagnation because Theatre and Performance Art are as artistically advanced as they are because of mutual advancement and the artists now see the schools as separate.
Just as training in Theatre can lead an artist towards performing musicals, non-musical plays, or devised pieces, a more varied training for these artists will not lead to a nebulous undefined art. The opposite is true: a more thorough training will give performing artists more choices in defining themselves as artists, and will allow them to be more aware of the meaning their performance.
My research shows that the idea that Performance Art is essentially different from Theatre is false and harmful to both of the arts. This could be solved, however, within the educational systems of the arts. If an education in Theatre requires an education in Performance Art, and vice versa, the world of the performing arts as a whole will be enriched and advanced by newly capable artists.
The difficulty in this comes from a lack of formalized education available in Performance Art. The field is seen as new and hard to teach but because both arts are based in the concept of performance, Theatre education should provide the skill set necessary for Performance Artists (developing oneself as a performer). The multiply applicable uses of formalized training can be seen in Birringer's "Dance and Not Dance." (2005) and "Dancing in the Museum" (2011) where dancers are using their formal training in order to create works of Performance Art. Another
difficulty in this is that the difference in financial and audience expectation for a Theatre Production is not a concept that exists in Performance Art, and some concepts employed by Performance Artists may fail to account for this and be harmful to a Theatre Production. However, with cross-education, Theatre Producers may begin to produce Performance Art, and an audience may develop, which would help to integrate the arts in the eyes of the nonperformers (or non-scholars) as well.
Bibliography
Bay-Cheng, Sarah. "Theatre Squared: Theatre History in the Age of Media." Theatre Topics. 17.1 (2007): 37-50. Web. 19 Mar. 2012.
http://muse.jhu.edu/journals/Theatre_topics/v017/17.1bay-cheng.pdf
Birringer, Johannes. "Dance and Not Dance." PAJ: A Journal of Performance and Art. 27.2 (2005): 10-27. Web. 13 Feb. 2012. http://0muse.jhu.edu.library.coastal.edu/journals/performing_arts_journal/v027/27.2birringer.ht ml
Birringer, Johannes. "Dancing in the Museum." PAJ: A Journal of Performance and Art. 33.3 (2011): 44-52. Web. 13 Feb. 2012. http://0muse.jhu.edu.library.coastal.edu/journals/performing_arts_journal/v033/33.3.birringer.ht ml
deLahunta, Scott. "Virtual Reality and Performance." PAJ: A Journal of Performance and Art. 24.1 (2002): 105-114. Web. 6 Feb. 2012. http://0muse.jhu.edu.library.coastal.edu/journals/performing_arts_journal/v024/24.1delahunta.ht ml
Garner Jr., Stanton. "The Gas Heart: Disfigurement and the Dada Body." Modern Drama. 50.4 (2007): 500-516. Web. 27 Feb. 2012. http://0muse.jhu.edu.library.coastal.edu/journals/modern_drama/v050/50.4.garner.html
Hamilton, James R. The Art of Theater. Malden, MA: Blackwell Publishing 2007
Helguera, Pablo, Ohad Meromi, Xaviera Simmons, and Paul David Young. "Turning Theatre
into Art." PAJ: A Journal of Performance and Art 34.1 (2012): 169-182. ProjectMUSE. Web. 30 Jan 2012. http://0muse.jhu.edu.library.coastal.edu/journals/performing_arts_journal/v034/34.1.helguera.ht ml
Jannarone, Kimberly. "Audience, Mass, Crowd: Theatres of Cruelty in Interwar Europe." Theatre Journal. 61.2 (2009): 191-211. Web. 27 Feb. 2012. http://0muse.jhu.edu.library.coastal.edu/journals/Theatre_journal/v061/61.2.jannarone.html
Kelly, John, Liz Magic Laser, David Levine, and Alix Pearlstein, Paul David Young. "Evolutions of the Performance Aesthetic." PAJ: A Journal of Performance and Art 33.2 (2011): 1-17. ProjectMUSE. Web. 30 Jan 2012. http://0muse.jhu.edu.library.coastal.edu/journals/performing_arts_journal/v033/33.2.kelly.html
Larson, Catherine. "What Do We Mean When We Talk About Performance: A Metacritical
Web. 5 Mar. 2012. http://0-
Overview of an Evolving Concept." Latin American Theatre Review. 45.1 (2011): 23-44.
muse.jhu.edu.library.coastal.edu/journals/latin_american_Theatre_review/v045/45.1.larso n.html
McConachie, Bruce. "An Evolutionary Perspective on Play, Performance, and Ritual." TDR: The Drama Review 55.4 (2011): 33-50. Project MUSE. Web. 20 Feb 2012. http://muse.jhu.edu/journals/the_drama_review/v055/55.4.mcconachie.html
Meisner, Natalie, and Donia Mounsef. "From the Postdramatic to the Poly-dramatic: The Text/Performance Divide Reconsidered." Journal of Dramatic Theory and Criticism. 26.1 (2011): 85-102. Web. 6 Feb. 2012. http://0muse.jhu.edu.library.coastal.edu/journals/journal_of_dramatic_theory_and_criticism/v02 6/26.1.meisner.html
Meskin, Aaron. "Scrutinizing the Art of Theatre." Journal of Aesthetic Education. 43.3 (2009): 51-66. Web. 5 Mar. 2012. http://0muse.jhu.edu.library.coastal.edu/journals/the_journal_of_aesthetic_education/v043/43.3. meskin.html
Schechner, Richard. "Drama, Script, Theatre, and Performance." The Drama Review 17.3 Theatre and Social Sciences (1973) 5-36
Schinina, Guglielmo. "Here We Are: Social Theatre and Some Open Questions about Its Developments." TDR: The Drama Review. 48.3 (2004): 17-31. Web. 19 Mar. 2012. http://muse.jhu.edu/journals/the_drama_review/v048/48.3schinina01.pdf
Sell, Mike. "Resisting the Question, "What is Avant-Garde?"." New Literary History 41.4 (2010): 753-774. Project MUSE. Web. 20 Feb 2012. http://muse.jhu.edu/journals/new_literary_history/v041/41.4.sell.html
Waltz, Gwendolyn. "Filmed Scenery on the Live Stage." Theatre Journal. 58.4 (2006): 547-573. Web. 24 Jan. 2012. http://0muse.jhu.edu.library.coastal.edu/journals/Theatre_journal/v058/58.4waltz.html
|
.
1
..
P
RESOLUTION NO. R-93-509
RESOLUTION APPROVING ZONING PETITION NO. 92-23 SPECIAL EXCEPTION PETITION OF STEVE CRAIG, TR., EMMA WILSON, GENE BARBATO, TR., SPEARS CORPORATION, INBAR AND PAT SCRUGGS, SCOOLEY CADILLAC, INC.
WHEREAS, the Board of County Commissioners, as the governing body, pursuant to the authority vested in Chapter 163 and Chapter 125, Florida Statutes, is authorized and empowered to consider petitions relating to zoning; and
WHEREAS, the notice and hearing requirements, as provided for in Chapter 402.5 of the Palm Beach County Zoning Code (Ordinance 73.2, as amended), have been satisfied; and
WHEREAS, Petition No. 92-23 was presented to the Board of County Commissioners of Palm Beach County at its Public Hearing conducted on October 29, 1992; and
WHEREAS, the Board of County Commissioners has considered the evidence and testimony presented by the applicant and other interested parties, and the recommendations of the various county review agencies and the recommendations of the Planning Commission; and
WHEREAS, this approval is subject to the Zoning Code, Section 402.9 (Mandatory Review of Development Approvals) and other provisions requiring that development commence in a timely manner (Ordinance 73-2, as amended); and
WHEREAS, the Board of County Commissioners made the following findings of fact:
1. This proposal is consistent with the requirements of th'e Comprehensive Plan and local land development regulations.
2. With the attached conditions this proposal is consistent and compatible with the present and future development of the area.
3. The attached conditions mitigate any negative impacts which might result from the development of this project.
4. The excessive traffic generated by this project is mitigated by the road improvements required by the conditions.
5. The conditions ensure that the property located within the Palm Beach International Airport Runway Protection Zone is used in a manner consistent with any and all avigation and/or clearance easements, so as to protect the public health, safety and general welfare of the citizens and visitors of Palm Beach County.
6 . The conditions ensure that the property located within the Palm Beach International Airport Runway Protection Zone is used in a manner consistent with Federal Aviation Administration Advisory Circular 150/5300-13, Section 212 Runway Protection Zone, issued September 29, 1989, and Federal Administration Administration Regulation, Part 7 7 .
7. This proposal is not disruptive to the character of the neighborhood and conforms to the district.
8 This project utilizes existing infrastructure and does not promote excessive scattering of population or settlement.
WHEREAS, Chapter 402.5 of the Zoning Code, requires that the action of the Board of County Commissioners, sitting as the Zoning Authority, be adopted by resolution.
NOW, THEREFORE, BE IT RESOLVED BY THE BOARD OF COUNTY COMMISSIONERS OF PALM BEACH COUNTY, FLORIDA, that Petition No. 9223, the petition of STEVE CRAIG, TR., EMMA WILSON, GENE BARBATO, TR. , FOR SPEARS CORPORATION, INBAR AND PAT SCRUGGS, SCHOOLEY CADILLAC, INC, by Kieran J. Kilday, Agent, on a parcel of land lying in the southwest quarter (S.W. 1/4) of the southeast quarter (S.E. 1/4) of Section 25, Township 43 South, Range 42 East, Palm Beach County, Florida, and being more particularly described as follows: Commencing at the south quarter (S. 1/4) corner of said Section 25, run along the west line of the southeast quarter of said Section 25, said line also being the centerline of Military Trail (106' Right-of-way) N0l02l12ltVE a distance of 281.00 feet; thence leaving said west line, S88°31'2411E a distance of 100.00 feet to point of beginning of the herein described parcel; Thence S88O3l124I1 a distance of 371.65 feet to the northwest corner of Lot 1, Plat of Central Bank, as recorded in Plat Book 32, Page 145; thence along the westerly line of said Plat, No l027@39l1E a distance of 393.22 feet to the northwest corner of said plat; thence along the northerly line of said plat, S88°44'021tE a distance of 200.00 feet to the northeast corner of said plat, said point lying on the east line of the west one half of the southwest one-quarter of the southeast one quarter of said Section 20; thence, along the easterly line of said plat, S01°27'39g1W a distance of 610.01 feet to a point on a curve concave to the northeast, having a radius of 901.93 feet, and whose center bears N07°51'30vvW; thence northeasterly along said curve through a central angle of 37O26I56", an arch length of 589.51 feet to the point of tangency; thence N44°41'34t1E a distance of 234.15 feet to a point on the east line of the southwest quarter, of the southeast quarter of said Section 25; thence along said east line N01°29t53v1E a distance of 343.47 feet; thence leaving said east line N02°53'1711W a distance of 392.29 feet; thence N01°29'5311E a distance of 109.12 feet to a point on the north line of the southwest quarter of said Section 25; thence along said north line, N88°41'07"W a distance of 642.01 feet to a point on the east line of the west half of the southwest quarter of the southeast quarter of said Section 25; thence along said east line, S01°27'3911W a distance of 337.48 feet; thence N88°38'4211W a distance of 443.75 feet; thence S01°27v39vfW a distance of 65.50 feet; thence N88°38t42'qW a distance of 176.12 feet to a point on the easterly Right-of-way line of Military Trail (106' Right-of-way), thence along said easterly Right-of-way line S01°21'2111W a distance of 103.02 feet; thence leaving said easterly Right-of-way line, S88°37'29g1E a distance of 7.00 feet to a point on the easterly Right-of-way line of Military Trail (120 - 00 Right-of-way) ; thence along said llne, S0lo2l12lv1W a distance of 168.52 feet; thence N88°3611611W a distance of 7.00 feet to a point on the easterly Right-of-way line of Military Trail (106.00' Right-of-way); thence, along said line, S01°21'2111W a distance of 200.51 feet; thence S88°32v3511E a distance of 47.00 feet to a point on the easterly Right-of-way line of Military Trail (200' Right-of-way); thence along said line S01°21'2181W a distance of 192.59 feet point of beginning. Containing 25.211 acres more or less, and being located On the North side of Belvedere Road, East of Military Trail, West
of Country Club Road, in the CG Zoning District, was approved on October 29, 1992, as advertised, subject to the following conditions:
A. ALL PETITIONS
1. The petitioner shall receive certification of the site plan approved by the Board of County Commissioners for the subject property, as amended as required by the conditions of approval, by the Development Review Committee on or before March 31, 1993. (MONITORINGZoning)
2. Prior to site plan certification, the site plan shall be amended to indicate compliance with all minimum property development regulations, land development requirements of Palm Beach County and all conditions of approval. (ZONING)
3. Prior to site plan certification, the site plan shall be amanded to indicate all phases of development. Each phase shall comply with all minimum property development regulations and land development requirements of Palm Beach County and all conditions of approval. (ZONING)
4. Prior to April 30, 1993, the Developer shall plat the subject property in accordance with provisions of the Palm Beach County Subdivision Ordinance (Ord. No. 73-4), as amended. (MONITORING-Engineering)
5. A) Prior to site plan certification by the Development Review Committee, the petitioner shall obtain approval from the Town of Haverhill for a comprehensive Streetscape Plan for both sides of
Belvedere Road between Military Trail and Haverhill Road and both sides of Haverhill Road between Belvedere Road and the northernmost corporate limits of the Town of Haverhill. The petitioner shall also submit a true copy of the approved Streetscape Plan to the Palm Beach County Zoning Division in conjunction with the submittal for site plan certification.
At a minimum, the comprehensive Streetscape Plan shall include:
a) a minimum five (5) foot Zontinuous landscape strip planted with a minimum of one native canopy tree every twenty (20) feet consistent with the requirements of condition L.3. All tree planting shall be in a manner so as not to create a conflict with any aboveground or underground utility;
b) the required landscape strip shall be planted with a groundcover acceptable to the Town of Haverhill. (ZONING-Monitoring)
B) Prior to issuance of the first building permit or December 31, 1993, whichever occurs first, the petitioner shall, in cooperation with the Town of Haverhill, obtain consent for the installation of all required improvements indicated in the approved Streetscape Plan that are located on private
property or obtain all necessary easements for the benefit of the Town of Haverhill and the intended purpose of installing the approved Streetscape Plan. In the event that a property owner refuses to grant consent and/or an easement, the petitioner shall deposit in an escrow account, in the form and manner acceptable to the Town of Haverhill, funds equal to the cost of the required improve.ments indicated in the affected portion of the approved Streetscape Plan. All consent and/or easements shall be over property free of any existing encumbrance that prohibits or restricts the installation of the required improvement. (MONITORING/ZONING)
Prior to issuance of the first certificate of occupancy (CO) , or the first certificate of completion (CC) , or December 31, 1994, whiclhever occurs first, the petitioner shall have complleted the installation of all required improvements indicate in the approved Streetscape Plan; and permitted by the Palm Beach County Engineer. The perpetual maintenance of the required improvements shall be the responsibility of the Town of Haverhill and/or the petitioner at their discretion. Palm Beach County shall nclt be responsible for the maintenance, repair, replacement, monitoring, service, or any liability that may arise from the required improvements. There shall be no administrative time extenlsions granted to this condition. (MONITORING/ZONINIG)
6. In the event staff, the petitioner or the represent:ative of the Town of Haverhill are unable to reach agre!ement regarding a certified site plan, staff shall schledule this petition for a Board of County Commissioners algenda to receive a final determination regarding consistency of the site plan with the conditions of approval. (ZONING)
7. Building permits in accordance with Exhibit No. 27 of Petition No. 92-23 shall not be issued. (ZONING Engineering - Building)
B. AIRPORTS
1. Prior to site plan certification, the petitioner shall amend the site plan to be in full compliance with FAA Advisory Circular 150/5300-13, Section 212 Runway Protection Zone (RPZ) issued September 29, 1989, FAA Regulation, Part 77, and submit documentation tc9 the Department of Airports, Zoning Division and C:'ounty Attorney which competently and substantially demonst:.rates that the proposed development is in full compliance with said FAA Advisory Circular or any Airport Zloning regulations that are in effect at the time. (AIRPORTS)
C. BUILDING AND SITE DESIGN
1. The maximum height, from grade to roof line, for all structures shall not exceed thirty-five (35) feet. (BUILDING)
2. Similar architectural character and treatment which is compatible and harmonious shall be provided on all sides of all structures and buildings. (BUILDING)
3 . All air conditioning and mechanical equipment shall1 be screened from view on all sides by a visually opaque barrier consistent with the architecture, co10::c and character of the principle structure or equivalent landscape material acceptable to the Zoning Divii.sion. (BUILDING/ ZONING)
4. Prior to site plan certification, the site plan shall be amended to reflect the location of shopping cart storage and retrieval areas within all parking areas adjacent to the shopping center. (ZONING)
5.
6. Prior to site plan certification, the petitioner shall provide, in a manner and form acceptable to the (:!ounty Attorney and the Zoning Director, sufficient evidence that the right-of-way for Grow Street has been abandoned or incorporated into the projects design. (ZONING4:OUNTY ATTORNEY)
7. Prior to site plan certification, the petitioner shall amend the site plan to remove any structure or building from within the aviation easement as described in the easement deed recorded in OR Book 1664, PG 1709 of the Official Records of Palm Beach County. Use of the portion of the subject site encumbered by the aviation easement shall be limited to parking, access, water management tracts and landscape areas or such othe:r uses as may be acceptable to the Division of Airports and the Federal Aviation Administration. (ZONING/AIRPORTS)
8 . No outdoor speaker or public address systems which are audible off-site shall be permitted. (CODE ENFORCKMENT)
D. AUTO SERVICE STATION WITH CAR WASH (NO REPAIR)
1. The convenience store shall be limited to a maximum of 1,000 square feet in total gross floor area. (ZONINGBUILDING)
2. There shall be no repair or maintenance of vehicles on site. (CODE ENFORCEMENT)
3 . No outside storage of disassembled vehicles, or parts thereof , shall be permitted on site. (CODE ENF0RC:IWENT)
4. Prior to site plan certification, the site plan shlsll be amended to indicate facilities for the provision of air and water for minor vehicle maintenance. The owner of the service station facility shall provide air and water for minor vehicle maintenance to the public at no charge. (ZONING)
5. Prior to site plan certification, the plan shall1 be amended to eliminate all direct ingress and egress to the Auto Service Station from Country Club Road. (ZONINGEngineering)
6. The car wash facility shall utilize a 100% water recycling system. (ERM)
E. ENGINEERING
1. The Developer shall provide discharge control and treatment for the stormwater runoff in accordance with all applicable agency requirements in effect at the time of the permit application. However, at a minimum, this development shall retain onsite the stormwater rlmoff generated by a three ( 3 ) year-one (1) hour storm w:tth a total rainfall of 3 inches as required by the Ptzrmit Section, Land Development Division. In the event that the subject site abuts a Department of Transportittion maintained roadway, concurrent approval from the Florida Department of Transportation will also be required. The drainage system shall be maintained in an accepi:able condition as approved by the County Engineer. Irl the event that the drainage system is not adequiktely maintained as determined by the County Engineer, this matter will be referred to the Code Enforcement Boar3 for enforcement (ENGINEERING).
2. Prior to May 1, 1993, or prior to the issuance 01: the first Building Permit, the Property owner shall convsy to Palm Beach County adequate road drainage easement(s) through the project's internal surface water managc2ment system to provide legal positive outfall for all rilnoff from those segments on Military Trail required fol: the expanded intersection at Belvedere Road. Said easeinents shall be no less than 20 feet in width. The dra:inage system within the project shall have suff ic:ient retention/detention capacity to meet the storm water discharge and treatment requirements of the app1ic:able County Water Control District and South Florida 1Jater Management for the combined runoff from the projecf: and the 110-foot expanded intersection cross-section. If required and approved by the County Engineer the prol~erty owner shall construct within the proposed dra.inage easements a minimum of 2 4 inch closed piping systeln and appropriate wingwall or other structures. Elevatio:? and location of all construction shall be approved bIr the County Engineer. Any and all excess fill material from excavation within said easements shall become the property of Palm Beach County which at its discretion may use this fill material (MONITORING).
3 . Prior to May 1, 1993, or prior to the issuance oji the first Building Permit, the Property owner shall convsy to Palm Beach County adequate road drainage easemei~t (s) through the project's internal surface water managc2ment system to provide legal positive outfall for all runoff from those segments of Belvedere Road, along the property frontage and for a maximum 400 ft. distance each side of the property boundary lines along Belvedere Road. Said easements shall be no less than 20 feet in width. The drainage system within the project shall have suff ic:ient retention/detention capacity to meet the storm lfater discharge and treatment requirements of the app1ic:ab.l.e County Water Control District and South Florida 1Jater Management for the combined runoff from the projecf: and the ultimate Thoroughfare Plan Road Section(s)of the included segment. If required and approved by the County Engineer the property owner shall construct withill the proposed drainage easements a minimum of 2 4 inch c:tosed piping system and appropriate wingwall or other structures. Elevation and location of all construcAion shall be approved by the County Engineer. Any anci all
excess fill material from excavation within said easements shall become the property of Palm Beach C'ounty which at its discretion may use this fill mat.eria1 (MONITORING) .
4 . Prior to May 1, 1993, or prior to the issuance cf the first Building Permit, the Property owner shall convey to Palm Beach County adequate road drainage easemc!nt(s) through the project's internal surface water manaslement system to provide legal positive outfall for all runoff from those segments of Country Club Road, alon3 the property frontage and for a maximum 400 ft. disitance north of the Project's north property line.. Said easements shall be no less than 20 feet in width. The drainage system within the project shall have suff:.cient retention/detention capacity to meet the storm water discharge and treatment requirements of the appl:.cable County Water Control District and South Florida Water Management for the combined runoff from the projec:t and the ultimate Thoroughfare Plan Road Section(s)of the included segment. If required and approved by the (:ounty Engineer the property owner shall construct withj.n the proposed drainage easements a minimum of 2 4 inch c:losed piping system and appropriate wingwall or other structures. Elevation and location of all constrllction shall be approved by the County Engineer. Any a~ld all excess fill material from excavation within said easements shall become the property of Palm Beach czounty which at its discretion may use this fill ma.:erial (MONITORING) .
5. Prior to May 1, 1993 or prior to the issuance c,f the first Building Permit, whichever shall first OCCU:~, the property owner shall convey to Palm Beach Count!r Land Development Division by road right-of-way warrant:? deed for Belvedere Road, sufficient right-of-way to p:covide for a 110 foot expanded intersection on an alilgnment approved by the County Engineer. The County acknowledges that the service station on the northeast corner Df the intersection of Belvedere Road and Military Trail is not part of this project. This right-of-way conveyance shall be free of all encumbrances and encroachments. Pr ~perty owner shall provide Palm Beach County with sufficient documentation acceptable to the Right-of-way Acquisition Section to ensure that the property is free cd all encumbrancesandencroachments. (ENGINEERING/MONITORING).
6. Prior to May 1, 1993 or prior to the issuance of the first Building Permit, whichever shall first occur, the property owner shall convey to Palm Beach Count:{ Land Development Division by road right-of-way warranty deed for Military Trail sufficient right-of-way to provide for a 110-foot expanded intersection on an alignment approved by the County Engineer. The County agrees to abandon any right- of-way for Military Trail on the subject site not required for the expanded intersection. The cN3st of abandonlng this right-of-way shall be borne k~y the Developer. The County acknowledges that the service station on the northeast corner of the intersection of Belvedere Road and Military Trail is not part oE this project. This right of way conveyance shall be free of all encumbrances and encroachments; provided the property owner shall be permitted to leave the existing Bar-B-Q Ben's sign until such time as the contract for the construction of the expanded intersection is lt?t, at which time property owner shall move the sign to th6 east off the right-of-way, subject to appropriate removal and hold harmless agreements with Palm Beach County. Property owner shall provide Palm Beach County with sufficient documentation acceptable to the Right-of-way Acquisition Section to ensure that the property is free of all encumbrances and encroachments. (ENGINEERING/ MONITORING)
7. Prior to May 1, 1993 or prior to the issuance o € the first Building Permit, whichever shall first occur, the property owner shall convey to Palm Beach County Land Development Division by road right-of-way warranty deed for the construction of a right turn lane on Belvedere Road, at the project's main entrance road. This rightof-way conveyance shall be a minimum of 150 felzt in storage length, twelve feet in width and a taper length of 180 feet. This right-of-way dedication shall be in excess of the dedication required in Condition E5. The right-of-way conveyance shall be free of all encumbrances and encroachments. Property owner shall provide Palm Beach County with sufficient documentation accepta1,le to the Right-of-way Acquisition Section to ensure thzt the property is free of all encumbrances and encroachrents. (ENGINEERING/MONITORING)
8. Prior to May 1, 1993 or prior to the issuance of the first Building Permit, whichever shall first occur, the property owner shall convey to Palm Beach County Land Development Division by road right-of-way warrantl' deed for Country Club Road, forty ( 4 0 ) feet from center,line. The right-of-way conveyance shall be free of all encumbrances and encroachments. Property owner shall provide Palm Beach County with sufficient document.ation acceptable to the Right-of-way Acquisition Section to ensure that the property is free of all encumbrancc!s and encroachments. (ENGINEERING/MONITORING)
9. The Property owner shall construct Country Club Rckad as a three ( 3 ) lane section from Belvedere Road t3 the project I s north access. The construction sha L 1 be concurrent with the construction of paving and drziinage improvements for the site for Phase 2. Permits recpired by Palm Beach County for this construction shall be obtained prior to the issuance of the first Bu:.lding Permit, and construction shall be completed prior ':o the issuance of the first Certificate of Occulpancy. (ENGINEERING)
10. For Phase I, the Property owner shall be limited to a single entrance/exit onto Belvedere Road at the ex:.sting Grow Street. If the project has not commenced Phas 3 2 by February 1, 1994, then at the County Engineer's option the median opening on Belvedere Road serving Phase I may be modified or closed.
For Phase 2, the Grow Street entrance shall be clos1.d and relocated to a point where it is aligned witn the existing Country Club Road entrance to the Tom of Golfview. At this main entrance, the property owner shall construct a left turn lane, west approach and a right turn lane, east approach on Belvedere Road. The construction shall be concurrent with the construction of paving and drainage improvements for the site for Phase 2. Permits required by Palm Beach County for thil;
construction shall be obtained prior to the issuarce of the first Building Permit for Phase 2, and constrtction shall be completed prior to the issuance of the first Certificate of Occupancy for Phase 2.
For Phase 2, the property owner shall reconstruct the median at Belvedere Road and the project's main ent.rance to provide for a directional median opening. This directional median opening shall be constructed to Elerrnit only left turns into the project, and shall :>e so constructed as to prohibit left turns out of the pl-oject for eastbound movements onto Belvedere Road. Accc ss to the Town of Golfview shall be accomplished in one of the following ways:
1) If the Golfview Town Council concurs, considel-ation shall be given to relocating the existing Countr]' Club Road entrance south of Belvedere Road to align with Country Club Road north of Belvedere Road. Devc!loper shall prepare plans for and construct the relocated roadway. The plans and right-of-way for the roadway shall be subject to approval by the County Enginecx and County Department of Airports.
2) If the Golfview Town Council does not concur or plans and right-of-way for a relocated Country Club Roid are not approved, then the existing Country Club Road entrance south of Belvedere Road shall remain for Phase 2. Developer shall construct a left turn lane, east approach and directional median opening on Belvedere Road in such a manner as to only permit left turn movnents into the Country Club Road entrance to Golfview. Left turns from Country Club Road to westbound Belvedere Road shall be accomplished by means of a U-turn at the intersection of Country Club Road north of Belfedere Road.
All of the above Phase 2 construction shall be concxrent with the construction of paving and drainage improvgments for the site for Phase 2. Permits required by Paln Beach County for this construction shall be obtained prior to the issuance of the Building Permit for Phase :!, and construction shall be completed prior to the issuance of the first Certificate of Occupancy for Phase 2.
For Phase 2, two other entrances/exits shall a:tso be permitted from the property to Belvedere Road. A right turn in/right turn out driveway shall be permitted at a point about 400 feet east of the Belvedere/ Military Trail intersection. In addition, a right turn in/right turn out driveway shall be permitted at a location acceptable to the County Engineer for the proposed gasoline station on the northwest corner of Countrv Club Road and Belvedere Road . Permits required by Palnl Beach County for this construction shall be obtained by the Developer. (ENGINEERING)
11. The property owner shall pay a Fair Share Fee in the amount and manner required by the "Fair Share Contribution for Road Improvements Ordinance" as it presently exists or as it may from time to time be amended. The Fair Share Fee for this project prcsently is $597,905. (10,871 trips X $55.00 per trip) and I.s paid
at the time of the Building Permit. Credits for ill-kind contributions shall be provided in accordance wi1.h the Fair Share Contribution for Road Improvements Ordillance. (IMPACT FEE COORDINATOR)
12. In order to comply with the mandatory traffic perfo::mance standards the Developer shall be restricted t2 the following phasing schedule:
a) No Building Permits shall be issued until the contract is let for construction of Belvederl? Road from Congress Avenue to Military Trail as a 5-lane divided section. Prior to any building plzrmits being issued and no later than 6 months aftctr the issuance of this Site Specific Development Order, the Developer shall post Performance Secur:.ty in the amount of $1.325 million.
b) Building permits for development generatincl more than 6,371 trips per day (162,624 square feet) shall not be issued until the contract is 12t for the construction of Haverhill Road from Okeezhobee Boulevard to Belvedere Road as a 5-lane section.
c) Building permits for development generatinfl more than 6,771 trips per day (172,838 square feet) shall not be issued until the contract is 13t for construction of Belvedere Road from Military Trail to Haverhill Road as a 5-lane section. (BUILDING)
13. The Developer shall fund the installaticn of signalization if warranted as determined by the County Engineer, at the intersection of Country Club Rosd and Belvedere Road. Should signalization not be warranted 12 months after the final Certificate of Occupanzy for this property is issued, the owner shall be relieved from this condition. (ENGINEERING).
14. Prior to Site Plan Certification by the Development Review Committee, the Site Plan (including the Fortion within the Town of Golfview) shall be revised to reflect Only two (2) entrances/exits onto Country Club Rozd; one main entrance and two right turn in and right turn out entrances on Belvedere Road). The entrances/exits are subject to the approval of the County Enc ineer. (ENGINEERING/ZONING)
15. A separate driveway for the proposed gas station slla11 be eliminated from Country Club Road. Access to the gas station shall be integrated into the overall circtlation for the entire center. (ENGINEERING/ZONING)
16. Prior to February 1, 1993 or prior to Site! Plan Certification, whichever shall first occur, the Pxoperty owner shall enter into a Roadway Agreement with Palm Beach County enumerating the property owner's a.rd Palm Beach County's obligations. In addition, developel: shall provide $1,325,000 in an escrow account as requjred in Condition 12A. These funds shall be used by PalnI Beach County to accomplish the following:
A) 1) Advance the construction of Belvedere Roztd from Congress Avenue to Military Trail to a 6-lane divided section. This road improvement is currently scheduled in the Palm Beach County 5-Year
Road Program for the 1993-94 fiscal year. It is the intent that this construction be accomplished by the County as soon as practical up011 the establishment of the escrow account.
2) Prepare plans for the construction of Bel\*edere Road from Military Trail to Haverhill Road a:, a 5lane section with the appropriate approved tz.pers. Funding of these construction plans sha1.l be approved by the County Engineer based upon Palm Beach County's minimum construction Plan Startdards as they presently exist or as they may from t:.me to time be amended. All canal crossings (bl-idges and/or culverts) within the project limits Shill1 be constructed to their ultimate paved configurzItion.
3) Prepare plans for the construction of Havctrhill Road from Okeechobee Blvd. to Belvedere Road as a 5-lane section with the appropriate paved tal,ers. Funding of these construction plans sha:.l be approved by the County Engineer based upon Palm Beach County's minimum construction Plan Stalldards as they presently exist or as they may from t.-me to time be amended. All canal crossings (bridgcs and/or culverts) within the project limits shltll be constructed to their ultimate paved configuriltion.
4) Prepare all necessary right-of-way acqui:;ition documents required for the construction of Belvedere Road from Military Trail to Havc!rhill Road and Haverhill Road from Belvedere Road to Okeechobee Blvd. subject to the approval cf the County Engineer.
An Escrow Agreement shall be established in it bank which meets County standards for Letter of (:redit acceptance and which will provide:
the County has irrevocable control of the funds ;
the County may draw the funds periodically upon presentation of proper invoices prLor to October 1, 1993.
interest shall accrue to the account;
an accounting of funds shall be provideci; and
Should the total funds drawn by Palm Beach County be less than $1 million by 0ctol)er 1, 1993, then Palm Beach County shall draw additional funds which would result in a total of $1 million prior to November 30, 1993.
Should the total funds drawn by Palm Beach County be more than $1 million by Octol~er 1, 1993, then Palm Beach County shall refuld the amount in excess of $1 million to the Developer. This reimbursement sha1.l be provided from the construction funds :.n the County 5-Year Road Program for the construction of Belvedere Road as a 5-lane section from Military Trail to Congress .ivenue scheduled for the 1993-94 fiscal year.
C) Palm Beach County shall reassign the funds originally scheduled for the Belvedere Road construction from Military Trail to Congress ,ivenue (less any reimbursement as required by Conliition 16.B.6 above) to construct the following roadway improvements:
1) Belvedere Road from Military Trail to Haverhill Road as a 5-lane section;
2) Haverhill Road from Okeechobee R0z.d to Military Trail as a 5-lane section;
3) Construction shall commence as so(In as practicable for the roadway improvement; in 1 and 2.
4) Any funds left over from the design, riyht of way acquisition, or construction as set forth in condition numbers E16.A.2, El5.A.3, E16.A.4, E16.C. 1, and E16.C.2 shall bt! used toward improving the intersection of Military Trail and Belvedere Road.
5) At the option of the County Engineel,, the funds for the above mentioned Haverhill Road improvements may be applied toward intersection improvements at Belvederc! Road and Haverhill Road and/or Belvedere Rozd and
Military Trail to achieve the adopted level of service necessary to meet the Count]' Wide Traffic Standards. In the event the County Engineer so elects, the project shall not be phased to the construction of Haverhill Road between Belvedere Road and Okee chobee Boulevard.
6) Credit for all contributions toward road improvements shall be given against the Fair Share Contribution Fees. ( IMPAC' ? FEE COORDINATOR)
17. Petitioner shall contribute $100,000 toward intersection improvements to the intersection of Military Trail and Belvedere Road (the extent to be determined by the County Engineer) which at a minimum shall construct a rigltt turn lane on the south approach. Any residual funds renaining as addressed in Conditions E.16.C.4 shall be zpplied toward this $100,000. Surety for this $100,000 s1,all be posted at the same time as the Performance Secur ity is posted as addressed in E.12.a. Palm Beach Countl' shall establish an account to fund the interzection construction using residual funds which were budge*:ed for Northlake Boulevard from Seminole Pratt Whitney I:oad to Coconu-t Road, and let the project as soon as pra(rtica1.
F. CONCURRENCY
1. Prior to site plan certification, the petitionel shall amend the Concurrency Reservation for the site (Case # 92-04-27-001-C) to reflect any reduction in square footage . (PLANNING)
G. DUMPSTER
1. All areas or receptacles for the storage and disposal of trash, garbage or vegetation, such as dumpsters and trash compactors, shall not be located within seventy five: (75) feet of the east, south and west property lines; shz 11 be confined to areas designated on the site plan and shall be screened by a solid opaque enclosure. The open end of the enclosure shall have an obscuring, opaque gate. (ZONING/BUILDING-Code Enforcement)
2. All exterior sides of such enclosures, except the open end, shall be landscaped with thirty (30) inch high shrub and hedge material planted twenty-four ( 2 4 ) inches on center at installation. Alternative landscaping n.ay be permitted which is acceptable to the Zoning Division. This provision shall not apply to litter contz iners provided for the convenience of pedestrians. (BUI1,DINGZoning)
3. Prior to site plan certification, the site plan sh;tll be amended to indicate all dumpster and compactor 1ocal.ions. (ZONING)
H. ENVIRONMENTAL RESOURCES MANAGEMENT
1. Secondary containment for stored Regulated Substimces, including but not limited to fuels, oils, solvents, or other hazardous chemicals is required. Department of Environmental Resources Management staff are will:.ng to provide guidance on appropriate protective measures.(BUILDING-ERM)
2. Plans for any underground storage tanks must be aplroved by the Department of Environmental Resources Manaclement prior to installation. The petitioner shall perform all necessary preventative measures to reduce the chan,:es of contamination of the groundwater. Double walled tanks and piping with corrosion protection or their equi-Talent shall be a part of those measures.(BUILDING-ERM)
3. All new excavated lakes shall possess a littoral shelf area. A littoral shelf shall be, at a minimum, a.1 area equivalent to eight ( 8 ) square feet per linear foot of shoreline. Any areas of planted littoral zone shall not be steeper than six ( 6 ) feet horizontal to one (11 foot vertical. The maximum depth of the planted area shall be minus three (-3) feet from OHW. The littoral zone shall be provided with a minimum of three (3) inches of t Dpsoil to promote vegetative growth. The littoral zone shall be planted with appropriate native wetland veget2tion, spaced not more than three (3) feet on center or as approved by E M .
a. A littoral shelf planting plan and maintenance plan shall.. be suhmi++~d to the Dept. of Environnental Resources Management concurrent with DRC Final Plan Review application and approved by E M pr:.or to Site Plan certification. This information shall also be provided on a mylar for the Zoning Division as part of the site plan application.(ERM)
b. Prior to the issuance of a Certificate of Occupancy and within three working days of the complet:/.on of littoral plantings ERM shall' be notified. This planting shall not be credited as compen:i;ation required by wetland permits.(ZONING-ERM)
I. HEALTH
1. Generation and disposal of hazardous effluents into sanitary sewerage system shall be prohibited unless adequate pretreatment facilities approved by the F.l.orida Department of Environmental Regulation (FDER) and Agency responsible for sewage works are constructed and used by project tenants or owners generating such effluents. (UTILITIES - Code Enforcement)
2. Water service and sewer service are available to the property. Therefore, no potable well and/or o:n-site sewage disposal system must be submitted to the :Health Unit prior to site plan approval. (HEALTH - Building)
3. The owner occupant, or tenant of the facility shall participate in an oil recycling program which ensures proper re-use or disposal of the waste oil. (HE!iLTH Code Enforcement)
J. INTERLOCAL AGREEMENT
1. Prior to site plan certification, the petitioner shall obtain appropriate approvals from the Town of Gol:Eview, which ensure that the parking requirements of Palm Beach County are met. Any approval the petitioner receives from Golfview must be in compliance with Traffic Performance Standards. The Town of Golfview approval shall be substantially the same as the Palm Beach County ap:?roved master site development plan. In addition, the petitioner shall secure a fully executed inte:rlocal agreement by and between the Town of Golfview and Palm Beach County which, at a minimum, shall incorpora,te the following:
a. The Town of Golfview and Palm Beach County shall agree to make no alterations to the final approved master site development plan (Exhibit #32) which would violate the other jurisdictions, Comprehensive Plan, Land Development Regulations or conditions of development approval;
b. The Town of Golfview and Palm Beach County shall join in the approval of a plat, in a mann1.r and form which meets State, County and Town requirements;
C. The Town of Golfview and Palm Beach county shall, as appropriate, consider the abandonment of publicly dedicated rights-of-way within the subject property; and,
d. The Town of Golfview shall approve a site plan consistent with the County's requirements ;It the intersection of Military Trai.l and Belvedere Road (Special Intersection Treatment) for a one kundred ten foot (110') urban intersection;
e. Prior to any change in site plan, approved master plan or any other development order, the receiving jurisdiction shall require the developer to notify and receive confirmation from the other jurisdiction that its Comprehensive Plan,, Land Development Regulations or condition!; of development approval will not be violated. If no
response is received within 60 days from the date of notification, the receiving jurisdictiol may take final action. (COUNTY ATTORNEY-Zoning)
K. IRRIGATION QUALITY WATER
1. When irrigation quality water is available within 500 feet of the property, the petitioner shall connect ':o the system subject to permitting and/or requirements of the Florida Department of Environmental Regulations ;Lnd/or the South Florida Water Management District. The! cost for connection shall be borne by the property owner. (UTILITIES)
L. LANDSCAPING - GENERAL
1. Prior to site plan certification, the petitioner shall revise the landscape tabular data on the site p:.an to reflect conformance to minimum Landscape Code requirements, all landscape and vegetation preser'ration conditions of approval. (ZONING)
2. A minimum twenty five (25) foot landscaped buffer strip within the County jurisdictional portions of the slbject site and a minimum fifteen (15) foot landscaped mffer strip within the Town of Golfview municipal bolndary limits of the subject site shall be provided a1o:lg the entire east, south and west perimeter of the s lbject property. (ZONING)
3. All required trees to be planted on site shall me?t the following minimum standards at installation:
a. Tree height:
fourteen(14) feet.
feet
b. Trunk diameter:
3.5 inches measured
4.1,
above grade.
c. Canopy diameter:
seven (7) feet. Diameter shall be determined by the average canopy radius at 3 points measured from the trunk to the outermost branch tip. Each radius shall measure at least 3.5 feet in length. (ZONING)
M. LANDSCAPING - INTERIOR
1. One landscape island, a minimum of six ( 6 ) feet wide, shall be provided for every twelve (12) parking spaces. The maximum spacing between landscape islands shall not exceed one hundred twenty linear feet. (ZONING)
2. At garde level planters shall be installed every third parking space. Each required island shall be a ninimum of five (5) feet by five (5) feet square (25 square feet). One native canopy tree and appropriate ground cover shall be planted in each required island. (ZONING)
3 . Prior to site plan certification, the site plan skall be amended to indicate typical landscape islands, required landscape strips and planting details, sunject to approval by the Zoning Division. (ZONING)
4. Landscaping along all interior vehicular use drive!; shall include native trees planted a minimum of twenty (20) feet on center and a continuous opaque hedge twenty-four (24) inches in height planted twenty-four (24) inclhes on center at installation. (ZONING)
5. Prior to site plan certification, the petitioner shall amend the site plan to include a minimum five (5) foot wide landscape strip along the south and west facatles of the structure(s) . The required landscape strip shill1 be placed between the structure and any vehicular spac 3 . At a minimum, it shall be planted with one (1) native c!anopy tree for every twenty (20) linear feet of building l'acade and appropriate groundcover, subject to approval 11y the Zoning Division. (ZONING)
6. Landscaped divider medians with at grade bicycle and pedestrian cuts shall be provided in the center clf all driveways over thirty (30) feet in width prolriding ingress and egress to the site. The minimum wic.th of this median shall be six (6) feet. The minimum lenlyth of this median shall be twenty five (25) feet. A m:.nimum width of five (5) feet of landscaped area shall be provided. One native canopy tree or native palm tr2e and appropriate ground cover shall be planted for each *:wenty (20) linear feet of the divider median. (ZONING)
N. LANDSCAPING ALONG THE EAST, SOUTH AND WEST PROPERTY LINE (ABUTTING RIGHTS-OF-WAY)
1. Landscaping within the required buffer along Country Club Road, Belvedere Road and Military Trail shall be upJraded to include:
a. One (1) native canopy tree planted every Lwenty (20) feet on center;
b. One (1) native palm tree for each thirtl (30) linear feet of frontage. A group of three or more palm trees may supersede the requirement for a native canopy tree in that location; and,
c. Thirty (30) inch high shrub or hedge material spaced twenty-four (24) inches on cent 2r at installation. (ZONING)
0. LANDSCAPING ALONG THE NORTH PROPERTY LINE (THE REAR OF THE SHOPPING CENTER)
1. Landscaping and buffering along the north property line shall be installed in accordance with the Landscapc Code, the WCRA overlay district requirements and applicable conditions of approval. (ZONING)
P. LANDSCAPE WITHIN MEDIAN
1. Prior to Site Plan Certification, the petitioner shall apply to the Palm Beach County Engineering and Public Works Department for a permit to landscape all adjacent medians i.e., Belvedere Road and Military Trail). When permitted by Palm Beach County Department of Engireering and Public Works, landscaping shall consist of a n inimum of one (1) fourteen (14) foot tall native tree fcr each thirty (30) linear feet of the adjacent median to be planted and appropriate ground cover. Trees :nay be planted singularly or in clusters. All landscaping and maintenance shall be subject to the standards 3s set forth by the Palm Beach County Engineering and Public Works Department. All landscape material shikll be selected from the following list:
Trees :
Laurel Oak
Ground cover:
Wedilia
Slash Pine
Live Oak
Bahia Grass
Sabal Palmetto
Alternative species may be allowed subject to apprcval by the County Engineer. All plant material sha 11 be installed and selected according to xeriscape principles and shall conform with the following:
a) All plants shall be container grown or field collected and transplanted from the project site.
b) All plantings shall be done in accordanct! with detailed planting plans and specifications to be submitted and approved by the County Ergineer concurrent with Site Plan certification.
All required median landscaping, including watering, shall be the perpetual maintenance obligation >f the petitioner and its successors, legal heirs or assignees or duly established Property Owner's Association and/or Homeowners's Association, and shall be installed on or before issuance of the first Certificate of Occup;lncy or filing of the first plat, whichever occurs first. Declaration of Covenants and Restriction Document:; shall be established or amended as required, prior to recleiving the first building permit or filing of the first plat, whichever occurs first, to reflect this oblicration. Maintenance shall be in accordance with the issued permits. (ENGINEERING/BUILDING)
Q. LIGHTING
1. All outdoor lighting used to illuminate the premi:;es and identification signs shall be of low intensity, sllielded and directed down and away from adjacent propert:.es and streets. All outdoor lighting shall comply with the requirements of the WCRA Overlay District, aTriation easement, the Palm Beach County Department of Ai::ports, the Federal Aviation Administration design guidczlines, standards, advisory circulars or other requi:rements deemed necessary by the Director of Ai::ports. (AIRPORT/BUILDING-Code Enforcement)
R. PARKING
1. A maximum of 1,453 parking spaces shall be permi,:ted on the entire subject site. (BUILDING)
2. All delivery and/or loading areas along the east property line shall be screened from view by a twelve (l:!) foot high wing wall consistent with the color and character of the principle structure or alternative 1and;caping acceptable to the Zoning Division. (BUILDING-ZOUNG)
3 . Overnight storage or parking of delivery vehic:les or trucks shal L not.be permitted on site except within areas designated on the certified site plan as loading areas. (BUILDING-Code Enforcement)
S. RECYCLE SOLID WASTE
1. AS part of any site plan application for any portjon of the project, the developer shall submit a solid waste stream reduction/recycling plan to be approved b y the Solid Waste Authority of Palm Beach County. (SOLID WASTE AUTHORITY)
T. RESTRICTIVE COVENANT
1. Prior to site plan certification, the petitioner shall record a copy of a Restrictive Covenant in the pblic record indicating that all structures and uses with..n the PGCD are part of a single unified planned develollment, regardless of ownership. This covenant shall not be removed, altered, changed or amended without w~~itten approval from the County and shall be in a form acceptable to the County Attorney. (COUNTY ATTORIIEY)
U. SIGNS
1. All new or replaced point of purchase signs shall be limited as follows:
a. Maximum sign height, measured from finished g::ade ten (10) feet;
b. Maximum sign face area per side - 100 square feet;
c. Maximum number of signs - one (1) each on Mi..itary Trail and Belvedere Road.
d. Secondary signs shall be limited to on(? (1) monument sign no larger than twenty (20) isquare feet and five (5) feet in height for eack outparcel. (BUILDING)
2. Prior to site plan certification, the petitioner shall submit a Master Sign Program to the Zoning Division which specifies sign location, sign dimensions, unified l:olor, unified graphics, typical base planting details, and conformance to all sign related conditions of approval. (ZONING)
V. UNITY OF CONTROL
1. Prior to site plan certification by the Devel 3pment Review Committee, petitioner shall record in the pblic record a Unity of Control on the entire subject pr3perty in a form acceptable to the County Attorney. This Unity of Control may be discharged with the approval of the Executive Director of Planning, Zoning and Building and the County Engineer. (COUNTY ATTORNEY/ENGINEERING/ ZONING)
W. USE LIMITATION
1. Use of the entire subject property including the pxtion within the municipal limits of the Town of Golfviea shall be limited to a maximlnv of 31,5,972 gross squarc: foot (GFA) Planned General Commercial Development including:
a) 294,972 square feet of general retail and three out parcels totaling 7,200 square feet within unincorporated Palm Beach County; and,
b) three out parcels totaling 13,800 squarc feet within the municipal limits of the T o m of Golfview. (ZONING / BUILDING)
,
, . . .
2 . The three major retail areas shall be limited to one story retail with a maximum of 2 6 3 , 3 1 3 gross lezsable square foot (GLSF). (ZONING/BUILDING)
3 . No storage or placement of any material, rtbfuse, equipment or debris shall be permitted on site. (CODE ENFORCEMENT)
X. VEGETATION PRESERVATION
1. The petitioner shall preserve or relocate on sit e the existing native sabal palms and incorporate them inco the project design. (ZONING)
2 . Prior to issuance of a Vegetation Removal Permit., the petitioner shall complete the following:
a. All sabal palms to be relocated or preserved shall be identified in the field, tagged and numbe:red.
b. The sabal palms shall receive appro:xiate protection during site development. No cll2aring shall commence until all protection devices are installed by the petitioner, and inspected and approved by the Zoning Division. (ZONING)
Y. WESTGATE CRA CONDITIONS
1. This site lies within the Westgate Communitf Redevelopment Area and is subject to the provisions of Zoning Code Section 627 (Westgate CRA Overlay District), in addition to other applicable zoning district, special exception and land development regulations. (Z3NINGBuilding)
2 . Prior to site plan certification, the petitioner shall submit conceptual elevations with all materials and colors specified, including but not limited to, roof, trim, awnings, walls, signs, fences and screen:.ng of mechanical equipment, utility structures and trash receptacles. (ZONING-building)
3 . No advertising flags, foreign flags, pennants, banners, streamers, balloons, flashing signs, electronic message boards, etc., shall be permitted on site. No gimmjcks or advertising designed to attract the public's attention off-site shall be displayed outdoors or upcn any building, vehicle or wall, other than inside a wirdow as may be permitted by the Sign Code. (CODE ENFORCEB[ENT)
4 . Signage, subject to approval by the County Erqineer, shall be installed at all points of egress fr,,m the loading areas that require all service and delivery vehicles to turn right only onto Country Club Road. (ENGINEERING-Code Enforcement)
5. A minimum of two signs, subject to approval by the County Engineer, shall be installed on Cherry Road east of the intersection of Country Club Road and Cherr], Road restricting truck traffic east of this intersc:ction. (ENGINEERING-Code Enforcement)
6 . Prior to site plan certification, the petitioner shall fund a one time clean-out of the existing section of the L-2B Canal between the L-2 Canal and Belvedere Roa3. The total expenditure shall not exceed $8,500.00. (WCRA/ ENGINEERING)
-
Z. COMPLIANCE
1. As provided in the Palm Beach County Land Devellopment Code Article 5.8, failure to comply with any of these conditions of approval at any time may result in tone or more of the following:
a. The denial or suspension of a building peru it or certificate of occupancy and use; the issuancl: of a stop work order; the denial or suspension cf any permit or approval for any developer, clwner, contractor, agent, tenant, lessee, or user c f the subject property;
b. The revocation of any special exception an3 any zoning which was approved concurrently wit.? the Special Exception as well as any previously g:t-anted certifications of concurrency or exem1;kions therefrom;
c. Rezoning of the property;
d. The addition or modification of condi.t.ions, including a requirement that the develclpment conform with updated standards of develclpment applicable at the time of the finding of noncompliance;
e. Citation of the property owner for violation of the Zoning Code. (MONITORING)
2. Appeals of any departmental-administrative al:!tions hereunder may be taken to the Palm Beach County Bo'tlrd of Adjustment or as otherwise provided in the Palm Beach County Zoning Code. Appeals of any revocation of slilecial exception, rezoning, or other actions based on a Boilrd of County Commissioners decision, shall be by petiticln for writ of certiorari to the Fifteenth Judicial Circuit. (MONITORING)
Commissioner Marcus moved for approval of the Resolution.
The motion was seconded by Commissioner Newel1 and upon being put to a vote, the vote was as follows:
MaryMcCarty,Chair
--
Burt Aaronson
Aye
Ken Foster
--
Maude Ford Lee
--
Aye
Aye
-- --
KarenT. Marcus
--
Aye
Aye
H.
Warren Newel1
Aye
A.
Carol Roberts
-- Absent
The Chair thereupon declared the resolution was duly 1;lassed and adopted this 20 day of A p r i l , 1993.
COUNTY ATTORNEY
APPROVED AS TO FORM AND LEGAL SUFFICIENCY
PALM BEACH COUNTY, FLOR1I:lA BY ITS BOARD OF COU??TV COMMISSIONERS
\
L I L,
.<, "
I'
--
. <
' 2
L ,
.
,
,_ ,.
.~
. .
c*
-
BY:
COUNTY ATTORNEY
|
Ecology Warriors
An educational publication of the The Garden Clubs of Australia Inc. adapted from material by the National Garden Clubs Inc., USA
Ecology Warriors
are those who help to save our environment.
Ecology Warrior Agreement
Making a world of difference: Understanding that choices matter can open new doors for indepth creative thinking, learning and educational opportunities centred on the natural resources of Earth.
Education is the key in making responsible decisions for today and tomorrow. Educated citizens are responsible stewards who are able to make wise choices for conserving and protecting our planet and its natural resources and who encourage others to follow suit.
The Garden Clubs of Australia Inc. and the National Garden Clubs, Inc. USA invite you to become an Ecology Wa io as you nvest gate and study the contents of th s book et
You can make a wo ld of diffe ence by the choices you make fo the conse vation and p ese vation of natu al esou ces in ou world.
My name is: ………………………………………………………………………...
I want to become an Ecology Warrior.
Therefore I pledge to protect and conserve the natural resources of planet Earth and promise to promote education so that we all become caretakers of our natural resources, including our air, water, forests, land and wildlife.
I understand that I have a choice when I make decisions and take actions and that my choices matter to others around me and, at times, to our world.
I want to make a difference to our planet.
My agreement signature: …………………………………………….
Ai envelops the Earth and makes life possible.
*
Humans breathe n about 16 kilograms of a r every day!
A r pressure around our Earth s ca ed atmosphe e. It takes many a r mo ecu es to bu d up that a r pressure
The Earth's atmosphere sh e ds us from harmfu cosm c rad at on
The a r ayer c osest to the Earth s the t oposphe e where nv s b e chem ca cyc ng of essent a e ements takes p ace as we as the uneven heat ng of Earth's surfaces that creates our weather
The a r of the troposphere s made up of gases such as n trogen, oxygen, argon and su fur ox des
A of these b ts of matter p ay an mportant ro e n our weather by prov d ng surfaces for condensat on and eventua y prec p tat on ‐ a ow ng water that evaporates from the ocean and and to rejo n us on the Earth's surface
Add t ona y, ra n and other forms of prec p tat on wash some of these part c es down to the Earth's surface
Green p ants, n add t on to resp r ng, photosynthes se when exposed to sun ght
Photosynthes s nvo ves tak ng carbon d ox de out of the a r and convert ng t to a carbon‐based sugar, re eas ng oxygen n the process
Ai is mo e than ust the atmosphe e – most all living beings need it.
Ai pollution s the ntroduct on nto the atmosphere of chem ca s, part cu ates or b o og ca mater a s that cause d scomfort, d sease or death to humans and other animals, damage other v ng organ sms, such as food crops, or damage the natura or bu t env ronment
* Indoo ai pollution and u ban ai quality are known to be two of the wo ld's wo st toxic pollution p oblems.
Ai pollution questions to conside :
* What var et es of p ants or trees wou d cost ess to grow, wou d grow faster (thereby crating more resources) and wou d reduce tox c em ss ons nto the env ronment?
* Are there nexpens ve, robust and p ent fu p ant spec es that wou d offer an econom ca a ternat ve for peop e who current y depend on burn ng wood for heating and cook ng?
* Is t poss b e to mprove or enhance ndoor a r qua ty w th certa n p ants?
* What p ants ncrease oxygen output?
* Can a r qua ty w th n a bu d ng or house be mproved w th spec f c or a greater number of p ants?
* Cou d exter or gardens n c t es, such as roadside trees, rooftop gardens and wa gardens, mprove a r qua ty?
When p ann ng gardens – whether ns de or outs de – cons der options and poss b e so ut ons for Making a Wo ld of Diffe ence because choices matte .
Air
Bees
By the numbers:
* 25 000 bee species in the world.
* 1700 native bee species in Australia, most of which are solitary bees. 11 species are social bees, are stingless and live in the tropics.
* In 1992 one species of bumblebee (Bombus terrestris) was introduced into Tasmania from Europe and have spread across all areas of the State. They are not found on the mainland.
* 4000 native bee species in North America.
Bees wor dw de are dec n ng n numbers due to severa ssues co ect ve y ca ed ' Co ony Co apse D sorder' (CCD) Issues that contr bute to CCD nc ude nsect c des, v ruses, pests (such as paras t c wasps and m tes) and the w despread farm ng pract ce of monocu ture
Monocu ture s the agr cu tura pract ce of produc ng and grow ng a s ng e crop or p ant spec es over a w de area for a number of consecut ve years Monocu tures are more suscept b e to the spread of pests and d seases A so, monocu tures do not prov de bees w th a var ety of food, therefore, bees can eas y starve In the case of commerc a honeybee po nat on, h ves have to be moved to new crops regu ar y
How can you he p?
‐ P ant a var ety of f owers n your garden Bees prefer purp e, v o et, ye ow and wh te f owers
‐ L m t the use of hybr d and doub e b ossom f owers because more po en can be found on s ng e b ossom f owers
‐ P ant nat ve p ants
‐ C uster severa spec mens of the same p ant n a group ng for eas er bee po nat on
‐ P ant vegetab es, herbs, fru ts and nut trees
‐ Avo d the use of nsect c des
Many bees, many homes
‐ 30% nest n h ves: honeybees, hornets, wasps These are soc a nsects
‐ 40% nest n cav t es: mason bees, eafcutter bees, mud daubers These are so tary nsects
‐ 30% nest n h ves and ho es n the ground: bumb ebees, a ka ne bees These can be soc a and so tary
European honeybees (Apis mellifera) are not nat ve to Australia, yet they are the greatest po nator of commerc a food crops native bee species such as leafcutter bees, mason bees and alkali bees have been developed as efficient pollinators of crops such as lucerne and apples. In Australia, the blue banded bees and the stingless bees show potential as specialist pollinators.
Honeybees trave up to three kilometres n search of po en; mason bees forage w th n 300 feet of the r nest
Bees po nate one-third of our food supp y
Birds
Birds are an indication of the health of our environment.
World-wide there are close to 10 000 bird species - with over 1200 considered threatened. Of these, 828 are Australian native birds with 50 that are considered threatened.
Australia is home to a tremendous diversity of native birds.
Due to human habitation and agricultural pursuits throughout the world, natural habitat areas are dwindling in size and many have been eliminated. As a result, migratory birds are losing their resting stopovers and some are forced to travel huge distances to find food.
One solution is to create a wildlife habitat in people's backyards. Habitat gardening provides immediate benefits, but long‐term effects are even better.
When we make certain that our environment remains a healthy place for wildlife, we are keeping it healthy for humans as well.
The best way to supply birds with the food they need is by planting a wide variety of native shrubs and trees. Supplemental bird feeders can also add nutrition to their diets.
Always feed natural fresh seeds, feed small amounts daily and clean feeders once a week with 10% bleach solution.
Be sure to include a clean water. A birdbath, small pond or shallow container with about 2–3cm of water can fulfil the need for bathing and drinking. But water-loving species, like ducks, need deeper water for swimming and bathing.
Birds also need dust to have a dust bath. Dust in this instance refers to dry, powdery soil. This helps birds absorb excess oils in their feathers and also discourage mites and other parasites.
Cover is as important as food and water to the survival of birds. Protective cover is needed for nesting sites, sleeping and feeding areas.
Different species have different cover requirements, so consider as many types of cover as possible: bushes, hollow logs, trees, shrubs, tangles of vines, meadow grasses and even water.
Many species of bird are more often heard than seen. Most birds have some kind of sound-making ability and they vocalise for a variety of reasons, including:
* advertising their territories to other birds
* attracting a mate
* deterring predators
* making alarm calls.
You can listen to any one of 40 bird songs frequently found in Australia at:
http://www.b
irdsinbackyards.net/birds/featured/Top-40-Bird-Songs
Do you have a bird in your backyard that you're unsure what it is? Try using this bird-finder website: http://birdsinbackyards.net/finder Become a birdwatcher and learn all you can about different birds, help native birds survive and commit to protecting them for the health of the world.
Butterflies
Many butterflies are losing their natural habitat due to urbanisation, excess use of chemicals and genetically altered plants.
Australia has more than 400 species of butterfly, the majority of which are continental species, and more than a dozen endemic species from remote islands administered by various Australian territorial governments. The largest butterflies in the world are endemic to the Australasian ecozone.
If you live in NSW, this website will help you identify a butterfly in your backyard:
http://lepidoptera.butterflyhouse.com.au/sydbuts.html
Let's wo k togethe to p event butte flies f om becoming th eatened, endange ed or extinct. Remembe : Extinction means gone fo eve ; neve to be seen again.
Painted Lady Butterflies
* Pa nted ady butterf es are the most w de y d str buted butterf y n the wor d They ve everywhere except the cont nent of Antarct ca
* The r eggs are ght green and usua y a d on ho yhocks, th st e, or ma ow eaves
* After about f ve days, the eggs hatch nto caterp ars ( arvae) and beg n eat ng for about 10 days
* Caterp ars make chrysa ses & after about 10 days emerge as butterf es
* Pa nted ady butterf es ve for about two weeks
Tiger Swallowtails
* There are about 550 d fferent spec es wor dw de
* T ger swa owta s use some trees p us p ants as the r host p ants
* Host p ants are d , pars ey, fenne and carrots
* Adu t swa owta butterf es ve three to four weeks
Australian Painted Lady (pictured right)
* The Australian painted lady (Vanessa kershawi) butterfly is mostly confined to Australia, although westerly winds have dispersed it to islands east of Australia, including New Zealand.
. During spring, adult butterflies migrate south in large numbers from northern states of Queensland and New South Wales. To find mates, male Australian painted ladies exhibit territorial behaviour, which involves a male perching on vegetation in a sunny spot on a hilltop, waiting for females to fly by.
. Despite urbanisation and invasive plants altering its habitat, populations of Australian painted ladies have not been significantly impacted by these changes
How can you help butterflies?
* P ant the r host p ants The space can be as sma as a pot or a large garden. For example:
| Citrus trees – especially grapefruit, lemon and lime trees | Orchard Butterfly; Dingy Swallowtail; Chequered Swallow- tail; Ambrax; Hummingbird Moth; Emperor Moth |
|---|---|
| Acacias (wattles), e.g., A. flavescens, A. holoserica & A. melanoxylum | Some Jewel Butterflies; Tailed Emperor; Damel’s Blue; Ghost Moths, Eye Spot Moths; Large Leaf Moths as well as others |
| Bottlebrushes, Callistemon species | Nectar for butterflies; Ghost Moth; Emperor Gum Moth |
Energy
Energy cannot be destroyed or created — only harnessed, converted or transformed.
* There are two basic groups of energy: renewable energy (biomass, geothermal, solar, water and wind power) and non-renewable (fossil fuels, coal, oil, natural gas and nuclear). Three‐quarters of the world's energy is generated by burning fossil fuels.
* Renewable energy supplies will never run out. While the supplies of coal, oil and natural gas are limited, sunshine, wind, biomass and water power are naturally replenished and are considered almost limitless resources.
* Only 10% of energy in a light bulb is used to create light. Ninety percent of a light bulb's energy creates heat. Compact fluorescent light bulbs (CFLs), on the other hand, use about 80% less electricity than conventional bulbs and last up to 12 times longer.
* Enough sunlight reaches the Earth's surface each minute to satisfy the world's energy demands — for an entire year. Our energy problems would be solved if we find better ways to harvest that energy.
* Ten countries produce ⅔ of the world's oil and hold the same percentage of known reserves. Saudi Arabia tops both lists.
* Ten countries produce ⅔ of the world's natural gas and hold about the same percentage of known reserves.
* Which countries burn the most fossil fuels? The top seven emitting countries by total fossil-fuel CO2 emissions are:
* (1) People's Republic of China (Mainland)
* (2) United States of America
* (3) India
* (4) Russian Federation
* (5) Japan
* (6) Germany
* (7) Islamic Republic of Iran
* The burning of fossil fuels produces around 21.3 billion tonnes (21.3 gigatonnes) of carbon dioxide (CO2) per year. It is estimated that natural processes can only absorb about half of that amount, so there is a net increase of 10.65 billion tonnes of atmospheric carbon dioxide per year.
* In the average home, 75% of the electricity used to power home electronics is consumed while the products are turned off. The average desktop computer idles at 80 watts, while the average laptop idles at 20 watts. A Sony PlayStation 3 uses about 200 watts and nearly as much when idle. Idle power consumes more electricity than all the solar panels in America combined.
* More than 1/5 of the world's primary energy is used for transport, followed by industry, construction and agriculture.
* Nuclear power produces around 13% of the world's electricity.
* Brazil has one of the largest renewable energy programs in the world, involving production of ethanol fuel from sugarcane. Ethanol now provides 18% of that country's automotive fuel.
Forests
Energy cannot be destroyed or created — only harnessed, converted or transformed.
Forests play a vital role in a country's economic health, with the forest industry accounting for thousands of direct and indirect jobs (such as the paper industry). Forests cover a third of all land on Earth, providing vital organic infrastructure for some of the planet's densest, most diverse collections of life.
A forest is a natural system that can supply different products and services. The working of this system is influenced by the natural environment: climate, topography, soil, etc., and also by human activity. The actions of humans in forests constitute forest management. In developed societies like Australia, this management tends to be elaborate and planned in order to achieve the objectives that are considered desirable.
Forest managers are well trained to understand how to maximise the timber we can get from harvesting operations and use science to ensure forest features are protected and the trees will grow back ensuring the forest remains healthy and productive for years to come.
Forests support countless species as well as 1.6 billion human livelihoods, yet humans are also responsible for widespread deforestation, clearing millions of forested acres every year.
At the same time, forests also store carbon, preserve soils and nurture a diversity of species. These non-timber benefits are known as 'ecosystem services'.
The benefits provided by forest ecosystems include:
goods (such as timber, food, fuel and bioproducts)
ecological functions (such as carbon storage, nutrient cycling, water and air purification, and maintenance of wildlife habitat)
social and cultural benefits (such as recreation, traditional resource uses and spirituality).
Forests help us breathe: Forests pump out oxygen we need to live and absorb the carbon dioxide we exhale (or emit). A single mature, leafy tree is estimated to produce a day's supply of oxygen for anywhere from two to 10 people.
Forests are more than just trees: Nearly half of all known species live in forests, including 80 percent of biodiversity on land. That variety is especially rich in tropical rain forests, from rare parrots to endangered apes, but forests teem with life around the planet: Bugs and worms work nutrients into soil, bees and birds spread pollen and seeds, and predatory species like dingoes, goannas and eagles keep fast-breeding, hungry herbivores in check.
Forests clean up dirty air: We praise houseplants for purifying the air, but don't forget forests. They can clean up air pollution on a much larger scale, and not just the aforementioned CO2. Trees catch and soak in a wide range of airborne pollutants, including carbon monoxide, sulfur dioxide and nitrogen dioxide.
Forests keep dirt in its place: A forest's root network stabilises huge amounts of soil, bracing the entire ecosystem's foundation against erosion by wind or water. Not only does deforestation disrupt all that, but the ensuing soil erosion can trigger new, life-threatening problems like landslides and dust storms.
Forests block wind: Groups of trees can also serve as a windbreak, providing a buffer for windsensitive crops. And beyond protecting those plants, less wind also makes it easier for bees to pollinate them.
Invasive Plants
Over 100 invasive plant species are recognised as a threat to native plants and animals.
What is an invasive plant?
Invasive plants a e non‐native (o exotic) species that have adapted to a eas whe e they have neve g own natu ally. Not a exot c p ants are nvas ve Invas ve p ants grow rap d y and spread aggress vey Because they have few natura d sease or nsect contro s n the new ocat on, they thr ve and become estab shed over arge areas Th s unchecked growth a ows them to overwhe m nat ve spec es and form dense one‐spec es stands
How did they get the e?
Some nvas ve spec es were ntroduced to the local environment by acc dent Perhaps they arr ved as seeds n gra n supplies, in sh pments from overseas, came attached to the fur or h de of an an ma or peop e's c oth ng or stowed away n a sh p's ba ast water However, the great major ty of nvas ve p ants were brought here on purpose S xty percent of nvas ve spec es because they were beaut fu , unusua , except ona y hardy, drought‐to erant or fast‐grow ng In other words, they are just what an adventurous gardener s ook ng for The p ants ater escaped from arboretums, pub c gardens and home gardens Many of the same plant attr butes that appea to hort cu tur sts make them nvas ve
Why a e invasive plants a p oblem?
An nvas ve spec es may overwhe m an area because the nsects, d seases and forag ng an ma s that natura y keep ts growth n check n ts nat ve range are not present n ts new hab tat Some nvas ve p ants are worse than others Many non‐nat ve p ants are we come and manageab e add t ons to our gardens However, some non‐nat ve spec es cause ser ous damage Invas ve spec es compete d rect y w th nat ve spec es for mo sture, sun ght, nutr ents and space In the worst cases, nvas ve p ants ruth ess y choke out other p ant fe Th s puts extreme pressure on nat ve p ants and an ma s and threatened spec es may succumb to th s pressure U t mate y, nvas ve p ants a ter hab tats and reduce b od vers ty
What can you do?
Prevent any new, potent a y nvas ve ntroduct ons, because once they ga n a footho d, they are cost y and t me‐consum ng to contro
Avo d d sturb ng natura areas Know your p ants; do not grow potentially nvas ve andscape p ants
Detect and contro nfestat ons Invas ve spec es outbreaks are most eas y contro ed when stands are sma and the p ants are young
Contro the nfestat ons by remov ng the p ants ent re y or by manag ng them to prevent the r spread outs de your property Th s may nc ude removing seedheads, prun ng to prevent f ower ng and seed d spersa or cutt ng, mow ng or herb c de use to prevent vegetat ve spread
Make others aware of nvas ve p ants Ask nurser es and garden shops to not se these spec es Vo unteer to work n exot c p ant remova projects
Land Conservation
Do you care about the land? How much do you value it? Is there a special place, public or private, that you want to help protect? Do you want it to be green, healthy and sustainable? This page is a gateway to ideas, information and resources that can help you protect and preserve the land you love – today and for future generations.
Whether you want a lawn, flowers or a garden brimming with fresh food, try to do it without pesticides – for your own health as well as the health of your family, neighbours and wildlife. Begin by prioritising what is needed first and where to start your planning.
Protect and encourage biodiversity in the soil, garden, fields and forests. Use native plant and native tree species – they're likely to be healthier, longer‐lasting, and require less water, pesticides and other inputs.
Protect and preserve the soil – it is the foundation of healthy land and water. Use ecological and organic gardening, landscaping and lawn care techniques, plant windbreaks and do whatever you can to prevent erosion.
Planting trees makes the property warmer in winter and cooler in summer. They also add beauty, improve the quality of the air and water, prevent erosion, block out noise, reduce heating and cooling costs and attract songbirds. An old proverb states, "The best time to plant a tree was twenty years ago. The second best time is now."
If you have bushland or forest, consider eco‐forestry techniques to strengthen and preserve it. Think of bushfire prevention too. How can it best be managed?
If the land has been deforested, overused or abused, consider ecological restoration techniques to restore its plants, animals, soil and natural beauty.
Ten Ways to Conserve Soil
| 1. Plant shrubs and trees | 2. Maintain soil pH |
|---|---|
| 3. Build terraces to prevent erosion | 4. Water the soil |
| 5. No-tlil farming practcies | 6. Salinity management |
| 7. Contour ploughing | 8. Promote helpful soil organisms |
| 9. Crop rotatoi n, including your vegie | 10. Grow crops that need less water |
Good farming and gardening practices can help restore soil health and preserve this natural resource. If you want to preserve nature, wilderness, agricultural lands or urban public space, consider joining a group or organisation that reflects your concerns. Every member makes a difference, whether as an active participant or as an interested party.
Recycling
Recognise the difference between reuse and recycle. You can reuse something simply by using it again, such as a shopping bag. You can cause others to reuse by reallocating products or materials to a new owner or purpose without reprocessing or remanufacture, but potentially with
some repair (e.g. resale of second-hand cars or clothing re-sold via opportunity shops or the repair of wooden transport pallets for resale or the sale of goods from a landfill or transfer station tip shop).
Metals
An aluminium can that is thrown away will still be a can 500 years from now!
In 2016-17 in Australia, about 5.5 Mt, or 226 kg per capita, of metal waste was generated. The recycling rate of 90% was higher than any other material category.
Metal recycling is well-established in every state and territory but has suffered from unstable global prices, putting financial pressure on the scrap metals industry, which depends on export markets.
The USA uses over 80 000 000 000 aluminium cans every year.
A used aluminium can is recycled and back on the grocery shelf as a new can, in as little as 60 days.
Paper
About 5.6 Mt of paper and cardboard waste was generated in Australia in 2016-17, or 229 kg per capita. About 60% was recycled and 40% was sent to landfill.
A recent decline in this statistic is partly caused by the increasing digitisation of information. For example, industry analysis suggests that newspaper circulation has declined by about 10% per year over the last decade.
The average American uses seven trees a year in paper, wood and other products made from trees. This amounts to about 2 billion trees per year!
Americans throw away enough paper and wood each year to heat 50 000 000 homes for 20 years.
Plastic
About 2.5 Mt or 103 kg per capita of plastic waste was generated in Australia in 2016-17. Sadly, just 12% was recycled with 87% sent to landfill and 1% sent to an energy from waste facility.
Plastic bags and other plastic garbage thrown into the ocean kill sea creatures every year!
Recycling plastic can save twice as much energy as burning it in an incinerator.
Strong global markets remain for plastic waste that is well sorted by type and free of contamination. Australia's plastics recycling rates could be improved with greater on-shore investment in plastics sorting and cleaning equipment to enable either on-shore or off-shore recycling.
Glass
Every month, we throw out enough glass bottles and jars to fill a giant skyscraper – all of which are
recyclable! A glass bottle would take 4000 years or more to decompose ‐‐ longer if it's in the landfill.
About 1.1 Mt or 44 kg per capita of glass waste was generated in Australia in 2016-17, with 57% being recycled.
The energy saved from recycling one glass bottle can run a 100‐watt light bulb for four hours or a compact fluorescent bulb for 20 hours. It also causes 20% less air pollution and 50% less water pollution than when a new bottle is made from raw materials.
Mining and transporting raw materials for glass produces about 849kg of waste for every ton of glass that is made. If recycled glass is substituted for half of the raw materials, the waste is cut by more than 80%.
Miscellaneous
An estimated 80 000 000 Hershey's Kisses chocolates are wrapped each day, using enough aluminium foil to cover over 50 acres of space – that's almost 40 football fields. All that foil is recyclable, but not many people realise it.
Water
Fresh Water is Essential for Life
1. Water covers 71% of the Earth's surface.
2. Oceans and seas (saltwater) comprise 97.5% of the water on the Earth's surface.
3. A scant 2.5% of the water on the Earth's surface is fresh water.
4. Ice caps account for 2% of the fresh water on the Earth's surface.
5. Only 1% of Earth's water is available for our use and only a miniscule percentage of that 1% is actually accessible.
6. Of that small percentage of accessible water, 98% is used for agriculture and industry.
Water is a valuable resource. Apart from drinking water and household use, Australians rely on water as an input to almost every industry in the nation's economy, particularly agriculture.
About 95% of water delivered to our houses goes down the drain (toilets, showers, sink).
In the past, Australians have generally thought of water as a free resource. However, drought and water restrictions in many areas of Australia since 2002, together with increasing evidence of the adverse effects of increased water use on river health, is changing the way we regard water. It is now widely recognised that taking too much water out of Australia's rivers and groundwater systems can have detrimental economic and environmental consequences. These can include declines in native animal and plant populations (and possible extinctions) and reduced agricultural production (e.g. caused by reduced availability of water or salinity).
Availability: The volume of water available is determined mainly by rainfall, which affects run-off and groundwater supplies. Rainfall is variable and in recent times many parts of Australia have experienced prolonged periods of drought. Population growth also contributes to pressure on water supplies. Water storage in dams and aquifers (underground storage) is important to secure water supplies for human use. However, storage is also an environmental issue, for example, dams disrupt and deplete environmental flows. This can adversely affect flora and fauna downstream.
Consumption: Water consumed for drinking and in our homes and gardens is only a small part of the total water use in Australia. Most of the water consumed in Australia is by the agriculture industry, which accounts for nearly two-thirds (65%) of total water consumed.
River health: Water quality is directly related to river and wetland health. Human activities can exacerbate river health problems such as salinity, turbidity and blue-green algae outbreaks. Reduced water quality and flows can affect the agricultural and tourism industries and damage the plants and animals that rely on the water for food and habitat.
Management and conservation: The recent drought has firmly focused attention on the need to conserve water. One-third of farmers report water-related management activities. For households, mandatory water restrictions apply in many parts of Australia to limit outdoor water use, and many Australians have been voluntarily conserving water by adopting water-saving practices and installing water-saving devices.
Water is ultimately a renewable resource. Water is constantly exchanged between the oceans, the land and the atmosphere (the hydrologic cycle). For example, water evaporates from oceans and rivers into the atmosphere and then falls as rain, snow, etc. The amount of rain (as well as the rate at which it evaporates, is transpired by plants or runs off land to fill rivers and aquifers) determines how much water is available.
Wildlife
Attract ng bees, butterf es and other w d fe s a fun way to enjoy nature n your own yard or garden Imag ne your garden covered w th great numbers of co ourfu butterf es, beaut fu p ants and a water source
A water source s an mportant e ement to attract w d fe A an ma s need water, not on y for surv va , but some need t for bath ng, keep ng coo and, n some cases, for breed ng as we
Trees, shrubs and other p ants prov de a home for wildlife and for po nators
The env ronment and econom c mpact that w fo ow extreme oss of honeybees, nat ve bees, b rds, bats and butterf es, a of wh ch are exper enc ng popu at on dec nes, demands attent on and s a wake‐up ca for a of us
Honeybee po nat on accounts for $15 billion worth of crops, g v ng us the vegetab es and fru ts that we need for survival
It s mperat ve that we prov de comprehens ve educat on on po nator oss to ncrease awareness about the dangers of dec n ng po nator popu at on Form ng partnersh ps n the pub c and pr vate sector to protect po nators and mprove the r hab tats shou d be the goa of every c t zen of a ages
Today, 3079 an ma s and 2655 p ants are sted as endangered wor dw de, compared w th 1998 eve s of 1102 an ma s and 1197 p ants
40 % of the enti e species dwelling on this planet a e facing a high isk of extinction.
The most mportant cause of the dec ne of endangered spec es s caused by the oss of hab tat Other factors dr v ng an ma s to near ext nct on are po ut on, c mat c changes and d sease
* The keystone endangered species in Australia (according to the Australian Geographic) are:
Southern cassowary
Grey-headed flying fox
Gilbert's potoroo
Grey nurse shark
Tasmanian devil
Red-tailed black cockatoo
Tasmanian wedge-tailed eagle
Northern quoll
Australian sea lion
You can c eate a wildlife‐f iendly ga den that p ovides bi ds, butte flies and othe backya d wildlife with the fou components of habitat: food, wate , cove and places to aise thei young. These things will make you ga den att active to all so ts of beautiful and inte esting wildlife fo you to observe, appreciate and en oy.
at: www.gardenclub.org
|
Monarchy or Republic?
Noel Cox and Raymond Miller
This chapter considers whether New Zealand should become a republic, with its own president, or continue to have the English monarch as head of state. Although some recent prime ministers, including Jim Bolger (National 1990–97) and Helen Clark (Labour 1999– 2008), have been avowed republicans, the lack of any clear public mandate for change has kept the future of the monarchy off the political agenda. Following his fi rst meeting with the Queen after becoming prime minister, John Key promised that, while he regarded a republic as inevitable, it would not happen under his government. The republican movement responded by repeating its demand for a referendum. A view supported by the United Future leader and government minister, Peter Dunne, who challenged the prime minister to follow the Australian government's example and make a referendum a matter of priority. 1
Drawing on survey data, 2 this chapter will measure the strength of republican sentiment among New Zealand voters, highlighting the social variables of age, gender, education and ethnicity. It is frequently claimed that support for republicanism is strongest among the well-educated postwar generations (see, for example, Jesson 1996, p. 55). On the other hand, deep pro-monarchist feelings are said to be held by late middle-aged and elderly voters, as well as by Mäori. A perception that public opinion among Mäori is heavily in favour of the monarchy has divided the pro-republican movement, with some warning against advocating a hasty change of the status quo. They reason that, because the nation's founding document, the Treaty of Waitangi (1840), was a personal agreement between Mäori chiefs and Queen Victoria, any attempt to remove the sovereign would be seen by most Mäori as a threat to their rights under the Treaty (for example, Mulgan 1997, p. 66; Tunks 1996, p. 117). Finally, the chapter will refl ect on what, if any, impact Australia's 1999 republican referendum had on public opinion in New Zealand. This allows us to speculate on the possible impact of another Australian referendum on public opinion in New Zealand.
THE HEAD OF STATE
Any consideration of the future of the monarchy has to be placed in context. The present constitutional arrangement of New Zealand is that of a constitutional monarchy. In common with Canada, Australia, the United Kingdom and more than a dozen other countries, the head of state is Queen Elizabeth II. There are certain implications of this shared arrangement, which is the result of the evolution of the British Empire into the Commonwealth. We will commence with a brief look at the nature of the offi ce of head of state, before considering specifi c details of the evolution of the offi ce within both the Commonwealth and New Zealand.
The term 'head of state' frequently arises in discussions of political structures. Yet despite our familiarity with the term, it is hard to agree on a single defi nition. Indeed, prior to the late nineteenth or early twentieth century, 'head of state' was virtually unheard of and rulers were generally referred to generically as 'princes'. In the absence of a clear defi nition of head of state (which is usually used in distinction to that of head of government), there is only a collection of common principles. There is some agreement on the powers and responsibilities possessed by many heads of state. These can generally be divided into four categories. The fi rst category includes those powers which relate to the position of supreme government authority. The role of constitutional guarantor, and serving as the living symbol of the nation, fall into this category. The second category includes powers related to the creation of law. The promulgation of legislation and signing authority on international treaties demonstrate this power both within and outside the country. The third category involves jurisdiction over the administrative and political agents of government. The appointment of offi cials is an example of this. Fourth, control of the state's monopoly on physical force is generally vested in the head of state. Formal command of military forces is an example of this fourth area of responsibility.
These four categories, and the responsibilities within them, are commonly described as within the purview of heads of state. They may, however, be exercised on the advice of a head of government, or by the head of government on delegated authority from the head of state. However, it is important to note that not all nations employ heads of state which exercise all of the powers addressed above. More importantly, from the perspective of New Zealand, in not all countries does a head of state personally exercise these powers and responsibilities.
Elizabeth II, best known globally as Queen of the United Kingdom, is currently the second longest-serving head of state in the world. She is presently the only person recognised as the head of more than one state (excepting the anomalous example of Andorra, of which the President of France is a co-prince). This is primarily a product of the nature of the evolution of the British Empire into the Commonwealth. But as a direct consequence the head of state is represented in each of her realms by a Governor-General. For most practical purposes, except the appointment of a new Governor-General, this offi ce is de facto head of state, and the next section will be concerned particularly with the offi ce of Governor-General.
EVOLVING MONARCHY
New Zealand's form of government, in common with other countries established predominantly by settlers from the British Isles—excepting only the United States of America—is that of a constitutional (or limited) monarchy. In 1840 the monarchy meant the 'British' monarchy. It was the Queen of the United Kingdom (not England as the Treaty styled her) who concluded the Treaty with Mäori chiefs at Waitangi. With the growth of the newly settled colony, the British government progressively entrusted more powers and responsibilities to the colonial parliament and executive. This process was accelerated during the early part of the twentieth century when New Zealand, together with several other long-established British colonies, notably Canada and Australia, were granted the status of a 'dominion'.
Each dominion shared allegiance to the Crown. Although the personifi cation of the Crown was the sovereign, it included the sovereign's advisers also. Initially, these were primarily those based in the United Kingdom, but later came to include those located locally. Over time, each dominion began to develop its own concept of the Crown. Beginning in the 1930s the sovereign acted in relation to New Zealand only on the advice of New Zealand ministers. As the Queen came to be regarded more and more as the Queen of New Zealand, and only incidentally as the sovereign of these other countries, so a distinct New Zealand Crown evolved. Thus the once-single imperial Crown slowly evolved into a multiplicity of national Crowns. This meant that obligations once undertaken by the British Crown were now the responsibility of the New Zealand Crown. This can be illustrated with reference to the Crown's obligations under the Treaty of Waitangi. Although for all practical purposes such obligations were vested in the ministers of the New Zealand government, Mäori continued to hold the sovereign responsible for upholding the terms of the Treaty. In 1984, for instance, Mäori bypassed the New Zealand government by appealing to Queen Elizabeth to uphold the provisions of the Treaty. But it was to the Queen of New Zealand, not that of the United Kingdom, that they appealed.
This evolution of a distinct New Zealand Crown went hand in hand with the nationalising of the offi ce of Governor-General. During the early part of the twentieth century the Governor-General was seen as the local agent of the British government. Despite being granted a measure of personal discretion, successive appointees were expected to refer contentious matters to British ministers or senior Whitehall offi cials. Although this link began to attenuate from the 1920s, the essentially British nature of the institution persisted for as long as appointments were limited to those who were not only born, but also domiciled, in Britain. As well as representing the Crown, the offi ce of the Governor-General in New Zealand had come to represent, to some extent, the values and attitudes of a particular slice of British society transplanted into New Zealand, namely the aristocracy.
The fi rst New Zealand-born Governor-General, Sir Arthur Porritt, 3 was appointed in 1967, and while this did not produce any signifi cant immediate change in the functions of the offi ce, it did mark the beginning of a transition in its character and style. Porritt was an eminent surgeon and former Olympic sprint medallist who, at the time of his appointment,
was a (honorary) member of the Queen's Household. Like other prominent expatriate New Zealanders, such as the scientist Ernest Rutherford, he became well known only after leaving New Zealand. However, having forged a dual New Zealand–British identity, Porritt was seen subsequently as an important transitional fi gure in the nationalising of the offi ce of Governor-General. When Porritt returned to Britain on the completion of his term, a former New Zealand High Commissioner to London, Sir Dennis Blundell, became the fi rst New Zealand-born Governor-General who was also a New Zealand resident. He held the post from 1972 until 1977. Because neither Porritt nor Blundell was a member of the British aristocracy, 4 there was no expectation among New Zealanders that they would conduct themselves as if they were. Moreover, while they represented the Queen, they did not in any sense represent Britain.
Thereafter every appointee has been a New Zealander, appointed (as indeed they have been formally since 1941 and informally since 1910) by the Queen on the advice of the New Zealand Prime Minister. While the powers of the offi ce are limited, each modern incumbent has the potential to shape the character, and also the role, of the offi ce of Governor-General in response to changing conditions and expectations. More recent appointments include the fi rst Mäori Governor-General (Sir Paul Reeves 1985–90), followed by the fi rst woman (Dame Catherine Tizard 1990–96). Both were notable for stamping their distinctively New Zealand qualities and personalities on the offi ce of Governor-General. 5 That two of the three most recent appointments (Sir Michael Hardie-Boys 1996–2001 and Dame Silvia Cartwright 2001–06) were former Court of Appeal and High Court judges respectively is a refl ection of the potential for constitutional uncertainty surrounding the appointment and termination of coalition governments under the new electoral arrangements of the Mixed Member Proportional (MMP) electoral system. The current Governor-General, Sir Anand Satyanand, was both a District Court judge and ombudsman.
Although for most purposes the Governor-General is the head of state, the country is not a de facto republic, but rather a 'localised' monarchy (Ladley 1997). Appointees derive their status from both their constitutional position at the apex of the executive branch of government and from their role as representative of the sovereign. The offi ce can be said to have three principal roles: community; ceremonial; and constitutional. 6 It is perhaps in their community leadership role, which includes both public engagements and commenting on social trends and issues, that Governors-General are most conspicuous. According to Dame Catherine Tizard (1993, p. 4), it is the responsibility of the Governor-General to both acknowledge a sense of community spirit and affi rm those civic virtues that give New Zealand a sense of identity and purpose. This aspect of the community role is not only demanding, but potentially perilous, with incumbents being required to tread a fi ne line between the bland and the politically controversial. The ceremonial role, in contrast, is constrained by New Zealand's lack of a strong tradition of overt symbolism, pomp, and ceremony. Events such as the State Opening of Parliament have rarely played a major part in public life in New Zealand. The dangers inherent in the community leadership role were illustrated in 2002 when Dame Silvia Cartwright was criticised in some quarters for suggesting that the parental right to discipline children should be reassessed. She
attracted further controversy by observing that imprisonment was not an effective way to reform criminals. In both cases she was drawing upon her prior experience as a High Court judge rather than as Governor-General, but that did not isolate the offi ce from criticism.
The third, constitutional role fl ows from the position of the Governor-General as representative of the sovereign. This said, most of the powers of the offi ce derive from acts and regulations rather than the royal prerogative. The Governor-General assents to bills and orders-in-council, opens and dissolves parliament, appoints ministers, and makes a range of other appointments. Once seen as an instrument of imperial will, the Governor-General is occasionally now seen as a constitutional safeguard against executive despotism. 7 However, arguments that the Governor-General can act as a guardian of the constitution appear to overstate the case. New Zealand's economic and social policies have been dramatically altered over the past two decades, without intervention from the Governor-General. This refl ects the fact that the Governor-General can only intervene to preserve the constitutional order itself. Like the sovereign, the Governor-General will almost always act only on the advice of ministers responsible to parliament. However, as we have seen, the importance of the constitutional role was doubtless an important factor in the selection of Hardie-Boys and Cartwright following the introduction of MMP in 1996.
While the offi ce of Governor-General has evolved over time, so too has that of the sovereign and of the monarchy as a whole. Just as the evolution of the executive government through the twentieth century often saw the diminution of the role of the Governor and then Governor-General—a process seen as strengthening the political independence of the country—so the Queen's role has also diminished at the expense of the Governor-General and other members of the executive, especially (in recent years) the prime minister.
ARGUMENTS FOR A REPUBLIC
A maturing sense of nationhood has caused some to question the continuing relevance of the monarchy in New Zealand. However, it was not until the then prime minister personally endorsed the idea of a republic in 1994 that the issue aroused any signifi cant public interest or debate. Drawing on the campaign for a republic in Australia, Jim Bolger proposed a referendum in New Zealand and suggested that the turn of the century was an appropriate time symbolically for this country to break what he described as its remaining constitutional ties with Britain. Far from underestimating the diffi culty of his task, he readily conceded that 'I have picked no sentiment in New Zealand that New Zealanders would want to declare themselves a republic'. 8 This view was reinforced by national survey and public opinion poll data, all of which showed strong public support for the monarchy. Nor did the restrained advocacy for a republic from Helen Clark, prime minister from 1999, do much to change this.
Public sentiment notwithstanding, a number of commentators have speculated that a New Zealand republic is inevitable and that any move in that direction by Australia would have a dramatic infl uence on public opinion in New Zealand. Australia's decision in a
national referendum in 1999 to retain the monarchy raises the question of what effect, if any, that decision had on opinion on this side of the Tasman.
Apart from a few notable constitutional changes, such as abolition of the upper house and the introduction of a Bill of Rights, the present constitutional system very much refl ects this country's colonial heritage. Writing in the 1950s, the historian Keith Sinclair argued that New Zealanders' claim to being 'more British than the British' had its roots in a deep-seated desire to be associated with the perceived moral and military superiority of the Britain of Queen Victoria (1959, pp. 297–9). The outpouring of loyalty and admiration with which the predominantly British immigrant population greeted royal visitors was a recurring reminder of New Zealand's close relationship with Britain. This link was retained while it suited New Zealand's strategic interests. But the military and political realities of conditions in the South Pacifi c and Far East from the 1940s rendered the link with Britain—if not with the monarchy—less important than that with the United States. From the early 1950s, Britain's postwar military and economic decline began to nudge a reluctant New Zealand government away from dependency, both psychological and real. Landmark events in the country's journey towards full independence included: the 1951 ANZUS Defence Agreement with Australia and the United States; the emergence of a stronger sense of regional identity under the third Labour government (1972–75) of Norman Kirk; and Britain's entry into the European Economic Community (now the European Union) in 1974. The last decision effectively ended a trade relationship in which up to 90 per cent of New Zealand's farm produce had been destined for British consumption.
New Zealand's new post-colonial status was refl ected in a number of largely domestic changes. These included the relaxation of restrictions on non-United Kingdom immigrants, especially refugees and business migrants from Asia; the growing penetration of the United States culture and politics through the vehicle of mass communications, notably television; and the rise of individualistic, meritocratic and internationalist values as a result of globalisation and the economic and welfare reforms of successive neo-liberal governments. Reinforcing these trends was the decision of the voters in 1993 to replace the simple plurality electoral system, which had long been an integral part of the Westminster democratic model (Lijphart 1999, p. 21), with the German model of proportional representation. According to the prime minister of the time, the new electoral arrangement promised to be the catalyst for 'a clear break with the British system of government that we have followed thus far'. 9 It was said that 'the tide of history is moving in one direction'. 10 Therefore, so the argument went, it was time for a republic. Although understanding of the operation of MMP has improved since its introduction, signs that it heralded more radical reforms have yet to emerge. It may even have resulted in greater caution.
But it is also possible to argue for a republic on the grounds of New Zealand's growing military and political isolation from Britain. The Thatcher government was conspicuously unwilling to become involved during the dispute with French government offi cials following the sinking of a Greenpeace vessel in Auckland Harbour in 1985. The 'Rainbow Warrior Affair', as it came to be called, together with the fourth Labour government's anti-nuclear
stance (which was strongly opposed by both London and Washington) were to become defi ning events in the development of a more assertive New Zealand identity (Alley 1987, p. 209). By the beginning of the twenty-fi rst century the only remaining links with Britain of particular consequence were politico–cultural and historic. By this time, it could be argued, New Zealand had largely shed its British identity in favour of that of a South Pacifi c nation, with a trade, foreign and defence policy focus on the region of Asia–Pacifi c. 11 This was illustrated by the New Zealand Labour-led government's failure to support the 2003 decision of the British Labour Prime Minister, Tony Blair, to commit troops to President George W. Bush's invasion of Iraq. The monarchy has been indigenised—especially in its Treaty of Waitangi context—as its British aspects and attributes have withered (or been deliberately dismantled).
New Zealand republicans might consider it appropriate that their nation become a republic when Australia adopts that system of government, though that reason, on its own, implies a lack of independence of spirit—following Australia's lead where once we may have followed that of Britain, or more recently, the United States. 12 But there are also more substantial reasons. Perhaps the most persuasive is that the country's constitutional system ought to rest on fi rmer constitutional foundations than it does at present. Parliamentary sovereignty has arguably been inadequate when it comes to protecting individual rights and ensuring the accountability and integrity of governmental institutions. An entrenched constitution would help, though entrenchment is not contingent upon the country becoming a republic (see chapter 3.1). There are also some concerns about the adequacy of the present position of the Governor-General, particularly the prerogative (and unwritten) nature of many of the powers of that offi ce (Winterton 1998). There is no certainty, however, that the powers of the head of state would be any more clearly defi ned in a republic, nor more readily asserted (assuming that the latter were desirable).
In some respects the strongest arguments which can be advanced for New Zealand becoming a republic are strictly symbolic. Most important among the symbolic aspects, and that upon which both Bolger and Clark have relied, is that it is 'inappropriate' for 'the Queen of England' to be head of state and to have power to appoint a Governor-General to 'exercise her royal powers on her behalf in New Zealand'. 13 This is so irrespective of the lack of use of those powers. It is this argument that has proven the strongest of those promoted by the republican movement in Australia, though ultimately it proved insuffi cient to persuade the majority to abandon a known system in favour of an untried one, however much it may have been preferred in principle.
PUBLIC OPINION
Having looked at some of the factors that might suggest a republic, we will now consider what people actually feel about the monarchy. In 2008, in response to the question, 'Do you think that New Zealand should become a republic with a New Zealand head of state,
or should the Queen be retained as head of state?' some 49.6 per cent of voters responding to the New Zealand Election Study (NZES) post-election survey expressed support for the monarchy, compared with 32.8 per cent who preferred a republic (see table 3.4.1). While support for the monarchy in 2005 and 2008 was somewhat weaker than in the late 1990s, the 1999 NZES survey coincided with the successful pro-monarchy referendum campaign in Australia. The attention given by the New Zealand media to the Australian debate may help explain the decline in the proportion of 'don't knows' among the 1999 respondents.
Gender and age are often cited as two of the most crucial social indicators of voter opinion towards the monarchy. There is a frequently expressed, though simplistic, assumption that because of their high exposure to an assortment of women's magazines, many of which feature the monarchy and depict it as a largely matriarchal institution, women are signifi cantly more likely to be monarchists than men. The relative merits of this assumption notwithstanding, in 2008 slightly more men (50 per cent) than women (49 per cent) supported the monarchy (NZES 2008).
Survey data over the past three elections shows that support for the monarchy tends to increase with age, with close to two-thirds of all 2008 respondents of sixty-one years and over preferring the monarchy (see fi gure 3.4.1). It is perhaps not surprising that elderly women
Table 3.4.1: Voter attitudes to monarchy/republicanism, 1999–2008
Source: New Zealand Election Study
are the most devoted in their support for the monarchy. That said, opinion favours retention of the monarchy in almost every age group—only the eighteen to twenty-year-olds showed a slight preference for a republic.
On the basis of our survey data it is possible to reach the further generalisation that the higher the level of education, the stronger the support for a republic. In 2008, whereas 41 per cent of those with a university degree favoured a republic, the level of support among those with no more than a primary school education was only 31 per cent. As for religious affi liation, recent surveys indicate that Anglicans, Presbyterians, and Methodists tend to be strong supporters of the monarchy, whereas Roman Catholics and those who did not profess a religious faith are not.
Completing the social profi le of survey respondents are the views of Mäori. Contrary to the perception of Mäori as being strong monarchists, considerably more Mäori than New Zealand Europeans support a republic (see table 3.4.2). As with respondents generally, support for a republic is stronger among Mäori men than women, and among young and young middleaged voters rather than the sixty-year-plus age group. Although the monarchy enjoys strong support among New Zealand European, especially British-born, respondents, Asians (42 per cent) show a slight preference for a republic over the monarchy (36 per cent).
Patterns of opinion by party vote confi rm the importance of the generational factor in measuring the level and intensity of support for the monarchy (see table 3.4.3). Given the
Table 3.4.2: Voter attitudes to monarchy/republicanism by ethnicity, 2008
Source: New Zealand Election Study n = 4580
Table 3.4.3: Voter attitudes to monarchy/republicanism by party, 2008
Source: New Zealand Election Study n = 4859
high proportion of New Zealand First voters over the age of sixty, it is not surprising that the monarchy enjoys strong approval within that party. Similarly, both National's (Vowles, et al. 1995, pp. 22–3) and ACT's strong appeal to middle-aged and elderly Europeans, as well as to medium to high-income earners, helps to account for the enthusiasm felt for the monarchy by those parties' supporters.
As the results of table 3.4.3 show, the only party with more republicans than monarchists is the Greens. Clearly the Greens's more youthful voters refl ect, if less intensely, the prorepublican sentiments expressed by the Green party's parliamentary candidates, the vast majority of whom strongly endorse a republic. Unlike the Australian Labor party, which has long been identifi ed with support for a republic (Warhurst 1993, p. 118), its New Zealand counterpart has played a much more low-key, even ambivalent, role. Although a substantial majority of Labour's MPs and parliamentary candidates favour a New Zealand republic, the party's voters show a preference for retention of the monarchy.
IMPACT OF AUSTRALIA'S REFERENDUM DECISION ON OPINION IN NEW ZEALAND
Between 1996 and 1999, the most signifi cant development in the republican debate in New Zealand concerned the Australian government's decision to conduct a republican referendum on 7 November 1999. Prior to the referendum, public opinion in Australia favoured reform. The Australian Election Study of 1998, for example, found that 65.8 per cent of respondents supported a republic, compared with only 34.2 per cent who wanted to retain the monarchy. 14 Since advocates of a New Zealand republic had long held the view that a 'yes' vote in Australia would accelerate the trend towards a republic in New Zealand, the NZES pre-election 'rolling thunder' survey, which was conducted on a daily basis between midOctober and late November 1999, provided a unique opportunity to test any possible contagion effect of the referendum debate and its outcome on public opinion in New Zealand. 15
As we have seen, the fi gures in table 3.4.1 suggest that the Australian debate and outcome had the effect of consolidating public support for the monarchy within New Zealand. This is confi rmed by the results in fi gure 3.4.2. Although support levels began at almost precisely the 1996 levels, during the three weeks leading up to the Australian referendum, support for the monarchy tracked upwards, reaching a high of 67 per cent immediately after the Australian referendum results became known.
The election of a Labor government in Australia in 2007 revived the prospect of another referendum on the future of the monarchy. However, the Rudd government did not make the process a high priority. 16 In part, this was because evidence suggested both an element of public apathy at the prospect and a weakening of support for a republic. In the event of a further referendum within the next few years, it can be assumed that it will have a similar effect in New Zealand to the 1999 campaign. Thus there may be an increased polarisation of opinion, though not necessarily majority support for a republic.
Figure 3.4.2: Trends in support, 17 October to 27 November 1999
100
CONCLUSION
Although the 1999 Australian referendum was lost by the advocates of a republic, support for change has been consistently stronger in Australia than in New Zealand, and especially so since the early 1990s. The signifi cant variation in the popularity of republican sentiment between the two countries can be attributed to a number of factors. These include New Zealand's more homogeneous and largely British immigrant population; its historical slowness in abandoning other relics of colonialism, including imperial honours (recently reinstated) and the right of judicial recourse to the Privy Council; the opposition to republicanism of some prominent Mäori leaders; and the absence of a republican tradition either within the Labour and Alliance parties or through the survival of a republican association. 17 However, perhaps the most signifi cant deterrent to the growth of republicanism in New Zealand, at least during the 1980s and 1990s, was the country's preoccupation with economic, political, and electoral change. With the level of public trust in the nation's politicians having reached an all-time low, the idea of replacing the monarch with an elected or unelected president—in either case a vastly more expensive proposition for New Zealand taxpayers than retaining the monarchy—may have represented more change than many voters were prepared to countenance.
There is a further factor that militates against a too-ready assertion that it is only a matter of time before New Zealand becomes a republic. In some respects the very absence of the sovereign from New Zealand has done much to strengthen the institution of the monarchy. Largely entrusted to Governors-General, who have limited terms of offi ce, the Crown has gradually become entrenched as a useful synonym for the government. 18 But it has become
more than that. Although the Crown's obligations under the Treaty of Waitangi are now exclusively the concern of the New Zealand government, the personal involvement of the sovereign as a party to the Treaty remains important to many Mäori (although, as we have seen in tables 3.4.2 and 3.4.3, support for the monarchy among Mäori voters is signifi cantly lower than that for Europeans).
While abolition of the monarchy might not be on the political agenda in New Zealand in the short term, reform may be. In recent years there has been some speculation regarding the possibility of changes to the laws governing succession to the Crown. These include either making Prince William the heir to Queen Elizabeth II, rather than his father, Charles, Prince of Wales, or repealing the Act of Settlement 1700 (12 & 13 Will Ill c. 2), which excludes Roman Catholics from the Crown. A suggestion has also been made that the eldest child of the sovereign, irrespective of sex, should succeed.
While either the success of a republican referendum in Australia or an unpopular succession to the throne may advance the republican cause in New Zealand, this chapter has shown that the most convincing arguments for change are the infl uence on public opinion of events in Australia and New Zealand's changing demography. Should Australia become a republic as a result of a second referendum, perhaps following the death of the present monarch, it is not unreasonable to predict that New Zealand may make a similar move soon afterwards.
Regardless of what happens on the other side of the Tasman, the inevitable attrition among the older groups of monarchist stalwarts may, within the next few years, produce a majority vote for change—provided that a recently detected pro-monarchist trend among young people does not continue. A further demographic variable that could have an impact upon the popularity of republicanism is immigration. Support for the monarchy is strongest among British-born respondents and weakest among immigrants from outside the Commonwealth. The recent increase in immigrant numbers and the diversifi cation of sources to include more immigrants from Asia (especially China, South Korea, and Taiwan), Western Europe and elsewhere will inevitably dilute the symbolism and mystique surrounding New Zealand's former status as a distant but loyal British colony, and may also loosen our attachment to the monarchy.
DISCUSSION QUESTIONS
1 What is the role of the Crown in modern government?
2 For what reasons might New Zealand become a republic?
3 Why do a majority of New Zealanders support the continuation of the monarchy?
4 To what extent does the Crown remain important as a Treaty of Waitangi partner?
5 In what ways has the Crown developed as a distinct New Zealand institution?
NOTES
1 New Zealand Herald , 27 April 2009, p. 5.
2 The 1996, 1999, and 2002 New Zealand Election Studies were made possible by grants from the Foundation for Research, Science and Technology. The 1996 and 2002 surveys were conducted immediately after the general election. They questioned voters and parliamentary candidates. In 1999, a pre-election survey was conducted on a daily basis during the course of the campaign to track changes in voter attitudes on a range of issues.
3 Freyberg was born in London, and although largely brought up in New Zealand, had spent the greater part of his adult life abroad.
4 Though, after his retirement, Porritt was to become a de jure British aristocrat. It was customary, though not invariably the practice, for the Governor-General to receive a peerage, until Porritt's time.
5 Interview with Rt Hon. David Lange, 20 May 1998.
6 Government House 1997, p. 3.
7 Auckland District Law Society Public Issues Committee 1977, The Holyoake Appointment , p. 7.
8 New Zealand Herald , 6 March 1995, p. 1.
9 This is not to suggest that the views of politicians and other opinion leaders are no longer reported. In March 1998, for example, the Secretary of Foreign Affairs, Richard Nottage, reportedly told business leaders and policy-makers from the Asia–Pacifi c region that it was only a matter of time before New Zealand had its own indigenous head of state. He acknowledged that having a British monarch as New Zealand's head of state 'looks strange in Asian eyes'. National Business Review , 27 March 1998, p. 1.
10 Dominion , 16 December 1996, p. 12.
11 Evening Post , 9 May 1997, p. 2.
12 Cox, N. 1999, 'Neo-liberal republicanism has no place in this country', New Zealand Herald , 5 November, p. A17.
13 Daily News , 8 May 1997, p. 6.
14 The Australian survey asked the question: 'Do you think that Australia should become a republic with an Australian head of state, or should the Queen be retained as head of state?' It found that only 34.2 per cent wanted to retain the monarchy, with 9 per cent holding the view strongly. Two-thirds of all respondents (65.8 per cent) supported a republic. Australian Election Study 'User's Guide', 1998.
15 The data presented on attitudes to the monarchy in 1999 comes from an NZES pre-election telephone survey of 3500 New Zealanders, which began on 18 October and continued daily until election day on 27 November. The principal surveyor, Jack Vowles (Waikato University), using a rolling cross-section design, randomly sampled 80–90 eligible voters per day. Funding for the NZES was provided by the Foundation for Research, Science and Technology, as well as by the University of Waikato and University of Auckland research committees.
16 Michael Perry 2008, 'Queen Elizabeth must die or abdicate for Australian republic', Reuters, 27 January, <www.reuters.com/article/worldNews/idUSSYD6635920080128>.
17 Of all the parliamentary parties, only the Green party of Aotearoa indicated a willingness to place republicanism on its agenda at the 1999 and 2002 elections. Of the newly elected Alliance members of parliament after that election, Green party MP Keith Locke in particular
stated that he would promote republicanism, on the grounds that 'bowing before the British Queen refl ects a colonial mentality'. The Republican party of New Zealand was dissolved in 2000, but a new Republic of New Zealand party was established in 2005. A short-lived New Zealand republican movement was formed in the late 1960s. The republican movement of Aotearoa/New Zealand was formed in 1994. Its patron is the author Keri Hulme.
18 In this respect the Governor-General is regarded by the Australians for constitutional monarchy as effectively the head of state of Australia (Abbott 1997).
REFERENCES
How to Win the Constitutional War
Abbott, T. 1997,
, ACM/Wakefi eld Press, Adelaide.
Alley, R. 1987, 'ANZUS and the Nuclear Issue' in J. Boston and M. Holland (eds), The Fourth Labour Government: Radical Politics in New Zealand , Oxford University Press, Auckland, pp. 198–213.
Government House 1997, The Role of the Governor-General of New Zealand , Government House, Wellington.
Jesson, B. 1996, 'Republicanism in New Zealand' in L. Trainor (ed.), Republicanism in New Zealand , Dunmore Press, Palmerston North, pp. 47–60.
Ladley, A. 1997, 'The Head of State: The Crown, the Queen and the Governor-General' in R. Miller (ed.), New Zealand Politics in Transition , Oxford University Press, Auckland, pp. 51, 61.
Lijphart, A. 1999, Patterns of Democracy: Government Forms and Performance in ThirtySix Countries , Yale University Press, New Haven.
Mulgan, R. 1997, Politics in New Zealand , Auckland University Press, Auckland.
New Zealand Election Study (NZES) 1999–2008, The Department of Political Studies, University of Auckland, Auckland.
New Zealand Politics at the Turn of the Millennium:
Perry, P. and A. Webster (eds) 1999,
Attitudes and Values about Politics and Government, Alpha Publications, Auckland.
A History of New Zealand
Sinclair, K. 1959,
, Penguin, Harmondsworth, Middlesex.
Tizard, C. 1993, Crown and Anchor. The Present Role of the Governor-General in New Zealand , Government Printer, Wellington.
Tunks, A. 1996, 'Mana Tiriti' in L. Trainor (ed.), Republicanism in New Zealand , Dunmore Press, Palmerston North, pp. 113–32.
Vowles, J., P. Aimer, H. Catt, J. Lamare and R. Miller 1995, Towards Consensus? The 1993 Election in New Zealand and the Transition to Proportional Representation , Auckland University Press, Auckland.
Warhurst, J. 1993, 'Nationalism and Republicanism in Australia: The Evolution of Institutions, Citizenship and Symbols', Australian Journal of Political Science , vol. 28, pp. 100–20.
Winterton, G. 1998, 'The New Zealand Republic' in A. Simpson (ed.), Constitutional Implications of MMP , School of Political Science and International Relations, Victoria University of Wellington, Wellington, pp. 205–7.
FURTHER READING
Butler, D. and D. A. Low (eds) 1991, Sovereigns and Surrogates: Constitutional Heads of State in the Commonwealth , Macmillan, London.
Cox, N. 2008, A Constitutional History of the New Zealand Monarchy , VDM, Saarbrücken.
Government House 1997, The Role of the Governor-General of New Zealand , Government House, Wellington.
Grainger, G. and K. Jones (eds) 1994, The Australian Constitutional Monarchy , ACM Publishing, Sydney.
Tizard, C. 1993, Crown and Anchor: The Present Role of the Governor-General in New Zealand , Government Printer, Wellington.
Trainor, L. (ed.) 1996, Republicanism in New Zealand , Dunmore Press, Palmerston North.
|
Monitoring Board and IFRS Foundation Trustees Meeting
(Transcript of Public Meeting)
Date: 11 April, 2013
Venue: London
Note: This is a verbatim transcript and directly taken from the original sound source.
Public Session: Monitoring Board and IFRS Foundation Trustees Meeting
Michel Prada: Good morning ladies and gentlemen. Welcome to this joint meeting of the Monitoring Board and the Board of Trustees. As you know, this is a public meeting, so I recommend you push the button to make sure that the recording is OK.
The first item on the agenda is the Monitoring Board Governance Review. Chairman Masa, please take the floor.
Welcome to you all.
Chair (Masamichi Kono): Thank you very much, Michel, and thank you all for coming together this morning to this meeting of the Monitoring Board together with the Trustees of the IFRS Foundation.
With your approval, of course, I would like to chair this meeting.
I am Masamichi Kono, chairman of the Monitoring Board of the Foundation. As Michel already mentioned, this meeting is a public meeting and we will be publishing transcripts later on.
We basically have four important agenda items. We will hear a number of reports on the activities of the Monitoring Board, and then there will be a report from the International Accounting Standards Board. Then there will be a report from the Foundation Trustees on their activities, and lastly, we also have some issues of transparency which I requested to be added to the agenda because I still think there is ample room for improvement on this topic. So, with your indulgence, we would like to go through those agenda items quickly.
As we have a lot on our plate, we need to be extremely efficient, so I ask you to keep your interventions concise and to the point so we can save time.
If there are no immediate comments on what either Michel or I mentioned, can we start on the first items? They are the report from the Monitoring Board on the state of play with regard to the implementation of the Governance Review that we issued in February last year, with reference to the document MB 1, which is the press release that the Monitoring Board issued as of March 1. I won't try to go through each and every line of this press release; I'll just try and give a quick summary. If I miss any important points from your standpoint, please mention it.
First, the Monitoring Board issued a final report on the review of the IFRS Foundation governance on February 9, 2012, and as you will recall, the report identified a number of enhancements to the governance framework of the foundation and included an action plan for the implementation. We
adopted what we call a two stage approach, where we first agreed on the broad recommendations—and certainly at this stage those recommendations were agreed on not just by the Monitoring Board, but also by the Trustees—and we decided to work together to implement them. The second stage was to actually flesh out the elements and criteria to make those recommendations operational, particularly with regard to expanding the Monitoring Board's membership and to start periodic assessment of membership eligibility.
So for the past year we have been working on the development of an evaluation process and assessment of the criteria for qualifying for membership of the Monitoring Board. This was finalized in the press release I referred to that was issued after the Monitoring Board meeting in February this year.
Again, I don't want to go into the details, I just want to refer to the fact that the most important element of this work was the criteria for membership. First the press release says that a Monitoring Board member must be a capital market authority responsible for setting the form and contents of financial reporting in a jurisdiction. The criteria then go on to say that a member should demonstrate its commitment to the "use of IFRSs" in its jurisdiction capital market and also be participating in the funding of the Foundation. So the first important elements are the "use of IFRSs" and also participating in the funding. Then the press release goes on to say that in order to demonstrate that the jurisdiction is indeed eligible with regard to the "use of IFRSs" it has to make "a clear commitment to moving towards application of IFRSs and promoting global acceptance of a single set of high-quality international accounting standards as the final goal, and that the commitment is evident by the jurisdiction's mandating or permitting application of IFRSs to consolidated financial statements of companies raising capital in the relevant market, with the effect of actually exhibiting prominence of IFRSs application or having made the decision on the transition to such a status to take place in a reasonable period of time."
Now, this is already very long, so I will skip some other elements which are still important, but in the interest of time, I will just go on to say that for this purpose, the Monitoring Board has developed some quantitative and qualitative elements in consideration in making this assessment of eligibility and has also established a process for assessing the existing members against the criteria, every three years, starting in 2013, which is this year. The Monitoring Board anticipates completion of the assessment, and also in addition to this, adding new members with, of course, an assessment of those new members against the same criteria, and completing this expansion in 2013.
Now, of course, this morning at the Monitoring Board we agreed that we will start this process immediately, and we will have a dedicated task force at deputy level to carry forward the work. And we will be opening a process for nominating interested parties for membership in the Monitoring Board. I repeat that, of course, the memberships will be limited to capital market authorities responsible for setting the form and content of financial reporting in their jurisdiction, but there will be an open and transparent procedure for application. First this will apply to up to four additional members primarily from emerging market jurisdictions, and then there will be a parallel but separate process of having two rotating seats in consultation with IOSCO (International Organization of Securities Commissions).
So, at the end of this process with the target of the end of this year, we will have up to six new members in addition to the five members we have currently in the Monitoring Board. So we will have a more inclusive and expanded Monitoring Board as early as from next year on.
This is basically my report on the most recent developments at the Monitoring Board. We have started this process of enlargement and we certainly would like to ask, of course, for the full understanding and cooperation of the Trustees to make this happen in an efficient and smooth manner. I'm of course open to any questions that you may have now or later. Thank you very much.
Prada: Thank you, Masa. This is obviously an extremely important and significant development as a follow up to the review that took place a year ago. We do not have to comment on the evolution of the body that monitors us, but may I on behalf of the Trustees say that we are certainly impressed by the evolution that took place and are very happy with the orientation that has been adopted. Having said that, are there any questions or comments among members of this presentation on the evolution of the Monitoring Board?
Chair: If not, I can certainly go on to the second part of my presentation…so with your indulgence…I spoke about our most recent press release, but to have this operational we do need to make some changes to the Charter of the Monitoring Board, which we agreed to do this morning at the meeting of the Monitoring Board. Second, we also need to revise the Memorandum of Understanding (MoU) between the Trustees and the Monitoring Board to enable those changes and to incorporate some important elements of the common understanding we reached at the time of the issuance of the Governance Review Report between yourselves and the Monitoring Board. So, if I may, I would just like to very quickly introduce what the changes are. I hope you do have before you a note indicating those changes to the Charter.
First, of course, there are some very technical changes in the wording, that is, since this document dates back several years, we have IASCF as the name of the Foundation, whereas we have to change this to the IFRS Foundation. And then there are some wording changes that we need to make to the preamble in line with the Governance Review Report which would not be material.
Apart from that, what is important, of course, is to provide a reference to the Governance Review Report at the end of the preamble. We said that "having regard to the IFRS Foundation Governance Review and in pursuit of constituting an effective and sound governance structure found the activities of the foundation," which is an additional line in the preamble.
If you go down the document, there are some elements from the agreed governance review that found their places in the MoU, one of which I will explain in more detail later. With regard to the IASB Chair selection, it very faithfully tracks the agreement reached in early 2012 on the role of the Monitoring Board with respect to this process of selecting the IASB Chair, and it makes it very clear at the outset that the IFRS Foundation Trustees have the ultimate responsibility for selecting the IASB Chair and there should be no attempt to undermine this authority or responsibility in any way. For the sake of transparency, and also accountability, the trustees will agree with the IFRS Foundation Monitoring Board on a set of criteria for selecting potential candidates, which will be documented and made public, and so this part has to be made operational.
Then the press release goes on to say that the Monitoring Board will submit to the Trustees its assessment of a short list of candidates against the criteria for the Trustees' reference. I do need to elaborate on this point, because when we agreed upon this language back in early 2012, there were very active discussions of what this exactly meant, and I would say that the reason why we have, at the outset, this line mentioning the ultimate responsibility for selecting the IASB Chair is precisely because, while it would certainly be helpful to have the opportunity for the Monitoring Board to present an assessment of a short list of candidates against the criteria—and against the criteria is also important because the Monitoring Board does not have any discretion in providing its views except with regard to beyond what is agreed in the criteria—and then it is for the Trustees' reference, meaning that the Trustees will make an independent decision having heard the assessment of the Monitoring Board but without any further intervention or interference. This is why we have this language here, which has been carefully crafted.
Now, going on to the next subject, very quickly, there is another point which was in the Governance Review report and a faithful reflection of what was there in terms of reference to agenda items. If you look at article 3, paragraph 10B, subparagraph ii, the existing MoU already says that first, of course, the Monitoring Board may and will refer accounting issues to the Trustees and the IASB Chair, but then we just elaborated on this by saying that the Trustees will work with the IASB to ensure these issues as referred to by the Monitoring Board are addressed in a timely manner. And if the IASB determines that consideration of the issue identified by the Monitoring Board is not advisable or that the issue can not be resolved within the time frame suggested by the Monitoring Board, the Trustees should call on the IASB to take all reasonable efforts to consider the issues in a manner that is consistent with the public interest, taking into account the protection of investors and call on the IASB to explain its position to the Trustees regarding the issue, including a demonstration to the Trustees and Monitoring Board that adding the matter to the agenda would be inconsistent with the standards and responsibilities established in the IFRS Foundation Constitution.
This is really a safeguard against any undue intrusion or intervention from the Monitoring Board on the responsibilities and authority of the Board in actually setting its agenda. Again this was another point that was debated at great length and in depth not just by the Monitoring Board but by the Trustees back in 2011 and early 2012, and we crafted this language so there is full respect given to the independence and accountability of the IASB and the proper role of the Trustees in overseeing the standard-setting process, and that the Monitoring Board will take a very limited role in referring to the agenda items. But having said that, of course, we think and we agreed that such formulations—not just with the agenda recall issues but also with regard to the selection of the Board Chair—would be a most useful way to establish a working relationship among and between the three layers of governance that this Foundation treasures and that will be maintained in the future. So, these are the main elements that required changes in the MoU.
Just for your information, in the Monitoring Board Charter, actually we made some changes incorporating what I just described as the membership criteria for the Monitoring Board, so there will be a fairly elaborate description of the membership criteria and the assessment process, and also there will be an appendix listing the organizations, which will be a significant expansion of the existing Charter. I repeat that this Charter was in principle agreed upon this morning at the Monitoring Board and so was the draft before you with regard to this MoU as well.
Now, my request to you today is not to make this a final document today, but at least we would like to have your broad agreement on what is contained in this as the proposed MoU and, of course, we will have probably a short written procedure to confirm it and make some editorial changes if necessary, and there may be some minor editorial changes required in the sentences or some places in the document. So, what I would like to have from you is, of course, your reaction, and we would certainly like to move forward on this basis as quickly as we can with your consent.
Prada: Thank you very much, Masa. We fully appreciate all the presentation and comments you made, which are self explanatory. It's true that we received this paper quite late and a few of us are new to this organization, so we may have to look into it in a deeper way, but I open the floor to questions or comments. I see Bob.
Bob Glauber: Thank you very much, Chairman Kono, for the elaboration and clarification you gave in your comments about the MoU. As you said, it embodies a three-layer structure that has been very carefully developed, in which the top layer is the Monitoring Board, the second layer is the Trustees, and the third is the IASB. By my understanding the essence of that three-layer structure is that the Monitoring Board has direct authority over the second layer and provides input, as you pointed out, but does not have direct authority over the third layer, which is the IASB. So in that context I'm glad for your amplifying comments on section 9A, B, and C, as well on 10 B ii 2, the latter being the issue of agenda input.
I interpret from your comments to mean that we have a responsibility to comply with your agenda input or to explain why not—why they are inconsistent. As regards section 9, which is the selection of the IASB Board, my understanding from your comments is, in essence—and again subject to a sort of words missing of detailed words—that section 9C would give the Monitoring Board the authority to make assessments but that this does not constitute a veto over a choice. I think that is an important distinction, but I take it that that is the correct distinction. I would appreciate your clarification.
Chair: Thank you very much, Bob. I will confirm on record that this paragraph on 9, C, does not allow the Monitoring Board to veto against it. I think either to approve or disapprove is within the authority of the Trustees, the Monitoring Board will present its views in this form, but it is up to the Trustees to decide.
Glauber: Thank you very much for your clarification.
Prada: Any other questions or remarks on this presentation? Well, I see none. Thank you, Masa. We will follow up as you proposed: we will see whether it needs any detailed fine-tuning as speedily as possible to
finalize this important piece of broad picture.
Chair: Thank you. I did fail to mention one important point, which is that this draft Memorandum of Understanding is not for immediate release today to the public because it is a working document and it is going to change. So those stakeholders who are either present or looking at this meeting with strong interest, I need your indulgence to let us clean up a few editorial points and then of course this will be for the public to review.
Prada: Thank you, Masa. This is extremely useful. Does this complete your presentation?
Chair: Yes, thank you.
Prada: Thank you. Now we can move to the next item on the agenda, which is the update on IASB developments, including the IASB and FASB convergence project, and I would like to give the floor to Hans Hoogervorst.
Hans Hoogervorst: Thank you, Chairman. We provided the Monitoring Board with ample written information but I would like to highlight a couple of issues: the IASB is in a situation of big change; the era of convergence is coming to an end; the big projects are being ended, hopefully most of them by the end of this year; and the way we work with our constituents around the world is also changing.
The last years have been dominated by a bilateral relationship with the FASB as we were coming to a convergence on the big project.
We have engaged in a new way of working. We started this week with the first meeting of the Accounting Standards Advisory Forum (ASAF). I think it was a very good meeting, with twelve standard setters and regional bodies from around the world.
As I said, we are moving form a period which was dominated by bilateral relationships, especially the one with the FASB, we are now moving to a period where we want to work together with all our constituents around the world. We brought twelve of them together in a room and I think we had excellent discussions on a variety of issues, especially on the Conceptual Framework. I believe that all of us found it was a very good experience, that the quality of discussion was very high, and that it represents a new era for the IASB and the way we work.
Another expression of our renewed inclusiveness with our constituents around the world is that we opened a regional office in Tokyo, the Asia-Oceania Regional Office, which is expected to serve as an important regional hub. This office started working a couple of months ago and is rapidly gaining speed.
What is, I think, especially important to the Monitoring Board is that we want to have more emphasis, or a more reasoned way, of assessing the effects of our work: that we have a better analysis of what our standards bring to the world. We already do that with every standard, but in a bit of a haphazard way and not in a sufficiently objective way. We have put together a working group which is going to meet for the first time on May 20 this year to put together a better way of analyzing the results of our work.
Obviously, what we try to do with all our standards is to improve economics to give better insight into economic risks and to give a better reflection of the actual economics behind accounting, and we hope that this will lead to better capital allocation. I think I can best demonstrate that by discussing briefly the important projects that we are still working on together with the FASB.
First, Revenue Recognition is an extremely important, top line indicator of the performance of a company, and I think it is unbelievably important that we have full convergence with the FASB. We are very close to finalizing the standard and it will replace standards in the United States, which has an extreme amount of application guidance, and it will replace standards in our part of the world, which does not have sufficient application guidance. I think it's really a crown on our convergence work that we have been able to stay completely converged with the FASB and that we got a converged solution for the top line.
Another area where we have stayed completely converged with the FASB is Leases. Here, we really provide the investor with better insight into the actual economics. This crisis has, to a large extent, been caused by excessive leverage in the system, and we all know that there is a lot of off-balance-sheet financing going on through leases. We want to get it on the balance sheet to provide better insight into the actual leverage that companies engage in. To give you just one indication, it has been estimated in academic research that on average, leases lead to an underestimation of long-term financing of about 20%, and that is a lot. It is very important that through this project that we get it indeed on the balance sheet.
Obviously, Impairment is also extremely important. I think that both FASB and IASB recognize that our current standards, the incurred-loss model, lead to an underestimation of risk on the balance sheet of financial institutions (banks) and that is why we have been working since the financial crisis to get a better model, an expected-loss model, which gets a better reflection of actual economic reality and of the risks that banks have on their balance sheet.
Unfortunately, in July last year, the FASB and IASB drifted apart on this issue. Although we had a converged approach, we didn't have a complete solution, and there were concerns by the FASB that it would be too complicated to apply and that it would also not lead to a sufficient amount of provisioning. The boards have been working separately on their own models in the last couple of months. Both boards have now exposed their models and we have agreed in the comment period, however, that we have a big overlap, and we have agreed to come together to discuss each other's models and to see if we can get closer together. I am still hopeful that we will get at least a lot closer together. It is doubtful that we will reach complete convergence, but it can still happen; lets see what we can do.
I would really recommend the securities regulators here around the table to take a very close look at this. Until now, it has been especially and very understandably the prudential regulators who keep a close eye on this project. They look at it from a prudential point of view, primarily with the question of: does it lead to a sufficient amount of provisioning? But, of course, there is also the question: does the impairment model truly reflect the economic performance of a bank? A model can lead to fantastic provisioning, but if it, at the same time, leads to possibilities of earnings management or completely clouds the true economic performance of a financial institution that would not be in the interest of the investor either, so I would really urge securities regulators to get involved in the discussion.
Then finally some words on Insurance. This is not an official convergence project between the FASB and IASB; nevertheless, we have tried to develop models that come very close together, and the common denominator of our models is that they will lead to a current measurement of the insurance liability. Insurance is all about the time-value of money, at least it is extremely important, and in many parts of the world, currently the insurance liability, especially life insurance, is not measured with current interest rates, which has the consequence that insurance companies show their insurance liability using the historic interest rates of, lets say, ten years ago—obviously they are not showing the true risks that their portfolios have, and although there are differences between the FASB model and the IASB model, we both require insurance companies to measure currently. It's a huge improvement and is something that makes many insurance companies nervous because it does bring a lot more transparency, and obviously the current climate of low interest rates is very difficult for insurance companies. It is an issue that leads to a lot of discussion, where not every insurance company is happy with the way we are going, but it is extremely important that we get this done. We are very close to a final exposure draft and we hope to publish that in the next couple of months.
Finally, a few words on our new agenda. People have asked us that when we have finished with the four big standards, for the time being, to stop issuing wide-ranging standards. They want us to consolidate the standards as they are, but they have asked us to pay a lot of attention to the Conceptual Framework, of which we currently only have Chapter 1 and 3 revised. There is still considerable uncertainty about the conceptual foundations of our measurement bases and the big question of performance: what is the meaning of "Other Comprehensive Income"—nobody really knows what it means—and they've asked us to rewrite the Conceptual Framework in that respect and to try to come up with clear answers.
Now, the ASAF, which I've just talked about, is going to be our consultative group on this issue. There's a lot of expertise in the ASAF, and those who followed the discussion on Monday and Tuesday may have noticed that the quality of the discussion was very high. It is not immediately so that this group gave us all the answers to all the difficult questions—asking the difficult questions is very much easier than answering them—, but we really feel that ASAF is going to be a very good consultative group to discuss these issues with.
And finally, we are doing some smaller standards that are of particular importance to our room of constituents around the world, for example IAS 41 Bearer Biological Assets, which is very important in parts of Asia and also in Latin America, and we have already progressed a lot on the way to issuing a new exposure graph on that issue.
This is my introduction, and I'll be happy to take any questions.
Chair: Thank you very much, Hans. I would like to invite now comments and questions, and I have Mr. Barnier on my list.
Michel Barnier: Thank you, Masa, and good morning, to everyone. Thank you for this very useful review of the IASB's current projects and activities. We'd like first to make a comment on convergence.
In particular, convergence on the financial instruments stands out. Convergence remains an important objective which the EC supports, and I agree with you that timely completion is critical. IFRS 9 has been delayed, but it must be now completed as soon as possible because sound loan loss provisioning is critical for financial stability and market confidence. You spoke about the two boards, the IASB and the FASB; they have now published their own proposals on incurrence. I am happy to hear that you are confident, and that you expect the boards to sit down together. Let' see what happens.
I want to make a comment on the point you made about effects analysis. I welcome the creation by the IASB of a working group to develop a methodology for field tests, and effects analysis. As you know, this is an important issue for the EU and we have advocated this for some time already. In the EU we have generally strong procedures and requirements to carry out impact assessments before each new legislative proposal. And I think it is a good practice. I look forward to seeing the results of the work of the group. My staff will actively, as usual, participate and share experience with the group. F5 will also contribute to develop the expertise and they published last year a paper on considering the effects of accounting standards.
Finally, I will make a short comment on long-term investment. From my side I would like to draw your attention, dear friends, to the Green Paper on long-term investment by the European Commission published a few days ago. It is also the agenda of the G20 or OECD, and it will open for comments from stakeholders during three months. This paper aims to stimulate broad debate about how to foster the supply of long-term financing of the European economy; in particular how to improve and diversify the system of financial intermediation for long-term investment in Europe. The green paper asks questions on the impact of accounting standards on short-termism financing, in particular where the stakeholders believe that the use of fair values contributes to short-termism in investor behavior. As you know, I'm convinced of the link between accounting-standard setting and wider public interest, and I encourage the IASB and Trustees to closely follow this debate. In this regard, Hans and Michel, I want to thank you, and I welcome the stakeholders' event on the long-term investment organized two days ago with this ICAEW. Thank you.
Chair: Thank you, Michel. Would others like to comment or ask questions? I see no-one. Would Hans like to respond?
Hoogervorst: Well, first of all, I am confident that we are going to finish IFRS 9 and that we are going to finish Impairment. If only because people are fed up waiting for us, I'm a member of the Financial Stability Board, and I would like to continue going there without being the scapegoat for the crisis. So, we have to get this done. We know we have to get this done, and I know the FASB is of the same opinion. I'm not completely convinced that we'll get completely converged, but I truly hope that we can get as close as possible. Indeed, about long-term and short-term investment, obviously, as I said before, the prime goal of our work is to improve the economics and to show the economic reality as it is, in the knowledge that showing economic reality will mean that there will be an improved allocation of capital. I gave the example of leases: in the sort term it might be unpleasant for companies to show a lease on the balance sheet. I think it will lead to better decision making. It is not only important for the investor; I also think it is important for management. I think, in a lot of companies, probably not all managers
are aware of the financing that is being done through leases. If we force it on the balance sheet, a lot of companies might come to better decision between either pursuing a lease or purchasing the assets themselves and financing through a bank loan. I think it will absolutely lead to an improved allocation of capital and that it will be in the interest of long-term economic growth. So, we have the interests of long-term economic growth and long-term investment very much at the center of our work.
Chair: Thank you very much. Any other comments or questions on this topic, please? In fact, you mentioned this need for market regulators to come into this debate, and since the Financial Services Agency of Japan is both a prudential regulator and a market regulator, I should be able to provide a certain balanced view, but what I can say as of today is that we truly look forward to further efforts to converge and that we would like to see this project succeed. I think that is certainly a very strong urge from the Monitoring Board and I hope my Monitoring Board members would agree. Greg, please.
Greg Medcraft: I totally agree. To be honest, I find it amazing after all these years that we're still debating about the position of leases: on-balance or off-balance-sheet. I find it extraordinary that we are still debating it. Of course they should be on balance sheet, so good luck. It is incredible, frankly, so I fully support what you're saying.
Hoogervorst: Unfortunately, it's not so incredible—off-balance-sheet financing is very popular around the world.
Medcraft: Yes, very popular—you realize that's how I made my living for thirty years, but now I'm on the other side. It is frankly amazing that this game has been going on for so long, so I applaud your efforts and encourage you and I totally agree. I was saying this morning, that, at the end of the day, the fundamental thing is that a balance sheet should reflect the business model of the entity. What we all know is that we rely on standard setters to actually get it right—that the business model is correctly reflected— and, essentially on the other side, many creative bankers are looking to get around it. I think that's it.
Masamichi Kono: Thank you very much. Oh yes, Bob, please.
Bob Glauber: Chairman Kono, thank you. I'd just like to return for a minute to Impairment. You just made a comment that you have the good fortune to be both a prudential and securities regulator in Japan. As you know, in the United States, we have different regulators. My sense is that over the years, as I've watched this, there have been some differences in viewpoints as
regards Impairment between these two bodies, and I hope that the IASB and the FASB will receive the benefit of both views of the regulators in the United States, and whatever differences exist will be highlighted in their comments. Thank you.
Chair: Thank you very much. Any other comments? Anything from our U.S. colleagues?
Elisse Walter: No, I don't think so at this time. We too wish you luck. We are very much looking forward to the conclusion of convergence on all these issues, and we will be happy to do anything we can to help on that regard.
Chair: Thank you very much. So, if there are no other comments, we'd like to move onto the next topic, which is the update from the IFRS Foundation. So first Yael, could you explain?
Yael Almog: The main point that we would like to highlight today is some of the key progress that we have made on implementing the Strategy Review and the recommendation included in it.
The first one was actually mentioned by Hans, and I would not like to elaborate so much about it, I would just like to say—from the point of view of the Trustees who conducted the establishment of this body in the way it was supposed and expected to work, and then, of course, were responsible for the very sensitive issue of selecting the members—that we had extensive discussions on this and eventually after a very strict process that we have agreed upon and which we have followed very carefully, the group of twelve members was selected.
It is very important to emphasize that this is an experiment of two years and we expect to review all aspects of the working of ASAF, including the membership. We expect also the Monitoring Board to follow carefully the working of ASAF and to provide any comments or suggestions when we come close to the review. Each region had its own sensitivities around the membership and application, and finally the appointment. We hope that we achieve the best solution to start with and, as we said, the beginning looks good. From the point of view of the technical team, and Hans, and Ian, it was a good start.
Chair: Thank you very much. Can I invite any questions or comments on this point? In fact, if I may, I would just like to mention that certainly we look very much forward to the work at the ASAF, and that you have the highest level of professional capacity and talent gathered around the table. You should certainly be an excellent means of enhancing your standard-setting work and having useful discussion also assisting the convergence process.
But if I may, I would like this not to be an exclusive party that is a closed-door discussion between just the members, maybe you could perhaps also give us some hints for any outreach possibilities or any things that you could provide with respect to non-members of ASAF.
Almog: Certainly. First of all the ASAF itself accommodates the possibility of ad-hoc participation of non-members in the case of the agreement of the members and the final decision by the chair. The chair in this case is Hans, and he tends to work very closely, listening to requests both from within and outside the membership of the ASAF.
Second of all, we maintain a very important event that we have annually, the World Standards Setters Event, which will coincide with one of the ASAF meetings and hosts everyone who wants to participate and provide comments.
This is not a culmination of bilateral relationships; they will continue not so much on the formal level but definitely ad-hoc and as needed, so everybody is still in contact with us, and we are launching a research project that will be developed with standard setters according to their preferences, expertise and particular needs.
So all of that leaves all links of communication open and we have also communicated with the IFASS-International Forum of Accounting Standard Setters, which we see as a support group for the twelve ASAF members.
The ASAF members were indeed selected upon the assumption that they serve as links to their communities, particularly the regional bodies which are members of the ASAF.
All of that, I think, makes a clear message both formally and practically that we see this as a non-inclusive relationship with the global community of standard setters.
Chair: Thank you very much. Mr. Barnier…
Barnier: I don't want to take too much of your time, but I will make a short comment on that point.
First, I'd like to welcome the initiative taken by the IFRS Foundation, and I'd like to thank you, Yael, for all the work you are doing to formalize and streamline the relationship between the IASB and national standard setters. I think it's very important for acceptability of the standards to enhance the ownership by national standard setters and I am sure that this Forum will contribute to achieve this objective. I know that it was not easy. It's never
easy to designate an EU delegation in the forum.
The EU is one single IFRS jurisdiction, but it represents 27—in a few months, 28—different countries, and we need to find a pragmatic solution that would reflect the diversity of the accounting traditions and practices in the EU and would give space not only to bigger standard setters but also to so smaller ones. From the Commission's perspective, all applications from EU national standard setters are of equal value and quality. Therefore, we strongly gradualize to a yearly rotation for the participation of these EU standard setters. This is a very important issue for us and I would appreciate your understanding.
Chair: Thank you very much. Who else would like to speak? Yael, no?
Prada: Just to take stock of Michel Barnier's remark, we are fully aware of the question raised and as a Frenchman I can appreciate this remark. We have to be very careful with the way all these things have been organized and designed, and the due process that has been followed. I understand that, at the same time, the EU is considering its own organization, so I think we'll have to look into this in the near future, we are not going to deal with it here. But clearly we are of the view that this is a new organization that needs to be carefully managed and considered, and it is clear that there will be, at some point in time, lessons to be driven on the way it functions.
Chair: Thank you very much. Certainly this must be an extremely important way of enhancing a sense of ownership around the world for a single set of global accounting standards. If there are no other comments on this, may I take the next two topics together? One is the update on the financials and then funding, a very important topic. Shall I invite Yael first, or…?
Almog: We provided a detailed report, and I will just highlight a few points on it. On slide 3 you have a presentation of the summary of the 2012 results, and as you can see, the bottom line of 2012 is that we finished with a surplus of 2.4 million pounds, of which 1.8 is the net operating income and around 600,000 is unrealized gains.
We intend to add this to our reserves but we do not expect this surplus to reoccur in the next year. You can see the key lines in this summary, first of all the contribution line, which represents a gap in the sense that we expected more contributions than were actually collected at the end of the year.
The key shortfall in our contributions is attributed to the development around the U.S. contribution. Primarily, we planned for an uplift but we couldn't realize that. We also have experienced a drop, compared to last year, as several of our U.S. corporate contributors ceased or reduced their
contribution during 2012. In terms of contributions, we have less than we expected to have. But on the operating expenses we did have substantive savings on remuneration—this is the key expense of the Foundation—and we saved around 2.6 millions pounds this year, primarily because of delayed hiring of staff and delay in appointments of Board members and senior staff.
So our plans for next year, considering the existing full head count, is that this saving will not be repeated and, therefore, we are addressing the issue of funding because we need to take stock of the funding gap that is expected over the next years.
As for the expenses, again, we are currently at a level of expenses of just below 50 % of our yearly budget and the Trustees have decided strategically to increase the reserves of the Foundation and to increase the stability of the Foundation over time to reach a 100 % level of reserves.
The other point I would like to emphasize and bring to your attention is on Slide 6, which is the 3 year plan that we have developed in the last month. The main advantage of this is that we can provide to our contributors a forward-looking expectation of what they can expect from us. The key assumption under this program is that the head-count levels are maintained and not increased—this is a change compared to our Strategy Review of last year, which predicted a large increase of human capital. We are not expecting that under the current circumstances. What you can see under this plan is that the total operating expenses line basically shows what would be our expectations for our expenses, that is, we preserve the same plans as for 2012 for the next three years, form 2013 to 2015.
However, our contributions remain the same, at least under the budget, and that means that we have a funding gap that increases. This is the second line in this table. We are doing a lot both at the trustee level and the staff level to address this growing gap. To complete that, if we add to this program a structure program to increase our reserves, which is not reflected in this table, the funding gap would be even larger.
So the funding issue is, of course, our first priority and this will lead us to the second item in our presentation. So I'll hand it to you.
Prada: Yes, as you can see, this is a matter of concern for us, and it has been a matter of concern for a few months now. We've had an extensive discussion and a lot of work has been done on the funding of the organization. To remind you, there has been an evolution over time since the inception in 2001 until now. Originally the Foundation was seen as a purely private organization responsible for its own funding through support from the purely private sector. But we quickly saw that this kind of system would not fit the mission of the Foundation and we saw some kind of public support developing with
the private funding and the commercial resources.
Having thought about this issue, the Trustees, when considering the Strategic Review, considered that for the future, as the organization has become part of the global architecture, there was a need to develop and consolidate the publicly sponsored funding and to design a system that would be clearer than the successive layers of decisions made in the past 10 or 12 years.
So the conclusion we came to—and we are going to finalize in a detailed way to present it to the Monitoring Board—is that we should have a three-pillar system, whereby the majority of the funding of the organization be based on publically-sponsored contribution at the country level. We've analyzed all the criteria that could be used to design a fair distribution of the funding between countries, and we came to the conclusion that GDP was probably the best one and the most easily operational one. So that would be a first pillar, and in that case we need to sort out the legal and technical difficulties that here and there raise questions with regard to the contribution of countries. I don't want to mention here specifically countries, but we all have in mind the U.S. issue, because I believe that this is clearly one of these institutional questions that is not easy to deal with, where the starting point is private contribution, of the essence, and moving to a solution where publicly-sponsored contribution would be the rule of the game. I know that a lot of thinking is done with our U.S. friends to try to deal with this. Clearly this is of the essence for the funding of our organization.
Together with this publicly sponsored first pillar, which should be a significant majority of our funding of the organization where we should seek some kind of long-term or medium-term commitment from countries, we would have the privately-provided funding. Here, I have to say that we should consider support from accounting firms, which have been extremely supportive in the past. We have debated extensively on this issue and have come to the conclusion that, contrary to what is said sometimes, there is absolutely no reason why we should not seek support from the accounting firms—we don't see any kind of conflict of interest there. On the contrary, we see a kind of complimentary activity between the firms and us: the firms need good standards to do their job properly, and we need the firms to audit the standards properly. So it's not an odd position or a kind of conflict of interest.
With this in mind, we are considering the possibility to seek more support for funding from the firms, not only the big ones, but also the second- and third-tier ones, so that this will consolidate the situation of the organization. Whether we can seek further private support is to be seen, as it's a little trickier to design.
Furthermore, we would like to clarify the commercial approach to the funding. There are clearly activities where the commercial approach is well founded. When we publish books or whatever, there is clearly a reason why we should seek commercial income. In other cases, it's a trickier issue to look into the issue of intellectual property, because when countries have adopted the standards and provide funding to us, intellectual property cannot be analyzed as if it were a purely commercial kind of thing. So, today, that is an ambiguity with regard to the way we deal with intellectual property, copyrights, and so on, and our relationship with countries, and we are going to work to clarify this and make sure that we have a relevant commercial approach to intellectual property, and then have a clear discussion with countries—either they take the public-sponsored approach or the commercial approach. But we shouldn't be in the ambiguous situation we are facing today.
Finally, and this is extremely important for us, this remains a foundation: it is part of the global architecture, but we need your support. We need the support of the Monitoring Board, and there are mentions of this issue of funding in the constitution of the Monitoring Board, but clearly my personal view is that we need the support of the "leaders" globally to convince countries of the relevance of our system and to convince them that we need their support. I will meet leaders at the G20 level, the FSB, the IMF, the World Bank, and others.
I'll stop there, but I really believe that we need to work with the Monitoring Board in such a way that this framework be globally accepted and even better implemented.
Clearly we ask the Monitoring Board for support and the securities regulators for support, because, as you can see, we are in a situation which is not very good. To be frank, today we have a funding gap—and may I remind you that the data in the annual strategic review that was made public in January or February 2012 foresaw funding that was much more significant than what we are considering today, which means that we have limited resources and, therefore, limited capacity to answer the requirements of all the stakeholders.
Chair: Thank you very much. Before I try to respond to the last point raised by Michel, can I take questions and comments on the financials? We did have a short discussion this morning at the Monitoring Board…Greg, quickly?
Medcraft: Yes, I have a couple of questions. What is the rationale for the reserve base that you want to have?
Almog: You mean the target?
Medcraft: Yes.
Almog: First of all it's benchmarked against similar bodies that work internationally, the FASB, for example, but I think the decision was more or less a decision saying that we need a one-year reserve in case of anything that happens in the economy—we have to be sure that we can secure the staff, and secure the operation of the organization. So the one year target seemed like a reasonable figure that we should aim for.
Medcraft: OK.
Hoogervorst: I have never been in charge of an organization with such a small reserve, especially considering the fact that we are dependant on voluntary contributions. It's quite a precarious situation, so we really need to have 12 months in our bank account.
Medcraft: I'd probably debate whether you need a year, but anyway, the second question I had was in terms of your cost structure. I suppose in terms of asking for more money, I know when my agency asks for more money, normally they usually ask me, "Well, how well are you spending the money we're giving you." We've had to go through reviews by McKinsey and also by Oliver Wyman, in terms of the efficiency of how we spend money. Have you actually ever had the process where you've been externally evaluated in terms of your efficiency and value for money?
Almog: In the last year we have conducted an internal evaluation, we have introduced major changes in our expenses policy, and indeed if you look at the travel expense on Slide 3, which was one of our key focuses, for example, we've had significant savings there and we expect to have significant savings again next year. So these are some new expense policies that are definitely rigorously applied. In terms of our office, I don't know if you have ever visited our offices, but we…
Medcraft: I think your offices are a very good justification as to why maybe you don't have enough money. I would agree. I've seen them, and you don't need to convince me on that point. But in terms of both your proposed reserve level and also in respect to your current expenditure, I guess my suggestion would be that you should think about perhaps having somebody externally review what you think you need as reserves. I mean, we all know part of the reason you recruit an external consultant is actually to confirm what you internally think is the case, but I think it is actually a strong way of defending the position you're put in, both in terms of perhaps reserves and what you're spending today. It's just a suggestion. If I was pushing for more money—having a well-recognized external party review both the reserve proposal and also the idea that you don't have enough money, in other words,
what you input versus output—I think it's something you may want to consider.
Chair: Are there any more questions?
Elisse Walter: Just a comment on what we also discussed in the Monitoring Board. I would encourage further discussion among the Trustees with the various regulators and standard setters in the specific jurisdictions about the approaches to be taken, because it's my view that, for example, arguments to make the contribution in the United States may differ from arguments elsewhere. So I think some further consultation about that would be quite productive in terms of trying to reach the goal that you're setting. And I will say as well, on behalf of the SEC, that we are committed to working with you to try to resolve these problems in the United States.
Medcraft: Sorry, Masa, I had another question.
Chair: OK, Greg.
Medcraft: In terms of the way you pitch yourself, I think part of the problem a lot of the times… For example, the GDP is the indicator you use to suggest how to allocate contributions, but as far as I'm concerned as to why we should have one set of accounting standards, the biggest driver is actually, frankly, in the capital markets. If you're operating across jurisdictions, essentially having one set of global accounting standards obviously facilitates capital markets, which hopefully facilitates economic growth. I'm just wondering why you shouldn't perhaps think about, rather than using GDP, using the size of capital markets as your indicator, because if you think about America, for example, it's the people in the markets who will really probably have the incentive to use accounting standards as opposed to ordinary people in commerce. So it's really a question of why not use the size of the debt and equity capital market as opposed to GDP.
Chair: I'd like to hear any other questions before we hear the response. Sir Callum, do you have a question?
Sir Callum McCarthy: Yes, Chairman. It's just a comment on the question. I think it is important that everybody should realize the extraordinarily uncomfortable position of any trustee of an organization which has responsibilities over extended areas and which relies on voluntary contributions, when there is clearly enormous potential for political decisions to be made on what is apparently obviously an inequal contribution from different jurisdictions and economies. The question that I have in light of that comment is: is there anybody in the Monitoring Board who fails to understand the deep discomfort that I think the Trustees as a whole properly
have about this issue?
Chair: Thank you very much. I will respond to your point later, but can I ask Yael to respond to these questions?
Almog: Yes. First of all, Greg, about your first question, I didn't complete my answer in terms of the expense control that we have. First of all we are subject to an annual external review by the EU because we submit applications for the EU grant. It is a three-year plan but we are subject to an external review every year to continue the grant. They pick any subject they want, and so far we've gone really well with those external reviews. They review things like how we tender and how we auction—any kind of expense on any subject they choose.
The second point is the issue that I mentioned indirectly on head count, it was a very fundamental, strategic decision not to increase our head count in spite of the fact that, as you heard from Hans, the burden in terms of agenda is increasingly high and that it increases all the time. So we need to find creative ways of how to better use staff, of how to better use visiting fellows, all kinds of external arrangements to leverage on what we have and still deliver on time according to the agenda that we have.
So regarding staff, it's a huge effort that we are doing in terms of management of their time, their expertise and how we deal with other provisions. As well as a very elaborate scrutiny on salaries we have an external benchmarking system by which we check and analyze every position in our organization to see what the benchmark is and be careful about not underpaying—because we want to have good people—and not overpaying. Most of the people that do come to the foundation do take a salary cut.
On GDP, in fact, just yesterday, we had an elaborate discussion to revisit the GDP economic indicator as the key indicator to allocate contributions. There were a number of proposals, one of which was market capital as an option, and eventually after close consideration, the Trustees decided to remain loyal to GDP and the reason, particularly with respect to market capital, is first of all the volatility of markets and the fact that we cannot predict—and we need to provide some sort of prediction and certainty to our contributors.
Hoogervorst: We don't like the volatility of fair value.
[Laughter]
Almog: By the way…
Medcraft: I'm sure you could average it out, but anyway…
Almog: There is another issue here, in that we face challenges in the U.S. and we don't want to pick an indicator that will increase our problem, in that sense, it will increase the gap that we will face. We have to be realistic about how effectively we can collect in the U.S. market.
Medcraft: The point I was making—I was really trying to help you—was, in terms of if you're pitching, even to the G20, having a report by McKinsey or Oliver Wyman which actually says this body is fundamentally under-resourced for what its objectives are, can clearly be quite compelling if you're making a case. I'm not really questioning the way you manage the money. I'm saying it's actually a tool to help you achieve your objectives. It's actually what I would do if I was in your situation, because you need something credible, independent, and external to be able to pitch your case.
Prada: That may be a good idea, we need to find some funding to finalize the… [Laughter]
Medcraft: I will say that sometimes you have to invest money to make money…
Chair: Thank you very much. On Sir Callum's point I can certainly mention that this has been a matter of concern for the Monitoring Board. In fact, in this Governance Review report it is very clearly stated that jurisdictions using IFRSs are strongly encouraged to make their utmost efforts to meet expected obligations based on a certain allocation mechanism. It is only that the Monitoring Board refrained from recommending a specific model of funding, but gave strong encouragement for jurisdictions to make their utmost efforts for the collection of funds. So I think your discomfort and concerns are strongly taken note of and it has been certainly an issue for a while now. Of course, we have to make our best efforts to address the situation, and what the Monitoring Board could immediately offer—I think we discussed it this morning in two respects. One is to actually have more active discussion between Monitoring Board members and the Trustees on this issue on a country-by-country basis and actually develop a certain action plan to approach the relevant bodies and other parties to pursue this effort. The second is to bring the issue to the table of the G20 and FSB, and this can be done, since Greg Medcraft—who just left—and I will be attending the FSB meeting later this month and certainly we can raise that as a matter of strong concern. Those two points we can immediately offer.
On the other hand, there were some suggestions for maybe an external review, some closer scrutiny of the numbers, and also some thought has been given to the indicators. If you could take note of those points and in our next meeting maybe report to us on the progress made on that front, it would be appreciated.
Prada: Well, can I express thanks for your understanding and for your support and the fact that you will draw the attention of the leaders to this issue. This is much appreciated. Obviously we will take stock of what has been said around the table and think about this possible analysis of our functioning by an external body. Finally, we will draft some kind of strategic paper for your information so that things are clearly stated and you can build on something that is well detailed and well presented. Thank you.
Chair: Thank you very much. I'm afraid, and this is entirely my fault, that we are running out of time, but we still have a couple of agenda items and if I may, we will just try to cover them in the remaining five to ten minutes. We are already past our closing time and we are starting to lose some members, but if we can hear a report from Mr. Evans on the progress being made by the Due Process Oversight Committee?
Scott Evans: Thank you. I'm happy to do that and I'll be brief. You have Agenda Paper 6, which outlines the activities of the Due Process Oversight Committee since our last update to you in July.
Our principle occupation, in fact, over these past couple of years has been—under the direction of my predecessor David Sidwell—a total systematic review of the due process procedures, which has culminated in the publishing of a new Due Processes Handbook in February this year. It outlines steps to be followed by the IASB and the Interpretations Committee in an integrated fashion in developing or revising IFRSs or IFRS interpretations. Most importantly it fully incorporates, we believe, the due process enhancements that were called for in the Trustees' Strategy Review as well as in the Monitoring Board's Governance Review. It covers such things as consolidating the due process requirements for both the IASB and the Interpretations Committee, outlining the responsibilities for the Due Process Oversight Committee, and the handling of breaches.
Importantly, with regard to Michel Barnier's comments, is the process that we use in the IASB for assessing the effects of a proposed standard, and we do that on the basis for conclusions of the exposure draft, re-exposure drafts, or new IFRSs.
The new Due Processes Handbook also lays out the research program that the IASB plans to implement over the next several years, and outlines the process for narrow-scope items, which helps make room in the agenda and handle things in the appropriate manner. It deals a lot with the interactions between the Interpretations Committee and the IASB itself, and the process for conducting post-implementation reviews. The IASB is just in the process of its first post-implementation review, and we went through that it detail yesterday with the IASB.
Finally, the Due Processes Handbook details the requirements for outreach activities. As we put this in process we tried to use good due process in suggesting our new procedures, so we made them public, we had a comment period and got 51 comment letters, and the new Due Process Handbook was well received.
However, there were a couple of issues that we wrestled with. One was the Due Process Protocol part of our procedures. It is very prescriptive and has a lot of steps. It looked to many people to be overly bureaucratic—too much of a checking-the-boxes exercise. We clarified in the final draft that this is just a reporting tool. We have no intention to over-bureaucratize the process, yet we want to make sure that there is an understanding of the process and procedures which should be taken as we approach any new IFRS.
The second thing that we wrestled with was the question of public meeting. Should the DPOC, in its dialogue with the IASB, meet in public? We wrestled with that one. We all by definition believe in transparency, but we also believe in candor and being able to have tough meetings where we as the oversight body could be quite strong with the IASB. What we decided was that we would keep the meetings private in order to preserve that candor and the tone of discussion, but that we would have extensive disclosure of the discussions themselves, the issues that were debated, and the conclusions that were reached.
We put this into effect over the last few meetings, and it's working quite well, I must say. We've discussed Financial Instruments, both Impairment and Hedge accounting, and the IASB is getting very close to issuing some adaptations of the IFRS resulting in Hedge accounting, which have been closely followed. We went through that in great detail yesterday.
We've discussed Insurance contracts—there has been tremendous work over the years on Insurance contracts, as Hans mentioned. The IASB has done extensive due diligence, including extensive field testing on Insurance contracts, and we've spent a lot of time talking to them about that.
Revenue recognition was dealt with as well. One of the things that we've emphasized to the IASB is to make sure that they detail all of the activities they have—there is a tremendous amount of outreach that goes on, but it's not always documented and reported—and we are trying to make sure, as we oversee the process, that we do a better job of documenting and reporting it. It's already widely available to the public on the website and so forth.
We are satisfied that these matters are being conducting in compliance with the due process procedures. We've had a few suggestions—I mentioned the outreach activities—but things are going rather well. We will continue to do this. There are quite a lot of exposure drafts and re-exposure drafts, and new IFRSs that will be coming out over the next season, and we will be meeting frequently to speak with the IASB about them.
We have also been paying attention, now that we've done revising the Due Process Handbook, to taking up on a more extensive basis our obligation to monitor the effectiveness of the various bodies that the IASB has: consultative groups, and things like the Advisory Council and the Interpretations Committee.
David Sidwell, who is my predecessor, and I have attended several meeting of the Interpretations Committee, Advisory Council, the XBRL committee, for example, to monitor the effectiveness as observers. We just decided yesterday at the DPOC to extend this tradition of visiting the consultative groups once a year to monitor their effectiveness. We have to annually review the competition and make sure there is good dialogue with all appropriate parties.
The final thing I will mention is our obligation to respond to any correspondence we get on concerns about our due process, and I'm happy to report that since our last meeting we haven't received any correspondence. With that all closed, I'd be happy to take any questions.
Chair: Any questions or comments? If not…certainly we appreciate very much the hard work you've been doing and we understand that there is a lot of progress, but we would like to of course encourage further work in making this really a firm pillar of the work of the Foundation all in the spirit of having a proper standard-setting process. Thank you so much.
Now, we have the profiles project…yes, please…
Almog: You have the papers in front of you containing two examples and it speaks for itself. All I want to add is, first of all, that we hope that this project will help us, as well all our constituents, to better understand how IFRS are applied around the world, and to get very good, reliable information about the status of each country.
We hope that the database in our website will create a credible and very useful tool to learn about and examine IFRS progress around the globe. The one point that I would like to raise is that we are working very hard to make sure that this information that is included in our website is accurate and reliable. For that purpose we have many partners that we want to outreach to help us on a consistent basis, and I specifically want to seek the assistance of IOSCO on that. It is a group that has a lot of accumulated information on that topic and has been helping us quite importantly, but we would further like to reinforce and re-strengthen the relationship around this project. I communicated with Julie Erhardt from the SEC, which chairs C1, to see how we can formally enhance this cooperation on this project.
Chair: Thank you very much.
On this last point, Greg Medcraft has left the room, but Jonathan Bravo from the Secretariat with certainly bring that back. As you mentioned about IOSCO Committee 1, we have been certainly exploring ways of supporting your effort and also to work towards more collaboration. This morning at the Monitoring Board as well there was some interest expressed in terms of taking advantage of this profiles project, and certainly to paying more attention from the official side to what we see on the radar screen, and then of course maybe use this side either as a basis for more collaborative work on funding or on matters of membership of the Monitoring Board, etc. This is extremely useful information that I hope will become available in a very clear form. So we wish you all the best and further encouragement.
Prada: Thank you very much. Do I see flags? Oh, yes, Jeff, please.
Jeffrey Lucy: Thank you, Chairman. In that regard, I'd just like to perhaps emphasize the issue of consistent application. This is something about which we are in dialogue, as you know, with IOSCO, in particular Standing Committee 1, but there is a database and other material that SC 1 has in their armory, and I think it would be particularly thoughtful if we were able to have access to that information.
If I might just make an observation in respect of your press release—where I think you quite appropriately highlight the fact that you have an interest in application of financial reporting standards and indeed the discipline of those, and I guess, the enforcing mechanisms—, it would be useful in further iterations of such a document if the issue of consistent application was perhaps highlighted as an important ideal as well as simply the enforcement of it.
Chair: Thank you very much. That was an extremely important point. We'll certainly take note.
If there are no other comments or questions… well, you have a word…
Prada: Thank you, Masa. Just to mention that, in the public session, this is the last meeting for our good friend Noriaki, who is retiring. We paid tribute to his contribution to this organization, but I wanted to do it in public.
Also, I would like to welcome Heidi Miller, who attended this meeting for the first time. And I thank you, Masa, for your chairmanship and good remarks.
Chair: Thank you. I actually I did have one more remark to make… but can we still applaud our colleagues? [Applause]
Actually, since we have run out of time, the last word that I have for you is that, recently it has been pointed out by our stakeholders that there is ample room for improvement in the transparency of the work of the Monitoring Board, and I can certainly mention that we are strongly committed to transparency.
We will also find a way of speeding up, for example, the publication of transcripts and minutes of meetings. In other respects, we will be exploring means to improve the transparency and accountability of the Monitoring Board as part of the implementation of our Governance Review. So, I'd just like to say that we are firmly committed.
Thank you very much, the meeting is adjourned.
|
Members & Friends
Since 1951, PRGC continues to promote tradition, & commitment to outdoor sports; hunting & fishing, education & fellowship among its members.
NEWSLETTER
March 2022
Upcoming Events & Important Dates
Tues. March 1st @ 7:30pm General Membership Meeting & ELECTION OF OFFICERS
Annual Member GAME DINNER
Sat. March 5th @ 6:00pm Annual Member Game Dinner
Sun. March 13th @ 8:00amForestry Work Detail
Sun. March 20th PRGC Hosting Eastern CT Skeet Winter League Spring Handgun Fest Spring Handgun Fest
Tues. March 29th @ 7:30pm Executive Board Meeting
Tues. April 5th @ 7:30pm General Membership Meeting
Sun. April 10th @ 8:00am All-Hands Spring Clean up
Sun. April 24th @ 7:00am 3D Archery Event
Tues. April 26th @ 7:30pm Executive Board Meeting
Sun. May 1st @ 7:00am 3D Archery Event
Tues. May 3rd @ 7:30pm General Membership Meeting
Sat. May 21st @ 10:00am PRGC Open House/Membership Drive
Tues. May 31st @ 7:30pm Executive Board Meeting
Virtual Meetings
http://global.gotomeeting.com/join/214289117
PRGC hosts Executive Board & General Membership meetings using GoToMeetings.com. This style of hosting will be used for information purposes & attendance quota. If you participate via call-in or web link; any matter that comes to a vote, your vote will not count. (However, this topic is included in the current bylaws proposal) Join meetings from a computer, tablet or smartphone
Join meetings by dialing in United States (Toll Free) 1-877-309-2073 or 1-571-317-3129 Access Code: 214-289-117
COVID NOTICE
$10/member • Refundable for Attendees
Saturday March 5th at 6pm
Urging members they put it towards the raffles that evening.. BYOB Jim Schaefer Pheasant Committee Chair 508-414-7330 Robert Emmons Kitchen Committee Chair 386-546-1751
Pheasant
Our Annual Pasta Dinner on 2/19 went great, 150 tickets sold, 30 take out. Tons of raffles and prizes. The event brought in $2666 in profit. Many thanks to everyone that helped in preparation and during the event: Dave Estabrook, Jack Rapo, Scott Weaver, Chad Hart, Dave Payne, Leo Berube, Dave Kelly, Bill Ireland & Family, Peter Germano, Robert Emmons. Also Mike, Kris, Karen, Ron, Logan, Rob & Heather. Another thank you to everyone that donated prizes for the raffles, including Mike Kelly for some beautiful hand crafted pieces, and Sean for donating a bottle of scotch that was auctioned off for $200. Thank you Lance and Morris for running the raffle for the event, and everyone that sold dinner tickets and came out supported the Pheasant Committee & PRGC. -Jim
PRGC OPEN HOUSE
10:00a.m. - 2:00p.m.
May 21st 2022
10:00a.m. - 2:00p.m.
Celebrate 70 years & Membership Drive (Rain date May 22nd)
VOLUNTEERS NEEDED TO ASSIST EACH COMMITTEE Other needs include: Hall displays, ear & eye protection, guns, ammo, paper targets, bows/crossbows, arrows/bolts, kids' fishing poles
All-Hands Spring Clean up
Due to the recent rise in Covid positive cases in the area, we urge all members with highrisk conditions or those with high-risk families at home to be smart, stay home and stay safe! Anyone with any symptoms or recent illness please help protect other PRGC Members. We appreciate your patience as we work through this difficult situation and more details will follow. Please monitor the PRGC website for current information & announcements.
Rain date Sat. April 23rd @ 8:00am
NEW DATESun. April 10th @ 8:00am
Contact Glen Curtis @ 860-207-4079 // email@example.com firstname.lastname@example.org • pomfretrgc.org • Physical address: 226 River Road, Pomfret Center, CT 06259
POMFRET ROD and GUN CLUB
– March 2022 –
Updated 2/28/2022
Committee Dispatches
Education
Archery
Womens' Basic Firearms Training
2022 3D Archery Schedule: April 24, May 1, September 18 & 25. Registration 7am-12pm. All score cards in by 2pm. Entry fees $10 (16 & up) $5 (13-15) 12 & under Free. 3D books are available. Check the racks at the clubhouse, Brooklyn Trading Post & Bob's Archery in Webster, MA. - Glen Curtis 860-207-4079
PRGC is pleased to offer members & their guests the opportunity to participate in various educational seminars, workshops and training courses.
Training will include evening classroom and the Pistol Range. The evening sessions are planned for Tuesdays, and the range sessions are targeting Wednesdays, Fridays and/or Saturdays to offer a flexible schedule for interested women. [Dates and times TBD based on attendee interest] $30 person. 4 students minimum – 10 student max.
Chainsaw Skills "101"
Background: Many women relatively new to the area of defensive firearms are uncomfortable in large group/formal training settings and seek to be able to learn at their own pace, ask any questions they want, take things slowly and build competence and confidence step by step for each person. This training is designed for this purpose, known as "performance based learning" in which each student can enhance their own performance at their own level, with the tools they have, etc. The sessions being planned are geared specifically for enhancing individual performance. No License/No Certifications: No training or certifications are needed nor will this training qualify you for any type of certification. Firearms & Equipment: If you do not own one yet, no problem we can provide all your will need including ammunition for the live fire sessions. If you own one but are truthfully not sure it is right for you, this education will help you with that as well.
Learn to use your chainsaw the right way from our member Matthew Quinn. Matt is currently a supervisor for CT DEEP and has been with the Dept. for 23 years. He is a National Wildland Fire Fighter who has several dozen deployments to major forest fires in the last 22 years. He currently holds a USFS rating at Task Force Leader, Incident Commander Level 4, and Fireland Paramedic. He is a sought after Recruit School and Sawyer Instructor, Licensed Arborist, & skilled climber. Matt is a licensed State of CT EMT-Paramedic & is a wilderness first aid / CPR instructor. Details: There would be an Indoor session in the Clubhouse with PowerPoint and discussion covering: PPE, Safety Plan, Medical Treatment, Site Location, Closest Medical Facility, Chainsaw maintenance overview: Effective Chain sharpening, Air filter, Bearing and Sprocket, Bar maintenance, Tree Felling Techniques: 5 Step Felling Plan, Bucking Techniques, Q& A. The Outdoor Session is planned for a clear Saturday morning in March, from 8am – 12pm. The curriculum will be all hands-on, learning by doing and include: Medical talking points, Cutting Techniques utilizing felling procedures, Bucking, and Spring poles. Attendees must bring: Chaps or anti cut pants, Safety glasses, Hard Hat, Chainsaw with operating chain brake, Preferably 2 sharp chains. Cost: A donation to the PRGC Forestry Fund would be appreciated.
11am – 2pm for IG/RSKTKR-qualified trainees and guests. Instructor Gregory "Cruz" Grutter and assisted by IG-RSKTKR-Qualified, USCCA Instructors. Learn from Cruz's real life experience and the nationally recognized United States Concealed Carry Association (USCCA). This training session will review and practice the fundamentals and then focus on effective movement techniques. As always, the focus is on safety, effectiveness and our foundation for citizen selfdefense,"Tactically Sound, Legally Defensible, Socially Acceptable". Members who are interested in learning more about the training are welcome to attend to observe, ask questions and learn more. Cost: IG regular tuition & $20 range fee for guests. No cost for members who wish to observe.
Spring Handgun Fest: March 20th, at the Pistol Range.
PRGC Education Committee Guiding Principles
Knowledge: Assist in enhancing the value of being a club member and using the Club by learning more and building skills related to outdoor sports and recreational use of firearms.
Safety: Provide training and education for the safe use of firearms, woodcraft skills and first aid. Also support improving member knowledge and skills in tactically sound and legal use of defensive force.
Engagement: Foster and build a collegial and friendly bond between members by increasing the sharing of skills, experiences and know-how. We also plan to implement programs to build interest and engagement with younger outdoor enthusiasts (e.g. members' children and guests) and we will be providing updated content for the Monthly Newsletter.
- The content & information provided is for informational & educational purposes only.
Take our survey! Please let us know what you are interested in & we will look into it for you.
- Each course &/or instructor may require signing of release forms & other documents.
- Some training courses offered by professionals/experts may require the payment of a tuition fee to the instructor, which may at times include members. (PRGC works to obtain onsite, no-cost & discounted services to maximize the value for members)
- No recordings (audio or video) may be made public in any way without prior written authorization (e.g. posted to a web site or social media, etc.),
- Guests will sign the required forms including the Club release form if using any range or the property and pay a $20 range/facility fee.
- Members will provide the Club Education Committee Chairman feedback and input to help improve our curriculum & training operations.
- They and their guests, if any, will assist in cleaning up the range or facility being used.
NOTE: All training sessions are subject to change based on interest levels, weather and other relevant factors. All members interested in training must notify Chris Coyle email@example.com or 203-360-2084
Newsletter
Based on member feedback & survey responses, the Executive Board voted on 2/22/22 to continue mailing the club newsletter indefinitely, while continuing to offer an electronic option for those members that would prefer to opt out of a hard copy. To change your Newsletter delivery preference, contact Sean Hall 860-634-2437 firstname.lastname@example.org.
Forestry
Fish
Work Detail Sunday, March 13 from 8am - Noon, weather permitting Contact Morris 860-933-5597
Don't go out on the ice, it is starting to open up. Stocking soon. -Ted
There were 17 surveys collected from 2021 hunting seasons, 11 slips out. 6 deer taken (2 archery & 4 shotgun) 3 turkeys. Planning some signage and boundary marker replacement, pending budget. -Kris
Gamekeeper
Indoor Pistol
Range open 9am-9pm Wednesdays, Thursdays, Fridays, Saturdays, Sundays & holidays $2 for 5 targets, Lead only, less than 1300FPS no jacketed bullets. Range took in $62 last month and $87 the previous. -Mike
Rifle
We will be having a Free Outdoor Range Orientation Event that includes an Intro to Plates & Pins. Date/Time TBD, possibly a Sunday in March/April. Stay tuned. 2022 trapping books are printed, check the clubhouse or contact Neil 860.564.5105
Skeet/Trap
PRGC will host the Eastern CT Skeet Winter League the 20th of March. Due to the matches the Center Skeet field will not be available. Shotgun Sports Introduction last week was a success, we had a dozen attendees and new shooters. We're planning another similar event towards the end of May. A reminder, fees for use of fields & 25 targets are $3/member $4/guest. -Bruce 860.928.5742
Merchandise
We took in $120 for merchandise sold at the Pasta Dinner. Lots of great ideas and feedback on what products to put our club brand on, but we'd like to hear from you. Submit requests to Logan Burton 508-243-5030.
Membership
Welcoming our newest PRGC Members Matthew Kruger • Sylas Blanchard • Carol Csaszar Christopher Debski • David Estabrook • Chad Hart Jacob Jurnovoy • Jorge Leon • Franklin lowe • Kyle Racine Jack Rapo • Scott L. Weaver • Wyatt Weaver
PRGC is accepting new member applications & membership renewals, deadline March 1. If sending by mail with application C/O Robert Brooks Membership Committee Chairman P.O. Box 18 • Pomfret, CT 06258
PRGC Members only Facebook Group is live
Search Facebook for: Pomfret Rod & Gun Club Members Only Group or by URL https://www.facebook.com/groups/2330121853790775 This is a private group, only PRGC Members are allowed to join, view & engage. Request access on Facebook by going to the page & clicking join group. An admin will then review before admitting. Contact Robert Brooks 860-208-4517 for more info
|
A semantic features analysis for the Subjunctive mood
Konstantinos Sampanis
Wiener Linguistische Gazette Institut für Sprachwissenschaft Universität Wien
76A (2012): 3-25
Abstract
It is often argued that semantic contrastive pairs (such as e.g. realis/irrealis) are too coarse to capture the distinction between the indicative and the subjunctive cross-linguistically. In this paper, it is suggested that the traditional terms realis and assertion can account for the semantic differentiation between the present indicative, the future indicative and the subjunctive on the condition that these traditional and intuitively "strong" designations are jointly employed in order to give a more articulated description of the semantic properties of distinct temporal and mood verbal forms 1 .
1. Foreword
The grammatical term subjunctive (the sub-jugated < syntactically sub-ordinated mood) implies that the subjunctive is the mood of subordinated clauses (an idea deriving from the antiquity that has been maintained in the modern relevant literature 2 ), despite the fact that the mood can (under certain semantic conditions) occur in main clauses as well. In what follows, I will be discussing the
1 The paper is a modified version of the Chapter 2 of my thesis which bears the title "a diachronic and typological approach to the Modern Greek subjunctive complementation". In accordance with the main topic of my thesis, I focus on the Modern Greek language in this paper as well.
2 Cf. Palmer (2001: 108): "Jespersen (1924:314) noted that one of the functions of the subjunctive is simply that of being subordinate, in that it is typically the mood used in subordinate clauses. It is, in fact, no coincidence that the term „subjunctive‟ is a translation of the Classical Greek hypotaktiké which literally means subordinate. Indeed, in Latin, the subjunctive was increasingly used in subordinate sentences even where there seemed to be no notion of irrealis…". Palmer (ibidem) points out that "however, the subjunctive is also used in main clauses, and its uses there are rather better more simply explained than its uses in subordinate clauses…". In accordance with Palmer‟s statement, I deal not only with the dependent but also with the non-dependent usages of the subjunctive.
semantic content of the subjunctive mood in an attempt to set down distinctive semantic features for the subjunctive mood.
2. The subjunctive as non-declarative: a cross-linguistic characteristic.
The occurrence of the subjunctive mood in main clauses, when these express a special illocutionary force, is a phenomenon which is cross-linguistically attested; For instance, the non-dependent subjunctive can be adhortative:
```
(1) 3 a. (Che) Dio ci aiuti! (Italian) (That) God us help.Subj. b. (Que) Dieu nous aide! (French) (That) God us help.Subj. c. Gott helfe uns! (German) God help.Subj. us! d. God help us! (English) God help.Subj. us! (2) 4 gn-ank' tun! (Armenian) go.1Pl.Subj.Fut. house.Nom. "Let‟s go home!" (3) λα ηνπ ην πεηο! (Modern Greek) na tu to pis! M.Prt. him.Gen. it.Acc. tell.2Sg. "You can/should tell it to him"
```
or prohibitive (after a negator):
3 Examples taken from Giorgi & Pianesi (1997:195) with a slight modification of the glosses. In their German example, I substituted the form "hilfe" (sic) with the form "helfe" of the so called "Konjunktiv I".
4 Dum-Tragut 2009: 239 with a slight modification of the glosses.
(4)
Que personne ne parte! (French)
that nobody not leave. 3Sg.Subj.Pres.
"Nobody should leave!"
(6)
no me hagas enfadar!
not me make. 2Sg.Subj.Pres. anger. Inf.
"Don‟t make me angry!"
Following the few examples above, we can come to the conclusion that crosslinguistically the subjunctive has similar "function" in non-dependent environments, i.e. similar illocutionary force. In the same way, one can observe that the subjunctive does not occur in declarative clauses, i.e. in clauses in which indicative mood surfaces 6 :
5 Tomić 2006: 537, with slightly modified glosses.
6 I will (try to) provide a definition of declarative with regard to the notion of assertion in the next sections. For the time being, let us accept (for methodological reasons) that a declarative clause is every non-dependent clause the predicate of which is in the indicative mood. Circular as this definition may be, it posits a concrete criterion at this point.
7 Cf. Giorgi & Pianesi 1997:194, with modified glosses. I have also corrected their French example: "Jean a/*ait arrivé" (sic).
(Spanish)
d. John has/*have arrived (English)
Hans be
.3Sg.Ind./*Subj. arrived
"John has arrived"
This is an interesting piece of evidence; the subjunctive is not allowed in declarative clauses, where the only mood which can occur is the indicative mood.
It goes then without saying, that the indicative and the subjunctive have different functions because they have a different “meaning”, i.e. semantic
content. Our goal is then to seek out wherein this difference lies.
3. Defining mood and modality
We routinely say that the subjunctive is a mood. But what does the term mood
exactly designate? Before we proceed to the semantic analysis of the subjunctive mood, it is important to provide a concrete definition of the terms
mood and
modality
, given the highly controversial topics in this field of research and the plethora of terms which have been used in a different way by various scholars.
In terms of morphology, mood
is associated with the verbal paradigms
8
. In many cases, e.g. in ancient and many modern Indo-European languages, mood is
understood as a verbal category marked by inflectional affixes added to the stem of a verb. In other languages, e.g. in agglutinating languages, suffixes may
denote what modal verbs or mood endings denote in other languages and therefore mood can be understood as a separate suffix
9
. In terms of semantic
8
Cf. Booij
2
2007: 137.
9
Cf. Göksel & Kerslake (2005: 305, with their glosses):
Ankara-ya git- meli
-yim.
Ankara-DAT go-OBLG-1SG
„I
must go to Ankara.‟
The Turkish verbal form semantically corresponds to an English modal verb+ bare infinitive construction or to a Mod. Greek impersonal verb + na-subjunctive construction (πξέπεη λα πάω...: (prépi na páo) "I have to go"). Even if it dubious whether this category should be called mood or not, it is self-evident that the Turkish suffix, like mood or modal verbs, is an instantiation of modality, which we will examine in this chapter. However, since these forms are part of the verbal paradigm of Turkish, it does not seem inappropriate to call them moods as well. Cf. also Lewis (1967: 132ff) on the so called subjunctive (-optative) in Turkish.
function, mood is considered to be a grammatical instantiation of modality 10.
Modality is not an easy-to-explain term 11 ; In general, modality can be defined as the linguistic facet that "is concerned with the status of the proposition that describes the event" 12 or (in a more precise way) as the category "covering indications either of a kind of speech act or of the degree of certainty with which something is said" 13 . As a matter of fact, modality is better reflected on its subsets 14 :
a. epistemic modality is associated with the speaker‟s degree of certainty or "attitude to the truth value or factual status of the proposition" 15 , e.g. "John may be in his office" 16 or "Mary must have a good reason for being late" 17 ; Coates (1983: 18) puts forward that the epistemic modality "is concerned with the speaker‟s assumptions or assessment of possibilities and, in most cases, it
10 Cf. Giorgi & Pianesi (1997:205): "Following many authors (see, among others Farkas 1985, 1992a, 1992b; Portner 1994) we consider mood to be a manifestation of modality". Cf. also Bybee et al. (1994: 181): "modality is the conceptual domain, and mood is its inflectional expression".
11 Interestingly, even authors who deal with this issue often hesitate to formulate a strict definition of the term; for example cf. Bybee et al. (1994: 176): "it may be impossible to come up with a succinct characterization of the notional domain of modality. Cf. also Portner (2009: 1): "This is a book about semantic theories of modality. I am not too comfortable trying to define modality, but a definition provides a useful place to start: modality is the linguistic phenomenon whereby grammar allows one to say things about, or on the basis of, situations which need not be real."
12 Palmer 2001: 1.
13 Matthews 2005 (= 1997): 228.
14 Since I am not aiming at a detailed treatment of the notion of modality and since there is no unanimity among the scholars when it comes to this term, I make a tripartite classification of modality, employing the traditional (and more familiar) terms epistemic, deontic and dynamic for the sub-categorization of modality. There are of course many different classifications in accordance with the main interests of each scholar (if he/she focuses on syntax, semantics or philosophy etc.); Cf. Palmer 2001: 24-85, Bybee et al. 1994: 176 -181 and Portner 2009: 135-137.
15 Palmer 2001: 24. However this particular definition is employed for describing the "propositional modality", an umbrella term for both "epistemic" and "evidential" modality: "The basic difference between epistemic modality and evidential modality is that with epistemic modality speakers make judgments about the factual status of the proposition, whereas with evidential modality they indicate what is the evidence that they have for it.". Since such a detailed analysis is not decisive to my examination, I will employ the term "epistemic modality" for what Palmer describes as "propositional modality", as it is actually the case in the relevant literature.
16 Palmer 2001: 25.
17 Portner 2009: 135.
indicates the speaker‟s confidence (or lack of confidence) in the truth of the proposition expressed.".
b. deontic modality "is traditionally defined in terms of permission and obligation (Kratzer 1978: 111; Palmer 1986: 96 – 97). In more general terms, however, it may be defined as an indication of the degree of the moral desirability of the state of affairs expressed in the utterance, typically, but not necessarily, on behalf of the speaker." 18 , e.g. "The rich must give money to the poor" 19 or "you cannot enter this room" (it is not permitted).
c. dynamic modality denotes an ability or willingness ascribed to the speaker/subject of the clause (the subject can/is able to do sth. or wants to do sth.) e.g. "That kid can sing like Frank Sinatra" or "Peter is perfectly able to solve this problem if he wants to" 20 . I employ the term in a rather restricted way, including only ability and willingness (e.g. volitional predicates) therein. I consider every manifestation of necessity or potentiality as deontic modality 21 .
Deontic and dynamic modality compile the group of root modality. In the same vein, another definition for root modality is that it comprises the modality instantiations which do not pertain to epistemic modality 22 . This is a useful distinction with regard to the analysis of complementation, given that the +/epistemic feature is considered to be crucial for the mood value of the verb of a complement clause.
18 Nyuts 2006: 4.
19 Portner 2009: 135.
20
Both ex. in Nyuts 2006: 3.
21 Cf. Nyuts (2006: 3) also treats cases of necessity or potentiality/probability as dynamic modality, when the subject of the clause is the cause and the source of the necessity or probability etc. e.g. "I must find a solution for this problem soon now". This distinction is not useful in my analysis because it semantically splits predicates which otherwise have similar meaning, e.g. there is no decisive argument for dividing the modal verb must (when it is not epistemic) in a deontic "he must go to his job" and to a dynamic like in the first example above. Palmer 2001:9 regards deontic and dynamic modality as the two main types of what he calls event modality. In his schema, deontic modality is conditioned by factors external to the relevant individual, while dynamic modality is bound with factors internal to him. However, he does not make any reference to the notion of necessity when he deals with dynamic modality (ibidem: 76ff.)
22
Cf. Matthews 2005 (= 1997): 324 and Portner 2009: 138f. cf also Coates 1983: 20f.
Modality is expressed in many ways: Modality meanings may derive from the meaning of a proposition, e.g. from conditionals or habitual and generic sentences 23 . It can be lexicalized in predicates such as the verbs think, believe (epistemic), in adjectives after copula verbs e.g. it is obligatory that… (deontic), he is able to…(dynamic) or in (modal) adverbs such as perhaps, maybe, possibly. Modal auxiliaries (e.g. in English) are verbal forms which serve as modality markers. When combined with a lexical verb, the proposition conveys a modality meaning.
Mood could be equally described as the counterpart of the modal verbs in the domain of inflectional morphology. According to Palmer (2001: 104) languages tend to exhibit either modal verbs or the typical mood indicative/subjunctive distinction; when they co-occur, it seems that these systems function at the expense of the other, e.g. the rise of the modal verbs in English was fostered by the simultaneous demise of the inflectional mood system. On these grounds, he suggests that "in general, the two are not likely to co-exist, or that, if they do, one will, in time, replace the other."
The connection between modality and mood is not direct. First of all, the modality is a notional term, which can be analyzed in various ways while mood is an observable grammatical phenomenon. Secondly, modality is encoded in lexemes and it can be lexicalized in predicates while mood is either inflectional or (as it is the case in Modern Greek (MG) and other Balkan languages) it is marked by a mood particle preceding the verbal form. Third, the mood categories, such as the rudimentary indicative and subjunctive moods, cannot perfectly match with the modality categories 24 . By way of example, a non-dependent subjunctive 25 may manifest root modality but a dependent subjunctive may also appear, as we will see, after epistemic predicates in some languages, e.g. in Italian:
23 Portner 2009: 4f. Modality can also be covert e.g.: Tim knows how to solve a problem (ibidem: 5).
24 Indicative is often regarded as the mood of epistemic modality while the subjunctive is the mood of root-modality, cf. Philippaki-Warburton & Spyropoulos 2004: 807, where they assume that the Modern Greek indicative/subjunctive distinction grammaticalizes the distinction between epistemic and deontic modality.
25 Cf. ex. (1) – (6).
```
(8) 26 Credo che lei sia/*e` stanca. (Italian) I think she is-SUB/*IND tired.
```
```
"I think that she is tired"
```
One should however bear in mind that in the most Romance and Germanic languages (as well as in MG) the epistemic predicate THINK selects a declarative clause the verb of which is in the indicative mood. Even within Italian, the verb credere selects a dependent clause with its verb in indicative, if both the matrix and the embedded verbs are in the first person:
```
(9) 27 Credo che io sono/*sia stanco. (Italian) „I believe I am-IND/*SUB tired.‟ "I believe (that) I‟m tired"
```
In both cases (8-9), the label of the modality category of the predicate remains the same, namely epistemic, this is however not especially informative with regard to the mood of the dependent clause; It rather implies that there is a subtle nuance in the mood selection, which is definitely associated with the degree of certainty ("more" or "less" epistemic) of the speaker but it is not conditioned solely by the modality category itself.
Similarly, the indicative is often considered "to be the mood of main assertions and non-modalized (or less modalized) embedded clauses" 28 ; however, the indicative does emerge in epistemic constructions, e.g. in sentences like "It is possible that he is in London" whereas a French equivalent employs the subjunctive in the dependent clause: Il est possible qu'il le fasse (fasse 3Sg.Subj.Pres < faire "to do") "It is possible that he‟ll do it". Obviously, this suggests, once again, that the use either of indicative or of subjunctive should be explored not (only) in the type of modality but in the degree of modality. Modality is a kind of continuum 29 and therefore, any effort to align every
26 Quer 2009: 1783 with his glosses.
27 Quer 2009: 1783, Fn.1. with his glosses.
28 Quer 2009: 1781.
29 Cf. Willmott 2007: 13.
modality phenomenon with a precise modality category is erroneous. Thus, mood analysis demands a more fine-grained terminology, based on semantic features. Nevertheless, I think that, since mood is defined as an aspect of modality, one should not overlook this topic, as it is the case in many (syntactic and historical) treatments of mood distribution. What is more, we now have a common ground concerning the terms that I have defined up to now.
4. The semantic features assertion and realis
Let us now return to our initial discussion about the subjunctive. We saw in examples (1) – (7) that the subjunctive does not occur in declarative clauses. I called declarative any clause the verb of which is in indicative. Declarative clauses are assertions: By this term I treat any utterance presenting a fact which can find its place in the real or in any possible world, what we normally 30 call statement (and what is not an order, a wish or an utterance performing a similar illocutionary act). Additionally, assertion can be defined as the commitment of the speaker to the truth of his utterance in a communication performance 31 . That
30 I think that Seuren (2009: 57) has a point, when he criticizes some very baffling theories: "In the hands of the philosophers, the concept of truth varies with the kind of ontology they embrace. But ordinary speakers of natural languages are, on the whole, unaffected by philosophical analyses. They have their own intuitive, perhaps even naive, „theory‟ of what is and what is not the case, what kinds of objects populate the world and hence what is and is not true when they make assertions in their language. The philosophers may think they know better, but as long as they are unable to brainwash every speaking individual in this world, from the Amazonian Indians to the members of the Concertgebouw Orchestra, there is an empirical reality to be discovered by the scientist and constituted by how humans, as a species, construe sense data and construct a world theory".
31 One of the most influential approaches, concerning the philosophical notion of assertion is the work of Stalnaker (1978), who suggested that assertion is any new proposition added by the participants of a conversation in the common ground, i.e. to the set of propositions that the participants regard as being true. The premise is that "the agent of the assertive speech act, represents himself as taking the proposition he asserts as being true." (cf. Farkas 1992:81). Cf. also Seuren (2009: 149): "Stalnaker, for example, concentrates on the context-changing effect of assertions…and takes that to be „its essential effect‟ (1978: 323), saying that „the essential effect of an assertion is to change the presuppositions of the participants in the conversation by adding the content of what is asserted to what is presupposed‟. On the next page, he wonders (1978: 324): „Would it not be more plausible to characterize assertion as trying to get the audience to accept that the speaker accepts the content of the assertion?‟ and proceeds to show that „this Gricean twist is not required‟. But there appears to be no awareness of the fact that the „essential effect‟ of an assertion is the speaker‟s guarantee that the proposition
a speaker‟s intention is to present a statement as factual or true does not pledge to the truth of the utterance. An utterance such as "I love you" says nothing more (at least within linguistic semantics) than that the person who utters this statement wants to be believed and he presents it as a fact. It is definitely not a matter of linguistics to find out if the predicate LOVE corresponds to reality and it is not a matter of clausal semantics to confirm whether this statement is contextually adequate; what is more, in a phrase such as "I want to go", the assertion lies in the volitional verb: by the predicate WANT the speaker asserts his will, not the act of going, since this is in infinitive and therefore not assertive. The corollary in this case is obvious: if + indicative = + declarative = + assertion then - indicative = - declarative = - assertion. Apparently, the direct consequence is that the subjunctive, along with the other non-indicative moods (e.g. the infinitive) bears the semantic feature –assertion.
It is self-evident that the semantic feature of assertion is not adequate enough in order to delimit the subjunctive usage. The second feature to bring in is the distinction between realis and irrealis. Like other semantic designations, these terms are equally notorious for being too opaque or being used in numerous ways in the relevant literature. Due to their etymological affinity to the adjectives real and unreal, the terms may be coarsely implemented to denote the degree of truth expressed in a statement. Once again, an association with the truth value of a statement is a rather philosophical issue which, in my view, does not directly fall into the field of linguistics at least not in its entirety, given that philosophical approaches should be equally consulted. What we shall examine is how the language (in particular the predicate) expresses what is presented as real and what as possible or unreal etc. I employ the term in a pragmatic way, namely in expressed is in fact true." I employ the term in a wider and less philosophical way which is similar to Palmer 2001:3 (to some extent), who has adopted earlier theories which correlate the assertion / non-assertion distinction with the indicative / subjunctive distribution in dependent clauses. For methodological and semantic reasons, I treat interrogative clauses as assertions as long as their verb is in indicative (and as nonassertions if their verb is in subjunctive of course). Lyons (1977: 753) outlines some views according to which yes-no questions are disjunction of two assertions, e.g. the question "is he married?" is a disjunction of the proposition "he is married or he is not married". Cases of whquestions can be explained as commands. Since I focus on the semantic features of the mood, one could divide the questions in assertive questions (whose verb is in the indicative) and non-assertive questions (the verb of which is in the subjunctive). In any case, this is not a central topic in my analysis.
the sense of factuality. A verbal form is factual when the state of affairs described by the proposition has already taken place (it is then already a "real" fact which has taken place in the past, at least according to the speaker) or it is actual now, it is taking place now („now‟ means when a proposition is uttered = t0 32) or it has a generic meaning, i.e. it can be actual (and thus factual) in any possible moment (e.g. "Austria is an European country" or "Jesus loves you"). On the other hand, non-factual verbal forms denote an event which has not taken place yet (i.e. future) or cannot take place at all (counterfactual clauses, e.g. "If I were President, I would cancel third world debt" 33 or could probably take place but they are still not actual/factual, e.g. in the proposition "I would like to write a poem" the infinitive (and complement of „like‟) „to write‟ does not have a reference to the actual state of affairs but to a wish which may take place or may remain solely a wish but still belongs to the sphere of non-reality. Along general lines, the past and present indicative denotes factuality, while everything else (e.g. future 34 , moods and - in most cases- infinitives) does not 35 . Mithun (1999:73) points out in the same way that "the realis portrays situations as actualized, as having occurred or actually occurring, knowable through immediate perception. The irrealis portrays situations as purely within the realm of thought, knowable only through imagination" 36 .
Palmer (2001: passim) treats the binary distinction between realis/irrealis as a universal characteristic which is to be found in all languages of the world, in spite of some deviating phenomena, which can also been explained as belonging to
32 Cf. Declerck (2006: 97): t0 = The Temporal Zero Point, i.e. usually the speech time.
33 Declerck 2006: 128.
34 This is definitely not an innovative view at all; it is a well established argument in the literature that the future has no reference to the reality, it is not an actual event but it expresses probability rather than factuality. It is reported, that in languages which have realis/irrealis markers in their repertoire, the future is often marked as irrealis, cf. Palmer 2001: 168ff. However, the future indicative is still an assertion in expressing the certainty of the speaker.
35 Cf. also Declerck (2006: 42): "It is worth noting that a clause does not always have a referent in the actual (real) world: it can also refer to (i.e. assert, deny, question or hypothesize) actualization in a nonfactual world, such as a future or counterfactual world. Thus, the conditional clause If John had written a poem last night … makes a supposition about the actualization of a situation (viz. the situation of John writing a poem) in a counterfactual world."
36 In Palmer 2001:1, with italics set by me.
the fundamental dichotomy 37 . He draws a distinction between the notional categories Realis and Irrealis (written with initial capitals), whereas realis and irrealis refer to grammatical categories in his system. Subsequently, he correlates realis and irrealis with indicative and subjunctive respectively, saying for example that the difference between the terms subjunctive and irrealis is (to some extent) their employment by different research traditions, with irrealis being employed in the description of less-known aboriginal or Indic languages 38 . Additionally, he suggests that the indicative and the subjunctive "can be accounted for in terms of „assertion‟ and „non-assertion‟…" 39 .
There are a number of problems that emerge from Palmer‟s analysis. The first one is that he uses the terms +/- realis in an over-generalized fashion, which cannot account for the subtle distinctions expressed by moods or tenses; e.g. Future is indicative in many languages (being, for example, a morphological ending in the Romance languages or a separate particle prefixed to the verb in MG) and therefore an assertion, however it also bears a –realis semantic feature, since it refers to an event which is not actual. Palmer (2001: 104) argues that English does not have a future tense, because futurity is expressed by modal verbs combined with infinitives and modal verbs are not assertions according to his schema but rather verbal forms marked for modality, thus the English modal verbs "do not often indicate pure futurity, but are usually associated with conditional futures…It is not surprising that modal verbs should have future time reference. The futurity is not fully known and it is always no more than a reasonable assumption that a future event will ensue." 40 Even if this analysis is valid for English 41 , it cannot be applied to other languages, the future tense of
37 Cf. also Palmer 2001: 187.
38 Cf. Palmer 2001: 185. I avoid presenting examples from "exotic" languages, not because these should be treated as less important but due to my total incompetence to handle them. I think, one can already find numerous mistakes in the examples which derive from better-known languages so there is no need to proliferate erroneous examples and conclusions. For this reason, I almost exclusively refer to the terminological tradition of the European or Indo-European languages, to which I am more familiar.
39 Cf. Palmer 2001: 3.
40 Cf. Palmer 2001: 104f.
41 For a different perspective cf. Declerck (2006: 102f): "The claim that the future "is not a tense at all, but a mode" (Cygan 1972: 9) is unwarranted, because it is an overstatement. The future tense is often used for no other apparent purpose than to locate the time of a situation in the future. We will argue that in The train will arrive at
which is formed, for example, by means of inflection (e.g. French: aimer-ai "I will love") or by means of verb-preceding particles (e.g. MG: θα γξάψω tha ghrapso "I will write").
The second problem is that Palmer‟s schema does not account for the fact that sometimes infinitives also occur in parallel with subjunctives in dependent clauses. Palmer (2001: 192ff) points out that in Italian for example certain verbs may select both constructions:
(10)
42
a. Gli hanno ordinato di tacere (Italian) him have.3Pl.Ind.Pres. ordered of be-quiet.Inf.
b. Gli hanno ordinato che tacesse (Italian) him have.3Pl.Ind.Pres. ordered that be-quiet.3Sg.Subj.Impf.
"They ordered him to be quiet"
Palmer comments that it is not clear whether there is a notional distinction between these constructions. Palmer presents the analysis of Givón (1994: 281 283) concerning Spanish. Givón claims that after deontic "verbs of manipulation" 43 the infinitive signals stronger manipulation than the subjunctive:
(11)
44
a. te prohibo cantar (Spanish) you.Acc. forbid.1Sg.Ind.Pres. sing.Inf.
b. te prohibo que cantes(Spanish)
you.Acc. forbid. 1Sg.Ind.Pres. that sing. 2Sg.Subj.Pres.
7.32 the form will arrive serves primarily to locate the train‟s arrival in time… This is not to say that we do not recognize the fact that the future tense has modal aspects of meaning, more specifically „not-yet-factuality-at-t0‟, e.g. and subjectivity. Whatever is still to actualize is not yet a fact at t0. „Not-yet-factual at a given time‟ is a modal notion. An utterance about a situation that has not yet held is also of necessity "a subjectively modalized utterance: a prediction rather than a statement" (Lyons 1977: 815). True as this may be, the presence of elements of epistemic modality in will do not alter the fact that, in the above example The train will arrive at 7.32, the primary aspect of meaning of will, and the basic reason for its use, is that it locates the situation referred to in the future…".
42 Cf. Palmer 2001: 193, with my glosses.
43 Verbs of ordering or prohibition and verba dicendi showing order.
44 Cf. Palmer 2001: 193, with my glosses.
"I forbid you to sing"
He also adds that while the verbs of ordering select both constructions, the verbs of saying cannot precede infinitives because they show weaker manipulation:
(12)
45
a.
le dijeron que les-siguiera him told
(Spanish)
.3Pl. that them follow.3Sg.Subj.Pres.
46
b. *
le dijeron seguir-les him told.
(Spanish)
3Pl. follow.Inf. them
"They told him that he should follow them"
Example (11) is quite interesting for our analysis; similar cases of parallel constructions also emerge in other Romance languages, e.g. in adverbial dependent clauses in French:
(13)
a.
Je m'entraîne afin de gagner la médaille. (French)
I me work-out. 1Sg. for of win.Inf. the - medal. Acc.Fem.
b.
Je m'entraîne afin que je gagne la médaille. (French)
I me work-out. 1Sg. for that
I win.3Sg.Subj.Pres. the- medal.
Acc.Fem.
"I am working out in order to win the medal/ in order that I win the medal"
These structures indicate that infinitives and subjunctives have similar functions in certain syntactic environments. In Romance languages, the infinitive is used after control verbs and the subjunctive is employed in case of obviation as well as in some dependent clauses. In any case, it is quite obvious that the subjunctive and the infinitive have many similar semantic features at their disposal, a fact that enables their partial interchangeability. Palmer (2001: 196) comes to the conclusion (after having taken some English and Italian cases into
45 Cf. Palmer 2001: 194, with my glosses.
46 In Palmer 2001: 193 erroneously as Present instead of Imperfect.
account) that generally "the choice between the two constructions is not…clearly motivated by notional features, though there is a tendency for the subjunctive to signal a greater degree of irrealis". In any case, Palmer does not really underline the similarity of these structures, namely the fact that both infinitives and subjunctives are –realis, probably because this does not perfectly fit to his binary distinction. In my opinion, - realis is a semantic feature which can be attributed to more than one mood, e.g. in both infinitive and subjunctive and their distribution may be explained also in terms of syntax; consider, for example the following constructions in English, French and MG:
(14)
a. I want to read(English)
b. je veux lire(French)
I want. 1Sg. read. Inf.
c. ζέιω λα δηαβάζω MG
thélo na dhiaváso want.
1Sg. M.Prt. read. 1Sg.Subj.+Perf.
(15)
a. I want you to read(English)
b. Je veux que tu lise(French)
I want. 1Sg. that you.Nom.Sg. read. 2Sg.Subj.Pres.
c. ζέιω λα δηαβάζεηο MG
thélo na dhiavásis want.
1Sg. M.Prt. read. 2Sg.Subj.+Perf.
In (14), the volitional predicate WANT selects the infinitive in English and in French but the subjunctive in MG, since the language lacks non-finite complementation.. In (15), subject obviation is realized with the so-called Exceptional Case Marking construction 47 in English, i.e. the dependent predicate is an infinitive, in French it is manifested with a dependent clause the verb of
47 Cf. Radford (2009: 456): Accusative subjects of infinitive clauses (e.g. him in „I believe him to be innocent‟) are said to carry exceptional accusative case (in that the case of the accusative subject is assigned by the main-clause verb believe, and it is exceptional for the case of the subject of one clause to be assigned by the verb in a higher clause). Verbs (like believe) which take an infinitive complement with an accusative subject are said to be ECM verbs.
which is in subjunctive and in MG the verbal form is again an analytical subjunctive. In all cases the predicate READ shows a non-actual event, which implies that the verbal forms carries a –realis feature 48 .
Hence, we come to the conclusion that the subjunctive bears a –realis semantic feature, which is an elementary characteristic of this mood but should not be identified exclusively with it. Some scholars raise an objection to the irrealis character of the subjunctive by bringing forward cases such as the Italian subjunctive 49 which occur after predicates which select indicatives in other Romance and European languages. However, it is clear that this variation takes place on the borders of a continuum, the predicates of which select the subjunctive on the one side (e.g. volitional verbs) while on the other extremity of the continuum predicates select only the indicative (e.g. verbs of knowledge). The cross-linguistic differences show up then in the middle of this continuum, affecting predicates such as verba dicendi or verbs of belief in some contexts. Another argument against the irrealis feature of the subjunctive is the fact that this occurs after factive verbs, which presuppose the truth of the complement:
(16) 50
Gianni dispiace che Paolo sia/?*èpartito
Gianni regrets that Paolo be.
(Italian)
3Sg.Subj./Indic.Pres. left
Jean regrette que Paul soit/est parti. (French)
Jean regrets that Paul be. 3Sg.Subj./Indic.Pres. left
"Gianni regrets that Paolo has left"
Farkas (1992a: 100) admits that the factive-emotives "present a major difficulty to analyses that take the truth of the complement in the actual world to be the crucial factor in determining mood distribution. Recall that these predicates are factive, i.e. their complement propositions are true of the actual world, and yet
48 It is possible of course, that other languages which have a different verbal system may also exhibit other constructions, e.g. in German the obviation is mainly manifested with a dependent clause, introduced by dass „that‟: Ich will dass du liest "I want you to read". In the German sentence the verb is in indicative (because the subjunctive in German does not obligatorily occur in dependent clauses) but the meaning of the dependent predicate is still –realis; thus we can assume, that the semantic feature is encoded in the subordinator/complementiser dass, which follows a volitional verb. 49 Cf. ex. (8).
50 Cf. Giorgi & Pianesi 1997: 218.
they are compatible with both moods. Recall also that mood choice with these verbs varies historically (in earlier stages of French they governed the indicative only; now they are compatible with both moods) and cross-linguistically (in Romanian factive-emotives govern the indicative only). It was suggested…that the evaluative/emotive character of these predicates makes them compatible with the subjunctive, while their factivity puts them in the class of indicative governors." Farkas argues that this set of verbs expresses a personal evaluation of an event, classifying a situation with respect to the criteria and the opinion of the speaker and therefore they can be regarded not only as factive ones which presuppose the reality of a proposition but also as desiderative predicates "in that the attitude they denote does not anchor the complement proposition to any particular world". In other words, the indicative in a complement/dependent phrase asserts the fact that one experiences certain feelings because of an actual event while the subjunctive denotes the feelings that such an event (in general and not only the particular event) may bring about. In any case, the Italian case does not point to a persuasive counterexample in order to refute the +/- realis analysis.
Farkas (1992: 84) also discusses the case of what she calls fiction verbs, i.e. verbs such as dream, imagine, lie etc., which, according to her, constitute a paradox because they pattern with positive categorical epistemics in selecting declarative complement clauses the verb of which is in indicative. She argues that "crucial for mood distribution is the fact that fiction verbs share with positive categorical epistemics the property that the proposition expressed by their complement is true in a particular world anchored to their subjects. The difference, which appears not to be crucial to mood distribution, is that in the case of fiction verbs this world happens not to be a model of what the subject takes reality to be, but rather the world of a dream/fantasy/lie. Fiction verbs then, just like categorical epistemics, introduce a particular world with respect to which their complement is interpreted." In order to account for the fact that the fiction verbs select declarative complements, Farkas suggests that the fiction verbs are extensional predicates, i.e. there are predicates which along with epistemic and declarative matrix predicates introduce a single world, to which the complement verb anchors, whereas the so-called intentional verbs, such as desideratives or modals, introduce a set of worlds in which the meaning of the whole proposition may be true and thus are not subject to the truth conditions of a certain world. Subsequently, extensional verbs select indicative complements, while intentional select the subjunctive or the infinitive as a complement. Farkas‟ model differs from the approach presented in my thesis since her starting point is the mood distribution with respect to the meaning of the matrix predicate, whilst my analysis focuses on the semantic features of the mood, partially independently (at least at this point of my argumentation) from the matrix predicate 51 . It is, of course, self-evident that there is a semantic affinity which links a certain predicate with a dependent subjunctive clause; however I think that the semantic features of, let‟s say, non-actuality or non-reality are encoded in the subjunctive mood and not in the matrix verb.
I believe that the explanation can be more straightforward: Consider the sentence: "Last night I dreamt that somebody loved me"; the predicate dream asserts the fact that the speaker had a certain experience, he asserts the act of having been in the state of dreaming. The subordinated predicate love is also an assertion, it has been actual in the sphere of the dream and the speaker makes an assertion thereof. From my point of view, any further discussion concerning the truth status of the proposition is more a philosophical than a linguistic issue.
Veloudis (2010: 123ff) also endorses the opinion that the distribution of the subjunctive is semantically conditioned. The subjunctive denotes, according to Veloudis‟ analysis, a non-event (corresponding to non-actuality) 52 . Veloudis points out that some cases in MG, which seem to constitute counterexamples to his approach can be explained if we take into account the fact that these usages of the subjunctive are quite aberrant 53 , having an extraordinary stylistic effect on an utterance, for example:
51 Giorgi & Pianesi (1997: 202) also question the realis/irrealis distinction, citing, among others, the examples of Farkas.
52 Veloudis (2010: 125): «απηόο ν ηύπνο ζπκπιεξώκαηνο εθθξάδεη κε-γεγνλόηα» ("this complement type expresses non-events")
53 Veloudis (2010: 129) calls them "unorthodox" («αλνξζόδνμεο»).
54 Similar example in Veloudis (2010: 130).
and he M.Prt. believe.3Sg. that him.Acc.Sg. loves
The subjunctive form na nomízi is employed here instead of the Imperfect nómize (3Sg. „((s)he) believed‟ , however its distribution within a context is not independent: it usually illustrates a kind of contrast to what one has said before; thus the sentence could be translated as "But he believed that (she) loves him". Concerning the stylistic content, Veloudis claims that the subjunctive is a grammaticalisation of the emotional state of the speaker, who thereby shows a high level of empathy. Whatever the exact connotational content of these sentences may be, we should in this case consider that the deviating stylistic effect that the subjunctive can cause may be attributed to its –realis features.
5. The subjunctive mood features: -assertion, -realis.
As we see, the two semantic features assertion and realis marked by the plus/minus parameters draw a first semantic distinction of the forms of a verb and enable us to describe the differences between the various verbal types in a quite succinct way. If we also add some features concerning the temporal or morphological characteristics of a verbal form, such as +/- past or +/- finite, it is then possible to give a quite precise description of what is what within the verbal system of a given language. In this paper however it suffices to see how the two semantic features assertion and realis can be applied as differentiation criteria within the verbal mood system of a language.
In accordance with what we have postulated up to now, the present indicative bears the features +assertion, +realis; the indicative future has a +assertion value but on the other hand it is valued with -realis, for not expressing factuality but expectation; the subjunctive mood bears the features –assertion, -realis.
(18)
| | Tense | | assertion | | realis |
|---|---|---|---|---|---|
| indicative present | | + | | + | |
| indicative future | | + | | - | |
The -realis analysis of the subjunctive can also provide an explanation for the fact that the subjunctive bore a futurity nuance in Homeric Greek. The IndoEuropeanists assume that the Indo-European (IE) protolanguage had no prototypical future tense at its disposal and the daughter languages have introduced various strategies in order to refer to future events 55 . In Ancient Greek (as well as in Indo- Iranian) 56 the desiderative verbal formation of IE became what we call indicative future in AG 57 . However, the subjunctive displayed futurity as well, although synchronically there must have been some difference between the indicative future and the subjunctive. Sihler (1995: 592) points out that "the PIE subjunctive seems to have referred to future event anticipated with some slight reservation on the part of the speaker – the equivalent of „I suppose‟ or „in that case‟." 58 The futurity reading of the IE
55 Cf. Sihler (1995: 451f): "PIE [Proto Indo-European (language)] did not have any future tense as such, but of course a variety of utterances in all languages refer to events that are neither past nor hic-et-nunc. These include commands, expectations, wishes, possibilities, and conditions. The term „future tense‟ is usually reserved for such expressions as convey the unshaded conviction of the speaker that an event will take place." Cf. also Lyons 1977: 816f.
56 Cf. Sihler 1995: 452 and 507ff. Cf. also Tichy 2006: 306ff. for Indo- Iranian.
57 That comes as no surprise, when we bear in mind the English will + bare infinitive construction and its futurity meaning.
58
Sihler (1995: 592) additionally remarks that "in Vedic the subj., whether to a pres. or aor. stem, is more often a simple future, occasionally something a little different from an
imperative. More saliently conditional, doubtful, or wished-for future events are typically in the opt. mood. The distinction may be pondered in the following passage from the AV
[Atharva-Veda]: iyám agne n rī páti î vedeṣṭa;…súvānā putr § máhiṣī bhavāti; gatv páti î
„may this noble lady, o Fire, find a husband; giving birth to sons, she will subhágā ví rājatu
become powerful; having attained a husband, let her rule in happiness‟. Sihler (1995:
592, fn. I) doubts whether a distinction is to be found in this verse at all: "In truth, it is hard to tell whether we are dealing with a finely-nuanced distinction between
vedeṣṭa opt.
„may she find‟, bhavāti subj. „she will (presumably) become‟, and rājatu 3sg.imper. „let her rule‟; or with practically interchangeable parts." Sihler is right in observing that –realis mood forms bear a futurity nuance but I don‟t espouse his opinion that they have identical illocutionary force, given that the distribution of each mood does not completely coincide with the distribution of the others, despite certain overlapping uses (cf. MacDonell 1990=1916: 352ff); the same holds for Homeric Greek: given that the language already had a future indicative at its disposal, the subjunctive should have had a distinct role in the system of this Greek linguistic register in terms of synchrony (cf. also Lightfoot 1979: 285), despite the fact that in other cases, such as Latin, the future historically (i.e. diachronically) stems from the subjunctive. Nevertheless, the affinity between the subjunctive and the future is historically attested, yet when a language has both a future indicative and a subjunctive, then we should count on a distinct function of
subjunctive justifies the fact that the Latin future tense reflects the IE subjunctive 59 . As one can see in (18), the category subjunctive and the category indicative future share the same –realis feature and they differ in the assertion parameter. If we accept the fact that in terms of historical linguistics the subjunctive precedes the indicative future, we can postulate that it is due to a shift of the semantic feature assertion within the semantic system of a language that may have given birth to the indicative future. As we will see, this kind of feature shift (morphological and semantic) can be utilized in order to elucidate syntactic change. Synchronically, on the other hand, the fact that both categories have one feature in common may explain their affinity whereas the indicative present is marked with two "pluses" and thus it constitutes a more "basic" category which is immune to any shift process. In any case, the point we have to bear in mind, according to the observations above, is that semantic features could account for phenomena, such as categorical affinities (e.g. the futurity reading of the subjunctive). In terms of diachrony, the shift in the value of one feature (semantic or morphological) can provide an explanation to phenomena of syntactic change.
6. Conclusion
In this paper I tried to define the semantic content of the mood category subjunctive on the basis of a componential semantic features analysis. Since binary distinctions, such as the „realis/irrealis‟ one, are considered to be inadequate to capture the distinction between indicative/subjunctive, I proposed that a more analytical description may better reflect the semantics of the subjunctive mood. On these grounds, I suggested that that the subjunctive mood bears the features –realis, -assertion with regard to the present indicative which is valued as +realis/+assertion and the future indicative which bears the features –realis/+assertion. By doing so, it is possible to make use of the familiar terminology of the traditional lexical semantics but in a way which is more
them, due to the economy principle of the language (superfluous elements or structures must be deleted). Cf. also Meier – Brügger 2002: 261f.
59 Cf. Sihler 1995: 557f. The Latin subjunctive verbal forms are a reflex of the IE Optative, cf. ibidem (449): "In Italic and Germanic the old optative becomes the allpurpose irrealis mood, familiarly known as the subjunctive (but unrelated to the PIE, G[reek] and In[do]Ir[anian] mood of that name, an unfortunate terminological confusion)."
sufficient for the exact description of the mood (and temporal) system of a language.
Bibliography:
Booij, Geert (2007): The Grammar of Words: An introduction to Morphology. Oxford: University Press.
Bybee, Joan L. - Perkins, Revere Dale & Pagliuca, William (1994): The evolution of Grammar: tense, aspect, and modality in the languages of the world. Chicago: University Press.
Coates, Jennifer (1983): The Semantics of the modal auxiliaries. London & Canberra: Croom Helm.
Declerck, Renaat (2006): The Grammar of the English Verb Phrase, volume1: The Grammar of the English Tense System, a comprehensive analysis (in collaboration with Susan Reed and Bert Cappelle). (Topics in English linguistics 60.1). Berlin: Walter de Gryuter.
Dum-Tragut, Jasmine (2009): Armenian. Modern Eastern Armenian Amsterdam/Philadelphia: John Benjamins Publishing Company.
Farkas, Donka F. (1992a): On the semantics of subjunctive complements In: Hirschbühler, P., et al. (Eds.), Romance Languages and Modern Linguistic. Theory. Amsterdam and Philadelphia: John Benjamins, pp. 69–104.
Giorgi, Alessandra & Pianesi, Fabio (1997): Tense and Aspect. From Semantics to Morphosyntax. Oxford: University Press.
Göksel, Aslı & Kerslake, Celia (2005): Turkish: a comprehensive Grammar London/New York: Routledge.
Lewis G.R. (1967): Turkish Grammar. Oxford/New York: Oxford University Press. Lyons, John (1977): Semantics, Volume 2. Cambridge: University Press.
MacDonell, Arthur Anthony (1990=1916): A Vedic Grammar for Students. 12th impression. Bombay, Calcutta, Madras: Oxford University Press.
Markopoulos, Theodore (2009): The Future in Greek. From Ancient to Medieval. Oxford: University Press
Matthews, Peter H. (1997): The concise Oxford dictionary of Linguistics Oxford: University Press (reissued with new covers 2005).
Meier-Brügger, Michael (2002): Indogermanische Sprachwissenschaft. Berlin: de
Gryuter.
Nuyts, Jan (2006): Modality: Overview and linguistic issues in Frawley, William (ed.) The expression of Modality – Berlin – New York: Mouton de Gryuter.
Palmer F.R.( 2 2006 = 2001): Mood and Modality. Cambridge: University Press.
Philippaki – Warburton, Irene & Spyropoulos Vassilios (2004): A change of Mood: the development of the Greek mood system. In Linguistics 42-4 (p. 791 – 817).
Quer, Josep (2009): Twists of mood: The distribution and interpretation of indicative and subjunctive Lingua (119, 1779-1787).
Radford, Andrew (2009): Analyzing English Sentences – a minimalist approach Cambridge: University Press.
Stalnaker Robert C. (1978): Assertion. In Syntax and Semantics. Volume 9: Pragmatics.
Tichy, Eva (2006): Der Konjunktiv und seine Nachbarkategorien. Bremen: Hempen Verlag.
Tomić, Olga Mišeska (2006): Balkan Sprachbund Morpho-Syntactic Features. Dordrecht: Springer
Veloudis, Yannis (Βεινύδεο, Γηάλλεο) (2010): Από τη σημασιολογία της ελληνικής γλώσσας. Όψεις της 'επιστημικής τροπικότητας'. Thessaloniki: Institute for Modern Greek Studies
Willmott, Jo (2007): The Moods of Homeric Greek. Cambridge: University Press.
|
2011 年5 月号 英語版 English Edition May 2011
Chiba City Residential Newsletter千葉市生活情報誌
Chiba City・ちば
発 行：（財）千葉市国際交流協会
Issued by: Chiba City International Association
〒260-0013 千葉市中央区中央 2-5-1 千葉中央ツインビル 2 号館 8 階
Chiba Chuo Twin Building 2
nd
Tower 8F
2-5-1 Chuo, Chuo-ku, Chiba City
TEL：043-202-3000 FAX： 043-202-3111
この情報誌は、下記のアドレスよりダウンロードすることができます。
This newsletter is available at:
http://www.ccia-chiba.or.jp/005003jyoho/index.html
Additional information not listed in this publication can be found at the Chiba City International Association's blog which is updated regularly.
Chiba City International Association Blog (URL): http://cciachiba.blog21.fc2.com/
TABLE OF CONTENTS
EVERYDAY LIFE
CITY NEWS
災害 さいがい 時 じ には…
During an Emergency, You Should…
| 1 | During an Earthquake (appx. 1 min.) |
|---|---|
| 2 | Immediately After an Earthquake (1-3 min.) |
| 3 | Hours Later (3 min. – several hours) |
| 4 | Much Later (hours later – 3 days later) |
節電 せつでん へご 協 力 きょうりょく を！
Please Help Conserve Energy
Massive power shortages have occurred in the Kanto region as a result of the failure of the Fukushima Daiichi Nuclear Power Plant after the Eastern Japan Earthquake. Please try to limit your use of electricity, and when not using them, please turn off your television, lights, and other electronic devices. In addition, please unplug any electronic appliances from outlets in order to prevent damage should a power outage or surge occur. For more information about planned power outages, please see: http://www.city.chiba.jp/
障害者 しょうがいしゃ の各種 かくしゅ 福祉 ふくし 手当 てあて ・申請 しんせい はお早め はや に！ Apply Soon for Welfare Assistance for Disabled Persons
Chiba City provides several types of welfare assistance for individuals with disabilities. You must apply to receive assistance, so please do so as soon as possible if you are included in one of the following categories.
| Assistan ce | Applicable Individuals | | Amount |
|---|---|---|---|
| ＊Special Child/ Dependent Allowance | Under 20 | Physical Disability 1st -3rd Lv., and some 4th Lv. (internal disabilities such as impairment of cardiovascular function determined separately) Mental handicap Lv. A – most of B1 Children with emotional handicaps (same levels as above) | Lv. 1 (Severe): ¥50,550/mo. Lv. 2 (Moderate) : ¥33,670/mo. |
| ＊Welfare Allowance for Children w/ Special Needs | Under 20 | Physical Disability some Lv. 1&2 Mental Handicap Lv. A Emotional Handicap (in need of care at all times) | ¥14,330/mo. |
|---|---|---|---|
| ＊Special Disability Allowance | Over 20 | Those in need of care at all times due to having more than one severe disability | ¥26,340/mo. |
| Municipal Social Welfare | Under 20 | Physical Disability Lv. 1&2 Physical Disability Lv. 3 – 6 and have been mostly bed-ridden for 6+ months. Mental Disability A – most of B1 Emotional Disability Lv. 1 | ○1 ¥7,000/mo. (excluding ○2 ) ○2 If more than one of the following applies to you, ¥10,500/mo. A. Physical Disability Lv. 1&2 B. Mental Disability A-A2 C. Emotional Disability Lv. 1 |
| | Over 20 | Physical Disability Lv. 1 Physical Disability Lv. 2 – 6 and have been mostly bed-ridden for 6+ months Mental Disability A – most of B1 Emotional Disability Lv. 1 | |
＊ Assistance types that are marked with an asterisk have had the amounts revised as of April, 2011. These types of allowances are also limited to those who meet income requirements. In order to apply, you must report the recipient (and caregiver's) income, and any allowances/aid being given every year between August 11 and September 10. For more information, please see the informational letter, sent out in August.
Information: 各保健福祉センター高齢障害支援課
かくほけん ふくし
こうれいしょうがい しえんか
Each ward office's Public Health and Welfare Center's Senior Citizens' and Disabled Persons' Support Section
Chuo: (221) 2152
Hanamigawa: (275) 6462
Inage: (284) 6140
Wakaba: (233) 8154
Midori: (292) 8150
Mihama: (270) 3154
障害者自立支援課 Self-Reliance Support for Disabled Persons Section
しょうがいしゃじりつ しえんか
Tel: (245) 5173
Fax: (245) 5549
Email: email@example.com
母子 ぼ し 家庭 かてい の母 はは の就業 しゅうぎょう ・自立 じりつ を支援 しえん
Employment and Independence Support for Single Mothers
In order to support the employment and independence of mothers in single parent households, the center, in cooperation with Hello Work, has arranged for professional employment consultations twice a week for those receiving dependent child benefits.
Target:
Single mothers who wish to acquire professional skills or who have been unsuccessfully looking for work.
しゅうぎょう じりつ しえん
かてい
）
Consult:
母子
ぼ し
家庭
かてい
就業・自立 支援センター（各保健
かくほけん
福祉
ふくし
センターこども家庭課内
かない
Support Center for the Employment and Independence of Single Mothers
(At each Health and Welfare Center, Child and Domestic Affairs Section)
Chuo : (M & F) Tel: (221) 2558 Wakaba :(M & F) Tel: (233) 8150
Hanamigawa : (W & F) Tel: (275) 6197 Midori:(Tu & W) Tel: (292) 8139
Inage : (Tu & W) Tel: (284) 6139 Mihama Ward:(M & Tu) Tel: (270) 3153
When:
9:00 – 15:30 on the above days.
Information: 健全育成課 Wholesome Child Raising Support Section
けんぜんいくせいか
Tel: (245) 5179 Fax: (245) 5995 Homepage: city.chiba.jp/cfc/kenzenikusei
テレビを処分 しょぶん するときは、適正 てきせい なリサイクルを！
Recycle your old televisions properly!
If you are disposing of a television to comply with the conversion to terrestrial digital broadcasting, please be sure to recycle it properly. You can do so by using one of the following methods:
- 1 Ask an electronics store to take it for you.
- 2 Ask an authorized waste collection contractor to dispose of it (you will need to pay a fee beforehand at a post office).
Phoenix Metal Inc. Chiba Office (Roppo-cho 210, Inage-ku)
Tel: (423) 1148
Nippon Express Inc. Chiba Chuo Office (Shinminato 153, Mihama-ku)
Tel: (243) 0071
- 3 Request a municipally approved recycling company to pick it up for you at your home:
ちばし はいきぶつ
じぎょうきょうどうくみあい
千葉市廃棄物リサイクル事業協同組合Chiba City Waste Recycling Cooperative
Tel: (204) 5805
For more information about electronics recycling systems and fees, please call:
かでん
家電リサイクル券センターElectronics Recycling Voucher Center
Tel: 0120 – 319640
Homepage: http://www.rkc.aeha.or.jp
けん
Please note: Televisions are categorized separately from oversized garbage, please follow the instructions above to dispose of your televisions. Please also beware of companies that try to charge you very large fees at the time of collection; this is illegal and not recognized by Chiba City.
しゅうしゅう
Information: 収集業務課 Waste Collection Operations Section
Tel: (245) 5246 Fax: (245) 5477 Email: firstname.lastname@example.org
ぎょうむか
HEALTH CARE
じょせい
けんこうそうだん
女性のための健康相談
Health Consultations for Women
What:
Consult about female hormones, mental or physical health problems, etc.
Phone Consultations: Speak to a health specialist between Mon-Fri from 9:00-12:00 and 13:00 – 16:00.
Information:
健康
けんこう
支援課
しえんか
Health Support Section (closed holidays)
Tel: (238) 1220
Fax: (238) 9946
健康 けんこう ・相談 そうだん フェスティバル
Health and Consultation Festival
What:
Simple physical fitness tests, measurements and health consultations will be performed.
Please wear clothing that is comfortable and easy to move in.
Where:
Ochi Iki-iki Center (Ochi-cho, Midori-ku)
When:
Saturday, May 14 and Sunday, May 15 from 10:00 – 11:45, and 13:00 – 15:30
Target:
Chiba city residents aged 60 and over, or those with consultations regarding the elderly.
Information: 越智いきいきセンター Ochi Iki-iki Center
お ち
Tel: (205) 1290
Fax: (205) 1291
肝炎 かんえん 検査 けんさ を受 う けましょう！ ５月 がつ １６（月 げつ ）～２２（日 にち ）は肝臓 かんぞう 週間 しゅうかん です May 16 – 22 is Liver Week – Pneumonia Examinations Will be Offered at No Cost
Chiba City will offer free liver examinations for residents from May 16 – 22 to raise awareness of liver conditions and how people can safeguard their health. People with pneumonia often do not realize they are ill, and can get very sick without any warning. If, however, you can catch the illness before it becomes serious, you can also help prevent or delay the spread of cirrhosis or cancer. Even if you do not have any symptoms, you should undergo a liver examination at least once.
- 1 For those over the age of 40 who have never had a liver examination before:
Where: Participating medical facilities in Chiba City
For those over the age of 40 who are ages 40, 45, 50, etc. in multiples of 5 will automatically be sent a voucher to receive an examination and do not need to apply. Those who are over the age of 40 but who are not an age that is a multiple of 5 must apply directly at the number below. Your "age" is determined as how old you will be as of March 31, 2012.
けんこう
Apply:
By phone to the 健康支援課 Health Support Section
Tel: (238) 9930
Fax: (238) 9946
- 2 For those under the age of 40
Where:
Municipal Public Health Office (1 Saiwai-cho, Mihama-ku)
When:
Every 2 nd Tuesday from 9:30 – 10:30 (appointment required)
Apply:
By phone up until the day before the exam to the:
市
し
保健所
ほけんじょ
感染症
かんせんしょう
対策課
たいさくか
Municipal Public Health Office Infectious Diseases Control Section
Tel: (238) 9974
Fax: (238) 9932
しえんか
麻 ま しん・風 ふう しんの予防 よぼう 接種 せっしゅ を受けましょう う
Please Vaccinate Against Measles and Rubella
What: Vaccinations against Measles and Rubella are being performed for those in the following stages:
Stage 1: 1 year of age
Stage 2: Children entering school next April
Stage 3: 1 st year Middle School students
Stage 4: 3 rd year High School students
※ Information regarding scheduling an appointment can be picked up at your local hospital or medical clinic. Please complete these vaccinations in a timely manner.
Information: 市 し 保健所 ほけんじょ 感染症 かんせんしょう 対策課 たいさくか City Public Health Office, Section for the Control of Infectious Diseases
Consultations:
Fax: (238) 9932
「エイズ」・「クラミジア」相談 そうだん
AIDS and Chlamydia Consultation Services
Every Tuesday from 10:00 to 12:00, 13:00 to 16:00 (phone consultation available)
Every fourth Tuesday from 18:00 to 20:00 (in person only)
Wednesday, May 18 from 14:00 – 17:00 (phone consultation available)
し
Where: 市保健所
ほけんじょ
(美浜区
みはまく
幸町
さいわいちょう
1) City Public Health Office (1 Saiwai-cho, Mihama-ku)
※Consultations are anonymous, and are administered by professional counselors.
Information:
し ほけんじょかんせんしょうたいさくか
市保健所感染症対策課 City Public Health Office, Infectious Diseases Control Section Tel: (238) 9974 Fax: (238) 9932
千葉市 ち ば し 救急 きゅうきゅう 医療 いりょう サービス
Chiba City Emergency Medical Services
やかん
◆夜間・休日
きゅうじつ
診療
しんりょう
| | | Night Examinations | Holiday Examinations |
|---|---|---|---|
| | Kaihin Hospital Night Emergency Examination | | |
| Telephone | 279-3131 | | |
| Open | Every day | | |
| Location | 3-31-1 Isobe, Mihama-ku | | |
| Reception time | | | |
| Examination hours | Monday to Friday 19:00 – 6:00 (next day) Sat, Sun & Holidays, Year End Holidays 18:00 – 6:00 (next day) | | |
| Divisions | Internal, Pediatric Medicine | | |
Night Time, Holiday Examinations
きゅうきゅういりょう
| | | | | Emergency Doctor on | | | Medical Facilities on |
|---|---|---|---|---|---|---|---|
| | | General Health | | | | | |
| | | | | Call for Holiday | | Guidance for Medical | Duty for Nighttime |
| | | Medical Center | | | | | |
| | | | | Obstetric and | | Facilities Open at Night | Emergency Trauma |
| | | | | Gynecological Care | | | Treatment |
| Tel. | 244-5353 | | 244-0202 | | 246-9797 | | |
| Open | Sundays, National Holidays, Year End Holidays | | Sundays, National Holidays, Year End Holidays | | Monday to Saturday | | |
| Time | 8:00－16:15 | | 8:00－17:00 | | 17:30－19:30 | | |
| What | Reception/exam hours, units, place | | Information for the doctor on call | | Information on medical facilities open at night | | |
◆救急医療テレホンサービスEmergency Medical Hotlines
きゅうびょう
◆こども急病電話
でんわ
相談
そうだん
Telephone Consultation Service for Children with sudden illness
(Speak to a pediatric doctor or nurse) Dial #8000 or 242-9939. Every day from 19:00 – 22:00
EVERYDAY LIFE
来て き 、見て み 、話 はな そう千葉 ちば 家裁 かさい 「離婚 りこん がこどもに与える あた 影響 えいきょう 」
Come Discuss the "Effects of Divorce on Children"
What:
Talk about how children are negatively impacted by divorcing parents and what adults
should be careful of when proceeding with a divorce.
When:
Wednesday, May 25 from 13:30
Where:
Chiba Family Courthouse (4 Chuo, Chuo-ku)
Capacity:
60 individuals (first-come, first-serve)
Apply:
By phone at the number below.
Information:
千葉 ち ば 家庭 かてい 裁判所 さいばんしょ 総務課 そうむか Chiba Family Courthouse General Affairs Section
Tel: (222) 0165
市民総務課 Citizens General Affairs Section
しみん そうむか
Tel: (245) 5156
Fax: (245) 5155
親子 おやこ でワイワイ遊ぼう あそ
Child and Family Play Time
Target:
Parents and children aged 1 – 2.
When:
10:00 – 11:30 on Thursday, May 26, June 9, June 23, and July 14.
Where:
Shiina Public Center (290-1 Tomioka-cho Midori-ku)
Apply:
In-person after Tuesday, May 3 or by phone.
Capacity:
15 families (first-come, first-serve)
Information: 椎名公民館 Shiina Public Center
しいなこうみんかん
Tel: (292) 0210
おやこ
きょうしつ
親子ふれあい教室
Children's Learning and Parental Instruction Class
Target:
2 year olds and their guardians
When:
Fridays, between May 13 and Jun 3 from 10:00 – 12:00
Where:
Utase Public Center (2-13 Utase, Mihama-ku)
Apply:
In-person after Friday, May 6 or by phone.
Capacity:
15 pairs
Information: 打瀬公民館 Utase Public Center
うた せ こうみんかん
Tel: (296) 5100
こそだ
子育てママのおしゃべりタイム
Chit-Chat Time for Mothers
Who:
Those in the process of raising children
When:
10:00 to 12:00 (please feel free to drop in anytime)
| Chuo | 5/16 (Mon) Shinjuku Public Center 5/23 (Mon) Miyazaki Public Center |
|---|---|
| Hanamigawa | 5/12 (Thu) Makuhari Public Center 5/26 (Thu) “ “ “ |
| Inage | 5/13 (Fri) Chigusadai Public Center 5/27 (Fri) Kusano Public Center |
EVENTS
２０１１ホームタウンふれあいフェスタ
2011 Hometown Fureai Festa
What:
JEF Chiba footballers will play mini-games and teach football skills to kids. You can also get autographs from the players! The event will be cancelled in the event of rain.
When:
Sunday, June 5 from 14:00 – 16:00
Where:
Fukuda Denshi Arena
Target:
Elementary school students who are residents of / go to school in Chiba City.
Capacity:
200 individuals. There will be a lottery in the event of an excess of applications.
Cost:
¥100 per person (paid on the day of)
Apply:
Send a post card by Friday, May 13 that lists your address, name, telephone number, names of all the people participating in your group (must be less than 10) and their grade levels in school to: 〒260-8722 千葉市 ち ば し 役所 やくしょ 公園 こうえん 管理課 かんりか 「ふれあいフェスタ」係 かかり Parents and guardians may watch from the stands, but cannot participate.
Note:
Information:
公園管理課ホームタウン推進室 Parks Management Section Hometown Promotion Office Tel: (245) 5897 Fax: (245) 5886 Email: email@example.com
こうえん かんりか
すいしんしつ
しょうがいがくしゅう
えいがじょうえいかい
生涯学習センター映画上映会
Lifelong Learning Center's Movie Night Schedule
- 1 Parent and Child Anime Screening "The Crow who was a Baker" and Others.
When:
Saturday, May 14 at 10:00 and 14:00.
- 2
Wednesday Classic Cinema "Little Women"
When:
Wednesday, May 18 at 10:00 and 14:00.
- 3 Classic Movie Night “Shanghai Express”
When:
Sunday, May 22, at 10:00 and 14:00.
※Admission begins 30 minutes prior to each showing for all shows. First-come, first-serve.
Capacity:
- 1
and
- 3
80 individuals,
- 2
250 individuals
Information:
生涯学習 しょうがいがくしゅう センター（中央区 ちゅうおうく 弁天 べんてん 3）Lifelong Learning Center (3 Benten, Chuo-ku)
(Closed every 4 th Monday of the month) Tel: (207) 5823 Fax: (207) 5822
CONSULTATIONS
多重 たじゅう 債務者 さいむしゃ 特別 とくべつ 相談 そうだん
Consultations for those with Multiple Debts
What:
Consult with an attorney regarding debts (30 minutes per person). Consultations must be made by the debtor, in person. Call the number below for an appointment. 6 individuals max. Thursday, May 12 and May 26 from 13:00 – 16:00.
When:
Information: 消費
しょうひ
生活
せいかつ
センター Consumer Affairs Center (1 Benten, Chuo-ku)
Tel: (207) 3000
Fax: (207) 3111
しんぱい
心配ごと相談 (常設相談と法律相談)
そうだん じょうせつそうだん ほうりつそうだん
Consultation Services (Permanent and Legal Consultations)
- 1 Permanent Consultation
What:
Consult with a welfare commissioner or a children’s welfare commissioner. Phone and in person consultations are available.
When:
Monday through Friday from 10:00 – 15:00 (except public holidays).
- 2
Legal Consultation
What:
Speak to an attorney regarding legal concerns. You may not inquire about cases already on trial or in arbitration. An appointment is required, please call the number below.
When:
Thursday, May 12 from 13:00 – 16:00.
*Both consultations will be held at the Shinpaigoto Soudanjo (Harmony Plaza, Chibaderacho, Chuo-ku)
Information:
市社会福祉協議会心配ごと相談所 City Social Welfare Council Shinpaigoto Soudanjo Tel: (209) 8860 Fax: (209) 8866
し しゃかいふくしきょうぎかいしんぱい そうだんじょ
男性 だんせい のための電話 でんわ 相談 そうだん
Phone Consultations for Men
What:
Male psychologist consultation for men who are struggling at home, work, or in general.
When:
Every Friday from 18:30 – 20:30.
Phone Number for Consultation: (209) 8773 *Phone information changed in May, 2011.
Information: 男女共同参画課 Section for Equal Gender Participation
だんじょきょうどうさんかく か
Tel: (245) 5060
Fax: (245) 5539
こころの健康 けんこう センターの相談 そうだん
Consultations at the Kokoro no Kenko (Mental and Emotional Health) Center
Mental Health Consultations for the Elderly :
When: Monday, May 16 from 15:00 – 17:00
Alcohol and Drug Abuse Consultation :
When: Tuesday, May 17 from 14:00 – 16:00
※ All consultations are with a licensed professional and require an appointment.
Information: こころの健康 けんこう センター（美浜区 みはまく 高浜 たかはま 2）Kokoro no Kenko Center (2 Takahama, Mihama-ku)
Tel: (204) 1582 Fax: (204) 1584
とくせつほうりつそうだん
特設法律相談
Special Legal Consultations
What:
Speak to an attorney. Cases currently being tried in court or in arbitration will not be
accepted. An appointment is necessary. 16 individuals maximum.
When:
Saturday, May 28 from 13:00 – 16:00
Where:
中央 ちゅうおう コミュニティーセンター２階 かい Chuo Community Center 2F
Apply:
Call for an appointment after Thursday, May 19 at 9:30.
Information: 市民
しみん
総務課
そうむか
General Affairs Section of the Citizens' Affairs Bureau
Tel: (245) 5609
Fax: (245) 5155
社会 しゃかい 保険 ほけん 労務士 ろうむし 相談 そうだん
Consultation by Certified Social Insurance Labor Consultants
What:
Receive advice on labor, social insurance and pensions. Phone consultations available.
When:
Monday, May 16 from 10:00 – 16:00. Come directly on the day of.
Where:
県 けん 森林 しんりん 会館 かいかん Prefectural Shinrin Hall, Room 304 (1 Nagazu, Chuo-ku)
Information: 県 けん 社会 しゃかい 保険 ほけん 労務士会 ろうむしかい Prefectural Organization of Certified Social Insurance Labor Consultants
Tel: (224) 9027
Fax: (224) 9058
市民 しみん 総務課 そうむか General Affairs Section of Citizens' Affairs Bureau
Tel: (245) 5156
じんけんようごいいんとくせつそうだん
人権擁護委員特設相談
Human Rights Consultation Services
What:
Issues regarding human rights such as discrimination, bullying, defamation, etc.
When:
Every Tuesday, from 10:00 – 15:00 (phone consultation not available)
Where:
中央 ちゅうおう コミュニティーセンター２階 かい Chuo Community Center 2F
Contact:
法務局 ほうむきょく 人権 じんけん 擁護課 ようごか Law Bureau, Human Rights Section
Tel: (302) 1319
Information: 市民総務課 General Affairs Section of Citizens' Affairs Bureau
しみん そうむか
Tel: (245) 5153
Fax: (245) 5155
青少年 せいしょうねん の悩 なや みごと相談 そうだん
Youth Consultation Services
What:
Talk to someone about juvenile delinquency, problems at school, bullying, career counseling etc.
When:
Monday to Friday, 09:00 – 17:00 (phone consultation available)
| せいしょうねん 青少年サポートセンター けんきょういくかいかん かい 県教育会館４階 | Juvenile Guidance Center Prefecture Education Hall 4F |
|---|---|
| どうひがしぶんしつ 同東分室 ちしろだいしみん かい 千城台市民センター２階 | Eastern Branch Office Chishirodai Civic Center 2F |
| どうにしぶんしつ 同西分室 しきょういくかいかん かい 市教育会館２階 | Western Branch Office City Education Hall 2F |
| どうみなみぶんしつ 同南分室 | Southern Branch Office |
ちばし にほんご そうだんまどぐち
千葉市の日本語の相談窓口
Chiba City's Consultation Services in Japanese
Receive advice (in Japanese) regarding daily life, accidents, city government, etc. at the Citizens' consultation rm. of the Chuo Community Center 2F or any ward office. Consultation days vary by question.
For more details, ask at the Public Hearing and Consultation Desk, Community Promotion Section, of the Chuo Community Center 2F, or at the Consultation Desk, Community Promotion Section at any ward office (in Japanese). If you do not speak Japanese, please bring an interpreter.
|
Bayley Scales of Infant and Toddler Development™, Fourth Edition (Bayley™-4) Cognitive, Language, and Motor Scales Score Report Nancy Bayley, PhD, Glen P. Aylward, PhD, ABPP Reason for Referral: Developmental concerns Examinee Information Test Information ID: ABC-890 Test Date: 06/13/2019 Name: Susie Sample Caregiver Name: My Caregiver-Name Gender: Female Relationship to Child: parent Birth Date: 12/05/2017 Examiner's Name: Bayley Examiner Test Age: 18:08 Adjusted Test Age: 17:05 Copyright © 2019 NCS Pearson, Inc. All rights reserved. Warning: This report contains copyrighted material and trade secrets.The qualified licensee may excerpt portions of this output report, limited to the minimum text necessary to accurately describe their significant core conclusions, for incorporation into a written evaluation of the examinee, in accordance with their profession's citation standards, if any. No adaptations, translations, modifications, or special versions may be made of this report without prior written permission from Pearson. Pearson, Bayley, the Bayley design, and the Bayley Scales of Infant and Toddler Development are trademarks, in the U.S. and/or other countries, of Pearson PLC or its affiliates.
[ 1.0 / RE1 / QG1 ]
| Cognitive (COG) | Language (LANG) | | Motor (MOT) | |
|---|---|---|---|---|
| Cognitive (CG) | Receptive Communication (RC) | Expressive Communication (EC) | Fine Motor (FM) | Gross Motor (GM) |
| 4 | 5 | 6 | 5 | 6 |
SCORE SUMMARY PROFILE SAMPLE
| Scale Subtest | Raw score | Scaled score | Age equivalent | Growth scale value |
|---|---|---|---|---|
| Cognitive (COG) | | | | |
| Cognitive (CG) | 63 | 4 | 11:00 | 498 |
| Language (LANG) | | | | E |
| Receptive Communication (RC) | 27 | 5 | 9:00 | 489 |
| Expressive Communication (EC) | 23 | 6 | 11:00 | 496 |
| Motor (MOT) | | | | |
| Fine Motor (FM) | 40 | 5 | 11:00 | 499 |
| Gross Motor (GM) | 72 | 6 | 13:00 | 503 |
| Scale Subtest | Sum of scaled scores | Standard score | 95% Confidence interval | Percentile rank | Descriptive category |
|---|---|---|---|---|---|
| Cognitive, Language, and Motor | | | P | | |
| Cognitive (COG) | 4 | 70 | 63-77 | 2% | Very low |
| Language (LANG) | 11 | 75 | 68-82 | 5% | Very low |
| Motor (MOT) | 11 | 74 | 67-81 | 4% | Very low |
SCORE SUMMARY Subtest Scaled Score Summary Standard Score Summary SAMPLE
| Scaled score | Score 1 | Score 2 | Difference | Critical value | Significant difference* | Base rate |
|---|---|---|---|---|---|---|
| Receptive Communication - Expressive Communication | 5 | 6 | -1 | 2.57 | N | E - |
| Fine Motor - Gross Motor | 5 | 6 | -1 | 2.26 | N | - |
| Standard score | Score 1 | Score 2 | Difference | Critical value | Significant difference* | Base rate |
|---|---|---|---|---|---|---|
| Cognitive - Language | 70 | 75 | -5 | 10.06 | N | - |
| Cognitive - Motor | 70 | 74 | -4 | P 9.45 | N | - |
SUPPLEMENTAL ANALYSIS Subtest Discrepancy Comparisons In the table below, the first subtest corresponds to Score 1 and the second subtest corresponds to Score 2. *Significance level chosen for discrepancy comparisons is .05. Standard Score Discrepancy Comparisons In the table below, the first scale corresponds to Score 1 and the second scale corresponds to Score 2. *Significance level chosen for discrepancy comparisons is .05. Cognitive, Language, and Motor Cognitive, Language, and Motor SAMPLE
| | Examiner |
|---|---|
| Postive Affect Smiles and laughs | Somewhat typical; Some of the time |
| Enthusiasm Shows enthusiasm or excitement | Somewhat typical; Some of the time |
| Exploration Explores objects in the environment | Not at all typical; Never or rarely |
| Ease of Engagement Readily takes part in activities | Not at all typical; Never or rarely |
| Cooperativeness Cooperates with adult requests | Somewhat typical; Some of the time |
| Moderate Activity Works without becoming overly active or fidgety | Not at all typical; Never or rarely |
| Adaptability to Change Adapts easily to changes in stimulation or changes in routine | Not at all typical; Never or rarely |
| Alertness Quiet and attentive; not drowsy | P Somewhat typical; Some of the time |
| Distractibility Unable to focus on task; distraction interferes with performance on items | Not at all typical; Never or rarely |
| M Motor Tone Displays normal muscle tone: not overly stiff (high tone) or floppy (low tone); no tremors | Not at all typical; Never or rarely |
| Tactile Defensiveness Overly sensitive to touch or textures | Not at all typical; Never or rarely |
| Fear/Anxiety Approaches new tasks with apprehension; looks to caregiver for reassurance | Typical; Most of the time |
| A Negative Affect Cries, frowns, whines, or complains | Not at all typical; Never or rarely |
BEHAVIOR OBSERVATION INVENTORY End of Report SAMPLE
SAMPLE
41: 0
42: 0
43: 0
44: /
45: /
46: /
47: /
48: /
49: /
50: /
51: /
52: /
53: /
54: /
55: /
56: /
57: /
41: 0 42: 0 43: 0 44: / 45: / 46: / 47: / 48: / 49: / 50: / 51: / 52: / 53: / 54: / 55: / 56: / 57: / 58: /
Bayley Scales of Infant and Toddler Development™, Fourth Edition (Bayley™-4) Caregiver Report Nancy Bayley, PhD, Glen P. Aylward, PhD, ABPP Examinee Information Test Information ID: ABC-890 Test Date: 06/13/2019 Name: Susie Sample Completed By: My Caregiver-Name Gender: Female Relationship to Child: parent Birth Date: 12/05/2017 Examiner's Name: Bayley Examiner Test Age: 18:08 Adjusted Test Age: 17:05 Copyright © 2019 NCS Pearson, Inc. All rights reserved. Warning: This report contains copyrighted material and trade secrets.The qualified licensee may excerpt portions of this output report, limited to the minimum text necessary to accurately describe their significant core conclusions, for incorporation into a written evaluation of the examinee, in accordance with their profession's citation standards, if any. No adaptations, translations, modifications, or special versions may be made of this report without prior written permission from Pearson. Pearson, Bayley, the Bayley design, and the Bayley Scales of Infant and Toddler Development are trademarks, in the U.S. and/or other countries, of Pearson PLC or its affiliates.
[ 1.0 / RE1 / QG1 ]
ABOUT THE BAYLEY-4 Your child was tested using the Bayley Scales of Infant and Toddler Development™, fourth edition (Bayley™-4). She was given a number of tasks to determine if the level of her thinking, language, and motor skills is similar to the level of skills of most children her own age. Some of the activities your child was asked to perform may have seemed very easy while others may have seemed very hard. No child is expected to do well on every activity. You may recall being asked on occasion about your child's typical day-to-day performance during the testing. You were also asked questions about your child's social skills (expressing emotions or talking with others) and behaviors (playing with others or dressing). These questions help us learn about your child's range of skills. No child is expected to successfully show every skill. WHAT DOES THE BAYLEY-4 MEASURE? The Bayley-4 has three major parts that were tested with your child: Cognitive, Language, and Motor. The questionnaire that you completed addresses your child's social-emotional and adaptive behavior development. Cognitive Scale (COG) The Cognitive Scale is made up of cognitive tasks. Cognitive (CG) Cognitive tasks assess how your child thinks, reacts, and learns about the world. G Infants are given tasks that measure their interest in new things, their attention to familiar and unfamiliar objects, and how they play with different types of toys. G Toddlers are given tasks that examine how they explore new toys and experiences, how they solve problems, how they learn, and their ability to complete puzzles. G Preschool-age children are given tasks that measure pretend play and activities, such as learning concepts, building with blocks, color matching, counting, and solving more complex puzzles. Language Scale (LANG) The Language Scale is made up of receptive and expressive communication tasks. Receptive Communication (RC) Receptive Communication tasks assess how well your child recognizes sounds and how much she understands spoken words and directions. G Infants are presented with tasks that measure their recognition of sounds, objects, and people in the environment. Many tasks involve social interactions. G Toddlers are asked to identify pictures and objects, follow simple directions, and perform social routines, such as wave bye-bye or play peek-a-boo. G Preschool-age children are required to follow more complex directions, identify action pictures, understand concepts (sizes, colors), and are given tasks that measure their understanding of basic grammar. Expressive Communication (EC) Expressive Communication tasks assess how well your child communicates using sounds, gestures, or words. G Infants are observed throughout the assessment for various forms of nonverbal expression, such as smiling, jabbering expressively, using gestures, and laughing (social interaction). G Toddlers are given opportunities to use words by naming objects or pictures, putting words together, and answering questions. G Preschool-age children are observed using words, asking questions, and answering more complex questions.
Motor Scale (MOT) The Motor Scale is made up of fine and gross motor tasks. Fine Motor (FM) Fine Motor tasks assess how well your child can use her hands and fingers to make things happen. G Muscle control is assessed in infants, such as visual tracking with their eyes, bringing a hand to their mouth, transferring objects from hand to hand, and reaching for and grasping an object. G Toddlers are given the opportunity to demonstrate their ability to perform fine motor tasks, such as stacking blocks, drawing simple shapes, and placing small objects (e.g., coins) in a slot. G Preschool-age children are asked to draw more complex shapes, build simple structures using blocks, and fold paper. Gross Motor (GM) Gross Motor tasks assess how well your child can move her body. G Infants are assessed for head control and their performance on activities, such as rolling over, sitting upright, and crawling motions. G Toddlers are given tasks that measure their ability to make stepping movements, support their own weight, stand, and walk without assistance. G Preschool-age children are given a chance to demonstrate their ability to jump, climb stairs, run, maintain balance, kick a ball, and other activities requiring body control or coordination. Social-Emotional Scale (SOEM) The Social-Emotional Scale measures development in infants and young children by identifying social-emotional milestones that are typically achieved by certain ages. Social-Emotional (SE) Social-Emotional items assess your child's social interactions; how well she communicates emotions; and how your child responds to sounds, touch, and other things in the environment. Adaptive Behavior Scale (ADBE) The Adaptive Behavior Scale asks caregivers to assess their child's ability to adapt to various demands of normal daily living and become more independent. Receptive (REC) Receptive items assess how well your child processes information in social interactions, understands words, and listens to a story. Expressive (EXP) Expressive items assess your child's vocabulary development. Personal (PER) Personal items assess what your child does to take care of herself in activities, such as dressing, eating, toileting, and washing. Interpersonal Relationships (IPR) Interpersonal Relationships items assess how your child responds and relates to people (e.g., caregiver-child interactions, interest in other children, friendships). Play and Leisure (PLA) Play and Leisure items assess how your child plays and has fun, such as playing simple games with you, playing with peers, and eventually taking turns.
| Cognitive (COG) | Language (LANG) | | Motor (MOT) | |
|---|---|---|---|---|
| Cognitive (CG) | Receptive Communication (RC) | Expressive Communication (EC) | Fine Motor (FM) | Gross Motor (GM) |
| 4 | 5 | 6 | 5 | 6 |
YOUR CHILD'S TEST RESULTS The scores below show how well your child performed compared to a group of children in the same age range from across the United States. The highest possible score on a subtest or subdomain is 19, and the lowest possible score is 1. Scores from 8 to 12 are considered average. Although the Bayley-4 is a development test, a child's scores can also be influenced by motivation, attention, interests, and opportunities for learning. Please keep in mind that a few test scores cannot assess all of the skills that your child might be capable of using. The scores from the Bayley-4 help the assessment specialist decide if your child is progressing well or if she is having difficulties in certain skill areas or with certain activities. Skills may be considered to be absent, emerging, or present. Together with the assessment specialist, you may use this and other information to decide whether your child needs further assessment in the areas of concern and how best to intervene to enrich your child's development and encourage your child's growth. SAMPLE
ACTIVITIES FOR YOU AND YOUR CHILD Cognitive Skill Development Early Cognitive Skills G Provide toys and bright, colorful objects for your baby to look at and touch. G Let your baby experience different surroundings by taking her for walks and visiting new places. G Allow your baby to explore different textures and sensations (keeping in mind your child's safety). G Encourage your child to play and explore-banging pots and pans can be a learning experience. G Name objects and pictures in books. Have your child point to objects you named in the books. Knowing Concepts G Use concept words (big, little, heavy, soft) often in daily conversations. Concept books can be found at your local library. G Play games that involve naming opposites (hot-cold, up-down, empty-full). G Compare objects to show opposites (fast-slow, wet-dry). G Practice sorting shapes and objects in your home by size. G Compare objects in your home for length (short or long; long, longer, longest). G Melt ice to show the concepts of liquid and solid. G Have your child move (fast-slow, lightly-heavily, forward-backward). G Weigh objects on your home scale(s) to see if they are heavy or light. G Discuss objects by use (shovel-outside, plate-inside). G Discuss objects by where they may be found (land, sea, sky; library, home, school, store). Building Memory Skills G Review the events of the day with your child at bedtime. G Repeat a simple nursery rhyme daily until your child can say it with you. G Ask your child what she did yesterday. G Show your child four objects on a tray, cover the tray and remove one object, then uncover the tray and ask what is missing. G Play a memory game with cards. Pick four or five sets of matching cards and turn them face down. Try to turn up two cards that match. Increase the number of cards when your child is ready. G Read predictable books and have your child tell the story back to you. G Ask questions about the story you read to your child. Developing Critical Thinking Skills G Whenever possible, ask questions that have many answers. G Set up choices that involve your child in making decisions. G Lead your child to discover other ways of performing a task. G Ask your child's opinions about things and then ask her why she thinks that way.
Language Skill Development Birth to 2 Years G Maintain eye contact and talk to your baby using different patterns and emphasis. For example, raise the pitch of your voice to indicate a question. G Imitate your baby's laughter and facial expressions. G Teach your baby to imitate your actions, including clapping your hands, throwing kisses, and playing finger games, such as pat-a-cake, peek-a-boo, and the itsy-bitsy-spider. G Talk as you bathe, feed, and dress your baby. Talk about what you are doing, where you are going, what you will do when you arrive, and who and what you will see. G Sing to your baby, including lullabies and lively children's songs with rhymes. G Identify colors. G Count items while your child watches. G Use gestures, such as waving goodbye, to help convey meaning. G Introduce animal sounds to associate a sound with a specific meaning: The doggie says woof-woof, or The cat goes meow. G Be attentive to your child's attempts to communicate. G Expand on single words your baby uses: Here is Mama. Mama loves you. G Encourage your baby to make vowel-like sounds and consonant-vowel sounds, such as ma, da, and ba. G Read to your child. Sometimes "reading" is simply describing the pictures in a book without following the written words. Choose books that are sturdy and have large colorful pictures that are not too detailed. G Ask your child, What's this? or Point to the ________, and encourage naming and pointing to familiar objects in a book. 2 to 4 Years G Use speech that is clear and simple for your child to copy. G Repeat what your child says, indicating that you understand. Build and expand on what was said: Want juice? I have juice. I have apple juice. Do you want apple juice? G Make a scrapbook of favorite or familiar things by cutting out pictures. Group them into categories, such as things to ride on, things to eat, things for dessert, fruits, and things to play with. G Create silly pictures by mixing and matching pictures. Glue a picture of a dog behind the wheel of a car. Talk about what is wrong or silly about the picture and ways to "fix" it. G Help your child count items pictured in a book. G Help your child understand and ask questions. Play the yes-no game by asking questions: Are you a boy? Can a pig fly? Encourage your child to make up questions and try to fool you. G Ask questions that require a choice: Do you want an apple or an orange? Do you want to wear your red or blue shirt? G Expand vocabulary. Name body parts and identify what you do with them: This is my nose. I can smell flowers, brownies, popcorn, and soap. G Sing simple songs and recite nursery rhymes to show the rhythm and pattern of speech. G Place familiar objects in a container. Have your child remove the object and tell you what it is called and how to use it: This is my ball. I bounce it. I play with it. G Use photographs of familiar people and places and retell what happened or make up a new story.
Motor Skill Development Fine Motor G Have your child roll modeling clay into big balls using the palms of her hands facing each other and with fingers curled slightly towards the palm or roll clay into tiny balls (peas) using only her fingertips. G Have your child use pegs or toothpicks to make designs in modeling clay. G Make a pile of objects, such as cereal, small marshmallows, or pennies. Give your child a set of large tweezers and have her move the objects one by one to a different pile. G Show your child how to lace or thread objects, such as beads, cereal, or macaroni onto a string. G Play games with the "puppet fingers"-the thumb, index, and middle fingers. G Use a flashlight against the ceiling. Have your child lie on her back and visually follow the moving light. Gross Motor G Place your baby in different positions to encourage kicking, stretching, and head movement. G Arrange outdoor and indoor play spaces for gross motor activities, such as running, jumping, climbing jungle gyms, going up and down a slide, kicking or throwing a ball, and playing catch. G Objects to push, pull, jump off, and jump over and toys your child can ride on also promote gross motor development. G There are several safe toys to use indoors for gross motor play, such as large boxes to push, pull, crawl through, and sit in; large pillows to jump on; and safe objects to practice throwing and catching. Social-Emotional Skill Development G Lean in close to your baby and talk about her sparkly eyes, round cheeks, or big smile. Keep your face animated and your voice lively with inflections as you slowly move from right to left to capture your baby's attention. G While sitting in a rocking chair or during quiet times when your baby is lying on her back, soothingly touch your baby by stroking her arms, legs, tummy, back, feet, and hands to help her relax. G Entice your baby to show a big smile or other pleased facial expression. Use lively words and/or funny actions to get her to respond happily. Engage in activities where your baby makes sounds and you respond in a social dialogue. G Create a problem involving your child's favorite toy that she needs your help to solve. For example, place a toy on a shelf just out of her reach or place a rattle or noisy toy inside a small box that is difficult to open. G Start by copying your child's sounds and gestures and slowly entice her to begin copying your facial expressions, sounds, and movements. Adaptive-Behavior Skill Development G Allow your child to make simple decisions by offering options, such as Do you want to play inside or play outside? or Would you like milk or juice? G Allow your child to attempt to complete a simple task by herself, such as pulling up pants, putting socks on, or putting a coat on. G Teach hygiene and cleanliness activities, such as washing hands and brushing teeth. G Let preschool-age children help with completing simple chores around the house.
|
North American Language and Culture Assistants in Spain
MAANNUUAALL
2011-2012
TABLE OF CONTENTS
1 Introduction
A quick note about Profex: The Profex program is used by the Ministry of Education, Culture and Sports of Spain for all of its international programs. As such, you may find other information that may not have to do with you, that is because it pertains to other programs. Please only do the Curriculum part, which is universal for all programs, and then the specific application can be found under Auxiliares de Conversación, which is your program of interest, but only when the application period is open.
USE A PC AND THE INTERNET EXPLORER BROWSER FOR YOUR CONVENIENCE
1.1 What does the program entail?
The program is an academic "continuing education" grant provided by the Ministry of Education, Culture and Sports of Spain. The program sends over 2000 American and Canadian participants to Spain each year to serve as teaching assistants, sharing their native knowledge of the English or French language and North American culture in Spanish public K-12 schools. Occasionally public language schools also request an assistant for their classrooms. The program, though fairly young, has been gaining popularity quickly with more and more demand each year for such a unique experience!
1.2 Eligibility: Who may participate?
- The candidate MUST be a native or bilingual English or French speaker.
- Candidates MUST hold a U.S. or Canadian passport.
- The candidate will hold a minimum of a BA or BS by the end of the academic year preceding the start of the program, be a Junior or Senior student at their university or be a university graduate.
- Candidates MUST be in good physical and mental health and be in a position to present a health certificate when applying for their visa.
- Candidates MUST be in a position to present a certificate of good conduct or lack of criminal records when applying for their visa.
- Candidates MUST have an intermediate level knowledge of the Spanish language.
The average age of a participant is 21-35, as long as they meet the profile listed above and submit the documentation listed in the "Requirements" section below; candidates older than 35 are subject to regional evaluation depending on the region's needs at that time.
We ask for an open-minded, flexible attitude as the participants are language ASSISTANTS in the classroom regardless of their years of work experience in the field.
NOW, MAKE SURE YOU HAVE ALL YOUR DOCUMENTS READY BEFORE ACCESSING THE SYSTEM. CHECK THE LIST BELOW AND PRINT YOUR CHECKLIST & YOUR CALENDAR FROM OUR SITE.
1.3 Required Documents:
1.3.1 Hard copies (To be mailed)
1. The PDF printout (signed and dated) available after you submit your application and upload your documents online (See How to register on line on our Web page)
2. If you live in the state of New York, you will have to submit the document included in Annex 8.
1.3.2 Documents to be uploaded
3. A copy of the photo and information page of your valid US or Canadian passport.
4. A college transcript OR a copy of your college diploma.
5. A one page statement of purpose for participation in the program in either English or Spanish, addressed to the person responsible for the office you will be sending your required documents to (See Annex 7).
6. If you are, in addition, a European Union citizen or you already have a residence card (TIE) or you present a special health condition, a medical certificate of good mental and physical health issued by your doctor. This should be on the doctor's letterhead on standard sized paper, verifying you are free of drug addiction, mental illness and any disease that could cause serious repercussions to public health, according to the specifications of the International Sanitary Regulation of 2005.
1.3.3 Documents to be either uploaded, emailed or mailed
7. A letter of recommendation, in English or Spanish, up to 250 words, from any current or former professor or, if you have been out of school for over five years, from your supervisor at work. This document can be emailed/mailed separately, should your professor wish to send it to us personally. Nevertheless, it can be sent along with the pdf printout (point 1). The letter must be on letterhead and signed.
Please, send the required hard copies only after you have uploaded all your mandatory documents and submitted your application on line and as soon as possible.
- Unless it is really necessary, please avoid writing to the Education Offices just to check if they have received your hard copies. Bear in mind that those candidates who have sent the hard copies correctly will get an email from Profex informing them that their application is in the status of Registrada. This status will immediately after change to Admitida.
- Please, check your status regularly on Profex. Those whose hard copies are incomplete or incorrect will be contacted to let them know about what is missing or incorrect.
You MUST submit original and official documents listed 1-5 in person upon arrival in Spain.
1.4 Working Conditions
Assistants will work 12-16 hours weekly in their assigned school. The schedule will be determined by the program coordinator at school. You may be the only assistant in your school or there may be multiple participants assigned to the same school depending on demand or you may be assisting in two different schools. You will have plenty of free time to take advantage of your stay abroad!
1.5 Expectations
You are expected to be punctual, flexible and have a positive attitude. Although this is an academic grant, it is to be taken seriously and treated like a job. You may be removed from the position due to disciplinary problems or you may use them as a reference in the future if you do excellent work and enjoy the experience. It is up to you to be responsible and meet the standards and rules set forth by the program and your school.
1.6 Benefits
You will receive a minimum monthly stipend of 700 € net.
You will be provided general health insurance by your region covering basic needs, emergencies and repatriation. You will be responsible for paying for any prescriptions. However, the prescriptions in Spain cost approximately 80% less than those found in the States and you will end up paying about the same price out of pocket as you would pay with insurance for a US prescription.
You partake in a unique and enriching experience in Spain! Many people opt to renew the grant for a second year. However, this extra year is only possible if the candidate is issued a positive evaluation from their school representative. Those wanting to participate for a third year will not be given any type of priority.
You will receive initial and continuing professional training.
At the end of the program you will receive a certificate of completion for your services rendered that may count as credits, "continuing education unit/credit."
Upon your return to your home country, you will have gained experience that will put you ahead of the competition, should you want to apply for a job that is related to the Ministry of Education, Culture and Sports such as a teacher in an ISA (International Spanish Academy).
You will have gained experience, new friends, improved your knowledge of Spanish, and positively, represented your home country.
1.7 Duration
The program generally lasts 8 months, from October 1 through May 31. Participants may opt to renew for a second year only. However, this second year is only possible if the candidate is issued a positive evaluation from their school representative. Those wanting to participate for a third year will not be given any type of priority. See point 1.8 for further details.
Before starting your assistantship, you will need to attend the orientation scheduled for your particular region in Spain (Comunidad Autónoma). Available dates and venues will be announced on our website.
1.8 Application Period
The application period runs from November 1, 2011 until March 31, 2012. Applicants must send their hard copy documents to their corresponding office. (See point 2)
The deadline for receiving hard copy documents at your corresponding office is April 15, 2012. Please send your hard copies immediately after you submit your online application. Documents will not be accepted after the April 15 deadline.
Please, be aware, although your application will be processed when received, you will not receive word about a regional placement or waitlist status until mid-late April 2012. We will update you as often as possible regarding application updates, placements and wait list status via mass emails from Profex.
Please make sure to check your spam folder as these emails often get caught there and mark the Profex mailer as a safe sender.
Candidates applying for a second year in the program (excluding CIEE participants) should send their documents to their regional coordinator in Spain if they wish to remain in the same region.
Candidates renewing the grant wishing to change regions should send their documents to the Ministry of Education, Culture and Sports in Madrid. Contact your regional coordinators for details.
Second year candidates will be given priority placement over first-time participants as long as they have their application submitted online by February 29, 2012; this deadline is the date to retain priority status. Renewals submitting after the above deadline will be selected according to chronological application number.
1.9 Withdrawals
Candidates MUST accept or decline an offer within five business days of receiving the placement notification email from PROFEX. If you choose to decline the offer, you may not be considered for any other placement for that school year. You may, however, reapply for the next academic year.
- Those candidates who fail to accept or decline in the specified time may be barred from participating in future editions.
- Candidates cannot decline an offer once the placement is firm which implies they would be fully excluded for future editions (however, candidates providing proof of justification must contact firstname.lastname@example.org and may be waitlisted for future editions)
2 Registration and application process
If you applied last year, you may use your PROFEX account, which you should update, but you need to submit a new application and send in all the required documents again.
2.1 Online registration and application instructions
How to register: Please See How to register on line on our webpage for a complete step by step visual guide.
2.2 Hard Copy Documentation: Where to mail your paperwork.
a. Renewal candidates should consult with their regional coordinators in Spain (please see Annex 1 and check point 1.8 above). Paperwork will go to the regional office (for assistants remaining in the same region) or to Madrid (for those who want to swicht)
Please DO not send renewal paperwork to any U.S. or Canadian office
b. CIEE candidates wishing to stay a second year are considered first time applicants to the program and must send their documents to their corresponding office in the U.S. or Canada (See 2.2 c)
c. New candidates from the following States:
Alaska, Arizona, California, Colorado, Hawaii, Idaho, Montana, Nevada, New Mexico, Oregon, Utah, Washington, Wyoming
Please submit your application to the following address:
Ms. Carmen Fernández Santás email@example.com
Education Office
Consulate General of Spain in Los Angeles
6300 Wilshire Blvd., Suite 830
Los Angeles, CA 90048
Tel.: (323) 852-6997 Fax: (323) 852-0759
Connecticut, Illinois, Indiana, Iowa, Kentucky, Massachusetts, Michigan, Missouri, Nebraska, New Hampshire, New Jersey, New York, North Dakota, Ohio, Rhode Island, South Dakota, Wisconsin, Vermont and Puerto Rico
Please submit your application to the following address:
Mr. Jesús Mª Jurado firstname.lastname@example.org
Education Office
Consulate General of Spain
358 Fifth Avenue, Suite 1404
New York, NY 10001
Tel.: 212-629-4435 Fax: 212-629-4438
Alabama, Arkansas, South Carolina, North Carolina, Florida, Georgia, Louisiana, Mississippi, Oklahoma, Tennessee, Texas
Please submit your application to the following address:
Mr. Juan José Cogolludo email@example.com Education Office Consulate General of Spain in Miami 2655 Le Jeune Road, Suite 1000 Coral Gables, FL 33134 Tel. 305-448-2146 Fax 305-445-0508
Delaware, Kansas, Maine, Minnesota, Maryland, Pennsylvania, Virginia, West Virginia, and Washington, D.C.
Please submit your application to the following address:
Ms. Carmen de Pablos firstname.lastname@example.org Education Office Embassy of Spain 2375 Pennsylvania Ave. NW Washington, D.C. 20037-1710 Tel. 202-728-2335 Fax 202-728-2313
Canada:
Please submit your application to the following address:
Mr. Jorge Luengo email@example.com Education Office Embassy of Spain 74 Stanley Avenue, Suite #122 Ottawa, ON K1M 1P4 CANADA
Tel. 613-741-8399 Fax. 613-741-6901
2.3 Profex Support
Profex support: firstname.lastname@example.org
General program inquiries: email@example.com
2.4 Selection Process
Once each application is submitted/inscrita online, it is given an application number (eg 12_1AX000423). The placements are given on a first-come first-served basis according to this application number, in April, for admitted/admitida applications whose PDF form was mailed to us in due date. . Every effort is made to give you one of your regional preferences or at least a neighboring region to one of those preferences. Please remember a preference is only that: a privilege, not a right. Should you be unwilling to go to your assigned region someone on the waiting list will be happy to take your place.
Please realize that you may only preference a region and YOU MAY NOT PREFERENCE A CITY. The regional education authorities (eg: Junta de Andalucía, Junta de Castilla La Mancha, Comunidad de Madrid …) will assign your city and school after you have accepted the regional placement offer (Google a map with the Spanish Autonomous Regions before preference one of them).
If you are submitting an application together with a family member, please make sure you ALL preference the same region and include a note in your hardcopy packet explaining your choice.
2.5 What does it mean to be "admitida?"
There are several different statuses that you may have during the application and admission process as well as some uncommon vocabulary used on Profex (see Annex 6 for a glossary of terms). The "admitida" status seems to be the most confusing. "Admitida" means that your application has been received, analyzed, and is not lacking any required documents.
This status makes you eligible (but not selected) to receive a regional placement. However, please note that if you are "admitida" you may not receive a placement depending on your application number (see above). For example if there are 500 spots but you are application number 502 with "admitida", status you will be waitlisted.
2.6 Regional Placement Process
Positions are assigned in mid April, on a first come first-served basis, according to application numbers that also have admitida status. Not everyone may receive their first choice. Our most important priority is assigning ALL placements that have been requested in Spain.
2.7 What to do after receiving a regional placement
ACCEPT! Accepting your placement on PROFEX gets the ball rolling for the whole process. You have also the option to decline the offer on PROFEX. You have five (5) business days. If you fail to accept or decline within this time, your application will be dismissed.
Please accept or decline the assignment within five (5) business days of receiving the notification email from the Profex system
2.8 How to accept on Profex
[x] Log in to your account.
[x] Click on Acceso. On the left hand menu click Auxiliares de Conversación.
[x] Then click on Gestión solicitudes.
[x] Click on Aceptación y renuncia candidatos.
[x] On the drop down menu make sure to select Auxiliares extranjeros en España 2012.
[x] Then click buscar. Your name should appear with an option to accept: Aceptación.
2.9 Patience: Waiting for the acceptance or "nombramiento" letter
Each region sends the acceptance letters for their corresponding assistants. It takes time. If your letter is exceptionally late, please contact your regional coordinator (see Annex 1). This letter is extremely important as it details key information (health insurance, stipend, city and school information) required for your visa application, WHICH IS YOUR NEXT STEP.
Some regions are very timely with mailing the acceptance letters and others are not. Please be patient. As long as you accept on Profex and keep open communications with your region, you will get to Spain.
For contact information for each Autonomous Region /"Comunidad Autónoma", see Annex 1
3 Arriving in Spain
For Consular jurisdiction, visa application and visa instructions please see Annexes 2 and 3
If you are a Canadian or US citizen and hold an EU passport, you DO NOT NEED A VISA.
3.1 Once in Spain: NIE and Residence Card (TIE)
www.mir.es, www.policia.es
Under the current regulations you will need a visa to enter Spain. Two types of Student Visas are available within the European Schengen member countries.
1. Long-Term Student Visa for extended stays (LONGER THAN 6 MONTHS): Most participants qualify for this type of student visa. This visa is active and valid for 3 months. This visa serves as an authorization for your first entry into the country. Within the first 30 days after first entering the country the holder of the visa must apply for a NIE (número de identidad de extranjero) number and a Temporary Residence Card for Foreigners (TIE). These are two individual processes resulting in two individual documents that is done in a Police Office for Foreign Aliens (Extranjería). The residence card (TIE) should be valid for the remainder of the duration of the program (May 31 or whichever date is specified in the acceptance letter). We have found that many of the past participants have received a residence card (TIE) that expires in the last weeks/days of September (3 months after the end of the program).
2. Student visa for short stays (UP TO 6 MONTHS): This visa is valid for 6 months. This type of visa is being granted to participants that are planning to join the program in the second semester beginning in late January. This visa does not give the holder rights to a residence card nor may it be renewed or extended. However, it should be noted that a holder of a short stay visa is still REQUIRED to obtain a NIE number in order to be paid and make any other fiscal transactions.
The Embassies of the USA and Canada in Spain do not have anything to do with any of the aforementioned processes nor does the Spanish Ministry of Education, Culture and Sports in Spain, the USA, or Canada.
Visa application is a consular matter. General Consulates of Spain in the US or Canada are in charge of these processes.
Once in Spain with a visa, assistants must go to their nearest Office for Foreign Aliens (Extranjería) and initiate the necessary processes to apply for a NIE and a Temporary Residence Card (TIE). If the student visa is allowed to expire and the NIE and Residence Card have not been applied for yet, assistants may have problems to justify their legal status in Spain.
Updated: January/2012
Once a NIE is obtained the assistant should send a copy of this information to the regional coordinator so that he/she may enter the information in the system in order to receive the stipend.
To clarify any doubts about the difference between NIE, Residence Card (TIE), and Visa:
- Visa: an official authorization to enter the country for a specific purpose. This information is for the North American participants in the program (holding a US or Canadian passport); those with EU citizenship or from other countries may be subject to different conditions. For example, those with an EU passport will have a NIE for fiscal transactions but will not have a residence card as by EU agreement they have the right to move, reside and work freely.
- NIE: is an official fiscal number given to the applicant whether the person has a visa or not. By itself it only serves as a means to open a bank account or to make a financial transaction, among others. It is on an A-4 sheet that certifies that the holder has been issued the corresponding NIE number and that in no form or fashion does it serve as official identification nor permission for residence.
- Temporary Residence Card for Foreigners (TIE): The residence card has the NIE number on the front and on the back the educational institution that the holder belongs to. In order to obtain the residence card one must present their visa and any other required supplemental documentation such as the original letter of acceptance from the assigned region. One must do this within the first 30 days after arriving in Spain. If for whatever reason a participant changes schools they must obtain a new residence card so that it reflects this change.
4 Preparing for your Departure and Tips for Settling in Spain
4.1 Ideas and Suggestions to prepare yourself for your adventure
Top 10 Tips
1. Bring an open-minded attitude with you (and keep it handy). During your stay with us, you will become familiar with daily life in Spain, learn how Spanish schools operate and gain teaching experience.
2. Jot down the basic questions you have in mind about this position so they are answered as soon as possible. Some examples could be:
- How old are the students?
- How large is the school?
- Which subjects are bilingual?
- Does the school have a partner school in my country?
- What is the school's geographical and social and cultural environment?
- Does the school have a website?
- What are the possibilities for affordable accommodation?
- Which airport / train station is closest?
- Who should I contact when I arrive?
- Can you provide me with name, email… of the previous language assistant?
3. Get to know some previous language assistants who worked in the same school, area, region, etc. (learn from others' tips!!)
4. Get to know your future school and town in advance. Search their web for information on projects, studies, etc.
5. Get to know some other language assistants coming to Spain or your region (share your anxiety and/or expectations!!)
6. Bring some basic information about your hometown, city, area, region, etc. (be the best ambassador!):
- Visuals: pictures of family, friends, house, city or town, university…
- Postcards, posters, signs…
- Maps, brochures…
- Menus, recipes, games…
- Written press:
- Paper money and coins (if different from euros!!)
* National and local press, weather reports, cooking recipes, horoscopes…
* Magazines for children and teens, comic strips, picture books
* Advertising flyers, student newspapers and magazines, sports books
* Programs for live concerts or plays
Audio:
* Audio recordings of poems and nursery rhymes, stories and songs
* Radio advertisements
* Book readings
* Karaoke DVDs
- Audiovisual (be aware of different zone or systems):
* Excerpts from TV newscasts
* Video clips, TV commercials, weather reports…
- Web links about your area
- Finally, don't hesitate to bring documents related to your own interests, hobbies or area of university studies that might interest students.
-
7. Bring some useful contacts from teachers at your local or former primary/secondary schools. It may be helpful for future school exchanges, penpal projects, visits, etc. (expand your public relations abilities!)
8. Think of possible ways to spend your free time. You will have plenty of time for traveling around, reading, doing sport, studying some course, doing on-line studies, taking up a new hobby, socialize, etc. (treat yourself!!)
9. Plan a personal budget to cover your expenses (rent, transportation, utilities…) until you get your first pay check. Due to administrative procedures, some regions may delay in providing the first pay check. 10. Finally, start a blog or any other way to tell your friends and family about your activities (it will save you hundreds of emails!)
(This document was originally prepared by José Antonio Alcalde)
4.2 Practical ideas for the installation in Spain
www.spainexpat.com/spain/category/C4/Living/
The living in Spain section covers information about meeting your more basic needs for life in Spain. You'll find information for finding property/real estate, apartments in Spain, schools and university programs, health care and medical insurance, Englishspeaking doctors, and sending mail through the postal system.
Craigslist in Spain in English: http://madrid.es.craigslist.es/
Like a Spanish Craigslist: www.segundamano.es/
www.loquo.es
http://www.idealista.com
4.3 Accommodation
Participants are responsible for their own room and board as well as their transportation to and from Spain. This, however, does not mean that each person will live alone: Many share an apartment with other assistants or Spanish roommates. The schools should have some resources to help you find a place to live. In a minority of cases the schools will even have host families for the assistants.
Plan on staying in a hostel for about a week when you first arrive. Do not get an apartment just from looking at photos online. It is wise to go check out the apartment yourself and make sure its advertisement is truthful before starting a lease.
We also recommend arriving with $2000-2500 in savings to get established in case first pay check might delay due to administrative procedures.
4.4 Services
Ministerio del Interior www.mir.es
Policía www.policia.es
Please see Annexes 4 and 5 for the NIE and Residence Card Applications.
4.5 Community / Government
La Moncloa www.la-moncloa.es/default.htm
4.6 Health Insurance
Health insurance will be provided to each participant by their Comunidad Autónoma (Autonomous Region). This health insurance will vary in its specifics but in general should cover any basic/annual needs, emergencies, accidents, and repatriation. The participant is responsible for their own prescriptions (prescription medicine in Spain is normally one-third the cost of prescription medicine in the US)
In the event of an emergency contact your principal, director, or teacher that serves as your main contact and/or supervisor at your assigned school.
For further information, go to the Ministry of Education, Culture and Sports of Spain website:
http://www.educacion.gob.es/horizontales/servicios/profesores/convocatorias/extranjero s/auxiliares-conversacion-extranjeros-espana.html
5 Annexes
5.1 Annex 1: Regional Contact Information (subject to change, updated 09/09/11)
Andalucía
Dirección General de Participación e Innovación Educativa
Servicio de Programas Educativos Internacionales Calle Juan Antonio de Vizarrón, s/n - Edificio Torretriana 41071 Sevilla
Correo-e de Contacto: firstname.lastname@example.org
Aragón
Programa de Auxiliares de Conversación extranjeros Unidad de Proyectos y Programas con el Exterior Departamento de Educación, Cultura y Deporte del Gobierno de Aragón Avda. Gómez Laguna, 25, 2ª planta 50009 Zaragoza
Correo-e de contacto: email@example.com
Asturias
Programa de Auxiliares de Conversación extranjeros Consejería de Educación y Ciencia del Principado de Asturias Dirección General de Políticas Educativas, Ordenación Académica y Formación Profesional Servicio de Ordenación Académica, Formación del Profesorado y Tecnologías Educativas Plaza de España, 5, 3ª planta 33007 Oviedo
Correo-e de contacto: firstname.lastname@example.org
Baleares
Servei de Programes Internacionals
Conselleria d'Educació i Cultura
Passatge de Guillem de Torrella núm. 1, 1r pis
07002 Palma
Correo-e de contacto: email@example.com
Cantabria
Programa de Auxiliares de Conversación Consejería de Educación Unidad Técnica de Renovación y Dinamización Educativa C/ Antonio López 6, entlo izquierda 39009 Santander
Correo-e de contacto: firstname.lastname@example.org
Castilla-La Mancha
Programa de Auxiliares de Conversación
Servicio de Competencias Comunicativas y Plurilingüismo
Dirección General de Participación e Igualdad
Consejería de Educación y Ciencia
Bulevar del Río Alberche, s/n
45071 Toledo
Correo-e de contacto: email@example.com y firstname.lastname@example.org
Castilla y León
Programa de Auxiliares de Conversación
Consejería de Educación
Dirección General de Planificación, Ordenación e Inspección Educativa
Avenida Monasterio de Ntra. Sra. de Prado
Autovía Puente Colgante, s/n.
47014 Valladolid
Correo-e de contacto: email@example.com
Cataluña
Programa de Auxiliares de Conversación
Servei de Llengües
Subdirecció General de Llengües i Entorn
DG Planificació i Entorn
Departament d'Educació
Via Augusta, 202-226 2D
08021 Barcelona
Correo-e de contacto: firstname.lastname@example.org
Extremadura
Programa de Auxiliares de Conversación
Consejería de Educación Dirección General de Calidad y Equidad Educativa
Servicio de Ordenación Académica
C/ Delgado Valencia, nº 6 - 2ª Planta
06800 Mérida (Badajoz)
Correo-e de contacto: email@example.com y respecial@edu..juntaex.es
Galicia
Programa de Auxiliares de Conversación
Dirección Xeral de Educación, Formación Profesional e Innovación Educativa
Consellería de Educación e Ordenación Universitaria
Edificio Administrativo - San Caétano s/n
15781 Santiago de Compostela (A Coruña)
Correo-e de contacto: firstname.lastname@example.org
Madrid
Programa de Auxiliares de Conversación
Consejería de Educación
Dirección General de Mejora de la Calidad de la Enseñanza
Subdirección General de Programas de Innovación
Gran Vía 20, 4ª planta
28013 Madrid
Correo-e de contacto: email@example.com ,
firstname.lastname@example.org
Murcia
Consejería de Educación, Formación y Empleo.
Dirección General de Promoción, Ordenación e Innovación Educativa
Gran Vía Escultor Salzillo, 32
30005 Murcia
Correo-e de contacto: email@example.com
País Vasco
Programa de Auxiliares de Conversación
Departamento de Educación, Universidades e Investigación
C/ Donostia, nº 1
01010 Vitoria Gasteiz
Correo-e de contacto: firstname.lastname@example.org y email@example.com
La Rioja
Programa de Auxiliares de Conversación
Dirección General de Ordenación e Innovación Educativa
C/ Marqués de Murrieta, 76. Ala Oeste, 1ª planta
26071 Logroño
Correo-e de contacto: firstname.lastname@example.org
Valencia
Programa de Auxiliares de Conversación
Dirección General de Ordenación Académica y de Centros Docentes
Avenida Campanar, 32
46015 Valencia
Correo-e de contacto: email@example.com
5.2 Annex 2: US Visa Application
5.2.1 Instructions for Student Visa processing (updated -NOV-2011)
If you have accepted the North American Language and Culture Assistants Grant for the 2012-13 Academic Year, we wish you a most successful experience in Spain.
Below you will find information about the steps you need to take before your departure for Spain:
You will be in Spain under a Long-Term National type Student Visa. This visa encompasses many subcategories. You will fill out the form for the National Visa and follow instructions for the National Visa – Long-Term Student Visa. You will be receiving a grant and your stay in Spain will be considered a practicum, therefore a continuation of your higher education.
You cannot leave for Spain before obtaining a visa. You will need to apply for this visa within the next few weeks. You cannot process the visa in Spain
BEFORE STARTING YOUR VISA APPLICATION
To locate the specific Consulate General of Spain in the U.S. TO APPLY FOR YOUR VISA, please go to the following link:
www.maec.es/SUBWEBS/EMBAJADAS/WASHINGTON/ES/MENUPPAL/SERVICIOSCONSULARES/Pa ginas/Direc.%20Serv.%20Consulares.aspx
Please look up the web page of your corresponding Consulate General to get information about the documents you will need and start preparing them as soon as possible. Information may vary depending on the Consulate. The process may take up to 12 weeks. Please, find attached a compilation of consular information available on Students visas.
1. Before applying for the Long-Term National type Student visa you need to receive an original acceptance letter (Carta de nombramiento) issued by the Autonomous Community (See point 2.9)
This letter may be in the format of an email attachment, regular mail, or both. You will need to present this original at the Consulate. Be sure to have the original returned to you after applying for the visa.
THE ORIGINAL letter will be necessary later in Spain.
In most cases you will need to apply for the visa IN PERSON at the Consulate that has jurisdiction over your residence - normally your home residence or from where your driver's license or ID has been issued.
Please remember that the Embassy of Spain or the Spanish Consulates are not involved in the issuance of the letter, cannot rush it, nor affect any part of the process
2. In some cases you may need to schedule an appointment to apply for your visa. The appointments can be made by phone or on line, depending on the Consulate.
2.1 Visa applicants through the Consulate General of Spain in MIAMI (Florida, Georgia and South Carolina): The Education Office in Miami will contact you and give specific instructions on how to process your visas. DO NOT contact or schedule an appointment with the Consulate General of Spain in Miami but wait for the Education Office to contact you.
2.2 Visa applicants through the Consulate General in LOS ANGELES and SAN FRANCISCO, please log on to this web page: www.educacion.gob.es/exterior/centros/losangeles/es/normativa/visado.shtml
3. When you will schedule your appointment, please mention the following:
"I take part of the "Auxiliares norteamericanos del Ministerio de Educación de España" program. Iwill be starting my assistantship during the last week of September or the first week of October"
4. Any questions regarding visa applications should be directed to your corresponding Consulate.
Required documents:
Please check with your Consulate for specific document requirements as they may vary depending on the specific consulate. Below are general guidelines.
Please, find your consulate here:
www.maec.es/SUBWEBS/EMBAJADAS/WASHINGTON/ES/MENUPPAL/SERVI CIOSCONSULARES/Paginas/Direc.%20Serv.%20Consulares.aspx
Link to the National Visa application form:
www.maec.es/es/MenuPpal/Consulares/Formularios/Documents/2010Solicitud% 20de%20visado%20nacional%20-%20EN.pdf
PLEASE, DO NOT PURCHASE ANY NON-REFUNDABLE, NON-CHANGEABLE PLANE TICKET until you have your visa in hand.
Although these are the general required documents, please check with your Consulate first:
- Passport. (Must be signed and valid for a minimum of three months beyond the expected day of return).
- 3 recent and original passport photos on white background.
- Original and photocopy of your Driver´s License or state issued ID and student ID if you have one.
- The original letter from the Autonomous Community offering you a position in Spain. *This letter is EXTREMELY IMPORTANT as it contains information about your grant, the duration of your stay in Spain, the school where you will be placed with name, address, and phone number and about the insurance policy.
- A money order for the visa processing fee: US$ 140 (for US citizens). Fee must be paid by money order, made payable to the Consulado General de España.
- Original medical certificate (please check with the Consulate about the specific content and translation requirements of this certificate) with the Apostille of the Hague: http://travel.state.gov/law/judicial/judicial_2545.html
- Original State Police Background Check (Certificate of Good Conduct *) Please, check with the Consulate about the translation requirements of this document and the need to have it certified with the Apostille of The Hague. *
- 3 National Visa application forms properly filled out.
5.2.2 Visa Application Form Tips
| Item: | Description: | You write: |
|---|---|---|
| 7. | Current nationality | USA or Canada |
| 12. | Type of travel document | Check off "Ordinary passport" |
| 20. | Main purpose of the journey | Check off "Studies" |
| 21. | Intended date of arrival in Spain | 01/09/2012 or other date you have planned |
| 22. | Number of entries requested | Check off "Multiple entries" |
| 23. | Applicant's address in Spain | Address of school or Consejería or Junta of your assigned region |
| 24. | Residence for family reunion | Leave blank |
| 25. | Residence for employee | Leave blank |
| 26. | Data of the educational establishment or research centre. . . | Contact information for your school or Consejería or Junta of your assigned region |
| 26. continued | Intended date of start of studies or research | 01/09/2012 or otherwise specified by acceptance letter. |
| 26. continued | Intended date of end of studies or research | 30/06/2012 or otherwise specified by acceptance letter. |
| 27. | Place and date | Your current city and state of residence and the date. Do not forget! |
| 28. | Signature | Don´t forget to sign! |
UPON ARRIVAL IN SPAIN
The visa you will get is ONLY VALID FOR 90 DAYS. Within the first 30 days after your arrival in Spain you need to take this visa, your original acceptance letter, your original health certificate and the original police record to the closest police station or immigration office (Oficina de Extranjería) and request your temporary resident alien ID card and number (NIE -Número de Identificación de Extranjero). Please ask for assistance at your school or from your regional education officers in Spain.
This NIE will cover the full stay in the country. APPLY FOR IT AS SOON AS YOU GET THERE. It may take a few weeks to get an appointment. Do not let your visa expire or you will have to return to the USA or Canada and apply for a new one
5.2.3 Consulate General of Spain: Which Consulate do you belong to?
Lista de Cónsules y Consulados de España en los Estados Unidos
(en español) (Septiembre de 2011)
Consulado General de España en Boston
31 St. James Avenue, Suite 905
Boston, MA. 02116
Tel. (617) 536-2506/2527
Fax: (617) 536-8512
E-mail: firstname.lastname@example.org
Jurisdicción: Maine, Massachussets, New Hampshire, Rhode Island, Vermont.
Consulado General de España en Chicago
180 N. Michigan Ave., Suite 1500
Chicago, IL 60601
Tef. (312) 782-4588/4589
Fax: (312) 782-1635
E-mail: email@example.com
firstname.lastname@example.org
Jurisdicción: Illinois, Indiana, Iowa, Kansas, Nebraska, North Dakota, South Dakota, Ohio, Kentucky, Michigan, Minnesotta, Missouri, Wisconsin.
Consulado General de España en Houston
1800 Bering Dr., Suite 660 Houston, TX 77057
Tel. (713) 783-6200/05/14
Fax: (713) 783-6166
E-mail: email@example.com
Jurisdicción: New Mexico, Oklahoma, Texas, Alabama, Arkansas, Louisiana, Mississippi,
Tennessee
Consulado General de España en Los Ángeles 5055 Wilshire Blvd., Suite 860 Los Angeles, CA 90036 Tel. (323) 938-0158/0166
Fax: (323) 938-2502
E-mail: firstname.lastname@example.org
Jurisdicción: California (condados de Imperial, Kern, Los Angeles, Orange, Riverside, Bernardino, San Diego, San Luis Obispo, Barbara y Ventura), Arizona, Colorado, Utah.
Consulado General de España en Miami
2655 Le Jeune Rd., Suite 203
Coral Gables, FL 33134
Tel. (305) 446-5511/12/13
Fax: (305) 446-0585
E-mail: email@example.com
Jurisdicción: Florida, South Carolina, Georgia
Consulado General de España en Nueva York
150 East 58th Street, 30 th & 31st Floors
New York, NY 10155
Tef. (212) 355-4080/81/82/85/90
Fax: (212) 644-3751
E-mail: firstname.lastname@example.org
Jurisdicción: New York, Connecticut, Delaware, Pennsylvania, New Jersey
Consulado General de España en San Francisco
1405 Sutter St.
San Francisco, CA 94109
Tel. (415) 922-2995/96
Fax: (415) 931-9706
E-mail: email@example.com
Jurisdicción: Alaska, California (salvo parte sur), Hawaii, Idaho, Montana, Nevada, Oregon,
Washington, Wyoming, posesiones estadounidenses en el Pacífico.
Consulado General de España en Washington DC
2375 Pennsylvania Ave., N.W. Washington D.C. 20037
Tef. (202) 728-2330
Fax: (202) 728-2302
E-mail: firstname.lastname@example.org
Jurisdicción: Maryland, Virginia, West Virgina, District of Columbia, North Carolina.
Consulado General de España en Puerto Rico
Edificio Mercantil Plaza, 11th. Floor of 1101 Hato Rey - Puerto Rico 00919 Enviar correspondencia a: Apartado Postal 9243 Santurce, PR 00908
Tef. (787) 758-6090/6142/6279
Fax: (787) 758-6948
E-mail: email@example.com
Jurisdicción: Puerto Rico, Islas de Culebra y Vieques, Islas Vírgenes.
5.3 Annex 3: Canadian Visa Application Instructions
CANADIAN ASSISTANTS APPLICATION FOR STUDENT VISAS
5.3.1 DOCUMENTATION:
To request a student visa, an applicant must submit the following documentation, both original and a copy:
- Valid passport with a minimum validity of 180 days prior to the arrival in Spain.
- A recent full-face photograph, Canadian passport size, in color, on a light, plain and uniform background, without dark glasses or any garment that may prevent from identification of the applicant.
- Proof of accommodation: Hotel reservation or confirmation letter from the Academic Institution indicating the conditions of the accommodation. Private housing must be accompanied by a letter of invitation issued by the owner.
- A medical certificate issued by the applicant's family doctor stating:
o General health condition.
o Absence of any infectious/contagious or parasitic diseases.
o Absence of any psychological illness or mental disorders.
o Absence of any drug addiction.
o It must contain the following text: This medical certificate states that Mr./Ms. … doesn't suffer from any of the illnesses which can seriously affect the public health according to the 2005 International Health Regulations.
- Negative criminal record issued by the authorities of the country or countries where the applicant has resided in the past 5 years, including Canada.
- Acceptance letter from the "Comunidad Autónoma" in Spain
- A completed and signed visa application form: Visa application form.pdf
- Flight reservation. We advise not to buy the ticket until the visa has been issued.
- Payment of consular fees: CAD $125.00. ONLY cash, money order or certified cheque payable to the Embassy of Spain will be accepted.
PROCESSING STUDENTS' VISAS CAN TAKE AT LEAST 45 DAYS.
5.3.2 APPLICATION:
Applicants should submit their visa application at the Consular Office or Consulate General corresponding to their province of residence:
- The consular jurisdiction of the Spanish Embassy in Ottawa includes only the National Capital Region (Ottawa and Gatineau).
Embajada de España Departamento de Visados 74 Stanley Ave. Ottawa, ON K1M 1P4
Tel.: 613- 747 2252 ext.1. Fax: (613) 744-1224
- The consular jurisdiction of the Consulate General of Spain in Toronto includes the provinces/territories of Alberta, British Columbia, Manitoba, Ontario (except Ottawa), Saskatchewan, Northwest Territories, Yukon and Nunavut.
Consulate General of Spain 2 Bloor Street East, Suite 1201 Toronto, Ontario M4W 1A8
Tel: 416 9771661. Fax: 416 5934949
E-mail: firstname.lastname@example.org
- The consular jurisdiction of the Consulate General of Spain in Montreal includes the provinces of Prince Edward Island, Nova Scotia, New Brunswick, Québec (except Gatineau), and Newfoundland and Labrador.
Consulate General of Spain 1 Westmount Square. Suite 1456 Montréal, Québec H3Z 2P9
Teléfono: 514 935 52 35. Fax: 514 935 46 55
Email: email@example.com
NB: Applicants residing in Ottawa or Gatineau, in Greater Toronto Area and vicinity or in Greater Montreal must apply in person at their respective Consular Offices or Consulate General. All other applicants may submit their application by mail. In this case, they should also provide a prepaid and self-addressed PRIORITY COURIER or XPRESSPOST envelope issued only by CANADA POST, for their documents to be returned.
UPON ARRIVAL IN SPAIN
The visa you will get is ONLY VALID FOR 90 DAYS. Within the first 30 days after your arrival in Spain you need to take this visa, your original acceptance letter, your original health certificate and the original police record to the closest police station or immigration office (Oficina de Extranjería) and request your temporary resident alien ID card and number (NIE -Número de Identificación de Extranjero). Please ask for assistance at your school or from your regional education officers in Spain.
This NIE will cover the full stay in the country. APPLY FOR IT AS SOON AS YOU GET THERE. It may take a few weeks to get an appointment. Do not let your visa expire or you will have to return to the USA or Canada and apply for a new one.
5.4 Annex 4: NIE Application
www.mir.es/SGACAVT/modelos/extranjeria/modelos_extranje/ex_14.pdf
5.5 Annex 5: Residence Application
www.mir.es/SGACAVT/modelos/extranjeria/modelos_extranje/ex_15.pdf
5.6 Annex 6: Glossary of Terms: Profex statuses GLOSSARY
Status in chronological order:
Pendiente de destino: destination not chosen on application. One must still choose 3 regional preferences.
Borrador: Draft application, NOT SUBMITTED
Inscrita: ONLINE APPLICATION SUBMITTED
Registrada: Paper application registered, has no real significance in the process.
Admitida: Application complete, application has been processed and has all required hard copy documents, eligible for assignment.
Adjudicada: Assigned. A regional placement offer has been assigned and made to the candidate.
Reserva: Reserve, wait list. The auxiliares norteamericanos program does not make use of this status; rather your application will stay in "admitida" status until we reach your application number.
Aceptada: Placement offer has been accepted by the candidate. The candidate has committed to participating for that region.
Renuncia: Decline of placement offer. The candidate is no longer eligible for any placement for the upcoming academic year.
Sin plaza: No placement.
Excluida: Excluded. Occasionally used to remove your application from the program. Usually if the candidate no longer wishes to be considered before assignments have been made.
Excluida global: Excluded from all vacancies for any programs offered that term.
Registro excluido: application excluded.
Annex 7: Organization of the Program by Office
Education Offices in Los Angeles, Miami, New York City, D.C. and Ottawa
- Intermediary between the D.C. office and the regional directors.
- Receive applications from corresponding states
Education Office, Washington, D.C.
- Assignment of REGIONAL placement
- Receives applications from corresponding states.
- May contact your region via Madrid if your acceptance letter is exceptionally late in arriving to you.
- Records withdrawals and reassign positions.
- General coordination of program in the United States and Canada.
Ministry of Education, Culture and Sports, Madrid
- General coordination of the program from Spain, regional directors, problem solving and disciplinary action.
- Receives applications for renewal candidates wishing to change regions.
Autonomous Regions
- Receive applications for renewal candidates wishing to remain in the same region
- Assign city and school placement.
- Coordination of orientation.
- Determine number of assistants needed, disciplinary action, recommendation letters.
*The General Consulates of Spain are part of the Ministry of Foreign Affairs and do not work directly with us. They are merely in charge of issuing visas and are no related to this aforementioned process.
5.7 Annex 8: Memorandum of Understanding between the New York State Department of Education and the Ministry of Education, Culture and Sports of the Kingdom of Spain.
El/la abajo firmante, Don/Doña ………………………….., ciudadano/a del Estado de Nueva York, declara que, de ser seleccionado/a para participar en uno de los programas desarrollados en escuelas públicas españolas, cumplirá la normativa española de confidencialidad, seguridad de los datos de sus alumnos y de sus evaluaciones, así como de cualquier otra información o documentación protegida por la ley.
Lo que se firma a los efectos del cumplimiento de lo dispuesto en el párrafo II.3.4 del Memorando de Entendimiento entre el Departamento de Educación del Estado de Nueva York y el Ministerio de Educación, Cultura y Deportes del Reino de España.
En Nueva York, a __ de ____ de 201__.
Firma: ___________________________
Nombre completo: ___________________________
The undersigned Mr/Ms ………………………………, citizen of New York State, hereby declares that if being appointed to take part in one of the programs developed in Spanish public schools will comply with all applicable Spanish laws and regulations, including those of confidentiality and security of student data and their assessment and other information or documents protected by law.
This is signed in compliance with Paragraph II.3.4 of the Memorandum of Understanding between the New York State Department of Education and The Ministry of Education, Culture and Sports of the Kingdom of Spain.
New York, __ day of___________, 201_.
Signature: ___________________________
Printed name: ___________________________
5.8 Annex 9: Testimonials and other links
The Pueblo Series:
www.pueblotheseries.com
YouTube:
www.youtube.com/watch?v=xoWTig68tn4&hd=1 (General)
www.youtube.com/watch?v=pwn-xkr5ia4 (Extremadura)
Testimonials:
www.educacion.gob.es/exterior/centros/losangeles/es/actividades/TestimoniosSeminarioAACC-09-09-11.pdf www.rtve.es/alacarta/videos/destino-espana/destino-espana-cantabria-iiialissa/1084130
|
Research Article
ISSN - 0975-7058
DEVELOPMENT AND VALIDATION OF METHAMPHETAMINE ANALYSIS IN SALIVA USING GAS CHROMATOGRAPHY-TANDEM MASS SPECTROMETRY
YAHDIANA HARAHAP 1 *, MUHAMMAD REZQI HAKIM 1 , KUSWARDANI SOEDIGDO 2
1Bioavailability/Bioequivalence Laboratory, Faculty of Pharmacy, Universitas Indonesia, Depok, 16424, Indonesia. 2BNN's Drugs Testing Laboratory, Jakarta, 12940, Indonesia. Email: firstname.lastname@example.org
Received: 08 June 2018, Revised and Accepted: 09 August 2018
ABSTRACT Objective: The aim of this study was to develop and validate analytical methods for determining methamphetamine in saliva using gas chromatographytandem mass spectrometry (MS).
Results: The validation of analytical methods for methamphetamine satisfies the validation criteria by the EMEA Guidelines 2011. Bioanalytical methods obtained were linear in the concentration range from 15.0 to 300.0 ng/mL with r>0.9999. Sample preparation was done using liquid–liquid microextraction with cyclohexane, supernatant residue was dried and reconstituted with approximately 100 µL of methanol. Conclusion: The method was successfully applied to saliva samples of methamphetamine users with levels in the range of test. Keywords: Methamphetamine, Optimum, Validation, Human saliva, Ephedrine HCl. © 2018 The Authors. Published by Innovare Academic Sciences Pvt Ltd. This is an open access article under the CC BY license (http://creativecommons. org/licenses/by/4. 0/) DOI: http://dx.doi.org/10.22159/ijap.2018.v10s1.20
Methods: The chromatography conditions were DB MS-5 capillary columns with a length of 30 m, inner diameter of 0.25 mm, mobile phase of Helium gas 99.999%, flow rate of 0.8 mL/min, detection of MS at m/z values of 58.00 and 91.00, respectively, and ephedrine HCl as the internal standard.
INTRODUCTION Methamphetamine, known as shabu in Indonesia, is a very strong central nervous system stimulant from the amphetamine group [1,2]. To determine the evidence of methamphetamine abuse, a test to detect methamphetamine in the body is required. Methamphetamine levels in the body are usually detected using the blood and urine [1-4]. However, saliva is simpler to obtain and more efficient sample for methamphetamine tests in the body [4].
usage, whereas the maximum concentration in blood plasma can reach 35 ng/mL 4 h after usage [7]. Meanwhile, maximum concentration of methamphetamine in urine can reach 4500 ng/mL 16 h after usage [8]. Therefore, an analysis method that is sensitive and selective is needed if saliva is to be used as a biological test sample.
Narcotics are substances or drugs, derived from herbs or synthetic, that can cause altered levels of consciousness, loss of sensation, reduction in pain, and addiction [1]. Narcotics are also needed to treat certain diseases but, if misused, can be disadvantageous to the person and, moreover, to the community. In the year 2013, the amount of confiscated shabu rapidly increased compared with that in the year 2012 [5]. This shows that methamphetamine is a drug which is used a lot in society.
According to a previous research, methamphetamine can be extracted from saliva using a liquid–liquid extraction method. Along with the development of an analysis instrument, the modern analytical chemistry trend has shifted to simplification and minimalization of sample preparation. Currently, many innovative microextraction techniques have been developed which can simplify the sample preparation procedure and increase quality and sensitivity of the analysis. In the previous studies, liquid–liquid extraction was combined with GC, capillary electrophoresis, and high-performance liquid chromatography [9-11]. This technique was suitable for forensic examination of drug abuse using minimal sample volume and short analysis time.
Unlike urine samples, saliva can be collected under supervision without disturbing privacy. Most drugs are bound strongly to blood protein, based on the consideration that only free fractions of a drug are pharmacologically active. Saliva contains only a small part of the free fraction of drug. This can be filtrated from the salivary tissue, including the capillary wall, basal membrane, and epithelial cells of salivary glands [6].
In Indonesia, drug abuse is a criminal act and needs to be judged by the law; thus, its intake needs to be proven. Until now, urine, blood, hair, and other body part tests have been performed to determine the presence of the drug in the body. The oral liquid or saliva test is a fast and noninvasive alternative to these tests. The main analyte is suspected to not undergo metabolism in the saliva. In addition, while collecting blood samples requires professional skills, collecting saliva does not [6].
Methods to analyze methamphetamine in saliva samples using gas chromatography-tandem mass spectrometry (GC-MS) are still limited. According to other studies, the maximum concentration of methamphetamine in saliva can reach 300 ng/mL 4 h after drug
In this study, the aim of this was to determine the concentration of methamphetamine in saliva samples using GC-MS with microextraction methods, using cyclohexane as a solvent extractor and ephedrine HCl as an internal standard. This method can hopefully be applied in the forensic laboratory to test for methamphetamine abuse.
Equipment GC-MS (Shimadzu GCMS-QP2010 Ultra), equipped with DB-5 MS Capillary Column (0.25 mm x 30 m; 0.25µm), data processing software (Windows Software) and a computer (HP).Other equipments were microcentrifuge (Spectrafuge 16M), analytical balance (Sartorius), ultrasonic mixer (Mmert, vortex, and micropipette (Eppendorf)
The 2
MATERIALS AND METHODS
Materials Materials used in the research were as follows: Methamphetamine standard (Cerrilant); internal standard ephedrine HCl (NADFC); methanol, cyclohexane, chloroform, and NaOH were purchased from
Physics and Technologies in Medicine and Dentistry Symposium (PTMDS), Universitas Indonesia. Depok, Indonesia
Merck; Aquabidest (Ikapharmindo); control saliva sample, and saliva sample from a drug user (Indonesian National Narcotics Agency).
Instrumentation and chromatography conditions GC was performed at a column temperature of 280°C and flow rate of 0.8 mL/min. The mobile phase used was helium 99.999%. Injection volume was 1 µL.
Standard solution, internal standard, and quality control (QC) solution Methamphetamine standard (0.1 mL) was pipetted into a 10.0 mL volumetric flask. The substance was dissolved in 2 mL of methanol; then, methanol was added to the limit of the flask. The concentration of standard solution was 0.01 mg/mL. Ephedrine was used as internal standard and was weighed 5.0 mg and then added to a 5.0 mL volumetric flask. The substance was dissolved in methanol (2 mL), and then, methanol was added to the limit of the volumetric flask. The internal standard solution obtained had a concentration of 1.0 mg/mL. The internal standard solution and standard solution were then stored at 4°C.
The ionization parameters were as follows: Capillary pipe voltage, 3.5 kV; ion source temperature, 230°C, interface temperature, 250°C; and solvent cut time, 1.5 min. The m/z value obtained was the ratio of the main ion molecular weight and product ion molecular weight. The m/z values used in the methamphetamine and ephedrine HCl analyses were 58.00 and 91.00, respectively.
Sample preparation Sample preparation was performed with saliva containing methamphetamine. The solvent containing 300 µL cyclohexane and 100 ng/mL internal standard ephedrine HCl was added into the tube. The tube was sonicated at 55°C for
After determining optimum conditions for methamphetamine analysis, mixed solutions of methamphetamine and internal standard were injected 6 times and coefficients of variation (CV) for retention times and areas under the curve for each substance were then calculated as peak area ratio (PAR), which a CV should be <2.0%. From this experiment, PAR was obtained with a CV of <2.0% (Table 1).
A calibration curve of standard solution was prepared by dissolving the standard solution (methamphetamine, 1000 ng/mL) until a concentration of 15–300 ng/mL was obtained. The methamphetamine solution was then dissolved with saliva to obtain a concentration range of 20–300 ng/mL. The correlation coefficient (r) of the linear regression line equation was calculated to obtain a linearity curve. The result showed that %diff obtained A was not exceeding ±15% for all concentrations, except LLOQ. LLOQ value obtained was not exceeding ±20%.
Accuracy and precision were determined by preparing a standard solution of methamphetamine at the concentration of LLOQ, QCL, QCM, and QCH. Sample preparation was performed using saliva, and 1 μL of the solution injected to the GC-MS system. Accuracy was calculated from the %diff value to see the relationship between the concentrations obtained from measurement compare to the actual concentration. The test was conducted within-run and between-run. Accuracy was calculated using at least four concentrations of standard solution, with each of them replicated 5 times. The within-run test was conducted 3 times on at least two different days. Value %diff and % CV were not to exceed ±15% for all concentrations, except LLOQ (not exceeding ±20%). Value of recovery was calculated by comparing the area of the extraction result to the area of standard solution of the same concentration.
7 min. The tube was then centrifuged for 5 min at 3000 rpm. The supernatant was pipetted to other tube to be evaporated. The residue was reconstituted with 100 µL methanol and mixed by vortex for 10 s. The solvent was subsequently inserted into the autosampler vial, and 1 µL of the sample was injected into the GC-MS system (Fig. 1).
Selectivity of the method was determined by preparing saliva which contained the standard methamphetamine solution at the LLOQ concentration, and then, sample preparation was performed at 15 ng/mL. The value of %diff and % CV was not to exceed ±20%. The test was conducted using saliva from six different sources, and for each of these, a blank measurement was done with the LLOQ concentration and replicated twice.
Carryover was performed by preparing the blank saliva solution and samples which contained methamphetamine at upper LOQ (ULOQ). Aliquot from the extraction process of blank saliva (1 μL) was injected into the GC-MS system after injecting the standard solution which contained methamphetamine at the concentration of the ULOQ. Peak area of methamphetamine and the internal standard that appeared in the blank was observed. This test was replicated 5 times.
Bioanalysis method validation The lower limit of quantification (LLOQ) was determined by dissolving the lowest concentration from the methamphetamine calibration curve (15 ng/mL) until it was halved and then quartered. The concentration of the solution was then calculated by injecting it into the GC-MS. This assay was replicated 5 times. From the calculated concentration, the percentage difference (% diff) system and CV were obtained with a requirement of <±20%.
The matrix effect was determined by preparing a blank saliva for sample preparation. The acquired supernatant was then added with methamphetamine of low concentration (QCL) and high concentration (QCH) and, thus, added the internal standard (100 μg/mL). The final solution (1 μL) was then injected into the GC-MS system. After that, the standard methamphetamine solution was prepared at low concentration (QCL) and high concentration (QCH) and the internal standard at
The integrity of dilution was determined by preparing a sample saliva which contained methamphetamine at the concentration of 225 ng/mL. The solution was dissolved with blank saliva until halved and also a quarter of the concentration was acquired. The dilution solution was then prepared, and 1 μL of the final solution was injected into the GC-MS system. The test was replicated 5 times to acquire accuracy and precision.
Table 1: System suitability test results*
The 2 Physics and Technologies in Medicine and Dentistry Symposium (PTMDS), Universitas Indonesia. Depok, Indonesia
99
CV (%)
0.06
0.01
PAR: Peak area ratio, CV: Coefficients of variation, SD: Standard deviation
0.61
1.34
1.1941
The stability test included stock solution stability, long-term stability (30 days), and short-term stability (0, 6, and 24 h) and autosampler stability (0 and 24 h). For the stock solution stability test, a QC sample of methamphetamine at low and high concentrations was prepared and stored at −20°C. For the short-term stability test, saliva was kept at room temperature. Autosampler stability was performed by reserving the sample, which was injected at 0 and 24 h.
Determining the LLOQ The value of LLOQ was determined by preparing a calibration curve of a standard solution with concentrations of 15–300 ng/mL. The 15 ng/mL concentration of standard solution was considered as the temporary LLOQ, and then, this was repeated 5 times. The value of %diff and CV at the concentration of 15 ng/mL fulfilled the accuracy and precision criteria, which was <±20%. Subsequently, the solution was diluted to half (7.5 ng/mL) and five replicas were made, but the results did not fulfil the criteria.
RESULTS AND DISCUSSION
Linearity/calibration curve For analyzing methamphetamine in saliva, a calibration curve was prepared with a range of 15–300 ng/mL. The calibration curve was prepared using blank saliva (saliva without the analyte and internal standard), zero sample (saliva with the internal standard), and non-zero saliva (saliva with the analyte and internal standard) at seven concentrations: 15, 30, 50, 75, 100, 200, and 300 ng/mL.
Accuracy, precision, and recovery test At the within-run measurement of accuracy, the %diff value obtained for LLOQ concentration was within the range of −2.07%–+7.65% and for QC concentration was within the range of −6.10%–+6.97%. The within-run measurement of precision obtained a CV value of <5.14% for LLOQ and QC concentration. For the within-run measurement, the accuracy obtained for LLOQ concentration was a %diff value ranging from −19.81% to +18.87% and for QC concentration was from −4.43% to +8.77%. The between-run for precision the CV value was <15.5%. The values of %diff and CV for the within-run and between-run tests fulfilled the requirements for accuracy and precision.
A calibration curve was prepared for every analysis to minimalize the possibility of measurement error because of the changing conditions
Calibration curve analysis was conducted by looking at the linearity parameter (r>0.9990) and accuracy (%diff not exceeding ±15%, except for LLOQ concentration [not exceeding ±20%]). One of the measurements of the calibration curve is shown in Fig. 2. The calibration curve produced the following linear regression equation: y=0.0004+0.0005x with r=0.9999; where x is the methamphetamine concentration (ng/mL) and y is PAR between methamphetamine and internal standard ephedrine HCl.
100 μg/mL. The solution (1 μL) was then injected into the GC-MS. The matrix effect was obtained by calculating the matrix factor, which was to compare the peak area of methamphetamine and internal standard within the saliva and the peak area of methamphetamine and internal standard within the standard solution. The matrix factor was normalized by the internal standard and then counted by dividing the matric factor of analyte with the matrix factor of internal standard. The matrix effect was fulfilled the criteria because % CV value for each concentration not exceeding 15%.
Fig. 2: Methamphetamine calibration curve of the GC-MS system on different days. Therefore, the calibration curve had to fulfil the precision criteria every time a calibration curve was made, by looking at the CV value of each of the concentrations of the calibration curves (not exceeding ±15%; except LLOQ, which was not exceeding ±20%). According to data, the CV value that was obtained did not exceed ±15% for all concentrations, including LLOQ, with a mean r of 0.9990 (Fig. 2).
Carryover The result achieved from peak area percentage from blank saliva at methamphetamine retention time <8.33% with mean of 5.90%, so it fulfilled the requirement of <20%. The peak area percentage for blank saliva and ephedrine HCl retention time was <0.51% with a mean of 0.40%.
The 2 Physics and Technologies in Medicine and Dentistry Symposium (PTMDS), Universitas Indonesia. Depok, Indonesia
100
Dilution integrity The methamphetamine solution in the saliva was made with QCH concentration (225.0 ng/mL). Then, dilution was done to halve the concentration to 112.50 ng/mL and halved again to 56.25 ng/mL. The
integrity test for methamphetamine dilution fulfilled the requirements of value %diff at the half QCH concentration (−6.48–− to tion w at the quarter of QCH (–8.30–− to tion w at the quarter was obtained was 2.11% for half ULOQ and 1.29% for quarter ULOQ. With this method, it can be concluded that dilution will not influence the accuracy and precision.
Matrix effect The matrix effect of methamphetamine was 80.79% at QCL and 73.73% at QCH. That result showed that ionization suppression happened to the analyte which was possibly caused by the existence of many matrices other than the analyte that can disturb the ionization process during MS. The CV value from the analyte fulfilled the requirements of EMEA (CV value achieved from six different saliva sources not exceeding 15%).
Selectivity The selectivity test was performed using the analyte with LLOQ concentration (15 ng/mL) and blank saliva from six different sources. This was done to look at the ability of the analysis method in the quantitative measurement of LLOQ concentration and to observe any interference of blank saliva using different saliva. In this research, the value % analyte interference was obtained at 8.42–11.61% and fulfilled the requirement of <±20%, with a CV for LLOQ of 11.13%. Other than that, the percentage interferences of internal standard ephedrine HCl was obtained at 0%.
Stability test The short-term stability test of the stock solution was conducted for 24 h at room temperature, and the long-term stability test for 30 days at 4°C. The results obtained were: %Diff value for the stability of methamphetamine stock solution in short term: −0.14% to 0.16%; and %diff value for stability for ephedrine HCl stock solution in short term: −1.09–1.08%. This result shows that the stock solution of methamphetamine and ephedrine HCl was stable when kept at room temperature for at least 24 h. For long-term stability, value %diff for stock solution of methamphetamine was −0.08–+0.07% and for ephedrine HCl was −1.92–− to % and fo days storage at temperature of 4°C. Based on these results, the stock solution for methamphetamine and ephedrine HCl can be stored for at least 30 days.
The short-term stability test was performed by storing QCH and QCL at room temperature for 24 h and then observed for its stability at 0, 6, and 24 h. The %diff value after 24 h for QCL concentration starts from 7.21% up to 9.19% and for QCH start from 4.47% up to 9.03%. This showed that methamphetamine in saliva can be kept at room temperature for at least 24 h. The long-term stability test was done by keeping QCL and QCH at −4°C for 30 days and then analyzed at day 0 and day 30. According to the result, the value %diff at day 30 of QCL concentration was between −5.20% and −nd day This showed that methamphetamine in saliva was stable and can be stored at a temperature of −4°C for at least 30 days.
CONCLUSION The developed method for determination methamphetamine in saliva was simple and easy with liquid-liquid microextraction. The method was valid and linear at the concentration range of 15.0–300.0 ng/mL with r >0.9999 and can be applied to saliva samples of methamphetamine users. Furthermore, the stock solution of methamphetamine and ephedrine HCl was stable when kept at room temperature for at least 24 h and can be stored for at least 30 days.
REFERENCES
CONFLICTS OF INTEREST The authors have no conflicts of interest.
1. President of Republic Indonesia Decree. Republic Indonesia Decree No. 35 in 2009 About Drugs. 1 st ed. Jakarta: Cipta Karya; 2009.
2. United Nations, O. on D. C. Amphetamine, Methamphetamine and their Ring-Substituted Analogues in Seized Materials; 2006. Available from: https://www.unodc.org/pdf/scientific/stnar34.pdf.
3. Nakashima K, Kaddoumi A, Ishida Y, Itoh T, Taki K. Determination of methamphetamine and amphetamine in abusers' plasma and hair samples with HPLC-FL. Biomed Chromatogr 2003;17:471-6.
4. Cheung S, Nolte H, Otton SV, Tyndale RF, Wu PH, Sellers EM, et al. Simultaneous gas chromatographic determination of methamphetamine, amphetamine and their p-hydroxylated metabolites in plasma and urine. J Chromatogr B Biomed Sci Appl 1997;690:77-87.
5. Indonesian National Narcotics Agency. Final National Survey in Development of Drug Abuser in 2004. Jakarta: BNN; 2014.
6. Elmongy H, Abdel-Rehim M. Saliva as an alternative specimen to plasma for drug bioanalysis: A review. Trac Trends Analyt Chem 2016;83:70-9.
7. Schepers RJ, Oyler JM, Joseph RE Jr., Cone EJ, Moolchan ET, Huestis MA, et al. Methamphetamine and amphetamine pharmacokinetics in oral fluid and plasma after controlled oral methamphetamine administration to human volunteers. Clin Chem 2003;49:121-32.
8. Huestis MA, Cone EJ. Methamphetamine disposition in oral fluid, plasma, and urine. Ann N Y Acad Sci 2007;1098:104-21.
9. Meng P, Wang Y. Small volume liquid extraction of amphetamines in saliva. Forensic Sci Int 2010;197:80-4.
10. Bahmanabadi L, Akhgari M, Jokar F, Sadeghi HB. Quantitative determination of methamphetamine in oral fluid by liquid-liquid extraction and gas chromatography/mass spectrometry. Hum Exp Toxicol 2017;36:195-202.
11. Marilyn AH, Edward JC. Methamphetamine disposition in oral fluid, plasma, and urine. Ann N Y Acad Sci 2007;1098:104-21.
|
For professional investors only – not for use by retail investors or advisers. In Switzerland for qualified investors only.
Private equity barometer
Q1 2020 figures based on preliminary data from Unquote, Europe's specialist private equity information provider
Private equity dealflow suffers considerable Q1 slump
-29%
For professional investors only –
Not for use by retail investors or advisers.
02
Q1 2020 Preliminary Data
Contents
Key Findings
Overall European private equity
* European private equity suffered a slow start to the year, recording 702 deals in Q1 2020, down 29% on Q4 2019.
* Despite the contraction in dealflow, a substantial amount of capital was deployed in Q1, with quarterly deal value growing modestly to the highest level since Q2 2018.
* Average deal value was €99m in Q1 2020, the largest since Q2 2018.
Buyouts
* The number of buyouts declined to 223 in Q1 from 304, a fall of 27%.
* Buyout value rose 7% on Q4 to €59.8bn, posting its highest figure since Q2 2018.
* Dealflow edged down in all three value ranges – the small-cap (<€100m), mid-cap (€100m-1bn) and large-cap (>€1bn).
* The number of small-cap deals fell to 175 from 240, a fall of 27%.
* Mid-cap deals decreased to 39 deals from 51, reaching the lowest amount in at least 10 quarters, with value falling to €10.3bn from €12.9bn.
* There were nine large-cap deals, down from 14, but value climbed to €43.4bn from €34.2bn, reaching its highest figure since Q1 2018.
* Buyout volumes declined in all regions except for France. The steepest falls were in southern Europe, with a drop from 56 to 24; CEE, down from 16 to four; and in the Nordic region, from 34 to 21.
* Deal value went down in all regions except for France and DACH. It decreased by 58% in Benelux, by 75% in the Nordic region, by 22% in southern Europe, by 41% in the UK & Ireland and by 83% in CEE.
* France was the only region that had a robust quarter with 55 investments worth €13.4bn. Volume was up 8% and value almost tripled on the previous quarter.
03
* Dealflow in the DACH region fell sharply from 53 to 35, while deal value doubled to €24.1bn on the previous quarter.
* In terms of deal sourcing, there was a significant decrease in the number of secondary buyouts and transactions involving family/private vendors.
* The largest deal was Advent International and Cinven's €17.2bn majority investment in Thyssenkrupp Elevator, a Germanybased manufacturer of elevators, escalators and moving walkways.
Growth Capital
* Growth capital dealflow lost momentum in Q1, with volume falling to 369 from 432 in the previous quarter.
* Total capital deployed in Q1 edged down to €8.6bn from €11.3bn
* DACH and France were the largest contributors to growth capital deal value, with €1.7bn and €1.5bn respectively.
* The largest deal was the minority reinvestment by Reinet Fund, Abu Dhabi Investment Authority and CVC Capital Partners in Pension Insurance Corporation, a UK-based provider of bulk annuities to corporate pension schemes.
Early-stage
* Early-stage deal volume dropped 19% in Q1 compared with the previous quarter, to 110 from 135.
* The amount of capital invested went down by 25% to €918m, losing its momentum and failing to cross the €1bn line.
* DACH was the largest contributor to early-stage deals in Q1, with 47 deals worth €451m.
* A consortium led by General Atlantic led the largest investment round of Q1, with a €117.94m investment in UK-based Immunocore.
Year of sustained growth finally halted in Q1 2020
Overall European private equity
The European private equity market cooled in Q1, after an especially active Q4 2019. The market showed signs of an abundance of capital chasing too few assets.
Dealflow significantly slowed, falling from 872 to 702 deals in Q1. Deal volume had been gradually increasing since the beginning of 2019 but failed to continue its upward trend in Q1 2020. Meanwhile, total deal value came in at €69.3bn. It was slightly up on Q4, posting its third highest figure in the last decade.
Q4 aggregate value was boosted mostly by a 27% growth in the number of large-cap buyout deals, which also helped to offset a fall in the value of small- and mid-cap buyout investments in Q1.
Deal numbers decreased in the buyout, growth capital and early-stage segments in Q1. The number of buyouts dropped to 223 from 304, while growth capital deal volume fell from a 10-year high, dipping to 369 from 432. Early-stage dealflow also lost its momentum in Q1 as deal volume declined from 135 (its highest figure on record) to 110.
The aggregate deal value of buyout investments went up 6% in Q1, hitting €59.8bn, its third highest level over the 10-quarter period. Meanwhile, deal value contracted across other segments. Growth capital values edged down to €8.6bn from €11.3bn and early-stage to €918m from €1.2bn. Early-stage and expansion deal value is in line with their respective averages over the previous 10 quarters, while total buyout value is above it.
"The market showed signs of an abundance of capital chasing too few assets."
For Investment Professional use only. Not for further distribution
For Investment Professional use only. Not for further distribution
05 05
Quarterly Focus
PE faces rapidly changing landscape
It is hard to believe as we move into the second quarter of 2020 that the current global pandemic crisis is less than four months old: it was not until January 7th this year that officials of the World Health Organisation announced that they had identified the novel '2019-nCoV' virus. But such has been the speed that barely 10 weeks after the first cases were identified in Europe, economies have ground to a standstill and M&A activity has been hit hard.
As the stats in this report show, private equity dealflow has clearly been affected already, with overall transaction volumes down by some 19% and buyout numbers down by 27%. It is also notable that the rate of activity has fallen most sharply in southern Europe – the continent's worst-hit area – with buyout numbers more than halving from their (admittedly robust) Q4 2019 levels.
In recent weeks, Unquote has sought to canvass opinions from many quarters of the PE industry in order to assess the ongoing impact of the coronavirus on activity levels. Anecdotal reports clearly show that the market has already seen a tangible shift, with some later-stage deals still going through, other deals being renegotiated, and some transactions being cancelled altogether. Aside from the logistical problems caused by not being able to visit potential investees, or carry out meaningful due diligence exercises, there will obviously have been a sharp change in the mentality of vendors: now is not a good time to be divesting,
For Investment Professional use only. Not for further distribution unless it is forced in a distressed situation; vendors in the current climate are more likely to try to ride out the storm and try to sell at a more opportune time.
In addition, it is much more likely that GPs' attentions are going to be diverted to focus on addressing liquidity issues within existing portfolio businesses, helping them to ride the storm. And this, according to one commentator, is where today's private equity community is perhaps better placed to help than it was in previous downturns or times of stress: "PE firms tend to have more operational expertise today than they did during the global financial crisis (GFC), which should hopefully mean a greater ability to guide management teams through this crisis."
Nevertheless, in the short term it seems fair to assume that the impact on the market – especially in terms of buyout activity – is only just beginning. Although some of the hardest hit regions are now cautiously looking at easing some of the more punishing restrictions, it is very likely that buyout dealflow will fall further in Q2 and possibly in Q3 as well.
On the flip side, the slow down on the earlier-stage investment side has not be so pronounced. The flow of growth and venture capital into sectors that may prove relatively defensive through this downturn – such as healthcare providers, med-tech and technology generally – may soften the decline in deal numbers.
Buyouts
A slowdown at the smaller end of the market dented overall buyout volumes in Q1. There were 223 buyouts over the quarter, a 10-quarter low and a sizeable drop from the 305 deals completed in Q4.
Deal volumes fell in all buyout value ranges in Q1. There were 175 small-cap deals, down from 240 in Q4, and 39 mid-cap deals, down from 51 – both posting their lowest figures in the last 10 quarters. The number of large-cap buyouts also weakened but not dramatically so: there were nine deals, down from 14 in Q4 2019.
Nevertheless, buyout deal value continued its upward trend after beginning to gain momentum at the beginning of 2019. It rose on Q4 to €59.8bn, reaching its third highest level over the 10-quarter period. In the large-cap segment, deal value increased to €43.4bn from €34.2bn, posting its second highest figure in the last 10 quarters, with values declining in the mid- and small-cap range. Q4 saw the signing of nine €1bn+ mega-buyouts, which significantly boosted value.
The strongest region for buyouts was France, where the total reached 55, increasing 8% and gaining momentum after the weak Q4. Meanwhile, deal volume declined in all other regions, with the
07
sharpest fall in the southern Europe, Nordic and CEE areas. In the UK & Ireland deal volume dropped by 16%, in DACH by 34%, in the Nordic countries by 38%, in southern Europe by 57%, and in the CEE by 75%. In Benelux, deal volume decreased from 32 to 31.
In terms of deal value, the DACH region and France had their strongest quarter in the last 10. DACH recorded €24.1bn in aggregate buyout value, up from €12.5bn in Q4, while France had €13.4bn, up from €5bn in Q4. In all other regions it decreased – by 58% in Benelux, by 75% in the Nordic region, by 24% in southern Europe, by 41% in the UK & Ireland and by 80% in the CEE.
Breaking the data down by vendor type reveals that the number of secondary buyouts fell 31% in Q1, while carve-outs from foreign parent companies rose by 27% and carve-outs from local parent companies fell 26%. There were 129 buyouts sourced from family and private owners in Q1, a significant drop from 176 in the previous quarter.
The largest buyout deal was Advent International and Cinven's majority investment in Thyssenkrupp Elevator, a Germany-based manufacturer of elevators, escalators and moving walkways. The deal has been reported to be €17.2bn.
| | Volume | Value €bn |
|---|---|---|
| Q4 2017 | 260 | 39.6 |
| Q1 2018 | 254 | 67.3 |
| Q2 2018 | 288 | 63.8 |
| Q3 2018 | 284 | 50.1 |
| Q4 2018 | 262 | 29.2 |
| Q1 2019 | 243 | 44.4 |
| Q2 2019 | 282 | 47.5 |
| Q3 2019 | 324 | 55.0 |
| Q4 2019 | 305 | 56.4 |
| Q1 2020 | 223 | 59.8 |
| 2018 | 1,088 | 210.3 |
| 2019 | 1,154 | 203.2 |
| 2020 | 223 | 59.8 |
1
0
09
"Barely 10 weeks after the first cases of coronavirus were identified in Europe, economies have ground to a standstill and M&A activity has been hit hard."
| | <€100m Volume | % | €100m-1bn Volume | % | ≥€1bn Volume | % |
|---|---|---|---|---|---|---|
| Q4 2017 | 193 | 74% | 59 | 23% | 8 | 3% |
| Q1 2018 | 192 | 76% | 49 | 19% | 13 | 5% |
| Q2 2018 | 182 | 63% | 89 | 31% | 17 | 6% |
| Q3 2018 | 214 | 75% | 56 | 20% | 14 | 5% |
| Q4 2018 | 192 | 73% | 66 | 25% | 4 | 2% |
| Q1 2019 | 170 | 70% | 62 | 26% | 11 | 5% |
| Q2 2019 | 216 | 77% | 57 | 20% | 9 | 3% |
| Q3 2019 | 231 | 71% | 84 | 26% | 9 | 3% |
| Q4 2019 | 240 | 79% | 51 | 17% | 14 | 5% |
| Q1 2020 | 175 | 78% | 39 | 17% | 9 | 4% |
39.6
67.3
63.8
50.1
29.2
44.4
47.5
55.0
56.4
59.8
| | <€100m Value (€bn) | % | €100m-1bn Value (€bn) | % | ≥€1bn Value (€bn) | % |
|---|---|---|---|---|---|---|
| Q4 2017 | 7.2 | 18% | 14.6 | 37% | 17.8 | 45% |
| Q1 2018 | 6.9 | 10% | 12.5 | 19% | 47.8 | 71% |
| Q2 2018 | 6.8 | 11% | 24.1 | 38% | 32.8 | 51% |
| Q3 2018 | 7.7 | 15% | 14.5 | 29% | 27.8 | 56% |
| Q4 2018 | 6.4 | 22% | 15.1 | 52% | 7.7 | 26% |
| Q1 2019 | 6 | 13% | 19 | 43% | 19.5 | 44% |
| Q2 2019 | 7.2 | 15% | 14.4 | 30% | 25.9 | 55% |
| Q3 2019 | 8.1 | 15% | 24.9 | 45% | 22 | 40% |
| Q4 2019 | 8.6 | 15% | 13.6 | 24% | 34.2 | 61% |
11 11
| Volume | | |
|---|---|---|
| Q4 2019 | Q1 2020 | Q4 2019 |
| 32 | 31 | 4,492 |
| 53 | 35 | 12,546 |
| 51 | 55 | 5,097 |
| 34 | 21 | 2,785 |
| 56 | 24 | 6,699 |
| 63 | 53 | 24,165 |
| 16 | 4 | 575 |
| 305 | 223 | 56,359 |
Ten largest European private-equity-backed buyouts, Q1 2020
| Deal name | Country | Value (€m) |
|---|---|---|
| Thyssenkrupp Elevator | Germany | 17,200 |
| Ceva Santé Animale | France | 4,900 (est) |
| Viridor | UK | 4,886 |
| Cobham | UK | 4,875 |
| Veeam | Switzerland | 4,458 |
| Galileo Global Education | France | 2,500 (est) |
| Gerflor | France | 1,650 (est) |
| Engineering Ingegneria Informatica | Italy | 1,600 (est) |
| Golden Goose | Italy | 1,280 |
Growth capital
Growth capital activity lost its momentum in Q1 after a strong end to the previous year. Both deal value and volume slipped back to levels registered in the first half of 2019 – deal volume was the lowest since Q2 2019 and the total amount of capital invested was the lowest since Q1 2019.
Dealflow dropped to 369 in Q1 from 432 in Q4, while value slid to €8.6bn from €11.3bn. While down on the previous quarter, deal volume was higher than its average over the previous 10 quarters, and value was in line with its average.
On top of fewer investments being completed, the total amount invested per deal has fallen. The average equity edged down to €23.2m from €26.2m, its lowest figure since Q3 2018. Average
For Investment Professional use only. Not for further distribution
| | Volume | Value €bn |
|---|---|---|
| Q4 2017 | 247 | 6.3 |
| Q1 2018 | 276 | 6.2 |
| Q2 2018 | 313 | 6.1 |
| Q3 2018 | 272 | 5.9 |
| Q4 2018 | 278 | 7.0 |
| Q1 2019 | 318 | 8.5 |
| Q2 2019 | 353 | 12.9 |
| Q3 2019 | 409 | 10.0 |
| Q4 2019 | 432 | 11.3 |
| Q1 2020 | 369 | 8.6 |
| 2018 | 1,139 | 25.2 |
| 2019 | 1,512 | 42.7 |
| 2020 | 369 | 8.6 |
investments have been above €20m in every quarter since Q3 2018.
As is normally the case, the UK & Ireland was the largest contributor to both deal volume and value, with 105 investments worth €3.9bn. Growth capital volume in the region actually lost some momentum in Q1, falling 15% on the previous quarter, though the value figure stayed in line.
The largest growth capital deal was Reinet Fund, Abu Dhabi Investment Authority and CVC Capital Partners' minority reinvestment in Pension Insurance Corporation, a UK-based provider of bulk annuities to corporate pension schemes. The deal has been reported to be €892m.
Ten largest European private-equity-backed growth capital deals, Q1 2020
| Country | Value (€m) |
|---|---|
| UK | 892 |
| UK | 452 |
| France | 178 (est) |
| Sweden | 140 |
| UK | 136 |
| UK | 134 |
| France | 124 |
| UK | 116 |
| France | 104 |
| France | 100 |
Deal volume and value came back to their normal levels, after hitting an all-time high in Q4 2019. The number of deals completed in Q1 dropped 19% – there were 110 investments, down from 135 in Q4 2019.
Deal value lost its momentum and failed to cross the €1bn line. The amount of capital invested in early-stage deals decreased 25%, posting its figure at €918m, down from €1.2bn in Q4 2019.
Despite the recent slowdown in volume and value, the average investment size was in line with previous quarters, at €8.3m. The average early-stage equity ticket has been at least €8m since Q3 2019.
For Investment Professional use only. Not for further distribution
| | Volume | Value €m |
|---|---|---|
| Q4 2017 | 111 | 1027 |
| Q1 2018 | 119 | 830 |
| Q2 2018 | 115 | 1026 |
| Q3 2018 | 105 | 1017 |
| Q4 2018 | 80 | 778 |
| Q1 2019 | 90 | 697 |
| Q2 2019 | 90 | 611 |
| Q3 2019 | 111 | 947 |
| Q4 2019 | 135 | 1215 |
| Q1 2020 | 110 | 918 |
| 2018 | 419 | 3,651 |
| 2019 | 426 | 3,470 |
| 2020 | 110 | 918 |
Technology and healthcare were the most popular targets in the previous quarter, while pharmaceuticals became highly sought after for large-ticket investments.
As is normally the case, the DACH region was home to the greatest number of early-stage deals (47) and the largest early-stage investment in Q1, which means the region has held top spot for the last six quarters.
A consortium led by Tencent backed the largest investment round of Q1, with a €222.27m investment in Germany-based Lilium Aviation, a developer of an electrically powered lightweight commuter plane. The series-C funding round also saw participation from Atomico Ventures, Freigeist and LGT.
Ten largest European private-equity-backed early-stage deals, Q1 2020
| Germany | 222 |
|---|---|
| UK | 118 |
| UK | 48 |
| Netherlands | 36 |
| Switzerland | 31 |
| Germany | 20 |
| France | 19 |
| France | 18 |
| France | 17 |
| Austria | 15 |
Important information
For professional investors only. Not for use by retail investors or advisors.
The value of investments, and the income from them, can go down as well as up and investors may get back less than the amount invested. Past performance is not a guide to future returns.
Among the risks presented by private equity investing are substantial commitment requirements, credit risk, lack of liquidity, fees associated with investing, lack of control over investments and or governance, investment risks, leverage and tax considerations. Private equity investments can also be affected by environmental conditions / events, political and economic developments, taxes and other government regulations.
Companies mentioned for illustrative purposes only and should not be taken as a recommendation to buy or sell any security. The above document is strictly for information purposes only and should not be considered as an offer, investment recommendation, or solicitation, to deal in any of the investments or funds mentioned herein and does not constitute investment research. Aberdeen Asset Managers Limited and Standard Life Investments Limited (together 'Aberdeen Standard Investments') does not warrant the accuracy, adequacy or completeness of the information and materials contained in this document and expressly disclaims liability for errors or omissions in such information and materials.
Any research or analysis used in the preparation of this document has been procured by ASI for its own use and may have been acted on for its own purpose. The results thus obtained are made available only coincidentally and the information is not guaranteed as to its accuracy. Some of the information in this document may contain projections or other forward looking statements regarding future events or future financial performance of countries, markets or companies. These statements are only predictions and actual events or results may differ materially. The reader must make their own assessment of the relevance, accuracy and adequacy of the information contained in this document and make such independent investigations, as they may consider necessary or appropriate for the purpose of such assessment. Any opinion or estimate contained in this document is made on a general basis and is not to be relied on by the reader as advice. Neither ASI nor any of its employees, associated group companies or agents have given any consideration to nor have they or any of them made any investigation of the investment objectives, financial situation or particular need of the reader, any specific person or group of persons. Accordingly, no warranty whatsoever is given and no liability whatsoever is accepted for any loss arising whether directly or indirectly as a result of the reader, any person or group of persons acting on any information, opinion or estimate contained in this document.
This content is available in the following countries/regions and issued by the respective entities detailed below:
United Kingdom (UK): Aberdeen Asset Managers Limited, registered in Scotland (SC108419) at 10 Queen's Terrace, Aberdeen, AB10 1XL. Standard Life Investments Limited registered in Scotland (SC123321) at 1 George Street, Edinburgh EH2 2LL. Both companies are authorised and regulated in the UK by the Financial Conduct Authority.
Austria, Belgium, Cyprus, Denmark, Finland, France, Germany, Gibraltar, Greece, Iceland, Ireland, Italy, Luxembourg, Malta, Netherlands, Norway, Portugal, Spain, and Sweden: Aberdeen Asset Managers Limited, registered in Scotland (SC108419) at 10 Queen's Terrace, Aberdeen, AB10 1XL. Standard Life Investments Limited registered in Scotland (SC123321) at 1 George Street, Edinburgh EH2 2LL. Both companies are authorised and regulated in the UK by the Financial Conduct Authority.
Switzerland: Aberdeen Standard Investments (Switzerland) AG. Registered in Switzerland (CHE-114.943.983) at Schweizergasse 14, 8001 Zürich.
Abu Dhabi Global Market ("ADGM"): Aberdeen Asset Middle East Limited. Regulated by the ADGM Financial Services Regulatory Authority. Aberdeen Asset Middle East Limited, 6th floor, Al Khatem Tower, Abu Dhabi Global Market Square, Al Maryah Island, PO Box 5100737, Abu Dhabi, United Arab Emirates.
Canada: Aberdeen Standard Investments ("ASI") is the marketing name in Canada for Aberdeen Standard Investments (Canada) Limited, Aberdeen Standard Investments Luxembourg S.A., Standard Life Investments Private Capital Ltd, SL Capital Partners LLP, Standard Life Investments Limited, Standard Life Investments (Corporate Funds) Limited, and Aberdeen Capital Management LLC. Aberdeen Standard Investments (Canada) Limited, is registered as a Portfolio Manager and Exempt Market Dealer in all provinces and territories of Canada as well as an Investment Fund Manager in the provinces of Ontario, Quebec, and Newfoundland and Labrador.
United States: Aberdeen Standard Investments is the marketing name for the following affiliated, registered investment advisers: Aberdeen Standard Investments Inc., Aberdeen Asset Managers Ltd., Aberdeen Standard Investments Australia Ltd., Aberdeen Standard Investments (Asia) Ltd., Aberdeen Capital Management LLC, Aberdeen Standard Investments ETFs Advisors LLC and Standard Life Investments (Corporate Funds) Ltd.
GB-230420-115317-1
|
Reflection intensity waveform inversion
Yike Liu * , Bin He, Institute of Geology and Geophysics, Chinese Academy of Sciences; Yingcai Zheng, University of Houston; Xiao-Bi Xie, University of California at Santa Cruz
Summary
if no low-frequency components existed in the data or if a starting model was far from a true model.
Conventional full waveform inversion (FWI) needs long offset data to update the deep structure of a velocity and low-frequency information to avoid cycle skipping with diving or refraction waves. To reduce the data requirements, we propose an approach referred to as reflection intensity waveform inversion (RIWI), which fits the difference in seismic reflection intensity between modeled and field data, so that the starting model dependence of waveform inversion can be relaxed and long offset data is no longer required. The intensity inherently has low-frequency information when compared with the original data. It can be obtained by deconstructing the intensity into lowfrequency and high-frequency information using Fourier transformation. Implementing multi-scale inversions starting from low-frequency reflection intensity data can largely avoid the cycle-skipping problem. We corroborate the proposed approach validity for data without lowfrequency content and long-offset information with numerical examples.
Introduction
Full waveform inversion to date has been limited to recovering shallow structures because most implementations depend heavily on diving or refracted waves (Tarantola, 1984; Luo and Schuster, 1991; Zhou et al., 2012). To mitigate the traditional limitations, reflected events were introduced for waveform inversion (Ma and Hale, 2013; Altheyab and Schuster, 2015; Chi et al., 2015; Zhang et al., 2015; Alkhalifah and Wu 2016; Martinez et al., 2016; Kazei et al., 2016; Kenneth and Warne, 2016). Xu (2012) used true amplitude migration as a reflectivity model, which could then be used to generate reflection data by de-migration. The reflection waveform inversion (RWI) gradient enabled velocity updates deeper than the maximum penetration depth of diving waves and reduced the FWI dependency on recording long offsets. The RWI algorithm implemented an approach which allowed the updating of long wavelength components of the velocity model affecting the reflected arrivals even in the absence of low-frequency information in the input data. RWI could alternatively update the background and perturbed reflectivity of a model, but could not avoid cycle skipping
Seismic wave intensity has different frequency characteristics. We utilize the intensity characteristics of seismic data that inherently exist in low-frequency information and build an objective function between the intensities of the reflection model data and the observed data (Liu et al., 2018). The function is optimized with respect to model parameters, where the model parameters are split into long and short wavelength components, e.g., the background model and the perturbation model. The initial background model cannot generate reflection waves, but observed data can account for reflection events. The reverse time migration (RTM) image by least square sense is used for the reflection model and then de-migration is used for generating synthetic reflection data. Near offset compared with long offset has small errors with observed data. This means travel time in near offset is almost identical for both modelled data and observed data. Intensity used for RWI will greatly reduce cycle-skipping in the absence of long offset and low frequency components.
The frequency characteristic of seismic wave intensity
The amount of energy passing through a unit area per unit of time in a specified direction is called the intensity of the wave. As the amplitude (pressure) of the seismic wave increases, the intensity of the seismic wave increases. The intensity of a seismic wave depends not only on the pressure, but also on the density and the seismic wave of the medium through which the wave is traveling. In marine environments, acquisition hydrophones are not sensitive to particle velocity and measure the pressure of a wave, rather than its intensity. The intensity is therefore calculated from the measured seismic pressure, using the relationship between the magnitude of the intensity and pressure. The wave intensity is proportional to the square of its amplitude (Born and Wolf, 1999). Unlike pressure or displacement wavefields, wave intensity has quite different frequency characteristics. The convolution of spectra of intensity causes the frequency content to split into a low- and highfrequency band (Liu et al., 2018). We illustrate a sine-based function composed of 20, 25, 27, 29 Hz to clarify the frequency differences,
Reflection intensity waveform inversion
the wavefield with respect to the velocity with RIWI, by splitting the model into
Fréchet derivatives for RIWI with respect to velocity
We utilize the intensity characteristics of seismic data that inherently exist in low-frequency information and build an objective function between the intensities of the reflection modeled data and the observed data.
E v
2
2
2
1
4
2
, ;
, ;
,
cal r
s
obs r
s
Pxtx
Pxtx
(2)
in which objective ( ) E v is a function of the velocity of the model, 2 , ; cal r s P x t x is the intensity of the modeled data and 2 , ; obs r s P x t x is the observed data intensity. We solve a nonlinear inverse problem by iteratively updating model parameters to minimize the difference between the modeled intensity seismic data and the observed intensity data. The derivative of the objective with respect to velocity v is given
, ;
dt
Pxtx
, s r
, ;
cal r
s
E v
Pxtx
v
v
(
, ;
, ;.
2
2
cal r
s
obs r
s
Pxtx
Pxtx
For simplified expression, we use
to represent the intensity difference between model data and observed data. We then derive the Fréchet derivative of cal
r
s
v x
0,
v x v x
(5)
where 0 v x contains the long wavelength components of the velocity model and v x contains the short wavelength components. Accordingly,
P x
0.
P x P x
(6) By introducing the following equation (Xu et al., 2012), if we fix v x , we can derive the gradient according to the background model
Substituting equation 7 into 3, we can obtain the RIWI gradient with respect to velocity:
(8)
in which , ; , ; cal r s dif r s P x t x I x t x is the adjoint source and where , ; dif r s I x t x contains the low-frequency components. Using the intensity adjoint source avoids cycle skipping by multi-scales from low to high frequencies. , ; r P x t x means the one order perturbation of the wavefield and t means back propagated , 0 , ; r P x t x is the backward propagated wavefield.
Marmousi example
RIWI is tested on the Marmousi model. This model consists of 496 horizontal by 176 vertical grid points with spacing of 20m in both the horizontal and vertical directions. The acquisition system includes 56 sources, evenly spaced at 180m on the top of the model. There are 150 receivers fixed on the top of the model at an interval of
(3)
Reflection intensity waveform inversion
20m. A sample trace with 8 Hz dominant frequency is illustrated in Figure 2, where Figure 2a is the time-domain waveform; Figure 2b is the frequency spectrum with its frequency content below 4 Hz removed; Figure 2c is the intensity of the trace; and Figure 2d shows the frequency spectrum of the intensity. Comparing Figure 2b with 2d, we see that the latter contains much lower-frequency information. To test RIWI using a reflected wave capable of handling the data without the low-frequency content, the data is filtered with a Butterworth filter at the 4-5-12-15 Hz passband.
plus FWI (dotted) and the true velocity model (solid). The dashed line shows a large error at the depth 1.0 to 1.5 km and has a big delay at the deep structure.
The Marmousi model is shown in Figure 3a with the direct wave removed. In the first outer loop, in order to generate true amplitude reflection data and a reflectivity model from the smooth background velocity model (Figure 3b), we used least-squares reverse time migration (LSRTM)-based methodology to update the reflectivity model. We only used the near-offset data for the inversion, which was then iterated 10 times by LSRTM. RIWI was then conducted to calculate the gradients with all offset data. For RIWI, we calculated the data intensity and then applied a 0-0-2-4Hz band-pass filter to the intensity using reflection waves. The gradients were smoothed during the inversion by applying a scattering angle filter (Kazei et.al 2016). For the reflection part, 5 iterations were used to update the background velocity model. For the next outer loops, we first initialized the reflectivity model with LSRTM by applying the updated velocity model and near-offset observation data. After updating the reflectivity model with the updated velocity by LSRTM, the velocity was then updated according to the new reflectivity model. Each of the outer loops had the same number of iterations as the first outer loop and a total of 10 outer loops were determined. Figure 3d is the updated background velocity model.
To test the effectiveness of RIWI in constructing a background velocity model, we performed a multi-scale FWI on both the initial velocity model and the inverted background velocity model obtained by RIWI. The data was filtered using a series of pass-bands at 4-4.5, 4-6.5 4-9, 4-13 and 4-15Hz and each frequency band was iterated 30 times, for a total of 150 iterations. Figures 3c and 3e are the final results of FWI corresponding to the initial linear model and the inverted model calculated by RIWI. It can be seen that there is a serious local minima for the FWI from the linear initial model, whereas the result using the inverted background obtained by using RIWI as the initial model is greatly improved. To see more clearly the difference between using the initial model and inverted model, a vertical velocity profile is extracted at 3km from the surface. Figure 4a shows the 1-D initial model (dashed), and the result obtained using RIWI (dotted). Figure 4b compares the intermediate model from FWI with the linear increase initial model (dashed), the final result using RIWI
Figure: 2 For the Marmousi model: a) the time-domain trace; b) the frequency spectrum of the trace with frequency content below 5Hz removed; c) the intensity of the trace; and d) the frequency spectrum of the intensity.
Reflection intensity waveform inversion
Conclusions
RIWI has been developed to avoid cycle-skipping due to the data lacking low-frequency content. An analysis of the Fréchet derivatives of RIWI show that it can utilize the reflections to recover the long wavelength structure in situations where the initial model is significantly different to the true model. Numerical examples corroborate this method's ability to handle conventional reflection data.
Acknowledgements
We would like to express our sincere gratitude to Sheng Xu, Hongbo Zhou and Yi Luo for their constructive comments and helpful suggestions. This research was funded by Statoil Petroleum (Grant No. 4503288025).
Altheyab, A., and G. T. Schuster, 2015, Reflection full-waveform inversion for inaccurate starting models: 85th Annual International Meeting, SEG, Expanded Abstracts, 1148–1152, https://doi.org/10.1190/segam2016-13966097.1.
Alkhalifah, T., and Z. Wu, 2016, The natural combination of full and image-based waveform inversion: Geophysical Journal International, 200, 363–373, https://doi.org/10.1111/1365-2478.12264.
Born, M., and E. Wolf, 1999, Principles of optics, 7th ed.: Cambridge University Press. Chi, B., L. Dong, and Y. Liu, 2015, Correlation-based reflection full-waveform inversion: Geophysics, 80, no. 4, R189–R202, https://doi.org/10.1190/ geo2014-0345.1.
Liu, Y., B. He, Z. Zhang, X. Xiao, and Y. Zheng, 2018, Full intensity waveform inversion: 88th Annual International Meeting, SEG, Expanded Abstracts.
Kazei, V., E. Tessmer, and T. Alkhalifah, 2016, Scattering angle-based filtering via extension in velocity: 86th Annual International Meeting, SEG, Expanded Abstracts, 1157–1162, https://doi.org/10.1190/segam2016-13870908.1.
Luo, Y., and G. T. Schuster, 1991, Wave-equation traveltime inversion: Geophysics, 56, 645–653, https://doi.org/10.1190/1.1443081. Martinez, R. J., S. Crawley, K. Zou, A. A. Valenciano, L. Qiu, and N. Chemingui, 2016, A robust gradient for long wavelength FWI updates: 78th Annual International Conference and Exhibition, EAGE, Extended Abstracts, https://doi.org/10.3997/2214-4609.201601536.
Kenneth, I., and M. Warner, 2016, Reflection FWI: 86th Annual International Meeting, SEG, Expanded Abstracts, 1136–1140, https://doi.org/10 .1190/segam2016-13944219.1.
Tarantola, A., 1984, Inversion of seismic reflection data in the acoustic approximation: Geophysics, 49, 1259–1266, https://doi.org/10.1190/1 .1441754.
Ma, Y., and D. Hale, 2013, Wave-equation reflection traveltime inversion with dynamic warping and full-waveform inversion: Geophysics, 78, no. 6, R223–R233, https://doi.org/10.1190/geo2013-0004.1.
Xu, S., D. Wang, F. Chen, G. Lambare, and Y. Zhang, 2012, Inversion on reflected seismic wave: 82nd Annual International Meeting, SEG, Expanded Abstracts, 1–7, https://doi.org/10.1190/segam2012-1473.1.
U47–U59, https://doi.org/10.1190/geo2014-0178.1.
Zhang, S., Y. Luo, and G. Schuster, 2015, Shot-and angle-domain wave-equation traveltime inversion of reflection data: theory: Geophysics, 80, no. 4,
Zhou, H., L. Amundsen, and G. Zhang, 2012, Fundamental issues in full waveform inversion: 74th Annual International Meeting, SEG, Expanded Abstracts, 1–5, https://doi.org/10.1190/segam2012-0878.1.
|
PLACES OF ISTIGHFAR MENTIONED IN THE QUR'AN
القرآن في اإلستغفار مواطن
PLACES OF ISTIGHFAR
MENTIONED IN THE QUR'AN
Places of Istighfar mentioned in the Qur'an ( مواطن اإلستغفار في القرآن) – ALL NOTES
Introduction
o We always need to do istighfar and we find the supplications of the messengers include istighfar. Now we will trace in the Qur'an the places where Allah (سبحانه وتعالى) commands us to do istighfar.
o We will look at the following words:
o (فاستغفروا): this means we immediately need to seek istighfar after doing a certain action
o (واستغفروا): this means we need to accompany istighfar together with something else
o (استغفروا): this a command to seek istighfar
(فاستغفروا) mentioned in the Qur'an
Surah Al Imran 133-136
Ayah 133: ( وَ سَار ْ عُوٓ ا َإ ل َ ىٰ مَغ ۡ ف رَةٍ ٍ۬ مِّن رَّبِّڪُمۡ وَ جَن َّ ةٍ عَر ۡ ضُهَا ٱلسَّمَـٰوَ ٲتُ وَ ٱۡل ۡ َ ر ۡ ضُ أ ع دَّت ۡ ل ل مُت َّ ق ين ) (And march forth in the way (which leads to) forgiveness from your Lord, and for Paradise as wide as are the heavens and the earth, prepared for Al-Muttaqûn)
ۡ
o Allah (سبحانه وتعالى) is commanding us to seek forgiveness, and we need to run and hasten to forgiveness and paradise. Unlike the command for the duniya which is to walk. This means we need to run to the opportunities for forgiveness. We need to seek forgiveness and run to the deeds which expiate our sins such as wudhu and prayer.
o We also need to run to paradise by taking the means to make us enter it and avoid what takes us to the hellfire. This paradise as wide as the heavens and the earth prepared for the muttaqeen. If the width of paradise is the heavens and the earth, so what about the height? Subhan Allah.
o The muttaqeen are doing tawqa from different angles because the word 'muttaqeen' is in the noun form so it's constant taqwa. What are the qualities of the muttaqeen?
َّ
ُ
ۡ
َ
َّ
Ayat 134-135: ( ٱل َّ ذ ينَ يُنف ق ُ ونَ ف ى ٱلسَّرَّآء وَ ٱلضَّرَّآء وَ ٱل ڪَـٰظ م ينَ ٱل غَي ۡ ظ َ وَ ٱل عَاف ينَ عَن ٱلن َّ اسۗ ُّ وَ ٱَّلل َّ ُ يُح ب ( َٱل ۡ مُح ۡ س ن ين ٤٣١ )) (Those who spend [in Allâh's Cause] in prosperity and in adversity, who repress anger, and who pardon men; verily, Allâh loves
َّ
َ
ْ
َ
َ
ْ
ُ
ْ
Al-Muhsinûn (the good - doers).) ( َ َّ وَ ٱل َّ ذ ينَ إ ذ َ ا فَعَل ُ وا ْ فَـٰح شَة ً أ و ۡ ظ َ ل َ مُوٓ ا ْ أ نف ُ سَہُمۡ ذ َ كَرُوا ْ ٱَّلل ُّ فَٱس ۡ تَغ ۡ فَرُوا ْ ل ذ ُ ن ُ وب ه مۡ وَ مَن يَغ ۡ ف رُ ٱلذ َّ ن ُ وبَ إ ّل ( َ ٱَّلل َّ ُ وَ ل َ مۡ يُص رُّوا ْ عَل َ ىٰ مَا فَعَل ُ وا ْ وَ هُمۡ يَع ۡ ل َ مُون ٥٣١ )) (And those who, when they have committed Fahishah (illegal sexual intercourse) or wronged themselves with evil, remember Allâh and ask forgiveness for their sins; - and none can forgive sins but Allâh - And do not persist in what (wrong) they have done, while they know. (135))
o Tawa is doing and leaving something for the sake of Allah ( سبحانه وتعالى). The muttaqee doesn't do what he wants, but what Allah (سبحانه وتعالى) wants thus he's living for Allah (سبحانه وتعالى) and not for himself.
o The muttaqeen are the ones who:
1. Spend in times of ease and difficulty: giving sadaqah shows a person's truthfulness and it purifies the person. If they have money then they will increase in spending and if money is tight, they will still spend even if it's little. Spending is not limited to money alone, but includes time, energy, etc.
2. Hold their anger: if someone harms them and their heart is filled with anger, they hold and suppress themselves. They don't want to react with so much anger in their heart. Clearly they're not following their desires.
3. Pardon others: they pardon those who do bad to them. Pardoning is to overlook and you don't want anything bad to happen the other person.
4. Muhsineen: they do ihsan to the people, they smile, they give gifts to others, and Allah ( سبحانه وتعالى) loves the muhsineen. This is
َّ
the highest and better level to do things with ihsan and this is built up step by step when the previous steps are done. You will notice the common factor between these qualities is how they deal with people. A person's reality will not show when he's alone. What's the point of doing so many worships but dealing badly with others? A person's true level shows according to how he deals with others. Hadith: ( َأ َ نَّ رَسُولَ َّللا َّ صلى َّللا عليه وسلم قَال " بُع ث ْ تُ ۡل ُ تَمِّمَ حُسْنَ اۡل َ خ ْ ال َ ق" ) (Yahya related to me from Malik that he had heard that the Messenger of Allah, may Allah bless him and grant him peace, said, "I was sent to perfect good character.") – Muwatta Malik Book 47, Hadith 1643.
5. If they commit a fahisha (an apparent sin which everyone sees as bad) or wrong themselves then they:
- Remember Allah (سبحانه وتعالى): they remember Allah ( سبحانه وتعالى) with all His names and attributes. They remember His promises and warnings. After remembering Allah ( سبحانه وتعالى) then it should lead to seek forgiveness. The more a person knows about Allah (سبحانه وتعالى), the more a person will seek forgiveness.
ُ
ْ
ۡ
- Immediately seek forgiveness ( فَٱس تَغ فَرُوا ۡ ل ذ ن وب ه م ): so the muttaqeen seek forgiveness because they too make mistakes. They will not drown in the guilt of the sin but immediately seek forgiveness. No one can forgive sins except Allah ( سبحانه وتعالى ).
- They will not insist on doing the sin: they will not have ego and think they didn't do anything wrong.
ۡ
َ
َّ
ۡ
ۡ
Ayah 136: ( ٰأ ُ وْ ل َ ـٰٓٮ كَ جَزَآؤُ هُم مَّغ ۡ ف رَة ٍ۬ مِّن رَّبِّه مۡ وَ جَن َّ ـٰت ٍ۬ تَج ۡ ر ى م ن تَح ۡ ت هَا ٱۡل ۡ َ ن ۡ ہَـ رُ خَـٰل د ينَ ف يہَاۚ ُ وَ ن ع ۡ مَ أ َ ج ۡ ر َٱل ۡ عَـٰم ل ين ) (For such, the reward is Forgiveness from their Lord, and Gardens with rivers flowing underneath (Paradise), wherein they shall abide forever. How excellent is this reward for the doers (who do righteous deeds according to Allâh's Orders).)
o Their reward is forgiveness from their Lord, and gardens with rivers flowing underneath. Great is this reward for the doers of good deeds, those who are working and laboring in this life.
May Allah (سبحانه وتعالى ) make us from the muttaqeen. Ameen.
Places of Istighfar mentioned in the Qur'an (مواطن اإلستغفار في القرآن) – Class #2
(فاستغفروا) mentioned in the Qur'an
Surah An Nisa'a 61-64
Ayah 61: ( َوَ إ ذ َ ا ق يلَ ل َ هُمۡ تَعَال َ و ۡ ا ْ إ ل َ ىٰ مَآ أ َ نزَل ٱَّلل َّ ُ وَ إ ل َ ى ٱلرَّسُول رَأ َ ي ۡ تَ ٱل ۡ مُنَـٰف ق ينَ يَصُدُّونَ عَنكَ صُدُودً ٍ۬ ا ) (And when it is said to them: "Come to what Allâh has sent down and to the Messenger (Muhammad صلى هللا عليه وسلم)," you (Muhammad صلى هللا عليه وسلم) see the hypocrites turn away from you (Muhammad صلى هللا عليه وسلم) with aversion)
o Two conditions are required for acceptable good deeds: ikhlas, doing it sincerely for the sake of Allah (سبحانه وتعالى) and following the Sunnah of the Prophet (صلى هللا عليه وسلم).
ْ
o When it's said to the people to come ( تَعَال و ا ), which literally means to come upward, it shows when you follow Allah ( سبحانه وتعالى ) and His Messenger ( صلى هللا عليه وسلم ) then you're actually being elevated, subhan Allah.
َ
o You will find the hypocrites avoiding the Prophet (صلى هللا عليه وسلم) and his commands. Allah (سبحانه وتعالى) commands us to all things which will bring us closer to Him and to be elevated; however, Allah ( سبحانه وتعالى) says the hypocrites will turn away from you O Prophet ( صلى هللا عليه وسلم).
Ayat 62: ( َفَكَي ۡ ف إ ذ َ آ أ َ صَـٰبَت ۡ هُم مُّص يبَة ُُۢ ب مَا قَدَّمَت ۡ أ َ ي ۡ د يه مۡ ث ُ مَّ جَآءُوكَ يَح ۡ ل ف ُ ونَ ب ٱَّلل َّ إ ن ۡ أ َ رَد ۡ نَآ إ ّل َّ ٓ إ ح ۡ سَـٰن ًٍ۬ ا وَ تَو ۡ ف يق ً ا ) (How then, when a catastrophe befalls them because of what their hands have sent forth, they come to you swearing by Allâh, "We meant no more than goodwill and conciliation!")
o Allah (سبحانه وتعالى) will not leave anyone, and He says, 'how will it be if they're afflicted with an affliction which their hands earned?' They hypocrites don't want to be elevated though they're being invited to follow the Prophet (صلى هللا عليه وسلم). When an afflictions strikes us then we should repent, but what will the hypocrites do? They will come to the Prophet (صلى هللا عليه وسلم), swear by Allah ( سبحانه وتع الى ), give excuses, and they will say 'our intention is good, we don't want anything except goodness and reconciliation'.
Ayah 63: ( َأ ُ وْ ل َ ـٰٓٮ كَ ٱل َّ ذ ينَ يَع ۡ ل َ مُ ٱَّلل َّ ُ مَا ف ى ق ُ ل ُ وب ہ مۡ فَأ َ ع ۡ ر ض ۡ عَن ۡ ہُمۡ وَ ع ظ ۡ هُمۡ و ق ُ ل ل َّ هُمۡ ف ىٓ أ َ نف ُ س ہ مۡ قَو ۡ ّل َُۢ بَل يغ ًٍ۬ ا ) (They (hypocrites) are those of whom Allâh knows what is in their hearts; so turn aside from them (do not punish them) but admonish them, and speak to them an effective word (i.e. to believe in Allâh, worship Him, obey Him, and be afraid of Him) to reach their innerselves)
o Allah (سبحانه وتعالى) says He knows their intentions even if they say their intention is good. We don't need to say our intention out loud to others because that's between us and Allah (سبحانه وتعالى). Allah ( سبحانه وتعال ى ) tells the Prophet (صلى هللا عليه وسلم) to turn away from them, not confront them, but give them strong admonition. And advise them in private with a firm statement. Hypocrites are making problems among families and societies yet they say their intention is good. Hypocrites are an internal enemy because they show they're Muslim from the outside, may Allah (سبحانه وتعالى) protect us. Ameen.
o From this ayah we learn when someone sinning then don't expose them in front of others or talk about it to others, but advise them in secret with strong admonition.
َّ
َ
ۡ
َ
َ
َ
َّ
ْ
ُ
ۡ
Ayah 64: ( َّ وَ مَآ أ َ ر ۡ سَل ۡ نَا م ن رَّسُولٍ إ ّل َّ ل يُط َ اعَ ب إ ذ ۡ ن ٱَّللۚ َ َّ وَ ل َ و ۡ أ َ ن َّ هُمۡ إ ذ ظ َّ ل َ مُوٓ ا ْ أ َ نف ُ سَهُمۡ جَآءُوكَ فَٱس ۡ تَغ ۡ فَرُوا ْ ٱَّلل وَ ٱس ۡ تَغ ۡ فَرَ ل َ هُمُ ٱلرَّسُولُ ل َ وَ جَدُو ا ْ ٱَّلل َّ َ تَوَّ ابً ٍ۬ ا رَّح يمً ٍ۬ ا ) (We sent no Messenger, but to be obeyed by Allâh's Leave. If they (hypocrites), when they had been unjust to themselves, had come to you (Muhammad صلى هللا عليه وسل م ) and begged Allâh's Forgiveness, and the Messenger had begged forgiveness for them: indeed, they would have found Allâh AllForgiving (One Who forgives and accepts repentance), Most Merciful.)
o Allah (سبحانه وتعالى) didn't send a messenger except to be obeyed, followed and respected. When Allah (سبحانه وتعالى) tells us to obey the messengers then it shows they're protected from making any mistakes in delivering the message. Unlike ourselves who make mistakes when delivering the message and for this reason we need so much forgiveness. Why do messengers go through difficulties though their sins are forgiven? Elevation in ranks.
o To obey the Prophet (صلى هللا عليه وسلم) is by the permission of Allah (سبحانه وتعالى). And we cannot obey him if we don't ask Allah ( سبحانه
وتعالى) for help. May Allah (سبحانه وتعالى) help us to obey the Prophet (صلى هللا عليه وسلم). Ameen.
o When a person disobeys the Prophet (صلى هللا عليه وسلم) then he has wronged himself. At the time of the Prophet (صلى هللا عليه وسلم), if a person disobeyed him then he had come to the Prophet ( صلى هللا عليه وسلم) and ask for furtiveness from Allah (سبحانه وتعالى) and the Prophet ( صلى هللا عليه وسلم ) will ask for forgiveness for him. Then he will find Allah (سبحانه وتعالى) is The One Who accepts repentance and is The Most Merciful.
o Now we don't have the Prophet (صلى هللا عليه وسلم), if we disobey him, we can't go to his grave and ask for forgiveness because this is shirk. We need to immediately ask forgiveness from Allah ( سبحانه وتعالى) whenever we wrong ourselves by not following the Prophet ( صلى هللا عليه وسلم).
الل َّ هُمَّ إِنِّي ظ ل مْتُ ن ف ْ سِي ظ ُ ل ْ مًا ك ثِيرًا و ال ي غ ْ فِرُ الذ ُّ نُو ب إِال َّ أ نْت ف اغ ْ فِرْ لِي م غ ْ فِر ة ً مِنْ عِنْدِك و ارْح مْنِي إِنَّك أ نْت ُال ْ غ ف ُ ورُ الرَّحِيم
(O Allah, verily I have wronged myself much and there is None who forgives sins except You. Grant me forgiveness from You and have mercy on me for You are the Oft-Forgiving, Most Merciful
Places of Istighfar mentioned in the Qur'an (مواطن اإلستغفار في القرآن) – Class #3
(فاستغفروا) mentioned in the Qur'an
Surah Saad 17-26
Ayat 17-20:
ۡ
ۡ
ُ
ۡ
ۡ
َ
َّ
َّ
ۡ
ۡ
َ ۡ ٱص ۡ ب ر ۡ عَل َ ىٰ مَا يَق ُ ول ُ ونَ وَ ٱذ ۡ ك ُ ر ۡ عَب ۡ دَنَا دَاوُ ۥدَ ذ َ ا ٱۡل ي ۡ دۖ ( إ ن َّ هُ ۥۤ أ َ وَّ اب ٧١ ) ِّإ ن َّ ا سَخ َّ ر ۡ نَا ٱل ۡ ج بَالَ مَعَهُ ۥ يُسَبِّح ۡ نَ ب ٱل ۡ عَش ى ( وَ ٱإل ۡ ش ۡ رَاق ٨١ ) ًٍ۬ وَ ٱلط َّ ي ۡ رَ مَح ۡ ش ُ ورَةۖ ( ٍ۬ ك ُ ل ٍ۬ ل َّ هُ ۥۤ أ َ وَّ اب ٩١ ) ۡ وَ شَدَد( نَا مُل ۡ كَهُ ۥ وَ ءَاتَي ۡ نَـٰهُ ٱل ۡ ح ك ۡ مَة َ وَ فَص ۡ لَ ٱل ۡ خ ط َ اب ٠٢ ) Be patient (O Muhammad صلى هللا عليه وسلم) of what they say, and remember Our slave Dâwûd (David), endued with power. Verily, he was ever oft-returning in all matters and in repentance (toward Allâh). (17) Verily, We made the mountains to glorify Our Praises with him [Dâwûd (David)] in the 'Ashi (i.e. after the mid-day till sunset) and Ishrâq (i.e. after the sunrise till mid-day). (18) And (so did) the birds assembled: all obedient to him [Dâwûd (David)] [i.e. they came and glorified Allah's Praises along with him]. (19) We made his kingdom strong and gave him Al-Hikmah (Prophethood) and sound judgement in speech and decision. (20)
o The theme of Surah Saad is submission in order to return back to the truth. The story of Dawud (عليه السالم) shows us how he quickly returned to the truth.
o Allah ( سبحانه وتعالى) allowed the mountains and birds to glorify together with Dawud (عليه السالم). He also gave him kingdom, prophethood, knowledge and to say a word among people which separates between truth and falsehood. Dawud (عليه السالم) was known for his worship and his constant obedience and returning to Allah (سبحانه وتعالى). Though look at how the fitna came.
Ayat 21-22:
ۡ
َوَ هَل
أ
تَٮٰ كَ نَبَؤُ ا
ٱل
خَص
م إ ذ
تَسَوَّ رُوا
ٱل
م ح
رَاب ( ١٢ )
ۡإ ذ
دَخَل
وا عَل
ىٰ دَاوُ ۥدَ فَفَز عَ م ن
ہُمۖ
قَال
وا ّل
تَخَفۖ
ٰ خَص
مَان بَغَى
٢٢ )
بَع
ضُنَا عَل
ىٰ بَع
ۡ ضٍ ٍ۬
فَٱح
ك
م بَي ( نَنَا ب ٱل
حَقِّ وَ ّل
ت ش ط ط
وَ ٱه
د نَآ إ ل
ىٰ سَوَ آء ٱلصِّرَٲط
And has the news of the litigants reached you? When they climbed over the wall into (his) Mihrâb (a praying place or a private room,) (21) When they entered in upon Dâwûd (David), he was terrified of them, They said: "Fear not! (We are) two litigants, one of whom has wronged the other, therefore judge between us with truth, and treat us not with injustice, and guide us to the Right Way. (22)
o Two people came to Dawud (عليه السالم) but not in a normal way. They entered without permission and climbed to reach his mihrab, his worship place. When they reached Dawud (عليه السالم), they told him 'don't be scared, judge between us in truth and guide us to the right way'. So before telling them their case, they said to judge with truth.
Ayat 23-24:
َ
ۡ
ْ
َ
ۡ
َ
َ
ۡ
ۡ
َّ
ْ
إ نَّ هَـٰذ َ آ أ َ خ ى ل َ هُ ۥ ت س ۡ ع ٍ۬ وَ ت س ۡ عُونَ نَع ۡ جَة ًٍ۬ وَ ل ىَ نَع ۡ جَة ٍ۬ وَ ٲح دَة ٍ۬ فَقَالَ أ َ ك ۡ ف ل ۡ ن يہَا وَ عَز َّ ن ى ف ى ٱ ( ل ۡ خ ط َ اب ٣٢ ) َقَالَ ل َ قَد ۡ ظ َ ل َ مَك ب سُؤَ ال نَع ۡ جَت كَ إ ل َ ىٰ ن عَاج ه ۦۖ َّ وَ إ ن كَث يرً ٍ۬ ا مِّنَ ٱل ۡ خ ُ ل َ ط َ آء ل َ يَب ۡ غ ى بَع ۡ ضُہُمۡ عَل َ ىٰ بَع ۡ ضٍ إ ّل َّ ٱل َّ ذ ينَ ءَامَن ُ وا ْ وَ عَم ل ُ وا ْ ٱلصَّـٰل حَـٰت ۡوَ قَل يل ٍ۬ مَّا هُمۗ وَ ظ َ نَّ دَاوُ ۥدُ أ َ ن َّ مَا فَتَن َّ ـٰهُ فَٱس ۡ تَغ ۡ فَرَ رَبَّهُ ۥ وَ خَرَّ رَاك عً ٍ۬ ا ( ۩ َوَ أ َ نَاب ٤٢ )
Verily, this my brother (in religion) has ninety nine ewes, while I have (only) one ewe, and he says: "Hand it over to me, and he overpowered me in speech." (23) [Dâwûd (David)] said (immediately without listening to the opponent): "He has wronged you in demanding your ewe in addition to his ewes. And, verily, many partners oppress one another, except those who believe and do righteous good deeds, and they are few." And Dâwûd (David) guessed that We have tried him and he sought Forgiveness of his Lord, and he fell down prostrate and turned (to Allâh) in repentance. (24)
o One person spoke and said here is my brother, whether it's a blood brother or brother in Islam. He said he has 99 sheep and I have only one and he wants that one of mine in order to have a hundred. He said he will be responsible for it and take care of it. He said, 'he talked to me and convinced me to give it and I gave it'. Dawud (عليه السالم) immediately judged before hearing the other person's side of the story. Dawud ( علي ه السالم ) said 'he said has wronged you (done dhulm) by asking to take your sheep to include it together with his sheep'. To accuse someone of dhulm is great. Sometimes a lady speaks about her husband or a daughter speaks about her parents, though a person can't judge without hearing both sides.
َ
َّ
ۡ
ۡ
ۡ
ۡ
َ
o Dawud (عليه السالم) further said when people mix with another too much then transgression against each other increases except between those who believe and do righteous good deeds. And those who don't do dhulm to one another are very few.
o This scene gets repeated many times with us. A person will talk to us and we will feel sympathy towards them and assume they're the oppressed one though we didn't hear the other side of the story.
o After Dawud (عليه السالم) made his judgement, he knew he was tested. This shows we don't know when a person will come to test us. Everyone gets tested according to their level. May Allah ( سبحانه وتعالى) protect us from hastily judging between people. Ameen.
o When Dawud (عليه السالم) realized it was a test, he immediately sought forgiveness from Allah (سبحانه وتعالى). So the place of istighfar is when a fitna comes and you realize you didn't deal well. For example, you're in the middle of something and you get called by your husband urgently and you think 'why is he calling me now, I'm in the middle of praying' so you end up misbehaving. Most people realize it's a fitna after it's done, and only a few will realize it's a fitna at that moment. May Allah (سبحانه وتعالى) grant us insight to realize the fitnas. Ameen.
Place of istighfar: after a fitna
o What did Dawud (عليه السالم) do?
o He sought forgiveness from his Rabb by tongue
o He fell into ruku' meaning he prayed
o He returned back to Allah (سبحانه وتعالى)
o Sheikh As Sa'ady said asking for forgiveness and doing worship, especially prayer are expiation for sins. What happened after this? Allah (سبحانه وتعالى) appreciated Dawud (عليه السالم) after realizing his mistake and returning back to Allah (سبحانه وتعالى) that He honored him with having a sajdah in our recitation, reminding us to always return back and submit to Allah (سبحانه وتعالى).
Ayah 25-26:
ۡ
ۡ
ْ
َّ
َ
ۡ
َّ
َّ
َ
ُۢ
َفَغَفَر ۡ نَا ل َ هُ ۥ ذ َ ٲل كۖ ( ٍ۬ ٍ وَ إ نَّ ل َ هُ ۥ ع ندَنَا ل َ ز ُ ل ۡ فَىٰ وَ حُس ۡ نَ مَـ َاب ٥٢ ) َيَـٰدَاوُ ۥدُ إ ن َّ ا جَعَل ۡ نَـٰك َ ۡ خَل يفَة ًٍ۬ ف ى ٱۡل ۡ ر ۡ ض فَٱح ۡ ك ُ م بَي َن َّ ٱلن َّ اس ب ٱل ۡ حَقِّ وَ ّل َ تَت َّ ب ع ٱل ۡ هَوَ ىٰ فَيُض ل َّ كَ عَن سَب يل ٱَّللۚ ْ إ نَّ ٱل َّ ذ ينَ يَض ل ُّ ونَ عَن سَب يل ٱَّلل َّ ل َ هُمۡ عَذ َ اب ٍ۬ شَد يدُ ُۢ ب مَا نَسُوا ( يَو ۡ مَ ٱل ۡ ح سَاب ٦٢ )
So We forgave him that, and verily, for him is a near access to Us, and a good place of (final) return (Paradise). (25) O Dâwûd (David)! Verily! We have placed you as a successor on earth, so judge you between men in truth (and justice) and follow not your desire for it will mislead you from the Path of Allâh. Verily! those who wander astray from the Path of Allâh (shall) have a severe torment, because they forgot the Day of Reckoning. (26)
o Allah (سبحانه وتعالى) forgave him, elevated him and granted him position. He made him a successor on the earth and to judget between the people in justice.
May Allah (سبحانه وتعالى ) grant us insight and to judge fairly. Ameen.
َّ
ۡ
ُ
َ
َ
Places of Istighfar mentioned in the Qur'an (مواطن اإلستغفار في القرآن) – Class #4
(واستغفر) mentioned in the Qur'an as a command to the Prophet ( صلى هللا عليه وسلم)
Surah An Nisa'a 105-107:
Ayah 105: ( ٓإ ن َّ آ أ َ نزَل نَآ إ ل َ ي ۡ كَ ٱل ك تَـٰبَ ب ٱل حَقِّ ل تَح ۡ ك ُ مَ بَي ۡ نَ ٱلن َّ اس ب مَا ُ َّ أ َ رَٮٰ كَ ٱَّللۚ وَ ّل َ تَك ُ ن ل ِّ ل خَآٮ ن ينَ خَص يمً ٍ۬ ا ) (Surely, We have sent down to you (O Muhammad صلى هللا عليه وسلم) the Book (this Qur'ân) in truth that you might judge between men by that which Allâh has shown you (i.e. has taught you through Divine Revelation), so be not a pleader for the treacherous.)
َ
ۡ
ۡ
ۡ
َّ
َ
ِّ
o Allah (سبحانه وتعالى) sent down the Qur'an upon the Prophet ( صلى هللا عليه وسلم) in truth, this means it's protected from the shayateen, there is no falsehood in it and it's inclusive of all truths. What is the Prophet (صلى هللا عليه وسلم) supposed to do?
َّ
َّ
ۡ
َّ
o ( ۚ ُ بَي نَ ٱلن اس ب مَآ أ رَٮٰ كَ ٱَّلل َل تَح ك م ) ( that you might judge between men by that which Allâh has shown you (i.e. has taught you through Divine Revelation), ): when there is a conflict between the people then the Prophet ( صلى هللا عليه وسلم ) judges by the Qur'an because it's truth. What does it mean ( ُ ب مَآ أ رَٮٰ كَ ٱَّلل )? It means according to what Allah ( سبحانه وتعالى ) taught him and inspired him. Allah ( سبحانه وتعالى ) is the One Who shows us the ayat, it's not what we want to see. Sometimes we have an ayah in front of us and we can't apply it, subhan Allah.
ٍ۬
َّ
ٓ
o The Prophet ( هللا عليه وسلم صلى ) doesn't judge according to his desires so he is protected from making any mistakes in conveying the message and the rulings. Surah An Najm 3-4: ( ( ٰإ ن هُوَ إ ّل وَ ح ى يُوحَى ٤ )) (٣ ( ٰوَ مَا يَنط قُ عَن ٱل هَوَ ى )) (Nor does he speak of (his own) desire. (3) It is only a Revelation revealed. (4)). From this we learn we shouldn't use the Qur'an for our desires, rather we should use the Qur'an according to what Allah ( س بحانه وتعالى ) is showing us. We ask Allah ( سبحانه وتعالى ) to show us the truth as truth and grant us to follow it and show as falsehood as falsehood and grant us to abstain from it. Ameen.
ۡ
o Even though all the sins of the Prophet (صلى هللا عليه وسلم) are forgiven and he doesn't speak out of desires, yet still Allah (سبحانه وتعالى) has commanded him and forbade him, subhan Allah.
Ayah 106: ( َ َّ وَ ٱس ۡ تَغ ۡ ف ر ٱَّللۖ َ َّ إ نَّ ٱَّلل كَانَ غَف ُ ورً ٍ۬ ا رَّح يمً ٍ۬ ا ) (And seek the Forgiveness of Allâh, certainly, Allâh is Ever Oft¬Forgiving, Most Merciful)
Ayah 107: ( َوَ ّل َ ت ُ جَـٰد ل ۡ عَن ٱل َّ ذ ينَ يَخ ۡ تَان ُ ونَ أ َ نف ُ س ۡہُمۚ إ نَّ ٱَّلل َّ َ ّل َ يُح بُّ مَن كَانَ خَوَّ ان ً ا أ َ ث يمً ٍ۬ ا ) (And argue not on behalf of those who deceive themselves. Verily, Allâh does not like anyone who is a betrayer of his trust, and sinner.)
ۡ
َّ
ۡ
someone who's betrayed then it will increase the betrayer in his sin.
speak out of desire, so what about us? May Allah ( سبحانه وتعالى) forgive us. Ameen. Whenever we judge between the people we need to seek forgiveness. We should never underestimate making istighfar. The Prophet ( صلى هللا عليه وسلم ) would say 70 times or 100 times after every gathering. Imagine if our life was all istighfar then how provisions would be pouring us and great openings would openings in front of us. When a person sends blessings upon the Prophet ( صلى هللا عليه وس لم ) then Allah (سبحانه وتعالى) will forgive his sins and take care of his affairs. Hadith: ( وعن أبي بن كعب رضي هللا عنه : كان رسول هللا صلى هللا عليه وسلم: إذا ذهب ثلث الليل، قام فقال: " يا أيها الناس اذكروا هللا، جاءت الراجفة، تتبعها الرادفة ، جاء ا لموت بما فيه، جاء الموت بما فيه" قلت : يا رسول هللا إنى أكثر الصالة عليك، فكم أجعل لك من صالتى ؟ قال: "ما شئت" قلت: الربع ؟ قال:
"ما شئت، فإن زذت فهو لك" قلت: فالنصف ؟ قال : ما شئت فإن زذت فهو لك قلت " فالثلثين ؟ قال : ما شئت فإن زدت فهو خير لك" قلت: أجعل لك صالتى كلها ؟ قال: "إذا تكفى همك، ويغفر لك ذنبك") (Ubayy bin Ka'b (May Allah be pleased with him) reported:
When one- third of the night would pass, Messenger of Allah (صلى هللا عليه وسلم) would get up and call out, "O people, remember Allah. The Rajifah (i.e., the first Blowing of the Trumpet which will shake the whole universe and thus cause all life to cease) has come, followed by Ar-Radifah (i.e., the second Blowing of the Trumpet which will restore life and thus mark the Resurrection Day). Death has approached with all that it comprises. Death has approached with all that it comprises." I said: "O Messenger of Allah (صلى هللا عليه وسلم), I frequently invoke Allah to elevate your rank. How much of my supplications should I devote to you?" He said, "You may devote as much as you wish." When I suggested a quarter, he said, "Do whatever you wish, but it will be better for you if you increase it." I suggested half, and he said, "Do whatever you wish, but it will be better for you if you increase." I suggested twothirds, and he said, "Do whatever you wish but it will be better for you if you increase it." I said, "Shall I devote all my supplications invoking Allah to elevate your rank?" He said, "Then you will be freed from your worries and your sins will be forgiven.") – Riyadh As Saliheen, At Tirmidhi, Book 1, Hadith 580. We need to increase in seeking forgiveness
ُ
َّ
( ُو ال تُج ـٰدِلۡ ع نِ ٱل ذِين ي خ ت انُون أ نف س ہ ۡمۚ ) (And argue not on behalf of those who deceive themselves): don't argue on behalf of the
and sending blessings upon the Prophet (صلى هللا عليه وسلم) on Fridays. And whoever sends blessings upon the Prophet ( صلى هللا عليه وسلم) once, then Allah (سبحانه وتعالى) will praise the person ten times. Hadith: ( ع نْ أ بِي ِ َّ هُر يْر ة ، ق ال ق ال ر سُولُ هللا صلى هللا عليه وسلم " م نْ ص ل َّ ى ع ل ىَّ ص ال ة ً ص ل َّ ى هللا َّ ُ ع ل يْهِ بِه ا ع شْرًا ") (Abu Hurairah narrated that : Allah's Messenger ( صلى هللا عليه وسلم) said: "Whoever sends Salat upon me, Allah sends Salat upon him ten times.") - Jami` atTirmidhi 485
ً۬
( إِنَّ ٱّلل َّ ك ان غ ف ُ ورً ً۬ ا رَّحِيمً ً۬ ا ) (certainly, Allâh is Ever Oft¬Forgiving, Most Merciful): Allah (سبحانه وتعالى) will forgive your sins and He will open and guide you to good deeds.
deceiver. Sometimes you have to judge between people and one is on the truth but can't express himself and one who's on falsehood but speaks eloquently so you end up being convinced with the one on falsehood. For this reason it's important to seek forgiveness after judgement. This can especially happen when judging between children.
May Allah (سبحانه وتعالى ) make us see the truth as it is and forgive us. Ameen.
Places of Istighfar mentioned in the Qur'an (مواطن اإلستغفار في القرآن) – Class #5
(واستغفر) mentioned in the Qur'an as a command to the Prophet ( صلى هللا عليه وسلم)
Surah Ghafir 53-55
Ayat 53-54:
َوَ ل َ قَد ۡ ءَاتَي ۡ نَا مُوسَى ٱل ۡ هُدَىٰ وَ أ َ و ۡ رَث ۡ نَا ب( َن ىٓ إ س ۡ رَٲ ٓ ء يلَ ٱل ۡ ڪ تَـٰب ٣٥ ) ( هُدً ٍ۬ ى وَ ذ ڪ ۡ رَىٰ ۡل ُ وْ ل ى ٱۡل ۡ َ ل ۡ بَـٰب ٤٥ ) And, indeed We gave Mûsa (Moses) the guidance, and We caused the Children of Israel to inherit the Scripture [i.e. the Taurât (Torah)],— (53) A guide and a reminder for men of understanding, (54)
o After the story of Musa ( عليه السالم ) and the believer from the family of FIraoun, Allah ( سبحانه وتعالى ) mentions He gave Musa ( عليه السالم ) 'the guidance' ( الهدى ) which is referring to the signs and knowledge given to him. Banu Israel was given the Book, referring to the Tawrat. The Tawrat is guidance and a reminder, but for whom? For the people of understanding ( أ وْ ل ى ٱۡل ۡ َ ل بَـٰب ). Then Allah ( سبحانه وتعالى ) commands the Prophet ( صلى هللا عليه وسلم ) with three commands in order to continue with the dawah.
ُ
ۡ
ۡ
ُۢ
ۡ
ۡ
َّ
ۡ
Ayah 55: ( فَٱص ب ر إ نَّ وَ ع دَ ٱَّلل حَق وَ ٱس تَغ ف ر ل ذ ن ب كَ وَ سَبِّح ب حَم د رَبِّكَ ب ٱل عَش ىِّ وَ ٱإل ب ڪَـٰر ) (So be patient (O Muhammad صلى هللا عليه وسلم ). Verily, the Promise of Allâh is true, and ask forgiveness for your fault, and glorify the praises of your
Lord in the Ashi (i.e. the time period after the midnoon till sunset) and in the Ibkâr (i.e. the time period from early morning or sunrise till before midnoon) [it is said that, that means the five compulsory congregational Salât (prayers) or the 'Asr and Fajr prayers].)
َ
ٍ۬
1. Be patient ( ف ٱص ب ر ): the Prophet ( صلى هللا عليه وسلم ) is in the dawah and he should be patient and not show frustration. Patience is to hold one's self from complaining and anger. A person will attain victory with patience. What helps a person to remain patient? Verily the Promise of Allah ( سبحانه وتعالى ) is true ( إ نَّ وَ ع دَ ٱَّلل حَق ). If you're patient for a cure, then you have to believe Allah ( سبحانه وتعالى ) is Ash Shafie – He's The Curer.
ۡ
َ
َ
ۡ
ۡ
2. Seek forgiveness for your sin ( و ٱس ت غ ف ر ل ذ ن ب ك ): together with patience the Prophet ( صلى هللا عليه وسلم ) was commanded to seek forgiveness, subhan Allah. If a person is patient but has sins then it can delay the victory. Maybe we're patient but still there's no victory after one year, two years, and the reason is because sins are an obstacle to victory, so be busy with seeking forgiveness. Allah ( سبحانه وتعالى ) will for sure fulfill His promise, but it's our sins which are delaying and placing obstacles. May Allah ( سبحانه وتعالى ) forgive us. Ameen. For example, perhaps victory was supposed to happen tomorrow, but as a result of the sins it gets delayed for a year. Sins prevent someone from success and happiness.
َ
َّ
َّ
ْ
3. Negate all imperfection from your Rab b a nd a ffi r m a l l p r a i ses to Him in the beginning and end of the d a y ( و س ب ح ب ح م د ر ب ك ب ٱل ع ش ى و ٱ ل ب ڪ ـ ر ): to say (subhan Allah wa bihamdih ( سبحا ن َّللا وبحمده )), anyone who says ( سبحان َّللا وبحمده ) 100 times then Allah ( سبحانه وتعالى ) will expiate his sins even if it's like the foam of the sea. Hadith: ( عَنْ أ ب ي هُرَيْرَةَ ـ رضى َّللا عنه ـ َأ نَّ رَسُولَ َّللا صلى َّللا عليه وسلم قَال " مَنْ قَالَ سُبْحَانَ َّللا وَ ب حَمْد ه. ،ُف ي يَوْ مٍ م ائَة مَرَّةٍ حُط ت خَط ايَاه وَ إ نْ كَانَت م ث لَ زَبَد ال بَحْر " ) (Narrated Abu Huraira (may Allah be pleased with him): Allah's Messenger ( صلى هللا عليه وسلم ) said, "Whoever says, 'Subhan Allah wa bihamdihi,' one hundred times a day, will be forgiven all his sins even if they were as much as the foam of the sea.) - Sahih al-Bukhari 6405 Saying ( سب حا ن َّللا وبحمده ) has the effect of forgiveness and it helps with all matters.
ْ
May Allah (سبحانه وتعالى ) make us among those who always seek forgiveness. Ameen.
َ
ۡ
َ
َ
َ
َ
َ
ِّ
َ
َ
Places of Istighfar mentioned in the Qur'an (مواطن اإلستغفار في القرآن) – Class #6
(واستغفر) mentioned in the Qur'an as a command to the Prophet ( صلى هللا عليه وسلم)
ۡ
َّ
ۡ
ۢ
ۡ
ۡ
Surah Mohammed 19: ( ِف ٱع ۡ ل مۡ أ نَّهُ ۥ ال ٓ إِل ـٰه إِال َّ ٱّلل َّ ُ و ٱس ۡ ت غ ۡ فِر ۡ لِذ ن ۢ بِك و لِل ۡ مُؤ ۡ مِنِين و ٱل ۡ مُؤ ۡ مِن ـٰتۗ ُ َّ و ٱّلل ۡي ع ۡ ل مُ مُت ق ل َّ ب كُمۡ و م ث ۡ و ٮٰ كُم ) (So know (O Muhammad صلى هللا عليه وسلم) that Lâ ilâha ill-allâh (none has the right to be worshipped but Allâh), and ask forgiveness for your sin, and also for (the sin of) believing men and believing women. And Allâh knows well your moving about, and your place of rest (in your homes))
o The theme of Surah Mohammed is: following the Prophet ( صلى هللا عليه وسلم) is a measure of acceptable good deeds. Previous to this ayah, the hypocrites said 'what did he say?' referring to the Prophet ( صلى هللا عليه وسلم) though they heard what he said.
Surah Mohammed 16-17:
َّ
ۡ
ۡ
ٓ
ْ
ُ
َّ
ُ
ۡ
َ
ُ
َّ
وَ م ن ۡ ہُم مَّن يَس ۡ تَم عُ إ ل َ ي ۡ كَ حَت َّ ىٰ ٓ إ ذ َ ا خَرَجُوا ْ م ن ۡ ع ند كَ قَال ُ وا ْ ل ل َّ ذ ينَ أ وت ُ وا ْ ٱل ع ل مَ مَاذ َ ا قَالَ ءَان ف ً اۚ ُ َّ أ وْ ل َ ـٰٓٮ كَ ٱل َّ ذ ينَ ط َ بَعَ ٱَّلل َّ عَل َ ىٰ ق ُ ل ُ وب ہ مۡ وَ ٱت( ۡبَعُوٓ ا ْ أ َ ه ۡ وَ آءَهُم ٦١ ) ( ۡوَ ٱل َّ ذ ينَ ٱه ۡ تَدَو ۡ ا ْ زَادَهُمۡ هُدً ٍ۬ ى وَ ءَاتَٮٰ هُمۡ تَق ۡ وَ ٮٰ هُم ٧١ )
And among them are some who listen to you (O Muhammad صلى هللا عليه وسلم) till, when they go out from you, they say to those who have received knowledge: "What has he said just now? Such are men whose hearts Allâh has sealed, and they follow their lusts (evil desires).
(16) While as for those who accept guidance, He increases their guidance, and bestows on them their piety. (17)
Then Allah (سبحانه وتعالى) commands the Prophet ( صلى هللا عليه وسل م ) to:
َّ
ا
ِ
َّ
َّ
ۡ
4. Know there is no one worthy of worshi p e xc e p t Al l a h ( ف ٱع ل م أ ن ه ۥ ل إ ل ـ ه إ ِا ل ٱ ل ): there are two commands and the command for knowledge comes before the command for action. The knowledge which Allah ( سبحانه وتعالى ) commands us to learn is there is no one worthy of
worship except Allah; this is obligatory knowledge. This knowledge includes:
o Reflecting upon the names and attributes of Allah (سبحانه وتعالى) (تدبر أسماء َّللا وصفاته)
o To know He is singled out with divinity and no one else ( العلم انه المتفرد باّللو هية )
o To know He is singled out with providing all blessings and no one else (العلم انه المتفرد بالنعم)
o The reward which Allah (سبحانه وتعالى) has prepared for His believing slaves and punishment for His enemies ( الثواب ۡلولي ائه و العقاب ّلعدائه)
o To know the description of false gods which are worshipped ( أوصاف اّللهة التي عبدت) and to know they can't give, provide, create, benefit, etc.
o All the divine books agree upon there is no one worthy of worship except Allah (اتفاق الك تب السماوية)
o The messengers bear witness to it, there is no one worthy of worship except Allah (الرسل شهدوا بذلك)
o Universal signs of Allah (سبحانه وتعالى) which point to His Oneness, which point to there is no one worthy of worship except Allah ( اّلدلة الك ونية ). Look at the signs around and within yourself. Sometimes you're so keen to do something and all of a sudden you're not in the mood so you don't do it. This clearly shows there is a Creator, more powerful than you.
You will attain all of this knowledge through the Qur'an.
ۗ
5. And seek forgiveness for your sin an d fo r t he m a l e a nd fe m ale believers ( و ٱس ت غ ف ر ل ذ ن ب ك و ل ل م ؤ م ن ين و ٱل م ؤ م ن ـ ت ): the second command is to seek forgiveness and this is action. The more knowledge you have about ( ّل اله اّل َّللا ), the more you should increase in seeking forgiveness. The Prophet ( صلى هللا عليه وسلم ) is commanded to seek forgiveness, so what about us? Subhan Allah. The more you know about Allah ( سبحانه وتعالى ), the more humble you feel and the more you will seek forgiveness. What are the means for seeking forgiveness?
ِ
ۡ
ۡ
ۢ
ِ
ُ
ِ
ۡ
ۡ
ٰ
o Dua (الدعاء) such as saying 'astaghfar Allah'
o Repentance ( التوبة)
o Good deeds which wipe away sins (الحسنات الماحية)
o Quitting the sins ( ترك الذنوب)
So the place for seeking forgiveness is with knowledge. And a person should not only seek forgiveness for himself, but for the believers as well.
May Allah (سبحانه وتعالى ) make us among those who truly know ( ال اله اال الله ) and make istighfar for ourselves and the believers. Ameen
Places of Istighfar mentioned in the Qur'an ( مواطن اإلستغفار في القرآ ن ) – Class #7
(واستغفر) mentioned in the Qur'an as a command to the Prophet ( صلى هللا عليه وسلم)
Surah An Nasr
ۡ
ِبِس ۡ مِ ٱّللِ ٱلرَّح ۡ م ـٰنِ ٱلرَّحِيم ُإِذ ا ج آء ن ص ۡ رُ ٱّلل َّ ِ و ٱل ۡ ف ت ۡ ح(١ ) و ر أ ي ۡ ت( ٱلنَّاس ي د ۡ خُل ُ ون فِى دِينِ ٱّلل َّ ِ أ ف ۡ و اجً ً۬ ا ٢ ُ) ف س بِّح ۡ بِح م ۡ دِ ر بِّك و ٱس ۡ ت غ ۡ فِر ۡ هۚ ُ إِنَّه ( ۥ ڪ ان ت وَّ اب ۢ ا ٣ )
When there comes the Help of Allâh (to you, O Muhammad ( صلى هللا عليه وسلم) against your enemies) and the conquest (of Makkah), (1) And you see that the people enter Allâh's religion (Islâm) in crowds, (2) So glorify the Praises of your Lord, and ask His Forgiveness. Verily, He is the One Who accepts the repentance and Who forgives. (3)
Glad tidings (بشارة)
Command (اۡلمر) – Gratitude
ۡ
َّ
َ
1. ( ُإ ذ ا جَآءَ نَص رُ ٱَّلل وَ ٱل فَت ح ) (When there comes the Help of Allâh (to you, O Muhammad ( صلى هللا عليه وسلم ) against your enemies) and the conquest (of Makkah),): any victory is from Allah ( سبحانه وتعالى ) and He will bring the victory. All of us need victory from Allah ( سبحانه وتعالى ) and we especially need
1. ( َفَسَبِّح ۡ ب حَم ۡ د رَبِّك ) (So glorify the Praises of your Lord): to say 'Subhanka Allahuma wa bihamdika' (سبحانك اللهم وبحمدك), Allah (سبحانه وتعالى) is The Nurturer Who grants you victory. Tasbeeh is to negate all imperfection from Allah (سبحانه وتعالى); He is As Subooh (السبوح). Tasbeeh is to push away
victory against the shaitan and against our evil-commanding nafs. If we can overcome our evil nafs, then we can overcome the shayateen and anything else. The victory of Allah (سبحانه وتعالى) comes with means: with patience and attachment to Allah (سبحانه وتعالى). Victory comes after trials and struggle thus it requires patience. It didn't say (أتى) but ( ج آء) (comes) and this requires struggle, subhan Allah. ( ُو ٱل ۡ ف ت ۡ ح ) is referring to the opening of Makkah and the opening between truth and falsehood, belief and disbelief.
ۡ
َّ
ُ
َّ
َ
2. ( وَ رَأ ي تَ ٱلن اسَ يَد خ ل ونَ ف ى د ين ٱَّلل أ ف وَ اجً ا ) (And you see that the people enter Allâh's religion (Islâm) in crowds,): The Prophet ( صلى هللا عليه وسلم ) will see in front of his eyes disbelievers becoming Muslims in large groups. All that Allah ( سبحانه
all negativity from your mind. Saying 'subhan Allah wa bahidih' wipes away the sins. So when you see the victory, then you should say, ''Subhanka Allahuma wa bihamdika' ( سبحانك اللهم وبحم دك ), And what else?
2. ( ُوَ ٱس ۡ تَغ ف ر ۡ هۚ ) (and ask His Forgiveness): the second command is to ask for forgiveness, to say (اللهم أغفر لي) (O Allah forgive me).
So if we combine these two commands, the statement to be said is:
وتعالى) promised the Prophet ( صلى هللا عليه وسلم) happened.
(سبحانك اللهم وبحمدك اللهم أغفر لي)
(Subhanka Allahuma wa bihamdika' Allahuma ighfir li) (Free from imperfection are You O Allah, and all praises belong to You, O Allah forgive me)
َّ
When there's any kind of achievement or success in your life, and you're grateful then Allah ( سبح انه وتعالى ) will increase your openings. When you're humble, then Allah ( سب حانه وتعالى ) will take you up, but when you're proud, then Allah ( سبحانه وتعالى ) will take you down and close the openings. The Prophet ( صلى هللا عليه وسلم ) would say this statement in his ruku' and sujood. Imagine how much reforming and victory Allah ( سبح انه وتعالى ) would grant us if we did this, may Allah ( سبحانه وتعالى ) help us to do it. ameen. Hadith: ( ْع نْ ع ائِش ة ـ رضى هللا عنها ـ ق ال ت ك ان النَّبِيُّ صلى هللا عليه و ِسلم ي ق ولُ فِي رُكُوعِه ِو سُجُودِه " ِسُبْح ان ك الل هُمَّ، ر بَّن ا و ب َّح مْدِك ، الل هُم
ْ
اغ فِرْ لِي ". ) (Narrated 'Aishah (may Allah be pleased with her): The Prophet ( صلى هللا عل يه وسلم ) used to say in his bowings and prostrations, "Subhanaka Allahumma Rabbanã wa bihamdika, Allãhumma ighfirli" (Glorified be You, O Allah, our Lord! All the praises are for You. O Allah, forgive me)!") - Sahih alBukhari 4293
This statement shows your gratitude, and when you're grateful, Allah (سبحانه وتعالى) will increase you.
It's important to be humble, we want to go up to the sky and not down to the earth.
Notice how Allah (سبحانه وتعالى) was teaching the Prophet ( صلى هللا عليه وسلم) beforehand to say this before the victory came, subhan Allah. And Allah (سبحانه وتعالى) is teaching us this, may Allah ( سبحانه وتعالى) keep us humble.
From the time of the Prophet ( صلى هللا عليه وسلم) and the rightly guided caliphs there were many openings and this continued until the people turned to the duniya. We can never be rich from Allah's victories and openings. Sheikh As Sa'ady said this surah showed the coming of the end of the life of the Prophet ( صلى هللا عليه وسلم). So he had to prepare himself to meet Allah (سبحانه وتعالى) and had to seal his life with: ( سُبْحَانَكَ الل َّ هُمَّ، رَبَّنَا وَ ب حَمْد كَ، الل َّ هُمَّ اغ ْ ف رْ ل ي ) (Subhanka Allahuma Rabbana wa bihamdika Allahuma ighfir li) (Free from imperfection are You O Allah, Our Lord, and all praises belong to You, O Allah forgive me)
So we should say this statement for:
1. Gratitude in victory and openings
2. End of life
We don't want to be proud at the end of our life, but at the very last moments and end of anything we should say: (سبحانك اللهم وبحمدك اللهم أغفر لي) (Subhanka Allahuma wa bihamdika' Allahuma ighfir li) (Free from imperfection are You O Allah, and all praises belong to You, O Allah forgive me)
After any glad tiding, what's required? Gratitude. May Allah (سبحانه وتعالى) make us see the victory in ourselves. Ameen.
( إ ن هُ ۥ ڪَانَ تَوَّ ابَ ا ) (Verily, He is the One Who accepts the repentance and Who forgives): May Allah (سبحانه وتعالى) guide us to repent and accept our repentance.
ُۢ
o We need to seek forgiveness and be grateful for all that Allah ( سبحانه وتعالى) has opened for us and taught us.
May Allah (سبحانه وتعالى ) grant everyone a great and clear victory. Ameen.
Places of Istighfar mentioned in the Qur'an (مواطن اإلستغفار في القرآن) – Class #8
(واستغفر) mentioned in the Qur'an as a command to the Prophet ( صلى هللا عليه وسلم) to seek forgiveness for the believers
ۡ
ۡ
ۡ
Surah Al Imran 159: ( ف بِم ا ر ح ۡ م ة ً۬ مِّن ۡ ٱّلل َّ ِ لِنت ل هُمۖ ُّ و ل و ۡ كُنت ف ظ ً ا غ لِيظ ٱل ۡ ق ل ۡ بِ َل نف ض واْ مِن ۡ ح و ۡ لِكۖ ِف ٱع ۡ فُ ع ن ۡ ہُمۡ و ٱس ۡ ت غ ۡ فِر ۡ ل هُمۡ و ش اوِر ۡ هُمۡ فِى ٱۡل ۡ م ۡ رۖ ِ َّ ف إِذ ا ع ز م ۡ ت ف ت و كَّلۡ ع ل ى ٱّللۚ إِنَّ ٱّلل َّ يُحِبُّ ٱل ۡ مُت و كِّلِين ) (And by the Mercy of Allâh, you dealt with them gently. And had you been severe and harsh¬hearted, they would have broken away from about you; so pass over (their faults), and ask (Allâh's) Forgiveness for them; and consult them in the affairs. Then when you have taken a decision, put your trust in Allâh, certainly, Allâh loves those who put their trust (in Him).)
Qualities of a leader:
َّ
o ( ۡف بِم ا ر ح م ة ً۬ مِّن ٱّلل ِ لِنت ل هُم ) ( And by the Mercy of Allâh, you dealt with them gently ): by Allah's mercy the Prophet ( صلى هللا عليه وسلم ) was kind and gentle to the people. Allah ( سبحانه وتعالى ) made it easy for him to be soft, lenient and kind to them. As a result his Companions loved him, gathered around him and obeyed him. May Allah ( سبحانه وتعالى ) have mercy on us and grant us this quality. Ameen. Take the opposite, when a person is harsh and very difficult then people will hate him, they will not listen to him or gather around him.
ۡ
ۡ
ۡ
o ( ۖ و ل و كُنت ف ظ ً ا غ لِيظ ٱل ق ل بِ َل نف ضُّواْ مِن ح و لِك ) ( And had you been severe and harsh¬hearted, they would have broken away from about you; ): if
o
someone has bad attitude and is harsh hearted then people will break away from him. Good manners and softness from the leaders of the deen will attract people to the deen, but bad manners and harshness from leaders of the deen will make the people turn away. People are looking at the deen from the behavior of such people. Firmness doesn't mean to be mean and harsh, but to be firm without putting others down. May Allah ( سبحانه وتع الى ) guide us to the best manners and deeds. Ameen. How should the Prophet ( صلى هللا عليه وسلم) deal with the Companions though there were shortcomings in his right? It's the right of the leader to be obeyed and respected, ( ۡف ٱع ۡ فُ ع ن ۡ ہُم ) (so pass over (their faults),): pardon them for their shortcomings in fulfilling the right of the Prophet (صلى هللا عليه وسلم) which is to be obeyed.
o ( ۡو ٱس ت غ فِر ل هُم ) ( and ask (Allâh's) Forgiveness for them; ): and seek forgiveness for them because of their shortcomings in Allah's right. Notice Allah ( سبحا نه وتعالى ) mentioned the Prophet's right before His, subhan Allah. You will notice the prophets seek forgiveness for those below them and this teaches us to also seek forgiveness for those below us, our children, helpers at home, etc.
ۡ
ۡ
o ( ِو ش اوِر هُمۡ فِى ٱۡل ۡ م ر ) ( and consult them in the affairs. ): if there's a matter that requires counsel and advice, then consult them in some matters. Imagine after disobeying you seek their advice as a way of consoling them and removing anything which can take place in the heart, subhan Allah. This gives rest to their hearts. A person
doesn't want to lose the people either and should know others make mistakes as well.
ۡ
o ( يُحِبُّ ٱل مُت و كِّلِين إِنَّ ٱّللۚ ِ ف إِذ ا ع ز م ت ف ت و كَّلۡ ع ل ى ٱّلل ) ( Then when you have taken a decision, put your trust in Allâh, certainly, Allâh loves those who put their trust (in Him) ): when you're determined on a decision after seeking counsel then rely on Allah ( سبحانه وتعالى ) and not yourself, verily Allah ( سبحانه وتعالى ) loves those who rely on Him.
َّ
ۡ
o This is teaching us to seek forgiveness for those below us, pardon them and seek their counsel because we don't want to lose them.
May Allah (سبحانه وتعالى ) help us to apply what we learned. Ameen.
Places of Istighfar mentioned in the Qur'an (مواطن اإلستغفار في القرآن) – Class #9
(واستغفر) mentioned in the Qur'an as a command to the Prophet ( صلى هللا عليه وسلم) to seek forgiveness for the believers
Surah Fussilat 1-5:
ۡ
ً۬
ً۬
ۡ
ۡ
ُ
ۡ
ۡ
ۢ
َّبِس مِ ٱّللِ ٱلر ِح م ـٰنِ ٱلرَّحِيم ( ٓحم ًً۬ ا ل ( ف و ب ي نِك حِج اب م لۡ إِنَّن ا ع ـٰمِل
١( ِ) ت نزِيل ً۬ مِّن ٱلرَّح ۡ م ـٰنِ ٱلرَّحِيم ٢ ً۬ ) كِت ـٰب ف ُ صِّل ت ۡ ء اي ـٰتُهُ ۥ ق ُ ر ۡ ء انًا ع ر بِي ِّ ق و ۡ م ( ي ع ۡ ل مُون ٣ ) ب شِيرً ً۬ ا و ن ذِيرً ً۬ ا أ ع ۡ ر ض أ ڪ ۡ ث رُهُمۡ ف هُمۡ ال ي س ۡ م عُون ٤ ُ) و ق ال ُ واْ ق ُ ل ُ وب ن ا فِىٓ أ ڪِنَّة ً۬ مِّمَّا ت د ۡ عُون آ إِل ي ۡ هِ و فِىٓ ء اذ انِن ا و ق ۡ ر ً۬ و مِن ۢ ب ي ۡ نِن ا ۡ ً۬ ف ٱع ۡ ُ ون (٥ )
HâMîm [These letters are one of the miracles of the Qur'ân, and none but Allâh (Alone) knows their meanings.] (1) A revelation from (Allâh) the Most Gracious, the Most Merciful. (2) A Book whereof the Verses are explained in detail — a Qur'ân in Arabic for people who know. (3) Giving glad tidings [of Paradise to the one who believes in the Oneness of Allâh (i.e. Islâmic Monotheism) and fears Allâh much (abstains from all kinds of sins and evil deeds) and loves Allâh much (performing all kinds of good deeds which He has ordained)], and warning (of punishment in the Hell Fire to the one who disbelieves in the Oneness of Allâh), but most of them turn away, so they hear not. (4) And they say: "Our hearts are under coverings (screened) from that to which you invite us, and in our ears is deafness, and between us and you is a screen, so work you (on your way); verily, we are working (on our way)." (5)
ِّ
ُ
ُ
ۡ
o The theme of Surah Fussilat is the responsibility of the message. The meaning of 'Fussilat' is to break into details.
o You will find the Qur'an is referred to as (قرآن) which comes from (قرأ) meaning 'to read'. It's also referred to as ( كتاب) which comes from ( كتب) meaning 'to write'. The first word revealed was (اقرأ) which is to read. So the Qur'an is meant for reciting and as the ayat were being revealed and then completed in revelation it was gathered to become a Book ( كتاب). So what we have in front of us is the Book.
o The Qur'an is revealed in the Arabic language which is the best language to show clarity. The Qur'an has glad tidings and warnings but the disbelievers say they can't hear it because their hearts are covered and their ears are deaf. They say 'do what you're doing and we'll do what we're doing'. They're content with their disbelief. Notice how Allah (سبحانه وتعالى) is giving us details of their rejection. What is the Prophet (صلى هللا عليه وسلم) commanded to do?
Ayat 6-7:
َّ
ُ
ً۬
ُ
ً۬
ۡ
ۡ
ً۬
ۡ
ٓ ٰق ُ لۡ إِنَّم آ أ ن ا ً۬ ب ش ر ً۬ مِّث ۡ ل ُ كُمۡ يُوح ى ُإِل ىَّ أ نَّم آ إِل ـٰهُكُمۡ إِل ـٰه و ٲحِد ف ٱس ۡ ت قِيمُوٓ اْ إِل ي ۡ هِ و ٱس ۡ ت غ ۡ فِرُوهۗ ( و و ي ۡ ل ً۬ ل ِّ ل ۡ مُش ۡ رِكِين ٦ ) ٱل َّ ذِين ال يُؤ ۡ تُون ٱلزَّڪ وٰ ة و هُم بِٱۡل ۡ خِر ( ةِ هُمۡ ك ـٰفِرُون ٧ )
Say (O Muhammad صلى هللا عليه وسلم): "I am only a human being like you. It is revealed to me that your Ilâh (God) is One Ilâh (God - Allâh), therefore take Straight Path to Him (with true Faith — Islâmic Monotheism) and obedience to Him, and seek forgiveness of Him. And woe to Al-Mushrikûn (the polytheists, idolaters, disbelievers in the
Oneness of Allâh). (6) Those who give not the Zakât and they are disbelievers in the Hereafter. (7)
1. ( ۡق لۡ إِنَّم آ أ ن ا ب ش ر مِّث ل كُم ) ( Say (O Muhammad صلى هللا عليه وسلم ): "I am only a human being like you ): tell them O Mohammed ( صلى هللا عليه وسلم ) that I'm a human like you.
ُ
ً۬
ٓ
2. ( َّيُوح ىٰ إِل ى ) (It is revealed to me): and I receive inspiration from Allah (سبحانه وتعالى). Someone cannot all of a sudden speak eloquently and perfectly without having studied, clearly it's divine revelation. Allah (سبحانه وتعالى) has favored him upon others with inspiration. This shows Mohammed (صلى هللا عليه وسلم) is the slave of Allah (سبحانه وتعالى) and His messenger. What is the inspiration which he's commanded to say and others to follow?
ً۬
3. ( أ نَّم آ إِل ـٰهُكُمۡ إِل ـٰه و ٲحِد ) (that your Ilâh (God) is One Ilâh (God - Allâh)): the One Whom you need to attach out of love and magnification is One; He is Allah (سبحانه وتعالى). They have to worship and devote themselves to one; this is tawheed al uloohiya. All together it's telling us (ّل اله اّل َّللا محمد رسول َّللا). What does Allah ( سبحانه وتعالى) command Him after informing them that ( ّل اله اّل َّللا مح مد رسول َّللا )?
ً۬
ۡ
1. ( ِف ٱس ت قِيمُوٓ اْ إِل ي ه ) ( therefore take Straight Path to Him and obedience to Him, ): take the Straight Path to reach Allah ( سبحانه وتعالى ). The Straight Path consists of knowledge and action ( ال العمل+ علم ), which means to believe in all the news which Allah ( سبحانه وتعالى ) informs us and to submit and act upon what's told. The word ( ِإِل ي ه ) – 'to Him' – shows
to have ikhlas in istiqamah. When a person is following the commands, praying, etc then it's all for the sake of Allah (سبحان ه وتعالى), and not for the sake of the people.
ۡ
2. ( ُو ٱس ت غ فِرُوه ) ( and seek forgiveness of Him ): the second command is to seek forgiveness. Whatever we learn, it's not possible to apply it 100%, sometimes we get tired, sometimes we say something we shouldn't, and we can't expect people to be mustaqeem all the time either. We have to try our best to be mustaqeem, but we can never rely on our istiqamah to take us to paradise, so what's required? We need to seek forgiveness and this keeps us humble.
ۡ
o We find the place for istighfar here is with istiqamah. If you see yourself praying, fasting, doing night prayer, then it's important to seek forgiveness. Istighfar is essential in our lives and we should not only seek forgiveness for ourselves but for others as well.
May Allah (سبحانه وتعالى ) help us to apply what we learned and may He forgive us. Ameen.
Places of Istighfar mentioned in the Qur'an (مواطن اإلستغفار في القرآن) – Class #10
(واستغفروا) mentioned in the Qur'an is a command to the believers
o Surah Al Muzzamil is about qiyam al layl. Ayat 1 to 10 are addressing the Prophet (صلى هللا عليه وسلم), ayat 11 to 19 are addressing the disbelievers, and ayah 20 is a command to the believers.
o Allah (سبحانه وتعالى) is addressing the Prophet (صلى هللا عليه وسلم) calling him 'O Muzzamil – the one under the covers'. The Prophet ( صلى هللا عليه وسلم) was all covered up after seeing Jibreel (عليه السالم), but now Allah (سبحانه وتعالى) is commanding him to get out of his 'comfort zone' and pray the night prayer. He had to pray third, half or two thirds the night.
o Allah (سبحانه وتعالى) commanded him to recite the Qur'an with tarteel at night. Tarteel is to recite the Qur'an slowly with a melodic voice. What are the effects?
o Pondering the ayat
o Reflecting
o Heart moves
o Interact with the ayat
o Being with the Qur'an
o Allah (ه وتعالى سبحان) tells the Prophet (صلى هللا عليه وسلم) the night prayer is preparation for receiving the Qur'an which is heavy in its statements and meanings. The night prayer gives strength and this
ۢ
َّ
is in order to be able to receive the inspiration from Allah ( سبحانه وتعالى).
َ
ً
o ( نَاش ئَة ٱل ي ل ) is to sleep then wake-up from your sleep to pray the night prayers. This type of prayer will make a person reach their target which is to benefit from the Qur'an. Unlike praying then sleeping or not sleeping at all, there should be some sleep before praying. Surah Al Muzzamil 6: ( ُّإ نَّ نَاش ئَة ٱل ي ل ه ىَ أ شَد وَ ط ـ ً ا وَ أ ق وَ مُ ق يال ) (Verily, the rising by night (for Tahajjud prayer) is very hard and most potent and good for governing oneself, and most suitable for (understanding) the Word (of Allâh).)
َ
ۡ
ۡ
َ
o Qiyam al layl will help us for the morning and the honor of the believer is his praying at night. May Allah ( سبحانه وتعالى) guide us and increase us. Ameen.
ُ
ُ
ُ
َّ
ۡ
ۡ
ۡ
ۡ
َّ
َّ
Surah Al Muzzamil 20: ( إِنَّ ر بَّك ي ع ۡ ل مُ أ نَّك ت ق ُ ومُ أ د ۡ ن ىٰ مِن ث ُ ل ُ ث ىِ ٱل َّ ي ۡ لِ و نِص ۡ ف هُ ۥ و ث ُ ل ُ ث هُ ۥ و ط آٮ ِف ة ً۬ مِّن ٱل َّ ذِين م ع كۚ و ٱّلل َّ ُ يُق دِّرُ ٱل َّ ي ۡ ل و ٱلنَّہ ارۚ ۡ ع لِم أ ن ل َّ ن تُح ۡ صُوهُ ف ت اب ع ل ي ۡ كُمۖ ِف ٱق ۡ ر ءُواْ م ا ت ي سَّر مِن ٱل ۡ ق ُ ر ۡ ء انۚ ع لِم أ ن ٰس ي كُونُ مِنكُم مَّر ۡ ض ىۙ ِ َّ و ء اخ رُون ي ض ۡ رِبُون فِى ٱۡل ۡ ر ۡ ضِ ي ب ۡ ت غ ُ ون مِن ف ض ۡ لِ ٱّللۙ ُ و ء اخ ر ِ َّ ون يُق ـٰتِل ُ ون فِى س بِيلِ ٱّللۖ ُف ٱق ۡ ر ءُواْ م ا ت ي سَّر مِن ۡ هۚ ْ و أ قِيمُوا ٱلصَّل وٰ ة و ء اتُواْ ٱلزَّك وٰ ة و أ ق ۡ رِضُواْ ٱّلل َّ ق ر ۡ ضًا ح س نً ً۬ اۚ ً۬ و م ا تُق دِّمُواْ ۡلِ نف ُ سِكُم مِّن ۡ خ ي ۡ ر ۡ ت جِدُوهُ عِند ٱّلل َّ ِ هُو خ ي ۡ رً ً۬ ا و أ ع ظ م أ ج ۡ رً ً۬ اۚ َّ و ٱس ۡ ت غ ۡ فِرُواْ ٱّللۖ ۢ ُ إِنَّ ٱّلل َّ غ ف ُ ور ً۬ رَّحِيم ) (Verily, your Lord knows that you do stand (to pray at (also night) a little less than twothirds of the night, or half the night, or a third of the night, and a party of those with you, And Allâh measures the night and the day. He knows that you are unable to pray the whole night, so He has turned to you (in mercy). So, recite you of the Qur'ân as much as may be easy for you. He knows that there will be some among you sick, others
travelling through the land, seeking of Allâh's Bounty; yet others fighting in Allâh's Cause. So recite as much of the Qur'ân as may be easy (for you), and perform As-Salât (Iqâmat-as-Salât) and give Zakât, and lend to Allâh a goodly loan, And whatever good you send before you for yourselves, (i.e. Nawâfil non-obligatory acts of worship: prayers, charity, fasting, Hajj and 'Umrah), you will certainly find it with Allâh, better and greater in reward. And seek Forgiveness of Allâh. Verily, Allâh is Oft-Forgiving, Most-Merciful)
o Allah (سبحانه وتعالى) knows the Prophet (صلى هللا عليه وسلم) is fulfilling the command of the night prayer and a group of believers as well. Keep in mind the night prayer is not an obligation but it's the greatest voluntary prayer after the obligatory prayers.
o Allah (سبحانه وتعالى) knows the believers can't do it completely so He accepts their repentance. If a person is sleepy and tired then it's better to sleep until rested because praying the night prayer requires the person to be awake and aware.
o Allah (سبحانه وتعالى) knows there are those who are sick, those who are working and those striving for the sake of Allah (سبحانه وتعالى), so it's important to do whatever is easy for you.
o Allah (سبحانه وتعالى) commands the believers to focus on establishing the prayers and giving zakat because these are obligations. And lend Allah (سبحانه وتعالى) a goodly loan meaning give charity sincerely, knowing Allah (سبحانه وتعالى) will reward you. And any good you do
then you will surely find it with Allah (سبحانه وتعالى); it will be better and greater in reward.
o After doing any worship – prayer, fasting, giving charity, advising someone, etc –seek forgiveness. We sin day and night, and seeking forgiveness is patching for us and our worships.
May Allah (سبحانه وتعالى ) help us apply what we learned and may He forgive us. Ameen.
ADDITIONAL RESOURCES
PAST CLASS NOTES AND NEW POSTS ON TELEGRAM THIS IS OPEN TO BOTH WOMEN AND MEN h t t p s : / / t . m e / m a r k a z a l s a l a m p u b l i c a t i o n s E N G
PLACES OF ISTIGHFAR MENTIONED IN THE QUR'AN
|
L # 5
CALIFORNIA FEDERATION OF MINERALOGICAL SOCIETIES
NEWSLETTER NEWSLETTER
MAY 2013
TABLE OF CONTENTS
2013 CFMS CALENDAR
Rox Vobiscum
NEWSLETTERDEADLINE
Articles for theNEWSLETTER
are to the Editor by the
DUE
1 st of The Month - PRIOR to the Month of Publication!
Editor - Tom Burchard
801-791-2828
email@example.com
The Executive Committee Meeting The Executive Committee Meeting at Ventura will be at Ventura will be Thursday, May 30th Thursday, May 30th at 1:00 PM at 1:00 PM
PRESIDENT'S MESSAGE "TELL ME WHAT YOU REALLY THINK"
Three responses came in on three different questions this month. Let me start with the response about the Bulletin Competition. The responder was a three year editor of one society and a one year editor of another society. She entered the contest and did not like the judging. One judge gave her an 80 and the other gave her a 94. Her feeling was that the scoring was so far off that it was discouraging and she would not enter the contest again. She has since been asked to judge the contest for another Federation. My only reply is that we are all individuals and see things differently. Subjective judging gives the judge the opportunity to base their scores on the instructions given them by the Chairman of the contest and their own life experiences. We can only hope that the judge applies the same criteria to all the contestants equally. Maybe Dot could explain how the judges are selected, are they from our Federation or another and what are the criteria/instructions given to the judges. I encourage the responder to continue to participate in the contest because "we get better when we are judged by our peers".
The next response was about a society currently sponsoring a Junior Rockhound group. This responder, I know, is an educator and a member of a society that has 42 juniors, so he might have a slightly different perspective than a person not in the education field. I am only going to quote the last paragraph of his remarks because I think it very succinctly sums up what he thinks. "Why do we have a junior rock hound group? We have one to fulfill dreams, inspire curiosity, create friendships, bring friends and family closer
Continued on Page 3
NOMINATIONS CJ QUITORIAN - CHAIR
Hi Everyone! It's the time of year to send in your nominations for CFMS officers!
If you are someone, or know someone, who wants to run for office, please send in your nominations before May 30th in order for the nominations to be announced at the CFMS show in Ventura!
A letter from your club President nominating you will work just fine. You can e-mail your nomination to me, or snail mail it.
Make sure to tell us all about your nominee and what qualifies him or her for the position.
The Secretary position will be open next year, but you can run for any officer position! Except President of course!
See you at the show in Ventura!
ALL AMERICAN AWARDS BY DOT BEECHLER - CHAIR
ALL AMERICAN REPORT
The call for the All American books due on February 28 produced
ONE BOOK!
The DEL AIR ROCKHOUNDS entered a book for the first time. The club is to be thanked for their efforts in preparing a book to show their club history for 2012.
This book is presently being judged. Results of this judging will be announced at the CFMS show and meeting in May.
2
NEWSLETTER SUBSCRIPTIONS From Pat Larue
The CFMS Newsletter is published 11 times a year by the California Federation of Mineralogical Societies,
PO Box 1657
Rialto, CA 92377-1657
Subscription: $5.50 per year,
January through December. Not Prorated.
CFMS INSURANCE
Contacts:
McDaniel Insurance Services
PO Box 1294, Ojai, CA 93024
Tel (805) 646-9948 or (800) 400-7288
Fax (805) 646-9976; E-mail: firstname.lastname@example.org
Web site www.mcdanielinsuranceservices.com
2013 - Fred Ott, CFMS Insurance Chair
3420 Coach Ln STE 4 Cameron Park, CA 95682-8406 (530) 677-5211 (work)
email@example.com
FIELD TRIPS - NORTH
FROMJIMBARTON
Field trip season is getting started, and it's time to think safety while traveling and working outdoors. While visiting and working in river valleys and desert dry washes, we need to be aware that flash floods can occur with little warning, even when a storm is miles away in the mountains. If you see or hear the water approaching, get to higher ground immediately. If caught in the flood, do what river rafters do when dumped into the water, try not to panic and position yourself on your back with your head upstream to protect it from submerged rocks. Always be alert to your surroundings, and have a safe and fun experience outdoors. Thanks.
President's Message - Continued from Page 1
together, and raise a subliminal to overt awareness of Earth Sciences. If what we are doing is worth doing, why would anyone NOT have a junior group? I'm proud of our juniors and students and enjoy contemplating what they'll share with the following generation".
WOW!! I love that reply.
The third response was on Electronic Newsletter for Societies and the CFMS. This society rarely mails out newsletters to members. They found that when they sent them out electronically some members would forward them to former members and folks who decline to pay their dues and contribute to the Society. Then they would show up at field trips and say they received notice through the newsletter. This Society will e-mail only if they are not going to have the newsletter out by the first of the month. They have received feedback that the members prefer the paper version to read and refer to. However, they are considering making the electronic version an option to members in lieu of the paper version.
In my Society, the MLMS, that is the compromise we have established. We mail out the paper version, in black and white, printed at a cost of 5 cents a page, plus postage, to about 85 members that have requested a paper version. The other 220 members get a color e-mail copy, that would cost 79 cents a page to print, plus postage, that they can print themselves.
My responder also said the younger members will read the CFMS newsletter on their computers or print it and enjoy it. The clubs like to have the three mailed copies and their Society does encourage members to read the CFMS newsletter on the Federation website.
Questions for next month:
CFMS INSURANCE PROGRAM
We are right in the middle of gathering information on each and every society, so Patt McDaniel, of McDaniel Insurance Services, can obtain a quote from another insurance carrier. We need your Society information to complete this process so be sure to have your Society Insurance Chair, or secretary, return the questionnaire by the April due date. Besides the cost, what do you think about the program we have now? You can talk about our Liability Policy, Directors and Officers Liability, Premises Liability and/or Property Coverage, Special Event certificate/endorsements and Vendor – Special Event Liability Insurance. Is everything you need on the website? Do the sample forms adequately assist you in filling out the required forms? If you have a question, how accommodating is McDaniel Insurance Services?
EARTH SCIENCE STUDIES
This is kind of a signature event for the CFMS. I do not know how many other Federations have a program like ours but it cannot be as good a program as the one we have. We have some wonderful instructors teaching a variety of interests in our hobby. Most of the instructors do not get reimbursed enough to cover their cost to take the time to travel to the ESS site and possibly take up to three weeks out of their busy life to teach. Does anybody have any suggestions on how to make this program better? I am talking about advertising, price, accommodations, classes and teachers. Are we staying current with the trends in our hobby? Honestly, I am expecting nothing but praise for this program.
I received three comments last month – how about four this month?
All eight questions are open for comment.
"TELL ME WHAT YOU REALLY THINK"
Thank you for all that you do for your Federation.
Bud
EDUCATION THRU SHARING From Nancy Bird - Chair
Tony Charlton has been a member of the El Dorado County Mineral and Gem Society for 10 years. His passion for collecting, lapidary work and photography became evident to us early on.
Over the years, Tony has consistently shared his interests and skills by supervising lapidary workshops and giving presentations at junior and general membership meetings and for other societies. He also prepared and presented a special projected microcrystal display for our rock and gem shows. He has led many field trips including some to one of his favorite nearby crystal collecting areas.
You will always see at least one case display by Tony at every Rock & Gem Show, the County Fair's Minerals Building display that we host and at our society's annual County Library display. His fossil, crystal and mineral displays are exceptional.
At our general meetings, he often brings samples of what he has collected and jewelry he has made so that other members can see and enjoy it. He has also generously donated beautiful material for our raffles and other society needs.
Tony once explained that his interests in earth sciences began in early childhood. He started collecting at age 2 during the time he and his family lived in New Mexico. At age 4, he found a brachiopod fossil in the desert near Albuquerque. Even at that age, he realized that something that "doesn't belong" in a certain place could be worthy of collecting! At age 11, his discovery of rare leaf fossil impressions near Silver Lake, CA, encouraged him to further pursue collecting and study.
Tony was our Lapidary Chairperson for several years. In 2013, he will be on our Board of Directors as 2nd Vice President.
We are inspired by his consistent sharing of interests in earth science. We proudly nominate Tony Charlton for our Rockhound of the Year.
Bob Graton, President, El Dorado County Mineral & Gem Society
I have been a member of the Reno Gem and Mineral Society for 13 years. I have seen good Presidents and I have seen average Presidents. The person I am nominating for 2013 Rock Hound of the Year has been an EXCELLENT President. Linda Johnston had a difficult year in 2012. We had a leaky roof and an unavailable and unresponsive landlord among other problems. Linda stepped up and demanded change in member attitudes and action. Because of her take charge attitude a large number of holding actions finally were accomplished and she formed a Steering Committee to help lead us going forward. As Past President, she has agreed to continue leading the Steering Committee in 2013. This woman has made a huge difference in the quality of Reno Gem and Mineral and it gives me satisfaction to put her name forward as this year's nomination for the award of Rock Hound of the Year!
Jennifer Rhodes, RGMS - CFMS Director
The Pasadena Lapidary Society is honored to have the remarkable Carolyn Duncan among our members. Having developed a love of rocks in her early years she was frustrated by what she considered " those lying rock maps" and an inability to identify collectible specimens. After joining the Pasadena Lapidary Society she learned that, while on her own, she had been right in the area of great specimens and now, with the help of club members, she could identify them! She had contracted "Rock Fever"! She acquired her first tumbler in 1974 and a trim saw soon after. She enrolled in classes such as cabochon making, rock polishing and glass fusion to enhance her appreciation of the hobby. Eventually, Carolyn became a member of the Metal Arts Society where she learned to merge lapidary and silversmithing, wire wrapping, form folding, tube setting and silver fusing. She brings her expertise back to the Pasadena Lapidary Society by teaching others and exhibiting leadership as the club's Vice President and Program Chair. We are proud to name Carolyn Duncan as our Rockhound Of The Year!
VISUAL PROGRAMS BY SHARON ROGOW - CHAIR
No lectures, no begging, no reminders, , , this time! Instead, I will list some of the new additions now available from our library. I will do the same for the next few issues & we will also put them on the web site.
First I want to mention that "F 46" Utah Trips & Treasures, "F 49" Topaz Mountain Story and V 122 "The Obsidian Trail" are all now available on DVD. Just use the original number adding "on DVD" when ordering.
1. DVD 36, Virgin Valley Opals, How opals are collected and some found specimens, over 4 min., short but worthwhile.
2. DVD 37 Disc 1, Wonderful World of Agates Symposium including Mexican Agates, 24 min. Recent Agate findings in Germany, 23 min. The Beauty of Banded Agates, 26 min. & Reflections on Formation of Agates, 17 min. DVD 39 Disc 2, The Lowdown on "Lakers", 28 min. Thundereggs of the US, 24 min., Host Rock of Thundereggs, 26 min. and Mining Agate & Jasper, 21 min.
3. DVD 40, Disc 3, includes Agate Creek, Australia 27 min., Lake Superior Agate, 24 min.
4. DVD 41, Disc 4, includes Sweetwater Moss Agates of WY, 10 min., Coconut Geodes, 19 min., Agates Close Up, 23 min.
5. DVD 42, Disc 5 includes Ribbon Cutting, 2 min. Award to June Culp Zeitner, 17 min., Exhibits, 15 Min.
6. DVD 50 The Mystery of Giant Crystals, 50 min. won't play on USA DVD player, use a laptop or PC.
7. DVD 51, Flint knapping, 45 min.
8. DVD 52, Jewelry Workshops by Nanz Aalund, intermediate level.
9. DVD 53, American Federation Cabochon Making.
10. DVD 54, Rock Markings, Stories on Stone, Petroglyphs, 40 min.
11. DVD 55, What's Beneath America? Geological, 43 min.
12. DVD 56, Cuttlebone Casting, Instructional, 30 min.
13. DVD 57, Red Treasure of the Rockies, Rhodochrosite, story of the Sweet Home Mine, 2 segments, 40 min. each.
I hope that these new listings will be helpful to you so let me hear from you. Check out the web site in a week or two. They will be there shortly.
702-499-0272
Sharonrr@cox. net
CFMS NEEDS YOU!
If your Society is interested in hosting the 2014, 2015, 2016 or 2017 CFMS Show & Convention,
PLEASE CONTACT:
Jack Williams - SHOW CONSULTANT NORTH - 530-622-3038 - firstname.lastname@example.org or
Susan Chaisson-Walblom - SHOW CONSULTANT SOUTH
42122 N 52nd ST W, Quartz Hill, CA 93536-3658; 661-943-1861 (H) 661-406-0143 (C)
email@example.com
OPENING DOORS AND EXPANDING MINDS
BY JUNE CONEY-HARRIS, SCVGMS MEMBER - BULLETIN AIDS CHAIR
Wow! What an incredible day. It was a real boost for the hobby of rock hounding, our area Boys Scouts, and the advancement of interest in geology. The Santa Clara Valley Gem and Mineral Society held its fourth Boy Scout Geology Merit Badge Day. We signed up 180 boys and turned away over 100 more. In fact, we are still having scout leaders sending in e-mails to sign up for our next event.
We had 148 boys earn the geology merit badge and two boys who earned a partial and are working toward the completion of it soon. That is 150 boys who were seriously interested in geology. They were introduced to industry professionals and serious hobbyists who all had not only a love for geology and rocks, but a dedication to advancing interest in the earth sciences. We had 18 adults who worked that day to provide a superior program for the scouts to earn their merit badge: Five Merit Badge Counselors, Nine Instructors, and Four Support Staff Members.
The scouts learned about careers in geology, the three types of rocks and their origins, minerals and their identifying properties, mining, reading geological maps, studying rock formations, how to use a chart to identify rocks and minerals, road building, and how geology is used in construction. They became better educated group of scouts and many with a much greater appreciation for geology.
Hopefully, we have been able to open a door for these boys to enter the field of earth sciences as a vocation, or at the very least, an avocation. We plan to continue with our program and hopefully we can introduce more scouts to our wonderful hobby yearly.
What is your club doing to advance the hobby young people in your community? Want to know how to put on a day like ours? Contact me at firstname.lastname@example.org or call me at 831-438-5150. I would love to talk to you about our program.
CFMS RULES COMMITTEE
CHERI GEORGE - 2013 CHAIR
So far we have 8 competitive entries for the CFMS Show & Convention May 31-Jun2, 2013. Where is everybody? It is getting closer to the Exhibit Entry Deadline of April 15, and Dee has said that he will accept late entries up to the 20th.
As many of you were competitors at the Riverside Convention last year in July, you may not have paid any attention to the plate on your trophy that you received for your winning exhibit. We had a little glitch in the plates and some of them have 14 June 2012 instead of 14 July 2012 imprinted on them. We are aware of this problem and are offering this solution to you. If you are interested in having the plate on your trophy replaced with the correct date please contact Frank Mullaney at email@example.com, and he will gladly prepare a new plate for your trophy at no charge to you. Please include in the e-mail, the full imprint message appearing on your plate, not including the date. This information in very important as it reflects your hard work in that Division and shows your achievement. It is not something that you HAVE to do, but only if you NEED this to be replaced. If you have any questions, please contact me Cheri George at firstname.lastname@example.org and I will endeavor to answer them for you.
The rules committee is looking forward to seeing you all at the CFMS Show & Convention in Ventura in May.
JUNIORS ACTIVITIES
DINOSAURS IN CALIFORNIA BY JIM BRACE-THOMPSON - CHAIR
The Kids' Booth at our 2013 CFMS Show & Convention will be centered around dinosaurs. You'll find dinosaur activities, special dino-related grab bags, a dinosaur speaker (Richard Wade), and, to tie the booth into the overall show theme of "California Rocks!" you'll see a display all about dinosaurs that have been found in California. So be sure to bring the kids or grandkids since kids seem to be genetically predisposed to love dinos!
While in So-Cal, you might extend your trip to take in the new Dinosaur Hall at the Natural History Museum of Los Angeles County (900 Exposition Blvd., L.A., www.nhm.org). The 14,000 square foot hall is world class, featuring more than 300 fossils and 20 complete mounts as well as murals. Kids can interact with touch screen multimedia displays to test their dino-knowledge, and a mezzanine level features a series of exhibits organized by questions kids often ask about dinos, such as, "What did they eat?" The whole hall is a perfect blend of old fashioned museum display values with new fangled multimedia aimed at learning while having fun!
2013 CFMS SHOW & CONVENTION A LEARNING OPPORTUNITY FOR NONCOMPETITIVE EXHIBITORS JIM BRACE-THOMPSON CFMS 2013 SHOW PUBLICITY CHAIR
Competitive exhibitors at our upcoming CFMS Show in Ventura will have the opportunity to meet and talk with judges after judging is over and awards have been presented. They'll be able to learn why they earned the scores they did and how they might improve their exhibits for future shows. This is always one of the most valuable parts of participating in competitive exhibiting. But what about those of us entering noncompetitive displays? Dee Holland and Shirley Leeson have volunteered to provide such a learning opportunity for noncompetitive exhibitors at this year's Show. For anyone interested, they will make themselves available to provide gentle critiques and helpful hints. So if you've decided not to enter competition this year, here's a chance to prepare your case for competition next year. Time and place will be announced at the Show in your Exhibitor's Welcome Packet and on posters in the exhibit hall.
AFMS ENDOWMENT 2013 RAFFLE
CFMS WEB SITE ADDITIONS
AFMS 2013 Endowment Fund raffle is building up for this year. Tickets are $5 each or $20 for 5
tickets. The AFMS show is on Sept. 20-22 in Jacksonville, FL, so there is lots of time to buy tickets again and again. You do not need to attend the Florida show to win. Prizes include fossils, mineral specimens, jewelry and books. There is plenty of time for California club members to send donations for the raffle to RJ Harris,
1109 Gunstock Lane, Mechanicsburg, PA, 17050, 717-795-0922, email@example.com.
Please contact me to purchase for your club or individual tickets. Send to Colleen McGann, PO Box 224, Santa Clara, CA 95052-0224. CFMS always has winners and you can be one of them this year.
MERRYAN O'NEILL, INTERNET COMMITTEE CHAIR
The CFMS Web Site home page has a couple of new features.
There are links to the current year's CFMS newsletters. To view all newsletters, you can still click on the "Newsletter" link at the top of the page.
A calendar of upcoming deadlines and events has also been added to the home page. You can see a printable 2013 Calendar and CFMS Events and Deadlines by clicking on the "Calendar" link at the top of the page.
To visit the CFMS web site, go to www.cfmsinc.org. If you have any questions or comments, please contact me at firstname.lastname@example.org
CFMS SILENT AUCTION DONATIONS JOIN THE SILENT AUCTION AT THE 2013 CFMS SHOW:
DONATE MATERIALS RON WISE, VENTURA & OXNARD GEM & MINERAL SOCIETIES
Have you ever participated in a silent auction? If the answer is "yes" please read this article and send me any suggestions you think will help. If the answer is "no" here is the way we propose to run the silent auction at the 2013 CFMS Show in Ventura. For both old timers who have attended many a show and newcomers to our hobby, here's your chance to participate.
The three local Ventura County clubs (the Conejo, Oxnard, and Ventura clubs) have good local material we'll be donating to the auction. However, these clubs alone don't have the type and quality of material to run a silent auction for the full three days of the show. These three local clubs have pledged to provide the man power to run the auction, as well as whatever rocks they can provide, but they'll definitely need your help to provide enough quality items for bidding. Anyone donating materials for the silent auction (quality rocks, fossils, lapidary materials, petrified wood, geodes, etc.) will receive a receipt for that donation. We ask that you label any items you donate to indicate what it is, where it was found, and a suggested value.
We're proposing the following Silent Auction procedures:
Silent Auctions will run on a cycle with start and end times announced on the loudspeaker (most likely, one auction round every hour).
Items will be placed with a bid sheet, stating what the material is and a minimum or starting bid. After selecting a rock you would like to bid on, sign up with the minimum bid or a bid higher than the preceding bid.
You may bid on as many items as you wish.
You can bid as many times as you wish to win the bid. Note that near the end of the auction, other rock hounds oftentimes swoop in at the last moment to out bid you, especially on quality materials, so if there's something you really, really want, you'll need to guard your bid!
Bid increments will start at the minimum bid or 1.00 dollar over the last bid. After a bid of 20 dollars the next bid is 5dollars higher.
Announcements will be made over the loudspeaker when five minutes are left in a round and the next announcement will end that round of the Silent Auction. All bidding ends at that time, the highest bidder wins the rock.
Finally, we will add a "Buy It Now" price tag to items set out for that round of the silent auction. The "Buy It Now" price will be considerably higher than the minimum bid. Once a bid has been placed on that item the "Buy it Now" option is off and the item must proceed through the auction cycle.
We welcome suggestions and feedback you may have about these procedures. To provide your thoughts, call me at 805-647-4393, or e-mail me at email@example.com.
Silent auctions are a great way for you to evaluate a great variety of materials and to purchase quality items at a good price, often at just a fraction of the item's commercial value. Plan to spend some time at the Silent Auction during the CFMS Show this June in Ventura. Bring some rocks to donate to the cause and bring extra money because who knows what wonderful material you may be able to pick up!
ps If you promise not to bid on the items I'm bidding on, I will do the same for you! ☺
First Impression of Zzyzx Creates Lasting Memory
BY GENE STIRM, TEHACHAPI CA
The sun was about to peek over the horizon when I pulled into the parking lot of Desert Studies Center at Zzyzx, for the CFMS Earth Science Studies spring camp, better known to Rock Hounds as Camp Zzyzx. This was my first visit to Zzyzx. Because of my schedule, I had to miss the first day orientation. I arrived alone, my wife had prior commitments and no one from our club was attending, in fact, I knew none of the attendees. I parked, sucked in a breath of fresh desert air, looked around, and wondered what the week had in store, would they be friendly or would I be an outsider?
having an opportunity to make several cabs before hand, I had samples of problems I was having and a list of questions prepared before I arrived. By the second day, I had completed my first two 'required' cabs, corrected any bad habits and was now ready to experiment. I was interested in a particular machine that I was thinking of purchasing and got to really try it out, even discuss it's pros and cons with the factory rep. It turned out that the feature I was interested in could be duplicated on my machine, saving me over a thousand dollars.
I have been sculpting stone, smithing and making various jewelry pieces for some time, but only started cutting stone this past year. Cutting slabs of obsidian for napping on an old tile saw to conserve material. But you know how it goes, once you slice a rock and find the treasure within, you can't stop.
I bought a cabbing setup in November 2012, and started teaching myself to cut and polish, so my focus at Camp Zzyzx was to make sure my technique was heading in the right direction. At 8:00 AM, while the rest of the camp was at breakfast, I located the lapidary setup, parked myself in a chair and waited for the first class to begin.
At 9 o'clock sharp, classes started all over the compound. Tom Burchard, our lapidary instructor, started his class by trumpeting on a real bullhorn. After a quick introduction, we all dove into trays of provided stone slabs. As our 'first project' we were required to make a round and oval cabochon before trying anything else. The lapidary setup had three trim saws and eight cabbing machines available and before long, everyone was busy. Equipment belonged to Tom or was on loan from Diamond Pacific, making it possible to create a beautiful cabochon without owning a single tool or even have a stone. In my opinion, that alone is worth the price of admission.
Tom is an excellent instructor with unfathomable patience, working with all skill levels. For me,
On day three, I began to move on to other classes and found Tom was not a fluke, all the instructors I worked with were equally talented, knowledgeable and patient. Whatever your interest, you will find some form or variation being taught. And what is even more fun, things you never thought of trying or knew existed are there to peek your interest, offering new challenges or open worlds of creative possibilities.
However, I must caution you, beyond the joy of exploring the worlds of Earth Sciences, there is a danger. Behind ever tree, around every corner and across ever table is a friendly face and a warm smile. Couple that with the great food and outdoor fun it's a true rock heaven. I came to Zzyzx not knowing any of the instructors or participants and left with a heart full of new friends.
Returning home, I was greeted with snow and temps in the 20 s , but the warmth of memories, feeling of accomplishment and new found camaraderie, was like sitting by a warm fire, a comfort indescribable. I will return and this time bring my wife.
Betty Egger and Marion Roberts demonstrate Straw Casting
THE CALIFORNIA FEDERATION OF MINERALOGICAL SOCIETIES, INC.
EARTH SCIENCE STUDIES
CAMP PARADISE
12725 La Porte Road, Clipper Mills, CA 95930 Emergency Phone Number for Camp Paradise 530-675-2625
PLEASE READ CAREFULLY BEFORE REGISTERING
1. Any cancellation prior to August 1 will incur a $25.00 Administration Fee.
2. No refunds on cancellations after this date unless a substitute is provided.
Make Checks Payable to:
FOR INFORMATION CONTACT:
CFMS EARTH SCIENCES
and send to:
Anna Christiansen
245 N 6th Avenue
Oakdale CA 95361-3124 209-847-1173
Marion Roberts 1505 Plumas Avenue Modesto CA 95358-5939
Phone: 209-538-0197
firstname.lastname@example.org
Please Note: Sign In will be Sunday, August 25th and Sunday, September 1st, 2013 at 1:00 PM CAMP PARADISE is approximately 50 miles east of Marysville on Highway E-21 (Marysville Rd. towards Brownsville). Elevation is approx.3,500 ft. The facilities are at a rustic church camp, rooms with double beds (for couples) and/or bunk beds. Bathrooms and showers are communal and located in each building. Housekeeping is the responsibility of each guest. Also available, on a limited basis, are cabins for 4 or more persons (bathrooms and showers are located nearby). RV space with electricity and water for most spaces is available. Since it is a church camp, no alcoholic beverages are permitted. Room assignments will be made by staff.
CLASSES - Beginning Faceting, Ming Trees, Lapidary, Soft Stone Carving, Silversmithing, Lost Wax Casting, Beginning through Advanced Wire Art, Copper Enameling, Lampwork Bead Making, Beading, PMC3 Clay and Dichroic Glass. Please Note: There will be some classes with limited space - Preference will be given to first time students.
***** CHANGES MAY BE MADE AS NECESSARY*****
A list of supplies will be sent to you with your confirmation. Please e-mail me after 30 days if you have not received information.
PLEASE CUT ALONG LINE and KEEP FOR FUTURE REFERENCES
REGISTRATION FORM
___Week 1 August 25 - 30, 2013
___Week 2 September 1 - 6, 2013
$375 A PERSON - PER WEEK
PLEASE PRINT CLEARLY
Name 1 __________________________________________ Name 2 _______________________________________
Address ____________________________________________ City _________________ State ___ Zip ___________
Phone ______________________ E-Mail __________________________
CLUB _________________________________
Accommodations (Circle One) Couples Dorm Dorm Cabin RV Area
Would Like to Room With _____________________________________________________________ (if possible)
Special Needs: Food ________ Diabetic________ Vegetarian ________ Other _________________
(explain briefly) ____________________________________________________________________________________
Due to the lack of dietary knowledge and the various interpretations of different needs, we ask that you bring your special food items and we will do our best to prepare them for you.
Animals will be allowed in the RV Area Only and must be kept on a leash and picked up after. Any violation could result in adherence to their No Pets Rule.
CFMS SHOW DATES
Shows and Events
SPONSORED BY CFMS CLUBS & SOCIETIES!
Please submit your Show or Event information as soon as you have a date. E-Mail or mail to: SHOW DATES Susan Chaisson-Walblom 42122 52nd St. West, Quartz Hill, CA 93536 E-Mail: email@example.com
Or use the ONLINE SHOW FORM at www.cfmsinc.org (click on Shows)
April 20 & 21: SAN JOSE, CA
Santa Clara Valley Gem & Mineral Society Santa Clara County Fairgrounds 344 Tully Road, San Jose Hours: Sat. 10-6; Sun. 10-5 Frank Mullany (408) 265-1422
firstname.lastname@example.org www.scvgms.org
April 20 & 21: THOUSAND OAKS, CA
Conejo Gem & Mineral Club Borchard Park Community Center 190 Reino Road (at Borchard Road) Hours: 10-5 Daily Rob Sankovich (805) 494-7734 email@example.com
April 27 & 28: LANCASTER, CA
Antelope Valley Gem & Mineral Club Lancaster High School 44701 – 32nd Street West Hours: 9 am – 5 pm Daily CJ Quitoriano (661) 209-9092 firstname.lastname@example.org www.avgem.weebly.com
April 27 & 28: SANTA CRUZ, CA
Santa Cruz Mineral & Gem Society Civic Center Auditorium Center Street & Church Street Hours: 10 -5 Daily Julia Cornblatt (831) 687-0509
email@example.com www.scmgs.org
May 3, 4 & 5: BISHOP, CA
Lone Pine Gem & Mineral Society Bishop Fairgrounds Sierra & Fair Streets Fri. 6pm-9pm; Sat. 9:30-5; Sun. 9:30-3 Steve Mobley (760) 793-6025 firstname.lastname@example.org
May 4 & 5: ANAHEIM, CA Searchers Gem & Mineral Society Brookhurst Community Center 2271 W. Crescent Avenue Hours: Sat. 10-5; Sun. 10-4:30 John Walker (503) 703-9465 email@example.com searchersrocks.org
May 4 & 5: PASO ROBLES, CA
Santa Lucia Rockhounds
Pioneer Park & Museum
2110 Riverside Avenue
Hours: 9-5 Daily
Kim Noyes (805) 610-0603
firstname.lastname@example.org slrockhounds.org
May 4 & 5: YUCAIPA, CA
Yucaipa Valley Gem & Mineral Society
Scherer Center
12202 First Street
Hours: Sat. 10-6; Sun. 10-4
Lee Peterson (909) 794-0731
email@example.com http://www.Yvgms.org/wiki/
May 11 & 12: RENO, NV
Reno Gem & Mineral Society Reno-Sparks Livestock Event Center 1350 N. Wells Ave. Hours: 10-5 Daily Steve Norman (775) 358-7322 Cell (775) 560-4782
firstname.lastname@example.org www.renorockhounds.com
May 31 - June 2: VENTURA, CA CFMS SHOW & CONVENTION
Conejo - Oxnard - Ventura
Gem & Mineral Societies
Ventura County Fairgrounds
10 W. Harbor Boulevard
Hours: Fri. & Sat. 10-5; Sun. 10-4
Rob Sankovich (805) 494-7734
email@example.com
Dealers Inquiries:
firstname.lastname@example.org
(805) 765-1252
www.cfms2013.com
June 8 & 9: GLENDORA, CA
Glendora Gem & Mineral Society Goddard Middle School 859 E. Sierra Madre Hours: Sat. 10-5; Sun. 10-4 Bonnie Bidwell (626) 963-4638 email@example.com
June 8 & 9: LA HABRA, CA
N. Orange Co. Gem & Mineral Soc. La Habra Community Center 101 W. La Habra Blvd. Hours: 9-5 Daily Loretta Ogden (909) 598-2456 firstname.lastname@example.org email@example.com nocgms.com
July 13 & 14: CULVER CITY, CA
Culver City Rock & Mineral Club Culver City Veterans Memorial Auditorium 4117 Overland Avenue Hours: Sat. 10-6; Sun. 10-5 Rick Shaffer (310) 391-8429 firstname.lastname@example.org www.culvercityrocks.org
Aug 30-Sept 2: FORT BRAGG, CA
Mendocino Coast Gem & Mineral Society Town Hall Main & Laurel Hours: Fri.-Sun. 10 – 6; Mon. 10 – 4 Jerry Sommer (707) 937-1833
September 28 & 29: LODI, CA
Stockton Lapidary and Mineral Club Lodi Grape Festival Grounds 413 East Lockeford Street Hours: 10 – 5 Daily Jerold Kyle (209) 368-9411 email@example.com www.stocktonlapidary.com
Sept. 28 & 29: SANTA ROSA, CA
Santa Rosa Mineral & Gem Society Wells Fargo Center for the Arts 50 Mark West Springs Road Hours: Sat. 10-6; Sun. 10-5 Jolene Coon (707) 849-9551 firstname.lastname@example.org srmgs.org
Rox Vobiscum
Rox Vobiscum
Rox Vobiscum Rox Vobiscum
FROM YOUR EDITOR
TOM BURCHARD 2ND VICE PRESIDENT
I want to personally "Thank" Diamond Pacific for their generous donation of their "40th Anniversary" Genie cabbing machine. The Executive Committee has accepted the donation for the benefit of the CFMS & ESS. We sold a lot of raffle tickets at Zzyzx, and hope to sell even more at CFMS Ventura. See us at the ESS Table and we'll get you started.
The support of CFMS/ESS by Diamond Pacific over time has enabled us to teach at least 2 or 3 times as many people to shape and polish beautiful rocks than we would otherwise have been able to.
Remember that I've asked for 'input' from the general membership of our federation? My first 'contributor' has an article on Page 9. How can I not include it, though he has glowing things to say about me?
We have around 30 cases in competition at CFMS/Ventura! We were hoping for more, BUT, Thanks to all for joining in to give yourselves, and us, a chance to improve our exhibiting skills. Higher quality exhibits has always benefited our 'draw' to recruit new rock hounds.
"CALIFORNIA ROCKS" 2013 ANNUAL CFMS SHOW & CONVENTION
Sponsored by: The Tri-Clubs of Ventura County:
Conejo, Oxnard, & Ventura Gem & Mineral Societies
When
May 31 June 2, 2013
Hours: Fri & Sat 10 – 5; Sun 10 – 4
Where
Ventura County Fairgrounds
10 W. Harbor Blvd., Ventura, CA
Show Contact
Show Chair Rob Sankovich email@example.com (805) 494-7734
Dealer Inquiries
firstname.lastname@example.org (805) 765-1252
Show Website www.cfms2013.com
You can download flyers from the CFMS show page www.cfmsinc.org "Shows"
2013 FEDERATION SHOWS
EASTERN FEDERATION
April 5 - 7: Long Island, NY
IDWEST
M F
EDERATION
April 6 - 7: Lincoln, NE
CALIFORNIA FEDERATION
May 31 - June 2: Ventura, CA
NORTHWEST FEDERATION August 16 - 18: Butte, MT
SOUTHEAST FEDERATION **AFMS SHOW**
September 20 - 22: Jacksonville, FL
2014 FEDERATION SHOWS
NORTHWEST FEDERATION August 15 - 17: Hermiston, OR
OCKY
R M
OUNTAIN
EDERATION
F
**AFMS S
HOW
**
September 13 - 15: Denver, CO
MIDWEST FEDERATION
October 18 - 19 - Des Moines, IA
2015 FEDERATION SHOWS
SOUTH CENTRAL FEDERATION **AFMS SHOW** Austin, Texas
ADVERTISING YOUR SHOWS
Be sure to advertise your shows in the
ROCK & GEM MAGAZINE! http://www.rockngem.com/ showdate-submissions/
Send the information in early so it's published in the magazine as well as online.
|
Gareth Evans
Gareth Evans Why APLN
Asia Pacific Leadership Network for Nuclear
Non-Proliferation and Disarmament
Nuclear Weapons Must be Eliminated
1
CNND
Centre for Nuclear Non-Proliferation and
Disarmament
Policy Brief No. 2
June 2013
Why Nuclear Weapons Must Be Eliminated
Gareth Evans
Summary
The arguments against nuclear weapons – humanitarian, strategic and financial – need constant restating. The core humanitarian arguments are straightforward: nuclear weapons are morally and environmentally indefensible challenges to our common humanity. The strategic arguments require fuller discussion because deterrence thinking is so entrenched: in essence, they are that reliance on nuclear weapons to deter attack is misplaced, any deterrent utility they may have is in any event outweighed by the huge risks associated with their retention, and retention by any state is an encouragement to proliferation by others. The financial arguments are simply that nuclear weapons are an indefensibly costly misallocation of resources. Having these arguments understood and accepted by policymakers may not be a sufficient condition for achieving nuclear disarmament – many technical, psychological and geopolitical obstacles will remain – but it is a necessary one.
______________________________________________________
Humanitarian Arguments
1. The argument for the moral indefensibility of nuclear weapons is familiar, powerful, and at the core of the case against them. When the first atomic bomb exploded over Hiroshima, it made no distinction between combatants and civilians, old and young, or victims and those trying to help them. Virtually all those within a half kilometre radius were incinerated, boiled or crushed to death, and those in surrounding areas died soon after of burns, wounds, or within months of radiation illness, bringing total estimated deaths to as many as 170,000. And these numbers are small compared with the casualties that may be expected from later generation weapons. However concealed by
the language of deterrence, doctrine, countervalue and counterforce strategy, warhead reliability and the like, the moral bottom line is the terrible, indiscriminate human suffering, immediate and longer term, these weapons cause.
2. The almost indescribable horror associated with any nuclear-weapon use informed the very first resolution of the UN General Assembly in 1946, and has been at the heart of all disarmament advocacy since. Humanitarian arguments have been recently gaining new momentum. The 2010 NPT Review Conference Final Document expressed "deep concern at the catastrophic humanitarian consequences of any use of nuclear weapons, and reaffirm[ed] the need for all states at all times to comply with applicable international law, including international humanitarian law." 1
3. This theme was picked up in a statements made by Switzerland on behalf of 34 countries in the First Committee of the UN General Assembly on 22 October 2012, and by South Africa on behalf of 80 countries at the Geneva NPT Preparatory Committee meeting on 24 April 2013, arguing that "the immense, uncontrollable destructive capacity and indiscriminate nature of these weapons" made them contrary to the rules of international humanitarian law. The position that nuclear weapons breached principles at the heart of this body of law – the distinction between combatants and civilians, proportionality, and precaution – was repeatedly articulated at the Norway-sponsored Conference on the Humanitarian Impact of Nuclear Weapons held in Oslo in March 2013, and can be expected to build further momentum by the time of a planned follow-up conference in Mex-
1 Final Document: 2010 Review Conference of the Parties to the Treaty on the Non-Proliferation of Nuclear Weapons, p 19. United Nations, New York
ico. It is a momentum that the nuclear-weapon states – and some of their allies like Australia who have been struggling to find reasons not to join in these statements –will find it increasingly uncomfortable to resist.
4. The humanitarian argument against nuclear weapons use is also based on their environmental impact. As the World Commission on the Environment and Development, chaired by Gro Harlem Brundtland, stated in its report Our Common Future in 1987:
The likely consequences of nuclear war make other threats to the environment pale into insignificance. Nuclear weapons represent a qualitatively new step in the development of warfare. One thermonuclear bomb can have an explosive power greater than all the explosives used in wars since the invention of gunpowder. In addition to the destructive effects of blast and heat, immensely magnified by these weapons, they introduce a new lethal agent –ionizing radiation– that extends lethal effects over both space and time. 2
5. In addition to these effects, the "nuclear winter" impact of a major nuclear exchange, even one confined to a single region like South Asia, would be globally devastating. With millions of tons of smoke lofted to high altitude and absorbing sunlight, surface temperatures and precipitation would dramatically fall, threatening a significant fraction of the world's food supply – such "nuclear famine" would put at risk the lives of nearly a billion people. The point is also made, by those who calculate nuclear winter impacts, that they involve "selfassured destruction": whether or not a major nuclear attack provokes nuclear retaliation by another state, the damage will have been done – and ensure starvation in the attacking country itself as well as elsewhere. 3
6. Both the direct human impact and the longer term environmental impact motivated the challenge to the legality of nuclear weapons mounted in the International Court of Justice by the UN General Assembly on the initiative of the World Health Organization, which resulted in the 1996 Advisory Opinion on the Legality of the Threat or Use of Nuclear Weapons. There were many formidable arguments made
2 Brundtland Commission, Our Common Future,. Report of the World Commission on Environment and Development (New York: United Nations, 1987). p. 295.
3 A. Robock and O.B. Toon, "Self-assured destruction: The climate impacts of nuclear war," Bulletin of the Atomic Scientists 68 (2012), pp. 66–74
against legality, including that use of nuclear weapons would be contrary to international humanitarian law because they cannot discriminate between civilians and combatant; would violate the right to life; would in some circumstances amount to genocide; would be contrary to existing norms relating to the safeguarding and protection of the environment; would be a serious danger to future generations; and would be, even in the case of use in selfdefence, disproportionate and therefore unlawful in most cases. Reinforcing arguments included that since nuclear weapons have not been used since 1945 it can be inferred there is a rule of customary international law prohibiting this; and that the UN General Assembly has declared the use of nuclear weapons to be illegal and in violation of the Charter of the United Nations.
7. Having analysed all the arguments, the Court decided unanimously that "There is in neither customary nor conventional international law any specific authorization of the threat or use of nuclear weapons"; and by seven votes to seven (with the President's casting vote) that "The threat or use of nuclear weapons would generally be contrary to the rules of international law applicable in armed conflict, and in particular the principles and rules of humanitarian law." Although the Court added the qualification that it "cannot conclude definitively whether the threat or use of nuclear weapons would be lawful or unlawful in an extreme circumstance of self-defence, in which the very survival of a State would be at stake," it follows from its opinion that there is no circumstance in which a State can be sure that any use it makes of nuclear weapons will be lawful. Their use plainly is unlawful in most circumstances – and may well be unlawful in all circumstances.
Strategic Arguments
Nuclear Weapons are Not the Deterrent they Seem
8. There remains a very widespread perception among policymakers that nuclear deterrence works, that it is of real value to the national security of nuclear-armed states and their allies, and that its benefits outweigh any possible cost. But all the main arguments in favour of nuclear deterrence have, on closer examination, nothing like the force they are usually seen to possess. Nuclear deterrence is at best of highly dubious, and at worst of zero, utility in maintaining stable peace.
9. Deterring war between the major powers? The most common deterrence argument is that nuclear weapons have deterred, and will continue to deter, war between the major powers – that the balance of nuclear terror between the U.S. and the Soviet Union maintained peace throughout the Cold War, and has done so since between other pairs of potential belligerents, including India and Pakistan, India and China, and China and the U.S.
10. While nuclear weapons on the other side have always constituted a formidable argument for caution – and fear of their possible use was obviously crucial, for example, in securing the back-downs on both sides that ended the Cuban missile crisis – it is strongly arguable that their impact has been exaggerated. Certainly, for what this is worth, there is simply no evidence that at any stage during the Cold War years either the Soviet Union or the U.S. ever wanted to cold-bloodedly initiate war, and were only constrained from doing so by the existence of the other's nuclear weapons. 4
11. We know that knowledge of the existence on the other side of supremely destructive weapons (as with chemical and biological weapons before 1939) has not stopped war in the past between major powers. Nor has the experience or prospect of massive damage to cities and killing of civilians caused leaders in the past to back down – including after Hiroshima and Nagasaki, where the historical evidence is now very strong that it was not the nuclear attacks which were the key factor in driving Japan to sue for peace, but the Soviet declaration of war later that same week. 5 Although the context there was different – terminating an existing war rather than deterring a new one – the point remains that concern about being on the receiving end of the extreme destructive power of nuclear weapons may simply not be, in itself, as decisive for decision-makers as usually presumed. Other explanations may be more important.
12. A plausible non-nuclear explanation for the "Long Peace" since 1945, although this issue is still intensely debated, is that what has stopped – and will continue to stop – the great powers from deliberately starting wars against each other is, more than anything else, a realization, after the experience of World War II and in the
4 See, for example, J.E. Doyle, "Why Eliminate Nuclear Weapons?", Survival 55 (2013), pp. 13–15.
5 See Ward Wilson, Five Myths About Nuclear Weapons (New York: Houghton Mifflin Harcourt, 2013), pp. 21–53.
light of all the rapid technological advances that followed it, that the damage that would be inflicted by any war would be unbelievably horrific, and far outweighing, in today's economically interdependent world, any conceivable benefit to be derived. 6
13. Deterring large-scale conventional attacks? A second familiar argument for the strategic utility of nuclear weapons is that they will deter large-scale conventional attacks. But there is a long list of examples where non-nuclear powers have either directly attacked nuclear powers or have not been deterred by the prospect of their intervention: for example the Korea, Vietnam, Yom Kippur, Falklands, two Afghanistan and first Gulf wars. The calculation evidently made in each case was that a nuclear response would be inhibited by the prevailing taboo on the use of such weapons (on which more below), at least in circumstances where the very survival of the state was not at stake.
14. The confidence that seems to have moved some smaller states, like North Korea, to think that a handful of nuclear weapons is their ultimate guarantor against external regimechange-motivated intervention is not well founded. Weapons that it would be manifestly suicidal to use are not a credible deterrent, nor are weapons that are not backed by the infrastructure (for example missile submarines) that would give them a reasonable prospect of surviving to mount a retaliatory attack. In the case of North Korea, its strongest military deterrent remains what it has always been: its capacity to mount a devastating conventional artillery attack on Seoul and its environs.
15. There are also cases where the presence on both sides of nuclear weapons, rather than operating as a constraining factor, has been seen as giving one side the opportunity to launch small military actions without serious fear of nuclear reprisal (because of the extraordinarily high stakes involved in such a response): as with Pakistan in Kargil in 1999, and North Korea in the sinking of the Cheonan and shelling of Yeonpyeong Island in 2010. It may be that – rather than, as the old conservative line would have it, "the absence of nuclear weapons would make the world safe for conventional wars" – it is the presence of nuclear weapons that has made the world safer for such wars. There is substantial quantitative, as well as anecdotal,
6 S. Pinker, The Better Angels of our Nature: The Decline of Violence in History and Its Causes (London: Penguin, 2011), Chapter 5, especially pp. 288–94.
evidence to support what is known in the literature as the "stability/instability paradox" – the notion that what may appear a stable nuclear balance actually encourages more violence under the shelter of the nuclear overhang. 7
16. Deterring chemical or biological weapons attack? A third argument for the strategic utility of nuclear weapons is that they will deter any chemical or biological weapons attack. This is claimed by some nuclear-armed states and their allies in particular as the reason why Saddam Hussein did not use chemical weapons in 2003, but it lacks plausibility. There are a number of other reasons why the Iraqis may not have used these weapons then, including a perception that coalition forces were well protected against such attack, and a fear of individual force commanders of being tried for war crimes. More generally, given that chemical weapons have nothing like the destructive potential of nuclear weapons – and never will, although the future risk factor is higher with biological weapons – it is difficult to paint any plausible scenario in which nuclear, as distinct from conventional, retaliation would be a proportional, necessary and therefore credible response. The U.S. made no nuclear threat against Iraq, and there is no evidence whatever that it would have done so, or would have needed to, had Saddam's forces used chemical weapons. It is similarly inconceivable that the U.S. would see any need to respond with nuclear weapons should chemical weapons be used now in Syria. 8
17. Deterring nuclear terrorism? The weakest strategic argument of all for nuclear weapons, although it is still sometimes heard, is that they may be needed to deter nuclear terrorism. Nuclear weapons are manifestly neither strategically, tactically nor politically useful for this purpose. Terrorists do not usually have territory, industry, a population or a regular army which could be targeted with nuclear weapons. And to conduct nuclear strikes on another state, even one demonstrably complicit in a terrorist attack, would raise huge legal, moral, political and strategic issues. If a nuclear strike was not
7 R. Rauchhaus, "Evaluating the Nuclear Peace Hypothesis: A Quantitative Approach," Journal of Conflict Resolution 53 (2009), pp. 258–77.
8 ICNND, Eliminating Nuclear Threats: A Practical Agenda for Global Policymakers (Canberra: International Commission on Nuclear Non-Proliferation and Disarmament, 2009), endnote to para 6.18, p. 238.,
contemplated in Afghanistan after 9/11, when would it ever be?
18. Militarily unusable. The more general point that runs through many of these responses to the arguments for nuclear deterrence is that nuclear weapons really are inherently unusable – and because key players know that, even if so many are reluctant to openly concede it, nuclear deterrence has nothing like the power it is commonly assumed to have. Military commanders have long understood that there are formidable practical obstacles involved in the use (and by extension threatened use) of these weapons at both the tactical and strategic level, not least the damage they can cause to one's own side and to any territory being fought over. 9
19. Politically taboo. Beyond the practical obstacles, there is the profound normative taboo which unquestionably exists internationally against any use of nuclear weapons, at least in circumstances where the very survival of a state is not at stake. Since the early 1950s – when it began to sink in that their destructive capacity really was infinitely greater than anything previously seen – such deliberate use has been seen as inconceivable by the leaders of any country thinking of itself as civilized, and wanting to be thought so by others. Presidents Harry Truman, Dwight Eisenhower and John F. Kennedy rejected military advice to use nuclear weapons in the Korean War, the Taiwan Straits crisis, and the Cuban missile crisis, respectively, and the force of the taboo has if anything since grown. Even John Foster Dulles said that if the U.S. had used nuclear weapons in Korea, Vietnam or against China over Taiwan, "we'd be finished as far as present-day world opinion was concerned." 10
20. There is some very recent published research 11 suggesting, a little alarmingly, that the nuclear taboo is not felt nearly as strongly as previously thought by the U.S. public. But among policymakers worldwide the taboo seems, in the judgment of at least this practitioner, to be as strong as ever. And it is confidence in the existence of that taboo – and the effective unusability of nuclear weapons that goes with it, for one's opponents as well as
9 ICNND, Eliminating Nuclear Threats, para 6.2.
11 D.G. Press, S.D. Sagan, and B.A. Valentino, "Atomic Aversion: Experimental Evidence on Taboos, Traditions and the Non-Use of Nuclear Weapons," American Political Science Review 107 (2013), pp. 188–206.
10 Quoted in Nina Tannenwald, The Nuclear Taboo, (Cambridge: Cambridge University Press, 2007), p. 173.
oneself – that may be thought to explain why so many military risks have been taken over the years in defiance of that supposed deterrent.
Nuclear Weapons Encourage Proliferation More than they Restrain It
21. An important strategic argument for the utility of nuclear deterrence that needs to be addressed is that possession of and willingness to use nuclear weapons has contributed to non-proliferation, at least in one context, viz. "extended nuclear deterrence." The willingness of the U.S. to commit its nuclear capability to protect allies from possible attack has long been thought to be crucial in dissuading especially Japan and South Korea from acquiring deterrent nuclear capability of their own, and there is force to this claim, although strong anti-nuclear sentiment in Japan continues to act as a disincentive to any government going down that path. 12
22. But it can be equally strongly argued, certainly in the context of the U.S. and its allies, both in Asia and the Pacific and in Europe, that extended nuclear deterrence could be replaced by "extended deterrence" – that is with the U.S. dropping its nuclear umbrella component, but guaranteeing allies full protection against any threat contingency through its conventional weapons capability, which is presently overwhelming, and will be hugely formidable for the foreseeable future even in a world of greater conventional arms balance. While this is not to underestimate the political and psychological comfort involved in having nuclear weapons notionally available to respond to nuclear attack, or attack by other weapons threatening the very survival of the state, it is hard to argue objectively that any actual diminution of allied states' security would be involved, not least because of the unlikelihood in practice (given the humanitarian taboo, and environmental risks, including of self-assured destruction) that nuclear weapons would ever actually be used in practice.
23. A more robust response to the argument that nuclear deterrence has contributed to non-proliferation is that the contrary is more likely to be true. Successive international
12 See generally A. O'Neill, Asia, the US and Extended Nuclear Deterrence: Atomic Umbrellas in the 21st Century (London: Routledge, 2013); R. Medcalf, (ed), Weathering Change: The Future of Extended Nuclear Deterrence (Sydney: Lowy Institute for International Policy, 2011).
commission reports – the Canberra Commission in 1996, Blix Commission in 2006, and the Australia-Japan ICNND in 2009 – have argued that so long as any state retains nuclear weapons others will want them, and that progress towards elimination is crucial to ensure nonproliferation. Successive NPT Review Conferences have made it clear how strong is the perceived connection between disarmament and non-proliferation, and how difficult it is to strengthen the non-proliferation regime so long as the nuclear-weapon states are reluctant to make significant progress towards elimination.
24. That view has been endorsed in what some might think an unlikely quarter, the Congressional Commission on the Strategic Posture of the United States, the 2009 final report of which observed that "other nations may not show the nuclear restraint the United States desires or support non-proliferation efforts if the nuclear weapon states take no further agreed steps to decrease their reliance on nuclear arms." 13 When one's goal is to achieve a world with less rather than more nuclear weapons, bloody-minded resistance to strengthening the non-proliferation regime may be anything but a rational response to disappointment over slow progress on disarmament, but in the experience of this practitioner it is unquestionably a reality.
The Risks Outweigh any Conceivable Benefits
25. It does not follow from any of the arguments going to the lack of utility of nuclear deterrence that policymakers should be comfortable with their continued existence. So long as any are retained by anyone, the risk is all too real of stumbling into a nuclear exchange through accident, miscalculation, system error, or sabotage, and any such exchange would be potentially catastrophic for life on this planet as we know it. Whatever the utility of nuclear deterrence might be thought to be, it has always been an extremely fragile basis for maintaining stable peace, for three main reasons.
26. First, nuclear deterrence depends on rational actors on both sides, each making rational judgments about the risk factors involved. Political actors and circumstances can
13 Congressional Commission, America's Strategic Posture: The Final Report of the Congressional Commission on the Strategic Posture of the United States, p 66. (Washington DC: United States Institute of Peace Press, 2009).
change, and it cannot be assumed that complete rationality will always prevail in the stress of a real-time crisis. As Hedley Bull has said, "mutual nuclear deterrence … does not make nuclear war impossible, but simply renders it irrational." And as he also wryly put it, a rational strategic man is one "who on further acquaintance reveals himself as a university professor of unusual intellectual subtlety." 14
27. Second, nuclear deterrence depends on there being no human or system errors. There is a major risk not only of human error or misjudgment under stress, but of miscommunication (the risks here now compounded by the sophistication of cyber weapons) and of basic system error, with harmless events being read as threatening (as, for example in 1995 with Russia's President Boris Yeltsin advised that he should immediately retaliate against an incoming NATO missile, which proved to be a Norwegian scientific rocket launch).
28. Much archival evidence of the Cold War years – when command and control systems on both sides were thought to be highly sophisticated, and were more so than are some between potential nuclear adversaries today – has now revealed how close to calamity the world regularly came, much more so than was understood at the time. It is not a matter of good policy or good management that the world has avoided a nuclear weapons catastrophe for nearly seventy years: it is sheer dumb luck. These risks are dramatically compounded when nuclear armed states maintain nuclear weapons on dangerously high "launchon-warning" alert status – as is still the case, more than two decades after the end of the Cold War, for almost 2,000 weapons in the U.S. and Russian arsenals.
29. Third, new technical developments may make old calculations redundant. There is a risk, in particular, that new generation conventional attack weapons, or missile defence systems, will be developed that will be so sophisticated and powerful as to create real doubts in states' minds about the survivability of their retaliatory, second-strike capability. In an extreme crisis situation this could encourage such states to strike first; and at the very least is likely to encourage them to expand their nu-
14 The first quote is from Hedley Bull, The Anarchical Society (London: Macmillan, 1995), p. 234; the second from Hedley Bull, The Control of the Arms Race, (London: International Institute for Strategic Studies, 1961), p. 48..
clear armouries, with all the potential that has for setting off new nuclear arms races.
30. Even for those who will never abandon the position that nuclear weapons – and the fear of mutually assured destruction that went with them – were crucial in avoiding war between the Soviet Union and U.S. for nearly five decades, it is hard to argue that things have not changed. The threats with which the world is most concerned now – terrorism, biological weapon attack, cyber-attack, climate change and health pandemic – are not those which nuclear weapons can in way help to address.
31. As the threats have changed, so too have the risks associated with the retention of nuclear weapon stockpiles. As Lord Browne and Ian Kearns argue in a 2012 European Leadership Network policy brief, "the nuclear order that is emerging, of smaller global nuclear weapon stockpiles overall, but of weapons distributed across more states in more unstable regions, has the potential to be less stable than the Cold War and is more likely, as a consequence, to see nuclear weapons used." 15 This was the central argument made in the hugely influential series of articles written since 2007, most recently in March 2013, by the four U.S. statesmen – realists all – Henry Kissinger, George Shultz, William Perry and Sam Nunn, concluding that with the end of the Cold War, nuclear weapons had outlived whatever utility they might have had:
It is far from certain that today's world can successfully replicate the Cold War Soviet– American deterrence by "mutually assured destruction" – the threat of imposing unacceptable damage on the adversary. That was based essentially on a bipolar world. But when a large and growing number of nuclear adversaries confront multiple perceived threats, the relative restraint of the Cold War will be difficult to sustain. The risk that deterrence will fail and that nuclear weapons will be used increases dramatically. 16
Financial Arguments
15 Des Browne and Ian Kearns, "NATO, Russia, and the Nuclear Disarmament Agenda: Reflections Post Chicago," (London: European Leadership Network (ELN), 2012), p. 5;
http://www.europeanleadershipnetwork.org/medialibrar y/2012/08/07/a7e51c12/NATO%20Russia%20and%20D isarmament.pdf
16 George P. Shultz, William J. Perry, Henry Kissinger, and Sam Nunn, "Next Steps in Reducing Nuclear Risks," The Wall Street Journal, 5 March 2013,
http://online.wsj.com/article/SB10001424127887324338 604578325912939001772.html.
32. At the other end of the moral spectrum to the humanitarian arguments, perhaps, but no less powerful in practice for that, there is the argument that nuclear weapons are indefensibly costly. 17 As estimated by Global Zero researchers Bruce Blair and Mathew Brown in 2011 – from manifestly imperfect but the best available data – the full cost (including mitigating health and environmental consequences) of worldwide spending on nuclear weapons by the nuclear-armed states was then running at $104.9 billion: in that year the U.S. spent $61.3 billion, Russia $14.8 billion, China $7.6 billion, France $6 billion, UK $5.5 billion, India $4.9 billion, Pakistan $2.2 billion, Israel $1.9 billion and North Korea $0.7 billion. They further estimated, taking into account planned worldwide upgrading of nuclear arsenals, that aggregate spending by these states over the next decade will exceed $1000 billion, or one trillion dollars. 18 These extraordinary amounts raise questions both about the military utility of this expenditure, and its opportunity cost.
33. As to military cost-benefit, the history of the nuclear age provides ample evidence that nuclear weapons do not enable reductions in spending on conventional forces. As discussed above already, in the context of strategic arguments for nuclear disarmament, the indiscriminate, highly destructive (including selfdestructive) power of nuclear weapons renders them unusable – except possibly as an absolute last resort in the most desperate of circumstances. Generations of military leaders have decided, on perfectly rational grounds, that they cannot serve as a substitute for capable conventional forces. Now, in the current – and likely continuing – global climate of financial stringency, nuclear forces, rather than supporting conventional capabilities, risk undermining them. The wisdom of using large proportions of defence budgets on weapons that are essentially unusable and which make a highly doubtful contribution to meeting contemporary security challenges is coming increasingly into question.
34. As to social cost-benefit, there is a real issue as to whether some or all of the money being
17 These arguments are further developed in APLN/CNND Policy Brief No. 1 (June 2013) Nuclear Weapons: The Opportunity Costs http://apln.anu.edu.au and http://cnnd.anu.edu.au .
18 Bruce Blair and Mathew Brown, "World Spending on Nuclear Weapons Surpasses $1 Trillion per Decade," Global Zero
http://www.globalzero.org/files/gz_nuclear_weapons_cost _study.pdf . All figures cited are in U.S. dollars.
spent to little purpose on nuclear weapons would be better directed to non-military use, both internationally and domestically. One area where savings could be employed more productively internationally would be to help achieve the UN Millennium Development Goals: the OECD in 2012 estimated that achieving unmet goals by the 2015 deadline would cost around $120 billion. Within nuclear-armed states there are many examples of how nuclear weapons budgets could arguably be better spent. In the U.S., for instance, $400 million – the 25 per cent projected increase for stockpile support – would provide more than 10,000 university students with four-year scholarships. And in Pakistan, for $815 million – a little over one-third of its present nuclear weaponsrelated expenditure – 11,000 schools could be funded. 19
The Power of Argument
35. It has to be acknowledged that all these arguments, however persuasive, will not by themselves be enough to rid the world of nuclear weapons. Three big hurdles stand in the way, not impossible to surmount over time, but very difficult. Geopolitically, an environment will have to be created in the key regions of North East Asia, South Asia and the Middle East stable enough for no country to have any serious concern about existential threats to its existence, even if not all sources of potential tension have disappeared. Technically, getting to zero will be impossible without every state being confident that every other is complying, that any violation of the prohibition is readily detected, and that any breakout is controllable – conditions which do not presently exist. And psychologically, it will be very difficult for some states to give up the status and prestige they see as inextricably associated with nuclear weapons possession.
36. That said, it does seem clear that having the arguments against nuclear weapons understood and accepted by policymakers is, if not a sufficient condition, certainly a necessary one for any significant move down the path towards a nuclear-weapon-free world. The battle will not be won by rhetoric, however powerful, or appeals to emotion, however defensible. It will be won by the power of good ideas – that a world without nuclear weapons is both desira-
19 Adrianna Wolaver, "The Real Price of Nuclear Weapons," Nuclear Age Peace Foundation, 2010),
http://wagingpeacetoday.blogspot.com.au/2010/08/realprice-of-nuclear-weapons.html.
ble and ultimately achievable – supported by the power of evidence-based argument in putting to the test bad and outmoded ideas, like the utility of nuclear deterrence in the world of today.
37. Arguments matter in government, and international relations, because they have real political force. Not only because they can be inspirational, but because they provide a frame of reference for policymakers to take one
The Author
GARETH EVANS was formerly Foreign Minister of Australia (1988–96) and President of the International Crisis Group (2000–09). He cochaired the International Commission on Nuclear Non-Proliferation and Disarmament (2008–10), and is currently Chancellor of The Australian National University, Convenor of the APLN, and Chair of the International Advisory Board of the CNND.
APLN and CNND
The Asia Pacific Leadership Network (APLN) comprises over thirty former senior political, diplomatic and military leaders from fourteen countries around the region including nuclearweapons possessing states China, India and Pakistan. The objective of the group, convened by former Australian Foreign Minister and President Emeritus of the International Crisis Group Gareth Evans, is to inform and energize public opinion, and especially high-level policymakers, to take seriously the very real threats posed by nuclear weapons, and do everything possible to achieve a world in which they are contained, diminished and ultimately eliminated. See further http://apln.anu.edu.au
APLN/CNND Policy Briefs
These express the views of the authors, and do not necessarily reflect the views of APLN members or the CNND. They are published to encourage debate on topics of policy interest and relevance regarding the existence and role of nuclear weapons.
course rather than another – enabling them to articulate clear and credible reasons to the various constituencies they have to satisfy for the course they choose to take. Delegitimizing nuclear weapons – to the point where their possession is universally seen more as an occasion for embarrassment than pride – will take time. But the process of contesting their legitimacy cannot begin too soon or be pursued too vigorously.
The Centre for Nuclear Non-Proliferation and Disarmament (CNND) contributes to worldwide efforts to minimize the risk of nuclear-weapons use, stop their spread and ultimately achieve their complete elimination. It works in partnership with the Geneva Centre for Security Policy (GCSP) and the Stockholm International Peace Research Institute (SIPRI), and acts as the Secretariat for APLN. The director of the Centre is Professor Ramesh Thakur, former UN Assistant Secretary-General, and it is assisted by a distinguished International Advisory Board chaired by Professor Gareth Evans. See further http://cnnd.anu.edu.au
Contact Us
Centre for Nuclear Non-Proliferation and Disarmament
Crawford School of Public Policy The Australian National University Canberra ACT 0200 AUSTRALIA
Email: firstname.lastname@example.org
Telephone: + 61 2 6125 0912
|
This article was downloaded by: [Rutgers University], [Yanhong Jin]
On: 07 October 2011, At: 09:57
Publisher: Routledge
Informa Ltd Registered in England and Wales Registered Number: 1072954 Registered
office: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK
Education Economics
Publication details, including instructions for authors and subscription information:
http://www.tandfonline.com/loi/cede20
Factors influencing career location preferences of international graduate students in the United States
Mark Musumba a , Yanhong H. Jin b & James W. Mjelde a a Department of Agricultural Economics, Texas A&M University, College Station, TX, USA
b Department of Agricultural, Food and Resource Economics, Rutgers University, New Brunswick, NJ, USA
Available online: 04 Sep 2009
To cite this article: Mark Musumba, Yanhong H. Jin & James W. Mjelde (2009): Factors influencing career location preferences of international graduate students in the United States, Education Economics, DOI:10.1080/09645290903102902
To link to this article: http://dx.doi.org/10.1080/09645290903102902
PLEASE SCROLL DOWN FOR ARTICLE
Full terms and conditions of use: http://www.tandfonline.com/page/terms-andconditions
This article may be used for research, teaching, and private study purposes. Any substantial or systematic reproduction, redistribution, reselling, loan, sub-licensing, systematic supply, or distribution in any form to anyone is expressly forbidden.
The publisher does not give any warranty express or implied or make any representation that the contents will be complete or accurate or up to date. The accuracy of any instructions, formulae, and drug doses should be independently verified with primary sources. The publisher shall not be liable for any loss, actions, claims, proceedings, demand, or costs or damages whatsoever or howsoever caused arising directly or indirectly in connection with or arising out of the use of this material.
Factors influencing career location preferences of international graduate students in the United States
Mark Musumba a , Yanhong H. Jin b * and James W. Mjelde a a Department of Agricultural Economics, Texas A&M University, College Station, TX, USA; b Department of Agricultural, Food and Resource Economics, Rutgers University, New Brunswick,
NJ, USA
Taylor and Francis CEDE_A_410463.sgm
(Received 10 December 2008; final version received 4 June 2009)
10.1080/09645290903102902 Journal of Education Economics 0964-5292 (print)/1469-5782 (online) Original Article 2009 Taylor & Francis 00 0000002009 YanhongJin firstname.lastname@example.org
YanhongJin email@example.com
Using primary survey data, factors influencing preferences of international graduate students in the United States as to whether they prefer to stay in the United States or go back to their home country to start their careers are examined employing discrete choice analysis. Career opportunities and social climate are critical factors. Students prefer to start their careers in the country where they have more and better career opportunities, receive higher salaries, and have increased civil liberties. Differences between students who are sure and those who are not sure as to where they prefer to start their career are noted.
Keywords: economic development; human capital; brain drain
Introduction
Brain drain, the migration of skilled human capital, includes educated and trained persons who migrate from developing countries to join the workforce of developed countries and students who attend universities in developed countries but do not return home (Rao 1979). Migration of these two groups of skilled labor is a concern to both sending and receiving countries (Kwok and Leland 1982; Castle and Miller 2003; Chen 2006; Mariani 2007). Focusing on the second group of people, this study identifies factors influencing preferences of international graduate students in the United States as to where they prefer to start their professional careers – in the United States or in their home country. International graduate students constitute highly educated individuals; therefore, their decisions on where to start their professional careers have socio-economic impacts on both the United States and their home countries. US universities, for example, recruit talented students who often contribute to innovations attributed to the US workforce (Chellaraj, Maskus, and Mattoo 2005). Further, many developed countries, including the United States, the United Kingdom, Canada, and Australia offer 'talent for citizenship' programs to lure highly educated and/or talented labor to these countries (Shachar 2006). Attraction of these highly skilled immigrants has provided the United States with a cutting edge, even though the United States ranks near bottom among the major developed countries in science and mathematics among eighth-graders (Gordon 2004). On the other hand, sending http://www.informaworld.com
countries, usually less developed countries, may be short of skilled labor necessary to meet their objectives (Kwok and Leland 1982).
Using primary survey data, factors that influence students' preferences of where they would prefer to start their professional careers are examined employing multinomial discrete choice analysis. Beside the United States and home countries, students were allowed to indicate they were not sure of their preferences as to where they prefer to start their careers. Previous brain-drain studies have not addressed this group of students. Students who are not sure of their preferences, however, may be more likely to be affected by policy interventions. Results indicate differentiated policies directed towards students with already defined preferences and those who are not sure may be necessary to attract students back to their home countries. Further, this study is an ex ante, before-graduation, analysis of students' preferences. Policies directed towards students before they take their first career job may be more effective than policies directed towards individuals that are already employed.
Brief literature review
Although the consensus is that the lack of human capital is a cause of economic underdevelopment (Stark 2004), the literature examining socio-economic effects of migration on sending countries has mixed conclusions. Some studies indicate that brain drain may be detrimental to the sending country because emigration deprives the sending country the increase in social welfare that the emigrants would have contributed (Miyagiwa 1991; Mariani 2007). Other studies argue that brain drain may not always be detrimental to the sending country, because emigration can increase the returns to education, which induces further investments in education and improvement of human capital in the sending country (Beine, Docquier, and Rapoport 2001, 2008; Miller 2007). Fan and Stark (2007a, 2007b), using a unified analytical framework, indicate that international migration of educated individual can have either positive or negative impacts on the educated human capital in developing countries. In particular, a developing country may have more educated individuals despite brain drain occurring, which benefits the economy.
More relevant to the current study is literature focusing on factors influencing migration of skilled human capital. Kao and Lee (1973, 513) concludes 'No single factor is sufficient to explain the drain, nor will a single policy reverse the flow.' Odenyo (1979) observes many factors, including interracial discrimination and lack of a welcoming community or network abroad, attribute to the return of African students who studied in the United States. Public rather than private sponsorship contributes to students returning home. Students who were first born, and therefore their father's successor, were more likely to return home. Positive valuation of job opportunities in the receiving country and poor political climate at home contributed to students not returning home. Postdoctoral students were more likely to pursue practical experience in temporary jobs and pay off their loans before they returned home. Das (1979) and Baruch, Gudwar, and Khatri (2007) find similar impacts of home country opportunities, family, and racial/ethnic ties on the return/non-return of international graduate students.
Kanbur and Rapoport (2005) note the network size at the destination decreases migration costs, therefore increasing migration. Similarly, Gottlieb and Joseph (2006) find that foreign students from some immigrant groups migrate to places where those groups are concentrated. Sixty percent of the Asian students surveyed by Oh (1973)
intended to stay in the United States for a substantial time after completing their studies. The students' non-return rate is primarily attributed to the favorable socio-economic conditions that existed in the United States. Using data from the Immigration and Naturalization Service for 69 countries, Bratsberg (1995) concludes that differences in the economic and political conditions explained the variation in foreign students' nonreturn rates. Students tend to return to rich countries and those countries close to the United States, although propensity to remain in the United States varies across countries.
Huang (1988) concludes that US immigration policy is an important and effective factor affecting the status adjustment from student to immigrant. Agarwal and Winkler (1985) note that immigration laws that make adjustment of visas possible play an important role in the decision to stay in the United States. Other factors such as political upheaval in the country of origin, racial and religious persecutions, and the avoidance of military service also affect non-return rates. They note that the increase in financial aid by most of the OPEC countries in late 1970s played a role in the increasing foreign student enrollment.
Survey and data
Primary data came from a survey of international graduate students enrolled at Texas A&M University (TAMU), College Station, Texas (Musumba 2006). The survey was conducted between 29 March and 25 April 2006 using a web-based questionnaire, with the web address being sent out via email. Two focus groups pre-tested the questionnaire. The final questionnaire consists of 28 questions on demographic characteristics, perceptions of home country attributes relative to the United States, and four alternatives as to where students prefer to start their careers (the United States, home country, country other than the United States or their home country, and not sure).
The usable sample constitutes 18% of the population of 2714 international graduate students enrolled at TAMU during spring 2006. Five hundred and ninetyseven students responded to the questionnaire, with 493 fully answering the questionnaire. Because the focus of the survey and study is to investigate whether international graduate students prefer to start their career in the United States or their home country, respondents were asked to indicate their perception differences on attributes between the United States and their home country. As such, it is necessary to excluded 23 respondents who chose a country other than the United States or their home country as the place they prefer to start their career. The analysis, therefore, is based on 470 respondents.
To provide background and context, the country of origin for international graduate students in the sample, population, and the United States is provided in Figure 1. The proportion of students from India, mainland China, Korea, Taiwan, Mexico, and Turkey in the sample is comparable with the percentage of international students enrolled in the United States (64% versus 60%), but is eight percentage points lower than the population. India had the largest number of students in the survey, as well as enrolled in TAMU and in the United States (35%, 46%, and 42%). The College of Engineering had the largest number of respondents (42%), as well as international graduate students enrolled at TAMU (46%) and in the United States (35%) (Figure 2).
Figure 1 Figure 2 Twenty-two percent of the respondents prefer to start their careers in their home country, 51% prefer the United States, and 27% are not sure. Respondents indicated relative differences between the United States and their home country for various
Figure 1 Country of origin profile of international graduate students in the sample, population and the United States.
Note: TAMU, Texas A&M University
Source: Institute of International Education (2006); survey; Office of Institutional Studies and Planning (2007).
attributes (Table 1). Respondents tended to indicate that the United States had more and a better variety of professional opportunities both in the private and public sectors,
Figure 2 College profile of international graduate students in the sample, population and the United States.
Note: TAMU, Texas A&M University
Source: Institute of International Education (2006); survey; Office of Institutional Studies and Planning (2007).
higher political stability and public safety, better gender equality, better access to recreational facilities, cleaner air and water, better appreciation for cultural diversity, a higher standard of living, and more educational opportunities for their children. On the other hand, respondents tended to indicate that they had better access to health facilities, better networking with fellow country persons, and less racial discrimination in their home country. The perceived better access to health facilities in home countries may be an indication of the respondents' student status in the United States.
Estimation methodology
The theoretical basis for the use of discrete choice models is the random utility model. In this model, the indirect utility function is decomposed into a deterministic component, which is known up to some parameters, and a random component, which is unobservable. Students prefer to start their careers in the country where they obtain the highest level of perceived utility. If a student chose the not-sure option, it is
Table 1. Percentage of respondents indicating a particular number on a scale of the relative differences between the United States and their home country a .
Note: a Survey question was 'Please indicate your perception of the following factors. Consider the scale as a relative difference between the United States and your home country.'
assumed his/her utility is higher by holding off on the decision as to which country they prefer at the time of the survey. Random perceived utility is:
where
V ij , represents the deterministic component,
ε ij is the error term, i denotes individuals,
j represents the alternative – where j = 0 (student prefers to start their career in the United States), j = 1 (prefer to start in their home country), and j = 2 (not sure),
X i is a vector of explanatory variables including individual characteristics and individuals' perceptions of country attributes, and
β j is a coefficient vector.
A multinomial logit (MLOGIT) model that assumes the error terms are independently and identically distributed with a Weibull distribution is estimated. 1 Using preferring to start their careers in the United States as a base (j = 0), the probability of choosing alternative j for individual i in the MLOGIT model is (Greene 1997):
where Y i represents the choice of student i. MLOGIT exhibits the behavioral property of the independence of irrelevant alternatives, meaning the odds ratios in the logit model are independent of the other alternative (Greene 1997). The Hausman test (Hausman and McFadden 1984) and a likelihood ratio tests are conducted for the appropriateness of this property.
Model specifications
The categorical dependent variable indicates whether a student prefers to start their career in the United States, their home country, or he/she is not sure. Independent variables include country, university, and individual characteristics. Without any doubt, unobserved heterogeneities among graduate students may affect their stated choices. The survey asked for information on individual characteristics to help reduce potential impacts of unobserved heterogeneity. This information is also used to identify those individual characteristics that affect preferences of graduate students on where they prefer to start their careers.
Country-related variables are expected annual salary in both the United States and home countries, a binary variable indicating whether a student comes from a developing or developed country, and indices of perceived differences on country attributes between the United States and home country. As shown in Table 1, country attributes are divided into five groups: political conditions measured by political stability and public safety; civil conditions measured by gender equity, racial discrimination, and cultural diversity; career conditions measured by private and public career opportunities, as well as the opportunity to network with fellow-country people; environmental conditions measured by access to public recreational facilities, along with air and water conditions; and living conditions measured by access to health facilities, standard of living, and education opportunities for children. Zero to one qualitative variables are use to represent respondents' perceived differences on the country attributes. To clarify, the dummy variable for political stability equals one if their home country is perceived politically at least as stable as in the United States, and zero if the United States is perceived more politically stable than the respondent's home country. Fourteen qualitative variables, therefore, are incorporated to measure country differences.
Respondents were asked to choose between income ranges that they expected to earn annually if they started their careers in the United States and in their home country. Based on the interval frequencies, empirical probability density functions of the expected salary in the United States and home country are estimated using the maximum entropy density method described in Wu and Perloff (2007). The estimated mean of the interval corresponding to the interval selected by the student on the questionnaire is used as a continuous variable. Fan and Stark's (2007b) Proposition 1 states that salary differences play an important role in international migration. However, incorporating only a salary difference may not be appropriate if the respondents reported salaries in the United States and their home country are not comparable. Many reasons, including cost of living adjustment, may make the values not comparable. To overcome this issue, expected annual salaries in both the United States and their home country are included in the model. If the absolute values of estimated coefficients associated with the two salary variables are statistically the same, one concludes a one-dollar increase in US salary has the same affect as a onedollar decrease in the home country salary. If the absolute values of the estimated coefficients are statistically different, there is a need to incorporate both salaries separately.
University-related variables are qualitative variables indicating degree level, college enrolled, and funding source. Socio-demographic characteristics consist of number of years living in the United States, number of children, and binary variables indicating gender, martial status, visa type, whether the students has relatives living in the United States, whether the student has relatives back at home to take care of the respondents' parents, and whether the student found it difficulty to assimilate into the US lifestyle.
Results and discussion
Before detailed results are presented, the appropriateness of the MLOGIT model is discussed. As shown in Table 2, the χ 2 statistics for the Hausman tests, which compare the estimated coefficients based on the full sample with coefficients based on a subsample that excludes an alternative, are negative. Negative values provide strong evidence that the null hypothesis of the irrelevant alternatives property cannot be rejected (Stata Reference 2007, 549). The data were also fitted using a nested logit model. The nested model included two nests: the first nest was a 'sure' nest, which included the two alternatives (choosing the United States or their home country to start their career); and, second, a 'not-sure' nest with only the not sure alternative. In this case, the nested logit model is obtained by assuming the vector of unobserved utility has a cumulative distribution of
where λ k is the dissimilarity parameter measuring the degree of independence in unobserved utility among the alternatives in each nest (Train 2003). A value of λ k = 1 indicates complete independence within nest k; there is no correlation in the nest. If λ k = 1 for all k, then there is independence among all the alternatives in all nests, which suggests that the standard logit model is the proper specification rather than the general nested logit model. The χ 2 statistic for the likelihood ratio tests of λ k = 1 for all k is 1.07, with a corresponding p value of 0.59 (Table 2). The null hypothesis of λ k = 1 for all k is not rejected. Inference is that the MLOGIT is appropriate.
Estimated coefficients and associated marginal effects associated with the MLOGIT model are provided in Table 2. The MLOGIT model correctly predicts 61% of the observations. Estimations are preformed using a robust estimator within STATA version 10.
Country-related variables
As discussed previously, respondents indicated their perceived differences on 14 country attributes. For each attribute, a dummy variable indicating their home country is at least as good as the United States measured by this particular attribute is incorporated in the model. A positive coefficient associated with an attribute dummy in the home-country (not-sure) equation suggests that the probability of choosing the home country (not-sure) option increases if the home country is at least as good as the United States in this particular attribute. The results in Table 2 show that the perceived differences on country attributes do not play a statistically significant role in defining student's preferences between the not-sure option and the United States, except access to public recreation facilities. When choosing between the United States and their home country, students prefer to start their careers in the country with better public safety, more private and public career opportunities, cleaner water, and a better standard of living. Perceived differences on the other attributes do not play a statistically significant role in defining students' preferences between the United States and their home country.
The probability that international students prefer to start their careers in their home country increases by nine percentage points if the home country has better public safety than the United States (see marginal effects in Table 2). Six and 10 percentage point increases in the probability of preferring their home country are associated with increased private and public career opportunities in their home country, whereas the probability increases by eight points for cleaner water and by 11 points for better standard of living in their home country.
The coefficient associated with developed countries is not significant in the homecountry equation, but it is significant and negative in the not-sure equation. These results indicate that there are no differences in preferring the United States or their home country between students from developed or less developed countries, but students from less developed countries are more likely to be sure about where they prefer to start their careers than students from developed countries.
Expected salary in their home country significantly increases the probability of choosing the home country relative to the United States, but it does not play a statistically significant role in distinguishing between students who are not sure and those who prefer the United States. Expected salary in the United States, however, plays a significant role in determining students' preferences between the United States and their home country, as well as between students who are not sure of their preference and those who prefer the United States. An increase in expected annual salary in a country increases the probability that students prefer to start their career in that country. If the expected salary in the United States (home country) increases by $1000, the probability of preferring the United States. (home country) to start their career goes up by 0.3 percentage points. To test size differences in the salary impacts on the preference between the United States and their home country, a test for the equality of the absolute values of the coefficients associated with expected income in the United States and their home county is conducted. The absolute value of these two coefficients are significantly different (χ 2 (1) = 9.86 and p = 0.00). A one-dollar increase in expected income in the United States decreases the probability of preferring their home county more than a one-dollar increase in expected home country income increases the probability of preferring to return home.
University-related variables
None of the college enrolled variables are significant in the not-sure equation. That is, there is no significant college-specific impact in differentiating students who are not sure about their preference and those who prefer the United States to start their career. Students in engineering, business, and science fields have a higher likelihood of preferring to start their careers in the United States instead of their home country relative to students in the College of Agriculture and Life Sciences. This may be attributed to the level of technological and scientific advancements in the United States relative to the students' home countries. The United States may be more attractive to students in these fields because of easier access to research funds and the ability to work with peers in their field, and, hence, tends to absorb many highly qualified workers (Mahroum 1999). Further, the United States also offers a variety of fields of study that may not be applicable in the home country.
Lien's (2005, 336) theoretical model defines global and local knowledge, where '… global knowledge is associated with newer high-technology production methods, the return from global knowledge in a developed country is much larger than the return to the local knowledge …' He concludes global knowledge may exacerbate the brain drain problem. Although not completely comparable, the empirical results provide support to Lien's model. Students in science and engineering, which fall more into the global knowledge category, are more likely to prefer to start in the United States, whereas students in agriculture (local knowledge) are more likely to prefer to return home. For possibly a similar reason, students in the College of Business also have an increased likelihood over students in the College of Agriculture and Life Science in preferring to start their careers in the United States instead of their home country. PhD students are more likely to prefer to start their careers in their home country. One postulated reason is that highly educated individuals may perceive having higher influential job opportunities in their home country relative to the United States, because they are a more scarce human capital resource in their home country relative to the United States. However, because age is not included in the survey, age may be a confounding factor. PhD students are usually older, and older individuals may prefer to return home.
The results indicate that students tend to prefer starting their careers in the country from which their funding is received. If a student's primary source of funding is family or they are self-supported, their probability of preferring to start their career in their home increases by five percentage points over students who are funded by US institutions. Students supported by their home country have an increase of 22 percentage points in their probability of preferring to start in their home country over students funded by US institutions.
Socio-demographic variables
Females have a 15 percentage points higher probability of preferring to start their careers in the United States than males. Women may find that life is better in the United States with free expression, the ability to work, the availability of technological advancements, and the ability to pursue professional careers. In addition, women may be less likely to return to their home countries because it may entail losing their amassed wealth and their new found freedoms in the United States (Grasmuck and Pessar 1992).
The longer students stay in the United States, the more likely they are to prefer to start their careers in the United States. For each additional year a student stays in the United States, the probability of preferring start his/her career in the United States increases by approximately six percentage points, while decreasing the probability of preferring their home country by four percentage points. Extrapolating beyond career starting preferences to continuing careers, this result suggests that as students continue to live and raise their families in the United States, the less likely they are to return home.
Students who found it difficult to integrate into the US lifestyle have an increase of eight percentage points in the likelihood of preferring to start their careers in their home countries relative to students who found it easy to integrate into the US lifestyle. Universities with good social networks that help assimilate foreign students into the American lifestyle may be affecting student preferences as to where they prefer to start their careers, which is similar to findings in Baruch, Budhwar, and Khatri (2007).
Married students have an increase of 16 percentage points over single students in the probability of preferring the United States over the not-sure choice. Students who have relatives living in the United States are more likely to prefer to start their careers in their home country, which is opposite from the finding in Baruch, Budhwar, and Khatri (2007). One possible explanation is that having multiple family members in the United States may suggest a higher wealth or social status in their home country. Such status or opportunities may have associated with them increased opportunities back home. Without further research into the relationship between families and where students prefer to start their careers, a more definitive explanation is not possible.
Conclusions and policy implications
Because the present study's results on factors influencing career preference are consistent with many ex post studies on actual career choices, one can conclude that students tend to act on their preferences. Thus, appropriate policies can be designed ex ante to lure graduate students back to their home countries. Policy implications depend on a person's perspective. The following implications are from the perspective that sending countries wish to have students return to their home countries. Results suggest differentiated policies are needed targeting those students who are sure of their preferences and those students who are not sure. Policies directed towards the not sure group may be more effective. This group is not a small group (in the sample, 27% of the respondents). Furthermore, the same policy may have multiple impacts on the preferences through the different variables included in the model.
Actions of US universities may inadvertently be contributing to brain drain. Admission of students to technology and science-oriented programs, providing funding to international students, and allowing students many years to complete their studies contribute to students preferring to start their careers in the United States. Creating programs that allow students to more easily assimilate into the US lifestyle also may contribute to brain drain. This is not to argue universities should not be providing these services, but rather there are unintended consequences of providing these services.
Career opportunities and social climate are critical factors in influencing students' preferences as to where they prefer to start their careers. Easier said than done, countries wanting to increase the return of students need to develop policies that decrease the relative differences in these factors between the home countries and the United States. In particular, policies that improve public safety, private and public opportunities, clean water, and living standards will have a positive impact on the return of the highly educated human capital. Lien (2008, 164) suggests that 'to reduce the brain drain, the domestic country must raise its wage or promote patriotism to reduce the perceived foreign wage.' Policies that enhance family and cultural values, along with improving gender equity would attract students to return home.
Several more specific recommendations can be made. First, as the number of years a student stays in the United States increases, the probability of preferring to start their career in the United States increases. Home countries may want to consider adjusting their funding policies toward more short-term education programs and funding the student for the duration of their education. Home countries may also want to promote and invest in 'exporting educational service' such as 'borderless education' (Lien 2006) and 'branch campuses' (Lien 2008). Such education formats do not necessarily require students to live in a foreign country to increase their human capital. The United States may consider limiting the amount of time students can attend US institutions. Much more unpopular policies would be directed toward letting single instead of married students and male instead of females leave the home country to attend school.
We envision several extensions to the present study. The most obvious is a follow-up of students' preferences and actual decisions. Time and limitations on email addresses (Texas A&M University removes student email addresses several months after graduation) does not allow such a follow-up with this data-set. Inclusion of students at other universities would increase the robustness of the results.
Further theoretical and empirical modeling on the unintentional impacts of university polices on the global and US societies and the impact of family relationships are warranted.
Note
1. We also estimated a nested logit model that assumes independence of irrelevant alternative holds among within each nest, but it does not hold in general for alternatives in different nests. Both Hausman tests and likelihood ratio tests fail to reject the irrelevant alternatives assumption, which suggest a standard multinomial logit model is appropriate. The detailed discussion is presented in the Results and discussion section.
References
Agarwal, V.B., and D.R. Winkler. 1985. Migration of foreign students to the U.S. The Journal of Higher Education 56: 509–22.
Baruch, Y., P.S. Budhwar, and N. Khatri. 2007. Brain drain: Inclination to stay abroad after studies. Journal of World Business 42: 99–112.
Beine, M., F. Docquier, and H. Rapoport. 2001. Brain drain and economic growth: Theory and evidence. Journal of Development Economics 64: 275–89.
Beine, M., F. Docquier, and H. Rapoport. 2008. Brain drain and human capital formation in developing countries: Winners and losers. The Economic Journal 118: 631–52.
Bratsberg, B. 1995. The incidence of non-return among foreign students in the U.S. Economics of Education Review 14: 373–84.
Castle, S., and M.J. Miller. 2003. The age of migration: International population movements in the modern world. New York: Guilford Press.
Chen, H.J. 2006. International migration and economic growth: A source country perspective. Journal of Population Economics 19: 725–48.
Chellaraj, G., K.E. Maskus, and A. Mattoo, A. 2005. Skilled immigrants, higher education, and U.S. innovation. In International migration remittances and the brain drain, ed. M. Schiff and C. Ozden, 245–61. New York: World Bank and Palgrave Macmillan
Das, M.S. 1979. Brain drain controversy and African scholars. A Journal of Opinion 9: 27–30. Fan, C.S., and O. Stark. 2007a. The brain drain, 'educated unemployment', human capital formation, and economic betterment. Economics of Transition 15: 629–60.
Fan, C.S., and O. Stark. 2007b. International migration and 'educated unemployment'. Journal of Development Economics 83: 76–87.
Gordon, R.J. 2004. Two centuries of economic growth: Europe chasing the American frontier. NBER Working Paper No. 10662, National Bureau of Economic Research, Washington, DC. http://faculty-web.at.northwestern.edu/economics/gordon/2Cent-CEPR.pdf (accessed April 9, 2008).
Gottlieb, P.D., and G. Joseph. 2006. College to work migration of technology graduates and holders of doctorates within the United States. Journal of Regional Science 46: 627–59.
Grasmuck, S., and P.R. Pessar. 1992. Between two islands: Dominican international migration. Berkeley: University of California Press.
Greene, W.H. 1997. Econometrics analysis. Upper Saddle River, NJ: Simon & Schuster Co. Hausman, J., and D. McFadden. 1984. Specification tests for the multinomial logit model. Econometrica 52: 1219–40.
Huang, W.C. 1988. An empirical analysis of foreign student brain drain to the U.S. Economics of Education Review 7: 231–43.
Institute of International Education. 2006. Open doors online report on international education exchange. http://www.opendoors.iienetwork.org/ (accessed August 2007).
Kanbur, R., and H. Rapoport. 2005. Migration selectivity and the evolution of spatial inequality. Journal of Economic Geography 5: 43–57.
Kao, C.H., and J. Lee. 1973. An empirical analysis of China's brain drain into the United States. Economic Development and Cultural Change 21: 500–13.
Kwok, V., and H. Leland. 1982. An economic model of the brain drain. The American Economic Review 72: 91–100.
Lien, D. 2005. International accreditation and brain drain: a simple model. Economics of Education Review 25: 335–40.
Lien, D. 2006. Borderless education and domestic programs. Education Economics 14: 297–308.
Lien, D. 2008. Economic analysis of transnational education. Education Economics16: 149–66.
Mahroum, S. 1999. Europe and the challenge of the brain drain. Institute for Prospective Technological Studies, Seville, Spain. http://www.jrc.es/home/report/english/articles/ vol29/SAT1E296.htm (accessed April 9, 2008)
Mariani, F. 2007. Migration as an antidote to rent-seeking? Journal of Development Economics 84: 609–30.
Miller, P. 2007. Brain drain in England: How overseas trained teachers have enriched and sustained English education. Perspectives in Education 25: 25–37.
Miyagiwa, K. 1991. Scale economies in education and the brain drain problem. International Economic Review 32: 743–59.
Musumba, M. 2006. Factors influencing international graduate students' preferences concerning where they prefer to start their careers. M.S. Thesis, Texas A&M University, College Station, TX.
Odenyo, A.O. 1979. An assessment of the African brain drain, with special reference to the Kenyan mid-career professional. A Journal of Opinion 9: 45–8.
Office of Institutional Studies and Planning. 2007. Texas A&M University. http:// www.tamu.edu/oisp/reports/ep/epsp2006_certified.pdf (accessed August, 2007).
Oh, T.K. 1973. A new estimate of the student brain drain from Asia. International Migration Review 7: 449–56.
Rao, L.G. 1979. Brain drain and foreign students. New York: St Martin's Press.
Shachar, A. 2006. The race for talent: Highly skilled migrants and competitive immigration regimes. New York University Law Review 81: 148–206.
Stark, O. 2004. Rethinking the brain drain. World Development 32: 15–22.
Stata Reference. 2007. Volume 1 (A–H). College Station, TX: A Stata Press Publication.
Train, K.E. 2003. Discrete choice methods with simulation. Cambridge: Cambridge University Press.
Wu, X.M., and J. Perloff. 2007. GMM estimation of maximum entropy density with interval data. Journal of Econometrics 138: 532–46.
|
Subsets and Splits
No community queries yet
The top public SQL queries from the community will appear here once available.